UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM SD

 

 

SPECIALIZED DISCLOSURE REPORT

 

 

KONINKLIJKE PHILIPS N.V.

(Exact name of the Registrant as specified in its charter)

ROYAL PHILIPS

(Translation of Registrant’s name into English)

 

 

 

The Netherlands		001-05146-01		None
(State or other jurisdiction of Incorporation or organization)		(Commission File Number)		(IRS Employer Identification No.)
Breitner Center, Amstelplein 2, Amsterdam, The Netherlands				1096 BC
(Address of principal executive offices)				(Zip code)

Sophie Bechu, Chief of Operations

+31 20 59 77111, sophie.bechu@philips.com, Breitner Center

Amstelplein 2, 1096 BC Amsterdam, The Netherlands

(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, 2019.

 

 

 

Section 1 - Conflict Minerals Disclosure

 

Item 1.01

Conflict Minerals Disclosure and Report

Koninklijke Philips N.V. evaluated its current product lines and determined that certain products we manufacture or contract to manufacture contain tin, tungsten, tantalum and/or gold (3TG).

Conflict Minerals Disclosure

Koninklijke Philips N.V. has, in good faith, conducted a reasonable country of origin inquiry (“RCOI”) to determine whether its products contain conflict minerals originated in the Democratic Republic of the Congo or an adjoining country as described in the Company’s Conflict Minerals Report provided as Exhibit 1.01 hereto.

We have not been able to confirm the identification of and conflict-free status under the Responsible Minerals Assurance Process (RMAP) standards for all smelters used in our supply chain. None of the smelters identified in our supply chain is known to us as sourcing 3TG that directly or indirectly finances or benefits armed groups in the covered countries. As a result we file a Conflict Minerals Report as an Exhibit to this filing.

A copy of the Company’s Conflict Minerals Report is provided as Exhibit 1.01 hereto and is publicly available at: https://www.philips.com/a-w/about/company/suppliers/supplier-sustainability/our-programs/responsible-sourcing-of-minerals.html

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.

 

KONINKLIJKE PHILIPS N.V. (Registrant)
By:		/s/ Sophie Bechu				Date: May 26, 2020
Name:		Sophie Bechu
Title		Chief of Operations

Exhibit 1.01

Philips Conflict Minerals Report

 

This Conflict Minerals Report for Koninklijke Philips N.V. (hereafter ‘’Royal Philips’’, “Philips”, or “our”) covers the reporting period from January 1, 2019 to December 31, 2019, and has been prepared pursuant to Rule 13p-1 and Form SD promulgated under the Securities Exchange Act of 1934.

This Conflict Minerals Report is filed as Exhibit 1.01 to Philips’ Specialized Disclosure Report on Form SD and is also posted on the Philips conflict minerals website^{1 2}.

 

 

1	More information can be found here: https://www.philips.com/a-w/about/company/suppliers/supplier-sustainability/our-programs/responsible-sourcing-of-minerals.html

2	The content of any website, including any website of Royal Philips, referred to in this Conflict Minerals Report is included for general information only and is not incorporated by reference in the Conflict Minerals Report or Form SD.

 

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Contents

 

1. Introduction			3
2. Philips conflict-free minerals program			3
Philips			3
Supply chain characteristics for 3TG			3
Philips due diligence program			4
OECD Step 1: Company Management system			4
OECD Step 2: Risk identification and assessment			6
OECD Step 3: Strategy to respond to identified risks			7
OECD Step 4: Audits of smelter due diligence practices			7
OECD Step 5: Report annually on supply chain due diligence.			7
3. Reasonable Country of Origin Inquiry results			7
4. Due diligence framework & measures			9
Framework			9
Measures			9
5. Due diligence outcomes			11
6. Determination			11
7. Steps to improve future due diligence			12
8. List of smelter facilities			13
9. Data sources used			27
10. Abbreviations			27

 

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1. Introduction

Rule 13p-1 under the Securities Exchange Act of 1934, as amended, requires a company to make disclosures, for each calendar year, if conflict minerals are necessary to the functionality or production of a product manufactured by the registrant or contracted by the registrant to be manufactured. The specified minerals are gold, columbite-tantalite (coltan), cassiterite and wolframite, including their derivatives, which are limited to tantalum, tin and tungsten (henceforth referred to as “3TG”).

Philips has concluded that for the period from January 1, 2019 to December 31, 2019:

 

•

Philips has manufactured and contracted to manufacture products as to which 3TGs are necessary to the functionality or production;

 

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Based on the reasonable country of origin inquiry (RCOI), Philips knows or has reason to believe that a portion of its necessary 3TGs originated or may have originated from the DRC or an adjoining country and knows or has reason to believe that they may not be solely from recycled or scrap sources; and

 

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Based on Philips’ due diligence measures on the source and chain of custody of those necessary 3TGs used in its products, Philips is unable to determine for all 3TGs used in its products whether they originated from the DRC or an adjoining country.

2. Philips conflict minerals program

Philips

Royal Philips (NYSE: PHG, AEX: PHIA) is a leading health technology company focused on improving people’s health and enabling better outcomes across the health continuum from healthy living and prevention to diagnosis, treatment and home care. Philips leverages advanced technology and deep clinical and consumer insights to deliver integrated solutions. The company is a leader in diagnostic imaging, image-guided therapy, patient monitoring and health informatics, as well as in consumer health and home care.

In 2019, Royal Philips was organized around the following reportable segments:

 

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Diagnostic & Treatment businesses: Diagnostic Imaging, Image-Guided Therapy, Ultrasound, Enterprise Diagnostic Informatics

 

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Connected Care businesses: Monitoring & Analytics, Sleep & Respiratory Care, Therapeutic Care, Population Health Management, Connected Care Informatics

 

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Personal Health businesses: Oral Healthcare, Mother & Child Care, Personal Care, Domestic Appliances

 

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Other: Innovation, IP Royalties, Central Costs, Other

On January 28, 2020, Philips announced that it will review options for future ownership of the Domestic Appliances business, and start the process of creating a separate legal structure for this business.

Supply chain characteristics for 3TG

The supply chain for 3TGs consists of many tiers. Before reaching Philips’ direct suppliers, in general, 3TGs will go from mines to traders, exporters, smelters or refiners (collectively referred to in this report as smelters), alloy producers and component manufacturers, and sometimes intermediate suppliers. One or more of the 3TG metals are contained in the vast majority of Philips products, typically in small quantities. Philips sources products and components from approximately 4,200 first tier suppliers globally. First tier suppliers are those

 

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suppliers that Philips selected and with whom Philips has a direct business relationship. These first tier suppliers may select their suppliers (second tier suppliers), which in turn may have their own group of suppliers (third tier), and so on. There may be seven or more tiers in the supply chain between a 3TG mine and Philips. Philips works with its first tier suppliers to investigate the deeper levels of the supply chain, to determine the origin of 3TGs contained in Philips products.

 

Philips conflict minerals due diligence program

Due to Philips’ position in the supply chain and its limited insight in and leverage over the lower levels of the supply chain, Philips engages and actively cooperates with other industry members. As encouraged in the third edition of the Organization for Economic Co-operation and Development Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (including its supplements on 3TG, referred to in this report as “OECD Guidance”), the internationally recognized standard on which Philips’ system is based, Philips supports an industry initiative, the Responsible Minerals Initiative (RMI), that uses an independent third-party audit to identify smelters that have systems in place to assure sourcing of only conflict-free materials. The RMI, formerly known as the Conflict Free Sourcing Initiative (CFSI), was founded by members of the Responsible Business Alliance (RBA), formerly known as the Electronic Industry Citizenship Coalition (EICC), and the Global e-Sustainability Initiative (GeSI).

The data on which certain statements in this report are based were obtained through Philips’ membership in the RMI, using the RMI Reasonable Country of Origin Inquiry report³. In addition, Philips uses the tools and supports the initiatives developed by the RMI especially the Conflict Minerals Reporting Template (CMRT) and Responsible Minerals Assurance Process (RMAP), formerly known as the Conflict Free Smelter Program (CFSP).

Philips designed its conflict minerals supply chain due diligence program with reference to the OECD Guidance and the five steps described in the supplements on 3TG.

OECD Step 1: Company Management system

Philips adopted a position paper on responsible sourcing in relation to conflict minerals. The position paper is posted on Philips’ website. In addition, Philips has communicated its position on conflict minerals to all priority

 

 

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This list provides country of origin information for smelting and refining facilities that are validated through the Responsible Minerals Assurance Process. This data is based on the results of independent third-party audits and is available to RMI member companies only. The audit standard is developed according to global standards including the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas and the U.S. Dodd-Frank Wall Street Reform and Consumer Protection Act.

 

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suppliers (see below section “OECD Step 2” for the definition of priority suppliers). Philips has committed not to purchase raw materials, subassemblies, or supplies which Philips knows contain conflict minerals that directly or indirectly finance or benefit armed groups in the DRC or an adjoining country. Philips’ program goals, as described in the position paper, encourage the development of initiatives to:

 

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Minimize the trade in conflict minerals from mines that directly or indirectly finance or benefit armed groups anywhere in the world.

 

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Enable legitimate minerals from the conflict and high-risk regions to enter global supply chains, thereby supporting the economies and the local communities that depend on these exports.

Philips created and maintains an internal conflict minerals team to manage the implementation and progress of Philips’ due diligence efforts. The internal team consists of representatives from Procurement, Sustainability, Finance, Export Control, Legal and the Secretariat of the General Business Principles (GBP) Review Committee.

Philips established a system of control and transparency over its 3TG supply chains by creating a process to engage a group of first tier priority suppliers and request them to submit information to Philips using the CMRT⁴. The information submitted by priority suppliers includes information gathered by those suppliers about the smelters identified in their own supply chains. The information has been used by Philips to assess the due diligence efforts implemented by priority suppliers, and to identify smelters in the supply chain.

Philips made responsible sourcing of minerals a supplier contract requirement. The Philips Supplier Sustainability Declaration⁵ (SSD) includes a provision about Responsible Sourcing of Minerals. The SSD is part of the general conditions of purchase, and of the purchasing agreements signed with suppliers. It requires suppliers to have a policy in place to reasonably assure that their 3TG does not directly or indirectly finance or benefit armed groups that are perpetrators of serious human rights abuses in the DRC or an adjoining country, and to exercise due diligence on the source and chain of custody.

For first tier suppliers, Philips has a supplier sustainability performance program⁶ in place in which, amongst others, the implementation of the SSD is assessed. Responsible Sourcing of Minerals is one of the topics reviewed in this program. In case non-conformances are identified during the assessment, suppliers are requested to make a corrective action plan and Philips monitors the implementation of this plan until the non-conformance is corrected.

Multiple communication channels exist to serve as grievance mechanisms for early-warning risk awareness. Philips has the GBP⁷ reporting policy and underlying Speak Up mechanism that enables its stakeholders (including employees, former employees and third parties) to inform Philips of any concerns they may have. Internally, its personnel can report (anonymously) possible violations of Philips GBP and other policies including those related to 3TG supply chains via the GBP Compliance Officer or Philips Speak Up (Ethics Line) using the hotline or a web intake form. Third parties can also use the Philips Speak Up (Ethics Line) to file a complaint via

 

 

4	The CMRT is a survey tool developed by the RMI to standardize collection of due diligence information in the supply chain.

5	More information on the Supplier Sustainability Declaration can be found here: https://www.philips.com/a-w/about/company/suppliers/supplier-sustainability/our-programs/supplier-sustainability-assessment.html

6	More information about the Philips supplier sustainability performance program can be found here: https://www.philips.com/a-w/about/company/suppliers/supplier-sustainability/our-programs/supplier-sustainability-assessment.html

7	More information about the Philips General Business Principles can be found here: https://www.philips.com/a-w/about/investor/governance/business-principles.html

 

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telephone or a web intake form.⁸ In addition, stakeholders can use the email address Conflict_Free_Minerals@Philips.com or existing industry grievance mechanisms like RMI and ITRI’s Tin Supply Chain Initiative (iTSCi) to file complaints related to 3TG.

OECD Step 2: Risk identification and assessment

Given the large number and diversity of Philips’ suppliers, Philips focuses its efforts on a group of first tier priority suppliers (referred to as “priority suppliers”) and works with them to identify the smelters in their supply chain. Priority suppliers are selected based on two primary elements:

 

•

Purchasing spend

The suppliers in the top 80% of Philips’ spend of relevant commodities are selected as priority suppliers. Philips uses a system to classify suppliers in commodity groups, for example, plastics, packaging, and metals. Philips excluded suppliers in commodity groups for which it is unlikely that one or more of the 3TGs are contained in the products, for example, software suppliers and packaging suppliers.

 

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Usage of 3TG

The suppliers which provide a high quantity of 3TG materials are selected as priority suppliers. Even if these suppliers are not part of the top 80% relevant purchasing spend, Philips includes the suppliers as they are supplying a relatively high quantity of 3TG materials.

All identified priority suppliers receive a letter formally requesting them to:

 

•

Adopt a policy to reasonably assure that the 3TG in their products does not directly or indirectly finance or benefit armed groups in the DRC or an adjoining country.

 

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Identify all 3TG smelters in their supply chain. If they do not source directly from smelters, they are asked to pass on this request to their suppliers (who may have to pass it on to their suppliers, until the smelters are identified).

 

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Cascade Philips’ request to only source from RMAP (or equivalent) compliant smelters to their suppliers and ask them to do the same with their next tier partners.

 

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Report back to Philips by filling in the CMRT.

A Philips conflict minerals team is available to increase awareness amongst priority suppliers and to help them meet Philips’ expectations/requirements. Different background and training materials are made available to suppliers.

Philips reviews each received supplier CMRT and assesses whether it meets Philips’ acceptance criteria regarding completeness, adoption of a conflict-free policy, data collection from next tier suppliers, and smelter identification and disclosure. Suppliers who provided a CMRT that did not meet the acceptance criteria, and suppliers who provided incomplete or potentially inaccurate information, were requested to take corrective actions and update their CMRT accordingly.

Philips reviews the supplier CMRTs to determine if there are any findings that indicate a need to conduct further due diligence and gather more detailed information.

 

 

8	More information can be found here: https://secure.ethicspoint.eu/domain/media/en/gui/100518/index.html

 

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Philips evaluates the smelters identified in the supplier CMRTs based on various sources of available information. Philips mainly uses the Responsible Minerals Assurance Process (RMAP) compliant and active⁹ smelter list to evaluate the identified smelters. RMAP recognizes and includes smelters from other lists such as the London Bullion Metal Association (LBMA) and Responsible Jewelry Council (RJC). Philips may also use other sources of information to assess potential risk. For example, Philips may review publicly available reports or consider information that Philips may have about a smelter’s sourcing practices.

OECD Step 3: Strategy to respond to identified risks

Progress and findings of the supply chain risk assessment are regularly reported to senior management. The risk management plan adopted by Philips is in accordance with its policy to ultimately discontinue doing business with any supplier found to be purchasing 3TG material which directly or indirectly finances or benefits armed groups in the DRC or adjoining countries, after attempts at corrective actions are not successful.

To monitor and track performance of risk management efforts, Philips uses data reported by suppliers in the CMRTs and updates of the RMAP compliant smelter list. The status is discussed internally in monthly reviews with the conflict minerals team and reported to senior management.

Philips requests priority suppliers to update and resend their CMRT when additional information becomes available to such suppliers. When updates are received, the CMRT review step as described above is repeated to assess and mitigate risks.

OECD Step 4: Audits of smelter due diligence practices

The fourth step in the OECD guidance is to carry out independent third-party audits of supply chain due diligence at identified points in the supply chain. Philips is a member of RMI and uses information provided by the RMI for this step. Through its membership, Philips has access to the RMI RCOI report data which is used to identify the minerals country of origin and conflict-free status of smelters.

Philips contributes to the RMI as a member company and encourages smelters to participate in the RMAP through direct communication and smelter outreach communication.

OECD Step 5: Report annually on supply chain due diligence.

Since 2014, Philips reports annually on supply chain due diligence by filing a Form SD and Conflict Minerals Report with the SEC. Philips has been including certain disclosures about the use of conflict minerals since 2009, even before the SEC’s rules first became effective. A dedicated conflict minerals website with information for consumers, customers and suppliers is available. In 2012, Philips was the first company to publish its smelter list, and continues to regularly update this list as more information becomes available.

3. Reasonable country of origin inquiry results

As described above, SEC rules provide that if, after conducting in good faith, a reasonable country of origin inquiry, an SEC registrant determines, or has reason to believe, that any of the 3TGs used in connection with the products for which it is responsible may have originated in the DRC or an adjoining country, or did not come from recycled or scrap sources, the registrant should conduct due diligence on the source and chain of custody of its conflict minerals, following a nationally or internationally recognized framework.

 

9	RMI active smelter and refiners are at various stages of the audit cycle (undergoing or committed to undergo the audit). The full definition of RMI “active” smelters can be found here: http://www.responsiblemineralsinitiative.org/active-smelters-refiners/

 

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Philips identified 190 priority suppliers and used the data provided by these suppliers in their CMRTs to identify the smelters in the Philips supply chain. These smelters may have been used to process 3TG metals contained in Philips products.

Philips achieved a 99% response rate in its supply chain investigation and 86% of the submitted CMRTs met or exceeded the Philips 2019 minimum acceptance criteria. Names of 331 different entities were provided by priority suppliers as part of their smelter lists.

However, some of the entities named by the priority suppliers may not be smelters. Philips used the “Smelter Look-up” in the CMRT version 5.12 and RMI smelter database information as a reference to compile the Philips Smelter List.

Based on the CMRT “Smelter Look-up”, Philips identified a total of 324 listed smelters in the supply chain out of the 331 names reported to Philips. According to the RMI smelter database information, among the 324 listed smelters, 2 have discontinued operations as smelters.

Philips researched the remaining 7 non-listed entities and concluded that 1 of them is most likely a smelter that has ceased operations and the other 6 have been recognized in the RMI smelter database after the release of CMRT version 5.12. Therefore, in 2019, Philips identified 328 eligible smelters, excluding the smelters that have discontinued operations, and did not identify any named entities that we could not determine the status.

As a result of focusing on improving the smelter data quality received from the priority suppliers, Philips was able to reduce the number of non-recognized smelters from 85 reported in 2015, to 9 reported in 2016, to 5 reported in 2017, to 3 reported in 2018, and finally to 0 in 2019.

The majority of the identified smelters are located in Asia, with 87 smelters in China, followed by Indonesia (37) and Japan (31).

 

 

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Results of the RCOI (Reasonable Country of Origin Inquiry)

 

		Gold				Tantalum				Tin				Tungsten				Total
Smelters known to source from the DRC			0				19				7				3				29
Smelters known to source from the DRC adjoining countries			2				24				8				9				43
Smelters known to process only recycled or scrap materials			10				1				5				3				19
Smelters known to source from outside the DRC or adjoining countries			103				15				69				34				221
Smelters that disclosed mineral country of origin to auditors only			1				0				0				0				1
Smelters with unknown mineral origin			43				1				11				5				60

For the 328 identified smelters, Philips used the RMI Reasonable Country of Origin Inquiry (RCOI) report. This country of origin data is available for smelters that successfully completed an RMAP audit and chose to disclose their sourcing countries to the RMI. One of the identified RMAP compliant gold smelters chose to disclose its mineral country of origin to auditors only. The table above shows the results of the RCOI. The total number shown in the table is not equal to the total number of identified smelters, because a smelter may fall into more than one category (e.g., a smelter can source from both the DRC as well as from countries outside the DRC). As the RMI generally does not specify individual countries of origin of 3TGs processed by audited smelters and some of the smelters do not disclose origin information, we were not able to determine with certainty the specific countries of origin of 3TGs processed by the identified smelters.

In the CMRTs received, 119 suppliers indicated that their products contain 3TG metals that originated or potentially originated from the DRC or adjoining countries.

4. Conflict minerals due diligence framework & measures

Framework

The Philips conflict minerals due diligence framework for the reporting period of calendar year 2019 has been designed to conform in all material respects to the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, Third Edition (2016), as applicable for downstream companies.

Measures

Below is a description of the measures Philips performed in due diligence on the source and chain of custody of the necessary conflict minerals contained in Philips’ products.

 

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Philips updated its position paper on responsible sourcing in relation to conflict minerals.

 

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Once a month, the Philips conflict minerals team met to review progress and results of supplier data collection, supplier due diligence and smelter identification. Internal performance reports were created for these meetings. Using data from Supplier Sustainability Scorecards, these reports included an overview of the monthly progress of priority suppliers, as well as, progress highlights, areas of concern, outlook for coming weeks, and identified risks.

 

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In total, 12 Supplier Sustainability Scorecards were shared with senior management. Regarding Conflict Minerals, the main topics addressed in the scorecards included:

 

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The progress of CMRT collection from priority suppliers

 

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The status of supplier CMRTs with regards to meeting Philips’ CMRT acceptance criteria

 

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Philips contacted priority suppliers via an invitation letter. Using this letter, Philips requested suppliers to perform supply chain due diligence and fill out a CMRT. In addition, the letter referred to Philips’ expectations and requirements regarding the CMRT. A copy of this letter is posted on the Philips conflict minerals website.

 

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In the letter, Philips requests priority suppliers to steer their supply chain towards RMAP (or equivalent) validated smelters only.

 

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Philips requested priority suppliers to identify smelters in their supply chain and to report the identified smelters to Philips using the CMRT. In case a lack of progress was observed, Philips followed up with suppliers by sending out multiple reminders via email, as well as, by reaching out via phone.

 

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Philips facilitated the learning and development of suppliers. The Philips Conflict Minerals team regularly contacted suppliers via email and phone to monitor the suppliers’ progress, provide additional training, and check whether the conflict minerals requirements of Philips were interpreted correctly.

 

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Philips reviewed all received supplier CMRTs to evaluate whether they met Philips’ acceptance criteria regarding completeness, adoption of a conflict-free policy, data collection from next tier suppliers, and smelter identification and disclosure. Suppliers that provided a CMRT that did not meet the acceptance criteria, and suppliers that provided incomplete or potentially inaccurate information, were requested to take corrective actions and update their CMRT accordingly.

 

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Philips reviewed all received supplier CMRTs to determine if there were any areas of concern giving rise to the need to conduct further due diligence and thus gather more information. During the course of the year, Philips has followed up on areas of concern in a number of cases.

 

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Philips reviewed all received supplier CMRTs against the list of smelters that were audited through the RMI’s Responsible Minerals Assurance Process (RMAP) or other independent third party audit programs.

 

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As a member of the RMI, Philips utilized the due diligence conducted on smelters by the RMI’s RMAP. This program uses independent third-party auditors to audit the source and chain of custody of the conflict minerals used by smelters that agree to participate in the RMAP.

 

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Philips devised and adopted a risk management plan according to the level of risk in 3TG supply chains. Philips determined the level of risk, taking into account available information on mineral origin, RMAP compliance status, and possible connection to conflict as reported from credible sources. To mitigate risk, Philips might require high-risk suppliers to take corrective actions, or request smelters with unknown mineral origin to participate in the RMAP.

 

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Philips published the “Philips Conflict Minerals Reporting Template” on the Philips conflict minerals website, including a list of all smelters identified by the selected priority suppliers during 2019.

 

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Philips has filed the Conflict Minerals Report (and the Exhibits thereto) with the SEC for 2013, 2014, 2015, 2016, 2017 and 2018 and is filing this the Conflict Minerals Report for 2019 on May 26, 2020 as Exhibit 1.01 to Form SD. The report is available on Philips’ conflict minerals website.

 

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Philips archives relevant evidence related to its Conflict Minerals Program for at least five years. Records are stored in a manner allowing timely and easy access while protecting the records from unauthorized alteration.

 

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Philips has established an internal mechanism allowing its employees to, anonymously, raise possible violations of Philips GBP and other policies including those relating to conflict minerals. In addition, a central conflict minerals email address can be used by external stakeholders to file complaints. Additionally, Philips encourages anyone who suspects a breach of ethical standards in any of Philips’ business activities to report their concerns, in strictest confidence, via the externally hosted Philips Speak Up (Ethics Line). Moreover, as a member of the RMI, Philips encourages submissions of grievance via the RMI Grievance Mechanism. The RMI also serves as a source for an early-warning risk-awareness.

5. Conflict minerals due diligence outcomes

To the best of Philips’ knowledge, none of the smelters identified in Philips’ supply chain are known to source 3TG that directly or indirectly benefit armed groups in the DRC. 273 (83%) of the 328 smelters identified by Philips participated in the RMAP or equivalent audit program. 267 (81%) of the identified smelters successfully passed the RMAP or equivalent audit, thereby confirming their conflict-free status under those standards. 6 (2%) of the identified smelters are in various stages of the audit (so-called “RMI active smelters”). The remaining 55 (17%) identified smelters have not started a valid independent third-party audit to confirm their conflict-free status. Accordingly, the conflict-free status of these 55 unaudited smelters as well as the 6 active smelters that are in various stages of the audit process is reported in this conflict minerals report as undeterminable.

Philips did not discontinue business with any direct suppliers in the reporting period because Philips did not identify any reason to believe that any of the suppliers were purchasing 3TG that directly or indirectly finances or benefits armed groups in the DRC or adjoining countries. Philips nevertheless will review and potentially remove smelters from its supply chain when Philips has concerns regarding their due diligence process and/or sourcing practices. Given the fact that neither Philips nor its suppliers have a direct business relationship with the entities with respect to which Philips is further investigating concerns, the process takes time.

6. Determination

Philips has not been able to confirm the identification of a conflict-free status under the RMAP standards for all smelters used in its supply chain. However, none of the smelters identified in Philips’ supply chain is known to Philips as sourcing 3TG that directly or indirectly finances or benefits armed groups in the DRC or adjoining countries.

 

 

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As a result of the due diligence measures performed, Philips provides below the known smelter facilities that may have been used to process 3TG metals contained in Philips products, and their conflict-free status. The conflict-free status is based on information the RMI provides to its members. Philips includes the category “RMI Active” as it shows smelters that committed to or are currently in the process of undertaking an audit. The list of smelter facilities provided in Section 8 of this Conflict Minerals Report includes all 328 entities that were confirmed to be eligible smelters.

This Conflict Minerals Report is intended to cover Philips’ entire product portfolio that uses 3TG. Given Philips’ large product portfolio and extensive supplier base, Philips does not have component level information from all of its 4,200 first tier suppliers. As a result thereof, the approach is to conduct supply chain due diligence and report at the company level for the entire product portfolio, rather than for specific Philips products. This enables Philips to focus its efforts on building, maintaining, and improving a robust due diligence program.

7. Steps to improve future Philips conflict minerals due diligence program

For reporting year 2020, Philips plans to:

 

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Continue to leverage its position as a strategic partner in the European Partnership for Responsible Minerals (EPRM), a public-private cooperation that supports and complements the EU conflict minerals legislation. As a strategic partner, Philips will engage in responsible sourcing projects (with a scope broadened to other conflict and high-risk areas world-wide as well as a wider array of human rights and environmental issues addressed) in order to increase the supply and demand for responsibly sourced minerals. Furthermore, Philips will act as a liaison between EPRM and other responsible sourcing initiatives in which Philips participates (e.g., the Dutch Covenant on Gold).

 

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Continue engagement with existing industry programs and groups, such as responsible sourcing and upstream impact programs and workgroups initiated under the Responsible Minerals Initiative (RMI), to encourage further adoption, improvement, and reliability in relevant programs, tools and standards.

 

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Continue to reach out to smelters to encourage their participation in relevant responsible sourcing initiatives.

 

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Continue to work with priority suppliers to:

 

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help them understand and satisfy Philips’ responsible sourcing expectations

 

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help them implement or further improve their due diligence process

 

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investigate their supply chain and identify smelters

 

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confirm the conflict-free status of identified smelters

 

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Communicate to priority suppliers Philips’ expectation that they steer their supply chain towards smelters audited as conformant to the Responsible Minerals Assurance Process (RMAP) or other equivalent programs.

 

•

Start exploring its supply chain for cobalt and expand minerals due diligence to include cobalt, which is not included in the definition of “conflict minerals” but has been linked to human rights risks in the DRC. As a first step, Philips will investigate the use of cobalt in the batteries that it purchases and question suppliers about their due diligence.

 

12

8. List of smelter facilities

The table below represents a consolidated list of smelters (328 in total) identified by Philips’ priority suppliers. The results are based on:

 

•

Information provided by the selected priority suppliers in their CMRTs

 

•

RMI smelter reference list, as included in the CMRT version 5.12 (released April 26, 2019)

 

•

Smelter database information available to the RMI members – version April 28, 2020

 

Metal		ID		Smelter name		RMAP Compliant		RMI Active
Gold		CID000015		Advanced Chemical Company		YES		NO
Gold		CID000019		Aida Chemical Industries Co., Ltd.		YES		NO
Gold		CID000035		Allgemeine Gold-und Silberscheideanstalt A.G.		YES		NO
Gold		CID000041		Almalyk Mining and Metallurgical Complex (AMMC)		YES		NO
Gold		CID000058		AngloGold Ashanti Corrego do Sitio Mineracao		YES		NO
Gold		CID000077		Argor-Heraeus S.A.		YES		NO
Gold		CID000082		Asahi Pretec Corp.		YES		NO
Gold		CID000090		Asaka Riken Co., Ltd.		YES		NO
Gold		CID000103		Atasay Kuyumculuk Sanayi Ve Ticaret A.S.		NO		NO
Gold		CID000113		Aurubis AG		YES		NO
Gold		CID000128		Bangko Sentral ng Pilipinas (Central Bank of the Philippines)		YES		NO
Gold		CID000157		Boliden AB		YES		NO
Gold		CID000176		C. Hafner GmbH + Co. KG		YES		NO
Gold		CID000180		Caridad		NO		NO
Gold		CID000185		CCR Refinery - Glencore Canada Corporation		YES		NO
Gold		CID000189		Cendres + Metaux S.A.		YES		NO
Gold		CID000197		Yunnan Copper Industry Co., Ltd.		NO		NO
Gold		CID000233		Chimet S.p.A.		YES		NO

 

13

Gold		CID000264		Chugai Mining		YES		NO
Gold		CID000343		Daye Non-Ferrous Metals Mining Ltd.		NO		NO
Gold		CID000359		DSC (Do Sung Corporation)		YES		NO
Gold		CID000362		DODUCO Contacts and Refining GmbH		YES		NO
Gold		CID000401		Dowa		YES		NO
Gold		CID000425		Eco-System Recycling Co., Ltd. East Plant		YES		NO
Gold		CID000493		OJSC Novosibirsk Refinery		YES		NO
Gold		CID000522		Refinery of Seemine Gold Co., Ltd.		NO		NO
Gold		CID000651		Guoda Safina High-Tech Environmental Refinery Co., Ltd.		NO		NO
Gold		CID000671		Hangzhou Fuchunjiang Smelting Co., Ltd.		NO		NO
Gold		CID000689		LT Metal Ltd.		YES		NO
Gold		CID000694		Heimerle + Meule GmbH		YES		NO
Gold		CID000707		Heraeus Metals Hong Kong Ltd.		YES		NO
Gold		CID000711		Heraeus Precious Metals GmbH & Co. KG		YES		NO
Gold		CID000767		Hunan Chenzhou Mining Co., Ltd.		NO		NO
Gold		CID000773		Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd.		NO		NO
Gold		CID000778		HwaSeong CJ CO., LTD.		NO		NO
Gold		CID000801		Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.		YES		NO
Gold		CID000807		Ishifuku Metal Industry Co., Ltd.		YES		NO
Gold		CID000814		Istanbul Gold Refinery		YES		NO
Gold		CID000823		Japan Mint		YES		NO
Gold		CID000855		Jiangxi Copper Co., Ltd.		YES		NO
Gold		CID000920		Asahi Refining USA Inc.		YES		NO
Gold		CID000924		Asahi Refining Canada Ltd.		YES		NO

 

14

Gold		CID000929		JSC Uralelectromed		YES		NO
Gold		CID000937		JX Nippon Mining & Metals Co., Ltd.		YES		NO
Gold		CID000956		Kazakhmys Smelting LLC		NO		NO
Gold		CID000957		Kazzinc		YES		NO
Gold		CID000969		Kennecott Utah Copper LLC		YES		NO
Gold		CID000981		Kojima Chemicals Co., Ltd.		YES		NO
Gold		CID001029		Kyrgyzaltyn JSC		YES		NO
Gold		CID001032		L’azurde Company For Jewelry		NO		NO
Gold		CID001056		Lingbao Gold Co., Ltd.		NO		NO
Gold		CID001058		Lingbao Jinyuan Tonghui Refinery Co., Ltd.		NO		NO
Gold		CID001078		LS-NIKKO Copper Inc.		YES		NO
Gold		CID001093		Luoyang Zijin Yinhui Gold Refinery Co., Ltd.		NO		NO
Gold		CID001113		Materion		YES		NO
Gold		CID001119		Matsuda Sangyo Co., Ltd.		YES		NO
Gold		CID001147		Metalor Technologies (Suzhou) Ltd.		YES		NO
Gold		CID001149		Metalor Technologies (Hong Kong) Ltd.		YES		NO
Gold		CID001152		Metalor Technologies (Singapore) Pte., Ltd.		YES		NO
Gold		CID001153		Metalor Technologies S.A.		YES		NO
Gold		CID001157		Metalor USA Refining Corporation		YES		NO
Gold		CID001161		Metalurgica Met-Mex Penoles S.A. De C.V.		YES		NO
Gold		CID001188		Mitsubishi Materials Corporation		YES		NO
Gold		CID001193		Mitsui Mining and Smelting Co., Ltd.		YES		NO
Gold		CID001204		Moscow Special Alloys Processing Plant		YES		NO
Gold		CID001220		Nadir Metal Rafineri San. Ve Tic. A.S.		YES		NO
Gold		CID001236		Navoi Mining and Metallurgical Combinat		NO		NO

 

15

Gold		CID001259		Nihon Material Co., Ltd.		YES		NO
Gold		CID001325		Ohura Precious Metal Industry Co., Ltd.		YES		NO
Gold		CID001326		OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)		YES		NO
Gold		CID001352		PAMP S.A.		YES		NO
Gold		CID001362		Penglai Penggang Gold Industry Co., Ltd.		NO		NO
Gold		CID001386		Prioksky Plant of Non-Ferrous Metals		YES		NO
Gold		CID001397		PT Aneka Tambang (Persero) Tbk		YES		NO
Gold		CID001498		PX Precinox S.A.		YES		NO
Gold		CID001512		Rand Refinery (Pty) Ltd.		YES		NO
Gold		CID001534		Royal Canadian Mint		YES		NO
Gold		CID001546		Sabin Metal Corp.		NO		NO
Gold		CID001555		Samduck Precious Metals		YES		NO
Gold		CID001562		Samwon Metals Corp.		NO		NO
Gold		CID001585		SEMPSA Joyeria Plateria S.A.		YES		NO
Gold		CID001619		Shandong Tiancheng Biological Gold Industrial Co., Ltd.		NO		NO
Gold		CID001622		Shandong Zhaojin Gold & Silver Refinery Co., Ltd.		YES		NO
Gold		CID001736		Sichuan Tianze Precious Metals Co., Ltd.		YES		NO
Gold		CID001756		SOE Shyolkovsky Factory of Secondary Precious Metals		YES		NO
Gold		CID001761		Solar Applied Materials Technology Corp.		YES		NO
Gold		CID001798		Sumitomo Metal Mining Co., Ltd.		YES		NO
Gold		CID001875		Tanaka Kikinzoku Kogyo K.K.		YES		NO
Gold		CID001909		Great Wall Precious Metals Co., Ltd. of CBPM		NO		NO
Gold		CID001916		The Refinery of Shandong Gold Mining Co., Ltd.		YES		NO
Gold		CID001938		Tokuriki Honten Co., Ltd.		YES		NO

 

16

Gold		CID001947		Tongling Nonferrous Metals Group Co., Ltd.		NO		NO
Gold		CID001955		Torecom		YES		NO
Gold		CID001977		Umicore Brasil Ltda.		YES		NO
Gold		CID001980		Umicore S.A. Business Unit Precious Metals Refining		YES		NO
Gold		CID001993		United Precious Metal Refining, Inc.		YES		NO
Gold		CID002003		Valcambi S.A.		YES		NO
Gold		CID002030		Western Australian Mint (T/a The Perth Mint)		YES		NO
Gold		CID002100		Yamakin Co., Ltd.		YES		NO
Gold		CID002129		Yokohama Metal Co., Ltd.		YES		NO
Gold		CID002224		Zhongyuan Gold Smelter of Zhongjin Gold Corporation		YES		NO
Gold		CID002243		Gold Refinery of Zijin Mining Group Co., Ltd.		YES		NO
Gold		CID002282		Morris and Watson		NO		NO
Gold		CID002290		SAFINA A.S.		NO		YES
Gold		CID002312		Guangdong Jinding Gold Limited		NO		NO
Gold		CID002314		Umicore Precious Metals Thailand		YES		NO
Gold		CID002459		Geib Refining Corporation		YES		NO
Gold		CID002509		MMTC-PAMP India Pvt., Ltd.		YES		NO
Gold		CID002511		KGHM Polska Miedz Spolka Akcyjna		YES		NO
Gold		CID002516		Singway Technology Co., Ltd.		YES		NO
Gold		CID002525		Shandong Humon Smelting Co., Ltd.		NO		NO
Gold		CID002560		Al Etihad Gold Refinery DMCC		YES		NO
Gold		CID002561		Emirates Gold DMCC		YES		NO
Gold		CID002562		International Precious Metal Refiners		NO		NO
Gold		CID002580		T.C.A S.p.A		YES		NO
Gold		CID002582		REMONDIS PMR B.V.		YES		NO

 

17

Gold		CID002584		Fujairah Gold FZC		NO		NO
Gold		CID002605		Korea Zinc Co., Ltd.		YES		NO
Gold		CID002606		Marsam Metals		YES		NO
Gold		CID002615		TOO Tau-Ken-Altyn		YES		NO
Gold		CID002708		Abington Reldan Metals, LLC		NO		NO
Gold		CID002761		SAAMP		YES		NO
Gold		CID002762		L’Orfebre S.A.		YES		NO
Gold		CID002763		8853 S.p.A.		YES		NO
Gold		CID002765		Italpreziosi		YES		NO
Gold		CID002777		SAXONIA Edelmetalle GmbH		YES		NO
Gold		CID002778		WIELAND Edelmetalle GmbH		YES		NO
Gold		CID002779		Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH		YES		NO
Gold		CID002850		AU Traders and Refiners		YES		NO
Gold		CID002852		GCC Gujrat Gold Centre Pvt. Ltd.		NO		NO
Gold		CID002853		Sai Refinery		NO		NO
Gold		CID002857		Modeltech Sdn Bhd		NO		NO
Gold		CID002863		Bangalore Refinery		YES		NO
Gold		CID002865		Kyshtym Copper-Electrolytic Plant ZAO		NO		NO
Gold		CID002866		Morris and Watson Gold Coast		NO		NO
Gold		CID002867		Degussa Sonne / Mond Goldhandel GmbH		NO		NO
Gold		CID002872		Pease & Curren		NO		NO
Gold		CID002918		SungEel HiMetal Co., Ltd.		YES		NO
Gold		CID002919		Planta Recuperadora de Metales SpA		YES		NO
Gold		CID002973		Safimet S.p.A		YES		NO
Gold		CID003153		State Research Institute Center for Physical Sciences and Technology		NO		NO

 

18

Gold		CID003189		NH Recytech Company		NO		NO
Gold		CID003195		DS PRETECH Co., Ltd.		YES		NO
Gold		CID003324		QG Refining, LLC		NO		NO
Gold		CID003348		Dijllah Gold Refinery FZC		NO		NO
Gold		CID003382		CGR Metalloys Pvt Ltd.		NO		NO
Gold		CID003383		Sovereign Metals		NO		NO
Gold		CID003424		Eco-System Recycling Co., Ltd. North Plant		YES		NO
Gold		CID003425		Eco-System Recycling Col, Ltd. West Plant		YES		NO
Tantalum		CID000092		Asaka Riken Co., Ltd.		YES		NO
Tantalum		CID000211		Changsha South Tantalum Niobium Co., Ltd.		YES		NO
Tantalum		CID000291		Guangdong Rising Rare Metals-EO Materials Ltd.		YES		NO
Tantalum		CID000456		Exotech Inc.		YES		NO
Tantalum		CID000460		F&X Electro-Materials Ltd.		YES		NO
Tantalum		CID000616		Guangdong Zhiyuan New Material Co., Ltd.		YES		NO
Tantalum		CID000914		JiuJiang JinXin Nonferrous Metals Co., Ltd.		YES		NO
Tantalum		CID000917		Jiujiang Tanbre Co., Ltd.		YES		NO
Tantalum		CID001076		LSM Brasil S.A.		YES		NO
Tantalum		CID001163		Metallurgical Products India Pvt., Ltd.		YES		NO
Tantalum		CID001175		Mineracao Taboca S.A.		YES		NO
Tantalum		CID001192		Mitsui Mining and Smelting Co., Ltd.		YES		NO
Tantalum		CID001200		NPM Silmet AS		YES		NO
Tantalum		CID001277		Ningxia Orient Tantalum Industry Co., Ltd.		YES		NO
Tantalum		CID001508		QuantumClean		YES		NO
Tantalum		CID001522		Yanling Jincheng Tantalum & Niobium Co., Ltd.		YES		NO

 

19

Tantalum		CID001769		Solikamsk Magnesium Works OAO		YES		NO
Tantalum		CID001869		Taki Chemical Co., Ltd.		YES		NO
Tantalum		CID001891		Telex Metals		YES		NO
Tantalum		CID001969		Ulba Metallurgical Plant JSC		YES		NO
Tantalum		CID002492		Hengyang King Xing Lifeng New Materials Co., Ltd.		YES		NO
Tantalum		CID002504		D Block Metals, LLC		YES		NO
Tantalum		CID002505		FIR Metals & Resource Ltd.		YES		NO
Tantalum		CID002506		Jiujiang Zhongao Tantalum & Niobium Co., Ltd.		YES		NO
Tantalum		CID002508		XinXing HaoRong Electronic Material Co., Ltd.		YES		NO
Tantalum		CID002512		Jiangxi Dinghai Tantalum & Niobium Co., Ltd.		YES		NO
Tantalum		CID002539		KEMET Blue Metals		YES		NO
Tantalum		CID002544		H.C. Starck Co., Ltd.		YES		NO
Tantalum		CID002545		H.C. Starck Tantalum and Niobium GmbH		YES		NO
Tantalum		CID002547		H.C. Starck Hermsdorf GmbH		YES		NO
Tantalum		CID002548		H.C. Starck Inc.		YES		NO
Tantalum		CID002549		H.C. Starck Ltd.		YES		NO
Tantalum		CID002550		H.C. Starck Smelting GmbH & Co. KG		YES		NO
Tantalum		CID002557		Global Advanced Metals Boyertown		YES		NO
Tantalum		CID002558		Global Advanced Metals Aizu		YES		NO
Tantalum		CID002568		KEMET Blue Powder		YES		NO
Tantalum		CID002707		Resind Industria e Comercio Ltda.		YES		NO
Tantalum		CID002842		Jiangxi Tuohong New Raw Material		YES		NO
Tantalum		CID002847		PRG Dooel		YES		NO
Tantalum		CID003402		CP Metals Inc.		YES		NO
Tin		CID000228		Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.		YES		NO

 

20

Tin		CID000292		Alpha		YES		NO
Tin		CID000306		CV Gita Pesona		YES		NO
Tin		CID000309		PT Aries Kencana Sejahtera		YES		NO
Tin		CID000313		PT Premium Tin Indonesia		YES		NO
Tin		CID000315		CV United Smelting		YES		NO
Tin		CID000402		Dowa		YES		NO
Tin		CID000438		EM Vinto		YES		NO
Tin		CID000448		Estanho de Rondonia S.A.		NO		NO
Tin		CID000468		Fenix Metals		YES		NO
Tin		CID000538		Gejiu Non-Ferrous Metal Processing Co., Ltd.		YES		NO
Tin		CID000555		Gejiu Zili Mining And Metallurgy Co., Ltd.		YES		NO
Tin		CID000760		Huichang Jinshunda Tin Co., Ltd.		YES		NO
Tin		CID000942		Gejiu Kai Meng Industry and Trade LLC		YES		NO
Tin		CID001070		China Tin Group Co., Ltd.		YES		NO
Tin		CID001105		Malaysia Smelting Corporation (MSC)		YES		NO
Tin		CID001142		Metallic Resources, Inc.		YES		NO
Tin		CID001173		Mineracao Taboca S.A.		YES		NO
Tin		CID001182		Minsur		YES		NO
Tin		CID001191		Mitsubishi Materials Corporation		YES		NO
Tin		CID001231		Jiangxi New Nanshan Technology Ltd.		YES		NO
Tin		CID001314		O.M. Manufacturing (Thailand) Co., Ltd.		YES		NO
Tin		CID001337		Operaciones Metalurgicas S.A.		YES		NO
Tin		CID001399		PT Artha Cipta Langgeng		YES		NO
Tin		CID001402		PT Babel Inti Perkasa		YES		NO
Tin		CID001406		PT Babel Surya Alam Lestari		YES		NO
Tin		CID001419		PT Bangka Tin Industry		YES		NO

 

21

Tin		CID001421		PT Belitung Industri Sejahtera		YES		NO
Tin		CID001428		PT Bukit Timah		YES		NO
Tin		CID001434		PT DS Jaya Abadi		YES		NO
Tin		CID001448		PT Karimun Mining		YES		NO
Tin		CID001453		PT Mitra Stania Prima		YES		NO
Tin		CID001457		PT Panca Mega Persada		YES		NO
Tin		CID001458		PT Prima Timah Utama		YES		NO
Tin		CID001460		PT Refined Bangka Tin		YES		NO
Tin		CID001463		PT Sariwiguna Binasentosa		YES		NO
Tin		CID001468		PT Stanindo Inti Perkasa		YES		NO
Tin		CID001471		PT Sumber Jaya Indah		YES		NO
Tin		CID001477		PT Timah Tbk Kundur		YES		NO
Tin		CID001482		PT Timah Tbk Mentok		YES		NO
Tin		CID001490		PT Tinindo Inter Nusa		YES		NO
Tin		CID001493		PT Tommy Utama		YES		NO
Tin		CID001539		Rui Da Hung		YES		NO
Tin		CID001758		Soft Metais Ltda.		YES		NO
Tin		CID001898		Thaisarco		YES		NO
Tin		CID001908		Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.		YES		NO
Tin		CID002036		White Solder Metalurgia e Mineracao Ltda.		YES		NO
Tin		CID002158		Yunnan Chengfeng Non-ferrous Metals Co., Ltd.		YES		NO
Tin		CID002180		Yunnan Tin Company Limited		YES		NO
Tin		CID002455		CV Venus Inti Perkasa		YES		NO
Tin		CID002468		Magnu’s Minerais Metais e Ligas Ltda.		YES		NO
Tin		CID002478		PT Tirus Putra Mandiri		YES		NO

 

22

Tin		CID002500		Melt Metais e Ligas S.A.		YES		NO
Tin		CID002503		PT ATD Makmur Mandiri Jaya		YES		NO
Tin		CID002517		O.M. Manufacturing Philippines, Inc.		YES		NO
Tin		CID002530		PT Inti Stania Prima		YES		NO
Tin		CID002570		CV Ayi Jaya		YES		NO
Tin		CID002572		Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company		NO		NO
Tin		CID002573		Nghe Tinh Non-Ferrous Metals Joint Stock Company		NO		NO
Tin		CID002574		Tuyen Quang Non-Ferrous Metals Joint Stock Company		NO		NO
Tin		CID002592		CV Dua Sekawan		YES		NO
Tin		CID002593		PT Rajehan Ariq		YES		NO
Tin		CID002703		An Vinh Joint Stock Mineral Processing Company		NO		NO
Tin		CID002706		Resind Industria e Comercio Ltda.		YES		NO
Tin		CID002756		Super Ligas		NO		NO
Tin		CID002773		Metallo Belgium N.V.		YES		NO
Tin		CID002774		Metallo Spain S.L.U.		YES		NO
Tin		CID002776		PT Bangka Prima Tin		YES		NO
Tin		CID002816		PT Sukses Inti Makmur		YES		NO
Tin		CID002829		PT Kijang Jaya Mandiri		YES		NO
Tin		CID002834		Thai Nguyen Mining and Metallurgy Co., Ltd.		YES		NO
Tin		CID002835		PT Menara Cipta Mulia		YES		NO
Tin		CID002844		HuiChang Hill Tin Industry Co., Ltd.		YES		NO
Tin		CID002848		Gejiu Fengming Metallurgy Chemical Plant		YES		NO
Tin		CID002849		Guanyang Guida Nonferrous Metal Smelting Plant		YES		NO
Tin		CID002858		Modeltech Sdn Bhd		NO		NO

 

23

Tin		CID003116		Guangdong Hanhe Non-Ferrous Metal Co., Ltd.		YES		NO
Tin		CID003190		Chifeng Dajingzi Tin Industry Co., Ltd.		YES		NO
Tin		CID003205		PT Bangka Serumpun		YES		NO
Tin		CID003208		Pongpipat Company Limited		NO		NO
Tin		CID003325		Tin Technology & Refining		YES		NO
Tin		CID003356		Dongguan CiEXPO Environmental Engineering Co., Ltd.		NO		NO
Tin		CID003379		Ma’anshan Weitai Tin Co., Ltd.		YES		NO
Tin		CID003381		PT Rajawali Rimba Perkasa		YES		NO
Tin		CID003397		Yunnan Yunfan Non-ferrous Metals Co., Ltd.		YES		NO
Tin		CID003409		Precious Minerals and Smelting Limited		NO		YES
Tin		CID003410		Gejiu City Fuxiang Industry and Trade Co., Ltd.		NO		NO
Tin		CID003387		Luna Smelter, Ltd.		YES		NO
Tungsten		CID000004		A.L.M.T. Corp.		YES		NO
Tungsten		CID000105		Kennametal Huntsville		YES		NO
Tungsten		CID000218		Guangdong Xianglu Tungsten Co., Ltd.		YES		NO
Tungsten		CID000258		Chongyi Zhangyuan Tungsten Co., Ltd.		YES		NO
Tungsten		CID000281		CNMC (Guangxi) PGMA Co., Ltd.		NO		NO
Tungsten		CID000499		Fujian Jinxin Tungsten Co., Ltd.		YES		NO
Tungsten		CID000568		Global Tungsten & Powders Corp.		YES		NO
Tungsten		CID000766		Hunan Chenzhou Mining Co., Ltd.		YES		NO
Tungsten		CID000769		Hunan Chunchang Nonferrous Metals Co., Ltd.		YES		NO
Tungsten		CID000825		Japan New Metals Co., Ltd.		YES		NO
Tungsten		CID000875		Ganzhou Huaxing Tungsten Products Co., Ltd.		YES		NO
Tungsten		CID000966		Kennametal Fallon		YES		NO

 

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Tungsten		CID001889		Tejing (Vietnam) Tungsten Co., Ltd.		YES		NO
Tungsten		CID002044		Wolfram Bergbau und Hutten AG		YES		NO
Tungsten		CID002082		Xiamen Tungsten Co., Ltd.		YES		NO
Tungsten		CID002095		Xinhai Rendan Shaoguan Tungsten Co., Ltd.		YES		NO
Tungsten		CID002313		Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.		NO		NO
Tungsten		CID002315		Ganzhou Jiangwu Ferrotungsten Co., Ltd.		YES		NO
Tungsten		CID002316		Jiangxi Yaosheng Tungsten Co., Ltd.		YES		NO
Tungsten		CID002317		Jiangxi Xinsheng Tungsten Industry Co., Ltd.		YES		NO
Tungsten		CID002318		Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.		YES		NO
Tungsten		CID002319		Malipo Haiyu Tungsten Co., Ltd.		YES		NO
Tungsten		CID002320		Xiamen Tungsten (H.C.) Co., Ltd.		YES		NO
Tungsten		CID002321		Jiangxi Gan Bei Tungsten Co., Ltd.		YES		NO
Tungsten		CID002494		Ganzhou Seadragon W & Mo Co., Ltd.		YES		NO
Tungsten		CID002513		Chenzhou Diamond Tungsten Products Co., Ltd.		YES		NO
Tungsten		CID002541		H.C. Starck Tungsten GmbH		YES		NO
Tungsten		CID002542		H.C. Starck Smelting GmbH & Co. KG		YES		NO
Tungsten		CID002543		Masan Tungsten Chemical LLC (MTC)		YES		NO
Tungsten		CID002551		Jiangwu H.C. Starck Tungsten Products Co., Ltd.		YES		NO
Tungsten		CID002579		Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji		YES		NO
Tungsten		CID002589		Niagara Refining LLC		YES		NO
Tungsten		CID002641		China Molybdenum Co., Ltd.		NO		NO
Tungsten		CID002645		Ganzhou Haichuang Tungsten Co., Ltd.		YES		NO
Tungsten		CID002647		Jiangxi Xianglu Tungsten Co., Ltd.		NO		YES
Tungsten		CID002649		Hydrometallurg, JSC		YES		NO

 

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Tungsten		CID002724		Unecha Refractory metals plant		YES		NO
Tungsten		CID002815		South-East Nonferrous Metal Company Limited of Hengyang City		NO		NO
Tungsten		CID002827		Philippine Chuangxin Industrial Co., Inc.		YES		NO
Tungsten		CID002830		Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.		YES		NO
Tungsten		CID002833		ACL Metais Eireli		YES		NO
Tungsten		CID002843		Woltech Korea Co., Ltd.		YES		NO
Tungsten		CID002845		Moliren Ltd.		YES		NO
Tungsten		CID003182		Hunan Litian Tungsten Industry Co., Ltd.		YES		NO
Tungsten		CID003388		KGETS Co., Ltd.		YES		NO
Tungsten		CID003401		Fujian Ganmin RareMetal Co., Ltd.		YES		NO
Tungsten		CID003407		Lianyou Metals Co., Ltd.		YES		NO
Tungsten		CID003408		JSC “Kirovgrad Hard Alloys Plant”		NO		YES
Tungsten		CID002502		Asia Tungsten Products Vietnam Ltd.		YES		NO
Tungsten		CID003427		Albasteel Industria e Comercio de Ligas Para Fundicao Ltd.		NO		YES
Tungsten		CID003448		CP Metals Inc.		NO		YES

 

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9. Data sources used

 

•

RMI Reasonable Country of Origin Inquiry report – version March 27, 2020

 

•

CMRTs received from priority suppliers until May 2020

 

•

RMI smelter reference list, as included in the CMRT version 5.12 (released April 26, 2019)

 

•

Smelter database information available to the RMI members – version April 28, 2020

10. Abbreviations

 

Abbreviation		Term
3TG		Tin, tantalum, tungsten, and gold
CFSI		Conflict Free Sourcing Initiative
CFSP		Conflict Free Smelter Program
CMRT		RMI Conflict Minerals Reporting Template
EICC		Electronics Industry Citizenship Coalition
EPRM		European Partnership for Responsible Minerals
Form SD		Specialized Disclosure Form
GBP		General Business Principles
GeSI		Global e-Sustainability Initiative
OECD		Organization for Economic Cooperation and Development
RBA		Responsible Business Alliance
RCOI		Reasonable Country of Origin Inquiry
RMAP		Responsible Minerals Assurance Process
RMI		Responsible Minerals Initiative
SEC		Securities and Exchange Commission
SSD		Supplier Sustainability Declaration

 

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