EX-1.01 2 d573984dex101.htm EX-1.01 EX-1.01

Exhibit 1.01

Canon Inc.

Conflict Minerals Report

For the Period from January 1, 2017 to December 31, 2017

This Conflict Minerals Report for the period from January 1, 2017 to December 31, 2017, is presented as an exhibit to the Specialized Disclosure Report on Form SD, to comply with Rule 13p-1 under the Securities Exchange Act of 1934.

 

1. Introduction (Background to the disclosure of the Conflict Minerals Report)

Established in 1937, Canon Inc. is a Japanese corporation with its headquarters in Tokyo, Japan. Canon is one of the world’s leading manufacturers of office multifunction devices (“MFDs”), plain paper copying machines, laser printers, inkjet printers, cameras, diagnostic equipment and lithography equipment. Canon Inc. earns revenues primarily from the manufacture and sale of these products domestically and internationally. For details of corporate activities please refer to our annual report filed on Form 20-F.

Canon Inc. is listed on the New York Stock Exchange and is subject to the final rules issued by the United States Securities and Exchange Commission (“SEC”) to implement Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”).

In response to Rule 13p-1, Canon Inc. conducted a “Reasonable Country of Origin Inquiry” (“RCOI”) for products manufactured or contracted to manufacture by Canon Inc. and its consolidated subsidiaries (“Canon” or “Canon Group”) from January 1, 2017 to December 31, 2017 (“reporting period”). The inquiry identified four minerals classified as conflict minerals—namely tin, tantalum, tungsten, and gold (“3TG”)—that originated in the Democratic Republic of the Congo and adjoining countries (“covered countries”) and did not come from recycled or scrap minerals, that are used in some of the parts or materials that make up Canon Group’s products. Further, Canon Inc. conducted due diligence on the source and chain of custody of 3TG (“due diligence”) identified as originating from covered countries.

 

1


2. Application of Conflict Minerals Report on Canon and products subject to disclosure

As of December 31, 2017, Canon Inc. had 376 consolidated subsidiaries, of which 49 subsidiaries manufactured products or contracted to manufacture products in the reporting period for which 3TG were necessary to the functionality and production, and were subject to the reporting requirements under the SEC’s final rules regarding the Dodd-Frank Act. In total, 50 companies of the Canon Group, including Canon Inc. and those 49 consolidated subsidiaries conducted the RCOI. The subsidiaries that conducted the RCOI include certain marketing companies that contracted with manufacturers outside the Canon Group to manufacture items for sale outside the Canon Group.

The business operations of Canon can be divided into the following four categories: the Office Business Unit, the Imaging System Business Unit, the Medical System Business Unit and the Industry and Others Business Unit. The Office Business Unit includes MFDs, printers, and copying machines for personal and office use as well as production print products for print professionals. The Imaging System Business Unit includes digital cameras and digital video camcorders, as well as lenses and various related accessories for personal and professional use. It also includes inkjet printers for home and office use, and large-format inkjet printers and production photo printers for commercial use. The Medical System Business Unit includes digital radiography systems and ophthalmic equipment. The Industry and Others Business Unit includes semiconductor lithography equipment, flat panel display (FPD) lithography equipment, organic light-emitting diode (OLED) panel manufacturing equipment, and network cameras.

In each of these units, electronic components and substrates which contain 3TG are used in the majority of products manufactured by or contracted to manufacture by Canon.

Canon Group purchases raw materials, parts and components which include 3TG and manufactures products. Canon Group is located downstream in the 3TG supply chain, and does not directly purchase 3TG from mines. Therefore, Canon Group had to rely on information provided by the first-tier suppliers to the Canon Group (“first-tier suppliers”) in identifying the source country of the 3TG.

 

3. Basic principles regarding response to conflict minerals

Canon Inc. established the “Basic Approach of the Canon Group Regarding Conflict Minerals” in September 2012. This has been published on Canon Inc.’s official website and applied to the entire Canon Group.

URL: https://global.canon/en/csr/conflict/policy.html

 

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4. RCOI and Due Diligence

The design of Canon’s RCOI and due diligence measures is in conformity with the “OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (third edition)” (“OECD Guidance”). Canon took the steps described below in accordance with the five steps laid out in the OECD Guidance.

 

  a. Step 1: Establish strong company management systems
  - In order to respond to the conflict minerals situation, Canon established a cross-functional Conflict Minerals Response Project Team (“Project Team”) in its headquarters under the direction of a representative director in charge (Executive Vice President & CFO) in December 2010. Moreover, Canon designated a person in charge of conflict minerals in each of its group companies that manufacture or contract to manufacture products. The Project Team currently operates as the Working Group on Conflict Minerals (“Working Group”).
  - As stated above, Canon Inc. established the “Basic Approach of the Canon Group Regarding Conflict Minerals” in September 2012.
  - In March 2016, Canon established the “Guidelines for Compliance with Conflict Minerals Regulation” that clarified the responsible divisions and the framework for handling conflict minerals issues as well as the survey process, for the persons involved in the Canon Group.
  - In July 2017, Canon Inc. summoned the persons in charge of conflict minerals for Canon Group’s domestic subsidiaries that manufacture or contract to manufacture products and held a meeting to share the result of the 2016 conflict minerals survey and discuss Canon’s policies for the survey of 2017. Moreover, for the persons in charge of conflict minerals matters for overseas subsidiaries, Canon Inc. shared information by e-mail, video and telephone conference.
  - Canon created and distributed the Conflict Minerals Survey Manual to the first-tier suppliers.
  - Canon requested the first-tier suppliers to sign and submit written confirmation (“Certificate of Consent”) of their agreement and cooperation with Canon’s “Basic Approach of the Canon Group Regarding Conflict Minerals” and their agreement to consult with the Canon Group concerning appropriate measures should any affiliation with armed groups be discovered in the supply chain.
  - Using its Conflict Minerals Information Management System, Canon Inc. linked survey responses to product information, conducted product-level assessments, and stored the assessment results in a database. Internal rules require that data records be retained for at least five years.

 

3


  - Canon Inc. is a member of the Responsible Minerals Trade Working Group (“RMTWG”) of the Japan Electronics and Information Technology Industries Association (“JEITA”). As part of its initiatives, the RMTWG held conflict minerals inquiry briefings for suppliers in supply chains in the electrical and electronics industry. Step 3 below provides details of the industry initiatives on conflict minerals that Canon Inc. participates in.
  - As an early-warning risk-awareness system for conflict minerals specified in the OECD Guidance, Canon Inc. established a grievance mechanism — “Contact Point for Reporting Concerns Regarding Conflict Mineral Issues” — on its official website in 2015. No reports from employees, suppliers, or other stakeholders were received by the contact point in 2017.

URL: https://secure1.canon.com/ssl-form/csr_conflict-form-e.html

 

  b. Step 2: Identify and assess risks in the supply chain
  - Canon designed a framework to identify each of the parts and materials used in the products that it manufactured or contracted to manufacture. Canon used its production and shipping management system, which includes bills of materials for products, to identify parts and materials required in products planned for production and shipping between January and the end of December 2017. (Canon Group companies not using such system made use of a similar method to identify parts and materials.) Canon then carried out the RCOI on the first-tier suppliers handling the identified parts and materials.
  - For the RCOI, Canon used the RMI Conflict Minerals Reporting Template (“CMRT”). The CMRT is published by the Responsible Minerals Initiative (“RMI”), former Conflict Free Sourcing Initiative, one of the programs of the Responsible Business Alliance (“RBA”). Canon sent the CMRT to the 2,793 first-tier suppliers that were identified as possibly using 3TG.
  - In addition to the RCOI described above, Canon conducted due diligence examinations of first-tier suppliers that reported the use of 3TG originating from covered countries.
  - Canon requested replies from the first-tier suppliers who did not respond by the closing date of the response.
  - Canon Inc. verified the replies submitted by first-tier suppliers (for any incomplete answers or errors) using a proprietary reply-processing tool. When necessary, Canon requested resubmissions from first-tier suppliers.

 

4


  - As of the end of March, 2018, Canon had received responses from 90 percent of all first-tier suppliers surveyed.
  - Canon compared the smelters or refiners (“SORs”) identified through the RCOI against the list of the SORs which have been validated to be conformant to the Responsible Minerals Assurance Process (“RMAP”), the audit program of the RMI, as published by the RMI. The RMI implements cross recognition with the London Bullion Market Association (LBMA) and the Responsible Jewellery Council (RJC).

 

  c. Step 3: Design and implement a strategy to respond to identified risks
  - The head of the Working Group reported the progress of conflict minerals response activities to the representative director in charge.
  - Moreover, the Working Group reported in October 2017 on its progress to relevant directors and executive officers of Canon Inc. as well as the presidents of the relevant domestic and overseas subsidiaries.
  - Canon Inc. is a key member of JEITA’s RMTWG. The RMTWG is allied with the RMI, which play the leading role in the response to conflict minerals. Canon Inc. has held the role of co-chair of the RMTWG since 2013.
  - Canon Inc. has also served as team leader of the RMTWG’s Smelter Support Team since 2015. In this capacity, Canon Inc., along with the other companies in the RMTWG, played an active role in sending letters to SORs encouraging them to join the RMI’s RMAP.
  - Canon Inc. participates in the Japan Conflict-Free Sourcing Working Group (CFSWG), a joint initiative by JEITA’s RMTWG and major Japanese automobile manufacturers, and serves as the CFSWG vice-chair. The CFSWG met three times in 2017 to examine creating conditions to better facilitate conflict minerals surveys by supply chains in the electrical and electronics industry and the automobile industry.
  - In addition to the above activities, Canon Inc. has been a member of the RMI since April 2015. Its membership code is “CNON.” Canon Inc. assists RMI activities as a corporate member of the RMI.

 

  d. Step 4: Carry out independent third-party audit of smelter/refiner’s due diligence practices
  - As a RMI member, Canon Inc. supports audits under the RMAP carried out by the RMI on SORs.

 

5


  e. Step 5: Report annually on supply chain due diligence
  - In accordance with the Dodd-Frank Act and the SEC’s final rules, on or before May 31, 2018, Canon Inc. plans to file a Form SD and Conflict Minerals Report (this report) with the SEC, and plans to publish the same information on its official website.
  - Canon Inc. has been reporting its activities in response to conflict minerals in its Annual Report and Sustainability Report since 2011.

 

5. Survey results for the 2017 calendar year

 

  a. Result of RCOI and due diligence
  - Canon conducted the RCOI on 2,793 first-tier suppliers that possibly use 3TG. Canon conducted further due diligence on first-tier suppliers which reported the use of 3TG from the covered countries.
  - In cases where 3TG originating from covered countries were used, Canon received some responses indicating the minerals in question had been sourced from SORs that are conformant with the RMAP.
  - Within the scope of the responses, there was nothing to clearly suggest that the Canon Group’s purchasing of parts and materials contributed to funding armed groups.

 

  b. Result of SORs survey
  - Canon analyzed the information on the SORs mentioned in the responses from the supply chain through the RCOI, with reference to the RMI’s SOR information. The RMI classifies SORs based on the auditing status. The SORs that have undergone assessment through the RMAP or industry equivalent program and have been validated to be in conformance with the protocols are defined as RMAP conformant. The SORs with a re-audit in progress are still considered to be RMAP conformant. The SORs are identified as Active in the RMAP once they submit signed Agreement for the Exchange of Confidential Information (AECI), Auditee Agreement, and have submitted a Due Diligence Checklist.
  - 250 SORs in Canon supply chain were identified as RMAP conformant and 8 SORs were identified as Active in the RMAP. The remaining 57 SORs were neither RMAP conformant nor Active in the RMAP. Appendix 1-1, 1-2 and 1-3 provide lists of these SORs.

 

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  - Canon was unable to determine whether the remaining entities reported by the first-tier suppliers as SORs were truly SORs.
  - Due to inadequate information from its supply chains, Canon was unable to determine the country or region of origin of many 3TG used in Canon Group products.
  - Appendix 1-4 lists examples of 3TG countries and regions of origin first-tier suppliers reported to Canon through CMRT responses.
  - Based on the results of the RCOI and due diligence mentioned above, Canon was unable to determine whether the 3TG used for the products of the Canon Group financed or benefitted armed groups in the covered countries.

 

6. Efforts to determine the mine or location of origin of 3TG with the greatest possible specificity and risk mitigation

The following efforts to determine the mine or location of origin of 3TG with the greatest possible specificity are planned to be implemented from 2018 onwards.

  - Canon will continue promoting verification operations of high-risk first-tier suppliers in accordance with the Canon’s Guidelines for Compliance with Conflict Minerals Regulation.
  - Canon Inc. will continue its participation at JEITA’s RMTWG, CFSWG and RMI, and support activities to make entire supply chains conflict free.

 

7. Independent monitoring
  - KPMG AZSA Sustainability Co., Ltd. conducted an independent private sector audit of this report. The audit assessed whether the due diligence framework Canon designed conforms to the OECD Guidance’s due diligence framework and whether the due diligence description in this report is consistent with the actual measures Canon undertook. The independent assurance report is attached in Appendix 2.

Forward-Looking Statements

This report contains not only past and present facts about Canon, but also future forecasts based on plans, prospects, management policies and strategies as of the publication date. These future forecasts are assumptions or estimations based on information available at the time the report was prepared. Due to a range of variables, however, the results or circumstances of our future business activities may vary from the forecasts contained herein.

 

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Appendix 1.

 

1. List of the SORs identified in Canon’s supply chain which are RMAP conformant (As of April 26, 2018)

 

     

Metal    

 

  

SoRs

 

  

Country/Region

 

 

Gold

 

  

 

Western Australian Mint (T/a The Perth Mint)

 

  

 

AUSTRALIA

 

 

Gold

 

  

 

Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH

 

  

 

AUSTRIA

 

 

Gold

 

  

 

Umicore S.A. Business Unit Precious Metals Refining

 

  

 

BELGIUM

 

 

Gold

 

  

 

AngloGold Ashanti Corrego do Sitio Mineracao

 

  

 

BRAZIL

 

 

Gold

 

  

 

Marsam Metals

 

  

 

BRAZIL

 

 

Gold

 

  

 

Umicore Brasil Ltda.

 

  

 

BRAZIL

 

 

Gold

 

  

 

Asahi Refining Canada Ltd.

 

  

 

CANADA

 

 

Gold

 

  

 

CCR Refinery - Glencore Canada Corporation

 

  

 

CANADA

 

 

Gold

 

  

 

Royal Canadian Mint

 

  

 

CANADA

 

 

Gold

 

  

 

Planta Recuperadora de Metales SpA

 

  

 

CHILE

 

 

Gold

 

  

 

Gold Refinery of Zijin Mining Group Co., Ltd.

 

  

 

CHINA

 

 

Gold

 

  

 

Heraeus Metals Hong Kong Ltd.

 

  

 

CHINA

 

 

Gold

 

  

 

Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.

 

  

 

CHINA

 

 

Gold

 

  

 

Jiangxi Copper Co., Ltd.

 

  

 

CHINA

 

 

Gold

 

  

 

Metalor Technologies (Hong Kong) Ltd.

 

  

 

CHINA

 

 

Gold

 

  

 

Metalor Technologies (Suzhou) Ltd.

 

  

 

CHINA

 

 

Gold

 

  

 

Shandong Zhaojin Gold & Silver Refinery Co., Ltd.

 

  

 

CHINA

 

 

Gold

 

  

 

Sichuan Tianze Precious Metals Co., Ltd.

 

  

 

CHINA

 

 

Gold

 

  

 

The Refinery of Shandong Gold Mining Co., Ltd.

 

  

 

CHINA

 

 

Gold

 

  

 

Zhongyuan Gold Smelter of Zhongjin Gold Corporation

 

  

 

CHINA

 

 

Gold

 

  

 

SAAMP

 

  

 

FRANCE

 

 

8


 

Gold

 

  

 

Allgemeine Gold-und Silberscheideanstalt A.G.

 

  

 

GERMANY

 

 

Gold

 

  

 

Aurubis AG

 

  

 

GERMANY

 

 

Gold

 

  

 

C. Hafner GmbH + Co. KG

 

  

 

GERMANY

 

 

Gold

 

  

 

DODUCO Contacts and Refining GmbH

 

  

 

GERMANY

 

 

Gold

 

  

 

Heimerle + Meule GmbH

 

  

 

GERMANY

 

 

Gold

 

  

 

Heraeus Precious Metals GmbH & Co. KG

 

  

 

GERMANY

 

 

Gold

 

  

 

SAXONIA Edelmetalle GmbH

 

  

 

GERMANY

 

 

Gold

 

  

 

WIELAND Edelmetalle GmbH

 

  

 

GERMANY

 

 

Gold

 

  

 

MMTC-PAMP India Pvt., Ltd.

 

  

 

INDIA

 

 

Gold

 

  

 

PT Aneka Tambang (Persero) Tbk

 

  

 

INDONESIA

 

 

Gold

 

  

 

Chimet S.p.A.

 

  

 

ITALY

 

 

Gold

 

  

 

Italpreziosi

 

  

 

ITALY

 

 

Gold

 

  

 

Safimet S.p.A

 

  

 

ITALY

 

 

Gold

 

  

 

T.C.A S.p.A

 

  

 

ITALY

 

 

Gold

 

  

 

Aida Chemical Industries Co., Ltd.

 

  

 

JAPAN

 

 

Gold

 

  

 

Asahi Pretec Corp.

 

  

 

JAPAN

 

 

Gold

 

  

 

Asaka Riken Co., Ltd.

 

  

 

JAPAN

 

 

Gold

 

  

 

Dowa

 

  

 

JAPAN

 

 

Gold

 

  

 

Eco-System Recycling Co., Ltd.

 

  

 

JAPAN

 

 

Gold

 

  

 

Ishifuku Metal Industry Co., Ltd.

 

  

 

JAPAN

 

 

Gold

 

  

 

Japan Mint

 

  

 

JAPAN

 

 

Gold

 

  

 

JX Nippon Mining & Metals Co., Ltd.

 

  

 

JAPAN

 

 

Gold

 

  

 

Kojima Chemicals Co., Ltd.

 

  

 

JAPAN

 

 

Gold

 

  

 

Matsuda Sangyo Co., Ltd.

 

  

 

JAPAN

 

 

Gold

 

  

 

Mitsubishi Materials Corporation

 

  

 

JAPAN

 

 

Gold

 

  

 

Mitsui Mining and Smelting Co., Ltd.

 

  

 

JAPAN

 

 

Gold

 

  

 

Nihon Material Co., Ltd.

 

  

 

JAPAN

 

 

Gold

 

  

 

Ohura Precious Metal Industry Co., Ltd.

 

  

 

JAPAN

 

 

Gold

 

  

 

Sumitomo Metal Mining Co., Ltd.

 

  

 

JAPAN

 

 

Gold

 

  

 

Tanaka Kikinzoku Kogyo K.K.

 

  

 

JAPAN

 

 

Gold

 

  

 

Tokuriki Honten Co., Ltd.

 

  

 

JAPAN

 

 

Gold

 

  

 

Yamakin Co., Ltd.

 

  

 

JAPAN

 

 

Gold

 

  

 

Yokohama Metal Co., Ltd.

 

  

 

JAPAN

 

 

Gold

 

  

 

Kazzinc

 

  

 

KAZAKHSTAN

 

 

9


 

Gold

 

  

 

Daejin Indus Co., Ltd.

 

  

 

KOREA, REPUBLIC OF

 

 

Gold

 

  

 

DSC (Do Sung Corporation)

 

  

 

KOREA, REPUBLIC OF

 

 

Gold

 

  

 

HeeSung Metal Ltd.

 

  

 

KOREA, REPUBLIC OF

 

 

Gold

 

  

 

Korea Zinc Co., Ltd.

 

  

 

KOREA, REPUBLIC OF

 

 

Gold

 

  

 

LS-NIKKO Copper Inc.

 

  

 

KOREA, REPUBLIC OF

 

 

Gold

 

  

 

Samduck Precious Metals

 

  

 

KOREA, REPUBLIC OF

 

 

Gold

 

  

 

SungEel HiMetal Co., Ltd.

 

  

 

KOREA, REPUBLIC OF

 

 

Gold

 

  

 

Torecom

 

  

 

KOREA, REPUBLIC OF

 

 

Gold

 

  

 

Kyrgyzaltyn JSC

 

  

 

KYRGYZSTAN

 

 

Gold

 

  

 

Metalurgica Met-Mex Penoles S.A. De C.V.

 

  

 

MEXICO

 

 

Gold

 

  

 

Bangko Sentral ng Pilipinas (Central Bank of the Philippines)

 

  

 

PHILIPPINES

 

 

Gold

 

  

 

JSC Ekaterinburg Non-Ferrous Metal Processing Plant

 

  

 

RUSSIAN FEDERATION

 

 

Gold

 

  

 

JSC Uralelectromed

 

  

 

RUSSIAN FEDERATION

 

 

Gold

 

  

 

Moscow Special Alloys Processing Plant

 

  

 

RUSSIAN FEDERATION

 

 

Gold

 

  

 

OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)

 

  

 

RUSSIAN FEDERATION

 

 

Gold

 

  

 

OJSC Novosibirsk Refinery

 

  

 

RUSSIAN FEDERATION

 

 

Gold

 

  

 

Prioksky Plant of Non-Ferrous Metals

 

  

 

RUSSIAN FEDERATION

 

 

Gold

 

  

 

SOE Shyolkovsky Factory of Secondary Precious Metals

 

  

 

RUSSIAN FEDERATION

 

 

Gold

 

  

 

Metalor Technologies (Singapore) Pte., Ltd.

 

  

 

SINGAPORE

 

 

Gold

 

  

 

AU Traders and Refiners

 

  

 

SOUTH AFRICA

 

 

Gold

 

  

 

Rand Refinery (Pty) Ltd.

 

  

 

SOUTH AFRICA

 

 

Gold

 

  

 

SEMPSA Joyeria Plateria S.A.

 

  

 

SPAIN

 

 

Gold

 

  

 

Boliden AB

 

  

 

SWEDEN

 

 

Gold

 

  

 

Argor-Heraeus S.A.

 

  

 

SWITZERLAND

 

 

Gold

 

  

 

Cendres + Metaux S.A.

 

  

 

SWITZERLAND

 

 

Gold

 

  

 

Metalor Technologies S.A.

 

  

 

SWITZERLAND

 

 

Gold

 

  

 

PAMP S.A.

 

  

 

SWITZERLAND

 

 

Gold

 

  

 

PX Precinox S.A.

 

  

 

SWITZERLAND

 

 

Gold

 

  

 

Valcambi S.A.

 

  

 

SWITZERLAND

 

 

10


 

Gold

 

  

 

Singway Technology Co., Ltd.

 

  

 

TAIWAN, PROVINCE OF CHINA

 

 

Gold

 

  

 

Solar Applied Materials Technology Corp.

 

  

 

TAIWAN, PROVINCE OF CHINA

 

 

Gold

 

  

 

Umicore Precious Metals Thailand

 

  

 

THAILAND

 

 

Gold

 

  

 

Istanbul Gold Refinery

 

  

 

TURKEY

 

 

Gold

 

  

 

Nadir Metal Rafineri San. Ve Tic. A.S.

 

  

 

TURKEY

 

 

Gold

 

  

 

Al Etihad Gold LLC

 

  

 

UNITED ARAB EMIRATES

 

 

Gold

 

  

 

Emirates Gold DMCC

 

  

 

UNITED ARAB EMIRATES

 

 

Gold

 

  

 

Advanced Chemical Company

 

  

 

UNITED STATES OF AMERICA

 

 

Gold

 

  

 

Asahi Refining USA Inc.

 

  

 

UNITED STATES OF AMERICA

 

 

Gold

 

  

 

Geib Refining Corporation

 

  

 

UNITED STATES OF AMERICA

 

 

Gold

 

  

 

Kennecott Utah Copper LLC

 

  

 

UNITED STATES OF AMERICA

 

 

Gold

 

  

 

Materion

 

  

 

UNITED STATES OF AMERICA

 

 

Gold

 

  

 

Metalor USA Refining Corporation

 

  

 

UNITED STATES OF AMERICA

 

 

Gold

 

  

 

Republic Metals Corporation

 

  

 

UNITED STATES OF AMERICA

 

 

Gold

 

  

 

United Precious Metal Refining, Inc.

 

  

 

UNITED STATES OF AMERICA

 

 

Gold

 

  

 

Almalyk Mining and Metallurgical Complex (AMMC)

 

  

 

UZBEKISTAN

 

 

Tantalum

 

  

 

LSM Brasil S.A.

 

  

 

BRAZIL

 

 

Tantalum

 

  

 

Mineracao Taboca S.A.

 

  

 

BRAZIL

 

 

Tantalum

 

  

 

Resind Industria e Comercio Ltda.

 

  

 

BRAZIL

 

 

Tantalum

 

  

 

Changsha South Tantalum Niobium Co., Ltd.

 

  

 

CHINA

 

 

Tantalum

 

  

 

F&X Electro-Materials Ltd.

 

  

 

CHINA

 

 

Tantalum

 

  

 

FIR Metals & Resource Ltd.

 

  

 

CHINA

 

 

Tantalum

 

  

 

Guangdong Rising Rare Metals-EO Materials Ltd.

 

  

 

CHINA

 

 

Tantalum

 

  

 

Guangdong Zhiyuan New Material Co., Ltd.

 

  

 

CHINA

 

 

Tantalum

 

  

 

Hengyang King Xing Lifeng New Materials Co., Ltd.

 

  

 

CHINA

 

 

Tantalum

 

  

 

Jiangxi Dinghai Tantalum & Niobium Co., Ltd.

 

  

 

CHINA

 

 

Tantalum

 

  

 

Jiangxi Tuohong New Raw Material

 

  

 

CHINA

 

 

Tantalum

 

  

 

JiuJiang JinXin Nonferrous Metals Co., Ltd.

 

  

 

CHINA

 

 

Tantalum

 

  

 

Jiujiang Nonferrous Metals Smelting Company Limited

 

  

 

CHINA

 

 

11


 

Tantalum

 

  

 

Jiujiang Zhongao Tantalum & Niobium Co., Ltd.

 

  

 

CHINA

 

 

Tantalum

 

  

 

Ningxia Orient Tantalum Industry Co., Ltd.

 

  

 

CHINA

 

 

Tantalum

 

  

 

RFH Tantalum Smeltery Co., Ltd./Yanling Jincheng Tantalum & Niobium Co., Ltd.

 

  

 

CHINA

 

 

Tantalum

 

  

 

XinXing HaoRong Electronic Material Co., Ltd.

 

  

 

CHINA

 

 

Tantalum

 

  

 

NPM Silmet AS

 

  

 

ESTONIA

 

 

Tantalum

 

  

 

H.C. Starck Hermsdorf GmbH

 

  

 

GERMANY

 

 

Tantalum

 

  

 

H.C. Starck Smelting GmbH & Co. KG

 

  

 

GERMANY

 

 

Tantalum

 

  

 

H.C. Starck Tantalum and Niobium GmbH

 

  

 

GERMANY

 

 

Tantalum

 

  

 

Metallurgical Products India Pvt., Ltd.

 

  

 

INDIA

 

 

Tantalum

 

  

 

Asaka Riken Co., Ltd.

 

  

 

JAPAN

 

 

Tantalum

 

  

 

Global Advanced Metals Aizu

 

  

 

JAPAN

 

 

Tantalum

 

  

 

H.C. Starck Ltd.

 

  

 

JAPAN

 

 

Tantalum

 

  

 

Mitsui Mining and Smelting Co., Ltd.

 

  

 

JAPAN

 

 

Tantalum

 

  

 

Taki Chemical Co., Ltd.

 

  

 

JAPAN

 

 

Tantalum

 

  

 

Ulba Metallurgical Plant JSC

 

  

 

KAZAKHSTAN

 

 

Tantalum

 

  

 

Power Resources Ltd.

 

  

 

MACEDONIA, THE FORMER YUGOSLAV REPUBLIC OF

 

 

Tantalum

 

  

 

KEMET Blue Metals

 

  

 

MEXICO

 

 

Tantalum

 

  

 

Solikamsk Magnesium Works OAO

 

  

 

RUSSIAN FEDERATION

 

 

Tantalum

 

  

 

H.C. Starck Co., Ltd.

 

  

 

THAILAND

 

 

Tantalum

 

  

 

D Block Metals, LLC

 

  

 

UNITED STATES OF AMERICA

 

 

Tantalum

 

  

 

Exotech Inc.

 

  

 

UNITED STATES OF AMERICA

 

 

Tantalum

 

  

 

Global Advanced Metals Boyertown

 

  

 

UNITED STATES OF AMERICA

 

 

Tantalum

 

  

 

H.C. Starck Inc.

 

  

 

UNITED STATES OF AMERICA

 

 

Tantalum

 

  

 

KEMET Blue Powder

 

  

 

UNITED STATES OF AMERICA

 

 

Tantalum

 

  

 

QuantumClean

 

  

 

UNITED STATES OF AMERICA

 

 

Tantalum

 

  

 

Telex Metals

 

  

 

UNITED STATES OF AMERICA

 

 

Tin

 

  

 

Metallo Belgium N.V.

 

  

 

BELGIUM

 

 

Tin

 

  

 

EM Vinto

 

  

 

BOLIVIA (PLURINATIONAL STATE OF)

 

 

12


 

Tin

 

  

 

Operaciones Metalurgical S.A.

 

  

 

BOLIVIA (PLURINATIONAL STATE OF)

 

 

Tin

 

  

 

Magnu’s Minerais Metais e Ligas Ltda.

 

  

 

BRAZIL

 

 

Tin

 

  

 

Melt Metais e Ligas S.A.

 

  

 

BRAZIL

 

 

Tin

 

  

 

Mineracao Taboca S.A.

 

  

 

BRAZIL

 

 

Tin

 

  

 

Resind Industria e Comercio Ltda.

 

  

 

BRAZIL

 

 

Tin

 

  

 

Soft Metais Ltda.

 

  

 

BRAZIL

 

 

Tin

 

  

 

White Solder Metalurgia e Mineracao Ltda.

 

  

 

BRAZIL

 

 

Tin

 

  

 

Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.

 

  

 

CHINA

 

 

Tin

 

  

 

China Tin Group Co., Ltd.

 

  

 

CHINA

 

 

Tin

 

  

 

Gejiu Fengming Metallurgy Chemical Plant

 

  

 

CHINA

 

 

Tin

 

  

 

Gejiu Jinye Mineral Company

 

  

 

CHINA

 

 

Tin

 

  

 

Gejiu Kai Meng Industry and Trade LLC

 

  

 

CHINA

 

 

Tin

 

  

 

Gejiu Non-Ferrous Metal Processing Co., Ltd.

 

  

 

CHINA

 

 

Tin

 

  

 

Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.

 

  

 

CHINA

 

 

Tin

 

  

 

Guangdong Hanhe Non-Ferrous Metal Co., Ltd.

 

  

 

CHINA

 

 

Tin

 

  

 

Guanyang Guida Nonferrous Metal Smelting Plant

 

  

 

CHINA

 

 

Tin

 

  

 

HuiChang Hill Tin Industry Co., Ltd.

 

  

 

CHINA

 

 

Tin

 

  

 

Huichang Jinshunda Tin Co., Ltd.

 

  

 

CHINA

 

 

Tin

 

  

 

Jiangxi Ketai Advanced Material Co., Ltd.

 

  

 

CHINA

 

 

Tin

 

  

 

Nankang Nanshan Tin Manufactory Co., Ltd.

 

  

 

CHINA

 

 

Tin

 

  

 

Yunnan Chengfeng Non-ferrous Metals Co., Ltd.

 

  

 

CHINA

 

 

Tin

 

  

 

Yunnan Tin Company Limited

 

  

 

CHINA

 

 

Tin

 

  

 

CV Ayi Jaya

 

  

 

INDONESIA

 

 

Tin

 

  

 

CV Dua Sekawan

 

  

 

INDONESIA

 

 

Tin

 

  

 

CV Gita Pesona

 

  

 

INDONESIA

 

 

Tin

 

  

 

CV Serumpun Sebalai

 

  

 

INDONESIA

 

 

Tin

 

  

 

CV Tiga Sekawan

 

  

 

INDONESIA

 

 

Tin

 

  

 

CV United Smelting

 

  

 

INDONESIA

 

 

Tin

 

  

 

CV Venus Inti Perkasa

 

  

 

INDONESIA

 

 

Tin

 

  

 

PT Aries Kencana Sejahtera

 

  

 

INDONESIA

 

 

13


 

Tin

 

  

 

PT Artha Cipta Langgeng

 

  

 

INDONESIA

 

 

Tin

 

  

 

PT ATD Makmur Mandiri Jaya

 

  

 

INDONESIA

 

 

Tin

 

  

 

PT Babel Inti Perkasa

 

  

 

INDONESIA

 

 

Tin

 

  

 

PT Bangka Prima Tin

 

  

 

INDONESIA

 

 

Tin

 

  

 

PT Bangka Tin Industry

 

  

 

INDONESIA

 

 

Tin

 

  

 

PT Belitung Industri Sejahtera

 

  

 

INDONESIA

 

 

Tin

 

  

 

PT Bukit Timah

 

  

 

INDONESIA

 

 

Tin

 

  

 

PT DS Jaya Abadi

 

  

 

INDONESIA

 

 

Tin

 

  

 

PT Eunindo Usaha Mandiri

 

  

 

INDONESIA

 

 

Tin

 

  

 

PT Inti Stania Prima

 

  

 

INDONESIA

 

 

Tin

 

  

 

PT Karimun Mining

 

  

 

INDONESIA

 

 

Tin

 

  

 

PT Kijang Jaya Mandiri

 

  

 

INDONESIA

 

 

Tin

 

  

 

PT Lautan Harmonis Sejahtera

 

  

 

INDONESIA

 

 

Tin

 

  

 

PT Menara Cipta Mulia

 

  

 

INDONESIA

 

 

Tin

 

  

 

PT Mitra Stania Prima

 

  

 

INDONESIA

 

 

Tin

 

  

 

PT Panca Mega Persada

 

  

 

INDONESIA

 

 

Tin

 

  

 

PT Prima Timah Utama

 

  

 

INDONESIA

 

 

Tin

 

  

 

PT Refined Bangka Tin

 

  

 

INDONESIA

 

 

Tin

 

  

 

PT Sariwiguna Binasentosa

 

  

 

INDONESIA

 

 

Tin

 

  

 

PT Stanindo Inti Perkasa

 

  

 

INDONESIA

 

 

Tin

 

  

 

PT Sukses Inti Makmur

 

  

 

INDONESIA

 

 

Tin

 

  

 

PT Sumber Jaya Indah

 

  

 

INDONESIA

 

 

Tin

 

  

 

PT Timah (Persero) Tbk Kundur

 

  

 

INDONESIA

 

 

Tin

 

  

 

PT Timah (Persero) Tbk Mentok

 

  

 

INDONESIA

 

 

Tin

 

  

 

PT Tinindo Inter Nusa

 

  

 

INDONESIA

 

 

Tin

 

  

 

PT Tommy Utama

 

  

 

INDONESIA

 

 

Tin

 

  

 

Dowa

 

  

 

JAPAN

 

 

Tin

 

  

 

Mitsubishi Materials Corporation

 

  

 

JAPAN

 

 

Tin

 

  

 

Malaysia Smelting Corporation (MSC)

 

  

 

MALAYSIA

 

 

Tin

 

  

 

Minsur

 

  

 

PERU

 

 

Tin

 

  

 

O.M. Manufacturing Philippines, Inc.

 

  

 

PHILIPPINES

 

 

Tin

 

  

 

Fenix Metals

 

  

 

POLAND

 

 

Tin

 

  

 

Metallo Spain S.L.U.

 

  

 

SPAIN

 

 

Tin

 

  

 

Rui Da Hung

 

  

 

TAIWAN, PROVINCE OF CHINA

 

 

14


 

Tin

 

  

 

O.M. Manufacturing (Thailand) Co., Ltd.

 

  

 

THAILAND

 

 

Tin

 

  

 

Thaisarco

 

  

 

THAILAND

 

 

Tin

 

  

 

Alpha

 

  

 

UNITED STATES OF AMERICA

 

 

Tin

 

  

 

Metallic Resources, Inc.

 

  

 

UNITED STATES OF AMERICA

 

 

Tungsten

 

  

 

Wolfram Bergbau und Hutten AG

 

  

 

AUSTRIA

 

 

Tungsten

 

  

 

ACL Metais Eireli

 

  

 

BRAZIL

 

 

Tungsten

 

  

 

Chenzhou Diamond Tungsten Products Co., Ltd.

 

  

 

CHINA

 

 

Tungsten

 

  

 

Chongyi Zhangyuan Tungsten Co., Ltd.

 

  

 

CHINA

 

 

Tungsten

 

  

 

Fujian Jinxin Tungsten Co., Ltd.

 

  

 

CHINA

 

 

Tungsten

 

  

 

Ganzhou Huaxing Tungsten Products Co., Ltd.

 

  

 

CHINA

 

 

Tungsten

 

  

 

Ganzhou Jiangwu Ferrotungsten Co., Ltd.

 

  

 

CHINA

 

 

Tungsten

 

  

 

Ganzhou Seadragon W & Mo Co., Ltd.

 

  

 

CHINA

 

 

Tungsten

 

  

 

Guangdong Xianglu Tungsten Co., Ltd.

 

  

 

CHINA

 

 

Tungsten

 

  

 

Hunan Chenzhou Mining Co., Ltd.

 

  

 

CHINA

 

 

Tungsten

 

  

 

Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji

 

  

 

CHINA

 

 

Tungsten

 

  

 

Hunan Chunchang Nonferrous Metals Co., Ltd.

 

  

 

CHINA

 

 

Tungsten

 

  

 

Jiangwu H.C. Starck Tungsten Products Co., Ltd.

 

  

 

CHINA

 

 

Tungsten

 

  

 

Jiangxi Gan Bei Tungsten Co., Ltd.

 

  

 

CHINA

 

 

Tungsten

 

  

 

Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.

 

  

 

CHINA

 

 

Tungsten

 

  

 

Jiangxi Xinsheng Tungsten Industry Co., Ltd.

 

  

 

CHINA

 

 

Tungsten

 

  

 

Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.

 

  

 

CHINA

 

 

Tungsten

 

  

 

Jiangxi Yaosheng Tungsten Co., Ltd.

 

  

 

CHINA

 

 

Tungsten

 

  

 

Malipo Haiyu Tungsten Co., Ltd.

 

  

 

CHINA

 

 

Tungsten

 

  

 

South-East Nonferrous Metal Company Limited of Hengyang City

 

  

 

CHINA

 

 

Tungsten

 

  

 

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

 

  

 

CHINA

 

 

Tungsten

 

  

 

Xiamen Tungsten Co., Ltd.

 

  

 

CHINA

 

 

Tungsten

 

  

 

Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.

 

  

 

CHINA

 

 

15


 

Tungsten

 

  

 

Xinhai Rendan Shaoguan Tungsten Co., Ltd.

 

  

 

CHINA

 

 

Tungsten

 

  

 

H.C. Starck Smelting GmbH & Co. KG

 

  

 

GERMANY

 

 

Tungsten

 

  

 

H.C. Starck Tungsten GmbH

 

  

 

GERMANY

 

 

Tungsten

 

  

 

A.L.M.T. TUNGSTEN Corp.

 

  

 

JAPAN

 

 

Tungsten

 

  

 

Japan New Metals Co., Ltd.

 

  

 

JAPAN

 

 

Tungsten

 

  

 

Woltech Korea Co., Ltd.

 

  

 

KOREA, REPUBLIC OF

 

 

Tungsten

 

  

 

Philippine Chuangxin Industrial Co., Inc.

 

  

 

PHILIPPINES

 

 

Tungsten

 

  

 

Hydrometallurg, JSC

 

  

 

RUSSIAN FEDERATION

 

 

Tungsten

 

  

 

Moliren Ltd.

 

  

 

RUSSIAN FEDERATION

 

 

Tungsten

 

  

 

Unecha Refractory metals plant

 

  

 

RUSSIAN FEDERATION

 

 

Tungsten

 

  

 

Global Tungsten & Powders Corp.

 

  

 

UNITED STATES OF AMERICA

 

 

Tungsten

 

  

 

Kennametal Fallon

 

  

 

UNITED STATES OF AMERICA

 

 

Tungsten

 

  

 

Kennametal Huntsville

 

  

 

UNITED STATES OF AMERICA

 

 

Tungsten

 

  

 

Niagara Refining LLC

 

  

 

UNITED STATES OF AMERICA

 

 

Tungsten

 

  

 

Asia Tungsten Products Vietnam Ltd.

 

  

 

VIET NAM

 

 

Tungsten

 

  

 

Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC

 

  

 

VIET NAM

 

 

Tungsten

 

  

 

Tejing (Vietnam) Tungsten Co., Ltd.

 

  

 

VIET NAM

 

 

Tungsten

 

  

 

Vietnam Youngsun Tungsten Industry Co., Ltd.

 

  

 

VIET NAM

 

 

2. List of the SORs identified in Canon’s supply chain which are Active in RMAP (As of April 26, 2018)

 

     

 

Metal    

 

  

 

SoRs

 

  

 

Country/Region

 

 

Gold

 

  

 

L’Orfebre S.A.

 

  

 

 

ANDORRA

 

 

Gold

 

  

 

SAFINA A.S.

 

  

 

CZECH REPUBLIC

 

 

Gold

 

  

 

Bangalore Refinery

 

  

 

INDIA

 

 

Gold

 

  

 

Modeltech Sdn Bhd

 

  

 

MALAYSIA

 

 

Gold

 

  

 

Remondis Argentia B.V.

 

  

 

NETHERLANDS

 

 

Gold

 

  

 

KGHM Polska Miedz Spolka Akcyjna

 

  

 

POLAND

 

 

Tin

 

  

 

Modeltech Sdn Bhd

 

  

 

MALAYSIA

 

 

Tungsten

 

  

 

Ganzhou Haichuang Tungsten Co., Ltd.

 

  

 

CHINA

 

 

16


3. List of the SORs identified in Canon’s supply chain which are neither RMAP conformant nor Active in RMAP (As of April 26, 2018)

 

     

 

Metal    

 

  

 

SoRs

 

  

 

Country/Region

 

 

Gold

 

  

 

Morris and Watson Gold Coast

 

  

 

AUSTRALIA

 

 

Gold

 

  

 

Tony Goetz NV

 

  

 

BELGIUM

 

 

Gold

 

  

 

Daye Non-Ferrous Metals Mining Ltd.

 

  

 

CHINA

 

 

Gold

 

  

 

Great Wall Precious Metals Co., Ltd. of CBPM

 

  

 

CHINA

 

 

Gold

 

  

 

Guangdong Jinding Gold Limited

 

  

 

CHINA

 

 

Gold

 

  

 

Guoda Safina High-Tech Environmental Refinery Co., Ltd.

 

  

 

CHINA

 

 

Gold

 

  

 

Hangzhou Fuchunjiang Smelting Co., Ltd.

 

  

 

CHINA

 

 

Gold

 

  

 

Hunan Chenzhou Mining Co., Ltd.

 

  

 

CHINA

 

 

Gold

 

  

 

Lingbao Gold Co., Ltd.

 

  

 

CHINA

 

 

Gold

 

  

 

Lingbao Jinyuan Tonghui Refinery Co., Ltd.

 

  

 

CHINA

 

 

Gold

 

  

 

Luoyang Zijin Yinhui Gold Refinery Co., Ltd.

 

  

 

CHINA

 

 

Gold

 

  

 

Penglai Penggang Gold Industry Co., Ltd.

 

  

 

CHINA

 

 

Gold

 

  

 

Refinery of Seemine Gold Co., Ltd.

 

  

 

CHINA

 

 

Gold

 

  

 

Shandong Tiancheng Biological Gold Industrial Co., Ltd.

 

  

 

CHINA

 

 

Gold

 

  

 

Tongling Nonferrous Metals Group Co., Ltd.

 

  

 

CHINA

 

 

Gold

 

  

 

Yunnan Copper Industry Co., Ltd.

 

  

 

CHINA

 

 

Gold

 

  

 

Degussa Sonne / Mond Goldhandel GmbH

 

  

 

GERMANY

 

 

Gold

 

  

 

GCC Gujrat Gold Centre Pvt. Ltd.

 

  

 

INDIA

 

 

Gold

 

  

 

Sai Refinery

 

  

 

INDIA

 

 

Gold

 

  

 

Chugai Mining

 

  

 

JAPAN

 

 

Gold

 

  

 

Kazakhmys Smelting LLC

 

  

 

KAZAKHSTAN

 

 

Gold

 

  

 

TOO Tau-Ken-Altyn

 

  

 

KAZAKHSTAN

 

 

Gold

 

  

 

HwaSeong CJ CO., LTD.

 

  

 

KOREA, REPUBLIC OF

 

 

Gold

 

  

 

Samwon Metals Corp.

 

  

 

KOREA, REPUBLIC OF

 

 

Gold

 

  

 

State Research Institute Center for Physical Sciences and Technology

 

  

 

LITHUANIA

 

 

Gold

 

  

 

Caridad

 

  

 

MEXICO

 

 

Gold

 

  

 

Schone Edelmetaal B.V.

 

  

 

NETHERLANDS

 

 

Gold

 

  

 

Morris and Watson

 

  

 

NEW ZEALAND

 

 

17


 

Gold

 

  

 

Kyshtym Copper-Electrolytic Plant ZAO

 

  

 

RUSSIAN FEDERATION

 

 

Gold

 

  

 

L’azurde Company For Jewelry

 

  

 

SAUDI ARABIA

 

 

Gold

 

  

 

Sudan Gold Refinery

 

  

 

SUDAN

 

 

Gold

 

  

 

Atasay Kuyumculuk Sanayi Ve Ticaret A.S.

 

  

 

TURKEY

 

 

Gold

 

  

 

Kaloti Precious Metals

 

  

 

UNITED ARAB EMIRATES

 

 

Gold

 

  

 

Abington Reldan Metals, LLC

 

  

 

UNITED STATES OF AMERICA

 

 

Gold

 

  

 

Elemetal Refining, LLC

 

  

 

UNITED STATES OF AMERICA

 

 

Gold

 

  

 

Pease & Curren

 

  

 

UNITED STATES OF AMERICA

 

 

Gold

 

  

 

Sabin Metal Corp.

 

  

 

UNITED STATES OF AMERICA

 

 

Gold

 

  

 

So Accurate Group, Inc.

 

  

 

UNITED STATES OF AMERICA

 

 

Gold

 

  

 

Navoi Mining and Metallurgical Combinat

 

  

 

UZBEKISTAN

 

 

Gold

 

  

 

Universal Precious Metals Refining Zambia

 

  

 

ZAMBIA

 

 

Gold

 

  

 

Fidelity Printers and Refiners Ltd.

 

  

 

ZIMBABWE

 

 

Tantalum

 

  

 

Duoluoshan

 

  

 

CHINA

 

 

Tantalum

 

  

 

King-Tan Tantalum Industry Ltd.

 

  

 

CHINA

 

 

Tantalum

 

  

 

Yichun Jin Yang Rare Metal Co., Ltd.

 

  

 

CHINA

 

 

Tin

 

  

 

Estanho de Rondonia S.A.

 

  

 

BRAZIL

 

 

Tin

 

  

 

Super Ligas

 

  

 

BRAZIL

 

 

Tin

 

  

 

CNMC (Guangxi) PGMA Co., Ltd.

 

  

 

CHINA

 

 

Tin

 

  

 

Gejiu Zili Mining And Metallurgy Co., Ltd.

 

  

 

CHINA

 

 

Tin

 

  

 

PT O.M. Indonesia

 

  

 

INDONESIA

 

 

Tin

 

  

 

An Vinh Joint Stock Mineral Processing Company

 

  

 

VIET NAM

 

 

Tin

 

  

 

Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company

 

  

 

VIET NAM

 

 

Tin

 

  

 

Nghe Tinh Non-Ferrous Metals Joint Stock Company

 

  

 

VIET NAM

 

 

Tin

 

  

 

Tuyen Quang Non-Ferrous Metals Joint Stock Company

 

  

 

VIET NAM

 

 

Tungsten

 

  

 

Ganzhou Yatai Tungsten Co., Ltd.

 

  

 

CHINA

 

 

Tungsten

 

  

 

Hunan Litian Tungsten Industry Co., Ltd.

 

  

 

CHINA

 

 

Tungsten

 

  

 

Jiangxi Dayu Longxintai Tungsten Co., Ltd.

 

  

 

CHINA

 

 

Tungsten

 

  

 

Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.

 

  

 

CHINA

 

 

18


4. Examples of the countries and regions of origin from which the SORs listed in Appendix 1-1, 1-2 and 1-3 are believed to have sourced 3TG

 

Albania

 

India

Angola

 

Indonesia

Argentina

 

Ireland

Australia

 

Israel

Austria

 

Italy

Azerbaijan

 

Japan

Belgium

 

Jersey (Bailiwick of Jersey)

Bermuda

 

Kazakhstan

Bolivia

 

Kenya

Brazil

  Korea, Republic of

Burkina Faso

  Kyrgyz Republic

Burundi

  Laos

Cameroon

  Liberia

Canada

  Luxembourg

Central African Republic

  Madagascar

Chile

  Malaysia

China

  Mauritania

Columbia

  Mexico

Cote d’Ivoire

  Mongolia

Czech Republic

  Morocco

Democratic Republic of the Congo

  Mozambique

Djibouti

  Myanmar

The Dominican Republic

  Namibia

Ecuador

  Netherlands

Egypt

  Nigeria

Estonia

  Papua New Guinea

Ethiopia

  Republic of the Congo

Finland

  Peru

France

  Philippines

Germany

  Poland

Ghana

  Portugal

Guinea

  Russia

Guyana

  Rwanda

 

19


Hungary

  Sierra Leone
Singapore   Thailand
Slovakia   Turkey
South Africa   Uganda
Spain   United Kingdom
Suriname   United States
Sweden   Uzbekistan
Switzerland   Vietnam
Taiwan   Zambia
Tanzania   Zimbabwe

 

20


Appendix 2.

INDEPENDENT ASSURANCE REPORT

To the Board of Directors and Stockholders of Canon Inc.

We have undertaken a reasonable assurance engagement of:

 

 

management’s assertion, included in section 4 of the Conflict Minerals Report for the reporting period from January 1 to December 31, 2017, that the design of Canon Inc.’s (the “Company”) due diligence framework is in conformity with the criteria set forth in the Organisation of Economic Co-Operation and Development Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, Third Edition 2016 (“OECD Due Diligence Guidance”), and

 

whether the Company’s description of the due diligence measures it performed, as set forth in section 4 of the Conflict Minerals Report for the reporting period from January 1 to December 31, 2017, is consistent, in all material respects, with the due diligence process that the Company undertook.

Management is responsible for the design of the Company’s due diligence framework and the description of the Company’s due diligence measures set forth in the Conflict Minerals Report, and performance of the due diligence measures. Our responsibility is to express an opinion on the design of the Company’s due diligence framework and on the description of the due diligence measures the Company performed, based on the procedures we have performed.

Our reasonable assurance engagement was conducted in accordance with ‘International Standard on Assurance Engagements (ISAE) 3000, Assurance Engagements other than Audits or Reviews of Historical Financial Information’, issued by the International Auditing and Assurance Standards Board, and the standards applicable to performance audits contained in Government Auditing Standards, issued by the Comptroller General of the United States, and, accordingly, included examining, on a test basis, evidence about the design of the Company’s due diligence framework and the description of the due diligence measures the Company performed, and performing such other procedures as we considered necessary in the circumstances. We believe that the evidence we have obtained is sufficient and appropriate to provide a basis for our opinion.

Our reasonable assurance engagement was not conducted for the purpose of evaluating:

 

 

The consistency of the due diligence measures that the Company performed with either the design of the Company’s due diligence framework or the OECD Due Diligence Guidance;

 

The completeness of the Company’s description of the due diligence measures performed;

 

The suitability of the design or operating effectiveness of the Company’s due diligence process;

 

Whether a third party can determine from the Conflict Minerals Report if the due diligence measures the Company performed are consistent with the OECD Due Diligence Guidance;

 

The Company’s reasonable country of origin inquiry (RCOI), including the suitability of the design of the RCOI, its operating effectiveness, or the results thereof; or

 

The Company’s conclusions about the source or chain of custody of its conflict minerals, those products subject to due diligence, or the DRC Conflict Free status of its products.

Accordingly, we do not express an opinion or any other form of assurance on the aforementioned matters or any other matters included in any section of the Conflict Minerals Report other than section 4.

In our opinion,

 

 

the design of the Company’s due diligence framework for the reporting period from January 1 to December 31, 2017, as set forth in section 4 of the Conflict Minerals Report is in conformity, in all material respects, with the OECD Due Diligence Guidance, and

 

the Company’s description of the due diligence measures it performed as set forth in section 4 of the Conflict Minerals Report for the reporting period from January 1 to December 31, 2017, is consistent, in all material respects, with the due diligence process that the Company undertook.

 

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We have complied with the Code of Ethics for Professional Accountants issued by the International Ethics Standards Board for Accountants, which includes independence and other requirements founded on fundamental principles of integrity, objectivity, professional competence and due care, confidentiality and professional behavior. In accordance with International Standard on Quality Control 1, we maintain a comprehensive system of quality control including documented policies and procedures regarding compliance with ethical requirements, professional standards and applicable legal and regulatory requirements.

/s/ KPMG AZSA Sustainability Co., Ltd.

KPMG AZSA Sustainability Co., Ltd., Tokyo

May 30, 2018

 

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