EX-1.01 2 formsdexhibit.htm EXHIBIT 1.01 Exhibit

 
 
EXHIBIT 1.01
 
 hpelogoa04.jpg

CONFLICT MINERALS REPORT OF HEWLETT PACKARD ENTERPRISE
PURSUANT TO RULE 13P-1 UNDER THE SECURITIES EXCHANGE ACT OF 1934
 
Hewlett Packard Enterprise Company (“HPE”) presents this Conflict Minerals Report for the reporting period of January 1, 2016 to December 31, 2016 pursuant to Rule 13p-1 under the Securities Exchange Act of 1934 and associated guidance issued by the Securities and Exchange Commission.

HPE is an industry leading technology company that enables customers to go further, faster. With the industry's most comprehensive portfolio, spanning the cloud to the data center to workplace applications, HPE technology and services help customers around the world make information technology more efficient, more productive and more secure. HPE customers range from small and medium-sized businesses to large global enterprises. On November 1, 2016, HPE acquired Silicon Graphics International Corp. (“SGI”). SGI operated as a subsidiary of HPE for the last two months of the reporting period, and HPE has integrated into this report the results of SGI’s 2016 efforts.

Unless otherwise specified or unless the context otherwise requires, references to “we,” “us” or “our” refer to HPE and its consolidated subsidiaries including SGI. 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
 
As part of HPE’s 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. The policy 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. HPE engages in ongoing supplier outreach and communications, addressing in particular the substance of our conflict minerals policy and our expectations and objectives with respect to conflict minerals. HPE is applying these expectations to SGI suppliers as well.
 
HPE has been recognized as an industry leader for the company’s efforts to advance the use of responsibly sourced minerals, including those from the Democratic Republic of the Congo (“DRC”) or an adjoining country (collectively, the “Covered Countries”). HPE is a member of the Conflict-Free Sourcing Initiative (“CFSI”), which was instrumental in developing and advancing programs and tools such as the Conflict-Free Smelter Program and the Conflict Minerals Reporting Template (the “Template”). HPE also holds a seat on the Board of Directors of the Electronics Industry Citizenship Coalition, which provides guidance to and oversight of CFSI. HPE also participated during 2016 in the Responsible Sourcing Network Multi-Stakeholder Group and funded the CFSI Audit Fund to offset part of smelter audit costs. HPE participates in critical in-region conflict free sourcing projects including Solutions for Hope and the Kemet Partnership for Social and Economic Stability. Consistent with our disclosure for calendar year 2015, all tantalum smelters reported to be in the supply chain were compliant with the Conflict-Free Smelter Program in 2016.
 
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 2016 are: 1) server, storage and networking products and 2) 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 (Third Edition, OECD 2016) 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 reflects our individual facts and circumstances, our downstream position in the minerals supply chain, and the OECD recommendations for downstream actors with no direct relationships to smelters or refiners. This design also includes 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 Suppliers to communicate and reinforce our expectations with respect to necessary conflict minerals; and a corporate 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 3TG facilities.
 
(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 ID 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.
 
Description of Due Diligence Measures Performed
 
We undertook the following due diligence measures with respect to the source and chain of custody of necessary conflict minerals contained in our products:
 
              compared reported 3TG facilities to the facilities that are listed by CFSI as either compliant or in process with the Conflict-Free Smelter Program;
  
             reached out (either directly or through a third party) to 3TG facilities with unknown sourcing to provide conflict minerals education, collect information (such as country of origin of necessary conflict minerals related to the supply chain for 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 identified a relevant concern, then we asked the supplier to investigate whether or not that facility contributed 3TG to our products, and, if so, to 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 HPE’s 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 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 progress toward DRC conflict free products. We provide both a snapshot of our total progress as well as our progress with respect to each 3TG metal. Of the 3TG facilities reported to us in 2016, as of April 21, 2017 (the “2017 Cut-Off Date”), 90% 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 3TG Facilities
We measure our results in part based on 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 on this participation. Where additional information is available to us as a result of our due diligence or RCOI efforts, we also consider whether any of the 3TG facilities not yet participating in an independent assessment program may nonetheless be providing minerals that are DRC conflict free because they are sourced from outside the Covered Countries or are exclusively from recycled or scrap sources.
Our suppliers reported 305 total 3TG facilities in 2016, 90% (275) of which (as of the 2017 Cut-Off Date) are compliant with or in process to become compliant with an independent assessment program, are believed to source from outside the Covered Countries, or are exclusively providing conflict minerals from recycled or scrap sources. Only 10% (30) of the supplier-reported 3TG facilities are facilities for which we have limited or no information on the sourcing of necessary conflict minerals (both because they are not yet participating in an independent assessment program and because we found no information giving us reason to believe they were sourcing from outside the Covered Countries or exclusively from recycled or scrap sources).
We received information identifying a potential concern with respect to four of the 3TG facilities that are not yet participating. Even though the information we received did not indicate that the facility in question has any connection to armed conflict in the covered countries, we requested that suppliers reporting these facilities investigate the likelihood that the facilities contributed 3TG to our products. In parallel, we sought to either encourage the facility’s participation in the Conflict-Free Smelter Program or to have the facility removed from our supply chain, where applicable. As a result of these actions, we understand that the facilities: a) did not likely contribute 3TG to our products; b) have communicated that they will participate in an independent assessment program; and/or c) have been or are in the process of being removed from the supply chain. Additional information on the status of individual 3TG facilities is provided in Attachment B.
Attachment A to this Conflict Minerals Report includes (to the extent information was available) the countries from which the supplier-reported 3TG facilities may have sourced necessary conflict minerals.
Attachment B to this Conflict Minerals Report sets forth the name and status of the supplier-reported 3TG facilities.
Progress toward DRC Conflict Free by Metal
We also measure our progress toward DRC conflict free products by metal. Chart 1 further expands on our results by providing for each metal the number and percentage (as of the 2017 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. Again in 2017, all of the tantalum smelters reported to be in our supply chain are compliant with the Conflict-Free Smelter Program.



Chart 1 Progress toward DRC Conflict Free by Metal

 
Supplier-Reported 3TG Facilities
Progress toward DRC Conflict Free
Percentage
Tantalum Facilities
44
44
100%
Tin Facilities
80
74
93%
Tungsten Facilities
46
43
93%
Gold Facilities
135
114
84%
Total
305
275
90%


 
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 us, 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 and 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 2017
 
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. This includes the following steps to mitigate further 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.



 




Attachment A
 
Countries of Origin

Based on information available from CSFI as of the 2017 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
Burundi
 
Australia
Central African Republic
 
Austria
Democratic Republic of the Congo
 
Benin
Rwanda
 
Bolivia
South Sudan
 
Brazil
Tanzania
 
Burkina Faso
Uganda
 
Cambodia
Zambia
 
Canada
 
 
Chile
 
 
China
 
 
Colombia
 
 
Ecuador
 
 
Eritrea
 
 
Ethiopia
 
 
France
 
 
Ghana
 
 
Guatemala
 
 
Guinea
 
 
Guyana
 
 
Honduras
 
 
India
 
 
Indonesia
 
 
Japan
 
 
Kazakhstan
 
 
Kyrgyzstan
 
 
Laos
 
 
Madagascar
 
 
Malaysia
 
 
Mali
 
 
Mexico
 
 
Mongolia
 
 
Mozambique
 
 
Myanmar
 
 
Namibia
 
 
New Zealand
 
 
Nicaragua



 
 
Nigeria
 
 
Panama
 
 
Papa New Guinea
 
 
Peru
 
 
Poland
 
 
Portugal
 
 
Russia
 
 
Senegal
 
 
Sierra Leone
 
 
South Africa
 
 
Spain
 
 
Tajikistan
 
 
Thailand
 
 
Togo
 
 
Turkey
 
 
United Arab Emirates
 
 
United States
 
 
Uzbekistan
 
 
Vietnam
 
 
Zimbabwe


























Attachment B
 
3TG Facility List
 
This 3TG Facility List sets forth the name, location and status of all of the 305 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. Inclusion on this list is not necessarily an indication that any particular facility supplies materials that are ultimately incorporated into HPE products. 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 Name
Facility Location
Status
Gold
Abington Reldan Metals, LLC
UNITED STATES
In process
Gold
Advanced Chemical Company
UNITED STATES
Compliant
Gold
Aida Chemical Industries Co., Ltd.
JAPAN
Compliant
Gold
Al Etihad Gold LLC
UNITED ARAB EMIRATES
Compliant
Gold
Allgemeine Gold-und Silberscheideanstalt A.G.
GERMANY
Compliant
Gold
Almalyk Mining and Metallurgical Complex (AMMC)
UZBEKISTAN
Compliant
Gold
AngloGold Ashanti Corrego do Sitio Mineracao
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
AU Traders and Refiners
SOUTH AFRICA
Compliant
Gold
Aurubis AG
GERMANY
Compliant
Gold
Bangalore Refinery
INDIA
In process
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
Gold
Cendres + Metaux 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
Compliant
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
Compliant
Gold
Eco-System Recycling Co., Ltd.
JAPAN
Compliant
Gold
Elemetal Refining, LLC
UNITED STATES
Not yet participating
Gold
Emirates Gold DMCC
UNITED ARAB EMIRATES
Compliant
Gold
Fidelity Printers and Refiners Ltd.
ZIMBABWE
Not yet participating*
Gold
Gansu Seemine Material Hi-Tech Co., Ltd.
CHINA
Not yet participating
Gold
GCC Gujrat Gold Centre Pvt. Ltd.
INDIA
Not yet participating
Gold
Geib Refining Corporation
UNITED STATES
Compliant
Gold
Gold Refinery of Zijin Mining Group Co., Ltd.
CHINA
Compliant
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 Metals Hong Kong Ltd.
CHINA
Compliant
Gold
Heraeus Precious Metals GmbH & Co. KG
GERMANY
Compliant
Gold
Hunan Chenzhou Mining Co., Ltd.
CHINA
Not yet participating
Gold
HwaSeong 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
RUSSIA
Compliant
Gold
JSC Uralelectromed
RUSSIA
Compliant
Gold
JX Nippon Mining & Metals Co., Ltd.
JAPAN
Compliant
Gold
Kaloti Precious Metals
UNITED ARAB EMIRATES
Not yet participating*
Gold
Kazakhmys Smelting LLC
KAZAKHSTAN
Not yet participating
Gold
Kazzinc
KAZAKHSTAN
Compliant
Gold
Kennecott Utah Copper LLC
UNITED STATES
Compliant
Gold
KGHM Polska Miedz Spolka Akcyjna
POLAND
In process
Gold
Kojima Chemicals Co., Ltd.
JAPAN
Compliant
Gold
Korea Zinc Co., Ltd.
REPUBLIC OF KOREA
Compliant
Gold
Kyrgyzaltyn JSC
KYRGYZSTAN
Compliant



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
Compliant
Gold
Metalor Technologies S.A.
SWITZERLAND
Compliant
Gold
Metalor USA Refining Corporation
UNITED STATES
Compliant
Gold
Metalurgica Met-Mex Penoles 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
Modeltech Sdn Bhd
MALAYSIA
In process
Gold
Morris and Watson
NEW ZEALAND
Not yet participating
Gold
Moscow Special Alloys Processing Plant
RUSSIA
Compliant
Gold
Nadir Metal Rafineri San. Ve Tic. A.S.
TURKEY
Compliant
Gold
Navoi Mining and Metallurgical Combinat
UZBEKISTAN
In process
Gold
Nihon Material Co., Ltd.
JAPAN
Compliant
Gold
Ogussa Osterreichische 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)
RUSSIA
Compliant
Gold
OJSC Novosibirsk Refinery
RUSSIA
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
RUSSIA
Compliant
Gold
PT Aneka Tambang (Persero) Tbk
INDONESIA
Compliant
Gold
PX Precinox 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
SAFINA A.S.
CZECH REPUBLIC
Not yet participating
Gold
Sai Refinery
INDIA
Not yet participating
Gold
Samduck Precious Metals
REPUBLIC OF KOREA
Compliant
Gold
Samwon Metals Corp.
REPUBLIC OF KOREA
Not yet participating
Gold
SAXONIA Edelmetalle GmbH
GERMANY
Compliant
Gold
Schone Edelmetaal B.V.
NETHERLANDS
Compliant
Gold
SEMPSA Joyeria Plateria 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
RUSSIA
Compliant
Gold
Solar Applied Materials Technology Corp.
TAIWAN
Compliant
Gold
Sudan Gold Refinery
SUDAN
Not yet participating*
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
Tony Goetz NV
BELGIUM
In process
Gold
TOO Tau-Ken-Altyn
KAZAKHSTAN
Not yet participating
Gold
Torecom
REPUBLIC OF KOREA
Compliant
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
Universal Precious Metals Refining Zambia
ZAMBIA
Not yet participating*
Gold
Valcambi S.A.
SWITZERLAND
Compliant
Gold
Western Australian Mint (T/a The Perth Mint)
AUSTRALIA
Compliant
Gold
WIELAND Edelmetalle GmbH
GERMANY
Compliant
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
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 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
H.C. Starck Tantalum and Niobium GmbH
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
Jiangxi Tuohong New Raw Material
CHINA
Compliant
Tantalum
JiuJiang JinXin Nonferrous Metals Co., Ltd.
CHINA
Compliant
Tantalum
Jiujiang Nonferrous Metals Smelting Company Limited
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
Mineracao Taboca S.A.
BRAZIL
Compliant
Tantalum
Mitsui Mining and Smelting Co., Ltd.
JAPAN
Compliant
Tantalum
Ningxia Orient Tantalum Industry Co., Ltd.
CHINA
Compliant
Tantalum
NPM Silmet AS
ESTONIA
Compliant
Tantalum
Power Resources Ltd.
MACEDONIA
Compliant
Tantalum
QuantumClean
UNITED STATES
Compliant
Tantalum
Resind Industria e Comercio Ltda.
BRAZIL
Compliant
Tantalum
RFH Tantalum Smeltry Co., Ltd.
CHINA
Compliant
Tantalum
Solikamsk Magnesium Works OAO
RUSSIA
Compliant
Tantalum
Taki Chemical Co., Ltd.
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 Group Co., Ltd.
CHINA
Compliant
Tin
Alpha
UNITED STATES
Compliant
Tin
An Thai Minerals Co., Ltd.
VIETNAM
Not yet participating
Tin
An Vinh Joint Stock Mineral Processing Company
VIETNAM
Not yet participating
Tin
Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.
CHINA
Compliant
Tin
China Tin Group Co., Ltd.
CHINA
Compliant
Tin
CNMC (Guangxi) PGMA Co., Ltd.
CHINA
Not yet participating
Tin
Cooperativa Metalurgica de Rondonia Ltda.
BRAZIL
Compliant
Tin
CV Ayi Jaya
INDONESIA
Compliant
Tin
CV Dua Sekawan
INDONESIA
Compliant
Tin
CV Gita Pesona
INDONESIA
Compliant
Tin
CV Serumpun Sebalai
INDONESIA
Compliant
Tin
CV Tiga Sekawan
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 Rondonia S.A.
BRAZIL
Not yet participating
Tin
Fenix Metals
POLAND
Compliant
Tin
Gejiu Fengming Metallurgy Chemical Plant
CHINA
Compliant
Tin
Gejiu Jinye Mineral Company
CHINA
Compliant
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
Guanyang Guida Nonferrous Metal Smelting Plant
CHINA
Compliant
Tin
HuiChang Hill Tin Industry Co., Ltd.
CHINA
Compliant
Tin
Huichang Jinshunda Tin Co., Ltd.
CHINA
In process
Tin
Jiangxi Ketai Advanced Material Co., Ltd.
CHINA
Compliant
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
Mineracao Taboca S.A.
BRAZIL
Compliant
Tin
Minsur
PERU
Compliant
Tin
Mitsubishi Materials Corporation
JAPAN
Compliant
Tin
Modeltech Sdn Bhd
MALAYSIA
In process
Tin
Nankang Nanshan Tin Manufactory Co., Ltd.
CHINA
In process
Tin
Nghe Tinh Non-Ferrous Metals Joint Stock Company
VIETNAM
Not yet participating
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
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 Prima Tin
INDONESIA
Compliant
Tin
PT Bangka Tin Industry
INDONESIA
Compliant
Tin
PT Belitung Industri Sejahtera
INDONESIA
Compliant
Tin
PT Bukit Timah
INDONESIA
Compliant
Tin
PT DS Jaya Abadi
INDONESIA
Compliant
Tin
PT Eunindo Usaha Mandiri
INDONESIA
Compliant
Tin
PT Inti Stania Prima
INDONESIA
Compliant
Tin
PT Karimun Mining
INDONESIA
Compliant
Tin
PT Kijang Jaya Mandiri
INDONESIA
Compliant
Tin
PT Mitra Stania Prima
INDONESIA
Compliant
Tin
PT O.M. Indonesia
INDONESIA
Compliant
Tin
PT Panca Mega Persada
INDONESIA
Compliant



Tin
PT Prima Timah Utama
INDONESIA
Compliant
Tin
PT Refined Bangka Tin
INDONESIA
Compliant
Tin
PT Sariwiguna Binasentosa
INDONESIA
Compliant
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 Tommy Utama
INDONESIA
Compliant
Tin
Resind Industria e Comercio Ltda.
BRAZIL
Compliant
Tin
Rui Da Hung
TAIWAN
Compliant
Tin
Soft Metais Ltda.
BRAZIL
Compliant
Tin
Super Ligas
BRAZIL
Not yet participating
Tin
Thaisarco
THAILAND
Compliant
Tin
Tuyen Quang Non-Ferrous Metals Joint Stock Company
VIETNAM
Not yet participating
Tin
VQB Mineral and Trading Group JSC
VIETNAM
Compliant
Tin
White Solder Metalurgia e Mineracao 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
ACL Metais Eireli
BRAZIL
Not yet participating
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 Weiliang Tungsten Co., Ltd.
CHINA
Not yet participating
Tungsten
Fujian Jinxin Tungsten Co., Ltd.
CHINA
Compliant
Tungsten
Ganzhou Haichuang Tungsten Co., Ltd.
CHINA
In process
Tungsten
Ganzhou Huaxing Tungsten Products Co., Ltd.
CHINA
Compliant
Tungsten
Ganzhou Jiangwu Ferrotungsten Co., Ltd.
CHINA
Compliant
Tungsten
Ganzhou Seadragon W & Mo Co., Ltd.
CHINA
Compliant
Tungsten
Ganzhou Yatai Tungsten Co., Ltd.
CHINA
Not yet participating
Tungsten
Global Tungsten & Powders Corp.
UNITED STATES
Compliant
Tungsten
Guangdong Xianglu Tungsten Co., Ltd.
CHINA
Compliant
Tungsten
H.C. Starck Smelting GmbH & Co. KG
GERMANY
Compliant
Tungsten
H.C. Starck Tungsten GmbH
GERMANY
Compliant
Tungsten
Hunan Chenzhou Mining Co., Ltd.
CHINA
Compliant
Tungsten
Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji
CHINA
Compliant
Tungsten
Hunan Chunchang Nonferrous Metals Co., Ltd.
CHINA
Compliant
Tungsten
Hydrometallurg, JSC
RUSSIA
Compliant
Tungsten
Japan New Metals Co., Ltd.
JAPAN
Compliant
Tungsten
Jiangwu H.C. Starck Tungsten Products Co., Ltd.
CHINA
Compliant
Tungsten
Jiangxi Dayu Longxintai Tungsten Co., Ltd.
CHINA
Not yet participating
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
Compliant
Tungsten
Jiangxi Xinsheng Tungsten Industry Co., Ltd.
CHINA
Compliant
Tungsten
Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.
CHINA
Compliant
Tungsten
Jiangxi Yaosheng Tungsten Co., Ltd.
CHINA
Compliant
Tungsten
Kennametal Fallon
UNITED STATES
Compliant
Tungsten
Kennametal Huntsville
UNITED STATES
Compliant
Tungsten
Malipo Haiyu Tungsten Co., Ltd.
CHINA
Compliant
Tungsten
Moliren Ltd.
RUSSIA
Compliant
Tungsten
Niagara Refining LLC
UNITED STATES
Compliant
Tungsten
Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC
VIETNAM
Compliant
Tungsten
Philippine Chuangxin Industrial Co., Inc.
PHILIPPINES
Compliant
Tungsten
South-East Nonferrous Metal Company Limited of Hengyang City
CHINA
Compliant
Tungsten
Tejing (Vietnam) Tungsten Co., Ltd.
VIETNAM
Compliant
Tungsten
Unecha Refractory metals plant
RUSSIA
Compliant
Tungsten
Vietnam Youngsun Tungsten Industry Co., Ltd.
VIETNAM
Compliant
Tungsten
Wolfram Bergbau und Hutten AG
AUSTRIA
Compliant
Tungsten
Woltech Korea Co., Ltd.
REPUBLIC OF KOREA
Compliant
Tungsten
Xiamen Tungsten (H.C.) Co., Ltd.
CHINA
Compliant
Tungsten
Xiamen Tungsten Co., Ltd.
CHINA
Compliant
Tungsten
Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.
CHINA
Compliant
Tungsten
Xinhai Rendan Shaoguan Tungsten Co., Ltd.
CHINA
Compliant