How to Complete a Conflict
Minerals Reporting Template(CMRT)CMRT Rev. 6.01
June 2020
Japan Electronics and Information Technology
Industries Association (JEITA)-Responsible Minerals Trade Working Group【Notice】
This document is published by the JEITA Responsible Minerals Trade Working Group.
We endeavor to ensure that our information is as recent and accurate as possible, but please beaware that this will not always be the case.

Table of Contents
1. Conflict Minerals Survey
2. CMRT Rev. 6.01 Outline
3. How to Complete the CMRT
3.1 Declaration Sheet
3.2 Smelter List Sheet
3.3 Product List Sheet
3.4 Checker Sheet
4. RMI Website
Appendix: Abbreviations
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1. Conflict Minerals Survey: Background
What is the Conflict Minerals Survey?
This survey is a way to respond to the requirement since 2013 under the US
Dodd-Frank Wall Street Reform and Consumer Protection Act that the US-listedcompanies investigate and disclose annually whether the conflict minerals*1
used in their products are a source of funds for armed groups in the covered
countries.*2*1 Conflict minerals (3TG) (regardless of place of origin):

Tantalum, Tin, Tungsten, Gold
*2 The Democratic Republic of Congo (DRC) and the nine adjoining countries
The survey is also used to comply with the EU Conflict Minerals Regulation that,
as of January 2021, companies importing conflict minerals into the EU as ores
and raw metals investigate and report annually whether these are related toOrganization for Economic Co-operation and Development (OECD) Due
Diligence Guidance Annex II Risks in regions defined as Conflict-Affected Areasand High-Risk Areas (CAHRAs).*3*3 Covered countries as defined by the OECD (details on following pages)

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1. Conflict Minerals Survey: OECD Annex II Risks
OECD Annex II Risks:Those risks defined in Annex II of the OECD Due Diligence Guidance for
Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk
Areas.*1
OECD Annex II Risks:
1. Serious abuses associated with the extraction, transport or trade ofminerals (child labour, etc.)
2. Direct or indirect support to non-state armed groups
3. Public or private security forces
4. Bribery and fraudulent representation of the origin of minerals
5. Money laundering
6. Payment of taxes, fees and royalties due to governments*1 Available to download from the OECD website

http://www.oecd.org/corporate/mne/mining.htm
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1. Conflict Minerals Survey: CAHRAs
Conflict-Affected and High-Risk Areas (CAHRAs*1)
Conflict-affected and high-risk areas are identified by the presence of armed
conflict, widespread violence or other risks of harm to people. Armed conflictmay take a variety of forms, such as a conflict of international or
non-international character, which may involve two or more states, or may
consist of wars of liberation, or insurgencies, civil wars, etc. High-risk areas
may include areas of political instability or repression, institutional
weakness, insecurity, collapse of civil infrastructure and widespread
violence. Such areas are often characterized by widespread human rights
abuses and violations of national or international law.
Note that the above definition is conceptual and that as of May 25, 2020, the EU
had yet to identify specific regions as CAHRAs. According to the RMI*2 standard,
however, the CAHRAs shall include, at a minimum, the Covered Countries under
the Dodd Frank Act.
*1 CAHRAs*2 RMI

Conflict-Affected and High-Risk Areas
Responsible Minerals Initiative
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1. Conflict Minerals Survey: CMRT Survey
Upstream

Range of suppliers

In-Region
programMines①

Traders
Smelters

Audit②
Standard

Parts
manufacturers

template

Materials
manufacturers

Product manufacturers

Huge cost and time for companies todo their own audits of 3TG origin

RMAP Investigation

In the long supply chain hierarchy, the number ofsmelters is divided into two tiers to improve
survey efficiency.
・ From smelters upstream, smelters are audited
through the RMAP*1 program in the region todetermine the origin of smelted minerals
・ From smelters downstream, the CMRT*2 isused to streamline surveys.

Downstream*1 RMAP Responsible Minerals Assurance Process*2 CMRT Conflict Minerals Reporting Template (common format revised and reissued

annually by the RMI)

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1. Conflict Minerals Survey: Most Cases
While US unlisted companies have no information disclosure obligation under the
Dodd-Frank Act, their customers are requiring them to conduct conflict minerals
surveys and report the results. Because modern supply chains stretch worldwide,
manufacturers and many other companies are involved in these surveys.
The EU Conflict Minerals Regulation, on the other hand, targets only companies
importing ores and raw metals into the EU, so fewer Japanese companies are involved.
However, the EU has clearly stated that if downstream companies are less responsive
than importers, in its 2023 review, it will also make reporting compulsory fordownstream companies, so care must be taken in this regard.
In addition, as of January 2019, the RMAP audit protocol has changed to the 2017
version of the standards for the minerals, risks and regions noted below. Smelters thatcannot conform with these standards cannot acquire RMAP conformant status. If asmelter in your supply chain is no longer conformant, you may be asked by yourcustomers to remove it from the supply chain. Make sure that you use the 2017
standards in your surveys.
FY2013 version

FY2017 version

Minerals

3TG (Tantalum, Tin, Tungsten, Gold）

Unchanged

Risk

Source of funds for armed groupsOECD Annex II

RegionCovered countries (DRC+9)

CAHRAs7/51

Accelerated initiatives toward responsible mineral sourcing

2021 onward?

3. Dealing with new risks/minerals
・Conflict-Affected & High-Risk Areas
・Annex Ⅱ risks (OECD DD Guidance)
・Cobalt survey

2017
EU Conflict
Minerals
Regulation(applied 2021)

2. Conflict Mineral Management
・Establish policy
・Due diligence (DD)・Take DD-based corrective measures

2011
OECD Due
Diligence
Guidance

1. Identify and report on smelters
・Survey 3TG・Report CMRT to upstream companies
・Disclose to downstream companies

2010
US Dodd-Frank Act

Expand scope of responsible
Minerals sourcing to include ESG

Compulsory supply chain transparency

4. Expanded risk and mineral scope
・Review of EU regulations (2023)
・Expansion of risk scope to ESG
・Mica trends

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1. Conflict Minerals Survey: New Risks
Other ESG risks

Myanmar
UWSA

DRC

DRC

DRC

Tungsten

Traditional framework(DFA)

ESG Risk
Minerals

DRC

Tantalum

Funding for armed
groups (DRC andadjoining countries)

NGO surveys in India andMadagascar

RMAP Audit Protocol
 Annex Ⅱ Risk
 CAHRAs OFAC

Graphite

Funding for armed
groups (other than DRC
and adjoining countries)

DRC

Mica

Bolivia
Human rights
abusesCobaltHuman rights (forchildren)

Tin

R
I
S
K

EU Mineral
Regulation

Gold

E
S
G

Environmental destruction

・・・・

Survey Targets
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1. Conflict Minerals Survey: RMI SSN Status
No. of Standard Smelter Names (SSN) recognized by RMI as of 13 May
2020 and their conformance status (does not cover all smelters in theworld)Ｔa
SSN total: 40 companies

Ｓn
SSN total: 92 companies

Conformant: 40 companies (100%)(No. of these conforming to new
RMAP standards: 21
Active: 0

Conformant: 78 companies (85%)(No. of these conforming to new
RMAP standards: 15
Active: 1Ｗ
SSN total: 53 companies

Gold

Tantalum

Tungsten

Conformant: 43 companies (81%)(No. of these conforming to new
RMAP standards: 12
Active: 5Tin

Ａu

SSN total: 167 companies
Conformant: 107 companies (64%)(No. of these conforming to new
RMAP standards: 75
Active: 1

The new standards refer to the 2017 revisions to the RMAP standards, which haveapplied to all audits since January 2019 (3TG, OECD Annex II Risk, CAHRAs)

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1. Conflict Minerals Survey: Survey Flow
Survey flow for companies downstream from smelters① Primary suppliers asked to fill in the CMRT
② CRMT survey requests move back up the supply chain③ Survey requests reach smelters
Completed CMRT submission④ Smelters submit to direct customers⑤ Where necessary, companies aggregate multiple CMRTs to create theirown CMRT for submission to direct customers⑥ CMRT submitted to the customer/s who originally requested the survey
Direct transaction
Original request(Customer)Your company

SurveyrequestSurveyrequestNth supplier

SurveyrequestCollect& check

SurveyrequestAggregate& respond

Collect& check

SubmitAggregate& respond

SubmitSubmitAggregate

Primary supplier ・・・・

Aggregate& respond

Smelter

Provideinformation

Collect& check

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2. CMRT Rev. 6.01 Outline: Structure
The CMRT comprises an 8-page Excel file:

Revision, Instructions, Definitions, Declaration, Smelter List, Checker,
Product List, and Smelter Look-up

Choose language

Confirm revision

You may fill in THREE sheets: Declaration, Smelter List, and Product List

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2. CMRT Rev. 6.01 Outline: Role of Each Sheet
Role of each sheet• Revision• Instructions• Definitions• Declaration• Smelter List
• Checker
filled in• Product List
• Smelter Look-up

Record of revisions
Explanation of background and how to fill in the sheets
Definitions of terminology
Company information (Q1-8 and A-H) <REQUIRED>
List of smelters<WHERE NECESSARY*1>
Checks whether all the necessary information has been
<CHECK REQUIRED*2 >List of target products<WHERE NECESSARY*3>
Smelter Look-up list*4(List of smelters at the time of CMRT issuance)

Notes:*1 Fill in for those metals to which you responded “Yes” for Q2*2 Fill in any areas marked in red on the Checker Sheet*3 Fill in where the scope is “B: Product”*4 The latest list can be found on the RMI website.

* Please read the instructions and definitions before filling in the form.
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2. Changes to CMRT Rev. 6.01
To comply with both the DFA and the EU Conflict Mineral Regulation, Revision 6.01*1
which was issued on 19 May 2020 features the following changes.
*1 Rev. 6.0 was initially issued on May 13,2020 but revised immediately due to bugs.

Declaration: (Compared to Rev. 5.12)
 In the company information section, the phone number of “Authorizer” of thedeclaration information is now optional rather than mandatory.
 “Do any of the smelters in your supply chain source the 3TG from conflict-affected
and high-risk areas?” added as Q4. (Subsequent numbers moved down one.)
 Question A has been changed to “responsible minerals sourcing policy".
 The English text of Question B has been changed to "responsible minerals".
 Question C (on whether you asked your primary supplier/s to ensure that minerals
are DRC conflict-free) has been removed. (Subsequent letters moved up one.)
 Question E becomes D and becomes "due diligence measures for responsible
sourcing".
 Question I becomes H, "to SEC" has been deleted, and the options have beenchanged so that SEC and EU can be selected.

#2 Due Diligence (DD) = risk assessment

It refers to activities to make the supply chain transparent, check the origin of raw materials forthe various types of risk noted earlier, check for violations, and correct any problems that arefound. Checking and assessing CMRTs received from suppliers are also part of due diligence.

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3. How to complete the CMRT:

3.1 Composition of the Declaration SheetⒶThe Declaration Sheet is composed ofthree blocks.
Ⓐ 14 company information itemsⒷⒷ 8 questions related to the status ofyour 3TG use (summary of primary
supplier information)Ⓒ 8 questions related to yourresponsible sourcing policies andactionsⒸ
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3. How to complete the CMRT:

3.1 Declaration Sheet Ⓐ Company Information
All items marked with an asterisk
must be completed (highlighted inyellow)
Use the pulldown menu tochoose from options A to C.
The party making the report(your company) usually
decides the Description of
Scope, but in some cases it isdecided by the customer.

DD-MMM-YYYY format
Example: 01-May-2020

A. Company
B. ProductApplies to ALL your company’s products
Applies only to SOME of your products→ Fill in the Product List Sheet (see next page)
C. User defined Applies within the scope defined by your company→ Specify the product scope in the “Description ofscope” field
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3. How to complete the CMRT:
3.1 Declaration Sheet Ⓐ Company Information
If you choose B. Product (or List of Products), the line “Go to Product List
tab to enter products this declaration applies to” will appear as below,
along with a “Click here” instruction under B. Product.

Clicking as instructed will take you to the Product List Sheet, where you
will fill in the manufacturer’s product number, etc. (details overleaf).

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3. How to complete the CMRT:

3.1 Declaration Sheet Ⓑ 3TG Use Status
For each question, choose the pulldown for each 3TG to answer. You do not need toanswer for any metal for which you answered “No” to Q1. If you answered “Yes” to Q1
but “No” to Q2, you don’t need to answer from Q3 onward.
1) Is any 3TG intentionally added or used in the product(s)or in the production process?
2) Does any 3TG remain in the product(s)?
3) Do any of the smelters in your supply chain source the
3TG from the covered countries?
4) Do any of the smelters in your supply chain source the
3TG from conflict-affected and high-risk areas? (newquestion)

5) Does 100 percent of the 3TG (necessary to the functionality
or production of your products) originate from recycled or
scrap sources?
6) What percentage of relevant suppliers have provided a
response to your supply chain survey?
7) Have you identified all of the smelters supplying the 3TG
to your supply chain?
8) Has all applicable smelter information received by yourcompany been reported in this declaration?
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3. How to complete the CMRT:

3.1 Declaration Sheet Ⓑ 3TG Use Status
1) Is any 3TG intentionally added or used in the product(s) or in the production
process?
Yes
No

Answer “Yes” if you intentionally add or use a 3TG because it is necessary to thefunctionality or production of a product, regardless of the amount.
Answer “No” if you do NOT intentionally add or use a 3TG, even if products include tracelevel 3TG contaminants.

※ If even one of the suppliers from which you have received a CMRT answers “Yes,” your answer here must also be “Yes.”※ If you answered “No,” no further answers are necessary as of Q2 (option grayed out).

Examples of metals necessary to the functionality or specifications of a product:
・ Products assembled from parts using gold or tungsten alloys
・ Tin used as a coating or synthetic resin additive
・ Stannane (a tin compound) used as a glass coating agent
Examples of metals necessary to production:
・ Stannane used as a catalyst (in other words, tin)・ Float glass tin
・ Tantalum compounds, etc., used as welding rods
Exclusions:
・ Production equipment is excluded because no 3TGs remain in the finishedproduct. Tungsten carbide blades and drill bits used for cutting are production
equipment and are therefore excluded.
・ Packaging materials are not used as products by final customers and are
therefore excluded.

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3. How to complete the CMRT:

3.1 Declaration Sheet Ⓑ 3TG Use Status
2) Does any 3TG remain in the product(s)?
YesNo

If the 3TG remains in the product
If the 3TG does not remain in the product※ If even one of the suppliers from which you have received a CMRT answers “Yes” in relation to
any of the 3TGs, your answer here must also be “Yes.”※ If you answered “Yes,” you must fill in the Smelter List Sheet.
※ If you answered “No,” no further answers are necessary as of Q3 (option grayed out).

If a 3TG is added because it is necessary to the functionality or specifications ofa product, it will obviously remain in the product, so you should answer “Yes.”
If 3TGs such as tin used as a catalyst in the production process, float glass tin,
and tantalum used as welding rod, remain in the product, the answer should
be “Yes.”20/51

3. How to complete the CMRT:

3.1 Declaration Sheet Ⓑ 3TG Use Status
3) Do any of the smelters in your supply chain source the 3TG from the Covered
Countries?
Yes
No
Unknown

If any of the smelters in your supply chain sources from Covered Countries
If none of the smelters in your supply chain sources from Covered Countries
If it is unclear whether smelters in your supply chain source from Covered Countries※ If even one of the suppliers from which you have received a CMRT answers “Yes” in relation to any of the 3TGs, your answer
here must also be “Yes.”※ Covered countries: DRC and the nine adjoining countries

Substantiate a “Yes” answer in the Comments section.
For example, if you know the smelter name and CID number, this can be used to determine thesmelter’s third-party certification status. If you also know the country of origin, an RCOI
(Reasonable Country of Origin Inquiry) can be undertaken.
If you have received a CMRT with a “Yes” answer to Question 3 with no substantiation in theComments section, please ask for specific information to be added.
ExamplesMust be completed

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3. How to complete the CMRT:

3.1 Declaration Sheet Ⓑ 3TG Use Status
4) Do any of the smelters in your supply chain source from conflict-affected and high-riskareas?
Yes

No
Unknown :If even one of the suppliers from which you have received a CMRT sources from the
CAHRAsThe RMI stipulates that CAHRAs shall include, at a minimum, the Covered Countries,
so if you answered “Yes” to Question 3, you should also answer “Yes” here.
If none of the smelters in your supply chain source from CAHRAs
If it unclear whether they source from CAHRAs(Until the EU releases a specific list of CAHRAs, unless the answer to Question 3 is“Yes,” it is considered reasonable to answer “Unknown” here.)※ If even one of the suppliers from which you have received a CMRT answers “Yes” in relation to any of the
3TGs, your answer here must also be “Yes.”※ CAHRAs: Conflict-Affected and High-Risk Areas

Substantiate a “Yes” answer in the Comments section.
For example, if you know the smelter name and CID number, this can be used to determine
the smelter’s third-party certification status, and if you also know the country of origin, an
RCOI (Reasonable Country of Origin Inquiry) can be undertaken.
If you have received a CMRT with a “Yes” answer to Question 4 with no substantiation in theComments section, please ask for specific information to be added.
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3. How to complete the CMRT:

3.1 Declaration Sheet Ⓑ 3TG Use Status
5) Does 100 percent of the 3TG (necessary to the functionality or production of yourproducts) originate from recycled or scrap sources?

Yes
If 100% of the 3TG comes from recycled or scrap sourcesNo
If some of the 3TG comes from natural (mined) resources
Unknown Unclear whether 100% of the 3TG comes from recycled or
scrap sources※ If even one of the suppliers from which you have received a CMRT answers“No” in relation to any of the 3TGs, your answer here must also be “No.”
If they all answer “Yes,” your answer will be “Yes.”

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3. How to complete the CMRT:

3.1 Declaration Sheet Ⓑ 3TG Use Status
6) What percentage of relevant suppliers have provided a response to your supply chain
survey?
Choose one of the following options according to the percentage of conflictmineral disclosures received from all direct suppliers.
-

100％
Greater than 90%
Greater than 75%
Greater than 50%
50% or less
None
※ Regardless of CMRT Question 6 answers received from suppliers

Suppliers excluded from the scope of the CMRT• Suppliers of equipment, tools, consumables, and other products outside thescope of the CMRT• Suppliers of parts and materials which clearly do not contain 3TGs
Note: Surveys must be continued until the response rate is 100%.

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3. How to complete the CMRT:

3.1 Declaration Sheet Ⓑ 3TG Use Status7) Have you identified all of the smelters supplying the 3TG to your supply chain?

YesNo

If you have identified all of these smelters
If you have not identified even one supplier supplying the 3TG to yoursupply chain

You can only answer “Yes” if you meet all four of the conditions below:① You have received CMRTs from all the relevant suppliers (=your answer to
Q6 was 100%).
② The answer to Q6 in all the CMRTs you received was 100%.
③ The answer to Q7 in all the CMRTs you received was “Yes.”④ The answer to Q8 in all the CMRTs you received was “Yes.”※ If you answered “No” to this question (i.e., you cannot identify all of therelevant smelters), you may be asked by customers to work toward being able togive a “Yes” answer, and to give a timeframe for that.
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3. How to complete the CMRT:
3.1 Declaration Sheet Ⓑ 3TG Use Status8) Has all applicable smelter information received by your company been reported in thisdeclaration?

Yes
No

You have reported all applicable smelter information
received by your company
You have not reported some of the applicable smelter
information received by your company※ Unrelated to Question 8 answers to received from suppliers

The answer will usually be “Yes,” but it may be “No” if you have notreported all the applicable information because of an obligation toprotect supplier confidentiality, etc.

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3. How to complete the CMRT:
3.1 Declaration Sheet Ⓒ Policies and Actions
Choose the pulldown to answer each of the eightquestions on your company’s policies and actions
in relation to responsible minerals sourcing.

A. Have you established a responsible minerals sourcing
policy?
B. Is your responsible minerals sourcing policy publicly
available on your website?
C. Do you require your direct suppliers to be DRC conflict-free?
（@Rev.5.12)

C. Do you require your direct suppliers to source the 3TGfrom smelters whose due diligence practices have beenvalidated by an independent third party audit program?
D. Have you implemented due diligence measures forresponsible sourcing?
E. Does your company conduct Conflict Minerals survey(s)of your relevant supplier(s)?
F. Do you review due diligence information received fromyour suppliers against your company’s expectations?
Question C from Rev. 5.12 has been
deleted. Changes are marked in red.
Unrelated to disclosures received
from suppliers

G. Does your review process include corrective action
management?
H. Is your company required to file an annual conflictminerals disclosure?（“with the SEC” deleted. Change
option.）27/51

3. How to complete the CMRT:

3.1 Declaration Sheet Ⓒ Policies and Actions
A. Have you established a responsible minerals sourcing policy?
YesNo

If your company has established a responsible minerals sourcing policy
If your company has NOT established a responsible minerals sourcing
policyTo answer “Yes,” your responsible minerals sourcing policy must cover
all the elements below and at a minimum include those items inbrackets.
＊ Metals covered (3TG)＊ Risks covered (OECD Annex II risk)＊ Regions covered (CAHRAs)＊ Response when a risk is identified
B. Is your responsible minerals sourcing policy publicly available on your website?
(Note – If yes, the user shall specify the URL in the comment field.)
YesNo

If your responsible minerals sourcing policy is publicly available on your website
If you have no website or your responsible minerals sourcing policy is not
up on your website
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3. How to complete the CMRT:

3.1 Declaration Sheet Ⓒ Policies and Actions
C. Do you require your direct suppliers to source the 3TG from smelters whose due diligencepractices have been validated by an independent third party audit program?
YesNo

If, in the form of your company’s policies, a written sourcing request, oran e-mail request, etc., you require your direct suppliers to source fromsmelters whose due diligence practices have been validated by anindependent third party audit program
If you do not require this from or clearly indicate this to your direct(primary) suppliers.

＊ Independent third party audit programs include the following:

London Bullion Market Association (LBMA), Responsible Jewellery Council (RJC)

Some customers press for all smelters in the supply chain to be RMAP
conformant and strongly urge for any smelters that fail to do so to be removed
from the supply chain.
If the CMRTs you receive from suppliers note non-RMAP conformant smelters,
we recommend going through the supply chain to notify these smelters of theabove and urge them to acquire conformant status.
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3. How to complete the CMRT:
3.1 Declaration Sheet Ⓒ Policies and Actions
D. Have you implemented due diligence measures for responsible sourcing?
Yes If you have implemented due diligence measures such as the examples below
No If you have not implemented due diligence measures
Examples of measures:・ Highlighting and assessing risks from CMRTs received from suppliers⇒ E.g., ranking rates of receipt of CMRTs and the precision of smelter list
information, etc.
・ Creating and implementing strategies for dealing with identified risks⇒ E.g., determining and implementing action rules based on the status of
responses to Questions A-H.
・ Prior written confirmation and agreement with suppliers on actions that will betaken when a connection with armed groups is identified.
※ Due diligence = Risk assessment
Activities to make the supply chain transparent, check the origin of raw materials for thevarious types of risk noted earlier, check for violations, and correct any problems that arefound.
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3. How to complete the CMRT:

3.1 Declaration Sheet Ⓒ Policies and Actions
E. Does your company conduct Conflict Minerals survey(s) of your relevant supplier(s)?

Yes (IPC-1755)
Yes (other format)No

If you conduct conflict minerals surveys of your relevant
suppliers using the CMRT format
If you conduct conflict minerals surveys of your relevant
suppliers in a format other than the CMRT (describe in
the Comments field)
If you do not collect conflict minerals due diligence
information from your suppliers※ IPC-1755: A standard establishing the requirements for exchanging
data between suppliers and their customers in regard
to the responsible sourcing of minerals

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3. How to complete the CMRT:

3.1 Declaration Sheet Ⓒ Policies and Actions
F. Do you review due diligence information received from your suppliers against yourcompany’s expectations?
Yes If you have a process for reviewing CMRTs (due diligence information) received
from suppliers
No If you do not review CMRTs (due diligence information) received from suppliers
Review process examples:
・ Review the accuracy and completeness of supplier CMRTs.
・ Review whether suppliers have a responsible minerals sourcing policy based on
their responses to Questions C-H.
・ Assess the certification status of smelters on the Smelter List.
✓ Point:
It is important not just to collect supplier responses but to check the content of the
responses received. If you think there is a risk, you should go back up the supply chain or
use the Internet to check this.
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3. How to complete the CMRT:

3.1 Declaration Sheet Ⓒ Policies and Actions
G. Does your review process include corrective action management?

Yes If you have the kind of corrective action management process noted belowNo

If you don’t have a corrective action management process

Examples of corrective action management:
・ If a supplier does not have a responsible minerals sourcing policy, encouraging
them to develop one.
・ If a smelter on the Smelter List is not RMAP-conformant, go up the supply chain
to encourage them to ask for an RMAP audit.
・ If a supplier scores poorly in your CMRT review process as noted in Question F,
ask the supplier to address those issues.

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3. How to complete the CMRT:

3.1 Declaration Sheet Ⓒ Policies and Actions
H. Is your company required to file an annual conflict minerals disclosure?

Yes, with the SEC

If you are listed on the SEC (US Securities andExchange Commission)
Yes, with the EU
If your company falls within the scope of the
EU Conflict Mineral Regulation
Yes, with the SEC and EU If you are required to report to both the SEC
and the EUNo
If you are required to report to neither

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3. How to complete the CMRT:

3.2 Smelter List Sheet ーStructureーOn the Smelter List, you enter information on all smelters in your supply chain. The sheet
comprises 17 items.

1 2

3

4

5

6

7

8

9

1. Smelter Identification Number Input
Field
2. Metal (*)
3. Smelter Look-Up (*)
4. Smelter Name (1)5. Smelter Country (*)
6. Smelter Identification
7. Source of Smelter Identification
Number
8. Smelter Street
9. Smelter City

10

11

12

13

14

15

16

17

10. Smelter Facility Location: State / Province
11. Smelter Contact Name
12. Smelter Contact Email13. Proposed next steps
14. Name of Mine(s) or if recycled or scrap sourced,
enter "recycled" or "scrap"
15. Location (Country) of Mine(s) or if recycled or
scrap sourced, enter "recycled" or "scrap"
16. Does 100% of the smelter’s feedstock originate
from recycled or scrap sources?
17. Comments(*) Compulsory fields
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3. How to complete the CMRT:

3.2 Smelter List Sheet ーPreparationーBefore filling in the Smelter List, please make the following preparations: List all the smelters from which you have received CMRTs
 Use CID numbers, etc., to remove duplications (name identification)
 If your list containers non-SSN smelters without CID numbers, check on their website,
etc., that they really are operating smelters (due diligence) Delete trading companies and other businesses which are clearly not smelters

In some cases, smelters that were SSNs may have become non-SSNs. For
example, they may have:• Ceased to operate as a smelter• Amalgamated with another smelter• Been discovered not to be a smelter
The SSNs on the Smelter Look-up Sheet are as at the time of CMRT issuance, andthere are some cases where the RMI has subsequently recognized a smelter as an
SSN and given it a CID number (you can check this on the RMI website). Even inthese cases, for the purposes of this CMRT, the smelter will be deemed “Smelter not
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3. How to complete the CMRT:

3.2 Smelter List Sheet ーData Entryー① If you already know the CID number
When you enter the CID number into Field A, Fields B, C, E, F, G, I, and J will be
automatically populated.
We recommend copying and pasting CID numbers into Field A.

Enter the CID number here

Fields B, C, E, F, G, I, and J will be populated automatically

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3. How to complete the CMRT:
3.2 Smelter List Sheet ーData Entryー② If you don’t know the CID number
If you select a metal in Field B and chose the appropriate smelter name in Field C, Fields E,
F, G, I, and J will be populated automatically.
You can also copy and paste into Fields B and C, but if the data in Field C does not exactly
match the data in the Smelter Look-up field on the Smelter Look-up Sheet, Fields E, F, G, I,
and J will not be populated automatically even if it is the right SSN (CID number).
③ If there is no selection option in Field C (non-SSN smelter)
Once you have selected the metal in Field B, select “Smelter not listed” in Field C, andenter the smelter name in Field D and the smelter country in Field E. All these fields arecompulsory, but please also populate Fields H-P to the best of your ability.
④ If you cannot identify the smelter
Select the metal in Field B and chose “Smelter not yet identified” in Field C.

②
③
④

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3. How to complete the CMRT:

3.2 Smelter List Sheet ーData EntryーIf your Declaration Scope or Class is B. Product (or List of Products), youmust complete the Product List.

Manufacturer’s Product Number (compulsory): Enter the product numbers for the relevant products
Manufacturer’s Product Name: Enter the product nameComments: Enter comments where necessary

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3. How to complete the CMRT:

3.4 Checker Sheet

After completing the Declaration Sheet, Smelter List Sheet, and Product List Sheet,please use the Checker Sheet to check that you have populated all the necessary fields.

③
Complete→②
Incomplete→①① Select Checker Sheet to confirm your data entry.
② Areas in green are complete; areas in red are incomplete.
③ When the “Required fields remaining to be completed” value is 0, yourdata entry is complete.
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4. RMI Website: Outline
 RMI Home Page

http://www.responsiblemineralsinitiative.org/
 Here you can access the following information (as at 13 May 2020)① The latest version of the CMRT
② List of SSNs (Standard Smelter Names) and their conformancestatusa. Download all SSNs
b. SSN revision historyc. Download only Conformant Smelters or Active Smelters
d. Smelters covered under the Extended Corrective Action Plan
(ECAP)
e. Conformant Smelters conformance standards③ Meaning of RMAP audit status terminology
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4. RMI Website: Outline
👆(1) Select REPORTING TEMPLATES from the tabat the top of the page and choose CMRT fromthe dropdown menu.

(2) The first time you access the page, read theTerms & Conditions and agree by clicking I accept
at the bottom.
(3) Click Download CMRT.
･･･

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4. RMI Website: CMRT Template Download＜CMRT download＞
If you scroll down from the top page and click
Download the CMRT Template, you will be taken
to the relevant page, where you will click
Download CMRT.

･･･

Scroll down

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4. RMI Website: SSN② SSN list and revision history②(a) Download all SSNs

(1) Select ASSURANCE PROCESS from the top menu on
the main page, then select Smelter & Refiners from thedropdown menu, then Export-3TG Smelter Reference List
from that dropdown menu.

(2) When 3TG Standard Smelter List comes up, click Download Data.
The most recent SSN list will appear, but
this does not specify whether smelters
are conformant or active.

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4. RMI Website: SSN② SSN list and revisions history② (b) SSN revisions history(1) Select ASSURANCE PROCESS from the top menu on
the main page, then select Smelter & Refiners from thedropdown menu, then Export-3TG Smelter Reference List
from that dropdown menu.

(2) If you scroll to the bottom, you will see Revisions History. Click
Download Data.

The revisions history shows the reason for the revision and the date for smelters
whose status has been revised (deleted, amended, etc.) but not the date on
which smelters were added to the SSN list.

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4. RMI Website: SSN② SSN list and revisions history② (c) Download those SSNs which are Conformant Smelters or Active Smelters

Active→Conformant→(1) Select ASSURANCE PROCESS from the top menu
on the main page, then select Smelter & Refiners
from the dropdown menu, then Export-All Active
Smelters or Export-All Conformant Smelters fromthat dropdown menu.

(2) When the smelter list you have chosen appears, click Download Data.
If you chose
Conformant List →If you chose
Active List →46/51

4. RMI Website: SSN② SSN list and revisions history② (d) Checking smelters registered for an Extended Corrective Action Plan (ECAP)(1) Select ASSURANCE PROCESS from the top menu
on the main page, then select Extended Corrective
Action Plan from the dropdown menu.

(2) If a smelter is ECAP-registered, it will
display like this.
ECAP registration indicates that a smelter has failed
its RMAP assessment but is working to regain
conformant status.

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4. RMI Website: RMI standards② (e) How to check RMI standards for Conformant Smelters(1) Select ASSURANCE PROCESS from the top
menu on the main page, then select Smelter &Refiners from the dropdown menu and the metal
you want to check from that dropdown menu. (Inthis example we have used tin.)

Exampleof tin(2) From Conformant Tin Smelters, click View
Conformant Tin Smelters.

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4. RMI Website: RMI standards(3) Choose from the list the smelter that you want to check and click
Link to get to the ASSESSMENT SUMMARY REPORT.
Exampleof Tin※ “Link” appears only for thosesmelters for which there is a report(4) If you open the Link file, you can search ASSESSMENTOBJECTIVES to check the revision (year).
Example of2017 standard

Example of2013 standard

The 2017 standard responds toOECD ANNEXⅡ risks

The 2013 standard responds to the
DRC-related armed group risk

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4. RMI Website: Terminology Explanation③ RMAP status terminology

www.responsiblemineralsinitiative.org/members/database-field-definitions/

StatusConformant

Description
Audited and found conformant with the relevant RMAP
standard

ECAP

Extended Corrective Action Plan

ActiveEngaged in the program but not yet conformant

In Communication

Not yet active but in communication with RMAP and/or
member company

Outreach Required

Outreach needed by RMI member companies to contact
entity and encourage their participation in RMAP audit

Non-Conformant
Eligible
Not Applicable

Audited but found not conformant with the relevant RMAP
standard
Meets the definition of a smelter/refiner; included in the
CMRT Standard Smelter List
Not eligible for the RMAP
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Annex: Conflict Mineral Survey Abbreviations
Abbreviation

3TG
ASM
CAHRAs
CCCMC
CI
CMRT
CRT
DD
DFA
DRC
ECAP
GeSI
IPC
iTSCi
ITU
LBMA
LME
LSM
OECD
OFAC
RBA
RCI
RCOI

EnglishTantalum, Tin, Tungsten, Gold
Artisanal and Small-scale Mining
Conflict-Affected and High-Risk Areas
China Chamber of Commerce for Importers & Exporters for Minerals, Metals & Chemicals

Cobalt Institute
Conflict Minerals Reporting Template
Cobalt Reporting Template
Due Diligence
Dodd–Frank Wall Street Reform and Consumer Protection Act
Democratic Republic of the Congo
Extended Corrective Action Plan
Global e-Sustainability Initiative
Association Connecting Electronics Industries
IRTI Tin Supply Chain Initiative
International Telecommunication Union
London Bullion Market Association
The London Metal Exchange
Large-Scale Mining
Organisation for Economic Co-operation and Development
Office of Foreign Assets Control
Responsible Business Alliance (changed from EICC)
Responsible Cobalt Initiative
Reasonable Country of Origin Inquiry

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