EX-1.01 2 a15-12970_1ex1d01.htm EX-1.01

Exhibit 1.01

 

NOKIA CONFLICT MINERALS REPORT FOR 2014

 

May 28, 2015

 

Introduction

 

This is the conflict minerals report for Nokia for calendar year 2014. Based on our reasonable country of origin inquiry, Nokia has reason to believe that certain of the Conflict Minerals(2) necessary to the functionality or production of our products may have originated in the Democratic Republic of the Congo or an adjoining country (the “Covered Countries”) and may not have come from recycled or scrap sources. Accordingly, Nokia undertook due diligence measures on the source and chain of custody of these Conflict Minerals. In the design of our due diligence processes we have conformed to the internationally recognized due diligence framework provided by OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High Risk Areas (OECD 2013) (the “OECD Due Diligence Guidance”). The details of this alignment of our conflict minerals due diligence process with the OECD Due Diligence Guidance are provided in Table 1 below:

 

Table 1. OECD Due Diligence Guidance & related Nokia Due Diligence actions

 

OECD Due Diligence Guidance

 

Nokia Due Diligence Action

 

 

 

STEP 1. Establish strong company management systems

 

 

 

Adopt, and clearly communicate to suppliers and the public, a company policy for the supply chain of minerals originating from conflict-affected and high-risk areas. This policy should incorporate the standards against which due diligence is to be conducted, consistent with the standards set forth in the model supply chain policy in Annex II.

 

Nokia has a policy which describes Nokia’s commitment to conflict-free sourcing globally, including responsible and conflict-free sourcing through legitimate trade from Conflict-Affected and High Risk areas (OECD 2013) and measures taken to reach that goal (referred to herein as the “Policy”). It also sets out a commitment to identify, assess, mitigate, and respond to risks. The Policy is subject to regular reviews and was last updated in February 2015.

 

The Policy has been communicated to suppliers when first released and thereafter in conjunction with the annual supply chain conflict minerals inquiry. The Policy is publicly available on our website: http://company.nokia.com/en/sustainability/downloads

 

 

 

Structure internal management systems to support supply chain due diligence.

 

In order to support and oversee the implementation of the Policy we have set up a cross-functional project team that includes members with necessary competence from sourcing, operations, sustainability, legal, and reporting and government relations teams. The supply chain inquiry is carried out through the internal conflict-free sourcing deployment team in cooperation with global network of sourcing managers and the results are periodically reviewed with Sourcing leadership and Responsibility Council (cross-functional committee for sustainability governance composed of group responsibility management and senior leaders from business units).

 

 

 

Establish a system of controls and transparency

 

Nokia’s system of controls and transparency is a combination of internal activities, work with direct suppliers and reliance on joint industry

 


(2)  Columbite-tantalite (coltan) (or its derivative tantalum), cassiterite (or its derivative tin), gold and wolframite (or its derivative tungsten).

 



 

over the mineral supply chain. This includes a chain of custody or a traceability system or the identification of upstream actors in the supply chain. This may be implemented through participation in industry-driven programs.

 

programs such as the Conflict-Free Sourcing Initiative (the “CFSI”). As a CFSI member company Nokia is familiar with the rigor and development of the audit protocol that led to the CFSI Conflict-Free Smelter audit program in accordance with an internationally accepted standard: OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, 2nd Edition. Furthermore, the mutual recognition between the CFSI Conflict-Free Smelter Program audit and the Responsible Jewellery Council’s Chain of Custody certification and London Bullion Market Association’s Responsible Gold Programme establish these programs as internationally accepted industry standards.

 

Nokia started by scoping its reasonable country of origin inquiry. The product data management system was used to determine which of the suppliers are relevant for the conflict minerals supply chain inquiry.

 

In order to identify the smelters and refiners in our supply chain and country of origin data, Nokia has conducted a supply chain survey using the CFSI conflict minerals reporting template and reviewed gathered information against that provided by CFSI and its Conflict Free Smelter Program (“CFSP”).

 

CFSI publishes a conflict-free smelter list, which is composed of mineral processing facilities that have been reviewed by an independent third-party audit to assess whether the facility employs policies, practices, and procedures to provide assurance that the material sourced is DRC conflict-free. CFSI also provides country of origin data for members, which has been aggregated due to confidential business information concerns (which conforms to the OECD Guidance specified in Step 5). This is reasonable because the country of the material’s origin is thoroughly examined in the audit process, even if the origin’s more specific location is not published. Therefore, reliance on the aggregated country list constitutes a reasonable inquiry into the material’s country of origin. The data on which we relied for certain statements in this conflict minerals report was obtained through our membership in the CFSI, using the Reasonable Country of Origin Inquiry report for member (unique ID code: 0001946480).

 

 

 

Strengthen company engagement with suppliers. A conflict minerals policy should be incorporated into contracts and/or agreements with suppliers. Where possible, assist suppliers in building capacities with a view to improving due diligence performance.

 

Nokia’s approach is to establish long-term relationships with suppliers, seek sustainable solutions, and work with suppliers to drive improvements. Nokia has incorporated the principles outlined in the Policy into Supplier Requirements. These requirements are an appendix to standard supplier agreements. Nokia reserves the right to assess its suppliers against its Supplier Requirements.

 

Nokia has provided support for suppliers in the form of detailed feedback on their conflict minerals reporting template, and corrective action plans were agreed as necessary. Nokia also encouraged suppliers to participate in and support multistakeholder forums and conflict-free sourcing initiatives. We have also conducted several dedicated information sharing webinar sessions with suppliers to further explain our conflict minerals requirements.

 

 

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Establish a company-level, or industry-wide, grievance mechanism as an early-warning risk-awareness system.

 

Concerns and violations of the Policy can be reported to Nokia through our official grievance channel, the Nokia Business Ethics Helpline available through https://nokiaethics.alertline.com

 

Suppliers and other external parties are encouraged to contact their regular sourcing channel if they wish to seek guidance on the application of the Policy approach, or if they wish to report suspected abuse. They, and other external stakeholders, may also report problems or concerns to the Nokia Business Ethics Helpline.

 

 

 

STEP 2. Identify and assess risk in the supply chain

 

 

 

Identify and assess risks in their supply chain as recommended in the Supplements.

 

As a downstream company Nokia is many supply chain tiers away from mining activities and has no direct business relationship with mining activities or metal processing facilities. Therefore in order to conduct its reasonable country of origin inquiry, Nokia used a combination of actions both individually with direct suppliers, as well as multilaterally with industry peers and other stakeholders.

 

With direct suppliers, the primary means for conducting the reasonable country of origin inquiry was through a supply chain survey using the standard industry conflict minerals reporting template (provided by CFSI), with the aim of assessing the direct suppliers’ due diligence activities and identifying processing facilities and countries of mineral origin. Nokia assessed risks by reviewing supplier templates to understand their due diligence activities and identified processing facilities and countries of origin, and whether the minerals originate from recycled or scrap sources. In order to improve data quality and completeness Nokia has conducted two rounds of surveys with suppliers, provided feedback on supplier templates and agreed on corrective actions if necessary. As a result of detailed feedback and two follow up rounds with the suppliers the quality of data has significantly improved over the last year.

 

Nokia continued the risk assessment by comparing smelter data provided by suppliers to information provided by the CFSP and Internet searches in order to verify whether the smelters and refiners have been validated as conflict-free or not and to identify the countries of origin of the minerals.

 

 

 

STEP 3. Design and implement a strategy to respond to identified risks

 

 

 

Report findings of the supply chain risk assessment to the designated senior management of the company

 

In accordance with the Policy the results of the annual supply chain inquiry and risks identified throughout the year are reported to Nokia’s Head of Global Procurement and Responsibility Council.

 

 

 

Devise and adopt a risk management plan

 

To minimize the risk of tin, tantalum, tungsten or gold present in our products contributing to conflict in the Covered Countries, we seek to conduct a reasonable country of origin inquiry on a regular basis, check and increase the number of validated smelters and refiners in our supply chain and consider other publicly available information about smelting operation and country of origin.

 

As part of risk mitigation with our direct suppliers, we provide them feedback on the quality of their conflict minerals due diligence information and ask clarifying questions and demand corrective actions where necessary. We have set up informational calls with selected suppliers to

 

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help build their capacity, and we encourage our suppliers to participate in industry activities in order to learn and contribute.

 

When suppliers have identified in their conflict minerals survey that some of the minerals originate from the Covered Countries we have performed additional due diligence to find out as much as reasonably possible about the origins of the metals. This involves asking suppliers to identify the smelter or refiner that processed the material and checking whether it has been validated as conflict-free.

 

As part of risk mitigation we aim to increase the portion of validated conflict-free smelters and refiners in our supply chain, with the aim of ultimately sourcing only from validated processing facilities.

 

 

 

Implement the risk management plan, monitor and track performance of risk mitigation efforts and report back to designated senior management. This may be done in cooperation and/or consultation with local and central government authorities, upstream companies, international or civil society organisations and affected third-parties where the risk management plan is implemented and monitored in conflict-affected and high-risk areas.

 

Risk management plans, monitoring and performance tracking is done in close collaboration with sourcing and followed up by the cross-functional conflict minerals working group that oversees the implementation of the Policy. The results are reported to sourcing category leaders and also back to Head of Global Procurement and Responsibility Council.

 

Where risk incidents involve direct suppliers, we carry out risk management planning, monitoring and performance tracking through the sourcing managers’ network. In cases where risk incidents do not result in corrective actions taken to our satisfaction, it can ultimately result in termination of the business relationship.

 

In cases where our regular annual supply chain inquiry indicates that a given supplier is getting materials from the Covered Countries, there are additional risk management activities, such as checking the reported mine of origin against industry data and public sources of information, and follow-up of the status periodically.

 

 

 

Undertake additional fact and risk assessments for risks requiring mitigation, or after a change of circumstances.

 

As necessary through the same steps as above.

 

 

 

STEP 4. Carry out independent third-party audit of supply chain due diligence at identified points in the supply chain

 

 

 

Companies at identified points (as indicated in the Supplements) in the supply chain should have their due diligence practices audited by independent third parties. Such audits may be verified by an independent institutionalised mechanism.

 

As the origin of Conflict Minerals cannot be determined after the ores have been smelted or refined, smelters and refiners are in the best position to determine the country of origin. Thus the most important point in the supply chain for a downstream company to have third-party conflict-free validation is the smelter or refiner level. For that purpose we make use of the cross-industry conflict-free smelter listing of the CFSP. The CFSP has agreed on mutual cross-recognition of gold refiner audits with London Bullion Market Association (“LBMA”) and Responsible Jewellery Council (“RJC”), and therefore refineries validated by those organizations are also considered to be conflict-free. Refineries validated by LBMA and RJC are reflected in the CFSI list of validated smelters and refiners.

 

http://www.conflictfreesourcing.org/conflict-free-smelter-refiner-lists/We compare the aggregated smelter and refiner list of our supply chain against the validated smelter and refiner lists provided by the CFSP. We

 

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also take steps to encourage the non-validated smelters to enter into the program and start the process of validation through our direct outreach to smelters as well as through the respective working group at CFSI.

 

 

 

STEP 5. Report on supply chain due diligence

 

 

 

Companies should publicly report on their supply chain due diligence policies and practices and may do so by expanding the scope of their sustainability, corporate social responsibility or annual reports to cover additional information on mineral supply chain due diligence.

 

Nokia reports publicly on its due diligence policies and practices in the Form SD filed with the US Securities and Exchange Commission, its annual sustainability report (Nokia People and Planet report), and on its company website.

 

As a downstream company, our due diligence measures can provide only reasonable, not absolute, assurance regarding the source and chain of custody of the Conflict Minerals. Our due diligence process is based on the necessity of seeking data from our direct suppliers and the direct suppliers seeking data within their supply chain to identify the original sources of the Conflict Minerals. We also rely to a large extent on information provided by independent third-party audit programs. Such sources of information may yield inaccurate or incomplete information and may be subject to misstatements.

 

RESULTS OF NOKIA SUPPLY CHAIN INQUIRY FOR 2014

 

In order to conduct the reasonable country of origin inquiry Nokia started by determining the suppliers to be in scope for the supply chain inquiry. The analysis of the material content information gathered for all products  led us to conclude that small quantities of the four metals in question are present in practically all parts and components used to manufacture products in our Networks business (such as integrated circuits, connectors, resistors, hardware assembly components, RF MW circuits and capacitors). The product data management system was used to determine which of Nokia’s suppliers are relevant for the conflict minerals supply chain inquiry. Suppliers being phased-out and products sourced from third parties and subsequently resold by Nokia without influence over the manufacturing or design of such products were not in scope. Further, Nokia applied certain threshold levels of the respective supplier spend to exclude from the scope some of the suppliers accounting for relatively insignificant procurement spend by Nokia. HERE and Nokia Technologies did not manufacture or contract to manufacture products containing Conflict Minerals necessary to the functionality or production of such products.

 

In 2014, Nokia sold its Devices & Services business to Microsoft Corporation — a transaction that closed on April 25, 2014.  Nokia has been informed by Microsoft Corporation that Microsoft Corporation will cover the Devices & Services business for the full calendar year 2014 in its Form SD. Accordingly, in order to avoid duplicative and partial disclosure, this Conflict Minerals Report does not cover the Devices & Services business for 2014.

 

The results of Nokia’s reasonable country of origin inquiry and due diligence on the source and chain of custody of Nokia’s necessary conflict minerals are the product of Nokia’s iterative and escalating data collection and dialogue process with our in-scope suppliers. This process is designed to obtain information regarding the smelters or refineries from which suppliers

 

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source such conflict minerals, and to verify the status of such smelters or refineries that comply with the CFSP assessment protocols as a method of assessing the mine and location of origin of such conflict minerals.

 

The number of suppliers in the scope defined above was 203 and the inquiry response rate was 100%.

 

Based on our due diligence efforts we found that:

 

·                  98% of suppliers have adopted a conflict minerals policy (88% in 2013).

 

·                  61% of smelters have been validated by CFSP or mutually recognized programs (out of known smelters) (40% in 2013(3)): gold 60%, tantalum 100%, tin 51% and tungsten 41%.

 

·                  73% of smelters are validated or active in the validation process (out of known smelters) (55% in 2013): gold 65%, tantalum 100%, tin 71% and tungsten 71%.

 

 

Figure 1. Conflict-Free validation status of the 259 identified smelters

 

In support of supply chain transparency, we disclose in the tables below: the processing facilities we have identified through our due diligence process as having processed conflict minerals contained in the products manufactured by Nokia and in products for which Nokia has contracted with third parties to manufacture. The processing facilities (including smelters and refiners) are listed on an aggregated basis per metal and classified within three categories — “validated”, “active”, and “no public participation in validation program”.

 

Conflict-Free Smelter Program (CFSP) Compliant Processing Facilities

 

The smelters and refiners identified as part of our reasonable country of origin inquiry and validated as compliant according to CFSP protocol:

 

Metal

 

Standard Smelter Name

 

Smelter ID

 

Smelter Country

Gold

 

Allgemeine Gold-und Silberscheideanstalt A.G.

 

CID000035

 

GERMANY

 


(3)  The number of identified smelters increased from 197 in 2013 to 259 in 2014.

 

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Gold

 

AngloGold Ashanti Córrego do Sítio Mineração

 

CID000058

 

BRAZIL

Gold

 

Argor-Heraeus SA

 

CID000077

 

SWITZERLAND

Gold

 

Asahi Pretec Corporation

 

CID000082

 

JAPAN

Gold

 

Atasay Kuyumculuk Sanayi Ve Ticaret A.S.

 

CID000103

 

TURKEY

Gold

 

Aurubis AG

 

CID000113

 

GERMANY

Gold

 

Boliden AB

 

CID000157

 

SWEDEN

Gold

 

C. Hafner GmbH + Co. KG

 

CID000176

 

GERMANY

Gold

 

CCR Refinery — Glencore Canada Corporation

 

CID000185

 

CANADA

Gold

 

Chimet S.p.A.

 

CID000233

 

ITALY

Gold

 

Dowa

 

CID000401

 

JAPAN

Gold

 

Eco-System Recycling Co., Ltd.

 

CID000425

 

JAPAN

Gold

 

Heimerle + Meule GmbH

 

CID000694

 

GERMANY

Gold

 

Heraeus Ltd. Hong Kong

 

CID000707

 

CHINA

Gold

 

Heraeus Precious Metals GmbH & Co. KG

 

CID000711

 

GERMANY

Gold

 

Ishifuku Metal Industry Co., Ltd.

 

CID000807

 

JAPAN

Gold

 

Istanbul Gold Refinery

 

CID000814

 

TURKEY

Gold

 

Japan Mint

 

CID000823

 

JAPAN

Gold

 

JSC Ekaterinburg Non-Ferrous Metal Processing Plant

 

CID000927

 

RUSSIAN FEDERATION

Gold

 

JSC Uralelectromed

 

CID000929

 

RUSSIAN FEDERATION

Gold

 

JX Nippon Mining & Metals Co., Ltd.

 

CID000937

 

JAPAN

Gold

 

Kennecott Utah Copper LLC

 

CID000969

 

UNITED STATES

Gold

 

L’ azurde Company For Jewelry

 

CID001032

 

SAUDI ARABIA

Gold

 

LS-NIKKO Copper Inc.

 

CID001078

 

KOREA, REPUBLIC OF

Gold

 

Materion

 

CID001113

 

UNITED STATES

Gold

 

Matsuda Sangyo Co., Ltd.

 

CID001119

 

JAPAN

Gold

 

Metalor Technologies SA

 

CID001153

 

SWITZERLAND

Gold

 

Metalor USA Refining Corporation

 

CID001157

 

UNITED STATES

Gold

 

METALÚRGICA MET-MEX PEÑOLES, S.A. DE C.V

 

CID001161

 

MEXICO

Gold

 

Mitsubishi Materials Corporation

 

CID001188

 

JAPAN

Gold

 

Mitsui Mining and Smelting Co., Ltd.

 

CID001193

 

JAPAN

Gold

 

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

 

CID001220

 

TURKEY

Gold

 

Ohio Precious Metals, LLC

 

CID001322

 

UNITED STATES

Gold

 

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

 

CID001326

 

RUSSIAN FEDERATION

Gold

 

PAMP SA

 

CID001352

 

SWITZERLAND

Gold

 

PT Aneka Tambang (Persero) Tbk

 

CID001397

 

INDONESIA

Gold

 

PX Précinox SA

 

CID001498

 

SWITZERLAND

Gold

 

Republic Metals Corporation

 

CID002510

 

UNITED STATES

Gold

 

Royal Canadian Mint

 

CID001534

 

CANADA

Gold

 

Schone Edelmetaal

 

CID001573

 

NETHERLANDS

Gold

 

SEMPSA Joyería Platería SA

 

CID001585

 

SPAIN

Gold

 

Solar Applied Materials Technology Corp.

 

CID001761

 

TAIWAN

Gold

 

Sumitomo Metal Mining Co., Ltd.

 

CID001798

 

JAPAN

Gold

 

Tanaka Kikinzoku Kogyo K.K.

 

CID001875

 

JAPAN

Gold

 

Umicore Precious Metals Thailand

 

CID002314

 

THAILAND

 

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Gold

 

Umicore SA Business Unit Precious Metals Refining

 

CID001980

 

BELGIUM

Gold

 

United Precious Metal Refining, Inc.

 

CID001993

 

UNITED STATES

Gold

 

Valcambi SA

 

CID002003

 

SWITZERLAND

Gold

 

Western Australian Mint trading as The Perth Mint

 

CID002030

 

AUSTRALIA

Gold

 

Yamamoto Precious Metal Co., Ltd.

 

CID002100

 

JAPAN

Gold

 

Zhongyuan Gold Smelter of Zhongjin Gold Corporation

 

CID002224

 

CHINA

Gold

 

Zijin Mining Group Co., Ltd. Gold Refinery

 

CID002243

 

CHINA

Gold

 

Kazzinc

 

CID000957

 

KAZAKHSTAN

Gold

 

The Refinery of Shandong Gold Mining Co., Ltd.

 

CID001916

 

CHINA

Gold

 

Aida Chemical Industries Co., Ltd.

 

CID000019

 

JAPAN

Gold

 

Kojima Chemicals Co., Ltd.

 

CID000981

 

JAPAN

Gold

 

Shandong Zhaojin Gold & Silver Refinery Co., Ltd.

 

CID001622

 

CHINA

Gold

 

Johnson Matthey Inc.

 

CID000920

 

UNITED STATES

Gold

 

Johnson Matthey Limited

 

CID000924

 

CANADA

Gold

 

Metalor Technologies (Hong Kong) Ltd.

 

CID001149

 

CHINA

Gold

 

Nihon Material Co., Ltd.

 

CID001259

 

JAPAN

Gold

 

Rand Refinery (Pty) Ltd.

 

CID001512

 

SOUTH AFRICA

Gold

 

Tokuriki Honten Co., Ltd.

 

CID001938

 

JAPAN

Gold

 

Metalor Technologies (Singapore) Pte., Ltd.

 

CID001152

 

SINGAPORE

Gold

 

Umicore Brasil Ltda.

 

CID001977

 

BRAZIL

Gold

 

Ohura Precious Metal Industry Co., Ltd.

 

CID001325

 

JAPAN

Gold

 

Sichuan Tianze Precious Metals Co., Ltd.

 

CID001736

 

CHINA

Tantalum

 

Changsha South Tantalum Niobium Co., Ltd.

 

CID000211

 

CHINA

Tantalum

 

Conghua Tantalum and Niobium Smeltry

 

CID000291

 

CHINA

Tantalum

 

Duoluoshan

 

CID000410

 

CHINA

Tantalum

 

Exotech Inc.

 

CID000456

 

UNITED STATES

Tantalum

 

F&X Electro-Materials Ltd.

 

CID000460

 

CHINA

Tantalum

 

Global Advanced Metals Aizu

 

CID002558

 

JAPAN

Tantalum

 

Global Advanced Metals Boyertown

 

CID002557

 

UNITED STATES

Tantalum

 

Guangdong Zhiyuan New Material Co., Ltd.

 

CID000616

 

CHINA

Tantalum

 

Guizhou Zhenhua Xinyun Technology Ltd., Kaili branch

 

CID002501

 

CHINA

Tantalum

 

H.C. Starck Co., Ltd.

 

CID002544

 

THAILAND

Tantalum

 

H.C. Starck GmbH Goslar

 

CID002545

 

GERMANY

Tantalum

 

H.C. Starck GmbH Laufenburg

 

CID002546

 

GERMANY

Tantalum

 

H.C. Starck Hermsdorf GmbH

 

CID002547

 

GERMANY

Tantalum

 

H.C. Starck Inc.

 

CID002548

 

UNITED STATES

Tantalum

 

H.C. Starck Ltd.

 

CID002549

 

JAPAN

Tantalum

 

H.C. Starck Smelting GmbH & Co.KG

 

CID002550

 

GERMANY

Tantalum

 

Hengyang King Xing Lifeng New Materials Co., Ltd.

 

CID002492

 

CHINA

Tantalum

 

Hi-Temp Specialty Metals, Inc.

 

CID000731

 

UNITED STATES

Tantalum

 

JiuJiang JinXin Nonferrous Metals Co., Ltd.

 

CID000914

 

CHINA

Tantalum

 

Jiujiang Tanbre Co., Ltd.

 

CID000917

 

CHINA

Tantalum

 

KEMET Blue Metals

 

CID002539

 

MEXICO

Tantalum

 

KEMET Blue Powder

 

CID002568

 

UNITED STATES

Tantalum

 

LSM Brasil S.A.

 

CID001076

 

BRAZIL

Tantalum

 

Mineração Taboca S.A.

 

CID001175

 

BRAZIL

 

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Tantalum

 

Mitsui Mining & Smelting

 

CID001192

 

JAPAN

Tantalum

 

Molycorp Silmet A.S.

 

CID001200

 

ESTONIA

Tantalum

 

Ningxia Orient Tantalum Industry Co., Ltd.

 

CID001277

 

CHINA

Tantalum

 

Plansee SE Liezen

 

CID002540

 

AUSTRIA

Tantalum

 

Plansee SE Reutte

 

CID002556

 

AUSTRIA

Tantalum

 

QuantumClean

 

CID001508

 

UNITED STATES

Tantalum

 

Solikamsk Magnesium Works OAO

 

CID001769

 

RUSSIAN FEDERATION

Tantalum

 

Taki Chemicals

 

CID001869

 

JAPAN

Tantalum

 

Ulba Metallurgical Plant JSC

 

CID001969

 

KAZAKHSTAN

Tantalum

 

Telex Metals

 

CID001891

 

UNITED STATES

Tantalum

 

Zhuzhou Cemented Carbide

 

CID002232

 

CHINA

Tantalum

 

King-Tan Tantalum Industry Ltd.

 

CID000973

 

CHINA

Tantalum

 

Metallurgical Products India Pvt., Ltd.

 

CID001163

 

INDIA

Tantalum

 

RFH Tantalum Smeltry Co., Ltd.

 

CID001522

 

CHINA

Tantalum

 

Yichun Jin Yang Rare Metal Co., Ltd.

 

CID002307

 

CHINA

Tantalum

 

Jiujiang Zhongao Tantalum & Niobium Co., Ltd.

 

CID002506

 

CHINA

Tin

 

Alpha

 

CID000292

 

UNITED STATES

Tin

 

CV United Smelting

 

CID000315

 

INDONESIA

Tin

 

Dowa

 

CID000402

 

JAPAN

Tin

 

EM Vinto

 

CID000438

 

BOLIVIA

Tin

 

Jiangxi Ketai Advanced Material Co., Ltd.

 

CID000244

 

CHINA

Tin

 

Malaysia Smelting Corporation (MSC)

 

CID001105

 

MALAYSIA

Tin

 

Melt Metais e Ligas S/A

 

CID002500

 

BRAZIL

Tin

 

Mineração Taboca S.A.

 

CID001173

 

BRAZIL

Tin

 

Minsur

 

CID001182

 

PERU

Tin

 

Mitsubishi Materials Corporation

 

CID001191

 

JAPAN

Tin

 

Operaciones Metalurgical S.A.

 

CID001337

 

BOLIVIA

Tin

 

PT Artha Cipta Langgeng

 

CID001399

 

INDONESIA

Tin

 

PT ATD Makmur Mandiri Jaya

 

CID002503

 

INDONESIA

Tin

 

PT Babel Inti Perkasa

 

CID001402

 

INDONESIA

Tin

 

PT Bangka Putra Karya

 

CID001412

 

INDONESIA

Tin

 

PT Bangka Tin Industry

 

CID001419

 

INDONESIA

Tin

 

PT Belitung Industri Sejahtera

 

CID001421

 

INDONESIA

Tin

 

PT Bukit Timah

 

CID001428

 

INDONESIA

Tin

 

PT DS Jaya Abadi

 

CID001434

 

INDONESIA

Tin

 

PT Eunindo Usaha Mandiri

 

CID001438

 

INDONESIA

Tin

 

PT Mitra Stania Prima

 

CID001453

 

INDONESIA

Tin

 

PT Panca Mega Persada

 

CID001457

 

INDONESIA

Tin

 

PT Prima Timah Utama

 

CID001458

 

INDONESIA

Tin

 

PT Refined Bangka Tin

 

CID001460

 

INDONESIA

Tin

 

PT Sariwiguna Binasentosa

 

CID001463

 

INDONESIA

Tin

 

PT Stanindo Inti Perkasa

 

CID001468

 

INDONESIA

Tin

 

PT Tinindo Inter Nusa

 

CID001490

 

INDONESIA

Tin

 

PT Wahana Perkit Jaya

 

CID002479

 

INDONESIA

Tin

 

Thaisarco

 

CID001898

 

THAILAND

Tin

 

White Solder Metalurgia e Mineração Ltda.

 

CID002036

 

BRAZIL

 

9



 

Tin

 

PT Timah (Persero) Tbk Kundur

 

CID001477

 

INDONESIA

Tin

 

PT Timah (Persero) Tbk Mentok

 

CID001482

 

INDONESIA

Tin

 

Yunnan Tin Group (Holding) Company Limited

 

CID002180

 

CHINA

Tin

 

Cooperativa Metalurgica de Rondônia Ltda.

 

CID000295

 

BRAZIL

Tin

 

Metallo-Chimique N.V.

 

CID002773

 

BELGIUM

Tin

 

Gejiu Non-Ferrous Metal Processing Co., Ltd.

 

CID000538

 

CHINA

Tin

 

Magnu’s Minerais Metais e Ligas Ltda.

 

CID002468

 

BRAZIL

Tungsten

 

Chenzhou Diamond Tungsten Products Co., Ltd.

 

CID002513

 

China

Tungsten

 

Fujian Jinxin Tungsten Co., Ltd.

 

CID000499

 

CHINA

Tungsten

 

Ganzhou Huaxing Tungsten Products Co., Ltd.

 

CID000875

 

CHINA

Tungsten

 

Ganzhou Jiangwu Ferrotungsten Co., Ltd.

 

CID002315

 

CHINA

Tungsten

 

Ganzhou Seadragon W & Mo Co., Ltd.

 

CID002494

 

CHINA

Tungsten

 

Global Tungsten & Powders Corp.

 

CID000568

 

UNITED STATES

Tungsten

 

Hunan Chunchang Nonferrous Metals Co., Ltd.

 

CID000769

 

CHINA

Tungsten

 

Japan New Metals Co., Ltd.

 

CID000825

 

JAPAN

Tungsten

 

Jiangxi Gan Bei Tungsten Co., Ltd.

 

CID002321

 

CHINA

Tungsten

 

Malipo Haiyu Tungsten Co., Ltd.

 

CID002319

 

CHINA

Tungsten

 

Wolfram Bergbau und Hütten AG

 

CID002044

 

AUSTRIA

Tungsten

 

Xiamen Tungsten (H.C.) Co., Ltd.

 

CID002320

 

CHINA

Tungsten

 

Xiamen Tungsten Co., Ltd.

 

CID002082

 

CHINA

Tungsten

 

Vietnam Youngsun Tungsten Industry Co., Ltd.

 

CID002011

 

VIET NAM

 

CFSP Participating Processing Facilities

 

Smelters and refiners identified as part of our reasonable country of origin inquiry that have agreed to participate in the CFSP audit:

 

Metal

 

Standard Smelter Name

 

Smelter ID

 

Smelter Country

Gold

 

Cendres + Métaux SA

 

CID000189

 

SWITZERLAND

Gold

 

Doduco

 

CID000362

 

GERMANY

Gold

 

SOE Shyolkovsky Factory of Secondary Precious Metals

 

CID001756

 

RUSSIAN FEDERATION

Gold

 

Torecom

 

CID001955

 

KOREA, REPUBLIC OF

Gold

 

Asaka Riken Co., Ltd.

 

CID000090

 

JAPAN

Gold

 

Yokohama Metal Co., Ltd.

 

CID002129

 

JAPAN

Tin

 

China Tin Group Co., Ltd.

 

CID001070

 

CHINA

Tin

 

Fenix Metals

 

CID000468

 

POLAND

Tin

 

Nghe Tinh Non-Ferrous Metals Joint Stock Company

 

CID002573

 

VIET NAM

Tin

 

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

 

CID001314

 

THAILAND

Tin

 

O.M. Manufacturing Philippines, Inc.

 

CID002517

 

Philippines

Tin

 

PT Aries Kencana Sejahtera

 

CID000309

 

INDONESIA

Tin

 

PT BilliTin Makmur Lestari

 

CID001424

 

INDONESIA

Tin

 

PT Inti Stania Prima

 

CID002530

 

INDONESIA

Tin

 

PT Justindo

 

CID000307

 

INDONESIA

 

10



 

Tin

 

PT Karimun Mining

 

CID001448

 

INDONESIA

Tin

 

PT Sumber Jaya Indah

 

CID001471

 

INDONESIA

Tin

 

Rui Da Hung

 

CID001539

 

TAIWAN

Tin

 

VQB Mineral and Trading Group JSC

 

CID002015

 

VIET NAM

Tin

 

Yunnan Chengfeng Non-ferrous Metals Co., Ltd.

 

CID002158

 

CHINA

Tin

 

Soft Metais Ltda.

 

CID001758

 

BRAZIL

Tungsten

 

A.L.M.T. TUNGSTEN Corp.

 

CID000004

 

JAPAN

Tungsten

 

Chongyi Zhangyuan Tungsten Co., Ltd.

 

CID000258

 

CHINA

Tungsten

 

Ganzhou Non-ferrous Metals Smelting Co., Ltd.

 

CID000868

 

CHINA

Tungsten

 

Guangdong Xianglu Tungsten Co., Ltd.

 

CID000218

 

CHINA

Tungsten

 

H.C. Starck GmbH

 

CID002541

 

GERMANY

Tungsten

 

H.C. Starck Smelting GmbH & Co.KG

 

CID002542

 

GERMANY

Tungsten

 

Hunan Chenzhou Mining Group Co., Ltd.

 

CID000766

 

CHINA

Tungsten

 

Jiangxi Yaosheng Tungsten Co., Ltd.

 

CID002316

 

CHINA

Tungsten

 

Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC

 

CID002543

 

VIET NAM

Tungsten

 

Xinhai Rendan Shaoguan Tungsten Co., Ltd.

 

CID002095

 

CHINA

 

Processing facilities with no public participation in validation program

 

Together with our suppliers and industry cooperation we will continue requesting participation by these smelters and refiners in CFSP or an equivalent program:

 

Metal

 

Standard Smelter Name

 

Smelter ID

 

Smelter Country

Gold

 

Advanced Chemical Company

 

CID000015

 

UNITED STATES

Gold

 

Almalyk Mining and Metallurgical Complex (AMMC)

 

CID000041

 

UZBEKISTAN

Gold

 

Bangko Sentral ng Pilipinas (Central Bank of the Philippines)

 

CID000128

 

PHILIPPINES

Gold

 

Bauer Walser AG

 

CID000141

 

GERMANY

Gold

 

Caridad

 

CID000180

 

MEXICO

Gold

 

Chugai Mining

 

CID000264

 

JAPAN

Gold

 

Daye Non-Ferrous Metals Mining Ltd.

 

CID000343

 

CHINA

Gold

 

Do Sung Corporation

 

CID000359

 

KOREA, REPUBLIC OF

Gold

 

Geib Refining Corporation

 

CID002459

 

UNITED STATES

Gold

 

Guangdong Jinding Gold Limited

 

CID002312

 

CHINA

Gold

 

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

 

CID000651

 

CHINA

Gold

 

Hangzhou Fuchunjiang Smelting Co., Ltd.

 

CID000671

 

CHINA

Gold

 

Hunan Chenzhou Mining Group Co., Ltd.

 

CID000767

 

CHINA

Gold

 

Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited

 

CID000801

 

CHINA

Gold

 

Jiangxi Copper Company Limited

 

CID000855

 

CHINA

Gold

 

Kyrgyzaltyn JSC

 

CID001029

 

KYRGYZSTAN

Gold

 

Lingbao Gold Company Limited

 

CID001056

 

CHINA

 

11



 

Gold

 

Metalor Technologies (Suzhou) Ltd.

 

CID001147

 

CHINA

Gold

 

Moscow Special Alloys Processing Plant

 

CID001204

 

RUSSIAN FEDERATION

Gold

 

Navoi Mining and Metallurgical Combinat

 

CID001236

 

UZBEKISTAN

Gold

 

OJSC Kolyma Refinery

 

CID001328

 

RUSSIAN FEDERATION

Gold

 

Prioksky Plant of Non-Ferrous Metals

 

CID001386

 

RUSSIAN FEDERATION

Gold

 

Sabin Metal Corp.

 

CID001546

 

UNITED STATES

Gold

 

Samduck Precious Metals

 

CID001555

 

KOREA, REPUBLIC OF

Gold

 

SAMWON Metals Corp.

 

CID001562

 

KOREA, REPUBLIC OF

Gold

 

Shandong Tiancheng Biological Gold Industrial Co., Ltd.

 

CID001619

 

CHINA

Gold

 

So Accurate Group, Inc.

 

CID001754

 

UNITED STATES

Gold

 

The Great Wall Gold and Silver Refinery of China

 

CID001909

 

CHINA

Gold

 

OJSC Novosibirsk Refinery

 

CID000493

 

RUSSIAN FEDERATION

Gold

 

Luoyang Zijin Yinhui Gold Refinery Co., Ltd.

 

CID001093

 

CHINA

Gold

 

Hwasung CJ Co., Ltd.

 

CID000778

 

KOREA, REPUBLIC OF

Gold

 

Daejin Indus Co., Ltd.

 

CID000328

 

KOREA, REPUBLIC OF

Gold

 

Tongling Nonferrous Metals Group Co., Ltd.

 

CID001947

 

CHINA

Gold

 

Korea Metal Co., Ltd.

 

CID000988

 

KOREA, REPUBLIC OF

Gold

 

Lingbao Jinyuan Tonghui Refinery Co., Ltd.

 

CID001058

 

CHINA

Gold

 

Gansu Seemine Material Hi-Tech Co., Ltd.

 

CID000522

 

CHINA

Gold

 

Penglai Penggang Gold Industry Co., Ltd.

 

CID001362

 

CHINA

Gold

 

Yunnan Copper Industry Co., Ltd.

 

CID000197

 

CHINA

Gold

 

Faggi Enrico S.p.A.

 

CID002355

 

ITALY

Tin

 

CV Gita Pesona

 

CID000306

 

INDONESIA

Tin

 

CV Serumpun Sebalai

 

CID000313

 

INDONESIA

Tin

 

Estanho de Rondônia S.A.

 

CID000448

 

BRAZIL

Tin

 

Feinhütte Halsbrücke GmbH

 

CID000466

 

GERMANY

Tin

 

Gejiu Kai Meng Industry and Trade LLC

 

CID000942

 

CHINA

Tin

 

Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.

 

CID001908

 

CHINA

Tin

 

Jiangxi Shunda Huichang Kam Tin Co., Ltd.

 

CID000873

 

CHINA

Tin

 

PT Alam Lestari Kencana

 

CID001393

 

INDONESIA

Tin

 

PT Bangka Kudai Tin

 

CID001409

 

INDONESIA

Tin

 

PT Bangka Timah Utama Sejahtera

 

CID001416

 

INDONESIA

Tin

 

PT Fang Di MulTindo

 

CID001442

 

INDONESIA

Tin

 

PT Pelat Timah Nusantara Tbk

 

CID001486

 

INDONESIA

Tin

 

PT Seirama Tin Investment

 

CID001466

 

INDONESIA

Tin

 

PT Supra Sukses Trinusa

 

CID001476

 

INDONESIA

Tin

 

Gejiu Zili Mining And Metallurgy Co., Ltd.

 

CID000555

 

CHINA

Tin

 

Linwu Xianggui Ore Smelting Co., Ltd.

 

CID001063

 

CHINA

 

12



 

Tin

 

Novosibirsk Processing Plant Ltd.

 

CID001305

 

RUSSIAN FEDERATION

Tin

 

Nankang Nanshan Tin Manufactory Co., Ltd.

 

CID001231

 

CHINA

Tin

 

CNMC (Guangxi) PGMA Co., Ltd.

 

CID000278

 

CHINA

Tin

 

Huichang Jinshunda Tin Co., Ltd.

 

CID000760

 

CHINA

Tin

 

Metallic Resources, Inc.

 

CID001142

 

UNITED STATES

Tungsten

 

Dayu Weiliang Tungsten Co., Ltd.

 

CID000345

 

CHINA

Tungsten

 

Ganxian Shirui New Material Co., Ltd.

 

CID002531

 

CHINA

Tungsten

 

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

 

CID002551

 

CHINA

Tungsten

 

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

 

CID002313

 

CHINA

Tungsten

 

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

 

CID002318

 

CHINA

Tungsten

 

Jiangxi Xinsheng Tungsten Industry Co., Ltd.

 

CID002317

 

CHINA

Tungsten

 

Kennametal Fallon

 

CID000966

 

UNITED STATES

Tungsten

 

Kennametal Huntsville

 

CID000105

 

UNITED STATES

Tungsten

 

Tejing (Vietnam) Tungsten Co., Ltd.

 

CID001889

 

VIET NAM

Tungsten

 

Pobedit, JSC

 

CID002532

 

RUSSIAN FEDERATION

 

We have identified an additional 184 facilities that were reported as smelters by our suppliers but that we were not able to confirm as smelters or refiners based on industry or public sources of information, and will be reaching out to these facilities in 2015 to perform additional due diligence.

 

In order to identify countries of origin, Nokia made use of Conflict Minerals templates provided by suppliers and aggregated country of origin information of smelters provided by CFSI to its members. Based on these the countries of origin of the Conflict Minerals in the Networks supply chain may include:

 

Angola; Argentina; Australia; Austria; Belgium; Bermuda; Bolivia; Brazil; Burundi; Canada; Central African Republic; Chile; China; Colombia; DRC; Republic of Congo; Ivory Coast; Czech Republic; Djibouti; Egypt; Estonia; Ethiopia; France; Germany; Guyana; Hungary; India; Indonesia; Ireland; Israel; Italy; Japan; Kazakhstan; Kenya; South Korea; Laos People’s Democratic Republic; Luxembourg; Madagascar; Malaysia; Mexico; Mongolia; Mozambique; Myanmar; Namibia; Netherlands; Nigeria; Papua New Guinea; Peru; Philippines; Poland; Portugal; Russian Federation; Rwanda; Sierra Leone; Singapore; Slovakia; South Africa; South Sudan; Spain; Suriname; Switzerland; Taiwan; United Republic of Tanzania; Thailand; Uganda; United Kingdom; United States; Uzbekistan; Vietnam; Zambia; Zimbabwe.

 

Nokia supports seeking a sustainable solution to the issue of conflict minerals and aims to ensure responsible and conflict-free sourcing, thus supporting legitimate trade and positive development in the DRC and adjoining countries. Of Nokia’s suppliers, 152 had reported smelters that have conflict minerals originating in one or more of the Covered Countries. Altogether 21 smelters in the consolidated smelter list had mineral sourcing from the Covered Countries. As part of our due diligence, we have followed up with all such suppliers in order to verify whether the smelters that sourced conflict minerals from Covered Countries are compliant smelters under the CFSP. 20 of the 21 smelters were found to be compliant and one has ceased operations in 2014. During our due diligence efforts we also concluded that 10% of the identified smelters that were disclosed in the smelter tables above source from the

 

13



 

Covered Countries, which is a positive development for the countries whose livelihood depends on these efforts continuing.

 

In order to mitigate the risk that the conflict minerals contained in, and necessary to the functionality or production of, Nokia’s products benefit armed groups, and to improve our conflict minerals due diligence efforts further in the coming year, we plan to concentrate on the following activities:

 

·                  further improving the quality and completeness of the conflict minerals due diligence data provided by our suppliers;

 

·                  engaging in further awareness raising and due diligence capability building efforts jointly in collaboration with relevant stakeholder forums and/or independently with our suppliers;

 

·                  actively engaging with our supply chain to get more smelters validated as conflict-free through the third-party validation mechanisms available, with the aim of increasing the number of smelters on the list of CFSP compliant smelters;

 

·                  when there is sufficient availability of validated smelters, requesting suppliers to source only from validated smelters. In 2014, all 40 of our identified tantalum smelters were reported to be conflict-free by the CFSI. We believe that sourcing this metal entirely from conflict-free smelters is practicable; as such, in 2015, our goal will be to require our suppliers to source tantalum only from smelters that are reported to be conflict free; and

 

·                  validating the due diligence efforts of our suppliers as part of overall supplier assessments.

 

Statements relating to due diligence process improvement, as well as similar strategy and compliance process statements made elsewhere in this conflict minerals report are forward-looking in nature and are based on Nokia’s management’s current expectations or beliefs. These forward-looking statements are not a guarantee of performance and are subject to a number of uncertainties and other factors (such as whether industry organizations and initiatives such as CSFI remain effective as a source of external support to us in the conflict minerals compliance process), which may be outside of Nokia’s control and which could cause actual events to differ materially from those expressed or implied by the statements made herein.

 

Unless otherwise expressly stated herein, any documents, third party materials or references to websites are not incorporated by reference in, or considered to be a part of, this conflict minerals report.

 

14