EX-1.01 2 d198423dex101.htm EX-1.01 EX-1.01

EXHIBIT 1.01

 

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CONFLICT MINERALS REPORT OF HEWLETT PACKARD ENTERPRISE

PURSUANT TO RULE 13P-1 UNDER THE SECURITIES EXCHANGE ACT OF 1934

Hewlett Packard Enterprise Company (“Hewlett Packard Enterprise” or “HPE”) presents this Conflict Minerals Report for the reporting period of January 1, 2015 to December 31, 2015 pursuant to Rule 13p-1 under the Securities Exchange Act of 1934 and associated guidance issued by the Securities and Exchange Commission.

Hewlett Packard Enterprise is a leading global provider of the cutting-edge technology solutions customers need to optimize their traditional information technology while helping them build the secure, cloud-enabled, mobile-ready future that is uniquely suited to their needs. HPE customers range from small and medium-sized businesses to large global enterprises. On November 1, 2015, Hewlett Packard Enterprise became an independent publicly-traded company through a pro rata distribution by HP Inc., formerly known as Hewlett-Packard Company (“our former Parent”), of 100% of the outstanding shares of Hewlett Packard Enterprise to HP Inc.’s stockholders. Because Hewlett Packard Enterprise operated as a subsidiary of Hewlett-Packard Company for the first ten months of the 2015 reporting period, this report reflects efforts undertaken by HPE in the last two months of 2015 and by our former Parent in the first 10 months of 2015.

Unless otherwise specified or unless the context otherwise requires, references to “we,” “us” or “our” refer to Hewlett-Packard Company and its consolidated subsidiaries with respect to events occurring prior to November 1, 2015 and to HPE and its consolidated subsidiaries with respect to events occurring on or after November 1, 2015. Terms or phrases that are italicized the first time they appear in this report have the meanings given in Item 1.01 of Form SD.

Overview of our Conflict Minerals Program

Building on Hewlett-Packard Company’s long-standing commitment to sustainability, HPE’s suppliers are expected to conduct their worldwide operations in a socially and environmentally responsible manner pursuant to HPE’s Supply Chain Social and Environmental Responsibility Policy, which contains a section on conflict minerals and is available at http://www8.hp.com/us/en/hpe/hp-information/livingprogress/humanprogress/supplier-ser-requirements.html. We engage in ongoing supplier outreach and communications regarding the substance of our conflict minerals policy, our expectations of suppliers with respect to conflict minerals, and our objective of responsible mineral sourcing.

Our former Parent has been recognized as an industry leader in the conflict minerals space for the last eight years for its efforts to advance the use of responsibly sourced minerals, including from the Democratic Republic of the Congo (“DRC”) or an adjoining country (collectively, the “Covered Countries”). This work began in 2008 when our former Parent helped establish the working group that was the precursor to the Conflict-Free Sourcing Initiative (“CFSI”) and was instrumental in developing and advancing CFSI programs and tools such as the Conflict-Free Smelter Program and the Conflict Minerals Reporting Template (the “Template”). We also hold a seat on the Electronics Industry Citizenship Coalition Board of Directors, which provides guidance to and oversight of CFSI. Our former Parent contributed to the development of the Organisation for Economic Co-operation and Development (“OECD”) due diligence guidance and was a founding member of the Public Private Alliance for Responsible Mineral Trade and the Responsible Sourcing Network Multi-Stakeholder Group. Our former Parent was also one of the first three companies to fund the Initial Audit Fund to offset part of the smelter audit cost, and also supported the initial piloting of the iTSCi traceability scheme for tin. Our former Parent visited DRC mines and participated in the former Conflict Free Tin Initiative. We participate in critical in-region conflict free sourcing projects including Solutions for Hope and the Kemet Partnership for Social and Economic Stability. At the end of 2014, our former Parent announced that all tantalum smelters reported to be in the supply chain were compliant with the Conflict-Free Smelter Program. HPE is making the same announcement for 2015.

HPE Products

Conflict minerals in the form of gold and the derivatives tin, tantalum, and tungsten (collectively, “3TG”) were necessary to the functionality or production of our products (i.e., were “necessary conflict minerals”). The products containing necessary conflict minerals that HPE manufactured or contracted to manufacture during 2015 are server, storage and networking products and certain accessories.

Design of Our Due Diligence Measures

We designed our due diligence measures to conform with applicable portions of the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (Second Edition, OECD 2013) and the related Supplements (collectively, the “OECD Guidance”), which is a nationally or internationally recognized due diligence framework. The design of our due diligence measures took into account our individual facts and circumstances, our downstream position in the minerals supply chain, the OECD recommendations for downstream actors that have no direct relationships to smelters or refiners1, and the use of independent assessment programs to provide information about smelters or refiners.

Consistent with the OECD Guidance, the design of our due diligence has the following features:

(1) Establishment of strong internal company management systems, including a conflict minerals policy; a Conflict Minerals Program team with senior management support; a Supply Chain Transparency System; engagement with 3TG Direct Suppliers2 to communicate and reinforce our expectations with respect to necessary conflict minerals; and a company level grievance mechanism that is available internally and externally to report concerns, including those related to conflict minerals.

(2) Identification and assessment of risks in the supply chain, including through the Supply Chain Transparency System, the mechanism by which risks are identified and assessed in the supply chain. The system is designed to support the Conflict Minerals Program team in systematically surveying, collecting, and analyzing information relating to the 3TG facilities3 in the supply chain for our products.

(3) Design and implementation of a strategy to respond to such risks as they are identified, including assessment of information on facilities’ due diligence practices, formulation of a risk management plan, and reporting to senior management.

(4) Support of industry organizations to carry out independent third-party audits of facilities’ due diligence practices, including through our membership in CFSI (member IDs HPQQ and HPE), the industry initiative that conducts audits and assessments of facilities’ due diligence activities.

(5) Annual reporting through this Conflict Minerals Report and in our annual Living Progress Report.

 

1 The OECD Guidance distinguishes between “upstream” and “downstream” actors. Upstream refers to the minerals supply chain from the mine to the smelter or refiner, and upstream companies include miners, local traders or exporters, international concentrate traders, and mineral re-processors. Downstream refers to the minerals supply chain from smelters and refiners to retailers and includes companies like HPE; it also includes metal traders, component manufacturers, product manufacturers, original equipment manufacturers and retailers.

2 3TG Direct Suppliers are our former Parent’s and HPE’s direct suppliers of materials, parts, components or products containing necessary conflict minerals.

3 3TG facilities are those entities reported by our 3TG Direct Suppliers that are also identified by CFSI to be smelters, refiners, recyclers or scrap processors of conflict minerals.

Description of Due Diligence Measures Performed

We undertook due diligence on the source and chain of custody of necessary conflict minerals based on the outcome of our reasonable country of origin inquiry (“RCOI”). We excluded from our due diligence necessary conflict minerals processed by those 3TG facilities that we reasonably believe source conflict minerals exclusively from recycled or scrap sources or from outside of the Covered Countries. We refer to the remaining facilities below as the “relevant 3TG facilities.” We undertook the following due diligence measures with respect to necessary conflict minerals from such facilities for the 2015 reporting period:

 

  •   compared the relevant 3TG facilities to the facilities that are listed by CFSI as either compliant or in process4 with the Conflict-Free Smelter Program, which assesses facilities’ systems and processes for traceability of ore and demonstration of conflict free sourcing;

 

  •   engaged 3TG facilities (directly or through a third party) when sourcing was unknown to provide conflict minerals education, collect information such as country of origin of necessary conflict minerals related to the supply chain for our former Parent or HPE’s products, or encourage participation in the Conflict-Free Smelter Program;

 

  •   if any 3TG Direct Supplier reported to us a facility for which we had information that triggered one of our risk indicators, then we requested that supplier to investigate whether or not that facility contributed 3TG to our former Parent or HPE’s products, and, if so, that the supplier take steps to remove the facility from our supply chain;

 

  •   supported the Conflict-Free Smelter Program through our membership and participation in CFSI; and

 

  •   asked 3TG Direct Suppliers to encourage the facilities in their supply chain to join the Conflict-Free Smelter Program.

We reviewed the results of our due diligence with senior supply chain management, including the Senior Vice President, Deputy General Counsel & Chief Ethics and Compliance Officer.

Results

Below we set forth the results of our due diligence as well as our overall progress toward DRC conflict free products. First, we summarize the outcome of our due diligence focused on the relevant 3TG facilities. We then provide a year-over-year view of all of the supplier-reported 3TG facilities and the status of their participation in an independent assessment program. Finally, we provide a snapshot of our overall progress toward DRC conflict free products resulting from our RCOI and due diligence efforts. This section includes a chart that highlights our progress by each 3TG metal as well as our total progress toward DRC conflict free products. Of the 3TG facilities reported to us in 2015, 92% are now compliant, in process to become compliant, and/or are reasonably believed to provide only conflict minerals from recycled or scrap sources or to source conflict minerals from outside the Covered Countries.

Due Diligence Results for Relevant 3TG Facilities

As described in the Form SD, we began our RCOI inquiry with 297 3TG facilities. After conducting our RCOI on these 3TG facilities, we determined that we reasonably believe 30 of these 3TG facilities exclusively provided conflict minerals from recycled or scrap sources, and that an additional 166 of these 3TG facilities sourced conflict minerals from outside of the Covered Countries. Attachment A to this Conflict Minerals Report includes the countries from which the 297 supplier-reported 3TG facilities may have sourced necessary conflict minerals.

We conducted due diligence, as described above, on the source and chain of custody of the necessary conflict minerals from the remaining 101 relevant 3TG facilities as shown in Chart 1 and further explained below.

 

4 Throughout this Conflict Minerals Report, “in process” refers to facilities that are listed by CFSI as (a) currently in the process of becoming Conflict-Free Smelter Program compliant or (b) Tungsten Industry-Conflict Minerals Council (TI-CMC) Category A members.

Chart 1: Due Diligence Results for Relevant 3TG Facilities

 

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Based on further due diligence of the 101 relevant 3TG facilities, as of April 28, 2016 (the “2016 Cut-Off Date”):

 

  •   76 were listed by CFSI as compliant or in process to become compliant with the Conflict-Free Smelter Program. We have reason to believe that 43 of these facilities may source necessary conflict minerals from the Covered Countries. Of these, 42 are already compliant and one is in process to become compliant with the Conflict-Free Smelter Program.

 

  •   For the remaining 25 facilities, the sourcing of conflict minerals is unknown and they are not yet participating in an independent assessment program. We have no information suggesting that these facilities (or any other 3TG facilities) are sourcing minerals that have directly or indirectly benefited an armed group, and have not been able to determine if these facilities are processing necessary conflict minerals contained in our products.

Status of All Supplier-Reported 3TG Facilities

We also measure our progress by reviewing the number of all 3TG facilities reported to us by our supply chain that are listed as participating in or successfully completing an independent assessment program. Because participation in an independent assessment program provides us (a downstream company) with a level of assurance of an upstream facility’s sourcing practices, we track and report out on this participation as an additional measure of our program, even though some of these 3TG facilities may not be the focus of our further due diligence because we reasonably believe they do not source necessary conflict minerals from the Covered Countries or handle conflict minerals only from recycled or scrap sources.

Our suppliers reported 297 total 3TG facilities in 2015, of which 215 are compliant with, and 38 are in process to become compliant with, an independent assessment program. Of the 44 3TG facilities that are not yet participating, for 14 we have reason to believe that they are sourcing from outside the Covered Countries. We believe 5 are exclusively providing conflict minerals from recycled or scrap sources, leaving only 25 3TG facilities that are not yet participating in an independent assessment program and for which we have limited or no information on the sourcing of necessary conflict minerals.

Attachment B to this Conflict Minerals Report sets forth the name and status of the 297 supplier-reported 3TG facilities. Chart 2 below presents our year-over-year progress for all supplier-reported 3TG facilities.

Chart 2: Status of All Supplier Reported 3TG Facilities

 

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Overall Progress toward DRC Conflict Free

Based on the RCOI we performed with respect to the 297 3TG facilities our suppliers reported to us and the due diligence we performed on relevant 3TG facilities, 92% are now Conflict-Free Smelter Program compliant or in process to become compliant, provide only conflict minerals from recycled or scrap sources, and/or are facilities that we reasonably believe source conflict minerals from outside of the Covered Countries.5 Only 8% (25) (see Chart 1) have sourcing that is unknown and are not yet participating in an independent assessment program.

 

5 The 92% of relevant 3TG facilities (a total of 272 facilities) consists of 166 facilities that we reasonably believe source conflict minerals from outside of the Covered Countries, 30 that provide only conflict minerals from recycled or scrap sources and 76 that are Conflict-Free Smelter Program compliant or in process to become compliant. The categories are shown in Chart 1.

Chart 3 further expands on our results by providing for each metal the number and percentage (as of the 2016 Cut-Off Date) of all supplier-reported 3TG facilities that were either Conflict-Free Smelter Program compliant or in process to become compliant, and/or that we reasonably believe exclusively source conflict minerals from recycled or scrap sources or from outside of the Covered Countries. Notably, all of the tantalum smelters reported to be in our supply chain are compliant with the Conflict-Free Smelter Program.

Chart 3: Overall Progress toward DRC Conflict Free by Metal

 

    Total   Progress toward DRC Conflict Free6   Percentage

Tantalum Facilities

   45   45   100%

Tin Facilities

   86   81   94%

Tungsten Facilities

   42   41   98%

Gold Facilities

   124   105   85%
 

 

  

 

  

 

Total

   297   272   92%

Efforts to Determine the Mine or Location of Origin with Greatest Possible Specificity

As a downstream actor we rely upon independent assessment programs to collect and review the majority of the upstream information, such as the mine or location of origin of necessary conflict minerals. Consistent with the key role set forth by the OECD Guidance for a downstream actor like our former Parent and HPE, our efforts to facilitate upstream mine or location of origin determinations were focused on support of independent assessment programs such as the Conflict-Free Smelter Program.

To determine the mine or location of origin of necessary conflict minerals, or to facilitate such determinations by independent assessment programs, we:

 

  •   surveyed 3TG Direct Suppliers during the reporting period of this Conflict Minerals Report using the Template (which included questions about the mine or location of origin) and required those suppliers to make similar efforts to survey their supply chains using the Template;

 

  •   reviewed information obtained through those surveys on 3TG facilities, and any mine or location of origin information if it was provided; and

 

  •   assessed any information on countries of origin available through our membership in CFSI for 3TG facilities (as part of the Conflict-Free Smelter Program audit protocol, the independent auditor makes an examination of the countries of origin as well as the location of the mine, even if the specific mine or location of origin for these minerals within a given country is not provided to CFSI members).

Steps to Further Mitigate Risk and Improve Due Diligence in 2016

We plan to continue the activities described in “Design of Our Due Diligence Measures” and “Description of Due Diligence Measures Performed” in our journey to achieve DRC conflict free status for our products including the following steps to further mitigate any risk that necessary conflict minerals in our products finance or benefit an armed group:

 

  •   engage with 3TG Direct Suppliers to update information provided to us;

 

  •   repeat our request that 3TG Direct Suppliers encourage facilities they have identified in their supply chains to join the Conflict-Free Smelter Program; and

 

  •   support the development of the Conflict-Free Smelter Program, including outreach efforts to encourage participation in the program.

 

6 This column includes the number of 3TG facilities that (as of the 2016 Cut-Off Date) were either Conflict-Free Smelter Program compliant or in process to become compliant, and/or that we reasonably believe exclusively source conflict minerals from recycled or scrap sources or from outside of the Covered Countries.

Attachment A

Countries of Origin

Based on information available from CSFI as of the 2016 Cut-Off Date and additional research by our external expert consultant, we believe that the countries of origin of the necessary conflict minerals from supplier-reported 3TG facilities may include the following countries.

 

Covered Countries

   

Outside Covered Countries

Angola    Argentina
Burundi    Australia
Central African Republic    Austria
Democratic Republic of the Congo    Belgium
Republic of Congo    Bolivia
Rwanda    Brazil
South Sudan    Cambodia
Tanzania    Canada
Uganda    Chile
Zambia    China
   Colombia
   Cote d’Ivoire
   Czech Republic
   Djibouti
   Ecuador
   Egypt
   Estonia
   Ethiopia
   France
   Germany
   Guyana
   Hungary
   India
   Indonesia
   Ireland
   Israel
   Japan
   Kazakhstan
   Kenya
   Laos
   Luxembourg
   Madagascar
   Malaysia
   Mongolia
   Mozambique
   Myanmar
   Namibia
   Netherlands
   New Zealand
   Nigeria
   Peru
   Portugal
   Russia
   Sierra Leone
   Singapore
   Slovakia
   South Africa
   South Korea
   Spain
   Suriname
   Switzerland
   Taiwan
   Thailand
   United Kingdom
   United States of America
   Vietnam
   Zimbabwe

Attachment B

3TG Facility List

This 3TG Facility List sets forth the name, location and status of all of the 297 3TG facilities our suppliers reported to us. It is the result of our review of data from several sources, including information reported to us by 3TG Direct Suppliers, obtained through supplemental engagement with certain 3TG facilities, and from CFSI. In many cases facility information was provided to us for the entire supply chain of 3TG Direct Suppliers, and did not identify with specificity those 3TG facilities believed to contribute necessary conflict minerals to any of our products.

 

Metal

   

Facility Name7

   

Facility Location8

   

Status9

Gold    Abington Reldan Metals, LLC    UNITED STATES    Not yet participating
Gold    Advanced Chemical Company    UNITED STATES    In process
Gold    Aida Chemical Industries Co., Ltd.    JAPAN    Compliant
Gold    Allgemeine Gold-und Silberscheideanstalt A.G.    GERMANY    Compliant
Gold    Almalyk Mining and Metallurgical Complex (AMMC)    UZBEKISTAN    In process
Gold    AngloGold Ashanti Córrego do Sítio Mineração    BRAZIL    Compliant
Gold    Argor-Heraeus S.A.    SWITZERLAND    Compliant
Gold    Asahi Pretec Corp.    JAPAN    Compliant
Gold    Asahi Refining Canada Ltd.    CANADA    Compliant
Gold    Asahi Refining USA Inc.    UNITED STATES    Compliant
Gold    Asaka Riken Co., Ltd.    JAPAN    Compliant
Gold    Atasay Kuyumculuk Sanayi Ve Ticaret A.S.    TURKEY    Not yet participating
Gold    Aurubis AG    GERMANY    Compliant
Gold    Bangko Sentral ng Pilipinas (Central Bank of the Philippines)    PHILIPPINES    Compliant
Gold    Boliden AB    SWEDEN    Compliant
Gold    C. Hafner GmbH + Co. KG    GERMANY    Compliant
Gold    Caridad    MEXICO    Not yet participating
Gold    CCR Refinery — Glencore Canada Corporation    CANADA    Compliant

 

7 Entities that have been reported to us by our 3TG Direct Suppliers as part of their supply chain for conflict minerals and that are recognized by CFSI (as of the 2016 Cut-Off Date) to be smelters, refiners, recyclers or scrap processors of conflict minerals (i.e., the “3TG facilities”). The facility names are listed as they appear on the CFSI Smelter Database. A company appears more than once if it was reported to us for more than one facility (i.e., smelter, refiner, recycler or scrap processor) that is processing different types of minerals or metals.

8 The facility locations are listed as they appear for each of the 3TG facilities on the CFSI Smelter Database.

9 Compliant refers to 3TG facilities that are listed by CFSI (as of the 2016 Cut-Off Date) as (a) compliant with Conflict-Free Smelter Program protocols or (b) certified or accredited by a similar independent assessment program such as the Responsible Jewellery Council’s (RJC) Chain-of-Custody Certification Program, or the London Bullion Market Association’s (LBMA) Responsible Gold Programme. In Process refers to 3TG facilities that are listed by CFSI (as of the 2016 Cut-Off Date) as (a) currently in the process of becoming Conflict-Free Smelter Program compliant or (b) Tungsten Industry-Conflict Minerals Council (TI-CMC) Category A members. Not yet participating refers to 3TG facilities that are not engaged with an independent assessment program.

Gold    Cendres + Métaux S.A.    SWITZERLAND    In process
Gold    Chimet S.p.A.    ITALY    Compliant
Gold    Chugai Mining    JAPAN    Not yet participating
Gold    Daejin Indus Co., Ltd.    REPUBLIC OF KOREA    In process
Gold    Daye Non-Ferrous Metals Mining Ltd.    CHINA    Not yet participating
Gold    DODUCO GmbH    GERMANY    Compliant
Gold    Dowa    JAPAN    Compliant
Gold    DSC (Do Sung Corporation)    REPUBLIC OF KOREA    In process
Gold    Eco-System Recycling Co., Ltd.    JAPAN    Compliant
Gold    Elemetal Refining, LLC    UNITED STATES    Compliant
Gold    Emirates Gold DMCC    UNITED ARAB EMIRATES    Compliant
Gold    Faggi Enrico S.p.A.    ITALY    In process
Gold    Gansu Seemine Material Hi-Tech Co., Ltd.    CHINA    Not yet participating
Gold    Geib Refining Corporation    UNITED STATES    In process
Gold    Great Wall Precious Metals Co., Ltd. of CBPM    CHINA    Not yet participating
Gold    Guangdong Jinding Gold Limited    CHINA    Not yet participating
Gold    Guoda Safina High-Tech Environmental Refinery Co., Ltd.    CHINA    Not yet participating
Gold    Hangzhou Fuchunjiang Smelting Co., Ltd.    CHINA    Not yet participating
Gold    Heimerle + Meule GmbH    GERMANY    Compliant
Gold    Heraeus Ltd. Hong Kong    CHINA    Compliant
Gold    Heraeus Precious Metals GmbH & Co. KG    GERMANY    Compliant
Gold    Hunan Chenzhou Mining Co., Ltd.    CHINA    Not yet participating
Gold    Hwasung CJ Co., Ltd.    REPUBLIC OF KOREA    Not yet participating
Gold    Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.    CHINA    Compliant
Gold    Ishifuku Metal Industry Co., Ltd.    JAPAN    Compliant
Gold    Istanbul Gold Refinery    TURKEY    Compliant
Gold    Japan Mint    JAPAN    Compliant
Gold    Jiangxi Copper Co., Ltd.    CHINA    Compliant
Gold    JSC Ekaterinburg Non-Ferrous Metal Processing Plant    RUSSIAN FEDERATION    Compliant
Gold    JSC Uralelectromed    RUSSIAN FEDERATION    Compliant
Gold    JX Nippon Mining & Metals Co., Ltd.    JAPAN    Compliant
Gold    Kazakhmys Smelting LLC    KAZAKHSTAN    Not yet participating
Gold    Kazzinc    KAZAKHSTAN    Compliant
Gold    Kennecott Utah Copper LLC    UNITED STATES    Compliant
Gold    KGHM Polska Miedź Spółka Akcyjna    POLAND    In process
Gold    Kojima Chemicals Co., Ltd.    JAPAN    Compliant
Gold    Korea Metal Co., Ltd.    REPUBLIC OF KOREA    Not yet participating
Gold    Korea Zinc Co., Ltd.    REPUBLIC OF KOREA    In process
Gold    Kyrgyzaltyn JSC    KYRGYZSTAN    Not yet participating

Gold    L’azurde Company For Jewelry    SAUDI ARABIA    Not yet participating
Gold    Lingbao Gold Co., Ltd.    CHINA    Not yet participating
Gold    Lingbao Jinyuan Tonghui Refinery Co., Ltd.    CHINA    Not yet participating
Gold    LS-NIKKO Copper Inc.    REPUBLIC OF KOREA    Compliant
Gold    Luoyang Zijin Yinhui Gold Refinery Co., Ltd.    CHINA    Not yet participating
Gold    Materion    UNITED STATES    Compliant
Gold    Matsuda Sangyo Co., Ltd.    JAPAN    Compliant
Gold    Metalor Technologies (Hong Kong) Ltd.    CHINA    Compliant
Gold    Metalor Technologies (Singapore) Pte., Ltd.    SINGAPORE    Compliant
Gold    Metalor Technologies (Suzhou) Ltd.    CHINA    In process
Gold    Metalor Technologies S.A.    SWITZERLAND    Compliant
Gold    Metalor USA Refining Corporation    UNITED STATES    Compliant
Gold    Metalúrgica Met-Mex Peñoles S.A. De C.V.    MEXICO    Compliant
Gold    Mitsubishi Materials Corporation    JAPAN    Compliant
Gold    Mitsui Mining and Smelting Co., Ltd.    JAPAN    Compliant
Gold    MMTC-PAMP India Pvt., Ltd.    INDIA    Compliant
Gold    Morris and Watson    NEW ZEALAND    Not yet participating
Gold    Moscow Special Alloys Processing Plant    RUSSIAN FEDERATION    Compliant
Gold    Nadir Metal Rafineri San. Ve Tic. A.Ş.    TURKEY    Compliant
Gold    Navoi Mining and Metallurgical Combinat    UZBEKISTAN    In process
Gold    Nihon Material Co., Ltd.    JAPAN    Compliant
Gold    Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH    AUSTRIA    Compliant
Gold    Ohura Precious Metal Industry Co., Ltd.    JAPAN    Compliant
Gold    OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)    RUSSIAN FEDERATION    Compliant
Gold    OJSC Novosibirsk Refinery    RUSSIAN FEDERATION    Compliant
Gold    PAMP S.A.    SWITZERLAND    Compliant
Gold    Penglai Penggang Gold Industry Co., Ltd.    CHINA    Not yet participating
Gold    Prioksky Plant of Non-Ferrous Metals    RUSSIAN FEDERATION    Compliant
Gold    PT Aneka Tambang (Persero) Tbk    INDONESIA    Compliant
Gold    PX Précinox S.A.    SWITZERLAND    Compliant
Gold    Rand Refinery (Pty) Ltd.    SOUTH AFRICA    Compliant
Gold    Remondis Argentia B.V.    NETHERLANDS    Not yet participating
Gold    Republic Metals Corporation    UNITED STATES    Compliant
Gold    Royal Canadian Mint    CANADA    Compliant
Gold    SAAMP    FRANCE    Not yet participating
Gold    Sabin Metal Corp.    UNITED STATES    Not yet participating
Gold    Samduck Precious Metals    REPUBLIC OF KOREA    In process
Gold    SAMWON Metals Corp.    REPUBLIC OF KOREA    Not yet participating
Gold    SAXONIA Edelmetalle GmbH    GERMANY    In process

Gold    Schone Edelmetaal B.V.    NETHERLANDS    Compliant
Gold    SEMPSA Joyería Platería S.A.    SPAIN    Compliant
Gold    Shandong Tiancheng Biological Gold Industrial Co., Ltd.    CHINA    Not yet participating
Gold    Shandong Zhaojin Gold & Silver Refinery Co., Ltd.    CHINA    Compliant
Gold    Sichuan Tianze Precious Metals Co., Ltd.    CHINA    Compliant
Gold    Singway Technology Co., Ltd.    TAIWAN    Compliant
Gold    So Accurate Group, Inc.    UNITED STATES    Not yet participating
Gold    SOE Shyolkovsky Factory of Secondary Precious Metals    RUSSIAN FEDERATION    Compliant
Gold    Solar Applied Materials Technology Corp.    TAIWAN    Compliant
Gold    Sumitomo Metal Mining Co., Ltd.    JAPAN    Compliant
Gold    T.C.A S.p.A    ITALY    Compliant
Gold    Tanaka Kikinzoku Kogyo K.K.    JAPAN    Compliant
Gold    The Refinery of Shandong Gold Mining Co., Ltd.    CHINA    Compliant
Gold    Tokuriki Honten Co., Ltd.    JAPAN    Compliant
Gold    Tongling Nonferrous Metals Group Co., Ltd.    CHINA    Not yet participating
Gold    Torecom    REPUBLIC OF KOREA    In process
Gold    Umicore Brasil Ltda.    BRAZIL    Compliant
Gold    Umicore Precious Metals Thailand    THAILAND    Compliant
Gold    Umicore S.A. Business Unit Precious Metals Refining    BELGIUM    Compliant
Gold    United Precious Metal Refining, Inc.    UNITED STATES    Compliant
Gold    Valcambi S.A.    SWITZERLAND    Compliant
Gold    Western Australian Mint trading as The Perth Mint    AUSTRALIA    Compliant
Gold    WIELAND Edelmetalle GmbH    GERMANY    In process
Gold    Yamamoto Precious Metal Co., Ltd.    JAPAN    Compliant
Gold    Yokohama Metal Co., Ltd.    JAPAN    Compliant
Gold    Yunnan Copper Industry Co., Ltd.    CHINA    Not yet participating
Gold    Zhongyuan Gold Smelter of Zhongjin Gold Corporation    CHINA    Compliant
Gold    Zijin Mining Group Co., Ltd. Gold Refinery    CHINA    Compliant
Tantalum    Changsha South Tantalum Niobium Co., Ltd.    CHINA    Compliant
Tantalum    Conghua Tantalum and Niobium Smeltry    CHINA    Compliant
Tantalum    D Block Metals, LLC    UNITED STATES    Compliant
Tantalum    Duoluoshan    CHINA    Compliant
Tantalum    Exotech Inc.    UNITED STATES    Compliant
Tantalum    F&X Electro-Materials Ltd.    CHINA    Compliant
Tantalum    FIR Metals & Resource Ltd.    CHINA    Compliant
Tantalum    Global Advanced Metals Aizu    JAPAN    Compliant
Tantalum    Global Advanced Metals Boyertown    UNITED STATES    Compliant
Tantalum    Guangdong Zhiyuan New Material Co., Ltd.    CHINA    Compliant
Tantalum    H.C. Starck Co., Ltd.    THAILAND    Compliant

Tantalum    H.C. Starck GmbH Goslar    GERMANY    Compliant
Tantalum    H.C. Starck GmbH Laufenburg    GERMANY    Compliant
Tantalum    H.C. Starck Hermsdorf GmbH    GERMANY    Compliant
Tantalum    H.C. Starck Inc.    UNITED STATES    Compliant
Tantalum    H.C. Starck Ltd.    JAPAN    Compliant
Tantalum    H.C. Starck Smelting GmbH & Co. KG    GERMANY    Compliant
Tantalum    Hengyang King Xing Lifeng New Materials Co., Ltd.    CHINA    Compliant
Tantalum    Hi-Temp Specialty Metals, Inc.    UNITED STATES    Compliant
Tantalum    Jiangxi Dinghai Tantalum & Niobium Co., Ltd.    CHINA    Compliant
Tantalum    JiuJiang JinXin Nonferrous Metals Co., Ltd.    CHINA    Compliant
Tantalum    Jiujiang Tanbre Co., Ltd.    CHINA    Compliant
Tantalum    Jiujiang Zhongao Tantalum & Niobium Co., Ltd.    CHINA    Compliant
Tantalum    KEMET Blue Metals    MEXICO    Compliant
Tantalum    KEMET Blue Powder    UNITED STATES    Compliant
Tantalum    King-Tan Tantalum Industry Ltd.    CHINA    Compliant
Tantalum    LSM Brasil S.A.    BRAZIL    Compliant
Tantalum    Metallurgical Products India Pvt., Ltd.    INDIA    Compliant
Tantalum    Mineração Taboca S.A.    BRAZIL    Compliant
Tantalum    Mitsui Mining & Smelting    JAPAN    Compliant
Tantalum    Molycorp Silmet A.S.    ESTONIA    Compliant
Tantalum    Ningxia Orient Tantalum Industry Co., Ltd.    CHINA    Compliant
Tantalum    Plansee SE Liezen    AUSTRIA    Compliant
Tantalum    Plansee SE Reutte    AUSTRIA    Compliant
Tantalum    QuantumClean    UNITED STATES    Compliant
Tantalum    Resind Indústria e Comércio Ltda.    BRAZIL    Compliant
Tantalum    RFH Tantalum Smeltry Co., Ltd.    CHINA    Compliant
Tantalum    Solikamsk Magnesium Works OAO    RUSSIAN FEDERATION    Compliant
Tantalum    Taki Chemicals    JAPAN    Compliant
Tantalum    Telex Metals    UNITED STATES    Compliant
Tantalum    Tranzact, Inc.    UNITED STATES    Compliant
Tantalum    Ulba Metallurgical Plant JSC    KAZAKHSTAN    Compliant
Tantalum    XinXing HaoRong Electronic Material Co., Ltd.    CHINA    Compliant
Tantalum    Yichun Jin Yang Rare Metal Co., Ltd.    CHINA    Compliant
Tantalum    Zhuzhou Cemented Carbide    CHINA    Compliant
Tin    Alpha    UNITED STATES    Compliant
Tin    An Thai Minerals Co., Ltd.    VIETNAM    In process
Tin    An Vinh Joint Stock Mineral Processing Company    VIETNAM    In process
Tin    Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.    CHINA    In process
Tin    China Tin Group Co., Ltd.    CHINA    Compliant
Tin    CNMC (Guangxi) PGMA Co., Ltd.    CHINA    Not yet participating

Tin    Cooperativa Metalurgica de Rondônia Ltda.    BRAZIL    Compliant
Tin    CV Ayi Jaya    INDONESIA    Compliant
Tin    CV Dua Sekawan    INDONESIA    In process
Tin    CV Gita Pesona    INDONESIA    Compliant
Tin    CV Serumpun Sebalai    INDONESIA    Compliant
Tin    CV United Smelting    INDONESIA    Compliant
Tin    CV Venus Inti Perkasa    INDONESIA    Compliant
Tin    Dowa    JAPAN    Compliant
Tin    Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company    VIETNAM    In process
Tin    Elmet S.L.U.    SPAIN    Compliant
Tin    EM Vinto    BOLIVIA    Compliant
Tin    Estanho de Rondônia S.A.    BRAZIL    Not yet participating
Tin    Fenix Metals    POLAND    Compliant
Tin    Gejiu Jinye Mineral Company    CHINA    In process
Tin    Gejiu Kai Meng Industry and Trade LLC    CHINA    In process
Tin    Gejiu Non-Ferrous Metal Processing Co., Ltd.    CHINA    Compliant
Tin    Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.    CHINA    In process
Tin    Gejiu Zili Mining And Metallurgy Co., Ltd.    CHINA    Not yet participating
Tin    HuiChang Hill Tin Industry Co., Ltd.    CHINA    In process
Tin    Huichang Jinshunda Tin Co., Ltd.    CHINA    Not yet participating
Tin    Jiangxi Ketai Advanced Material Co., Ltd.    CHINA    Compliant
Tin    Linwu Xianggui Ore Smelting Co., Ltd.    CHINA    Not yet participating
Tin    Magnu’s Minerais Metais e Ligas Ltda.    BRAZIL    Compliant
Tin    Malaysia Smelting Corporation (MSC)    MALAYSIA    Compliant
Tin    Melt Metais e Ligas S.A.    BRAZIL    Compliant
Tin    Metallic Resources, Inc.    UNITED STATES    Compliant
Tin    Metallo-Chimique N.V.    BELGIUM    Compliant
Tin    Mineração Taboca S.A.    BRAZIL    Compliant
Tin    Minsur    PERU    Compliant
Tin    Mitsubishi Materials Corporation    JAPAN    Compliant
Tin    Nankang Nanshan Tin Manufactory Co., Ltd.    CHINA    Not yet participating
Tin    Nghe Tinh Non-Ferrous Metals Joint Stock Company    VIETNAM    In process
Tin    O.M. Manufacturing (Thailand) Co., Ltd.    THAILAND    Compliant
Tin    O.M. Manufacturing Philippines, Inc.    PHILIPPINES    Compliant
Tin    Operaciones Metalurgical S.A.    BOLIVIA    Compliant
Tin    Phoenix Metal Ltd.    RWANDA    In process
Tin    PT Alam Lestari Kencana    INDONESIA    Not yet participating
Tin    PT Aries Kencana Sejahtera    INDONESIA    Compliant
Tin    PT Artha Cipta Langgeng    INDONESIA    Compliant
Tin    PT ATD Makmur Mandiri Jaya    INDONESIA    Compliant

Tin    PT Babel Inti Perkasa    INDONESIA    Compliant
Tin    PT Bangka Kudai Tin    INDONESIA    Not yet participating
Tin    PT Bangka Prima Tin    INDONESIA    Compliant
Tin    PT Bangka Timah Utama Sejahtera    INDONESIA    Not yet participating
Tin    PT Bangka Tin Industry    INDONESIA    Compliant
Tin    PT Belitung Industri Sejahtera    INDONESIA    Compliant
Tin    PT BilliTin Makmur Lestari    INDONESIA    Compliant
Tin    PT Bukit Timah    INDONESIA    Compliant
Tin    PT Cipta Persada Mulia    INDONESIA    Compliant
Tin    PT DS Jaya Abadi    INDONESIA    Compliant
Tin    PT Eunindo Usaha Mandiri    INDONESIA    Compliant
Tin    PT Fang Di MulTindo    INDONESIA    Not yet participating
Tin    PT Inti Stania Prima    INDONESIA    Compliant
Tin    PT Justindo    INDONESIA    Compliant
Tin    PT Karimun Mining    INDONESIA    In process
Tin    PT Mitra Stania Prima    INDONESIA    Compliant
Tin    PT Panca Mega Persada    INDONESIA    Compliant
Tin    PT Pelat Timah Nusantara Tbk    INDONESIA    Not yet participating
Tin    PT Prima Timah Utama    INDONESIA    Compliant
Tin    PT Refined Bangka Tin    INDONESIA    Compliant
Tin    PT Sariwiguna Binasentosa    INDONESIA    Compliant
Tin    PT Seirama Tin Investment    INDONESIA    Not yet participating
Tin    PT Stanindo Inti Perkasa    INDONESIA    Compliant
Tin    PT Sukses Inti Makmur    INDONESIA    Compliant
Tin    PT Sumber Jaya Indah    INDONESIA    Compliant
Tin    PT Timah (Persero) Tbk Kundur    INDONESIA    Compliant
Tin    PT Timah (Persero) Tbk Mentok    INDONESIA    Compliant
Tin    PT Tinindo Inter Nusa    INDONESIA    Compliant
Tin    PT Tirus Putra Mandiri    INDONESIA    Not yet participating
Tin    PT Tommy Utama    INDONESIA    Compliant
Tin    PT Wahana Perkit Jaya    INDONESIA    Compliant
Tin    Resind Indústria e Comércio Ltda.    BRAZIL    Compliant
Tin    Rui Da Hung    TAIWAN    Compliant
Tin    Soft Metais Ltda.    BRAZIL    Compliant
Tin    Thaisarco    THAILAND    Compliant
Tin    Tuyen Quang Non-Ferrous Metals Joint Stock Company    VIETNAM    In process
Tin    VQB Mineral and Trading Group JSC    VIETNAM    Compliant
Tin    White Solder Metalurgia e Mineração Ltda.    BRAZIL    Compliant
Tin    Yunnan Chengfeng Non-ferrous Metals Co., Ltd.    CHINA    In process
Tin    Yunnan Tin Company Limited    CHINA    Compliant
Tungsten    A.L.M.T. TUNGSTEN Corp.    JAPAN    Compliant

Tungsten    Asia Tungsten Products Vietnam Ltd.    VIETNAM    Compliant
Tungsten    Chenzhou Diamond Tungsten Products Co., Ltd.    CHINA    Compliant
Tungsten    Chongyi Zhangyuan Tungsten Co., Ltd.    CHINA    Compliant
Tungsten    Dayu Jincheng Tungsten Industry Co., Ltd.    CHINA    In process
Tungsten    Dayu Weiliang Tungsten Co., Ltd.    CHINA    In process
Tungsten    Fujian Jinxin Tungsten Co., Ltd.    CHINA    Compliant
Tungsten    Ganxian Shirui New Material Co., Ltd.    CHINA    Not yet participating
Tungsten    Ganzhou Huaxing Tungsten Products Co., Ltd.    CHINA    Compliant
Tungsten    Ganzhou Jiangwu Ferrotungsten Co., Ltd.    CHINA    Compliant
Tungsten    Ganzhou Non-ferrous Metals Smelting Co., Ltd.    CHINA    In process
Tungsten    Ganzhou Seadragon W & Mo Co., Ltd.    CHINA    Compliant
Tungsten    Ganzhou Yatai Tungsten Co., Ltd.    CHINA    Compliant
Tungsten    Global Tungsten & Powders Corp.    UNITED STATES    Compliant
Tungsten    Guangdong Xianglu Tungsten Co., Ltd.    CHINA    Compliant
Tungsten    H.C. Starck GmbH    GERMANY    Compliant
Tungsten    H.C. Starck Smelting GmbH & Co.KG    GERMANY    Compliant
Tungsten    Hunan Chenzhou Mining Co., Ltd.    CHINA    Compliant
Tungsten    Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji    CHINA    Compliant
Tungsten    Hunan Chuangda Vanadium Tungsten Co., Ltd. Yanglin    CHINA    Compliant
Tungsten    Hunan Chunchang Nonferrous Metals Co., Ltd.    CHINA    Compliant
Tungsten    Hydrometallurg, JSC    RUSSIAN FEDERATION    Compliant
Tungsten    Japan New Metals Co., Ltd.    JAPAN    Compliant
Tungsten    Jiangwu H.C. Starck Tungsten Products Co., Ltd.    CHINA    In process
Tungsten    Jiangxi Gan Bei Tungsten Co., Ltd.    CHINA    Compliant
Tungsten    Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.    CHINA    Not yet participating
Tungsten    Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.    CHINA    In process
Tungsten    Jiangxi Xinsheng Tungsten Industry Co., Ltd.    CHINA    In process
Tungsten    Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.    CHINA    Compliant
Tungsten    Jiangxi Yaosheng Tungsten Co., Ltd.    CHINA    In process
Tungsten    Kennametal Fallon    UNITED STATES    In process
Tungsten    Kennametal Huntsville    UNITED STATES    Compliant
Tungsten    Malipo Haiyu Tungsten Co., Ltd.    CHINA    Compliant
Tungsten    Niagara Refining LLC    UNITED STATES    Compliant
Tungsten    Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC    VIETNAM    Compliant
Tungsten    Pobedit, JSC    RUSSIAN FEDERATION    In process
Tungsten    Tejing (Vietnam) Tungsten Co., Ltd.    VIETNAM    Compliant
Tungsten    Vietnam Youngsun Tungsten Industry Co., Ltd.    VIETNAM    Compliant
Tungsten    Wolfram Bergbau und Hütten AG    AUSTRIA    Compliant

Tungsten

    Xiamen Tungsten (H.C.) Co., Ltd.    CHINA    Compliant

Tungsten

    Xiamen Tungsten Co., Ltd.    CHINA    Compliant

Tungsten

    Xinhai Rendan Shaoguan Tungsten Co., Ltd.    CHINA    Compliant