Form SD JOHNSON & JOHNSON
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form SD
SPECIALIZED DISCLOSURE REPORT
Johnson & Johnson
(Exact Name of Registrant as Specified in Charter)
New Jersey | 1-3215 | 22-1024240 | ||
(State or Other Jurisdiction of Incorporation) | (Commission File Number) | (IRS Employer Identification Number) |
One Johnson & Johnson Plaza | ||
New Brunswick, New Jersey | 08933 | |
(Address of Principal Executive Offices) | (Zip Code) |
Lacey P. Elberg, Senior Counsel & Assistant Secretary (732) 524-0400 |
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:
ý 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
A copy of the Company’s Conflict Minerals Report filed for the calendar year ended December 31, 2015 is publicly available at http://www.jnj.com/caring/citizenship-sustainability/strategic-framework/conflict-minerals and http://www.investor.jnj.com/governance/sec-filings.cfm. The content of any website referred to in this Form SD, including any exhibit hereto, is included for general information only and is not incorporated by reference in this Form SD.
Item 1.02 Exhibit
The Company’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 No. Description
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.
Johnson & Johnson
By: /s/ Dominic J. Caruso | Date: May 31, 2016 | |
Dominic J. Caruso | ||
Executive Vice President, Chief Financial Officer |
Exhibit 1.01
Johnson & Johnson
Conflict Minerals Report
For the Calendar Year Ended December 31, 2015
Introduction
Johnson & Johnson is the parent company of various consolidated subsidiaries (together, the “Company”) engaged in the manufacture and sale of a broad range of products in the health care field across three business segments: Consumer, Pharmaceutical and Medical Devices.
Pursuant to the requirements of Rule 13p-1 under the Securities Exchange Act of 1934 and Form SD (together, the “Rule”), this Conflict Minerals Report describes, for the period from January 1, 2015 to December 31, 2015, the measures the Company has taken to conduct due diligence on the source and chain of custody of the conflict minerals contained in, and necessary to the functionality or production of, the products in its supply chain. Under the Rule, “conflict minerals” are defined as columbite-tantalite (coltan), cassiterite and wolframite, including their derivatives, which are limited to tantalum, tin and tungsten, and gold (or “3TG”).
Products and Supply Chain
All product lines manufactured or contracted to be manufactured by the Company throughout its three business segments were assessed to determine whether they potentially contain 3TG. Through the screening process, product teams determined, to the best of their knowledge, that the following product lines (the “in-scope products”) contain 3TG or have a high likelihood of containing 3TG: (i) in the Company’s Pharmaceutical and Consumer segments, a small number of products that contain electronic components, including pharmaceutical diagnostics products and consumer plug-in and/or battery-operated devices; and (ii) in the Medical Devices segment, many categories of medical devices due to the presence of metal alloys and electronic components, including, but not limited to:
• | orthopaedic, trauma and spine products; |
• | surgery and energy products; |
• | products to treat cardiovascular disease, including electrophysiology products; |
• | blood glucose monitoring and insulin delivery products; and |
• | sterilization and disinfection products to reduce surgical infection. |
The broad and complex range of in-scope products may contain necessary conflict minerals within the following components:
• | Tantalum, used in capacitors and certain alloys; |
• | Tin, used in soldered components; |
• | Tungsten, used in coatings and certain alloys; and |
• | Gold, used in circuit boards and electronic components. |
The Company’s supply chains are complex and fragmented. As a “downstream” company, the Company is many tiers removed in the minerals supply chain from smelters or refiners (“SORs”) that process the metals found in its final products, and there are many intervening third parties between the original sources of conflict minerals and the Company. The Company, therefore, must rely on its immediate suppliers, with which it has business relationships, to provide information regarding the sourcing of 3TG in the in-scope products. The Company’s immediate suppliers, in
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turn, typically are also downstream in the minerals supply chain and have similar challenges in achieving supply chain transparency.
In addition, because the Company manufactures and sells highly regulated health care products, its existing suppliers have gone through lengthy, rigorous, and multi-level regulatory and quality assessments and approvals. Therefore, it can be very difficult to switch to another supplier if an existing supplier is not responsive to the Company’s conflict minerals program.
Reasonable Country of Origin Inquiry
The Company conducted a good faith reasonable country of origin inquiry (“RCOI”) regarding the 3TG in materials, components and finished goods supplied to the Company, including the following steps:
• | With the assistance of a third-party vendor (the “Vendor”) with expertise in supply chain due diligence, the Company engaged its 286 immediate, potential 3TG suppliers to collect information regarding the presence and sourcing of 3TG in its products. These suppliers were asked to complete and submit the Conflict Minerals Reporting Template v.4.01 (“CMRT”). The CMRT is a standardized reporting survey form developed by the Conflict-Free Sourcing Initiative (“CFSI”) that requests, among other things, information regarding country of origin of 3TG supplied to the Company and the SORs in the 3TG supply chain. |
• | The Vendor followed up with all unresponsive suppliers via both automated emails and one-on-one emails, including by offering assistance and further information about the requirements of the Rule and the Company’s expectations. If after these outreach efforts, a supplier still did not respond to the survey, the relevant Company supplier relationship manager (“SRM”) was asked to directly contact the supplier to request a response. |
• | The Vendor identified and followed up on incomplete or contradictory answers in each CMRT form submitted. |
• | Suppliers that responded that the materials or goods they supplied to the Company did not contain 3TG were removed from the scope of the survey only after verification of this information from Company SRMs and product stewards. |
• | The Company’s conflict minerals team focused additional engagement efforts on potential 3TG suppliers deemed higher-priority based on spend volume. |
• | The Company received responses from approximately 74% of all surveyed suppliers. |
• | The Vendor verified whether the metals processors identified by suppliers in their survey responses are actually SORs or recyclers of 3TG by comparing the alleged SOR names to CFSI’s Standard Smelter List, resulting in a list of over 300 SORs verified to exist. |
• | The Vendor researched and reviewed mine information for the verified SORs to determine, to the best of its knowledge, the country of origin of the minerals processed by those SORs. This information was also compared to the country of origin data available to the Company as a member of CFSI. |
On the basis of its RCOI, the Company has reason to believe that at least some of the 3TG contained in the in-scope products originated in the Democratic Republic of Congo (DRC) or an adjoining country (together, the “covered countries”), and not from recycled or scrap sources. Accordingly, the Company conducted due diligence on the source and chain of custody of these conflict minerals.
Due Diligence
The Company’s due diligence measures, described below, were designed to conform, in all material respects, with the internationally recognized due diligence framework set forth in the Organization for Economic Co-operation and Development (“OECD”) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-
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Affected and High-Risk Areas, including the Supplements on 3T and gold. These measures took into account the OECD’s recommendations for companies in the downstream segments of the supply chain, which typically are several tiers removed from, and have no direct relationships with, SORs.
1. | Company Management Systems |
The Company has implemented a conflict minerals compliance program (the “Program”) with the following attributes:
Policy Statement
• | In 2013, the Company adopted its Statement on Conflict Minerals, which can be found on the Johnson & Johnson website at: http://www.jnj.com/sites/default/files/pdf/Johnson-Johnson-Conflict-Minerals-Statement-April-2013.pdf, and which sets forth the expectation that the Company’s suppliers source materials from suppliers that also source responsibly, including from conflict-free mines in the covered countries. |
Internal Team
• | In 2013, the Company established a centralized, cross-functional conflict minerals governance team (the “Core Team”) to oversee the implementation of the Program. The Core Team includes representation from the following functions: Procurement; Legal; Finance; Internal Audit; Environmental, Health, Safety & Sustainability; and Corporate Citizenship. The Core Team periodically reports to senior management on Program developments and progress. |
• | Members of the Core Team participate in industry groups, forums, and conferences focused on compliance with the Rule and responsible sourcing of conflict minerals. |
Control Systems and Supply Chain Transparency
• | The Company has engaged the Vendor to facilitate supplier engagement and assist the Company in collecting, analyzing, verifying, and storing supplier-provided data and performing due diligence for the Program. |
• | To further strengthen the Program and supply chain due diligence, in 2014, the Company became a member of CFSI, a cross-industry organization that provides resources, tools and information to help companies source conflict-free minerals, including a list of confirmed SORs and CFSI’s Conflict-Free Smelter Program (the “CFSP”), which validates SORs as conflict-free based on independent third-party audits. |
• | Based on learnings from the 2014 conflict minerals campaign, members of the Core Team monitored and provided input to the Vendor’s activities and analyses related to the 2015 CMRT survey process. In addition, a team from the Company’s Internal Audit function conducted an audit of the Vendor’s processes and activities to confirm contract compliance and data provided by the Vendor, as well as to identify improvements to strengthen the due diligence process going forward. |
• | The Core Team and the Vendor maintain electronic records of product and supply chain information collected through their due diligence activities carried out under the Program. Documentation related to the annual supplier surveys is retained for at least five years. |
Supplier Engagement
• | In support of its Statement on Conflict Minerals, the Company has incorporated conflict mineral provisions into the standard terms of its Supply Chain master supply agreement template. Because most supply contracts have multi-year terms, it will take a number of years to integrate these provisions into supplier contracts as new supplier relationships are formed and existing suppliers renew their contracts. |
• | To promote more timely and accurate responses from suppliers, members of the Core Team created an internal training program that requires all internal SRMs who have direct relationships with the Company’s immediate, |
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potential 3TG suppliers to participate in a training module to educate them on conflict minerals, the conflict minerals reporting requirements, and the Program.
• | To ensure suppliers understand its expectations, the Company has, through the Vendor, provided video and written training on conflict minerals and the CMRT. This training includes instructions on completing the form, and one-on-one email and phone discussions with supplier personnel, as needed. |
Grievance Mechanism
• | The Company has a dedicated conflict minerals electronic mailbox used for communications with suppliers. In addition, the Company has a hotline (www.CredoHotline.com) that provides a mechanism for anyone to anonymously report conduct they know or believe is in violation of Company guidelines or policies, including any concerns related to the conflict minerals supply chain. |
2. Risk Identification and Assessment
Although the Company requested information at a product level, a substantial majority of all supplier survey responses consisted of information at a company level—i.e., the supplier provided information about SORs in its supply chain generally, not just for the products or components supplied to the Company. Information in those surveys, therefore, may not be relevant to any of the Company’s products and may identify SORs that are not actually in the Company’s supply chain. The number of product-level supplier survey responses increased over the previous year. Although the information provided in these product-level responses may be incomplete and has not been confirmed, the Company believes that there is a greater likelihood that the SORs listed in these responses are in the Company’s supply chain.
The Vendor attempted to match each verified SOR from the supplier survey responses to lists of conflict-free SORs (i.e., SORs validated or certified as conflict-free under internationally-recognized programs such as the CFSP, the London Bullion Market Association Good Delivery program (“LBMA”) and the Responsible Jewellery Council Chain-of-Custody Certification program (“RJC”)). SORs classified as actively pursuing conflict-free status under the CFSP also were identified. For the 2015 reporting year, 23 SORs listed in suppliers’ survey responses were confirmed to source from covered countries, and all 23 of these SORS were validated as conflict-free.
To further assess the potential risk that 3TG in its supply chain could be associated with armed conflict, the Company focused on the verified SORs that are not conflict-free (and not actively seeking conflict-free status) and: (a) are confirmed to source from countries with a high risk of supporting armed conflict, including the covered countries, or (b) whose country of origin sourcing is unknown. Such SORs are considered to be higher risk.
3. Risk Response Strategy
Through its membership in CFSI, the Company helps to encourage and support independent third-party audits of SORs’ supply chain due diligence practices. For any SOR that has not been validated through such an audit and which the Company determines to be of particular high risk—for example, because of reliable evidence of sourcing from covered countries—the Company (a) seeks to confirm from its relevant immediate suppliers whether 3TG processed by the SOR is in fact in its supply chain, and (b) places additional emphasis on advocating for the SOR to participate in a conflict-free assessment program such as the CFSP.
If the SOR’s sourcing due diligence does not improve, the Company will work to develop corrective action, which may include encouraging its immediate suppliers to transition sourcing away from the high-risk SOR.
4. Audit of Due Diligence Practices of SORs
The Company supports internationally-recognized assessment programs, such as the CFSP, that facilitate and confirm independent third-party audits of SORs’ supply chain due diligence practices.
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5. Annual Reporting on Supply Chain Due Diligence
The Company reports annually on its supply chain due diligence by filing a Form SD and a Conflict Minerals Report with the SEC.
Determinations
Based on the above-described due diligence efforts, the Company does not have conclusive information regarding the country of origin of, or facilities used to process, the necessary conflict minerals in its products for the 2015 reporting period.
Set forth in Annex A is a list of (a) SORs reported in product-level supplier survey responses which, although not confirmed, are believed to have a greater likelihood of being in the Company’s supply chain, and (b) SORs reported in company-level supplier survey responses for which there is reliable data regarding country of origin sourcing or conflict-free (or actively seeking conflict-free) status, based on CFSI data as of April 7, 2016. The Company is unable to determine whether any of the facilities listed in Annex A in fact processed conflict minerals in its products.
Based on CFSI’s country of origin data as of April 7, 2016, which is organized by risk-based categories, Annex B provides an aggregated list of the countries of origin, to the extent known, from which the SORs listed in Annex A are believed to have sourced conflict minerals, in addition to recycled and scrap sources.
The Company’s efforts to determine the mine or location of origin of the necessary conflict minerals in its products with the greatest possible specificity consisted of the implementation of the Program and due diligence measures described above in this Conflict Minerals Report.
Risk Mitigation Steps
With the conflict minerals regulatory regime in its early stages, it will take time for the various supply chain and industry participants to institute programs and agreed processes to gather verifiable information on conflict minerals sourcing and chain of custody. Accordingly, the Company’s due diligence is an iterative process and progress is expected to be incremental over time. To work toward this progress, the Company plans to:
• | Seek to Improve Supplier Engagement. With the goal of increasing the response rate and quality of survey responses, including increasing the number of product-level survey responses, the Company will continue to reach out to suppliers, support education and training for suppliers, and seek to integrate expectations regarding the Program into new supplier contracts and those coming up for renewal. |
• | Continue to Enhance and Refine Due Diligence Processes. Based on learnings from the 2015 supplier survey process, including from the Company’s Internal Audit review of the Vendor’s processes, the Core Team will continue to work internally and with the Vendor to enhance its supplier survey and due diligence processes. |
• | Support Efforts to Encourage SOR Participation in Conflict-Free Validation Programs. The Company will continue to participate as a member of CFSI to support programs, such as the CFSP, that facilitate and validate independent third-party audits of SORs’ supply chain due diligence practices. |
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ANNEX A
The following is a list of (a) SORs reported in product-level supplier surveys, and (b) SORs reported in company-level supplier surveys for which country of origin sourcing is known or which have conflict-free (or actively seeking conflict-free) status, based on CFSI data as of April 7, 2016. SORs that have been validated by CFSI to have conflict-free sourcing, or are in the process of being validated, are indicated by asterisk.
Mineral | Smelter or Refiner (“SOR”) Name | SOR Country of Location |
Gold | Advanced Chemical Company* | UNITED STATES |
Gold | Aida Chemical Industries Co., Ltd.* | JAPAN |
Gold | Allgemeine Gold-und Silberscheideanstalt A.G.* | GERMANY |
Gold | Almalyk Mining and Metallurgical Complex (AMMC)* | UZBEKISTAN |
Gold | AngloGold Ashanti Córrego do Sítio Mineração* | BRAZIL |
Gold | Argor-Heraeus SA* | SWITZERLAND |
Gold | Asahi Pretec Corporation* | JAPAN |
Gold | Asahi Refining Canada Limited* | CANADA |
Gold | Asahi Refining USA Inc.* | UNITED STATES |
Gold | Asaka Riken Co., Ltd.* | JAPAN |
Gold | Atasay Kuyumculuk Sanayi Ve Ticaret A.S.* | TURKEY |
Gold | Aurubis AG* | GERMANY |
Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines)* | PHILIPPINES |
Gold | Bauer Walser AG | GERMANY |
Gold | Boliden AB* | SWEDEN |
Gold | C. Hafner GmbH + Co. KG* | GERMANY |
Gold | Caridad | MEXICO |
Gold | CCR Refinery - Glencore Canada Corporation* | CANADA |
Gold | Cendres + Métaux SA* | SWITZERLAND |
Gold | Chimet S.p.A.* | ITALY |
Gold | Chugai Mining | JAPAN |
Gold | Daejin Indus Co., Ltd.* | KOREA, REPUBLIC OF |
Gold | Daye Non-Ferrous Metals Mining Ltd. | CHINA |
Gold | Do Sung Corporation* | KOREA, REPUBLIC OF |
Gold | DODUCO GmbH* | GERMANY |
Gold | Dowa* | JAPAN |
Gold | Eco-System Recycling Co., Ltd.* | JAPAN |
Gold | Elemetal Refining, LLC* | UNITED STATES |
Gold | Emirates Gold DMCC* | UNITED ARAB EMIRATES |
Gold | Faggi Enrico S.p.A*. | ITALY |
Gold | Gansu Seemine Material Hi-Tech Co., Ltd. | CHINA |
Gold | Geib Refining Corporation* | UNITED STATES |
Gold | Great Wall Precious Metals Co., Ltd. of CBPM | CHINA |
Gold | Guangdong Jinding Gold Limited | CHINA |
Gold | Guoda Safina High-Tech Environmental Refinery Co., Ltd. | CHINA |
Gold | Heimerle + Meule GmbH* | GERMANY |
Gold | Heraeus Ltd. Hong Kong* | CHINA |
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Gold | Heraeus Precious Metals GmbH & Co. KG* | GERMANY |
Gold | Hunan Chenzhou Mining Co., Ltd.* | CHINA |
Gold | Hwasung CJ Co., Ltd. | KOREA, REPUBLIC OF |
Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited | CHINA |
Gold | Ishifuku Metal Industry Co., Ltd.* | JAPAN |
Gold | Istanbul Gold Refinery* | TURKEY |
Gold | Japan Mint* | JAPAN |
Gold | Jiangxi Copper Company Limited* | CHINA |
Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant* | RUSSIAN FEDERATION |
Gold | JSC Uralelectromed* | RUSSIAN FEDERATION |
Gold | JX Nippon Mining & Metals Co., Ltd.* | JAPAN |
Gold | Kazzinc* | KAZAKHSTAN |
Gold | Kennecott Utah Copper LLC* | UNITED STATES |
Gold | KGHM Polska MiedŸ Spó³ka Akcyjna* | POLAND |
Gold | Kojima Chemicals Co., Ltd.* | JAPAN |
Gold | Korea Metal Co., Ltd. | KOREA, REPUBLIC OF |
Gold | Korea Zinc Co. Ltd.* | KOREA, REPUBLIC OF |
Gold | Kyrgyzaltyn JSC | KYRGYZSTAN |
Gold | L’ azurde Company For Jewelry | SAUDI ARABIA |
Gold | Lingbao Gold Company Limited | CHINA |
Gold | Lingbao Jinyuan Tonghui Refinery Co., Ltd. | CHINA |
Gold | LS-NIKKO Copper Inc.* | KOREA, REPUBLIC OF |
Gold | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | CHINA |
Gold | Materion* | UNITED STATES |
Gold | Matsuda Sangyo Co., Ltd.* | JAPAN |
Gold | Metalor Technologies (Hong Kong) Ltd.* | CHINA |
Gold | Metalor Technologies (Singapore) Pte., Ltd.* | SINGAPORE |
Gold | Metalor Technologies (Suzhou) Ltd.* | CHINA |
Gold | Metalor Technologies SA* | SWITZERLAND |
Gold | Metalor USA Refining Corporation* | UNITED STATES |
Gold | METALÚRGICA MET-MEX PEÑOLES, S.A. DE C.V* | MEXICO |
Gold | Mitsubishi Materials Corporation* | JAPAN |
Gold | Mitsui Mining and Smelting Co., Ltd.* | JAPAN |
Gold | MMTC-PAMP India Pvt., Ltd.* | INDIA |
Gold | Moscow Special Alloys Processing Plant* | RUSSIAN FEDERATION |
Gold | Nadir Metal Rafineri San. Ve Tic. A.Ş.* | TURKEY |
Gold | Navoi Mining and Metallurgical Combinat* | UZBEKISTAN |
Gold | Nihon Material Co., Ltd.* | JAPAN |
Gold | Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH* | AUSTRIA |
Gold | Ohura Precious Metal Industry Co., Ltd.* | JAPAN |
Gold | OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)* | RUSSIAN FEDERATION |
Gold | OJSC Kolyma Refinery | RUSSIAN FEDERATION |
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Gold | OJSC Novosibirsk Refinery* | RUSSIAN FEDERATION |
Gold | PAMP SA* | SWITZERLAND |
Gold | Penglai Penggang Gold Industry Co., Ltd. | CHINA |
Gold | Prioksky Plant of Non-Ferrous Metals* | RUSSIAN FEDERATION |
Gold | PT Aneka Tambang (Persero) Tbk* | INDONESIA |
Gold | PX Précinox SA* | SWITZERLAND |
Gold | Rand Refinery (Pty) Ltd.* | SOUTH AFRICA |
Gold | Republic Metals Corporation* | UNITED STATES |
Gold | Royal Canadian Mint* | CANADA |
Gold | Sabin Metal Corp. | UNITED STATES |
Gold | Samduck Precious Metals* | KOREA, REPUBLIC OF |
Gold | SAMWON Metals Corp. | KOREA, REPUBLIC OF |
Gold | SAXONIA Edelmetalle GmbH* | GERMANY |
Gold | Schone Edelmetaal B.V.* | NETHERLANDS |
Gold | SEMPSA Joyería Platería SA* | SPAIN |
Gold | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | CHINA |
Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd.* | CHINA |
Gold | Sichuan Tianze Precious Metals Co., Ltd.* | CHINA |
Gold | Singway Technology Co., Ltd.* | TAIWAN |
Gold | So Accurate Group, Inc. | UNITED STATES |
Gold | SOE Shyolkovsky Factory of Secondary Precious Metals* | RUSSIAN FEDERATION |
Gold | Solar Applied Materials Technology Corp.* | TAIWAN |
Gold | Sumitomo Metal Mining Co., Ltd.* | JAPAN |
Gold | T.C.A S.p.A* | ITALY |
Gold | Tanaka Kikinzoku Kogyo K.K.* | JAPAN |
Gold | The Refinery of Shandong Gold Mining Co., Ltd.* | CHINA |
Gold | Tokuriki Honten Co., Ltd.* | JAPAN |
Gold | Tongling Nonferrous Metals Group Co., Ltd. | CHINA |
Gold | Torecom* | KOREA, REPUBLIC OF |
Gold | Umicore Brasil Ltda.* | BRAZIL |
Gold | Umicore Precious Metals Thailand* | THAILAND |
Gold | Umicore SA Business Unit Precious Metals Refining* | BELGIUM |
Gold | United Precious Metal Refining, Inc.* | UNITED STATES |
Gold | Valcambi SA* | SWITZERLAND |
Gold | Western Australian Mint trading as The Perth Mint* | AUSTRALIA |
Gold | WIELAND Edelmetalle GmbH* | GERMANY |
Gold | Yamamoto Precious Metal Co., Ltd.* | JAPAN |
Gold | Yokohama Metal Co., Ltd.* | JAPAN |
Gold | Yunnan Copper Industry Co., Ltd. | CHINA |
Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation* | CHINA |
Gold | Zijin Mining Group Co., Ltd. Gold Refinery* | CHINA |
Tantalum | Changsha South Tantalum Niobium Co., Ltd.* | CHINA |
Tantalum | Conghua Tantalum and Niobium Smeltry* | CHINA |
Tantalum | D Block Metals, LLC* | UNITED STATES |
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Tantalum | Duoluoshan* | CHINA |
Tantalum | E.S.R. Electronics* | UNITED STATES |
Tantalum | Exotech Inc.* | UNITED STATES |
Tantalum | F&X Electro-Materials Ltd.* | CHINA |
Tantalum | FIR Metals & Resource Ltd.* | CHINA |
Tantalum | Global Advanced Metals Aizu* | JAPAN |
Tantalum | Global Advanced Metals Boyertown* | UNITED STATES |
Tantalum | Guangdong Zhiyuan New Material Co., Ltd.* | CHINA |
Tantalum | H.C. Starck Co., Ltd.* | THAILAND |
Tantalum | H.C. Starck GmbH Goslar* | GERMANY |
Tantalum | H.C. Starck GmbH Laufenburg* | GERMANY |
Tantalum | H.C. Starck Hermsdorf GmbH* | GERMANY |
Tantalum | H.C. Starck Inc.* | UNITED STATES |
Tantalum | H.C. Starck Ltd.* | JAPAN |
Tantalum | H.C. Starck Smelting GmbH & Co.KG* | GERMANY |
Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd.* | CHINA |
Tantalum | Hi-Temp Specialty Metals, Inc.* | UNITED STATES |
Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd.* | CHINA |
Tantalum | Jiangxi Tuohong New Raw Material* | CHINA |
Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd.* | CHINA |
Tantalum | Jiujiang Tanbre Co., Ltd.* | CHINA |
Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd.* | CHINA |
Tantalum | KEMET Blue Metals* | MEXICO |
Tantalum | KEMET Blue Powder* | UNITED STATES |
Tantalum | King-Tan Tantalum Industry Ltd.* | CHINA |
Tantalum | LSM Brasil S.A.* | BRAZIL |
Tantalum | Metallurgical Products India Pvt., Ltd.* | INDIA |
Tantalum | Mineração Taboca S.A.* | BRAZIL |
Tantalum | Mitsui Mining & Smelting* | JAPAN |
Tantalum | Molycorp Silmet A.S.* | ESTONIA |
Tantalum | Ningxia Orient Tantalum Industry Co., Ltd.* | CHINA |
Tantalum | Plansee SE Liezen* | AUSTRIA |
Tantalum | Plansee SE Reutte* | AUSTRIA |
Tantalum | QuantumClean* | UNITED STATES |
Tantalum | Resind Indústria e Comércio Ltda.* | BRAZIL |
Tantalum | RFH Tantalum Smeltry Co., Ltd.* | CHINA |
Tantalum | Solikamsk Magnesium Works OAO* | RUSSIAN FEDERATION |
Tantalum | Taki Chemicals* | JAPAN |
Tantalum | Telex Metals* | UNITED STATES |
Tantalum | Tranzact, Inc.* | UNITED STATES |
Tantalum | Ulba Metallurgical Plant JSC* | KAZAKHSTAN |
Tantalum | XinXing HaoRong Electronic Material Co., Ltd.* | CHINA |
Tantalum | Yichun Jin Yang Rare Metal Co., Ltd.* | CHINA |
Tantalum | Zhuzhou Cemented Carbide* | CHINA |
Tin | Alpha* | UNITED STATES |
Tin | An Thai Minerals Company Limited* | VIETNAM |
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Tin | An Vinh Joint Stock Mineral Processing Company* | VIETNAM |
Tin | Chenzhou Yun Xiang mining limited liability company* | CHINA |
Tin | China Tin Group Co., Ltd.* | CHINA |
Tin | CNMC (Guangxi) PGMA Co., Ltd. | CHINA |
Tin | Cooperativa Metalurgica de Rondônia Ltda.* | BRAZIL |
Tin | CV Ayi Jaya* | INDONESIA |
Tin | CV Dua Sekawan* | INDONESIA |
Tin | CV Gita Pesona* | INDONESIA |
Tin | CV Serumpun Sebalai* | INDONESIA |
Tin | CV Tiga Sekawan* | INDONESIA |
Tin | CV United Smelting* | INDONESIA |
Tin | CV Venus Inti Perkasa* | INDONESIA |
Tin | Dowa* | JAPAN |
Tin | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company* | VIETNAM |
Tin | Elmet S.L.U. (Metallo Group)* | SPAIN |
Tin | EM Vinto* | BOLIVIA |
Tin | Estanho de Rondônia S.A. | BRAZIL |
Tin | Feinhütte Halsbrücke GmbH* | GERMANY |
Tin | Fenix Metals* | POLAND |
Tin | Gejiu Fengming Metalurgy Chemical Plant* | CHINA |
Tin | Gejiu Kai Meng Industry and Trade LLC* | CHINA |
Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd.* | CHINA |
Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | CHINA |
Tin | Gejiu Zili Mining And Metallurgy Co., Ltd. | CHINA |
Tin | Guanyang Guida Nonferrous Metal Smelting Plant* | CHINA |
Tin | HuiChang Hill Tin Industry Co., Ltd.* | CHINA |
Tin | Huichang Jinshunda Tin Co., Ltd. | CHINA |
Tin | Jiangxi Ketai Advanced Material Co., Ltd.* | CHINA |
Tin | Linwu Xianggui Ore Smelting Co., Ltd. | CHINA |
Tin | Magnu’s Minerais Metais e Ligas Ltda.* | BRAZIL |
Tin | Malaysia Smelting Corporation (MSC)* | MALAYSIA |
Tin | Melt Metais e Ligas S/A* | BRAZIL |
Tin | Metallic Resources, Inc.* | UNITED STATES |
Tin | Metallo-Chimique N.V.* | BELGIUM |
Tin | Mineração Taboca S.A.* | BRAZIL |
Tin | Minsur* | PERU |
Tin | Mitsubishi Materials Corporation* | JAPAN |
Tin | Nankang Nanshan Tin Manufactory Co., Ltd. | CHINA |
Tin | Nghe Tinh Non-Ferrous Metals Joint Stock Company* | VIETNAM |
Tin | O.M. Manufacturing (Thailand) Co., Ltd.* | THAILAND |
Tin | O.M. Manufacturing Philippines, Inc.* | PHILIPPINES |
Tin | Operaciones Metalurgical S.A.* | BOLIVIA |
Tin | Phoenix Metal Ltd.* | RWANDA |
Tin | PT Alam Lestari Kencana | INDONESIA |
Tin | PT Aries Kencana Sejahtera* | INDONESIA |
Tin | PT Artha Cipta Langgeng* | INDONESIA |
10
Tin | PT ATD Makmur Mandiri Jaya* | INDONESIA |
Tin | PT Babel Inti Perkasa* | INDONESIA |
Tin | PT Bangka Kudai Tin | INDONESIA |
Tin | PT Bangka Prima Tin* | INDONESIA |
Tin | PT Bangka Timah Utama Sejahtera | INDONESIA |
Tin | PT Bangka Tin Industry* | INDONESIA |
Tin | PT Belitung Industri Sejahtera* | INDONESIA |
Tin | PT BilliTin Makmur Lestari* | INDONESIA |
Tin | PT Bukit Timah* | INDONESIA |
Tin | PT Cipta Persada Mulia* | INDONESIA |
Tin | PT DS Jaya Abadi* | INDONESIA |
Tin | PT Eunindo Usaha Mandiri* | INDONESIA |
Tin | PT Fang Di MulTindo | INDONESIA |
Tin | PT Inti Stania Prima* | INDONESIA |
Tin | PT Justindo* | INDONESIA |
Tin | PT Karimun Mining* | INDONESIA |
Tin | PT Kijang Jaya Mandiri* | INDONESIA |
Tin | PT Mitra Stania Prima* | INDONESIA |
Tin | PT Panca Mega Persada* | INDONESIA |
Tin | PT Pelat Timah Nusantara Tbk | INDONESIA |
Tin | PT Prima Timah Utama* | INDONESIA |
Tin | PT Refined Bangka Tin* | INDONESIA |
Tin | PT Sariwiguna Binasentosa* | INDONESIA |
Tin | PT Seirama Tin Investment | INDONESIA |
Tin | PT Stanindo Inti Perkasa* | INDONESIA |
Tin | PT Sukses Inti Makmur* | INDONESIA |
Tin | PT Sumber Jaya Indah* | INDONESIA |
Tin | PT Timah (Persero) Tbk Kundur* | INDONESIA |
Tin | PT Timah (Persero) Tbk Mentok* | INDONESIA |
Tin | PT Tinindo Inter Nusa* | INDONESIA |
Tin | PT Tommy Utama* | INDONESIA |
Tin | PT Wahana Perkit Jaya* | INDONESIA |
Tin | Resind Indústria e Comércio Ltda.* | BRAZIL |
Tin | Rui Da Hung* | TAIWAN |
Tin | Soft Metais Ltda.* | BRAZIL |
Tin | Thaisarco* | THAILAND |
Tin | Tuyen Quang Non-Ferrous Metals Joint Stock Company* | VIETNAM |
Tin | VQB Mineral and Trading Group JSC* | VIETNAM |
Tin | White Solder Metalurgia e Mineração Ltda.* | BRAZIL |
Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd.* | CHINA |
Tin | Yunnan Tin Group (Holding) Company Limited* | CHINA |
Tungsten | A.L.M.T. TUNGSTEN Corp.* | JAPAN |
Tungsten | ACL Metais Eireli* | BRAZIL |
Tungsten | Asia Tungsten Products Vietnam Ltd.* | VIETNAM |
Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd.* | CHINA |
Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd.* | CHINA |
11
Tungsten | Dayu Jincheng Tungsten Industry Co., Ltd.* | CHINA |
Tungsten | Dayu Weiliang Tungsten Co., Ltd.* | CHINA |
Tungsten | Fujian Jinxin Tungsten Co., Ltd.* | CHINA |
Tungsten | Ganxian Shirui New Material Co., Ltd. | CHINA |
Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd.* | CHINA |
Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd.* | CHINA |
Tungsten | Ganzhou Non-ferrous Metals Smelting Co., Ltd.* | CHINA |
Tungsten | Ganzhou Seadragon W & Mo Co., Ltd.* | CHINA |
Tungsten | Ganzhou Yatai Tungsten Co., Ltd.* | CHINA |
Tungsten | Global Tungsten & Powders Corp.* | UNITED STATES |
Tungsten | Guangdong Xianglu Tungsten Co., Ltd.* | CHINA |
Tungsten | H.C. Starck GmbH* | GERMANY |
Tungsten | H.C. Starck Smelting GmbH & Co.KG* | GERMANY |
Tungsten | Hunan Chenzhou Mining Co., Ltd.* | CHINA |
Tungsten | Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji* | CHINA |
Tungsten | Hunan Chuangda Vanadium Tungsten Co., Ltd. Yanglin* | CHINA |
Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd.* | CHINA |
Tungsten | Hydrometallurg, JSC* | RUSSIAN FEDERATION |
Tungsten | Japan New Metals Co., Ltd.* | JAPAN |
Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd.* | CHINA |
Tungsten | Jiangxi Dayu Longxintai Tungsten Co., Ltd.* | CHINA |
Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd.* | CHINA |
Tungsten | Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd. | CHINA |
Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.* | CHINA |
Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd.* | CHINA |
Tungsten | Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.* | CHINA |
Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd.* | CHINA |
Tungsten | Kennametal Fallon* | UNITED STATES |
Tungsten | Kennametal Huntsville* | UNITED STATES |
Tungsten | Malipo Haiyu Tungsten Co., Ltd.* | CHINA |
Tungsten | Moliren Ltd* | RUSSIAN FEDERATION |
Tungsten | Niagara Refining LLC* | UNITED STATES |
Tungsten | Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC* | VIETNAM |
Tungsten | Philippine Chuangin Industrial Co., Inc.* | PHILIPPINES |
Tungsten | Pobedit, JSC* | RUSSIAN FEDERATION |
Tungsten | Sanher Tungsten Vietnam Co., Ltd.* | VIETNAM |
Tungsten | Tejing (Vietnam) Tungsten Co., Ltd.* | VIETNAM |
Tungsten | Vietnam Youngsun Tungsten Industry Co., Ltd.* | VIETNAM |
Tungsten | Wolfram Bergbau und Hütten AG* | AUSTRIA |
Tungsten | Woltech Korea Co., Ltd.* | KOREA, REPUBLIC OF |
Tungsten | Xiamen Tungsten (H.C.) Co., Ltd.* | CHINA |
Tungsten | Xiamen Tungsten Co., Ltd.* | CHINA |
Tungsten | Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. | CHINA |
Tungsten | Xinhai Rendan Shaoguan Tungsten Co., Ltd.* | CHINA |
12
ANNEX B
Countries of Origin
Below is an aggregated list of countries of origin, to the extent known, from which the SORs listed in Annex A
are believed to have sourced conflict minerals, based on data available from CFSI as of April 7, 2016.
Argentina | Mongolia |
Australia | Mozambique |
Austria | Namibia |
Belgium | Niger |
Bolivia | Nigeria |
Brazil | Papua New Guinea |
Burundi | Peru |
Canada | Philippines |
Chile | Portugal |
China | Russia |
Democratic Republic of Congo | Rwanda |
Ethiopia | South Africa |
Germany | South Korea |
Ghana | Spain |
Guinea | Sweden |
Hong Kong | Switzerland |
India | Taiwan |
Indonesia | Tajikistan |
Japan | Tanzania |
Kazakhstan | Thailand |
Kyrgyzstan | United Arab Emirates |
Laos | United Kingdom |
Malaysia | United States |
Mali | Uzbekistan |
Mexico | Zambia |
13
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