Updated June 25, 2024

How to complete the Extended Minerals
Reporting Template “EMRT”
EMRT Rev. 1.3
How to complete the Extended Minerals
July 2024
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 on RMI templates for responsible mineral sourcing
is as recent and accurate as possible, but please be aware that this will not always be the case.

Table of Contents
1. What is the EMRT
1.1 What is the EMRT?
1.2 Comparison with the CMRT
<Reference>
2. Background of survey andsupply chains
2.1 Cobalt
2.2 Mica
３. OECD Annex Ⅱ Risk

2

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４．Conflict-Affected and High-Risk
Areas (CAHRAs)
4.1 Definition of CAHRAs in OECD
4.2 CAHRAs in EU Regulations
4.3 Definition in the EMRT
５．EMRT Rev. 1.3 Outline andChanges
６．How to complete the EMRT
6.1 Declaration Sheet
6.2 Smelter List Sheet
6.3 Product List Sheet
6.4 Checker Sheet１． What is the EMRT?

3© 2024 JEITA

1.1 What is the EMRT?
◆ The EMRT#1 is a template developed by the RMI to facilitate the transfer of
information through the supply chain regarding country of origin of minerals
used in products, and the smelters, refiners and processors being utilized.
It is also a tool that supports the exercise of due diligence by companies inaccordance with the OECD Due Diligence Guidance for Responsible Supply
Chains of Minerals from Conflict-Affected and High-Risk Areas (CAHRAs#2).
#1 EMRT stands for Extended Minerals Reporting Template#2 As for details of CAHRAs, please refer to P.17
◆ Currently, minerals covered by the EMRT are cobalt and natural mica (as of June2024).
◆ The EMRT was released in October 2021 by RMI. The current version is Rev.1.3(as of June 2024).
◆ By the release of the EMRT, the existing CRT (the template for reporting cobalt)
and MRT (the template for reporting mica) were deleted from RMI website in
the end of March 2022.
4© 2024 JEITA

1.2 Comparison with the CMRT ＜Reference＞
Item

CMRT Rev. 6.4

EMRT Rev. 1.3

Background/law

US DFA Section 1502

EU Conflict Minerals
Regulation

No compliance requirement
Growing international interest in
human rights issues, etc.

Issuance
date

Applied as of August
2012

Applied as of January
2021

NA

Subject ofregulations

US listed companies

Companies importing
minerals into the EU

NA

Minerals
coveredConflict minerals (3TG): Refers to the following 4
minerals (without regard to its origin)
Tantalum, Tin, Tungsten, Gold

CobaltMica (Natural Mica)

Risks
coveredSource of funds forarmed groupsOECD Annex II Risks

OECD Annex II Risks

Regions
covered

Democratic Republic of
the Congo (DRC) and thenine adjoining countries

CAHRAs(Conflict-Affected andHigh-Risk Areas)

CAHRAs(Conflict-Affected and High-Risk
Areas)

5© 2024 JEITA

２. Background of survey and supply chains6© 2024 JEITA

2.1 Cobalt: Risks
CobaltPrimary use:

Batteries, automobiles, metallic alloys, magnets, paints, etc.
Especially demands for lithium-ion batteries used in PCs,
smart phones, EVs, etc. is expected to continue to grow, andcobalt will attract attention as needs for cobalt used in suchbatteries will also grow.

Principal country of origin: The Democratic Republic of the Congo (DRC)（At least 70% of global production, and at least 50% of theworld’s cobalt reserves)
Issues of concern: Child labor and unsafe working conditions at mining sites
Please visit RMI’s Material Insights for details
Material Insights: https://www.material-insights.org/material/cobalt/
7© 2024 JEITA

2.1 Cobalt: Supply chain
CobaltA cobalt smelter/refiner is defined as an entity that processes cobalt concentrates, intermediates,or recycled feed and produces cobalt products for direct use in a downstream manufacturing
process. Downstream manufactures need to conduct surveys right back up their supply chains,
going as far back as to the smelters/refiners.
Crude refiners close to mines that refine metals from ore have recently begun receiving RMAP*
assessments, and are beginning to appear on the Conformant and Active Smelter list.
(The cobalt industry and RMI use “Smelter” and “Refiner” interchangeably)
Recycled feed

Ore

Mine

Cobalt concentrates &intermediates

Cobalt smelter(Crude Refiner)

＠In DRC, Indonesia, etc.

Cobalt products

Cobalt refiner(Smelter/Refiner)
＠In China, etc.

＊RMAP is RMI’s Responsible Minerals Assurance Process

Downstream
company◆ Cobalt intermediates:
Partially refined hydroxides,
carbonates, metals, etc.
◆ Recycled feed:Industrial
scrap and scrap fromconsumer goods scrap, etc.
◆ Cobalt products:
Electrical cobalt, cobalt
sulfate, cobalt briquettes,
cobalt powder, etc.

2.1 Cobalt: SSN status
CobaltNumber of smelters recognized as Standard Smelter Names by RMI
and their conformant status (Does not cover all smelters in the world)
Comparison of the status as of May 2023 and May 2024
SSN Total

Conformant (Certified)84(11)→ 100(7)37(4) → 46(4)Conformant ratio 44%
Active (Scheduled for assessment)

11(2) → 18(0)（ ） number of Crude Refiners

Assessments are running behind schedule due to the COVID-19 pandemic.
For current information about conformant status, please check the following:https://www.responsiblemineralsinitiative.org/cobalt-refiners-list/

2.2 Mica: Risks
Mica
Primary use:

Electrical Insulators in electrical products, insulating
materials, paints etc.

Principal country of origin: China(produces approx. 30% of global
production), Finland, US, India, Madagascar
Issues of concern: Child labor and unsafe working conditions at mining
sites of India and Madagascar that together produces
approx. 12% of global production

Please visit RMI’s Material Insights for details
Material Insights: https://www.material-insights.org/material/mica/10© 2024 JEITA

2.2 Mica: Supply Chain
Mica
Mica consists of 2 types: natural mica and synthetic mica. Only information on natural
mica is required in the EMRT.
Mica processors separate ores including mica taken from mines into non-micacomponents and mica components by various physical or mechanical methods.
Downstream companies are required to identify the processors.
Ore

Mine

Grounded and sorted
mica components

Mica Processor

＠ China, Finland, US,
India, Madagascar, etc.
11

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Products

Mica material
manufacturer

Downstream
companies2.2 Mica: SSN Status
Mica
Number of smelters recognized as Standard Smelter Names (in the case ofMica, Processors) ※ by RMI (Does not cover all smelters in the world)※ “Kakogyousha” described in the EMRT is equivalent to processors.

Comparison of the status as of May 2023 and May 2024

SSN Total

25 → 30

Conformant (Certified) 0 → 0
Conformant ratio 0%

Active (Scheduled for assessment)
4→ 5

Assessments are running behind schedule due to the COVID-19 pandemic.
For current information about conformant status, please check the following:https://www.responsiblemineralsinitiative.org/mica-processors-list/

３．OECD Annex Ⅱ Risk

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3. OECD Annex Ⅱ Risks
OECD Annex II Risks:Those risks defined in Annex II of the “Due Diligence Guidance for
Responsible Supply Chains of Minerals from Conflict-Affected andHigh-Risk Areas ” #1 issued by OECD
OECD Annex II Risk:

1. Serious abuses associated with the extraction, transport or tradeof minerals (child labor, etc.)
2. Direct or indirect support to non-state armed groups
3. Illegal acts by public or private security forces (protection
money)
4. Bribery and fraudulent representation of the origin of minerals
5. Money laundering
6. Payment of taxes, fees and royalties due to governments (taxevasion)#1 Available for download from MOFA website (Version 3, provisional translation)

https://www.mofa.go.jp/mofaj/gaiko/csr/housin.html
Please be aware that, on OECD website, the English (official) edition is updated to the current
version 3, but the Japanese translation is still of version 1 (as of June 14, 2024)
14© 2024 JEITA

４．Conflict-Affected and High-Risk Areas(CAHRAs)15© 2024 JEITA

4.1 Definition of CAHRAｓ in OECD
OECD’s definition of 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 conflict may take a variety of forms, such as a conflict of internationalor 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 andwidespread violence. Such areas are often characterized by widespread
human rights abuses and violations of national or international law.
#1 CAHRAs: Conflict-Affected and High-Risk Areas16© 2024 JEITA

4.2 CAHRAs in the EU Regulations
EU definition of CAHRAs are countries/areas that are(1) in a state of armed conflict, fragile post-conflict areas; or(2) witnessing weak or non-existing governance and security, such as failed states,
and widespread and systematic violations of international law, including humanrights abuses
The 1st version of the CAHRAs list was released on Dec. 17. 2020
https://www.cahraslist.net/cahras

Release of subsequent revised lists. Egypt and Chad removed, CAHRAs’ designatedcountries/areas (Mar. 2024 ver.): 26 countries, 284 areas.
Democratic Republic of Congo, Central African Republic, Burundi, South Sudan,
Afghanistan, Yemen, India, Ukraine, Ethiopia, Eritrea, Cameroon, Colombia,
Zimbabwe, Sudan, Somalia, Turkey, Nigeria, Niger, Pakistan, Philippines,
Burkina Faso, Venezuela, Mali, Myanmar, Mozambique, Libya(countries or areas of the above)17© 2024 JEITA

4.3 Definition in the EMRTEMRT’s definition of CAHRAs
RMI defines CAHRAs as countries/areas identified by each company, taking into
consideration CAHRAs definition in OECD, the EU Conflict Minerals Regulation, etc.
Please refer to the following website when identifying CAHRAs.
◆Conflict Affected and High-Risk Areas (CAHRAs) (RMI)
Indicates procedure guidance and information sources to identify CAHRAs
http://www.responsiblemineralsinitiative.org/minerals-due-diligence/risk-management/conflictaffected-and-high-risk-areas/◆Guidelines for the identification of CAHRAs and other supply chain risks under
Regulation (EU) 2017/821 of the European Parliament and of the Council basedon the EU Conflict Minerals Regulation (issued Aug. 10. 2018)https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX:32018H1149
18© 2024 JEITA

５. EMRT Rev. 1.3 Outline and Changes

19© 2024 JEITA

5. EMRT Rev. 1.3 Outline: Structure
The EMRT comprises an Excel file with 8 sheets
Instruction, Revision, Definitions, Declaration, Smelter List, Checker, Product List, Smelter Look-up（The role of each sheet will be explained on the next page)You need to fill in THREE sheets: Declaration, Smelter List, and Product List

Choose language20© 2024 JEITA

Confirm revision

5. EMRT Rev. 1.3 Outline: Role of Each Sheet
Role of each sheet• Instruction:
Explanation on background and how to fill in the sheet• Revision:
Record of revisions• Definitions:Definitions of terminology• Declaration
Company Information (Q1-7 and A-G <REQUIRED>• Smelter List:
List of smelters (refiners)<WHERE NECESSARY#1>• Checker:
Checks whether all necessary information has been filled in<CHECK REQUIRED#2 >• Product List:
List of target products< WHERE NECESSARY#3>• Smelter Look-up: List of smelters (refiners)#4(List of smelters (refiners) at the time of EMRT issuance)
Notes:#1 Fill in for minerals to which you responded “Yes” in Q2 of “Declaration”#2 Fill in any areas marked in red on the Checker Sheet#3 Fill in where the scope is “B: Product”#4 This is a list of smelters at the time of EMRT issuance.
The latest list can be found on the RMI website.
※ Please read “Instructions” and “Definitions” before filling in the form.
21© 2024 JEITA

5. EMRT Rev.1.3 (2024 version): Changes■EMRT（Extended Minerals Reporting Template)：
Oct. 20, 2021: Release of 1st version (Rev1.0)
May 12, 2023: Release of Revision (Rev.1.2)
Apr. 26, 2024: Release of Revision (Rev.1.3)

Only minor revisions (bug and error fixes and update of Smelters’
information in the Smelter Look-up sheet) were made and no revisions
that may have impact on the practice of survey were made
EMRT entry guide (English version & Japanese version) is available on RMI’s website(E)https://www.responsiblemineralsinitiative.org/media/docs/EMRT%201.0%20Completion%20Guide_Jun012022.pdf(J)https://www.responsiblemineralsinitiative.org/media/docs/EMRT%201.0%20Completion%20Guide_Jun012022_JPN.pdf

Covered Minerals: Cobalt/Natural Mica ＊・ ”Not applicable for this declaration” was added to the answer options of Q1, and it became possible to answer
only for either cobalt or natural mica (necessary to confirm covered minerals beforehand with customers)*There are 2 types of mica, natural mica and synthetic mica. Synthetic mica is not covered by this survey.
Natural mica: A mineral that is mined or naturally occurring, such as muscovite and phlogopite.
Synthetic mica (Fluorophlogopite): A man-made material composed of such materials as magnesium, aluminum, and silicon22© 2024 JEITA

６．How to complete the EMRT

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6.1 How to Complete the EMRT: Declaration Sheet - Composition The Declaration Sheet iscomposed of three blocks

Ⓐ

Ⓑ

Ⓒ
24

Ⓐ Questions related to yourcompany’s company
information(14 questions)Ⓑ Questions related to the status ofyour cobalt/natural mica use(summary of primary supplierinformation)(7 questions)Ⓒ Questions related to yourResponsible Sourcing
Procurement policies and actions(7 questions)6.1 How to Complete the EMRT: Declaration SheetⒶ Company Information

All items marked with an asterisk (*) must becompleted (highlighted in yellow)
Use the pulldown menu to choose from options
A to C. The party making the report (yourcompany) usually decides the “Description of
Scope”, but in some cases it is decided by thecustomer.
Note: If you intend to send the Supplier’s
Declaration Sheet to your client company, youmust take proactive measures (such as obtaining
the supplier’s permission) because sharing
contact information of individuals stated in the
Sheet may violate Private Information Protection
Law in countries that have such law.
DD-MMM-YYYY format
Example: 01-May-2024

A. Company:
B. Product:
C. User defined:

25© 2024 JEITA

Applies to ALL your company’s products
Applies only to SOME of your products→ Fill in the Product List Sheet (see next page)
Applies within the Product Scope defined by your company→ Specify the product scope in the “Description of Scope” field6.1 How to Complete the EMRT: 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. Please fill in a
number recognizable by both the customer and supplier (e.g. a number
specified in the exchanged purchase/delivery specification) or product name26

© 2024 JEITA

6.1 How to Complete the EMRT: Declaration Sheet Ⓑ Cobalt/Mica Use Status
Answer each question using the pulldown menu. If you answered “No” or “Not applicable for thisdeclaration”to Q1, you don’t need to respond from Q2 onward.
1) Is any of the cobalt or natural mica intentionally added or used in
the product(s) or in the production process?（*）2) Does any cobalt or natural mica remain in the product(s)?
3) Do any of the smelters or processors in your supply chain source
the cobalt or natural mica from conflict-affected and high-riskareas?
4) Does 100 percent of the cobalt originate from recycled or scrap
sources?
5) What percentage of relevant suppliers have provided a response
to your supply chain survey?
6) Have you identified all of the smelters or processors supplying
the cobalt or natural mica to your supply chain?
7) Has all applicable smelter or processor information received byyour company been reported in this declaration?
27© 2024 JEITA

6.1 How to Complete the EMRT: Declaration Sheet Ⓑ Cobalt/Mica Use Status
1)

Is any of the cobalt or natural mica intentionally added or used in the product(s) or in the
production process?

Answer for each mineral

Yes: Answer “Yes” if cobalt or natural mica has been intentionally added or used because it is necessary to thefunctionality, specifications, or production of a product
No: Answer “No” if cobalt or natural mica has not been intentionally added or used, even if products include
trace-level cobalt contaminants
Unknown: If you don’t know whether cobalt or natural mica has been intentionally added or used, answer“Unknown”
Not applicable for this declaration: Select only if the use of cobalt or natural mica is not in scope of thedeclaration(Necessary to confirm the covered minerals beforehand with customers, etc.)
1. If even one of the EMRTs you have collected from suppliers answers “Yes”, your answer here must also be“Yes.”
2. If all of the EMRTs you have collected from suppliers answer “No”, your answer will be “No.”3. In cases other than the above, answer “Unknown.”
4. If the use of cobalt or mica is not in scope of this declaration select “Not applicable for this declaration”

If you answered “Yes” to Q1, you are required to answer from Q2 onward.
28© 2024 JEITA

6.1 How to Complete the EMRT: Declaration Sheet Ⓑ Cobalt/Mica Use Status
2) Does any cobalt or natural mica remain in the product(s)?

Answer for each mineral

Yes: If cobalt or natural mica remains in the product
No: If cobalt or natural mica does not remain in the productUnknown: If you don’t know whether cobalt or natural remains in the product1. If even one of the suppliers from which you have received an EMRT answers “Yes, your answer here mustalso be “Yes.”
2. If you answered “Yes”, you must fill in the Smelter List Sheet.
3. If you answer “No” or “Unknown” no further answers are necessary from Q3 onward (option grayed out).
If cobalt or natural mica is added because it is necessary to the specifications or functionality, it will
obviously remain in the product, so you should answer “Yes”.
If cobalt or natural mica used in the production process remain in the product, the answer should be “Yes”

If you answered “Yes” to Q2, you must also answer Questions 3-7 and A-G.
29

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6.1 How to Complete the EMRT: Declaration Sheet Ⓑ Cobalt/Mica Use Status3 ) Do any of the smelters in your supply chain source the cobalt or natural mica from a
Conflict-Affected or High-Risk Area?
Answer for each mineral (Note: options
are different for cobalt and mica)

Answer for Cobalt
マイカ（雲母）の回答

Conflict-Affected or High-Risk Area:
CAHRAsYes: If any of the smelters in your supply chain sources from a
CAHRA (describe in Comments field)
No: If none of the smelters in your supply chain sources from a
CAHRA
Unknown: If it is unclear whether smelters in your supply chain
source from a CAHRA
DRC only: If your smelters source only from the DRC※ If even one of the suppliers from which you have received an EMRT
answers “Yes”, your answer here must also be “Yes”. If not all
smelters are identifiable, that is, if your answer in Question 6 is“No”, than your answer here must be “Unknown”

30© 2024 JEITA

If there is a broad range of answers in the
EMRTs you have collected, use the Comments
field as shown on the right.

Combination Cases of EMRTs Collected

Yes

No

Unknown DRC only Answer

○

○

○

○

○

○

○

○

○
○
○

○

○

○

including DRC○

Yes

including DRC○

Yes

including DRC

Yes
Yes

○

○

Yes

Comments

Yes

○

○
○

Your company's EMRT response (Cobalt)

○

Yes

○

Unknown
DRC only○○

DRC only including unknown○○

DRC only including unknown○

including DRC

Comments: if comments “including DRC” or “including unknown”
is stated in answers of any collected EMRT, please write suchcomments in the Comments field of your EMRT.

6.1 How to Complete the EMRT: Declaration Sheet Ⓑ Cobalt/Mica Use Status3 ) Do any of the smelters or processors in your supply chain source the cobalt or natural mica
from a Conflict-Affected or High-Risk Area?
Answer for each mineral (Note: options aredifferent for cobalt and mica)

Answer for Mica

Conflict-Affected or High-Risk
Area: CAHRAs

Combination Cases of EMRTs Collected

Yes

Yes: If any of the smelters in your supply chain sources from a
CAHRA (describe in Comments field)
No: If none of the smelters in your supply chain sources from a
CAHRA
Unknown: If it is unclear whether smelters in your supply chain
source from a CAHRA
India and/or Madagascar only: If your smelters source only from
India and/or Madagascar※ If even one of the suppliers from which you have received an EMRT
answers “Yes”, your answer here must also be “Yes”. If not all
smelters are identifiable, that is, if your answer in Question 6 is“No”, than your answer here must be “Unknown”
If there is a broad range ofanswers in the EMRTs you havecollected, use the Comments
field as shown on the rightComments: if comments “including India
and/or Madagascar” or “including unknown” isstated in answers of any collected EMRT, pleasewrite such comments in the Comments fields ofyour EMRT.

No

Unkn India and/or
Answerown Madagascar only

○

○

○

○

○

○

○

○

○

○
○

○

○

○

Yes

○

Yes

○
○

○

○

including India
and/orMadagascar
including India
and/orMadagascar
including India
and/orMadagascar

Yes
Yes

○

○

Yes

Comments

Yes

○

○

Your company's EMRT response (Mica)

○
○

○

○

○

Yes

including India
and/orMadagascar

Unknown
India and/or
Madagascar only
India and/or
including unknown
Madagascar only
India and/or
including unknown
Madagascar only

6.1 How to Complete the EMRT: Declaration Sheet Ⓑ Cobalt/Mica Use Status
Enter additional informationin the Comments field【Common to Cobalt and Mica】
If you answer “Yes” or “DRC Only”, you must substantiate this in the Comments field.
For example, if you know the smelter name or CID number, this can be used todetermine the smelter’s third-party certification status. If you also know the country oforigin, an RCOI (Reasonable Country of Origin Inquiry) can be undertaken.
If you receive an EMRT with a “Yes” or “DRC Only” answer to Question 3 with nosubstantiation in the Comments field, please ask for specific information to be added.

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6.1 How to Complete the EMRT: Declaration Sheet Ⓑ Cobalt/Mica Use Status
4) Does 100 percent of the cobalt originate from recycled or scrap sources?
This question is forcobalt onlyYes:

If 100% of the cobalt comes from recycled or scrap
sourcesNo:
Some of the cobalt comes from natural (mined) resources
Unknown: Unclear whether 100% of the cobalt comes fromrecycled or scrap sources
If all of the suppliers from which you have received an EMRT
answer “Yes,” your answer will be “Yes”. If even one answers “No”,
your answer here must also be “No”.

33© 2024 JEITA

6.1 How to Complete the EMRT: Declaration Sheet Ⓑ Cobalt/Mica Use Status
5) What percentage of relevant suppliers have provided a response to your supply chain survey?
Answer for each mineral

Choose one of the following options according to the percentage of answers received from suppliers
subject to the survey.
-

100％:
Greater than 90%:
Greater than 75%:
Greater than 50%:
50% or less:
None:

Receive answer from all suppliers
Receive answer from more than 90% of suppliers
Receive answer from more than 75% of suppliers
Receive answer from more than 50％ of suppliers
Receive answer from 50% or less of suppliers
Receives no answer from suppliers※ Unrelated to the contents of the answer to Question 5 received from suppliers
Rate of answers received in your supplier survey = Number of answers received/Numbers ofrequests madeSuppliers excluded from the scope of this survey:• Suppliers of equipment, tools, consumables, and other products outside the scope of this survey• Suppliers or parts and materials which clearly do not contain cobalt/natural mica
Note: Surveys must be continued until the response rate is 100%.
34© 2024 JEITA

6.1 How to Complete the EMRT: Declaration Sheet Ⓑ Cobalt/Mica Use Status6) Have you identified all of the smelters or processors supplying the cobalt or natural mica toyour supply chain? (*)

Answer for each mineralYes:

If you have identified all of these smelters/processorsNo:
If you have not identified even one of the smelters/processors supplying thecobalt/natural mica to your supply chain
Unknown: If you don’t know whether you have identified all such smelters/processors
You can only answer “Yes” if you meet all four of the conditions below:① You have received EMRTs from all the relevant suppliers(=your answer to Q5 was 100%)② The answer to Q5 in all the EMRTs you received was 100%
③ The answer to Q6 in all the EMRTs you received was “Yes”④ The answer to Q7 in all the EMRTs you received was “Yes”
There are cases where all smelters were identified through the result of due diligence35© 2024 JEITA

6.1
to Complete
the EMRT:
Declaration
Sheet Ⓑ Cobalt/Mica Use Status
6.1HowHow
to Completethe
EMRT: Declaration
7) Has all applicable smelter or processor information received by yourcompany been reported in this declaration?
Answer for each mineralYes:

You have reported all applicable smelter/processor information received
by your company
No: You have not reported some of the applicable smelter/processor
information received by your company
Unknown: You don’t know (You should not need to select this option.)

The answer will usually be “Yes,” but it may be “No” if you have
not reported all applicable information due to reasons such as
your confidentiality obligation to a supplier.

36© 2024 JEITA

6.1 How to Complete the EMRT: Declaration Ⓒ Policies and Actions
Choose the pulldown to answer each of the 7 questions 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? (Note: If “Yes”, user shall specify the URL)
C. Do you require your direct suppliers to source the cobalt fromsmelters or natural mica from processors whose due
diligence practices have been validated by an independent
third-party audit program?
D. Have you implemented due diligence measures forresponsible sourcing?
E. Does your company conduct cobalt and/or natural mica
survey(s) of your relevant supplier(s)?(*)
F. Do you review due diligence information received from yoursuppliers against your company's expectations?
G. Does your review process include corrective action
management?

Unrelated to the contents of EMRTs
received from suppliers37© 2024 JEITA

If any of your answers to QA-G is limited to cobalt or mica,indicate the minerals to which it is related in the Comments field(e.g. “only implemented for cobalt”, “only implemented formica”)

6.1 How to Complete the EMRT: Declaration Sheet Ⓒ Policies and Actions

A. Have you established a responsible minerals sourcing
policy?
Yes:No:

If your company has established such a policy
If your company has NOT established such a policy

B. Is your responsible minerals sourcing policy publicly
available on your website?
(Note – If “Yes”, the user shall specify the URL in the Comments field)

Yes: If your responsible minerals sourcing policy is publicly
available on your website
No: If you have no website or your responsible minerals
sourcing policy is NOT publicly available on your website

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6.1 How to Complete the EMRT: Declaration Sheet Ⓒ Policies and Actions
C. Do you require your direct suppliers to source the cobalt from smelters or natural mica fromprocessors whose due diligence practices have been validated by an independent third-party
audit program?

Answer for Cobalt
Yes:

No:

✓ Responses are required regardless of whether

Answer for each mineral(Note: options are different forcobalt and mica)

or not minerals are contained.

If, in the form of your company’s policies, a written sourcing request, or an e-mail request, etc., you
require your direct suppliers to source from smelters whose due diligence practices have beenvalidated by RMI or an independent 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 EMRTs you receive from suppliers note non-RMAP conformant smelters, we recommend going
through the supply chain to notify these smelters of the above and urge them to acquire RMAP
conformant status.
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6.1 How to Complete the EMRT: Declaration Sheet Ⓒ Policies and Actions
C. Do you require your direct suppliers to source the cobalt from smelters or natural mica fromprocessors whose due diligence practices have been validated by an independent third-party
audit program?

Answer for Mica

✓ Responses are required regardless of whether

Answer for each mineral(Note: options are different forcobalt and mica)

or not minerals are contained.

Yes:

If, in the form of your company’s policies, a written sourcing request, or an e-mail request, etc.,
you require your direct suppliers to source from smelters whose due diligence practices have beenvalidated by RMI or an independent third-party audit program＊
No: If you do not require this from, or clearly indicate this to, your direct (primary) suppliers
Yes, when more processors are validated: If you plan to require this from your suppliers when more
processors are validated.
＊Independent third-party audit programs include the following: London Bullion Market Association (LBMA),

Responsible Jewellery Council (RJC)

As mica processors that are RMAP conformant was 0 (as of May 2024), it is difficult to source from processors thatare validated at present. If you plan to require your direct suppliers to source from validated natural mica
processors when more processors are validated, select “Yes, when more processors are validated”.
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6.1 How to Complete the EMRT: Declaration Sheet Ⓒ Policies and Actions
D. Have you implemented due diligence measures for responsible sourcing?
Yes:
No:

If you have implemented due diligence measures such as the examples below
If you have not implemented due diligence measures

Examples of measures:・ Highlighting and assessing risks from EMRTs received from suppliers⇒ e.g. Ranking the rates of receipt of EMRTs 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-G.
・ Prior written confirmation and agreement with suppliers on actions that will be taken when aconnection with forced labor is identified.
※ Due diligence = Risk assessment
Activities to make the supply chain transparent, check for any risks such as human right abusein the origin of raw material, and correct any problems that are found.
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6.1 How to Complete the EMRT: Declaration SheetⒸ Policies and Actions

E. Does your company conduct cobalt and/or natural mica survey(s) of your relevant
supplier(s)?(*)
Yes, in conformance with IPC1755 (e.g. EMRT): If you conduct conflict minerals surveys of yourrelevant suppliers using the EMRT format.
Yes, Using Other Format (Describe): If you conduct conflict minerals surveys of your relevant
suppliers in a format other than the EMRT (describe such format in theComments field)No:

If you do not collect due diligence information regarding cobalt and/or
natural mica from your suppliers* IPC-1755:

42© 2024 JEITA

A standard establishing the requirements for exchanging data between
suppliers and their customers in regard to the responsible sourcing ofminerals, and establishing the requirements of the 3TG, cobalt and mica
survey.

6.1 How to Complete the EMRT: 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 EMRTs (due diligence information) received
from suppliers
No: If you do not review EMRTs (due diligence information) received from suppliers
Review process examples:
・ Review the accuracy and completeness of EMRT information received from

Supplier
・ Review whether suppliers have a responsible minerals sourcing policy, or
review their actions based on their responses to Questions C-G・ 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 are any risks, you should go back up
the supply chain or use the Internet to check this.
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6.1 How to Complete the EMRT: 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,
encourage 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 a RMAP audit
・ If a supplier scores poorly in your EMRT review process as noted in
Question F, ask the supplier to address those issues

44© 2024 JEITA

6.2 How to Complete the EMRT: Smelter List Sheet– Structure -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 Number
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
3. Smelter Look-Up: a function by which you can find the Standard Smelter Name (SSN) from the
Smelter Look Up sheet by entering the commonly recognized smelter name45

© 2024 JEITA

6.2 How to Complete the EMRT: Smelter List Sheet– Preparation －Before filling in the Smelter List, please make the following preparations:✓ List all the smelters that are listed in all EMRTs that you received✓ Use CID numbers, etc., to remove duplications (name identification)✓ If your list contains non-SSN smelters without CID numbers, check on their website, etc.,
to confirm whether 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 listed on the Smelter Look-up Sheet are SSNs at the time of EMRT issuance#1,
and there are some cases where RMI has subsequently recognized a smelter as an SSN
and given it a CID number (you can check this on the RMI website). Even in these cases,
for the purposes of this EMRT, the smelter will be deemed “Smelter not listed”.
#1 In EMRT Rev.1.3,SSNs as of Feb. 28,2024 are listed

46© 2024 JEITA

6.2 How to Complete the EMRT: Smelter List Sheet – Data Entry －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 in Field A

Fields B, C, E, F, G, I, and J will be populated automatically✓ When entering a CID number, columns B and C may appear in red.
Smelters that appear in red are those that selected a response other than "yes" to the following
question on the declaration sheet.
1)Is any of the cobalt or natural mica intentionally added or used in the product(s) or in the production process?
2)Does any cobalt or natural mica remain in the product(s)?

If it is appear in red, please make sure that you have selected the correct mineral and smelter.
e.g. Red color is displayed because a mica
smelter CID number was entered in the Smelter
List for a mica content other than "Yes" on the
Declaration sheet (and vice versa).
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6.2 How to Complete the EMRT: Smelter List Sheet – Data Entry －② If you don’t know the CID number
If you select cobalt or mica 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 copy and paste data into Fields B and C, but if the data in Field C does not exactly match thedata 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 a SSN (such smelter has a CID number).

③ If there are no selection options in Field C (non-SSN smelter)
Once you have selected cobalt or mica in Field B, select “Smelter not listed” in Field C, and enter thesmelter name in Field D and the smelter country in Field E. All these fields are compulsory, butplease also enter data in Fields H-P to the best of your ability.

④ If there are any Smelters that the name or location is not identified
Select Cobalt or Mica in Field B and choose “Smelter not yet identified” in Field C.

⑤ If a mineral is selected in column B, and then columns B and C are displayed in red
Please check again because the mineral selected is different from the mineral specified as containedin the Declaration sheet.

②③④⑤© 2024 JEITA

6.3 How to Complete the EMRT: Product List Sheet– Data Entry －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 yourrelevant products
Manufacturer’s Product Name: Enter the product name for your relevant products
Comments: Enter comments where necessary49© 2024 JEITA

6.4 How to Complete the EMRT: 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 thenecessary fields.

③
Complete→②
Incomplete→①① Select Checker Sheet to confirm your data entry② Areas in green are complete; areas in red are incomplete③ When the “Required fields remaining to be completed” value is “0”, your data
entry is complete50© 2024 JEITA

51© 2024 JEITA