Exhibit 1.01
Conflict Minerals Report
This is the Conflict Minerals Report (the “Report”) of J. C. Penney Company, Inc. for calendar year 2019 in accordance with Rule 13p-1 (“Rule 13p-1”) under the Securities Exchange Act of 1934, as amended.
J. C. Penney Company, Inc. is a holding company whose principal operating subsidiary is J. C. Penney Corporation, Inc. (“JCPenney” or the “Company”). Our business consists of selling merchandise and services to consumers through our approximately 846 department stores in the United States and Puerto Rico (as of December 31, 2019) and through our Internet website at jcpenney.com, which utilizes fully optimized applications for desktop, mobile and tablet devices. We primarily sell family apparel and footwear, accessories, fine and fashion jewelry, beauty products through Sephora inside JCPenney and home furnishings. In addition, our department stores provide our customers with services such as styling salon, optical, portrait photography and custom window decorating.
The products in our department stores and online fall into three broad categories: JCPenney Private Brand products made specifically for us, Exclusive Brand products designed for JCPenney with licensed trademarks and sometimes sourced by us, and National Brand products made by other companies and sold in JCPenney department stores and online. For certain Private Brand and certain licensed Exclusive Brand products, JCPenney creates the product design and provides product specifications including materials, fabrics, trims, notions and components. JCPenney also manufactures certain Private Brand window coverings according to customer specifications as part of our custom decorating services.
We are filing this Report because, based on a reasonable country of origin inquiry (“RCOI”), certain products that we manufacture or contract to manufacture contain cassiterite, columbite-tantalite (coltan), gold or wolframite or their derivatives tin, tantalum and tungsten (collectively, “3TG”) that may have originated in the Democratic Republic of the Congo or an adjoining country (the “Covered Countries”), which minerals may be considered necessary to the functionality or production of such products (the “Conflict Minerals”).
As is required, we have conducted in good faith a RCOI reasonably designed to determine whether the Conflict Minerals originated in the Covered Countries or came from recycled or scrap sources. Our RCOI process included conducting an inquiry of certain high-risk suppliers for our Private Brand and Exclusive Brand products and our custom decorating suppliers using a Conflict Minerals Survey which was developed based on the Electronic Industry Citizenship Coalition - Global E-Sustainability Initiative’s (“EICC-GeSI”) Conflict Minerals Reporting Template (“CMRT”). We relied upon our suppliers' representations regarding the origin of Conflict Minerals used in their products as well as their smelter data to determine the source of Conflict Minerals within our supply chain. Based on the results of our RCOI, as is required, we performed due diligence on the source and chain of custody of the Conflict Minerals.
The following product categories in certain of our Private Brands and licensed Exclusive Brands may contain 3TG: apparel containing certain trim such as zippers, handbags, and window coverings (the “Covered Products”).
Part I. Due Diligence
We conducted due diligence on the source and chain of custody of 3TG in our Covered Products in accordance with the Organisation for Economic Co-operation and Development’s Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (the “OECD Guidance”), an internationally recognized due diligence framework.
We purchase our merchandise from a broad base of domestic and foreign suppliers. As a retail company who purchases goods from suppliers, JCPenney is several levels removed from the actual mining of Conflict Minerals. JCPenney does not make purchases of raw ore or unrefined 3TG. Our implementation of the OECD Guidance is discussed below.
OECD Guidance Step One: Establish Strong Company Management System
JCPenney has an internal Conflict Minerals team led by the Global Trade Compliance Team, which coordinates and oversees the implementation of the Company’s compliance with the Conflict Minerals rules and regulations. The Conflict Minerals team works with members from Product Development & Design, Sourcing, Legal and Internal Audit. The working group evaluates product categories for potential 3TG and routinely educates members of the sourcing organization regarding the Company’s Conflict Minerals program.
The Conflict Minerals team employs a system of controls through the use of a due diligence tool created by the EICC-GeSI’s Responsible Minerals Initiative (“RMI”). JCPenney is an active member of RMI and utilizes the tools made available to members to vet and confirm smelters reported by suppliers.
JCPenney’s Conflict Minerals Policy establishes the following expectations for suppliers:
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| • | Suppliers may not include in any products sold to JCPenney any 3TG mined in the Covered Countries that fund armed conflict. |
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| • | Suppliers are required to develop Conflict Minerals policies, due diligence frameworks and management systems consistent with the OECD Guidance and to drive those efforts throughout their supplier chain. |
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| • | Suppliers of certain JCPenney products will be required to provide written evidence of due diligence documentation including completion of a CMRT. |
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| • | Suppliers must use smelters or refiners that are conformant with RMI’s Responsible Minerals Assurance Process (“RMAP”) assessment protocols as the source for any of the Conflict Minerals used in the products sold to JCPenney. |
JCPenney’s Conflict Minerals Policy is publicly available on the Company’s website at
https://www.jcpenney.com/dotcom/images/2018_ConflictMineralsPolicyv2.pdf
and includes information regarding how questions can be addressed or policy violations may be reported.
JCPenney publishes its Conflict Minerals Bulletin to Suppliers through its online Supplier Portal. The 2019 Supplier Bulletin reiterated JCPenney’s Conflict Minerals Policy and provided instructions for submitting a CMRT. As outlined in the Bulletin, certain Private Brand, Exclusive Brand and custom decorating suppliers identified as high risk based on the Company’s risk matrix were required to submit a CMRT to JCPenney. All Private Brand, Exclusive Brand and custom decorating suppliers that indicated their products contained 3TG were also required to complete an online training course on Conflict Minerals.
JCPenney has a mechanism for suppliers and associates to report any Conflict Minerals issues or concerns including a unique e-mail address for Conflict Minerals. This e-mail address is published in the Company’s Conflict Minerals Policy as well as in the Supplier Bulletin.
OECD Guidance Step Two: Identify and Assess Risk in the Supply Chain
The Conflict Minerals team developed a formal interview questionnaire that was used to discuss design process and development with the associates involved in sourcing for all categories to identify whether JCPenney contracts to manufacture any products. After narrowing the Company’s products to those which the Company contracts to manufacture, our due diligence process involved all identified high-risk suppliers for the identified Private Brand and Exclusive Brand products and all identified custom decorating suppliers. We developed our supplier list for our due diligence process by compiling and comparing supplier information from several sources and sent CMRT to all suppliers identified as potentially containing 3TG. The CMRT responses were compiled to identify which suppliers use 3TG in manufacturing.
During 2019, JCPenney identified 69 Private Brand and Exclusive Brand suppliers considered high-risk. Out of the 69 identified, 4 are custom decorating suppliers. JCPenney obtained certifications (“Conflict Minerals Certifications”) from all but 3 of the identified suppliers in which each such supplier certified that (i) all products sold to JCPenney and its subsidiaries comply with JCPenney’s Supplier Principles, (ii) such supplier has developed or will develop appropriate Conflict Minerals policies and (iii) such supplier has developed, or will develop, a due diligence framework and management system consistent with the OECD Guidance. Two of the 3 unreturned certifications are from suppliers with whom JCPenney no longer does business. Based on the survey responses 62 (or 90 %) of the Private Brand and Exclusive Brand suppliers indicated that their products supplied to the Company do not contain 3TG. There were 4 surveyed suppliers who reported that their products contain 3TG. Those 4 suppliers identified a total of 294 different smelters, of which 231 (or 79%) were determined by RMI to be conformant with RMAP assessment protocols.
OECD Guidance Step Three: Design and Implement a Strategy to Respond to Identified Risks
The Company has identified several initiatives to reduce the risk that its products may contain Conflict Minerals that benefit armed groups, including the following:
Conduct additional Conflict Minerals training for suppliers
JCPenney has developed an exclusive interactive online course on Conflict Minerals. The online Conflict Minerals course is required to be completed by all new direct import Private Brand and Exclusive Brand suppliers, any indirect Private Brand and Exclusive Brand suppliers and any custom decorating suppliers where there is a high likelihood that products supplied by such supplier would contain 3TG. Of the 69 suppliers that were identified as high-risk, all but 3 completed the online Conflict Minerals refresher training within the required 3-year timeframe. Of those 3, one no longer does business with JCPenney. Additionally, one supplier has not taken their initial training. The 4 suppliers who claimed 3TG in their products were among the suppliers who completed the course.
Continue active participation in industry initiatives.
JCPenney is an active member of RMI. RMI is an industry initiative that audits smelters’ and refiners’ due diligence activities. In addition, RMI provides its members with a range of tools and resources including the CMRT and RCOI data as well as a wide range of guidance documents on conflict minerals.
JCPenney intends to continue its efforts in the following areas:
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| • | Drive compliance through education and training. |
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| • | All new suppliers who are identified as high-risk will re-take the Conflict Minerals online course every three years. |
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| • | Continue to require a Conflict Minerals Certification as part of the onboarding requirements for new direct import and certain indirect import Private Brand and Exclusive Brand suppliers |
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| • | Continue participation in industry initiatives and third-party audit programs |
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| • | Engage with suppliers to seek further development of Conflict Minerals programs |
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| • | Continue engagement with internal audit partners to evaluate internal controls related to Conflict Minerals |
OECD Guidance Step Four: Carry out Independent Third-Party Audit of Supply Chain Due Diligence at Identified Points in the Supply Chain
JCPenney does not carry out its own independent audit of smelters. As outlined in the OECD Guidance, the internationally recognized standard on which the Company’s Conflict Minerals due diligence is based, the Company supports RMI, an industry initiative that audits smelters’ and refiners’ due diligence activities. The data on which the Company relied for certain statements in this Report was obtained through the Company’s membership in RMI.
JCPenney compared the smelters identified by suppliers for 2019 with RMI’s RMAP Conformant Smelter & Refiners list. Of the 294 smelters identified by suppliers, 231 (or 79%) were determined by RMI to be conformant with RMAP assessment protocols.
A list of the 231 conformant smelters that process Conflict Minerals and were identified by the Company’s suppliers for 2019 is attached to this Report as Appendix A. A list of the countries of origin of the Conflict Minerals processed by the smelters listed on Appendix A that are known to the Company is attached to this Report as Appendix B. The listed countries of origin are derived from information provided by RMI.
OECD Guidance Step Five: Report on Supply Chain Due Diligence
JCPenney filed its Form SD and Conflict Minerals Report for the calendar year ended December 31, 2019, which is available at https://www.jcpenney.com/jsp/browse/marketing/promotion.jsp?&pageId=pg40036000011.
Part II. Product Description
Our in-scope products included:
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| • | Apparel that contains certain trim, such as zippers or hook-n-eyes |
With respect to these product categories, significant efforts were made to obtain further information on the origin of 3TG used therein. As described in this Report, additional information was requested and clarifications to responses on the supplier’s CMRT.
Part III. Audit Report
This Report has not been subject to an independent private sector audit as allowed under applicable Securities and Exchange Commission guidance.
Appendix A
Smelter List as Provided by JCPenney Suppliers
* Denotes smelters which have been determined by RMI to be conformant with RMAP assessment protocols as of April 2, 2020.
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| Mineral | Standard Smelter Name | Smelter ID | Smelter Location |
| Tungsten | A.L.M.T. Corp.* | CID000004 | Toyama City, Toyama, Japan |
| Gold | Advanced Chemical Company* | CID000015 | Warwick, Rhode Island, United States of America |
| Gold | Aida Chemical Industries Co., Ltd.* | CID000019 | Fuchu, Tokyo, Japan |
| Gold | Allgemeine Gold-und Silberscheideanstalt A.G.* | CID000035 | Pforzheim, Baden-Württemberg, Germany |
| Gold | Almalyk Mining and Metallurgical Complex (AMMC)* | CID000041 | Almalyk, Toshkent, Uzbekistan |
| Gold | AngloGold Ashanti Corrego do Sitio Mineracao* | CID000058 | Nova Lima, Minas Gerais, Brazil |
| Gold | Argor-Heraeus S.A.* | CID000077 | Mendrisio, Ticino, Switzerland |
| Gold | Asahi Pretec Corp.* | CID000082 | Kobe, Hyogo, Japan, Japan |
| Gold | Asaka Riken Co., Ltd.* | CID000090 | Tamura, Fukushima, Japan |
| Tantalum | Asaka Riken Co., Ltd.* | CID000092 | Tamura, Fukushima, Japan |
| Gold | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | CID000103 | Istanbul, Istanbul, Turkey |
| Tungsten | Kennametal Huntsville* | CID000105 | Huntsville, Alabama, United States of America |
| Gold | Aurubis AG* | CID000113 | Hamburg, Hamburg, Germany |
| Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) * | CID000128 | Quezon City, Rizal, Philippines |
| Gold | Boliden AB* | CID000157 | Skelleftehamn, Västerbottens län [SE-24], Sweden |
| Gold | C. Hafner GmbH + Co. KG* | CID000176 | Pforzheim, Baden-Württemberg, Germany |
| Gold | Caridad | CID000180 | Nacozari, Sonora, Mexico |
| Gold | CCR Refinery - Glencore Canada Corporation* | CID000185 | Montréal, Quebec, Canada |
| Gold | Cendres + Metaux S.A.* | CID000189 | Biel-Bienne, Bern, Switzerland |
| Gold | Yunnan Copper Industry Co., Inc. | CID000197 | Kunming, Yunnan Sheng, China |
| Tantalum | Changsha South Tantalum Niobium Co., Ltd.* | CID000211 | Changsha, Hunan Sheng, China |
| Tungsten | Guangdong Xianglu Tungsten Co., Ltd.* | CID000218 | Chaozhou, Guangdong Sheng, China |
| Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.* | CID000228 | Chenzhou, Hunan Sheng, China |
| Gold | Chimet S.p.A.* | CID000233 | Arezzo, Toscana, Italy |
| Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd.* | CID000258 | Ganzhou, Jiangxi Sheng, China |
| Gold | Chugai Mining* | CID000264 | Chiyoda, Tokyo, Japan |
| Tungsten | CNMC (Guangxi) PGMA Co., Ltd | CID000281 | Henzhou, Guangxi Zhuangzu Zizhiqu, China |
| Tin | Alpha* | CID000292 | Altoona, Pennsylvania, United States of America |
| Gold | Dayne Non-Ferrous Metals Mining Ltd. | CID000343 | Huangshi, Hubei Sheng Sheng, China |
| Gold | DSC (Do Sung Corporation)* | CID000359 | Gimpo, Gyeonggi-do, Korea, Republic Of |
| Gold | DODUCO Contacts and Refining GmbH* | CID000362 | Pforzheim, Baden-Württemberg, Germany |
| Gold | Dowa* | CID000401 | Kosaka, Akita, Japan |
| Tin | Dowa* | CID000402 | Kosaka, Akita, Japan |
| Gold | Eco-System Recycling Co., Ltd. East Plant* | CID000425 | Honjo, Saitama, Japan |
| Tin | EM Vinto* | CID000438 | Oruro, Oruro, Bolivia |
| Tin | Estanho de Rondonia S.A. | CID000448 | Ariquemes, Rondonia, Brazil |
| Tantalum | Exotech Inc.* | CID000456 | Pompano Beach, Florida, United States of America |
| Tantalum | F&X Electro-Materials Ltd.* | CID000460 | Jiangmen, Guangdong Sheng, China |
| Tin | Fenix Metals* | CID000468 | Chmielów, Podkarpackie, Poland |
| Gold | OJSC Novosibirsk Refinery* | CID000493 | Novosibirsk, Novosibirskaya oblast', Russian Federation |
| Tungsten | Fujian Jinxin Tungsten Co., Ltd.* | CID000499 | Yanshi, Longyan, Fujian Sheng, China |
| Gold | Refinery of Seemine Gold Co., Ltd. | CID000522 | Lanzhou, Gansu Sheng, China |
| Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd.* | CID000538 | Gejiu, Yunnan Sheng, China |
| Tin | Gejiu Zili Mining And Metallurgy Co., Ltd.* | CID000555 | Gejiu, Yunnan Sheng, China |
| Tungsten | Global Tungsten & Powders Corp.* | CID000568 | Towanda, Pennsylvania, United States of America |
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| Tantalum | Guangdong Zhiyuan New Material Co., Ltd.* | CID000616 | Yingde, Guangdong Sheng, |
| Gold | Guoda Safina High-Tech Environmental Refinery Co.,Ltd. | CID000651 | Zhaoyuan, Shandong Sheng, China |
| Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. | CID000671 | Fyuan, Zhenjiang Sheng, China |
| Gold | LT Metal Ltd.* | CID000689 | Seo-gu, Incheon-gwangyeoksi, Korea Republic Of |
| Gold | Heimerle + Meule GmbH* | CID000694 | Pforzheim, Baden-Württemberg, Germany |
| Gold | Heraeus Metals Hong Kong Ltd.* | CID000707 | Fanling, Hong Kong SAR, China |
| Gold | Heraeus Precious Metals GmbH & Co. KG* | CID000711 | Hanau, Hessen, Germany |
| Tin | Huichang Jinshunda Tin Co., Ltd.* | CID000760 | Ganzhou, Jiangxi Sheng, China |
| Tungsten | Hunan Chenzhou Mining Co., Ltd.* | CID000766 | Yuanling, Hunan Sheng, China |
| Gold | Hunan Chenzhou Mining Co., Ltd. | CID000767 | Yuanling, Hunan Sheng, China |
| Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd.* | CID000769 | Hengyang, Hunan Sheng, China |
| Gold | Hunan Guiyang Yinxing Nonferrous Smelting Co., Ltd. | CID000773 | Chenzhou, Hunan Sheng, China |
| Gold | Hwa Seong CJ Co., Ltd. | CID000778 | Danwon, Gyeonggi-do, Korea Republic Of |
| Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.* | CID000801 | Hohhot, Nei Mongol Zizhiqu, China |
| Gold | Ishifuku Metal Industry Co., Ltd.* | CID000807 | Soka, Saitama, Japan |
| Gold | Istanbul Gold Refinery* | CID000814 | Kuyumcukent, Ýstanbul, Turkey |
| Gold | Japan Mint* | CID000823 | Osaka, Osaka, Japan |
| Tungsten | Japan New Metals Co., Ltd.* | CID000825 | Akita City, Akita, Japan |
| Gold | Jiangxi Copper Co., Ltd.* | CID000855 | Guixi City, Jiangxi Sheng, China |
| Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd.* | CID000875 | Ganzhou, Jiangxi Sheng, China |
| Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd.* | CID000914 | Jiujiang, Jiangxi Sheng, China |
| Tantalum | Jiujiang Tanbre Co., Ltd.* | CID000917 | Jiujiang, Jiangxi Sheng, China |
| Gold | Asahi Refining USA Inc.* | CID000920 | Salt Lake City, Utah, United States of America |
| Gold | Asahi Refining Canada Ltd.* | CID000924 | Brampton, Ontario, Canada |
| Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | CID000927 | Verkhnyaya Pyshma, Sverdlovskaya , Russian Federation |
| Gold | JSC Uralelectromed* | CID000929 | Verkhnyaya Pyshma, Sverdlovskaya oblast', Russian Federation |
| Gold | JX Nippon Mining & Metals Co., Ltd.* | CID000937 | Ôita, Ôita, Japan |
| Tin | Gejiu Kai Meng Industry and Trade LLC* | CID000942 | Gejiu, Yunnan Sheng, China |
| Gold | Kazakhmys Smelting LLC | CID000956 | Balkhash, Qaraghany-oblysy, Kazakhstan |
| Gold | Kazzinc* | CID000957 | Ust-Kamenogorsk, Qaraghandy oblysy, Kazakhstan |
| Tungsten | Kennametal Fallon* | CID000966 | Fallon, Nevada, United States of America |
| Gold | Kennecott Utah Copper LLC* | CID000969 | Magna, Utah, United States of America |
| Gold | Kojima Chemicals Co., Ltd.* | CID000981 | Sayama, Saitama, Japan |
| Gold | Kyrgyzaltyn JSC* | CID001029 | Bishkek, Chüy, Kyrgyzstan |
| Gold | L’azurde Company for Jewelry | CID001032 | Riyadh, Ar Riyad, Saudi Arabia |
| Gold | Lingbao Gold Co., Ltd. | CID001056 | Lingbao, Henan Sheng, China |
| Gold | Lingbao Jinyuan Tonghui Refinery Co., Ltd. | CID001058 | Lingbao, Henan Sheng, China |
| Tin | China Tin Group Co., Ltd.* | CID001070 | Laibin, Guangxi Zhuangzu Zizhiqu, China |
| Tantalum | LSM Brasil S.A.* | CID001076 | São João del Rei, Minas Gerais, Brazil |
| Gold | LS-NIKKO Copper Inc.* | CID001078 | Onsan-eup, Ulsan-gwangyeoksi, Korea Republic Of |
| Gold | Luoyang-Zijin Yinhui Gold Refinery Co., Ltd. | CID001093 | Luoyang, Henan Sheng, China |
| Tin | Malaysia Smelting Corporation (MSC)* | CID001105 | Butterworth, Pulau Pinang, Malaysia |
| Gold | Materion* | CID001113 | Buffalo, New York, United States of America |
| Gold | Matsuda Sangyo Co., Ltd.* | CID001119 | Iruma, Saitama, Japan |
| Tin | Metallic Resources, Inc.* | CID001142 | Twinsburg, Ohio, United States of America |
| Gold | Metalor Technologies (Suzhou) Ltd.* | CID001147 | Suzhou Industrial Park, Jiangsu Sheng, China |
| Gold | Metalor Technologies (Hong Kong) Ltd.* | CID001149 | Kwai Chung, Hong Kong SAR, China |
| Gold | Metalor Technologies (Singapore) Pte., Ltd.* | CID001152 | Singapore, South West, Singapore |
| Gold | Metalor Technologies S.A.* | CID001153 | Marin, Neuchâtel, Switzerland |
| Gold | Metalor USA Refining Corporation* | CID001157 | North Attleboro, Massachusetts, United States of America |
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| Gold | Metalurgica Met-Mex Penoles S.A. De C.V.* | CID001161 | Torreon, Coahuila de Zaragoza, Mexico |
| Tantalum | Metallurgical Products India Pvt., Ltd.* | CID001163 | District Raigad, Maharashtra, India |
| Tin | Mineracao Taboca S.A.* | CID001173 | Bairro Guarapiranga, Pirapora do Bom Jesus City, São Paulo, Brazil |
| Tantalum | Mineracao Taboca S.A.* | CID001175 | Presidente Figueiredo, Amazonas, Brazil |
| Tin | Minsur* | CID001182 | Paracas, Ika, Peru |
| Gold | Mitsubishi Materials Corporation* | CID001188 | Naoshima, Kagawa, Japan |
| Tin | Mitsubishi Materials Corporation* | CID001191 | Asago, Hyogo, Japan |
| Tantalum | Mitsui Mining and Smelting Co., Ltd.* | CID001192 | Omuta, Fukuoka, Japan |
| Gold | Mitsui Mining and Smelting Co., Ltd.* | CID001193 | Takehara, Hiroshima, Japan |
| Tantalum | NPM Silmet AS* | CID001200 | Sillamäe, Ida-Virumaa, Estonia, |
| Gold | Moscow Special Alloys Processing Plant* | CID001204 | Obrucheva, Moskva, Russian Federation |
| Gold | Nadir Metal Rafineri San. Ve Tic. A.S.* | CID001220 | Bahçelievler, Ýstanbul, Turkey |
| Tin | Jiangxi New Nanshan Technology Ltd.* | CID001231 | Ganzhou, Jiangxi Sheng, China |
| Gold | Navoi Mining and Metallurgical Combinat | CID001236 | Navoi, Navoiy, Uzbekistan |
| Gold | Nihon Material Co., Ltd.* | CID001259 | Noda, Chiba, Japan |
| Tantalum | Ningxia Orient Tantalum Industry Co., Ltd.* | CID001277 | Shizuishan City, Ningxia Huizi Zizhiqu, China |
| Tin | O.M. Manufacturing (Thailand) Co., Ltd.* | CID001314 | Sriracha, Chon Buri, Thailand |
| Gold | Ohura Precious Metal Industry Co., Ltd.* | CID001325 | Nara-shi, Nara, Japan |
| Gold | OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)* | CID001326 | Krasnoyarsk, Krasnoyarskiy kray |
| Tin | Operaciones Metalurgicas S.A.* | CID001337 | Oruro, Oruro |
| Gold | PAMP S.A.* | CID001352 | Castel San Pietro, Ticino |
| Gold | Penglai Penggang Gold Industry Co., Ltd. | CID001362 | Penglai, Yantai, Shandong Sheng, China |
| Gold | Prioksky Plant of Non-Ferrous Metals* | CID001386 | Kasimov, Ryazanskaya oblast', Russian Federation |
| Gold | PT Aneka Tambang (Persero) Tbk* | CID001397 | Jakarta, Jakarta Raya, Indonesia |
| Tin | PT Artha Cipta Langgeng* | CID001399 | Sungailiat, Kepulauan Bangka Belitung, Indonesia |
| Tin | PT Mitra Stania Prima* | CID001453 | Sungailiat, Kepulauan Bangka Belitung, Indonesia |
| Tin | PT Refined Bangka Tin* | CID001460 | Sungailiat, Kepulauan Bangka Belitung Indonesia |
| Tin | PT Timah Tbk Kundur* | CID001477 | Kundur, Riau, Indonesia |
| Tin | PT Timah Tbk Mentok* | CID001482 | Mentok, Kepulauan Bangka Belitung, Indonesia |
| Gold | PX Precinox S.A.* | CID001498 | La Chaux-de-Fonds, Neuchâtel, Switzerland |
| Tantalum | QuantumClean* | CID001508 | Carrollton, Texas, United States of America |
| Gold | Rand Refinery (Pty) Ltd.* | CID001512 | Germiston, Gauteng, South Africa |
| Tantalum | Yanling Jincheng Tantalum & Niobium Co., Ltd.* | CID001522 | Zhuzhou, Hunan Sheng, China |
| Gold | Royal Canadian Mint* | CID001534 | Ottawa, Ontario, Canada |
| Tin | Rui Da Hung* | CID001539 | Taoyuan, Taoyuan, Taiwan, Province of China |
| Gold | Sabin Metal Corp. | CID001546 | Willston, North Dakota, United States of America |
| Gold | Samduck Precious Metals* | CID001555 | Namdong, Incheon-gwangyeoksi, Korea Republic Of |
| Gold | Samwon Metals Corp. | CID001562 | Changwon, Gyeongsangnam-do, Korea, Republic Of |
| Gold | SEMPSA Joyeria Plateria S.A.* | CID001585 | Madrid, Madrid, Comunidad de |
| Gold | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | CID001619 | Laizhou, Shandong Sheng, China |
| Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd.* | CID001622 | Zhaoyuan, Shandong Sheng, China |
| Gold | Sichuan Tianze Precious Metals Co., Ltd.* | CID001736 | Chengdu, Sichuan Sheng, China |
| Gold | SOE Shyolkovsky Factory of Secondary Precious Metals* | CID001756 | Shyolkovo, Moskovskaja oblast', Russian Federation |
| Tin | Soft Metais Ltda.* | CID001758 | Bebedouro, São Paulo, Brazil |
| Gold | Solar Applied Materials Technology Corp.* | CID001761 | Tainan City, Tainan, Taiwan, Province of China |
| Tantalum | Solikamsk Magnesium Works OAO* | CID001769 | Solikamsk, Permskiy kray, Russian Federation |
| Gold | Sumitomo Metal Mining Co., Ltd.* | CID001798 | Saijo, Wehime, Japan |
| Tantalum | Taki Chemical Co., Ltd.* | CID001869 | Harima, Hyogo, Japan |
| Gold | Tanaka Kikinzoku Kogyo K.K.* | CID001875 | Hiratsuka, Kanagawa, Japan |
| Tungsten | Tejing (Vietnam) Tungsten Co., Ltd.* | CID001889 | Halong City, Tây Ninh, Vietnam |
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| Tantalum | Telex Metals* | CID001891 | Croydon, Pennsylvania, United States of America |
| Tin | Thaisarco* | CID001898 | Amphur Muang, Phuket, Thailand |
| Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.* | CID001908 | Geiju, Yunnan Sheng, China |
| Gold | Great Wall Precious Metals Co., Ltd. Of CBPM | CID001909 | Chengdu, Sichuan Sheng, China |
| Gold | The Refinery of Shandong Gold Mining Co., Ltd.* | CID001916 | Laizhou, Shandong Sheng, China |
| Gold | Tokuriki Honten Co., Ltd.* | CID001938 | Kuki, Saitama, Japan |
| Gold | Tongling Nonferrous Metals Group Co., Ltd. | CID001947 | Tongling City, Anhui Province China |
| Gold | Torecom* | CID001955 | Asan, Chungcheongnam-do, Korea, Republic Of |
| Tantalum | Ulba Metallurgical Plant JSC* | CID001969 | Ust-Kamenogorsk, Qaraghandy oblysy, Kazakhstan |
| Gold | Umicore Brasil Ltda.* | CID001977 | Guarulhos, São Paulo, Brazil |
| Gold | Umicore S.A. Business Unit Precious Metals Refining* | CID001980 | Hoboken, Antwerpen, Austria |
| Gold | United Precious Metal Refining, Inc.* | CID001993 | Alden, New York, United States of America |
| Gold | Valcambi S.A.* | CID002003 | Balerna, Ticino, Switzerland |
| Gold | Western Australian Mint (T/a The Perth Mint)* | CID002030 | Newburn, Western Australia, Australia |
| Tin | White Solder Metalurgia e Mineracao Ltda.* | CID002036 | Ariquemes, Rondônia, Brazil |
| Tungsten | Wolfram Bergbau und Hutten AG* | CID002044 | St. Martin i-S, Steiermark, Austria |
| Tungsten | Xiamen Tungsten Co., Ltd.* | CID002082 | Xiamen, Fujian Sheng, China |
| Tungsten | Xinhai Rendan Shaoguan Tungsten Co., Ltd.* | CID002095 | Shaoguan, Guangdong Sheng, China |
| Gold | Yamakin Co., Ltd.* | CID002100 | Konan, Kochi, Japan |
| Gold | Yokohama Metal Co., Ltd.* | CID002129 | Sagamihara, Kanagawa, China |
| Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd.* | CID002158 | Gejiu, Yunnan Sheng, China |
| Tin | Yunnan Tin Company Limited* | CID002180 | Gejiu, Yunnan Sheng, China |
| Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation* | CID002224 | Sanmenxia, Henan Sheng, China |
| Gold | Gold Refinery of Zijin Mining Group Co., Ltd.* | CID002243 | Shanghang, Fujian Sheng, China |
| Gold | Morris and Watson | CID002282 | Auckland, Auckland, New Zealand |
| Gold | SAFINA, A.S. | CID002290 | Vestec, Prah-zapad, Czechia |
| Gold | Guangdong Jinding Gold Limited | CID002312 | Guangzhou, Guangdon Sheng, China |
| Gold | Jiangxi Minmetals Gao’an Non-ferrous Metal Co., Ltd. | CID002313 | Gao’an, Jiangxi Sheng, China |
| Gold | Umicore Precious Metals Thailand* | CID002314 | Khwaeng Dok Mai, Krung Thep Maha Nakhon, Thailand |
| Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd.* | CID002315 | Ganzhou, Jiangxi Sheng, China |
| Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd.* | CID002316 | Ganzhou, Jiangxi Sheng, China |
| Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd.* | CID002317 | Ganzhou, Jiangxi Sheng, China |
| Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.* | CID002318 | Tonggu, Jiangxi Sheng, China |
| Tungsten | Malipo Haiyu Tungsten Co., Ltd.* | CID002319 | Nanfeng Xiaozhai, Yunnan Sheng, China |
| Tungsten | Xiamen Tungsten (H.C.) Co., Ltd.* | CID002320 | Xiamen, Fujian Sheng, China |
| Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd.* | CID002321 | Xiushui, Jiangxi Sheng, China |
| Gold | Geib Refining Corporation* | CID002459 | Warwick, Rhode Island, United States California |
| Tin | Magnu's Minerais Metais e Ligas Ltda.* | CID002468 | São João del Rei, Minas Gerais, Brazil |
| Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd.* | CID002492 | Hengyang, Hunan Sheng, China |
| Tungsten | Ganzhou Seadragon W & Mo Co., Ltd.* | CID002494 | Ganzhou, Jiangxi Sheng, China |
| Tin | Melt Metais e Ligas S.A.* | CID002500 | Ariquemes, Rondônia, Brazil |
| Tungsten | Asia Tungsten Products Vietnam Ltd.* | CID002502 | Vinh Bao District, Hai Phong, Vietnam |
| Tin | PT ATD Makmur Mandiri Jaya* | CID002503 | Sungailiat, Kepulauan Bangka Belitung, Indonesia |
| Tantalum | D Block Metals, LLC* | CID002504 | Gastonia, North Carolina, United States of America |
| Tantalum | FIR Metals & Resource Ltd.* | CID002505 | Zhuzhou, Hunan Sheng, China |
| Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd.* | CID002506 | Jiujiang, Jiangxi Sheng, China |
| Tantalum | XinXing HaoRong Electronic Material Co., Ltd.* | CID002508 | YunFu City, Guangdong Sheng, China |
| Gold | MMTC-PAMP India Pvt., Ltd.* | CID002509 | Mewat, Haryana, India |
| Gold | KGHM Polska Miedz Spolka Akcyjna* | CID002511 | Lubin, Dolnoœl¹skie, Poland |
| Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd.* | CID002512 | Fengxin, Jiangxi Sheng, China |
|
| | | |
| Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd.* | CID002513 | Chenzhou, Hunan Sheng, China |
| Gold | Fidelity Printers and Refiners Ltd. | CID002515 | Msasa, Harare, Zimbabwe |
| Gold | Singway Technology Co., Ltd.* | CID002516 | Dayuan, Taoyuan, Taiwan, Province of China |
| Tin | O.M. Manufacturing Philippines, Inc.* | CID002517 | Rosario, Cavite, Philippines |
| Gold | Shandong Humon Smelting Co., Ltd. | CID002525 | Laizhou, Shandong Sheng, China |
| Tantalum | KEMET Blue Metals* | CID002539 | Matamoros, Tamaulipas, Mexico |
| Tungsten | H.C. Starck Tungsten GmbH* | CID002541 | Goslar, Niedersachsen, Germany |
| Tungsten | H.C. Starck Smelting GmbH & Co. KG* | CID002542 | Laufenburg, Baden-Württemberg, Germany |
| Tungsten | Masan Tungsten Chemical LLC (MTC)* | CID002543 | Dai Tu, Thái Nguyên, Vietnam |
| Tantalum | H.C. Starck Co., Ltd.* | CID002544 | Map Ta Phut, Rayong, Thailand |
| Tantalum | H.C. Starck Tantalum and Niobium GmbH* | CID002545 | Goslar, Niedersachsen, Germany |
| Tantalum | H.C. Starck Hermsdorf GmbH* | CID002547 | Hermsdorf, Thüringen, Germany |
| Tantalum | H.C. Starck Inc.* | CID002548 | Newton, Massachusetts, United States of America |
| Tantalum | H.C. Starck Ltd.* | CID002549 | Mito, Ibaraki, Japan |
| Tantalum | H.C. Starck Smelting GmbH & Co. KG* | CID002550 | Laufenburg, Baden-Württemberg, Germany |
| Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd.* | CID002551 | Ganzhou, Jiangxi Sheng, China |
| Tantalum | Global Advanced Metals Boyertown* | CID002557 | Boyertown, Pennsylvania, United States of America |
| Tantalum | Global Advanced Metals Aizu* | CID002558 | Aizuwakamatsu, Fukushima, Japan |
| Gold | Al Etihad Gold Refinery DMCC* | CID002560 | Dubai, Dubayy, United Arab Emirates |
| Gold | Emirates Gold DMCC* | CID002561 | Dubai, Dubayy, United Arab Emirates |
| Gold | International Precious Metal Refiners | CID002562 | Dubai, Dubayy, United Arab Emirates |
| Gold | Kaloti Precious Metals | CID002563 | Dubai, Dubayy, United Arab Emirates |
| Gold | Sudan Gold Refinery | CID002567 | Khartoum, Khartoum, Sudan |
| Tin | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | CID002572 | Tinh Tuc, Cao Bang, Vietnam |
| Tin | Nghe Tinh Non-Ferrous Metals Joint Stock Company | CID002573 | Quy Hop, NgheAn, Vietnam |
| Tin | Tuyen Quang Non-Ferrous Metals Joint Stock Company | CID002574 | Tan Quang, Tuyen Quang, Vietnam |
| Tungsten | Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji* | CID002579 | Hengyang, Hunan Sheng, China |
| Gold | T.C.A S.p.A* | CID002580 | Capolona, Toscana, Italy |
| Gold | REMONDIS PMR B.V.* | CID002582 | Moerdijk, Noord-Brabant, Netherlands |
| Gold | Fujairah Gold FZC | CID002584 | United Arab Emirates |
| Gold | Tony Goetz NV | CID002587 | Antwerp, Antwerpen, Belgium |
| Tungsten | Niagara Refining LLC* | CID002589 | Depew, New York, United States of America |
| Gold | Korea Zinc Co., Ltd.* | CID002605 | Gangnam, Seoul-teukbyeolsi, Korea, Republic of |
| Gold | Marsam Metals* | CID002606 | Sao Paolo, São Paulo, Brazil |
| Gold | TOO Tau-Ken-Altyn* | CID002615 | Astana, Almaty, Kazakhstan |
| Tungsten | Ganzhou Haichuang Tungsten Co., Ltd.* | CID002645 | Ganzhou, Jiangxi Sheng, China |
| Tungsten | Jiangxi Zianglu Tungsten Co., Ltd. | CID002647 | Huanglong, Jiangxi Sheng, China |
| Tungsten | Hydrometallurg, JSC* | CID002649 | Nalchik, Kabardino-Balkarskaya Respublika, Russian Federation |
| Tin | An Vinh Joint Stock Mineral Processing Company | CID002703 | Quy Hop, Nghe An, Vietnam |
| Tin | Resind Industria e Comercio Ltda.* | CID002706 | São João del Rei, Minas gerais, Brazil |
| Tantalum | Resind Industria e Comercio Ltda.* | CID002707 | São João del Rei, Minas gerais, Brazil |
| Gold | Abington Reldan Metals, LLC | CID002708 | Pennsylvania, United States |
| Tungsten | Unecha Refractory metals plant* | CID002724 | Unecha, Bryanskaya oblast' |
| Tin | Super Ligas | CID002756 | Sao Paulo, Brazil |
| Gold | SAAMP* | CID002761 | Paris, Île-de-France, France |
| Gold | L'Orfebre S.A.* | CID002762 | Andorra, Andorra |
| Gold | 8853 S.p.A.* | CID002763 | Pero, Lombardia, Italy |
| Gold | Italpreziosi* | CID002765 | Arezzo, Toscana, Italy |
| Tin | Metallo Belgium N.V.* | CID002773 | Beerse, Antwerpen, Belgium |
| Tin | Metallo Spain S.L.U.* | CID002774 | Berango, Bizkaia, Spain |
|
| | | |
| Gold | SAXONIA Edelmetalle GmbH* | CID002777 | Halsbruke, Sachsen, Germany |
| Gold | WIELAND Edelmetalle GmbH* | CID002778 | Pforzeim, Baden-Wurttemberg, Germany |
| Gold | Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH* | CID002779 | Vienna, Wien, Austria |
| Tungsten | Philippine Chuangxin Industrial Co., Inc.* | CID002827 | Marilao, Bulacan, Philippines |
| Tungsten | Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.* | CID002830 | Ganzhou, Jiangxi Sheng, China |
| Tungsten | ACL Metais Eireli* | CID002833 | Araçariguama, São Paulo, Brazil |
| Tin | Thai Nguyen Mining and Metallurgy Co., Ltd.* | CID002834 | Thai Nguyen, Thái Nguyên, Vietnam |
| Tin | PT Menara Cipta Mulia* | CID002835 | Mentawak, Kepulauan Bangka Belitung, Indonesia |
| Tantalum | Jiangxi Tuohong New Raw Material* | CID002842 | Yi Chun City, Jiangxi Sheng, China |
| Tungsten | Woltech Korea Co., Ltd.* | CID002843 | Gyeongju-si, Gyeongsangbuk-do, Korea Republic Of |
| Tin | HuiChang Hill Tin Industry Co., Ltd.* | CID002844 | Ganzhou, Jiangxi Sheng, China |
| Tungsten | Moliren Ltd.* | CID002845 | Roshal, Moskovskaja oblast', Russian Federation |
| Tantalum | PRG Dooel* | CID002847 | Skopje, Skopje, North Macedonia, Republic |
| Tin | Guanyang Guida Nonferrous Metal Smelting Plant* | CID002849 | Guanyang, Guangxi Zhuangzu Zizhiqu, China |
| Gold | AU Traders and Refiners* | CID002850 | Johannesburg, Gauteng, South Africa |
| Gold | GCC Gujrat GoldCentre Pvt. Ltd. | CID002852 | Ahmedabad, Gujarat, India |
| Gold | Sai Refinery | CID002853 | Parwanoo, Himachal Pradesh, India |
| Gold | Modeltech Sdn Bhd | CID002857 | Melaka, Malaysia |
| Tin | Modeltech Sdn Bhd | CID002858 | Melaka, Malaysia |
| Gold | Bangalore Refinery* | CID002863 | Bangalore, Karnataka, India |
| Gold | Kyshtym Copper-Electrolytic Plant ZAO | CID002865 | Kyshtym, Chelyabinskaya oblast, Russian Federation |
| Gold | Degussa Sonne / Mond Goldhandel GmbH | CID002867 | Baden-Wurttemberg, Germany |
| Gold | Pease & Curren | CID002872 | Rhode Island, United States |
| Gold | SungEel HiMetal Co., Ltd.* | CID002918 | Gunsan-si, Jeollabuk-do, Korea Republic Of |
| Gold | Planta Recuperadora de Metales SpA* | CID002919 | Mejillones, Antofagasta, Chile |
| Gold | Safimet S.p.A* | CID002973 | Arezzo, Toscana, Italy |
| Tin | Guangdong Hanhe Non-Ferrous Metal Co., Ltd.* | CID003116 | Chaozhou, Guangdong Sheng, China |
| | | | |
| Gold | State Research Institute Center for Physical Sciences and Technology | CID003153 | Vilnius, Lithuania |
| Tungsten | Hunan Litian Tungsten Industry Co., Ltd.* | CID003182 | Yiyang, Hunan Sheng, China |
| Gold | African Gold Refinery | CID003185 | Entebbe, Wakiso Uganda |
| Gold | NH Recytech Company | CID003189 | Pyeongtaek-si, Gyeonggi-do, Korea Republic Of |
| Tin | Chifeng Dajingzi Tin Industry Co., Ltd.* | CID003190 | Chifeng, Nei Mongol Zizhiqu, China |
| Gold | DS PRETECH Co., Ltd.* | CID003195 | Chopyeong-myeon, Chungcheongbuk-do, Korea Republic Of |
| Tin | Pongpipat Company Limited | CID003208 | Yangon, Myanmar |
| Gold | QG Refining, LLC | CID003324 | Fairfield, Butler, United States of America |
| Tin | Tin Technology & Refining* | CID003325 | West Chester, Pennsylvania, United States of America |
| Gold | Dijilah Gold Refinery FZC | CID003348 | Sharjah, Ash Sharqah, United Arab Emirates |
| Tin | Dongguan CiEXPO Environmental Engineering Co., Ltd. | CID003356 | Dongguan, Guangdong Sheng, China |
| Tin | Ma'anshan Weitai Tin Co., Ltd.* | CID003379 | Maanshan, Anhui Sheng, China |
| Gold | CGR Metalloys Pvt Ltd. | CID003382 | Cochin, Kerala, India |
| Gold | Sovereign Metals | CID003383 | Ahmedab, Guajarat, India |
| Tungsten | KGETS Co., Ltd.* | CID003388 | Siheung-si, Gyeonggi-do, Korea Republic Of |
| Tin | Yunnan Yunfan Non-ferrous Metals Co., Ltd.* | CID003397 | Gejiu, Yunnan Sheng, China |
| Tungsten | Fujian Ganmin RareMetal Co., Ltd.* | CID003401 | Longyan, Fujian Sheng, China |
| Tantalum | CP Metals Inc. | CID003402 | Warren, Ohio, United States of America |
| Tungsten | Lianyou Metals Co., Ltd.* | CID003407 | Fangliao, Pingtung, Taiwan Province of China |
| Tungsten | JSC “Kirovgrad Hard Alloys Plant” | CID003408 | Kirovgrad, Svedlovskaya oblast’ Russian Federation |
| Tin | Precious Minerals and Smelting Limited | CID003409 | Jagdalpur, Chhattisgarh, India |
| Tungsten | Sofia Med | NA | Sofia, Bulgaria |
Appendix B
Countries of Origin
Based on our due diligence, the identified countries of origin of the Conflict Minerals processed by the smelters and refiners listed in Appendix A may have included the countries listed below. The listed countries of origin are derived from information provided by RMI.
|
| | | |
| ANDORRA | FRANCE | MYANMAR | SUDAN |
| AUSTRALIA | GERMANY | NETHERLANDS | SWEDEN |
| AUSTRIA | INDIA | NEW ZEALAND | SWITZERLAND |
| BELGIUM | INDONESIA | NORTH MACEDONIA, REPUBLIC OF | TAIWAN, PROVINCE OF CHINA |
| BOLIVIA | ITALY | PERU | THAILAND |
| BRAZIL | JAPAN | PHILIPPINES | TURKEY |
| BULGARIA | KAZAKHSTAN | POLAND | UGANDA |
| CANADA | KOREA, REPUBLIC OF | RUSSIAN FEDERATION | UNITED ARAB EMIRATES |
| CHILE | KYRGYZSTAN | SAUDI ARABIA | UNITED STATES OF AMERICA |
| CHINA | LITHUANIA | SINGAPORE | UZBEKISTAN |
| CZECHIA | MALAYSIA | SOUTH AFRICA | VIET NAM |
| ESTONIA | MEXICO | SPAIN | ZIMBABWE |
