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Form SD HOME DEPOT INC

May 27, 2016 4:05 PM EDT



 


UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549

FORM SD
Specialized Disclosure Report
THE HOME DEPOT, INC.
(Exact Name of Registrant as Specified in Charter)
 __________________
Delaware
  
1-8207
  
95-3261426
(State or Other Jurisdiction
of Incorporation)
  
(Commission
File Number)
  
(IRS Employer
Identification No.)

2455 Paces Ferry Road, Atlanta, Georgia 30339
(Address of Principal Executive Offices) (Zip Code)

Ron Jarvis, Vice President, Environmental Innovation (770) 433-8211
(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:
x
Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2015.








 
Section 1 - Conflict Minerals Disclosure

Item 1.01 Conflict Minerals Disclosure and Report

Conflict Minerals Disclosure
   
In accordance with Rule 13p-1 under the Securities Exchange Act of 1934 (“Rule 13p-1”), The Home Depot, Inc. has filed this Specialized Disclosure Report (“Form SD”) and Conflict Minerals Report for the calendar year ended December 31, 2015, and both reports are publicly available at https://corporate.homedepot.com/conflictminerals.

Item 1.02 Exhibit

The Home Depot Inc.’s Conflict Minerals Report for the calendar year ended December 31, 2015 is filed as Exhibit 1.01 to this Form SD.

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.





SIGNATURE
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.
 
 
 
 
 
THE HOME DEPOT, INC.
 
 
 
 
 
 
By:
/s/ Teresa Wynn Roseborough
 
May 27, 2016
Name:
Teresa Wynn Roseborough
 
(Date)
Title:
Executive Vice President, General Counsel & Corporate Secretary
 
 


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EXHIBIT INDEX
 
Exhibit
  
Description
1.01
  
Conflict Minerals Report as required by Items 1.01 and 1.02 of this Form.



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Exhibit 1.01



Conflict Minerals Report of The Home Depot, Inc.
for the Calendar Year Ended December 31, 2015

This is the Conflict Minerals Report (“CMR”) of The Home Depot, Inc. for the reporting period from January 1 to December 31, 2015, in accordance with Rule 13p-1 under the Securities Exchange Act of 1934 (“Rule 13p-1”). When we refer to “The Home Depot,” the “Company,” “we,” “us” or “our” in this report, we are referring to The Home Depot, Inc. and its consolidated subsidiaries.

Overview

This CMR provides a description of the measures that The Home Depot has taken to determine the origin of the gold, tantalum, tin and tungsten (“conflict minerals” or “3TG”) that were necessary to the functionality or production of products that the Company contracted to manufacture in 2015. The products that we contracted to manufacture (the “Covered Products”) during the reporting period are: Kitchen, Indoor Garden, Paint, Outdoor Garden, Lumber, Flooring, Building Materials, Plumbing, Electrical, Tools, Hardware, Millwork, Bath, Lighting, and Décor.

Notwithstanding our due diligence process described herein, we are unable to determine the source of all conflict minerals that are necessary to the functionality or production of the Covered Products or whether these conflict minerals directly or indirectly financed or benefited armed groups in the Democratic Republic of the Congo and adjoining countries (the “Covered Countries”).

Reasonable Country of Origin Inquiry

Introduction

We engaged a third-party service provider, Source Intelligence to assist us with data collection and aggregation. Together, we worked with our suppliers to collect information about the presence and sourcing of 3TG used in the Covered Products. Information regarding the presence of 3TG in a supplier’s products and the source of such 3TG, if present, was collected and stored using an online platform that utilized the Conflict Minerals Reporting Template (the “Template”) developed by the Conflict-Free Sourcing Initiative (“CFSI”), which was founded by the Electronics Industry Citizenship Coalition and Global e-Sustainability Initiative.

Products in Scope

We compiled a list of all Covered Products and worked with our third-party service provider to determine which Covered Products were in scope for potential use of 3TG and therefore required a Reasonable Country of Origin Inquiry (“RCOI”). If there was any doubt regarding the material content or the possible use of 3TG, the Covered Products were included in the RCOI process.






Supplier Engagement

We identified the suppliers with whom we contract directly (“Tier 1 Suppliers”) for the in-scope Covered Products and contacted them as a part of the RCOI process.

The RCOI began with an introduction email on September 22, 2015, from us to the Tier 1 Suppliers describing our Conflict Minerals Compliance Program (the “CMCP”) requirements. The Tier 1 Suppliers then were sent a follow-up email containing registration information and a request to complete the Template and were directed to a Conflict Minerals Supplier Resource Center. The Conflict Minerals Supplier Resource Center provides an educational primer on the CMCP and includes frequently asked questions concerning 3TG mineral tracing.

Non-responsive Tier 1 Suppliers received several follow-up contacts to encourage completion of the Template. The Tier 1 Suppliers that remained non-responsive were contacted and offered assistance. This assistance included, but was not limited to, further information about the CMCP, an explanation of why the information was being collected, a review of how the information would be used, and clarification regarding how the required information could be provided. Tier 1 Suppliers who failed to respond to our earlier contacts received a re-invitation to the platform. They were also contacted by our managers who maintain direct relationships with these suppliers and were further urged to respond in a timely manner.

Due Diligence Program Design

Following completion of the RCOI, we proceeded to the due diligence process to determine the source of any 3TG in the Covered Products. We conducted a due diligence process based on the Organization for Economic Cooperation and Development’s (“OECD’s”) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas and accompanying Supplements1 (the “OECD Guidance”).

The OECD Guidance has established a five-step framework for due diligence as a basis for responsible global supply chain management of minerals from conflict-affected and high-risk areas. This framework consists of the following elements:

1.
Establish strong company management systems (“Step One”);
2.
Identify and assess risk in the supply chain (“Step Two”);
3.
Design and implement a strategy to respond to identified risks (“Step Three”);
4.
Carry out independent third-party audit of supply chain due diligence at identified points in the supply chain (“Step Four”); and
5.
Report on supply chain due diligence (“Step Five”).

_____________________________

1 OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, Supplement on Tin, Tantalum and Tungsten and Supplement on Gold, 2016; http://www.oecd.org/daf/inv/mne/OECD-Due-Diligence-Guidance-Minerals-Edition3.pdf

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Due Diligence Program Execution

Consistent with the framework above and in furtherance of our Conflict Minerals due diligence for 2015, we performed the following measures:

OECD Guidance Step One: Establish strong company management systems

(a)
We maintained a policy relating to conflict minerals in our supply chain (“Conflict Minerals Policy”). Our Conflict Minerals Policy is publicly available at https://corporate.homedepot.com/conflictminerals. It states:

The Home Depot Conflict Minerals Policy

The Home Depot is committed to ensuring compliance with Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act relating to trade in conflict minerals.

The conflict minerals law was enacted to address the exploitation and trade of certain minerals that contribute to violence and human rights abuses in the Democratic Republic of the Congo and its neighboring countries in Africa (“Covered Countries”). The law requires public companies to report to the U.S. Securities and Exchange Commission and disclose information annually about whether the defined conflict minerals – gold, columbite-tantalite (tantalum), cassiterite (tin), and wolframite (tungsten) – are necessary to the functionality or production of products they manufacture or contract to manufacture, and, if so, whether those conflict minerals are sourced from smelters or refiners that have been certified as “DRC conflict free”.

The Home Depot is committed to the responsible sourcing of materials for our products, and we expect that our suppliers are likewise committed to responsible sourcing. We expect all suppliers manufacturing our products to partner with us to provide appropriate information and conduct necessary due diligence in order to facilitate our compliance with the conflict minerals law. We further expect all suppliers manufacturing our products to adopt sourcing practices to obtain products and materials from suppliers not involved in funding conflict in the Covered Countries.

The Home Depot provides a Supplier AlertLine for the exclusive use of suppliers to report violations of company policies, including the Conflict Minerals Policy. Suppliers may contact the Supplier AlertLine at https://tnw.reportlineweb.com/custom/HDVendorRelations or by using the following toll-free numbers:
United States and Canada: 1-800-435-3152
Mexico: 001-888-765-8153
China: 10-800-711-0714 or 10-800-110-0654

(b)
We continued to include the Conflict Minerals Policy in our current Supplier Buying Agreement.


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OECD Guidance Step Two: Identify and assess risk in the supply chain

(a)
After completion of the RCOI, as described above, Tier 1 Suppliers who indicated that 3TG was necessary to the functionality or production of Covered Products supplied to us were asked to provide information through the Template regarding the sourcing and origin of the 3TG (i.e., the 3TG smelters or refiners, or “SORs”). Where a Tier 1 Supplier did not provide detailed information about the SORs in its supply chain, we contacted the applicable suppliers of the Tier 1 Suppliers (“Tier 2 Suppliers”), and subsequent tiers of suppliers as needed to obtain the necessary information, using the contact procedures explained above. Collectively, the Tier 1 Suppliers, Tier 2 Suppliers and any suppliers working backward from the Tier 2 Suppliers are referred to in this report as “Suppliers”.

(b)
Based on information provided by the Suppliers, we used the following criteria to determine which Covered Products that contained 3TG necessary to the functionality or production of such product to include in the due diligence process:

a.
The Suppliers reported sourcing from the Covered Countries (“yes” response to Question 2 of the Template);
b.
The SOR data indicated sourcing from a mine located in the Covered Countries;
c.
The SOR reportedly sourced from a mine located in the Covered Countries (based on information contained within the third-party service provider’s system, from independent certification programs, or from internet research/available public reports);
d.
There was an indication that the SOR sourced from a Covered Country or a country that is known for smuggling or exporting 3TG out of a Covered Country; or
e.
Information provided about a SOR indicated the origin of the materials was not from a known reserve for the given metal.

(c)
We evaluated the responses we received from Suppliers. Suppliers were contacted to address issues including implausible statements regarding no presence of 3TG; incomplete data on their Templates; responses that did not identify SORs; responses that indicated sourcing location without complete supporting information from the supply chain; and organizations that were identified as SORs, but not verified as such through further analysis and research.

(d)
When SOR data was obtained, we used the existing SOR database of Source Intelligence, the CFSI’s list of SORs, internet research, and other resources (e.g., government databases and industry and trade organization lists) to verify whether entities identified as SORs are actually 3TG SORs. Where we found that an entity named as a SOR was not directly involved in the smelting or recycling of the relevant metal, the Supplier that provided this information was contacted to attempt to obtain additional information about the origin of the materials or information about its direct suppliers. If contact information was provided, or could be obtained, for the entity listed as a SOR, the listed entity was also contacted to obtain additional information about the origin of materials used. We also investigated Supplier statements that a SOR did not source from the Covered Countries when the stated sourcing location (country of

4



mine origin) was not a known reserve for the given metal.

OECD Guidance Step Three: Design and implement a strategy to respond to identified risks

(a)
We reported the findings of our supply chain risk assessment as outlined in this CMR to our General Counsel and supply chain senior leadership.

(b)
We took such risk mitigation efforts as we deemed to be appropriate based on the findings of our supply chain risk assessment. These risk mitigation efforts were determined by taking into account the particular facts, circumstances and risks identified with respect to our supply chain over the course of 2015.

(c)
To mitigate the risk that our necessary 3TG benefit armed groups, we intend to engage in the additional measures discussed under “Addressing Identified Risks” below.

OECD Guidance Step Four: Carry out independent third-party audit of supply chain due diligence at identified points in the supply chain

In connection with our due diligence, we utilized information made available by the CFSI, London Bullion Market Association (“LBMA”), and Responsible Jewellery Council (“RJC”) concerning independent third-party audits of smelters and refiners.

OECD Guidance Step 5: Report on supply chain due diligence

We filed a Form SD and this Conflict Minerals Report with the Securities and Exchange Commission and made available on our website this Conflict Minerals Report and the Form SD.

Summary of Findings

A total of 831 Tier 1 Suppliers were identified as in-scope for conflict mineral regulatory purposes and contacted as part of the RCOI process. The response rate among these Suppliers was one hundred percent (100%). Nineteen percent (19%) of the Suppliers indicated one or more of the conflict minerals as necessary to the functionality or production of the Covered Products.

Based on the information provided by our Tier 1 Suppliers and our own due diligence efforts with known smelters and refiners through December 31, 2015, we believe that the facilities that may have been used to process the conflict minerals in the Covered Products include the 331 verified SORs listed in Annex I. Based on review of certain SOR databases, there was an indication of sourcing from the Covered Countries for 29 out of the 331 verified SORs. Of the 29 SORs with an indication of sourcing in the Covered Countries, 27 were certified as DRC Conflict Free by either CFSI, LBMA or RJC.

Notwithstanding the due diligence process described above, we do not have sufficient information from Tier 1 Suppliers or other sources to conclusively determine whether any 3TG originating in the Covered Countries was included in our Covered Products and, if so, whether the 3TG was from recycled or scrap

5



sources, and whether or not these conflict minerals directly or indirectly financed or benefited armed groups in the Covered Countries. However, based on the information provided by our Tier 1 Suppliers and SORs, as well as from the CFSI and other sources, we believe that the countries of origin of the conflict minerals contained in our Covered Products include the countries listed in Annex II below, as well as recycled and scrap sources.

Addressing Identified Risks

In 2015, our efforts continued to be focused on collecting and disseminating information from our Tier 1 Suppliers on their sourcing practices using the Template and creating a database for that information. We also included a review of new Tier 1 suppliers from The Home Depot’s acquisition of Interline Brands, Inc (IBI). Despite the increase of total Tier 1 suppliers from 557 to 831 in 2015 with the inclusion of IBI suppliers, the number of SORs with an indication of sourcing in the Covered Countries that were not certified as DRC conflict free decreased from 5 to 2. In the 2016 reporting year, we will continue our supplier engagement process with an aim to decrease the number of Covered Products with 3TG of indeterminate origin. We expect that our 2016 efforts will include:

Reviewing and updating the list of Covered Products and associated Tier 1 Suppliers designated as in-scope as needed;
Re-engaging each in-scope Tier 1 Supplier to verify and update sourcing information as needed; and
Continuing to work with Suppliers to gain information about supply chain actors closer upstream to the smelter or refiner to facilitate the exchange of information on the origin of 3TG.

We intend to undertake the following steps during the 2016 reporting year to further mitigate the risk that our Covered Products contain conflict minerals that benefit armed groups in the Covered Countries:

Continuing to engage with Tier 1 Suppliers to obtain current, accurate and complete information about the supply chain;
Encouraging Tier 1 Suppliers to implement responsible sourcing and to encourage their smelters and refiners to obtain a “conflict-free” certification from an independent, third-party auditor; and
Engaging in industry initiatives encouraging “conflict-free” supply chains.




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ANNEX I

Metal
Smelter or Refiner Name
Gold
Advanced Chemical Company
Gold
Aida Chemical Industries Co., Ltd.*
Gold
Aktyubinsk Copper Company TOO
Gold
Al Etihad Gold
Gold
Allgemeine Gold-und Silberscheideanstalt A.G.*
Gold
Almalyk Mining and Metallurgical Complex (AMMC)*
Gold
AngloGold Ashanti Córrego do Sítio Mineração*
Gold
Argor-Heraeus SA*
Gold
Asahi Pretec Corporation*
Gold
Asahi Refining Canada Limited*
Gold
Asahi Refining USA Inc.*
Gold
Asaka Riken Co., Ltd.*
Gold
Atasay Kuyumculuk Sanayi Ve Ticaret A.S.
Gold
Aurubis AG*
Gold
Bangko Sentral ng Pilipinas (Central Bank of the Philippines)*
Gold
Bauer Walser AG
Gold
Boliden AB*
Gold
C. Hafner GmbH + Co. KG*
Gold
Caridad
Gold
CCR Refinery - Glencore Canada Corporation*
Gold
Cendres + Métaux SA
Gold
Chimet S.p.A.*
Gold
Chugai Mining
Gold
Codelco
Gold
Daejin Indus Co., Ltd.
Gold
Daye Non-Ferrous Metals Mining Ltd.
Gold
DODUCO GmbH*
Gold/Tin
Dowa
Gold
DSC (Do Sung Corporation)
Gold
Eco-System Recycling Co., Ltd.*
Gold
Eldorado Gold Corporation
Gold
Elemetal Refining, LLC*
Gold
Emirates Gold DMCC
Gold
ESG Edelmetall-Service GmbH & Co. KG
Gold
Faggi Enrico S.p.A.
Gold
Fidelity Printers and Refiners Ltd.

7



Metal
Smelter or Refiner Name
Gold
Gansu Seemine Material Hi-Tech Co Ltd
Gold
Geib Refining Corporation
Gold
Guangdong Jinding Gold Limited
Gold
Hangzhou Fuchunjiang Smelting Co., Ltd.
Gold
Heimerle + Meule GmbH*
Gold
Heraeus Ltd. Hong Kong*
Gold
Heraeus Precious Metals GmbH & Co. KG*
Gold/Tungsten
Hunan Chenzhou Mining Co., Ltd.
Gold
Hwasung CJ Co. Ltd
Gold
Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited*
Gold
Ishifuku Metal Industry Co., Ltd.*
Gold
Istanbul Gold Refinery*
Gold
Japan Mint*
Gold
Jiangxi Copper Company Limited*
Gold
Jinlong Copper Co., Ltd.
Gold
JSC Ekaterinburg Non-Ferrous Metal Processing Plant*
Gold
JSC Uralelectromed*
Gold
JX Nippon Mining & Metals Co., Ltd.*
Gold
Kaloti Precious Metals
Gold
Kazakhmys plc
Gold
Kazzinc*
Gold
Kennecott Utah Copper LLC**
Gold
KGHM Polska Miedź Spólka Akcyjna
Gold
Kojima Chemicals Co., Ltd.*
Gold
Korea Metal Co. Ltd
Gold
Korea Zinc Co. Ltd.
Gold
Kyrgyzaltyn JSC*
Gold
L' azurde Company For Jewelry
Gold
Lingbao Gold Company Ltd.
Gold
Lingbao Jinyuan Tonghui Refinery Co. Ltd.
Gold
LS-NIKKO Copper Inc.*
Gold
Luo yang Zijin Yinhui Metal Smelt Co Ltd
Gold
Materion*
Gold
Matsuda Sangyo Co., Ltd.*
Gold/Tin
Metahub Industries Sdn. Bhd.
Gold
Metalor Technologies (Hong Kong) Ltd.*
Gold
Metalor Technologies (Singapore) Pte., Ltd.*
Gold
Metalor Technologies (Suzhou) Co Ltd

8



Metal
Smelter or Refiner Name
Gold
Metalor Technologies SA*
Gold
Metalor USA Refining Corporation*
Gold
METALÚRGICA MET-MEX PEÑOLES, S.A. DE C.V*
Gold/Tin
Mitsubishi Materials Corporation*
Gold/Tantalum
Mitsui Mining & Smelting*
Gold
MMTC-PAMP India Pvt., Ltd.*
Gold
Morris and Watson
Gold
Moscow Special Alloys Processing Plant*
Gold
Nadir Metal Rafineri San ve Tic. A.Ş.*
Gold
Navoi Mining and Metallurgical Combinat*
Gold
Nihon Material Co., Ltd.*
Gold
Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH*
Gold
Ohura Precious Metal Industry Co., Ltd.*
Gold
OJSC \The Gulidov Krasnoyarsk Non-Ferrous Metals Plant\" (OJSC Krastsvetmet)"*
Gold
OJSC Kolyma Refinery
Gold
OJSC Novosibirsk Refinery*
Gold
PAMP SA*
Gold
Penglai Penggang Gold Industry Co Ltd
Gold
Prioksky Plant of Non-Ferrous Metals*
Gold
PT Aneka Tambang (Persero) Tbk*
Gold
PX PrŽcinox SA*
Gold
Rand Refinery (Pty) Ltd.*
Gold
Republic Metals Corporation*
Gold
Rio Tinto Group
Gold
Royal Canadian Mint*
Gold
SAAMP
Gold
Sabin Metal Corp.
Gold
Samduck Precious Metals
Gold
SAMWON METALS Corp.
Gold
SAXONIA Edelmetalle GmbH
Gold
Schone Edelmetaal B.V.*
Gold
SEMPSA Joyería Platería SA*
Gold
Shandong Tiancheng Biological Gold Industrial Co., Ltd.
Gold
Shandong Zhaojin Gold & Silver Refinery Co., Ltd.*
Gold
Sichuan Tianze Precious Metals Co., Ltd.*
Gold
Singway Technology Co., Ltd.*
Gold
So Accurate Group, Inc.

9



Metal
Smelter or Refiner Name
Gold
SOE Shyolkovsky Factory of Secondary Precious Metals*
Gold
Solar Applied Materials Technology Corp.*
Gold
Sudan Gold Refinery
Gold
Sumitomo Metal Mining Co., Ltd.*
Gold
T.C.A S.p.A*
Gold
Tanaka Kikinzoku Kogyo K.K.*
Gold
The Great Wall Gold and Silver Refinery of China*
Gold
The Refinery of Shandong Gold Mining Co., Ltd.*
Gold
Tokuriki Honten Co., Ltd.*
Gold
TongLing Nonferrous Metals Group Holdings Co., Ltd.
Gold
Torecom
Gold
Umicore Brasil Ltda.*
Gold
Umicore Precious Metals Thailand*
Gold
Umicore SA Business Unit Precious Metals Refining*
Gold
Valcambi SA*
Gold
Western Australian Mint trading as The Perth Mint*
Gold
WIELAND Edelmetalle GmbH
Gold
Yamamoto Precious Metal Co., Ltd.*
Gold
Yantai Guodasafina High-tech Environmental Refinery CO., Ltd.
Gold
Yokohama Metal Co., Ltd.*
Gold
Yunnan Copper Industry Co Ltd
Gold
Zhongyuan Gold Smelter of Zhongjin Gold Corporation*
Gold
Zijin Mining Group Co., Ltd. Gold Refinery*
Tantalum
AMG Advanced Metallurgical Group
Tantalum
Avon Specialty Metals Ltd
Tantalum
Conghua Tantalum and Niobium Smeltry*
Tantalum
D Block Metals, LLC*
Tantalum
Duoluoshan*
Tantalum
Exotech Inc.*
Tantalum
F&X Electro-Materials Ltd.*
Tantalum
FIR Metals & Resource Ltd.*
Tantalum
Gannon & Scott
Tantalum
Global Advanced Metals Aizu*
Tantalum
Global Advanced Metals Boyertown*
Tantalum
Guangdong Zhiyuan New Material Co., Ltd.*
Tantalum
Guizhou Zhenhua Xinyun Technology Ltd., Kaili branch
Tantalum
H.C. Starck Co., Ltd.*
Tantalum
H.C. Starck GmbH Goslar*

10



Metal
Smelter or Refiner Name
Tantalum
H.C. Starck GmbH Laufenburg*
Tantalum
H.C. Starck Hermsdorf GmbH*
Tantalum
H.C. Starck Inc.*
Tantalum
H.C. Starck Ltd.*
Tantalum/Tungsten
H.C. Starck Smelting GmbH & Co.KG*
Tantalum
Hengyang King Xing Lifeng New Materials Co., Ltd.*
Tantalum
Hi-Temp Specialty Metals, Inc.*
Tantalum
Jiangxi Dinghai Tantalum & Niobium Co., Ltd*
Tantalum
JiuJiang JinXin Nonferrous Metals Co., Ltd.*
Tantalum
Jiujiang Tanbre Co., Ltd.*
Tantalum
Jiujiang Zhongao Tantalum & Niobium Co., Ltd.*
Tantalum
JX Nippon Mining & Metals Co., Ltd.
Tantalum
KEMET Blue Metals*
Tantalum
Kemet Blue Powder*
Tantalum
King-Tan Tantalum Industry Ltd.*
Tantalum
LSM Brasil S.A.*
Tantalum
Metallurgical Products India Pvt., Ltd.*
Tantalum/Tin
Mineração Taboca S.A.
Tantalum
Molycorp Silmet A.S.*
Tantalum
Ningxia Orient Tantalum Industry Co., Ltd.*
Tantalum/Tin
Phoenix Metal Ltd
Tantalum
Plansee SE Liezen*
Tantalum
Plansee SE Reutte*
Tantalum
QuantumClean*
Tantalum/Tin
Resind Indústria e Comércio Ltda.
Tantalum
RFH Tantalum Smeltry Co., Ltd.*
Tantalum
Solikamsk Magnesium Works OAO*
Tantalum
Taki Chemicals*
Tantalum
Telex Metals*
Tantalum
Tranzact, Inc.*
Tantalum
Treibacher Industrie AG
Tantalum
Ulba Metallurgical Plant JSC*
Tantalum
XinXing Haorong Electronic Material Co., Ltd.*
Tantalum
Yichun Jin Yang Rare Metal Co., Ltd.*
Tantalum
Zhuzhou Cemented Carbide*
Tin
Alpha*
Tin
An Thai Minerals Company Limited*
Tin
An Vinh Joint Stock Mineral Processing Company

11



Metal
Smelter or Refiner Name
Tin
Best Metais e Soldas SA
Tin
Chenzhou Yunxiang Mining and Metallurgy Company Limited
Tin
China Tin Group Co., Ltd.*
Tin
CNMC (Guangxi) PGMA Co. Ltd.
Tin
Colonial Metals, Inc
Tin
Complejo Metalurgico Vinto S.A.
Tin
Cooperativa Metalurgica de Rondônia Ltda.*
Tin
CSC Pure Technologies
Tin
CV Ayi Jaya*
Tin
CV Duta Putra Bangka
Tin
CV Gita Pesona*
Tin
CV Prima Timah Utama
Tin
CV Serumpun Sebalai*
Tin
CV United Smelting*
Tin
CV Venus Inti Perkasa*
Tin
EFD INC.
Tin
Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company
Tin
Electroloy Metal Pte
Tin
Elmet S.A. de C.V.
Tin
Elmet S.L.U. (Metallo Group)*
Tin
EM Vinto*
Tin
Estanho de Rondônia S.A.
Tin
Feinhutte Halsbrucke GmbH
Tin
Fenix Metals*
Tin
Gejiu Fengming Metalurgy Chemical Plant
Tin
Gejiu Kai Meng Industry and Trade LLC*
Tin
Gejiu Non-Ferrous Metal Processing Co., Ltd.*
Tin
Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.
Tin
Gejiu Zi-Li
Tin
Huichang Jinshunda Tin Co. Ltd
Tin
Hyundai-Steel
Tin
Ishifuku Metal Industry Co., Ltd.
Tin
Japan New Metals Co., Ltd.
Tin
Jean Goldschmidt International SA
Tin
Jiangxi Ketai Advanced Material Co., Ltd.*
Tin
JX Nippon Mining & Metals Co., Ltd.
Tin
Kovohutě Příbram

12



Metal
Smelter or Refiner Name
Tin
Linwu Xianggui Smelter Co
Tin
Magnu's Minerais Metais e Ligas Ltda.*
Tin
Malaysia Smelting Corporation (MSC)*
Tin
Materials Eco-Refining CO., LTD
Tin
Melt Metais e Ligas S/A*
Tin
Metallic Resources, Inc.*
Tin
Metallo-Chimique N.V.*
Tin
Minsur*
Tin
Mitsui Mining & Smelting
Tin
Nankang Nanshan Tin Co., Ltd.
Tin
Nghe Tinh Non-Ferrous Metals Joint Stock Company
Tin
Novosibirsk Integrated Tin Works
Tin
O.M. Manufacturing (Thailand) Co., Ltd.*
Tin
O.M. Manufacturing Philippines, Inc.*
Tin
Operaciones Metalurgical S.A.*
Tin
PT Alam Lestari Kencana
Tin
PT Aries Kencana Sejahtera*
Tin
PT Artha Cipta Langgeng*
Tin
PT ATD Makmur Mandiri Jaya*
Tin
PT Babel Inti Perkasa*
Tin
PT Bangka Kudai Tin
Tin
PT Bangka Prima Tin*
Tin
PT Bangka Timah Utama Sejahtera*
Tin
PT Bangka Tin Industry
Tin
PT Belitung Industri Sejahtera
Tin
PT BilliTin Makmur Lestari*
Tin
PT Bukit Timah*
Tin
PT Cipta Persada Mulia*
Tin
PT DS Jaya Abadi*
Tin
PT Eunindo Usaha Mandiri*
Tin
PT Fang Di MulTindo
Tin
PT Inti Stania Prima*
Tin
PT Justindo*
Tin
PT Karimun Mining
Tin
PT Mitra Stania Prima*
Tin
PT Panca Mega Persada*
Tin
PT Pelat Timah Nusantara Tbk
Tin
PT Prima Timah Utama*

13



Metal
Smelter or Refiner Name
Tin
PT Refined Bangka Tin*
Tin
PT Sariwiguna Binasentosa*
Tin
PT Seirama Tin investment
Tin
PT Stanindo Inti Perkasa*
Tin
PT Sukses Inti Makmur*
Tin
PT Sumber Jaya Indah*
Tin
PT Timah (Persero) Tbk Kundur*
Tin
PT Timah (Persero) Tbk Mentok*
Tin
PT Tinindo Inter Nusa*
Tin
PT Tirus Putra Mandiri
Tin
PT Tommy Utama*
Tin
PT WAHANA PERKIT JAYA*
Tin
Pure Technology
Tin
Ritchey Metals
Tin
Rui Da Hung*
Tin
Senju Metal Industry Co., Ltd.
Tin
SGS
Tin
Soft Metais Ltda.*
Tin/Tungsten
Sumitomo Metal Mining Co., Ltd.
Tin
Thaisarco*
Tin
Tuyen Quang Non-Ferrous Metals Joint Stock Company
Tin
Umicore SA Business Unit Precious Metals Refining
Tin
VQB Mineral and Trading Group JSC*
Tin
White Solder Metalurgia e Mineração Ltda.*
Tin
Xianghualing Tin Co., Ltd.
Tin
Yunnan Chengfeng Non-ferrous Metals Co., Ltd.*
Tin
Yunnan Tin Group (Holding) Company Limited*
Tungsten
A.L.M.T. TUNGSTEN Corp.*
Tungsten
Asia Tungsten Products Vietnam Ltd.*
Tungsten
Chenzhou Diamond Tungsten Products Co., Ltd.*
Tungsten
China Nonferrous Metal Mining (Group) Co., Ltd.
Tungsten
Chongyi Zhangyuan Tungsten Co., Ltd.*
Tungsten
Dayu Jincheng Tungsten Industry Co., Ltd.
Tungsten
Dayu Weiliang Tungsten Co., Ltd.
Tungsten
ERAMET
Tungsten
Fujian Jinxin Tungsten Co., Ltd.*
Tungsten
Ganxian Shirui New Material Co., Ltd.
Tungsten
Ganzhou Haichuang Tungsten Industry Co., Ltd.

14



Metal
Smelter or Refiner Name
Tungsten
Ganzhou Huaxing Tungsten Products Co., Ltd.*
Tungsten
Ganzhou Jiangwu Ferrotungsten Co., Ltd.*
Tungsten
Ganzhou Non-ferrous Metals Smelting Co., Ltd.
Tungsten
Ganzhou Yatai Tungsten Co., Ltd.*
Tungsten
Global Tungsten & Powders Corp.*
Tungsten
Golden Egret Special Alloy Co. Ltd
Tungsten
Guangdong Xianglu Tungsten Co., Ltd.*
Tungsten
H.C. Starck GmbH*
Tungsten
Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji
Tungsten
Hunan Chuangda Vanadium Tungsten Co., Ltd. Yanglin
Tungsten
Hunan Chunchang Nonferrous Metals Co., Ltd.*
Tungsten
Hydrometallurg, JSC*
Tungsten
Izawa Metal Co., Ltd
Tungsten
Japan New Metals Co., Ltd.*
Tungsten
Jiangwu H.C. Starck Tungsten Products Co., Ltd.
Tungsten
Jiangxi Dayu Longxintai Tungsten Co., Ltd.*
Tungsten
Jiangxi Gan Bei Tungsten Co., Ltd.
Tungsten
Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.
Tungsten
Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.
Tungsten
Jiangxi Xinsheng Tungsten Industry Co., Ltd.
Tungsten
Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.*
Tungsten
Jiangxi Yaosheng Tungsten Co., Ltd.
Tungsten
JX Nippon Mining & Metals Co., Ltd.
Tungsten
Kennametal Fallon
Tungsten
Kennametal Huntsville*
Tungsten
Malipo Haiyu Tungsten Co., Ltd.*
Tungsten
Materion
Tungsten
Niagara Refining LLC*
Tungsten
North American Tungsten
Tungsten
Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC*
Tungsten
Pobedit, JSC
Tungsten
Sanher Tungsten Vietnam Co., Ltd.*
Tungsten
Tamano Smelter, Hibi Kyodo Smelting Co., Ltd
Tungsten
Tejing (Vietnam) Tungsten Co., Ltd.*
Tungsten
Vietnam Youngsun Tungsten Industry Co., Ltd.*
Tungsten
Voss Metals Company, Inc.
Tungsten
Wolfram Bergbau und Hütten AG*
Tungsten
Xiamen Honglu Tungsten Molybdenum Industry Co.Ltd

15



Metal
Smelter or Refiner Name
Tungsten
Xiamen Tungsten Co., Ltd.*
Tungsten
Xinhai Rendan Shaoguan Tungsten Co., Ltd.*
Tungsten
Zhuzhou Cemented Carbide

*Smelter or refiner certified by the CFSI, LBMA or RJC




16



ANNEX II
Countries of Origin

Argentina
Armenia
Australia
Austria
Belarus
Belgium
Bolivia
Brazil
Burundi
Canada
Chile
China
Democratic Republic of the Congo
Estonia
Ethiopia
France
Germany
Ghana
Greece
Guinea
Guyana
Hong Kong
India
Indonesia
Italy
Japan
Jersey
Kazakhstan
Kyrgyzstan
Laos
Malaysia
Mali
Mexico
Mongolia
Morocco
Mozambique
Myanmar
Namibia
Netherlands
Niger
Nigeria
Papua New Guinea
Peru
Philippines
Poland
Portugal
Romania
Russia
Rwanda
Saudi Arabia
Sierra Leone
Singapore
South Africa
South Korea
Spain
Suriname
Sweden
Switzerland
Taiwan
Tajikistan
Tanzania
Thailand
Turkey
United Arab Emirates
United Kingdom
United States
Uzbekistan
Vietnam
Zambia
Zimbabwe




17


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