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, 2019

 

 

 


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, 2019 to December 31, 2019 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)      
 

 

      May 27, 2020
 

By: Stella Medlicott

Title: Senior Vice President, Chief Marketing and Communications Officer and Head of Group Function Marketing & Corporate Relations

     
 

 

      May 27, 2020
 

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, 2019 to December 31, 2019
EX-1.01

Exhibit 1.01

Conflict Minerals Report

Telefonaktiebolaget LM Ericsson

Conflict Minerals Report for the year ended December 31, 2019

This Conflict Minerals Report of Telefonaktiebolaget LM Ericsson for the year ended December 31, 2019 is provided pursuant to Rule 13p-1 under the Securities Exchange Act of 1934, as amended (the “Rule”). The Rule was adopted by the U.S. Securities and Exchange Commission (the “SEC”) to implement disclosure and reporting requirements pursuant to Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. As permitted by the Rule and the SEC, this report has not been subject to an independent private sector audit.

 

1.

Introduction

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

 

2.

Supply Chain Description and Reasonable Country of Origin Inquiry

 

2.1

General information on Ericsson’s supply chain

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

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

 

2.2

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

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 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 for Business Partners which requires due diligence to be exercised with respect to the sourcing and extraction of raw materials, including 3TG.

 

1


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 direct audits of these entities within our supply chain. In accordance with the OECD Guidance, we support the RMI’s audit of smelters’ and refiners’ due diligence activities mainly via the Responsible Minerals Assurance Process (RMAP).

 

3.

Due Diligence

Ericsson has a process in place for the purpose of exercising due diligence in the supply chain. The design of the due diligence processes conforms to the OECD Guidance as it relates to “downstream” purchasers of products and components. The due diligence processes have been described below under sub-headings corresponding to the five-step framework of the OECD Guidance. Ericsson’s Conflict Minerals Program focuses on identifying the origin of 3TG; however, Ericsson acknowledges that other human rights and environmental risks, such as forced labor and child labor, health and safety, land-related rights and community rights are also salient relating to sourcing of 3TG. Ericsson is currently engaged in industry dialogues relating to these issues.

 

3.1

Maintain strong management systems

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

With respect to 2019, 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 5.12 (the “Template”). The Template is a standardized supply chain survey designed to gather information

 

2


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.

In 2019 Ericsson issued an updated Code of Conduct for Business Partners where the topic of responsible sourcing of raw materials is included with clear requirements of suppliers to exercise due diligence in accordance with the OECD Guidance. Employees are encouraged to report 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. Ericsson recognizes that Ericsson Compliance Line might not be the most effective way of capturing issues related to sourcing of 3TG and intends to explore other mechanisms that may be more effective, like the Minerals Grievance Platform managed by RMI.

 

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 2019 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 appropriate. Data obtained was saved, reviewed and analyzed by Ericsson. Supplier responses were reviewed against criteria developed to determine which responses required further engagement with our suppliers. In certain circumstances suppliers were contacted via e-mail or telephone to improve the quality of responses (obtaining missing information, updating CMRT format to the required version) and increase the response rate (reminding supplier to provide CMRT with extended deadlines).

 

3.3

Design and implement a strategy to respond to identified risks

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

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

 

3


3.4

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

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


4.

2019 due diligence results

For the calendar year 2019, our inquiries were made on supplier level and the majority of supplier responses received provided data at a company or divisional level with only few exceptions, that provided product level information. Our inquiries include responses where we believe that the names of smelters or refiners may have been misidentified as smelters and refiners or smelters or refiners that we believe are not operational. Such names have not been listed among identified smelters and refiners.

The response rate among suppliers surveyed in 2019 was 80%. This response rate includes suppliers to the Kathrein antenna and filter business that was acquired by Ericsson in October 2019. Among the supplier responses, we identified 338 smelters as potential sources of 3TG that were reported to be in the supply chain during the 2019 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. In case a supplier has identified non-conformant smelters in their supply chain Ericsson engages with such suppliers for them to phase-out such non-conformant smelters and refiner.

Table 1. Smelters and refiners identified by Ericsson via inquiries to our suppliers in 2019

 

Metal

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

Tantalum

     40        1        0        41  

Tungsten

     44        6        2        52  

Tin

     77        4        6        89  

Gold

     107        5        39        156  

Note: The RMAP audit status of smelters and refiners are subject to change and the above represents information available from RMI on April 30, 2020.

 

*

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

**

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

We are unable to validate that any of the identified smelters or refiners are actually in our supply chain. However, based on the information provided by Ericsson’s suppliers during the 2019 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 enough information to determine with specificity all countries of origin of the 3TG in our products or whether they are from recycled and scrap sources. Nevertheless, based on data from RMI and RMAP, Ericsson generated a list of Reasonable Country of Origin (RCOI) for 3TGs based on smelters and refiners identified as shown in Annex 2

We support the refinement and expansion of the list of participating smelters and have determined that seeking information about 3TG 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 2020, 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.

 

5


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.

 

 

 

6


Annex 1

Smelters and refiners identified by Ericsson via inquiries to our suppliers during 2019.1

 

No.

  

Metal

  

Smelter ID

  

Name of Smelter/Refiner

  

Facility Location

  

Audit Status

1    Gold    CID002763    8853 S.p.A.    ITALY    Conformant
2    Tungsten    CID000004    A.L.M.T. Corp.    JAPAN    Conformant
3    Gold    CID002708    Abington Reldan Metals, LLC    UNITED STATES OF AMERICA    Non Conformant
4    Tungsten    CID002833    ACL Metais Eireli    BRAZIL    Conformant
5    Gold    CID000015    Advanced Chemical Company    UNITED STATES OF AMERICA    Conformant
6    Gold    CID003185    African Gold Refinery    UGANDA    Outreach Required
7    Gold    CID000019    Aida Chemical Industries Co., Ltd.    JAPAN    Conformant
8    Gold    CID002560    Al Etihad Gold Refinery DMCC    UNITED ARAB EMIRATES    Non Conformant
9    Tungsten    CID003427    Albasteel Industria e Comercio de Ligas Para Fundicao Ltd.    BRAZIL    Active
10    Gold    CID000035    Allgemeine Gold-und Silberscheideanstalt A.G.    GERMANY    Conformant
11    Gold    CID000041    Almalyk Mining and Metallurgical Complex (AMMC)    UZBEKISTAN    Conformant
12    Tin    CID000292    Alpha    UNITED STATES OF AMERICA    Conformant
13    Tin    CID002703    An Vinh Joint Stock Mineral Processing Company    VIET NAM    Outreach Required
14    Gold    CID000058    AngloGold Ashanti Corrego do Sitio Mineracao    BRAZIL    Conformant
15    Gold    CID000077    Argor-Heraeus S.A.    SWITZERLAND    Conformant
16    Gold    CID000082    Asahi Pretec Corp.    JAPAN    Conformant
17    Gold    CID000924    Asahi Refining Canada Ltd.    CANADA    Conformant
18    Gold    CID000920    Asahi Refining USA Inc.    UNITED STATES OF AMERICA    Conformant
19    Gold    CID000090    Asaka Riken Co., Ltd.    JAPAN    Conformant
20    Tantalum    CID000092    Asaka Riken Co., Ltd.    JAPAN    Conformant
21    Tungsten    CID002502    Asia Tungsten Products Vietnam Ltd.    VIET NAM    Conformant
22    Gold    CID000103    Atasay Kuyumculuk Sanayi Ve Ticaret A.S.    TURKEY    Due Diligence Vetting Process
23    Gold    CID002850    AU Traders and Refiners    SOUTH AFRICA    Conformant
24    Gold    CID000113    Aurubis AG    GERMANY    Conformant
25    Gold    CID002863    Bangalore Refinery    INDIA    Conformant
26    Gold    CID000128    Bangko Sentral ng Pilipinas
(Central Bank of the Philippines)
   PHILIPPINES    Conformant
27    Gold    CID000157    Boliden AB    SWEDEN    Conformant
28    Gold    CID000176    C. Hafner GmbH + Co. KG    GERMANY    Conformant

 

1 

The audit status of smelters and refiners are subject to change and Annex 1 represents information available from the RMI on April 30, 2020.

 

7


No.

  

Metal

  

Smelter ID

  

Name of Smelter/Refiner

  

Facility Location

  

Audit Status

29    Gold    CID000180    Caridad    MEXICO    Communication Suspended - Not Interested
30    Gold    CID000185    CCR Refinery - Glencore Canada Corporation    CANADA    Conformant
31    Gold    CID000189    Cendres + Metaux S.A.    SWITZERLAND    Conformant
32    Gold    CID003382    CGR Metalloys Pvt Ltd.    INDIA    Outreach Required
33    Tantalum    CID000211    Changsha South Tantalum Niobium Co., Ltd.    CHINA    Conformant
34    Tungsten    CID002513    Chenzhou Diamond Tungsten Products Co., Ltd.    CHINA    Conformant
35    Tin    CID000228    Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.    CHINA    Conformant
36    Tin    CID003190    Chifeng Dajingzi Tin Industry Co., Ltd.    CHINA    Conformant
37    Gold    CID000233    Chimet S.p.A.    ITALY    Conformant
38    Tungsten    CID002641    China Molybdenum Tungsten Co., Ltd.    CHINA    Conformant
39    Tin    CID001070    China Tin Group Co., Ltd.    CHINA    Conformant
40    Tungsten    CID000258    Chongyi Zhangyuan Tungsten Co., Ltd.    CHINA    Conformant
41    Gold    CID000264    Chugai Mining    JAPAN    Conformant
42    Tungsten    CID000281    CNMC (Guangxi) PGMA Co., Ltd.    CHINA    Outreach Required
43    Tantalum    CID003402    CP Metals Inc.    UNITED STATES OF AMERICA    Active
44    Tungsten    CID003448    CP Metals Inc.    UNITED STATES OF AMERICA    Active
45    Tin    CID002570    CV Ayi Jaya    INDONESIA    Conformant
46    Tin    CID002592    CV Dua Sekawan    INDONESIA    Conformant
47    Tin    CID000306    CV Gita Pesona    INDONESIA    Conformant
48    Tin    CID000315    CV United Smelting    INDONESIA    Conformant
49    Tin    CID002455    CV Venus Inti Perkasa    INDONESIA    Conformant
50    Tantalum    CID002504    D Block Metals, LLC    UNITED STATES OF AMERICA    Conformant
51    Gold    CID000328    Daejin Indus Co., Ltd.    KOREA, REPUBLIC OF    Conformant
52    Gold    CID000343    Daye Non-Ferrous Metals Mining Ltd.    CHINA    In Communication
53    Gold    CID002867    Degussa Sonne / Mond Goldhandel GmbH    GERMANY    Outreach Required
54    Gold    CID003348    Dijllah Gold Refinery FZC    UNITED ARAB EMIRATES    In Communication
55    Gold    CID000362    DODUCO Contacts and Refining GmbH    GERMANY    Conformant
56    Tin    CID003356    Dongguan CiEXPO Environmental Engineering Co., Ltd.    CHINA    Active
57    Gold    CID000401    Dowa    JAPAN    Conformant
58    Tin    CID000402    Dowa    JAPAN    Conformant
59    Gold    CID003195    DS PRETECH Co., Ltd.    KOREA, REPUBLIC OF    Conformant
60    Gold    CID000359    DSC (Do Sung Corporation)    KOREA, REPUBLIC OF    Conformant
61    Gold    CID000425    Eco-System Recycling Co., Ltd.    JAPAN    Conformant

 

8


No.

  

Metal

  

Smelter ID

  

Name of Smelter/Refiner

  

Facility Location

  

Audit Status

62    Gold    CID003424    Eco-System Recycling Co., Ltd. North Plant    JAPAN    Conformant
63    Gold    CID003425    Eco-System Recycling Co., Ltd. West Plant    JAPAN    Conformant
64    Tin    CID002572    Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company    VIET NAM    Non Conformant
65    Tin    CID000438    EM Vinto    BOLIVIA (PLURINATIONAL STATE OF)    Conformant
66    Gold    CID002561    Emirates Gold DMCC    UNITED ARAB EMIRATES    Conformant
67    Tin    CID000448    Estanho de Rondonia S.A.    BRAZIL    In Communication
68    Tantalum    CID000456    Exotech Inc.    UNITED STATES OF AMERICA    Conformant
69    Tantalum    CID000460    F&X Electro-Materials Ltd.    CHINA    Conformant
70    Tin    CID000468    Fenix Metals    POLAND    Conformant
71    Gold    CID002515    Fidelity Printers and Refiners Ltd.    ZIMBABWE    Due Diligence Vetting Process
72    Tantalum    CID002505    FIR Metals & Resource Ltd.    CHINA    Conformant
73    Gold    CID002584    Fujairah Gold FZC    UNITED ARAB EMIRATES    Outreach Required
74    Tungsten    CID003401    Fujian Ganmin RareMetal Co., Ltd.    CHINA    Conformant
75    Tungsten    CID000499    Fujian Jinxin Tungsten Co., Ltd.    CHINA    Conformant
76    Tungsten    CID002645    Ganzhou Haichuang Tungsten Co., Ltd.    CHINA    Conformant
77    Tungsten    CID000875    Ganzhou Huaxing Tungsten Products Co., Ltd.    CHINA    Conformant
78    Tungsten    CID002315    Ganzhou Jiangwu Ferrotungsten Co., Ltd.    CHINA    Conformant
79    Tungsten    CID002494    Ganzhou Seadragon W & Mo Co., Ltd.    CHINA    Conformant
80    Gold    CID002852    GCC Gujrat Gold Centre Pvt. Ltd.    INDIA    Outreach Required
81    Gold    CID002459    Geib Refining Corporation    UNITED STATES OF AMERICA    Conformant
82    Tin    CID003410    Gejiu City Fuxiang Industry and Trade Co., Ltd.”    CHINA    Outreach Required
83    Tin    CID002848    Gejiu Fengming Metallurgy Chemical Plant    CHINA    Conformant
84    Tin    CID000942    Gejiu Kai Meng Industry and Trade LLC    CHINA    Conformant
85    Tin    CID000538    Gejiu Non-Ferrous Metal Processing Co., Ltd.    CHINA    Conformant
86    Tin    CID001908    Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.    CHINA    Conformant
87    Tin    CID000555    Gejiu Zili Mining And Metallurgy Co., Ltd.    CHINA    Conformant
88    Tungsten    CID003417    GEM Co., Ltd.    CHINA    In Communication
89    Tantalum    CID002558    Global Advanced Metals Aizu    JAPAN    Conformant
90    Tantalum    CID002557    Global Advanced Metals Boyertown    UNITED STATES OF AMERICA    Conformant
91    Tungsten    CID000568    Global Tungsten & Powders Corp.    UNITED STATES OF AMERICA    Conformant

 

9


No.

  

Metal

  

Smelter ID

  

Name of Smelter/Refiner

  

Facility Location

  

Audit Status

92    Gold    CID002243    Gold Refinery of Zijin Mining Group Co., Ltd.    CHINA    Conformant
93    Gold    CID001909    Great Wall Precious Metals Co., Ltd. of CBPM    CHINA    Outreach Required
94    Tin    CID003116    Guangdong Hanhe Non-Ferrous Metal Co., Ltd.    CHINA    Conformant
95    Gold    CID002312    Guangdong Jinding Gold Limited    CHINA    Outreach Required
96    Tantalum    CID000291    Guangdong Rising Rare Metals-EO Materials Ltd.    CHINA    Conformant
97    Tungsten    CID000218    Guangdong Xianglu Tungsten Co., Ltd.    CHINA    Conformant
98    Tantalum    CID000616    Guangdong Zhiyuan New Material Co., Ltd.    CHINA    Conformant
99    Tin    CID002849    Guanyang Guida Nonferrous Metal Smelting Plant    CHINA    Conformant
100    Gold    CID000651    Guoda Safina High-Tech Environmental Refinery Co., Ltd.    CHINA    Outreach Required
101    Tantalum    CID002544    H.C. Starck Co., Ltd.    THAILAND    Conformant
102    Tantalum    CID002547    H.C. Starck Hermsdorf GmbH    GERMANY    Conformant
103    Tantalum    CID002548    H.C. Starck Inc.    UNITED STATES OF AMERICA    Conformant
104    Tantalum    CID002549    H.C. Starck Ltd.    JAPAN    Conformant
105    Tantalum    CID002550    H.C. Starck Smelting GmbH & Co. KG    GERMANY    Conformant
106    Tungsten    CID002542    H.C. Starck Smelting GmbH & Co. KG    GERMANY    Conformant
107    Tantalum    CID002545    H.C. Starck Tantalum and Niobium GmbH    GERMANY    Conformant
108    Tungsten    CID002541    H.C. Starck Tungsten GmbH    GERMANY    Conformant
109    Gold    CID000671    Hangzhou Fuchunjiang Smelting Co., Ltd.    CHINA    Outreach Required
110    Gold    CID000689    HeeSung Metal Ltd.    KOREA, REPUBLIC OF    Conformant
111    Gold    CID000694    Heimerle + Meule GmbH    GERMANY    Conformant
112    Tantalum    CID002492    Hengyang King Xing Lifeng New Materials Co., Ltd.    CHINA    Conformant
113    Gold    CID000707    Heraeus Metals Hong Kong Ltd.    CHINA    Conformant
114    Gold    CID000711    Heraeus Precious Metals GmbH & Co. KG    GERMANY    Conformant
115    Tin    CID002844    HuiChang Hill Tin Industry Co., Ltd.    CHINA    Conformant
116    Tin    CID000760    Huichang Jinshunda Tin Co., Ltd.    CHINA    Conformant
117    Gold    CID000767    Hunan Chenzhou Mining Co., Ltd.    CHINA    Outreach Required
118    Tungsten    CID000766    Hunan Chenzhou Mining Co., Ltd.    CHINA    Conformant
119    Tungsten    CID002579    Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji    CHINA    Conformant
120    Tungsten    CID000769    Hunan Chunchang Nonferrous Metals Co., Ltd.    CHINA    Conformant
121    Gold    CID000773    Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd.    CHINA    Outreach Required
122    Tungsten    CID003182    Hunan Litian Tungsten Industry Co., Ltd.    CHINA    Conformant

 

10


No.

  

Metal

  

Smelter ID

  

Name of Smelter/Refiner

  

Facility Location

  

Audit Status

123    Gold    CID000778    HwaSeong CJ CO., LTD.    KOREA, REPUBLIC OF    Communication Suspended - Not Interested
124    Tungsten    CID002649    Hydrometallurg, JSC    RUSSIAN FEDERATION    Conformant
125    Gold    CID000801    Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.    CHINA    Conformant
126    Gold    CID002562    International Precious Metal Refiners    UNITED ARAB EMIRATES    Outreach Required
127    Gold    CID000807    Ishifuku Metal Industry Co., Ltd.    JAPAN    Conformant
128    Gold    CID000814    Istanbul Gold Refinery    TURKEY    Conformant
129    Gold    CID002765    Italpreziosi    ITALY    Conformant
130    Gold    CID000823    Japan Mint    JAPAN    Conformant
131    Tungsten    CID000825    Japan New Metals Co., Ltd.    JAPAN    Conformant
132    Tungsten    CID002551    Jiangwu H.C. Starck Tungsten Products Co., Ltd.    CHINA    Conformant
133    Gold    CID000855    Jiangxi Copper Co., Ltd.    CHINA    Conformant
134    Tantalum    CID002512    Jiangxi Dinghai Tantalum & Niobium Co., Ltd.    CHINA    Conformant
135    Tungsten    CID002321    Jiangxi Gan Bei Tungsten Co., Ltd.    CHINA    Conformant
136    Tungsten    CID002313    Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.    CHINA    Communication Suspended - Not Interested
137    Tin    CID001231    Jiangxi New Nanshan Technology Ltd.    CHINA    Conformant
138    Tungsten    CID002318    Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.    CHINA    Conformant
139    Tantalum    CID002842    Jiangxi Tuohong New Raw Material    CHINA    Conformant
140    Tungsten    CID002647    Jiangxi Xianglu Tungsten Co., Ltd.    China    Active
141    Tungsten    CID002317    Jiangxi Xinsheng Tungsten Industry Co., Ltd.    CHINA    Conformant
142    Tungsten    CID002316    Jiangxi Yaosheng Tungsten Co., Ltd.    CHINA    Conformant
143    Tantalum    CID003191    Jiujiang Janny New Material Co., Ltd.    CHINA    Conformant
144    Tantalum    CID000914    JiuJiang JinXin Nonferrous Metals Co., Ltd.    CHINA    Conformant
145    Tantalum    CID000917    Jiujiang Nonferrous Metals Smelting Company Limited    CHINA    Conformant
146    Tantalum    CID002506    Jiujiang Zhongao Tantalum & Niobium Co., Ltd.    CHINA    Conformant
147    Tungsten    CID003408    JSC “Kirovgrad Hard Alloys Plant”    RUSSIAN FEDERATION    Active
148    Gold    CID000927    JSC Ekaterinburg Non-Ferrous Metal Processing Plant    RUSSIAN FEDERATION    RMI Due Diligence Review - Unable to Proceed
149    Gold    CID000929    JSC Uralelectromed    RUSSIAN FEDERATION    Conformant
150    Gold    CID000937    JX Nippon Mining & Metals Co., Ltd.    JAPAN    Conformant

 

11


No.

  

Metal

  

Smelter ID

  

Name of Smelter/Refiner

  

Facility Location

  

Audit Status

151    Gold    CID002563    Kaloti Precious Metals    UNITED ARAB EMIRATES    RMI Due Diligence Review - Unable to Proceed
152    Gold    CID000956    Kazakhmys Smelting LLC    KAZAKHSTAN    In Communication
153    Gold    CID000957    Kazzinc    KAZAKHSTAN    Conformant
154    Tantalum    CID002539    KEMET Blue Metals    MEXICO    Conformant
155    Tantalum    CID002568    KEMET Blue Powder    UNITED STATES OF AMERICA    Conformant
156    Tungsten    CID000966    Kennametal Fallon    UNITED STATES OF AMERICA    Conformant
157    Tungsten    CID000105    Kennametal Huntsville    UNITED STATES OF AMERICA    Conformant
158    Gold    CID000969    Kennecott Utah Copper LLC    UNITED STATES OF AMERICA    Conformant
159    Tungsten    CID003388    KGETS Co., Ltd.    KOREA, REPUBLIC OF    Conformant
160    Gold    CID002511    KGHM Polska Miedz Spolka Akcyjna    POLAND    Conformant
161    Gold    CID000981    Kojima Chemicals Co., Ltd.    JAPAN    Conformant
162    Gold    CID002605    Korea Zinc Co., Ltd.    KOREA, REPUBLIC OF    Conformant
163    Gold    CID001029    Kyrgyzaltyn JSC    KYRGYZSTAN    Conformant
164    Gold    CID002865    Kyshtym Copper-Electrolytic Plant ZAO    RUSSIAN FEDERATION    Outreach Required
165    Gold    CID001032    L’azurde Company For Jewelry    SAUDI ARABIA    RMI Due Diligence Review - Unable to Proceed
166    Tungsten    CID003407    Lianyou Metals Co., Ltd.    TAIWAN, PROVINCE OF CHINA    Conformant
167    Gold    CID001056    Lingbao Gold Co., Ltd.    CHINA    Outreach Required
168    Gold    CID001058    Lingbao Jinyuan Tonghui Refinery Co., Ltd.    CHINA    Outreach Required
169    Gold    CID002762    L’Orfebre S.A.    ANDORRA    Conformant
170    Tantalum    CID001076    LSM Brasil S.A.    BRAZIL    Conformant
171    Gold    CID001078    LS-NIKKO Copper Inc.    KOREA, REPUBLIC OF    Conformant
172    Tin    CID003387    Luna Smelter, Ltd.    RWANDA    Active
173    Gold    CID001093    Luoyang Zijin Yinhui Gold Refinery Co., Ltd.    CHINA    Outreach Required
174    Tin    CID003379    Ma’anshan Weitai Tin Co., Ltd.    CHINA    Conformant
175    Tin    CID002468    Magnu’s Minerais Metais e Ligas Ltda.    BRAZIL    Conformant
176    Tin    CID001105    Malaysia Smelting Corporation (MSC)    MALAYSIA    Conformant
177    Tungsten    CID002319    Malipo Haiyu Tungsten Co., Ltd.    CHINA    Conformant
178    Gold    CID002606    Marsam Metals    BRAZIL    Conformant
179    Tungsten    CID002543    Masan Tungsten Chemical LLC (MTC)    VIET NAM    Conformant
180    Gold    CID001113    Materion    UNITED STATES OF AMERICA    Conformant
181    Gold    CID001119    Matsuda Sangyo Co., Ltd.    JAPAN    Conformant
182    Tin    CID002500    Melt Metais e Ligas S.A.    BRAZIL    Conformant

 

12


No.

  

Metal

  

Smelter ID

  

Name of Smelter/Refiner

  

Facility Location

  

Audit Status

183    Tin    CID001142    Metallic Resources, Inc.    UNITED STATES OF AMERICA    Conformant
184    Tin    CID002773    Metallo Belgium N.V.    BELGIUM    Conformant
185    Tin    CID002774    Metallo Spain S.L.U.    SPAIN    Conformant
186    Tantalum    CID001163    Metallurgical Products India Pvt., Ltd.    INDIA    Conformant
187    Gold    CID001149    Metalor Technologies (Hong Kong) Ltd.    CHINA    Conformant
188    Gold    CID001152    Metalor Technologies (Singapore) Pte., Ltd.    SINGAPORE    Conformant
189    Gold    CID001147    Metalor Technologies (Suzhou) Ltd.    CHINA    Conformant
190    Gold    CID001153    Metalor Technologies S.A.    SWITZERLAND    Conformant
191    Gold    CID001157    Metalor USA Refining Corporation    UNITED STATES OF AMERICA    Conformant
192    Gold    CID001161    Metalurgica Met-Mex Penoles S.A. De C.V.    MEXICO    Conformant
193    Tin    CID001173    Mineracao Taboca S.A.    BRAZIL    Conformant
194    Tantalum    CID001175    Mineração Taboca S.A.    BRAZIL    Conformant
195    Tin    CID001182    Minsur    PERU    Conformant
196    Gold    CID001188    Mitsubishi Materials Corporation    JAPAN    Conformant
197    Tin    CID001191    Mitsubishi Materials Corporation    JAPAN    Conformant
198    Gold    CID001193    Mitsui Mining and Smelting Co., Ltd.    JAPAN    Conformant
199    Tantalum    CID001192    Mitsui Mining and Smelting Co., Ltd.    JAPAN    Conformant
200    Gold    CID002509    MMTC-PAMP India Pvt., Ltd.    INDIA    Conformant
201    Gold    CID002857    Modeltech Sdn Bhd    MALAYSIA    Non Conformant
202    Tin    CID002858    Modeltech Sdn Bhd    MALAYSIA    Non Conformant
203    Tungsten    CID002845    Moliren Ltd.    RUSSIAN FEDERATION    Conformant
204    Gold    CID002282    Morris and Watson    NEW ZEALAND    Communication Suspended - Not Interested
205    Gold    CID001204    Moscow Special Alloys Processing Plant    RUSSIAN FEDERATION    Conformant
206    Gold    CID001220    Nadir Metal Rafineri San. Ve Tic. A.S.    TURKEY    Conformant
207    Gold    CID001236    Navoi Mining and Metallurgical Combinat    UZBEKISTAN    Outreach Required
208    Tin    CID002573    Nghe Tinh Non-Ferrous Metals Joint Stock Company    VIET NAM    Outreach Required
209    Gold    CID003189    NH Recytech Company    KOREA, REPUBLIC OF    Non Conformant
210    Tungsten    CID002589    Niagara Refining LLC    UNITED STATES OF AMERICA    Conformant
211    Gold    CID001259    Nihon Material Co., Ltd.    JAPAN    Conformant
212    Tantalum    CID001277    Ningxia Orient Tantalum Industry Co., Ltd.    CHINA    Conformant
213    Tantalum    CID001200    NPM Silmet AS    ESTONIA    Conformant
214    Tungsten    CID003416    NPP Tyazhmetprom LLC    RUSSIAN FEDERATION    In Communication
215    Tin    CID001314    O.M. Manufacturing (Thailand) Co., Ltd.    THAILAND    Conformant

 

13


No.

  

Metal

  

Smelter ID

  

Name of Smelter/Refiner

  

Facility Location

  

Audit Status

216    Tin    CID002517    O.M. Manufacturing Philippines, Inc.    PHILIPPINES    Conformant
217    Gold    CID002779    Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH    AUSTRIA    Conformant
218    Gold    CID001325    Ohura Precious Metal Industry Co., Ltd.    JAPAN    Conformant
219    Gold    CID001326    OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)    RUSSIAN FEDERATION    Conformant
220    Gold    CID000493    OJSC Novosibirsk Refinery    RUSSIAN FEDERATION    Conformant
221    Tin    CID001337    Operaciones Metalurgicas S.A.    BOLIVIA (PLURINATIONAL STATE OF)    Conformant
222    Gold    CID001352    PAMP S.A.    SWITZERLAND    Conformant
223    Gold    CID002872    Pease & Curren    UNITED STATES OF AMERICA    Outreach Required
224    Gold    CID001362    Penglai Penggang Gold Industry Co., Ltd.    CHINA    Outreach Required
225    Tungsten    CID002827    Philippine Chuangxin Industrial Co., Inc.    PHILIPPINES    Conformant
226    Gold    CID002919    Planta Recuperadora de Metales SpA    CHILE    Conformant
227    Tin    CID003208    Pongpipat Company Limited    MYANMAR    Outreach Required
228    Tantalum    CID002847    Power Resources Ltd.    MACEDONIA, THE FORMER YUGOSLAV REPUBLIC OF    Conformant
229    Tin    CID003409    Precious Minerals and Smelting Limited    INDIA    Active
230    Gold    CID001386    Prioksky Plant of Non-Ferrous Metals    RUSSIAN FEDERATION    Conformant
231    Gold    CID001397    PT Aneka Tambang (Persero) Tbk    INDONESIA    Conformant
232    Tin    CID000309    PT Aries Kencana Sejahtera    INDONESIA    Conformant
233    Tin    CID001399    PT Artha Cipta Langgeng    INDONESIA    Conformant
234    Tin    CID002503    PT ATD Makmur Mandiri Jaya    INDONESIA    Conformant
235    Tin    CID001402    PT Babel Inti Perkasa    INDONESIA    Conformant
236    Tin    CID001406    PT Babel Surya Alam Lestari    INDONESIA    Conformant
237    Tin    CID002776    PT Bangka Prima Tin    INDONESIA    Conformant
238    Tin    CID003205    PT Bangka Serumpun    INDONESIA    Conformant
239    Gold    CID001419    PT Bangka Tin Industry    INDONESIA    Conformant
240    Tin    CID001421    PT Belitung Industri Sejahtera    INDONESIA    Conformant
241    Tin    CID001428    PT Bukit Timah    INDONESIA    Conformant
242    Tin    CID001434    PT DS Jaya Abadi    INDONESIA    Conformant
243    Tin    CID002530    PT Inti Stania Prima    INDONESIA    Conformant
244    Tin    CID001448    PT Karimun Mining    INDONESIA    Conformant
245    Tin    CID002829    PT Kijang Jaya Mandiri    INDONESIA    Conformant
246    Tin    CID002870    PT Lautan Harmonis Sejahtera    INDONESIA    Conformant
247    Tin    CID002835    PT Menara Cipta Mulia    INDONESIA    Conformant
248    Tin    CID001453    PT Mitra Stania Prima    INDONESIA    Conformant
249    Tin    CID001457    PT Panca Mega Persada    INDONESIA    Conformant

 

14


No.

  

Metal

  

Smelter ID

  

Name of Smelter/Refiner

  

Facility Location

  

Audit Status

250    Tin    CID000313    PT Premium Tin Indonesia    INDONESIA    Conformant
251    Tin    CID001458    PT Prima Timah Utama    INDONESIA    Conformant
252    Tin    CID003381    PT Rajawali Rimba Perkasa    INDONESIA    Conformant
253    Tin    CID002593    PT Rajehan Ariq    INDONESIA    Conformant
254    Tin    CID001460    PT Refined Bangka Tin    INDONESIA    Conformant
255    Tin    CID001463    PT Sariwiguna Binasentosa    INDONESIA    Conformant
256    Tin    CID001468    PT Stanindo Inti Perkasa    INDONESIA    Conformant
257    Tin    CID002816    PT Sukses Inti Makmur    INDONESIA    Conformant
258    Tin    CID001471    PT Sumber Jaya Indah    INDONESIA    Conformant
259    Tin    CID001477    PT Timah Tbk Kundur    INDONESIA    Conformant
260    Tin    CID001482    PT Timah Tbk Mentok    INDONESIA    Conformant
261    Tin    CID001490    PT Tinindo Inter Nusa    INDONESIA    Conformant
262    Tin    CID002478    PT Tirus Putra Mandiri    INDONESIA    Conformant
263    Tin    CID001493    PT Tommy Utama    INDONESIA    Conformant
264    Gold    CID001498    PX Precinox S.A.    SWITZERLAND    Conformant
265    Gold    CID003324    QG Refining, LLC    UNITED STATES OF AMERICA    Outreach Required
266    Tantalum    CID001508    QuantumClean    UNITED STATES OF AMERICA    Conformant
267    Gold    CID001512    Rand Refinery (Pty) Ltd.    SOUTH AFRICA    Conformant
268    Gold    CID000522    Refinery of Seemine Gold Co., Ltd.    CHINA    Outreach Required
269    Gold    CID002582    REMONDIS PMR B.V.    NETHERLANDS    Conformant
270    Tantalum    CID002707    Resind Industria e Comercio Ltda.    BRAZIL    Conformant
271    Tin    CID002706    Resind Industria e Comercio Ltda.    BRAZIL    Conformant
272    Tantalum    CID001522    RFH Tantalum Smeltery Co., Ltd./Yanling Jincheng Tantalum & Niobium Co., Ltd.    CHINA    Conformant
273    Gold    CID001534    Royal Canadian Mint    CANADA    Conformant
274    Tin    CID001539    Rui Da Hung    TAIWAN, PROVINCE OF CHINA    Conformant
275    Gold    CID002761    SAAMP    FRANCE    Conformant
276    Gold    CID001546    Sabin Metal Corp.    UNITED STATES OF AMERICA    Outreach Required
277    Gold    CID002973    Safimet S.p.A    ITALY    Conformant
278    Gold    CID002290    SAFINA A.S.    CZECHIA    Active
279    Gold    CID002853    Sai Refinery    INDIA    Outreach Required
280    Gold    CID001555    Samduck Precious Metals    KOREA, REPUBLIC OF    Conformant
281    Gold    CID001562    Samwon Metals Corp.    KOREA, REPUBLIC OF    Communication Suspended - Not Interested
282    Gold    CID002777    SAXONIA Edelmetalle GmbH    GERMANY    Conformant
283    Gold    CID001585    SEMPSA Joyeria Plateria S.A.    SPAIN    Conformant
284    Gold    CID002525    Shandong Humon Smelting Co., Ltd.    CHINA    Outreach Required
285    Gold    CID001619    Shandong Tiancheng Biological Gold Industrial Co., Ltd.    CHINA    Outreach Required

 

15


No.

  

Metal

  

Smelter ID

  

Name of Smelter/Refiner

  

Facility Location

  

Audit Status

286    Gold    CID001622    Shandong Zhaojin Gold & Silver Refinery Co., Ltd.    CHINA    Conformant
287    Gold    CID001736    Sichuan Tianze Precious Metals Co., Ltd.    CHINA    Conformant
288    Gold    CID002516    Singway Technology Co., Ltd.    TAIWAN, PROVINCE OF CHINA    Conformant
290    Gold    CID001756    SOE Shyolkovsky Factory of Secondary Precious Metals    RUSSIAN FEDERATION    Conformant
291    Tin    CID001758    Soft Metais Ltda.    BRAZIL    Conformant
292    Gold    CID001761    Solar Applied Materials Technology Corp.    TAIWAN, PROVINCE OF CHINA    Conformant
293    Tantalum    CID001769    Solikamsk Magnesium Works OAO    RUSSIAN FEDERATION    Conformant
294    Gold    CID003383    Sovereign Metals    INDIA    Outreach Required
295    Gold    CID003153    State Research Institute Center for Physical Sciences and Technology    LITHUANIA    Outreach Required
296    Gold    CID002567    Sudan Gold Refinery    SUDAN    Outreach Required
297    Gold    CID001798    Sumitomo Metal Mining Co., Ltd.    JAPAN    Conformant
298    Gold    CID002918    SungEel HiMetal Co., Ltd.    KOREA, REPUBLIC OF    Conformant
299    Tin    CID002756    Super Ligas    BRAZIL    Outreach Required
300    Gold    CID002580    T.C.A S.p.A    ITALY    Conformant
301    Tantalum    CID001869    Taki Chemical Co., Ltd.    JAPAN    Conformant
302    Gold    CID001875    Tanaka Kikinzoku Kogyo K.K.    JAPAN    Conformant
303    Tungsten    CID001889    Tejing (Vietnam) Tungsten Co., Ltd.    VIET NAM    Conformant
304    Tantalum    CID001891    Telex Metals    UNITED STATES OF AMERICA    Conformant
305    Tin    CID002834    Thai Nguyen Mining and Metallurgy Co., Ltd.    VIET NAM    Conformant
306    Tin    CID001898    Thaisarco    THAILAND    Conformant
307    Gold    CID001916    The Refinery of Shandong Gold Mining Co., Ltd.    CHINA    Conformant
308    Tin    CID003325    Tin Technology & Refining    UNITED STATES OF AMERICA    Conformant
309    Gold    CID001938    Tokuriki Honten Co., Ltd.    JAPAN    Conformant
310    Gold    CID001947    Tongling Nonferrous Metals Group Co., Ltd.    CHINA    Outreach Required
311    Gold    CID002587    Tony Goetz NV    BELGIUM    Non Conformant
312    Gold    CID002615    TOO Tau-Ken-Altyn    KAZAKHSTAN    In Communication
313    Gold    CID001955    Torecom    KOREA, REPUBLIC OF    Conformant
314    Tin    CID002574    Tuyen Quang Non-Ferrous Metals Joint Stock Company    VIET NAM    Outreach Required
315    Tantalum    CID001969    Ulba Metallurgical Plant JSC    KAZAKHSTAN    Conformant
316    Gold    CID001977    Umicore Brasil Ltda.    BRAZIL    Conformant
317    Gold    CID002314    Umicore Precious Metals Thailand    THAILAND    Conformant
318    Gold    CID001980    Umicore S.A. Business Unit Precious Metals Refining    BELGIUM    Conformant

 

16


No.

  

Metal

  

Smelter ID

  

Name of Smelter/Refiner

  

Facility Location

  

Audit Status

319    Tungsten    CID002724    Unecha Refractory metals plant    RUSSIAN FEDERATION    Conformant
320    Gold    CID001993    United Precious Metal Refining, Inc.    UNITED STATES OF AMERICA    Conformant
321    Gold    CID002003    Valcambi S.A.    SWITZERLAND    Conformant
322    Gold    CID002030    Western Australian Mint (T/a The Perth Mint)    AUSTRALIA    Conformant
323    Tin    CID002036    White Solder Metalurgia e Mineracao Ltda.    BRAZIL    Conformant
324    Gold    CID002778    WIELAND Edelmetalle GmbH    GERMANY    Conformant
325    Tungsten    CID002044    Wolfram Bergbau und Hutten AG    AUSTRIA    Conformant
326    Tungsten    CID002843    Woltech Korea Co., Ltd.    KOREA, REPUBLIC OF    Conformant
327    Tungsten    CID002320    Xiamen Tungsten (H.C.) Co., Ltd.    CHINA    Conformant
328    Tungsten    CID002082    Xiamen Tungsten Co., Ltd.    CHINA    Conformant
329    Tungsten    CID002830    Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.    CHINA    Conformant
330    Tungsten    CID002095    Xinhai Rendan Shaoguan Tungsten Co., Ltd.    CHINA    Conformant
331    Tantalum    CID002508    XinXing HaoRong Electronic Material Co., Ltd.    CHINA    Conformant
332    Gold    CID002100    Yamakin Co., Ltd.    JAPAN    Conformant
333    Gold    CID002129    Yokohama Metal Co., Ltd.    JAPAN    Conformant
334    Tin    CID002158    Yunnan Chengfeng Non-ferrous Metals Co., Ltd.    CHINA    Conformant
335    Gold    CID000197    Yunnan Copper Industry Co., Ltd.    CHINA    Outreach Required
336    Tin    CID002180    Yunnan Tin Company Limited    CHINA    Conformant
337    Tin    CID003397    Yunnan Yunfan Non-ferrous Metals Co., Ltd.    CHINA    Conformant
338    Gold    CID002224    Zhongyuan Gold Smelter of Zhongjin Gold Corporation    CHINA    Conformant

 

17


Annex 2

Reasonable Country of Origin for 3TG based on the identified smelters and suppliers.2

 

Gold    Tantalum    Tin    Tungsten
Austria    Austria    Australia    Austria
Belgium    Belarus    Austria    Belgium
Benin    Bolivia    Belarus    Bolivia
Bolivia    Brazil    Belgium    Brazil
Brazil    Burundi    Benin    Burundi
Canada    China    Bolivia    Canada
Chile    Colombia    Brazil    China
China    Congo    Burundi    Colombia
Colombia    Ethiopia    Canada    Congo
Czech Republic    France    Chile    Czech Republic
Denmark    Germany    China    France
Ecuador    Guinea    Colombia    Germany
Eritrea    India    Congo    Guinea
Estonia    Indonesia    Croatia    Hong Kong
Finland    Ireland    Czech Republic    Indonesia
France    Israel    Denmark    Japan
Germany    Japan    Egypt    Laos
Ghana    Madagascar    El Salvador    Latvia
Guinea    Malaysia    Estonia    Malaysia
Guyana    Mozambique    France    Mongolia
Hong Kong    Namibia    Gabon    Myanmar
Hungary    Nigeria    Germany    Nigeria
India    Russian Federation    Guinea    Peru
Indonesia    Rwanda    Indonesia    Portugal
Japan    Sierra Leone    Laos    Russian Federation
Mali    Somaliland    Malaysia    Rwanda
Mauritania    Spain    Mongolia    Spain
Mexico    Switzerland    Myanmar    Taiwan
Nicaragua    Thailand    Nigeria    Thailand
Niger    United States of America    Peru    Uganda
Peru    Zimbabwe    Portugal    United Arab Emirates
Russian Federation       Russian Federation    United Kingdom of Great Britain and Northern Ireland
Rwanda       Rwanda    United States of America
Swaziland       Taiwan    Uzbekistan
Tanzania       Thailand    Vietnam
Togo       Uganda   
Uganda       United Kingdom of Great Britain and Northern Ireland   
United States of America      

Venezuela

Vietnam

  

 

 

2 

The data and the definitions have been obtained from RMI and reflect information as of March 27th, 2020.

 

18