REVISION HISTORY Revision A B C D E

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Revision Date Description of Changes 24-Apr-2013 Original Release 08-May-2013 Update to add “Review Supplier EICC-GeSI Template Macro” 21-Aug-2013 Update to allow tool to rollup v2.03 and v2.03a versions of EICC-GeSI CMRTs 30-Oct-2013 Fixed Rev C update, where it was not working properly. 25-Nov-2013 Added Dashboard worksheet to roll up all suppliers' information from "Declaration" worksheet of their EICC-GeSI CMRTs when the smelter lists are being rolled up. 07-Jan-2014 General Review for consistency with Rollup Tool. 02-May-2014 Corrected error in Dashboard Printout macro to print out answers to Question D on Declaration Page. Removed "N/A" entries in Questions 2 through 6 when the answer to Question 1 is "No" for a particular conflict mineral. 08-Jul-2014 Multiple updates. Updated to analyze v3.0 and 3.01 CMRTs. Added capability to collate only the Conflict Metals of interest from supplier CMRTs. Increased the number of suppliers’ CMRTs and the number of smelters the tool can handle. 10-Sep-2014 Corrected to clear D140, D144, D148, and D152 errors in Declaration Page analysis. Previous logic looked for "Yes" answer in Question 5 on Declaration Page, and v3.01 uses "Yes, 100%".

PURPOSE The purpose of this document is to explain how suppliers can use the “EICC-GeSI Template Rollup Tool.xlsm” (“Tool”) to make it easier for them to create their own “rolled up” EICCGeSI Conflict Minerals Reporting Templates (“Templates”) to send to TriQuint. SCOPE This document can be used by all TriQuint suppliers to gather data for their own use and supply “rolled up” Templates to TriQuint. TriQuint realizes that suppliers may also use this Tool to create Templates for other customers. TriQuint takes no responsibility for any errors, omissions, or inaccuracies in the Tool when used for suppliers’ other customers. Suppliers use the tool at their own risk, when using it for other customers. However, TriQuint takes responsibility for any mistakes in the Tool when it is used to provide rolled up data for TriQuint. PROCEDURE General Description of Worksheets in Tool

The Tool is a macro-enabled Microsoft Excel workbook named “EICC-GeSI Template Rollup Tool.xlsm.” Users will need to set their security levels to allow macros to run. Nothing in the tool is protected by passwords, nor is anything hidden. This will allow users to examine this Tool to see if they want to use it. This update includes the capability of accepting and analyzing both the v2.0x or the v3.0x Suppliers’ Templates. My apologies that it doesn’t analyze the Smelter List at this time – I have tools that will do this but the use of these tools are restricted to Conflict Free Sourcing Initiative members. If you would like to have access to better tools to analyze your smelter lists, please contact me and I can put you in contact with the right people to join the CFSI effort. If the Supplier says they use a Conflict Mineral, the tool does go into the Smelter List and count the number of smelters for that Conflict Mineral and then writes that information to the Customer Review worksheet, but it doesn’t do anything else in the Smelter List at this time. The worksheets are listed below and their functions are described in Appendix A: 1. Conflict Mineral Tools 2. Dashboard 3. Dashboard-v3 4. Confirmed Smelters 5. Unconfirmed Smelters 6. Supplier Information 7. Supplier Template Analysis 8. ActionPlan 9. CustomerReview 10. Revision History I have deleted the Problems/Actions worksheet, as all of its data was in the Supplier Template Analysis worksheet and this was making the operation of the tool more clunky. The tool has 3 macros in it at this time (See Figure 1): 1. Rollup Supplier Conflict Mineral information from their EICC Templates 2. Clear Rollup Tool to run again 3. Review Supplier EICC-GeSI Template (only works on Declarations page at this time)

Figure 1. Screenshot of Conflict Mineral Tools worksheet The titles of these macros are self-explanatory. The first macro (Rollup Supplier…) clears the information in the Confirmed Smelters and Unconfirmed Smelters worksheets before it begins a new run, but I included the Clear RollupTool… macro to allow the clearing of these worksheets without having to run the Tool again. Rollup Supplier Conflict Mineral Information from their EICC Templates Macro Do’s and Don’ts for Running the Tool There are a few items that need to be emphasized upfront. Most of this information is based on feedback from suppliers trying to use the Tool. If any user runs across any issues, please mail John Sharp at [email protected] to explain the problems you are having. 1. All Supplier Templates must be in the same folder, and at the same root level within that folder. When searching for supplier Templates to rollup, the Tool is going to ask what folder the Templates are in, and it will only look for Templates at the root level in that folder. 2. All Supplier Templates must be the actual Excel Templates. The Tool will not recognize a pdf of a Template. 3. All Supplier Templates must be at least Revision 2.0 or later. The Tool will recognize a v1.0 of the Template, but it will not roll it up. The Tool will stop running at that point. 4. Before you can “rollup” your suppliers’ Templates, you must tell the Tool what suppliers you are rolling up and the filename for their Templates. You do this by putting this information in the Supplier Information Worksheet. Running the Macro Start by going to the Supplier Information worksheet and entering your supplier names in Column A and the name of their EICC Template (including the extension – e.g., ACME Metals.xlsx, not just ACME Metals) in Column B (see Figure 2).

Figure 2. Entering Supplier Information NEW FEATURE: The tool now has the capability of rolling up just the metals of interest from each of your Suppliers’ CMRTs. In columns C through F, just set the cell value to “Yes” (use the dropdown box), the cell background will turn red. You can see in Figure 2 that I have told the tool that I am only interested in the Tin and Tungsten smelters in ACME Metals’ CMRT. The tool will still collect all of the data from the Suppliers’ CMRTs, but towards the end of the run, it will ask you if you want to keep the smelter information for those metals that you don’t use from that supplier. The rest of the columns in the Supplier Information worksheet are just columns that I have been using to track the emails to my suppliers and their responses. They are not necessary to the function of the tool. Only columns A through F are functional, so if you don’t want to use the other columns, they are not necessary. After you have entered all the suppliers and their template names in the Supplier Information, you can go to the Conflict Mineral Tools worksheet, where there are three buttons – For the Rollup, you need the “Rollup Supplier Conflict Mineral …” and the “Clear Rollup Tool …”. The “Clear…” macro just clears the first 50000 rows in the Confirmed Smelters and Unconfirmed Smelters worksheets, and the first 2500 rows in the Dashboard and Dashboardv3. The “Rollup Supplier Conflict Mineral…” macro does this at the beginning of each run, but I also added a manual clearing macro in case the user wanted to clear the file without running the entire macro for rolling up Supplier Templates. TOOL LIMITATIONS: At this time, the variable arrays in the tool allow for 2500 suppliers, and allows each supplier to have 2500 smelters in their Templates – for a total of 6,250,000 smelter listings. The maximum number of rows (i.e., “smelter listings”) allowed in Excel are:  Excel 97 = 65,536  Excel 2000 = 65,536  Excel 2003 = 65,536  Excel 2007 = 1,048,576  Excel 2010 = 1,048,576



Excel 2013 = 1,999,999,997

Therefore, the capabilities of the macros exceed the capability of Excel displaying the information in all versions except for Excel 2013. However, I hope that by allowing for 50,000 smelters total in the Confirmed Smelters and Unconfirmed Smelters worksheets, I have allowed enough space for your supply chain’s responses. If you exceed these limits, let me know and I can adjust the settings for several operations within the tool. You can open the macro to see what it does. It does ask you what folder your supplier templates are in and that is the only place it is going to look. All of your supplier Templates need to be in the same folder and at the same level within the folder (i.e., not in subfolders within the folder.) The tool tracks the number of sequential blank rows that it finds in your Supplier Templates. If it runs across 10 sequential blank lines, it assumes that it has reached the end of the file and stops reading the smelters in that Supplier’s CMRT, and goes onto the next supplier template. If it is looking at your Supplier Information worksheet, it stops looking for more suppliers and ends the program and gives you the output of what it rolled up. Do not leave rows in the Supplier Information worksheet where the Supplier Name is filled in, but there is no Supplier CMRT File Name. (See Figures 3a, 3b, and 3c for examples). The tool can accept multiple versions of the Template – it doesn’t matter if some suppliers use v2, v2.01, v2.02, v2.03, v2.03a, v3.0, or v3.01. It does not work with a v1.0 version of the Template. It will check to see if a Template’s version is v1.0, and if it is, the tool will stop. The main difference between these versions in the Smelter List is the Smelter ID:  v2 and v2.01 did not have a Smelter ID  v2.02, v2.03, and v2.03a used the old Smelter ID (e.g., 4JPN017)  v3.0 and v3.01 use the new Smelter ID (e.g., CID000683)

Figure 3a. Acceptable Listing of Supplier Names and CMRT File Names

Figure 3b. Acceptable Listing of Supplier Names and CMRT File Names

Figure 3c. Unacceptable Listing of Supplier Names and CMRT File Names If it runs across a “Smelter Not Listed” or “Smelter not yet identified” entry, it moves those into the Unconfirmed Smelter worksheet. Then at the end, it sorts the Confirmed and Unconfirmed Smelter worksheets by 1. Metal, and 2. Smelter Name. While the Tool is collecting the Smelter List information from each of your supplier’s Templates, it is also collecting all of the information in the Declaration worksheet of your suppliers’ Templates. If the supplier is using a v2.0x version of the Template, it copies this information to the “Dashboard” worksheet in the Tool. If the supplier is using a v3.0x version of the Template, it copies this information to the “Dashboard-v3” worksheet in the Tool. We had to split these two Dashboards because the questions on the Declaration worksheet changed significantly between v2.03a and v3.0. You can use this Dashboard to check your suppliers’ level of completion, sort by what suppliers use different metals, or any of the other questions on the “Declaration” worksheet of the CMRT. The Dashboards have been modified to “blank” out Questions 2-6 (for v2.0x Templates) if the Supplier has stated that they do not use a particular Conflict Metal in Question 1. It also does the same thing for Questions 3-7 (for v3.0x Templates) if the Supplier has stated “No” to Questions 1 and 2.

Consolidation of the Smelter List The tool will then ask you if you want to consolidate all of the suppliers who listed the same smelter into one single entry. If you want each smelter listed only once and to have all of the suppliers who listed that smelter listed in one row, select “Yes”. If you want each supplier who listed the same smelter to have their own row in your “Confirmed Smelter” worksheet, select “No”. The way the tool consolidates the smelters is by the Standard Smelter Name. It is looking for absolute matches before it consolidates two or more suppliers of a smelter. If there are ANY differences in the Standard Smelter Names in the Suppliers’ CMRTs, they will be treated as separate smelters. For example, “ACME Smelter” and “ACME Smelter “ (with a space after “ACME Smelter”) would be treated as two separate smelters. If a Supplier misplaces a comma or period, that will affect the consolidation of the smelters. So even with selecting “Yes” for consolidation, it is highly probable that you will have to manually consolidate some smelters. The way around this issue is to force your suppliers to manually complete their CMRTs and use the dropdown boxes to populate the Standard Smelter Names column in their CMRTs. This will avoid mis-spellings, misplaced punctuation, and extraneous spaces. The other point to make concerning consolidation is that the tool will keep the first listing of a smelter by a supplier. All remaining listings of that smelter will be deleted, with only the name of the Supplier listing that smelter being kept. This means that if the first listing of that smelter is “data poor” as to Smelter Contact information like names, email addresses, phone numbers and Smelter address information, THAT is all you will have. If the second listing of that smelters has much more data, it will be lost during the consolidation process. So if you want to keep all of the smelter information, and make your own judgment about whose data is best, it is better not to consolidate Delete Unused Supplier-Metal Combinations The tool will then ask you if you want to delete all of the smelters for a Conflict Metal from a supplier that you do not purchase that Conflict Metal from. That is a bit confusing, so an example might be that you only purchase a tin-silver-copper solder from ACME Metals. But ACME Metals sends you a Template for all of their gold, tin, tantalum, and tungsten. When you are setting up ACME Metals as a Supplier in your Supplier Information worksheet, set the tin column to “Yes” and set the gold, tantalum, and tungsten columns to “No”. When the tool asks you if you want to delete all of the Supplier-Metal Combinations that you do not use, and you say “Yes”, it will delete all of the gold, tantalum, and tungsten smelters for that Supplier. CAUTION: You can get some strange-looking results if you tell the tool to consolidate the suppliers who listed a particular smelter, and tell the tool not to delete those Supplier-Metal Combinations that you do not use. When the tool consolidates the suppliers, it uses the information from the first listing of that smelter by a supplier. For the next listing of that smelter, it compares the Standard Smelter Names (column D in the CMRT forms, Column C in the Confirmed Smelter worksheet in the tool) and if they are the same, it deletes the second listing of that smelter after capturing the name of the Supplier who listed that smelter. It might be

that you do not use that Conflict Metal from the first Supplier, but do from the second supplier. After the tool ran through the consolidation, you might have a listing for that smelter that in column R (Supplier) shows “Supplier 2, Supplier 5, Supplier 28” and column S (Is this Conflict Metal from this Supplier Used) shows “No”. That’s because you don’t use that Conflict Metal from Supplier 2. You may use it from Suppliers 5 and 28, or you may not. So if you are concerned about determining what metals you are using from your supply chain, always tell the tool to delete those Supplier-Metal Combinations that you do not use, OR do not allow the tool to consolidate your smelter list. Which means you will have to do this manually later. Personally, I let the tool consolidate and delete those Supplier-Metal Combinations that I do not use. Look this over and see if it will help you in your work. Enter some supplier names and their Template names, and see if it works for you. Let me know what troubles you run into, or any comments or suggestions you may have for it. I increased the number of smelter listings the tool will hande in the Confirmed and Unconfirmed Smelter worksheets to 50,000. If you have more than 50,000 Confirmed or Unconfirmed Smelters, let me know. I will have to do some work on the sorting and clearing code, but it is a very easy fix. Please remember that if you are using an older version of Excel (Excel 2003 and earlier), you are limited to approximately 65,500 total smelters. Review Supplier EICC-GeSI Template Macro (only works on Declarations Page at this time) I have added code to allow the tool to analyze both v2.0x and v3.0x Templates. As I said in previous versions of these instructions, I wanted to create a tool like this for two purposes – (1) so that I could quickly scan a supplier’s template and see issues and not forget anything, and (2) to allow the supplier to analyze their own template and fix errors before they sent it to me. There are 4 worksheets that work with this tool. The Supplier Template Analysis worksheet is where all of the “error conditions” are stored along with the desired response to the supplier. Column B is the error, Column C is the Problem (sometimes the same as the error), and Column D is the desired action. If you want a different Problem Statement in Column C with a different Action in Column D, you can change them in the Supplier Template Analysis worksheet. However, if you change the Condition (or Error) statement in Column B, the tool will not know that. These error Conditions in Column B are hard-coded into the tool’s analysis procedure. DON’T change Column B in the Supplier Template Analysis worksheet!! Don’t delete any rows in the Supplier Template Analysis worksheet!! If you do this, the tool will not know where to go for particular issues that it sees in a Supplier’s template. The tool is working off absolute cell addresses, so if the worksheet is changed so that information within a cell in Column B changes then the tool will give erroneous information. The ActionPlan and CustomerReview worksheets are the output of the analysis. The ActionPlan is a list of actions that the Supplier should fix, and the CustomerReview is a list of things that you as a Customer might want to look at to see if you need more information. In the future, I

may change this to automatically copy these two sheets to a new workbook, but for now you have to go to those worksheets in this tool. When you click on this macro, the tool will: 1. Erase the information in the ActionPlan and CustomerReview worksheets, 2. Open a dialog box for you to choose the Supplier Template you wish to review. 3. Reads all of the information in the Declarations and Smelter List worksheets. 4. Analyzes the Declarations information according to logic I have built into the tool. 5. If the tool finds what it thinks is a “wrong” answer, it writes that to the ActionPlan along with some explanatory text. 6. The tool writes any supplemental information that I think a Customer might want to review to the CustomerReview worksheet. Although the tool is reading the information in the Smelter List worksheet at this time, I have not written the code to analyze that. It has taken quite a bit of time to get it to do this, so I imagine it will take a lot more time to work in the Smelter List analysis. Try the tool on a few supplier Templates, and see if it makes sense to you. If you have any additional error conditions that you think the tool should look for, let me know and we can discuss how we can implement that error condition. Let me know if you have problems with it by emailing me at [email protected].

Appendix A Description of the worksheets used in the Tool

Worksheet Name

Description of Worksheet

Conflict Mineral Tools

This is the sheet where the macro buttons are located for suppliers to launch various activities within the Tool This sheet is where all of the information from each supplier’s v2.0x Declaration worksheet in their Templates is collected. This sheet is used to allow you to get a good overall view of the progress of your entire supply chain. This sheet is where all of the information from each supplier’s v3.0x Declaration worksheet in their Templates is collected. This sheet is used to allow you to get a good overall view of the progress of your entire supply chain. This is a form that will be filled out when the “Rollup Tool” is used. The Tool will sort through a supplier’s Template and store all smelters that the supplier has listed by their names in Column C of the Smelter List sheet in their Template (see Figure A-1). As an example of how the tool would work (again referring to Figure A-1), the tool would list Cookson and Gejiu Zili Metallurgy Co. in the Confirmed Smelters worksheet in the Tool. It can be seen that the Confirmed Smelter Sheet in the Tool is formatted like the Smelter List Sheet in the Template.

Dashboard

Dashboard-v3

Confirmed Smelters

Macros that use this worksheet All

Rollup Supplier Conflict Mineral information from their EICC Templates Clear Rollup Tool to run again Rollup Supplier Conflict Mineral information from their EICC Templates Clear Rollup Tool to run again Rollup Supplier Conflict Mineral information from their EICC Templates Clear Rollup Tool to run again

Worksheet Name Unconfirmed Smelters

Supplier Information

Description of Worksheet

Macros that use this worksheet This is also a form that will be filled Rollup Supplier Conflict out when the “Rollup Tool” is used. Mineral information from The Tool will sort through a supplier’s their EICC Templates Template and store all smelters that the supplier has listed as “Smelter Not Clear Rollup Tool to run Listed” in Column C of the Smelter again List sheet in their Template (see Figure 1). As an example of how the tool would work (again referring to Figure A-1), the tool would list Coopersanta, Taicang City Nancang Metal Meterial Ltd., Ltd, White Solder Metalurgia, YunXi, Xihai, and HC Strack Ltd in the Unconfirmed Smelters worksheet in the Tool. Again, it can be seen that the Unconfirmed Smelter Sheet in the Tool is formatted like the Smelter List Sheet in the Template. This is a form where the supplier will Rollup Supplier Conflict list their Supplier Names (Column A) Mineral information from and the name of the Supplier’s their EICC Templates Template (Column B). The rest of the columns are areas that a supplier can Clear Rollup Tool to run use to track their requests to their again suppliers. However, they are not used by the Tool in any way. Column Headings and information in them can be changed without affecting how the Tool functions. Only Columns A and B are used by the Tool.

Worksheet Name Supplier Template Analysis

Action Plan

Customer Review

Revision History

Description of Worksheet This is a form where error conditions are stored for use when the Tool is used to analyze a supplier’s Template. In this sheet, users should NEVER change anything in Columns A and B. Also NEVER delete any rows in this worksheet. If the user changes anything in Columns A or B, or deletes any rows, the Tool will not know where to look for error code information. The user can change the Problem Statement (Column C) and the Action Statement (Column D) to match the wording the user wants. This worksheet is one of the outputs of analyzing a supplier’s Template. All conditions that the customer wants fixed by the supplier are listed here. This worksheet is also an output of analyzing a supplier’s Template. All conditions that a customer may want to review are listed here. Revision Tracking sheet.

Macros that use this worksheet Review Supplier EICC-GeSI Template (only works on Declarations page at this time)

Review Supplier EICC-GeSI Template (only works on Declarations page at this time) Review Supplier EICC-GeSI Template (only works on Declarations page at this time) None

Figure A-1. Smelter List sheet in Example supplier Template