Form SD BAKER HUGHES a GE Co
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
__________________________
Form SD
__________________________
Specialized Disclosure Report
Baker Hughes, a GE company, LLC
| State of incorporation/organization: | Commission File Number: | IRS Employer Identification Number: |
| Delaware | 1-9397 | 76-0207995 |
| Address of principal executive offices: | Person to contact in connection with this report: |
|
17021 Aldine Westfield Houston TX 77073 |
William D. Marsh Chief Legal Officer (713) 439-8600 |
| Rule pursuant to which this form is being filed: | Period to which the information in this form applies: |
|
☒ Rule 13p-1, 17 CFR 240.13p-1 – Securities Exchange Act, 15 U.S.C 78m(p) – Section 1502, Dodd-Frank Act
☐ Securities Exchange Act, 15 U.S.C 78m(q) – Section 1504, Dodd-Frank Act |
January 1, 2017 to December 31, 2017 |
Section 1 – Conflict Minerals Disclosures
| Item 1.01 | Conflict Minerals Disclosure and Report |
Reasonable Country of Origin Inquiry
Determinations made.
Baker Hughes, a GE company, LLC (“Baker Hughes,” “Company,” “we,” “our” and “us”), a Delaware limited liability company, and successor to Baker Hughes Incorporated, a Delaware corporation determined that we obtained in calendar year 2017 conflict minerals necessary for the production of certain products manufactured or contracted to be manufactured for sale by the Company.
Description of inquiry.
The Company’s inquiry is described in this Specialized Disclosure Report, which includes our Conflict Minerals Report (the “Report”) attached to this Form SD as Exhibit 1.01.
Additional information on the Company’s conflict minerals compliance program can be found at the following web page:
http://www.bakerhughes.com/company/corporate-social-responsibility/human-rights-and-security/conflict-minerals/due-diligence-framework.
Results of inquiry.
Approximately 94% of the materials processed by smelters or refiners (“SORs”) from which the Company’s suppliers sourced the relevant minerals used in the Company’s in-scope products either did not come from the Democratic Republic of Congo (“DRC”) or the applicable adjoining countries (collectively, “DRC Region”), or were recycled or scrap. A table listing all originating countries and recycled or scrap sources for each conflict mineral is set forth as Schedule 1 to the Report.
Conflict Minerals Disclosure
A copy of this Form SD and the Report, for the calendar year ended December 31, 2017, are available for access by all interested parties on the Company’s public Internet Web site, at
http://www.bakerhughes.com/company/corporate-social-responsibility/human-rights-and-security/conflict-minerals.
Conflict Minerals Report
The Company has filed the Report, which is attached as Exhibit 1.01, contemporaneously with this Form SD.
Section 2 – Exhibits
| Item 2.01 | Exhibits |
| Exhibit 1.01 | Conflict Minerals Report |
Signature
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this Report to be signed on its behalf by the duly authorized undersigned.
Baker Hughes, a GE company, LLC
| /s/ Jody Markopoulos | 5/31/2018 | ||
| By Jody Markopoulos | Date | ||
| Chief Supply Chain Officer |
Exhibit 1.01
Conflict Minerals Report
This Report has been prepared pursuant to Rule 13p-1 of the Securities Exchange Act of 1934, as amended (“Rule 13p-1”) for the reporting period from January 1 to December 31, 2017. The Company is a leading supplier of oilfield services, products, and digital solutions and operates in more than 120 countries around the world.
The Company’s supply chain is both global and complex, and there are multiple tiers of suppliers between the Company and the original sources of minerals used in the Company’s products. Therefore, the Company relied on its direct suppliers to provide information about the origin of conflict minerals in the raw materials and components it purchased for use in the manufacture of, or contracts to manufacture, products that the Company offers for sale. On July 3, 2017, we closed our business combination to combine the oil and gas business (GE O&G) of General Electric Company and Baker Hughes Incorporated. In accordance with the Securities and Exchange Commission (“SEC”) rules, this Report excludes GE O&G.
The Report contains forward-looking statements within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Securities Exchange Act of 1934, as amended, (each a “forward-looking statement”). The words “will,” “intend,” “anticipate,” “believe,” “ensure,” “expect,” “if,” “estimate,” “project,” “foresee,” “predict,” “outlook,” “aim,” “could,” “should,” “potential,” “would,” “may,” “probable,” “likely,” and similar expressions, and the negative thereof, are intended to identify forward-looking statements. These forward-looking statements are also affected by the risk factors described in the Company’s Annual Report on Form 10-K for the year ended December 31, 2017, Quarterly Report on Form 10-Q for the quarter ended March 31, 2018, recent Current Reports on Form 8-K, and other Securities and Exchange Commission filings available through the Company’s website at: www.bhge.com/investor or through the SEC’s Electronic Data Gathering and Analysis Retrieval (“EDGAR”) system at: www.sec.gov. The Company undertakes no obligation to publicly update or revise any forward-looking statement.
Reasonable Country of Origin Inquiry
Management Systems
The Company is committed to the responsible sourcing of raw materials and components necessary to the production or functionality of our products, and we have publicly posted this policy. The policy, including the commitment to establishing a conflict-free supply chain, may be found at:
http://www.bakerhughes.com/company/corporate-social-responsibility/human-rights-and-security/conflict-minerals.
In accordance with Rule 13p-1, the Company undertook a reasonable country of origin inquiry to determine the origin of the conflict minerals necessary to the production or functionality of the products we offered for sale during the reporting period. The Company undertook the following as part of that inquiry:
| · | established oversight of the processes and procedures of our program within our engineering and supply chain organization; |
| · | incorporated our Conflict Minerals policy in our master supplier agreement template for use with new and renewed contracts with suppliers; |
| · | utilized the Company’s existing mechanisms for reporting Conflict Minerals concerns, allowing contact by telephone, email and online, for both the public and internal reporters; |
| · | informed relevant suppliers of the Company’s expectations regarding supplier Conflict Minerals policy, due diligence processes, and responses to the Company’s requests for information; |
| · | identified those products we manufactured or contracted to manufacture that we reasonably believed contained one or more conflict minerals (defined as cassiterite, columbite-tantalite, gold, wolframite, and their derivatives, which are limited to tin, tantalum, tungsten, and gold collectively, the “Conflict Minerals” or sometimes “conflict minerals” or ”3TGs”), by first eliminating those products that were not subject to Rule 13p-1, including tool rentals, tools used in performance of our services, chemicals, and fluids; |
| · | using lessons learned during the previous reporting period, we prioritized our project scoping process to help identify relevant raw materials or components used in the manufacture or contract for manufacture of the products specifically identified in the step above; |
| · | identified 285 suppliers that provided the materials or components specifically identified and prioritized in the previous step; |
| · | engaged the services of a third-party conflict minerals service provider to create and maintain a supplier engagement portal; |
| · | using the third-party conflict minerals service provider’s technology platform, contacted the identified suppliers; |
| · | requested relevant suppliers to determine which of the materials or components they provided to the Company contained one or more conflict minerals; |
| · | requested these suppliers to in turn require their suppliers to comply with the Company’s conflict minerals requirements; |
| · | requested these suppliers to develop a policy and management system covering conflict minerals and to require their suppliers to in turn adopt similar policies and systems; |
| · | informed these suppliers of the informational and instructional materials available on our third-party conflict minerals service provider’s Conflict Minerals Resource Center web page, the Conflict Minerals Reporting Template (“CMRT”) questionnaire, and due diligence guidelines; |
| · | requested confirmation from these suppliers of the presence of every necessary conflict mineral in the raw materials or components they supplied to the Company, and information regarding the origin of those minerals; |
| · | established a deadline of May 11th, 2018 to provide the requested conflict minerals information and documentation; |
| · | followed up with unresponsive suppliers to request compliance with the Company’s requests for information and documentation, until the stated deadline by sending up to three e-mailed messages by the Company’s third-party service provider; |
| · | reviewed the responses compiled for each responding supplier to determine existence of a Conflict Minerals policy, due diligence process, and pass-through requirements for successive supplier tiers; |
| · | reviewed the responses compiled for each responding supplier to determine which smelters or refiners (“SORs”) were the source of necessary conflict minerals contained in the raw materials or components supplied to the Company; |
| · | received completed questionnaires from 68% of the identified suppliers contacted by our third-party conflict minerals service provider, an increase of 19% year-over-year; and |
| · | identified six SORs that pose a high risk of obtaining 3TGs from non-conflict free sources in the DRC Region. |
The Company’s representatives have also participated in monthly Responsible Minerals Initiative Multi-Stakeholder Group (MSG) calls, as well as attended various webinars, to enable us to consider best practices and to explore opportunities to participate in responsible sourcing and supply chain transparency. Additionally, a representative of the Company’s Conflict Minerals Management Team delivered presentations at various Conflict Minerals and Supply Chain conferences, to offer insight into the continued development of best practices.
The Company’s responding relevant suppliers identified 320 verified SORs believed to be the source of necessary conflict minerals contained in the raw materials or components supplied to the Company. Of those supplier-identified SORs, 6 were identified as posing a high risk of sourcing from mines supporting conflict in the DRC Region. These 6 SORs are more fully described in the table located in Schedule 2 below, and were subject to due diligence measures on the source and chain of custody of conflict minerals as described below.
Design of Due Diligence
The Company’s due diligence was designed in conformance with an internationally recognized due diligence framework, specifically, the Organization for Economic Cooperation and Development (OECD) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (Second Edition). OECD Step 1 is addressed above, under the heading “Reasonable Country of Origin Inquiry.” and Steps 2 – 5 are addressed below in the subheadings under “Due Diligence Measures Undertaken.”
On July 3, 2017, we closed our business combination to combine the oil and gas business (GE O&G) of General Electric Company and Baker Hughes Incorporated. In accordance with the SEC rules, this Report excludes GE O&G.
Due Diligence Measures Undertaken
Identification and Assessment of Risks in the Supply Chain
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The Company determined that approximately 2% of the identified SORs in our global supply chain required due diligence on source and chain of custody of the conflict minerals provided to the Company that were necessary for the manufacture of its products, based upon the applicability of one or more of the following criteria:
| · | reported sourcing conflict minerals from the conflict area; |
| · | provided data on SORs that self-report sourcing from a mine located in the conflict area; |
| · | provided data on SORs that were reported by independent entities to source from a mine located in the conflict area; |
| · | indicated that the SOR named by the supplier passed materials through a known or suspected country for smuggling, export out of other countries, or the transit of materials containing conflict minerals; or |
| · | provided information about an SOR indicating the origin of the materials was not from a country known to hold reserves. |
Response to Identified Risks
The Company undertook the following measures during due diligence on the source and chain of custody of the conflict minerals:
| · | independently verified all SOR information submitted by suppliers in their CMRTs, checking against the third-party conflict minerals service provider’s independent smelter research, including: |
| o | merged duplicate submissions following verification of overlapping company information; |
| o | eliminated submissions with garbage characters and obvious misspellings; |
| o | validated named entities as actual SORs; and |
| o | confirmed that each facility is a legitimate SOR of 3TGs; |
| · | gathered information on legitimate SORs in the SOR databases from several sources, including without limitation the third-party service provider’s independent research, Responsible Minerals Initiative (RMI), London Bullion Market Association (LBMA), the Dubai Multi Commodities Centre (DMCC), the Responsible Jewellery Council (RJC), the US Department of Commerce (DoC), and the US Geological Survey (USGS) (the “Third-Party Database”); |
| · | if a supplier did not provide a proper identification number issued by a validating entity, such as RMI or LBMA, we requested the supplier to provide the following information: |
| o | the metal processed by the facility; |
| o | the city, province/state and country where the facility is located; |
| o | the name and email address for the designated contact at the facility; |
| o | the recycled and scrap status of metals, minerals or ores processed by the facility; |
| o | if the facility sources all of its metals, minerals or ores solely from recycled or scrap materials, the country of origin of those materials; and |
| o | if the facility does not source all materials solely from recycled or scrap providers, the location of mines from which the facility sources its metals, minerals or ores; |
| · | labeled as “Valid” those SOR submissions from suppliers that matched the Third-Party Database of legitimate SORs and performed additional verification: |
| o | inquired whether the SOR has been audited by one or more recognized certification entities, such as RMI, LBMA, DMCC, or RJC, and if not, whether they undergo another form of an independent audit; and |
| o | those SORs that have not undergone a certification audit were asked if they plan to undertake a certification process in the future; |
| · | labeled as "Invalid" those SORs submitted by a supplier that matched the Third-Party Database list of facilities known not to be a legitimate facility, or a common erroneous or inoperative name; |
| · | labeled as "Undetermined” those SORs submitted by a supplier that did not match either the legitimate or non-legitimate lists in the Third-Party Database; |
| · | identified suppliers that submitted SOR names determined to be Invalid or Undetermined for future contact to correct or amend the pertinent information; |
| · | for each Valid SOR, we assigned a risk rating of Low, Medium or High, based on the following factors: |
| o | whether the facility has or has not already successfully undergone a certification audit by a recognized entity; |
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| o | whether the facility is registered with a certification body, and if so, is progressing toward completing an audit process by that body; |
| o | whether the facility is proximate to, conducts conflict mineral transactions with entities within, or transports materials through any of the following: |
| § | a Level 1 country, with known active ore production and not identified as either conflict regions or plausible countries engaged in smuggling materials containing conflict minerals; |
| § | a Level 2 country, known to or plausibly believed to be engaged in smuggling, export out of a Level 3 country, or as a transit for materials containing conflict minerals; or |
| § | a Level 3 country, the DRC or one of its nine adjoining countries, Angola, Burundi, Central African Republic, Republic of the Congo, Rwanda, South Sudan, Tanzania, Uganda, and Zambia, collectively referred to as "covered countries" in Section 1502 of the Dodd Frank Act; |
| · | for each supplier, calculated a cumulative SOR risk, either low, medium, or high, summarizing the risk that the supplier poses to the Baker Hughes supply chain, based on the chances that the supplier furnishes 3TGs that may originate from non-conflict free sources: |
| o | obtained the value of the cumulative SOR risk for each supplier by collecting the risk ratings of all SORs associated with the supplier, or in the case of parts-level responses, each product/part provided by the supplier; and |
| o | for each supplier, or, as applicable, each product/part, assigned the overall risk rating equal to the risk rating level with the most SORs at that level; |
Independent Audit of SOR Due Diligence Practices
The Company became a participating member of the Responsible Minerals Initiative (RMI) as of June, 2017, and supports efforts by the RMI to promote smelter and refiner registration, audit and verification of conflict status.
Annual Report on Supply Due Diligence
The Company annually reports on our global supply chain due diligence and makes the current and historical reports available on our public website at the following weblink:
http://www.bakerhughes.com/company/corporate-social-responsibility/human-rights-and-security/conflict-minerals.
Independent Private Sector Audit
The Company is not subject to an independent private sector audit of the Report.
Results of Due Diligence Undertaken and Processing Facilities
Based on the Company’s due diligence efforts to date, the Company does not have sufficient information to fully determine each processing facility utilized to produce the conflict minerals used in each of the Company's relevant products. However, Schedule 2 below lists the processing facilities that source minerals from the DRC, for which the Company has been able to confirm the information provided by our suppliers.
Based on the Company’s due diligence efforts to date, the Company does not have sufficient information to fully determine the country of origin of the conflict minerals in each of our relevant products, or whether the conflict minerals in each of our products were from recycled or scrap sources. However, Schedule 1 below lists the countries of origin, by pertinent mineral, for which the Company has been able to confirm the information provided by our suppliers.
The efforts to determine the origin of conflict minerals are more fully described in the section entitled “Due Diligence Measures Undertaken.”
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Risk Mitigation
With respect to those products the Company manufactures or contracts to be manufactured for sale that contain necessary conflict minerals, the Company plans to undertake the following steps to mitigate the risk that our necessary conflict minerals could unintentionally benefit armed groups:
| · | improve processes to identify the presence of necessary conflict minerals in products we manufacture or contract to be manufactured and offer for sale by: |
| o | seeking to increase our supplier response rate in reporting period 2018, while recognizing that response rates will depend on supplier cooperation, and |
| o | incorporating a flow-down clause on all new or renewed Master Supplier Agreements, creating a contractual obligation on the part of suppliers to comply with the Company’s conflict minerals requirements and to in turn require policy and systems implementation by successive supply chain tiers; |
| · | continue to assess the presence of necessary conflict minerals in our relevant supply chain; |
| · | continue to perform due diligence on the necessary conflict minerals supplied to us, to determine their origin; |
| · | continue to clearly communicate to suppliers our expectations with regard to compliance with the Company’s stated policies, performance, transparency and responsible sourcing practices; |
| · | engage with our suppliers to properly identify and obtain relevant information from “Invalid” or “Undetermined” SORs in our supply chain; |
| · | engage with our suppliers identified as sourcing from high-risk SORs, involving senior management as necessary, to encourage them to source from conflict-free SORs or mines and obtain from their applicable SORs or mines conflict-free designations from recognized certification programs; |
| · | continue to engage with suppliers that did not respond to our request for conflict minerals information for reporting period 2017, ultimately seeking to engage as many of those suppliers as possible, to: |
| o | determine reasons for past failures to respond, |
| o | address supplier concerns and questions as appropriate, and |
| o | offer suppliers resources, including educational and other guidance materials, to facilitate future responses; |
| · | follow up with all high and medium cumulative risk suppliers in order to assist them in understanding their risk level and the future implications their risk level could have on the Company’s conflict minerals program; |
| · | conduct analysis and verification of origin information provided by our suppliers; |
| · | continue to actively participate in the RMI’s efforts to improve and expand engagement of SORs by independent certifying organizations; |
| · | monitor the activities, initiatives and programs of DRC regional governments and agencies, international bodies, and non-governmental organizations that are aimed at minimizing or eliminating the benefit to relevant armed groups derived from conflict minerals, and, where practicable, to support or implement those activities, initiatives or programs; |
| · | seek, where practicable, alternative suppliers that responsibly source necessary conflict minerals, which may include sources within the conflict area that do not benefit armed groups; and |
| · | continue to participate in local and national industry groups, as well as non-governmental organizations, such as the Responsible Sourcing Network Multi-Stakeholder Group and the Oil and Gas Services Working Group on conflict minerals, to develop best practices regarding responsible sourcing and supply chain transparency. |
Products Description
The Company’s products covered by this Report that are considered to contain necessary conflict minerals include the following:
Drill Bits - includes Tricone™, PDC or “diamond”, and Kymera™ hybrid drill bits used for performance drilling, hole enlargement and coring.
Completion Systems - includes products used to control the flow of hydrocarbons within a wellbore including sand control systems; liner hangers; wellbore isolation; expandable tubulars; multilaterals; safety systems; packers and flow control; and tubing conveyed perforating.
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Wellbore Intervention - includes products used in existing wellbores to improve their performance including thru-tubing fishing; thru-tubing inflatables; conventional fishing; casing exit systems; production injection packers; and remedial and stimulation tools.
Intelligent Production Systems - includes products used to monitor and dynamically control the production from individual wells or fields including intelligent well systems.
Artificial Lift - includes electric submersible pump systems; progressing cavity pump systems; gas lift systems; and surface horizontal pumping systems used to lift large volumes of oil and water when a reservoir is no longer able to flow on its own.
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Schedule 1
The information in this Schedule is solely an aggregation of data provided by verified SORs identified by the Company’s suppliers. This is not a confirmation of conflict minerals actually contained in the Company’s products. Additionally, since this aggregation depends on self-identification by SORs, the following lists are not a confirmation or verification of every country of origin.
Countries of Origin - Tantalum
Angola * Argentina Australia Austria Belarus Belgium Bolivia Brazil Burundi * Cambodia Canada Central African Republic * Chile China Colombia Congo (Brazzaville) * Czech Republic Democratic Republic of Congo * Djibouti |
Ecuador Egypt Estonia Ethiopia France Germany Ghana Guinea Guyana Hungary India Indonesia Ireland Israel Italy Ivory Coast Japan Jersey Kazakhstan Kenya |
Korea, Republic of Laos Luxembourg Madagascar Malaysia Mali Mexico Mongolia Mozambique Myanmar Namibia Netherlands Niger Nigeria Peru Philippines Poland Portugal Russian Federation Rwanda * |
Sierra Leone Singapore Slovakia South Africa South Sudan * Spain Suriname Switzerland Taiwan Tanzania * Thailand Uganda * United Kingdom United States Viet Nam Zambia * Zimbabwe
Recycle/Scrap |
* = DRC Region countries
Countries of Origin - Tin
Angola * Argentina Armenia Australia Austria Belgium Bolivia Brazil Burundi * Cambodia Canada Central African Republic * Chile China Colombia Congo (Brazzaville) * Czech Republic Democratic Republic of Congo * Djibouti Ecuador |
Egypt Estonia Ethiopia France Germany Guyana Hong Kong Hungary India Indonesia Ireland Israel Ivory Coast Japan Jersey Kazakhstan Kenya Korea, Republic of Kyrgyzstan Laos Luxembourg |
Madagascar Malaysia Mexico Mongolia Morocco Mozambique Myanmar Namibia Netherlands Niger Nigeria Papua New Guinea Peru Philippines Poland Portugal Russian Federation Rwanda * Sierra Leone Singapore Slovakia |
South Africa South Sudan * Spain Suriname Sweden Switzerland Taiwan Tanzania * Thailand Turkey Uganda * United Kingdom United States Uzbekistan Viet Nam Zambia * Zimbabwe
Recycle/Scrap |
* = DRC Region countries
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Countries of Origin - Tungsten
Angola * Argentina Australia Austria Belgium Bolivia Brazil Burundi * Cambodia Canada Central African Republic * Chile China Colombia Congo (Brazzaville) * Czech Republic Democratic Republic of Congo * Djibouti |
Ecuador Egypt Estonia Ethiopia France Germany Guinea Guyana Hungary India Indonesia Ireland Israel Ivory Coast Japan Kazakhstan Korea, Republic of Laos Luxembourg |
Madagascar Malaysia Mexico Mongolia Mozambique Myanmar Namibia Netherlands Niger Nigeria Papua New Guinea Peru Philippines Portugal Russian Federation Rwanda * Sierra Leone Singapore Slovakia |
South Africa South Sudan * Spain Suriname Switzerland Taiwan Tanzania * Thailand Uganda * United Kingdom United States Viet Nam Zambia * Zimbabwe
Recycle/Scrap |
* = DRC Region countries
Countries of Origin - Gold
Argentina Armenia Australia Austria Belgium Bermuda Bolivia Brazil Burundi * Cambodia Canada Chile China Colombia Congo (Brazzaville) * Czech Republic Democratic Republic of Congo * Djibouti Ecuador Egypt Estonia Ethiopia |
Finland France Germany Ghana Guinea Guyana Hong Kong Hungary India Indonesia Ireland Israel Italy Ivory Coast Japan Jersey Kazakhstan Korea, Republic of Kyrgyzstan Laos Luxembourg |
Madagascar Malaysia Mali Mexico Mongolia Mozambique Myanmar Namibia Netherlands New Zealand Niger Nigeria Papua New Guinea Peru Philippines Poland Portugal Russian Federation Rwanda * Saudi Arabia Sierra Leone Singapore Slovakia |
South Africa Spain Suriname Sweden Switzerland Taiwan Tajikistan Tanzania * Thailand Turkey United Arab Emirates United Kingdom United States Uzbekistan Viet Nam Zambia * Zimbabwe
Recycle/Scrap |
* = DRC Region countries
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Schedule 2
Smelters or Refiners with Identified Mineral Sources
The information in this Schedule is solely an aggregation of data provided by verified SORs identified by the Company’s suppliers. This is not a confirmation of conflict minerals actually contained in the Company’s products. Additionally, since this aggregation depends on self-identification by SORs, the following lists are not a confirmation or verification of every country of origin.
| Smelter ID | Smelter or Refiner (Name) | 3TG | Conflict Free * | Smelter Location | Source from DRC? |
| CID002708 | Abington Reldan Metals, LLC | Gold | Unknown | UNITED STATES | Unknown |
| CID000015 | Advanced Chemical Company | Gold | Yes | UNITED STATES | Unknown |
| CID003185 | African Gold Refinery ** | Gold | Unknown | UGANDA | Unknown |
| CID000019 | Aida Chemical Industries Co., Ltd. | Gold | Yes | JAPAN | No |
| CID002560 | Al Etihad Gold LLC | Gold | Yes | UNITED ARAB EMIRATES | Unknown |
| CID000035 | Allgemeine Gold-und Silberscheideanstalt A.G. | Gold | Yes | GERMANY | Unknown |
| CID000041 | Almalyk Mining and Metallurgical Complex (AMMC) | Gold | Yes | UZBEKISTAN | Unknown |
| CID000058 | AngloGold Ashanti Córrego do Sítio Mineração | Gold | Yes | BRAZIL | Unknown |
| CID000077 | Argor-Heraeus S.A. | Gold | Yes | SWITZERLAND | Unknown |
| CID000082 | Asahi Pretec Corp. | Gold | Yes | JAPAN | No |
| CID000924 | Asahi Refining Canada Ltd. | Gold | Yes | CANADA | Unknown |
| CID000920 | Asahi Refining USA Inc. | Gold | Yes | UNITED STATES | Unknown |
| CID000090 | Asaka Riken Co., Ltd. | Gold | Yes | JAPAN | No |
| CID000103 | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | Gold | Unknown | TURKEY | Unknown |
| CID002850 | AU Traders and Refiners | Gold | Yes | SOUTH AFRICA | Unknown |
| CID000113 | Aurubis AG | Gold | Yes | GERMANY | Unknown |
| CID002863 | Bangalore Refinery | Gold | Unknown | INDIA | Unknown |
| CID000128 | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | Gold | Yes | PHILIPPINES | Unknown |
| CID000157 | Boliden AB | Gold | Yes | SWEDEN | Unknown |
| CID000176 | C. Hafner GmbH + Co. KG | Gold | Yes | GERMANY | Unknown |
| CID000180 | Caridad | Gold | Unknown | MEXICO | Unknown |
| CID000185 | CCR Refinery - Glencore Canada Corporation | Gold | Yes | CANADA | Unknown |
| CID000189 | Cendres + Métaux S.A. | Gold | Yes | SWITZERLAND | Unknown |
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| Smelter ID | Smelter or Refiner (Name) | 3TG | Conflict Free * | Smelter Location | Source from DRC? |
| CID000233 | Chimet S.p.A. | Gold | Yes | ITALY | Unknown |
| CID000264 | Chugai Mining | Gold | Unknown | JAPAN | Unknown |
| CID000328 | Daejin Indus Co., Ltd. | Gold | Yes | KOREA, REPUBLIC OF | Unknown |
| CID000343 | Daye Non-Ferrous Metals Mining Ltd. | Gold | Unknown | CHINA | Unknown |
| CID002867 | Degussa Sonne / Mond Goldhandel GmbH | Gold | Unknown | GERMANY | Unknown |
| CID000362 | DODUCO Contacts and Refining GmbH | Gold | Yes | GERMANY | No |
| CID000401 | Dowa | Gold | Yes | JAPAN | No |
| CID003195 | DS PRETECH Co., Ltd. | Gold | Unknown | KOREA, REPUBLIC OF | Unknown |
| CID000359 | DSC (Do Sung Corporation) | Gold | Yes | KOREA, REPUBLIC OF | Unknown |
| CID000425 | Eco-System Recycling Co., Ltd. | Gold | Yes | JAPAN | No |
| CID001322 | Elemetal Refining, LLC | Gold | Unknown | UNITED STATES | Unknown |
| CID002561 | Emirates Gold DMCC | Gold | Yes | UNITED ARAB EMIRATES | Unknown |
| CID002515 | Fidelity Printers and Refiners Ltd. ** | Gold | Unknown | ZIMBABWE | Unknown |
| CID002852 | GCC Gujrat Gold Centre Pvt. Ltd. | Gold | Unknown | INDIA | Unknown |
| CID002459 | Geib Refining Corporation | Gold | Yes | UNITED STATES | Unknown |
| CID002243 | Gold Refinery of Zijin Mining Group Co., Ltd. | Gold | Yes | CHINA | Unknown |
| CID001909 | Great Wall Precious Metals Co., Ltd. of CBPM | Gold | Unknown | CHINA | Unknown |
| CID002312 | Guangdong Jinding Gold Limited | Gold | Unknown | CHINA | Unknown |
| CID000651 | Guoda Safina High-Tech Environmental Refinery Co., Ltd. | Gold | Unknown | CHINA | Unknown |
| CID000671 | Hangzhou Fuchunjiang Smelting Co., Ltd. | Gold | Unknown | CHINA | Unknown |
| CID000689 | HeeSung | Gold | Yes | KOREA, REPUBLIC OF | Unknown |
| CID000694 | Heimerle + Meule GmbH | Gold | Yes | GERMANY | No |
| CID000707 | Heraeus Metals Hong Kong Ltd. | Gold | Yes | CHINA | Unknown |
| CID000711 | Heraeus Precious Metals GmbH & Co. KG | Gold | Yes | GERMANY | Unknown |
| CID000767 | Hunan Chenzhou Mining Co., Ltd. | Gold | Unknown | CHINA | Unknown |
| CID000778 | Hwasung CJ Co., Ltd. | Gold | Unknown | KOREA, REPUBLIC OF | Unknown |
| CID000801 | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | Gold | Yes | CHINA | Unknown |
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| Smelter ID | Smelter or Refiner (Name) | 3TG | Conflict Free * | Smelter Location | Source from DRC? |
| CID000807 | Ishifuku Metal Industry Co., Ltd. | Gold | Yes | JAPAN | Unknown |
| CID000814 | Istanbul Gold Refinery | Gold | Yes | TURKEY | Unknown |
| CID002765 | Italpreziosi | Gold | Yes | ITALY | Unknown |
| CID000823 | Japan Mint | Gold | Yes | JAPAN | Unknown |
| CID000855 | Jiangxi Copper Co., Ltd. | Gold | Yes | CHINA | Unknown |
| CID000927 | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | Gold | Yes | RUSSIAN FEDERATION | Unknown |
| CID000929 | JSC Uralelectromed | Gold | Yes | RUSSIAN FEDERATION | Unknown |
| CID000937 | JX Nippon Mining & Metals Co., Ltd. | Gold | Yes | JAPAN | Unknown |
| CID002563 | Kaloti Precious Metals ** | Gold | Unknown | UNITED ARAB EMIRATES | Unknown |
| CID000956 | Kazakhmys Smelting LLC | Gold | Unknown | KAZAKHSTAN | Unknown |
| CID000957 | Kazzinc | Gold | Yes | KAZAKHSTAN | Unknown |
| CID000969 | Kennecott Utah Copper LLC | Gold | Yes | UNITED STATES | Unknown |
| CID002511 | KGHM Polska Miedz Spolka Akcyjna | Gold | Unknown | POLAND | Unknown |
| CID000981 | Kojima Chemicals Co., Ltd. | Gold | Yes | JAPAN | No |
| CID002605 | Korea Zinc Co., Ltd. | Gold | Yes | KOREA, REPUBLIC OF | Unknown |
| CID001029 | Kyrgyzaltyn JSC | Gold | Yes | KYRGYZSTAN | Unknown |
| CID002865 | Kyshtym Copper-Electrolytic Plant ZAO | Gold | Unknown | RUSSIAN FEDERATION | Unknown |
| CID001032 | L'azurde Company For Jewelry | Gold | Unknown | SAUDI ARABIA | Unknown |
| CID001056 | Lingbao Gold Co., Ltd. | Gold | Unknown | CHINA | Unknown |
| CID001058 | Lingbao Jinyuan Tonghui Refinery Co., Ltd. | Gold | Unknown | CHINA | Unknown |
| CID002762 | L'Orfebre S.A. | Gold | Unknown | ANDORRA | Unknown |
| CID001078 | LS-NIKKO Copper Inc. | Gold | Yes | KOREA, REPUBLIC OF | Unknown |
| CID001093 | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | Gold | Unknown | CHINA | Unknown |
| CID002606 | Marsam Metals | Gold | Yes | BRAZIL | Unknown |
| CID001113 | Materion | Gold | Yes | UNITED STATES | No |
| CID001119 | Matsuda Sangyo Co., Ltd. | Gold | Yes | JAPAN | Unknown |
| CID001149 | Metalor Technologies (Hong Kong) Ltd. | Gold | Yes | CHINA | Unknown |
| CID001152 | Metalor Technologies (Singapore) Pte., Ltd. | Gold | Yes | SINGAPORE | Unknown |
11
| Smelter ID | Smelter or Refiner (Name) | 3TG | Conflict Free * | Smelter Location | Source from DRC? |
| CID001147 | Metalor Technologies (Suzhou) Ltd. | Gold | Yes | CHINA | Unknown |
| CID001153 | Metalor Technologies S.A. | Gold | Yes | SWITZERLAND | Unknown |
| CID001157 | Metalor USA Refining Corporation | Gold | Yes | UNITED STATES | Unknown |
| CID001161 | Metalúrgica Met-Mex Peñoles S.A. De C.V. | Gold | Yes | MEXICO | Unknown |
| CID001188 | Mitsubishi Materials Corporation | Gold | Yes | JAPAN | Unknown |
| CID001193 | Mitsui Mining and Smelting Co., Ltd. | Gold | Yes | JAPAN | Unknown |
| CID002509 | MMTC-PAMP India Pvt., Ltd. | Gold | Yes | INDIA | Unknown |
| CID002857 | Modeltech Sdn Bhd | Gold | Unknown | MALAYSIA | Unknown |
| CID002282 | Morris and Watson | Gold | Unknown | NEW ZEALAND | Unknown |
| CID002866 | Morris and Watson Gold Coast | Gold | Unknown | AUSTRALIA | Unknown |
| CID001204 | Moscow Special Alloys Processing Plant | Gold | Yes | RUSSIAN FEDERATION | Unknown |
| CID001220 | Nadir Metal Rafineri San. Ve Tic. A.S. | Gold | Yes | TURKEY | Unknown |
| CID001236 | Navoi Mining and Metallurgical Combinat | Gold | Unknown | UZBEKISTAN | Unknown |
| CID003189 | NH Recytech Company | Gold | Unknown | KOREA, REPUBLIC OF | Unknown |
| CID001259 | Nihon Material Co., Ltd. | Gold | Yes | JAPAN | Unknown |
| CID002779 | Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH | Gold | Yes | AUSTRIA | Unknown |
| CID001325 | Ohura Precious Metal Industry Co., Ltd. | Gold | Yes | JAPAN | No |
| CID001326 | OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) | Gold | Yes | RUSSIAN FEDERATION | Unknown |
| CID000493 | OJSC Novosibirsk Refinery | Gold | Yes | RUSSIAN FEDERATION | Unknown |
| CID001352 | PAMP S.A. | Gold | Yes | SWITZERLAND | Unknown |
| CID002872 | Pease & Curren | Gold | Unknown | UNITED STATES | Unknown |
| CID001362 | Penglai Penggang Gold Industry Co., Ltd. | Gold | Unknown | CHINA | Unknown |
| CID002919 | Planta Recuperadora de Metales SpA | Gold | Yes | CHILE | Unknown |
| CID001386 | Prioksky Plant of Non-Ferrous Metals | Gold | Yes | RUSSIAN FEDERATION | Unknown |
12
| Smelter ID | Smelter or Refiner (Name) | 3TG | Conflict Free * | Smelter Location | Source from DRC? |
| CID001397 | PT Aneka Tambang (Persero) Tbk | Gold | Yes | INDONESIA | Unknown |
| CID001498 | PX Précinox S.A. | Gold | Yes | SWITZERLAND | Unknown |
| CID001512 | Rand Refinery (Pty) Ltd. | Gold | Yes | SOUTH AFRICA | Unknown |
| CID000522 | Refinery of Seemine Gold Co., Ltd. | Gold | Unknown | CHINA | Unknown |
| CID002582 | Remondis Argentia B.V. | Gold | Unknown | NETHERLANDS | Unknown |
| CID002510 | Republic Metals Corporation | Gold | Yes | UNITED STATES | Unknown |
| CID001534 | Royal Canadian Mint | Gold | Yes | CANADA | Unknown |
| CID002761 | SAAMP | Gold | Yes | FRANCE | Unknown |
| CID001546 | Sabin Metal Corp. | Gold | Unknown | UNITED STATES | Unknown |
| CID002973 | Safimet S.p.A | Gold | Yes | Italy | Unknown |
| CID002290 | SAFINA A.S. | Gold | Unknown | CZECH REPUBLIC | Unknown |
| CID002853 | Sai Refinery | Gold | Unknown | INDIA | Unknown |
| CID001555 | Samduck Precious Metals | Gold | Yes | KOREA, REPUBLIC OF | Unknown |
| CID001562 | SAMWON Metals Corp. | Gold | Unknown | KOREA, REPUBLIC OF | Unknown |
| CID002777 | SAXONIA Edelmetalle GmbH | Gold | Yes | GERMANY | Unknown |
| CID001573 | Schone Edelmetaal B.V. | Gold | Yes | NETHERLANDS | Unknown |
| CID001585 | SEMPSA Joyería Platería S.A. | Gold | Yes | SPAIN | Unknown |
| CID001619 | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | Gold | Unknown | CHINA | Unknown |
| CID001622 | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | Gold | Yes | CHINA | Unknown |
| CID001736 | Sichuan Tianze Precious Metals Co., Ltd. | Gold | Yes | CHINA | Unknown |
| CID002516 | Singway Technology Co., Ltd. | Gold | Yes | TAIWAN | No |
| CID001756 | SOE Shyolkovsky Factory of Secondary Precious Metals | Gold | Yes | RUSSIAN FEDERATION | Unknown |
| CID001761 | Solar Applied Materials Technology Corp. | Gold | Yes | TAIWAN | No |
| CID003153 | State Research Institute Center for Physical Sciences and Technology | Gold | Unknown | LITHUANIA | Unknown |
| CID002567 | Sudan Gold Refinery ** | Gold | Unknown | SUDAN | Unknown |
| CID001798 | Sumitomo Metal Mining Co., Ltd. | Gold | Yes | JAPAN | Unknown |
| CID002918 | SungEel HiTech | Gold | Yes | KOREA, REPUBLIC OF | Unknown |
13
| Smelter ID | Smelter or Refiner (Name) | 3TG | Conflict Free * | Smelter Location | Source from DRC? |
| CID002580 | T.C.A S.p.A | Gold | Yes | ITALY | Unknown |
| CID001875 | Tanaka Kikinzoku Kogyo K.K. | Gold | Yes | JAPAN | Unknown |
| CID001916 | The Refinery of Shandong Gold Mining Co., Ltd. | Gold | Yes | CHINA | Unknown |
| CID001938 | Tokuriki Honten Co., Ltd. | Gold | Yes | JAPAN | Unknown |
| CID001947 | Tongling Nonferrous Metals Group Co., Ltd. | Gold | Unknown | CHINA | Unknown |
| CID002587 | Tony Goetz NV ** | Gold | Unknown | BELGIUM | Unknown |
| CID002615 | TOO Tau-Ken-Altyn | Gold | Unknown | KAZAKHSTAN | Unknown |
| CID001955 | Torecom | Gold | Yes | KOREA, REPUBLIC OF | Unknown |
| CID001977 | Umicore Brasil Ltda. | Gold | Yes | BRAZIL | Unknown |
| CID002314 | Umicore Precious Metals Thailand | Gold | Yes | THAILAND | Unknown |
| CID001980 | Umicore S.A. Business Unit Precious Metals Refining | Gold | Yes | BELGIUM | Unknown |
| CID001993 | United Precious Metal Refining, Inc. | Gold | Yes | UNITED STATES | No |
| CID002854 | Universal Precious Metals Refining Zambia ** | Gold | Unknown | ZAMBIA | Unknown |
| CID002003 | Valcambi S.A. | Gold | Yes | SWITZERLAND | Unknown |
| CID002030 | Western Australian Mint trading as The Perth Mint | Gold | Yes | AUSTRALIA | Unknown |
| CID002778 | WIELAND Edelmetalle GmbH | Gold | Yes | GERMANY | Unknown |
| CID002100 | Yamamoto Precious Metal Co., Ltd. | Gold | Yes | JAPAN | No |
| CID002129 | Yokohama Metal Co., Ltd. | Gold | Yes | JAPAN | No |
| CID000197 | Yunnan Copper Industry Co., Ltd. | Gold | Unknown | CHINA | Unknown |
| CID002224 | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | Gold | Yes | CHINA | Unknown |
| CID000092 | Asaka Riken Co., Ltd. | Tantalum | Yes | JAPAN | Unknown |
| CID000211 | Changsha South Tantalum Niobium Co., Ltd. | Tantalum | Yes | CHINA | No |
| CID002504 | D Block Metals, LLC | Tantalum | Yes | UNITED STATES | No |
| CID000410 | Duoluoshan | Tantalum | Unknown | CHINA | Unknown |
| CID000456 | Exotech Inc. | Tantalum | Yes | UNITED STATES | No |
| CID000460 | F&X Electro-Materials Ltd. | Tantalum | Yes | CHINA | Yes |
| CID002505 | FIR Metals & Resource Ltd. | Tantalum | Yes | CHINA | No |
| CID002558 | Global Advanced Metals Aizu | Tantalum | Yes | JAPAN | Yes |
14
| Smelter ID | Smelter or Refiner (Name) | 3TG | Conflict Free * | Smelter Location | Source from DRC? |
| CID002557 | Global Advanced Metals Boyertown | Tantalum | Yes | UNITED STATES | Yes |
| CID000291 | Guangdong Rising Rare Metals-EO Materials Ltd. | Tantalum | Yes | CHINA | Yes |
| CID000616 | Guangdong Zhiyuan New Material Co., Ltd. | Tantalum | Yes | CHINA | No |
| CID002544 | H.C. Starck Co., Ltd. | Tantalum | Yes | THAILAND | Yes |
| CID002547 | H.C. Starck Hermsdorf GmbH | Tantalum | Yes | GERMANY | No |
| CID002548 | H.C. Starck Inc. | Tantalum | Yes | UNITED STATES | No |
| CID002549 | H.C. Starck Ltd. | Tantalum | Yes | JAPAN | No |
| CID002550 | H.C. Starck Smelting GmbH & Co. KG | Tantalum | Yes | GERMANY | Yes |
| CID002545 | H.C. Starck Tantalum and Niobium GmbH | Tantalum | Yes | GERMANY | Yes |
| CID002492 | Hengyang King Xing Lifeng New Materials Co., Ltd. | Tantalum | Yes | CHINA | No |
| CID002512 | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | Tantalum | Yes | CHINA | No |
| CID002842 | Jiangxi Tuohong New Raw Material | Tantalum | Yes | CHINA | Unknown |
| CID003191 | Jiujiang Janny New Material Co., Ltd. | Tantalum | Yes | CHINA | Unknown |
| CID000914 | JiuJiang JinXin Nonferrous Metals Co., Ltd. | Tantalum | Yes | CHINA | Yes |
| CID000917 | Jiujiang Tanbre Co., Ltd. | Tantalum | Yes | CHINA | Yes |
| CID002506 | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | Tantalum | Yes | CHINA | No |
| CID002539 | KEMET Blue Metals | Tantalum | Yes | MEXICO | Yes |
| CID002568 | KEMET Blue Powder | Tantalum | Yes | UNITED STATES | No |
| CID000973 | King-Tan Tantalum Industry Ltd. | Tantalum | Yes | CHINA | No |
| CID001076 | LSM Brasil S.A. | Tantalum | Yes | BRAZIL | No |
| CID001163 | Metallurgical Products India Pvt., Ltd. | Tantalum | Yes | INDIA | No |
| CID001175 | Mineracao Taboca S.A. | Tantalum | Yes | BRAZIL | No |
| CID001192 | Mitsui Mining and Smelting Co., Ltd. | Tantalum | Yes | JAPAN | Yes |
| CID001277 | Ningxia Orient Tantalum Industry Co., Ltd. | Tantalum | Yes | CHINA | Yes |
| CID001200 | NPM Silmet AS | Tantalum | Yes | ESTONIA | No |
| CID002847 | Power Resources Ltd. | Tantalum | Yes | MACEDONIA | Unknown |
| CID001508 | QuantumClean | Tantalum | Yes | UNITED STATES | No |
15
| Smelter ID | Smelter or Refiner (Name) | 3TG | Conflict Free * | Smelter Location | Source from DRC? |
| CID002707 | Resind Industria e Comercio Ltda. | Tantalum | Yes | BRAZIL | No |
| CID001522 | RFH Tantalum Smeltry Co., Ltd. | Tantalum | Yes | CHINA | No |
| CID001769 | Solikamsk Magnesium Works OAO | Tantalum | Yes | RUSSIAN FEDERATION | No |
| CID001869 | Taki Chemicals | Tantalum | Yes | JAPAN | Yes |
| CID001891 | Telex Metals | Tantalum | Yes | UNITED STATES | No |
| CID001969 | Ulba Metallurgical Plant JSC | Tantalum | Yes | KAZAKHSTAN | Yes |
| CID002508 | XinXing HaoRong Electronic Material Co., Ltd. | Tantalum | Yes | CHINA | No |
| CID002307 | Yichun Jin Yang Rare Metal Co., Ltd. | Tantalum | Yes | CHINA | No |
| CID000292 | Alpha | Tin | Yes | UNITED STATES | No |
| CID002703 | An Vinh Joint Stock Mineral Processing Company | Tin | Unknown | VIET NAM | Unknown |
| CID000228 | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | Tin | Yes | CHINA | Unknown |
| CID003190 | Chifeng Dajingzi Tin Industry Co., Ltd. | Tin | Unknown | CHINA | Unknown |
| CID001070 | China Tin Group Co., Ltd. | Tin | Yes | CHINA | No |
| CID000278 | CNMC (Guangxi) PGMA Co., Ltd. | Tin | Unknown | CHINA | Unknown |
| CID002570 | CV Ayi Jaya | Tin | Yes | INDONESIA | No |
| CID002592 | CV Dua Sekawan | Tin | Yes | INDONESIA | Unknown |
| CID000306 | CV Gita Pesona | Tin | Yes | INDONESIA | No |
| CID002593 | CV Tiga Sekawan | Tin | Yes | INDONESIA | Unknown |
| CID000315 | CV United Smelting | Tin | Yes | INDONESIA | No |
| CID002455 | CV Venus Inti Perkasa | Tin | Yes | INDONESIA | No |
| CID000402 | Dowa | Tin | Yes | JAPAN | No |
| CID002572 | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | Tin | Unknown | VIET NAM | Unknown |
| CID000438 | EM Vinto | Tin | Yes | BOLIVIA | No |
| CID000448 | Estanho de Rondônia S.A. | Tin | Unknown | BRAZIL | Unknown |
| CID000468 | Fenix Metals | Tin | Yes | POLAND | No |
| CID002848 | Gejiu Fengming Metallurgy Chemical Plant | Tin | Yes | CHINA | Unknown |
| CID002859 | Gejiu Jinye Mineral Company | Tin | Yes | CHINA | Unknown |
| CID000942 | Gejiu Kai Meng Industry and Trade LLC | Tin | Yes | CHINA | Unknown |
16
| Smelter ID | Smelter or Refiner (Name) | 3TG | Conflict Free * | Smelter Location | Source from DRC? |
| CID000538 | Gejiu Non-Ferrous Metal Processing Co., Ltd. | Tin | Yes | CHINA | No |
| CID001908 | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | Tin | Yes | CHINA | Unknown |
| CID000555 | Gejiu Zili Mining And Metallurgy Co., Ltd. | Tin | Unknown | CHINA | Unknown |
| CID003116 | Guangdong Hanhe Non-ferrous Metal Limited Company | Tin | Yes | CHINA | Unknown |
| CID002849 | Guanyang Guida Nonferrous Metal Smelting Plant | Tin | Yes | CHINA | Unknown |
| CID002844 | HuiChang Hill Tin Industry Co., Ltd. | Tin | Yes | CHINA | Unknown |
| CID000760 | Huichang Jinshunda Tin Co., Ltd. | Tin | Yes | CHINA | Unknown |
| CID000244 | Jiangxi Ketai Advanced Material Co., Ltd. | Tin | Yes | CHINA | No |
| CID001231 | Jiangxi New Nanshan Technology Ltd. | Tin | Yes | CHINA | Unknown |
| CID002468 | Magnu's Minerais Metais e Ligas Ltda. | Tin | Yes | BRAZIL | No |
| CID001105 | Malaysia Smelting Corporation (MSC) | Tin | Yes | MALAYSIA | Yes |
| CID002500 | Melt Metais e Ligas S.A. | Tin | Yes | BRAZIL | No |
| CID001142 | Metallic Resources, Inc. | Tin | Yes | UNITED STATES | No |
| CID002773 | Metallo Belgium N.V. | Tin | Yes | BELGIUM | No |
| CID002774 | Metallo Spain S.L.U. | Tin | Yes | SPAIN | No |
| CID001173 | Mineracao Taboca S.A. | Tin | Yes | BRAZIL | No |
| CID001182 | Minsur | Tin | Yes | PERU | No |
| CID001191 | Mitsubishi Materials Corporation | Tin | Yes | JAPAN | No |
| CID002858 | Modeltech Sdn Bhd | Tin | Unknown | MALAYSIA | Unknown |
| CID002573 | Nghe Tinh Non-Ferrous Metals Joint Stock Company | Tin | Unknown | VIET NAM | Unknown |
| CID001314 | O.M. Manufacturing (Thailand) Co., Ltd. | Tin | Yes | THAILAND | No |
| CID002517 | O.M. Manufacturing Philippines, Inc. | Tin | Yes | PHILIPPINES | No |
| CID001337 | Operaciones Metalurgical S.A. | Tin | Yes | BOLIVIA | No |
| CID003208 | Pongpipat Company Limited | Tin | Unknown | MYANMAR | Unknown |
| CID000309 | PT Aries Kencana Sejahtera | Tin | Yes | INDONESIA | No |
17
| Smelter ID | Smelter or Refiner (Name) | 3TG | Conflict Free * | Smelter Location | Source from DRC? |
| CID001399 | PT Artha Cipta Langgeng | Tin | Yes | INDONESIA | No |
| CID002503 | PT ATD Makmur Mandiri Jaya | Tin | Yes | INDONESIA | No |
| CID001402 | PT Babel Inti Perkasa | Tin | Yes | INDONESIA | No |
| CID002776 | PT Bangka Prima Tin | Tin | Yes | INDONESIA | No |
| CID003205 | PT Bangka Serumpun | Tin | Yes | INDONESIA | Unknown |
| CID001419 | PT Bangka Tin Industry | Tin | Yes | INDONESIA | No |
| CID001421 | PT Belitung Industri Sejahtera | Tin | Yes | INDONESIA | No |
| CID001428 | PT Bukit Timah | Tin | Yes | INDONESIA | No |
| CID001434 | PT DS Jaya Abadi | Tin | Yes | INDONESIA | No |
| CID001438 | PT Eunindo Usaha Mandiri | Tin | Yes | INDONESIA | No |
| CID002530 | PT Inti Stania Prima | Tin | Yes | INDONESIA | No |
| CID001448 | PT Karimun Mining | Tin | Yes | INDONESIA | Unknown |
| CID002829 | PT Kijang Jaya Mandiri | Tin | Yes | INDONESIA | Unknown |
| CID002870 | PT Lautan Harmonis Sejahtera | Tin | Yes | INDONESIA | Unknown |
| CID002835 | PT Menara Cipta Mulia | Tin | Yes | INDONESIA | Unknown |
| CID001453 | PT Mitra Stania Prima | Tin | Yes | INDONESIA | No |
| CID002757 | PT O.M. Indonesia | Tin | Yes | INDONESIA | Unknown |
| CID001457 | PT Panca Mega Persada | Tin | Yes | INDONESIA | No |
| CID000313 | PT Premium Tin Indonesia | Tin | Yes | INDONESIA | No |
| CID001458 | PT Prima Timah Utama | Tin | Yes | INDONESIA | No |
| CID001460 | PT Refined Bangka Tin | Tin | Yes | INDONESIA | No |
| CID001463 | PT Sariwiguna Binasentosa | Tin | Yes | INDONESIA | No |
| CID001468 | PT Stanindo Inti Perkasa | Tin | Yes | INDONESIA | No |
| CID002816 | PT Sukses Inti Makmur | Tin | Yes | INDONESIA | No |
| CID001471 | PT Sumber Jaya Indah | Tin | Yes | INDONESIA | No |
| CID001477 | PT Timah (Persero) Tbk Kundur | Tin | Yes | INDONESIA | No |
| CID001482 | PT Timah (Persero) Tbk Mentok | Tin | Yes | INDONESIA | No |
| CID001490 | PT Tinindo Inter Nusa | Tin | Yes | INDONESIA | No |
| CID001493 | PT Tommy Utama | Tin | Yes | INDONESIA | Unknown |
| CID002706 | Resind Industria e Comercio Ltda. | Tin | Yes | BRAZIL | No |
| CID001539 | Rui Da Hung | Tin | Yes | TAIWAN | No |
| CID001758 | Soft Metais Ltda. | Tin | Yes | BRAZIL | No |
| CID002756 | Super Ligas | Tin | Unknown | Brazil | Unknown |
18
| Smelter ID | Smelter or Refiner (Name) | 3TG | Conflict Free * | Smelter Location | Source from DRC? |
| CID001898 | Thaisarco | Tin | Yes | THAILAND | Yes |
| CID002574 | Tuyen Quang Non-Ferrous Metals Joint Stock Company | Tin | Unknown | VIET NAM | Unknown |
| CID002036 | White Solder Metalurgia e Mineração Ltda. | Tin | Yes | BRAZIL | No |
| CID002158 | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | Tin | Yes | CHINA | Unknown |
| CID002180 | Yunnan Tin Company Limited | Tin | Yes | CHINA | No |
| CID000004 | A.L.M.T. TUNGSTEN Corp. | Tungsten | Yes | JAPAN | No |
| CID002833 | ACL Metais Eireli | Tungsten | Yes | BRAZIL | Unknown |
| CID002502 | Asia Tungsten Products Vietnam Ltd. | Tungsten | Yes | VIET NAM | Yes |
| CID002513 | Chenzhou Diamond Tungsten Products Co., Ltd. | Tungsten | Yes | CHINA | No |
| CID000258 | Chongyi Zhangyuan Tungsten Co., Ltd. | Tungsten | Yes | CHINA | No |
| CID000499 | Fujian Jinxin Tungsten Co., Ltd. | Tungsten | Yes | CHINA | No |
| CID002645 | Ganzhou Haichuang Tungsten Co., Ltd. | Tungsten | Unknown | CHINA | Unknown |
| CID000875 | Ganzhou Huaxing Tungsten Products Co., Ltd. | Tungsten | Yes | CHINA | No |
| CID002315 | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | Tungsten | Yes | CHINA | No |
| CID002494 | Ganzhou Seadragon W & Mo Co., Ltd. | Tungsten | Yes | CHINA | No |
| CID002536 | Ganzhou Yatai Tungsten Co., Ltd. | Tungsten | Unknown | CHINA | Unknown |
| CID000568 | Global Tungsten & Powders Corp. | Tungsten | Yes | UNITED STATES | No |
| CID000218 | Guangdong Xianglu Tungsten Co., Ltd. | Tungsten | Yes | CHINA | No |
| CID002542 | H.C. Starck Smelting GmbH & Co.KG | Tungsten | Yes | GERMANY | No |
| CID002541 | H.C. Starck Tungsten GmbH | Tungsten | Yes | GERMANY | No |
| CID000766 | Hunan Chenzhou Mining Co., Ltd. | Tungsten | Yes | CHINA | No |
| CID002579 | Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji | Tungsten | Yes | CHINA | Unknown |
| CID000769 | Hunan Chunchang Nonferrous Metals Co., Ltd. | Tungsten | Yes | CHINA | No |
| CID003182 | Hunan Litian Tungsten Industry Co., Ltd. | Tungsten | Yes | CHINA | Unknown |
| CID002649 | Hydrometallurg, JSC | Tungsten | Yes | RUSSIAN FEDERATION | No |
19
| Smelter ID | Smelter or Refiner (Name) | 3TG | Conflict Free * | Smelter Location | Source from DRC? |
| CID000825 | Japan New Metals Co., Ltd. | Tungsten | Yes | JAPAN | No |
| CID002551 | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | Tungsten | Yes | CHINA | No |
| CID002647 | Jiangxi Dayu Longxintai Tungsten Co., Ltd. | Tungsten | Unknown | CHINA | Unknown |
| CID002321 | Jiangxi Gan Bei Tungsten Co., Ltd. | Tungsten | Yes | CHINA | No |
| CID002313 | Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. | Tungsten | Unknown | CHINA | Unknown |
| CID002318 | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | Tungsten | Yes | CHINA | No |
| CID002317 | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | Tungsten | Yes | CHINA | No |
| CID002535 | Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd. | Tungsten | Yes | CHINA | No |
| CID002316 | Jiangxi Yaosheng Tungsten Co., Ltd. | Tungsten | Yes | CHINA | Unknown |
| CID000966 | Kennametal Fallon | Tungsten | Yes | UNITED STATES | No |
| CID000105 | Kennametal Huntsville | Tungsten | Yes | UNITED STATES | No |
| CID002319 | Malipo Haiyu Tungsten Co., Ltd. | Tungsten | Yes | CHINA | No |
| CID002845 | Moliren Ltd | Tungsten | Yes | RUSSIAN FEDERATION | Unknown |
| CID002589 | Niagara Refining LLC | Tungsten | Yes | UNITED STATES | No |
| CID002543 | Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC | Tungsten | Yes | VIET NAM | No |
| CID002827 | Philippine Chuangxin Industrial Co., Inc. | Tungsten | Yes | PHILIPPINES | Unknown |
| CID002815 | South-East Nonferrous Metal Company Limited of Hengyang City | Tungsten | Yes | CHINA | Unknown |
| CID001889 | Tejing (Vietnam) Tungsten Co., Ltd. | Tungsten | Yes | VIET NAM | No |
| CID002724 | Unecha Refractory metals plant | Tungsten | Yes | RUSSIAN FEDERATION | Unknown |
| CID002011 | Vietnam Youngsun Tungsten Industry Co., Ltd. | Tungsten | Yes | VIET NAM | Yes |
| CID002044 | Wolfram Bergbau und Hütten AG | Tungsten | Yes | AUSTRIA | Yes |
| CID002843 | Woltech Korea Co., Ltd. | Tungsten | Yes | KOREA, REPUBLIC OF | Unknown |
| CID002320 | Xiamen Tungsten (H.C.) Co., Ltd. | Tungsten | Yes | CHINA | Yes |
| CID002082 | Xiamen Tungsten Co., Ltd. | Tungsten | Yes | CHINA | No |
20
| Smelter ID | Smelter or Refiner (Name) | 3TG | Conflict Free * | Smelter Location | Source from DRC? |
| CID002830 | Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. | Tungsten | Yes | CHINA | Unknown |
| CID002095 | Xinhai Rendan Shaoguan Tungsten Co., Ltd. | Tungsten | Yes | CHINA | No |
* = SOR certified as conflict free by the Responsible Minerals Initiative or an equivalent independent third party certification program during reporting period 2017.
** = SOR identified as posing a high risk of sourcing from mines benefiting armed groups engaged in conflict in the DRC Region.
21