Copyright © 2015 Rockwell Automation, Inc. All Rights Reserved. PUBLIC PUBLIC CO900H Rockwell Automation Conflict Minerals Program: Dodd-Frank Wall Street Reform & Consumer Protection Act Section 1502 Name – Kathy Scheibe-Powell Title – Manager, Engineering Services PMO Date – 1/20/2016 The materials in this presentation are for informational purposes only and not for the purpose of providing legal advice. You should contact your own attorney to obtain advice with respect to any particular issue or problem.

Copyright © 2015 Rockwell Automation, Inc. All Rights Reserved. PUBLIC Conflict Minerals: Dodd-Frank Wall Street Reform & Consumer Protection Act Section 1502  Problem:  Funds from mining of certain minerals provide financial support to conflict forces in Democratic Republic of Congo (DRC) region resulting in extreme violence against women and children.  Goal:  This US law aims to use the market power of downstream users of the minerals to limit financing of the conflict (Aug. 2012).  Conflict Minerals are referred to as 3TG:  Tin – e.g. solder, finishes on board-level components  Tantalum – e.g. board-level capacitors  Tungsten – e.g. capacitors and RF filters, small motors  Gold – e.g. connectors, electronic components  This is a supply chain reporting requirement  This is NOT an environmental issue.  This is NOT a mineral ban. 2

Copyright © 2015 Rockwell Automation, Inc. All Rights Reserved. PUBLIC Conflict Minerals – What does it mean? 3  What does it mean for Rockwell Automation to say they comply with the Conflict Mineral law? (part of the Dodd Frank Act – section 1502)  The Act requires publically traded companies to report what efforts it has made to determine the source of the 3TG in it’s products.  What does it mean to our customers ?  Our customers may interpret it to mean that RA does not use parts in their products that finance armed forces in the DRC and that RA is complying to the law.  Appropriate suppliers have reported on their smelter sourcing information.  RA has the associated country of origin tied to the smelters and found them to be conflict free.

Copyright © 2015 Rockwell Automation, Inc. All Rights Reserved. PUBLIC Rockwell Automation’s Conflict Minerals Commitment  Rockwell Automation’s Conflict Minerals Supply Chain Statement: Rockwell Automation is committed to high ethical standards and social responsibility. This includes supporting the Dodd-Frank Wall Street Reform and Consumer Protection Act as it relates to Conflict Minerals (Section 1502), designed to eliminate support of illegal and unethical actions in the Democratic Republic of Congo ( DRC) region. While we do not purchase tin, tungsten, tantalum and gold directly, they may exist in the materials and components we buy. Rockwell Automation’s goal is to comply with the Conflict Mineral law. In support of that goal, we are also working with our suppliers to responsibly purchase the materials and components we use in our products. We expect the same supply chain transparency and practices from our suppliers. Our suppliers are expected to investigate the source and chain of custody of conflict minerals in the products they provide to us, to disclose their information on due diligence to us on request, and to purchase minerals from responsible sources that do not contribute to human rights abuses in the DRC region. We will work with our suppliers on a case by case basis to meet these goals. We will rely on the Conflict Minerals Reporting Template for data collection and will support the Conflict Free Sourcing Initiative.  RA has Conflict Mineral requirements in the Rockwell Automation’s Direct Materials Agreements, Terms & Conditions and new contracts. 4

Copyright © 2015 Rockwell Automation, Inc. All Rights Reserved. PUBLIC RA’s Program Overview 5  Communicate and train suppliers regarding Conflict Minerals  Conduct an annual campaign of suppliers to understand the source of 3TG for supply chain transparency purposes  Analyze data received from suppliers for Completeness and Reasonableness  Assess the level of Risk that the supply chain may finance armed forces in the DRC  Conduct Due Diligence as appropriate  Partner with the CFSI who manage auditing of smelters and refiners  File annual SEC report (Form SD, Conflict Mineral Report)

Copyright © 2015 Rockwell Automation, Inc. All Rights Reserved. PUBLIC Rockwell Automation’s Conflict Minerals Program Information  Direct Links:  Link to RAIN (A-Z) Conflict Minerals Link to RAIN (A-Z) Conflict Minerals  Link to Noggin Link to Noggin  Link to External RA Website Link to External RA Website 6 Conflict Minerals Information RAIN (A-Z) Conflict Minerals (available to RA employees) Noggin (available to RA employees and Distributors) External RA Website (available to the public) Rockwell Automation Conflict Minerals Supply Chain Statement XXX Respect for Supply Chain ActivitiesXX Rockwell Automation Conflict Minerals SD Form XX Rockwell Automation CFSI CMRT (Conflict Mineral Reporting Template) XX Request through: For more information contact:

Copyright © 2015 Rockwell Automation, Inc. All Rights Reserved. PUBLIC Need More Information? 7     htm htm   ethics/integrity-compliance-overview.page ethics/integrity-compliance-overview.page

Copyright © 2015 Rockwell Automation, Inc. All Rights Reserved. PUBLIC PUBLIC CO900H 8 Thank You