0000040545-20-000029.txt : 20200601 0000040545-20-000029.hdr.sgml : 20200601 20200601100709 ACCESSION NUMBER: 0000040545-20-000029 CONFORMED SUBMISSION TYPE: SD PUBLIC DOCUMENT COUNT: 4 13p-1 1.01 20191231 1.02 20191231 FILED AS OF DATE: 20200601 DATE AS OF CHANGE: 20200601 FILER: COMPANY DATA: COMPANY CONFORMED NAME: GENERAL ELECTRIC CO CENTRAL INDEX KEY: 0000040545 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRONIC & OTHER ELECTRICAL EQUIPMENT (NO COMPUTER EQUIP) [3600] IRS NUMBER: 140689340 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SD SEC ACT: 1934 Act SEC FILE NUMBER: 001-00035 FILM NUMBER: 20931489 BUSINESS ADDRESS: STREET 1: 5 NECCO STREET CITY: BOSTON STATE: MA ZIP: 02210 BUSINESS PHONE: 617-443-3000 MAIL ADDRESS: STREET 1: 5 NECCO STREET CITY: BOSTON STATE: MA ZIP: 02210 SD 1 geformsd2019.htm SD Document


UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

FORM SD
Specialized Disclosure Report

sdimage1a03.jpg

General Electric Company
(Exact name of the registrant as specified in its charter)

New York
001-00035
14-0689340
(State or other jurisdiction of incorporation)
(Commission File Number)
(IRS Employer Identification No.)
    

5 Necco Street, Boston, MA
02210
(Address of principal executive offices)
(Zip code)

Christoph A. Pereira
(617) 443-3000
(Name and telephone number, including area code, of the person to contact in connection with this report.)
Check the appropriate box to indicate the rule pursuant to which this form is being filed, and provide the period to which the information in this form applies:
þ
Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2019





SECTION 1 - CONFLICT MINERALS DISCLOSURE
Item 1.01    Conflict Minerals Disclosure and Report
Conflict Minerals Disclosure
A copy of the General Electric Company 2019 Conflict Minerals Report is filed as Exhibit 1.01 hereto and is publicly available at https://www.ge.com/sustainability/reports-hub.
Item 1.02    Exhibit
The General Electric Company 2019 Conflict Minerals Report described in Item 1.01 is filed as Exhibit 1.01 to this Form SD.
SECTION 2 – EXHIBITS
Item 2.01    Exhibits
Exhibit 1.01 – General Electric Company 2019 Conflict Minerals Report


2


SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the duly authorized undersigned.


General Electric Company
(Registrant)


By:
/s/ Michael J. Holston
 
June 1, 2020
 
Michael J. Holston
 
(Date)
 
Senior Vice President, General Counsel & Secretary
 
 


3
EX-1.01 2 geconflictmineralsreportcy.htm EXHIBIT 1.01 Exhibit



General Electric Company
sdimage1a04.jpg
2019 Conflict Minerals Report
Introduction
General Electric Company (“GE” or the “Company”) has prepared this Conflict Minerals Report (“Report”) for the year ended December 31, 2019, as provided for in Rule 13p-1 of the Securities Exchange Act of 1934, as amended, and Form SD (collectively, the “Conflict Minerals Rule”). GE manufactures a wide range of products that contain tin, tantalum, tungsten or gold (“3TG”) but GE does not purchase ore or unrefined 3TG from mines and generally is many steps removed in the supply chain from the mining of these minerals. We purchase materials from a wide network of suppliers and rely on them to assist with our reasonable country of origin inquiry regarding the 3TG that are necessary to the functionality or production of products we manufacture. After performing our reasonable country of origin inquiry and due diligence for 2019, we have reason to believe that a portion of the 3TG used in our products may have originated in the Democratic Republic of the Congo or an adjoining country (collectively, the “Covered Countries”) and may not be solely from recycled or scrap sources and we are therefore submitting this Report, which describes the due diligence we have performed pursuant to the Conflict Minerals Rule and our related processes and procedures.
This Report describes:
the due diligence we performed for 2019, including the steps we took to mitigate the risk that 3TG in our products benefit armed groups;
the products that we have reason to believe might contain 3TG originating from the Covered Countries; and
information about the processing facilities and countries of origin of 3TG used in those products.

Reasonable Country of Origin Inquiry and Due Diligence Process
Design of GE’s due diligence measures
GE has adopted Conflict Minerals Guidelines (the “Guidelines”) outlining the design of our 3TG due diligence process, based on our broader ethical supply chain program. The Guidelines describe procedures that each GE business is expected to use to perform due diligence on the origin and sourcing of 3TG contained in products we manufacture. The Guidelines conform in material respects to the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas including, the Supplement on Tin, Tantalum, and Tungsten and the Supplement on Gold (Third Edition) (the “OECD Guidance”), and the Guidelines are periodically reviewed and updated with enhancements to the due diligence program.


1


This description of due diligence measures refers to measures performed by GE Corporate and by the GE businesses. In July 2017, our legacy Oil & Gas business merged with Baker Hughes Incorporated, forming a new entity, currently known as Baker Hughes Company (“BKR”) and in September 2019, we deconsolidated our BKR segment. In June 2018, we completed the sale of our Industrial Solutions business to ABB Ltd (“ABB”) and in February 2019, we completed the spin-off and subsequent merger of our Transportation segment with Wabtec Corporation (“Wabtec”). For due diligence measures information regarding our legacy BKR segment, the Industrial Solutions business and our legacy Transportation segment, please refer to the Form SD filings by each of BKR, ABB and Wabtec respectively. In April 2019, we completed the sale of GE Current to American Industrial Partners, and this Report includes due diligence measures related to the legacy GE Current business.

This description is presented pursuant to the organizational structure of the Five-Step Framework for Risk-Based Due Diligence in the Mineral Supply Chain contained in the OECD Guidance.
Step 1:     Establish strong company management systems
A.
Adopt and commit to a supply chain policy for minerals originating from conflict-affected and high-risk areas
The Guidelines contain the operative provisions of GE’s Statement on Conflict Minerals, which can be found on GE’s website, as well as the process for ensuring that risks are adequately managed. The Guidelines were created and disseminated by the Company’s 3TG Working Group (described below) and provide details for the execution of GE’s 3TG due diligence process, including guidance for situational decision making and escalation processes regarding supplier behavior. Additional GE policies that relate to the due diligence measures contained in the OECD Guidance are incorporated into GE’s code of conduct, The Spirit & The Letter, which can be found on GE’s website (for each of these materials, see “Where You Can Find Additional Information” below).
B.
Structure internal management systems to support supply chain due diligence
3TG Working Group. The Company has established a 3TG Working Group, which includes representatives from Corporate and each of the GE businesses, with representation from functions such as supply chain and legal. The 3TG Working Group meets regularly throughout the year, to discuss design and modification of the 3TG due diligence process (including potential enhancements to the due diligence program), share best practices among the businesses, and monitor progress of the 3TG due diligence process. The 3TG Working Group is also responsible for reviewing and implementing the Guidelines annually. In 2019, the 3TG Working Group took initial steps to expand our supply chain due diligence to include cobalt.
GE Corporate. GE’s Global Law & Policy organization has oversight responsibility for GE’s Statement on Conflict Minerals, including the establishment of processes and procedures to carry out this statement.
GE businesses. Each GE business has:
established a system to support 3TG due diligence of its supply chain;
documented that system in a written business program; and
assigned responsibility for the execution of the business program to specific personnel.
Internal reporting. For 2019, GE Corporate used the following 3TG due diligence reporting mechanisms:


2


Reporting within GE businesses to sourcing leaders: Each GE business conducted one or more reviews of its 3TG due diligence program with senior management within its sourcing organization, covering supply chain risks and efforts to achieve supply chain transparency; and
Communicating across GE businesses: The Company’s 3TG Working Group held regularly scheduled meetings throughout the year, with representation from functions such as supply chain management, legal, and corporate responsibility.

C.
Establish a system of controls and transparency over the 3TG supply chain
Identifying suppliers. Each GE business identified:
Relevant Suppliers: suppliers that provide inputs to GE products that are known or are likely to contain 3TG through a process that is based on an examination of internal records such as bills of material or other product specifications, a qualitative review of sourcing records, or information provided by the supplier; and
Significant Suppliers: those suppliers within the universe of Relevant Suppliers that are most significant to GE’s 3TG due diligence program, using criteria developed by each business, such as the amount of sourcing spend with the supplier.
Identifying smelters and refiners in the supply chain. Each GE business identified all smelters and refiners of 3TG that are first-tier suppliers to GE and used its best efforts to identify additional smelters and refiners by surveying Significant Suppliers, either directly or indirectly through an independent third-party supply chain expert, using the Responsible Minerals Initiative’s (“RMI”) Conflict Minerals Reporting Template (“CMRT”). The survey tools are designed to collect, manage and archive supplier information relevant for 3TG due diligence including, among other things, the identity of smelters or refiners (“SORs”) of 3TG in each supplier’s supply chain, as well as information concerning their related compliance efforts. Each GE business reviews supplier responses for completeness, accuracy and plausibility and follows up with Significant Suppliers whose survey responses are identified as having potentially incomplete or inaccurate information, in order to seek more complete information.
Conducting a reasonable country of origin inquiry (“RCOI”). In connection with our due diligence, we utilize and rely on information made available through the Responsible Minerals Assurance Process (“RMAP”) administered by RMI, concerning independent third-party audits of smelters and refiners to assess smelter and refiner due diligence and to identify countries of origin. Where the data showed that ores utilized by one or more of these smelters or refiners were potentially sourced from a Covered Country, GE concluded that there is reason to believe that 3TG from the Covered Countries may be present in the products for which such smelters or refiners were reported as potentially in the supply chain. Due to business confidentiality and other competitive concerns, as recognized by the OECD Guidance, the RMI does not publish detailed information on specific mines and location of origin of ores that supply the SORs subject to verification reviews. Consequently, no such information is provided in this Report. RMI’s efforts to determine such information is described on the RMI website (see “Where You Can Find Additional Information” below). In addition, certain Significant Suppliers provided CMRTs with mine or location of origin information, and that information was also included in our RCOI.
Records retention. We have a records retention policy providing for the maintenance on a computerized database of business records relating to 3TG due diligence, including records of due diligence processes, findings and resulting decisions, for at least five years.
D.
Strengthen company engagement with suppliers
Regular communications. GE regularly communicates its expectations on responsible supply chains of 3TG by transmitting surveys and other communications from the sourcing organizations of the GE businesses


3


to Significant Suppliers and other Relevant Suppliers. In addition, we encourage our suppliers to participate in training on GE’s 3TG due diligence program and other appropriate third-party training to enhance the accuracy and quality of the information that suppliers provide to us.
Contractual obligations. Each GE business has standard vendor terms and conditions that contractually obligate all suppliers to (1) adopt policies and establish systems to procure 3TG from sources that have been verified as conflict free; and (2) provide supporting data on their 3TG supply chains to GE when requested, on a platform to be designated by GE. These obligations are reflected in GE’s Integrity Guide for Suppliers, Contractors and Consultants (“Integrity Guide”), which can be found on GE’s website (see “Where You Can Find Additional Information” below). Purchase order and contract terms and conditions in use by GE businesses require suppliers to conform their behavior to the Integrity Guide, and generally provide GE with audit rights and the right to terminate the contract in the event of material non-compliance.

E.
Establish a company-level grievance mechanism
Integrity Guide. The Integrity Guide provides multiple methods for suppliers and supplier personnel to raise concerns about matters that are subject to the Integrity Guide, including GE’s expectations of suppliers regarding 3TG due diligence.
Open reporting system. Each GE business also has an open reporting system through which employees and third parties may report concerns about policy violations, including concerns related to our 3TG policies. Concerns can be reported anonymously or for attribution through several channels, including any compliance resource (e.g. GE legal counsel or auditor), by calling the GE Corporate Ombuds line at (800) 227-5003, or by emailing the GE Ombudsperson at ombudsperson@corporate.ge.com.
No retaliation. Both the Integrity Guide and the open reporting system forbid retaliation against any person reporting an integrity concern.
Step 2:     Identify and assess risks in the supply chain
A.
Use best efforts to identify the smelters and refiners in the supply chain
During 2019, using the processes described above under “Establish a system of controls and transparency over the 3TG supply chain,” GE businesses identified 6,935 Relevant Suppliers (down from 8,453 in 2018), including 2,518 Significant Suppliers (down from 4,615 in 2018). These year-over-year changes are primarily the result of business dispositions described above under “Design of GE’s due diligence measures”. The businesses followed up with the Significant Suppliers that did not respond to the request within the specified time frame. The information was requested from each Significant Supplier multiple times by email and phone, to the extent the supplier continued to be non-responsive. Our Significant Suppliers, mostly reporting at a company level, identified 307 SORs that were potentially in their supply chains (versus 322 in 2018). See Table A below for a list of these SORs and a summary of their validation status under the RMAP.
B.
Identify the scope of the risk assessment of the 3TG supply chain
Engaging with suppliers. GE’s 3TG supplier survey asks suppliers to identify smelters and refiners of 3TG in their supply chains. For Significant Suppliers that are identified as either not having a responsible 3TG sourcing policy or not implementing due diligence measures for conflict-free sourcing, we encourage those suppliers to implement such measures. We seek to engage all Significant Suppliers to encourage the smelters and refiners in their supply chains to become validated as Conformant (as defined below) by the RMAP or a similar program.
GE seeks to continuously improve 3TG due diligence efforts to reduce 3TG supply chain risk by encouraging suppliers to source from Conformant smelters and refiners. As a result, 77% of the smelters and


4


refiners identified by our Significant Suppliers have been verified as Conformant (up from 35% in 2013, when we started our 3TG due diligence program). In addition, the sourcing organizations of GE’s businesses provided specialized training to suppliers on GE’s 3TG due diligence program.
Engaging with smelters and refiners. In addition to engaging with smelters and refiners through the RMAP, GE’s Healthcare business buys tungsten and tantalum products directly from smelters (the “first-tier smelters”). The Healthcare business periodically reviews the audit status of the first-tier smelters and encourages them to maintain RMI Conformant status. See “Devise and adopt a risk management plan” below for additional information on our engagement efforts.

C.
Assess whether the smelters/refiners have carried out all elements of due diligence for responsible supply chains of 3TG from conflict-affected and high-risk areas
We review the smelter and refiner information provided by the Significant Suppliers against the Smelter Look-up tab list of the CMRT and to the extent that a SOR identified by a Significant Supplier is not on that list, we take additional steps to verify whether the listed entity is a SOR. Identified SORs were reviewed against the RMI’s list of Conformant and Active (as defined below) smelters and refiners. If a SOR identified by a Significant Supplier is not listed as Conformant, or equivalent by another RMI cross-recognized, independent third-party audit program, we consult publicly available information or through industry associations, we attempt to contact the SOR to attempt to determine whether that SOR has a responsible 3TG sourcing process.
D.
Where necessary, carry out joint spot checks at the mineral smelter or refiner’s own facilities (including through participation in industry-driven programs)
First-tier suppliers. Each GE business is responsible for confirming that each of its first-tier suppliers that are smelters and refiners (if any):
has a policy and procedures to eliminate sourcing of conflict-supporting 3TG;
has been subject to an audit of the origin of their 3TG supplies conducted in accordance with OECD Guidance or has made a firm commitment to undergo such an audit as soon as it can be scheduled; and
passes the audit as being conflict-free or, having failed the audit, has established and put into place a plan to correct process deficiencies.
Lower-tier (upstream) suppliers. In accordance with OECD Guidance, including its audit recommendations for downstream companies, GE implements upstream audits by participating in and cooperating with industry organizations. GE is a member of RMI (member code GECO) and has, periodically, supported RMI through membership on various committees and working groups. As such, GE relies on RMI to conduct risk assessment at the upstream level. For each smelter identified in its supply chain at the first or lower tiers, each GE business assesses the information available from RMI and an independent third-party supply chain expert to determine whether there are any high-risk (as defined below) smelters or refiners and, if needed, develops a corrective action plan. We encourage removing any high-risk smelters from our supply chain.
Step 3:     Design and implement a strategy to respond to identified risks
A.
Report findings to designated senior management
See “Structure internal management systems to support supply chain due diligence” above for a description of GE’s 3TG due diligence internal reporting processes.
B.
Devise and adopt a risk management plan


5


Each GE business compiles a report of 3TG risks identified in its supply chain for review by the GE business executive-level program owner to determine appropriate steps to mitigate risks identified during the 3TG due diligence process. In 2019, these steps focused on encouraging Significant Suppliers who identified high-risk SORs to remove them from their supply chains. A high-risk SOR is one for which there are credible reports that such SOR sources materials in a manner that directly or indirectly finances armed conflict. For Significant Suppliers who identified high-risk SORs, the relevant GE business sent such supplier a letter requesting: (1) that that supplier confirm whether these SORs are in fact in their supply chain, and if so, whether such materials are used in GE products, (2) that the supplier encourage these SORs to participate in the RMAP and (3) that if a SOR refuses to participate in the RMAP, such supplier should develop a plan to remove the SOR from its supply chain.

To the extent that identified SORs are not Conformant, we seek to exercise leverage over these SORs to become Conformant through our participation in and support of the RMI. We also utilize information provided by the RMI to its members to monitor smelter and refiner improvement. In addition, in 2019, the Aerospace Industries Association, of which GE is a member, sent a letter to a number of SORs in the aerospace industry supply chain urging them to conduct due diligence on the origin of 3TG in their supply chains, and to become validated as Conformant with the RMAP or validated as conflict-free under a similar program.
Step 4:
Carry out independent 3rd party audit of smelter/refiner’s due diligence practices
See “Where necessary, carry out joint spot checks at the mineral smelter or refiner’s own facilities (including through participation in industry-driven programs)” above for a discussion of how GE conducted risk assessment at the upstream level.
Step 5:     Report annually on supply chain due diligence
We file this Report annually, and a copy of it is available at https://www.ge.com/sustainability/reports-hub.
RCOI and Due Diligence Results
GE manufactures a wide range of products that contain 3TG. For a description of the products manufactured by GE in 2019, see the products description for each of our industrial businesses on pages 9-20 of our 2019 Annual Report on Form 10-K, which you can find at https://www.ge.com/investor-relations/annual-report.
GE purchases materials from a wide network of suppliers so we necessarily rely on them to assist with our due diligence process. After performing an RCOI and due diligence for 2019, we have reason to believe that tungsten sourced from first-tier smelters may be sourced from a Covered Country however those smelters were verified as conformant by the RMI. Based on information RMI makes available to its members, we have reason to believe that some of the necessary 3TG in our products were sourced from Covered Countries. We are unaware and have no knowledge that any of the necessary 3TG contained in our in-scope products directly or indirectly financed or benefitted armed groups in a Covered Country but make no assertion that any of our products are “DRC conflict free.”
SORs Used to Process 3TG in GE Products
GE obtained information about the SORs used to process 3TG in our products through the due diligence measures described in this Report. Based on our due diligence for 2019, 77% of the smelters and refiners identified by our Significant Suppliers have been verified as Conformant (up from 35% in 2013, when we started our 3TG due diligence program). This is a slight decrease from the percentage of SORs verified as Conformant in


6


2018. This decrease was driven by the fact that several of the previously Conformant tin smelters located in Indonesia and identified as potentially in our supply chain ceased operations during the past year due to regulatory changes, and thus are no longer included in this Report. Of our first-tier smelters for 2019, 100% have been verified as Conformant. Table A provides a list of the first-tier smelters as well as the SORs that GE’s Significant Suppliers identified as being present in their supply chains and that may have processed 3TG contained in in-scope GE products.
Countries of Origin of 3TG in GE Products
GE relies on information RMI makes available to its members to obtain information about the country of origin and mine or location of origin of 3TG. Table B below contains a list of known countries of origin of 3TG used by SORs that GE suppliers identified as potentially being present in their supply chains.

In addition, certain Significant Suppliers provided CMRTs with additional mine or location of origin information, and that information is marked with an asterisk in Table B, because it has not been verified by the RMI or an equivalent third-party). For 2019, most Significant Suppliers provided company level responses, which may include country of origin information for parts not sold to GE. Therefore, we are unable to determine whether any 3TG in GE products was actually sourced from the countries listed in Table B. For 2019, we were not able to determine the country of origin for the 3TG processed by any of the smelters or refiners listed as “Active” or “On Smelter Look-up Tab List Only.”
 
Future Risk Mitigation Efforts
2020 actions to improve due diligence and supplier engagement. GE intends to take the following steps in 2020 to improve 3TG due diligence and thereby mitigate the risk that 3TG contained in in-scope GE products may benefit armed groups:
continue communication with suppliers and spread best practices learned during execution of the 3TG due diligence process in 2019 across the GE businesses to continue to work to improve the percentage of Significant Suppliers responding to GE’s supply chain surveys and the quality of their responses;
continue to request that certain Significant Suppliers that provided company level information for 2019 provide product level information for 2020, through ongoing outreach with these Significant Suppliers;
continue the identification of and communication with smelters and refiners in GE’s supply chain, both directly and indirectly through GE’s Significant Suppliers, in order to continue to increase the number of smelters and refiners that participate in the RMAP;
continue to participate in industry initiatives encouraging responsible supply chains, including initiatives to add cobalt and other minerals to the scope; and
as new Significant Suppliers are added, work with these suppliers to help ensure that they understand our compliance requirements, the requirements of the Conflict Minerals Rule and the OECD Guidance.



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Annex A

Capitalized terms used and not otherwise defined in this Annex have the meanings set forth in the Conflict Minerals Report of which this Annex is a part.
Table A
(as of May 06, 2020)
Summary of Smelters and Refiners

 
A. RMI Conformant Smelters & Refiners
B. RMI Active Smelters & Refiners
C. On Smelter Look-up Tab List Only
Smelters & Refiners
Total
 
2018
2019
2018
2019
2018
2019
2018
2019
Tantalum
40
38
0
0
0
0
40
38
Tin
75
47
2
1
9
10
86
58
Tungsten
40
43
1
5
2
4
43
52
Gold
101
107
4
1
48
51
153
159
Total
256
235
7
7
59
65
322
307

We note the following in connection with the information contained in the foregoing table:
(1)
The smelters and refiners reflected in the table were first-tier smelters or were identified by our Significant Suppliers as potentially being part of our 2019 supply chain. However, not all of the included SORs may have processed the necessary 3TG contained in the in-scope products that we manufactured, since many Significant Suppliers reported to us at a “company level” the 3TG contained in all of their products, not just those in the products that they sold to us. Some Significant Suppliers also may have reported to us SORs that were not in our supply chain due to over-inclusiveness in the information received from their suppliers or for other reasons. In addition, the SORs reflected above may not be all of the SORs in our supply chain, since many Significant Suppliers were unable to identify all of the SORs used to process the necessary 3TG content contained in the in-scope products that we manufactured and not all of the Significant Suppliers responded to our inquiries.
(2)
“Conformant” means that a smelter or refiner was audited by the RMI and has been found to be conformant with the RMAP.
(3)
“Active” means participants in the RMAP that have committed to undergo an assessment and have scheduled the assessment date or are participating in one of the cross-recognized certification programs.
(4)
A smelter or refiner is listed as “On Smelter Look-up Tab List Only” if it was not Conformant or Active but appears on the Smelter Look-up tab of the CMRT.
(5)
The compliance status information reflected in the table is based solely on information made available by the RMI to its members, without independent verification by us.




A-1


Status of Identified Smelters and Refiners for 2019
Metal
Smelter/Refiner Name
Smelter/Refiner Location
Status
Gold
8853 S.p.A.
ITALY
Conformant
Gold
Advanced Chemical Company
UNITED STATES OF AMERICA
Conformant
Gold
Aida Chemical Industries Co., Ltd.
JAPAN
Conformant
Gold
Al Etihad Gold Refinery DMCC
UNITED ARAB EMIRATES
Conformant
Gold
Allgemeine Gold-und Silberscheideanstalt A.G.
GERMANY
Conformant
Gold
Almalyk Mining and Metallurgical Complex (AMMC)
UZBEKISTAN
Conformant
Gold
AngloGold Ashanti Corrego do Sitio Mineracao
BRAZIL
Conformant
Gold
Argor-Heraeus S.A.
SWITZERLAND
Conformant
Gold
Asahi Pretec Corp.
JAPAN
Conformant
Gold
Asahi Refining Canada Ltd.
CANADA
Conformant
Gold
Asahi Refining USA Inc.
UNITED STATES OF AMERICA
Conformant
Gold
Asaka Riken Co., Ltd.
JAPAN
Conformant
Gold
AU Traders and Refiners
SOUTH AFRICA
Conformant
Gold
Aurubis AG
GERMANY
Conformant
Gold
Bangalore Refinery
INDIA
Conformant
Gold
Bangko Sentral ng Pilipinas (Central Bank of the Philippines)
PHILIPPINES
Conformant
Gold
Boliden AB
SWEDEN
Conformant
Gold
C. Hafner GmbH + Co. KG
GERMANY
Conformant
Gold
CCR Refinery - Glencore Canada Corporation
CANADA
Conformant
Gold
Cendres + Metaux S.A.
SWITZERLAND
Conformant
Gold
Chimet S.p.A.
ITALY
Conformant
Gold
Chugai Mining
JAPAN
Conformant
Gold
DODUCO Contacts and Refining GmbH
GERMANY
Conformant
Gold
Dowa
JAPAN
Conformant
Gold
DS PRETECH Co., Ltd.
KOREA, REPUBLIC OF
Conformant
Gold
DSC (Do Sung Corporation)
KOREA, REPUBLIC OF
Conformant
Gold
Eco-System Recycling Co., Ltd. East Plant
JAPAN
Conformant
Gold
Eco-System Recycling Co., Ltd. North Plant
JAPAN
Conformant
Gold
Eco-System Recycling Co., Ltd. West Plant
JAPAN
Conformant
Gold
Emirates Gold DMCC
UNITED ARAB EMIRATES
Conformant
Gold
Geib Refining Corporation
UNITED STATES OF AMERICA
Conformant
Gold
Gold Refinery of Zijin Mining Group Co., Ltd.
CHINA
Conformant
Gold
Heimerle + Meule GmbH
GERMANY
Conformant
Gold
Heraeus Metals Hong Kong Ltd.
CHINA
Conformant
Gold
Heraeus Precious Metals GmbH & Co. KG
GERMANY
Conformant
Gold
Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.
CHINA
Conformant
Gold
Ishifuku Metal Industry Co., Ltd.
JAPAN
Conformant
Gold
Istanbul Gold Refinery
TURKEY
Conformant
Gold
Italpreziosi
ITALY
Conformant
Gold
Japan Mint
JAPAN
Conformant


A-2


Gold
Jiangxi Copper Co., Ltd.
CHINA
Conformant
Gold
JSC Uralelectromed
RUSSIAN FEDERATION
Conformant
Gold
JX Nippon Mining & Metals Co., Ltd.
JAPAN
Conformant
Gold
Kazzinc
KAZAKHSTAN
Conformant
Gold
Kennecott Utah Copper LLC
UNITED STATES OF AMERICA
Conformant
Gold
KGHM Polska Miedz Spolka Akcyjna
POLAND
Conformant
Gold
Kojima Chemicals Co., Ltd.
JAPAN
Conformant
Gold
Korea Zinc Co., Ltd.
KOREA, REPUBLIC OF
Conformant
Gold
Kyrgyzaltyn JSC
KYRGYZSTAN
Conformant
Gold
L'Orfebre S.A.
ANDORRA
Conformant
Gold
LS-NIKKO Copper Inc.
KOREA, REPUBLIC OF
Conformant
Gold
LT Metal Ltd.
KOREA, REPUBLIC OF
Conformant
Gold
Marsam Metals
BRAZIL
Conformant
Gold
Materion
UNITED STATES OF AMERICA
Conformant
Gold
Matsuda Sangyo Co., Ltd.
JAPAN
Conformant
Gold
Metalor Technologies (Hong Kong) Ltd.
CHINA
Conformant
Gold
Metalor Technologies (Singapore) Pte., Ltd.
SINGAPORE
Conformant
Gold
Metalor Technologies (Suzhou) Ltd.
CHINA
Conformant
Gold
Metalor Technologies S.A.
SWITZERLAND
Conformant
Gold
Metalor USA Refining Corporation
UNITED STATES OF AMERICA
Conformant
Gold
Metalurgica Met-Mex Penoles S.A. De C.V.
MEXICO
Conformant
Gold
Mitsubishi Materials Corporation
JAPAN
Conformant
Gold
Mitsui Mining and Smelting Co., Ltd.
JAPAN
Conformant
Gold
MMTC-PAMP India Pvt., Ltd.
INDIA
Conformant
Gold
Moscow Special Alloys Processing Plant
RUSSIAN FEDERATION
Conformant
Gold
Nadir Metal Rafineri San. Ve Tic. A.S.
TURKEY
Conformant
Gold
Nihon Material Co., Ltd.
JAPAN
Conformant
Gold
Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH
AUSTRIA
Conformant
Gold
Ohura Precious Metal Industry Co., Ltd.
JAPAN
Conformant
Gold
OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)
RUSSIAN FEDERATION
Conformant
Gold
OJSC Novosibirsk Refinery
RUSSIAN FEDERATION
Conformant
Gold
PAMP S.A.
SWITZERLAND
Conformant
Gold
Planta Recuperadora de Metales SpA
CHILE
Conformant
Gold
Prioksky Plant of Non-Ferrous Metals
RUSSIAN FEDERATION
Conformant
Gold
PT Aneka Tambang (Persero) Tbk
INDONESIA
Conformant
Gold
PX Precinox S.A.
SWITZERLAND
Conformant
Gold
Rand Refinery (Pty) Ltd.
SOUTH AFRICA
Conformant
Gold
REMONDIS PMR B.V.
NETHERLANDS
Conformant
Gold
Royal Canadian Mint
CANADA
Conformant
Gold
SAAMP
FRANCE
Conformant
Gold
Safimet S.p.A
ITALY
Conformant
Gold
Samduck Precious Metals
KOREA, REPUBLIC OF
Conformant


A-3


Gold
SAXONIA Edelmetalle GmbH
GERMANY
Conformant
Gold
SEMPSA Joyeria Plateria S.A.
SPAIN
Conformant
Gold
Shandong Zhaojin Gold & Silver Refinery Co., Ltd.
CHINA
Conformant
Gold
Sichuan Tianze Precious Metals Co., Ltd.
CHINA
Conformant
Gold
Singway Technology Co., Ltd.
TAIWAN, PROVINCE OF CHINA
Conformant
Gold
SOE Shyolkovsky Factory of Secondary Precious Metals
RUSSIAN FEDERATION
Conformant
Gold
Solar Applied Materials Technology Corp.
TAIWAN, PROVINCE OF CHINA
Conformant
Gold
Sumitomo Metal Mining Co., Ltd.
JAPAN
Conformant
Gold
SungEel HiMetal Co., Ltd.
KOREA, REPUBLIC OF
Conformant
Gold
T.C.A S.p.A
ITALY
Conformant
Gold
Tanaka Kikinzoku Kogyo K.K.
JAPAN
Conformant
Gold
The Refinery of Shandong Gold Mining Co., Ltd.
CHINA
Conformant
Gold
Tokuriki Honten Co., Ltd.
JAPAN
Conformant
Gold
TOO Tau-Ken-Altyn
KAZAKHSTAN
Conformant
Gold
Torecom
KOREA, REPUBLIC OF
Conformant
Gold
Umicore Brasil Ltda.
BRAZIL
Conformant
Gold
Umicore Precious Metals Thailand
THAILAND
Conformant
Gold
Umicore S.A. Business Unit Precious Metals Refining
BELGIUM
Conformant
Gold
United Precious Metal Refining, Inc.
UNITED STATES OF AMERICA
Conformant
Gold
Valcambi S.A.
SWITZERLAND
Conformant
Gold
Western Australian Mint (T/a The Perth Mint)
AUSTRALIA
Conformant
Gold
WIELAND Edelmetalle GmbH
GERMANY
Conformant
Gold
Yamakin Co., Ltd.
JAPAN
Conformant
Gold
Yokohama Metal Co., Ltd.
JAPAN
Conformant
Gold
Zhongyuan Gold Smelter of Zhongjin Gold Corporation
CHINA
Conformant
Tantalum
Asaka Riken Co., Ltd.
JAPAN
Conformant
Tantalum
Changsha South Tantalum Niobium Co., Ltd.
CHINA
Conformant
Tantalum
CP Metals Inc.
UNITED STATES OF AMERICA
Conformant
Tantalum
D Block Metals, LLC
UNITED STATES OF AMERICA
Conformant
Tantalum
Exotech Inc.
UNITED STATES OF AMERICA
Conformant
Tantalum
F&X Electro-Materials Ltd.
CHINA
Conformant
Tantalum
FIR Metals & Resource Ltd.
CHINA
Conformant
Tantalum
Global Advanced Metals Aizu
JAPAN
Conformant
Tantalum
Global Advanced Metals Boyertown
UNITED STATES OF AMERICA
Conformant
Tantalum
Guangdong Zhiyuan New Material Co., Ltd.
CHINA
Conformant
Tantalum
H.C. Starck Co., Ltd.
THAILAND
Conformant
Tantalum
H.C. Starck Hermsdorf GmbH
GERMANY
Conformant
Tantalum
H.C. Starck Inc.
UNITED STATES OF AMERICA
Conformant
Tantalum
H.C. Starck Ltd.
JAPAN
Conformant


A-4


Tantalum
H.C. Starck Smelting GmbH & Co. KG
GERMANY
Conformant
Tantalum
H.C. Starck Tantalum and Niobium GmbH
GERMANY
Conformant
Tantalum
Hengyang King Xing Lifeng New Materials Co., Ltd.
CHINA
Conformant
Tantalum
Jiangxi Dinghai Tantalum & Niobium Co., Ltd.
CHINA
Conformant
Tantalum
Jiangxi Tuohong New Raw Material
CHINA
Conformant
Tantalum
JiuJiang JinXin Nonferrous Metals Co., Ltd.
CHINA
Conformant
Tantalum
Jiujiang Tanbre Co., Ltd.
CHINA
Conformant
Tantalum
Jiujiang Zhongao Tantalum & Niobium Co., Ltd.
CHINA
Conformant
Tantalum
KEMET Blue Metals
MEXICO
Conformant
Tantalum
LSM Brasil S.A.
BRAZIL
Conformant
Tantalum
Metallurgical Products India Pvt., Ltd.
INDIA
Conformant
Tantalum
Mineracao Taboca S.A.
BRAZIL
Conformant
Tantalum
Mitsui Mining and Smelting Co., Ltd.
JAPAN
Conformant
Tantalum
Ningxia Orient Tantalum Industry Co., Ltd.
CHINA
Conformant
Tantalum
NPM Silmet AS
ESTONIA
Conformant
Tantalum
PRG Dooel
NORTH MACEDONIA, REPUBLIC OF
Conformant
Tantalum
QuantumClean
UNITED STATES OF AMERICA
Conformant
Tantalum
Resind Industria e Comercio Ltda.
BRAZIL
Conformant
Tantalum
Solikamsk Magnesium Works OAO
RUSSIAN FEDERATION
Conformant
Tantalum
Taki Chemical Co., Ltd.
JAPAN
Conformant
Tantalum
Telex Metals
UNITED STATES OF AMERICA
Conformant
Tantalum
Ulba Metallurgical Plant JSC
KAZAKHSTAN
Conformant
Tantalum
XinXing HaoRong Electronic Material Co., Ltd.
CHINA
Conformant
Tantalum
Yanling Jincheng Tantalum & Niobium Co., Ltd.
CHINA
Conformant
Tin
Alpha
UNITED STATES OF AMERICA
Conformant
Tin
Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.
CHINA
Conformant
Tin
Chifeng Dajingzi Tin Industry Co., Ltd.
CHINA
Conformant
Tin
China Tin Group Co., Ltd.
CHINA
Conformant
Tin
Dowa
JAPAN
Conformant
Tin
EM Vinto
BOLIVIA (PLURINATIONAL STATE OF)
Conformant
Tin
Fenix Metals
POLAND
Conformant
Tin
Gejiu Kai Meng Industry and Trade LLC
CHINA
Conformant
Tin
Gejiu Non-Ferrous Metal Processing Co., Ltd.
CHINA
Conformant
Tin
Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.
CHINA
Conformant
Tin
Gejiu Zili Mining And Metallurgy Co., Ltd.
CHINA
Conformant
Tin
Guangdong Hanhe Non-Ferrous Metal Co., Ltd.
CHINA
Conformant
Tin
Guanyang Guida Nonferrous Metal Smelting Plant
CHINA
Conformant
Tin
HuiChang Hill Tin Industry Co., Ltd.
CHINA
Conformant
Tin
Huichang Jinshunda Tin Co., Ltd.
CHINA
Conformant
Tin
Jiangxi New Nanshan Technology Ltd.
CHINA
Conformant
Tin
Luna Smelter, Ltd.
RWANDA
Conformant
Tin
Ma'anshan Weitai Tin Co., Ltd.
CHINA
Conformant


A-5


Tin
Magnu's Minerais Metais e Ligas Ltda.
BRAZIL
Conformant
Tin
Malaysia Smelting Corporation (MSC)
MALAYSIA
Conformant
Tin
Melt Metais e Ligas S.A.
BRAZIL
Conformant
Tin
Metallic Resources, Inc.
UNITED STATES OF AMERICA
Conformant
Tin
Metallo Belgium N.V.
BELGIUM
Conformant
Tin
Metallo Spain S.L.U.
SPAIN
Conformant
Tin
Mineracao Taboca S.A.
BRAZIL
Conformant
Tin
Minsur
PERU
Conformant
Tin
Mitsubishi Materials Corporation
JAPAN
Conformant
Tin
O.M. Manufacturing (Thailand) Co., Ltd.
THAILAND
Conformant
Tin
O.M. Manufacturing Philippines, Inc.
PHILIPPINES
Conformant
Tin
Operaciones Metalurgicas S.A.
BOLIVIA (PLURINATIONAL STATE OF)
Conformant
Tin
PT Artha Cipta Langgeng
INDONESIA
Conformant
Tin
PT ATD Makmur Mandiri Jaya
INDONESIA
Conformant
Tin
PT Menara Cipta Mulia
INDONESIA
Conformant
Tin
PT Mitra Stania Prima
INDONESIA
Conformant
Tin
PT Refined Bangka Tin
INDONESIA
Conformant
Tin
PT Timah Tbk Kundur
INDONESIA
Conformant
Tin
PT Timah Tbk Mentok
INDONESIA
Conformant
Tin
Resind Industria e Comercio Ltda.
BRAZIL
Conformant
Tin
Rui Da Hung
TAIWAN, PROVINCE OF CHINA
Conformant
Tin
Soft Metais Ltda.
BRAZIL
Conformant
Tin
Thai Nguyen Mining and Metallurgy Co., Ltd.
VIET NAM
Conformant
Tin
Thaisarco
THAILAND
Conformant
Tin
Tin Technology & Refining
UNITED STATES OF AMERICA
Conformant
Tin
White Solder Metalurgia e Mineracao Ltda.
BRAZIL
Conformant
Tin
Yunnan Chengfeng Non-ferrous Metals Co., Ltd.
CHINA
Conformant
Tin
Yunnan Tin Company Limited
CHINA
Conformant
Tin
Yunnan Yunfan Non-ferrous Metals Co., Ltd.
CHINA
Conformant
Tungsten
A.L.M.T. Corp.
JAPAN
Conformant
Tungsten
ACL Metais Eireli
BRAZIL
Conformant
Tungsten
Asia Tungsten Products Vietnam Ltd.
VIET NAM
Conformant
Tungsten
Chenzhou Diamond Tungsten Products Co., Ltd.
CHINA
Conformant
Tungsten
Chongyi Zhangyuan Tungsten Co., Ltd.
CHINA
Conformant
Tungsten
Fujian Ganmin RareMetal Co., Ltd.
CHINA
Conformant
Tungsten
Fujian Jinxin Tungsten Co., Ltd.
CHINA
Conformant
Tungsten
Ganzhou Haichuang Tungsten Co., Ltd.
CHINA
Conformant
Tungsten
Ganzhou Huaxing Tungsten Products Co., Ltd.
CHINA
Conformant
Tungsten
Ganzhou Jiangwu Ferrotungsten Co., Ltd.
CHINA
Conformant
Tungsten
Ganzhou Seadragon W & Mo Co., Ltd.
CHINA
Conformant
Tungsten
Global Tungsten & Powders Corp.
UNITED STATES OF AMERICA
Conformant
Tungsten
Guangdong Xianglu Tungsten Co., Ltd.
CHINA
Conformant


A-6


Tungsten
H.C. Starck Smelting GmbH & Co. KG
GERMANY
Conformant
Tungsten
H.C. Starck Tungsten GmbH
GERMANY
Conformant
Tungsten
Hunan Chenzhou Mining Co., Ltd.
CHINA
Conformant
Tungsten
Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji
CHINA
Conformant
Tungsten
Hunan Chunchang Nonferrous Metals Co., Ltd.
CHINA
Conformant
Tungsten
Hunan Litian Tungsten Industry Co., Ltd.
CHINA
Conformant
Tungsten
Hydrometallurg, JSC
RUSSIAN FEDERATION
Conformant
Tungsten
Japan New Metals Co., Ltd.
JAPAN
Conformant
Tungsten
Jiangwu H.C. Starck Tungsten Products Co., Ltd.
CHINA
Conformant
Tungsten
Jiangxi Gan Bei Tungsten Co., Ltd.
CHINA
Conformant
Tungsten
Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.
CHINA
Conformant
Tungsten
Jiangxi Xinsheng Tungsten Industry Co., Ltd.
CHINA
Conformant
Tungsten
Jiangxi Yaosheng Tungsten Co., Ltd.
CHINA
Conformant
Tungsten
Kennametal Fallon
UNITED STATES OF AMERICA
Conformant
Tungsten
Kennametal Huntsville
UNITED STATES OF AMERICA
Conformant
Tungsten
KGETS Co., Ltd.
KOREA, REPUBLIC OF
Conformant
Tungsten
Lianyou Metals Co., Ltd.
TAIWAN, PROVINCE OF CHINA
Conformant
Tungsten
Malipo Haiyu Tungsten Co., Ltd.
CHINA
Conformant
Tungsten
Masan Tungsten Chemical LLC (MTC)
VIET NAM
Conformant
Tungsten
Moliren Ltd.
RUSSIAN FEDERATION
Conformant
Tungsten
Niagara Refining LLC
UNITED STATES OF AMERICA
Conformant
Tungsten
Philippine Chuangxin Industrial Co., Inc.
PHILIPPINES
Conformant
Tungsten
Tejing (Vietnam) Tungsten Co., Ltd.
VIET NAM
Conformant
Tungsten
Unecha Refractory metals plant
RUSSIAN FEDERATION
Conformant
Tungsten
Wolfram Bergbau und Hutten AG
AUSTRIA
Conformant
Tungsten
Woltech Korea Co., Ltd.
KOREA, REPUBLIC OF
Conformant
Tungsten
Xiamen Tungsten (H.C.) Co., Ltd.
CHINA
Conformant
Tungsten
Xiamen Tungsten Co., Ltd.
CHINA
Conformant
Tungsten
Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.
CHINA
Conformant
Tungsten
Xinhai Rendan Shaoguan Tungsten Co., Ltd.
CHINA
Conformant
Gold
SAFINA A.S.
CZECHIA
Active
Tin
Precious Minerals and Smelting Limited
INDIA
Active
Tungsten
Albasteel Industria e Comercio de Ligas Para Fundicao Ltd.
BRAZIL
Active
Tungsten
CP Metals Inc.
UNITED STATES OF AMERICA
Active
Tungsten
Jiangxi Xianglu Tungsten Co., Ltd.
CHINA
Active
Tungsten
JSC "Kirovgrad Hard Alloys Plant"
RUSSIAN FEDERATION
Active
Tungsten
NPP Tyazhmetprom LLC
RUSSIAN FEDERATION
Active
Gold
Abington Reldan Metals, LLC
UNITED STATES OF AMERICA
On Smelter Look-up Tab List Only
Gold
African Gold Refinery
UGANDA
On Smelter Look-up Tab List Only
Gold
Atasay Kuyumculuk Sanayi Ve Ticaret A.S.
TURKEY
On Smelter Look-up Tab List Only


A-7


Gold
C.I Metales Procesados Industriales SAS
COLOMBIA
On Smelter Look-up Tab List Only
Gold
Caridad
MEXICO
On Smelter Look-up Tab List Only
Gold
CGR Metalloys Pvt Ltd.
INDIA
On Smelter Look-up Tab List Only
Gold
Daye Non-Ferrous Metals Mining Ltd.
CHINA
On Smelter Look-up Tab List Only
Gold
Degussa Sonne / Mond Goldhandel GmbH
GERMANY
On Smelter Look-up Tab List Only
Gold
Dijllah Gold Refinery FZC
UNITED ARAB EMIRATES
On Smelter Look-up Tab List Only
Gold
Fidelity Printers and Refiners Ltd.
ZIMBABWE
On Smelter Look-up Tab List Only
Gold
Fujairah Gold FZC
UNITED ARAB EMIRATES
On Smelter Look-up Tab List Only
Gold
GCC Gujrat Gold Centre Pvt. Ltd.
INDIA
On Smelter Look-up Tab List Only
Gold
Gold Coast Refinery
GHANA
On Smelter Look-up Tab List Only
Gold
Great Wall Precious Metals Co., Ltd. of CBPM
CHINA
On Smelter Look-up Tab List Only
Gold
Guangdong Jinding Gold Limited
CHINA
On Smelter Look-up Tab List Only
Gold
Guoda Safina High-Tech Environmental Refinery Co., Ltd.
CHINA
On Smelter Look-up Tab List Only
Gold
Hangzhou Fuchunjiang Smelting Co., Ltd.
CHINA
On Smelter Look-up Tab List Only
Gold
Hunan Chenzhou Mining Co., Ltd.
CHINA
On Smelter Look-up Tab List Only
Gold
Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd.
CHINA
On Smelter Look-up Tab List Only
Gold
HwaSeong CJ CO., LTD.
KOREA, REPUBLIC OF
On Smelter Look-up Tab List Only
Gold
International Precious Metal Refiners
UNITED ARAB EMIRATES
On Smelter Look-up Tab List Only
Gold
JALAN & Company
INDIA
On Smelter Look-up Tab List Only
Gold
JSC Ekaterinburg Non-Ferrous Metal Processing Plant
RUSSIAN FEDERATION
On Smelter Look-up Tab List Only
Gold
Kaloti Precious Metals
UNITED ARAB EMIRATES
On Smelter Look-up Tab List Only
Gold
Kazakhmys Smelting LLC
KAZAKHSTAN
On Smelter Look-up Tab List Only
Gold
Kundan Care Products Ltd.
INDIA
On Smelter Look-up Tab List Only
Gold
Kyshtym Copper-Electrolytic Plant ZAO
RUSSIAN FEDERATION
On Smelter Look-up Tab List Only
Gold
L'azurde Company For Jewelry
SAUDI ARABIA
On Smelter Look-up Tab List Only
Gold
Lingbao Gold Co., Ltd.
CHINA
On Smelter Look-up Tab List Only
Gold
Lingbao Jinyuan Tonghui Refinery Co., Ltd.
CHINA
On Smelter Look-up Tab List Only
Gold
Luoyang Zijin Yinhui Gold Refinery Co., Ltd.
CHINA
On Smelter Look-up Tab List Only
Gold
Modeltech Sdn Bhd
MALAYSIA
On Smelter Look-up Tab List Only
Gold
Morris and Watson
NEW ZEALAND
On Smelter Look-up Tab List Only
Gold
Navoi Mining and Metallurgical Combinat
UZBEKISTAN
On Smelter Look-up Tab List Only
Gold
NH Recytech Company
KOREA, REPUBLIC OF
On Smelter Look-up Tab List Only
Gold
Pease & Curren
UNITED STATES OF AMERICA
On Smelter Look-up Tab List Only
Gold
Penglai Penggang Gold Industry Co., Ltd.
CHINA
On Smelter Look-up Tab List Only
Gold
QG Refining, LLC
UNITED STATES OF AMERICA
On Smelter Look-up Tab List Only
Gold
Refinery of Seemine Gold Co., Ltd.
CHINA
On Smelter Look-up Tab List Only
Gold
Sabin Metal Corp.
UNITED STATES OF AMERICA
On Smelter Look-up Tab List Only
Gold
Sai Refinery
INDIA
On Smelter Look-up Tab List Only
Gold
Samwon Metals Corp.
KOREA, REPUBLIC OF
On Smelter Look-up Tab List Only
Gold
Shandong Humon Smelting Co., Ltd.
CHINA
On Smelter Look-up Tab List Only
Gold
Shandong Tiancheng Biological Gold Industrial Co., Ltd.
CHINA
On Smelter Look-up Tab List Only
Gold
Shirpur Gold Refinery Ltd.
INDIA
On Smelter Look-up Tab List Only


A-8


Gold
Sovereign Metals
INDIA
On Smelter Look-up Tab List Only
Gold
State Research Institute Center for Physical Sciences and Technology
LITHUANIA
On Smelter Look-up Tab List Only
Gold
Sudan Gold Refinery
SUDAN
On Smelter Look-up Tab List Only
Gold
Tongling Nonferrous Metals Group Co., Ltd.
CHINA
On Smelter Look-up Tab List Only
Gold
Tony Goetz NV
BELGIUM
On Smelter Look-up Tab List Only
Gold
Yunnan Copper Industry Co., Ltd.
CHINA
On Smelter Look-up Tab List Only
Tin
An Vinh Joint Stock Mineral Processing Company
VIET NAM
On Smelter Look-up Tab List Only
Tin
Dongguan CiEXPO Environmental Engineering Co., Ltd.
CHINA
On Smelter Look-up Tab List Only
Tin
Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company
VIET NAM
On Smelter Look-up Tab List Only
Tin
Estanho de Rondonia S.A.
BRAZIL
On Smelter Look-up Tab List Only
Tin
Gejiu City Fuxiang Industry and Trade Co., Ltd.
CHINA
On Smelter Look-up Tab List Only
Tin
Modeltech Sdn Bhd
MALAYSIA
On Smelter Look-up Tab List Only
Tin
Nghe Tinh Non-Ferrous Metals Joint Stock Company
VIET NAM
On Smelter Look-up Tab List Only
Tin
Pongpipat Company Limited
MYANMAR
On Smelter Look-up Tab List Only
Tin
Super Ligas
BRAZIL
On Smelter Look-up Tab List Only
Tin
Tuyen Quang Non-Ferrous Metals Joint Stock Company
VIET NAM
On Smelter Look-up Tab List Only
Tungsten
China Molybdenum Co., Ltd.
CHINA
On Smelter Look-up Tab List Only
Tungsten
CNMC (Guangxi) PGMA Co., Ltd.
CHINA
On Smelter Look-up Tab List Only
Tungsten
GEM Co., Ltd.
CHINA
On Smelter Look-up Tab List Only
Tungsten
Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.
CHINA
On Smelter Look-up Tab List Only



A-9


Table B

(as of May 06, 2020)
 
Gold
Tantalum
Tin
Tungsten
Argentina
Australia
Australia
Australia
Australia
Austria
Bolivia
Austria
Azerbaijan
Bolivia
Brazil
Bolivia
Benin
Brazil
Burundi
Brazil
Bermuda*
Burundi
Cambodia*
Burundi
Bolivia
Cambodia*
Central African Republic*
Cambodia*
Botswana
Central African Republic*
China
Central African Republic*
Brazil
China
Colombia
China
Burkina Faso
Colombia
Congo*
Colombia
Cambodia*
Congo*
Democratic Republic of the Congo
Congo*
Canada
Democratic Republic of the Congo
Djibouti*
Democratic Republic of the Congo
Chile
Djibouti*
Guinea
Djibouti*
China
Ethiopia
Indonesia
Guinea
Colombia
France
Jersey*
Indonesia
Congo*
Germany
Laos
Laos
Cuba
Guinea
Malaysia
Malaysia
Cyprus
India
Mongolia
Mongolia
Democratic Republic of the Congo
Jersey*
Myanmar
Myanmar
Djibouti*
Madagascar
Nigeria
Nigeria
Dominican Republic
Malaysia
Peru
Peru
Ecuador
Mozambique
Portugal
Portugal
Egypt
Namibia
Russian Federation
Russian Federation
Eritrea
Nigeria
Rwanda
Rwanda
Ethiopia
Russian Federation
South Sudan*
South Sudan*
Fiji
Rwanda
Taiwan
Spain
Finland
Sierra Leone
Thailand
Taiwan
Georgia
Somaliland
Uganda
Thailand
Ghana
South Sudan*
United Kingdom of Great Britain and Northern Ireland
Uganda
Guatemala
Spain
Venezuela
United Kingdom of Great Britain and Northern Ireland
Guinea
Thailand
Vietnam
United States of America
Guyana
Zimbabwe
recycled
Uzbekistan
Honduras
recycled
 
Vietnam
Indonesia
 
 
recycled
Iran
 
 
 
Ivory Coast
 
 
 
Japan
 
 
 
Jersey*
 
 
 
Kazakhstan
 
 
 
Kenya
 
 
 
Laos
 
 
 


A-10


Liberia
 
 
 
Malaysia
 
 
 
Mali
 
 
 
Mauritania
 
 
 
Mexico
 
 
 
Mongolia
 
 
 
Morocco
 
 
 
Namibia
 
 
 
Netherlands
 
 
 
New Zealand
 
 
 
Nicaragua
 
 
 
Niger
 
 
 
Papua New Guinea
 
 
 
Peru
 
 
 
Philippines
 
 
 
Puerto Rico
 
 
 
Russian Federation
 
 
 
Rwanda
 
 
 
Saudi Arabia
 
 
 
Senegal
 
 
 
Serbia
 
 
 
Slovakia
 
 
 
Solomon Islands
 
 
 
South Africa
 
 
 
Spain
 
 
 
Suriname
 
 
 
Swaziland
 
 
 
Sweden
 
 
 
Tajikistan
 
 
 
Tanzania
 
 
 
Togo
 
 
 
Turkey
 
 
 
Uganda
 
 
 
United Kingdom of Great Britain and Northern Ireland
 
 
 
United States of America
 
 
 
Uruguay
 
 
 
Zambia
 
 
 
Zimbabwe
 
 
 
recycled
 
 
 
* additional mine or location of origin information provided directly by Significant Suppliers, which has not been verified by the RMI or an equivalent third-party


A-11


Helpful Resources
Acronyms Used in This Report
3TG
Tin, Tantalum, Tungsten or Gold
CMRT
Conflict Minerals Reporting Template
DRC
Democratic Republic of the Congo
OECD
Organization for Economic Cooperation and Development
RMAP
Responsible Minerals Assurance Process
RMI
Responsible Minerals Initiative
SORs
Smelters or Refiners
Forward-Looking Statements
This Report contains "forward-looking statements" – that is, statements related to future events that by their nature address matters that are, to different degrees, uncertain. For details on the uncertainties that may cause our actual future results to be materially different than those expressed in our forward-looking statements, see http://www.ge.com/investor-relations/disclaimer-caution-concerning-forward-looking-statements as well as our annual reports on Form 10-K and quarterly reports on Form 10-Q. We do not undertake to update our forward-looking statements.
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Where You Can Find Additional Information*
GE’s Statement on Conflict Minerals
https://www.ge.com/sustainability/reports-hub
GE’s Statement on Ethical Supply Chain
https://www.ge.com/sustainability/reports-hub
GE’s Integrity Guide for Suppliers, Contractors and Consultants
www.gesupplier.com/html/SuppliersIntegrityGuide.htm
GE’s Code of Conduct: The Spirit & The Letter
https://www.ge.com/sustainability/reports-hub
Responsible Minerals Initiative
http://www.responsiblemineralsinitiative.org
OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas
www.oecd.org/daf/inv/mne/OECD-Due-Diligence-Guidance-Minerals-Edition3.pdf
GE’s 2019 Annual Report on Form 10-K
https://www.ge.com/investor-relations/annual-report
*These web links are provided for convenience only, and the content on the referenced websites does not constitute a part of this Report.
GE and the GE logo are trademarks and service marks of General Electric Company. Other marks used throughout are trademarks and service marks of their respective owners.



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