Conflict Minerals Resource Center
May 2013
On August 22, 2012, the SEC adopted the final rule implementing Section 1502 of the Dodd-Frank Act, the Conflict Minerals Rule, aimed at reducing a significant source of funding for armed groups that are committing human rights abuses and contributing to the conflict in the Democratic Republic of the Congo. Under the final rule, SEC reporting companies that manufacture or contract to manufacture products that contain conflict minerals must conduct diligence on the source and chain of custody of the applicable conflict minerals. In some cases, the company must publicly disclose in a new SEC form, Form SD, that its products containing the minerals have not been found to be "DRC conflict free."
SRZ has been following the development of the Conflict Minerals Rule since the passage of Dodd-Frank Act. Our Conflict Minerals Resource Center is continuously updated to reflect new developments and new resources available to help public and private companies comply with the conflict minerals rule.
SRZ's Conflict Minerals Resource Center is periodically updated to reflect new developments. Click here to receive alerts when new materials are added.
For more information on Conflict Minerals Rule compliance, please email Michael Littenberg at
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SRZ Authored Resources
Legal Challenges to the SEC's Conflict Minerals Rule
SEC Resources (Includes Final Rules Adopted by the SEC)
State Department and Other U.S. Government Resources
OECD Resources
Industry Group Resources
Selected Form Documents
NGO and UN Resources
State and Local Materials
Other Resources
Non-US Initiatives
Other Supply Chain Disclosure Initiatives
SRZ in the News
SRZ Client Alert: Is Conflict Minerals Regulation Going International? New Developments in Canada and the EU
SRZ White Paper: Ramping Up Conflict Minerals Rule Compliance — A Near-Term Checklist for Public and Private Companies
SRZ Client Alert: Conflict Minerals Rule Challenged in Court — What Should Public and Private Companies Do Now? Near-Term Action Items in Today’s Uncertain Regulatory Environment
Practical Law Company: Conflict Minerals Diligence
Practical Law Company: Conflict Minerals Rule Compliance Resources
SRZ Client Alert: SEC’s Conflict Minerals Rule Challenged in Court
Diamond District Monthly: Conflict Minerals Rule Adopted: Compliance Considerations for Privately Owned Companies in the Jewelry Industry
IR Magazine: What IR Departments Need to Know About the SEC’s Conflict Minerals Rule
SRZ Client Alert: The New Conflict Minerals Rule: An Overview for Private Equity and Venture Capital Professionals
Practical Law Company: Preparing for Conflict Minerals Rule Compliance: Company Action Items Checklist
SRZ Client Alert: SEC Adopts Final Conflict Minerals Rule: An Overview of the Rule, Action Items and Resources for Compliance
Diamond District Monthly: The SEC's Conflict Minerals Rule — An Overview for Companies in the Jewelry Industry
Marcum News & Events: The SEC's Conflict Minerals Rule — An Overview for Public and Private Companies
Webinars
Practical Law Company/Schulte Roth & Zabel Conflict Minerals Webinar
An Overview of the EICC and GeSi Conflict Minerals Reporting Template & Dashboard and Conflict Free Smelter Program Webinar
An Overview of the EICC and GeSi Conflict Minerals Reporting Template & Dashboard and Conflict Free Smelter Program Slides
OECD Due Diligence Guidance and Final Report on Pilot Implementation Webinar
OECD Due Diligence Guidance and Final Report on Pilot Implementation Webinar Slides
Industry Solutions for Conflict Minerals Rule Compliance — AIAG Speaks Webinar
Industry Solutions for Conflict Minerals Rule Compliance — AIAG Speaks Webinar Slides
Action Items for Developing the Conflict Minerals Compliance Program Webinar
Action Items for Developing the Conflict Minerals Compliance Program Webinar Slides
IPC’s Conflict Minerals Due Diligence Guide Webinar
IPC’s Conflict Minerals Due Diligence Guide Webinar Slides
IPC’s Conflict Minerals Data Exchange Standard Webinar
IPC’s Conflict Minerals Data Exchange Standard Webinar Slides
Conflict Minerals: Industry Veterans Speak Out on the Changing Requirements of Due Diligence Webinar
NEW Conflict Minerals: Meeting NGO and Investor Expectations Webinar
NEW Conflict Minerals: Meeting NGO and Investor Expectations Webinar Slides
National Association of Manufacturers, Chamber of Commerce of the United States of America, Business Roundtable v. United States Securities and Exchange Commission
Documents Filed in the U.S. Court of Appeals for the District of Columbia
The Petition for Review
Amended Petition for Review
Scheduling Order
Amnesty International Motion to Intervene
Petitioners' Consent Motion to Expedite
Preliminary Statement of Issues
Clerk’s Order with Dates
Certificate Listing and Describing the Record Before the Securities and Exchange Commission
Amended Order Granting Amnesty International Intervenor Status
Opening Brief of the Petitioners
Notice of Consent of the Parties to the Participation of Experts on the Democratic Republic of the Congo as Amicus Curiae
Notice of Intent to File Amici Brief in Support of Petitioner by the American Coatings Association, Inc., the American Chemistry Council, the Can Manufacturers Institute, the Consumer Specialty Products Association, National Retail Federation, Precision Machined Products Association and The Society of the Plastics Industry, Inc.
Industry Coalition Amici Brief in Support of Petitioners
Order Scheduling Oral Argument for May 15, 2013
Opening Brief of the Respondent
Brief of Amici Curiae Global Witness and Former Members of The United Nations Group of Experts on the Democratic Republic of The Congo in Support of Respondent
Amicus Brief for Respondent Filed by Twelve Current and Former Members of Congress
Intervenor for Respondent Brief Filed by Amnesty International
Amicus Brief for Respondent Filed by Better Markets, Inc.
Reply Brief of Petitioners
Deferred Joint Appendix
Intervenor for Respondent, Final Brief Filed by Amnesty International
Final Opening Brief of the Petitioners
Final Reply Brief of the Petitioners
Final Reply Brief of the Securities and Exchange Commission, Respondent
NEW Per Curiam Order Dispensing of the Oral Argument
NEW Petitioners' Motion to Transfer and for Leave to File Under Circuit
Rule 27(g)
NEW Response by Amnesty International Limited and Amnesty International USA Not Opposing the Motion to Transfer
NEW Per Curiam Order Granting Petitioners' Motion to Transfer Case to the USDC District of Columbia
NEW Letter Sent to Transfer Case to USDC District of Columbia
Documents Filed in the District Court After Transfer from the Court of Appeals
NEW Scheduling Order
Court's Minute Order Issued May 16, 2013:
“MINUTE ORDER: It is hereby ORDERED that the status conference set for May 28, 2013 at 9:30 AM is VACATED; and it is further ORDERED, that the parties shall appear on July 1, 2013 in Courtroom 27A at 9:30 AM for a motions hearing on Plaintiffs, Defendants and Intervenor Defendants 15 , 16 & 17 Motions for Summary Judgment before Judge Robert L. Wilkins. Signed by Judge Robert L. Wilkins on 5/16/2013. (tcb) (Entered: 05/16/2013)”
Other Sources
Global Witness — Gutless Companies Launch Lawsuit to Avoid Coming Clean on Conflict Minerals
Global Witness — Companies Must Take Clear Position on Legal Threat to Conflict Minerals Provision
Global Witness — Companies Must Come Clean on Conflict Minerals Lawsuit
Resource Extraction Rule Litigation
NEW American Petroleum Institute, et al. v. Securities and Exchange Commission — D.C. Circuit Court Opinion (ordering removal for lack of subject matter jurisdiction)
SEC Adopts Final Rules on Conflict Minerals
SEC Press Release — SEC Adopts Rule for Disclosing Use of Conflict Minerals, 8/22/12
SEC Open Meeting Statement by Chairman Mary L. Schapiro
SEC Conflict Minerals Open Meeting Statement by Commissioner Troy A. Paredes
SEC Open Meeting Statement by Commissioner Luis A. Aguilar
SEC Open Meeting Statement by Commissioner Daniel M. Gallagher
SEC Open Meeting Statement by Commissioner Elisse B. Walter
SEC’s Division of Corporation Finance Conflict Minerals Disclosure — A Small Entity Compliance Guide
SEC Proposed Release on Conflict Minerals
SEC Transcript of Roundtable on Conflict Minerals
Congressional Research Service: Conflict Minerals in Central Africa — U.S. and International Responses
GAO — Conflict Minerals Disclosure Rule: SEC's Actions and Stakeholder-Developed Initiatives
GAO — Government Auditing Standards
State Department Conflict Minerals Map
State Department Statement Concerning Implementation of Section 1502 of the Dodd-Frank Legislation Concerning Conflict Minerals Due Diligence
Statement Concerning Continued Implementation of Conflict Minerals Due Diligence Pursuant to Section 1502 of the Dodd-Frank Act
Public-Private Alliance for Responsible Minerals Trade Memorandum of Understanding
Public-Private Alliance for Responsible Minerals Trade Draft Work Plan
USAID Minerals & Conflict — A Toolkit for Intervention
OECD Risk Awareness Tool for Multinational Enterprises in Weak Governance Zones
OECD Conflict Minerals Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas
OECD Gold Supplement to the Due Diligence Guidance
OECD Report — Downstream Pilot Implementation of the OECD Due Diligence Guidance, Baseline Report on the Supplement of Tin, Tantalum, and Tungsten
OECD Report — Downstream Pilot Implementation of the OECD Due Diligence Guidance, Cycle 2 Interim Progress Report
OECD Final Downstream Report on One-Year Pilot Implementation of the Supplement on Tin, Tantalum, and Tungsten
OECD Report — Upstream Pilot Implementation of the OECD Due Diligence Guidance, Baseline Report
OECD Report — Upstream Pilot Implementation of the OECD Due Diligence Guidance, Cycle 2 Interim Progress Report
Final Upstream Report on Implementation of the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas
OECD 2nd ICGLR-OECD-UN Meeting on Implementation of Due Diligence for Responsible Mineral Supply Chains
OECD Work on Conflict-Free Mineral Supply Chains & the U.S. Dodd-Frank Act
OECD Due Diligence Guidance Consultants
EITI Business Guide: How Companies Can Support Implementation
Gold Organizations to Recognize Each Other’s Conflict Audits
International Council on Mining & Metals — Human Rights in the Mining & Metals Sector: Overview, Management Approach and Issues
IPIS Research — Interactive Map of Militarized Mining Areas in the Kivus
ITRI Tin Supply Chain Initiative
iTSCi Project Overview
National Association of Manufacturers Conflict Minerals Main Page
National Retail Federation — Conflict Minerals Information for Retailers
Responsible Jewellery Council Chain-of-Custody Certification
Solutions Network: Conflict Free Tin Initiative
AIAG Resources
AIAG Conflict Minerals Frequently Asked Questions
AIAG Conflict Minerals Reporting Checklist
AIAG/iPoint Conflict Minerals Platform
EICC and GeSI Resources
EICC and GeSI Conflict-Free Smelter Program: Compliant Smelter List
EICC and GeSI Conflict-Free Smelter Program: Smelter Introductory Training and Instruction Document
EICC and GeSI Conflict Minerals Reporting Template & Dashboard
EICC and GeSI Gold Supply Chain Transparency: Smelter Audit
EICC and GeSI Tantalum Supply Chain Transparency: Processor Audit
EICC and GeSI Tin Supply Chain Transparency: Smelter Audit
EICC and GeSI Tungsten Supply Chain Transparency: Smelter Audit
IPC Resources
IPC Conflict Minerals Resources for the Electronics Industry Main Page
IPC Draft Conflict Minerals Due Diligence Guideline
New IPC Guide Spells Out Electronics Manufacturers’ Conflict Minerals Due Diligence Obligations
LBMA Resources
London Bullion Market Association Responsible Gold Guidance
London Bullion Market Association Responsible Gold Programme, Executive Summary
London Bullion Market Association Responsible Gold: Role of the LBMA
London Bullion Market Association Responsible Gold Programme Update, 9/11/2012
World Gold Council Resources
World Gold Council Conflict-Free Gold Standard
World Gold Council Conflict-Free Gold Standard: An Introduction
World Gold Council Conflict-Free Gold Standard Guidance for Assurance Providers
World Gold Council Conflict-Free Gold Standard Guidance for Implementing Companies October 2012
National Association of Manufacturers Supplier Notification Letter
IPC Dear Supplier Letter
IPC Dear Customer Letter
NEW Ban it or Buy It? The Unintended Consequences of Conflict Minerals Policies
NEW BGR (German Federal Institute for Geosciences and Natural Resources) — Certifying Natural Resources: A Comparative Study on Best Practice and Future Scenarios for the Certification of Trading Chains in Mineral Production
Enough Project — From Child Miner to Jewelry Store: The Six Steps of Congo's Conflict Gold
Enough Project Company Rankings on Conflict Minerals
ICGLR Regional Certification Mechanism (RCM) — Certification Manual
Global Witness Guide for Companies — Do No Harm: Excluding Conflict Minerals From the Supply Chain
NEW The Green Program — A 3TG Minerals Traceability Certification Program
Greening ICT Supply Chains — Survey on Conflict Minerals Due Diligence Initiatives
Raise Hope for Congo Conflict Minerals Company Rankings
Report of the UN Group of Experts on the Democratic Republic of the Congo
Responsible Sourcing Network — What's Needed: An Overview of Multi-Stakeholder and Industry Activities to Achieve Conflict-Free Minerals
Solutions for Hope Tantalum Sourcing Project
The STAND Project — The Conflict-Free Canada Initiative
UN Global Compact Business Guide for Conflict Impact Assessment and Risk Management
UN Security Council Letter Dated 12 November 2012 Concerning the Democratic Republic of the Congo
Pittsburgh City Council Proclamation on Conflict Minerals
St. Petersburg City Council Resolution on Conflict Minerals
Text of California Senate Bill No. 861 on Conflict Minerals
Text of Maryland House Bill 425 on Conflict Minerals
Text of Proposed Massachusetts Bill H.2898 on Conflict Minerals
TheCorporateCounsel.net Survey Results: Conflict Minerals
Cheuvreux Credit Agricole Group Conflict Minerals Presentation, October 2012
NEW HP — List of Supply Chain Smelters released April 15, 2013
Australian Government Due Diligence Guidelines for Responsible Supply Chains
European Parliament Resolution with Provision on Conflict Minerals
United Kingdom Foreign and Commonwealth Office — Conflict Minerals: Guiding British Companies Trading in Minerals from the Democratic Republic of Congo to be Socially, Economically and Environmentally Responsible
European Commission — Trade, Growth and Development: Tailoring Trade and Investment Policy for Those Countries Most in Need
Public Consultation on a Possible EU Initiative on Conflict Minerals
Canada — Proposed Legislation, First Reading on March 26, 2013
Text of California Transparency in Supply Chains Act
Press Release from Bill Sponsor on H.R. 2759, Business Transparency on Trafficking and Slavery Act (Pending)
Text of H.R. 2759 — Business Transparency on Trafficking and Slavery Act (Pending)
“Showing Your Metal,” IR Update, May 2013
“SRZ Law Firm Leads the Charge for Conflict Minerals Compliance,” 3BL Media, April 3, 2013
“Conflict Minerals Showdown Heats Up,” ThomasNet Industry Market Trends, March 19, 2013
“Time to Look at the Conflict Minerals Disclosure Requirements,” The D&O Diary, March 7, 2013
“Shareholder Activists Push for Human Rights Committees,” Compliance Week, March 5, 2013
“Conflict Mineral Reports Present Challenges for Auditors,” The Wall Street Journal Corruption Currents Blog, Jan. 29, 2013
“Rocks and a Hard Place; Lawsuit Challenges SEC Disclosure Rule on Origins of Four 'Conflict Minerals,’” The National Law Journal, Jan. 28, 2013
“Regulators Have Unfinished Business to Complete in 2013,” Compliance Week, Jan. 2, 2013
"Gut Check: A New SEC Rule Forces Companies to Plumb the Sources of Their Products," Corporate Counsel, Nov. 1, 2012
"Conflict Minerals Rule in Limbo, as Legal Challenge Awaits," Compliance Week, Oct. 30, 2012
"Business Groups File Challenge to SEC Conflict Minerals Rule," Corporate Counsel, Oct. 24, 2012
"Business Groups Sue to Block 'Conflict Minerals' Rules," The Wall Street Journal Corruption Currents Blog, Oct. 22, 2012
"Manufacturers Mount Legal Challenge to Conflict Minerals Rule," CFO Journal, Oct. 22, 2012
"Watch Conflict Minerals Rule, PE CCOs Warned," Compliance Intelligence, Oct. 22, 2012
"U.S. Chamber, NAM Take Legal Action Against Conflict Minerals Rule," Compliance Week, Oct. 22, 2012
"Dodd-Frank Opponents Consider New Legal Challenges," Compliance Week, Oct. 16, 2012
"Initial Reactions: Businesses Score on Conflict Minerals, Lose on Extractive Industry Disclosures," The Wall Street Journal, Sept. 22, 2012
"SEC's 'Conflict Minerals' Rules Open Companies to Activists," The Wall Street Journal, Sept. 19, 2012
"What IR Departments Need to Know About the SEC’s Conflict Minerals Rule," Inside Investor Relations, Sept. 17, 2012
"How Conflict Minerals Rules Affect Steel Scrap and Gold Supply Chains," MetalMiner, Sept. 5, 2012
"Schulte Roth & Zabel: Taking Action on the New Conflict Minerals Rule," Practising Law Institute - Securities Law Practice Center, Aug. 30, 2012
"High Tide: From Britain’s FATCA to Rejecting Tymoshenko’s Appeal," The Wall Street Journal, Aug. 29, 2012
"Conflicts Start Early on Minerals Rule; 'Absolutely Insane,'" Compliance Week, Aug. 28, 2012
"Conflict Minerals Action Items (Schulte Roth & Zabel)," Dodd-Frank Section 1502 Blog, Aug. 27, 2012
"SEC Rule Mandates Sourcing of 'Conflict Minerals' at U.S. Companies," Corporate Counsel, Aug. 24, 2012
"US Companies Face Tougher Rules on African War Zones," The Global Legal Post, Aug. 24, 2012
"Apple, Boeing Among Thousands Explaining Metal Origins to SEC," Bloomberg, Aug. 22, 2012
"SEC's Toned-Down Conflict Mineral Rule Still Faces A Fight," Law360, Aug. 22, 2012
"U.S. Oil and Mining Companies Must Disclose Payments to Foreign Governments," The New York Times, Aug. 22, 2012
"US SEC Forces Disclosure of Oil, Mining Payments Abroad," Trust Law, Aug. 22, 2012
"SEC Said Poised To Make Companies Report Business With Warlords," Bloomberg, July 25, 2012
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