1. C u s t o m s o l u t i o n s f o r c o m p l i a n c e [ REA C H | R o H S | C P s i a | RSL | p r o p 6 5 ]
i n f o @ a s s e n T c o m p l i a n c e . c o m w w w. a s s e n T c o m p l i a n c e . c o m T e l : 1 ( 8 6 6 ) 9 6 4 - 6 9 3 1
ASSENTCOMPLIANCEASSENTCOMPLIANCE
Matt Whitteker
ManagEr – Business Development
1 (866) 964-6931
matt.whitteker@assentcompliance.com
3MajorUpdates–CMRT3.01,FormSD
TrendsandSmelterInfo
3MajorUpdates–CMRT3.01,FormSD
TrendsandSmelterInfo

2. C u s t o m s o l u t i o n s f o r c o m p l i a n c e [ REA C H | R o H S | C P s i a | RSL | p r o p 6 5 ]
i n f o @ a s s e n T c o m p l i a n c e . c o m w w w. a s s e n T c o m p l i a n c e . c o m T e l : 1 ( 8 6 6 ) 9 6 4 - 6 9 3 1
ASSENTCOMPLIANCEASSENTCOMPLIANCE
About Assent
Assent Compliance delivers SaaS Environmental Compliance Services to companies
who must comply with local, national and global environmental regulations. Assent also
supports its software division with a team of highly experienced industry consultants to
provide our clients with turnkey compliance solutions. Industry experts at Tier 1 compa-
nies rank Assent Compliance amongst the top environmental compliance solutions in
the world and one of the only global solution providers to offer a full service solution from
end to end.
Our Mission
Is to help our clients comply with environmental regulations in the most efficient and
cost effective manner possible. This is achieved through SaaS automation of processes
and working with clients to build efficient internal compliance programs that meet global
compliance requirements.

3. C u s t o m s o l u t i o n s f o r c o m p l i a n c e [ REA C H | R o H S | C P s i a | RSL | p r o p 6 5 ]
i n f o @ a s s e n T c o m p l i a n c e . c o m w w w. a s s e n T c o m p l i a n c e . c o m T e l : 1 ( 8 6 6 ) 9 6 4 - 6 9 3 1
ASSENTCOMPLIANCEASSENTCOMPLIANCE
Assent & Conflict Minerals
Only Software Company
on Public Record For
Regulation
Conflict Minerals a
natural fit to RSL’s
20% of S&P 500
Companies in Scope
Use Assent
Over 125,000 Companies
Profiled in 2014.
REACH
RoHS
Conflict minerals

4. C u s t o m s o l u t i o n s f o r c o m p l i a n c e [ REA C H | R o H S | C P s i a | RSL | p r o p 6 5 ]
i n f o @ a s s e n T c o m p l i a n c e . c o m w w w. a s s e n T c o m p l i a n c e . c o m T e l : 1 ( 8 6 6 ) 9 6 4 - 6 9 3 1
ASSENTCOMPLIANCEASSENTCOMPLIANCE
How The Assent Compliance
Management System Works
Integrates with
Major ERP/PLM
Systems
Built-in CRM for compliance
tasks, due diligence reporting
and audit trails
Modules to Comply with
All Major Environmental
Regulations
Pulls Bill of Material (BOM) into a
centralized compliance data base
or operates as a stand-alone system.
Build IPC 1752-A FORMS.
Import/Export via XML
Allows internal Staff to
Make Engineering Override
assessments
Communicates with Supply
Chain in bi-directional fashion
to procure environmental
information from suppliers
Homogenize proprietary
supplier DOC formats in xml
Acts as a repository for any
compliance related material
C u s t o m s o l u t i o n s f o r c o m p l i a n c e [ REA C H | R o H S | C P s i a | RSL | p r o p 6 5 ]

5. C u s t o m s o l u t i o n s f o r c o m p l i a n c e [ REA C H | R o H S | C P s i a | RSL | p r o p 6 5 ]
i n f o @ a s s e n T c o m p l i a n c e . c o m w w w. a s s e n T c o m p l i a n c e . c o m T e l : 1 ( 8 6 6 ) 9 6 4 - 6 9 3 1
ASSENTCOMPLIANCEASSENTCOMPLIANCE
Compliance Assessment Services For Environmental Regulations
Internal Standard Operating Procedure Consulting
Compliance Plan Development
Compliance Strategy Consulting
Conflict Mineral Compliance
IT System Integration






Consulting Services

6. C u s t o m s o l u t i o n s f o r c o m p l i a n c e [ REA C H | R o H S | C P s i a | RSL | p r o p 6 5 ]
i n f o @ a s s e n T c o m p l i a n c e . c o m w w w. a s s e n T c o m p l i a n c e . c o m T e l : 1 ( 8 6 6 ) 9 6 4 - 6 9 3 1
ASSENTCOMPLIANCEASSENTCOMPLIANCE
OUR CLIENTS
Assent serves clients ranging from Small Business to Fortune 500. In global supply chains companies of all sizes
must comply with environmental regulations. Regardless of size Assent has products and services to help any
sized company meet their environmental compliance obligations.

7. C u s t o m s o l u t i o n s f o r c o m p l i a n c e [ REA C H | R o H S | C P s i a | RSL | p r o p 6 5 ]
i n f o @ a s s e n T c o m p l i a n c e . c o m w w w. a s s e n T c o m p l i a n c e . c o m T e l : 1 ( 8 6 6 ) 9 6 4 - 6 9 3 1
ASSENTCOMPLIANCEASSENTCOMPLIANCE
Ottawa, Ontario
Canada (HQ)
New York,
New York
Taipei,
Taiwan
Munich, Germany
london, UK
Kenya
(Conflict Minerals)
Bangalore, India
our offices

8. C u s t o m s o l u t i o n s f o r c o m p l i a n c e [ REA C H | R o H S | C P s i a | RSL | p r o p 6 5 ]
i n f o @ a s s e n T c o m p l i a n c e . c o m w w w. a s s e n T c o m p l i a n c e . c o m T e l : 1 ( 8 6 6 ) 9 6 4 - 6 9 3 1
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Form SD Trends
• Vast majority (over 95%) declared either Undeterminable or made no declaration (as per the SEC Guidance on
April 29th, companies are not compelled to disclose product declarations)
• Supplier completion rates varied but the data can be somewhat unreliable
• It would stand to reason that companies with lower completion rates would not disclose this
• Overwhelming use of CMRT
• Woefully inadequate country of origin information
• Even companies with Smelter info, only knew who their smelters were NOT the mines of origin
• This is the #1 cited area for improvement in companies Conflict Minerals reports
• This focus on the smelters is clearly a trend and already being felt in the supply chain
• You will notice this in declaration request and eventually Due Diligence efforts
»» Bad Smelters (AKA Traders, Exchanges and other non-smelters)
»» Smelters with no Due Dilgence info (audits or at least intent to audit)
»» Mine of origin info (not listed on CFSI site – must be gathered from Smelters directly)

9. C u s t o m s o l u t i o n s f o r c o m p l i a n c e [ REA C H | R o H S | C P s i a | RSL | p r o p 6 5 ]
i n f o @ a s s e n T c o m p l i a n c e . c o m w w w. a s s e n T c o m p l i a n c e . c o m T e l : 1 ( 8 6 6 ) 9 6 4 - 6 9 3 1
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CMRT 2.0x - CMRT 3.0x Changes
Revised Questions
• There are now 7 mineral related questions instead of 6
• 2.03’s Question 1 is now split into 2 parts:
• Are any 3TGs intentionally added (CMRT 3.0x Question 1)
• Are they necessary to the functionality (CMRT 3.0x Question 2)
• This is very important for scoping and the responses to these questions should be monitored and verified closely
• Scrapped or Recycled sources question (2.03 Question 3/3.01 Question 4) clarifies that it must be 100%
scrapped/recycled
• Very important piece of clarification.
• Suppliers who claim yes, should be able to back it up with evidence
• Data Gathering question (2.03 Question 4/3.01 Question 5) now allows for any method or template to be
used to gather information as opposed to only the CMRT.
• This should help illicit more positive responses from smaller suppliers.

10. C u s t o m s o l u t i o n s f o r c o m p l i a n c e [ REA C H | R o H S | C P s i a | RSL | p r o p 6 5 ]
i n f o @ a s s e n T c o m p l i a n c e . c o m w w w. a s s e n T c o m p l i a n c e . c o m T e l : 1 ( 8 6 6 ) 9 6 4 - 6 9 3 1
ASSENTCOMPLIANCEASSENTCOMPLIANCE
• Smelter Validation question has changed (2.03 Question 6/3.01 Question 7)
• Suppliers no longer must confirm that their smelters are compliant with CFS Program
• Must confirm they have list all the smelters reported to them in the CMRT
• This question should confirm full disclosure of Smelter information from all Suppliers (or an explanation as
to why not)
Scope selection change
• Division and Category removed as Scope option from the drop-down
• Company and Product remain
• There is a “user-defined” option which allows the user to create their own scope
• Division and Category were the least used statistically but this does mean that you will need some mecha-
nism in place to flag user-defined scopes so that they can be reviewed and approved
Smelter IDs have changed
• Old IDs consisted of 3 parts – A number (indicating the metal), 3 letters (indicating country and a numeric
identifier
• Ex: 1JPN072, would be a Gold Smelter (1 = Gold) in Japan (JPN = Japan) with 072 as the identifier
• New IDs are simply “CID” followed by a 6 digit numeric identified

11. C u s t o m s o l u t i o n s f o r c o m p l i a n c e [ REA C H | R o H S | C P s i a | RSL | p r o p 6 5 ]
i n f o @ a s s e n T c o m p l i a n c e . c o m w w w. a s s e n T c o m p l i a n c e . c o m T e l : 1 ( 8 6 6 ) 9 6 4 - 6 9 3 1
ASSENTCOMPLIANCEASSENTCOMPLIANCE
SEC Guidance from April 29th
• On April 29th, the SEC released the following Guidance: http://www.sec.gov/News/PublicStmt/Detail/
PublicStmt/1370541681994#.U2EU4fldXrx
• This was in response to the NAM legal challenge in the DC Circuit Court
• The key passage is the second last paragraph (specifically the last sentence):
• “No company is required to describe its products as “DRC conflict free,” having “not been found to be
‘DRC conflict free,’” or “DRC conflict undeterminable.” If a company voluntarily elects to describe any of its
products as “DRC conflict free” in its Conflict Minerals Report, it would be permitted to do so provided it had
obtained an independent private sector audit (IPSA) as required by the rule. [5] Pending further action, an
IPSA will not be required unless a company voluntarily elects to describe a product as “DRC conflict free”
in its Conflict Minerals Report.”
• This effectively removes the requirement for a Conflict Minerals Audit
• Work still needs to be executed in good faith according to the requirements of the law, but a final de-
termination of Conflict Free, Not Conflict Free or Undeterminable is longer necessary

12. C u s t o m s o l u t i o n s f o r c o m p l i a n c e [ REA C H | R o H S | C P s i a | RSL | p r o p 6 5 ]
i n f o @ a s s e n T c o m p l i a n c e . c o m w w w. a s s e n T c o m p l i a n c e . c o m T e l : 1 ( 8 6 6 ) 9 6 4 - 6 9 3 1
ASSENTCOMPLIANCEASSENTCOMPLIANCE
Lessons Learned
Common Supplier mistakes
• Suppliers can often confuse what constitutes a “Conflict Mineral”
• All 3TGs are Conflict Minerals – even if they don’t come from Conflict afflicted areas
• Sometimes (especially with PDF declarations), you will see a supplier indicate that their products
don’t contain any “Conflict Minerals” even though they do contain 3TGs.
• Clarify these types of responses with the supplier
• Lack of Smelter Due Diligence
• Comes in 2 forms
»» Smelters listed on the form who are not verified smelters (Usually they are traders)
»» Smelters who source from the DRC but are not flagged accordingly in the source section (Ex:
Malaysia Smelter Corp)
»» In both these cases, the Smelter may have a Smelter ID and even have passed a CFSI Audit
but the data is not being reviewed properly by the supplier and therefore not reported on
correctly
• You must track Smelter information internally to cross-reference it with Supplier submissions

13. C u s t o m s o l u t i o n s f o r c o m p l i a n c e [ REA C H | R o H S | C P s i a | RSL | p r o p 6 5 ]
i n f o @ a s s e n T c o m p l i a n c e . c o m w w w. a s s e n T c o m p l i a n c e . c o m T e l : 1 ( 8 6 6 ) 9 6 4 - 6 9 3 1
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Best Practices
Supplier Corrective Actions:
• Main items for consideration:
• Acceptable answers and/or minimum goals, (Ex: “You must have a Company Policy in place”)
• Acceptable format, (Ex: CMRT 3.0x)
• Date and Timelines (depending on short-term and long-term goals)
• If more clarification is needed for specific types of answers (Ex: Clarification of Company Policies),
create a company template the Suppliers can fill out and have them attach supporting documents as needed
• It is important to maintain a uniform process for all suppliers
• Track date and times of correspondence as well as the actual correspondence
Due Diligence
• All Corrective Actions should be reviewed and approved according to your compliance program’s minimum criteria
• Make sure all the piece fit together
• Review the policy to see if it is actually being followed based on other sections of the CMRT
• Ask for evidence of claimed activities
• Review information in internal/external Smelter Database to ensure that only valid Smelters are being re-
ported on and that the correct sourcing info is being used.

14. C u s t o m s o l u t i o n s f o r c o m p l i a n c e [ REA C H | R o H S | C P s i a | RSL | p r o p 6 5 ]
i n f o @ a s s e n T c o m p l i a n c e . c o m w w w. a s s e n T c o m p l i a n c e . c o m T e l : 1 ( 8 6 6 ) 9 6 4 - 6 9 3 1
ASSENTCOMPLIANCEASSENTCOMPLIANCE
Best Practices
Reviewing Supplier Responses
• Company level responses provide a good indication of the accuracy of Mineral related questions and smelter info
• Companies without robust programs & policies in place, often have inaccurate data present in the
form – Monitor these suppliers closely
• Mineral related questions must be confirmed by the information provided on the Smelter page – make sure
it is checked thoroughly as well
• A company cannot claim they have no 3TG sources from the DRC if they listed smelters who are
known to procure 3TGs from the region (Ex: Malaysia Smelter Corp) – this is true even if the Smelter
has and ID and is Conflict Free
• NOTE: Having a Smelter ID and being Conflict Free are not one and the same
• Have access to a Smelter database or keep your own in order to verify Supplier submissions
• Review any “User-Defined” scope submissions carefully to ensure it covers all the necessary materials you
procure from the Supplier
• It usually best to ask the supplier for either a Company level or Product level declaration

15. C u s t o m s o l u t i o n s f o r c o m p l i a n c e [ REA C H | R o H S | C P s i a | RSL | p r o p 6 5 ]
i n f o @ a s s e n T c o m p l i a n c e . c o m w w w. a s s e n T c o m p l i a n c e . c o m T e l : 1 ( 8 6 6 ) 9 6 4 - 6 9 3 1
ASSENTCOMPLIANCEASSENTCOMPLIANCE
Standard Industry Process
Tier 2, 3, 4
suppliers
Smelters
Tier 1
suppliers
database
supplier
list

16. C u s t o m s o l u t i o n s f o r c o m p l i a n c e [ REA C H | R o H S | C P s i a | RSL | p r o p 6 5 ]
i n f o @ a s s e n T c o m p l i a n c e . c o m w w w. a s s e n T c o m p l i a n c e . c o m T e l : 1 ( 8 6 6 ) 9 6 4 - 6 9 3 1
ASSENTCOMPLIANCEASSENTCOMPLIANCE
Assent’s Process
Tier 2, 3, 4
suppliers
Smelters
Tier 1
suppliers
database
Assent Smelter database
supplier list
& product
information

17. C u s t o m s o l u t i o n s f o r c o m p l i a n c e [ REA C H | R o H S | C P s i a | RSL | p r o p 6 5 ]
i n f o @ a s s e n T c o m p l i a n c e . c o m w w w. a s s e n T c o m p l i a n c e . c o m T e l : 1 ( 8 6 6 ) 9 6 4 - 6 9 3 1
ASSENTCOMPLIANCEASSENTCOMPLIANCE
CMRT 3.01 Product Update – Demo

18. C u s t o m s o l u t i o n s f o r c o m p l i a n c e [ REA C H | R o H S | C P s i a | RSL | p r o p 6 5 ]
i n f o @ a s s e n T c o m p l i a n c e . c o m w w w. a s s e n T c o m p l i a n c e . c o m T e l : 1 ( 8 6 6 ) 9 6 4 - 6 9 3 1
ASSENTCOMPLIANCEASSENTCOMPLIANCE
Questions?
Please submit your questions in writing using the Q&A tool along the top menu tool bar.
Any questions not addressed during the Q&A portion of this webinar will be addressed in private
correspondence after the webinar and in an FAQ document posted to the Assent Compliance Webinars page.
Thanks for attending!
Want a demo?
Matt.Whitteker@AssentCompliance.com
info@AssentCompliance.com