Form SD ERICSSON LM TELEPHONE

May 24, 2022 2:39 PM EDT

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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

Form SD

 

 

SPECIALIZED DISCLOSURE REPORT

 

 

TELEFONAKTIEBOLAGET LM ERICSSON

(Exact Name of Registrant as Specified in Its Charter)

LM ERICSSON TELEPHONE COMPANY

(Translation of Registrant’s Name Into English)

 

 

 

KINGDOM OF SWEDEN   000–12033
  98-0107940

(State or Other Jurisdiction

of Incorporation or Organization)

  (Commission
File No.)
  (I.R.S. Employer
Identification Number)

TORSHAMNSGATAN 21, KISTA

SE-164 83 STOCKHOLM, SWEDEN

   164 83
(Address of Principal Executive Offices)    (Zip Code)
PETER NYQUIST, VICE PRESIDENT INVESTOR RELATIONS    +46 10 719 00 00
(Name and telephone number, including area code, of the person to contact in connection with this report.)

 

 

Check the appropriate box to indicate the rule pursuant to which this form is being filed, and provide the period to which the information in this form applies:

 

Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2021

 

 

 


Section 1 - Conflict Minerals Disclosure

Item 1.01 and 1.02 - Conflict Minerals Disclosure and Report, Exhibit

A copy of Telefonaktiebolaget LM Ericsson’s Conflict Minerals Report for the reporting period January 1, 2021 to December 31, 2021 is provided as Exhibit 1.01 hereto and is publicly available at http://www.ericsson.com/thecompany/investors/financial-reports.

Section 2 - Exhibits

Item 2.01 - Exhibits

Exhibit 1.01 - Conflict Minerals Report as required by Items 1.01 and 1.02 of this Form.


SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the duly authorized undersigned.

 

  TELEFONAKTIEBOLAGET LM ERICSSON (publ)      
 

/s/ STELLA MEDLICOTT

      May 24, 2022
 

By: Stella Medlicott

Title: Senior Vice President,

Chief Marketing and Communications Officer

     
 

/s/ FREDRIK JEJDLING

      May 24, 2022
  By: Fredrik Jejdling      
  Title: Executive Vice President,      
  Head of Business Area Networks      


EXHIBIT INDEX

 

Exhibit
Number

  

Description

1.01    Conflict Minerals Report for the reporting period January 1, 2021 to December 31, 2021

Exhibit 1.01

Conflict Minerals Report

Telefonaktiebolaget LM Ericsson

Conflict Minerals Report for the year ended December 31, 2021

This Conflict Minerals Report of Telefonaktiebolaget LM Ericsson for the year ended December 31, 2021 is provided pursuant to Rule 13p-1 under the Securities Exchange Act of 1934, as amended (the “Rule”). The Rule was adopted by the U.S. Securities and Exchange Commission (the “SEC”) to implement disclosure and reporting requirements pursuant to Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. As permitted by the Rule and the SEC, this report has not been subject to an independent private sector audit.

 

1.

Introduction

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

 

2.

Supply Chain Description and Reasonable Country of Origin Inquiry

 

2.1

General information on Ericsson’s supply chain

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

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

 

2.2

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

In 2020, Ericsson’s Conflict Mineral program was extended to also cover cobalt. Ericsson gathers materials information from our suppliers. Through this, we know that many of the components used in our products contain small amounts of tin, tungsten, tantalum, gold (3TG) and cobalt that are necessary to the functionality of those products.

As part of Ericsson’s commitment to responsible sourcing and human rights it is our goal that the 3TG and cobalt in our products should not, directly or indirectly, finance or benefit armed groups in the Democratic Republic of Congo (the “DRC”) or adjoining countries. At the same time, we aim to continue supporting responsible mineral sourcing in the region. Ericsson’s efforts with

 

1


respect to 3TG and cobalt are aligned with the Responsible Minerals Initiative (RMI) and our aim is to improve traceability in our supply chain. Ericsson does not prohibit sourcing of materials from the DRC or adjoining countries or avoid using 3TG or cobalt since Ericsson believes that such a ban could result in negative consequences for responsible mining companies, their workers and the most vulnerable groups in a society. The Company has a Conflict Minerals Program to fulfill compliance with the Rule, including performing the Reasonable Country of Origin Inquiry and reporting on 3TG and cobalt, which in 2020 and 2021 also covered cobalt.

Ericsson relies on its first-tier suppliers to provide information on the origin of 3TG and cobalt contained in components and parts included in Ericsson’s products. This includes sources of 3TG and cobalt that are supplied to them from sub-suppliers. Ericsson’s first-tier suppliers are required to comply with the requirements in Ericsson’s Code of Conduct for Business Partners which requires due diligence to be exercised with respect to the sourcing and extraction of raw materials, including 3TG and cobalt.

Ericsson´s suppliers’ due diligence shall be consistent with the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas and the related Supplements for gold, tin, tantalum and tungsten (the “OECD Guidance”). Furthermore, suppliers are required to comply with the requirements of the Ericsson Lists of Banned and Restricted Substances and the Ericsson Code of Conduct for Business Partners which include an obligation to have appropriate due diligence processes in place to identify the source and chain of custody of 3TG. Our first-tier suppliers are similarly to Ericsson reliant upon information provided by their suppliers.

The identification of first-tier suppliers of Ericsson that are in scope under the Rule involves different parts of Ericsson’s global organization. The sourcing organization has the important role of leading and coordinating the work. Suppliers identified to be in scope are first-tier suppliers of Ericsson supplying (i) products containing 3TG or cobalt that Ericsson contracts to manufacture, (ii) materials, parts, components and other products, containing 3TG or cobalt, that are incorporated into or included in a product manufactured by Ericsson, or (iii) materials used in the production of Ericsson’s products where 3TG or cobalt becomes part of the final product. Suppliers of products that Ericsson does not contract to manufacture (i.e. products purchased “off-the shelf”) and not included in or incorporated into an Ericsson product have been considered out of scope for purposes of the Rule. In our annual inquiry we survey first-tier suppliers identified to be in scope and analyze and follow up on the responses as we deem appropriate.

Ericsson believes that industry cooperation is one of the best ways to address issues related to 3TG and cobalt in an efficient and transparent way. We typically do not have a direct relationship with 3TG and cobalt smelters and refiners, and we do not perform direct audits of these entities within our supply chain. In accordance with the OECD Guidance, we support the RMI’s audit of smelters’ and refiners’ due diligence activities mainly via the Responsible Minerals Assurance Process (RMAP).

 

3.

Due Diligence

Ericsson has a process in place for the purpose of exercising due diligence in the supply chain. The design of the due diligence processes conforms to the

 

2


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

 

3.1

Maintain strong management systems

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

With respect to 2021, identification of smelters and refiners in our supply chain was made via the use of due diligence tools created by the RMI, including the Conflict Minerals Reporting Template 6.1 and the Cobalt Reporting Template (the “Templates”). The Templates are standardized supply chain surveys designed to gather information regarding the smelters and refiners that process 3TG and cobalt used in our supply chain. The information from our suppliers, in combination with information from the RMI, helps Ericsson to obtain information on the origin of minerals processed. Data obtained was reviewed, analyzed and retained by Ericsson.

In Ericsson’s Code of Conduct for Business Partners, the topic of responsible sourcing of raw materials is included with clear requirements of suppliers to exercise due diligence in accordance with the OECD Guidance.

Employees are encouraged to report conduct that could violate law, the Code of Business Ethics or the Code of Conduct for Business Partners to their manager, and if due to circumstances, this is not an option, there are other channels that an employee may use, including reporting to the superior of a manager or to Group Functions People or Legal Affairs and Compliance. Such conduct may relate to corruption, fraud, auditing, questionable accounting, deficiencies in the internal controls, personal health and safety, environmental issues, human right matters, workplace respect and fairness or other matters that could constitute a breach of law, or that could harm the sustainability, or the reputation of Ericsson, its employees and shareholders. In addition, Ericsson has a whistle-blower tool, Ericsson Compliance Line, operated by a third party, for the reporting of alleged violations of laws, the Code of Business Ethics or the Code of Conduct for Business Partners. Ericsson Compliance Line is available 24/7, 365 days per year for both Ericsson employees, suppliers and other external parties. Ericsson recognizes that Ericsson Compliance Line might not be the most effective way of capturing issues related to sourcing of 3TG or cobalt and intends to further explore

 

3


other mechanisms that may be more effective, like the Minerals Grievance Platform managed by RMI. Ericsson has published a “Statement on sourcing of minerals from Conflict-Affected and High-Risk Areas” on its website (https://www.ericsson.com/49dadc/assets/local/about-ericsson/sustainability
-and-corporate-responsibility/documents/2020/statement-on-sourcing-of-minerals-from-cahra.pdf
) that indicates Ericsson’s position and expected supplier activities in this area.

 

3.2

Identify and assess risk in the supply chain

In the second step of the OECD Guidance, risks are identified and assessed. For downstream companies such as Ericsson, the focus should be on the smelters and refiners. Downstream companies should, with help from their first-tier suppliers, identify smelters and refiners in the supply chain.

In Ericsson’s 2021 Conflict Minerals’ survey, first-tier suppliers identified to be in scope were requested by Ericsson to provide information on 3TG and cobalt in their supply chain through completing and submitting the Conflict Minerals Reporting Template and the Cobalt Reporting Template. Suppliers were provided with the Templates, support material, including the available instructions and training illustrating the use of the tool that is available on RMI’s website. To ensure quality, a high response rate and to minimize risks, the responses were analyzed and followed up as deemed appropriate. Data obtained was saved, reviewed and analyzed by Ericsson. Supplier responses were reviewed against criteria developed to determine which responses required further engagement with our suppliers. In certain circumstances, suppliers were contacted via e-mail or telephone to improve the quality of responses (obtaining missing information, updating templates’ format to the required version) and increase the response rate (reminding supplier to provide information in the templates with extended deadlines).

 

3.3

Design and implement a strategy to respond to identified risks

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

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

 

4


3.4

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

The fourth step of the OECD Guidance focuses on audits of smelters’/refiners’ due diligence practices. Through our Responsible Business Alliance (RBA) membership we are also members of the RMI, supporting the responsible minerals assurance process (“RMAP”) as well as the development and implementation of due diligence practices and tools such as the Templates. Due to the structure of our supply chain, there are generally many tiers of suppliers between Ericsson and the smelters and refiners in the supply chain. Therefore, we have, as mentioned in section 2.2, not performed our own audits of smelters or refiners.

 

3.5

Report annually on supply chain due diligence

The fifth step of the OECD Guidance encourages reporting on supply chain due diligence. We have a public statement on sourcing of minerals from Conflict Affected and High Risk Areas including 3TG and cobalt; which is available on our website: https://www.ericsson.com/49dadc/assets
/local/about-ericsson/sustainability-and-corporate-responsibility/documents/2020/statement-on-sourcing-of-minerals-from-cahra.pdf

In accordance with the Rule, we make our Conflict Minerals Report available on our website:

http://www.ericsson.com/thecompany/investors/financial-reports.

 

5


4. 2021 due diligence result

For the calendar year 2021, our inquiries were made on supplier level and most supplier responses received also provided data at a company or divisional level, with only a few exceptions providing product-level information. Our inquiries include responses where we believe that the names of smelters or refiners may have been misidentified as smelters and refiners or smelters or refiners that we believe are not operational. Such names have not been listed among identified smelters and refiners.

The response rate among suppliers surveyed in 2021 was 49,8 % which is significantly lower as compared to prior years.1 We believe that this response rate is due, in part, to a number of new suppliers brought on board as a result of recent acquisitions completed by Ericsson. Several such new suppliers had not previously responded to questions on Conflict Minerals. Ericsson plans to continue to engage with new suppliers that did not respond with such information to increase response rates. Among the supplier responses, we identified 393 smelters as potential sources of 3TG and cobalt that were reported to be in the supply chain during the 2021 calendar year. The following table presents, by mineral, the number of identified smelters or refiners verified as conflict-free by the RMAP or mutually recognized audit systems. In case a supplier has identified non-conformant smelters in their supply chain Ericsson engages with such suppliers for them to phase-out non-conformant smelters and refiners or to encourage smelters to participate in RMAP.

Table 1. RMAP eligible smelters and refiners identified by Ericsson via inquiries to our suppliers in 2021

 

Metal

   Identified smelters or
refiners validated by
RMAP as conformant
     Identified smelters
or refiners
participating in
RMAP*
     Identified smelters
or refiners not
participating in
RMAP**
     Total number
of identified
smelters
 

Tantalum

     35        0        1        36  

Tungsten

     40        4        2        46  

Tin

     54        9        14        77  

Gold

     98        18        55        171  

Cobalt

     29        18        16        63  

Note: The RMAP audit status of smelters and refiners are subject to change and the above represents information available from RMI on May 16th, 2022.

 

*

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

 

1 

Ericsson closed the acquisition of Cradlepoint, Inc. on October 31, 2020. Cradlepoint was not required to publish a Conflict Minerals Report prior to the transaction. Cradlepoint’s suppliers have been included in Ericsson’s Conflict Minerals program for 2021 but not for the year 2020.

 

6


**

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

We are unable to validate that any of the identified smelters or refiners are actually in our supply chain. However, based on the information provided by Ericsson’s suppliers during the 2021 calendar year, Ericsson believes that the facilities that may have been used to process 3TG or cobalt in Ericsson’s products include the smelters and refiners listed in Annex 1 below. Ericsson does not have enough information to determine with specificity all countries of origin of 3TG or cobalt in our products or whether they are from recycled and scrap sources. Nevertheless, based on data from RMI and RMAP, Ericsson generated a list of Reasonable Country of Origin (RCOI) for 3TG and cobalt based on smelters and refiners identified as shown in Annex 2.

We support the refinement and expansion of the list of participating smelters and have determined that seeking information about 3TG and cobalt smelters and refiners in our supply chain represents the most reasonable effort we can make to determine the mines or locations of origin of 3TG and cobalt in our supply chain.

During 2022, we anticipate continuing to review and evolve our Conflict Minerals due diligence processes with respect to 3TG and cobalt. As part of these efforts, we expect to continue to collaborate with suppliers to maintain a high supplier response rate and improve the reliability and quality of information provided. Our engagement in the RMI program is anticipated to continue.

 

5.

Forward Looking Statements

Certain of the matters discussed in this report, including our due diligence processes with respect to 3TG and cobalt, include forward-looking statements. Readers of this document are cautioned that our forward-looking statements are not guarantees of our future actions, which may differ materially from the expectations expressed in the forward-looking statements. We expressly disclaim a duty to provide updates to these forward-looking statements after the date of this filing to reflect events or changes in circumstances or changes in expectations or the occurrence of anticipated events.

The information included on any websites that appear in this report and other materials referenced to is not incorporated by reference in this report.

 

 

 

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Annex 1

Smelters and refiners identified by Ericsson via inquiries to our suppliers during 20212, note that this list include smelters and refiners not eligible for RMAP.

 

No.

  

Metal(*)

  

Smelter ID

  

Smelter Name

  

Smelter Facility
Location: Country

  

Audit Status

1    Cobalt    CID002918    SungEel HiMetal Co., Ltd.    KOREA, REPUBLIC OF    Conformant
2    Cobalt    CID003209    Gem (Jiangsu) Cobalt Industry Co., Ltd.    CHINA    Conformant
3    Cobalt    CID003210    Lanzhou Jinchuan Advanced Materials Technology Co., Ltd.    CHINA    Conformant
4    Cobalt    CID003211    Zhuhai Kelixin Metal Materials Co., Ltd.    CHINA    Active
5    Cobalt    CID003212    Ganzhou Tengyuan Cobalt New Material Co., Ltd.    CHINA    Conformant
6    Cobalt    CID003213    Guangxi Yinyi Advanced Material Co., Ltd.    CHINA    Active
7    Cobalt    CID003215    Tianjin Maolian Science & Technology Co., Ltd.    CHINA    Conformant
8    Cobalt    CID003219    Hunan Brunp Recycling Technology Co., Ltd.    CHINA    Outreach Required
9    Cobalt    CID003221    Nantong Xinwei Nickel Cobalt Technology Development Co., Ltd.    CHINA    Active
10    Cobalt    CID003225    Zhejiang Huayou Cobalt Company Limited    CHINA    Conformant
11    Cobalt    CID003226    Umicore Finland Oy    FINLAND    Conformant
12    Cobalt    CID003227    Gangzhou Yi Hao Umicore Industry Co.    CHINA    In Communication
13    Cobalt    CID003228    Umicore Olen    BELGIUM    Conformant

 

2 

The audit status of smelters and refiners are subject to change and Annex 1 represents information available from the RMI on May 17, 2022.

 

8


No.

  

Metal(*)

  

Smelter ID

  

Smelter Name

  

Smelter Facility
Location: Country

  

Audit Status

14    Cobalt    CID003232    Dynatec Madagascar Company    MADAGASCAR    Active
15    Cobalt    CID003233    JSC Kolskaya Mining and Metallurgical Company (Kola MMC)    RUSSIAN FEDERATION    Active
16    Cobalt    CID003239    Port Colborne Refinery    CANADA    In Communication
17    Cobalt    CID003242    Fort Saskatchewan Metals Facility    CANADA    RMI Due Diligence Review - Unable to Proceed
18    Cobalt    CID003252    Nanjing Hanrui Cobalt    CHINA    Outreach Required
19    Cobalt    CID003255    Quzhou Huayou Cobalt New Material Co., Ltd.    CHINA    Conformant
20    Cobalt    CID003261    Kamoto Copper Company    CONGO, DEMOCRATIC REPUBLIC OF THE    Conformant
21    Cobalt    CID003264    Chemaf Etoile    CONGO, DEMOCRATIC REPUBLIC OF THE    Conformant
22    Cobalt    CID003266    Societe pour le Traitment du Terril de Lubumbashi (STL)    CONGO, DEMOCRATIC REPUBLIC OF THE    Active
23    Cobalt    CID003275    La Compagnie de Traitement des Rejets de Kingamyambo S.A.    CONGO, DEMOCRATIC REPUBLIC OF THE    Active
24    Cobalt    CID003279    Mine de Bou-Azzer    MOROCCO    Conformant
25    Cobalt    CID003280    Compagnie de Tifnout Tiranimine    MOROCCO    Conformant
26    Cobalt    CID003291    Guangdong Jiana Energy Technology Co., Ltd.    CHINA    Conformant
27    Cobalt    CID003293    Jiangsu Xiongfeng Technology Co., Ltd.    CHINA    Conformant
28    Cobalt    CID003376    XTC New Energy Materials (Xiamen) LTD.    CHINA    Outreach Required
29    Cobalt    CID003377    Jiangxi Jiangwu Cobalt industrial Co., Ltd.    CHINA    Active
30    Cobalt    CID003378    Jingmen GEM Co., Ltd.    CHINA    Conformant
31    Cobalt    CID003384    Ganzhou Highpower Technology Co., Ltd.    CHINA    Conformant

 

9


No.

  

Metal(*)

  

Smelter ID

  

Smelter Name

  

Smelter Facility
Location: Country

  

Audit Status

32    Cobalt    CID003385    METAL MINES SARL    CONGO, DEMOCRATIC REPUBLIC OF THE    Outreach Required
33    Cobalt    CID003390    NORILSK NICKEL HARJAVALTA OY    FINLAND    Conformant
34    Cobalt    CID003398    New Era Group Zhejiang Zhongneng Cycle Technology Co., Ltd.    CHINA    Conformant
35    Cobalt    CID003403    Glencore Nikkelverk Refinery    NORWAY    In Communication
36    Cobalt    CID003404    Hunan Yacheng New Materials Co., Ltd.    CHINA    Conformant
37    Cobalt    CID003406    Murrin Murrin Nickel Cobalt Plant    AUSTRALIA    Conformant
38    Cobalt    CID003411    Hunan CNGR New Energy Science & Technology Co., Ltd.    CHINA    Conformant
39    Cobalt    CID003415    Cosmo Chemical, Ltd.    KOREA, REPUBLIC OF    Conformant
40    Cobalt    CID003422    Ningbo Yanmen Chemical Co., Ltd.    CHINA    Outreach Required
41    Cobalt    CID003423    Chemaf Usoke    CONGO, DEMOCRATIC REPUBLIC OF THE    Conformant
42    Cobalt    CID003426    SOCIETE MINIERE DU KATANGA (SOMIKA SARL)    CONGO, DEMOCRATIC REPUBLIC OF THE    In Communication
43    Cobalt    CID003429    Tenke Fungurume Mining SA    CONGO, DEMOCRATIC REPUBLIC OF THE    In Communication
44    Cobalt    CID003442    Ruashi Mining SAS    CONGO, DEMOCRATIC REPUBLIC OF THE    Outreach Required
45    Cobalt    CID003447    Jiangxi Rui da Xinnengyuan Technology Co., Ltd.    CHINA    Outreach Required
46    Cobalt    CID003464    MKM—La Miniere de Kalumbwe Myunga    CONGO, DEMOCRATIC REPUBLIC OF THE    Outreach Required
47    Cobalt    CID003465    Ningbo Hubang New Material Co., Ltd.    CHINA    Conformant
48    Cobalt    CID003466    Xiangtan Huacheng Nickel Cobalt New Material Co., Ltd.    CHINA    Outreach Required
49    Cobalt    CID003467    Hunan Shiji Yintian New Material Co., Ltd.    CHINA    Active

 

10


No.

  

Metal(*)

  

Smelter ID

  

Smelter Name

  

Smelter Facility
Location: Country

  

Audit Status

50    Cobalt    CID003469    Fairsky Industrial Co., Limited    CHINA    Outreach Required
51    Cobalt    CID003470    Hunan Jinxin New Material Holding Co., Ltd.    CHINA    In Communication
52    Cobalt    CID003473    CoreMax Corporation    TAIWAN, PROVINCE OF CHINA    Conformant
53    Cobalt    CID003481    Chizhou CN New Materials and Technology Co., Ltd.    CHINA    Active
54    Cobalt    CID003491    ICoNiChem    UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND    Outreach Required
55    Cobalt    CID003526    Zhejiang Greatpower Cobalt Materials Co., Ltd.    CHINA    Conformant
56    Cobalt    CID003533    Mechema Taiwan Plant 1    TAIWAN, PROVINCE OF CHINA    Outreach Required
57    Cobalt    CID003534    Mechema Taiwan Plant 2    TAIWAN, PROVINCE OF CHINA    Active
58    Cobalt    CID003535    Mechema Korea, Co., Ltd.    KOREA, REPUBLIC OF    Outreach Required
59    Cobalt    CID003536    Mechema Chemicals shang-yu    CHINA    Outreach Required
60    Cobalt    CID003537    Mechema Chemicals (Thailand) Co., Ltd.    THAILAND    Outreach Required
61    Cobalt    CID003538    PT Mechema Indonesia    INDONESIA    Outreach Required
62    Cobalt    CID003584    Vale – Long Harbour Processing Plant (LHPP)    Canada    In Communication
63    Cobalt    CID003955    Niihama Nickel Refinery, Sumitomo Metal Mining    JAPAN    Conformant
64    Gold    CID000015    Advanced Chemical Company    UNITED STATES OF AMERICA    Conformant
65    Gold    CID000019    Aida Chemical Industries Co., Ltd.    JAPAN    Conformant
66    Gold    CID000036    Allgemeine Gold-und Silberscheideanstalt A.G.    GERMANY    Conformant
67    Gold    CID000041    Almalyk Mining and Metallurgical Complex (AMMC)    UZBEKISTAN    Conformant

 

11


No.

  

Metal(*)

  

Smelter ID

  

Smelter Name

  

Smelter Facility
Location: Country

  

Audit Status

68    Gold    CID000058    AngloGold Ashanti Corrego do Sitio Mineracao    BRAZIL    Conformant
69    Gold    CID000077    Argor-Heraeus S.A.    SWITZERLAND    Conformant
70    Gold    CID000082    Asahi Pretec Corp.    JAPAN    Conformant
71    Gold    CID000090    Asaka Riken Co., Ltd.    JAPAN    Conformant
72    Gold    CID000103    Atasay Kuyumculuk Sanayi Ve Ticaret A.S.    TURKEY    Outreach Required
73    Gold    CID000113    Aurubis AG    GERMANY    Conformant
74    Gold    CID000128    Bangko Sentral ng Pilipinas (Central Bank of the Philippines)    PHILIPPINES    Conformant
75    Gold    CID000157    Boliden AB    SWEDEN    Conformant
76    Gold    CID000176    C. Hafner GmbH + Co. KG    GERMANY    Conformant
77    Gold    CID000180    Caridad    MEXICO    Outreach Required
78    Gold    CID000185    CCR Refinery—Glencore Canada Corporation    CANADA    Conformant
79    Gold    CID000189    Cendres + Metaux S.A.    SWITZERLAND    Conformant
80    Gold    CID000197    Yunnan Copper Industry Co., Ltd.    CHINA    Outreach Required
81    Gold    CID000233    Chimet S.p.A.    ITALY    Conformant
82    Gold    CID000264    Chugai Mining    JAPAN    Conformant
83    Gold    CID000343    Daye Non-Ferrous Metals Mining Ltd.    CHINA    In Communication
84    Gold    CID000359    DSC (Do Sung Corporation)    KOREA, REPUBLIC OF    Conformant
85    Gold    CID000362    DODUCO Contacts and Refining GmbH    GERMANY    Conformant

 

12


No.

  

Metal(*)

  

Smelter ID

  

Smelter Name

  

Smelter Facility
Location: Country

  

Audit Status

86    Gold    CID000401    Dowa    JAPAN    Conformant
87    Gold    CID000425    Eco-System Recycling Co., Ltd. East Plant    JAPAN    Conformant
88    Gold    CID000493    JSC Novosibirsk Refinery    RUSSIAN FEDERATION    Non Conformant
89    Gold    CID000522    Refinery of Seemine Gold Co., Ltd.    CHINA    Outreach Required
90    Gold    CID000651    Guoda Safina High-Tech Environmental Refinery Co., Ltd.    CHINA    Outreach Required
91    Gold    CID000671    Hangzhou Fuchunjiang Smelting Co., Ltd.    CHINA    Outreach Required
92    Gold    CID000689    LT Metal Ltd.    KOREA, REPUBLIC OF    Conformant
93    Gold    CID000694    Heimerle + Meule GmbH    GERMANY    Conformant
94    Gold    CID000707    Heraeus Metals Hong Kong Ltd.    CHINA    Conformant
95    Gold    CID000712    Heraeus Precious Metals GmbH & Co. KG    GERMANY    Conformant
96    Gold    CID000766    Hunan Chenzhou Mining Co., Ltd.    CHINA    Outreach Required
97    Gold    CID000773    Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd.    CHINA    Outreach Required
98    Gold    CID000778    HwaSeong CJ CO., LTD.    KOREA, REPUBLIC OF    Communication Suspended - Not Interested
99    Gold    CID000801    Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.    CHINA    Conformant
100    Gold    CID000807    Ishifuku Metal Industry Co., Ltd.    JAPAN    Conformant
101    Gold    CID000814    Istanbul Gold Refinery    TURKEY    Conformant
102    Gold    CID000823    Japan Mint    JAPAN    Conformant
103    Gold    CID000838    Super Dragon Technology Co., Ltd.    China    Outreach Required

 

13


No.

  

Metal(*)

  

Smelter ID

  

Smelter Name

  

Smelter Facility
Location: Country

  

Audit Status

104    Gold    CID000855    Jiangxi Copper Co., Ltd.    CHINA    Conformant
105    Gold    CID000920    Asahi Refining USA Inc.    UNITED STATES OF AMERICA    Conformant
106    Gold    CID000924    Asahi Refining Canada Ltd.    CANADA    Conformant
107    Gold    CID000927    JSC Ekaterinburg Non-Ferrous Metal Processing Plant    RUSSIAN FEDERATION    RMI Due Diligence Review - Unable to Proceed
108    Gold    CID000929    JSC Uralelectromed    RUSSIAN FEDERATION    Non Conformant
109    Gold    CID000937    JX Nippon Mining & Metals Co., Ltd.    JAPAN    Conformant
110    Gold    CID000956    Kazakhmys Smelting LLC    KAZAKHSTAN    In Communication
111    Gold    CID000957    Kazzinc    KAZAKHSTAN    Conformant
112    Gold    CID000969    Kennecott Utah Copper LLC    UNITED STATES OF AMERICA    Conformant
113    Gold    CID000981    Kojima Chemicals Co., Ltd.    JAPAN    Conformant
114    Gold    CID001029    Kyrgyzaltyn JSC    KYRGYZSTAN    Non Conformant
115    Gold    CID001032    L’azurde Company For Jewelry    SAUDI ARABIA    RMI Due Diligence Review - Unable to Proceed
116    Gold    CID001056    Lingbao Gold Co., Ltd.    CHINA    Outreach Required
117    Gold    CID001058    Lingbao Jinyuan Tonghui Refinery Co., Ltd.    CHINA    Outreach Required
118    Gold    CID001078    LS-NIKKO Copper Inc.    KOREA, REPUBLIC OF    Conformant
119    Gold    CID001093    Luoyang Zijin Yinhui Gold Refinery Co., Ltd.    CHINA    Outreach Required
120    Gold    CID001113    Materion    UNITED STATES OF AMERICA    Conformant
121    Gold    CID001119    Matsuda Sangyo Co., Ltd.    JAPAN    Conformant

 

14


No.

  

Metal(*)

  

Smelter ID

  

Smelter Name

  

Smelter Facility
Location: Country

  

Audit Status

122    Gold    CID001147    Metalor Technologies (Suzhou) Ltd.    CHINA    Conformant
123    Gold    CID001149    Metalor Technologies (Hong Kong) Ltd.    CHINA    Conformant
124    Gold    CID001152    Metalor Technologies (Singapore) Pte., Ltd.    SINGAPORE    Conformant
125    Gold    CID001153    Metalor Technologies S.A.    SWITZERLAND    Conformant
126    Gold    CID001157    Metalor USA Refining Corporation    UNITED STATES OF AMERICA    Conformant
127    Gold    CID001161    Metalurgica Met-Mex Penoles S.A. De C.V.    MEXICO    Conformant
128    Gold    CID001188    Mitsubishi Materials Corporation    JAPAN    Conformant
129    Gold    CID001192    Mitsui Mining and Smelting Co., Ltd.    JAPAN    Conformant
130    Gold    CID001204    Moscow Special Alloys Processing Plant    RUSSIAN FEDERATION    Non Conformant
131    Gold    CID001220    Nadir Metal Rafineri San. Ve Tic. A.S.    TURKEY    Conformant
132    Gold    CID001236    Navoi Mining and Metallurgical Combinat    UZBEKISTAN    Conformant
133    Gold    CID001259    Nihon Material Co., Ltd.    JAPAN    Conformant
134    Gold    CID001325    Ohura Precious Metal Industry Co., Ltd.    JAPAN    Conformant
135    Gold    CID001326    OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)    RUSSIAN FEDERATION    Non Conformant
136    Gold    CID001352    PAMP S.A.    SWITZERLAND    Conformant
137    Gold    CID001362    Penglai Penggang Gold Industry Co., Ltd.    CHINA    Outreach Required
138    Gold    CID001386    Prioksky Plant of Non-Ferrous Metals    RUSSIAN FEDERATION    Non Conformant
139    Gold    CID001397    PT Aneka Tambang (Persero) Tbk    INDONESIA    Conformant

 

15


No.

  

Metal(*)

  

Smelter ID

  

Smelter Name

  

Smelter Facility
Location: Country

  

Audit Status

140    Gold    CID001498    PX Precinox S.A.    SWITZERLAND    Conformant
141    Gold    CID001512    Rand Refinery (Pty) Ltd.    SOUTH AFRICA    Conformant
142    Gold    CID001534    Royal Canadian Mint    CANADA    Conformant
143    Gold    CID001546    Sabin Metal Corp.    UNITED STATES OF AMERICA    Communication Suspended - Not Interested
144    Gold    CID001555    Samduck Precious Metals    KOREA, REPUBLIC OF    Conformant
145    Gold    CID001562    SAMWON Metals Corp.    KOREA, REPUBLIC OF    Communication Suspended - Not Interested
146    Gold    CID001585    SEMPSA Joyeria Plateria S.A.    SPAIN    Conformant
147    Gold    CID001619    Shandong Tiancheng Biological Gold Industrial Co., Ltd.    CHINA    Outreach Required
148    Gold    CID001622    Shandong Zhaojin Gold & Silver Refinery Co., Ltd.    CHINA    Conformant
149    Gold    CID001736    Sichuan Tianze Precious Metals Co., Ltd.    CHINA    Conformant
150    Gold    CID001756    SOE Shyolkovsky Factory of Secondary Precious Metals    RUSSIAN FEDERATION    Non Conformant
151    Gold    CID001761    Solar Applied Materials Technology Corp.    TAIWAN, PROVINCE OF CHINA    Conformant
152    Gold    CID001798    Sumitomo Metal Mining Co., Ltd.    JAPAN    Conformant
153    Gold    CID001875    Tanaka Kikinzoku Kogyo K.K.    JAPAN    Conformant
154    Gold    CID001909    Great Wall Precious Metals Co., Ltd. of CBPM    CHINA    Outreach Required
155    Gold    CID001916    Shandong Gold Smelting Co., Ltd.    CHINA    Conformant
156    Gold    CID001938    Tokuriki Honten Co., Ltd.    JAPAN    Conformant
157    Gold    CID001947    Tongling Nonferrous Metals Group Co., Ltd.    CHINA    Outreach Required

 

16


No.

  

Metal(*)

  

Smelter ID

  

Smelter Name

  

Smelter Facility
Location: Country

  

Audit Status

158    Gold    CID001955    Torecom    KOREA, REPUBLIC OF    Conformant
159    Gold    CID001980    Umicore S.A. Business Unit Precious Metals Refining    BELGIUM    Conformant
160    Gold    CID001993    United Precious Metal Refining, Inc.    UNITED STATES OF AMERICA    Conformant
161    Gold    CID002003    Valcambi S.A.    SWITZERLAND    Conformant
162    Gold    CID002030    Western Australian Mint (T/a The Perth Mint)    AUSTRALIA    Conformant
163    Gold    CID002100    Yamakin Co., Ltd.    JAPAN    Conformant
164    Gold    CID002129    Yokohama Metal Co., Ltd.    JAPAN    Conformant
165    Gold    CID002224    Zhongyuan Gold Smelter of Zhongjin Gold Corporation    CHINA    Conformant
166    Gold    CID002243    Gold Refinery of Zijin Mining Group Co., Ltd.    CHINA    Conformant
167    Gold    CID002282    Morris and Watson    NEW ZEALAND    In Communication
168    Gold    CID002290    SAFINA A.S.    CZECHIA    Conformant
169    Gold    CID002312    Guangdong Jinding Gold Limited    CHINA    Outreach Required
170    Gold    CID002314    Umicore Precious Metals Thailand    THAILAND    Conformant
171    Gold    CID002459    Geib Refining Corporation    UNITED STATES OF AMERICA    Conformant
172    Gold    CID002509    MMTC-PAMP India Pvt., Ltd.    INDIA    Conformant
173    Gold    CID002511    KGHM Polska Miedz Spolka Akcyjna    POLAND    Conformant
174    Gold    CID002515    Fidelity Printers and Refiners Ltd.    Zimbabwe    RMI Due Diligence Review - Unable to Proceed
175    Gold    CID002516    Singway Technology Co., Ltd.    TAIWAN, PROVINCE OF CHINA    Conformant

 

17


No.

  

Metal(*)

  

Smelter ID

  

Smelter Name

  

Smelter Facility
Location: Country

  

Audit Status

176    Gold    CID002525    Shandong Humon Smelting Co., Ltd.    CHINA    Outreach Required
177    Gold    CID002527    Shenzhen Zhonghenglong Real Industry Co., Ltd.    CHINA    Outreach Required
178    Gold    CID002560    Al Etihad Gold Refinery DMCC    UNITED ARAB EMIRATES    Conformant
179    Gold    CID002561    Emirates Gold DMCC    UNITED ARAB EMIRATES    Conformant
180    Gold    CID002562    International Precious Metal Refiners    UNITED ARAB EMIRATES    In Communication
181    Gold    CID002563    Kaloti Precious Metals    United Arab Emirates    RMI Due Diligence Review—Unable to Proceed
182    Gold    CID002567    Sudan Gold Refinery    Sudan    Outreach Required
183    Gold    CID002580    T.C.A S.p.A    ITALY    Conformant
184    Gold    CID002582    REMONDIS PMR B.V.    NETHERLANDS    Conformant
185    Gold    CID002584    Fujairah Gold FZC    United Arab Emirates    Outreach Required
186    Gold    CID002587    Industrial Refining Company    Belgium    Non Conformant
187    Gold    CID002588    Shirpur Gold Refinery Ltd.    India    Outreach Required
188    Gold    CID002605    Korea Zinc Co., Ltd.    KOREA, REPUBLIC OF    Conformant
189    Gold    CID002606    Marsam Metals    BRAZIL    Conformant
190    Gold    CID002615    TOO Tau-Ken-Altyn    KAZAKHSTAN    Conformant
191    Gold    CID002708    Abington Reldan Metals, LLC    UNITED STATES OF AMERICA    Non Conformant
192    Gold    CID002761    SAAMP    FRANCE    Conformant
193    Gold    CID002762    L’Orfebre S.A.    ANDORRA    Conformant
194    Gold    CID002763    8853 S.p.A.    ITALY    Conformant

 

18


No.

  

Metal(*)

  

Smelter ID

  

Smelter Name

  

Smelter Facility
Location: Country

  

Audit Status

195    Gold    CID002765    Italpreziosi    ITALY    Conformant
196    Gold    CID002778    WIELAND Edelmetalle GmbH    GERMANY    Conformant
197    Gold    CID002779    Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH    AUSTRIA    Conformant
198    Gold    CID002850    AU Traders and Refiners    SOUTH AFRICA    Non Conformant
199    Gold    CID002852    GGC Gujrat Gold Centre Pvt. Ltd.    INDIA    Active
200    Gold    CID002853    Sai Refinery    INDIA    Outreach Required
201    Gold    CID002857    Modeltech Sdn Bhd    MALAYSIA    Non Conformant
202    Gold    CID002863    Bangalore Refinery    INDIA    Conformant
203    Gold    CID002865    Kyshtym Copper-Electrolytic Plant ZAO    RUSSIAN FEDERATION    Outreach Required
204    Gold    CID002867    Degussa Sonne / Mond Goldhandel GmbH    GERMANY    Outreach Required
205    Gold    CID002872    Pease & Curren    UNITED STATES OF AMERICA    Communication Suspended - Not Interested
206    Gold    CID002893    JALAN & Company    INDIA    Outreach Required
207    Gold    CID002918    SungEel HiMetal Co., Ltd.    KOREA, REPUBLIC OF    Conformant
208    Gold    CID002919    Planta Recuperadora de Metales SpA    CHILE    Conformant
209    Gold    CID002973    Safimet S.p.A    ITALY    Conformant
210    Gold    CID003153    State Research Institute Center for Physical Sciences and Technology    LITHUANIA    Outreach Required
211    Gold    CID003185    African Gold Refinery    Uganda    Outreach Required
212    Gold    CID003186    Gold Coast Refinery    GHANA    Outreach Required

 

19


No.

  

Metal(*)

  

Smelter ID

  

Smelter Name

  

Smelter Facility
Location: Country

  

Audit Status

213    Gold    CID003189    NH Recytech Company    KOREA, REPUBLIC OF    Conformant
214    Gold    CID003324    QG Refining, LLC    UNITED STATES OF AMERICA    Outreach Required
215    Gold    CID003348    Dijllah Gold Refinery FZC    United Arab Emirates    Outreach Required
216    Gold    CID003382    CGR Metalloys Pvt Ltd.    INDIA    Outreach Required
217    Gold    CID003383    Sovereign Metals    INDIA    Outreach Required
218    Gold    CID003421    C.I Metales Procesados Industriales SAS    COLOMBIA    Active
219    Gold    CID003424    Eco-System Recycling Co., Ltd. North Plant    JAPAN    Conformant
220    Gold    CID003425    Eco-System Recycling Co., Ltd. West Plant    JAPAN    Conformant
221    Gold    CID003461    Augmont Enterprises Private Limited    India    Active
222    Gold    CID003463    Kundan Care Products Ltd.    INDIA    In Communication
223    Gold    CID003487    Emerald Jewel Industry India Limited (Unit 1)    India    In Communication
224    Gold    CID003488    Emerald Jewel Industry India Limited (Unit 2)    India    In Communication
225    Gold    CID003489    Emerald Jewel Industry India Limited (Unit 3)    India    In Communication
226    Gold    CID003490    Emerald Jewel Industry India Limited (Unit 4)    India    In Communication
227    Gold    CID003497    K.A. Rasmussen    NORWAY    Outreach Required
228    Gold    CID003500    Alexy Metals    United States Of America    Active
229    Gold    CID003529    Sancus ZFS (L’Orfebre, SA)    Colombia    Active
230    Gold    CID003540    Sellem Industries Ltd.    Mauritania    Communication Suspended—Not Interested
231    Gold    CID003548    MD Overseas    India    In Communication

 

20


No.

  

Metal(*)

  

Smelter ID

  

Smelter Name

  

Smelter Facility
Location: Country

  

Audit Status

232    Gold    CID003557    Metallix Refining Inc.    United States Of America    In Communication
233    Gold    CID003575    Metal Concentrators SA (Pty) Ltd.    SOUTH AFRICA    Conformant
234    Gold    CID003615    WEEEREFINING    FRANCE    Active
235    Gold    CID003617    Value Trading    BELGIUM    In Communication
236    Tantalum    CID000090    Asaka Riken Co., Ltd.    JAPAN    Conformant
237    Tantalum    CID000209    Changsha South Tantalum Niobium Co., Ltd.    CHINA    Conformant
238    Tantalum    CID000291    Guangdong Rising Rare Metals-EO Materials Ltd.    CHINA    Conformant
239    Tantalum    CID000460    F&X Electro-Materials Ltd.    CHINA    Conformant
240    Tantalum    CID000616    XIMEI RESOURCES (GUANGDONG) LIMITED    CHINA    Conformant
241    Tantalum    CID000914    JiuJiang JinXin Nonferrous Metals Co., Ltd.    CHINA    Conformant
242    Tantalum    CID000917    Jiujiang Tanbre Co., Ltd.    CHINA    Conformant
243    Tantalum    CID001163    Metallurgical Products India Pvt., Ltd.    INDIA    Conformant
244    Tantalum    CID001173    Mineracao Taboca S.A.    BRAZIL    Conformant
245    Tantalum    CID001192    Mitsui Mining and Smelting Co., Ltd.    JAPAN    Conformant
246    Tantalum    CID001200    NPM Silmet AS    ESTONIA    Conformant
247    Tantalum    CID001277    Ningxia Orient Tantalum Industry Co., Ltd.    CHINA    Conformant
248    Tantalum    CID001508    QuantumClean    UNITED STATES OF AMERICA    Conformant
249    Tantalum    CID001522    Yanling Jincheng Tantalum & Niobium Co., Ltd.    CHINA    Conformant
250    Tantalum    CID001769    Solikamsk Magnesium Works OAO    RUSSIAN FEDERATION    Conformant

 

21


No.

  

Metal(*)

  

Smelter ID

  

Smelter Name

  

Smelter Facility
Location: Country

  

Audit Status

251    Tantalum    CID001869    Taki Chemical Co., Ltd.    JAPAN    Conformant
252    Tantalum    CID001891    Telex Metals    UNITED STATES OF AMERICA    Conformant
253    Tantalum    CID001969    Ulba Metallurgical Plant JSC    KAZAKHSTAN    Conformant
254    Tantalum    CID002492    Hengyang King Xing Lifeng New Materials Co., Ltd.    CHINA    Conformant
255    Tantalum    CID002504    D Block Metals, LLC    UNITED STATES OF AMERICA    Conformant
256    Tantalum    CID002505    FIR Metals & Resource Ltd.    CHINA    Conformant
257    Tantalum    CID002506    Jiujiang Zhongao Tantalum & Niobium Co., Ltd.    CHINA    Conformant
258    Tantalum    CID002508    XinXing HaoRong Electronic Material Co., Ltd.    CHINA    Conformant
259    Tantalum    CID002512    Jiangxi Dinghai Tantalum & Niobium Co., Ltd.    CHINA    Conformant
260    Tantalum    CID002539    KEMET de Mexico    MEXICO    Conformant
261    Tantalum    CID002542    TANIOBIS Smelting GmbH & Co. KG    GERMANY    Conformant
262    Tantalum    CID002544    TANIOBIS Co., Ltd.    THAILAND    Conformant
263    Tantalum    CID002545    TANIOBIS GmbH    GERMANY    Conformant
264    Tantalum    CID002547    H.C. Starck Hermsdorf GmbH    GERMANY    Conformant
265    Tantalum    CID002548    H.C. Starck Inc.    UNITED STATES OF AMERICA    Conformant
266    Tantalum    CID002549    TANIOBIS Japan Co., Ltd.    JAPAN    Conformant
267    Tantalum    CID002557    Global Advanced Metals Boyertown    UNITED STATES OF AMERICA    Conformant
268    Tantalum    CID002558    Global Advanced Metals Aizu    JAPAN    Conformant

 

22


No.

  

Metal(*)

  

Smelter ID

  

Smelter Name

  

Smelter Facility
Location: Country

  

Audit Status

269    Tantalum    CID002706    Resind Industria e Comercio Ltda.    BRAZIL    Conformant
270    Tantalum    CID002731    LSM Brasil S.A.    BRAZIL    Conformant
271    Tantalum    CID002842    Jiangxi Tuohong New Raw Material    CHINA    Conformant
272    Tantalum    CID002847    Meta Materials    NORTH MACEDONIA, REPUBLIC OF    Conformant
273    Tantalum    CID003583    RFH Yancheng Jinye New Material Technology Co., Ltd.    China    Conformant
274    Tin    CID000227    Chenzhou Yun Xiang mining limited liability company    CHINA    Conformant
275    Tin    CID000292    Alpha    UNITED STATES OF AMERICA    Conformant
276    Tin    CID000309    PT Aries Kencana Sejahtera    INDONESIA    Active
277    Tin    CID000401    Dowa    JAPAN    Conformant
278    Tin    CID000438    EM Vinto    BOLIVIA (PLURINATIONAL STATE OF)    Conformant
279    Tin    CID000447    Estanho de Rondonia S.A.    BRAZIL    Conformant
280    Tin    CID000468    Fenix Metals    POLAND    Conformant
281    Tin    CID000538    Gejiu Non-Ferrous Metal Processing Co., Ltd.    CHINA    Conformant
282    Tin    CID000555    Gejiu Zili Mining And Metallurgy Co., Ltd.    CHINA    Conformant
283    Tin    CID000942    Gejiu Kai Meng Industry and Trade LLC    CHINA    Non Conformant
284    Tin    CID001070    China Tin Group Co., Ltd.    CHINA    Conformant
285    Tin    CID001070    China Tin Group Co., Ltd.    CHINA    Conformant
286    Tin    CID001105    Malaysia Smelting Corporation (MSC)    MALAYSIA    Conformant

 

23


No.

  

Metal(*)

  

Smelter ID

  

Smelter Name

  

Smelter Facility
Location: Country

  

Audit Status

287    Tin    CID001141    Metallic Resources, Inc.    UNITED STATES OF AMERICA    Conformant
288    Tin    CID001173    Mineracao Taboca S.A.    BRAZIL    Conformant
289    Tin    CID001182    Minsur    PERU    Conformant
290    Tin    CID001188    Mitsubishi Materials Corporation    JAPAN    Conformant
291    Tin    CID001231    Jiangxi New Nanshan Technology Ltd.    CHINA    Conformant
292    Tin    CID001248    Nghe Tinh Non-Ferrous Metals Joint Stock Company    VIET NAM    Outreach Required
293    Tin    CID001305    Novosibirsk Processing Plant Ltd.    RUSSIAN FEDERATION    Conformant
294    Tin    CID001314    O.M. Manufacturing (Thailand) Co., Ltd.    THAILAND    Conformant
295    Tin    CID001337    Operaciones Metalurgicas S.A.    BOLIVIA (PLURINATIONAL STATE OF)    Conformant
296    Tin    CID001399    PT Artha Cipta Langgeng    INDONESIA    Conformant
297    Tin    CID001402    PT Babel Inti Perkasa    INDONESIA    Conformant
298    Tin    CID001406    PT Babel Surya Alam Lestari    INDONESIA    Conformant
299    Tin    CID001421    PT Belitung Industri Sejahtera    INDONESIA    Outreach Required
300    Tin    CID001428    PT Bukit Timah    INDONESIA    Active
301    Tin    CID001453    PT Mitra Stania Prima    INDONESIA    Conformant
302    Tin    CID001457    PT Panca Mega Persada    INDONESIA    Outreach Required
303    Tin    CID001458    PT Prima Timah Utama    INDONESIA    Conformant
304    Tin    CID001460    PT Refined Bangka Tin    INDONESIA    Conformant

 

24


No.

  

Metal(*)

  

Smelter ID

  

Smelter Name

  

Smelter Facility
Location: Country

  

Audit Status

305    Tin    CID001463    PT Sariwiguna Binasentosa    INDONESIA    Conformant
306    Tin    CID001468    PT Stanindo Inti Perkasa    INDONESIA    Conformant
307    Tin    CID001477    PT Timah Tbk Kundur    INDONESIA    Conformant
308    Tin    CID001482    PT Timah Tbk Mentok    INDONESIA    Conformant
309    Tin    CID001486    PT Timah Nusantara    Indonesia    Active
310    Tin    CID001490    PT Tinindo Inter Nusa    INDONESIA    Conformant
311    Tin    CID001493    PT Tommy Utama    INDONESIA    In Communication
312    Tin    CID001539    Rui Da Hung    TAIWAN, PROVINCE OF CHINA    Conformant
313    Tin    CID001758    Soft Metais Ltda.    BRAZIL    Conformant
314    Tin    CID001898    Thaisarco    THAILAND    Conformant
315    Tin    CID001908    Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.    CHINA    Conformant
316    Tin    CID002015    VQB Mineral and Trading Group JSC    Viet Nam    Outreach Required
317    Tin    CID002036    White Solder Metalurgia e Mineracao Ltda.    BRAZIL    Conformant
318    Tin    CID002158    Yunnan Chengfeng Non-ferrous Metals Co., Ltd.    CHINA    Conformant
319    Tin    CID002180    Tin Smelting Branch of Yunnan Tin Co., Ltd.    CHINA    Conformant
320    Tin    CID002455    CV Venus Inti Perkasa    INDONESIA    Active
321    Tin    CID002468    Magnu’s Minerais Metais e Ligas Ltda.    BRAZIL    Conformant
322    Tin    CID002478    PT Tirus Putra Mandiri    INDONESIA    Outreach Required
323    Tin    CID002500    Melt Metais e Ligas S.A.    BRAZIL    Outreach Required

 

25


No.

  

Metal(*)

  

Smelter ID

  

Smelter Name

  

Smelter Facility
Location: Country

  

Audit Status

324    Tin    CID002503    PT ATD Makmur Mandiri Jaya    INDONESIA    Conformant
325    Tin    CID002517    O.M. Manufacturing Philippines, Inc.    PHILIPPINES    Conformant
326    Tin    CID002570    CV Ayi Jaya    INDONESIA    In Communication
327    Tin    CID002572    Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company    VIET NAM    Non Conformant
328    Tin    CID002574    Tuyen Quang Non-Ferrous Metals Joint Stock Company    VIET NAM    Outreach Required
329    Tin    CID002593    PT Rajehan Ariq    INDONESIA    Conformant
330    Tin    CID002696    PT Cipta Persada Mulia    Indonesia    Conformant
331    Tin    CID002703    An Vinh Joint Stock Mineral Processing Company    VIET NAM    Outreach Required
332    Tin    CID002706    Resind Industria e Comercio Ltda.    BRAZIL    Conformant
333    Tin    CID002756    Super Ligas    BRAZIL    Active
334    Tin    CID002773    Metallo Belgium N.V.    BELGIUM    Conformant
335    Tin    CID002774    Metallo Spain S.L.U.    SPAIN    Conformant
336    Tin    CID002816    PT Sukses Inti Makmur    INDONESIA    Active
337    Tin    CID002834    Thai Nguyen Mining and Metallurgy Co., Ltd.    VIET NAM    Conformant
338    Tin    CID002835    PT Menara Cipta Mulia    INDONESIA    Conformant
339    Tin    CID002844    HuiChang Hill Tin Industry Co., Ltd.    CHINA    Conformant
340    Tin    CID002857    Modeltech Sdn Bhd    MALAYSIA    Non Conformant

 

26


No.

  

Metal(*)

  

Smelter ID

  

Smelter Name

  

Smelter Facility
Location: Country

  

Audit Status

341    Tin    CID003116    Guangdong Hanhe Non-Ferrous Metal Co., Ltd.    CHINA    Conformant
342    Tin    CID003190    Chifeng Dajingzi Tin Industry Co., Ltd.    CHINA    Conformant
343    Tin    CID003205    PT Bangka Serumpun    INDONESIA    Conformant
344    Tin    CID003208    Pongpipat Company Limited    MYANMAR    Outreach Required
345    Tin    CID003325    Tin Technology & Refining    UNITED STATES OF AMERICA    Conformant
346    Tin    CID003356    Dongguan CiEXPO Environmental Engineering Co., Ltd.    CHINA    Non Conformant
347    Tin    CID003379    Ma’anshan Weitai Tin Co., Ltd.    CHINA    Conformant
348    Tin    CID003380    PT Masbro Alam Stania    Indonesia    Active
349    Tin    CID003381    PT Rajawali Rimba Perkasa    INDONESIA    Conformant
350    Tin    CID003387    Luna Smelter, Ltd.    RWANDA    Conformant
351    Tin    CID003397    Yunnan Yunfan Non-ferrous Metals Co., Ltd.    CHINA    Non Conformant
352    Tin    CID003409    Precious Minerals and Smelting Limited    INDIA    Non Conformant
353    Tin    CID003410    Gejiu City Fuxiang Industry and Trade Co., Ltd.    CHINA    Outreach Required
354    Tin    CID003449    PT Mitra Sukses Globalindo    INDONESIA    Active
355    Tin    CID003486    CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda    Brazil    Active
356    Tin    CID003524    CRM Synergies    Spain    Conformant
357    Tin    CID003582    Fabrica Auricchio Industria e Comercio Ltda.    BRAZIL    Conformant

 

27


No.

  

Metal(*)

  

Smelter ID

  

Smelter Name

  

Smelter Facility
Location: Country

  

Audit Status

358    Tungsten    CID000004    A.L.M.T. Corp.    JAPAN    Conformant
359    Tungsten    CID000104    Kennametal Huntsville    UNITED STATES OF AMERICA    Conformant
360    Tungsten    CID000218    Guangdong Xianglu Tungsten Co., Ltd.    CHINA    Conformant
361    Tungsten    CID000258    Chongyi Zhangyuan Tungsten Co., Ltd.    CHINA    Conformant
362    Tungsten    CID000278    CNMC (Guangxi) PGMA Co., Ltd.    CHINA    Outreach Required
363    Tungsten    CID000568    Global Tungsten & Powders Corp.    UNITED STATES OF AMERICA    Conformant
364    Tungsten    CID000766    Hunan Chenzhou Mining Co., Ltd.    CHINA    Conformant
365    Tungsten    CID000769    Hunan Chunchang Nonferrous Metals Co., Ltd.    CHINA    Conformant
366    Tungsten    CID000825    Japan New Metals Co., Ltd.    JAPAN    Conformant
367    Tungsten    CID000875    Ganzhou Huaxing Tungsten Products Co., Ltd.    CHINA    Conformant
368    Tungsten    CID000966    Kennametal Fallon    UNITED STATES OF AMERICA    Conformant
369    Tungsten    CID002044    Wolfram Bergbau und Hutten AG    AUSTRIA    Conformant
370    Tungsten    CID002082    Xiamen Tungsten Co., Ltd.    CHINA    Conformant
371    Tungsten    CID002313    Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.    CHINA    Communication Suspended - Not Interested
372    Tungsten    CID002315    Ganzhou Jiangwu Ferrotungsten Co., Ltd.    CHINA    Conformant
373    Tungsten    CID002316    Jiangxi Yaosheng Tungsten Co., Ltd.    CHINA    Conformant
374    Tungsten    CID002317    Jiangxi Xinsheng Tungsten Industry Co., Ltd.    CHINA    Conformant
375    Tungsten    CID002318    Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.    CHINA    Conformant

 

28


No.

  

Metal(*)

  

Smelter ID

  

Smelter Name

  

Smelter Facility
Location: Country

  

Audit Status

376    Tungsten    CID002319    Malipo Haiyu Tungsten Co., Ltd.    CHINA    Conformant
377    Tungsten    CID002320    Xiamen Tungsten (H.C.) Co., Ltd.    CHINA    Conformant
378    Tungsten    CID002321    Jiangxi Gan Bei Tungsten Co., Ltd.    CHINA    Conformant
379    Tungsten    CID002494    Ganzhou Seadragon W & Mo Co., Ltd.    CHINA    Conformant
380    Tungsten    CID002502    Asia Tungsten Products Vietnam Ltd.    VIET NAM    Conformant
381    Tungsten    CID002513    Chenzhou Diamond Tungsten Products Co., Ltd.    CHINA    Conformant
382    Tungsten    CID002541    H.C. Starck Tungsten GmbH    GERMANY    Conformant
383    Tungsten    CID002542    TANIOBIS Smelting GmbH & Co. KG    GERMANY    Conformant
384    Tungsten    CID002543    Masan High-Tech Materials    VIET NAM    Conformant
385    Tungsten    CID002551    Jiangwu H.C. Starck Tungsten Products Co., Ltd.    CHINA    Conformant
386    Tungsten    CID002589    Niagara Refining LLC    UNITED STATES OF AMERICA    Conformant
387    Tungsten    CID002641    China Molybdenum Tungsten Co., Ltd.    CHINA    Conformant
388    Tungsten    CID002645    Ganzhou Haichuang Tungsten Co., Ltd.    CHINA    Conformant
389    Tungsten    CID002649    Hydrometallurg, JSC    RUSSIAN FEDERATION    Conformant
390    Tungsten    CID002724    Unecha Refractory metals plant    RUSSIAN FEDERATION    Conformant
391    Tungsten    CID002827    Philippine Chuangxin Industrial Co., Inc.    PHILIPPINES    Conformant
392    Tungsten    CID002830    Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.    CHINA    Conformant
393    Tungsten    CID002833    ACL Metais Eireli    BRAZIL    Conformant

 

29


No.

  

Metal(*)

  

Smelter ID

  

Smelter Name

  

Smelter Facility
Location: Country

  

Audit Status

394    Tungsten    CID002843    Woltech Korea Co., Ltd.    KOREA, REPUBLIC OF    Conformant
395    Tungsten    CID002845    Moliren Ltd.    RUSSIAN FEDERATION    Conformant
396    Tungsten    CID003217    GEM Co., Ltd.    CHINA    Conformant
397    Tungsten    CID003388    KGETS Co., Ltd.    KOREA, REPUBLIC OF    Conformant
398    Tungsten    CID003401    Fujian Ganmin RareMetal Co., Ltd.    CHINA    Conformant
399    Tungsten    CID003407    Lianyou Metals Co., Ltd.    TAIWAN, PROVINCE OF CHINA    Conformant
400    Tungsten    CID003408    JSC “Kirovgrad Hard Alloys Plant”    RUSSIAN FEDERATION    Conformant
401    Tungsten    CID003416    NPP Tyazhmetprom LLC    RUSSIAN FEDERATION    Active
402    Tungsten    CID003427    Albasteel Industria e Comercio de Ligas Para Fundicao Ltd.    BRAZIL    Active
403    Tungsten    CID003468    Cronimet Brasil Ltda    BRAZIL    Conformant
404    Tungsten    CID003553    Artek LLC    Russian Federation    Outreach Required
405    Tungsten    CID003609    Fujian Xinlu Tungsten Co., Ltd.    CHINA    Conformant
406    Tungsten    CID003612    OOO “Technolom” 2    RUSSIAN FEDERATION    Active
407    Tungsten    CID003614    OOO “Technolom” 1    RUSSIAN FEDERATION    Active

 

30


Annex 2

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

 

Gold

  

Tantalum

  

Tin

  

Tungsten

Botswana    Australia    Australia    Bolivia
Cyprus    Austria    Bolivia (Plurinational State of)    Brazil
Brazil    Bolivia    Brazil    China
Ghana    Brazil    China    Colombia
Bahamas    Brazil**    Colombia    Mongolia
Argentina    Burundi    Indonesia    Myanmar
Czechia    Canada    Malaysia    Portugal
Brazil**    China    Myanmar    Russian Federation
Ghana**    Colombia    Peru    United States of America
Andorra    Congo, Democratic Republic of the    Russian Federation    Uzbekistan
Greece    Ethiopia    Taiwan    Burundi
Belgium    Ethiopia**    United Kingdom of Great Britain and Northern Ireland    Congo, Democratic Republic of the
Denmark    France    Venezuela    Rwanda
Burkina Faso    Germany    Burundi    Uganda
Canada    India    Rwanda    Austria
Dominican Republic    Indonesia    Uganda    Belgium
Ecuador    Ireland    Brazil**    Canada
Eritrea    Israel    China**    Czechia
Estonia    Japan    Congo, Democratic Republic of the    France
Cayman Islands    Madagascar    Nigeria    Germany
Chile    Malaysia    Russia**    Hong Kong
Chile**    Mozambique    Thailand    Ireland
Benin    Myanmar    Angola    Israel
China    Namibia    Argentina    Japan
Finland    Netherlands    Austria    Latvia
Guatemala (HR)    Nigeria    Bangladesh    Russia
Benin (HR)    Nigeria**    Belarus    South Korea
Colombia    Russian Federation    Belgium    Spain

 

 

3 

The data and the definitions have been obtained from RMI and reflect information as of May4th, 2022.

 

31


Gold

  

Tantalum

  

Tin

  

Tungsten

Australia    Rwanda    Benin    Taiwan
Guinea**    Sierra Leone    Bolivia    Thailand
Bolivia (Plurinational State of)    Sierra Leone**    Bulgaria    United Arab Emirates
France    South Korea    Canada    Vietnam
Colombia (HR)    Spain    Chile   
French Guiana    Switzerland    Croatia   
Costa Rica    Thailand    Czechia   
Austria    Uganda    Cyprus   
Georgia    United Kingdom of Great Britain and Northern Ireland    Denmark   
Germany    United States of America    Egypt   
Cote d’Ivoire    Zimbabwe    El Salvador   
Guyana**       Estonia   
Honduras       Finland   
Honduras (HR)       France   
Hong Kong (HR)       Gabon   
Hungary       Germany   
India**       Ghana   
Indonesia       Greece   
Indonesia**       Guinea   
Ireland       Hong Kong   
Israel       Hungary   
Italy       India   
Japan       Ireland   
Jordan (HR)       Israel   
Latvia       Italy   
Lithuania       Japan   
Luxembourg       Jordan   
Malaysia       Kazakhstan   
Mali       Latvia   
Malta       Lebanon   
Mexico       Libya   
Mexico**       Lithuania   
Monaco       Luxembourg   
Morocco       Malta   
Mozambique       Mexico   
Netherlands       Morocco   
Nicaragua       Netherlands   
Niger       New Zealand   
Norway       Norway   

 

32


Gold

  

Tantalum

  

Tin

  

Tungsten

Panama (HR)       Pakistan   
Peru       Poland   
Peru**       Portugal   
Philippines       Philippines   
Poland       Puerto Rico   
Romania       Qatar   
Russian Federation       Romania   
Rwanda       Russia   
Saudi Arabia       Saudi Arabia   
Saudi Arabia (HR)       Serbia   
Senegal       Senegal   
Sierra Leone       Singapore   
Singapore**       Slovakia   
Slovakia       Slovenia   
South Africa       South Africa   
South Africa (HR)       South Korea   
South Korea       Spain   
Spain       Sudan   
St Vincent and Grenadines       Sweden   
Suriname       Switzerland   
Swaziland       Tanzania   
Sweden       Togo   
Switzerland**       Tunisia   
Taiwan       Turkey   
Tajikistan       Ukraine   
Tanzania       United Arab Emirates   
Thailand       United Kingdom   
Turkey       United States of America   
Uganda       Uruguay   
United Arab Emirates (HR)       Yemen   
United Kingdom**         
United States of America         
United States of America**         
Uzbekistan (HR)         
Venezuela         
Vietnam         

 

33



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