Conflict Minerals 2014: Looking Back and Looking Ahead
Lawrence Heim, Director - EHS/Environmental Risk, Conflict Minerals and Sustainability
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This highly interactive two day seminar on SEC compliance will:
- review the current status of the conflict minerals disclosure requirements and new SEC guidance/interpretations
- discuss impact on privately-held companies not subject to SEC jurisdiction
SEC Conflict Minerals Disclosure Rule
Less than six months are left in 2014 to understand and respond to the changing landscape. Are you prepared to respond to SEC and your customers?
- present a general overview of the 2013 filings based on a review of 100% of the filings conducted in conjunction with Georgetown Law School
- explore approaches to applicability scoping, key definitions and filing triggers
- discuss data quality concerns/limitations, implications and opportunities for improvement
- clarify the delineation between Reasonable Country of Origin Inquiry (RCOI) and due diligence
- examine Independent Private Sector Audit (IPSA) triggers, auditor guidance and reports
- present Conflict Minerals Report (CMR) strategies to minimize the IPSA cost and effort
The highlight of the session is a real time opportunity to informally benchmark your company’s SEC filings against companies of your choosing based on the data gathered by Elm Sustainability Partners and Georgetown Law School.
Additionally, we recognize that some attendees may be new to the topic and desire a review of the basics. A basics session will be held on the first day that covers the background and fundamental requirements, scope, definitions and terms. This short introduction will help those new to the program as well as offer a refresher for others.
This course is intended to be pragmatic. The learning objectives will help issuers and suppliers alike to develop strategies for calendar year 2014 and beyond that meet their own circumstances, and gain deeper understanding of supplier limitations and customer needs/use of conflict minerals information.
Upon completing this course participants will:
- Understand the SEC disclosure requirements based on new information and the 2013 filings
- Apprehend key definitions and applicability
- Be able to clearly delineate between RCOI and due diligence
- Identify weaknesses in supplier data and ways to improve its reliability and credibility
- Understand various CMR approaches and implications
- Identify cost savings opportunities related to the IPSA
- Recognize where they stand in relation to peer companies based on 2013 filings
Who Will Benefit:
This course is designed for people who have any level of involvement in their company’s conflict minerals team. Typically, the internal teams are cross-functional so this course will benefit a wide range of individuals that have responsibilities related to conflict minerals, such as:
- Senior management responsible for signing SEC filings
- Legal counsel
- Procurement professionals
- Supply chain managers
- Regulatory professionals
- Trade, import/export and customs professionals
- Compliance professionals
- Production managers
- Environmental, health and safety professionals
- Internal audit staff
- Manufacturing engineers
- Research, development and design engineers
- Process owners
The first deadline for filing the inaugural US Securities & Exchange Commission (SEC) conflict minerals disclosures has passed and there is a great deal of variance in companies’ approaches to the Reasonable Country of Origin Inquiry (RCOI), due diligence activities and conflict minerals reports (CMRs). With that now in the rear view mirror, issuers (and their suppliers) can begin working towards increased consistency and reliability of content, format and expectations of the next filing covering calendar year 2014. However, there is more to be learned and done as uncertainty surrounds the “DRC Conflict Undeterminable” classification after calendar year 2014. Conflict minerals programs and strategies will evolve rapidly guided by the first year learnings and new goals and requirements.
|Day One (8:30 AM – 4:30 PM)
||Day Two (8:30 AM – 4:30 PM)
Registration Process: 8:30 AM – 9:00 AM
Basics Session: 9:00 AM - 10:00AM
- Review of key basics
- General process and information flow
- Privately held companies
Full Session Start Time: 10:00AM
- Review of current status of the requirements
- Updates to SEC guidance and interpretations
- April 7, 2014 FAQs
- Determination classifications
- Non-metallic forms of 3TG
- Impact on 2014 filings
- Applicability and scoping assessments
- Non-metallic forms of 3TG
- Necessary for functionality or production
- Supplier/material screening
- Contract to manufacture and influence on design/manufacture
- Private companies – customer mandates
- Reasonable Country of Origin Inquiry (RCOI)
- “Reason to believe conflict minerals may have originated in covered countries”
- Supplier outreach process
- Data management - IT systems or in-house
- Staffing needs
- Parts-level versus company-level disclosures from suppliers
- Data quality, credibility and reliance
- Supplier response rates
- Completeness and acceptance criteria
- Using Conflict Free Sourcing Initiative (CFSI) tools
- CMR template
- Conflict Free Smelter (CFS) program
- Relationship to OECD Due Diligence Guidance
- Due diligence trigger
- Due diligence
- Delineation from RCOI
- Relationship to Conflict Free Sourcing Initiative (CFSI) tools
- Relationship to OECD Due Diligence Guidance
- Product determinations/classifications
- Review of 2013 SEC filings
- RCOI versus due diligence
- CMR content
- Notable filings
- EU directive status
- Impact of section 1502 in the region
- Assessing stakeholders
- Strategies for 2014
- Applicability determinations
- Product and supplier screening
- Customer mandates
- Supplier outreach
- Data management
- Completion and acceptance criteria
- Parts-level or company-level disclosures
- Verification of data
- Defining RCOI
- Defining due diligence
- Form SD
- Customer mandates
- Product determination disclosure
- Approaches for minimizing IPSA costs
- Interactive SEC filing benchmarking session
Meet Your Instructor
Director - EHS/Environmental Risk, Conflict Minerals and Sustainability
Lawrence Heim is a director in the Atlanta office of Elm Sustainability Partners, a wholly-owned subsidiary of The Elm Consulting Group International LLC, an independent environmental, health, safety and sustainability (EHSS) consulting practice. The focus of his 29 years’ experience has been the design, implementation and oversight of a wide range of EHSS audit, risk assessment and related management system programs. He is the firm’s lead on conflict minerals and conducted third party conflict minerals traceability audits for tantalum smelters in 2010, resulting in two of the first conflict-free smelter designations granted by the Conflict Free Smelter (CFS) program.
Currently he is working with a range of industries on conflict mineral programs and auditing for clients that include Fortune 50 and 350 companies. Mr. Heim was the only EHSS consultant selected by the US Securities and Exchange Commission (SEC) as a panelist at their 2011 Conflict Minerals Roundtable. He was selected by The Auditing Roundtable to lead the development of auditor guidance for use in applying GAO performance audit standards to independent private sector audits of Conflict Minerals Reports. He is a frequent contributor to the media and has made numerous presentations on the subject for organizations including the American Bar Association, BNA Bloomberg, the Society of Corporate Secretaries and Governance Professionals, EICC/the Conflict Free Sourcing Initiative and Thomson Reuters among others.
Mr. Heim is a certified professional environmental auditor and a former board member of The Auditing Roundtable.
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