Conflict Mineral Benchmarking Study: Overview Conflict Mineral & Ethical Sourcing Workshop 2015

Jonathan Nauth Assent Compliance Today’s Presenter Jonathan Nauth Assent Compliance Regulatory Division

1 2 3 4 5 6 Why THIS Benchmarking Study? Filers submit their CMR, then left in the dark… Were their disclosures being evaluated? How did they rank against others? How did particular industries do? How can I improve my own CMR submission? Translates into improving Conflict Mineral Programs

Study Overview: Advisory Board

Study Overview: Assent’s Role

Study Overview: Assent’s Role Feedback and suggestions on scoring criteria Feedback and suggestions on methodology No control or decision making power Did not score or evaluate any conflict mineral reports as part of the study

Study Overview: Scoring Based entirely on the SEC Reporting requirements from the Dodd-Frank Section 1502 Final Rules Focus on Legal Compliance  Equally weighted Each criteria received either a Yes,  No or Nor Applicable (N/A) Based on Responsible Sourcing Network’s Good Practice Indicators Some overlap with Compliance requirements but many indicators are not mandatory under the law Focus on Transparency and Process Description Each criteria has a set of achievable points ranging from 5 possible points to 10 possible points, depending on the specific criteria

Thank You!