E3. Responsible Sourcing of Minerals

Code 8.0

Participants shall adopt a policy and exercise due diligence on the source and chain of custody of the tantalum, tin, tungsten, gold, and cobalt in the products they manufacture to reasonably assure that they are sourced in a way consistent with the Organization for Economic Co-operation and Development (OECD) Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas or an equivalent and recognized due diligence framework.

Elements to Demonstrate Compliance to RBA Code

1. Policy

Ensure company's responsible sourcing and/or conflict minerals policy is in place:

• a. To reasonably assure the tin, tungsten, tantalum, gold and cobalt (3TG+C) in the products manufactured/sold/provided are sourced in a way consistent with the OECD Due Diligence Guidance or an equivalent and recognized due diligence framework.
• b. Commit the company to exercise due diligence on the source and chain of custody of minerals in accordance with the OECD Due Diligence Guidance
• c. Cover all 3TG+C included in the company's products.
• d. Be communicated to suppliers and the public such as posted to company's public website, contained within a Corporate Responsibility Report, and/or supplier Code of Conduct or other official public company communications.

2. Procedures & Practices

Procedures & Practices to perform due diligence in accordance with the OECD Due Diligence Guidance:

• a. Identify a senior management person responsible for the implementation of the Management System
• b. Include 3TG+C due diligence sourcing requirements in written agreements and/or contracts with suppliers.
• c. Understand which parts/materials contain 3TG+C and the chain of custody to determine if they are from Conflict-Affected and High-Risk Areas
• d. Process and actions taken when suppliers are not in conformance with the Conflict Minerals Policy or a potentially conflict-affected source.
• e. Proof of implementation (see Records)

NOTE: This can solely be a "Corporate" role without local / facility involvement. You must determine where the responsibilities for conforming to the policy will be located; it may be shared. Then clearly assign those responsibilities. For example, in a company where ALL supplier sourcing and inquiry is done centrally in a corporate group, there may not be local / facility level involvement.

3. Controls & Monitoring

Controls & Monitoring should include:

• a. Mitigate any risks identified per the OECD Due Diligence Guidance, including suspending, or terminating business relationships with suppliers when risk mitigation fails.
• b. Review the Management System annually to ensure conformance and improve where process improvements have been identified.

4. Records

Records are maintained including:

• a. Maintaining records related to 3TG+C due diligence for a minimum of five (5) years.
• b. Annual review and improvement plan of the policy, process and roles and responsibilities to ensure conformance and improve where process improvements have been identified.
• c. Mitigation plans with suppliers if any risk is identified including additional actions taken to ensure completion by a specified date if mitigation actions are not on-track.

NOTE: Records then need to be carefully maintained and accessible during a Corporate or facility level assessment. Evidence of the entire effort regardless of where it occurs will be required to be shown in an RBA VAP.

5. Serious conditions that will result in a severe finding

• There is confirmed purchasing of minerals from conflict sources but there is no action plan in place that is being actively managed.
• More than 20% of 3TG+C sources do not have a documented due diligence in place

3.0.0 (2023-09-01)

Changed

• Covered-minerals scope expanded from 3TG to 3TG+C (Cobalt added); records-retention raised to five (5) years: Two independent tightenings at RBA Code 8.0. (1) Covered-minerals scope expanded from 3TG to 3TG+C by adding Cobalt across policy, due-diligence sourcing requirements, records, and every rating band (Priority/Major/ Minor/NA now read 3TG+C). A facility that passed 7.1.2 (cobalt not in scope) can fail 8.0.0 if it has no cobalt policy or if cobalt sources push the undocumented-due-diligence share over 20%. (2) Records-retention requirement raised from two (2) years (7.1.2) to five (5) years (8.0.0 E3.1) — a facility retaining records 2-4 years passed 7.1.2 but fails 8.0.0. A prior pass can become a fail, hence major.

2.0.0 (2022-06-01)

Changed

• Major-band coverage threshold tightened to >20%; Priority broadened by dropping the Covered-Countries geographic restriction: Two independent tightenings (plus one loosening) at the move from D7 to E3. (1) The Major-band due-diligence-coverage threshold moved from '>25%' to '>20%' of 3TG sources lacking documented due diligence — a facility at ~22% was only Minor under 7.0.0 D7 but fails the Major band under 7.1.2. (2) The Priority scope was broadened by dropping the 'Covered Countries (DRC + adjoining)' restriction: any confirmed purchasing from conflict sources with no corrective action plan now trips Priority, so a facility sourcing from a conflict source outside the Covered Countries with no action passed under 7.0.0 but fails under 7.1.2. The records-retention drop from five (5) to two (2) years is a loosening, but the two tightenings make the boundary major.

• Criterion moved from 'D7' to 'E3': The criterion was renumbered from D7 (Section D) to E3 (Section E, Supply Chain) at VAP 7.1.2. The move is cosmetic; no pass/fail effect of its own.

1.0.0 (2021-01-01)

Changed

• Initial historical baseline — Responsible Sourcing of Minerals (D7, RBA Code of Conduct 7.0): Earliest imported version, published as D7 Responsible Sourcing of Minerals. Adopt a Conflict Minerals policy and exercise due diligence on the source and chain of custody of tantalum, tin, tungsten and gold (3TG) consistent with the OECD Due Diligence Guidance; cover all 3TG in products; communicate the policy to suppliers and the public; include 3TG due-diligence sourcing requirements in supplier agreements; mitigate risks including suspension/termination of non-conforming suppliers; and retain due-diligence records for a minimum of five (5) years. Priority was limited to confirmed purchasing from conflict sources in the Covered Countries (DRC + adjoining) with no documented action; the Major coverage band was set at more than 25% of 3TG sources without documented due diligence.