PROJECT MANAGEMENT OFFICE

Conflict MineralsGuide to Completing the CFSI Conflict Minerals Reporting Template (CMRT)

Process steps for completing the CMRT 3

Instructions worksheet 4

Definition worksheet 5

Declaration worksheet 6

Smelter List worksheet 10

Key questions overview 11

Checker worksheet 12

Additional information 13

Slide 2

Content overview

1. Select appropriate language in the Declaration worksheet

2. Review the Instructions worksheet

3. Review the Definitions worksheet

4. Complete the Declaration worksheet

5. Complete the Smelter List worksheet

6. Check for completion using the Checker worksheet

7. Save the completed CMRT

8. Upload the completed CMRT to Achilles

Slide 3

Process steps for completing the CFSI Conflict Minerals Reporting Template (CMRT)

Instructions worksheet

Completing the template

Slide 4

The Instructions worksheet contains an introduction to the Conflict Minerals rule and explains how to complete the Declaration and Smelter List worksheets. It is available in multiple languages through the drop-down language selector in the Declaration worksheet.

Click on the Instructions

worksheet and read through the

instructions in the appropriate language

Definition worksheet

Completing the template

Slide 5

The Definitions worksheet provides list of terms relating to conflict minerals. It is available in multiple languages through the drop-down language selector in the Declaration worksheet.

Refer to this worksheet as necessary

Declaration worksheet –part ICompleting the template

The Declaration worksheet is used to collect basic company and sourcing information on tin, tantalum, tungsten and gold used in products. Mandatory fields are marked with an asterisks (*). .

Conflict Minerals Reporting Template (CMRT)

Select Language Preference Here:请选择你的语言:

사용할언어를선택하시오 :表示言語をここから選択してください:

Sélectionner la langue préférée ici:Selecione Preferência de idioma Aqui:

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Selezionare la lingua di preferenza qui:Burada Dil Tercihini Belirleyin:

English

Revision 4.20November 30,

2016The purpose of this document is to collect sourcing information on tin, tantalum, tungsten and gold used in products Link to Terms & Conditions

Mandatory fields are noted with an asterisk (*).

Company InformationCompany Name (*):

Declaration Scope or Class (*):

Description of Scope:

Company Unique ID:Company Unique ID Authority:

Address:Contact Name (*):

Email – Contact (*):Phone – Contact (*):

Authorizer (*):Title - Authorizer:

Email - Authorizer (*):Phone - Authorizer (*):

Effective Date (*):

This drop-down menu allows you to select your language of preference. Please provide all answers in ENGLISH ONLY.

Insert your company’s legal name. Please do not use abbreviations.

Select A. Company Level. Refer to the Definitions worksheet for details.NOTE! You need to provide information for all the products you supply to ABB to the extent possible. We encourage you to respond with as much detail as possible

Complete all other fields in yellow as they are mandatory

Slide 6

Completing the template

Declaration worksheet –Questions 1 to 4

Declaration worksheet –part II

1) Is the 3TG intentionally added to your product? (*) Answer CommentsTantalum (*)

Tin (*)Gold (*)

Tungsten (*)

2) Is the 3TG necessary to the production of your company’s products and contained in the finished product that your company manufactures or contracts to manufacture? (*) Answer Comments

Tantalum (*)Tin (*)

Gold (*)Tungsten (*)

3) Do any of the smelters in your supply chain source the 3TG from the covered countries? (SEC term, see definitions tab) (*) Answer Comments

Tantalum (*)Tin (*)

Gold (*)Tungsten (*)

4) Does 100 percent of the 3TG (necessary to the functionality or production of your products) originate from recycled or scrap sources? (*) Answer Comments

Tantalum (*)Tin (*)

Gold (*)Tungsten (*)

Question 1: From the drop-down menu, select the correct answer for each metaland provide as much information as possible in the comments box

Questions 2-4: From the drop-down menu, select the correct answer for each metal and provide as much information as possible in the comments box

Answering “No” in Question 2 for any metal means that Questions 3–7 are automatically blocked out for this metal

Slide 7

Completing the template

Declaration worksheet –Questions 5 to 7

Declaration worksheet –part II

5) Have you received data/information for each 3TG from all relevant suppliers? (*)

Answer Comments

Tantalum (*)

Tin (*)

Gold (*)

Tungsten (*)

6) Have you identified all of the smelters supplying the 3TG to your supply chain? (*)

Answer Comments

Tantalum (*)

Tin (*)

Gold (*)

Tungsten (*)

7) Has all applicable smelter information received by your company been reported in this declaration? (*) Answer Comments

Tantalum (*)

Tin (*)

Gold (*)

Tungsten (*)

Questions 5-7: From the drop-down menu, select the correct answer for each metal and provide as much information as possible in the comments box

Question 5: If you answer “Yes 100%” or “No with a percentage % and you answer , you must complete the Smelter List worksheet;

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Declaration worksheet –part IIICompleting the template

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Declaration worksheet –Questions A to J

Answer the Following Questions at a Company LevelQuestion Answer Comments

A. Do you have a policy in place that addresses conflict minerals sourcing? (*)

B. Is your conflict minerals sourcing policy publicly available on your website? (Note – If yes, the user shall specify the URL in the comment field.) (*)

C. Do you require your direct suppliers to be DRC conflict-free? (*)

D. Do you require your direct suppliers to source the 3TG from smelters whose due diligence practices have been validated by an independent third party audit program? (*)

E. Have you implemented due diligence measures for conflict-free sourcing? (*)

F. Do you collect conflict minerals due diligence information from your suppliers which is in conformance with the IPC-1755 Conflict Minerals Data Exchange standard [e.g., the CFSI Conflict Minerals Reporting Template]? (*)

G. Do you request smelter names from your suppliers? (*)

H. Do you review due diligence information received from your suppliers against your company’s expectations? (*)

I. Does your review process include corrective action management? (*)

J. Are you subject to the SEC Conflict Minerals rule? (*)

Answer ‘Yes’ or ‘No’. Provide details in the comments box

DRC conflict-free is defined as ‘products that do not contain conflict minerals that directly or indirectly financed or benefit armed groups in the DRC or an adjoining country’

The Conflict Free Smelter list is a list of mineral smelters and refiners who have been validated to be in compliance with the CFSI

Submit your Response

Smelter List worksheets

Completing the template

Slide 10

How to provide smeltersOption 1: Provide the Smelter Identification Number in Column A and columns B to J will be auto populatedOption 2: Select metal and smelter name from drop-down reference list, or select “Smelter not yet identified” and manually enter the smelter name in a proper field.

Option 2: If a smelter is selected in the “Smelter Reference List” field, the smelter identification number and other information is populated automatically

Option 1: Provide the smelter identification number

Note! If “Smelter not yet identified”, provide as much information as possible in the other cells.

– Question 1: Is the 3TG intentionally added to your product?

– Question 2: Is the 3TG necessary to the production of your company’s products and contained in the finished product that your company manufactures or contracts to manufacture? (*)

• If the answer provided for any of the 3TG listed is “No”, you do not need to complete any further information for that particular mineral – all further questions will be automatically blocked. If you answer “No” for all of the minerals, your declaration is considered complete.

• If the answer provided for any 3TG listed is “Yes”, responses are required for Questions 3 to 7 for each 3TG as indicated by the yellow highlighted fields in the template

– Question 3 and 4 related to origin

– Question 5: related to the status of your supplier data collection activities;

– Question 6: related to the status of your smelter identification efforts;

– Question 7: related to the published CFSI Compliant Smelter List

Key Questions Overview

Supplier Response Template

Slide 11

Conflict Minerals Reporting Template (CMRT) – how to answer Questions 1 to 7

PLEASE NOTE THAT ALL RESPONSES MUST BE IN ENGLISH

Checker worksheets

Completing the template

Slide 12

The Checker worksheet is used to verify if all the requested information in the Template has been completed. It is updated in real-time and can be reviewed at any time while using the Template

Note! Verify if all required fields have been completed before submitting the CMRT

Look for the red field(s) and review the ‘Notes’ for required actions

You may use this link to directly access the field for completion

C

General information

SEC Conflict Minerals Ruling ( link)

OECD Guidelines (link)

CFSI’s Practical Guidance for Downstream Companies on Reasonable Practices to Identify Sources of Conflict Minerals (link)

Additional information for suppliers

ABB Supplier Code of Conduct (link)

ABB Policy on Conflict Minerals (link)

Supplying to ABB (video)

Supplying to ABB Portal (link)

ABB Material Compliance for Suppliers (link)

Conflict Minerals (video

Slide 13

Additional information

The purpose of this training material is to provide background information to ABB suppliers on conflict minerals, communicate ABB’s requirements regarding conflict minerals and provide guidance on how to fulfil these requirements. The recommendations in this training material are based on ABB’s understanding and experience and do not relieve ABB suppliers from their obligations to follow all applicable legal requirements, including contractual obligations.

This training material does not claim to interpret any such laws, regulations, requirements, standards or contracts. While reasonable efforts have been made to check the accuracy of this training material, ABB does not make any representations or warranties with respect to the accuracy or completeness of the contents of this training material, and ABB specifically – but without limitation – disclaims any implied warranties of merchantability or fitness for a particular purpose as concerns this training material.

The information in this training material is not to be considered to be legal or other professional advice. If legal advice or other professional assistance is required, you should engage the services of a competent professional.

Disclaimer

Slide 14