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The term “conflict mineraL" is defined in Section 1502(e)(4) of the Dodd-Frank Act as (1) columbite-tantalite, also known as coltan (the metal ore from which tantalum is extracted); cassiterite (the metal ore from which tin is extracted); gold; wolframite (the metal ore from which tungsten is extracted); or their derivatives; or (2) any other mineral or its derivatives determined by the Secretary of State to be financing conflict in the covered countries. Collectively, these four types of minerals are called “3TGs.”

1.0 PURPOSE: This document outlines/describes the method for determining whether the products contain “conflict minerals” (tin, tungsten, tantalum, and gold) and whether these minerals originate in the Democratic Republic of the Congo (DRC) or an adjoining country.

2.0 SCOPE: The scope of this Manual includes applicable parts available as a stock (OTF), custom-made, or made to specification (MTS) involving Conflict Minerals Compliance.

Parts are processed through Arena, Agile, or Enovia PLM Central. Refer to the work instructions of Manufacturing Change Order (MCO), and Request Process and Processing a Compliance Using Arena, Agile, or Enovia PLM Central.


Researching the origin of minerals through the supply chain is a complex endeavor. As a manufacturer of pharmaceutical research and development, ABCXYZ consumes components and materials containing 3TG (tin, tungsten, tantalum, and gold) and does not purchase them directly from mines, smelters, or refiners. Therefore, to meet our goal of being DRC Conflict-Free, we must collaborate with suppliers, industry peers, and other stakeholders. To this end, we seek to advance tools and programs that simplify due diligence processes through the supply chain and increase the supply of verifiably DRC Conflict-Free minerals.


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3.1: Maintain the provision in ABCXYZ standard terms of purchase that require all applicable suppliers to abide by ABCXYZ’s Supplier Policies. ABCXYZ's suppliers (persons or entities who provide goods or services to ABCXYZ or who conduct business for or act on ABCXYZ's behalf) (collectively, "Suppliers") are integral to our success and a reflection of the company overall. The Supplier Code of Conduct establishes minimum standards to which ABCXYZ expects each of its Suppliers to adhere. The SCOC is based on the RBA Code of Conduct but also reflects additional ABCXYZ requirements. We expect our Suppliers (and their respective employees, subcontractors, and suppliers) to ensure the requirements of the SCOC are met within their supply chains.

Examples of the EICC Code of Conduct (Electronic Industry Citizenship Coalition) and RBA Code of Conduct (Responsible Business Alliance) include its conflict mineral provision.

3.2: Strengthen supplier requirements by adding provisions to ABCXYZ agreements that require suppliers to work with their suppliers to motivate and assist their smelters in becoming recognized as a Conflict-Free Smelter by CFSI (Conflict-Free Sourcing Initiative). If a supplier identifies errors in their Conflict Minerals Reporting Template (CMRT) or other relevant materials provided to ABCXYZ, they have an affirmative obligation to notify ABCXYZ as soon as practical. The new provisions also require ABCXYZ suppliers to permit ABCXYZ to review their conflict minerals programs upon reasonable advance notice and an indication of the objectives of such review.

3.3: The quality review process, whereby they are reviewed for reasonableness and suitability for supporting ABCXYZ conflict minerals determination and reporting. Where we noted obvious discrepancies or encountered problems with the usability of the information, we contacted suppliers to correct or explain information in their submittals. ABCXYZ otherwise relied on the information that suppliers provided to us about the source of 3TG contained in their products.


4.1: Get proof of certificate by being listed on supplier websites. Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, mandates that companies listed on American stock markets disclose whether their products contain conflict minerals: tantalum, tin, tungsten, and gold originating in the Democratic Republic of the Congo (DRC), which presently includes Angola, Burundi, Central African Republic, the Republic of the Congo, Rwanda, South Sudan, Tanzania, Uganda, and Zambia.

Request that the supplier provides the Conflict Minerals Policy Statement, which declares to act in a socially and environmentally responsible manner, comply with the laws, meet its customer commitments, and support its customers’ businesses. Download the Conflict Mineral Policy Statement and attach it under the Supplier’s directory.

Example of a Conflict Minerals Policy Statement. A Conflict Minerals Policy Statement is a declaration of a company’s commitment, collaboration, and compliance with all applicable conflict minerals laws and regulations.

4.2: Get a written certificate directly from the supplier regarding conflict minerals. Request that the supplier provides the Conflict Minerals Report, which includes the field identity of each smelter and refinery in the supply chain. Download and attach the Conflict Minerals Report under the Supplier’s directory.

Example of a Conflict Mineral Report. Form SD is a Specialized Disclosure Report Form to disclose 3TG information if any conflict minerals are used by the registrant.

4.3: Get material content information from suppliers regarding 3TG and decide on compliance based on numbers including these minerals. The Material Declaration Data Sheet identifies the materials and chemicals used in a product, packaging, and manufacturing processes. The supplier provides this information to customers so they can make informed decisions and reduce their own environmental impacts, subject to the need to protect confidential information for legitimate business needs and innovation. Go upstream, if necessary, supplier to supplier. This document contains material content information for typical consumer systems and products. Download and attach the MDDS document to the Design Document.

Example of a Material Declaration Data Sheet. To search for an MDDS document, enter either the Manufacturer Material Master number (MM#) or the Mfr. Product Code, or the Ordering Part Number (OPN) into the search field.

4.4: If the supplier doesn’t have the information, but they did due diligence to get the info and reported it then it could be compliant, not having a certificate doesn’t mean non-compliant. If at any point during the search of that due diligence the supplier determines that it does not have the conflict minerals information or the minerals did not originate in the covered countries or came from recycled or scrap sources, the supplier is not required to disclose a Conflict Minerals Regulation (CMR) or to obtain an Independent Private Sector Audit (IPSA) report. However, in adhering to compliance standards, a Company Supplier Policies or a Responsible Business Alliance Code of Conduct (RBA) general rule or a Statement on Conflict Minerals should be made available to the public. Download and attach these documents under the Supplier’s directory.

*2017. The Trump Administration signaled that rules like the US conflict minerals rule might be eliminated. Members of Congress introduced legislation that would have repealed Section 1502 of Dodd-Frank, which was the legislative basis for the US conflict minerals rule. No such legislation was passed.

*EU Regulation. As the EU Conflict Minerals Regulation did not come into force until 1 January 2021, this does not form part of the UK's EU retained law.

Example of a Company Supplier Policies, a Responsible Business Alliance Code of Conduct, and a Statement on Conflict Minerals.

• Question. If a supplier is not a manufacturer, or does not contract to manufacture products that contain conflict minerals, does it still need to provide a Specialized Disclosure Report (SD Form example)?

– Answer. SEC Final Rule specifically states that a supplier that is a service provider and specifies to a manufacturer that a cell phone to be purchased for retail sale must be able to function on a certain network does not in and of itself exert sufficient influence to “contract to manufacture” the phone. However, a supplier that assembles components that may contain conflict minerals is subject to the Final Rule even though it does not provide any direction to its suppliers specifying the use of minerals contained in its final product.

4.5: If information suggests that it does include tantalum, tin, tungsten, or gold from information or testing, then get proof that 3TG didn’t come from the DRC. If the 3TG minerals are found to be from ‘covered countries’ which means from the DRC or 9 surrounding countries, suppliers/manufacturers are obliged to carry out a “due diligence” review of their supply chain to determine whether their mineral purchases are funding armed groups or contributing to serious human rights abuse in the covered countries. A Specialized Disclosure Report should be made available to the public to disclose 3TG information of any conflict minerals used by the registrant. 

To search for an MDDS document, enter either the Manufacturer Material Master number (MM#) or the Mfr. Product Code, or the Ordering Part Number (OPN) into the search field.

4.6: Send it out for testing to make sure the product doesn’t include 3TG. Companies may use various sources of data to determine whether conflict minerals are present in their products and supply chains, which may include MSDS, bills of materials, or other information provided by suppliers. An MSDS is intended to provide workers and emergency personnel with procedures for handling or working with a substance in a safe manner and includes information such as physical data (melting point, boiling point, flash point, etc.), toxicity, health effects, first aid, reactivity, storage, disposal, protective equipment, spill-handling procedures, etc.

Companies can choose to collect the required data by questioning their suppliers on 3TG sourcing. This can be done by using the Conflict Minerals Reporting Template (CMRT) form, which is considered the standard for communicating the necessary data for meeting the regulatory requirements surrounding Conflict Minerals. The CMRT form allows for companies to communicate whether 3TGs are used in their products and where they originate from.


• Metal Laboratory Services for testing Coltan (the metal ore from which tantalum is extracted); cassiterite (the metal ore from which tin is extracted); gold; wolframite (the metal ore from which tungsten is extracted).

Supply Chain Data Management solution provides transparency, traceability, and a real understanding of your supply chain data so you can protect your brands, remove market access barriers, and reduce operational and financial risk.

FLSmidth Minerals Testing and Research Center and local FLSmidth testing center services extend to complete in-plant consultations, plant surveys, and grade and recovery optimization.

Claigan Consulting and Laboratory testing, and supply chain data gathering with experience with professional products, consumer products, medical devices, industrial products, and electronic components.


EICC: Electronic Industry Citizenship Coalition Code of Conduct establishes standards to ensure that working conditions in the electronics industry supply chain are safe, that workers are treated with respect and dignity, and that business operations are environmentally responsible and conducted ethically. EICC Template.

GeSI: Global e-Sustainability Initiative facilitates real-world solutions to real-world issues within the ICT industry and the greater sustainability community.

IPSA: Independent Private Sector Audit expresses an opinion or conclusion as to (1) whether the design of the registrant's due diligence framework as set forth in the CMR, with respect to the period covered by the report, is in conformity with, in all material respects, the criteria set forth in the nationally or internationally.

RCOI: Reasonable Country of Origin Inquiry conducts to determine whether its in-scope 3TG content is sourced from the Democratic Republic of the Congo (DRC) or one of the covered countries or is from recycled or scrap sources.

RCS Global Group: Assesses suppliers and sub-suppliers and advises on how to improve their responsible sourcing, responsible mining, and ESG performance.

RMI: Responsible Minerals Initiatives provide companies with tools and resources to make sourcing decisions that improve regulatory compliance and support responsible sourcing of minerals from conflict-affected and high-risk areas.

SEC: U.S. Security and Exchange Commission oversees securities exchanges, securities brokers and dealers, investment advisors, and mutual funds to promote fair dealing, the disclosure of important market information, and prevent fraud.

OECD: Organization for Economic Cooperation and Development is a unique forum where the governments of 37 democracies with market-based economies collaborate to develop policy standards to promote sustainable economic growth.

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