UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

Form SD

 

 

Specialized Disclosure Report

 

 

CNH INDUSTRIAL N.V.

(Exact name of registrant as specified in charter)

 

 

 

Netherlands   001-36085   98-1125413
State or other jurisdiction
of incorporation)
  (Commission File Number)   (I.R.S. Employer
Identification No.)

25 St James’s Street

London, SW1A 1HA

United Kingdom

(Address of principal executive offices)

Michael P. Going: Telephone: (630) 887-3766

(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

A copy of CNH Industrial N.V.’s Conflict Minerals Report for the year ended December 31, 2019 is provided as Exhibit 1.01 hereto and is publicly available at

http://www.cnhindustrial.com/en-us/investor_relations/regulatory_filings/Pages/SEC_filings.aspx

Item 1.02 Exhibit

CNH Industrial N.V. has filed, as Exhibit 1.01 to this Specialized Disclosure Report on Form SD, a Conflict Minerals Report.

Section 2 – Exhibits

Item 2.01 Exhibits

Exhibit 1.01 - Conflict Minerals Report for the year ended December 31, 2019 as required by Items 1.01 and 1.02 of this Form SD.

 

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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.

 

Date: May 29, 2020    

CNH INDUSTRIAL N.V.

(Registrant)

    /s/ Michael P. Going
    Michael P. Going
    Corporate Secretary

 

 

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EX-1.01

Exhibit 1.01

CNH Industrial N.V.

Conflict Minerals Report

For The Year Ended December 31, 2019

 

I.

Overview

This report has been prepared by CNH Industrial N.V. (herein referred to as “CNH Industrial,” or the “Company,” “we,” “us,” or “our”) pursuant to Rule 13p-1 (the “Rule”) promulgated under the Securities Exchange Act of 1934 (the “Exchange Act”). References to internet websites herein are provided only as required by the Rule and information available through these websites is not incorporated by reference into this Form SD.

We are a leading global capital goods company engaged in the design, production, marketing, sale and financing of agricultural and construction equipment, trucks, commercial vehicles, buses and specialty vehicles for firefighting, defense and other uses, as well as engines, transmissions and axles for those vehicles and engines for marine and power generation applications. We have industrial and financial services companies located in 44 countries and a commercial presence in approximately 180 countries around the world.

Our principal products include agricultural and construction equipment, commercial vehicles and engines, transmissions and axles. Tin, tantalum, tungsten and gold (“3TG”) can be found in all of our products.

Our products are highly complex, typically containing thousands of parts from many direct suppliers. We have relationships with a vast network of suppliers throughout the world. Many of our suppliers are located outside the United States and include foreign entities that are not subject to the Rule. In addition, there are generally multiple tiers between the 3TG mines and our suppliers. Therefore, we must rely on our direct suppliers to work with their upstream suppliers to provide us with accurate information on the origin of the 3TG contained in components and materials purchased by us.

 

II.

Reasonable Country of Origin Inquiry (“RCOI”)

We conducted an inquiry of our suppliers to determine the country of origin of the components provided to CNH Industrial. Our RCOI comprised identification of relevant suppliers and a survey of those suppliers.

Because of the scope and complexity of our supply chain, we developed a risk-based approach that focused on our major direct suppliers as well as direct suppliers that we believed were likely to provide us with components containing 3TG (collectively, the “Surveyed Suppliers”). Surveyed Suppliers represented approximately 83% of the purchases (by dollar value) that we made for goods from suppliers. For purposes of this report, the “Covered Countries” means the Democratic Republic of Congo (the “DRC”) and its adjoining countries.

We requested that all Surveyed Suppliers provide information to us regarding 3TG and smelters using the template developed by the Responsible Minerals Initiative (“RMI”), known as the Conflict Minerals Reporting Template (the “Template”). The Template is a free, standardized reporting template that facilitates disclosure and communication of information regarding smelters and refiners that provide 3TG to a manufacturer’s supply chain. It includes questions regarding a direct supplier’s conflict-free policy and its due diligence process, and requests information about its supply chain such as the names and locations of smelters and refiners as well as the origin of 3TG used by such smelters and refiners. The information we receive is submitted into an electronic database to facilitate information analysis.

 

III.

Due Diligence Design and Performance

Design of Due Diligence

Pursuant to the Rule, we undertook due diligence efforts on the source and country of origin of 3TG in our supply chain. The Rule requires that a registrant’s due diligence follow a nationally or internationally recognized due diligence framework. Presently, the only nationally or internationally recognized due

 

1


diligence framework available is the Organisation for Economic Co-operation and Development Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas and related Supplements for each of the conflict minerals (the “OECD Guidance”). The OECD Guidance is a framework for risk-based due diligence for responsible supply chains of conflict minerals from conflict-affected and high-risk areas that is described in the five-steps noted in Section IV below.

CNH Industrial designed its due diligence measures to be in conformity, in all material respects, with the OECD Guidance.

 

IV.

Due Diligence Performed

This section IV describes measures performed by us to exercise due diligence on the source and chain of custody on the 3TG contained in our products.

OECD Step 1. Establish Strong Company Management Systems

Conflict Minerals Policy

We have adopted a conflict minerals policy that is publicly available on our website at

http://www.cnhindustrial.com/en-us/governance/policies_and_guidelines/Pages/sustainability_guidelines.aspx

Internal Team

We have established a management system to support supply chain due diligence related to goods that may contain 3TG. Our management system includes a cross-functional executive steering committee sponsored by senior legal and compliance staff, and a team of subject matter experts from functions such as purchasing, parts and service and internal audit. A working group, reporting to the Steering Committee, was formed to develop and implement a Conflict Minerals compliance program approved by the Steering Committee.

Control Systems

We do not have a direct relationship with 3TG smelters and refiners; therefore, we rely on suppliers to provide information on the origin of the 3TG contained in the components and materials supplied to us. We are a member of RMI (RMI Member Code: CNHI). RMI serves as a resource for companies from a range of industries to help them make sourcing decisions that improve regulatory compliance and support responsible sourcing from conflict-affected and high-risk areas. RMI program initiatives include the Responsible Minerals Assurance Process (“RMAP”), which identifies smelters and refiners that source minerals in conformance with RMAP, and the Template. We use the Template in our RCOI and RMAP data and information in our identification and assessment of risks in the supply chain. The control systems that we have in place include, but are not limited to, a dedicated email address for conflict minerals information, supplier retention response through our third-party software tool and a smelter outreach program through RMI.

Supplier Engagement

We have engaged our direct suppliers through direct communication, including multiple communications regarding the Rule. We provided the Surveyed Suppliers with instructions for responding to the Template and access to a conflict minerals compliance e-mail address, monitored by a member of the Conflict Minerals working group, which Surveyed Suppliers could use to seek assistance in interpreting and completing the Template. Our standard purchase order terms and conditions and purchase agreements require our suppliers to provide us with supporting information and documentation evidencing due diligence of 3TG in their respective supply chains. We have adopted and made available to our suppliers a Supplier Code of Conduct that requires, among other things, all suppliers to exercise due diligence, in accordance with the OECD Guidance, on its entire supply chain with respect to the sourcing of all 3TG to determine whether those metals are from the Covered Countries and, if so, to determine whether those metals directly or indirectly financed or benefited armed groups that are perpetrators of serious human rights abuses in the Covered Countries.

Grievance Mechanism

We have processes to collect and act on concerns expressed by employees and others about possible improper or unethical business practices, violations of company policies (including our Code of Conduct, the Supplier Code of Conduct and Conflict Minerals Policy) or applicable laws. This grievance mechanism is described in our Conflict Minerals Policy.

 

2


OECD Step 2. Identify and Assess Risks in the Supply Chain

Our method for determining the country of origin of 3TG contained in our products was to conduct a supply-chain survey with Surveyed Suppliers using the Template. We have implemented a third-party software solution to collect and manage supplier CMRT data. We use this third-party solution to track communications with suppliers, analyze the CMRT data provided by suppliers, aggregate the supplier CMRT data for our reporting, and follow up with any supplier whose CMRT data we identified to contain incomplete or potentially inaccurate data. We rely on our suppliers to provide information on the origin of 3TG contained in the components and materials supplied to us. These suppliers are similarly reliant upon information provided by their suppliers. Smelters and refiners identified by a supplier in response to our supply-chain survey are compared against the RMI list to identify and assist in assessing the risk that the 3TG used in our products may have originated in the Covered Countries.

OECD Step 3. Design and Implement a Strategy to Respond to Identified Risks

 

   

The Steering Committee is periodically briefed about our due diligence efforts.

 

   

We have adopted a conflict minerals policy.

 

   

Suppliers are required to adhere to our Supplier Code of Conduct that requires, among other things, all suppliers to exercise due diligence, in accordance with the OECD Guidance, on its entire supply chain with respect to the sourcing of all 3TG to determine whether those metals are from the Covered Countries and, if so, to determine whether those metals directly or indirectly financed or benefited armed groups that are perpetrators of serious human rights abuses in the Covered Countries.

 

   

We follow-up with the Surveyed Suppliers that provide incomplete or inconsistent responses.

 

   

We follow up with Surveyed Suppliers who listed non-compliant or uncertified smelters or refiners in their CMRT.

OECD Step 4. Carry Out Independent Third Party Audit of Supply Chain Due Diligence At Identified Points In The Supply Chain

We support audits of 3TG smelters and refiners conducted by third parties through our participation in RMI. RMI developed the RMAP, which uses an independent third-party audit to identify smelters and refiners that have management systems and sourcing practices in place to conform with RMAP protocols and global standards.

OECD Step 5. Report Annually on Supply Chain Due Diligence

This Conflict Minerals Report constitutes our annual report on our 3TG due diligence, is available in our website http://www.cnhindustrial.com/en-us/investor_relations/regulatory_filings/Pages/SEC_filings.aspx and is filed with the SEC.

 

V.

Due Diligence Results:

Survey Responses

We reviewed the Surveyed Supplier responses, including those not provided on the Template, to determine whether further engagement was necessary. When reviewing the Surveyed Supplier responses, we focused on incomplete responses as well as inconsistencies within the data reported by those suppliers. We worked directly with such suppliers in an effort to secure revised responses.

The vast majority of the responses received provided data only with respect to the supplier’s overall 3TG sourcing, without specifying if the 3TG was used in the specific goods supplied to us. Consequently, we cannot be certain that the smelters or refiners identified by the vast majority of our Surveyed Suppliers supplied 3TG to us rather than to other customers of that Surveyed Supplier.

 

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A minority of responses listed specific smelters or refiners. Such responses collectively identified 252 unique facilities as identified by the RMI, of which 224 were included on the RMAP Conformant Smelters and Refiners List. We also identified 40 smelters or refiners that may be sourcing from the Covered Countries and may not have been from recycled or scrap resources. All 40 of these processing facilities have been validated as compliant with RMAP protocols. Please see Attachment A for a list of smelters and refiners reported to us by the Surveyed Suppliers that listed specific smelters or refiners. The smelters or refiners listed in Attachment A may have processed the 3TG necessary for our products, but we do not have sufficient information to establish a direct link between our products and the smelters or refiners listed in Attachment A.

Efforts to Determine Mine or Location of Origin

We requested our suppliers complete the Template, which includes questions regarding the locations of smelters and refiners or origin for the minerals. When a supplier cannot directly obtain information beyond smelter or refiner name, we consult the RMI to determine the country of origin and whether the smelter or refiner has been validated as RMAP conformant.

Expected Future Actions

Going forward, we intend to build on our efforts in 2019 and continue working with our suppliers to improve the quality of the information provided. We also intend to continue to participate in RMI meetings in order to gather best practices and collaborate with industry peers.

 

 

Caution Concerning Forward-Looking Statements

Certain statements in this report may be “forward-looking statements” within the meaning of the Private Securities Litigation Reform Act of 1995 and Section 21E of the Securities Exchange Act of 1934. These statements may include terminology such as “may”, “will”, “expect”, “could”, “should”, “intend”, “estimate”, “anticipate”, “believe”, “outlook”, “continue”, “remain”, “on track”, “design”, “target”, “objective”, “goal”, “forecast”, “projection”, “prospects”, “plan”, or similar terminology. Forward-looking statements are not guarantees of future performance. Rather, they are based on current views and assumptions and involve known and unknown risks, uncertainties and other factors, many of which are outside our control and are difficult to predict. If any of these risks and uncertainties materialize or other assumptions underlying any of the forward-looking statements prove to be incorrect, the actual results or developments may differ materially from any future results or developments expressed or implied by the forward-looking statements. Actual results could differ materially from those anticipated in such forward-looking statements. Forward-looking statements speak only as of the date on which such statements are made, and we undertake no obligation to update or revise publicly any forward-looking statements.

 

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Attachment A

The processing facilities listed in the table below represent the smelters and refiners provided by the Surveyed Suppliers that provided a list of smelters or refiners. The smelters or refiners may have processed the 3TG necessary for our products, but we do not have sufficient information to determine with certainty that is the case. Additionally, we are unable to conclusively determine the country of origin information for our necessary 3TG, but based on the data gathered from RMI, we believe that the sources may include the countries listed following the table.

 

Metal    Smelter    Smelter Country    RMI Audit Status
Tantalum    Asaka Riken Co., Ltd.    JAPAN    Compliant
Tantalum    Changsha South Tantalum Niobium Co., Ltd.    CHINA    Compliant
Tantalum    D Block Metals, LLC    UNITED STATES OF AMERICA    Compliant
Tantalum    Exotech Inc.    UNITED STATES OF AMERICA    Compliant
Tantalum    F&X Electro-Materials Ltd.    CHINA    Compliant
Tantalum    FIR Metals & Resource Ltd.    CHINA    Compliant
Tantalum    Global Advanced Metals Aizu    JAPAN    Compliant
Tantalum    Global Advanced Metals Boyertown    UNITED STATES OF AMERICA    Compliant
Tantalum    Guangdong Zhiyuan New Material Co., Ltd.    CHINA    Compliant
Tantalum    H.C. Starck Co., Ltd.    THAILAND    Compliant
Tantalum    H.C. Starck Hermsdorf GmbH    GERMANY    Compliant
Tantalum    H.C. Starck Inc.    UNITED STATES OF AMERICA    Compliant
Tantalum    H.C. Starck Ltd.    JAPAN    Compliant
Tantalum    H.C. Starck Smelting GmbH & Co. KG    GERMANY    Compliant
Tantalum    H.C. Starck Tantalum and Niobium GmbH    GERMANY    Compliant
Tantalum    Hengyang King Xing Lifeng New Materials Co., Ltd.    CHINA    Compliant
Tantalum    Jiangxi Dinghai Tantalum & Niobium Co., Ltd.    CHINA    Compliant
Tantalum    Jiangxi Tuohong New Raw Material    CHINA    Compliant
Tantalum    JiuJiang JinXin Nonferrous Metals Co., Ltd.    CHINA    Compliant
Tantalum    Jiujiang Tanbre Co., Ltd.    CHINA    Compliant
Tantalum    Jiujiang Zhongao Tantalum & Niobium Co., Ltd.    CHINA    Compliant
Tantalum    KEMET Blue Metals    MEXICO    Compliant
Tantalum    LSM Brasil S.A.    BRAZIL    Compliant
Tantalum    Metallurgical Products India Pvt., Ltd.    INDIA    Compliant
Tantalum    Mineracao Taboca S.A.    BRAZIL    Compliant
Tantalum    Mitsui Mining and Smelting Co., Ltd.    JAPAN    Compliant
Tantalum    Ningxia Orient Tantalum Industry Co., Ltd.    CHINA    Compliant
Tantalum    NPM Silmet AS    ESTONIA    Compliant
Tantalum    QuantumClean    UNITED STATES OF AMERICA    Compliant
Tantalum    Resind Industria e Comercio Ltda.    BRAZIL    Compliant
Tantalum    Solikamsk Magnesium Works OAO    RUSSIAN FEDERATION    Compliant

 

5


Tantalum    Taki Chemical Co., Ltd.    JAPAN    Compliant
Tantalum    Telex Metals    UNITED STATES OF AMERICA    Compliant
Tantalum    Ulba Metallurgical Plant JSC    KAZAKHSTAN    Compliant
Tantalum    XinXing HaoRong Electronic Material Co., Ltd.    CHINA    Compliant
Tantalum    RFH Tantalum Smeltery Co., Ltd./Yanling Jincheng Tantalum & Niobium Co., Ltd.    CHINA    Compliant
Tin    Alpha    UNITED STATES OF AMERICA    Compliant
Tin    An Vinh Joint Stock Mineral Processing Company    VIET NAM    Outreach Required
Tin    Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.    CHINA    Compliant
Tin    Chifeng Dajingzi Tin Industry Co., Ltd.    CHINA    Compliant
Tin    China Tin Group Co., Ltd.    CHINA    Compliant
Tin    Dongguan CiEXPO Environmental Engineering Co., Ltd.    CHINA    Non-compliant
Tin    Dowa    JAPAN    Compliant
Tin    EM Vinto    BOLIVIA (PLURINATIONAL STATE OF)    Compliant
Tin    Estanho de Rondonia S.A.    BRAZIL    In Communication
Tin    Fenix Metals    POLAND    Compliant
Tin    Gejiu Kai Meng Industry and Trade LLC    CHINA    Compliant
Tin    Gejiu Non-Ferrous Metal Processing Co., Ltd.    CHINA    Compliant
Tin    Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.    CHINA    Compliant
Tin    Gejiu Zili Mining And Metallurgy Co., Ltd.    CHINA    Compliant
Tin    Guangdong Hanhe Non-Ferrous Metal Co., Ltd.    CHINA    Compliant
Tin    Guanyang Guida Nonferrous Metal Smelting Plant    CHINA    Compliant
Tin    HuiChang Hill Tin Industry Co., Ltd.    CHINA    Compliant
Tin    Huichang Jinshunda Tin Co., Ltd.    CHINA    Compliant
Tin    Jiangxi New Nanshan Technology Ltd.    CHINA    Compliant
Tin    Ma’anshan Weitai Tin Co., Ltd.    CHINA    Compliant
Tin    Magnu’s Minerais Metais e Ligas Ltda.    BRAZIL    Compliant
Tin    Malaysia Smelting Corporation (MSC)    MALAYSIA    Compliant
Tin    Melt Metais e Ligas S.A.    BRAZIL    Compliant
Tin    Metallic Resources, Inc.    UNITED STATES OF AMERICA    Compliant
Tin    Metallo Belgium N.V.    BELGIUM    Compliant
Tin    Metallo Spain S.L.U.    SPAIN    Compliant
Tin    Mineracao Taboca S.A.    BRAZIL    Compliant
Tin    Minsur    PERU    Compliant
Tin    Mitsubishi Materials Corporation    JAPAN    Compliant
Tin    Modeltech Sdn Bhd    MALAYSIA    Non-compliant
Tin    Nghe Tinh Non-Ferrous Metals Joint Stock Company    VIET NAM    Outreach Required

 

6


Tin    O.M. Manufacturing (Thailand) Co., Ltd.    THAILAND    Compliant
Tin    O.M. Manufacturing Philippines, Inc.    PHILIPPINES    Compliant
Tin    Operaciones Metalurgicas S.A.    BOLIVIA (PLURINATIONAL STATE OF)    Compliant
Tin    Pongpipat Company Limited    MYANMAR    Outreach Required
Tin    PT Artha Cipta Langgeng    INDONESIA    Compliant
Tin    PT ATD Makmur Mandiri Jaya    INDONESIA    Compliant
Tin    PT Menara Cipta Mulia    INDONESIA    Compliant
Tin    PT Mitra Stania Prima    INDONESIA    Compliant
Tin    PT Refined Bangka Tin    INDONESIA    Compliant
Tin    PT Timah Tbk Kundur    INDONESIA    Compliant
Tin    PT Timah Tbk Mentok    INDONESIA    Compliant
Tin    Resind Industria e Comercio Ltda.    BRAZIL    Compliant
Tin    Rui Da Hung    TAIWAN, PROVINCE OF CHINA    Compliant
Tin    Soft Metais Ltda.    BRAZIL    Compliant
Tin    Super Ligas    BRAZIL    Outreach Required
Tin    Thai Nguyen Mining and Metallurgy Co., Ltd.    VIET NAM    Compliant
Tin    Thaisarco    THAILAND    Compliant
Tin    Tin Technology & Refining    UNITED STATES OF AMERICA    Compliant
Tin    Tuyen Quang Non-Ferrous Metals Joint Stock Company    VIET NAM    Outreach Required
Tin    White Solder Metalurgia e Mineracao Ltda.    BRAZIL    Compliant
Tin    Yunnan Chengfeng Non-ferrous Metals Co., Ltd.    CHINA    Compliant
Tin    Yunnan Tin Company Limited    CHINA    Compliant
Tin    Yunnan Yunfan Non-ferrous Metals Co., Ltd.    CHINA    Compliant
Gold    Advanced Chemical Company    UNITED STATES OF AMERICA    Compliant
Gold    Aida Chemical Industries Co., Ltd.    JAPAN    Compliant
Gold    Al Etihad Gold Refinery DMCC    UNITED ARAB EMIRATES    Compliant
Gold    Allgemeine Gold-und Silberscheideanstalt A.G.    GERMANY    Compliant
Gold    Almalyk Mining and Metallurgical Complex (AMMC)    UZBEKISTAN    Compliant
Gold    AngloGold Ashanti Corrego do Sitio Mineracao    BRAZIL    Compliant
Gold    Argor-Heraeus S.A.    SWITZERLAND    Compliant
Gold    Asahi Pretec Corp.    JAPAN    Compliant
Gold    Asahi Refining Canada Ltd.    CANADA    Compliant
Gold    Asahi Refining USA Inc.    UNITED STATES OF AMERICA    Compliant
Gold    Asaka Riken Co., Ltd.    JAPAN    Compliant
Gold    AU Traders and Refiners    SOUTH AFRICA    Compliant
Gold    Aurubis AG    GERMANY    Compliant

 

7


Gold    Bangalore Refinery    INDIA    Compliant
Gold    Bangko Sentral ng Pilipinas (Central Bank of the Philippines)    PHILIPPINES    Compliant
Gold    Boliden AB    SWEDEN    Compliant
Gold    C. Hafner GmbH + Co. KG    GERMANY    Compliant
Gold    CCR Refinery - Glencore Canada Corporation    CANADA    Compliant
Gold    Cendres + Metaux S.A.    SWITZERLAND    Compliant
Gold    Chimet S.p.A.    ITALY    Compliant
Gold    Chugai Mining    JAPAN    Compliant
Gold    Daye Non-Ferrous Metals Mining Ltd.    CHINA    Compliant
Gold    Degussa Sonne / Mond Goldhandel GmbH    GERMANY    Outreach Required
Gold    DODUCO Contacts and Refining GmbH    GERMANY    Compliant
Gold    Dowa    JAPAN    Compliant
Gold    DSC (Do Sung Corporation)    KOREA, REPUBLIC OF    Compliant
Gold    Eco-System Recycling Co., Ltd.    JAPAN    Compliant
Gold    Emirates Gold DMCC    UNITED ARAB EMIRATES    Compliant
Gold    GCC Gujrat Gold Centre Pvt. Ltd.    INDIA    In Communication
Gold    Geib Refining Corporation    UNITED STATES OF AMERICA    Compliant
Gold    Gold Refinery of Zijin Mining Group Co., Ltd.    CHINA    Compliant
Gold    Great Wall Precious Metals Co., Ltd. of CBPM    CHINA    Compliant
Gold    Guangdong Jinding Gold Limited    CHINA    Outreach Required
Gold    Guoda Safina High-Tech Environmental Refinery Co., Ltd.    CHINA    Outreach Required
Gold    Hangzhou Fuchunjiang Smelting Co., Ltd.    CHINA    Outreach Required
Gold    Heimerle + Meule GmbH    GERMANY    Compliant
Gold    Heraeus Metals Hong Kong Ltd.    CHINA    Compliant
Gold    Heraeus Precious Metals GmbH & Co. KG    GERMANY    Compliant
Gold    Hunan Chenzhou Mining Co., Ltd.    CHINA    Outreach Required
Gold    Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.    CHINA    Compliant
Gold    Ishifuku Metal Industry Co., Ltd.    JAPAN    Compliant
Gold    Istanbul Gold Refinery    TURKEY    Compliant
Gold    Italpreziosi    ITALY    Compliant
Gold    Japan Mint    JAPAN    Compliant
Gold    Jiangxi Copper Co., Ltd.    CHINA    Compliant
Gold    JSC Uralelectromed    RUSSIAN FEDERATION    Compliant
Gold    JX Nippon Mining & Metals Co., Ltd.    JAPAN    Compliant
Gold    Kazakhmys Smelting LLC    KAZAKHSTAN    In Communication
Gold    Kazzinc    KAZAKHSTAN    Compliant
Gold    Kennecott Utah Copper LLC    UNITED STATES OF AMERICA    Compliant
Gold    KGHM Polska Miedz Spolka Akcyjna    POLAND    Compliant
Gold    Kojima Chemicals Co., Ltd.    JAPAN    Compliant

 

8


Gold    Korea Zinc Co., Ltd.    KOREA, REPUBLIC OF    Compliant
Gold    Kyrgyzaltyn JSC    KYRGYZSTAN    Compliant
Gold    Kyshtym Copper-Electrolytic Plant ZAO    RUSSIAN FEDERATION    Outreach Required
Gold    L’Orfebre S.A.    ANDORRA    Compliant
Gold    Lingbao Gold Co., Ltd.    CHINA    Outreach Required
Gold    Lingbao Jinyuan Tonghui Refinery Co., Ltd.    CHINA    Outreach Required
Gold    LS-NIKKO Copper Inc.    KOREA, REPUBLIC OF    Compliant
Gold    HeeSung Metal Ltd.    KOREA, REPUBLIC OF    Compliant
Gold    Luoyang Zijin Yinhui Gold Refinery Co., Ltd.    CHINA    Outreach Required
Gold    Marsam Metals    BRAZIL    Compliant
Gold    Materion    UNITED STATES OF AMERICA    Compliant
Gold    Matsuda Sangyo Co., Ltd.    JAPAN    Compliant
Gold    Metalor Technologies (Hong Kong) Ltd.    CHINA    Compliant
Gold    Metalor Technologies (Singapore) Pte., Ltd.    SINGAPORE    Compliant
Gold    Metalor Technologies (Suzhou) Ltd.    CHINA    Compliant
Gold    Metalor Technologies S.A.    SWITZERLAND    Compliant
Gold    Metalor USA Refining Corporation    UNITED STATES OF AMERICA    Compliant
Gold    Metalurgica Met-Mex Penoles S.A. De C.V.    MEXICO    Compliant
Gold    Mitsubishi Materials Corporation    JAPAN    Compliant
Gold    Mitsui Mining and Smelting Co., Ltd.    JAPAN    Compliant
Gold    MMTC-PAMP India Pvt., Ltd.    INDIA    Compliant
Gold    Moscow Special Alloys Processing Plant    RUSSIAN FEDERATION    Compliant
Gold    Nadir Metal Rafineri San. Ve Tic. A.S.    TURKEY    Compliant
Gold    Navoi Mining and Metallurgical Combinat    UZBEKISTAN    Compliant
Gold    Nihon Material Co., Ltd.    JAPAN    Compliant
Gold    Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH    AUSTRIA    Compliant
Gold    Ohura Precious Metal Industry Co., Ltd.    JAPAN    Compliant
Gold    OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)    RUSSIAN FEDERATION    Compliant
Gold    OJSC Novosibirsk Refinery    RUSSIAN FEDERATION    Compliant
Gold    PAMP S.A.    SWITZERLAND    Compliant
Gold    Pease & Curren    UNITED STATES OF AMERICA    Outreach Required
Gold    Penglai Penggang Gold Industry Co., Ltd.    CHINA    Outreach Required
Gold    Planta Recuperadora de Metales SpA    CHILE    Compliant
Gold    Prioksky Plant of Non-Ferrous Metals    RUSSIAN FEDERATION    Compliant
Gold    PT Aneka Tambang (Persero) Tbk    INDONESIA    Compliant
Gold    PX Precinox S.A.    SWITZERLAND    Compliant
Gold    Rand Refinery (Pty) Ltd.    SOUTH AFRICA    Compliant
Gold    Refinery of Seemine Gold Co., Ltd.    CHINA    Outreach Required

 

9


Gold    REMONDIS PMR B.V.    NETHERLANDS    Compliant
Gold    Royal Canadian Mint    CANADA    Compliant
Gold    SAAMP    FRANCE    Compliant
Gold    Sabin Metal Corp.    UNITED STATES OF AMERICA    Outreach Required
Gold    Safimet S.p.A    ITALY    Compliant
Gold    Sai Refinery    INDIA    Outreach Required
Gold    Samduck Precious Metals    KOREA, REPUBLIC OF    Compliant
Gold    SAXONIA Edelmetalle GmbH    GERMANY    Compliant
Gold    SEMPSA Joyeria Plateria S.A.    SPAIN    Compliant
Gold    Shandong Tiancheng Biological Gold Industrial Co., Ltd.    CHINA    Outreach Required
Gold    Shandong Zhaojin Gold & Silver Refinery Co., Ltd.    CHINA    Compliant
Gold    Sichuan Tianze Precious Metals Co., Ltd.    CHINA    Compliant
Gold    Singway Technology Co., Ltd.    TAIWAN, PROVINCE OF CHINA    Compliant
Gold    SOE Shyolkovsky Factory of Secondary Precious Metals    RUSSIAN FEDERATION    Compliant
Gold    Solar Applied Materials Technology Corp.    TAIWAN, PROVINCE OF CHINA    Compliant
Gold    State Research Institute Center for Physical Sciences and Technology    LITHUANIA    Outreach Required
Gold    Sumitomo Metal Mining Co., Ltd.    JAPAN    Compliant
Gold    SungEel HiMetal Co., Ltd.    KOREA, REPUBLIC OF    Compliant
Gold    T.C.A S.p.A    ITALY    Compliant
Gold    Tanaka Kikinzoku Kogyo K.K.    JAPAN    Compliant
Gold    The Refinery of Shandong Gold Mining Co., Ltd.    CHINA    Compliant
Gold    Tokuriki Honten Co., Ltd.    JAPAN    Compliant
Gold    Tongling Nonferrous Metals Group Co., Ltd.    CHINA    Outreach Required
Gold    Torecom    KOREA, REPUBLIC OF    Compliant
Gold    Umicore Brasil Ltda.    BRAZIL    Compliant
Gold    Umicore Precious Metals Thailand    THAILAND    Compliant
Gold    Umicore S.A. Business Unit Precious Metals Refining    BELGIUM    Compliant
Gold    United Precious Metal Refining, Inc.    UNITED STATES OF AMERICA    Compliant
Gold    Valcambi S.A.    SWITZERLAND    Compliant
Gold    Western Australian Mint (T/a The Perth Mint)    AUSTRALIA    Compliant
Gold    WIELAND Edelmetalle GmbH    GERMANY    Compliant
Gold    Yamakin Co., Ltd.    JAPAN    Compliant
Gold    Yokohama Metal Co., Ltd.    JAPAN    Compliant
Gold    Yunnan Copper Industry Co., Ltd.    CHINA    Outreach Required
Gold    Zhongyuan Gold Smelter of Zhongjin Gold Corporation    CHINA    Compliant
Tungsten    A.L.M.T. Corp.    JAPAN    Compliant
Tungsten    ACL Metais Eireli    BRAZIL    Compliant

 

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Tungsten    Chenzhou Diamond Tungsten Products Co., Ltd.    CHINA    Compliant
Tungsten    Chongyi Zhangyuan Tungsten Co., Ltd.    CHINA    Compliant
Tungsten    Fujian Jinxin Tungsten Co., Ltd.    CHINA    Compliant
Tungsten    Ganzhou Huaxing Tungsten Products Co., Ltd.    CHINA    Compliant
Tungsten    Ganzhou Jiangwu Ferrotungsten Co., Ltd.    CHINA    Compliant
Tungsten    Ganzhou Seadragon W & Mo Co., Ltd.    CHINA    Compliant
Tungsten    Global Tungsten & Powders Corp.    UNITED STATES OF AMERICA    Compliant
Tungsten    Guangdong Xianglu Tungsten Co., Ltd.    CHINA    Compliant
Tungsten    H.C. Starck Smelting GmbH & Co. KG    GERMANY    Compliant
Tungsten    H.C. Starck Tungsten GmbH    GERMANY    Compliant
Tungsten    Hunan Chenzhou Mining Co., Ltd.    CHINA    Compliant
Tungsten    Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji    CHINA    Compliant
Tungsten    Hunan Chunchang Nonferrous Metals Co., Ltd.    CHINA    Compliant
Tungsten    Hydrometallurg, JSC    RUSSIAN FEDERATION    Compliant
Tungsten    Japan New Metals Co., Ltd.    JAPAN    Compliant
Tungsten    Jiangwu H.C. Starck Tungsten Products Co., Ltd.    CHINA    Compliant
Tungsten    Jiangxi Gan Bei Tungsten Co., Ltd.    CHINA    Compliant
Tungsten    Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.    CHINA    Compliant
Tungsten    Jiangxi Xinsheng Tungsten Industry Co., Ltd.    CHINA    Compliant
Tungsten    Jiangxi Yaosheng Tungsten Co., Ltd.    CHINA    Compliant
Tungsten    Kennametal Fallon    UNITED STATES OF AMERICA    Compliant
Tungsten    Kennametal Huntsville    UNITED STATES OF AMERICA    Compliant
Tungsten    Malipo Haiyu Tungsten Co., Ltd.    CHINA    Compliant
Tungsten    Masan Tungsten Chemical LLC (MTC)    VIET NAM    Compliant
Tungsten    Moliren Ltd.    RUSSIAN FEDERATION    Compliant
Tungsten    Niagara Refining LLC    UNITED STATES OF AMERICA    Compliant
Tungsten    Philippine Chuangxin Industrial Co., Inc.    PHILIPPINES    Compliant
Tungsten    Tejing (Vietnam) Tungsten Co., Ltd.    VIET NAM    Compliant
Tungsten    Unecha Refractory metals plant    RUSSIAN FEDERATION    Compliant
Tungsten    Wolfram Bergbau und Hutten AG    AUSTRIA    Compliant
Tungsten    Woltech Korea Co., Ltd.    KOREA, REPUBLIC OF    Compliant
Tungsten    Xiamen Tungsten (H.C.) Co., Ltd.    CHINA    Compliant
Tungsten    Xiamen Tungsten Co., Ltd.    CHINA    Compliant
Tungsten    Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.    CHINA    Compliant
Tungsten    Xinhai Rendan Shaoguan Tungsten Co., Ltd.    CHINA    Compliant

*Processing facility name and location as reported by the Responsible Minerals Initiative (RMI)

 

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Country of Origin for the Conflict Minerals processed by the facilities listed above may include:

Andorra, Australia, Austria, Belgium, Bolivia, Brazil, Canada, Chile, China, Estonia, France, Germany, India, Indonesia, Italy, Japan, Kazakhstan, Korea (Republic Of), Kyrgyzstan, Lithuania, Malaysia, Mexico, Myanmar, Netherlands, Peru, Philippines, Poland, Russian Federation, Singapore, South Africa, Spain, Sweden, Switzerland, Taiwan (Province Of China), Thailand, Turkey, United Arab Emirates, United States Of America, Uzbekistan, Vietnam

 

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