EX-1.01 2 d121671dex101.htm EX-1.01 EX-1.01

Exhibit 1.01

Conflict Minerals Report

Telefonaktiebolaget LM Ericsson

Conflict Minerals Report for the year ended December 31, 2020

This Conflict Minerals Report of Telefonaktiebolaget LM Ericsson for the year ended December 31, 2020 is provided pursuant to Rule 13p-1 under the Securities Exchange Act of 1934, as amended (the “Rule”). The Rule was adopted by the U.S. Securities and Exchange Commission (the “SEC”) to implement disclosure and reporting requirements pursuant to Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. As permitted by the Rule and the SEC, this report has not been subject to an independent private sector audit.

 

1.

Introduction

Ericsson is a global provider of hardware, software, and services – especially in networks, digital services, managed services and new businesses – to the telecom industry and other sectors to enable the full value of connectivity. This report has been prepared by the management of Telefonaktiebolaget LM Ericsson (herein referred to as “Ericsson”, the “Company”, “we”, “us”, or “our”). This report does not include the activities of entities that are not required to be consolidated in our financial statements. In accordance with the Rule, this report is available on our website: http://www.ericsson.com/thecompany/investors/financial-reports.

 

2.

Supply Chain Description and Reasonable Country of Origin Inquiry

 

2.1

General information on Ericsson’s supply chain

Ericsson’s hardware largely consists of electronics. For manufacturing, the Company purchases customized and standardized components and services from both global, regional and local suppliers. The production of electronic modules and sub-assemblies is mostly outsourced to manufacturing services companies. Ericsson is focusing internal manufacturing on new product introductions and new technologies.

There are often several tiers of suppliers between Ericsson and any smelters or refiners of minerals; even more when tracing a mineral all the way back to the mines. As a result, the Company does not normally have a direct purchasing relationship with mines, smelters or refiners.

 

2.2

Overview of Ericsson’s Conflict Minerals Program and Reasonable Country of Origin Inquiry

In 2020, Ericsson’s Conflict Mineral program was also extended to also cover Cobalt. Ericsson gathers materials information from our suppliers. Through this we know that many of the components used on our products contain small amounts of Tin, Tungsten, Tantalum, Gold (3TG) and Cobalt that are necessary to the functionality of those products.

As part of Ericsson’s commitment to responsible sourcing and human rights it is our goal that the 3TG and Cobalt in our products should not, directly or indirectly, finance or benefit armed groups in the Democratic Republic of Congo (the “DRC”), or adjoining countries. At the same time, we aim to continue supporting responsible mineral sourcing in the region. Ericsson’s efforts with respect to 3TG and Cobalt are aligned with the Responsible

 

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Minerals Initiative (RMI) and our aim is to improve traceability in our supply chain. Ericsson does not prohibit sourcing of materials from the DRC or adjoining countries or avoid using 3TG or Cobalt since Ericsson believes that such a ban could result in negative consequences for responsible mining companies, their workers and the most vulnerable groups in a society. The Company has a Conflict Minerals Program to fulfill compliance with the Rule, including performing the Reasonable Country of Origin Inquiry and reporting on 3TG and Cobalt, which has in 2020 been extended to also cover Cobalt.

Ericsson relies on its first-tier suppliers to provide information on the origin of 3TG and Cobalt contained in components and parts included in Ericsson’s products. This includes sources of 3TG and Cobalt that are supplied to them from sub-suppliers. Ericsson’s first-tier suppliers are required to comply with the requirements in Ericsson’s Code of Conduct for Business Partners which requires due diligence to be exercised with respect to the sourcing and extraction of raw materials, including 3TG and Cobalt.

Ericsson´s suppliers’ due diligence shall be consistent with the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas and the related Supplements for gold, tin, tantalum and tungsten (the “OECD Guidance”). Furthermore, suppliers are required to comply with the requirements of the Ericsson Lists of Banned and Restricted Substances, which include an obligation to provide information on 3TG upon request and to have appropriate due diligence processes in place to identify the source and chain of custody of 3TG. Our first-tier suppliers are similarly to Ericsson reliant upon information provided by their suppliers.

The identification of first-tier suppliers of Ericsson that are in scope under the Rule involves different parts of Ericsson’s global organization. The sourcing organization has the important role of leading and coordinating the work. Suppliers identified to be in scope are first-tier suppliers of Ericsson supplying (i) products containing 3TG or Cobalt that Ericsson contracts to manufacture, (ii) materials, parts, components and other products, containing 3TG or Cobalt, that are incorporated into or included in a product manufactured by Ericsson, or (iii) materials used in the production of Ericsson’s products where 3TG or Cobalt becomes part of the final product. Suppliers of products that Ericsson does not contract to manufacture (i.e. products purchased “off-the shelf”) and not included in or incorporated into an Ericsson product have been considered out of scope for purposes of the Rule. In our annual inquiry we survey first-tier suppliers identified to be in scope and analyze and follow up on the responses as we deem appropriate.

Ericsson believes that industry cooperation is one of the best ways to address issues related to 3TG and Cobalt in an efficient and transparent way. We typically do not have a direct relationship with 3TG and Cobalt smelters and refiners, and we do not perform direct audits of these entities within our supply chain. In accordance with the OECD Guidance, we support the RMI’s audit of smelters’ and refiners’ due diligence activities mainly via the Responsible Minerals Assurance Process (RMAP).

 

3.

Due Diligence

Ericsson has a process in place for the purpose of exercising due diligence in the supply chain. The design of the due diligence processes conforms to the OECD Guidance as it relates to “downstream” purchasers of products and components. The due diligence processes have been described below under sub-headings corresponding to the five-step framework of the OECD Guidance.

 

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Ericsson’s Conflict Minerals Program focuses on identifying the origin of 3TG and Cobalt; however, Ericsson acknowledges that other human rights and environmental risks, such as forced labor and child labor, health and safety, land-related rights and community rights are also salient relating to sourcing of 3TG and Cobalt. Ericsson is currently engaged in industry dialogues relating to these issues.

 

3.1

Maintain strong management systems

The first step of the OECD Guidance relates to strong management systems. As mentioned above, Ericsson has established a Conflict Minerals Program for reporting on 3TG and Cobalt and compliance with the Rule. Controls include, but are not limited to, our Code of Business Ethics and Code of Conduct for Business Partners, which outline required behaviors for all Ericsson’s employees and suppliers (https://www.ericsson.com/en/about-us/
sustainability-and-corporate-responsibility/responsible-business/responsible-sourcing/supplier-requirements-related-to-responsible-sourcing ), and the Ericsson Lists of Banned and Restricted Substances, which include supplier requirements relating to 3TG as described above and are integrated in our template supplier agreements.

With respect to 2020, identification of smelters and refiners in our supply chain was made via the use of due diligence tools created by the RMI, including the Conflict Minerals Reporting Template 6.01 and the Cobalt Reporting Template (the “Templates”). The Templates are standardized supply chain surveys designed to gather information regarding the smelters and refiners that process 3TG and Cobalt used in our supply chain. The information from our suppliers, in combination with information from the RMI, helps Ericsson to obtain information on the origin of minerals processed. Data obtained was reviewed, analyzed and retained by Ericsson.

In Ericsson’s Code of Conduct for Business Partners, the topic of responsible sourcing of raw materials is included with clear requirements of suppliers to exercise due diligence in accordance with the OECD Guidance.

Employees are encouraged to report conduct that could violate law, the Code of Business Ethics or the Code of Conduct for Business Partners to their manager, and if due to circumstances, this is not an option, there are other channels that an employee may use, including reporting to the superior of a manager or to Group Functions People or Legal Affairs and Compliance. Such conduct may relate to corruption, fraud, auditing, questionable accounting, deficiencies in the internal controls, personal health and safety, environmental issues, human right matters, workplace respect and fairness or other matters that could constitute a breach of law, or that could harm the sustainability, or the reputation of Ericsson, its employees and shareholders. In addition, Ericsson has a whistle-blower tool, Ericsson Compliance Line, operated by a third party, for the reporting of alleged violations of laws, the Code of Business Ethics or the Code of Conduct for Business Partners. Ericsson Compliance Line is available 24/7, 365 days per year for both Ericsson employees, suppliers and other external parties. Ericsson recognizes that Ericsson Compliance Line might not be the most effective way of capturing issues related to sourcing of 3TG and intends to explore other mechanisms that may be more effective, like the Minerals Grievance Platform managed by RMI. In 2020, Ericsson published an updated “Statement on sourcing of minerals from Conflict-Affected and High-Risk Areas” on its website (https://www.ericsson.com/49dadc/assets/local/about-ericsson/sustainability-and-corporate-responsibility/documents/2020/statement-on-sourcing-of-
minerals-from-cahra.pdf) that indicates Ericsson’s position and expected supplier activities in this area.

 

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3.2

Identify and assess risk in the supply chain

In the second step of the OECD Guidance, risks are identified and assessed. For downstream companies such as Ericsson, the focus should be on the smelters and refiners. Downstream companies should, with help from their first-tier suppliers, identify smelters and refiners in the supply chain.

In Ericsson’s 2020 Conflict Minerals’ survey, first-tier suppliers identified to be in scope were requested by Ericsson to provide information on 3TG and Cobalt in their supply chain through completing and submitting the Conflict Minerals Reporting Template and the Cobalt Reporting Template. Suppliers were provided with the Templates, support material, including the available instructions and training illustrating the use of the tool that is available on RMI’s website. To ensure quality, a high response rate and to minimize risks, the responses were analyzed and followed up as deemed appropriate. Data obtained was saved, reviewed and analyzed by Ericsson. Supplier responses were reviewed against criteria developed to determine which responses required further engagement with our suppliers. In certain circumstances suppliers were contacted via e-mail or telephone to improve the quality of responses (obtaining missing information, updating templates’ format to the required version) and increase the response rate (reminding supplier to provide information in the templates with extended deadlines).

 

3.3

Design and implement a strategy to respond to identified risks

Under the third step of the OECD Guidance, companies are encouraged to design and implement a strategy to respond to identified risks. Due diligence within Ericsson is an ongoing process. Ericsson publishes additional information about its commitment to responsible sourcing and engagement with its suppliers in the Sustainability and Corporate Responsibility Report, published together with the Annual Report.

We continuously work to improve our due diligence with respect to 3TG and Cobalt, mainly focusing on the quality of data from suppliers surveyed. This includes communication and collaboration with suppliers for purposes of improving the response rate of surveyed suppliers and improving the reliability and quality of the information provided. As described above, we have a risk-based approach when reviewing and following up supplier responses and generally prioritize to follow up suppliers that are awarded large parts of our business. For example, if a supplier reports non-conformant smelters or refiners, the relevant sourcing responsible manager is notified for purposes of initiating a discussion with the supplier.

 

3.4

Independent third-party audit of smelters’/refiners’ due diligence practices

The fourth step of the OECD Guidance focuses on audits of smelters’/refiners’ due diligence practices. Through our Responsible Business Alliance (RBA) membership we are also members of the RMI, supporting the responsible minerals

 

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assurance process (“RMAP”) as well as the development and implementation of due diligence practices and tools such as the Templates. Due to the structure of our supply chain, there are generally many tiers of suppliers between Ericsson and the smelters and refiners in the supply chain. Therefore, we have, as mentioned in section 2.2, not performed our own audits of smelters or refiners.

 

3.5

Report annually on supply chain due diligence

The fifth step of the OECD Guidance encourages reporting on supply chain due diligence. We have a public statement on sourcing of minerals from Conflict Affected and High Risk Areas including 3TG and Cobalt; which is available on our website: https://www.ericsson.com/49dadc/assets/
local/about-ericsson/sustainability-and-corporate-responsibility/documents/2020/statement-on-sourcing-of-minerals-from-cahra.pdf

In accordance with the Rule, we make our Conflict Minerals Report available on our website:

http://www.ericsson.com/thecompany/investors/financial-reports.

 

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4. 2020 due diligence results

For the calendar year 2020, our inquiries were made on supplier level and the majority of supplier responses received provided data at a company or divisional level with only few exceptions, that provided product level information. Our inquiries include responses where we believe that the names of smelters or refiners may have been misidentified as smelters and refiners or smelters or refiners that we believe are not operational. Such names have not been listed among identified smelters and refiners.

The response rate among suppliers surveyed in 2020 was 81%, similar to 2019 when the response rate was 80%.1 Among the supplier responses, we identified 461 smelters as potential sources of 3TG and Cobalt that were reported to be in the supply chain during the 2020 calendar year. This is a considerable increase from the 338 smelters identified in 2019. The following table presents, by mineral, the percentages of identified smelters or refiners verified as conflict-free by the RMAP or mutually recognized audit systems. In case a supplier has identified non-conformant smelters in their supply chain Ericsson engages with such suppliers for them to phase-out such non-conformant smelters and refiners.

Table 1. Smelters and refiners identified by Ericsson via inquiries to our suppliers in 2020

 

Metal

    Identified smelters or
refiners validated by
RMAP as conformant		      Identified smelters
or refiners
participating in
RMAP*		      Other
identified
smelters or
refiners**		      Total number
of identified
smelters		  

Tantalum

      37        0        14        51  

Tungsten

      42        5        18        65  

Tin

      57        13        44        118  

Gold

      108        17        55        184  

Cobalt

      13        23        7        43  

Note: The RMAP audit status of smelters and refiners are subject to change and the above represents information available from RMI on May 4th, 2021.

 

*

In the process of being audited or in communication but have not commenced the validation audit. (indicated as “active” or “in communication” in Annex 1)

**

Have not commenced the RMAP validation audit (indicated as “Outreach Required “, “Due Diligence Vetting Process”, “Communication Suspended—Not Interested” and “RMI Due Diligence Review—Unable to Proceed” in Annex 1)

We are unable to validate that any of the identified smelters or refiners are actually in our supply chain. However, based on the information provided by Ericsson’s suppliers during the 2020 calendar year, Ericsson believes that the facilities that may have been used to process 3TG or Cobalt in Ericsson’s

 

1 

As of October 31st, 2020, Ericsson closed the acquisition of Cradlepoint, Inc. Cradlepoint was not prior to the transaction required to publish a Conflict Minerals Report and although Ericsson is working to include its suppliers in its Conflict Minerals program, they are not covered by this Conflict Minerals Report for 2020.

 

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products include the smelters and refiners listed in Annex 1 below. Ericsson does not have enough information to determine with specificity all countries of origin of 3TG or Cobalt in our products or whether they are from recycled and scrap sources. Nevertheless, based on data from RMI and RMAP, Ericsson generated a list of Reasonable Country of Origin (RCOI) for 3TG and Cobalt based on smelters and refiners identified as shown in Annex 2

We support the refinement and expansion of the list of participating smelters and have determined that seeking information about 3TG and Cobalt smelters and refiners in our supply chain represents the most reasonable effort we can make to determine the mines or locations of origin of 3TG and Cobalt in our supply chain.

During 2021, we anticipate continuing to review and evolve our Conflict Minerals due diligence processes with respect to 3TG and Cobalt. As part of these efforts, we expect to continue to collaborate with suppliers to maintain a high supplier response rate and improve the reliability and quality of information provided. Our engagement in the RMI program is anticipated to continue.

 

5.

Forward Looking Statements

Certain of the matters discussed in this report, including our due diligence processes with respect to 3TG and Cobalt, include forward-looking statements. Readers of this document are cautioned that our forward-looking statements are not guarantees of our future actions, which may differ materially from the expectations expressed in the forward-looking statements. We expressly disclaim a duty to provide updates to these forward-looking statements after the date of this filing to reflect events or changes in circumstances or changes in expectations or the occurrence of anticipated events.

The information included on any websites that appear in this report and other materials referenced to is not incorporated by reference in this report.

 

 

 

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Annex 1

Smelters and refiners identified by Ericsson via inquiries to our suppliers during 2020.2

 

No.

   

Metal(*)

   

Smelter ID

   

Smelter Name

   

Smelter Facility
Location: Country

   

Audit Status

1    Gold    CID000185    CCR Refinery—Glencore Canada Corporation    CANADA    Conformant
2    Gold    CID000707    Heraeus Metals Hong Kong Ltd.    CHINA    Conformant
3    Gold    CID001113    Materion    UNITED STATES OF AMERICA    Conformant
4    Gold    CID001153    Metalor Technologies S.A.    SWITZERLAND    Conformant
5    Gold    CID001534    Royal Canadian Mint    CANADA    Conformant
6    Gold    CID001585    SEMPSA Joyeria Plateria S.A.    SPAIN    Conformant
7    Gold    CID001875    Tanaka Kikinzoku Kogyo K.K.    JAPAN    Conformant
8    Gold    CID001993    United Precious Metal Refining, Inc.    UNITED STATES OF AMERICA    Conformant
9    Gold    CID000019    Aida Chemical Industries Co., Ltd.    JAPAN    Conformant
10    Gold    CID000035    Allgemeine Gold-und Silberscheideanstalt A.G.    GERMANY    Conformant
11    Gold    CID000041    Almalyk Mining and Metallurgical Complex (AMMC)    UZBEKISTAN    Conformant
12    Gold    CID000058    AngloGold Ashanti Corrego do Sitio Mineracao    BRAZIL    Conformant
13    Gold    CID000077    Argor-Heraeus S.A.    SWITZERLAND    Conformant
14    Gold    CID000082    Asahi Pretec Corp.    JAPAN    Conformant
15    Gold    CID000090    Asaka Riken Co., Ltd.    JAPAN    Conformant

 

2 

The audit status of smelters and refiners are subject to change and Annex 1 represents information available from the RMI on May 4, 2021.

 

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No.

   

Metal(*)

   

Smelter ID

   

Smelter Name

   

Smelter Facility
Location: Country

   

Audit Status

16    Gold    CID000113    Aurubis AG    GERMANY    Conformant
17    Gold    CID000128    Bangko Sentral ng Pilipinas (Central Bank of the Philippines)    PHILIPPINES    Conformant
18    Gold    CID000157    Boliden AB    SWEDEN    Conformant
19    Gold    CID000176    C. Hafner GmbH + Co. KG    GERMANY    Conformant
20    Gold    CID000233    Chimet S.p.A.    ITALY    Conformant
21    Gold    CID000359    DSC (Do Sung Corporation)    KOREA, REPUBLIC OF    Conformant
22    Gold    CID000362    DODUCO Contacts and Refining GmbH    GERMANY    Conformant
23    Gold    CID000401    Dowa    JAPAN    Conformant
24    Gold    CID000425    Eco-System Recycling Co., Ltd.    JAPAN    Conformant
25    Gold    CID000493    OJSC Novosibirsk Refinery    RUSSIAN FEDERATION    Conformant
26    Gold    CID000694    Heimerle + Meule GmbH    GERMANY    Conformant
27    Gold    CID000711    Heraeus Precious Metals GmbH & Co. KG    GERMANY    Active
28    Gold    CID000801    Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.    CHINA    Conformant
29    Gold    CID000814    Istanbul Gold Refinery    TURKEY    Conformant
30    Gold    CID000823    Japan Mint    JAPAN    Conformant
31    Gold    CID000855    Jiangxi Copper Co., Ltd.    CHINA    Conformant
32    Gold    CID000920    Asahi Refining USA Inc.    UNITED STATES OF AMERICA    Conformant
33    Gold    CID000924    Asahi Refining Canada Ltd.    CANADA    Conformant
34    Gold    CID000929    JSC Uralelectromed    RUSSIAN FEDERATION    Conformant
35    Gold    CID000937    JX Nippon Mining & Metals Co., Ltd.    JAPAN    Conformant

 

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No.

   

Metal(*)

   

Smelter ID

   

Smelter Name

   

Smelter Facility
Location: Country

   

Audit Status

36    Gold    CID000957    Kazzinc    KAZAKHSTAN    Conformant
37    Gold    CID000969    Kennecott Utah Copper LLC    UNITED STATES OF AMERICA    Conformant
38    Gold    CID000981    Kojima Chemicals Co., Ltd.    JAPAN    Conformant
39    Gold    CID001029    Kyrgyzaltyn JSC    KYRGYZSTAN    Conformant
40    Gold    CID001078    LS-NIKKO Copper Inc.    KOREA, REPUBLIC OF    Conformant
41    Gold    CID001119    Matsuda Sangyo Co., Ltd.    JAPAN    Conformant
42    Gold    CID001149    Metalor Technologies (Hong Kong) Ltd.    CHINA    Conformant
43    Gold    CID001152    Metalor Technologies (Singapore) Pte., Ltd.    SINGAPORE    Conformant
44    Gold    CID001157    Metalor USA Refining Corporation    UNITED STATES OF AMERICA    Conformant
45    Gold    CID001161    Metalurgica Met-Mex Penoles S.A. De C.V.    MEXICO    Conformant
46    Gold    CID001188    Mitsubishi Materials Corporation    JAPAN    Conformant
47    Gold    CID001193    Mitsui Mining and Smelting Co., Ltd.    JAPAN    Conformant
48    Gold    CID001204    Moscow Special Alloys Processing Plant    RUSSIAN FEDERATION    Conformant
49    Gold    CID001220    Nadir Metal Rafineri San. Ve Tic. A.S.    TURKEY    Conformant
50    Gold    CID001259    Nihon Material Co., Ltd.    JAPAN    Conformant
51    Gold    CID001325    Ohura Precious Metal Industry Co., Ltd.    JAPAN    Conformant
52    Gold    CID001326    OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)    RUSSIAN FEDERATION    Conformant
53    Gold    CID001352    PAMP S.A.    SWITZERLAND    Conformant

 

10

No.

   

Metal(*)

   

Smelter ID

   

Smelter Name

   

Smelter Facility
Location: Country

   

Audit Status

54    Gold    CID001386    Prioksky Plant of Non-Ferrous Metals    RUSSIAN FEDERATION    Conformant
55    Gold    CID001397    PT Aneka Tambang (Persero) Tbk    INDONESIA    Conformant
56    Gold    CID001498    PX Precinox S.A.    SWITZERLAND    Conformant
57    Gold    CID001512    Rand Refinery (Pty) Ltd.    SOUTH AFRICA    Conformant
58    Gold    CID001622    Shandong Zhaojin Gold & Silver Refinery Co., Ltd.    CHINA    Conformant
59    Gold    CID001756    SOE Shyolkovsky Factory of Secondary Precious Metals    RUSSIAN FEDERATION    Conformant
60    Gold    CID001761    Solar Applied Materials Technology Corp.    TAIWAN, PROVINCE OF CHINA    Conformant
61    Gold    CID001798    Sumitomo Metal Mining Co., Ltd.    JAPAN    Conformant
62    Gold    CID001916    The Refinery of Shandong Gold Mining Co., Ltd.    CHINA    Conformant
63    Gold    CID001938    Tokuriki Honten Co., Ltd.    JAPAN    Conformant
64    Gold    CID001955    Torecom    KOREA, REPUBLIC OF    Conformant
65    Gold    CID001977    Umicore Brasil Ltda.    BRAZIL    Not Applicable
              
66    Gold    CID001980    Umicore S.A. Business Unit Precious Metals Refining    BELGIUM    Conformant
67    Gold    CID002003    Valcambi S.A.    SWITZERLAND    Conformant
68    Gold    CID002030    Western Australian Mint (T/a The Perth Mint)    AUSTRALIA    Conformant
69    Gold    CID002100    Yamakin Co., Ltd.    JAPAN    Conformant
70    Gold    CID002129    Yokohama Metal Co., Ltd.    JAPAN    Conformant
71    Gold    CID002224    Zhongyuan Gold Smelter of Zhongjin Gold Corporation    CHINA    Conformant

 

11

No.

   

Metal(*)

   

Smelter ID

   

Smelter Name

   

Smelter Facility
Location: Country

   

Audit Status

72    Gold    CID002243    Gold Refinery of Zijin Mining Group Co., Ltd.    CHINA    Conformant
73    Gold    CID002314    Umicore Precious Metals Thailand    THAILAND    Conformant
74    Gold    CID002509    MMTC-PAMP India Pvt., Ltd.    INDIA    Conformant
75    Gold    CID002516    Singway Technology Co., Ltd.    TAIWAN, PROVINCE OF CHINA    Conformant
76    Gold    CID002580    T.C.A S.p.A    ITALY    Conformant
77    Gold    CID000015    Advanced Chemical Company    UNITED STATES OF AMERICA    Conformant
78    Gold    CID002850    AU Traders and Refiners    SOUTH AFRICA    Conformant
79    Gold    CID002863    Bangalore Refinery    INDIA    Conformant
              
80    Gold    CID000189    Cendres + Metaux S.A.    SWITZERLAND    Conformant
              
81    Gold    CID002561    Emirates Gold DMCC    UNITED ARAB EMIRATES    Conformant
82    Gold    CID002459    Geib Refining Corporation    UNITED STATES OF AMERICA    Conformant
83    Gold    CID000689    HeeSung Metal Ltd.    KOREA, REPUBLIC OF    Conformant
84    Gold    CID000807    Ishifuku Metal Industry Co., Ltd.    JAPAN    Conformant
85    Gold    CID002765    Italpreziosi    ITALY    Conformant
86    Gold    CID002511    KGHM Polska Miedz Spolka Akcyjna    POLAND    Conformant
87    Gold    CID002605    Korea Zinc Co., Ltd.    KOREA, REPUBLIC OF    Conformant
88    Gold    CID002762    L’Orfebre S.A.    ANDORRA    Conformant
89    Gold    CID002606    Marsam Metals    BRAZIL    Conformant
90    Gold    CID001147    Metalor Technologies (Suzhou) Ltd.    CHINA    Conformant
91    Gold    CID002779    Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH    AUSTRIA    Conformant

 

12

No.

   

Metal(*)

   

Smelter ID

   

Smelter Name

   

Smelter Facility
Location: Country

   

Audit Status

92    Gold    CID002919    Planta Recuperadora de Metales SpA    CHILE    Conformant
93    Gold    CID002582    Remondis Argentia B.V.    NETHERLANDS    Conformant
94    Gold    CID002761    SAAMP    FRANCE    Conformant
95    Gold    CID002973    Safimet S.p.A    ITALY    Conformant
96    Gold    CID002777    SAXONIA Edelmetalle GmbH    GERMANY    Conformant
97    Gold    CID001736    Sichuan Tianze Precious Metals Co., Ltd.    CHINA    Conformant
98    Gold    CID002918    SungEel HiMetal Co., Ltd.    KOREA, REPUBLIC OF    Conformant
99    Gold    CID002778    WIELAND Edelmetalle GmbH    GERMANY    Conformant
100    Tin    CID000438    EM Vinto    BOLIVIA (PLURINATIONAL STATE OF)    Conformant
101    Tin    CID000468    Fenix Metals    POLAND    Conformant
102    Tin    CID000538    Gejiu Non-Ferrous Metal Processing Co., Ltd.    CHINA    Conformant
103    Tin    CID001105    Malaysia Smelting Corporation (MSC)    MALAYSIA    Conformant
104    Tin    CID001142    Metallic Resources, Inc.    UNITED STATES OF AMERICA    Conformant
105    Tin    CID002773    Metallo Belgium N.V.    BELGIUM    Conformant
106    Tin    CID001173    Mineracao Taboca S.A.    BRAZIL    Conformant
107    Tin    CID001182    Minsur    PERU    Conformant
108    Tin    CID001337    Operaciones Metalurgical S.A.    BOLIVIA (PLURINATIONAL STATE OF)    Conformant
109    Tin    CID001453    PT Mitra Stania Prima    INDONESIA    Conformant
110    Tin    CID001460    PT Refined Bangka Tin    INDONESIA    Conformant
111    Tin    CID001477    PT Timah (Persero) Tbk Kundur    INDONESIA    Conformant

 

13

No.

   

Metal(*)

   

Smelter ID

   

Smelter Name

   

Smelter Facility
Location: Country

   

Audit Status

112    Tin    CID001482    PT Timah (Persero) Tbk Mentok    INDONESIA    Conformant
113    Tin    CID001898    Thaisarco    THAILAND    Conformant
114    Tin    CID002036    White Solder Metalurgia e Mineracao Ltda.    BRAZIL    Conformant
115    Tin    CID000292    Alpha    UNITED STATES OF AMERICA    Conformant
116    Tin    CID000402    Dowa    JAPAN    Conformant
117    Tin    CID001070    China Tin Group Co., Ltd.    CHINA    Conformant
118    Tin    CID001191    Mitsubishi Materials Corporation    JAPAN    Conformant
119    Tin    CID001539    Rui Da Hung    TAIWAN, PROVINCE OF CHINA    Conformant
120    Tin    CID001758    Soft Metais Ltda.    BRAZIL    Conformant
121    Tin    CID002180    Yunnan Tin Company Limited    CHINA    Conformant
122    Tin    CID002468    Magnu’s Minerais Metais e Ligas Ltda.    BRAZIL    Conformant
123    Tin    CID002500    Melt Metais e Ligas S.A.    BRAZIL    Conformant
124    Tin    CID000228    Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.    CHINA    Conformant
125    Tin    CID000942    Gejiu Kai Meng Industry and Trade LLC    CHINA    Conformant
126    Tin    CID001908    Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.    CHINA    Conformant
127    Tin    CID003116    Guangdong Hanhe Non-Ferrous Metal Co., Ltd.    CHINA    Conformant
128    Tin    CID002849    Guanyang Guida Nonferrous Metal Smelting Plant    CHINA    Conformant
129    Tin    CID000760    Huichang Jinshunda Tin Co., Ltd.    CHINA    Conformant

 

14

No.

   

Metal(*)

   

Smelter ID

   

Smelter Name

   

Smelter Facility
Location: Country

   

Audit Status

130    Tin    CID001231    Jiangxi New Nanshan Technology Ltd.    CHINA    Conformant
131    Tin    CID002774    Metallo Spain S.L.U.    SPAIN    Conformant
132    Tin    CID002517    O.M. Manufacturing Philippines, Inc.    PHILIPPINES    Conformant
133    Tin    CID001314    O.M. Manufacturing (Thailand) Co., Ltd.    THAILAND    Conformant
134    Tin    CID002706    Resind Industria e Comercio Ltda.    BRAZIL    Conformant
135    Tin    CID002158    Yunnan Chengfeng Non-ferrous Metals Co., Ltd.    CHINA    Conformant
136    Tin    CID001490    PT Tinindo Inter Nusa    INDONESIA    Conformant
137    Tin    CID001419    PT Bangka Tin Industry    INDONESIA    Not Applicable
138    Tin    CID001458    PT Prima Timah Utama    INDONESIA    Conformant
139    Tin    CID002816    PT Sukses Inti Makmur    INDONESIA    Active
140    Tin    CID002835    PT Menara Cipta Mulia    INDONESIA    Conformant
141    Tin    CID002503    PT ATD Makmur Mandiri Jaya    INDONESIA    Conformant
142    Tin    CID002570    CV Ayi Jaya    INDONESIA    Active
143    Tin    CID000309    PT Aries Kencana Sejahtera    INDONESIA    Active
144    Tungsten    CID002541    H.C. Starck Tungsten GmbH    GERMANY    Conformant
145    Tungsten    CID002044    Wolfram Bergbau und Hutten AG    AUSTRIA    Conformant
146    Tungsten    CID002082    Xiamen Tungsten Co., Ltd.    CHINA    Conformant
147    Gold    CID000264    Chugai Mining    JAPAN    Conformant
148    Gold    CID001555    Samduck Precious Metals    KOREA, REPUBLIC OF    Conformant
149    Gold    CID002763    8853 S.p.A.    ITALY    Conformant
150    Gold    CID003195    DS PRETECH Co., Ltd.    KOREA, REPUBLIC OF    Conformant

 

15

No.

   

Metal(*)

   

Smelter ID

   

Smelter Name

   

Smelter Facility
Location: Country

   

Audit Status

151    Tantalum    CID000092    Asaka Riken Co., Ltd.    JAPAN    Conformant
152    Tantalum    CID000211    Changsha South Tantalum Niobium Co., Ltd.    CHINA    Conformant
153    Tantalum    CID000456    Exotech Inc.    UNITED STATES OF AMERICA    Conformant
154    Tantalum    CID000460    F&X Electro-Materials Ltd.    CHINA    Conformant
155    Tantalum    CID000616    Guangdong Zhiyuan New Material Co., Ltd.    CHINA    Conformant
156    Tantalum    CID000914    JiuJiang JinXin Nonferrous Metals Co., Ltd.    CHINA    Conformant
157    Tantalum    CID000917    Jiujiang Tanbre Co., Ltd.    CHINA    Conformant
158    Tantalum    CID001076    LSM Brasil S.A.    BRAZIL    Conformant
159    Tantalum    CID001163    Metallurgical Products India Pvt., Ltd.    INDIA    Conformant
160    Tantalum    CID001175    Mineracao Taboca S.A.    BRAZIL    Conformant
161    Tantalum    CID001192    Mitsui Mining and Smelting Co., Ltd.    JAPAN    Conformant
162    Tantalum    CID001200    NPM Silmet AS    ESTONIA    Conformant
163    Tantalum    CID001277    Ningxia Orient Tantalum Industry Co., Ltd.    CHINA    Conformant
164    Tantalum    CID001508    QuantumClean    UNITED STATES OF AMERICA    Conformant
165    Tantalum    CID001522    Yanling Jincheng Tantalum & Niobium Co., Ltd.    CHINA    Conformant
166    Tantalum    CID001769    Solikamsk Magnesium Works OAO    RUSSIAN FEDERATION    Conformant
167    Tantalum    CID001869    Taki Chemical Co., Ltd.    JAPAN    Conformant
168    Tantalum    CID001891    Telex Metals    UNITED STATES OF AMERICA    Conformant
169    Tantalum    CID001969    Ulba Metallurgical Plant JSC    KAZAKHSTAN    Conformant

 

16

No.

   

Metal(*)

   

Smelter ID

   

Smelter Name

   

Smelter Facility
Location: Country

   

Audit Status

170    Tantalum    CID002492    Hengyang King Xing Lifeng New Materials Co., Ltd.    CHINA    Conformant
171    Tantalum    CID002504    D Block Metals, LLC    UNITED STATES OF AMERICA    Conformant
172    Tantalum    CID002505    FIR Metals & Resource Ltd.    CHINA    Conformant
173    Tantalum    CID002506    Jiujiang Zhongao Tantalum & Niobium Co., Ltd.    CHINA    Conformant
174    Tantalum    CID002508    XinXing HaoRong Electronic Material Co., Ltd.    CHINA    Conformant
175    Tantalum    CID002512    Jiangxi Dinghai Tantalum & Niobium Co., Ltd.    CHINA    Conformant
176    Tantalum    CID002539    KEMET Blue Metals    MEXICO    Conformant
177    Tantalum    CID002544    H.C. Starck Co., Ltd.    THAILAND    Conformant
178    Tantalum    CID002545    H.C. Starck Tantalum and Niobium GmbH    GERMANY    Conformant
179    Tantalum    CID002547    H.C. Starck Hermsdorf GmbH    GERMANY    Conformant
180    Tantalum    CID002548    H.C. Starck Inc.    UNITED STATES OF AMERICA    Conformant
181    Tantalum    CID002549    H.C. Starck Ltd.    JAPAN    Conformant
182    Tantalum    CID002550    H.C. Starck Smelting GmbH & Co. KG    GERMANY    Conformant
183    Tantalum    CID002557    Global Advanced Metals Boyertown    UNITED STATES OF AMERICA    Conformant
184    Tantalum    CID002558    Global Advanced Metals Aizu    JAPAN    Conformant
185    Tantalum    CID002707    Resind Industria e Comercio Ltda.    BRAZIL    Conformant
186    Tantalum    CID002842    Jiangxi Tuohong New Raw Material    CHINA    Conformant
187    Tantalum    CID002847    PRG Dooel    NORTH MACEDONIA    Conformant
188    Tin    CID000555    Gejiu Zili Mining And Metallurgy Co., Ltd.    CHINA    Conformant

 

17

No.

   

Metal(*)

   

Smelter ID

   

Smelter Name

   

Smelter Facility
Location: Country

   

Audit Status

189    Tin    CID001399    PT Artha Cipta Langgeng    INDONESIA    Conformant
190    Tin    CID002834    Thai Nguyen Mining and Metallurgy Co., Ltd.    VIET NAM    Conformant
191    Tin    CID002844    HuiChang Hill Tin Industry Co., Ltd.    CHINA    Conformant
192    Tin    CID003190    Chifeng Dajingzi Tin Industry Co., Ltd.    CHINA    Conformant
193    Tin    CID003325    Tin Technology & Refining    UNITED STATES OF AMERICA    Conformant
194    Tungsten    CID000004    A.L.M.T. Corp.    JAPAN    Conformant
195    Tungsten    CID000105    Kennametal Huntsville    UNITED STATES OF AMERICA    Conformant
196    Tungsten    CID000218    Guangdong Xianglu Tungsten Co., Ltd.    CHINA    Conformant
197    Tungsten    CID000258    Chongyi Zhangyuan Tungsten Co., Ltd.    CHINA    Conformant
198    Tungsten    CID000499    Fujian Jinxin Tungsten Co., Ltd.    CHINA    Not Applicable
199    Tungsten    CID000568    Global Tungsten & Powders Corp.    UNITED STATES OF AMERICA    Conformant
200    Tungsten    CID000766    Hunan Chenzhou Mining Co., Ltd.    CHINA    Conformant
201    Tungsten    CID000769    Hunan Chunchang Nonferrous Metals Co., Ltd.    CHINA    Conformant
202    Tungsten    CID000825    Japan New Metals Co., Ltd.    JAPAN    Conformant
203    Tungsten    CID000875    Ganzhou Huaxing Tungsten Products Co., Ltd.    CHINA    Conformant
204    Tungsten    CID000966    Kennametal Fallon    UNITED STATES OF AMERICA    Conformant
205    Tungsten    CID001889    Tejing (Vietnam) Tungsten Co., Ltd.    VIET NAM    Conformant
206    Tungsten    CID002315    Ganzhou Jiangwu Ferrotungsten Co., Ltd.    CHINA    Conformant
207    Tungsten    CID002316    Jiangxi Yaosheng Tungsten Co., Ltd.    CHINA    Conformant
208    Tungsten    CID002317    Jiangxi Xinsheng Tungsten Industry Co., Ltd.    CHINA    Conformant

 

18

No.

   

Metal(*)

   

Smelter ID

   

Smelter Name

   

Smelter Facility
Location: Country

   

Audit Status

209    Tungsten    CID002318    Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.    CHINA    Conformant
210    Tungsten    CID002319    Malipo Haiyu Tungsten Co., Ltd.    CHINA    Conformant
211    Tungsten    CID002320    Xiamen Tungsten (H.C.) Co., Ltd.    CHINA    Conformant
212    Tungsten    CID002321    Jiangxi Gan Bei Tungsten Co., Ltd.    CHINA    Conformant
213    Tungsten    CID002494    Ganzhou Seadragon W & Mo Co., Ltd.    CHINA    Conformant
214    Tungsten    CID002502    Asia Tungsten Products Vietnam Ltd.    VIET NAM    Conformant
215    Tungsten    CID002513    Chenzhou Diamond Tungsten Products Co., Ltd.    CHINA    Conformant
216    Tungsten    CID002542    H.C. Starck Smelting GmbH & Co. KG    GERMANY    Conformant
217    Tungsten    CID002543    Masan Tungsten Chemical LLC (MTC)    VIET NAM    Conformant
218    Tungsten    CID002551    Jiangwu H.C. Starck Tungsten Products Co., Ltd.    CHINA    Conformant
219    Tungsten    CID002579    Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji    CHINA    Conformant
220    Tungsten    CID002589    Niagara Refining LLC    UNITED STATES OF AMERICA    Conformant
221    Tungsten    CID002645    Ganzhou Haichuang Tungsten Co., Ltd.    CHINA    Conformant
222    Tungsten    CID002649    Hydrometallurg, JSC    RUSSIAN FEDERATION    Conformant
223    Tungsten    CID002724    Unecha Refractory metals plant    RUSSIAN FEDERATION    Conformant
224    Tungsten    CID002827    Philippine Chuangxin Industrial Co., Inc.    PHILIPPINES    Conformant
225    Tungsten    CID002830    Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.    CHINA    Conformant
226    Tungsten    CID002833    ACL Metais Eireli    BRAZIL    Conformant

 

19

No.

   

Metal(*)

   

Smelter ID

   

Smelter Name

   

Smelter Facility
Location: Country

   

Audit Status

227    Tungsten    CID002843    Woltech Korea Co., Ltd.    KOREA, REPUBLIC OF    Conformant
228    Tungsten    CID002845    Moliren Ltd.    RUSSIAN FEDERATION    Conformant
229    Tungsten    CID003388    KGETS Co., Ltd.    KOREA, REPUBLIC OF    Conformant
230    Gold    CID002560    Al Etihad Gold Refinery DMCC    UNITED ARAB EMIRATES    Conformant
231    Tin    CID003379    Ma’anshan Weitai Tin Co., Ltd.    CHINA    Conformant
232    Tin    CID003397    Yunnan Yunfan Non-ferrous Metals Co., Ltd.    CHINA    Conformant
233    Tungsten    CID002095    Xinhai Rendan Shaoguan Tungsten Co., Ltd.    CHINA    Not Applicable
234    Tin    CID001406    PT Babel Surya Alam Lestari    INDONESIA    Conformant
235    Tin    CID003381    PT Rajawali Rimba Perkasa    INDONESIA    Conformant
236    Tin    CID002593    PT Rajehan Ariq    INDONESIA    Conformant
237    Tungsten    CID003182    Hunan Litian Tungsten Industry Co., Ltd.    CHINA    Conformant
238    Gold    CID002290    SAFINA A.S.    CZECHIA    Conformant
239    Tin    CID002848    Gejiu Fengming Metallurgy Chemical Plant    CHINA    Conformant
240    Tantalum    CID000291    Guangdong Rising Rare Metals-EO Materials Ltd.    CHINA    Conformant
241    Tungsten    CID003407    Lianyou Metals Co., Ltd.    TAIWAN, PROVINCE OF CHINA    Conformant
242    Gold    CID002708    Abington Reldan Metals, LLC    UNITED STATES OF AMERICA    Non Conformant
243    Gold    CID003185    African Gold Refinery    UGANDA    Outreach Required
244    Gold    CID000103    Atasay Kuyumculuk Sanayi Ve Ticaret A.S.    TURKEY    Due Diligence Vetting Process
245    Gold    CID000180    Caridad    MEXICO    Communication Suspended - Not Interested

 

20

No.

   

Metal(*)

   

Smelter ID

   

Smelter Name

   

Smelter Facility
Location: Country

   

Audit Status

246    Gold    CID003382    CGR Metalloys Pvt Ltd.    INDIA    Outreach Required
247    Gold    CID000343    Daye Non-Ferrous Metals Mining Ltd.    CHINA    In Communication
248    Gold    CID002867    Degussa Sonne / Mond Goldhandel GmbH    GERMANY    Outreach Required
249    Gold    CID003348    Dijllah Gold Refinery FZC    UNITED ARAB EMIRATES    In Communication
250    Gold    CID003424    Eco-System Recycling Co., Ltd. North Plant    JAPAN    Conformant
251    Gold    CID003425    Eco-System Recycling Co., Ltd. West Plant    JAPAN    Conformant
252    Gold    CID002515    Fidelity Printers and Refiners Ltd.    ZIMBABWE    RMI Due Diligence Review - Unable to Proceed
253    Gold    CID002584    Fujairah Gold FZC    UNITED ARAB EMIRATES    Outreach Required
254    Gold    CID001909    Great Wall Precious Metals Co., Ltd. of CBPM    CHINA    Outreach Required
255    Gold    CID002312    Guangdong Jinding Gold Limited    CHINA    Outreach Required
256    Gold    CID002852    Gujarat Gold Centre    INDIA    In Communication
257    Gold    CID000651    Guoda Safina High-Tech Environmental Refinery Co., Ltd.    CHINA    Outreach Required
258    Gold    CID000671    Hangzhou Fuchunjiang Smelting Co., Ltd.    CHINA    Outreach Required
259    Gold    CID002519    Henan Yuguang Gold & Lead Co., Ltd.    CHINA    Not Applicable
260    Gold    CID000767    Hunan Chenzhou Mining Co., Ltd.    CHINA    Outreach Required
261    Gold    CID000773    Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd.    CHINA    Outreach Required
262    Gold    CID000778    HwaSeong CJ Co., Ltd.    KOREA, REPUBLIC OF    Communication Suspended - Not Interested

 

21

No.

   

Metal(*)

   

Smelter ID

   

Smelter Name

   

Smelter Facility
Location: Country

   

Audit Status

263    Gold    CID002562    International Precious Metal Refiners    UNITED ARAB EMIRATES    Active
264    Gold    CID000927    JSC Ekaterinburg Non-Ferrous Metal Processing Plant    RUSSIAN FEDERATION    RMI Due Diligence Review - Unable to Proceed
265    Gold    CID002563    Kaloti Precious Metals    UNITED ARAB EMIRATES    RMI Due Diligence Review - Unable to Proceed
266    Gold    CID000956    Kazakhmys Smelting LLC    KAZAKHSTAN    In Communication
267    Gold    CID002865    Kyshtym Copper-Electrolytic Plant ZAO    RUSSIAN FEDERATION    Outreach Required
268    Gold    CID001032    L’azurde Company For Jewelry    SAUDI ARABIA    RMI Due Diligence Review - Unable to Proceed
269    Gold    CID001056    Lingbao Gold Co., Ltd.    CHINA    Outreach Required
270    Gold    CID001058    Lingbao Jinyuan Tonghui Refinery Co., Ltd.    CHINA    Outreach Required
271    Gold    CID001093    Luoyang Zijin Yinhui Gold Refinery Co., Ltd.    CHINA    Outreach Required
272    Gold    CID002857    Modeltech Sdn Bhd    MALAYSIA    Non Conformant
273    Gold    CID002282    Morris and Watson    NEW ZEALAND    Communication Suspended - Not Interested
274    Gold    CID001236    Navoi Mining and Metallurgical Combinat    UZBEKISTAN    Conformant
275    Gold    CID003189    NH Recytech Company    KOREA, REPUBLIC OF    Non Conformant
276    Gold    CID002872    Pease & Curren    UNITED STATES OF AMERICA    Outreach Required
277    Gold    CID001362    Penglai Penggang Gold Industry Co., Ltd.    CHINA    Outreach Required
278    Gold    CID003324    QG Refining, LLC    UNITED STATES OF AMERICA    Outreach Required

 

22

No.

   

Metal(*)

   

Smelter ID

   

Smelter Name

   

Smelter Facility
Location: Country

   

Audit Status

279    Gold    CID000522    Refinery of Seemine Gold Co., Ltd.    CHINA    Outreach Required
280    Gold    CID001546    Sabin Metal Corp.    UNITED STATES OF AMERICA    Outreach Required
281    Gold    CID002853    Sai Refinery    INDIA    Outreach Required
282    Gold    CID001562    SAMWON Metals Corp.    KOREA, REPUBLIC OF    Communication Suspended - Not Interested
283    Gold    CID002525    Shandong Humon Smelting Co., Ltd.    CHINA    Outreach Required
284    Gold    CID001619    Shandong Tiancheng Biological Gold Industrial Co., Ltd.    CHINA    Outreach Required
285    Gold    CID002527    Shenzhen Zhonghenglong Real Industry Co., Ltd.    CHINA    Outreach Required
286    Gold    CID003383    Sovereign Metals    INDIA    Outreach Required
287    Gold    CID003153    State Research Institute Center for Physical Sciences and Technology    LITHUANIA    Outreach Required
288    Gold    CID002567    Sudan Gold Refinery    SUDAN    Outreach Required
289    Gold    CID001810    Super Dragon Technology Co., Ltd.    TAIWAN, PROVINCE OF CHINA    Outreach Required
290    Gold    CID001947    Tongling Nonferrous Metals Group Co., Ltd.    CHINA    Outreach Required
291    Gold    CID002587    Tony Goetz NV    BELGIUM    Non Conformant
292    Gold    CID002615    TOO Tau-Ken-Altyn    KAZAKHSTAN    Conformant
293    Gold    CID000197    Yunnan Copper Industry Co., Ltd.    CHINA    Outreach Required
294    Tantalum    CID003402    CP Metals Inc.    UNITED STATES OF AMERICA    Not Applicable
295    Tin    CID002703    An Vinh Joint Stock Mineral Processing Company    VIET NAM    Outreach Required

 

23

No.

   

Metal(*)

   

Smelter ID

   

Smelter Name

   

Smelter Facility
Location: Country

   

Audit Status

296    Tin    CID003356    Dongguan CiEXPO Environmental Engineering Co., Ltd.    CHINA    Non Conformant
297    Tin    CID002572    Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company    VIET NAM    Non Conformant
298    Tin    CID000448    Estanho de Rondônia S.A.    BRAZIL    Active
299    Tin    CID003410    Gejiu City Fuxiang Industry and Trade Co., Ltd.    CHINA    Outreach Required
300    Tin    CID002858    Modeltech Sdn Bhd    MALAYSIA    Non Conformant
301    Tin    CID002573    Nghe Tinh Non-Ferrous Metals Joint Stock Company    VIET NAM    Outreach Required
302    Tin    CID003208    Pongpipat Company Limited    MYANMAR    Outreach Required
303    Tin    CID003409    Precious Minerals and Smelting Limited    INDIA    Non Conformant
304    Tin    CID002756    Super Ligas    BRAZIL    Active
305    Tin    CID002574    Tuyen Quang Non-Ferrous Metals Joint Stock Company    VIET NAM    Outreach Required
306    Tungsten    CID000281    CNMC (Guangxi) PGMA Co., Ltd.    CHINA    Outreach Required
307    Tungsten    CID003401    Fujian Ganmin RareMetal Co., Ltd.    CHINA    Conformant
308    Tungsten    CID002647    Jiangxi Dayu Longxintai Tungsten Co., Ltd.    CHINA    Not Applicable
309    Tungsten    CID002313    Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.    CHINA    Communication Suspended - Not Interested
310    Tungsten    CID003408    JSC “Kirovgrad Hard Alloys Plant”    RUSSIAN FEDERATION    Active
311    Gold    CID003421    C.I Metales Procesados Industriales SAS    COLOMBIA    Active
312    Gold    CID003186    Gold Coast Refinery    GHANA    Outreach Required
313    Gold    CID002893    JALAN & Company    INDIA    Outreach Required

 

24

No.

   

Metal(*)

   

Smelter ID

   

Smelter Name

   

Smelter Facility
Location: Country

   

Audit Status

314    Gold    CID003463    Kundan Care Products Ltd.    INDIA    In Communication
315    Gold    CID002588    Shirpur Gold Refinery Ltd.    INDIA    Outreach Required
316    Tin    CID003387    Luna Smelter, Ltd.    RWANDA    Conformant
317    Tungsten    CID003427    Albasteel Industria e Comercio de Ligas Para Fundicao Ltd.    BRAZIL    Active
318    Tungsten    CID002641    China Molybdenum Tungsten Co., Ltd.    CHINA    Conformant
319    Tungsten    CID003448    CP Metals Inc.    UNITED STATES OF AMERICA    Not Applicable
320    Tungsten    CID003417    GEM Co., Ltd.    CHINA    Active
321    Tungsten    CID003416    NPP Tyazhmetprom LLC    RUSSIAN FEDERATION    Active
322    Tin    CID001314    O.M. Manufacturing (Thailand) Co., Ltd.    THAILAND    Conformant
323    Tin    CID001463    PT Sariwiguna Binasentosa    INDONESIA    Not Applicable
324    Tin    CID001428    PT Bukit Timah    INDONESIA    Active
325    Tin    CID001402    PT Babel Inti Perkasa    INDONESIA    Conformant
326    Tin    CID000315    CV United Smelting    INDONESIA    Not Applicable
327    Tin    CID003205    PT Bangka Serumpun    INDONESIA    Conformant
328    Tungsten    CID002815    South-East Nonferrous Metal Company Limited of Hengyang City    CHINA    Not Applicable
329    Gold    CID000328    Daejin Indus Co., Ltd.    KOREA, REPUBLIC OF    Not Applicable
330    Tin    CID000306    CV Gita Pesona    INDONESIA    Not Applicable
331    Tin    CID000313    PT Premium Tin Indonesia    INDONESIA    Not Applicable
332    Tin    CID001421    PT Belitung Industri Sejahtera    INDONESIA    Not Applicable
333    Tin    CID001434    PT DS Jaya Abadi    INDONESIA    Not Applicable

 

25

No.

   

Metal(*)

   

Smelter ID

   

Smelter Name

   

Smelter Facility
Location: Country

   

Audit Status

334    Tin    CID001448    PT Karimun Mining    INDONESIA    Not Applicable
335    Tin    CID001457    PT Panca Mega Persada    INDONESIA    Not Applicable
336    Tin    CID001468    PT Stanindo Inti Perkasa    INDONESIA    Conformant
337    Tin    CID001471    PT Sumber Jaya Indah    INDONESIA    Not Applicable
338    Tin    CID001493    PT Tommy Utama    INDONESIA    Not Applicable
339    Tin    CID002455    CV Venus Inti Perkasa    INDONESIA    Active
340    Tin    CID002478    PT Tirus Putra Mandiri    INDONESIA    Not Applicable
341    Tin    CID002530    PT Inti Stania Prima    INDONESIA    Not Applicable
342    Tin    CID002592    CV Dua Sekawan    INDONESIA    Not Applicable
343    Tin    CID002776    PT Bangka Prima Tin    INDONESIA    Not Applicable
344    Tin    CID002829    PT Kijang Jaya Mandiri    INDONESIA    Not Applicable
345    Tin    CID002870    PT Lautan Harmonis Sejahtera    INDONESIA    Active
346    Tin    CID001305    Novosibirsk Processing Plant Ltd.       Active
347    Cobalt    CID003225    Zhejiang Huayou Cobalt Co.,Ltd.    CHINA    Active
348    Cobalt    CID003228    Umicore Olen    BELGIUM    Conformant
349    Cobalt    CID003403    Glencore Nikkelverk Refinery    NORWAY    In Communication
350    Cobalt    CID003226    Umicore Finland Oy    FINLAND    Conformant
351    Cobalt    CID003210    Lanzhou Jinchuan Advanced Materials Technology Co., Ltd.    CHINA    Active
352    Cobalt    CID003278    Sumitomo Metal Mining    JAPAN    Active
353    Cobalt    CID003390    NORILSK NICKEL HARJAVALTA OY    FINLAND    Active

 

26

No.

   

Metal(*)

   

Smelter ID

   

Smelter Name

   

Smelter Facility
Location: Country

   

Audit Status

354    Cobalt    CID003233    JSC Kolskaya Mining and Metallurgical Company (Kola MMC)    RUSSIAN FEDERATION    In Communication
355    Cobalt    CID003232    Dynatec Madagascar Company    MADAGASCAR    In Communication
356    Cobalt    CID003255    Quzhou Huayou Cobalt New Material Co., Ltd.    CHINA    Active
357    Cobalt    CID003213    Guangxi Yinyi Advanced Material Co., Ltd.    CHINA    Active
358    Cobalt    CID003227    Gangzhou Yi Hao Umicore Industry Co.    CHINA    In Communication
359    Cobalt    CID003209    Gem (Jiangsu) Cobalt Industry Co., Ltd.    CHINA    Active
360    Cobalt    CID003212    Ganzhou Tengyuan Cobalt New Material Co., Ltd.    CHINA    Conformant
361    Cobalt    CID003215    Tianjin Maolian Science & Technology Co., Ltd.    CHINA    Active
362    Cobalt    CID003473    CoreMax Corporation    TAIWAN, PROVINCE OF CHINA    Conformant
363    Cobalt    CID003406    Murrin Murrin Nickel Cobalt Plant    AUSTRALIA    Conformant
364    Cobalt    CID003280    Compagnie de Tifnout Tiranimine    MOROCCO    Conformant
365    Cobalt    CID003404    Hunan Yacheng New Materials Co., Ltd.    CHINA    Active
366    Tin    CID000244    Jiangxi Ketai Advanced Material Co., Ltd.    CHINA    Not Applicable
367    Tin    CID001438    PT Eunindo Usaha Mandiri    INDONESIA    Not Applicable
368    Gold    CID002510    Republic Metals Corporation    UNITED STATES    Not Applicable
369    Tin    CID002859    Gejiu Jinye Mineral Company    CHINA    Not Applicable
370    Cobalt    CID003252    Nanjing Hanrui Cobalt    CHINA    Outreach Required
371    Cobalt    CID003302       MADAGASCAR    Not Applicable

 

27

No.

   

Metal(*)

   

Smelter ID

   

Smelter Name

   

Smelter Facility
Location: Country

   

Audit Status

372    Cobalt    CID003291    Guangdong Jiana Energy Technology Co., Ltd.    CHINA    Conformant
373    Cobalt    CID003338    SungEel HiTech Co.,Ltd.    KOREA, REPUBLIC OF    Conformant
374    Cobalt    CID003377    Jiangxi Jiangwu Cobalt industrial Co., Ltd.    CHINA    Active
375    Gold    CID001322    Ohio Precious Metals, LLC    UNITED STATES OF AMERICA    Not Applicable
376    Gold    CID001573    Schone Edelmetaal B.V.    NETHERLANDS    Not Applicable
377    Gold    CID001754    Accurate Refining Group    UNITED STATES OF AMERICA    Not Applicable
378    Gold    CID002854    Universal Precious Metals Refining Zambia    ZAMBIA    Not Applicable
379    Gold    CID002866    Morris and Watson Gold Coast    AUSTRALIA    Not Applicable
380    Tantalum    CID000410    Douluoshan Sapphire Rare Metal Co Ltd    CHINA    Not Applicable
381    Tantalum    CID000731    Hi-Temp    UNITED STATES OF AMERICA    Not Applicable
382    Tantalum    CID002232    Zhuzhou Cemented Carbide Group    CHINA    Not Applicable
383    Tantalum    CID002546    H.C. Starck GmbH Laufenburg    GERMANY    Not Applicable
384    Tantalum    CID002556    Plansee SE Reutte    AUSTRIA    Not Applicable
385    Tantalum    CID002568    KEMET Blue Powder    UNITED STATES OF AMERICA    Not Applicable
386    Tantalum    CID003191    Jiujiang Janny New Material Co., Ltd.    CHINA    Not Applicable
387    Tin    CID000278    CNMC (Guangxi) PGMA Co., Ltd.    CHINA    Not Applicable
388    Tin    CID000295    Cooperativa Metalurgica de Rondônia Ltda.    BRAZIL    Not Applicable
389    Tungsten    CID000345    Dayu Weiliang Tungsten Co., Ltd.    CHINA    Not Applicable
390    Cobalt    CID003282    Coral Bay Nickel Corp.    PHILIPPINES    Not Applicable
391    Cobalt    CID003283    Taganito HPAL Nickel Corp.    PHILIPPINES    Not Applicable

 

28

No.

   

Metal(*)

   

Smelter ID

   

Smelter Name

   

Smelter Facility
Location: Country

   

Audit Status

392    Cobalt    CID003242    Sherritt    CANADA    RMI Due Diligence Review—Unable to Proceed
393    Cobalt    CID003384    Ganzhou Highpower Technology Co., Ltd.    CHINA    Active
394    Cobalt    CID003293    Jiangsu Xiongfeng Technology Co., Ltd.    CHINA    Active
395    Cobalt    CID003378    Jingmen GEM Co., Ltd.    CHINA    Active
396    Cobalt    CID003219    Hunan Brunp Recycling Technology Co., Ltd.    CHINA    Outreach Required
397    Cobalt    CID003415    Cosmo EcoChem Co., Ltd.    KOREA, REPUBLIC OF    Active
398    Cobalt    CID003411    Hunan Zoomwe New Energy Science & Technology Co., Ltd.    CHINA    Conformant
399    Cobalt    CID003447    Jiangxi Rui da Xinnengyuan Technology Co., Ltd.    CHINA    Outreach Required
400    Cobalt    CID003279    Mine de Bou-Azzer    MOROCCO    Conformant
401    Cobalt    CID003221    Nantong Xinwei Nickel Cobalt Technology Development Co., Ltd.    CHINA    Active
402    Cobalt    CID003398    New Era Group Zhejiang Zhongneng Cycle Technology Co., Ltd.    CHINA    Active
403    Cobalt    CID003422    Ningbo Yanmen Chemical Co., Ltd.    CHINA    Outreach Required
404    Cobalt    CID003286    Chambishi Metals, PLC    ZAMBIA    Not Applicable
405    Cobalt    CID003414    Traxys North America LLC    UNITED STATES OF AMERICA    Not Applicable
406    Cobalt    CID003475    Vale Inco, Ltd.    CANADA    Not Applicable

 

29

No.

   

Metal(*)

   

Smelter ID

   

Smelter Name

   

Smelter Facility
Location: Country

   

Audit Status

407    Cobalt    CID003491    ICoNiChem    UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND    Outreach Required
408    Cobalt    CID003492    Jinchuan Group    CHINA    Not Applicable
409    Cobalt    CID003493    Nornickel    RUSSIAN FEDERATION    Not Applicable
410    Cobalt    CID003494    Shaoguan Zhonghong Metal Industrial Co., Ltd.    CHINA    Not Applicable
411    Cobalt    CID003264    Chemaf Etoile    CONGO, DEMOCRATIC REPUBLIC OF THE    Conformant
412    Cobalt    CID003423    Chemaf Usoke    CONGO, DEMOCRATIC REPUBLIC OF THE    Conformant
413    Cobalt    CID003211    Zhuhai Kelixin Metal Materials Co., Ltd.    CHINA    Active
414    Gold    CID002355    Faggi Enrico S.p.A.    ITALY    Not Applicable
415    Tantalum    CID002540    Plansee SE Liezen    AUSTRIA    Not Applicable
416    Tin    CID000307    PT Justindo    INDONESIA    Not Applicable
417    Tin    CID001424    PT BilliTin Makmur Lestari    INDONESIA    Not Applicable
418    Tin    CID002479    PT Wahana Perkit Jaya    INDONESIA    Not Applicable
419    Tungsten    CID000868    Ganzhou Non-ferrous Metals Smelting Co., Ltd.    CHINA    Not Applicable
420    Tungsten    CID002532    Pobedit, JSC    RUSSIAN FEDERATION    Not Applicable
421    Gold    CID000988    Korea Metal Co., Ltd.    KOREA, REPUBLIC OF    Not Applicable
422    Gold    CID001328    OJSC Novosibirsk Refinery    RUSSIAN FEDERATION    Not Applicable
423    Tantalum    CID000973    King-Tan Tantalum Industry Ltd.    CHINA    Not Applicable
424    Tantalum    CID002571    Tranzact, Inc.    UNITED STATES    Not Applicable
425    Tantalum    CID002307    Yichun Jin Yang Rare Metal Co., Ltd.    CHINA    Not Applicable
426    Tin    CID001063    Linwu Xianggui Ore Smelting Co., Ltd.    CHINA    Not Applicable

 

30

No.

   

Metal(*)

   

Smelter ID

   

Smelter Name

   

Smelter Facility
Location: Country

   

Audit Status

427    Tin    CID002507    Phoenix Metal Ltd.    RWANDA    Not Applicable
428    Tin    CID001393    PT Alam Lestari Kencana    INDONESIA    Not Applicable
429    Tin    CID001409    PT Bangka Kudai Tin    INDONESIA    Not Applicable
430    Tin    CID001416    PT Bangka Timah Utama Sejahtera    INDONESIA    Not Applicable
431    Tin    CID002696    PT Cipta Persada Mulia    INDONESIA    In Communication
432    Tin    CID001442    PT Fang Di MulTindo    INDONESIA    Not Applicable
433    Tin    CID001486    PT Pelat Timah Nusantara Tbk    INDONESIA    Active
434    Tin    CID001466    PT Seirama Tin Investment    INDONESIA    Not Applicable
435    Tin    CID002015    VQB Mineral and Trading Group JSC    VIET NAM    Outreach Required
436    Tungsten    CID002518    Dayu Jincheng Tungsten Industry Co., Ltd.    CHINA    Not Applicable
437    Tungsten    CID002531    Ganxian Shirui New Material Co., Ltd.    CHINA    Not Applicable
438    Tungsten    CID002536    Ganzhou Yatai Tungsten Co., Ltd.    CHINA    Not Applicable
439    Tungsten    CID002578    Hunan Chuangda Vanadium Tungsten Co., Ltd. Yanglin    CHINA    Not Applicable
440    Tungsten    CID002535    Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.    CHINA    Not Applicable
441    Tungsten    CID002538    Sanher Tungsten Vietnam Co., Ltd.    VIET NAM    Not Applicable
442    Tungsten    CID002011    Vietnam Youngsun Tungsten Industry Co., Ltd.    VIET NAM    Not Applicable
443    Tin    CID000466    Feinhütte Halsbrücke GmbH    GERMANY    Not Applicable
444    Gold    CID001323    Elemetal Refining, LLC    UNITED STATES    Not Applicable
445    Tin    CID003449    PT Mitra Sukses Globalindo    INDONESIA    Outreach Required
446    Gold    CID003461    Augmont Enterprises Private Limited    INDIA    Active

 

31

No.

   

Metal(*)

   

Smelter ID

   

Smelter Name

   

Smelter Facility
Location: Country

   

Audit Status

447    Cobalt    CID003261    Kamoto Copper Company    CONGO, DEMOCRATIC REPUBLIC OF THE    Conformant
448    Tin    CID003524    CRM Synergies    Spain    Active
449    Gold    CID003548    MD Overseas    India    In Communication
450    Gold    CID003497    K.A. Rasmussen    Norway    Outreach Required
451    Tungsten    CID003553    Artek LLC    Russian Federation    Outreach Required
452    Gold    CID003487    Emerald Jewel Industry India Limited (Unit 1)    India    In Communication
453    Gold    CID003488    Emerald Jewel Industry India Limited (Unit 2)    India    In Communication
454    Gold    CID003489    Emerald Jewel Industry India Limited (Unit 3)    India    In Communication
455    Gold    CID003490    Emerald Jewel Industry India Limited (Unit 4)    India    In Communication
456    Gold    CID003500    Alexy Metals    United States Of America    Active
457    Gold    CID003540    Sellem Industries Ltd.    Mauritania    Outreach Required
458    Gold    CID003557    Metallix Refining Inc.    United States Of America    Active
459    Tungsten    CID003468    Cronimet Brasil Ltda    Brazil    Active
460    Tin    CID003486    CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda    Brazil    Active
461    Gold    CID003529    Sancus ZFS (L’Orfebre, SA)    Colombia    In Communication
462    Gold    CID003575    Metal Concentrators SA (Pty) Ltd.    South Africa    Conformant
463    Gold    CID002813    Heraeus Precious Metals New York LLC    UNITED STATES OF AMERICA    Not Applicable
464    Tantalum    CID000564    Global Advanced Metals    UNITED STATES OF AMERICA    Not Applicable
465    Tantalum    CID000654    H.C. Starck GmbH    GERMANY    Not Applicable

 

32

No.

   

Metal(*)

   

Smelter ID

   

Smelter Name

   

Smelter Facility
Location: Country

   

Audit Status

466    Tantalum    CID000963    KEMET Corp.    UNITED STATES OF AMERICA    Not Applicable
467    Tin    CID000177    Canfield    UNITED STATES OF AMERICA    Not Applicable
468    Tin    CID003330    Kester inc    UNITED STATES OF AMERICA    Not Applicable
469    Tin    CID003047    KARAS PLATING LTD    UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND    Not Applicable
470    Tin    CID000790    IMPAG AG    SWITZERLAND    Not Applicable
471    Tin    CID002757    PT O.M. Indonesia    INDONESIA    Not Applicable
472    Tantalum    CID002590    E.S.R. Electronics    UNITED STATES OF AMERICA    Not Applicable
473    Cobalt    CID003239    Port Colborne Refinery    CANADA    In Communication
474    Cobalt    CID003467    Hunan Shiji Yintian New Material Co., Ltd.    CHINA    Active

 

33

Annex 2

Reasonable Country of Origin for 3TG based on the identified smelters and suppliers.3

 

Gold

   

Tantalum

   

Tin

   

Tungsten

Botswana    Australia    Australia    Bolivia
Cyprus    Austria    Bolivia (Plurinational State of)    Brazil
Brazil    Bolivia    Brazil    China
Ghana    Brazil    China    Colombia
Bahamas    Brazil**    Colombia    Mongolia
Argentina    Burundi    Indonesia    Myanmar
Czechia    Canada    Malaysia    Portugal
Brazil**    China    Myanmar    Russian Federation
Ghana**    Colombia    Peru    United States of America
Andorra    Congo, Democratic Republic of the    Russian Federation    Uzbekistan
Greece    Ethiopia    Taiwan    Burundi
Belgium    Ethiopia**    United Kingdom of Great Britain and Northern Ireland    Congo, Democratic Republic of the
Denmark    France    Venezuela    Rwanda
Burkina Faso    Germany    Burundi    Uganda
Canada    India    Rwanda    Austria
Dominican Republic    Indonesia    Uganda    Belgium
Ecuador    Ireland    Brazil**    Canada
Eritrea    Israel    China**    Czechia
Estonia    Japan    Congo, Democratic Republic of the    France
Cayman Islands    Madagascar    Nigeria    Germany
Chile    Malaysia    Russia**    Hong Kong
Chile**    Mozambique    Thailand    Ireland
Benin    Myanmar    Angola    Israel
China    Namibia    Argentina    Japan
Finland    Netherlands    Austria    Latvia
Guatemala (HR)    Nigeria    Bangladesh    Russia
Benin (HR)    Nigeria**    Belarus    South Korea
Colombia    Russian Federation    Belgium    Spain

 

3 

The data and the definitions have been obtained from RMI and reflect information as of March 26th, 2021.

 

34

Gold

   

Tantalum

   

Tin

   

Tungsten

Australia    Rwanda    Benin    Taiwan
Guinea**    Sierra Leone    Bolivia    Thailand
Bolivia (Plurinational State of)    Sierra Leone**    Bulgaria    United Arab Emirates
France    South Korea    Canada    Vietnam
Colombia (HR)    Spain    Chile   
French Guiana    Switzerland    Croatia   
Costa Rica    Thailand    Czechia   
Austria    Uganda    Cyprus   
Georgia    United Kingdom of Great Britain and Northern Ireland    Denmark   
Germany    United States of America    Egypt   
Cote d’Ivoire    Zimbabwe    El Salvador   
Guyana**       Estonia   
Honduras       Finland   
Honduras (HR)       France   
Hong Kong (HR)       Gabon   
Hungary       Germany   
India**       Ghana   
Indonesia       Greece   
Indonesia**       Guinea   
Ireland       Hong Kong   
Israel       Hungary   
Italy       India   
Japan       Ireland   
Jordan (HR)       Israel   
Latvia       Italy   
Lithuania       Japan   
Luxembourg       Jordan   
Malaysia       Kazakhstan   
Mali       Latvia   
Malta       Lebanon   
Mexico       Libya   
Mexico**       Lithuania   
Monaco       Luxembourg   
Morocco       Malta   
Mozambique       Mexico   
Netherlands       Morocco   
Nicaragua       Netherlands   
Niger       New Zealand   
Norway       Norway   

 

35

Gold

   

Tantalum

   

Tin

   

Tungsten

Panama (HR)       Pakistan   
Peru       Poland   
Peru**       Portugal   
Philippines       Philippines   
Poland       Puerto Rico   
Romania       Qatar   
Russian Federation       Romania   
Rwanda       Russia   
Saudi Arabia       Saudi Arabia   
Saudi Arabia (HR)       Serbia   
Senegal       Senegal   
Sierra Leone       Singapore   
Singapore**       Slovakia   
Slovakia       Slovenia   
South Africa       South Africa   
South Africa (HR)       South Korea   
South Korea       Spain   
Spain       Sudan   
St Vincent and Grenadines       Sweden   
Suriname       Switzerland   
Swaziland       Tanzania   
Sweden       Togo   
Switzerland**       Tunisia   
Taiwan       Turkey   
Tajikistan       Ukraine   
Tanzania       United Arab Emirates   
Thailand       United Kingdom   
Turkey       United States of America   
Uganda       Uruguay   
United Arab Emirates (HR)       Yemen   
United Kingdom**         
United States of America         
United States of America**         
Uzbekistan (HR)         
Venezuela         
Vietnam         

 

36