RBA 2020 Annual Report by Responsible Business Alliance

2020 ANNUAL REPORT R ES PONS IBLE BUSINES S A LLIA NCE 2020 ANNUAL REPORT

CONTENTS

1 Message from the CEO 3 Response to COVID-19 Pandemic 4 Code of Conduct 7.0 5 Updating the Strategic Plan 6 Responsible Labor Initiative 11 Responsible Minerals Initiative 18 Public Policy 19 Stakeholder Engagement 20 Environmental Sustainability 22 Chemical Management 22 Workplace Well-Being 23 Quality of Life Metric 24 Indirect Spend 25 Training and Capability-Building 27 In-Person and Virtual Trainings 29 RBA and RMI Member Meetings 30 RBA & RMI Annual Conferences 37 Compass Awards 2020 38 Meetings and Events 44 RBA-Online 45 Risk Assessment Platform 46 Worker Voice Platform 47 VAP Improvements 48 VAP Audits 52 Membership Growth 53 FY 2020 Financial Highlights 54 Senior Leadership, Board and Staff 56 RBA Members as of April 2021

R E S P O N S I B L E B USINE SS AL L IANCE 2020 ANNUAL REPORT

MESSAGE FROM THE CEO Dear Colleagues, Despite the challenges the world faced in 2020 with the global pandemic, the RBA had a very productive year. While many other organizations struggled, we were very fortunate to have the strong support of our members and an infrastructure that enabled us to continue our important work. The RBA launched new programs and tools and improved existing ones, worked and partnered with governments, intergovernmental organizations, NGOs, industry groups and other stakeholders, opened an office in Europe, held numerous virtual events and trainings, and added new members, thereby extending our reach and influence. We invested heavily in new data analytics capabilities and the RBAOnline sustainability data management system, improved our Validated Assessment Program, updated our Code of Conduct and our strategic plan with member and stakeholder input, and developed a new Worker Voice Platform. We also published guides and briefed members and stakeholders on issues related to recruitment fees, responsible business conduct, future EU due diligence legislation, and the new EU conflict minerals regulation, among others. As the full scope of the pandemic came into focus, many members turned to us for information and tools that would help them manage their due diligence efforts during the crisis. The RBA created a COVID-19 Resources Hub for members with advisories, tools and other crucial resources to help ensure workers were protected, sustainability gains were not lost, and supply chain resiliency was maintained. The RBA’s Responsible Labor Initiative (RLI) expanded its multi-industry membership and its partnerships with key stakeholders and demonstrated significant, positive impact through its Responsible Workplace and Recruitment Programs. Other highlights included the release of its Responsible Recruitment Due Diligence Toolkit, the expansion of its SVAP on Forced Labor capacity, and increased advocacy in multiple countries. In addition, the RLI and its members collaborated to facilitate the repayment of worker recruitment fees in excess of US$50M to date. Our Responsible Minerals Initiative (RMI) continued to enhance and increase participation in its Responsible Minerals Assurance Process, Downstream Assessment Program, and Risk Readiness Assessment, as well as its many other resources and tools. In 2020, 282 out of 391 known tin, tantalum, tungsten, gold and cobalt smelters or refiners were either active or conformant to the RMAP or a crossrecognized program. The RMI developed new due diligence standards jointly with partner organizations for copper, lead, nickel and zinc, and also developed its own ESG, Minerals Agnostic, and Recycle/Scrap standards. These are just some of the milestones achieved during what was an otherwise challenging year. We encourage you to read on for details about these and other efforts. Thanks to the active participation and support of our members, the RBA and its initiatives will continue to make great strides and we look forward to the road ahead. Sincerely,

ROB LEDERER

CEO, Responsible Business Alliance

R ES PONS IBLE BUSINES S A LLIA NCE 2020 ANNUAL REPORT

PRESENCE EXPANDED PRES ENC E I N EUR OP E As companies continue to face a multitude of legislative proposals across Europe related to human rights due diligence, and other issues, the RBA understands the importance of representing the global supply chain perspective and helping member companies live into rising expectations. To support the RBA’s longstanding efforts in Europe related to responsible business conduct, responsible minerals sourcing, public procurement, environmental and other issues, we opened an office in Brussels, Belgium and hired a European Director to represent the RBA and its membership.

NEW HEADQUARTERS In February 2020, the RBA and its Board of Directors hosted an open house and ribbon-cutting ceremony at the new RBA headquarters in Alexandria, Virginia. The larger space will allow for future growth and capabilities that will enable us to better support our members and the vision and mission of the RBA and its Initiatives.

R E S P O N S I B L E B USINE SS AL L IANCE 2020 ANNUAL REPORT

RESPONSE TO THE COVID-19 PANDEMIC

COVID-19 surprised the world and affected many aspects of international supply chains. Travel came to a halt, many facilities became inaccessible, and workers were negatively impacted. The RBA responded quickly to the needs of its members and workers in their supply chains through actions including:

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• Publishing Member Advisories on the changing environment due to the pandemic. • Creating a COVID-19 Resource Hub with a collection of reference resources from internationally recognized organizations such as the ILO and United Nations, as well as best practices from RBA members. • Surveying members and suppliers over time to assess the impact of the pandemic on manufacturing globally and track fluctuations by country. • Hosting webinars for members on worker well-being and protections. • Created a COVID-19 Audit Checklist to ensure that auditors and auditees followed appropriate protocols and provided auditors with PPE and a touchless thermometer to take with them on-site. • Distributed an FAQ guide to members on responsible business conduct during the pandemic. • Created a Remote VAP Audit Protocol using video conferencing technology to protect workers and assess sites that were not accessible due to restrictions. • Moved all conferences, outreach meetings, and trainings to a virtual format. • Enabled RBA staff to fully support members while working remotely.

REMOTE AUDITS While remote audits are not an equal substitute for in-person audits, they served as an interim measure and provided some oversight at locations that were otherwise inaccessible in 2020. This was important because workers were still at risk, and maybe even more so, during the pandemic. Therefore, the RBA set out to create a Remote VAP for the best assessment possible when we could not dispatch auditors on-site. The process began with a proof of concept. We partnered with an approved audit firm that had remote technology for audits. We reviewed their eligibility parameters, conducted a remote shadow of an audit, and reviewed the audit report for the ability to find serious issues. The audit reached a level of quality, and had sufficient findings, to warrant a pilot. We set up a pilot with three different audit firms and asked members to volunteer to have a VAP conducted remotely. Members were eager to help prove this concept and within two months we had successfully piloted the program. This program is being temporarily offered during the pandemic when an on-site VAP is not possible due to government travel restrictions on the receiving side, or when an auditor cannot get to the site due to travel restrictions on the sending side. In 2020 we conducted 30 remote VAPs and are planning on extending the program through 2021. R ES PONS IBLE BUSINES S A LLIA NCE 2020 ANNUAL REPORT

CODE OF

C O N D U C T 7.0

Every three years the RBA goes through an intense, multi-stakeholder, year-long process to update its Code of Conduct to ensure its continued relevance to international norms and issues members may face in their supply chains. The process begins with an open submission period for proposed changes to the Code, which include changes to existing provisions as well as new additions. The submission process is open to anyone, including nongovernmental organizations, academia, government, and all levels of RBA membership. Once the proposals have been submitted, a consolidation process takes place to eliminate duplicates and harmonize similar proposals. Afterward, there is a 30-day member comment period and final proposals are moved forward for a vote. In 2020 we had nearly 200 proposals for Code changes or additions. Once the consolidation process was complete, 71 proposals moved forward to a vote. After 75 percent of eligible members cast their votes, 29 proposal had passed, impacting 17 elements of the Code. The main themes that emerged were accelerating change and alignment with international standards. The RBA Code of Conduct is very robust and mature, having gone

through this process numerous times previously, and as evidenced by the proposals submitted and approved. The four most notable changes include: • Corporate-level GHG reduction targets • Managing ozone depleting substances • Eliminating gender-based violence and bullying • Corporate-level conflict minerals policy based on OECD Guidance Following the approval of the Code changes, the Validated Assessment Program (VAP) was updated to reflect those changes and trainings were rolled out for members, suppliers and auditors. Code of Conduct 7.0 and the public version of the Operations Manual were published on the RBA website. The new Code went into effect in January 2021 and is available in 27 languages or dialects.

VO TE

Code 6.0

External Party hired to identify gaps to other standards

Members identify areas of opportunity for Code proposals

External stakeholders contribute Code suggestions

R E S P O N S I B L E B USINE SS AL L IANCE 2020 ANNUAL REPORT

Member collaboration & dialogue on proposals

Membership vote

Code 7.0

UPDATING THE

STRATEGIC PLAN

The RBA underwent a dramatic change in 2015 with the launch of its first five-year strategic plan. It was that strategy that ultimately led to what is now the Responsible Business Alliance and the creation of four categories of membership. In 2020 the Board of Directors tasked the RBA staff with refreshing the strategic plan for the next five years. The process took approximately one year, during which time there were numerous in-person and virtual meetings and webinars. The draft Strategic Plan Refresh was the lead discussion at the 2020 Leadership Circle event where members, stakeholders and staff distilled the plan into five pillars:

SCOPE and STRUCTURE

ACCELERATING INFLUENCE

EMERGING ISSUES

SUPPLY CHAIN RESPONSIBILITY

CAPABILITYBUILDING and IMPACT

Following the Leadership Circle, the plan went into a 30-day member comment period and then a vote. The plan was approved as directionally correct and RBA staff was given the green light to proceed with developing detailed plans for each pillar. Starting in January 2021 each element of the plan is being assessed and operationalized. The plan will be fully implemented by January 2025.

R ES PONS IBLE BUSINES S A LLIA NCE 2020 ANNUAL REPORT

RESPONSIBLE LABOR

INITIATIVE

In 2020, increased risks to migrant workers during the global health pandemic, as well as evolution of the geo-political landscape, brought additional focus from the international community to the topic of trafficked and forced labor. The RBA’s Responsible Labor Initiative (RLI) continued to provide support to members by adapting and growing our due diligence approach and tools as well as ensuring continued engagement with an even broader stakeholder community. In addition, our membership and partnerships grew and diversified during the year, adding to our ability to affect positive change in this critical area. During 2020, the RLI’s key achievements included: • Measured progress of the initiative’s strategic priorities • Launching critical guidance to our membership on recruitment fees and due diligence • Demonstrating impact on the ground through our Responsible Workplace and Recruitment Programs

P R O G R E S S O N S T R AT E G I C I N I T I AT I VES Building on the momentum of prior years, the initiative demonstrated progress against its RLI Strategic Framework areas, including: Collective influence through membership growth and partnerships The RLI worked to deepen its collective influence through engagement with additional industries and external partners. Leading companies in the Household Appliance, Medical Supplies and Solar sectors joined the initiative to strengthen the efforts of our existing members in the electronics, automotive, toy, retail, food and beverage, footwear and apparel, telecommunications and other sectors. In addition, the RLI advanced key partnerships with influential organizations, including those with seats on our multi-stakeholder steering committee, to complete activities including: • Developed and released the Responsible Recruitment Due Diligence (RRDD) Toolkit in partnership with the International Organization for Migration (IOM). In addition, the RLI worked with IOM to educate members on protecting migrant workers during the global pandemic through a co-hosted webinar. • Continued development of an enhanced investigative skills training for forced labor auditors with the International Justice Mission (IJM). • Partnered with Shift to launch a project to define an RLI Theory of Change and Impact Measurement Framework.

• Navigating country-specific risks with our membership

R E S P O N S I B L E B USINE SS AL L IANCE 2020 ANNUAL REPORT

Geographic expansion Despite the disruption to international travel and faceto-face engagement in 2020, the RLI continued efforts to reach more geographies with its key programs, tools and services as well as advocacy efforts. Some of the expansion areas included: • Expanded Supplemental Validated Audit Process (SVAP) on Forced Labor auditor and interviewer capacity in a number of countries, including Malaysia, Thailand, Singapore and Chinese Taipei. • Launched instructor-led training on Forced Labor Prevention as well as RRDD implementation in Malaysia and Chinese Taipei. • Helped members conduct due diligence related to external allegations of adverse human rights impacts in ethnic minority migrant worker populations. • Expanded advocacy efforts for responsible recruitment into Vietnam, in partnership with the International Labour Organization (ILO) and IOM. Transparency and impact measurement Measuring the impact of efforts to combat trafficked and forced labor has been a challenge for all industries and stakeholders. It requires a focus on the improvement of key leverage points within a system to truly reflect progress. With this in mind, the RLI began working with Shift in 2020 to articulate the initiative’s Theory of Change that will serve as the foundation for an Impact Measurement Framework for the companies and industries with which we engage. This framework will allow the RLI to develop a baseline for measuring

progress year-over-year in the future to further facilitate transparency into private-sector progress. In addition, in 2020, the RLI and its members combined to demonstrate progress on existing indicators including the repayment of recruitment fees to workers in excess of US$50M to date. Growing Resources to Accelerate Due Diligence Part of the core mission of the RLI is applying collective influence in supply chains to affect change. In order to continue to enable this shared action across supply chain actors, the RLI published resources for members focusing on two critical areas for making progress on eliminating conditions that contribute to forced labor.

The RLI and its members combined to demonstrate progress including the repayment of recruitment fees to workers in excess of US$50M to date.

R ES PONS IBLE BUSINES S A LLIA NCE 2020 ANNUAL REPORT

These resources, highlighted below, build on the already substantial resources, tools and programs available to RBA and RLI members. • Practical Guide to Due Diligence on Recruitment Fees in International Supply Chains: The charging of recruitment fees to migrant workers is a key driver of debt bondage and remains one of the most difficult areas for companies to address in their supply chains. This guidance document was developed to demystify the implementation of “no fees” policies in supply chains, leveraging the deep knowledge and experience that the RBA, RLI and our members have gained over many years of direct engagement in the field. The executive summary of this Practical Guide is publicly available on the RBA website and members can access the full guide in the RBA Learning Academy. • Responsible Recruitment Due Diligence (RRDD) Toolkit: The RBA and RLI released the Responsible Recruitment Due Diligence Toolkit to further support its members, as well as their supply chain partners, with practical guidance and tools to prevent forced labor in their supply chains. This toolkit is focused on building the capacity of workplaces to actively engage and monitor their labor recruitment partners, which is a critical component of credible due diligence in this area. The framework used in the Toolkit is adopted from the Organisation for Economic Co-operation and Development’s (OECD) Due Diligence Guidance for Responsible Business Conduct. Each chapter in the Toolkit provides detailed recommendations and instructions for successful implementation of each process, including: • Embedding responsible recruitment principles into policies and management systems • Identifying and assessing risks of forced labor in recruitment • Preventing and mitigating identified risks • Tracking implementation and results • Communicating how risks are addressed • Providing access to remedy and remediation The Toolkit was created with support from Apple and the United Nations migration agency, International Organization for Migration (IOM). It was developed in consultation with RBA and RLI members, their suppliers, and recruitment agencies, and draws on existing literature on forced labor and responsible recruitment and emerging cases of best practices. RBA and RLI members can access the Toolkit in the RBA Learning Academy.

RES P ONS IB L E W ORKPL ACE AN D R E C R U I T M E N T P R O G R A M S With the support of a generous grant from the Walmart Foundation, the RLI has been implementing the Responsible Workplace and Recruitment Programs through the RBA Foundation since early 2018. The Programs aim to help break the cycle of exploitation in foreign migrant worker recruitment and employment experiences in Southeast Asia by transforming the market for ethical business practices and including workers in the development of effective solutions to persistent labor migration challenges. The Responsible Workplace Program (RWP) is a capacity-building program that targets workplaces and workers to identify and address forced labor risks whereas the Responsible Recruitment Program (RRP) is a capacity-building program with elements of assessments that provides private recruitment agencies (PRAs) a maturity pathway toward being recognized as an ethical recruiter that meets the standards of today’s leading industry customers. The RWP has concluded with a number of salient impacts while the conclusion of the current phase of RRP, which has also already registered considerable progress, is expected to be in Q1 of 2021 due to restrictions resulting from the COVID-19 pandemic.

R E S P O N S I B L E B USINE SS AL L IANCE 2020 ANNUAL REPORT

RESP ON S IBLE W ORKPL ACE PROG R A M C O N C L U S I O N The Responsible Workplace Program (RWP) concluded in April 2020 and through two sets of baseline and endline worker surveys on Forced Labor Index Survey (FLIS) and Recruitment Survey (RS), the RBA Foundation was able to measure the following impacts: • Lower number of workers paid recruitment fees – Overall, the percentage of workers that paid fees was reduced by 26%. For those who joined in the last year of the program and found to have paid fees, the average fee payment amount decreased, especially for workers from Indonesia, Nepal and Myanmar; • More workers were reimbursed for fees paid – The percentage of workers who received a full reimbursement for their recruitment fees increased from 19% to 38%. However, significant improvement was seen in the electronics workplaces from 26% to 64%. On the other hand,

small workplaces (fewer than 100 workers) and non-electronics workplaces did not show significant improvement on reimbursements, likely because of the financial implications; • Fewer workers borrowed money to pay fees – The percentage of workers who borrowed money to pay recruitment fees dropped by 43%. This is related to the reduction in fees, since workers may not need to borrow money for smaller amounts; and • More workers kept their own passports – The percentage of workers who kept their own passports also increased by 9%. Small factories had the most significant gains, up to 22%. This is likely because they had not previously invested in infrastructure such as lockers to provide workers secure access to their passports. Profiles of participating workplaces and workers in the RWP are illustrated below.

R ES PONS IBLE BUSINES S A LLIA NCE 2020 ANNUAL REPORT

Due to the COVID-19 pandemic, a second Regional Forum was held on a virtual platform on June 24 and 25 where the progress and impact of the RWP and RRP were shared with the following themes; driving measurable impact in mitigating risks of forced labor in the supply chain in Malaysia, and building a business case for ethical recruitment. The RBA Foundation’s Journey of a Worker video was launched at the Forum followed by presentations on key learnings and impacts of both programs. There were two panel discussions on implementing a no-fees policy in companies’ supply chains by RLI and non-RLI members and sharing of ethical recruitment practices by agents in the RRP. Program partners such as the International Organization for Migration (IOM) and The Fair Hiring Initiatives (TFHI) were also invited to share perspectives and progress of their own responsible recruitment programs. More than 250 participants attended both days and the highest participation rate came from recruitment agents, non-RLI and RLI members from the Asia-Pacific region. Representatives from the government of Malaysia as well as foreign missions based in Malaysia were also in attendance.

RESP ONS IBLE RE CRUIT ME N T PROGR AM P R OGRE SS As reported last year, there were 61 private recruitment agencies (PRAs) that enrolled in RRP, of which 28 are from Nepal, 21 from Malaysia, and 12 from Indonesia. Between 2018 and 2019, a total of 130 individuals representing 94 PRAs (covering both RRP and non-RRP PRAs) were trained, potentially impacting up to 258,500 workers. While training alone is not sufficient to ensure the knowledge learned is put into practice, it has a substantial impact on raising awareness among PRAs. 72 percent of the RRP PRAs pushed on to participate in the next stage of the program by taking the verified SelfAssessment Questionnaire (SAQ), demonstrating their commitment to continue the journey toward becoming an ethical recruiter. Of all the RRP PRAs that undertook the verified SAQ exercise, 73 percent were able to complete the process, exhibiting a good understanding and retention of knowledge gained from the earlier training. Between mid-2019 and end of 2020, amidst all the limitations of a very difficult time brought upon by recruitment bans imposed by the authorities in Nepal and Malaysia, capacity constraint, closure of international borders and other COVID-19 pandemic-related

R E S P O N S I B L E B USINE SS AL L IANCE 2020 ANNUAL REPORT

challenges, a total of 19 on-site assessments were still completed under the RRP. In completing the on-site assessments, valuable learnings were attained that contributed toward further appreciation of the complexity in the assessment of a recruitment business, including adaption and enhancement of the Supplemental Validated Audit Process (SVAP) for Forced Labor’s protocol targeted at PRAs. This includes considerations on getting the right sampling of workers recruited that passed through the PRAs for interviews as well as the challenge of accessing workers deployed at facilities, especially those outside of RBA and RLI members’ supply chain where influence is limited or non-existent. The engagements and connections built as a result of the RRP implementation also revealed a directional indication that there is growth and potential in pursuing ethical recruitment from an economic standpoint. A number of PRAs in the program, through an informal survey, shared that they had growth in their ethical recruitment business due to their preparedness and experience gained through the RRP. Only 19 percent of survey respondents who commented on growth said that more than 80 percent of their business was based on a no-fees model when they first started. In 2020, the percentage of respondents with more than 80 percent of their business based on a no-fees model had increased from 19 percent to 60 percent. A separate, detailed report on the RRP will be published at the conclusion of the program phase in 2021. Through another generous grant from the Walmart Foundation, the RRP will continue to build on key learnings from the past phase to further advance ethical recruitment efforts in Southeast Asia into 2022, facilitating wider adoption by PRAs of international standards that will protect migrant workers’ rights. Visit ResponsibleLabor.org for more information on the RLI. Visit RBAFoundation.org for more information on the RWP and RRP programs.

RESPONSIBLE MINERALS

INITIATIVE

The RBA’s Responsible Minerals Initiative (RMI) hit several milestones in 2020, in terms of the breadth of its service offerings, resources developed, and membership size.

A significant portion of the RMI’s work in 2020 was accomplished in collaboration via partnerships, through a number of multi-stakeholder initiatives, grants and other collaborations with civil society, governments and key stakeholders.

ME MB E R S H I P O V E R V I E W The RMI welcomed 33 new members in 2020, representing all levels of the mineral supply chain. The automotive, chemical and electronic sectors had particularly strong representation among the new members in 2020. The RMI also continues to see growth in member representation from companies based in Europe and Asia. The 2020 year-end RMI membership count was 396. The RMI welcomed two smelters or refiners (SORs) as new Upstream members in 2020. SORs continue to find value in the RMI’s membership program with its mineral due diligence and risk monitoring tools, and the ability to shape best sourcing practices with their downstream partners. In 2020, the RMI welcomed the Global e-Sustainability Initiative (GeSI) as its newest Association Member. Together with the RBA, GeSI founded the RMI in 2008 and has been a key partner in developing resources such as the Conflict Minerals Reporting Template (CMRT) and industry outreach and trainings. GeSI’s Association Membership reflects a continued commitment to responsible mineral sourcing for its own members and supporting future collaborative opportunities with the RMI.

R ES PONS IBLE BUSINES S A LLIA NCE 2020 ANNUAL REPORT

Of 391 known tin, tantalum, tungsten, gold, and cobalt

smelters or refiners, 282 were either active or conformant to the RMAP or a cross-recognized program in 2020.

PROGR AM INDICAT ORS The COVID-19 pandemic was an unprecedented challenge for the Responsible Minerals Assurance Process (RMAP) and the RMI as a whole. The RMI launched a Covid-19 Impacts Survey targeting smelters and refiners participating in RMAP and RMI’s upstream members; three rounds of survey responses were collected over the course of 2020 to assess how Covid-19 was affecting companies, their supply chains and stakeholders. The RMI developed a Covid-19 web page dedicated to hosting the survey results, programmatic Covid-19 related updates, resources, and industry and civil society calls to action. The RMAP successfully adapted to evolving restrictions on business operations and travel worldwide to maintain steady participation among tin, tantalum, tungsten, gold and cobalt SORs. The RMI developed an RMAP COVID Impacts Inquiry Form for auditee assessment extensions requests due to travel restrictions or temporary halting of operations. While assessments were delayed across all geographies, RMAP participants moved forward with assessments as soon as was feasible and/or made active progress on any required corrective actions. For the assessments that did move forward, to ensure auditor and auditee safety and to confirm that Covid-19 health guidelines were followed, the RMI implemented an Auditor and Auditee Covid Safety Checklist that both parties had to agree to ahead of the assessment. The

R E S P O N S I B L E B USINE SS AL L IANCE 2020 ANNUAL REPORT

RMI also published Covid-19 Virtual Assessment Policy, articulating its process for evaluating the possibility of allowing certain assessments to include a virtual component, with due regard to the risk profile of the auditee supply chains, materials sourced, and facility technical capabilities, ensuring that the integrity of the assurance engagement is preserved. In 2020, 282 out of 391 known tin, tantalum, tungsten, gold and cobalt SORs were either active or conformant to the RMAP or a cross-recognized program. Thirteen cobalt refiners completed an on-site assessment in 2020, and several additional refiners and multi-metal processors should complete assessments in 2021. By the end of 2020, 52 percent of identified eligible cobalt refiners were participating in RMAP and 11 were conformant. In 2020, the RMAP continued expansion of its cobalt program to cobalt crude refiners located in the Democratic Republic of the Congo (DRC). Despite the obstacles of COVID-19, the RMI continued engagement with industry and on-the-ground research. The RMI confirmed 11 crude refiners are eligible to undergo RMAP, with additional confirmations pending from several facilities. Of the identified eligible crude refiners, two are currently active in RMAP and two became conformant in 2020.

QUALITY ASSURANCE AND CONTINUAL IMPROVEMENT The RMI also identified 37 new SORs across 3TG and cobalt, 22 of which were cobalt refiners. Twelve SORs were considered no longer eligible due to a change or cessation in operations. Eleven SORs became conformant for the first time in 2020, and 21 joined the active list. The RMI issued updates to the Conflict Minerals Reporting Template (CMRT) in May 2020 and the Cobalt Reporting Template (CRT) in October 2020. Updates to the CMRT aligned the tool to IPC-1755 amendments made in May 2019, which included the EU Conflict Minerals regulation within its scope. In response to member interest and industry need, the RMI also issued the Mica Reporting Template (MRT) in October 2020 to support information-gathering on the mica supply chain. The Downstream Assessment Program (DAP) saw increased inquiries from downstream producers of tin, tantalum, tungsten and gold in response to the EU regulation and also received inquiries from downstream producers of cobalt as well . Seven downstream assessments were completed in 2020 and several are pending for 2021. All 3TG assessments in 2020 were conducted against the RMI Revised Standards for Tin, Tantalum, Tungsten and Gold (issued in 2017).

To ensure quality and consistency in the implementation of the assessment standards requirements and methodology, the RMI expanded its internal quality team. Two new internal quality assurance members were added to further enhance the overall quality of the RMI’s assurance program for RMAP and DAP assessments. Over the course of 2020, the quality review of all RMAP and DAP reports and corrective action plans transitioned to be fully internal. These additional resources have led to standardization of reviewer comments and an increase in auditor capacity-building support from the RMI. The RMAP was also integrated into RBA’s endto-end audit management tool, RBA-Online in 2020. Complete workflow and operations management functions available on the new platform led to increased program efficiencies in tracking and expediting the quality assurance process. The DAP program is set to be integrated into the RBA-Online in 2021. Despite the COVID-19 impact on travel, in 2020 the RMI managed to conduct a total of 11 shadow assessments, three of which were completed virtually. The RMI rolled out virtual shadows in response to the pandemic in 2020 and will continue to utilize a combination of in-person and virtual shadows as part of its quality assurance for RMAP and DAP assessments in 2021. Of the RMAP assessments conducted in 2020, 30 resulted in corrective action plans (CAPs).

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The most common non-conformances for 3TG included:

• Missing chain-of-custody documentation

• Procedure to Identify Conflict-Affected and High-Risk Areas (CAHRAs) missing critical elements and/or implemented inconsistently

• No risk mitigation plan in place To support auditees’ successful closure of nonconformances, as part of the OECD-aligned approach to continual improvement, the RMI developed trainings specific to common findings, continued free smelter access to its Country Risk Assessment and Grievance Mechanism tools, and offered extensive technical assistance to support auditees’ development of policies and procedures that would satisfy the Standard’s requirements.

• No Step 5 Public Due Diligence Report • Supply Chain Policy missing critical elements • Gaps in consistent implementation of Know-YourCounterparty (KYC) process The most common non-conformances for cobalt included: • No on-the-ground assessments were completed where red flags were identified

N UMBE R OF CON FO R M A N T S M E LT E R S A N D R E F I N E R S By Geography

Number of conformant smelters

70 60

66 58

40 30

0 China

Number of conformant smelters

120

Japan

USA

Latin America

Other

N UMBE R OF A C T I V E & C O N F O R M A N T S M E LT E R S AND REFINERS 108

By Metal

n CONFORMANT n ACTIVE

100 80

38 24

20 0

Europe

Asia Other

7 Gold

Tin

R E S P O N S I B L E B USINE SS AL L IANCE 2020 ANNUAL REPORT

7 Tungsten

13 1 Tantalum

Cobalt

MAR K ET AC C E PTAN CE In 2019, the RMI applied for recognition of the RMAP and Downstream Assessment Program (DAP) under the EU Delegated Act for Recognition of Industry Schemes. The RMI was the first industry scheme to apply for the recognition. The EC-appointed assessors began shadowing the RMAP and DAP audits as part of the review process in 2020. The RMI has worked with the EC and the assessor to facilitate shadows throughout 2020 accounting for COVID-19 restrictions. All shadows required for RMAP were completed before the end of 2020. 50 percent of shadows were completed for the DAP program in 2020, the remainder of the shadows and the EC report on DAP is expected in 2021.

CA PAC ITY-BU IL DIN G, T RAIN IN G A ND S M ELTE R SUPPORT The RMI adapted to the challenges of COVID-19 by moving all SOR and auditor training online. The RMI delivered virtual auditee and auditor trainings and launched animated training modules in the RMI eLearning Academy, which was integrated with the RBA Learning Academy in 2020, providing members access to courses across RBA and its initiatives in one place.

The RMI conducted two trainings for RMAP participating auditees globally in 2020, including a training conducted in partnership with the International Tin Association. The RMI also held two virtual townhalls for prospect RMAP auditees, with the regional focus on India as part of the RMI’s and its members’ ongoing efforts to conduct outreach to India gold refiners and collaboration with the National Stock Exchange (NSE) of India. The NSE published refiner standard on July 9, 2020, requiring the RMI’s RMAP audit (or OECD-aligned equivalent) for Indian gold refiners participating on the exchange. The RMI launched a new Upstream Smelter Due Diligence Fund in late 2018 and by October 2019 reached the minimum donation threshold for disbursement. The purpose of the Fund is to support responsible sourcing from conflict-affected and high-risk areas (CAHRAs) for which there is not currently a recognized upstream assurance mechanism available. Recipients are required to provide deliverables that serve a public good, including on-the-ground risk assessments of mine sites, ongoing monitoring, capacity-building of local communities, development of template questionnaires or reports, or the publication of case studies. While the RMI has received several expressions of interest in the Upstream Due Diligence, no formal applications have yet been submitted. However, the RMI anticipates greater interest in this fund in 2021, with the release of the European Union list of Conflict-Affected and High-Risk Areas that will require enhanced due diligence activities to enable responsible sourcing. The RMI continued offering its Financial Assistance Program that pays for 75 percent of the cost of reassessments for smelters with low volumes. The RMI disbursed financial assistance to five smelters and refiners since the inception of this policy. The also RMI continued to disburse funds under the Initial Audit Fund, paying for the full costs of initial assessments. Since 2014, the RMI has disbursed over US$1.6M to smelters under the Initial Audit Fund and disbursed approximately US$127,729 in 2020.

PA R T N E R S H I P S The RMI and the Responsible Cobalt Initiative (RCI) continued collaboration to promote the responsible production, trade and processing of cobalt and seek to enhance the capabilities of companies with third-party assessments, training and capability-building. These efforts have greatly facilitated validation of due diligence activities by companies in China and the DRC. By the end of 2020, 52 percent of identified eligible cobalt refiners were participating in RMAP, compared with

R ES PONS IBLE BUSINES S A LLIA NCE 2020 ANNUAL REPORT

17 percent at the end of 2018. The RMI and RCI worked in 2019 and 2020 to revise and update the Cobalt Refiner Due Diligence Standard, which is due to be released in early 2021. In addition, the RMI expanded its standards equivalency benchmarking against the Risk Readiness Assessment (RRA) to include Copper Mark, ISO 14001, ISO 45001, LBMA Responsible Gold Guidance, World Gold Council Responsible Gold Mining Principles, and IFC performance Standards. The benchmark provides recognition for those standards in the RRA online platform and demonstrate RRA’s equivalency to those standards. The RRA is currently in use by 327 companies, predominately smelting/refining and manufacturing companies. Our work with the Copper Association’s Copper Mark standard, in further collaboration with the International Lead Association (ILA), the International Zinc Association (IZA), and the Nickel Institute, culminated in the finalization of the Joint Due Diligence Standard for Copper, Lead, Nickel and Zinc. The Joint Standard to enable companies to comply with the London Metal Exchange (LME) Responsible Sourcing Requirements. Covered metals processors can be audited to the standard using RMAP. A final component of our collaboration with Copper Mark is a suite of freely available, animated on-line training programs for RRA topics. For 2020, we produced three modules covering greenhouse gas emissions, freshwater use, and human rights. Following up our 2019 formal agreement with the Responsible Mica Initiative to address crucial child labor issues in the mica supply chain, a joint due diligence standard was developed by the two organizations. The joint standard was the first of its kind for the Responsible Minerals Initiative because it incorporates site operational environmental, occupational safety, social and governance (ESG) issues into one standard. The public comment period for the standard ended in December 2020, signaling the end of its development. Final standard launch and piloting are anticipated in early 2021. The Responsible Mica Initiative continued its participation in RMI’s Mica Workgroup throughout the year. The RMI and the International Tin Association (ITA) developed a new Assessment Criteria Guidance Document supporting the 2019 Assessment Criteria for Tin Smelting Companies, which clarify a common upstream and downstream view of due diligence requirements for the tin supply chain. These Criteria

R E S P O N S I B L E B USINE SS AL L IANCE 2020 ANNUAL REPORT

were designed to align with the OECD due diligence guidance and an OECD alignment assessment was initiated late 2020. Finally, the RMI provided key input to the new London Metal Exchange (LME) responsible sourcing program requirements under development to help position RMI as an important option for LME Brands to achieve conformance to LME requirements.

S TA N D A R D S D E V E L O P M E N T This year was a time of unprecedented and intense standards development by the RMI. In addition to those developed jointly with the Responsible Mica Initiative and The Copper Mark, the RMI embarked on three other standalone standards – Environmental, Social and Governance (ESG), Minerals Agnostic, and Recycle/ Scrap. • The ESG standard expands the RMI’s traditional supplier due diligence footprint to operating conditions of smelters/refiners. The RMI combined elements of the RRA, the RBA VAP, the joint mica standard, the LME Responsible Sourcing Policy and staff expertise to create an in-depth framework for proactively managing risks beyond the OECD Due Diligence Guidance. The standard will be finalized in Q1 of 2021 and will be a voluntary add-on for RMAP audits. • The Minerals Agnostic standard provides a framework and RMAP assessment criteria for processors of metals other than 3TGC for what we hope will be an OECD-aligned standard. This standard went to member comment at the end of 2020 and we anticipate it will be issued as final in Q2 2021. • At the end of 2020, the RMI completed the internal staff development draft of the Recycle/Scrap standard, making it available for limited initial review. This standard applies to metal processors using only 100 percent recycle/scrap input. RBA and RMI are working together to determine how this standard can be leveraged to support broader circularity objectives and responsible scrap supplier assurance. In recognition of new RMAP assessments involving additional auditor skills, in 2020 RMI began reviewing its existing auditor qualification and competency requirements, which included a level-setting exercise with the RBA-approved auditor list. We will continue to refine and update our auditor requirements into 2021.

SU P P OR TING DUE DIL IGE N CE A CR OS S THE SUPPLY CHAIN The RMI maintained active engagement with upstream partners and stakeholders in advisory and leadership roles, including in critically important programs that support the artisanal and small-scale mining (ASM) sector as a member of the OECD Multi-Stakeholder Group, a board member of the European Partnership on Responsible Minerals (EPRM), and a member of the Public-Private Alliance for Responsible Minerals Trade (PPA). Additionally, the RMI continued serving on the Code of Risk mitigation for ASM engaging in Formal Trade (CRAFT) Advisory Group and Standard Committee. CRAFT 2.0, which integrated minerals beyond gold, was finalized and published in October of 2020.

I N -C OUN TR Y E N GAGE ME N T In 2020 the RMI became the Project Management Office (PMO) for the Global Battery Alliance’s (GBA) Cobalt Action Partnership (CAP). The CAP is a broadbased and multi-sectoral, public-private coalition of organizations working toward a common vision to immediately and urgently eliminate child and forced labor from the cobalt value chain, contribute to the sustainable development of communities, and respect the human rights of those affected by the value chain in the DRC. The CAP’s mission is to enable and support a global sustainable cobalt supply chain that integrates responsibly sourced materials in the battery value chain, harmonizing responsible sourcing projects and initiatives, especially but not exclusively in ASM, to eventually contribute to local broader sustainable developments. Given the interconnected nature of large-scale and ASM mining in cobalt supply chains, and the importance of ASM to the economy of the DRC, the CAP engages with a range of stakeholders, including affected communities, relevant governments, industrial large-scale mining (LSM), and ASM, to bridge the gap between global, local, upstream and downstream actors. As the lead organization coordinating the activities of the CAP, including the coordination of individual actors and organizations formally working as CAP implementing partners to advance its mission, the RMI leads the development of in-country research, stakeholder and government engagement, and the development of responsible sourcing expectations. While travel was limited in 2020 due to COVID-19, the RMI was able to work with in-country partners in the DRC through its incountry CAP implementing partner UNICEF.

RISK MANAGEMENT The RMI further enhanced its Minerals Grievance Platform (MGP), which is a channel for the identification, review and resolution of grievances, offering a connected and efficient system that benefits a wide range of stakeholders and builds on existing mechanisms. In Phase 1 (2019-2020), launched in October 2019, the platform scope covered Tin, Tantalum, Tungsten, Gold, Silver, Cobalt and Mica. In Phase 2 (planned for 2021-2022), the RMI plans to add up to 20 additional minerals considered in-scope for the RMI’s RRA, including base metals. The Minerals Grievance Platform scope includes OECD Annex II risks, as well as environmental and occupational health and safety risks (OHS). The MGP is not limited to the RMI, but includes third-party audit programs such as the London Bullion Market Association (LBMA) and the Responsible Jewelry Council (RJC). As of 2020, the MGP included 58 downstream company users and 20 in-scope grievances. With the launch of the MGP, the RMI is encouraging members to submit supply chain related grievances through the platform. Grievances related to the initiative, the audit program, protocols, audit quality and auditor competencies, mineral supply chains and upstream/ downstream initiatives are still submitted through the RMI internal Grievance Mechanism with a standardized incident receipt and response process. In 2020, the RMI received two grievance notifications through the Minerals Grievance Platform (all MGP grievances are visible to RMI members) indicating grievances linked to RMAP-participating smelter or refiners supply chains. The remainder of in-scope grievances were linked to SORs in other participating programs. A cumulative report of internal grievances is shared with RMI members at the conclusion of the calendar year. The grievances included complaints against smelters/refiners, crude refiners, upstream and downstream actors, and mining operations, with risks including human rights issues, 3TG from illegitimate sources, smuggling and other OECD Annex II risks. The RMI worked with the parties in question to verify and mitigate issues raised in accordance with the Grievance Mechanism, including reviewing corrective actions, commencing in-depth assessments, conducting legal reviews, facilitating stakeholder engagement, addressing the issues through the RMAP audit process, encouraging respondents to issue public statements, and referring to the grievance platform or partner mechanisms for resolution where appropriate. Visit ResponsibleMineralsInitiative.org for more information on the RMI. R ES PONS IBLE BUSINES S A LLIA NCE 2020 ANNUAL REPORT

PUBLIC

POLICY Public policy issues related to responsible sourcing remained at the forefront of the global agenda in 2020. Governments around the world were developing or implementing regulatory measures aimed at driving responsible business conduct across supply chains and increasing expectations on companies. These efforts highlighted the crucial need for the RBA to actively engage policymakers around the world as a trusted advisor, helping to shape regulatory efforts around industry tools and best practices while encouraging harmonization.

HIGHL IG H T S O F 2020 I N C L U D E D : • Tracked government policies and responses related to the COVID-19 and published recommendations and resources related to responsible business conduct to protect the rights and well-being of workers during the pandemic. • Expanded the RBA’s presence in Europe with the opening of the RBA European Office in Brussels, Belgium. The new office supports the RBA’s longstanding efforts in Europe related to responsible business conduct, responsible minerals sourcing, public procurement, environmental and other issues. It serves as a basis for stepping up the RBA’s engagement with EU and national policymakers, industry, and other stakeholders across Europe. • Launched the RBA Roadmap for European Union Due Diligence as part of a wider outreach strategy in the context of the EU’s plans for EU-wide mandatory due diligence legislation that will apply to all companies active on the EU market. The RBA actively engages all relevant EU institutions and key EU member states, to advocate for an effective harmonization of requirements at EU-level that scales the impact of existing due diligence efforts by aligning with recognized international frameworks and approaches. • Engaged U.S. government agencies, including the U.S. Departments of Homeland Security, State, and Labor, and the Office of the United States Trade Representative (USTR) on a wide range of responsible sourcing issues. • Continued active engagement with the Malaysian government, encouraging them to meet international standards on forced labor due diligence and leverage RBA and RLI tools for firms employing foreign migrant workers who are particularly vulnerable during the COVID-19 pandemic.

RESPONSIBLE BUSINESS CONDUCT DURING THE COVID-19 CRISIS The coronavirus (COVID-19) outbreak has caused widespread global business and human rights-related concerns throughout the membership of the Responsible Business Alliance (RBA), its Initiatives and stakeholder communities. COVID-19 is a global pandemic affecting nearly every industry and every country. Its impact is wide and deep, affecting not only public health but also the global economy and employment. According to the International Labour Organization (ILO)1, as of April 7, 2020, full or partial lockdown measures were affecting almost 2.7 billion workers, representing around 81 percent of the world’s workforce. The ILO’s estimates indicate that working hours will decline by 6.7 percent in the second quarter of 2020, which is equivalent to 195 million full-time workers. This impact will surely be most acutely felt by vulnerable workers in global supply chains who may face an impact both in terms of working conditions but also unemployment. Migrant workers could be disproportionately impacted by the negative effects of COVID-19 on businesses, including through soaring unemployment rates, acute health risks and possible loss of income.2

RBA ROADMAP FOR EUROPEAN UNION DUE DILIGENCE June 2020

Many countries have issued guidance on the coronavirus and companies are encouraged to implement those guidelines across their businesses. The World Health Organization has published regular Situation Reports that offer statistics globally. They have also published a Strategic Preparedness and Response Plan that “outlines the public health measures that the international community stands ready to provide to support all countries to prepare for and respond to COVID-19.” While governments around the world have mobilized to develop extraordinary measures to address the economic impacts of the COVID-19 crisis, the private sector has a critical role to play in not only providing necessary goods and services but ensuring employment and a strong recovery. This is particularly the case for global supply chains, a highly complex web of business and trading relationships spread across numerous countries, drawing upon human and other resources that come from diverse regions with varying cultures, standards and government regulations. Most companies have hundreds if not thousands of customers and suppliers, and suppliers typically provide services to more than one industry sector. Emergency situations such as this require additional attention to business relationships where buyers and suppliers must maintain heightened levels of due diligence and communication to manage potential risks and any associated negative consequences. 1 2

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ROLE OF THE RBA As an industry body, the RBA has been advancing human rights due diligence across its membership by helping members implement human rights and environmental due diligence in their operations and supply chains over the past 15 years. Our mission and vision are centered on the principal of shared value as what is good for workers and the environment is good for business. During this difficult period, protection of workers and the environment in international supply chains are top priorities for the RBA and its members. Focusing on worker health and well-being, rights protection and engagement is paramount to successfully navigating the COVID-19 crisis. The RBA and its Initiatives are mobilizing nearly 400 members, with combined annual revenues of greater than $7.7 trillion, directly employing over 21.5 million people, and products manufactured in more than 120 countries, to help combat the COVID-19 crisis and deliver business continuity.

RBA RESOURCES TO MANAGE COVID-19 The RBA has provided members and suppliers a range of resources and tools to help manage the COVID-19 crisis. These include: •

Member advisories and guidance on COVID-19

•

Insights into the effects of the global pandemic through RBA COVID-19 survey results

•

Biweekly expert webinar series

•

A forum for sharing best practices and peer learning

•

Custom training programs in the RBA Learning Academy for members and their suppliers

•

Curated resources including relevant information from key governments, inter-governmental organizations and stakeholders

•

Existing assessment tools and programs as well as new ones in development

ILO Monitor 2nd edition: COVID-19 and the world of work, 7 April 2020. COVID-19: Guidance for employers and business to enhance migrant worker protection during the current health crisis, International Organization on Migration (IOM).

• Testified in a European Parliament Committee for International Trade (INTA) Hearing on “EU-China Trade and Investment Relations in a Post-Covid World,” where we detailed RBA tools and programs that have helped companies source responsibly between China and the European Union for more than 15 years. • Played a leading role in the annual United Nations Business and Human Rights Forum speaking in several sessions related to the UN Guiding Principles on Business and Human Rights and forced labor issues. • Provided sustained advocacy on allegations of forced labor of ethnic minorities. RBA efforts helped educate governments and stakeholders on RBA efforts to help understand a complex and evolving situation. • Engaged foreign governments such as the United Kingdom, Canada, Switzerland, Germany, Netherlands Australia, and Mexico, as well as EU institutions, on emerging issues related to forced labor and responsible sourcing, to educate them on the RBA approach and need for consistency. • Outlined and defined, with member input, a pillar on Accelerating Influence for the refresh of the RBA’s 5-year Strategic Plan.

STAKEHOLDER

ENGAGEMENT Stakeholder expectations and demands on companies have never been greater and continue to evolve. In 2020 the RBA enhanced its engagement with civil society organizations, academia and research institutions, socially responsible investors, and governmental and multilateral institutions. The RBA also focused on institutional investors as a crucial and emerging stakeholder on environmental, social and governance (ESG) issues.

HIGHL IGHT S OF 2 0 2 0 INC L U D E D : • Engaged public buyers and the Organisation for Economic Co-operation and Development (OECD) on the increasing use of responsible business conduct measures for public procurement, encouraging the use of RBA tools for procurement purposes. • Increased dialogue with stakeholders around a number of emerging issues including corporate accountability, transparency and other topics. • Facilitated discussions between member companies, their suppliers and stakeholders to resolve specific and facility-level issues affecting workers. • Engaged various benchmarks, including Know the Chain (KTC) on its 2020 ICT Benchmark study, and the Corporate Human Rights Benchmark (CHRB) for its pilot studies on the ICT and automotive industries. • Hosted a panel discussion during the RBA annual conference with leading investor funds and banks around growing investor demands related to ESG and the role for RBA tools.

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19 19

ENVIRONMENTAL

SUSTAINABILITY The Environmental Sustainability programs of the RBA achieved a major milestone in 2020 by finalizing and launching the Environmental Maturity Profile platform. The Environmental Maturity Profile quickly surveys and scores the capability and resiliency of environmental programs to identify immediate steps that can be taken to achieve program growth. In addition to the recommended actions, the Environmental Maturity Profile also provides resources to guide companies through successful implementation. The result is a tailored list of actions and resources that will lead to development, growth and improved performance of an environmental program. The Environmental Maturity Profile is available to all RBA members and their suppliers and will continue to be refined with advanced capabilities throughout 2021. In addition to major developments in environmental sustainability resources, the RBA continued to work with partners that specialize in its focus areas of carbon, energy, water and waste. The RBA worked with the Alliance for Water Stewardship in 2020, hosting the organization at several RBA member events and the annual Responsible Business conference, to discuss how the materiality of water stewardship affects supply chains, and how water stewardship can improve supply chain operations in addition to ecosystem and community health. The RBA has also aligned members around making resources more accessible deeper within tiers of industry supply chains. In addition to its working relationships, the RBA convened members on how industry knowledge and best practices can be most efficiently formalized so that all companies benefit. A major milestone occurred within the Code of Conduct revision in 2020, where targets and public reporting for Scopes 1 and 2 greenhouse gas emissions are now included in the energy and greenhouse gas provision. The new requirement will help ensure that RBA members and their suppliers meet these crucial components.

CI RC ULAR M AT E RIAL S The RBA, with members and partners, continued to refine its circular materials vision. In 2020, the RBA conducted a multistakeholder survey that included RBA 20

R E S P O N S I B L E B USINE SS AL L IANCE 2020 ANNUAL REPORT

members, the recycling industry, intergovernmental organizations (IGOs), and nonprofits working in the circular economy. The purpose of the Circular Materials Landscape Assessment was to further refine where RBA can create meaningful impact in its three priority focus areas within e-waste recycling and processing: data and reporting standardization, circular supply chain design, and assurance to responsible business practices. The Circular Materials Landscape Assessment identified where the industry is struggling to overcome the largest obstacles, as well as the motivations that drive companies and partners to participate in the circular economy. Of note within the findings, concerns over compliance to environmental, social and labor practices were identified as significant risks and barriers to companies that wanted to more fully participate in circular materials practices. In particular, the lack of due diligence that allows up to 20 percent of undocumented e-waste to leak into informal recycling processes that are unregulated, according to The Global E-waste Monitor 2020, represented a significant and unacceptable supply chain risk. In addition to its internal research, the RBA contributed as a founding partner to the Circular Electronics Partnership, a coalition of seven partners and dozens of electronics producers, suppliers and recyclers dedicated to creating a circular economy roadmap for the electronics industry. The RBA’s contributions to the Circular Electronics Partnership leverage its own research and experience to identify where the industry can collectively take action that scales secondary material markets. As the CEP roadmap is institutionalized across the industry, the RBA will continue to adopt projects and contribute to efforts that align to its strengths and provides greater opportunities for the industry to adopt circular practices. Starting in 2021, the RBA will develop a roadmap that tracks not only its own efforts to develop responsible e-waste recycling and recycled content supply chains, but also helps ensure that it contributes to the larger industry and global efforts to advance a circular economy.

Regulatory Regulatory compliance compliance

Financial loss

Financial Price gain

Regulatory compliance

Inconsistent supply Technical performance -5 -4 Greenwashing

Lower environmental Aesthetics impact -5 -4 -3 Circular HIGH RISKSocial / storytelling labor risks Material -3 -2 availability -1 0

HIGH RISK

Regulatory Overall compliance NGO / Policy / Regulatory Organizations Financial gain

Financial loss Regulatory compliance

Functionality 0

-1

LOW RISK

Market differentiation

Functionality

Price Aesthetics -4 -3 Technical HIGH RISKSocial / performance labor risks

-2

LOW RISK

Technical Social / performance labor risks

-5

Environmental risks

Beneﬁts

Price Aesthetics

Improved social / Environmental labor risks conditions

Price

Risks

Environmental Improved social / laborrisks conditions

Aesthetics

-2

-1

0Functionality

LOW RISK

Aesthetics Overall

0 Manufacturers 1 2/ S

NGO / Policy / Regulatory Organizations

LOW BENEFIT

Overall

0 Manufacturers 1 2 / Suppliers 3

NGO / Policy / Regulatory Organizations

LOW BENEFIT

Producers / Companies

Producers / Comp

E-waste Processo 5 Mechanical Recyc

HIGH BENEFIT

Manufacturers / Suppliers

E-waste Processor / Mechanical Recycler

Producers / Companies

E-waste End Processor / Smelter

E-waste End Proc

Improved social / labor conditions

Price

Price Environmental risks

Technical performance

Aesthetics

Functionality

Social / labor risks -4

-3

-2

HIGH RISK

-1

LOW RISK

LOW BENEFIT

Overall

Manufacturers / Suppliers

NGO / Policy / Regulatory Organizations

E-waste Processor / Mechanical Recycler

Producers / Companies

E-waste End Processor / Smelter

Commodity Market

Tier 2+ Suppliers/ Manufacturers

Exp an de d

Scope

MANUFACTURERS

RB A rent Electronics Brands/ Producers

e op Sc

Tier 1 Suppliers/ Manufacturers

HIGH BENEFIT

Precious Metal Refining

End Processors /Smelters

Virgin Material Input from Mining Industry

E-waste Refined with Virgin Material Further Processing

Tier 2+ Recyclers

Mechanical Separation/ Shredding

Tier 1 Recyclers

RECYCLERS

C ur

-5

Aesthetics

PRODUCERS

Users

17.4%

82.6%

Formal E-waste Collection

Informal E-waste Management

Undocumented E-waste

Disposed

R ES PONS IBLE BUSINES S A LLIA NCE 2020 ANNUAL REPORT

CHEMICAL MANAGEMENT

As electronics manufacturing increasingly integrates complex chemicals to achieve technological production breakthroughs, the tools and resources to protect workers has also advanced. The RBA and its members remain dedicated to due diligence processes that help ensure that no workers are exposed to hazardous chemicals. Recently, the RBA and its members applied an OECDaligned due diligence approach to chemical management in order to provide additional focus for worker protection in increasingly complex supply chains. To support this approach, the RBA developed and successfully piloted a focused, site-level assessment called the Supplemental Validated Audit Process (SVAP) on Chemical Management. Similar to the RBA’s SVAP on Forced Labor, this new SVAP protocol applies the principles and process of the VAP to a specific and complex topic. The SVAP on Chemical Management goes beyond the management systems outlined in the VAP to evaluate performance-based aspects, such as handling, storage and protective measures based on individual chemical use within a facility. After a successful pilot, the RBA is finalizing the protocol

before making it available to all RBA members and their suppliers in 2021. In addition to new on-site due diligence processes, the RBA continued to refine and implement remotely conducted and advanced risk analysis based on chemical use and practices across supply chains. Through its continued work with the Clean Electronics Production Network (CEPN), the RBA has further implemented the Process Chemical Data Collection (PCDC) tool, making it and its supporting resources available to all members and their suppliers. As the RBA continues to activate this resource, and other risk assessment tools like the Qualitative Exposure Assessment Toolkit, it will continue to design supporting resources and build advanced risk analysis and reporting capabilities.

WORKPLACE

WELL-BEING In 2020 the RBA launched its first global workplace well-being survey. The survey was made available to RBA members and suppliers in 15 languages, across six countries (China, Malaysia, Chinese Taipei, Thailand, Mexico and India) via telephone or web response. Ninety-nine factories deployed the survey and approximately 17,500 employees responded to questions regarding physical health, mental health, worker satisfaction and engagement – totaling 370,000 data points. Participation provided a 99 percent level of confidence with a 1 percent margin of error that results are representative of the overall population of workers across RBA factories in the six participating countries (N = 3,097,188). Participation in China, Malaysia, Mexico, Chinese Taipei and Thailand offered statistically significant results at 95 percent confidence level with a 5 percent margin of error for country-level results. The survey was deployed and managed January-February 2020 by two third-party NGOs: Ulula and Impactt. The findings and subsequent report informed the RBA of opportunities in the supply chain, including a broader library of skills training (both personal and professional content), increased supervisor training, and a need to identify retaliation. This information led to multiple industry-wide initiatives at the RBA including the creation of the RBA Worker Voice Platform.

RE S P O N S I B L E B USINE SS AL L IANCE 2020 ANNUAL REPORT

QUALITY OF LIFE METRIC

Back in 2017 the RBA had reached out to multiple experts, including medically trained experts, to identify the elements related to quality of life in the workplace. The consensus was that workers enjoyed a good quality of life if they had available money (more than was needed to pay their bills), available time (time to focus on things they enjoy) and good health (in order to enjoy the time and money). With the help of statistical experts we isolated the questions in Validated Assessment Program (VAP) audits that measured those three indicators. The results were shared at the RBA’s annual conference in 2018 and discussions continued on how best to leverage available data. In 2020 the RBA invested in data analytics and staffed a data science team. With this new internal resource, we were able to calculate the quality of life at each factory that conducted a VAP audit and measure the direct improvement for workers as indicated by the change in metrics between the Initial the Closure VAP audits. Moreover, we can now aggregate the data by member, country or industry and show improvement over time. With this data being collected and analyzed since 2018 we have been able to show that the RBA has positively impacted the quality of life of more than 2.1M workers

in members’ supply chains. Specifically, we saw a 34% increase in quality of life at sites that followed up with a Closure VAP audit after the Initial audit. The breakdown is as follows: • 8% improvement in available time • 4% improvement in available money • 78% improved health The increase in time is related to corrections in working hours, consecutive days of work, and legally required breaks and holidays. The improvement in wages is related to the enforcement of at least a minimum wage, removing disciplinary fines, and paying wages (including social insurance) without delay. The large jump in health is related to the improvement in PPE, first aid, hazardous material training and availability of medical treatment. An unexpected datapoint was that women saw twice the improvement in quality of life as their male coworkers. This data is available to members in a new data analytics dashboard. The data can be seen by factory or in aggregate and can be compared to the industry average.

By Gender

Quality of Life Metric The RBA Quality of LIfe measures specific VAP metrics that indicate a worker’s amount of disposable time, disposable income, and health (mental and physical).

As expected, these metrics affect men and women differently. In order to normalize the data, we took the percentage of men and women, rather than the actual counts, and applied the algorithm. The data showed that women saw double the improvement in QOL than that of their mail coworkers.

33.7%

Male

2.1M

Improvement in “Quality of Life” score at factories with a Closure Audit

Workers who saw an improvement in Time, Wages, Health or all three

22% Female

8.2%

More Time

3.9%

Better Wages

78.4%

Overall Health

45%

R ES PONS IBLE BUSINES S A LLIA NCE 2020 ANNUAL REPORT

INDIRECT SPEND Indirect suppliers often go unnoticed in risk assessments because the related spend does not elevate them to the top of the list. As a result, relatively few indirect suppliers receive an audit. In 2020 the RBA conducted an analysis of the indirect suppliers, and the sectors with the most risk. Among the top 10 were Construction, Security Guards, Transportation, and Logistics. The RBA Code of Conduct was designed to be a complete supply chain initiative and, as part of the strategic plan refresh, there will be an increased focus on indirect supplies. To help members with this transition, the RBA has added a differentiator in the RBA Risk Assessment tool to allow a member to see indirect suppliers, direct suppliers, or both. In addition, we have partnered with a training expert to create an animated course focused on improving the core understanding of risk associated with indirect suppliers. The RBA also offers a Services SAQ and VAP audit, which remove any questions that would not apply to a services supplier (e.g., minerals sourcing). The audit can be applied to indirect service suppliers and shared in RBA-Online with other members.

R E S P O N S I B L E B USINE SS AL L IANCE 2020 ANNUAL REPORT

TRAINING AND

C A PA B I L I T Y- B U I L D I N G By the end of 2020, there were more than 50,000 user accounts and 117,000 course completions since the Learning Academy launched in 2014. In 2020 the RBA continued to provide great value to members and their suppliers through its online Learning Academy. There was increased interest in the Academy as an alternative training tool and deployment of larger and more complex training programs, especially given restrictions on travel and in-person gatherings during the pandemic. More of the Academy’s functionality was also leveraged by members, including the initiative members, such as learning paths, user checklists, assessments and custom branding. As an added benefit, in May, the RMI Learning Academy was folded into the RBA Learning Academy so that RBA members would only have to log into one system to see RBA and RMI content (RLI content was already available to RBA and RLI members through the Learning Academy). The RBA and RMI also launched an eLearning program with Drive Sustainability and its members to take advantage of existing content (and soon to be developed custom content). The RBA launched a live, biweekly Member Webinar Series early in 2020 and those and many other webinars and associated slides were made available in the Learning Academy. In addition to the Series, which included topics related to COVID-19 and its impact on the workforce and mental health, the RBA’s new data capabilities and other topics, many webinars were offered as part of the Code of Conduct update process and the Strategic Plan Refresh. Other member resources and toolkits were also made available through the Learning Academy.

FEEDBAC K

87%

of learners rated the courses as ‘Excellent’ or ‘Good’

T O P 10 C O U R S E S I N 2020 : 1. RBA Code of Conduct - Environment 2. RBA Code of Conduct - Ethics 3. RBA Code of Conduct - Labor 4. RBA Code of Conduct - Health and Safety 5. RBA Code of Conduct - Management Systems 6. Forced Labor 1: Recognizing Forced Labor 7. Forced Labor 2: Preventing Forced Labor 8. RBA Introduction 9. Health & Safety 1: Health and Safety Management Systems 10. Recruitment 5: Hiring and Working with Migrant Workers

1874 Responses

94%

of learners think the system is easy to use

61%

of learners selected eLearning as their preferred method of training

4.47%

Course Usefulness Rating /5

4.45%

Course Relevancy Rating /5

R ES PONS IBLE BUSINES S A LLIA NCE 2020 ANNUAL REPORT

By the end of 2020, there were more than 50,000 user accounts and 117,000 course completions since the Learning Academy launched in 2014.

2020 was a very content-development rich year as well, with the following courses added to the Learning Academy: • Due Diligence on Recruitment Fees (5 modules) (English, Simplified Chinese) • Strategies for Reducing Working Hours (English, Simplified Chinese, Spanish) • Improving Your Dormitories (English, Simplified Chinese) • Developing a Code of Conduct (English, Simplified Chinese) • Ethical Recruitment (4 modules) (English, Nepali, Indonesian, Traditional Chinese) • Responsible Recruitment Program (English, Nepali, Indonesian, Traditional Chinese) • Right to Voluntary Overtime (English, Simplified Chinese) • Right to Resign (English, Simplified Chinese) • Managing Indirect Spend (English) • SVAP on Forced Labor (Traditional Chinese, Nepali, Indonesian) • Unconscious Bias in the Workplace (English, Simplified Chinese) • Gender Sensitivity (English, Simplified Chinese) • Managing Student Workers (English, Simplified Chinese)

R E S P O N S I B L E B USINE SS AL L IANCE 2020 ANNUAL REPORT

• Supply Chain Engagement (English, Chinese) • Communicating & Consulting with Workers (English, Chinese) • RMI RRA Criteria - Business and Human Rights (English, Simplified Chinese, Spanish) • RMI RRA Criteria - Greenhouse Gas Emissions (English, Simplified Chinese, Spanish) • RMI RRA Criteria - Energy Consumption (English, Simplified Chinese, Spanish) Thirteen new course translations were made available (in Japanese and Spanish), including for the RBA Code of Conduct course. The RBA also launched its Factory Lead Certification Level 2 in 2020, which enables those who finished Level 1 to recertify and gain access to all new content and maintain their certification. Factory Lead Certification is an important component of the Factory of Choice and Responsible Factory Initiative programs. By the end of 2020, there were more than 50,000 user accounts and 117,000 course completions since the Learning Academy launched in 2014. More than 5,400 new accounts were created in 2020 alone and there were over 31,000 course completions. Monthly active users averaged close to 800.

CODE & VAP

VIRTUAL AND IN-PERSON TRAININGS

The RBA continually holds training sessions around the world to ensure companies and auditors understand the Code of Conduct and how to prepare for VAP audits. Due to the global pandemic-related restrictions on travel and large gatherings, the RBA launched virtual versions of these crucial trainings to supplement in-person trainings. In 2020 we held Code and VAP trainings for 575 participants: 300 were trained virtually and 275 were trained in small groups in their local countries, using strict protocols including PPE, social distancing, temperature checks on-site, and advance registration requirements. On-site trainings were held in Guangzhou, Shanghai and Shenzhen in China and in Penang, Malaysia.

R ES PONS IBLE BUSINES S A LLIA NCE 2020 ANNUAL REPORT

R E S P O N S I B L E B USINE SS AL L IANCE 2020 ANNUAL REPORT

RBA & RMI

MEMBER MEETINGS

R B A A N N U A L M E M B E R M E E TING

The RBA held its virtual annual member meeting on September 15. This members-only event provided members with in-depth updates on the RBA and its initiatives. Topics included the state of the RBA, an overview of the Strategic Plan Refresh (see article on comment period above), improvements to the VAP, new data analytics tools for members, and global regulatory and public policy updates. The day closed with a Town Hall Q&A session where RBA staff answered member questions.

RMI ANNUAL MEMBER MEETING The RBA’s Responsible Minerals Initiative (RMI) held its virtual annual members-only meeting on September 16. Highlights included an overview of RMI’s state of play, the RMI toolbox, RMAP and DAP Standards, RMI-supported upstream mine-level projects, and work group roundtables. The day ended with an RMI Member Town Hall and Leadership Conversation.

R ES PONS IBLE BUSINES S A LLIA NCE 2020 ANNUAL REPORT

RESPONSIBLE BUSINESS

ANNUAL CONFERENCE The 2020 annual conference, which took place virtually for the first time, was a huge success. Responsible Business 2020 had more than 1,200 registrants from around the world, nearly twice that of the in-person annual conference in 2019. More importantly, based on feedback from attendees, participants found the discussions very informative and engaging.

On the first day of the conference, October 13, RBA CEO Rob Lederer opened the conference and showed a video highlighting the RBA’s efforts in 2020.

Keynote speaker John G. Ruggie, Berthold Beitz Professor in Human Rights and International Affairs at Harvard’s Kennedy School of Government and Affiliated Professor in International Legal Studies at Harvard Law, focused his remarks on systemic changes and peoplecentered responses.

R E S P O N S I B L E B USINE SS AL L IANCE 2020 ANNUAL REPORT

Afterward, RBA Board Chair Joan Motsinger, from Seagate Technology, addressed the audience. Joan emphasized the impact and value of the RBA and encouraged conference participants to get involved.

Next, the Executive Director of the International Justice Mission’s Canada office, Anu George Canjanathoppil, facilitated a panel of representatives from the Global Survivor Network, a group of survivor leaders working to protect the most vulnerable from bonded labor slavery.

In the afternoon, the RBA held breakout session panel discussions on Public Procurement, the UN Working Group’s “UNGPs 10+ / Next Decade BHR” Project, Diversity in Supply Chains, Industry Efforts on Responsible Business Conduct, Forced Labor, and Accelerating the Circular Economy Throughout the Industry.

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On the second day of the conference, October 14, we started with remarks from senior government leaders about efforts to combat human trafficking and forced labor. Speakers included Didier Reynders, European Union Commissioner for Justice; John Cotton Richmond, U.S. Ambassador-at-Large to Monitor and Combat Trafficking in Persons; and Lucienne Manton, Australian’s Ambassador for People Smuggling and Human Trafficking.

Discussions with a panel of high-level executives from RBA member companies followed, focused on the latest CSR trends and challenges facing businesses. Panelists included Jennifer “JJ” Davis, Chief Corporate Affairs Officer, Dell Technologies; Judy Glazer, Head of Sustainability and Product Compliance, HP Inc.; and Kara Hurst, Head of Worldwide Sustainability, Amazon.

Afterward, we heard from leaders in the financial community who discussed how they are prioritizing ESG and stakeholder impact, particularly in global supply chains. Panelists included Michelle Edkins, Managing Director, BlackRock Investment Stewardship; Aniket Shah, Head of ESG and Sustainability Research for Americas, UBS Group; and Ariel Meyerstein, Senior Vice-President, Sustainability & ESG, Citi.

Later the RBA held breakout sessions on Supply Chain Resiliency, Water Stewardship, and Telling the Industry Story with Data Analytics.

R E S P O N S I B L E B USINE SS AL L IANCE 2020 ANNUAL REPORT

RESPONSIBLE MINERALS

ANNUAL CONFERENCE

The RBA’s Responsible Minerals Initiative (RMI) held its virtual annual conference October 27-28. Responsible Minerals 2020 had more than 1,000 registrants worldwide.

On the first day of the conference, RBA Vice President Leah Butler and CEO Rob Lederer provided opening remarks before introducing the keynote speakers.

Keynote speakers Dr. Christine Amisi Notia, Executive Secretary of Panzi Foundation DRC and a Congolese medical doctor, and Christine Schuler Deschryver, Co-Founder and Director of the City of Joy and V-Day Congo Director and VP of Panzi Foundation DRC, spoke about violence and transformative change in Eastern DRC.

The first session after the keynote presentations focused on investing in improvements within mining communities, with examples of projects supported by downstream companies and/or the public sector that focus on access to health, energy, and vocational training. Panelists included Emily Warne from the Panzi Hospital and Foundations, Alyssa Newman from Google, Dr. Rachel Perks from the World Bank, and Ange Asanzi who is a grad student formerly from the DRC.

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In the afternoon the conference went into dual breakout sessions. One panel provided an overview of challenges posed by COVID-19 to responsible sourcing and conducting due diligence. Panelists included Andrea Vaccari of Freeport-McMoRan, Roper Cleland of ITSCI, and Fanny Fremont of the Responsible Mica Initiative.

Another panel focused on artisanal and small-scale mining (ASM) and how to improve conditions through partnerships. Panelists included Tirza Voss of Fairphone, Ferdinand Maubrey of RCS Global Group, and Daniella Savic of UNICEF.

Later in the afternoon, a breakout session on integrating Environmental, Social and Governance (ESG) issues into due diligence and risk management took place with panelists Andy Jones of Federated Hermes International, Hugo Brodie of the London Metals Exchange, Alan Knight of Arcelor Mittal, and Ephi Banaynal dela Cruz of Microsoft.

Meanwhile, another panel focused on OECD Guidance and impact measurement with Ben Katz from OECD, Camille Le Pors from the World Benchmarking Alliance, Laureen van Breen from WikiRate, Gerard van der Burg from IMPACT, and Chris Bayer from Development International.

R E S P O N S I B L E B USINE SS AL L IANCE 2020 ANNUAL REPORT

The first day ended with a screening of the documentary film, “Ukweli,” featuring three Congolese artists using the power of art as a conduit for change, followed by a dialogue with executive producer Alyssa Newman of Google, Amani Matabaro Tom of ABFEC and Action Kivu, and Sasha Lezhnev of The Sentry.

The second day began with a general session on preparing for the EU Conflict Minerals Regulation. Panelists included Philipp Dupuis of the European Commission DG Trade, Yannic Kiewitt of EPRM, Henk Ruessink of the Netherlands’ National Competent Authority, Anna Kawecka of Signify, and Marianna Smirnova of the RBA/RMI.

A breakout session on due diligence in the gold supply chain followed, featuring panelists Sakhila Mirza from the London Bullion Market Association, Iris Van der Veken from the Responsible Jewellery Council, Terry Heymann from the World Gold Council, Nagendra Kumar from the National Stock Exchange of India, and Rituraj Mukhia from ABB Group.

Meanwhile, a panel discussion on progressive improvement of refiners in the cobalt supply chain took place with Sun Lihui of the Responsible Cobalt Initiative and CCMC, Adam McCarthy of the Cobalt Institute, Anne-Marie Fleury of Glencore, Belinda Huang of Jiana Energy, and Ben Katz of the OECD.

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Later that afternoon, a breakout session on industrial mining tailings management best practices took place with Diane Tang-Lee from the International Council on Mining and Metals, Mike Davies from Teck Resources, and Adam Matthews from the Church of England Pensions Board and the Transition Pathway Initiative.

Simultaneously, a breakout panel discussed standardization and interoperability of blockchain technology solutions in mineral supply chains. Benjamin Duignan from IBM, Douglas Johnson-Poensgen from Circulor, Nathan William from Minespider, and Dawn Jutla from Peer Ledger.

Afterward, everyone came back together for a general session on understanding the costs and value of due diligence, with Tyler Gillard from the OECD, followed by closing remarks by RMI Chair Ephi Banaynal dela Cruz from Microsoft.

R E S P O N S I B L E B USINE SS AL L IANCE 2020 ANNUAL REPORT

COMPASS AWARDS 2020

The finalists and winners of the 2020 Compass Awards were celebrated during a virtual ceremony in spring 2021. Finalists shared the best practices that were highlighted in their program or project entries before the RBA announced the winners in each category and presented them with their Compass Awards. An independent panel of judges from intergovernmental organizations and civil society evaluated the submissions and chose the following finalists and winners:

FIN ALIS TS Leadership Finalists: Applied Materials, Flex, and Micron Innovation Finalists: AMD, Fairphone, and HPE Implementation Finalists: ASM, Flex, and ST Micro

WIN N ER S Leadership Winner: Applied Materials – Applied Materials Sustainability Vision, Framework and 2030 Goals Innovation Winner: AMD – AMD 25x20 Energy Efficiency Initiative for Mobile Computing Implementation Winner: Flex – Mitigating Ergonomic Risks Through Automation and Enhanced Visibility

2019

Started in 2018, the primary goals of the RBA Compass Awards are to recognize CSR efforts in the supply chain that lead to meaningful, positive change in line with the RBA’s vision and mission and serve as examples of successful actions that other companies can emulate.

R ES PONS IBLE BUSINES S A LLIA NCE 2020 ANNUAL REPORT

MEETINGS AND EVENTS

RBA ON THE MOVE

Every year, RBA staff typically log many hours and miles traveling to meetings and events around the world to represent the organization before key stakeholders. By spring of 2020, however, the global pandemic and related restrictions on travel and large gatherings drove nearly everyone to rely on virtual formats, including the RBA. While not an ideal substitute for in-person dialogue, the virtual environment allowed us to be in multiple time zones simultaneously and, in some cases, participate in important discussions that otherwise might not have been feasible. In addition to public events, the RBA also held a series of members-only virtual webinars to share best practices and keep members informed on the latest developments related to due diligence and responsible business conduct.

ILO Event in Kuala Lumpur, Malaysia On December 18, in conjunction with International Migrants Day, the RBA’s Responsible Labor Initiative (RLI) participated in an ILO event, “Towards WellManaged Labour Migration: Fair Recruitment for Women and Men Migrant Workers in Malaysia.” The aim of the event was to discuss the opportunities and challenges for working toward the implementation of well-managed labor migration policies and realizing fair recruitment for migrant workers in Malaysia. CCCMC EU Events On December 4 the RBA’s Responsible Minerals Initiative (RMI) moderated a CCCMC-GIZ event on the impact of the upcoming EU Conflict Minerals Regulation on Chinese stakeholders. On December 3, the RMI also participated in an event hosted by the CCCMC’s Responsible Cobalt Initiative during the SMISC forum. The session focused the challenges of responsible cobalt supply chain management, the new challenges confronted by artisanal and small-scale mining (ASM) and large-scale mining (LSM) in the context of the COVID-19 and efforts to improve sustainable cobalt supply chains. COVID-ASM Event On December 3, the RBA’s Responsible Minerals Initiative (RMI) participated in an event hosted by Delve, “Rethinking Formalization: How Disruption Brought About by COVID-19 Can Be Catalyzed for Development.” The RMI spoke to the issue of disruptions across mineral supply chains to unpack how COVID-19 may impact future efforts to incorporate artisanal and small-scale mining (ASM) into global mineral supply chains.

R E S P O N S I B L E B USINE SS AL L IANCE 2020 ANNUAL REPORT

Malaysia Ministry Event The RBA participated in a virtual Consultation on the Development of the National Action Plan on AntiTrafficking in Persons (NAPTIP) 20212025, organized by Malaysia National Strategic Office to the Council for Anti-Trafficking in Persons and Anti-Smuggling of Migrants (NSO MAPO), Ministry of Home Affairs on December 1. The main objective of the consultation was to discuss the viability of the suggested inputs and the finalization of the proposed ideas from the earlier series of discussions.

EU Blockchain Event On December 1, at the invitation of the vice chair of the European Parliament International Trade committee, the RBA’s Responsible Minerals Initiative (RMI) spoke at an EU-insider event organized by EU Bubble Experts on the Trade/Tech Nexus, with analysts, policy advisors, and consultancy networks to discuss the impact of technological advancements, particularly blockchain, on international trade and global value chains.

AWS Forum On December 1, the RBA participated in the Alliance for Water Stewardship Online Forum’s session spotlighting the ICT sector, alongside several RBA member companies who presented on efforts regarding their water stewardship journey. The case studies presented by RBA member companies highlighted how collaboration and a collective approach to due diligence are key when it comes to effective water stewardship.

UN Forum on Business and Human Rights The RBA participated on a panel at the UN Forum on Business and Human Rights on November 18. The session, titled “Regional Trends and Dialogue,” focused on regulatory and policy innovations.

Africa Mining Forum The RBA’s Responsible Minerals Initiative (RMI) participated in the Africa Mining Forum during a session on November 18, where we shared our perspectives on the role of blockchain in supply chain transparency.

UNGP+10 Event at UN Forum On November 17 the RBA participated in the UNGP+10: Roadmap for the Next Decade event during the United Nations (UN) Forum on Business and Human Rights.

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39 39

ATEA ASF Forum On November 17, the RBA participated in the ATEA ASF Forum 2020. The event brought together several hundred IT buyers from the Nordics and beyond as well as the global IT industry for a dialogue around sustainable IT. The thematic focus of the 2020 edition was on transparency and circular economy.

Responsible Mica Annual Conference On November 10, the RBA’s Responsible Minerals Initiative (RMI) spoke at the Responsible Mica Initiative’s Annual Conference, on a panel focused on the “Importance and possible solutions to create a sound legal framework for sustainable mica mining ecosystem in India.”

EU International Trade Committee Hearing On November 9, the RBA testified before the European Parliament Committee on International Trade (INTA). The hearing was on “EU-China Trade and Investment Relations in a Post-Covid World.” The RBA said the pandemic demonstrated the need to build resiliency and ensure the protection of workers and the environment.

OECD Due Diligence Event On November 5 the RBA participated in an OECD stakeholder session on regulatory developments. The session, which featured policymakers from OECD member states, was an opportunity to discuss critical issues related to due diligence. The RBA presented its Roadmap on European Union Due Diligence, tools and programs.

ILO-SUHAKAM Event, Kuala Lumpur, Malaysia The RBA’s Responsible Labor Initiative (RLI) participated in an event on Preventing Forced Labor in Malaysia through Responsible Business Practices, co-organized by the ILO Project Office in Malaysia, the ILO Global Business Network on Forced Labour (ILO GBNFL) and the Human Rights Commission of Malaysia (SUHAKAM) on October 8.

EU Global Supply Chain Conference On October 6 and 7, the RBA participated in the German EU Presidency’s “Global Supply Chains” conference. This event was the flagship action of the German government to gather EU-wide support for the European Commission’s plan of adopting EU-level mandatory due diligence legislation and was widely attended by several hundred stakeholders from governments, civil society and industry across the EU.

RE S P O N S I B L E B USINE SS AL L IANCE 2020 ANNUAL REPORT

BMW Group Event The RBA participated in member BMW Group’s Dialogues 2020 on October 5. This event brought internal BMW leaders into conversations with external experts to generate valuable insights on BMW Group’s Sustainability Strategy. Focused topics included CO2 emissions, human rights, and environmental rights in supply chains.

U.S. Department of Labor Event RBA staff participated on a panel at the U.S. Department of Labor virtual event on September 30 highlighting the release of the International Labor Affairs Bureau’s (ILAB) 2020 update to the List of Goods Produced by Child Labor or Forced Labor.

ILO-VCCI Consultation on Recruitment Regulation The RBA and representatives from member companies spoke at a Consultation on Regulation of Recruitment and the Draft Law on Contract-based Vietnamese Overseas Workers on September 15 in Hanoi, Vietnam. The event was organized by the International Labour Organization (ILO) and Vietnam Chamber of Commerce and Industry (VCCI), and attended by a significant number of Vietnamese government representatives

Regional Forum on Business and Human Rights On September 11, the RBA presented at the plenary session on due diligence during the 5th Regional Forum Business and Human Rights for Latin America and the Caribbean, co-organized by the ILO, OECD, European Union, and United Nations (UN) Office of the High Commissioner. The RBA presented an overview of efforts to drive due diligence across its membership with a particular focus on efforts in Latin America.

RBA Mexico Outreach Meeting On September 3 the RBA held its Guadalajara, Mexico outreach meeting in a virtual format. The event featured presentations from high-level government officials from Mexico, the U.S. and Canada. Of particular interest was an indepth presentation on the ongoing Mexican labor market reforms as well as implementation of the labor provisions of the U.S.–Mexico–Canada (USMCA) Trade Agreement.

GreenBiz Circularity 20 On August 27, the RBA and several members presented on two Circular Electronics panels during the GreenBiz Circularity 20 virtual conference. The first, “Creating a Sustainable, Responsible Supply Chain” explored the question of how industry can create social and economic value from millions of tonnes of existing e-waste. The second, “Designing Out Waste,” focused on how companies are designing waste out of products and offerings. R ES PONS IBLE BUSINES S A LLIA NCE 2020 ANNUAL REPORT

Malaysia Ministry Briefing in Kuala Lumpur The RBA spoke at a Briefing for Labor Standards Compliance in Supply Chain Sustainability, organized by Malaysia’s Ministry of International Trade and Industry, on July 29, together with representatives from the Malaysia Ministry of Human Resources and the U.S. Embassy. The briefing was to update the local manufacturing industry on labor acts and regulations linked to foreign migrant workers’ employment and raise awareness and understanding of the risks and impact of forced labor in supply chains. RBA-U.S. State Dept. Virtual Dialogue On July 14, the RBA’s Responsible Minerals Initiative (RMI) held a virtual dialogue on responsible mineral sourcing with Pamela Fierst-Walsh, Senior Advisor for Conflict Minerals, U.S. Department of State. Topics included priorities within the Dept. of State minerals portfolio, OECD and civil society’s calls to action to support upstream assurance systems, pandemic issues shaping government partnerships, and important points of emphasis for companies as they allocate resources to various issues and projects in 2020-2021.

RBA Foundation Regional Forum The RBA Foundation held its annual regional forum on June 24-25. More than 300 participants attended this year’s virtual event to learn about the Responsible Workplace and Recruitment Programs’ progress, best practices, emerging trends and recommendations. The primary themes were driving measurable impact in mitigating risks of forced labor in the supply chain in Malaysia, and building a business case for ethical recruitment.

RBA European Human Rights Due Diligence Event On April 23, the RBA hosted a webinar to discuss latest developments in Europe regarding human rights due diligence, including recent momentum for EU-level mandatory requirements. Speakers included Heidi Hautala, Vice President of the European Parliament, Group of the Greens/European Free Alliance, Finland; Eamon Gilmore, European Union High Representative for Human Rights; Ambassador Valérie Berset Bircher, Federal Department of Economic Affairs, Education and Research, Switzerland; and Caroline Kollau, Director for International Economic Governance and Trade Policy, Ministry of Foreign Affairs, Netherlands. OECD Public Procurement Event in Paris On March 5, the OECD hosted an event in Paris, France that gathered policymakers from a wide range of countries, public buyers, civil society and industry to exchange views on challenges and opportunities in the advancement of responsible business conduct through public procurement policies and processes as well as to gather insight on emerging good practices in OECD countries. The RBA participated as a speaker in the conference’s session on “Drivers and challenges of integrating RBC in public procurement.”

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Tantalum Industry Meeting in Germany On February 20-21, the RBA’s Responsible Minerals Initiative (RMI) and the Tantalum Industry Conflict Minerals Council (TI-CMC) participated in an annual coordination meeting in Goslar, Germany. The RMI and TI-CMC discussed tools, resources and assistance available to tungsten smelters in the RMI’s Responsible Minerals Assurance Process (RMAP), program alignment on Reasonable Country of Origin Inquiry (RCOI), the RMAP and Downstream Assessment Program (DAP) review process under the EU Conflict Minerals Regulation, and the RMAP Tungsten Standard for RMAP assessments. White House Summit on Human Trafficking The RBA was invited to the White House Summit on Human Trafficking: Honoring the 20th Anniversary of the Trafficking Victims Protection Act, on January 31. During the ceremony, the President of the United States signed an executive order dedicating additional resources to combat human trafficking and online child exploitation in the U.S. The RBA had previously been invited to the White House in October of 2019 to receive the Presidential Award for Extraordinary Efforts to Combat Trafficking in Persons.

Meetings with European Officials Throughout 2020 the RBA met with a wide range of key European policymakers, including members of the European Parliament who hold positions in relevant committees, such as Trade, Legal Affairs, and Development as well as the subcommittee on Human Rights. In addition, the RBA met with key officials from the directorates at the European Commission, including Directorate-Generals from Trade; Justice; and Employment, Social Affairs and Inclusion. A highlight was a meeting on January 28 with EU Commissioner for Justice Didier Reynders.

Investor Briefing in New York City On January 24, RBA staff participated on a panel at an investor briefing in New York City on “The Importance of Responsible Recruitment in Assessing Modern Slavery Risk.” The briefing was sponsored by the Leadership Group for Responsible Recruitment, IHRB, ICCR and the Investor Alliance for Human Rights. The event emphasized the role investors can play in helping to shift behaviors and expectations.

Meeting with U.S. Ambassador to Malaysia On January 8, the RBA met with the U.S. Ambassador to Malaysia, the Honorable Kamala Shirin Lakhdhir, and additional U.S. Department of State representatives in Kuala Lumpur, Malaysia. During this meeting, the RBA provided updates on its programs and activities in the region and continued ongoing dialogue with the ambassador’s office regarding the protection of worker rights in the country.

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ENHANCED DATA ANALYTICS AND

RBA-ONLINE RBA-Online is an online sustainability data management system designed to help RBA members and their suppliers manage and share sustainability data. This includes audits, risk assessments and self-assessment questionnaires that assess risk at the corporate, facility and supplier levels. The updated platform that launched in spring 2020 featured a new user interface, increased performance, improved audit workflow integration, data analytics, focused survey deployment, Responsible Minerals Initiative audit management, new permissions for Responsible Labor Initiative and Responsible Factory Initiative members, and many other new features. In spring 2020 the RBA also added a data scientist to its staff to work with the tremendous amount of data in RBA-Online and enable the RBA and its members to more easily leverage the platform’s full capabilities. Over the course of the year, the RBA released a number of interactive data tools to help members make sense of their supply chains, audit findings, trading relationships and more. With the ability to filter member data, these

R E S P O N S I B L E B USINE SS AL L IANCE 2020 ANNUAL REPORT

data tools are able to place company-specific data next to RBA industry aggregate figures for quick and easy benchmarking. These resources support members of the RBA and its Initiatives as they seek to better understand and use key data to improve labor and environmental conditions in their global supply chains. RBA members can now interact with and export or import data specific to their needs, conduct in-depth analyses and create stunning visualizations that will help them communicate progress and target areas for improvement. The future of the RBA analytics program will include enhanced industry-level reporting, more interactive dashboards, and additional custom data solutions for members.

RISK ASSESSMENT PLATFORM

The RBA implemented a series of enhancements to its innovative, site-level Risk Assessment Platform. The platform provides an immediate inherent risk score for facilities based on factors such as geography, products produced, and spend level. There were two major changes to the system in 2020: Custom Risk Ratings for Indirect Suppliers: In many supply chains there are a large number of service providers and indirect suppliers. Examples include facility security, cafeteria service, janitorial providers, maintenance companies, and gig workers. Assessing the risks related to these service providers is becoming an increasingly important element of many due diligence programs, and the RBA Risk Assessment Platform introduced a series of enhancements to assist in reviewing these providers. Specifically, we added the following new features to support members’ efforts: • Alternate scoring algorithm to align more closely with risks related to indirect providers • Advanced risk ratings for 13 new service categories • New risk element: Brand Risk This combination of new elements aligns with the RBA strategic plan and has been well-received by users of the platform. Revamp of Smelter/Mine Risk Indicators: In coordination with the RBA’s Responsible Minerals Initiative (RMI), we implemented a complete replacement of risk indicators used for evaluating risk at the extractives level. These new indicators put us in alignment with OECD and European Commission guidance for identifying Conflict-Affected and High-Risk Areas (CAHRAs). By switching to the RMI risk view in the RBA Risk Assessment Platform, the following categories are used to identify the risk levels at the country level: • Conflict (4 indicators) • Governance (7 indicators) • Human Rights (6 indicators) • Sanctions (3 indicators) These 20 indicators help gauge risk for a specific area, and may be used as an element in the evaluation of risk deep in the supply chain.

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WORKER VOICE PLATFORM

The RBA launched its worker voice platform, “RBA Voices,” in 2020 to help members and their suppliers improve conditions in their international supply chains by giving workers more ways to provide feedback and learn important professional and personal skills while providing companies with greater visibility into facilities.

RBA Voices offers many benefits to workers and directly responds to some of the worker concerns brought up in the global workplace well-being survey. Features of the worker voice platform include: • Worker Survey Tool – Easily deploys surveys to thousands of workers across multiple suppliers and/or facilities. RBA members can use the management portal to quickly deploy standard or customized surveys and analyze results. Examples of surveys that can be deployed to workers with the click of a button include: Health and Safety, Student Workers, Diversity, Living Wage, Employee Satisfaction, and more. • Audit Support – Allows for worker interviews to be performed discreetly, without supervisor oversight, and enables workers to report retaliation against audit participants. • Mobile Learning App – More than 400 courses in multiple languages are available. These gamified courses are intuitive and increase workers’ knowledge on a range of subjects that can improve health and safety, career development and personal growth. RBA members can view metrics on use of the learning app via the management portal. • Grievance Reporting – Provides a simple reporting method for workers via QR codes, mobile phones, or website (available in 2021).

R E S P O N S I B L E B USINE SS AL L IANCE 2020 ANNUAL REPORT

VAP

IMPROVEMENTS

The Validated Assessment Program (VAP) is an evolving program that is continually evaluated and updated to advance the quality of the overall offering.

Some improvements that were made in 2020 included: • RBA Code of Conduct 7.0 requirements were incorporated into the VAP protocol • Off-site interviews were added to the audit process • Pre-audit training modules are offered to all auditees, free of charge • A Corrective Action Plan (CAP) Library was added to link specific non-conformances in a VAP audit to ondemand trainings in the RBA Learning Academy, and is provided to auditees free of charge • Remote VAP audits have been added during the COVID-19 pandemic to protect workers even when sites are inaccessible in person Each of these actions allow the auditee to be better positioned to understand the gap between their current performance and the expectations outlined in the RBA Code of Conduct and RBA Membership Requirements.

R ES PONS IBLE BUSINES S A LLIA NCE 2020 ANNUAL REPORT

VAP AUDITS

BY THE NUMBERS

VAP AUDIT S PE RF ORME D n INITIAL AUDITS n CLOSURE AUDITS

1,013 352

984

AV E R A G E A U D I T S C O R E n INITIAL AUDITS n CLOSURE AUDITS

266

169 161

160

829 288

136 718

122

661 541

2018

2019

2020

2018

2019

The total number of VAP audits conducted in 2020 dipped slightly (2.8 percent) from 2019 levels.

2 0 2 0 AUDITS B Y L OC ATION In 2020, factories in China continued to represent the majority (53 percent) of all audits conducted, with the next highest percentages of audits conducted in Chinese Taipei (8 percent), Thailand (6 percent), and Malaysia (6 percent).

R E S P O N S I B L E B USINE SS AL L IANCE 2020 ANNUAL REPORT

2020

VAP AUDITS

BY THE NUMBERS

2 0 2 0 VAP F I N D I N G S B Y S E C T I O N

• Working Hours

18.74%

• Emergency Preparedness

10.20%

• Occupational Safety

8.82%

• Wages and Benefits

7.52%

Supplier • Responsibility

5.27%

Freely Chosen • Employment

5.18%

• Occupational Injury and Illness

4.83%

• Hazardous Substances

4.40%

Other (30 Sections Below)

• Food, Sanitation and Housing

3.85%

• Energy Consumption and Greenhouse Gas Emissions

2.75%

Non-Discrimination •

7.51%

• Legal and Customer Requirements

• Industrial Hygiene

7.50%

6.89%

Management Accountability and Responsibility

6.93%

Air Emissions

6.60%

Audits And Assessments

5.94%

Risk Assessment And Risk Management

5.81%

Environmental Permits and Reporting

5.74%

Training

5.68%

Improvement Objectives

5.35%

Machine Safeguarding

5.02%

No Improper Advantage

5.02%

Health and Safety Communication

4.42%

Child Labor Avoidance

4.03%

Water Management

3.96%

Fair Business, Advertising and Competition

1.58%

3.76%

Intellectual Property

1.58%

Worker Feedback and Participation

3.63%

Communication

3.37%

Protection of Identity and Non-Retaliation

1.52%

Freedom of Association

3.17%

Documentation and Records

1.32%

Privacy

1.32%

2.64%

Company Commitment

1.25%

2.44%

Corrective Action Process

1.06%

2.05%

Humane Treatment

0.92%

Physically Demanding Work

1.98%

Materials Restrictions

0.33%

Disclosure of Information

1.58%

Solid Waste

Pollution Prevention and Resource Reduction Responsible Sourcing of Minerals Business Integrity

R ES PONS IBLE BUSINES S A LLIA NCE 2020 ANNUAL REPORT

VAP AUDITS

BY THE NUMBERS

TOP F IN DIN GS IN COU N T R I E S W I T H T H E M O S T R B A A U D I T S

SECTION COUNTRY

16.8%

Emergency Preparedness

5.5%

Wages and Benefits

4.5%

Occupational Injury and Illness

4.5%

Freely Chosen Employment

CHINA

16.2%

Emergency Preparedness

5.6%

Wages and Benefits

4.6%

Occupational Injury and Illness

4.5%

Freely Chosen Employment

CHINESE TAIPEI

15.6%

Emergency Preparedness

5.7%

Wages and Benefits

4.6%

Occupational Injury and Illness

4.6%

Freely Chosen Employment

MALAYSIA

THAILAND

16.5%

Emergency Preparedness

5.6%

Wages and Benefits

4.6%

Occupational Injury and Illness

4.6%

R E S P O N S I B L E B USINE SS AL L IANCE 2020 ANNUAL REPORT

VAP AUDITS

BY THE NUMBERS

T OP 1 0 AVE RA G E W E E K LY W O R K I N G H O U R S

Analysis of working hours was a major priority for the RBA’s Data Analytics Team in 2020. Analyzing numbers dating back to 2013, the team processed more than 7.4 million data points from over 80,000 sampled workers, representing a total worker population of more than 6.4 million people from 40 different countries.

WOR K IN G HOURS AT ME MBE R A ND N ON -M E MBE R FACIL IT IE S

47.0

50.9

On average, workers in RBA member facilities work nearly four fewer hours (8.2%) per week than their counterparts in nonmember facilites. Member

Non-Member

R ES PONS IBLE BUSINES S A LLIA NCE 2020 ANNUAL REPORT

MEMBERSHIP GROWTH Despite the Covid-19 pandemic, the RBA had another strong membership year, with a total of 12 companies joining for 2020. The RBA saw continued membership growth from Japan, with five new members joining from that country. Other new members joined from Germany, the Netherlands, and the U.S. The RBA’s Responsible Minerals Initiative (RMI) also contributed to the RBA membership pipeline, with four members upgrading from RMI to RBA membership for 2020. The RBA finished the year with 160 members. The chart below indicates the distribution of membership headquarters in 2020.

RBA ME MBE R S ’ H E A D Q U A R T E R S I N 2020 UNITED KINGDOM •

CHINESE TAIPEI •

10%

SWITZERLAND 1% • SWEDEN •

SINGAPORE •

NETHERLANDS •

2020

MALAYSIA •

KOREA •

JAPAN •

HONG KONG •

GERMANY •

FRANCE •

• CHINA

• AUSTRALIA

• CANADA

• BRAZIL

R E S P O N S I B L E B USINE SS AL L IANCE 2020 ANNUAL REPORT

• USA

54%

FY 2020

FINANCIAL HIGHLIGHTS 11%

•

OTHER

19%

• •

RMI

38%

MEMBERSHIP DUES

F Y 2020 OP ERAT IN G R EV EN UE

$16,571,840 •

32%

VAP AUDITS

30% •

ISSUES MANAGEMENT

F Y 2020 OP ERAT IN G EX P ENS E S

•

49%

COMPLIANCE

$15,102,346 9% •

ADMINISTRATION

8% •

•

LEARNING & CAPABILITIES

MARKETING & COMMUNICATIONS

*The RBA’s fiscal year runs from January 1 through December 31. R ES PONS IBLE BUSINES S A LLIA NCE 2020 ANNUAL REPORT

SENIOR

L E A D E R S H I P, B O A R D AND STAFF Joan Motsinger

RBA Board Chair, and Senior Vice President of Corporate Sustainability and Transformation, Seagate Technology

Eric Austermann

RBA Board Vice-Chair, and Vice President, Jabil

Adam Schafer

RBA Board Treasurer, and Director, Supply Chain Sustainability, Intel Corporation

BOARD OF DIRECTORS 2020

Christy Abizaid

Vice President, Supply Chain Sustainability, Risk and Tools Governance, Dell Technologies

Anthony DePaoli

Vice President, Compliance, Amkor Technology

Joel Eurich

Vice President, Global Compliance and EH&S, Molex

Anna Meegan

Head of Sustainability, Google Hardware, Google

Paula Pyers

Senior Director, Supplier Responsibility, Apple

Eric-Paul Schat

Senior Director, Sustainability, Environmental Health & Safety, NXP Semiconductors

Sue Slaughter

Global Director, Supply Base Sustainability, Ford Motor Company

Mitsu Shippee

General Manager, Head of CSR, Sustainability Dept., Sony Group Corporation

R E S P O N S I B L E B USINE SS AL L IANCE 2020 ANNUAL REPORT

RBA STAFF AS OF APRIL 2 0 2 1 Rob Lederer

Marianna Smirnova

Surya Herny Mahdzir

Deborah Albers

Bart Devos

Karina Beltran Romero

Bob Mitchell

Daniel Reid

Gavin Wu

Khai Yau Chua

Diana Trigo

Ka Ea Lim

Eric Lin

Alexandra Cech

Charles Teh

Catherine Tyson

Kyle Rand

Sherlin Shi

Shelita Bradshaw-Cortez

Mann Chyun Sim

Chee Keong Lai

Ronnie Tan

Steve Moloney

Nirmaladevi Krishnamoorthy

Anastasiia Olvera

Cinlla Huang

Alexi Holmes

Chief Executive Officer Vice President of Operations Vice President of Human Rights and Environment

Leah Butler

Vice President of Responsible Sourcing

Christine Briscoe

Sr. Director of HR and Member Services

Jarrett Bens

Sr. Director of Communications

Carlos Busquets

Sr. Director of Public Policy

Kenneth Anderson

Sr. Director of Information Technology

Jack Cutts

Sr. Director of Data Analytics

Juan Carlos Martinez

Director of Audit Operations

Laura Landrau

Director of Meetings

David Yeung

Director of Training Services

Andy Chiu

Director of Audit Assurance

Director of Standards and Assurance European Director

VAP Program Manager

Membership Coordinator

Director of Environment and Circularity Senior Program Manager Senior Program Manager Senior Project Manager

Program Coordinator RMI Program Specialist RMI Program Specialist VAP Program Specialist

Program Manager

Software Support Technician

Senior Account Manager

Program Associate

Senior Account Manager

Senior Consultant

Asia Compliance Manager Quality Assurance Manager Quality Assurance Manager

Chief Financial Officer Sr. Accounting Manager Accounting Clerk

Whitney Chan

Quality Assurance Manager

Ross Landis

Database Project Manager

R ES PONS IBLE BUSINES S A LLIA NCE 2020 ANNUAL REPORT

RBA

MEMBERS

AS OF A P R I L 2021

AcBel Polytech Inc.

Fairphone B.V.

ModusLink

Acer Inc.

First Solar Inc.

Molex Incorporated

Advanced Micro Devices

Fitbit, Inc.

Motorola Solutions, Inc.

Advania AB

Flex

NetApp

Allegro MicroSystems

Ford Motor Company

Netgear

Alphabet Inc.

Foxconn

New Kinpo Group

Altria Client Services LLC

Fujitsu Limited

Nexperia

Sumitomo Electric Industries, Ltd.

Amazon.com Inc.

Funai Electric Co., Ltd.

Nielsen

Symantec

Amkor Technology, Inc.

GlobalFoundries

Nikon Corporation

Synopsys, Inc.

Amphenol Corporation

Hasbro, Inc.

Nordic Semiconductor ASA

Analog Devices, Inc.

Hewlett Packard Enterprise

Nvidia Corporation

Taiwan Chinsan Electronics Industrial Co., Ltd.

Apple, Inc.

Hi-P (Xiamen) Precision Plastics Manufacturing Co., Ltd.

NXP Semiconductors

Hisense USA Corporation

Oracle America, Inc.

Applied Materials Arista Networks, Inc. ARRIS ASE Technology Holding Co., Ltd. ASM International ASML Holding ASUSTeK Computer Inc. Atea ASA Avaya Inc. Best Buy BMW Group Bosch Sensortec GmbH Bose Corporation Brother Industries Ltd. BT plc Cadence Design Systems Canon Inc. Cardinal Health Celestica Chicony Electronics Co., Ltd. Ciara Technologies Ciena Limited Cirrus Logic, Inc. Cisco Systems Inc. Citrix Systems Compal Electronics, Inc. Dell Technologies Dustin AB ecobee, Inc. Edwards Ltd EIZO Corporation Element TV Company, LP

HP Inc. Huawei Technologies Co., Ltd. IBM Corporation Inari Technology Sdn Bhd Infineon Technologies Americas Corp. Insight Enterprises, Inc. Intel Corporation Inventec Corporation iRobot Corporation Jabil Jasco JB HI-FI Limited JK Imaging Ltd. Juniper Networks Keurig Dr Pepper Keysight Technologies, Inc. Kingston Technology KLA Tencor Konica Minolta, Inc. Lam Research Corporation Lenovo Lexmark LG Display LG Electronics Logitech Inc. Longwell Company Lumentum Holdings Inc. Marvell Technology Group Ltd Media-Saturn-Holding GmbH

ON Semiconductor OSRAM Licht AG Palo Alto Networks Pegatron

Sony Group Corporation STMicroelectronics N.V. International

Taiwan Semiconductor Manufacturing Company, Ltd. (TSMC) TCL North America TDK Group Technicolor SA Techtronic Industries Company Limited

Philips

Tesla, Inc.

Photon Control, Inc.

Texas Instruments

Plexus Corp. Poly

3M Electronics and Energy Business Group

Positivo Tecnologia S.A.

Tokyo Electron Limited

Powertech Technology Inc.

Toshiba Corp.

Pure Storage, Inc.

Trimble Inc.

Qorvo, Inc.

TT Electronics Plc

Qualcomm

Veritas

Quanta Computer Inc.

VIAVI Solutions Inc.

Renesas Electronics Corporation

Vishay Intertechnology, Inc.

Ricoh Company Ltd.

VIZIO Inc.

Samsung Display

Volvo Car Group

Samsung Electronics

V.S. Plus Sdn Bhd

Sanmina

Walmart

Schneider Electric

Western Digital

Seagate Technology

Wistron Corp.

Seiko Epson Corporation

Xerox

Semtech Corporation

XP Power LLC

Senju Metal Industry Co., Ltd.

Zagg Inc.

SFO Technologies Pvt Ltd

Zebra Technologies Corporation

Sierra Wireless, Inc.

Zhen Ding Technology Holding Ltd

Signify Silicon Motion Technology Corp. Siltronic AG Simatelex Manufactory Co. Ltd.

Microchip Technology Incorporated

Fabrinet

Micron Technology, Inc.

Sky CP Ltd

Facebook

Microsoft

Skyworks Solutions, Inc.

R E S P O N S I B L E B USINE SS AL L IANCE 2020 ANNUAL REPORT

Snap, Inc.

Philip Morris International

Ericsson

SMART Modular Technologies, Inc.

SK Hynix Inc. - Icheon

ZTE (USA), Inc. ZT Systems

To learn more about the RBA, visit ResponsibleBusiness.org and contact us at membership@responsiblebusiness.org.

R ES PONS IBLE BUSINES S A LLIA NCE 2020 ANNUAL REPORT

responsiblebusiness.org 4

R E S P O N S I B L E B USINE SS AL L IANCE 2020 ANNUAL REPORT