EX-1.01 2 exhibit101conflictminerals.htm EXHIBIT 1.01 Exhibit 1.01 Conflict Minerals Report December 31, 2014


Exhibit 1.01
Conflict Minerals Report
This Report has been prepared pursuant to Rule 13p-1 (the “Rule”) for the reporting period from January 1 to December 31, 2014. The Company is a leading supplier of oilfield services, products, technology and systems to the worldwide oil and natural gas industry. The Company also provides industrial products and services to the downstream chemicals, and process and pipeline industries. The Company conducts its operations through subsidiaries, affiliates, ventures and alliances. The Company operates in more than 80 countries around the world and the corporate headquarters is in Houston, Texas.
Our supply chain is both global and complex, and there are multiple tiers of suppliers between us and the original sources of minerals used in our products. Therefore, we relied on our direct suppliers to provide us information about the origin of conflict minerals in the raw materials and components we purchase for use in the manufacture of or contracts to manufacture products that we offer for sale.
We are committed to the responsible sourcing of raw materials and components necessary to the production or functionality of our products for sale, and we have publicly posted this policy. The policy, including the commitment to establishing a conflict-free supply chain, may be found at: http://www.bakerhughes.com/company/corporate-social-responsibility/human-rights-and-security/conflict-minerals.
The Report contains forward-looking statements within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Securities Exchange Act of 1934, as amended, (each a “forward-looking statement”). The words “will,” “intend,” “anticipate,” “believe,” “ensure,” “expect,” “if,” “estimate,” “project,” “foresee,” “predict,” “outlook,” “aim,” “could,” “should,” “potential,” “would,” “may,” “probable,” “likely,” and similar expressions, and the negative thereof, are intended to identify forward-looking statements. The Company undertakes no obligation to publicly update or revise any forward-looking statement.
Reasonable Country of Origin Inquiry
In accordance with the Rule, we undertook a reasonable country of origin inquiry to determine the origin of the conflict minerals necessary to the production or functionality of the products we offer for sale for the fiscal year-ended December 31, 2014. We undertook the following as part of that inquiry:
identified those products which we manufactured or contracted to manufacture that we reasonably believed contained one or more conflict minerals (defined as cassiterite, columbite-tantalite, gold, wolframite, and their derivatives, which are limited to tin, tantalum, tungsten, and gold), by first eliminating those products which were clearly not subject to the Rule, including tool rentals, service-only, chemicals, and fluids;
using lessons learned during the previous reporting year, we changed our process to help ensure we have identified all relevant suppliers which potentially provided raw materials or components used in the manufacture or contract for manufacture of the products specifically identified in the step above; engaged the services of a third-party conflict minerals service provider to create and maintain a supplier engagement portal;
engaged the services of a third-party conflict minerals service provider to contact the identified suppliers;
informed our suppliers of the Company’s conflict minerals policy and our expectation for compliance with that policy and their cooperation in developing conflict minerals data;
requested our suppliers to determine which of the materials or components they provided to the Company contained one or more conflict minerals;
requested our suppliers to in turn require their suppliers to comply with the Company’s conflict minerals requirements;
requested our suppliers to develop a company policy and management system with respect to conflict minerals and to require their suppliers to in turn adopt similar policies and systems;

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informed our suppliers of the informational and instructional materials available on the our third-party conflict minerals service provider’s Conflict Minerals Resource Center web page, pertaining to the conflict minerals regulation, the Conflict Minerals Reporting Template (“CMRT”) questionnaire, and due diligence guidelines.
requested from those our suppliers confirmation of the presence of every necessary conflict mineral in the raw materials or components they supplied to the Company, and information regarding the origin of those minerals;
established a deadline of March 31, 2015 to provide the requested conflict minerals information and documentation;
followed up with unresponsive suppliers to request compliance with the Company’s requests for information and documentation, until the stated deadline by: sending up to four e-mailed messages by the Company’s third-party service provider, and attempting at least one phone call by the service provider in cases when e-mail contact was unsuccessful;
reviewed the responses compiled for each responding supplier, to determine which smelters or refiners (“SORs”) were the source of necessary conflict minerals contained in the raw materials or components supplied to the Company;
received completed questionnaires from 30% of the identified suppliers contacted by our third-party conflict minerals service provider; and
increased by more than 46% the identification of total SORs in the Company’s supply chain from 2013, and increased by 94% the identification of total conflict-free SORs from 2013, both increases due, in part, to the Company’s change in process noted above.
We have also participated in monthly Responsible Sourcing Network Multi-Stakeholder Group calls and periodic Oil and Gas Services Working Group meetings, as well as attended various webinars and the 2nd Conflict Minerals Reporting & Supply Chain Transparency Conference, to enable us to consider best practices and to explore opportunities to participate in responsible sourcing and supply chain transparency.
The Company’s responding suppliers identified 388 SORs believed to be the source of necessary conflict minerals contained in the raw materials or components supplied to the Company. Of those supplier-identified SORs, 37 potentially sourced minerals or ores from the DRC Region, requiring due diligence on the source and chain of custody of conflict minerals. These SORs are more fully described in the table located in Schedule 2 below.
The appropriate due diligence on the above listed SORs is more fully described below.
Design of Due Diligence
Our due diligence was designed in conformance with the due diligence related steps of a nationally or internationally recognized due diligence framework, specifically, the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (Second Edition).
Due Diligence Measures Undertaken
We determined that approximately 10% of the identified SORs in our global supply chain required due diligence on source and chain of custody of the necessary conflict minerals ultimately provided to us, based upon the applicability of one or more criteria:
reporting sourcing conflict minerals from the conflict area;
providing data on SORs that self-report sourcing from a mine located in the conflict area;
providing data on SORs that were reported by independent entities to source from a mine located in the conflict area;
indicated that the SOR named by the supplier passed materials through a known or suspected country for smuggling, export out of other countries, or the transit of materials containing conflict minerals; or

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provided information about an SOR indicating the origin of the materials was not from a country known to hold reserves.
We undertook the following measures in its exercise of due diligence on the source and chain of custody of the necessary conflict minerals:
attempted to verify the existence and correct identity of SORs named by responsive suppliers, through contact with the pertinent SORs and cross-checks against Internet-based SOR lists compiled by U.S Department of Commerce, Conflict-Free Smelter Initiative, London Bullion Market Association, and Responsible Jewellery Council, to verify:
the source, countries of origin and chain of custody documentation of relevant minerals,
DRC conflict-free designations from the above named entities,
independent audits of processing facilities’ supply chains, and
other supply chain and chain-of-custody certifications or audits; and
initiated follow-up contact with SORs directly, to confirm source and chain of custody information as well as conflict status of conflict minerals by:
attempting contact by phone at least 3 times,
attempting contact by e-mail at least 3 times, if phone contact was unsuccessful or unavailable, and
if direct contact was unsuccessful or unavailable, utilizing SOR web site information, to determine mineral source, chain of custody and conflict status.
Results of Due Diligence Undertaken
The conflict status of the SORs requiring due diligence is included in the table located in Schedule 2 below.
Independent Private Sector Audit
The Company is not subject to an independent private sector audit of the Report.
Risk Mitigation
With respect to those products we manufacture or contract to be manufactured for sale that contain necessary conflict minerals, we plan to undertake the following steps to mitigate the risk that our necessary conflict minerals could unintentionally benefit armed groups:
improve processes to identify the presence of necessary conflict minerals in those of our products we manufacture or contract to be manufactured and offer for sale by:
seeking to increase our supplier response rate to 35% for 2015 and to 50% for 2016, although response rates will depend on supplier cooperation,
requiring suppliers to provide conflict minerals data at the material or component level,
incorporating a flow-down clause on all new or renewed Master Service Agreements, creating a contractual obligation on the part of suppliers to comply with the Company’s conflict minerals requirements and to in turn require policy and systems implementation by successive supply chain tiers;
continue to assess the presence of necessary conflict minerals in our relevant supply chain;
continue to perform due diligence on the necessary conflict minerals supplied to us, to determine their origin;
continue to clearly communicate to suppliers our expectations with regard to compliance with the Company’s stated policies, performance, transparency and responsible sourcing practices;
engage with our suppliers to encourage their sourcing from conflict-free SORs or mines, and to obtain from their applicable SORs or mines, conflict-free designations from recognized certification programs;

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continue to engage those of our suppliers that have not responded to our request for 2014 conflict minerals information, ultimately seeking to engage as many as possible of those suppliers, to determine for 2015:
those suppliers’ use of necessary conflict minerals,
the country of origin of those conflict minerals,
the use of scrap or recycled sources of those conflict minerals, and
the source and chain of custody of those conflict minerals originating in the conflict area and not obtained from scrap or recycled sources;
improve and expand engagement of SORs by independent certifying organizations, by actively participating in and seeking membership in the Conflict Free Smelter Initiative;
monitor the activities, initiatives and programs of DRC regional governments and agencies, international bodies, and non-governmental organizations which are aimed at minimizing or eliminating the benefit to relevant armed groups derived from conflict minerals, and, where practicable, to support or implement those activities, initiatives or programs;
seek, where practicable, alternative suppliers that responsibly source necessary conflict minerals, which may include sources within the conflict area that do not benefit armed groups; and
continue to participate in local and national industry groups, as well as non-governmental organizations, such as the Responsible Sourcing Network Multi-Stakeholder Group and the Oil and Gas Services Working Group on conflict minerals, to develop best practices regarding responsible sourcing and supply chain transparency.
Products Description
Our products that are considered to contain necessary conflict minerals include the following:
Drill Bits - includes Tricone™, PDC or “diamond”, and Kymera™ hybrid drill bits used for performance drilling, hole enlargement and coring.
Completion Systems - includes products used to control the flow of hydrocarbons within a wellbore including sand control systems; liner hangers; wellbore isolation; expandable tubulars; multilaterals; safety systems; packers and flow control; and tubing conveyed perforating.
Wellbore Intervention - includes products used in existing wellbores to improve their performance including thru-tubing fishing; thru-tubing inflatables; conventional fishing; casing exit systems; production injection packers; and remedial and stimulation tools.
Intelligent Production Systems - includes products used to monitor and dynamically control the production from individual wells or fields including intelligent well systems.
Artificial Lift - includes electric submersible pump systems; progressing cavity pump systems; gas lift systems; and surface horizontal pumping systems used to lift large volumes of oil and water when a reservoir is no longer able to flow on its own.
Processing Facilities
Based on our due diligence efforts to date, we do not have sufficient information to fully determine each processing facility utilized to produce the conflict minerals used in each of our relevant products. However, in Schedule 2 below is a listing of processing facilities which source minerals from the DRC, for which we have been able to confirm the information provided by our suppliers.
Based on our due diligence efforts to date, we do not have sufficient information to fully determine the country of origin of the conflict minerals in each of our products, or whether the conflict minerals in each of our products were from recycled or scrap sources. However, in Schedule 1 below is a listing of countries of origin, by pertinent mineral, for which we have been able to confirm the information provided by our suppliers.
The efforts to determine the origin of conflict minerals are more fully described in the section entitled “Due Diligence Measures Undertaken.”

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Schedule 1
The information in this Schedule is solely an aggregation of data provided by the Company’s suppliers. This is not a confirmation of conflict minerals actually contained in the Company’s products.

Countries of Origin - Tantalum
Australia
Chile
Nigeria
Thailand
Austria
China
Peru
United States
Bolivia
DRC *
Portugal
Vietnam
Brazil
Ethiopia
Russia
 
Burundi *
Indonesia
Rwanda *
Recycle/Scrap
Canada
Mozambique
Spain
 
*
DRC Region Countries

Countries of Origin - Tin
Argentina
Guyana
Niger
Suriname
Australia
India
Nigeria
Tajikistan
Bolivia
Indonesia
Papua New Guinea
Thailand
Brazil
Italy
Peru
United Kingdom
Burundi *
Japan
Philippines
United States
Canada
Kazakhstan
Portugal
Uzbekistan
Chile
Kyrgyzstan
Russia
Vietnam
China
Laos
Rwanda *
Zambia *
DRC *
Malaysia
Saudi Arabia
 
Ethiopia
Mexico
South Africa
Recycle/Scrap
France
Mongolia
South Korea
 
Guinea
Mozambique
Spain
 
*
DRC Region Countries
Countries of Origin - Tungsten
Australia
China
Mozambique
Spain
Bolivia
DRC *
Nigeria
Thailand
Brazil
Ethiopia
Peru
United States
Burundi *
Indonesia
Portugal
Vietnam
Canada
Japan
Russia
 
Chile
Malaysia
Rwanda *
Recycle/Scrap
*
DRC Region Countries

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Countries of Origin - Gold
Argentina
Indonesia
Niger
Sweden
Armenia
Italy
Nigeria
Tanzania
Australia
Japan
Papua New Guinea
Thailand
Bolivia
Kazakhstan
Peru
Turkey
Brazil
Kyrgyzstan
Philippines
United Kingdom
Canada
Malaysia
Portugal
United States
Chile
Mali
Romania
Uzbekistan
China
Mexico
Russia
 
DRC *
Mongolia
Rwanda *
Recycle/Scrap
Ghana
Mozambique
South Africa
 
Greece
Myanmar
South Korea
 
Guinea
Namibia
Spain
 
*
DRC Region Countries


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Schedule 2
Smelters or Refiners with Identified Mineral Sources
The information in this Schedule is solely an aggregation of data provided by the Company’s suppliers. This is not a confirmation of conflict minerals actually contained in the Company’s products.

Smelter or Refiner
Smelter Location
3TG
3TG Country of Origin - DRC Region
3TG Country of Origin - Other
A.L.M.T. Corp.
Japan
Tungsten
 
Australia, Canada, China, Peru, Portugal, Spain, United States
Advanced Chemical Company
United States
Gold
 
United States
Aida Chemical Industries Co. Ltd. *
Japan
Gold
 
Bolivia, Canada, Japan, Peru, Recycle/Scrap, Spain
Allgemeine Gold-und Silberscheideanstalt A.G. *
Germany
Gold
 
Recycle/Scrap, Japan, Thailand
Almalyk Mining and Metallurgical Complex (AMMC)
Uzbekistan
Gold
 
China, Mexico, Uzbekistan
Alpha *
United States
Tin
 
China, Peru, Recycle/Scrap, Spain, Thailand
AMG Advanced Metallurgical Group
United States
Tantalum
 
Brazil, Ethiopia
AngloGold Ashanti Córrego do Sítio Minerção *
Brazil
Gold
 
Australia, Brazil, South Africa
Argor-Heraeus SA *
Switzerland
Gold
 
Argentina, Chile, China, South Africa
Asahi Pretec Corporation *
Japan
Gold
 
Argentina, Australia, Brazil, Canada, Chile, Guinea, Japan, Mexico, Papua New Guinea, Peru, Recycle/Scrap, United States
Asaka Riken Co Ltd
Japan
Gold
 
Armenia, Japan, Mexico, Recycle/Scrap
Atasay Kuyumculuk Sanayi Ve Ticaret A.S. *
Turkey
Gold
 
Brazil, Turkey
Aurubis AG *
Germany
Gold
 
China, Recycle/Scrap, United States
Baiyin Nonferrous Group Co.,Ltd.
China
Gold
 
China, Peru
Bangko Sentral ng Pilipinas (Central Bank of the Philippines) *
Philippines
Gold
 
Canada, Philippines

7




Smelter or Refiner
Smelter Location
3TG
3TG Country of Origin - DRC Region
3TG Country of Origin - Other
Boliden AB *
Sweden
Gold
 
Canada, Sweden
Caridad
Mexico
Gold
 
Bolivia, Chile, China, Japan, Mexico
CCR Refinery - Glencore Canada Corporation *
Canada
Tin
DRC, Zambia
Argentina, Australia, Canada, Chile, Japan, Peru, United States
Cendres + Métaux SA
Switzerland
Gold
 
Recycle/Scrap, Australia
Changsha South Tantalum Niobium Co., Ltd. *
China
Tantalum
 
Australia, Brazil, Canada, China, Russia
Chengfeng Metals Co Pte Ltd
Singapore
Tin
 
China
Chenzhou Diamond Tungsten Products Co., Ltd.
China
Tungsten
 
China
Chimet S.p.A. *
Italy
Gold
 
Australia, Italy, Mexico, Recycle/Scrap
China Gold International Resources Corp. Ltd.
China
Gold
 
China, Mongolia
China Minmetals Nonferrous Metals Co Ltd
China
Tungsten
 
China
China National Gold Group Corporation
China
Gold
 
China, Mongolia
China Rare Metal Materials Company *
China
Tin
 
China
China Tin Group Co., Ltd.
China
Tin
DRC
Australia, Brazil, China
Chongyi Zhangyuan Tungsten Co., Ltd.
China
Tungsten
 
China, Canada, Peru, Russia, Thailand
Chugai Mining
Japan
Gold
 
Canada, Japan
CNMC (Guangxi) PGMA Co. Ltd.
China
Tin
 
China
Codelco
Chile
Gold
 
Chile
Colonial Metals, Inc
Scotland
Tin
 
Recycle/Scrap

8




Smelter or Refiner
Smelter Location
3TG
3TG Country of Origin - DRC Region
3TG Country of Origin - Other
Colt Refining
United States
Gold
 
United States
Complejo Metalurgico Vinto S.A.
Bolivia
Tin
 
Bolivia, Brazil
Conghua Tantalum and Niobium Smeltry *
China
Tantalum
Rwanda
Brazil, China, Ethiopia
Cooper Santa
Brazil
Tin
 
Australia, Brazil, Peru
CSC Pure Technologies
Russia
Tin
 
China, Russia
CV Duta Putra Bangka
Indonesia
Tin
 
China
CV Makmur Jaya
Indonesia
Tin
 
Indonesia
CV Nurjanah
Indonesia
Tin
 
China
CV Prima Timah Utama
Indonesia
Tin
 
Indonesia
CV Serumpun Sebalai
Indonesia
Tin
 
Brazil, Malaysia
CV United Smelting *
Indonesia
Tin
DRC
China, Indonesia, Malaysia, Peru
Daejin Indus Co. Ltd
South Korea
Gold
 
Japan, South Korea
Daye Non-Ferrous Metals Mining Ltd.
China
Gold
 
China
Dayu Weiliang Tungsten Co., Ltd.
China
Tungsten
 
China
Do Sung Corporation
South Korea
Gold
 
South Korea, Recycle/Scrap
Doduco
Germany
Gold
 
Recycle/Scrap
Dowa Mining Co., Ltd. *
Japan
Gold
 
Canada, Indonesia, Japan, Mexico, United States
Duoluoshan Sapphire Rare Metal Co., Ltd. *
China
Tin
Rwanda
Brazil, Ethiopia, Malaysia, China, Nigeria

9




Smelter or Refiner
Smelter Location
3TG
3TG Country of Origin - DRC Region
3TG Country of Origin - Other
Eco-System Recycling Co., Ltd. *
Japan
Gold
 
Bolivia, Canada, Japan, Recycle/Scrap
Eldorado Gold Corporation
Canada
Gold
 
Australia, Brazil, China, Greece, Romania, Turkey
Electroloy Metal Pte
Singapore
Tin
 
Brazil, China, Malaysia
Empresa Metallurgica Vinto *
Bolivia
Gold
DRC
Bolivia, Brazil, China, Indonesia, Malaysia, Peru, Russia
Estanho de Rondônia S.A.
Brazil
Tin
 
Brazil
Ethiopian Minerals Development Share Company
 Ethiopia
Tantalum
 
China, Ethiopia
F&X Electro-Materials Ltd. *
China
Tantalum
 
Recycle/Scrap, China, Russia
Faggi S.p.A.
Italy
Gold
 
Italy, Recycle/Scrap
Federal Metal Company
United States
Tin
 
Recycle/Scrap
Fenix Metals
Poland
Tin
 
Brazil, Recycle/Scrap
FIR Metals & Resource., Ltd. *
China
Tantalum
 
Brazil
Foshan Nanhai Tong Ding Metal Company. Ltd.
China
Tin
 
China, Recycle/Scrap
FSE Novosibirsk Refinery
Russia
Gold
 
Italy, Russia
Fujian Jinxin Tungsten Co., Ltd.
China
Tungsten
 
Australia, China
Gansu Seemine Material Hi-Tech Co Ltd
China
Gold
 
China
Ganzhou Grand Sea W & Mo Group Co Ltd
China
Tungsten
 
Russia, Australia, Canada, China, United States
Ganzhou Huaxing Tungsten Products Co., Ltd. *
China
Tungsten
 
Bolivia, Canada, China, Peru, Portugal, Spain
Ganzhou Jiangwu Ferrotungsten Co., Ltd. *
China
Tungsten
 
China

10




Smelter or Refiner
Smelter Location
3TG
3TG Country of Origin - DRC Region
3TG Country of Origin - Other
Ganzhou Non-ferrous Metals Smelting Co., Ltd.
China
Tungsten
 
Bolivia, China, Russia
Ganzhou Seadragon W & Mo Co., Ltd. *
China
Tungsten
 
China
Geib Refining Corp
 United States
Gold
 
China, United States
Gejiu Kai Meng Industry and Trade LLC
China
Tin
 
China
Gejiu Non-Ferrous Metal Processing Co. Ltd. *
China
Tin
 
Bolivia, Brazil, China, Indonesia, Peru
Gejiu Zi-Li
China
Tin
 
Brazil, China
Global Advanced Metals
United States
Tantalum
 
Australia, Canada, Mozambique, Russia
Global Advanced Metals Aizu *
Japan
Tantalum
 
Australia, Canada
Global Advanced Metals Boyertown *
United States
Tantalum
 
Australia, Brazil, Canada, China, Mozambique
Global Tungsten & Powders Corp. *
United States
Tungsten
 
Bolivia, Canada, China, Peru, Portugal, Spain, United States
Guangdong Jinding Gold Limited
China
Gold
 
Australia, China
Guangdong Mingfa Precious Metals Co., Ltd.
 China
Gold
 
China
Guangdong Xianglu Tungsten Industry Co., Ltd.
China
Tungsten
 
Canada, China, Russia, Thailand
Guangdong Zhiyuan New Material Co., Ltd. *
China
Tantalum
 
China
H.C. Starck Co., Ltd. *
Thailand
Tantalum
Rwanda
Australia, Brazil, Ethiopia, Mozambique
H.C. Starck GmbH
Germany
Tantalum
Rwanda
Australia, Bolivia, Brazil, Canada, China, Peru, Portugal, Russia, Spain, Thailand, United States
H.C. Starck GmbH Goslar *
Germany
Tantalum
Rwanda
Australia, Brazil, Canada, China, Ethiopia, Mozambique
H.C. Starck GmbH Laufenburg *
Germany
Tantalum
Rwanda
Australia, Brazil, Canada, China, Ethiopia, Mozambique

11




Smelter or Refiner
Smelter Location
3TG
3TG Country of Origin - DRC Region
3TG Country of Origin - Other
H.C. Starck Group
Germany
Tungsten
DRC, Rwanda
Australia, Brazil, Canada, Ethiopia, Mozambique, Russia
H.C. Starck Hermsdorf GmbH *
Germany
Tantalum
Rwanda
Australia, Brazil, Canada, China, Ethiopia, Mozambique
H.C. Starck Inc. *
United States
Tantalum
Rwanda
Australia, Brazil, Canada, China, Ethiopia, Mozambique
H.C. Starck Ltd. *
Japan
Tantalum
Rwanda
Australia, Brazil, Canada, China, Ethiopia, Mozambique
Hangzhou Fuchunjiang Smelting Co., Ltd.
China
Gold
 
China
Harmony Gold Mining Company Limited
 South Africa
Gold
 
Papua New Guinea, South Africa
Heimerle + Meule GmbH *
Germany
Gold
 
Australia, Canada, China, Malaysia, Mozambique, Philippines, Recycle/Scrap, South Africa
Hengyang King Xing Lifeng New Materials Co., Ltd. *
China
Tantalum
 
China
Heraeus Ltd. Hong Kong *
Hong Kong
Gold
 
Australia, Canada, China, France, Japan, Laos, Malaysia, Mozambique, Peru, Philippines, South Africa, Thailand
Heraeus Precious Metals GmbH & Co. KG *
Germany
Gold
 
Australia, Bolivia, Chile, China, Malaysia, Peru, United States
Hi-Temp Specialty Metals, Inc. *
United States
Tungsten
Rwanda
Brazil, China, Ethiopia, Australia, Mozambique
Huichang Jinshunda Tin Co. Ltd
China
Tin
 
China
Hunan Chenzhou Mining Group Co., Ltd.
China
Tungsten
 
China
Hunan Chun-Chang Nonferrous Smelting & Concentrating Co., Ltd. *
China
Tungsten
 
China
Hwasung CJ Co. Ltd
South Korea
Gold
 
Australia, Canada, Japan, South Korea, Mexico, United States
Hyundai-Steel
South Korea
Tin
 
Malaysia
Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited
China
Gold
 
China, Mexico, Mongolia
Istanbul Gold Refinery *
Turkey
Gold
 
Turkey

12




Smelter or Refiner
Smelter Location
3TG
3TG Country of Origin - DRC Region
3TG Country of Origin - Other
Japan Mint *
Japan
Gold
 
Japan
Japan New Metals Co., Ltd. *
Japan
Tungsten, Tin
 
Canada, China, Russia, Thailand
Jean Goldschmidt International SA
Belgium
Tin
 
China
Jiangwu H.C. Starck Tungsten Products Co., Ltd.
China
Tungsten
 
China
Jiangxi Copper Company Limited
China
Gold
 
China, Japan, United States
Jiangxi Gan Bei Tungsten Co., Ltd. *
China
Tungsten
 
China
Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.
China
Tungsten
 
China
Jiangxi Nanshan
China
Tin
 
Bolivia, China
Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.
China
Tungsten
 
China
Jiangxi Tungsten Industry Group Co Ltd
China
Tungsten
 
Bolivia, China, Peru, Portugal, Spain
Jiangxi Xinsheng Tungsten Industry Co., Ltd.
China
Tungsten
 
China
Jiangxi Yaosheng Tungsten Co., Ltd.
China
Tungsten
 
China
JiuJiang JinXin Nonferrous Metals Co., Ltd. *
China
Tantalum
 
China
Jiujiang Tanbre Co., Ltd. *
China
Tantalum
DRC
China
Johnson Matthey Inc *
United States
Gold
 
United States, Australia, Brazil, Canada, China, South Africa
Johnson Matthey Ltd *
Canada
Gold
 
Australia, Canada, China, Malaysia, United States
JSC Ekaterinburg Non-Ferrous Metal Processing Plant *
Russia
Gold
 
Australia, Canada, Japan, Russia
JSC Uralelectromed *
Russia
Gold
 
Russia

13




Smelter or Refiner
Smelter Location
3TG
3TG Country of Origin - DRC Region
3TG Country of Origin - Other
JX Nippon Mining & Metals Co., Ltd. *
Japan
Gold, Tin, Tantalum,Tungsten
 
Chile
Kai Unita Trade Limited Liability Company
Japan
Tin
 
China
Kazzinc Inc. *
Kazakhstan
Gold
 
Australia, Kazakhstan, Peru
KEMET Blue Metals *
Mexico
Tantalum
Rwanda
Mozambique, Nigeria
Kemet Blue Powder *
United States
Tantalum
Burundi, DRC, Rwanda
China, Mozambique, Nigeria
Kennametal Fallon
United States
Tungsten
 
Bolivia, China, Portugal, Recycle/Scrap, Russia, United States
Kennametal Huntsville
United States
Tungsten
 
Bolivia, China, United States
Kennecott Utah Copper LLC *
United States
Gold
 
Japan, United States
King-Tan Tantalum Industry Ltd *
China
Tantalum
 
China, Ethiopia
Kojima Chemicals Co., Ltd *
Japan
Gold
 
Japan
Koki Products Co., Ltd.
Thailand
Tin
 
Thailand
Korea Metal Co. Ltd
South Korea
Gold
 
Australia, South Korea, Recycle/Scrap
Kyrgyzaltyn JSC
Kyrgyzstan
Gold
 
Australia, Brazil, Kyrgyzstan
L' azurde Company For Jewelry *
Saudi Arabia
Gold
 
Australia, Canada, Japan, Saudi Arabia
Lingbao Gold Company Ltd.
China
Gold
 
China
Lingbao Jinyuan Tonghui Refinery Co. Ltd.
China
Gold
 
China
Linwu Xianggui Smelter Co
China
Tin
 
China
LSM Brasil S.A. *
Brazil
Tantalum
 
Brazil

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Smelter or Refiner
Smelter Location
3TG
3TG Country of Origin - DRC Region
3TG Country of Origin - Other
LS-NIKKO Copper Inc. *
South Korea
Gold
 
Australia, Chile, Indonesia, Kazakhstan, Brazil, India, Japan, South Korea, Peru, South Africa, United States
Luoyang Zijin Yinhui Metal Smelt Co Ltd
China
Gold
 
China
Magnu's Minerais Metais e Ligas LTDA *
Brazil
Tin
 
Brazil
Malaysia Smelting Corporation (MSC) *
Malaysia
Gold
DRC, Rwanda
Australia, Bolivia, Brazil, China, Indonesia, Malaysia, Niger, Nigeria, Peru, Portugal, Spain, Thailand
Malipo Haiyu Tungsten Co., Ltd. *
China
Tungsten
 
China
Materials Eco-Refining CO., LTD
Japan
Tin
 
Recycle/Scrap
Materion *
United States
Gold, Tungsten
 
Brazil, Canada, Chile, China, United States
Matsuda Sangyo Co., Ltd. *
Japan
Gold
 
Australia, Canada, China, Indonesia, Japan, United Kingdom, United States
Melt Metais e Ligas S/A *
Brazil
Tin
 
Brazil
Metallo Chimique *
Belgium
Gold
DRC
China, Malaysia, Peru, Russia, Thailand
Metalor Technologies (Hong Kong) Ltd *
Hong Kong
Gold
 
Australia, China, Japan, Peru, United States
Metalor Technologies (Singapore) Pte. Ltd. *
Singapore
Gold
 
China
Metalor Technologies (Suzhou) Co Ltd
China
Gold
 
China, South Africa
Metalor Technologies SA *
Switzerland
Gold
 
Canada, China, Sweden, United Kingdom, United States
Metalor USA Refining Corporation *
United States
Gold
 
Canada, China, Mexico, United States
Met-Mex Peñoles, S.A. *
Mexico
Gold
 
China, Mexico
Mineração Taboca S.A. *
Brazil
Tin
 
Brazil, Thailand
Minmetals Ganzhou Tin Co. Ltd.
China
Tungsten, Tin
 
Indonesia

15




Smelter or Refiner
Smelter Location
3TG
3TG Country of Origin - DRC Region
3TG Country of Origin - Other
Minsur *
Peru
Gold
DRC, Rwanda
Bolivia, Brazil, China, Indonesia, Malaysia, Peru, Thailand
Mitsubishi Materials Corporation *
Japan
Gold
 
Argentina, Australia, Canada, Chile, Indonesia, Papua New Guinea, Peru
Mitsubishi Materials Corporation *
Japan
Tin
 
China, Indonesia, Recycle/Scrap
Mitsui Mining and Smelting Co., Ltd. *
Japan
Gold
 
Australia, Canada, China, Japan
Moscow Special Alloys Processing Plant
Russia
Gold
 
Russia
Nankang Nanshan Tin Co., Ltd.
 China
Tin
 
China, Portugal, Russia
Navoi Mining and Metallurgical Combinat
Uzbekistan
Gold
 
Australia, Canada, Chile, Indonesia, Japan, Peru, United States, Uzbekistan
Nghe Tinh Non-Ferrous Metals Joint Stock Company
Vietnam
Tin
 
Vietnam
Nihon Material Co. LTD *
Japan
Gold
 
Australia, Canada, Japan, Mozambique
Ningxia Orient Tantalum Industry Co., Ltd. *
China
Tungsten
Burundi, Rwanda
Australia, Brazil, China, Ethiopia, Malaysia, Mozambique, Nigeria
North American Tungsten
Canada
Tungsten
 
China, Canada
Novosibirsk Integrated Tin Works
Russia
Tin
 
Peru, Russia
Nui Phao Mining Company Ltd.
 Vietnam
Tungsten
 
Vietnam
O.M. Manufacturing (Thailand) Co., Ltd.
Thailand
Tin
 
China, Thailand
O.M. Manufacturing Philippines, Inc.
Philippines
Tin
 
Bolivia, Brazil, China, Malaysia, Peru
Ohio Precious Metals, LLC *
United States
Gold
 
Brazil, Indonesia, Japan, Kazakhstan, Philippines, Russia, United States
Ohura Precious Metal Industry Co., Ltd *
Japan
Gold
 
Japan
OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastvetmet) *
Russia
Gold
 
Russia

16




Smelter or Refiner
Smelter Location
3TG
3TG Country of Origin - DRC Region
3TG Country of Origin - Other
OJSC Kolyma Refinery
Russia
Gold
 
Russia
Operaciones Metalurgical S.A. *
Bolivia
Tin
DRC
Bolivia, Brazil, China, Indonesia, Malaysia, Peru, Russia, Thailand
PAMP SA *
Switzerland
Gold
 
Australia, Canada, Mexico, South Africa
Penglai Penggang Gold Industry Co Ltd
China
Gold
 
China
Plansee
Austria
Tantalum
 
Australia, China, Ethiopia, Nigeria, Russia
Prioksky Plant of Non-Ferrous Metals
Russia
Gold
 
Australia, China, Russia
PT Alam Lestari Kencana
Indonesia
Tin
 
Australia, Indonesia
PT Aneka Tambang (Persero) Tbk *
Indonesia
Gold
 
China, Indonesia
PT Artha Cipta Langgeng
Indonesia
Tin
 
Bolivia, Brazil, China, Indonesia, Malaysia
PT Babel Inti Perkasa *
Indonesia
Tin
 
Indonesia, Peru
PT Babel Surya Alam Lestari
Indonesia
Tin
 
China
PT Bangka Kudai Tin
Indonesia
Tin
 
China, Indonesia
PT Bangka Putra Karya *
Indonesia
Tin
DRC
Bolivia, Brazil, China, Indonesia, Malaysia, Peru
PT Bangka Timah Utama Sejahtera
Indonesia
Tin
 
Brazil, China, Indonesia
PT Bangka Tin Industry *
Indonesia
Tin
 
Bolivia, Brazil, China, Malaysia, Peru
PT Belitung Industri Sejahtera *
Indonesia
Tin
 
Indonesia
PT BilliTin Makmur Lestari
Indonesia
Tin
 
Bolivia, Brazil, China, Malaysia, Peru
PT Bukit Timah *
Indonesia
Gold
DRC
Australia, Bolivia, Brazil, China, Indonesia, Malaysia, Peru, Russia

17




Smelter or Refiner
Smelter Location
3TG
3TG Country of Origin - DRC Region
3TG Country of Origin - Other
PT DS Jaya Abadi *
Indonesia
Tin
 
Australia, Bolivia, Brazil, China, Indonesia, Malaysia, Peru, Russia
PT Eunindo Usaha Mandiri *
Indonesia
Tin
 
China
PT HP Metals Indonesia
Indonesia
Tin
 
Bolivia, China, Malaysia
PT Justindo
Indonesia
Tin
 
Australia, Brazil, China
PT Koba Tin
Indonesia
Tin
 
Bolivia, Brazil, China, Indonesia, Malaysia, Peru, Portugal, Recycle/Scrap, Russia, Spain, Thailand
PT Mitra Stania Prima *
Indonesia
Tin
 
Bolivia, Brazil, China, Indonesia, Mexico, Russia
PT Pelat Timah Nusantara Tbk
Indonesia
Tin
DRC, Burundi, Rwanda
Bolivia, Niger, Indonesia, Brazil, China, Malaysia, Nigeria
PT Refined Banka Tin *
Indonesia
Tin
 
China, Indonesia
PT Stanindo Inti Perkasa *
Indonesia
Tungsten
DRC
Australia, Bolivia, Brazil, China, Indonesia, Malaysia, Peru
PT Sumber Jaya Indah
Indonesia
Tin
 
China
PT Supra Sukses Trinusa
Indonesia
Tin
 
China, Russia
PT Tambang Timah *
Indonesia
Tin
 
Brazil, China, Indonesia, Malaysia, Peru, Thailand
PT Timah (Persero), Tbk *
Indonesia
Gold
DRC
Bolivia, Brazil, China, Indonesia, Malaysia, Peru, Thailand
PT Tinindo Inter Nusa *
Indonesia
Tin
 
China, Indonesia
PT Yinchendo Mining Industry
Indonesia
Tin
 
Brazil, China
Pure Technology
Russia
Tin
 
China, Russia
PX Précinox SA *
Switzerland
Gold
 
Australia, Canada, Mozambique
Rand Refinery (Pty) Ltd *
South Africa
Gold
DRC, Tanzania
Ghana, Guinea, Mali, Namibia, South Africa, Canada, China

18




Smelter or Refiner
Smelter Location
3TG
3TG Country of Origin - DRC Region
3TG Country of Origin - Other
RFH Tantalum Smeltry Co., Ltd *
China
Tantalum
 
China, Russia
Royal Canadian Mint *
Canada
Gold
 
Canada, Chile, Guyana, Japan, Mexico, Peru, Suriname
Rui Da Hung
Taiwan
Tin
 
China
Sabin Metal Corp.
United States
Gold
 
Canada, China, United States
Samduck Precious Metals
South Korea
Gold
 
South Korea
SAMWON METALS Corp.
South Korea
Gold
 
Australia, China, South Korea
SEMPSA Joyería Platería SA *
Spain
Gold
 
Spain
SGS
Bolivia
Tin
 
Bolivia, Brazil, China, Malaysia, Peru
Shandong Zhaojin Gold & Silver Refinery Co Ltd *
China
Gold
 
China, Japan, United States
Shanghai Jiangxi Metals Co., Ltd.
China
Tantalum
 
China
So Accurate Group, Inc.
United States
Gold
 
China, Thailand, United States
SOE Shyolkovsky Factory of Secondary Precious Metals
Russia
Gold
 
Russia
Soft Metais, Ltda.
Brazil
Tin
 
Brazil
Solar Applied Materials Technology Corp. *
Taiwan
Gold
 
Canada, China, United States
Sumitomo Metal Mining Co., Ltd. *
Germany
Gold, Tin, Tungsten
 
Australia, Canada, Chile, Indonesia, Japan, Peru, United States
Super Dragon Technology Co., Ltd.
Taiwan
Gold
 
China, Recycle/Scrap
Taki Chemicals *
Japan
Tantalum
 
Brazil
Tanaka Kikinzoku Kogyo K.K. *
Japan
Gold
 
Australia, Canada, Chile, China, Japan, Malaysia, Mexico, South Africa, United Kingdom, United States, Uzbekistan

19




Smelter or Refiner
Smelter Location
3TG
3TG Country of Origin - DRC Region
3TG Country of Origin - Other
Tejing (Vietnam) Tungsten Co., Ltd.
Vietnam
Tungsten
 
China, Vietnam
Telex *
United States
Tantalum
 
Recycle/Scrap, Russia
Thaisarco *
Thailand
Gold
DRC, Rwanda
Australia, Bolivia, Brazil, China, Indonesia, Malaysia, Myanmar, Peru, Portugal, Thailand
The Great Wall Gold and Silver Refinery of China
China
Gold
 
China
The Refinery of Shandong Gold Mining Co. Ltd *
China
Gold
 
China, Peru
Tokuriki Honten Co., Ltd *
Japan
Gold
 
Australia, Canada, Chile, China, Japan, Peru, UNITED STATES
Torecom
South Korea
Gold
 
South Korea
Ulba *
Kazakhstan
Tantalum
Burundi, DRC, Rwanda
Australia, Brazil, Canada, China, Ethiopia, Mozambique, Russia
Umicore Brasil Ltda *
Brazil
Gold
 
Brazil, Japan
Umicore Precious Metals Thailand *
Thailand
Gold
 
Thailand
United Precious Metal Refining, Inc. *
United States
Gold
 
Australia, Canada, China, Russia, Thailand, United States
Valcambi SA *
Switzerland
Gold
 
Australia, Japan
Vietnam Youngsun Tungsten Industry Co., Ltd. *
Vietnam
Tungsten
 
China, United States, Vietnam
Voss Metals Company, Inc.
United States
Tungsten
 
United States
Western Australian Mint trading as The Perth Mint *
Australia
Gold
 
Australia, Bolivia, Chile, China, Guinea, Papua New Guinea, Peru, South Korea
White Solder Metalurgia e Mineração Ltda. *
Brazil
Tin
 
Brazil, China, Peru, Thailand
Wolfram Bergbau und Hütten AG *
Austria
Tungsten
 
Australia, Austria, China
Wolfram Company CJSC
Russia
Tin
Rwanda
Brazil, Canada, China, Russia, Thailand, United States

20




Smelter or Refiner
Smelter Location
3TG
3TG Country of Origin - DRC Region
3TG Country of Origin - Other
Xiamen Tungsten (H.C.) Co., Ltd. *
China
Tungsten
Burundi, Rwanda
Australia, Bolivia, Brazil, Canada, China, Russia, Spain, Thailand
Xiamen Tungsten Co., Ltd. *
China
Tantalum
Rwanda
Australia, Bolivia, Brazil, Canada, China, Peru, Portugal, Russia, Spain, Thailand, United States, Vietnam
Xinhai Rendan Shaoguan Tungsten Co., Ltd.
China
Tungsten
 
China
Yamamoto Precious Metal Co., Ltd.
Japan
Gold
 
Japan
Yantai Guodasafina High-tech Environmental Refinery CO., Ltd.
China
Gold
 
China
Yichun Jin Yang Rare Metal Co., Ltd *
China
Tantalum
 
China
Yokohama Metal Co Ltd
Japan
Gold
 
Brazil, China, Japan, Malaysia
Yunnan Chengfeng Non-ferrous Metals Co.,Ltd.
China
Tin, Gold
 
China, Recycle/Scrap
Yunnan Copper Industry Co Ltd
China
Gold
 
China
Yunnan Tin Company Limited *
China
Gold
DRC
Australia, Bolivia, Brazil, China, Indonesia, Malaysia, Peru
Zhongyuan Gold Smelter of Zhongjin Gold Corporation *
China
Gold
 
Australia, Canada, China, Mozambique, Philippines, Thailand
Zhuzhou Cement Carbide *
China
Tungsten
Burundi, DRC, Rwanda
Brazil, China, Malaysia, Nigeria, Russia
Zhuzhou Cemented Carbide Group Co Ltd
China
Tin
Rwanda
Australia, Bolivia, Brazil, Canada, China, Russia, Spain, Thailand
Zijin Mining Group Co. Ltd *
China
Gold
 
Australia, China, Kyrgyzstan, Mongolia, Peru, Russia, Tajikistan

*
Smelter certified as conflict free by the Conflict Free Smelter Initiative or an equivalent independent third party certification program during 2014.


21