Form SD KONINKLIJKE PHILIPS NV

May 25, 2022 7:41 AM EDT

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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM SD

 

 

SPECIALIZED DISCLOSURE REPORT

 

 

KONINKLIJKE PHILIPS N.V.

(Exact name of the Registrant as specified in its charter)

ROYAL PHILIPS

(Translation of Registrant’s name into English)

 

 

 

The Netherlands   001-05146-01   None

(State or other jurisdiction of

Incorporation or organization)

 

(Commission

File Number)

 

(IRS Employer

Identification No.)

 

Breitner Center, Amstelplein 2, Amsterdam, The Netherlands   1096 BC
(Address of principal executive offices)   (Zip code)

Sophie Bechu, Chief of Operations

+31 20 59 77111, [email protected], Breitner Center

Amstelplein 2, 1096 BC Amsterdam, The Netherlands

(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 Conflict Minerals Disclosure and Report

Koninklijke Philips N.V. evaluated its current product lines and determined that certain products we manufacture or contract to manufacture contain tin, tungsten, tantalum and/or gold (3TG).

Conflict Minerals Disclosure

Koninklijke Philips N.V. has, in good faith, conducted a reasonable country of origin inquiry (“RCOI”) to determine whether its products contain conflict minerals originated in the Democratic Republic of the Congo or an adjoining country as described in the Company’s Conflict Minerals Report provided as Exhibit 1.01 hereto.

We have not been able to confirm the identification of and conflict-free status under the Responsible Minerals Assurance Process (RMAP) standards for all smelters used in our supply chain. None of the smelters identified in our supply chain are known to us as sourcing 3TG that directly or indirectly finances or benefits armed groups in the covered countries. As a result we file a Conflict Minerals Report as an Exhibit to this filing.

A copy of the Company’s Conflict Minerals Report is provided as Exhibit 1.01 hereto and is publicly available at: https://www.philips.com/a-w/about/environmental-social-governance/environmental/supplier-sustainability/responsible-sourcing-of-minerals.html.

Item 1.02 Exhibit

The Conflict Minerals Report described in Item 1.01 is filed as Exhibit 1.01 to this Form SD.

Section 2 – Exhibits

Item 2.01 Exhibits

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

 

2


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.

KONINKLIJKE PHILIPS N.V.

(Registrant)

 

By:  

/s/ Sophie Bechu

  Date: May 25, 2022
Name:     Sophie Bechu  
Title     Chief of Operations  

 

 

3

Exhibit 1.01

Philips Conflict Minerals Report

 

This Conflict Minerals Report for Koninklijke Philips N.V. (hereafter “Royal Philips’’, “Philips”, or “our”) covers the reporting period from January 1, 2021 to December 31, 2021, and has been prepared pursuant to Rule 13p-1 and Form SD promulgated under the Securities Exchange Act of 1934.

This Conflict Minerals Report is filed as Exhibit 1.01 to Philips’ Specialized Disclosure Report on Form SD and is also posted on the Philips conflict minerals website1 2.

 

1 

More information can be found here: https://www.philips.com/a-w/about/environmental-social-governance/environmental/supplier-sustainability/responsible-sourcing-of-minerals.html

2 

The content of any website, including any website of Royal Philips, referred to in this Conflict Minerals Report is included for general information only and is not incorporated by reference in the Conflict Minerals Report or Form SD.

 

1


Contents

 

1.

 

Introduction

     3  

2.

 

Philips conflict minerals program

     3  
 

Philips

     3  
 

Supply chain characteristics for 3TG

     4  
 

Philips conflict minerals due diligence program

     4  
 

OECD Step 1: Company Management system

     5  
 

OECD Step 2: Risk identification and assessment

     6  
 

OECD Step 3: Strategy to respond to identified risks

     7  
 

OECD Step 4: Audits of smelter due diligence practices

     7  
 

OECD Step 5: Report annually on supply chain due diligence.

     7  

3.

 

Reasonable country of origin inquiry results

     8  

4.

 

Conflict minerals due diligence framework & measures

     10  
 

Framework

     10  
 

Measures

     10  

5.

 

Conflict minerals due diligence outcomes

     11  

6.

 

Determination

     12  

7.

 

Steps to improve future Philips conflict minerals due diligence program

     12  

8.

 

List of smelter facilities

     14  

9.

 

Data sources used

     22  

10.

 

Abbreviations

     22  

 

2


1. Introduction

Rule 13p-1 under the Securities Exchange Act of 1934, as amended, requires a company to make disclosures, for each calendar year, if conflict minerals are necessary to the functionality or production of a product manufactured by the registrant or contracted by the registrant to be manufactured. The specified minerals are gold, columbite-tantalite (coltan), cassiterite and wolframite, including their derivatives, which are limited to tantalum, tin, and tungsten (henceforth referred to as “3TG”).

Philips has concluded that for the period from January 1, 2021 to December 31, 2021:

 

   

Philips has manufactured and contracted to manufacture products as to which 3TGs are necessary to the functionality or production;

 

   

Based on the reasonable country of origin inquiry (RCOI), Philips knows or has reason to believe that a portion of its necessary 3TGs originated or may have originated from the Democratic Republic of the Congo (DRC) or an adjoining country and knows or has reason to believe that they may not be solely from recycled or scrap sources; and

 

   

Based on Philips’ due diligence measures on the source and chain of custody of those necessary 3TGs used in its products, Philips is unable to determine for all 3TGs used in its products whether they originated from the DRC or an adjoining country.

2. Philips conflict minerals program

Philips    

Royal Philips (NYSE: PHG, AEX: PHIA) is a leading health technology company focused on improving people’s lives across the health continuum – from healthy living and prevention, to diagnosis, treatment, and home care. Applying advanced technologies and deep clinical and consumer insights, Philips delivers integrated solutions that address the Quadruple Aim: improved patient experience, better health outcomes, improved staff experience, and lower cost of care. The company is a leader in diagnostic imaging, image-guided therapy, patient monitoring and health informatics, as well as in consumer health and home care.

In 2021, Royal Philips was organized around the following reportable segments:

 

   

Diagnostic & Treatment businesses: Diagnostic Imaging, Ultrasound, Enterprise Diagnostic Informatics, and Image Guided Therapy

 

   

Connected Care businesses: Hospital Patient Monitoring, Emergency Care, Sleep & Respiratory Care, and Connected Care Informatics

 

   

Personal Health businesses: Oral Healthcare, Mother & Child Care, and Personal Care

 

   

Other: Innovation, IP Royalties, Central Costs, Other

On March 25, 2021 Philips announced that it has signed an agreement to sell its Domestic Appliances business, a global leader with EUR 2.2 billion sales in 2020 in kitchen, coffee, garment care and home care appliances, to Hillhouse Capital, a global investment firm focused on helping companies achieve long-term sustainable growth through digital innovation and enablement. Since the completion of the sale of the Domestic Appliances business (formerly part of the Personal Health businesses), it is no longer consolidated by Philips as from September 1, 2021 and therefore is not included in the present report.

 

3


Supply chain characteristics for 3TG

The supply chain for 3TGs consists of many tiers. Before reaching Philips’ direct suppliers, in general, 3TGs will go from mines to traders, exporters, smelters or refiners (collectively referred to in this report as smelters), alloy producers and component manufacturers, and sometimes intermediate suppliers. One or more of the 3TG metals are contained in the vast majority of Philips products, typically in small quantities. Philips sources products and components from approximately 5,800 first tier suppliers globally. First tier suppliers are those suppliers that Philips selected and with whom Philips has a direct business relationship. These first tier suppliers may select their suppliers (second tier suppliers), which in turn may have their own group of suppliers (third-tier), and so on. There may be seven or more tiers in the supply chain between a 3TG mine and Philips. Philips works with its first tier suppliers to investigate the deeper levels of the supply chain, to determine the origin of 3TGs contained in Philips products.

 

LOGO

Philips conflict minerals due diligence program

Due to Philips’ position in the supply chain and its limited insight in and leverage over the lower levels of the supply chain, Philips engages and actively cooperates with other industry members. As encouraged in the third edition of the Organization for Economic Co-operation and Development Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (including its supplements on 3TG, referred to in this report as “OECD Guidance”), the internationally recognized standard on which Philips’ system is based, Philips supports an industry initiative, the Responsible Minerals Initiative (RMI), that uses an independent third-party audit to identify smelters that have systems in place to assure sourcing of only conflict-free materials. The RMI, formerly known as the Conflict Free Sourcing Initiative (CFSI), was founded by members of the Responsible Business Alliance (RBA), formerly known as the Electronic Industry Citizenship Coalition (EICC), and the Global e-Sustainability Initiative (GeSI).

The data on which certain statements in this report are based were obtained through Philips’ membership in the RMI, using the RMI Reasonable Country of Origin Inquiry report3. In addition, Philips uses the tools and supports the initiatives developed by the RMI especially the Conflict Minerals Reporting Template (CMRT) and Responsible Minerals Assurance Process (RMAP), formerly known as the Conflict Free Smelter Program (CFSP).

 

 

3 

This list provides country of origin information for smelting and refining facilities that are validated through the Responsible Minerals Assurance Process. This data is based on the results of independent third-party audits and is available to RMI member companies only. The audit standard is developed according to global standards including the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas and the U.S. Dodd-Frank Wall Street Reform and Consumer Protection Act.

 

4


Philips designed its conflict minerals supply chain due diligence program with reference to the OECD Guidance and the five steps described in the supplements on 3TG.

OECD Step 1: Company Management system

Philips adopted a position paper on responsible sourcing in relation to conflict minerals. The position paper is posted on Philips’ website. In addition, Philips has communicated its position on conflict minerals to all priority suppliers (see below section “OECD Step 2” for the definition of priority suppliers). Philips has committed not to purchase raw materials, subassemblies, or supplies, which Philips knows contain conflict minerals that directly or indirectly finance or benefit armed groups in the Democratic Republic of the Congo (DRC), an adjoining country or any conflict-affected or high-risk areas (CAHRAs). Philips’ program goals, as described in the position paper, encourage the development of initiatives to:

 

   

Stop the trade in conflict minerals from mines that directly or indirectly finance or benefit armed groups anywhere in the world.

 

   

Enable responsible sourcing of minerals from conflict-affected and high-risk areas, the DRC, and, adjoining countries, thereby supporting the development of the local economy and communities.

Philips created and maintains an internal conflict minerals team to manage the implementation and progress of Philips’ due diligence efforts. The internal team consists of representatives from Procurement, Sustainability, Finance, Export Control, Legal and the Secretariat of the General Business Principles (GBP) Review Committee.

Philips established a system of control and transparency over its 3TG supply chains by creating a process to engage a group of first tier priority suppliers and request them to submit information to Philips using the CMRT4. The information submitted by priority suppliers includes information gathered by those suppliers about the smelters identified in their own supply chains. The information has been used by Philips to assess the due diligence efforts implemented by priority suppliers, and to identify smelters in the supply chain.

Philips made responsible sourcing of minerals a supplier contract requirement. The Philips Supplier Sustainability Declaration5 (SSD) includes a provision about Responsible Sourcing of Minerals. The SSD is part of the general conditions of purchase, and of the purchasing agreements signed with suppliers. It requires suppliers to have a policy in place to reasonably assure that their 3TG does not directly or indirectly finance or benefit armed groups that are perpetrators of serious human rights abuses in the DRC, an adjoining country or CAHRAs, and to exercise due diligence on the source and chain of custody.

For first tier suppliers, Philips has a supplier sustainability performance program6 in place in which, amongst others, the implementation of the SSD is assessed. Responsible Sourcing of Minerals is one of the topics reviewed in this program. In case non-conformances are identified during the assessment, suppliers are requested to make a corrective action plan and Philips monitors the implementation of this plan until the non-conformance is corrected.

 

 

4 

The CMRT is a survey tool developed by the RMI to standardize collection of due diligence information in the supply chain.

5 

More information on the Supplier Sustainability Declaration can be found here: https://www.philips.com/c-dam/corporate/about-philips/company/suppliers/supplier-sustainability/policies/philips-supplier-sustainability-declaration.pdf

6 

More information about the Philips supplier sustainability performance program can be found here: https://www.philips.com/a-w/about/company/suppliers/supplier-sustainability/our-programs/supplier-sustainability-assessment.html

 

5


Multiple communication channels exist to serve as grievance mechanisms for early-warning risk awareness. Philips has the Philips Speak Up policy and underlying Speak Up mechanism that enables its stakeholders (including employees, former employees and third parties) to inform Philips of any concerns they may have. Internally, its personnel can (anonymously) report possible violations of Philips General Business Principles (GBP)7 and other policies including those related to 3TG supply chains via the GBP Compliance Officer or Philips Speak Up using the hotline or a web intake form. Third parties can also use Philips Speak Up to file a complaint.8 In addition, stakeholders can use the email address [email protected] or existing industry grievance mechanisms like RMI and ITRI’s Tin Supply Chain Initiative (iTSCi) to file complaints related to 3TG.

OECD Step 2: Risk identification and assessment

Given the large number and diversity of Philips’ suppliers, Philips focuses its efforts on a group of first tier priority suppliers (referred to as “priority suppliers”) and works with them to identify the smelters in their supply chain. Priority suppliers are selected based on two primary elements:

 

   

Purchasing spend

The suppliers in the top 80% of Philips’ spend of relevant commodities are selected as priority suppliers. Philips uses a system to classify suppliers in commodity groups, for example, plastics, packaging, and metals. Philips excluded suppliers in commodity groups for which it is unlikely that one or more of the 3TGs are contained in the products, for example, software suppliers and packaging suppliers.

 

   

Usage of 3TG

The suppliers which provide a high quantity of 3TG materials are selected as priority suppliers. Even if these suppliers are not part of the top 80% relevant purchasing spend, Philips includes the suppliers as they are supplying a relatively high quantity of 3TG materials.

All identified priority suppliers receive a letter formally requesting them to:

 

   

Adopt a policy to reasonably assure that the 3TG in their products does not directly or indirectly finance or benefit armed groups in the DRC, an adjoining country, or any conflict-affected or high-risk areas (CAHRAs).

 

   

Identify all 3TG smelters in their supply chain. If they do not source directly from smelters, they are asked to pass on this request to their suppliers (who may have to pass it on to their suppliers, until the smelters are identified).

 

   

Cascade Philips’ request to only source from RMAP (or equivalent) compliant smelters to their suppliers and ask them to do the same with their next tier partners.

 

   

Report back to Philips by filling in the CMRT.

A Philips conflict minerals team is available to increase awareness amongst priority suppliers and to help them meet Philips’ expectations/requirements. Different background and training materials are made available to suppliers.

Philips reviews each received supplier CMRT and assesses whether it meets Philips’ acceptance criteria regarding completeness, adoption of a conflict-free policy, data collection from next tier suppliers, and smelter

 

 

 

7 

More information about the Philips General Business Principles can be found here: https://www.philips.com/a-w/about/investor/governance/business-principles.html

8 

More information can be found here: https://secure.ethicspoint.eu/domain/media/en/gui/100518/index.html

 

6


identification and disclosure. Suppliers who provided a CMRT that did not meet the acceptance criteria, and suppliers who provided incomplete or potentially inaccurate information, were requested to take corrective actions, and update their CMRT accordingly.

Philips reviews the supplier CMRTs to determine if there are any findings that indicate a need to conduct further due diligence and gather more detailed information.

Philips evaluates the smelters identified in the supplier CMRTs based on various sources of available information. Philips mainly uses the Responsible Minerals Assurance Process (RMAP) compliant and active9 smelter list to evaluate the identified smelters. RMAP recognizes and includes smelters from other lists such as the London Bullion Metal Association (LBMA) and Responsible Jewelry Council (RJC). Philips may also use other sources of information to assess potential risk. In addition, Philips uses numerous factors to determine the level of risk that each smelter poses to the supply chain by identifying red flags. These factors include geographic proximity to the DRC, Covered Countries, or an embargoed country/region; Known mineral source country of origin; RMAP audit status; Credible evidence of unethical or conflict sourcing; and Peer Assessments conducted by credible third-party sources, including international organizations.

OECD Step 3: Strategy to respond to identified risks

Progress and findings of the supply chain risk assessment are regularly reported to senior management. The risk management plan adopted by Philips is in accordance with its policy to ultimately discontinue doing business with any supplier found to be purchasing 3TG material which directly or indirectly finances or benefits armed groups in the DRC, adjoining countries, or CAHRAs, after attempts at corrective actions are not successful.

To monitor and track performance of risk management efforts, Philips uses data reported by suppliers in the CMRTs and updates of the RMAP compliant smelter list. The status is discussed internally in monthly reviews with the conflict minerals team and reported to senior management.

Philips requests priority suppliers to update and resend their CMRT when additional information becomes available to such suppliers. When updates are received, the CMRT review step as described above is repeated to assess and mitigate risks.

OECD Step 4: Audits of smelter due diligence practices

The fourth step in the OECD guidance is to carry out independent third-party audits of supply chain due diligence at identified points in the supply chain. Philips is a member of RMI and uses information provided by the RMI for this step. Through its membership, Philips has access to the RMI RCOI report data which is used to identify the minerals country of origin and conflict-free status of smelters.

Philips contributes to the RMI as a member company and encourages smelters to participate in the RMAP through direct communication and smelter outreach communication.

OECD Step 5: Report annually on supply chain due diligence.

Since 2014, Philips reports annually on supply chain due diligence by filing a Form SD and Conflict Minerals Report with the SEC. Philips has been including certain disclosures about the use of conflict minerals since 2009,

 

 

9 

RMI active smelter and refiners are at various stages of the audit cycle (undergoing or committed to undergo the audit). The full definition of RMI “active” smelters can be found here: http://www.responsiblemineralsinitiative.org/active-smelters-refiners/

 

7


even before the SEC’s rules first became effective. A dedicated conflict minerals website with information for consumers, customers and suppliers is available. In 2012, Philips was the first company to publish its smelter list and continues to regularly update this list as more information becomes available.

3. Reasonable country of origin inquiry results

As described above, SEC rules provide that if, after conducting in good faith, a reasonable country of origin inquiry, an SEC registrant determines, or has reason to believe, that any of the 3TGs used in connection with the products for which it is responsible may have originated in the DRC or an adjoining country, or did not come from recycled or scrap sources, the registrant should conduct due diligence on the source and chain of custody of its conflict minerals, following a nationally or internationally recognized framework.

Philips identified 176 priority suppliers and used the data provided by these suppliers in their CMRTs to identify the smelters in the Philips supply chain. These smelters may have been used to process 3TG metals contained in Philips’s products.

Philips achieved a 95% response rate in its supply chain investigation and 78% of the submitted CMRTs met or exceeded the Philips’ 2021 minimum acceptance criteria. The newly imposed sanctions relating to the events in Ukraine and further enforcement of adoption of the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, which allow for an adjustment period before being fully implemented in the supply chain, had an impact in the number of accepted CMRTs, resulting in a lower response rate than of 85% in 2020. The focus of the next reporting year will be to provide suppliers with additional support to revise their own due diligence programs and ensure alignment with international best practices to achieve a similar approval rate to previous years. Names of 349 different entities were provided by priority suppliers as part of their smelter lists.

However, some of the entities named by the priority suppliers may not be smelters. Philips used the “Smelter Look-up” in the CMRT version 6.1 and RMI smelter database information as a reference to compile the Philips Smelter List. The RMI recommends using version 6.01 or higher of the CMRT for the current reporting year. Philips has followed this recommendation and has used version 6.1 of the CMRT to conduct its due diligence for this report. However, version 6.1 is not the most recent version of the CMRT. The most recent version of the CMRT is version 6.22, which was released on May 11, 2022, after the due diligence for this report was carried out.

Based on the CMRT “Smelter Look-up”, Philips identified a total of 332 listed smelters in the supply chain out of the 349 names reported to Philips. According to the RMI smelter database information, among the 349 listed smelters, 15 have ceased or suspended operations.

Philips researched the remaining 2 non-listed entities and concluded that both have discontinued operations as smelters and have been recognized in the RMI smelter database after the release of CMRT version 6.1. Therefore, in 2021, Philips identified 332 eligible smelters, excluding the smelters that have discontinued, ceased or suspended operations, and did not identify any named entities that we could not determine the status of.

 

8


As a result of focusing on improving the smelter data quality received from the priority suppliers, Philips was able to reduce the number of non-recognized smelters from 85 reported in 2015, to 9 reported in 2016, to 5 reported in 2017, to 3 reported in 2018, and finally to 0 since 2019.

The majority of the identified smelters are located in Asia, with 81 smelters in China, followed by Japan (30) and Indonesia (29).

 

LOGO

Results of the RCOI (Reasonable Country of Origin Inquiry)

 

     Gold      Tantalum      Tin      Tungsten      Total  

Smelters known to source from the DRC

     0        22        5        5        32  

Smelters known to source from the DRC adjoining countries

     2        1        1        7        11  

Smelters known to source from CAHRAs

     4        24        6        13        47  

Smelters known to process only recycled or scrap materials

     8        2        5        3        18  

Smelters known to source from outside the DRC or adjoining countries

     97        12        44        29        182  

Smelters that disclosed mineral country of origin to auditors only

     0        0        0        0        0  

Smelters with unknown mineral origin

     66        1        31        9        107  

For the 332 identified smelters, Philips used the RMI Reasonable Country of Origin Inquiry (RCOI) report. This country of origin data is available for smelters that successfully completed an RMAP audit and chose to disclose their sourcing countries to the RMI. One of the identified RMAP compliant gold smelters chose to disclose its mineral country of origin to auditors only. The table above shows the results of the RCOI. The total number shown in the table is not equal to the total number of identified smelters, because a smelter may fall into more than one category (e.g., a smelter can source from both the DRC as well as from countries outside the DRC). As the RMI generally does not specify individual countries of origin of 3TGs processed by audited smelters and some of the smelters do not disclose origin information, we were not able to determine with certainty the specific countries of origin of 3TGs processed by the identified smelters.

 

9


In the CMRTs received, 47 suppliers indicated that their products contain 3TG metals that originated or potentially originated from the DRC, adjoining countries or CAHRAs. We then performed due diligence on the source and chain of custody of the conflict minerals in question.

4. Conflict minerals due diligence framework & measures

Framework

The Philips conflict minerals due diligence framework for the reporting period of calendar year 2021 has been designed to conform in all material respects to the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, Third Edition (2016), as applicable for downstream companies.

Measures

Below is a description of the measures Philips performed in due diligence on the source and chain of custody of the necessary conflict minerals contained in Philips’ products.

 

   

Philips updated its position paper on responsible sourcing in relation to conflict minerals.

 

   

Once a month, the Philips conflict minerals team met to review progress and results of supplier data collection, supplier due diligence and smelter identification. Internal performance reports were created for these meetings. Using data from Supplier Sustainability Scorecards, these reports included an overview of the monthly progress of priority suppliers, as well as, progress highlights, areas of concern, outlook for coming weeks, and identified risks.

 

   

In total, 12 Supplier Sustainability Scorecards were shared with senior management. Regarding Conflict Minerals, the main topics addressed in the scorecards included:

 

   

The progress of CMRT collection from priority suppliers

 

   

The status of supplier CMRTs with regards to meeting Philips’ CMRT acceptance criteria

 

   

Philips contacted priority suppliers via an invitation letter. Using this letter, Philips requested suppliers to perform supply chain due diligence and fill out a CMRT. In addition, the letter referred to Philips’ expectations and requirements regarding the CMRT. A copy of this letter is posted on the Philips conflict minerals website.

 

   

In the letter, Philips requests priority suppliers to steer their supply chain towards RMAP (or equivalent) validated smelters only.

 

   

Philips requested priority suppliers to identify smelters in their supply chain and to report the identified smelters to Philips using the CMRT. In case a lack of progress was observed, Philips followed up with suppliers by sending out multiple reminders via email, as well as, by reaching out via phone.

 

   

Philips facilitated the learning and development of suppliers. The Philips Conflict Minerals team regularly contacted suppliers via email and phone to monitor the suppliers’ progress, provide additional training, and check whether the conflict minerals requirements of Philips were interpreted correctly.

 

   

Philips reviewed all received supplier CMRTs to evaluate whether they met Philips’ acceptance criteria regarding completeness, adoption of a conflict-free policy, data collection from next tier suppliers, and smelter identification and disclosure. Suppliers that provided a CMRT that did not meet the acceptance criteria, and suppliers that provided incomplete or potentially inaccurate information, were requested to take corrective actions, and update their CMRT accordingly.

 

10


   

Philips reviewed all received supplier CMRTs to determine if there were any areas of concern giving rise to the need to conduct further due diligence and thus gather more information. During the year, Philips has followed up on areas of concern in several cases.

 

   

Philips reviewed all received supplier CMRTs against the list of smelters that were audited through the RMI’s Responsible Minerals Assurance Process (RMAP) or other independent third-party audit programs.

 

   

As a member of the RMI, Philips utilized the due diligence conducted on smelters by the RMI’s RMAP. This program uses independent third-party auditors to audit the source and chain of custody of the conflict minerals used by smelters that agree to participate in the RMAP.

 

   

Philips devised and adopted a risk management plan according to the level of risk in 3TG supply chains. Philips determined the level of risk, considering available information on mineral origin, RMAP compliance status, and possible connection to conflict as reported from credible sources. To mitigate risk, Philips might require high-risk suppliers to take corrective actions, or request smelters with unknown mineral origin to participate in the RMAP.

 

   

Philips published the “Philips Conflict Minerals Reporting Template” on the Philips conflict minerals website, including a list of smelters identified by the selected priority suppliers during 2021.

 

   

Philips has filed the Conflict Minerals Report (and the Exhibits thereto) with the SEC for 2013, 2014, 2015, 2016, 2017, 2018, 2019, 2020 and is filing this the Conflict Minerals Report for 2021 on May 25, 2022 as Exhibit 1.01 to Form SD. The report is available on Philips’ conflict minerals website.

 

   

Philips archives relevant evidence related to its Conflict Minerals Program for at least five years. Records are stored in a manner allowing timely and easy access while protecting the records from unauthorized alteration.

 

   

Philips has established an internal mechanism allowing its employees to, anonymously, raise possible violations of Philips GBP and other policies including those relating to conflict minerals. In addition, a central conflict minerals email address can be used by external stakeholders to file complaints. Additionally, Philips encourages anyone who suspects a breach of ethical standards in any of Philips’ business activities to report their concerns, in strictest confidence, via the externally hosted Philips Speak Up (Ethics Line). Moreover, as a member of the RMI, Philips encourages submissions of grievance via the RMI Grievance Mechanism. The RMI also serves as a source for an early-warning risk-awareness.

5. Conflict minerals due diligence outcomes

To the best of Philips’ knowledge, none of the smelters identified in Philips’ supply chain are known to source 3TG that directly or indirectly benefit armed groups in the DRC. 251 (76%) of the 332 smelters identified by Philips participated in the RMAP or equivalent audit program. 232 (70%) of the identified smelters successfully passed the RMAP or equivalent audit, thereby confirming their conflict-free status under those standards. 19 (6%) of the identified smelters are in various stages of the audit (so-called “RMI active smelters”). The remaining 81 (24%) identified smelters have not started a valid independent third-party audit to confirm their conflict-free status. Accordingly, the conflict-free status of these 81 unaudited smelters as well as the 19 active smelters that are in various stages of the audit process is reported in this conflict minerals report as undeterminable.

Philips did not discontinue business with any direct suppliers in the reporting period because Philips did not identify any reason to believe that any of the suppliers were purchasing 3TG that directly or indirectly finances or benefits armed groups in the DRC or adjoining countries nor has any supplier refused to continue investigating and potentially eliminate a red flag smelter from the supply chain, if confirmed. Philips

 

11


nevertheless continues to review and potentially remove smelters from its supply chain when Philips has concerns regarding their due diligence process and/or sourcing practices. This includes analysis of current events and related to applicable sanctions and embargoes. Given the fact that neither Philips nor its suppliers have a direct business relationship with the entities with respect to which Philips is further investigating concerns, the process takes time.

6. Determination

Philips has not been able to confirm the identification of a conflict-free status under the RMAP standards for all smelters used in its supply chain. However, none of the smelters identified in Philips’ supply chain is known to Philips as sourcing 3TG that directly or indirectly finances or benefits armed groups in the DRC or adjoining countries.

 

LOGO

As a result of the due diligence measures performed, Philips provides below the known smelter facilities that may have been used to process 3TG metals contained in Philips’s products, and their conflict-free status. The conflict-free status is based on information the RMI provides to its members. Philips includes the category “RMI Active” as it shows smelters that committed to or are currently in the process of undertaking an audit. The list of smelter facilities provided in Section 8 of this Conflict Minerals Report includes all 332 entities that were confirmed to be eligible smelters.

This Conflict Minerals Report is intended to cover Philips’ entire product portfolio that uses 3TG. Given Philips’ large product portfolio and extensive supplier base, Philips does not have component level information from all 5,800 first tier suppliers. This means our list of processing smelters and refiners disclosed in Section 8 may contain more facilities than those that actually processed the conflict minerals contained in our products. As a result, the approach is to conduct supply chain due diligence and report at the company level for the entire product portfolio, rather than for specific Philips products. This enables Philips to focus its efforts on building, maintaining, and improving a robust due diligence program.

7. Steps to improve future Philips conflict minerals due diligence program

For reporting year 2022, Philips plans to:

 

12


   

Continue to leverage its position as a strategic partner in the European Partnership for Responsible Minerals (EPRM), a public-private cooperation that supports and complements the EU conflict minerals legislation. As a strategic partner, Philips will engage in responsible sourcing projects (with a scope broadened to other conflict and high-risk areas world-wide as well as a wider array of human rights and environmental issues addressed) in order to increase the supply and demand for responsibly sourced minerals. Furthermore, Philips will act as a liaison between EPRM and other responsible sourcing initiatives in which Philips participates (e.g. the Dutch Covenant on Gold).

 

   

Continue engagement with existing industry programs and groups, such as responsible sourcing and upstream impact programs and workgroups initiated under the Responsible Minerals Initiative (RMI), to encourage further adoption, improvement, and reliability in relevant programs, tools and standards.

 

   

Continue to reach out to smelters to encourage their participation in relevant responsible sourcing initiatives.

 

   

Strengthen our work with priority suppliers to:

 

   

help them understand and satisfy Philips’ responsible sourcing expectations

 

   

help them implement or further improve their due diligence process aligned with international best practices

 

   

investigate their supply chain and identify smelters

 

   

confirm the conflict-free status of identified smelters

 

   

Continue to communicate to priority suppliers Philips’ expectation that they steer their supply chain towards smelters audited as conformant to the Responsible Minerals Assurance Process (RMAP) or other equivalent programs.

 

   

Continue exploring its supply chain for cobalt and perform due diligence to include cobalt, which is not included in the definition of “conflict minerals” but has been linked to human rights risks in the DRC. In 2021, we reached a 100% response rate from cobalt suppliers.

 

13


8. List of smelter facilities

The table below represents a consolidated list of smelters (332 in total) identified by Philips’ priority suppliers. The results are based on:

 

   

Information provided by the selected priority suppliers in their CMRTs

 

   

RMI smelter reference list, as included in the CMRT version 6.1 (released April 28, 2021)

 

   

Smelter database information available to the RMI members – version May 3, 2022

 

Metal

  

Smelter ID

  

Standard Smelter Name

  

RMAP
Compliant

  

RMI
Active

Gold    CID000015    Advanced Chemical Company    YES    NO
Gold    CID000019    Aida Chemical Industries Co., Ltd.    YES    NO
Gold    CID000035    Agosi AG    YES    NO
Gold    CID000041    Almalyk Mining and Metallurgical Complex (AMMC)    YES    NO
Gold    CID000058    AngloGold Ashanti Corrego do Sitio Mineracao    YES    NO
Gold    CID000077    Argor-Heraeus S.A.    YES    NO
Gold    CID000082    Asahi Pretec Corp.    YES    NO
Gold    CID000090    Asaka Riken Co., Ltd.    YES    NO
Gold    CID000113    Aurubis AG    YES    NO
Gold    CID000128    Bangko Sentral ng Pilipinas (Central Bank of the Philippines)    YES    NO
Gold    CID000157    Boliden AB    YES    NO
Gold    CID000176    C. Hafner GmbH + Co. KG    YES    NO
Gold    CID000185    CCR Refinery – Glencore Canada Corporation    YES    NO
Gold    CID000189    Cendres + Metaux S.A.    YES    NO
Gold    CID000233    Chimet S.p.A.    YES    NO
Gold    CID000264    Chugai Mining    YES    NO
Gold    CID000359    DSC (Do Sung Corporation)    YES    NO
Gold    CID000401    Dowa    YES    NO
Gold    CID000425    Eco-System Recycling Co., Ltd. East Plant    YES    NO
Gold    CID000689    LT Metal Ltd.    YES    NO
Gold    CID000694    Heimerle + Meule GmbH    YES    NO
Gold    CID000707    Heraeus Metals Hong Kong Ltd.    YES    NO
Gold    CID000711    Heraeus Germany GmbH Co. KG    YES    NO
Gold    CID000801    Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.    YES    NO
Gold    CID000807    Ishifuku Metal Industry Co., Ltd.    YES    NO
Gold    CID000814    Istanbul Gold Refinery    YES    NO
Gold    CID000823    Japan Mint    YES    NO
Gold    CID000855    Jiangxi Copper Co., Ltd.    YES    NO
Gold    CID000920    Asahi Refining USA Inc.    YES    NO
Gold    CID000924    Asahi Refining Canada Ltd.    YES    NO
Gold    CID000937    JX Nippon Mining & Metals Co., Ltd.    YES    NO
Gold    CID000957    Kazzinc    YES    NO
Gold    CID000969    Kennecott Utah Copper LLC    YES    NO

 

14


Metal

  

Smelter ID

  

Standard Smelter Name

  

RMAP
Compliant

  

RMI
Active

Gold    CID000981    Kojima Chemicals Co., Ltd.    YES    NO
Gold    CID001078    LS-NIKKO Copper Inc.    YES    NO
Gold    CID001113    Materion    YES    NO
Gold    CID001119    Matsuda Sangyo Co., Ltd.    YES    NO
Gold    CID001147    Metalor Technologies (Suzhou) Ltd.    YES    NO
Gold    CID001149    Metalor Technologies (Hong Kong) Ltd.    YES    NO
Gold    CID001152    Metalor Technologies (Singapore) Pte., Ltd.    YES    NO
Gold    CID001153    Metalor Technologies S.A.    YES    NO
Gold    CID001157    Metalor USA Refining Corporation    YES    NO
Gold    CID001161    Metalurgica Met-Mex Penoles S.A. De C.V.    YES    NO
Gold    CID001188    Mitsubishi Materials Corporation    YES    NO
Gold    CID001193    Mitsui Mining and Smelting Co., Ltd.    YES    NO
Gold    CID001220    Nadir Metal Rafineri San. Ve Tic. A.S.    YES    NO
Gold    CID001236    Navoi Mining and Metallurgical Combinat    YES    NO
Gold    CID001259    Nihon Material Co., Ltd.    YES    NO
Gold    CID001325    Ohura Precious Metal Industry Co., Ltd.    YES    NO
Gold    CID001352    PAMP S.A.    YES    NO
Gold    CID001397    PT Aneka Tambang (Persero) Tbk    YES    NO
Gold    CID001498    PX Precinox S.A.    YES    NO
Gold    CID001512    Rand Refinery (Pty) Ltd.    YES    NO
Gold    CID001534    Royal Canadian Mint    YES    NO
Gold    CID001555    Samduck Precious Metals    YES    NO
Gold    CID001585    SEMPSA Joyeria Plateria S.A.    YES    NO
Gold    CID001622    Shandong Zhaojin Gold & Silver Refinery Co., Ltd.    YES    NO
Gold    CID001736    Sichuan Tianze Precious Metals Co., Ltd.    YES    NO
Gold    CID001761    Solar Applied Materials Technology Corp.    YES    NO
Gold    CID001798    Sumitomo Metal Mining Co., Ltd.    YES    NO
Gold    CID001875    Tanaka Kikinzoku Kogyo K.K.    YES    NO
Gold    CID001916    Shandong Gold Smelting Co., Ltd.    YES    NO
Gold    CID001938    Tokuriki Honten Co., Ltd.    YES    NO
Gold    CID001955    Torecom    YES    NO
Gold    CID001980    Umicore S.A. Business Unit Precious Metals Refining    YES    NO
Gold    CID001993    United Precious Metal Refining, Inc.    YES    NO
Gold    CID002003    Valcambi S.A.    YES    NO
Gold    CID002030    Western Australian Mint (T/a The Perth Mint)    YES    NO
Gold    CID002100    Yamakin Co., Ltd.    YES    NO
Gold    CID002129    Yokohama Metal Co., Ltd.    YES    NO
Gold    CID002224    Zhongyuan Gold Smelter of Zhongjin Gold Corporation    YES    NO
Gold    CID002243    Gold Refinery of Zijin Mining Group Co., Ltd.    YES    NO
Gold    CID002290    SAFINA A.S.    YES    NO
Gold    CID002314    Umicore Precious Metals Thailand    YES    NO
Gold    CID002459    Geib Refining Corporation    YES    NO
Gold    CID002509    MMTC-PAMP India Pvt., Ltd.    YES    NO
Gold    CID002511    KGHM Polska Miedz Spolka Akcyjna    YES    NO
Gold    CID002516    Singway Technology Co., Ltd.    YES    NO

 

15


Metal

  

Smelter ID

  

Standard Smelter Name

  

RMAP
Compliant

  

RMI
Active

Gold

  

CID002560

  

Al Etihad Gold Refinery DMCC

   YES    NO

Gold

  

CID002561

  

Emirates Gold DMCC

   YES    NO

Gold

  

CID002580

  

T.C.A S.p.A

   YES    NO

Gold

  

CID002582

  

REMONDIS PMR B.V.

   YES    NO

Gold

  

CID002605

  

Korea Zinc Co., Ltd.

   YES    NO

Gold

  

CID002606

  

Marsam Metals

   YES    NO

Gold

  

CID002615

  

TOO Tau-Ken-Altyn

   YES    NO

Gold

  

CID002761

  

SAAMP

   YES    NO

Gold

  

CID002762

  

L’Orfebre S.A.

   YES    NO

Gold

  

CID002763

  

8853 S.p.A.

   YES    NO

Gold

  

CID002765

  

Italpreziosi

   YES    NO

Gold

  

CID002778

  

WIELAND Edelmetalle GmbH

   YES    NO

Gold

  

CID002779

  

Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH

   YES    NO

Gold

  

CID002863

  

Bangalore Refinery

   YES    NO

Gold

  

CID002918

  

SungEel HiMetal Co., Ltd.

   YES    NO

Gold

  

CID002919

  

Planta Recuperadora de Metales SpA

   YES    NO

Gold

  

CID002973

  

Safimet S.p.A

   YES    NO

Gold

  

CID003189

  

NH Recytech Company

   YES    NO

Gold

  

CID003424

  

Eco-System Recycling Co., Ltd. North Plant

   YES    NO

Gold

  

CID003425

  

Eco-System Recycling Co., Ltd. West Plant

   YES    NO

Gold

  

CID003575

  

Metal Concentrators SA (Pty) Ltd.

   YES    NO

Gold

  

CID002708

  

Abington Reldan Metals, LLC

   NO    YES

Gold

  

CID002852

  

GGC Gujrat Gold Centre Pvt. Ltd.

   NO    YES

Gold

  

CID003421

  

C.I Metales Procesados Industriales SAS

   NO    YES

Gold

  

CID003461

  

Augmont Enterprises Private Limited

   NO    YES

Gold

  

CID003500

  

Alexy Metals

   NO    YES

Gold

  

CID003529

  

Sancus ZFS (L’Orfebre, SA)

   NO    YES

Gold

  

CID003615

  

WEEEREFINING

   NO    YES

Gold

  

CID000778

  

HwaSeong CJ CO., LTD.

   NO    NO

Gold

  

CID001546

  

Sabin Metal Corp.

   NO    NO

Gold

  

CID001562

  

Samwon Metals Corp.

   NO    NO

Gold

  

CID002872

  

Pease & Curren

   NO    NO

Gold

  

CID003540

  

Sellem Industries Ltd.

   NO    NO

Gold

  

CID000343

  

Daye Non-Ferrous Metals Mining Ltd.

   NO    NO

Gold

  

CID000956

  

Kazakhmys Smelting LLC

   NO    NO

Gold

  

CID002282

  

Morris and Watson

   NO    NO

Gold

  

CID002562

  

International Precious Metal Refiners

   NO    NO

Gold

  

CID003463

  

Kundan Care Products Ltd.

   NO    NO

Gold

  

CID003487

  

Emerald Jewel Industry India Limited (Unit 1)

   NO    NO

Gold

  

CID003488

  

Emerald Jewel Industry India Limited (Unit 2)

   NO    NO

Gold

  

CID003489

  

Emerald Jewel Industry India Limited (Unit 3)

   NO    NO

Gold

  

CID003490

  

Emerald Jewel Industry India Limited (Unit 4)

   NO    NO

Gold

  

CID003548

  

MD Overseas

   NO    NO

Gold

  

CID003557

  

Metallix Refining Inc.

   NO    NO

Gold

  

CID003617

  

Value Trading

   NO    NO

 

16


Metal

  

Smelter ID

  

Standard Smelter Name

  

RMAP
Compliant

  

RMI
Active

Gold    CID000493    JSC Novosibirsk Refinery    NO    NO
Gold    CID000929    JSC Uralelectromed    NO    NO
Gold    CID001029    Kyrgyzaltyn JSC    NO    NO
Gold    CID001204    Moscow Special Alloys Processing Plant    NO    NO
Gold    CID001326    OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)    NO    NO
Gold    CID001386    Prioksky Plant of Non-Ferrous Metals    NO    NO
Gold    CID001756    SOE Shyolkovsky Factory of Secondary Precious Metals    NO    NO
Gold    CID002850    AU Traders and Refiners    NO    NO
Gold    CID002857    Modeltech Sdn Bhd    NO    NO
Gold    CID000103    Atasay Kuyumculuk Sanayi Ve Ticaret A.S.    NO    NO
Gold    CID000180    Caridad    NO    NO
Gold    CID000197    Yunnan Copper Industry Co., Ltd.    NO    NO
Gold    CID000522    Refinery of Seemine Gold Co., Ltd.    NO    NO
Gold    CID000651    Guoda Safina High-Tech Environmental Refinery Co., Ltd.    NO    NO
Gold    CID000671    Hangzhou Fuchunjiang Smelting Co., Ltd.    NO    NO
Gold    CID000767    Hunan Chenzhou Mining Co., Ltd.    NO    NO
Gold    CID000773    Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd.    NO    NO
Gold    CID001056    Lingbao Gold Co., Ltd.    NO    NO
Gold    CID001058    Lingbao Jinyuan Tonghui Refinery Co., Ltd.    NO    NO
Gold    CID001093    Luoyang Zijin Yinhui Gold Refinery Co., Ltd.    NO    NO
Gold    CID001362    Penglai Penggang Gold Industry Co., Ltd.    NO    NO
Gold    CID001619    Shandong Tiancheng Biological Gold Industrial Co., Ltd.    NO    NO
Gold    CID001909    Great Wall Precious Metals Co., Ltd. of CBPM    NO    NO
Gold    CID001947    Tongling Nonferrous Metals Group Co., Ltd.    NO    NO
Gold    CID002312    Guangdong Jinding Gold Limited    NO    NO
Gold    CID002525    Shandong Humon Smelting Co., Ltd.    NO    NO
Gold    CID002527    Shenzhen Zhonghenglong Real Industry Co., Ltd.    NO    NO
Gold    CID002584    Fujairah Gold FZC    NO    NO
Gold    CID002588    Shirpur Gold Refinery Ltd.    NO    NO
Gold    CID002853    Sai Refinery    NO    NO
Gold    CID002865    Kyshtym Copper-Electrolytic Plant ZAO    NO    NO
Gold    CID002867    Degussa Sonne / Mond Goldhandel GmbH    NO    NO
Gold    CID002893    JALAN & Company    NO    NO
Gold    CID003153    State Research Institute Center for Physical Sciences and Technology    NO    NO
Gold    CID003186    Gold Coast Refinery    NO    NO
Gold    CID003324    QG Refining, LLC    NO    NO
Gold    CID003348    Dijllah Gold Refinery FZC    NO    NO
Gold    CID003382    CGR Metalloys Pvt Ltd.    NO    NO
Gold    CID003383    Sovereign Metals    NO    NO
Gold    CID003497    K.A. Rasmussen    NO    NO
Gold    CID001810    Super Dragon Technology Co., Ltd.    NO    NO
Gold    CID001032    L’azurde Company For Jewelry    NO    NO
Tantalum    CID000211    Changsha South Tantalum Niobium Co., Ltd.    YES    NO

 

17


Metal

  

Smelter ID

  

Standard Smelter Name

  

RMAP
Compliant

  

RMI
Active

Tantalum    CID000460    F&X Electro-Materials Ltd.    YES    NO
Tantalum    CID000616    XIMEI RESOURCES (GUANGDONG) LIMITED    YES    NO
Tantalum    CID000914    JiuJiang JinXin Nonferrous Metals Co., Ltd.    YES    NO
Tantalum    CID000917    Jiujiang Tanbre Co., Ltd.    YES    NO
Tantalum    CID001076    AMG Brasil    YES    NO
Tantalum    CID001163    Metallurgical Products India Pvt., Ltd.    YES    NO
Tantalum    CID001175    Mineracao Taboca S.A.    YES    NO
Tantalum    CID001192    Mitsui Mining and Smelting Co., Ltd.    YES    NO
Tantalum    CID001200    NPM Silmet AS    YES    NO
Tantalum    CID001277    Ningxia Orient Tantalum Industry Co., Ltd.    YES    NO
Tantalum    CID001508    QuantumClean    YES    NO
Tantalum    CID001522    Yanling Jincheng Tantalum & Niobium Co., Ltd.    YES    NO
Tantalum    CID001769    Solikamsk Magnesium Works OAO    YES    NO
Tantalum    CID001869    Taki Chemical Co., Ltd.    YES    NO
Tantalum    CID001891    Telex Metals    YES    NO
Tantalum    CID001969    Ulba Metallurgical Plant JSC    YES    NO
Tantalum    CID002492    Hengyang King Xing Lifeng New Materials Co., Ltd.    YES    NO
Tantalum    CID002504    D Block Metals, LLC    YES    NO
Tantalum    CID002505    FIR Metals & Resource Ltd.    YES    NO
Tantalum    CID002506    Jiujiang Zhongao Tantalum & Niobium Co., Ltd.    YES    NO
Tantalum    CID002508    XinXing HaoRong Electronic Material Co., Ltd.    YES    NO
Tantalum    CID002512    Jiangxi Dinghai Tantalum & Niobium Co., Ltd.    YES    NO
Tantalum    CID002539    KEMET de Mexico    YES    NO
Tantalum    CID002544    TANIOBIS Co., Ltd.    YES    NO
Tantalum    CID002545    TANIOBIS GmbH    YES    NO
Tantalum    CID002547    H.C. Starck Hermsdorf GmbH    YES    NO
Tantalum    CID002548    H.C. Starck Inc.    YES    NO
Tantalum    CID002549    TANIOBIS Japan Co., Ltd.    YES    NO
Tantalum    CID002550    TANIOBIS Smelting GmbH & Co. KG    YES    NO
Tantalum    CID002557    Global Advanced Metals Boyertown    YES    NO
Tantalum    CID002558    Global Advanced Metals Aizu    YES    NO
Tantalum    CID002707    Resind Industria e Comercio Ltda.    YES    NO
Tantalum    CID002842    Jiangxi Tuohong New Raw Material    YES    NO
Tantalum    CID003583    RFH Yancheng Jinye New Material Technology Co., Ltd.    YES    NO
Tantalum    CID000291    Guangdong Rising Rare Metals-EO Materials Ltd.    YES    NO
Tin    CID000228    Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.    YES    NO
Tin    CID000292    Alpha    YES    NO
Tin    CID000402    Dowa    YES    NO
Tin    CID000438    EM Vinto    YES    NO
Tin    CID000448    Estanho de Rondonia S.A.    YES    NO
Tin    CID000468    Fenix Metals    YES    NO
Tin    CID000538    Gejiu Non-Ferrous Metal Processing Co., Ltd.    YES    NO
Tin    CID000555    Gejiu Zili Mining And Metallurgy Co., Ltd.    YES    NO
Tin    CID001070    China Tin Group Co., Ltd.    YES    NO
Tin    CID001105    Malaysia Smelting Corporation (MSC)    YES    NO

 

18


Metal

  

Smelter ID

  

Standard Smelter Name

  

RMAP
Compliant

  

RMI
Active

Tin    CID001142    Metallic Resources, Inc.    YES    NO
Tin    CID001173    Mineracao Taboca S.A.    YES    NO
Tin    CID001182    Minsur    YES    NO
Tin    CID001191    Mitsubishi Materials Corporation    YES    NO
Tin    CID001231    Jiangxi New Nanshan Technology Ltd.    YES    NO
Tin    CID001305    Novosibirsk Processing Plant Ltd.    YES    NO
Tin    CID001314    O.M. Manufacturing (Thailand) Co., Ltd.    YES    NO
Tin    CID001337    Operaciones Metalurgicas S.A.    YES    NO
Tin    CID001399    PT Artha Cipta Langgeng    YES    NO
Tin    CID001402    PT Babel Inti Perkasa    YES    NO
Tin    CID001406    PT Babel Surya Alam Lestari    YES    NO
Tin    CID001428    PT Bukit Timah    YES    NO
Tin    CID001453    PT Mitra Stania Prima    YES    NO
Tin    CID001458    PT Prima Timah Utama    YES    NO
Tin    CID001460    PT Refined Bangka Tin    YES    NO
Tin    CID001463    PT Sariwiguna Binasentosa    YES    NO
Tin    CID001468    PT Stanindo Inti Perkasa    YES    NO
Tin    CID001477    PT Timah Tbk Kundur    YES    NO
Tin    CID001482    PT Timah Tbk Mentok    YES    NO
Tin    CID001490    PT Tinindo Inter Nusa    YES    NO
Tin    CID001539    Rui Da Hung    YES    NO
Tin    CID001758    Soft Metais Ltda.    YES    NO
Tin    CID001898    Thaisarco    YES    NO
Tin    CID001908    Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.    YES    NO
Tin    CID002036    White Solder Metalurgia e Mineracao Ltda.    YES    NO
Tin    CID002158    Yunnan Chengfeng Non-ferrous Metals Co., Ltd.    YES    NO
Tin    CID002180    Tin Smelting Branch of Yunnan Tin Co., Ltd.    YES    NO
Tin    CID002468    Magnu’s Minerais Metais e Ligas Ltda.    YES    NO
Tin    CID002503    PT ATD Makmur Mandiri Jaya    YES    NO
Tin    CID002517    O.M. Manufacturing Philippines, Inc.    YES    NO
Tin    CID002696    PT Cipta Persada Mulia    YES    NO
Tin    CID002706    Resind Industria e Comercio Ltda.    YES    NO
Tin    CID002773    Metallo Belgium N.V.    YES    NO
Tin    CID002774    Metallo Spain S.L.U.    YES    NO
Tin    CID002834    Thai Nguyen Mining and Metallurgy Co., Ltd.    YES    NO
Tin    CID002835    PT Menara Cipta Mulia    YES    NO
Tin    CID003116    Guangdong Hanhe Non-Ferrous Metal Co., Ltd.    YES    NO
Tin    CID003190    Chifeng Dajingzi Tin Industry Co., Ltd.    YES    NO
Tin    CID003205    PT Bangka Serumpun    YES    NO
Tin    CID003325    Tin Technology & Refining    YES    NO
Tin    CID003379    Ma’anshan Weitai Tin Co., Ltd.    YES    NO
Tin    CID003381    PT Rajawali Rimba Perkasa    YES    NO
Tin    CID003387    Luna Smelter, Ltd.    YES    NO
Tin    CID003524    CRM Synergies    YES    NO
Tin    CID003582    Fabrica Auricchio Industria e Comercio Ltda.    YES    NO

 

19


Metal

  

Smelter ID

  

Standard Smelter Name

  

RMAP
Compliant

  

RMI
Active

Tin    CID000309    PT Aries Kencana Sejahtera    NO    YES
Tin    CID001486    PT Timah Nusantara    NO    YES
Tin    CID002455    CV Venus Inti Perkasa    NO    YES
Tin    CID002756    Super Ligas    NO    YES
Tin    CID002816    PT Sukses Inti Makmur    NO    YES
Tin    CID003449    PT Mitra Sukses Globalindo    NO    YES
Tin    CID003486    CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda    NO    YES
Tin    CID003380    PT Masbro Alam Stania    NO    YES
Tin    CID002570    CV Ayi Jaya    NO    NO
Tin    CID001493    PT Tommy Utama    NO    NO
Tin    CID000942    Gejiu Kai Meng Industry and Trade LLC    NO    NO
Tin    CID002572    Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company    NO    NO
Tin    CID002858    Modeltech Sdn Bhd    NO    NO
Tin    CID003356    Dongguan CiEXPO Environmental Engineering Co., Ltd.    NO    NO
Tin    CID003397    Yunnan Yunfan Non-ferrous Metals Co., Ltd.    NO    NO
Tin    CID003409    Precious Minerals and Smelting Limited    NO    NO
Tin    CID002015    VQB Mineral and Trading Group JSC    NO    NO
Tin    CID002500    Melt Metais e Ligas S.A.    NO    NO
Tin    CID002573    Nghe Tinh Non-Ferrous Metals Joint Stock Company    NO    NO
Tin    CID002574    Tuyen Quang Non-Ferrous Metals Joint Stock Company    NO    NO
Tin    CID002703    An Vinh Joint Stock Mineral Processing Company    NO    NO
Tin    CID003208    Pongpipat Company Limited    NO    NO
Tin    CID003410    Gejiu City Fuxiang Industry and Trade Co., Ltd.    NO    NO
Tin    CID001421    PT Belitung Industri Sejahtera    NO    NO
Tin    CID001457    PT Panca Mega Persada    NO    NO
Tin    CID002478    PT Tirus Putra Mandiri    NO    NO
Tungsten    CID000004    A.L.M.T. Corp.    YES    NO
Tungsten    CID000105    Kennametal Huntsville    YES    NO
Tungsten    CID000218    Guangdong Xianglu Tungsten Co., Ltd.    YES    NO
Tungsten    CID000258    Chongyi Zhangyuan Tungsten Co., Ltd.    YES    NO
Tungsten    CID000568    Global Tungsten & Powders Corp.    YES    NO
Tungsten    CID000766    Hunan Chenzhou Mining Co., Ltd.    YES    NO
Tungsten    CID000769    Hunan Chunchang Nonferrous Metals Co., Ltd.    YES    NO
Tungsten    CID000825    Japan New Metals Co., Ltd.    YES    NO
Tungsten    CID000875    Ganzhou Huaxing Tungsten Products Co., Ltd.    YES    NO
Tungsten    CID000966    Kennametal Fallon    YES    NO
Tungsten    CID002044    Wolfram Bergbau und Hutten AG    YES    NO
Tungsten    CID002082    Xiamen Tungsten Co., Ltd.    YES    NO
Tungsten    CID002315    Ganzhou Jiangwu Ferrotungsten Co., Ltd.    YES    NO
Tungsten    CID002316    Jiangxi Yaosheng Tungsten Co., Ltd.    YES    NO
Tungsten    CID002317    Jiangxi Xinsheng Tungsten Industry Co., Ltd.    YES    NO
Tungsten    CID002318    Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.    YES    NO
Tungsten    CID002319    Malipo Haiyu Tungsten Co., Ltd.    YES    NO

 

20


Metal

  

Smelter ID

  

Standard Smelter Name

  

RMAP
Compliant

  

RMI
Active

Tungsten    CID002320    Xiamen Tungsten (H.C.) Co., Ltd.    YES    NO
Tungsten    CID002321    Jiangxi Gan Bei Tungsten Co., Ltd.    YES    NO
Tungsten    CID002494    Ganzhou Seadragon W & Mo Co., Ltd.    YES    NO
Tungsten    CID002502    Asia Tungsten Products Vietnam Ltd.    YES    NO
Tungsten    CID002513    Hunan Shizhuyuan Nonferrous Metals Co., Ltd. Chenzhou Tungsten Products Branch    YES    NO
Tungsten    CID002541    H.C. Starck Tungsten GmbH    YES    NO
Tungsten    CID002542    TANIOBIS Smelting GmbH & Co. KG    YES    NO
Tungsten    CID002543    Masan High-Tech Materials    YES    NO
Tungsten    CID002551    Jiangwu H.C. Starck Tungsten Products Co., Ltd.    YES    NO
Tungsten    CID002589    Niagara Refining LLC    YES    NO
Tungsten    CID002641    China Molybdenum Tungsten Co., Ltd.    YES    NO
Tungsten    CID002645    Ganzhou Haichuang Tungsten Co., Ltd.    YES    NO
Tungsten    CID002649    Hydrometallurg, JSC    YES    NO
Tungsten    CID002724    Unecha Refractory metals plant    YES    NO
Tungsten    CID002827    Philippine Chuangxin Industrial Co., Inc.    YES    NO
Tungsten    CID002830    Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.    YES    NO
Tungsten    CID002833    ACL Metais Eireli    YES    NO
Tungsten    CID002845    Moliren Ltd.    YES    NO
Tungsten    CID003388    KGETS Co., Ltd.    YES    NO
Tungsten    CID003401    Fujian Ganmin RareMetal Co., Ltd.    YES    NO
Tungsten    CID003407    Lianyou Metals Co., Ltd.    YES    NO
Tungsten    CID003408    JSC “Kirovgrad Hard Alloys Plant”    YES    NO
Tungsten    CID003417    Hubei Green Tungsten Co., Ltd.    YES    NO
Tungsten    CID003468    Cronimet Brasil Ltda    YES    NO
Tungsten    CID003609    Fujian Xinlu Tungsten Co., Ltd.    YES    NO
Tungsten    CID003416    NPP Tyazhmetprom LLC    NO    YES
Tungsten    CID003427    Albasteel Industria e Comercio de Ligas Para Fundicao Ltd.    NO    YES
Tungsten    CID003612    OOO “Technolom” 2    NO    YES
Tungsten    CID003614    OOO “Technolom” 1    NO    YES
Tungsten    CID002313    Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.    NO    NO
Tungsten    CID000281    CNMC (Guangxi) PGMA Co., Ltd.    NO    NO
Tungsten    CID003553    Artek LLC    NO    NO
Tungsten    CID003643    LLC Vostok    NO    NO

 

21


9. Data sources used

 

   

RMI Reasonable Country of Origin Inquiry report – version March 25, 2022

 

   

CMRTs received from priority suppliers until 30 April 2022

 

   

RMI smelter reference list, as included in the CMRT version 6.1 (released April 28, 2021)

 

   

Smelter database information available to the RMI members – version May 3, 2022

10. Abbreviations

 

Abbreviation

  

Term

3TG    Tin, tantalum, tungsten, and gold
CAHRA    Conflict Affected or High Risk Area
CFSI    Conflict Free Sourcing Initiative
CFSP    Conflict Free Smelter Program
CMRT    RMI Conflict Minerals Reporting Template
EICC    Electronics Industry Citizenship Coalition
EPRM    European Partnership for Responsible Minerals
Form SD    Specialized Disclosure Form
GBP    General Business Principles
GeSI    Global e-Sustainability Initiative
OECD    Organization for Economic Cooperation and Development
RBA    Responsible Business Alliance
RCOI    Reasonable Country of Origin Inquiry
RMAP    Responsible Minerals Assurance Process
RMI    Responsible Minerals Initiative
SEC    Securities and Exchange Commission
SSD    Supplier Sustainability Declaration

 

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