UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

Form SD

SPECIALIZED DISCLOSURE REPORT

 

 

TELEFONAKTIEBOLAGET LM ERICSSON

(Exact Name of Registrant as Specified in Its Charter)

LM ERICSSON TELEPHONE COMPANY

(Translation of Registrant’s Name Into English)

 

 

 

KINGDOM OF SWEDEN		000–12033		98-0107940
(State or Other Jurisdiction of Incorporation or Organization)		(Commission File No.)		(I.R.S. Employer Identification Number)
TORSHAMNSGATAN 21, KISTA SE-164 83 STOCKHOLM, SWEDEN				164 83
(Address of Principal Executive Offices)				(Zip Code)
PETER NYQUIST, VICE PRESIDENT INVESTOR RELATIONS				+46 10 719 00 00
(Name and telephone number, including area code, of the person to contact in connection with this report.)

 

 

Check the appropriate box to indicate the rule pursuant to which this form is being filed, and provide the period to which the information in this form applies:

 

☒	Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2018

 

 

 

Section 1 - Conflict Minerals Disclosure

Item 1.01 and 1.02 - Conflict Minerals Disclosure and Report, Exhibit

A copy of Telefonaktiebolaget LM Ericsson’s Conflict Minerals Report for the reporting period January 1, 2018 to December 31, 2018 is provided as Exhibit 1.01 hereto and is publicly available at http://www.ericsson.com/thecompany/investors/financial-reports.

Section 2 - Exhibits

Item 2.01 - Exhibits

Exhibit 1.01 - Conflict Minerals Report as required by Items 1.01 and 1.02 of this Form.

SIGNATURES

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

 

TELEFONAKTIEBOLAGET LM ERICSSON (publ)
/s/ Helena Norrman				May 27, 2019
By: Helena Norrman
Title: Senior Vice President, Chief Marketing and Communications Officer and Head of Group Function Marketing & Corporate Relations
/s/ Fredrik Jejdling				May 27, 2019
By: Fredrik Jejdling
Title: Executive Vice President and Head of Business Area Networks

EXHIBIT INDEX

 

Exhibit Number		Description
1.01		Conflict Minerals Report for the reporting period January 1, 2018 to December 31, 2018

Exhibit 1.01

Conflict Minerals Report

Telefonaktiebolaget LM Ericsson

Conflict Minerals Report for the year ended December 31, 2018

This Conflict Minerals Report of Telefonaktiebolaget LM Ericsson for the year ended December 31, 2018 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

The hardware provided by Ericsson largely consists of electronics. The supply chain is complex with multiple tiers of suppliers. For manufacturing, Ericsson purchases customized and standardized components from several global providers as well as from local and regional suppliers, either off-the-shelf or in accordance with Ericsson’s design or specifications. The production of electronic modules and sub-assemblies is mostly outsourced. Final configuration of products is largely done in-house. This consists of assembling and testing modules and integrating them into complete units. A number of Ericsson’s suppliers design and manufacture highly specialized and customized components.

There are generally many tiers of suppliers between smelters and refiners of tin, tantalum, tungsten and gold (“3TG”) and our direct suppliers.

 

2.2	Overview of Ericsson’s Conflict Minerals Program and Reasonable Country of Origin Inquiry 2018

Ericsson gathers materials information from our suppliers. Through this we know that many of the components used on our products contain small amounts of 3TG 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 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

 

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supporting responsible mineral sourcing in the region. Ericsson’s efforts with respect to 3TG are aligned with the Responsible 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 3TGs 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.

Ericsson relies on its first-tier suppliers to provide information on the origin of 3TG contained in components and parts included in Ericsson’s products. This includes sources of 3TG 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 which requires due diligence to be exercised with respect to the sourcing and extraction of raw materials, including 3TG.

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 and for 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 an important role in leading and coordinating the work. Suppliers identified to be in scope are first-tier suppliers of Ericsson supplying (i) products containing 3TG that Ericsson contracts to manufacture, (ii) materials, parts, components and other products, containing 3TG, 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 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 in an efficient and transparent way. We typically do not have a direct relationship with 3TG smelters and refiners and we do not perform or 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).

 

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3.	Due Diligence

Ericsson has processes in place for the purpose of exercising due diligence in the supply chain. The design of the due diligence processes conforms substantially 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. Ericsson’s Conflict Minerals Program focuses on identifying the origin of 3TG; however, Ericsson acknowledges the challenge to identify, detect, mitigate and minimize other human rights and environmental risks relating to sourcing of 3TG.

 

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 compliance with the Rule. Controls include, but are not limited to, our Code of Business Ethics and Code of Conduct, which outlines expected behaviors for all Ericsson’s employees and suppliers, 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 2018, 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 5.11 (the “Template”). The Template is a standardized supply chain survey designed to gather information regarding the smelters and refiners that process 3TGs 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.

Since 2017, the issue of responsible sourcing of raw materials is included in our Code of Conduct to clarify expectations in the area. Employees are encouraged to report violations of laws or the Code of Business Ethics to their manager or a manager of higher rank. In addition, Ericsson has a whistle-blower tool, Ericsson Compliance Line, managed by an external service provider, for the reporting of alleged violations of laws or the Code of Business Ethics that (i) are conducted by Group or local management, and (ii) relate to corruption, questionable accounting, deficiencies in the internal control of accounting or auditing matters or otherwise seriously affect vital interests of the Group or personal health and safety. Ericsson Compliance Line is available for both Ericsson employees and external stakeholders such as customers and suppliers.

 

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 2018 Conflict Minerals’ survey, first-tier suppliers identified to be in scope were requested by Ericsson to provide information on 3TG in their supply chain through completing and submitting the Conflict Minerals Reporting Template. Suppliers were provided with 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

 

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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 and increase the response rate.

 

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 section of Ericsson Annual Report.

We continuously work to improve our due diligence with respect to 3TG, 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.

 

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 2018 Responsible Business Alliance (RBA) membership we were members of the RMI, supporting the responsible minerals assurance process (“RMAP”) as well as the development and implementation of due diligence practices and tools such as the Template. 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 3TG; which is available on our website:

https://www.ericsson.com/assets/local/about-ericsson/sustainability-and-corporate-responsibility/documents/statement-on-sourcing-of-conflict-minerals.pdf

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

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

 

4.	2018 due diligence results

For the calendar year 2018, 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

 

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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 2018 was 99,47%. This response rate was achieved this year mainly due to our additional efforts in getting qualitative responses from our suppliers. Among the supplier responses, we identified 258 smelters as potential sources of 3TG that were reported to be in the supply chain during the 2018 calendar year. 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.

Table 1. RMAP conformant smelters and refiners identified by Ericsson via inquiries to our suppliers in 2018

 

Metal		Identified smelters or refiners validated by RMAP conformant				Total number of identified smelters
Tantalum			100	%			40
Tungsten			100	%			39
Tin			99	%			74
Gold			97	%			101

Note: The audit status of smelters and refiners are subject to change and the above represents information available from the RMI on April 30, 2019.

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 2018 calendar year, Ericsson believes that the facilities that may have been used to process the 3TG in Ericsson’s products include the smelters and refiners listed in Annex 1 below. Ericsson does not have sufficient information to determine with specificity all countries of origin of the 3TG in our products or whether they are from recycled and scrap sources.

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

During 2019, we anticipate continuing to review and evolve our Conflict Minerals due diligence processes with respect to 3TG. 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.

 

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5.	Forward Looking Statements

Certain of the matters discussed in this report, including our due diligence processes with respect to 3TG, 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 2018.¹

 

No.		Metal		Name of Smelter/Refiner		Audit Status		Facility Location
1		Gold		Aida Chemical Industries Co., Ltd.		Conformant		JAPAN
2		Gold		Allgemeine Gold-und Silberscheideanstalt A.G.		Conformant		GERMANY
3		Gold		AngloGold Ashanti Corrego do Sitio Mineracao		Conformant		BRAZIL
4		Gold		Argor-Heraeus S.A.		Conformant		SWITZERLAND
5		Gold		Asahi Pretec Corp.		Conformant		JAPAN
6		Gold		Asaka Riken Co., Ltd.		Conformant		JAPAN
7		Gold		Aurubis AG		Conformant		GERMANY
8		Gold		Bangko Sentral ng Pilipinas (Central Bank of the Philippines)		Conformant		PHILIPPINES
9		Gold		Boliden AB		Conformant		SWEDEN
10		Gold		C. Hafner GmbH + Co. KG		Conformant		GERMANY
11		Gold		CCR Refinery - Glencore Canada Corporation		Conformant		CANADA
12		Gold		Chimet S.p.A.		Conformant		ITALY
13		Gold		DODUCO Contacts and Refining GmbH		Conformant		GERMANY
14		Gold		Dowa		Conformant		JAPAN
15		Gold		Eco-System Recycling Co., Ltd.		Conformant		JAPAN
16		Gold		Heimerle + Meule GmbH		Conformant		GERMANY
17		Gold		Heraeus Metals Hong Kong Ltd.		Conformant		CHINA
18		Gold		Heraeus Precious Metals GmbH & Co. KG		Conformant		GERMANY
19		Gold		Ishifuku Metal Industry Co., Ltd.		Conformant		JAPAN
20		Gold		Istanbul Gold Refinery		Conformant		TURKEY
21		Gold		Japan Mint		Conformant		JAPAN
22		Gold		Jiangxi Copper Co., Ltd.		Conformant		CHINA
23		Gold		Asahi Refining USA Inc.		Conformant		UNITED STATES OF AMERICA
24		Gold		Asahi Refining Canada Ltd.		Conformant		CANADA
25		Gold		JSC Uralelectromed		Conformant		RUSSIAN FEDERATION
26		Gold		JX Nippon Mining & Metals Co., Ltd.		Conformant		JAPAN
27		Gold		Kazzinc		Conformant		KAZAKHSTAN

 

1	The audit status of smelters and refiners are subject to change and Annex 1 represents information available from the RMI on April 30, 2019. The audit status indicates that the smelters and refiners have been verified as conformant to the RMAP protocol or mutually recognized systems.

 

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No.		Metal		Name of Smelter/Refiner		Audit Status		Facility Location
28		Gold		Kennecott Utah Copper LLC		Conformant		UNITED STATES OF AMERICA
29		Gold		Kojima Chemicals Co., Ltd.		Conformant		JAPAN
30		Gold		LS-NIKKO Copper Inc.		Conformant		KOREA, REPUBLIC OF
31		Gold		Materion		Conformant		UNITED STATES OF AMERICA
32		Gold		Matsuda Sangyo Co., Ltd.		Conformant		JAPAN
33		Gold		Metalor Technologies (Hong Kong) Ltd.		Conformant		CHINA
34		Gold		Metalor Technologies (Singapore) Pte., Ltd.		Conformant		SINGAPORE
35		Gold		Metalor Technologies S.A.		Conformant		SWITZERLAND
36		Gold		Metalor USA Refining Corporation		Conformant		UNITED STATES OF AMERICA
37		Gold		Metalurgica Met-Mex Penoles S.A. De C.V.		Conformant		MEXICO
38		Gold		Mitsubishi Materials Corporation		Conformant		JAPAN
39		Gold		Mitsui Mining and Smelting Co., Ltd.		Conformant		JAPAN
40		Gold		Nadir Metal Rafineri San. Ve Tic. A.S.		Conformant		TURKEY
41		Gold		Nihon Material Co., Ltd.		Conformant		JAPAN
42		Gold		Ohura Precious Metal Industry Co., Ltd.		Conformant		JAPAN
43		Gold		PAMP S.A.		Conformant		SWITZERLAND
44		Gold		PT Aneka Tambang (Persero) Tbk		Conformant		INDONESIA
45		Gold		PX Precinox S.A.		Conformant		SWITZERLAND
46		Gold		Rand Refinery (Pty) Ltd.		Conformant		SOUTH AFRICA
47		Gold		Royal Canadian Mint		Conformant		CANADA
48		Gold		Samduck Precious Metals		Conformant		KOREA, REPUBLIC OF
49		Gold		SEMPSA Joyeria Plateria S.A.		Conformant		SPAIN
50		Gold		Shandong Zhaojin Gold & Silver Refinery Co., Ltd.		Conformant		CHINA
51		Gold		SOE Shyolkovsky Factory of Secondary Precious Metals		Conformant		RUSSIAN FEDERATION
52		Gold		Solar Applied Materials Technology Corp.		Conformant		TAIWAN, PROVINCE OF CHINA
53		Gold		Sumitomo Metal Mining Co., Ltd.		Conformant		JAPAN
54		Gold		Tanaka Kikinzoku Kogyo K.K.		Conformant		JAPAN
55		Gold		The Refinery of Shandong Gold Mining Co., Ltd.		Conformant		CHINA
56		Gold		Tokuriki Honten Co., Ltd.		Conformant		JAPAN
57		Gold		Torecom		Conformant		KOREA, REPUBLIC OF
58		Gold		Umicore Brasil Ltda.		Conformant		BRAZIL
59		Gold		Umicore S.A. Business Unit Precious Metals Refining		Conformant		BELGIUM

 

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No.		Metal		Name of Smelter/Refiner		Audit Status		Facility Location
60		Gold		United Precious Metal Refining, Inc.		Conformant		UNITED STATES OF AMERICA
61		Gold		Valcambi S.A.		Conformant		SWITZERLAND
62		Gold		Western Australian Mint (T/a The Perth Mint)		Conformant		AUSTRALIA
63		Gold		Yamakin Co., Ltd.		Conformant		JAPAN
64		Gold		Yokohama Metal Co., Ltd.		Conformant		JAPAN
65		Gold		Zhongyuan Gold Smelter of Zhongjin Gold Corporation		Conformant		CHINA
66		Gold		Umicore Precious Metals Thailand		Conformant		THAILAND
67		Gold		Zijin Mining Group Co., Ltd. Gold Refinery		Conformant		CHINA
68		Gold		Almalyk Mining and Metallurgical Complex (AMMC)		Conformant		UZBEKISTAN
69		Gold		Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.		Conformant		CHINA
70		Gold		Metalor Technologies (Suzhou) Ltd.		Conformant		CHINA
71		Gold		Daejin Indus Co., Ltd.		Conformant		KOREA, REPUBLIC OF
72		Gold		DSC (Do Sung Corporation)		Conformant		KOREA, REPUBLIC OF
73		Gold		Geib Refining Corporation		Conformant		UNITED STATES OF AMERICA
74		Gold		Kyrgyzaltyn JSC		Conformant		KYRGYZSTAN
75		Gold		Moscow Special Alloys Processing Plant		Conformant		RUSSIAN FEDERATION
76		Gold		OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)		Conformant		RUSSIAN FEDERATION
77		Gold		OJSC Novosibirsk Refinery		Conformant		RUSSIAN FEDERATION
78		Gold		Prioksky Plant of Non-Ferrous Metals		Conformant		RUSSIAN FEDERATION
79		Gold		Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH		Conformant		AUSTRIA
80		Gold		Advanced Chemical Company		Conformant		UNITED STATES OF AMERICA
81		Gold		Sichuan Tianze Precious Metals Co., Ltd.		Conformant		CHINA
82		Gold		MMTC-PAMP India Pvt., Ltd.		Conformant		INDIA
83		Gold		Singway Technology Co., Ltd.		Conformant		TAIWAN, PROVINCE OF CHINA
84		Gold		Al Etihad Gold Refinery DMCC		Conformant		UNITED ARAB EMIRATES
85		Gold		Emirates Gold DMCC		Conformant		UNITED ARAB EMIRATES
86		Gold		T.C.A S.p.A		Conformant		ITALY
87		Gold		Korea Zinc Co., Ltd.		Conformant		KOREA, REPUBLIC OF
88		Gold		SAAMP		Conformant		FRANCE
89		Gold		SAXONIA Edelmetalle GmbH		Conformant		GERMANY

 

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No.		Metal		Name of Smelter/Refiner		Audit Status		Facility Location
90		Gold		WIELAND Edelmetalle GmbH		Conformant		GERMANY
91		Gold		AU Traders and Refiners		Conformant		SOUTH AFRICA
92		Gold		Cendres + Métaux S.A.		Conformant		SWITZERLAND
93		Gold		HeeSung Metal Ltd.		Conformant		KOREA, REPUBLIC OF
94		Gold		Italpreziosi		Conformant		ITALY
95		Gold		L’Orfebre S.A.		Conformant		ANDORRA
96		Gold		Marsam Metals		Conformant		BRAZIL
97		Gold		Planta Recuperadora de Metales SpA		Conformant		CHILE
98		Gold		Remondis Argentia B.V.		Conformant		NETHERLANDS
99		Gold		Safimet S.p.A		Conformant		ITALY
100		Gold		SungEel HiMetal Co., Ltd.		Conformant		KOREA, REPUBLIC OF
101		Gold		Tony Goetz NV		Non Conformant		BELGIUM
102		Gold		Abington Reldan Metals, LLC		Non Conformant		UNITED STATES OF AMERICA
103		Gold		Modeltech Sdn Bhd		Non Conformant		MALAYSIA
104		Gold		DS PRETECH Co., Ltd.		Conformant		KOREA, REPUBLIC OF
105		Tantalum		Changsha South Tantalum Niobium Co., Ltd.		Conformant		CHINA
106		Tantalum		Guangdong Rising Rare Metals-EO Materials Ltd.		Conformant		CHINA
107		Tantalum		Exotech Inc.		Conformant		UNITED STATES OF AMERICA
108		Tantalum		F&X Electro-Materials Ltd.		Conformant		CHINA
109		Tantalum		Guangdong Zhiyuan New Material Co., Ltd.		Conformant		CHINA
110		Tantalum		JiuJiang JinXin Nonferrous Metals Co., Ltd.		Conformant		CHINA
111		Tantalum		Jiujiang Tanbre Co., Ltd.		Conformant		CHINA
112		Tantalum		LSM Brasil S.A.		Conformant		BRAZIL
113		Tantalum		Mitsui Mining and Smelting Co., Ltd.		Conformant		JAPAN
114		Tantalum		NPM Silmet AS		Conformant		ESTONIA
115		Tantalum		Ningxia Orient Tantalum Industry Co., Ltd.		Conformant		CHINA
116		Tantalum		QuantumClean		Conformant		UNITED STATES OF AMERICA
117		Tantalum		RFH Tantalum Smeltery Co., Ltd./Yanling Jincheng Tantalum & Niobium Co., Ltd.		Conformant		CHINA
118		Tantalum		Solikamsk Magnesium Works OAO		Conformant		RUSSIAN FEDERATION
119		Tantalum		Taki Chemical Co., Ltd.		Conformant		JAPAN
120		Tantalum		Telex Metals		Conformant		UNITED STATES OF AMERICA

 

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No.		Metal		Name of Smelter/Refiner		Audit Status		Facility Location
121		Tantalum		Ulba Metallurgical Plant JSC		Conformant		KAZAKHSTAN
122		Tantalum		Hengyang King Xing Lifeng New Materials Co., Ltd.		Conformant		CHINA
123		Tantalum		KEMET Blue Metals		Conformant		MEXICO
124		Tantalum		H.C. Starck Co., Ltd.		Conformant		THAILAND
125		Tantalum		H.C. Starck Tantalum and Niobium GmbH		Conformant		GERMANY
126		Tantalum		H.C. Starck Hermsdorf GmbH		Conformant		GERMANY
127		Tantalum		H.C. Starck Inc.		Conformant		UNITED STATES OF AMERICA
128		Tantalum		H.C. Starck Ltd.		Conformant		JAPAN
129		Tantalum		Global Advanced Metals Boyertown		Conformant		UNITED STATES OF AMERICA
130		Tantalum		Global Advanced Metals Aizu		Conformant		JAPAN
131		Tantalum		KEMET Blue Powder		Conformant		UNITED STATES OF AMERICA
132		Tantalum		Mineração Taboca S.A.		Conformant		BRAZIL
133		Tantalum		H.C. Starck Smelting GmbH & Co. KG		Conformant		GERMANY
134		Tantalum		D Block Metals, LLC		Conformant		UNITED STATES OF AMERICA
135		Tantalum		Metallurgical Products India Pvt., Ltd.		Conformant		INDIA
136		Tantalum		FIR Metals & Resource Ltd.		Conformant		CHINA
137		Tantalum		Jiujiang Zhongao Tantalum & Niobium Co., Ltd.		Conformant		CHINA
138		Tantalum		XinXing HaoRong Electronic Material Co., Ltd.		Conformant		CHINA
139		Tantalum		Jiangxi Dinghai Tantalum & Niobium Co., Ltd.		Conformant		CHINA
140		Tantalum		Resind Indústria e Comércio Ltda.		Conformant		BRAZIL
141		Tantalum		Jiangxi Tuohong New Raw Material		Conformant		CHINA
142		Tantalum		Power Resources Ltd.		Conformant		MACEDONIA, THE FORMER YUGOSLAV REPUBLIC OF
143		Tantalum		Asaka Riken Co., Ltd.		Conformant		JAPAN
144		Tantalum		Jiujiang Janny New Material Co., Ltd.		Conformant		CHINA
145		Tin		Alpha		Conformant		UNITED STATES OF AMERICA
146		Tin		CV Gita Pesona		Conformant		INDONESIA
147		Tin		PT Aries Kencana Sejahtera		Conformant		INDONESIA
148		Tin		PT Premium Tin Indonesia		Conformant		INDONESIA
149		Tin		CV United Smelting		Conformant		INDONESIA
150		Tin		EM Vinto		Conformant		BOLIVIA (PLURINATIONAL STATE OF)

 

11

Conflict Minerals Report

 

No.		Metal		Name of Smelter/Refiner		Audit Status		Facility Location
151		Tin		Fenix Metals		Conformant		POLAND
152		Tin		Gejiu Non-Ferrous Metal Processing Co., Ltd.		Conformant		CHINA
153		Tin		China Tin Group Co., Ltd.		Conformant		CHINA
154		Tin		Malaysia Smelting Corporation (MSC)		Conformant		MALAYSIA
155		Tin		Metallic Resources, Inc.		Conformant		UNITED STATES OF AMERICA
156		Tin		Mineracao Taboca S.A.		Conformant		BRAZIL
157		Tin		Minsur		Conformant		PERU
158		Tin		O.M. Manufacturing (Thailand) Co., Ltd.		Conformant		THAILAND
159		Tin		Operaciones Metalurgical S.A.		Conformant		BOLIVIA (PLURINATIONAL STATE OF)
160		Tin		PT Artha Cipta Langgeng		Conformant		INDONESIA
161		Tin		PT Babel Inti Perkasa		Conformant		INDONESIA
162		Tin		PT Bangka Tin Industry		Conformant		INDONESIA
163		Tin		PT Belitung Industri Sejahtera		Conformant		INDONESIA
164		Tin		PT Bukit Timah		Conformant		INDONESIA
165		Tin		PT DS Jaya Abadi		Conformant		INDONESIA
166		Tin		PT Mitra Stania Prima		Conformant		INDONESIA
167		Tin		PT Panca Mega Persada		Conformant		INDONESIA
168		Tin		PT Prima Timah Utama		Conformant		INDONESIA
169		Tin		PT Refined Bangka Tin		Conformant		INDONESIA
170		Tin		PT Sariwiguna Binasentosa		Conformant		INDONESIA
171		Tin		PT Stanindo Inti Perkasa		Conformant		INDONESIA
172		Tin		PT Timah (Persero) Tbk Kundur		Conformant		INDONESIA
173		Tin		PT Timah (Persero) Tbk Mentok		Conformant		INDONESIA
174		Tin		PT Tinindo Inter Nusa		Conformant		INDONESIA
175		Tin		Rui Da Hung		Conformant		TAIWAN, PROVINCE OF CHINA
176		Tin		Soft Metais Ltda.		Conformant		BRAZIL
177		Tin		Thaisarco		Conformant		THAILAND
178		Tin		White Solder Metalurgia e Mineracao Ltda.		Conformant		BRAZIL
179		Tin		Magnu’s Minerais Metais e Ligas Ltda.		Conformant		BRAZIL
180		Tin		Melt Metais e Ligas S.A.		Conformant		BRAZIL
181		Tin		PT ATD Makmur Mandiri Jaya		Conformant		INDONESIA
182		Tin		O.M. Manufacturing Philippines, Inc.		Conformant		PHILIPPINES
183		Tin		PT Inti Stania Prima		Conformant		INDONESIA
184		Tin		Metallo Belgium N.V.		Conformant		BELGIUM

 

12

Conflict Minerals Report

 

No.		Metal		Name of Smelter/Refiner		Audit Status		Facility Location
185		Tin		Metallo Spain S.L.U.		Conformant		SPAIN
186		Tin		Yunnan Tin Company, Ltd.		Conformant		CHINA
187		Tin		Dowa		Conformant		JAPAN
188		Tin		Mitsubishi Materials Corporation		Conformant		JAPAN
189		Tin		CV Venus Inti Perkasa		Conformant		INDONESIA
190		Tin		CV Ayi Jaya		Conformant		INDONESIA
191		Tin		Resind Indústria e Comércio Ltda.		Conformant		BRAZIL
192		Tin		PT Bangka Prima Tin		Conformant		INDONESIA
193		Tin		Gejiu Kai Meng Industry and Trade LLC		Conformant		CHINA
194		Tin		Yunnan Chengfeng Non-ferrous Metals Co., Ltd.		Conformant		CHINA
195		Tin		Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.		Conformant		CHINA
196		Tin		Huichang Jinshunda Tin Co., Ltd.		Conformant		CHINA
197		Tin		PT Karimun Mining		Conformant		INDONESIA
198		Tin		PT Sumber Jaya Indah		Conformant		INDONESIA
199		Tin		PT Tommy Utama		Conformant		INDONESIA
200		Tin		PT Sukses Inti Makmur		Conformant		INDONESIA
201		Tin		Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.		Conformant		CHINA
202		Tin		CV Dua Sekawan		Conformant		INDONESIA
203		Tin		CV Tiga Sekawan		Conformant		INDONESIA
204		Tin		PT Kijang Jaya Mandiri		Conformant		INDONESIA
205		Tin		Gejiu Fengming Metallurgy Chemical Plant		Conformant		CHINA
206		Tin		Guanyang Guida Nonferrous Metal Smelting Plant		Conformant		CHINA
207		Tin		Gejiu Jinye Mineral Company		Conformant		CHINA
208		Tin		PT Menara Cipta Mulia		Conformant		INDONESIA
209		Tin		PT Lautan Harmonis Sejahtera		Conformant		INDONESIA
210		Tin		Jiangxi Nanshan		Conformant		CHINA
211		Tin		Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company		Non Conformant		VIETNAM
212		Tin		Guangdong Hanhe Non-Ferrous Metal Co., Ltd.		Conformant		CHINA
213		Tin		HuiChang Hill Tin Industry Co., Ltd.		Conformant		CHINA
214		Tin		Modeltech Sdn Bhd		Conformant		MALAYSIA
215		Tin		Chifeng Dajingzi Tin Industry Co., Ltd.		Conformant		CHINA
216		Tin		PT Bangka Serumpun		Conformant		INDONESIA
217		Tin		PT Babel Surya Alam Lestari		Conformant		INDONESIA

 

13

Conflict Minerals Report

 

No.		Metal		Name of Smelter/Refiner		Audit Status		Facility Location
218		Tin		PT Tirus Putra Mandiri		Conformant		INDONESIA
219		Tin		Tin Technology & Refining		Conformant		UNITED STATES OF AMERICA
220		Tungsten		A.L.M.T. TUNGSTEN Corp.		Conformant		JAPAN
221		Tungsten		Kennametal Huntsville		Conformant		UNITED STATES OF AMERICA
222		Tungsten		Guangdong Xianglu Tungsten Co., Ltd.		Conformant		CHINA
223		Tungsten		Chongyi Zhangyuan Tungsten Co., Ltd.		Conformant		CHINA
224		Tungsten		Fujian Jinxin Tungsten Co., Ltd.		Conformant		CHINA
225		Tungsten		Global Tungsten & Powders Corp.		Conformant		UNITED STATES OF AMERICA
226		Tungsten		Hunan Chenzhou Mining Co., Ltd.		Conformant		CHINA
227		Tungsten		Hunan Chunchang Nonferrous Metals Co., Ltd.		Conformant		CHINA
228		Tungsten		Japan New Metals Co., Ltd.		Conformant		JAPAN
229		Tungsten		Ganzhou Huaxing Tungsten Products Co., Ltd.		Conformant		CHINA
230		Tungsten		Kennametal Fallon		Conformant		UNITED STATES OF AMERICA
231		Tungsten		Tejing (Vietnam) Tungsten Co., Ltd.		Conformant		VIET NAM
232		Tungsten		Wolfram Bergbau und Hutten AG		Conformant		AUSTRIA
233		Tungsten		Xiamen Tungsten Co., Ltd.		Conformant		CHINA
234		Tungsten		Xinhai Rendan Shaoguan Tungsten Co., Ltd.		Conformant		CHINA
235		Tungsten		Ganzhou Jiangwu Ferrotungsten Co., Ltd.		Conformant		CHINA
236		Tungsten		Jiangxi Yaosheng Tungsten Co., Ltd.		Conformant		CHINA
237		Tungsten		Malipo Haiyu Tungsten Co., Ltd.		Conformant		CHINA
238		Tungsten		Xiamen Tungsten (H.C.) Co., Ltd.		Conformant		CHINA
239		Tungsten		Jiangxi Gan Bei Tungsten Co., Ltd.		Conformant		CHINA
240		Tungsten		Ganzhou Seadragon W & Mo Co., Ltd.		Conformant		CHINA
241		Tungsten		Chenzhou Diamond Tungsten Products Co., Ltd.		Conformant		CHINA
242		Tungsten		H.C. Starck Tungsten GmbH		Conformant		GERMANY
243		Tungsten		H.C. Starck Smelting GmbH & Co. KG		Conformant		GERMANY
244		Tungsten		Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC		Conformant		VIET NAM
245		Tungsten		Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.		Conformant		CHINA
246		Tungsten		Niagara Refining LLC		Conformant		UNITED STATES OF AMERICA
247		Tungsten		Hydrometallurg, JSC		Conformant		RUSSIAN FEDERATION
248		Tungsten		Jiangwu H.C. Starck Tungsten Products Co., Ltd.		Conformant		CHINA
249		Tungsten		Jiangxi Xinsheng Tungsten Industry Co., Ltd.		Conformant		CHINA

 

14

Conflict Minerals Report

 

No.		Metal		Name of Smelter/Refiner		Audit Status		Facility Location
250		Tungsten		Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji		Conformant		CHINA
251		Tungsten		South-East Nonferrous Metal Company Limited of Hengyang City		Conformant		CHINA
252		Tungsten		Philippine Chuangxin Industrial Co., Inc.		Conformant		PHILIPPINES
253		Tungsten		Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.		Conformant		CHINA
254		Tungsten		ACL Metais Eireli		Conformant		BRAZIL
255		Tungsten		Woltech Korea Co., Ltd.		Conformant		KOREA, REPUBLIC OF
256		Tungsten		Moliren Ltd.		Conformant		RUSSIAN FEDERATION
257		Tungsten		Ganzhou Haichuang Tungsten Co., Ltd.		Conformant		CHINA
258		Tungsten		Unecha Refractory metals plant		Conformant		RUSSIAN FEDERATION

 

15