EX-1.01 2 a18-14286_1ex1d01.htm EX-1.01

Exhibit 1.01

 

CONFLICT MINERALS REPORT

 

May 25, 2018

 

Introduction

 

This Conflict Minerals Report is presented to comply with Securities and Exchange Commission Rule 13p-1 under the Securities Exchange Act of 1934 (“SEC Rule”). Deere & Company (“Company”) and its subsidiaries (collectively, “John Deere”) manufacture and distribute agriculture and turf and construction and forestry equipment and parts.1 For the period from January 1 to December 31, 2017 (“Reporting Period”), certain components and parts of John Deere’s equipment products contained columbite-tantalite (coltan) (or its derivative tantalum), gold, wolframite (or its derivative tungsten) and/or cassiterite (or its derivative tin) (collectively, “conflict minerals”) necessary to the production or functionality of such equipment. As part of its efforts, the Company has adopted a policy (“Conflict Minerals Policy”) providing a common set of principles for the sourcing of conflict minerals. In accordance with the SEC Rule, the Company implemented a Reasonable Country of Origin Inquiry (“RCOI”) to determine whether any conflict minerals necessary to the production or functionality of its products originated in the Democratic Republic of the Congo or an adjoining country (“Covered Countries”) or do not come from recycled or scrap sources. Based on the RCOI, the Company believes that certain of the conflict minerals necessary to the production or functionality of its equipment manufactured in the Reporting Period may have originated in the Covered Countries and may not be from recycled or scrap sources (the “Covered Minerals”).

 

As described in Part I below, the Company conducted an RCOI, which includes the Company’s Conflict Minerals Policy, initial component assessment and identification of suppliers providing In-Scope Components. The supplier survey used the conflict minerals reporting template (CMRT) which is the current industry standard for collecting conflict minerals RCOI data from downstream companies. Smelter data along with supplier responses indicated the need to execute due diligence as outlined in the Organisation for Economic Co-operation and Development Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (“OECD Guidelines”).

 

The Company’s due diligence procedures conform, in all material respects, with the framework set forth in the OECD Guidelines and the related supplements for gold and for tin, tantalum and tungsten. In accordance with the SEC Rule and the OECD Guidelines, this Conflict Minerals Report is available on the Company’s website at www.JohnDeere.com/secfilings. The Company’s Conflict Minerals Policy is available on its website at www.JohnDeere.com/corpgov.

 

Part I of this report also describes the due diligence procedures performed by the Company on the source and chain of custody of In-Scope Components (as defined below) for the Reporting Period. Part II of this report describes the Company’s products that contain In-Scope Components, the facilities used to process

 


 

 

 

1 On December 1, 2017, the Company acquired the stock and certain assets of substantially all of the business of Wirtgen Group Holding GmbH (Wirtgen). Wirtgen previously had not been obligated to provide a specialized disclosure report with respect to its conflict minerals. Accordingly, as permitted by Instruction 3 to Item 1.01 of Form SD, this Report does not cover products manufactured by Wirtgen.

 



 

the Covered Minerals in those In-Scope Components if known to the Company, the country of origin of the Covered Minerals in those In-Scope Components if known to the Company and the efforts to determine the mine or location of origin with the greatest possible specificity.

 

Part I                                                         Reasonable Country of Origin Inquiry and Due Diligence Procedures

 

Certain components and parts of John Deere’s equipment manufactured during the Reporting Period contain conflict minerals necessary to the production or functionality of such equipment (“In-Scope Components”). The Company’s due diligence procedures are implemented and maintained throughout its supply chain. In accordance with the Company’s Conflict Minerals Policy, the SEC Rule and the OECD Guidelines, the Company has established a due diligence process with the following key components: (1) internal supply management systems and controls; (2) identification and assessment of conflict minerals risk in the supply chain; (3) strategies to address identified risks within the supply chain; and (4) independent audit procedures as required by the SEC Rule. The Company performs due diligence procedures described below on its In-Scope Components.

 

a.            Internal Supply Management Systems and Controls

The Company’s Conflict Minerals Policy establishes the principles regarding the responsible sourcing of conflict minerals against which the Company can assess itself and its suppliers. To enforce the Conflict Minerals Policy, the Company has put in place internal supply management systems and controls. The Company’s management structure consists of three levels of oversight. In accordance with the OECD Guidelines, at the top of the management structure is an executive sponsor. The executive sponsor is a member of the Company’s senior management team. The second level of management is a steering committee comprised of executive-level officers and managers from supply management, environmental, energy and product sustainability, electronic solutions, and legal. This committee provided guidance and oversight to the third level of the management system for conflict minerals. The third level of the management system is a team of subject matter experts (“CM Team”) from relevant functions within the Company, including supply management, environmental, quality, information technology, internal audit and legal. The CM Team was responsible for implementing the Company’s due diligence procedures. In accordance with the Company’s Conflict Minerals Policy and the OECD Guidelines, the Company will maintain, and will require In-Scope Suppliers (as defined below) to maintain, conflict minerals records for five years.

 

b.            Identification and Assessment of Conflict Mineral Risk in the Supply Chain

Due to the size and complexity of John Deere’s global supply chain as well as its considerable number of suppliers, products, parts and components, a process was developed to assess and remove parts not containing conflict minerals from the inquiry. The RCOI pertains only to suppliers with In-Scope Components (“In-Scope Suppliers”) introduced into John Deere’s supply chain during the Reporting Period. Parts, components or products not containing conflict minerals were excluded from further inquiry.

 

The Company’s RCOI is comprised of three processes. The first process collects information on the Company’s equipment components (“Equipment Survey”); the second process collects information on the Company’s electronics components (“Electronics Survey”), and the third process collects information on the Company’s after-market parts division (“All-Makes Survey” and, collectively with the Equipment

 



 

Survey and the Electronics Survey, the “Surveys”). In each case, the survey covers In-Scope Suppliers of In-Scope Components during the Reporting Period.

 

The Equipment Survey randomly selected In-Scope Suppliers based on volume of In-Scope Components provided to the Company during the Reporting Period. These suppliers were ranked based on the total volume of In-Scope Components supplied or forecasted to be supplied to the Company for the Reporting Period. The In-Scope Suppliers were then separated into groups according to volume of parts supplied to the Company: high volume (supplying 80 percent of In-Scope Components), mid-volume (supplying 15 percent of In-Scope Components) and low volume (supplying 5 percent of In-Scope Components). The In-Scope Suppliers were then randomly selected from these groups such that the survey covered a minimum of 80 percent of volume from the high volume group, 15 percent of volume from the mid-volume group and 5 percent of volume from the low volume group. The All-Makes Survey followed a similar selection process to the Equipment Survey.

 

When the Company established its initial RCOI process in 2013, it anticipated a higher risk associated with electronic components. To assess this risk for reporting years 2013 through 2016, the Electronics Survey randomly selected In-Scope Suppliers based on volume of In-Scope Components provided to the Company during each operative period. These suppliers were ranked based on the total volume of In-Scope Components supplied or forecasted to be supplied to the Company for the applicable reporting period. The In-Scope Suppliers were then separated into groups according to volume of parts supplied to the Company: high volume (supplying 99.9 percent of In-Scope Components) and low volume (supplying 0.1 percent of In-Scope Components). The In-Scope Suppliers were then randomly selected from these groups such that the survey covered 100 percent of volume from the high volume group and 5 percent of suppliers from the low volume group.  In preparation for the Reporting Period, and based upon review and analysis of the 2013 through 2016 Electronics Surveys, the Company updated its methodology for selecting suppliers to be surveyed. For the Reporting Period, the Company’s Electronics Survey updated the high and low volume groups to those supplying 98 percent and 2 percent of volume respectively. For purposes of the Electronic Survey for the Reporting Period, the Company continued to cover 100 percent of volume from the high volume group, but increased to a minimum of 15 percent of the suppliers randomly selected from the low volume group.  Under the prior methodology, last year’s Electronics Survey covered approximately 72 percent of In-Scope Components, and for the Reporting Period, the Electronics Survey covered approximately 74 percent of In-Scope Components.

 

c.             Survey of In-Scope Suppliers

The Company collected conflict minerals data from the identified In-Scope Suppliers for each unique part supplied to the Company during the Reporting Period. Each In-Scope Supplier surveyed was required to make part-specific declarations to the Company. The Surveys used the standard industry reporting template, the Conflict Minerals Reporting Template (“CMRT”), published by the Responsible Minerals Initiative (“RMI”) (formerly Conflict-Free Sourcing Initiative), to review conflict minerals risk within the supply chain and identify smelters of origin. The Company used its proprietary software system to conduct the Equipment Survey. The system enabled the Company to communicate with In-Scope Suppliers, to make an initial risk assessment and to assist In-Scope Suppliers in completing the CMRT accurately.

 



 

In all cases, In-Scope Suppliers were asked to complete the survey within five weeks after receipt of the request. Additionally, In-Scope Suppliers were required automatically to update their responses with a new CMRT should an In-Scope Component that is the subject of a CMRT change during the Reporting Period. In accordance with the OECD Guidelines, the Company relies on third party audits by the Responsible Minerals Assurance Process (“RMAP”) (formerly the Conflict-Free Smelter Program) to validate the conflict free status of mineral smelters. The Company relies on the list of third party compliant RMAP smelters to determine the conflict status of the smelters identified in the supplier CMRT responses.

 

The Equipment Survey yielded complete CMRTs from approximately 83.4 percent of the In-Scope Suppliers surveyed, representing approximately 95.1 percent of the In-Scope Component volume from those suppliers. The All-Makes Survey received complete CMRTs from approximately 33.3 percent of the In-Scope Suppliers surveyed, representing approximately 76.9 percent of the In-Scope Component volume from these suppliers. The Electronics Survey received complete CMRTs from approximately 69.9 percent of the In-Scope Suppliers surveyed, representing approximately 96.1 percent of the In-Scope Component volume from the In-Scope Components of those suppliers. On a combined basis, the Company received complete CMRTs from approximately 77.2 percent of its In-Scope Suppliers surveyed, representing approximately 95.1 percent of the Company’s In-Scope Component volume from these suppliers.

 

The CM Team evaluated the CMRTs and assessed a risk level for each In-Scope Supplier response. The risk evaluation was based on the risks outlined in the OECD Guidelines. Based on the risk evaluation, the CM Team determined whether further due diligence was required on any In-Scope Supplier. The CM Team contacted certain In-Scope Suppliers to verify the information provided on the CMRT.

 

d.            Strategies to Address Identified Risks within the Supply Chain

The Company is a member of RMI and supports its effort to ensure smelters are compliant as conflict-free, including the RMAP that identifies smelters and refiners having systems in place to assure sourcing of conflict free materials. The Company intends to continue its due diligence efforts on its conflict minerals supply chain. The Company’s due diligence procedures will continue to develop by engaging In-Scope Suppliers to improve transparency throughout the supply chain. In accordance with the Company’s Conflict Minerals Policy, it will continue incorporating conflict minerals obligations into its supplier contracts. The Company continued to incorporate the Conflict Minerals Supplier Response in to the supplier evaluation process. The Company’s due diligence procedures will also continue to enforce its Conflict Minerals Policy and its Supplier Code of Conduct.

 

Part II                                                   Product Description

 

a.            Products Containing In-Scope Components

The Company’s equipment operations are categorized into two major business segments. The agriculture and turf segment primarily manufactures and distributes a full line of agriculture and turf equipment and related service parts — including large, medium and utility tractors; tractor loaders; combines, cotton pickers, cotton strippers, and sugarcane harvesters; related harvesting front-end equipment; sugarcane loaders and pull-behind scrapers; tillage, seeding and application equipment, including sprayers, nutrient management and soil preparation machinery; hay and forage equipment, including self-propelled forage harvesters and attachments, balers and mowers; turf and utility equipment, including riding lawn

 



 

equipment and walk-behind mowers, golf course equipment, utility vehicles, and commercial mowing equipment, along with a broad line of associated implements; integrated agricultural management systems technology and solutions; and other outdoor power products. The construction and forestry segment primarily manufactures and distributes a broad range of machines and service parts used in construction, earthmoving, material handling and timber harvesting — including backhoe loaders; crawler dozers and loaders; four-wheel-drive loaders; excavators; motor graders; articulated dump trucks; landscape loaders; skid-steer loaders; and log skidders, feller bunchers, log loaders, log forwarders, log harvesters and related attachments.

 

As a result of the due diligence procedures described in Part I above, the Company believes the equipment products described above contain In-Scope Components.

 

b.            Facilities Known to Process the Covered Minerals

Attached hereto as Schedule A is a list of the facilities that, based on the due diligence process described above, are known to the Company and that the Company believes processed the Covered Minerals in the Company’s products during the Reporting Period. During the due diligence process described above, the In-Scope Suppliers identified many entities that the Company could not validate as smelters or refiners and therefore are not listed in Schedule A. A significant number of smelters that may or may not have processed the Covered Minerals in the Company’s products have not participated in the RMAP and, therefore, have not yet established their conflict status.

 

c.             Country of Origin of the Covered Minerals

As a result of the due diligence procedures described in Part I above, the Company does not have sufficient information to determine conclusively the countries of origin of all Covered Minerals.

 

d.            Efforts to Determine the Mine or Location of Origin

As discussed above in Part I, the Company relies on third parties to validate the conflict status of smelter sources. The Company’s due diligence procedures are designed to identify risks within the supply chain. During the due diligence process described above, the In-Scope Suppliers identified the Covered Minerals processed by RMAP smelters may be from the countries of origin listed on Schedule B attached hereto.

 



 

Schedule A

 

Facilities Known to process Covered Minerals during the Reporting Period

 

Mineral

 

Smelter Name

 

Reported to
Deere

Gold (Au)

 

Abington Reldan Metals, LLC

 

USA

Gold (Au)

 

Advanced Chemical Company

 

USA

Gold (Au)

 

Aida Chemical Industries Co., Ltd.

 

JPN

Gold (Au)

 

Al Etihad Gold Refinery DMCC

 

ARE

Gold (Au)

 

Allgemeine Gold-und Silberscheideanstalt A.G.

 

DEU

Gold (Au)

 

Almalyk Mining and Metallurgical Complex (AMMC)

 

UZB

Gold (Au)

 

AngloGold Ashanti Córrego do Sítio Mineração

 

BRA

Gold (Au)

 

Argor-Heraeus SA

 

CHE

Gold (Au)

 

Asahi Pretec Corporation

 

JPN

Gold (Au)

 

Asahi Refining Canada Limited

 

CAN

Gold (Au)

 

Asahi Refining USA Inc.

 

USA

Gold (Au)

 

Asaka Riken Co., Ltd.

 

JPN

Gold (Au)

 

Atasay Kuyumculuk Sanayi Ve Ticaret A.S.

 

TUR

Gold (Au)

 

AU Traders and Refiners

 

ZAF

Gold (Au)

 

AURA-II

 

USA

Gold (Au)

 

Aurubis AG

 

DEU

Gold (Au)

 

Bangalore Refinery

 

IND

Gold (Au)

 

Bangko Sentral ng Pilipinas (Central Bank of the Philippines)

 

PHL

Gold (Au)

 

Boliden AB

 

SWE

Gold (Au)

 

C. Hafner GmbH + Co. KG

 

DEU

Gold (Au)

 

Caridad

 

MEX

Gold (Au)

 

CCR Refinery – Glencore Canada Corporation

 

CAN

Gold (Au)

 

Cendres + Métaux SA

 

CHE

Gold (Au)

 

Chimet S.p.A.

 

ITA

Gold (Au)

 

Chugai Mining

 

JPN

Gold (Au)

 

Daejin Indus Co., Ltd.

 

KOR

Gold (Au)

 

Daye Non-Ferrous Metals Mining Ltd.

 

CHN

Gold (Au)

 

Degussa Sonne / Mond Goldhandel GmbH

 

DEU

Gold (Au)

 

Do Sung Corporation

 

KOR

Gold (Au)

 

Doduco

 

DEU

Gold (Au)

 

Dowa

 

JPN

Gold (Au)

 

Eco-System Recycling Co., Ltd.

 

JPN

 



 

Gold (Au)

 

Elemetal Refining, LLC

 

USA

Gold (Au)

 

Emirates Gold DMCC

 

ARE

Gold (Au)

 

Faggi Enrico S.p.A.

 

ITA

Gold (Au)

 

Fidelity Printers and Refiners Ltd.

 

ZWE

Gold (Au)

 

Gansu Seemine Material Hi-Tech Co., Ltd.

 

CHN

Gold (Au)

 

Geib Refining Corporation

 

USA

Gold (Au)

 

Guangdong Jinding Gold Limited

 

CHN

Gold (Au)

 

Gujarat Gold Centre

 

IND

Gold (Au)

 

Gujarat Gold Centre

 

IND

Gold (Au)

 

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

 

CHN

Gold (Au)

 

Hangzhou Fuchunjiang Smelting Co., Ltd.

 

CHN

Gold (Au)

 

HeeSung Metal Ltd.

 

KOR

Gold (Au)

 

Heimerle + Meule GmbH

 

DEU

Gold (Au)

 

Heraeus Ltd. Hong Kong

 

CHN

Gold (Au)

 

Heraeus Precious Metals GmbH & Co. KG

 

DEU

Gold (Au)

 

Hunan Chenzhou Mining Co., Ltd.

 

CHN

Gold (Au)

 

Hwasung CJ Co., Ltd.

 

KOR

Gold (Au)

 

Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited

 

CHN

Gold (Au)

 

Ishifuku Metal Industry Co., Ltd.

 

JPN

Gold (Au)

 

Istanbul Gold Refinery

 

TUR

Gold (Au)

 

Italpreziosi

 

ITA

Gold (Au)

 

Japan Mint

 

JPN

Gold (Au)

 

Jiangxi Copper Company Limited

 

CHN

Gold (Au)

 

JSC Ekaterinburg Non-Ferrous Metal Processing Plant

 

RUS

Gold (Au)

 

JSC Uralelectromed

 

RUS

Gold (Au)

 

JX Nippon Mining & Metals Co., Ltd.

 

JPN

Gold (Au)

 

Kaloti Precious Metals

 

ARE

Gold (Au)

 

Kazakhmys Smelting LLC

 

KAZ

Gold (Au)

 

Kazzinc

 

KAZ

Gold (Au)

 

Kennecott Utah Copper LLC

 

USA

Gold (Au)

 

KGHM Polska Miedz Spolka Akcyjna

 

POL

Gold (Au)

 

Kojima Chemicals Co., Ltd.

 

JPN

Gold (Au)

 

Korea Zinc Co. Ltd.

 

KOR

Gold (Au)

 

Kyrgyzaltyn JSC

 

KGZ

Gold (Au)

 

Kyshtym Copper-Electrolytic Plant ZAO

 

RUS

Gold (Au)

 

L’ azurde Company For Jewelry

 

SAU

Gold (Au)

 

Lingbao Gold Co., Ltd.

 

CHN

 



 

Gold (Au)

 

Lingbao Jinyuan Tonghui Refinery Co., Ltd.

 

CHN

Gold (Au)

 

L’Orfebre S.A.

 

AND

Gold (Au)

 

LS-NIKKO Copper Inc.

 

KOR

Gold (Au)

 

Luoyang Zijin Yinhui Gold Refinery Co., Ltd.

 

CHN

Gold (Au)

 

Marsam Metals

 

BRA

Gold (Au)

 

Materion

 

USA

Gold (Au)

 

Matsuda Sangyo Co., Ltd.

 

JPN

Gold (Au)

 

Metalor Technologies (Hong Kong) Ltd.

 

CHN

Gold (Au)

 

Metalor Technologies (Singapore) Pte., Ltd.

 

SGP

Gold (Au)

 

Metalor Technologies (Suzhou) Ltd.

 

CHN

Gold (Au)

 

Metalor Technologies SA

 

CHE

Gold (Au)

 

Metalor USA Refining Corporation

 

USA

Gold (Au)

 

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

 

MEX

Gold (Au)

 

Mitsubishi Materials Corporation

 

JPN

Gold (Au)

 

Mitsui Mining and Smelting Co., Ltd.

 

JPN

Gold (Au)

 

MMTC-PAMP India Pvt., Ltd.

 

IND

Gold (Au)

 

Modeltech Sdn Bhd

 

MYS

Gold (Au)

 

Morris and Watson

 

NZL

Gold (Au)

 

Morris and Watson Gold Coast

 

AUS

Gold (Au)

 

Moscow Special Alloys Processing Plant

 

RUS

Gold (Au)

 

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

 

TUR

Gold (Au)

 

Navoi Mining and Metallurgical Combinat

 

UZB

Gold (Au)

 

Nihon Material Co., Ltd.

 

JPN

Gold (Au)

 

Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH

 

AUT

Gold (Au)

 

Ohura Precious Metal Industry Co., Ltd.

 

JPN

Gold (Au)

 

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

 

RUS

Gold (Au)

 

OJSC Novosibirsk Refinery

 

RUS

Gold (Au)

 

PAMP SA

 

CHE

Gold (Au)

 

Pease & Curren

 

USA

Gold (Au)

 

Penglai Penggang Gold Industry Co., Ltd.

 

CHN

Gold (Au)

 

Planta Recuperadora de Metales SpA

 

CHL

Gold (Au)

 

Prioksky Plant of Non-Ferrous Metals

 

RUS

Gold (Au)

 

PT Aneka Tambang (Persero) Tbk

 

IDN

Gold (Au)

 

PX Précinox SA

 

CHE

Gold (Au)

 

Rand Refinery (Pty) Ltd.

 

ZAF

Gold (Au)

 

Remondis Argentia B.V.

 

NLD

 



 

Gold (Au)

 

Republic Metals Corporation

 

USA

Gold (Au)

 

Royal Canadian Mint

 

CAN

Gold (Au)

 

SAAMP

 

FRA

Gold (Au)

 

Sabin Metal Corp.

 

USA

Gold (Au)

 

Safimet S.p.A

 

ITA

Gold (Au)

 

SAFINA A.S.

 

CZE

Gold (Au)

 

Sai Refinery

 

IND

Gold (Au)

 

Samduck Precious Metals

 

KOR

Gold (Au)

 

SAMWON Metals Corp.

 

KOR

Gold (Au)

 

SAXONIA Edelmetalle GmbH

 

DEU

Gold (Au)

 

Schone Edelmetaal B.V.

 

NLD

Gold (Au)

 

SEMPSA Joyería Platería SA

 

ESP

Gold (Au)

 

Shandong Tiancheng Biological Gold Industrial Co., Ltd.

 

CHN

Gold (Au)

 

Shandong Zhaojin Gold & Silver Refinery Co., Ltd.

 

CHN

Gold (Au)

 

Sichuan Tianze Precious Metals Co., Ltd.

 

CHN

Gold (Au)

 

Singway Technology Co., Ltd.

 

TWN

Gold (Au)

 

So Accurate Group, Inc.

 

USA

Gold (Au)

 

SOE Shyolkovsky Factory of Secondary Precious Metals

 

RUS

Gold (Au)

 

Solar Applied Materials Technology Corp.

 

TWN

Gold (Au)

 

State Research Institute Center for Physical Sciences and Technology

 

LTU

Gold (Au)

 

Sudan Gold Refinery

 

SDN

Gold (Au)

 

Sumitomo Metal Mining Co., Ltd.

 

JPN

Gold (Au)

 

SungEel HiTech

 

KOR

Gold (Au)

 

T.C.A S.p.A

 

ITA

Gold (Au)

 

Tanaka Kikinzoku Kogyo K.K.

 

JPN

Gold (Au)

 

The Great Wall Gold and Silver Refinery of China

 

CHN

Gold (Au)

 

The Refinery of Shandong Gold Mining Co., Ltd.

 

CHN

Gold (Au)

 

Tokuriki Honten Co., Ltd.

 

JPN

Gold (Au)

 

Tongling Nonferrous Metals Group Co., Ltd.

 

CHN

Gold (Au)

 

Tony Goetz NV

 

BEL

Gold (Au)

 

TOO Tau-Ken-Altyn

 

KAZ

Gold (Au)

 

Torecom

 

KOR

Gold (Au)

 

Umicore Brasil Ltda.

 

BRA

Gold (Au)

 

Umicore Precious Metals Thailand

 

THA

Gold (Au)

 

Umicore S.A. Business Unit Precious Metals Refining

 

BEL

Gold (Au)

 

United Precious Metal Refining, Inc.

 

USA

Gold (Au)

 

Universal Precious Metals Refining ZMB

 

ZMB

 



 

Gold (Au)

 

Valcambi SA

 

CHE

Gold (Au)

 

Western Australian Mint trading as The Perth Mint

 

AUS

Gold (Au)

 

WIELAND Edelmetalle GmbH

 

DEU

Gold (Au)

 

Yamamoto Precious Metal Co., Ltd.

 

JPN

Gold (Au)

 

Yokohama Metal Co., Ltd.

 

JPN

Gold (Au)

 

Yunnan Copper Industry Co., Ltd.

 

CHN

Gold (Au)

 

Zhongyuan Gold Smelter of Zhongjin Gold Corporation

 

CHN

Gold (Au)

 

Zijin Mining Group Co., Ltd. Gold Refinery

 

CHN

Tantalum (Ta)

 

Changsha South Tantalum Niobium Co., Ltd.

 

CHN

Tantalum (Ta)

 

Conghua Tantalum and Niobium Smeltry

 

CHN

Tantalum (Ta)

 

D Block Metals, LLC

 

USA

Tantalum (Ta)

 

Duoluoshan

 

CHN

Tantalum (Ta)

 

E.S.R. Electronics

 

USA

Tantalum (Ta)

 

Exotech Inc.

 

USA

Tantalum (Ta)

 

F&X Electro-Materials Ltd.

 

CHN

Tantalum (Ta)

 

FIR Metals & Resource Ltd.

 

CHN

Tantalum (Ta)

 

Global Advanced Metals Aizu

 

JPN

Tantalum (Ta)

 

Global Advanced Metals Boyertown

 

USA

Tantalum (Ta)

 

Guangdong Zhiyuan New Material Co., Ltd.

 

CHN

Tantalum (Ta)

 

H.C. Starck Co., Ltd.

 

THA

Tantalum (Ta)

 

H.C. Starck GmbH Goslar

 

DEU

Tantalum (Ta)

 

H.C. Starck GmbH Laufenburg

 

DEU

Tantalum (Ta)

 

H.C. Starck Hermsdorf GmbH

 

DEU

Tantalum (Ta)

 

H.C. Starck Inc.

 

USA

Tantalum (Ta)

 

H.C. Starck Ltd.

 

JPN

Tantalum (Ta)

 

Hengyang King Xing Lifeng New Materials Co., Ltd.

 

CHN

Tantalum (Ta)

 

Hi-Temp Specialty Metals, Inc.

 

USA

Tantalum (Ta)

 

Jiangxi Dinghai Tantalum & Niobium Co., Ltd.

 

CHN

Tantalum (Ta)

 

Jiangxi Tuohong New Raw Material

 

CHN

Tantalum (Ta)

 

JiuJiang JinXin Nonferrous Metals Co., Ltd.

 

CHN

Tantalum (Ta)

 

Jiujiang Tanbre Co., Ltd.

 

CHN

Tantalum (Ta)

 

Jiujiang Zhongao Tantalum & Niobium Co., Ltd.

 

CHN

Tantalum (Ta)

 

KEMET Blue Metals

 

MEX

Tantalum (Ta)

 

KEMET Blue Powder

 

USA

Tantalum (Ta)

 

King-Tan Tantalum Industry Ltd.

 

CHN

Tantalum (Ta)

 

LSM Brasil S.A.

 

BRA

Tantalum (Ta)

 

Metallurgical Products India Pvt., Ltd.

 

IND

Tantalum (Ta)

 

Mitsui Mining & Smelting

 

JPN

 



 

Tantalum (Ta)

 

Molycorp Silmet A.S.

 

EST

Tantalum (Ta)

 

Ningxia Orient Tantalum Industry Co., Ltd.

 

CHN

Tantalum (Ta)

 

Plansee SE Liezen

 

AUT

Tantalum (Ta)

 

Plansee SE Reutte

 

AUT

Tantalum (Ta)

 

Power Resources Ltd.

 

MDK

Tantalum (Ta)

 

QuantumClean

 

USA

Tantalum (Ta)

 

RFH Tantalum Smeltry Co., Ltd.

 

CHN

Tantalum (Ta)

 

Solikamsk Magnesium Works OAO

 

RUS

Tantalum (Ta)

 

Taki Chemicals

 

JPN

Tantalum (Ta)

 

Telex Metals

 

USA

Tantalum (Ta)

 

Tranzact, Inc.

 

USA

Tantalum (Ta)

 

Ulba Metallurgical Plant JSC

 

KAZ

Tantalum (Ta)

 

XinXing HaoRong Electronic Material Co., Ltd.

 

CHN

Tantalum (Ta)

 

Yichun Jin Yang Rare Metal Co., Ltd.

 

CHN

Tantalum (Ta)

 

Zhuzhou Cemented Carbide

 

CHN

Tin (Sn)

 

Alpha

 

USA

Tin (Sn)

 

An Thai Minerals Company Limited

 

VNM

Tin (Sn)

 

An Vinh Joint Stock Mineral Processing Company

 

VNM

Tin (Sn)

 

Chenzhou Yunxiang Mining and Metallurgy Company Limited

 

CHN

Tin (Sn)

 

China Tin Group Co., Ltd.

 

CHN

Tin (Sn)

 

CNMC (Guangxi) PGMA Co., Ltd.

 

CHN

Tin (Sn)

 

Cooperativa Metalurgica de Rondônia Ltda.

 

BRA

Tin (Sn)

 

CV Ayi Jaya

 

IDN

Tin (Sn)

 

CV Dua Sekawan

 

IDN

Tin (Sn)

 

CV Gita Pesona

 

IDN

Tin (Sn)

 

CV Serumpun Sebalai

 

IDN

Tin (Sn)

 

CV Tiga Sekawan

 

IDN

Tin (Sn)

 

CV United Smelting

 

IDN

Tin (Sn)

 

CV Venus Inti Perkasa

 

IDN

Tin (Sn)

 

Dowa

 

JPN

Tin (Sn)

 

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

 

VNM

Tin (Sn)

 

Elmet S.L.U. (Metallo Group)

 

ESP

Tin (Sn)

 

EM Vinto

 

BOL

Tin (Sn)

 

Estanho de Rondônia S.A.

 

BRA

Tin (Sn)

 

Feinhütte Halsbrücke GmbH

 

DEU

Tin (Sn)

 

Fenix Metals

 

POL

 



 

Tin (Sn)

 

Gejiu Fengming Metalurgy Chemical Plant

 

CHN

Tin (Sn)

 

Gejiu Jinye Mineral Company

 

CHN

Tin (Sn)

 

Gejiu Kai Meng Industry and Trade LLC

 

CHN

Tin (Sn)

 

Gejiu Non-Ferrous Metal Processing Co., Ltd.

 

CHN

Tin (Sn)

 

Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.

 

CHN

Tin (Sn)

 

Gejiu Zili Mining And Metallurgy Co., Ltd.

 

CHN

Tin (Sn)

 

Guangdong Hanhe Non-Ferrous Metal Co., Ltd.

 

CHN

Tin (Sn)

 

Guanyang Guida Nonferrous Metal Smelting Plant

 

CHN

Tin (Sn)

 

HuiChang Hill Tin Industry Co., Ltd.

 

CHN

Tin (Sn)

 

Huichang Jinshunda Tin Co., Ltd.

 

CHN

Tin (Sn)

 

Jiangxi Ketai Advanced Material Co., Ltd.

 

CHN

Tin (Sn)

 

Magnu’s Minerais Metais e Ligas Ltda.

 

BRA

Tin (Sn)

 

Malaysia Smelting Corporation (MSC)

 

MYS

Tin (Sn)

 

Melt Metais e Ligas S/A

 

BRA

Tin (Sn)

 

Metallic Resources, Inc.

 

USA

Tin (Sn)

 

Metallo-Chimique N.V.

 

BEL

Tin (Sn)

 

Mineração Taboca S.A.

 

BRA

Tin (Sn)

 

Minsur

 

PER

Tin (Sn)

 

Nankang Nanshan Tin Manufactory Co., Ltd.

 

CHN

Tin (Sn)

 

Nghe Tinh Non-Ferrous Metals Joint Stock Company

 

VNM

Tin (Sn)

 

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

 

THA

Tin (Sn)

 

O.M. Manufacturing Philippines, Inc.

 

PHL

Tin (Sn)

 

Operaciones Metalurgical S.A.

 

BOL

Tin (Sn)

 

Phoenix Metal Ltd.

 

RWA

Tin (Sn)

 

PT Alam Lestari Kencana

 

IDN

Tin (Sn)

 

PT Aries Kencana Sejahtera

 

IDN

Tin (Sn)

 

PT Artha Cipta Langgeng

 

IDN

Tin (Sn)

 

PT ATD Makmur Mandiri Jaya

 

IDN

Tin (Sn)

 

PT Babel Inti Perkasa

 

IDN

Tin (Sn)

 

PT Bangka Kudai Tin

 

IDN

Tin (Sn)

 

PT Bangka Prima Tin

 

IDN

Tin (Sn)

 

PT Bangka Putra Karya

 

IDN

Tin (Sn)

 

PT Bangka Timah Utama Sejahtera

 

IDN

Tin (Sn)

 

PT Bangka Tin Industry

 

IDN

Tin (Sn)

 

PT Belitung Industri Sejahtera

 

IDN

Tin (Sn)

 

PT BilliTin Makmur Lestari

 

IDN

Tin (Sn)

 

PT Bukit Timah

 

IDN

Tin (Sn)

 

PT Cipta Persada Mulia

 

IDN

 



 

Tin (Sn)

 

PT DS Jaya Abadi

 

IDN

Tin (Sn)

 

PT Eunindo Usaha Mandiri

 

IDN

Tin (Sn)

 

PT Fang Di MulTindo

 

IDN

Tin (Sn)

 

PT Inti Stania Prima

 

IDN

Tin (Sn)

 

PT Justindo

 

IDN

Tin (Sn)

 

PT Karimun Mining

 

IDN

Tin (Sn)

 

PT Kijang Jaya Mandiri

 

IDN

Tin (Sn)

 

PT Lautan Harmonis Sejahtera

 

IDN

Tin (Sn)

 

PT Menara Cipta Mulia

 

IDN

Tin (Sn)

 

PT Mitra Stania Prima

 

IDN

Tin (Sn)

 

PT O.M. IDN

 

IDN

Tin (Sn)

 

PT Panca Mega Persada

 

IDN

Tin (Sn)

 

PT Prima Timah Utama

 

IDN

Tin (Sn)

 

PT Refined Bangka Tin

 

IDN

Tin (Sn)

 

PT Sariwiguna Binasentosa

 

IDN

Tin (Sn)

 

PT Stanindo Inti Perkasa

 

IDN

Tin (Sn)

 

PT Sukses Inti Makmur

 

IDN

Tin (Sn)

 

PT Sumber Jaya Indah

 

IDN

Tin (Sn)

 

PT Timah (Persero) Tbk Kundur

 

IDN

Tin (Sn)

 

PT Timah (Persero) Tbk Mentok

 

IDN

Tin (Sn)

 

PT Tinindo Inter Nusa

 

IDN

Tin (Sn)

 

PT Tirus Putra Mandiri

 

IDN

Tin (Sn)

 

PT Tommy Utama

 

IDN

Tin (Sn)

 

PT Wahana Perkit Jaya

 

IDN

Tin (Sn)

 

Resind Indústria e Comércio Ltda

 

BRA

Tin (Sn)

 

Rui Da Hung

 

TWN

Tin (Sn)

 

Soft Metais Ltda.

 

BRA

Tin (Sn)

 

Super Ligas

 

BRA

Tin (Sn)

 

Thaisarco

 

THA

Tin (Sn)

 

Tuyen Quang Non-Ferrous Metals Joint Stock Company

 

VNM

Tin (Sn)

 

VQB Mineral and Trading Group JSC

 

VNM

Tin (Sn)

 

White Solder Metalurgia e Mineração Ltda.

 

BRA

Tin (Sn)

 

Yunnan Chengfeng Non-ferrous Metals Co., Ltd.

 

CHN

Tin (Sn)

 

Yunnan Tin Group (Holding) Company Limited

 

CHN

Tungsten (W)

 

A.L.M.T. TUNGSTEN Corp.

 

JPN

Tungsten (W)

 

ACL Metais Eireli

 

BRA

Tungsten (W)

 

Asia Tungsten Products Vietnam Ltd.

 

VNM

Tungsten (W)

 

Chenzhou Diamond Tungsten Products Co., Ltd.

 

CHN

 



 

Tungsten (W)

 

Chongyi Zhangyuan Tungsten Co., Ltd.

 

CHN

Tungsten (W)

 

Dayu Jincheng Tungsten Industry Co., Ltd.

 

CHN

Tungsten (W)

 

Dayu Weiliang Tungsten Co., Ltd.

 

CHN

Tungsten (W)

 

Fujian Jinxin Tungsten Co., Ltd.

 

CHN

Tungsten (W)

 

Ganxian Shirui New Material Co., Ltd.

 

CHN

Tungsten (W)

 

Ganzhou Haichuang Tungsten Industry Co., Ltd.

 

CHN

Tungsten (W)

 

Ganzhou Huaxing Tungsten Products Co., Ltd.

 

CHN

Tungsten (W)

 

Ganzhou Jiangwu Ferrotungsten Co., Ltd.

 

CHN

Tungsten (W)

 

Ganzhou Non-ferrous Metals Smelting Co., Ltd.

 

CHN

Tungsten (W)

 

Ganzhou Seadragon W & Mo Co., Ltd.

 

CHN

Tungsten (W)

 

Ganzhou Yatai Tungsten Co., Ltd.

 

CHN

Tungsten (W)

 

Global Tungsten & Powders Corp.

 

USA

Tungsten (W)

 

Guangdong Xianglu Tungsten Co., Ltd.

 

CHN

Tungsten (W)

 

H.C. Starck GmbH

 

DEU

Tungsten (W)

 

H.C. Starck Smelting GmbH & Co.KG

 

DEU

Tungsten (W)

 

Hunan Chenzhou Mining Co., Ltd.

 

CHN

Tungsten (W)

 

Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji

 

CHN

Tungsten (W)

 

Hunan Chunchang Nonferrous Metals Co., Ltd.

 

CHN

Tungsten (W)

 

Hunan Litian Tungsten Industry Co., Ltd.

 

CHN

Tungsten (W)

 

Hydrometallurg, JSC

 

RUS

Tungsten (W)

 

Japan New Metals Co., Ltd.

 

JPN

Tungsten (W)

 

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

 

CHN

Tungsten (W)

 

Jiangxi Dayu Longxintai Tungsten Co., Ltd.

 

CHN

Tungsten (W)

 

Jiangxi Gan Bei Tungsten Co., Ltd.

 

CHN

Tungsten (W)

 

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

 

CHN

Tungsten (W)

 

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

 

CHN

Tungsten (W)

 

Jiangxi Xinsheng Tungsten Industry Co., Ltd.

 

CHN

Tungsten (W)

 

Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.

 

CHN

Tungsten (W)

 

Jiangxi Yaosheng Tungsten Co., Ltd.

 

CHN

Tungsten (W)

 

Kennametal Fallon

 

USA

Tungsten (W)

 

Kennametal Huntsville

 

USA

Tungsten (W)

 

Malipo Haiyu Tungsten Co., Ltd.

 

CHN

Tungsten (W)

 

Moliren Ltd

 

RUS

Tungsten (W)

 

Moliren Ltd

 

RUS

Tungsten (W)

 

Niagara Refining LLC

 

USA

Tungsten (W)

 

Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC

 

VNM

 



 

Tungsten (W)

 

Philippine Chuangin Industrial Co., Inc.

 

PHL

Tungsten (W)

 

Sanher Tungsten Vietnam Co., Ltd.

 

VNM

Tungsten (W)

 

South-East Nonferrous Metal Company Limited of Hengyang City

 

CHN

Tungsten (W)

 

Tejing (Vietnam) Tungsten Co., Ltd.

 

VNM

Tungsten (W)

 

Unecha Refractory Metals Plant

 

RUS

Tungsten (W)

 

Vietnam Youngsun Tungsten Industry Co., Ltd.

 

VNM

Tungsten (W)

 

Wolfram Bergbau und Hütten AG

 

AUT

Tungsten (W)

 

Woltech Korea Co., Ltd.

 

KOR

Tungsten (W)

 

Xiamen Tungsten (H.C.) Co., Ltd.

 

CHN

Tungsten (W)

 

Xiamen Tungsten Co., Ltd.

 

CHN

Tungsten (W)

 

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

 

CHN

Tungsten (W)

 

Xinhai Rendan Shaoguan Tungsten Co., Ltd.

 

CHN

 



 

Schedule B

 

Countries of Origin

 

Argentina

Australia

Austria

Benin

Bolivia (Plurinational State of)

Brazil

Burkina Faso

Burundi

Cambodia

Canada

Chile

China

Colombia

Congo, Democratic Republic of the

Ecuador

Eritrea

Ethiopia

France

Germany

Ghana

Guatemala

Guinea

Guyana

Honduras

India

Indonesia

Japan

Kazakhstan

Laos

Madagascar

Malaysia

Mali

Mexico

Mongolia

Mozambique

Myanmar

Namibia

Nicaragua

Nigeria

Panama

Peru

Portugal

Russian Federation

Rwanda

Senegal

Sierra Leone

South Africa

Spain

Thailand

Togo

Uganda

United Kingdom of Great Britain and Northern Ireland

United States of America

Uzbekistan

Viet Nam

Zimbabwe