Exhibit 1.01
CONFLICT MINERALS REPORT
OVERVIEW
This report for the reporting period from January 1, 2016 to December 31, 2016 has been prepared by SYNNEX Corporation (the “Company,” “we,” “us” or “our”) pursuant to Rule 13p-1 promulgated under the Securities Exchange Act of 1934, as amended, and Form SD (collectively, the “Conflict Minerals Rule”). As used herein and consistent with the Conflict Minerals Rule, “Conflict Minerals” or “3TG” are columbite-tantalite (coltan), cassiterite, gold, wolframite and the derivatives tantalum, tin and tungsten, without regard to the location of origin of the minerals or derivative metals.
We are a leading business process services company, providing a comprehensive range of distribution, logistics and integration services for the technology industry and providing outsourced services focused on customer engagement strategy to a broad range of enterprises. We are organized to provide our products and services through two reportable business segments: Technology Solutions and Concentrix. Our Technology Solutions segment distributes peripherals, IT systems including data center server and storage solutions, system components, software, networking/communications/security equipment, consumer electronics, or CE, and complementary products. Within our Technology Solutions segment, we also provide systems design and integration solutions. Our Concentrix segment offers a portfolio of strategic solutions and end-to-end business services focused on customer engagement strategy, process optimization, technology innovation, front and back-office automation and business transformation to clients in ten identified industry verticals. Our revenues for 2016 largely were from distribution and global business services that were not in-scope for purposes of our compliance with the Conflict Minerals Rule.
PRODUCT SCOPING; REASONABLE COUNTRY OF ORIGIN INQUIRY; DUE DILIGENCE DETERMINATION
For 2016, a portion of the systems design and integration business within our Technology Solutions segment involved our manufacture, through assembly or integration, of data center servers and storage products. 3TG were necessary to the functionality or production of these manufactured products. Accordingly, these products were in-scope for purposes of our compliance with the Conflict Minerals Rule. Taken as a whole, our in-scope products contained all four 3TG, but each individual product did not contain all four 3TG.
We purchase only finished components and do not purchase 3TG directly from any smelter, refiner or mine. We have relationships with an extensive network of suppliers throughout the world, and we believe that there are generally multiple tiers between the mines, smelters, refiners and our direct suppliers. Therefore, we have
requested our direct suppliers to work with their upstream suppliers so that they may provide us with information about the origin of 3TG in the components we purchase for inclusion in the products that we manufacture.
To determine whether any of the 3TG in the components contained in our data center servers and storage products originated in the Democratic Republic of the Congo or an adjoining country (the “Covered Countries”), or were from recycled or scrap sources, we conducted a reasonable country of origin inquiry (“RCOI”) within the meaning of the Conflict Minerals Rule, requesting that suppliers of the components we included in our manufactured products for 2016 complete the Conflict-Free Sourcing Initiative (“CFSI”) Conflict Minerals Reporting Template (“CMRT”), which includes questions regarding identified smelters and refiners in the supplier’s supply chain and the supplier’s compliance procedures. We determined that requesting that our suppliers complete the CMRT represented our reasonable best efforts to determine the mines or locations of origin of 3TG in our supply chain. Our RCOI utilized the processes and procedures contemplated by Steps 1 and 2 of the OECD Guidance (as defined below). Selected elements of those steps are discussed under “Due Diligence.”
Most of the suppliers that completed CMRTs provided data at the company level, with a small minority reporting at a level specific to the category of components that we purchased from them. Some suppliers indicated that 3TG contained in their components were not sourced from the Covered Countries, and some suppliers indicated that their products contain minerals sourced from the Covered Countries but from smelters which were certified as “compliant” by an independent third party. There were also suppliers that indicated they used some recycled or scrap 3TG content in the types of components they sell.
After conducting an RCOI and exercising the due diligence described in this Conflict Minerals Report, as applicable, and in light of the limited information specific to our products provided to us by our suppliers, we concluded for 2016 that each of our data center servers and storage products contained 3TG of undetermined origin. Based on the information provided by the suppliers that completed CMRTs, we believe that the facilities that may have been used to process necessary 3TG contained in our in-scope products include the smelters and refiners listed in the Annex at the end of this Conflict Minerals Report and we believe that the countries of origin of the 3TG processed by such smelters and refiners may include the countries listed in the Annex. We endeavored to determine the mine or location of origin of the necessary 3TG contained in our in-scope products by requesting that the suppliers provide us with a completed CMRT and through the other procedures followed by us that are described in this Conflict Minerals Report.
DUE DILIGENCE
Our due diligence measures have been designed to conform, in all material respects, with the due diligence framework presented by the Organisation for Economic Co-operation and Development in the publication OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (Third Edition), including the related Supplements for gold and for tin, tantalum and tungsten (the “OECD
Guidance”). The OECD Guidance has established a five-step framework for due diligence as a basis for responsible global supply chain management of minerals from conflict-affected and high-risk areas. Our implementation of the OECD Guidance in respect of 2016 is discussed below, but these were not all of the discrete measures that we took in furtherance of our conflict minerals policy (which is discussed below) or pursuant to the Conflict Minerals Rule and the OECD Guidance.
| |
| 1. | Establish Strong Company Management Systems |
Our 3TG due diligence team was led by our Senior Vice President, General Counsel and Corporate Secretary, and our President, Hyve Solutions, and included subject matter experts from legal, finance, product management, and sales. We also retained specialist outside counsel to assist us with our compliance efforts.
We used the CMRT to identify smelters and refiners that were possibly in our supply chain. We maintain business records relating to 3TG due diligence in respect of 2016, including records of due diligence processes, findings and resulting decisions, on a computerized database, and relevant materials are preserved for appropriate periods consistent with the OECD Guidance.
We have a conflict minerals policy, which is available on our website at http://files.shareholder.com/downloads/SNX/0x0x758243/a29e58d8-4c8f-4ec3-a297-27eb9ac6c2cf/SNX_Conflict_Minerals_Policy_Statement05-23-14fnl.pdf (the “Conflict Minerals Policy”). The Conflict Minerals Policy sets forth our expectation that the suppliers in our supply chain procure 3TG responsibly and avoid sourcing that funds armed conflict contributing to the crisis in the Covered Countries. Our Conflict Minerals Policy also sets forth our expectation that our suppliers facilitate our efforts by providing us with appropriate information when we request, and conduct the necessary due diligence to identify smelters and refiners, from which the 3TG in their respective supply chains originate. We have a public email address (conflictmineralsinquiries@synnex.com) available on our website for general inquiries and grievances regarding our 3TG program and sources of 3TG. This mechanism serves as our grievance mechanism.
We do not support the embargo of 3TG from the Covered Countries and are supportive of suppliers continuing to source from responsible sources in those countries.
To further our efforts in identifying and assessing 3TG sourcing risks in our supply chain, we have included a 3TG flow-down clause in new supplier contracts that requires suppliers to provide us with information about the source of 3TG.
| |
| 2. | Identify and Assess Risks in the Supply Chain |
To determine whether any of the necessary 3TG contained in our in-scope products originated in the Covered Countries, we requested that direct suppliers of the components we used in the in-scope products complete the CMRT. We requested our suppliers’ cooperation in gathering information from their respective suppliers.
We reviewed the completed CMRTs received from our suppliers. To the extent that a CMRT identified a smelter or refiner, we reviewed that information against the Smelter Reference List tab of the CMRT and the list of “compliant” and “active” smelters and refiners published by the CFSI. We also used the CMRT responses to review our direct suppliers’ due diligence activities, such as whether they had a conflict minerals policy and required their own suppliers to source from compliant sources.
| |
| 3. | Design and Implement a Strategy to Respond to Identified Risks |
Senior management was briefed about our due diligence efforts. We have a risk management plan that outlines our responses in general terms to identified risks.
| |
| 4. | Carry Out Third Party Audit of Supply Chain Due Diligence at Identified Points in the Supply Chain |
In connection with our due diligence, we utilized and relied on information made available by the CFSI concerning independent third-party audits of smelters and refiners. We do not have a direct relationship with any smelters or refiners and do not perform or direct audits of those entities within our supply chain.
| |
| 5. | Report on Supply Chain Due Diligence |
This Conflict Minerals Report and our Form SD are available on our website and are filed with the Securities and Exchange Commission. Based on the information provided by our suppliers, we believe that the facilities that may have been used to process the 3TG in our products include the smelters and refiners listed in Annex A below.
ANNEX
Capitalized terms used and not otherwise defined in this Annex have the meanings set forth in the Conflict Minerals Report of which this Annex is a part.
Smelters and Refiners(1)
The following list includes smelters and refiners in “product-category” level CMRTs that we received. The list may not include all of the smelters and refiners that processed 3TG in the products that we manufactured for 2016 and may include smelters and refiners that processed 3TG in the general category of components a supplier sells but were not in the individual components we purchased from the supplier, as (i) the list contains only smelters and refiners confirmed as smelters and refiners by the CFSI and their compliance status as confirmed by the CFSI, (ii) not all of our suppliers completed CMRTs, (iii) many of the suppliers indicated that they only identified a portion of the smelters and refiners in their supply chain, and (iv) no supplier confirmed to us that its CMRT was limited to only the individual components we purchased from the supplier.
|
| | | |
| Mineral | Smelter or Refiner Name | Smelter of Refiner Location | Status |
| Gold | Advanced Chemical Company | United States | Compliant |
| Gold | Aida Chemical Industries Co., Ltd. | Japan | Compliant |
| Gold | Al Etihad Gold Refinery DMCC | United Arab Emirates | Compliant |
| Gold | Allgemeine Gold-und Silberscheideanstalt A.G. | Germany | Compliant |
| Gold | Almalyk Mining and Metallurgical Complex (AMMC) | Uzbekistan | Compliant |
| Gold | AngloGold Ashanti Córrego do Sítio Mineração | Brazil | Compliant |
| Gold | Argor-Heraeus SA | Switzerland | Compliant |
| Gold | Asahi Pretec Corporation | Japan | Compliant |
| Gold | Asaka Riken Co., Ltd. | Japan | Compliant |
| Gold | AU Traders and Refiners | South Africa | Compliant |
| Gold | Aurubis AG | Germany | Compliant |
| Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | Philippines | Compliant |
| Gold | Boliden AB | Sweden | Compliant |
| Gold | C. Hafner GmbH + Co. KG | Germany | Compliant |
| Gold | CCR Refinery - Glencore Canada Corporation | Canada | Compliant |
| Gold | Chimet S.p.A. | Italy | Compliant |
| Gold | Daejin Indus Co., Ltd. | Republic of Korea | Compliant |
| Gold | Do Sung Corporation | Republic of Korea | Compliant |
| Gold | DODUCO GmbH | Germany | Compliant |
| Gold | Dowa | Japan | Compliant |
| Gold | Eco-System Recycling Co., Ltd. | Japan | Compliant |
| Gold | Emirates Gold DMCC | United Arab Emirates | Compliant |
| Gold | Geib Refining Corporation | United States of America | Compliant |
| Gold | Heimerle + Meule GmbH | Germany | Compliant |
| Gold | Heraeus Ltd. Hong Kong | China | Compliant |
|
| | | |
| Mineral | Smelter or Refiner Name | Smelter of Refiner Location | Status |
| Gold | Heraeus Precious Metals GmbH & Co. KG | Germany | Compliant |
| Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited | China | Compliant |
| Gold | Ishifuku Metal Industry Co., Ltd. | Japan | Compliant |
| Gold | Istanbul Gold Refinery | Turkey | Compliant |
| Gold | Japan Mint | Japan | Compliant |
| Gold | Jiangxi Copper Company Limited | China | Compliant |
| Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | Russian Federation | Compliant |
| Gold | JSC Uralelectromed | Russian Federation | Compliant |
| Gold | JX Nippon Mining & Metals Co., Ltd. | Japan | Compliant |
| Gold | Kazzinc | Kazakhstan | Compliant |
| Gold | Kennecott Utah Copper LLC | United States | Compliant |
| Gold | Kojima Chemicals Co., Ltd. | Japan | Compliant |
| Gold | Korea Zinc Co., Ltd. | Republic of Korea | Compliant |
| Gold | Kyrgyzaltyn JSC | Kyrgystan | Compliant |
| Gold | LS-NIKKO Copper Inc. | Republic of Korea | Compliant |
| Gold | Materion | United States | Compliant |
| Gold | Matsuda Sangyo Co., Ltd. | Japan | Compliant |
| Gold | Metalor Technologies (Hong Kong) Ltd. | China | Compliant |
| Gold | Metalor Technologies (Singapore) Pte., Ltd. | Singapore | Compliant |
| Gold | Metalor Technologies SA | Switzerland | Compliant |
| Gold | Metalor Technologies (Suzhou) Ltd. | China | Compliant |
| Gold | Metalor USA Refining Corporation | United States | Compliant |
| Gold | Metalurgica Met-Mex Penoles S.A. de CV | Mexico | Compliant |
| Gold | Mitsubishi Materials Corporation | Japan | Compliant |
| Gold | Mitsui Mining and Smelting Co., Ltd. | Japan | Compliant |
| Gold | MMTC-PAMP India Pvt., Ltd. | India | Compliant |
| Gold | Moscow Special Alloys Processing Plant | Russian Federation | Compliant |
| Gold | Nadir Metal Rafineri San. Ve Tic. A.Ş. | Turkey | Compliant |
| Gold | Nihon Material Co., Ltd. | Japan | Compliant |
| Gold | Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH | Austria | Compliant |
| Gold | Ohura Precious Metal Industry Co., Ltd. | Japan | Compliant |
| Gold | OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) | Russian Federation | Compliant |
| Gold | OJSC Novosibirsk Refinery | Russian Federation | Compliant |
| Gold | PAMP SA | Switzerland | Compliant |
| Gold | JX Nippon Mining & Metals Co., KLtd. | Japan | Compliant |
| Gold | Prioksky Plant of Non-Ferrous Metals | Russian Federation | Compliant |
| Gold | PT Aneka Tambang (Persero) Tbk | Indonesia | Compliant |
| Gold | PX Précinox SA | Switzerland | Compliant |
| Gold | Rand Refinery (Pty) Ltd. | South Africa | Compliant |
| Gold | Republic Metals Corporation | United States | Compliant |
| Gold | Royal Canadian Mint | Canada | Compliant |
| Gold | SAAMP | France | Compliant |
|
| | | |
| Mineral | Smelter or Refiner Name | Smelter of Refiner Location | Status |
| Gold | Samduck Precious Metals | Republic of Korea | Compliant |
| Gold | SAXONIA Edelmetalle GmBH | Germany | Compliant |
| Gold | Schone Edelmetaal B.V. | Netherlands | Compliant |
| Gold | SEMPSA Joyería Platería SA | Spain | Compliant |
| Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | China | Compliant |
| Gold | Sichuan Tianze Precious Metals Co., Ltd. | China | Compliant |
| Gold | Singway Technology Co., Ltd. | Taiwan | Compliant |
| Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | Russian Federation | Compliant |
| Gold | Solar Applied Materials Technology Corp. | Taiwan | Compliant |
| Gold | Sumitomo Metal Mining Co., Ltd. | Japan | Compliant |
| Gold | T.C.A S.p.A | Italy | Compliant |
| Gold | Tanaka Kikinzoku Kogyo K.K. | Japan | Compliant |
| Gold | The Refinery of Shandong Gold Mining Co., Ltd. | China | Compliant |
| Gold | Tokuriki Honten Co., Ltd. | Japan | Compliant |
| Gold | Torecom | Republic of Korea | Compliant |
| Gold | Umicore Brasil Ltda. | Brazil | Compliant |
| Gold | Umicore Precious Metals Thailand | Thailand | Compliant |
| Gold | Umicore S.A. Business Unit Precious Metals Refining | Belgium | Compliant |
| Gold | United Precious Metal Refining, Inc. | United States | Compliant |
| Gold | Valcambi SA | Switzerland | Compliant |
| Gold | Western Australian Mint trading as The Perth Mint | Australia | Compliant |
| Gold | WIELAND Edelmetalle GmbH | Germany | Compliant |
| Gold | Yamamoto Precious Metal Co., Ltd. | Japan | Compliant |
| Gold | Yokohama Metal Co., Ltd. | Japan | Compliant |
| Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | China | Compliant |
| Gold | Zijin Mining Group Co., Ltd. Gold Refinery | China | Compliant |
| Gold | Bangalore Refinery | India | Active |
| Gold | KGHM Polska Miedz Spolka Akcyjna | Poland | Active |
| Gold | Navoi Mining and Metallurgical Combinat | Uzbekistan | Active |
| Gold | SAFINA A.S. | Czech Republic | Active |
| Gold | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | Turkey | Reference List |
| Gold | Bauer Walser AG | Germany | Reference List |
| Gold | Caridad | Mexico | Reference List |
| Gold | Cendres + Métaux SA | Switzerland | Reference List |
| Gold | Chugai Mining | Japan | Reference List |
| Gold | Daye Non-Ferrous Metals Mining Ltd. | China | Reference List |
| Gold | Gansu Seemine Material Hi-Tech Co., Ltd. | China | Reference List |
| Gold | Great Wall Precious Metals Co., Ltd. of CBPM | China | Reference List |
| Gold | Guangdong Jinding Gold Limited | China | Reference List |
| Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. | China | Reference List |
| Gold | Hunan Chenzhou Mining Co., Ltd. | China | Reference List |
| Gold | Hwasung CJ Co., Ltd. | Republic of Korea | Reference List |
| Gold | Johnson Matthey Inc. (USA) | United States | Reference List |
|
| | | |
| Mineral | Smelter or Refiner Name | Smelter of Refiner Location | Status |
| Gold | Kazakhmys Smelting LLC | Kazakhstan | Reference List |
| Gold | L' azurde Company For Jewelry | Saudi Arabia | Reference List |
| Gold | Lingbao Gold Company Limited | China | Reference List |
| Gold | Lingbao Jinyuan Tonghui Refinery Co., Ltd. | China | Reference List |
| Gold | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | China | Reference List |
| Gold | Morris and Watson | New Zealand | Reference List |
| Gold | Ohio Precious Metals [Elemetal Refining] | United States | Reference List |
| Gold | Penglai Penggang Gold Industry Co., Ltd. | China | Reference List |
| Gold | Remondis Argentia B.V. | Netherlands | Reference List |
| Gold | Sabin Metal Corp. | United States | Reference List |
| Gold | SAMWON Metals Corp. | Republic of Korea | Reference List |
| Gold | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | China | Reference List |
| Gold | So Accurate Group, Inc. | United States | Reference List |
| Gold | Tongling Nonferrous Metals Group Co., Ltd. | China | Reference List |
| Gold | Xstrata Canada Corporation | Canada | Reference List |
| Gold | Yunnan Copper Industry Co., Ltd. | China | Reference List |
| Tantalum | Changsha South Tantalum Niobium Co., Ltd. | China | Compliant |
| Tantalum | Conghua Tantalum and Niobium Smeltry | China | Compliant |
| Tantalum | D Block Metals, LLC | United States | Compliant |
| Tantalum | Duoluoshan | China | Compliant |
| Tantalum | Exotech Inc. | United States | Compliant |
| Tantalum | F&X Electro-Materials Ltd. | China | Compliant |
| Tantalum | FIR Metals & Resource Ltd. | China | Compliant |
| Tantalum | Global Advanced Metals Aizu | Japan | Compliant |
| Tantalum | Global Advanced Metals Boyertown | United States | Compliant |
| Tantalum | Guangdong Zhiyuan New Material Co., Ltd. | China | Compliant |
| Tantalum | H.C. Starck Co., Ltd. | Thailand | Compliant |
| Tantalum | H.C. Starck GmbH Goslar | Germany | Compliant |
| Tantalum | H.C. Starck GmbH Laufenburg | Germany | Compliant |
| Tantalum | H.C. Starck Hermsdorf GmbH | Germany | Compliant |
| Tantalum | H.C. Starck Inc. | United States | Compliant |
| Tantalum | H.C. Starck Ltd. | Japan | Compliant |
| Tantalum | H.C. Starck Smelting GmbH & Co.KG | Germany | Compliant |
| Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | China | Compliant |
| Tantalum | Hi-Temp Specialty Metals, Inc. | United States | Compliant |
| Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | China | Compliant |
| Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | China | Compliant |
| Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | China | Compliant |
| Tantalum | KEMET Blue Metals | Mexico | Compliant |
| Tantalum | KEMET Blue Powder | United States | Compliant |
| Tantalum | King-Tan Tantalum Industry Ltd. | China | Compliant |
| Tantalum | LSM Brasil S.A. | Brazil | Compliant |
| Tantalum | Metallurgical Products India Pvt., Ltd. | India | Compliant |
|
| | | |
| Mineral | Smelter or Refiner Name | Smelter of Refiner Location | Status |
| Tantalum | Mineração Taboca S.A. | Brazil | Compliant |
| Tantalum | Mitsui Mining & Smelting | Japan | Compliant |
| Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | China | Compliant |
| Tantalum | QuantumClean | United States | Compliant |
| Tantalum | RFH Tantalum Smeltry Co., Ltd. | China | Compliant |
| Tantalum | Solikamsk Magnesium Works OAO | Russian Federation | Compliant |
| Tantalum | Taki Chemicals | Japan | Compliant |
| Tantalum | Telex Metals | United States | Compliant |
| Tantalum | Ulba Metallurgical Plant JSC | Kazakhstan | Compliant |
| Tantalum | XinXing HaoRong Electronic Material Co., Ltd. | China | Compliant |
| Tantalum | Yichun Jin Yang Rare Metal Co., Ltd. | China | Compliant |
| Tantalum | Zhuzhou Cemented Carbide | China | Compliant |
| Tantalum | Jiangxi Tuohong New Raw Material | China | Reference List |
| Tantalum | Jiujiang Tanbre Co., Ltd. | China | Reference List |
| Tantalum | Molycorp Silmet A.S. | Estonia | Reference List |
| Tantalum | Plansee SE Liezen | Austria | Reference List |
| Tantalum | Plansee SE Reutte | Austria | Reference List |
| Tantalum | Power Resources Ltd | Macedonia | Reference List |
| Tantalum | Resind Industria e Comercio Ltda | Brazil | Reference List |
| Tantalum | Tranzact, Inc. | United States | Reference List |
| Tin | Alpha | United States | Compliant |
| Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | China | Compliant |
| Tin | China Tin Group Co., Ltd. | China | Compliant |
| Tin | Cooperativa Metalurgica de Rondônia Ltda. | Brazil | Compliant |
| Tin | CV Ayi Jaya | Indonesia | Compliant |
| Tin | CV Dua Sekawan | Indonesia | Compliant |
| Tin | CV Tiga Sekawan | Indonesia | Compliant |
| Tin | CV Gita Pesona | Indonesia | Compliant |
| Tin | CV Serumpun Sebalai | Indonesia | Compliant |
| Tin | CV United Smelting | Indonesia | Compliant |
| Tin | CV Venus Inti Perkasa | Indonesia | Compliant |
| Tin | Dowa | Japan | Compliant |
| Tin | EM Vinto | Bolivia | Compliant |
| Tin | Fenix Metals | Poland | Compliant |
| Tin | Gejiu Fengming Metallurgy Chemical Plant | China | Compliant |
| Tin | Geiju Jinye Mineral Company | China | Compliant |
| Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. | China | Compliant |
| Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | China | Compliant |
| Tin | Guanyang Guida Nonferrous Metal Smelting Plant | China | Compliant |
| Tin | HuiChang Hill Tin Industry Co., Ltd. | China | Compliant |
| Tin | Jiangxi Ketai Advanced Material Co., Ltd. | China | Compliant |
| Tin | Magnu's Minerais Metais e Ligas Ltda. | Brazil | Compliant |
| Tin | Malaysia Smelting Corporation (MSC) | Malaysia | Compliant |
|
| | | |
| Mineral | Smelter or Refiner Name | Smelter of Refiner Location | Status |
| Tin | Melt Metais e Ligas S/A | Brazil | Compliant |
| Tin | Metallic Resources, Inc. | United States | Compliant |
| Tin | Mineração Taboca S.A. | Brazil | Compliant |
| Tin | Minsur | Peru | Compliant |
| Tin | Mitsubishi Materials Corporation | Japan | Compliant |
| Tin | O.M. Manufacturing (Thailand) Co., Ltd. | Thailand | Compliant |
| Tin | O.M. Manufacturing Philippines, Inc. | Philippines | Compliant |
| Tin | Operaciones Metalurgical S.A. | Bolivia | Compliant |
| Tin | PT Aries Kencana Sejahtera | Indonesia | Compliant |
| Tin | PT Artha Cipta Langgeng | Indonesia | Compliant |
| Tin | PT ATD Makmur Mandiri Jaya | Indonesia | Compliant |
| Tin | PT Babel Inti Perkasa | Indonesia | Compliant |
| Tin | PT Bangka Prima Tin | Indonesia | Compliant |
| Tin | PT Bangka Tin Industry | Indonesia | Compliant |
| Tin | PT Belitung Industri Sejahtera | Indonesia | Compliant |
| Tin | PT Bukit Timah | Indonesia | Compliant |
| Tin | PT DS Jaya Abadi | Indonesia | Compliant |
| Tin | PT Eunindo Usaha Mandiri | Indonesia | Compliant |
| Tin | PT Inti Stania Prima | Indonesia | Compliant |
| Tin | PT Kijang Jaya Mandiri | Indonesia | Compliant |
| Tin | PT Mitra Stania Prima | Indonesia | Compliant |
| Tin | PT O.M. Indonesia | Indonesia | Compliant |
| Tin | PT Panca Mega Persada | Indonesia | Compliant |
| Tin | PT Prima Timah Utama | Indonesia | Compliant |
| Tin | PT Refined Bangka Tin | Indonesia | Compliant |
| Tin | PT Sariwiguna Binasentosa | Indonesia | Compliant |
| Tin | PT Stanindo Inti Perkasa | Indonesia | Compliant |
| Tin | PT Sukses Inti Makmur | Indonesia | Compliant |
| Tin | PT Sumber Jaya Indah | Indonesia | Compliant |
| Tin | PT Timah (Persero) Tbk Kundur | Indonesia | Compliant |
| Tin | PT Timah (Persero) Tbk Mentok | Indonesia | Compliant |
| Tin | PT Tinindo Inter Nusa | Indonesia | Compliant |
| Tin | PT Tommy Utama | Indonesia | Compliant |
| Tin | Resind Indústria e Comércio Ltda. | Brazil | Compliant |
| Tin | Rui Da Hung | Taiwan | Compliant |
| Tin | Soft Metais Ltda. | Brazil | Compliant |
| Tin | Thaisarco | Thailand | Compliant |
| Tin | VQB Mineral and Trading Group JSC | Vietnam | Compliant |
| Tin | White Solder Metalurgia e Mineração Ltda. | Brazil | Compliant |
| Tin | Yunnan Tin Company Limited | China | Compliant |
| Tin | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | Vietnam | Active |
| Tin | Gejiu Kai Meng Industry and Trade LLC | China | Active |
| Tin | Huichang Jinshunda Tin Co., Ltd. | China | Active |
|
| | | |
| Mineral | Smelter or Refiner Name | Smelter of Refiner Location | Status |
| Tin | Modeltech Sdn Bhd | Malaysia | Active |
| Tin | Nankang Nanshan Tin Manufactory Co., Ltd. | China | Active |
| Tin | PT Karimun Mining | Indonesia | Active |
| Tin | An Thai Minerals Co., Ltd. | Vietnam | Reference List |
| Tin | An Vinh Joint Stock Mineral Processing Company | Vietnam | Reference List |
| Tin | CNMC (Guangxi) PGMA Co., Ltd. | China | Reference List |
| Tin | Elmet S.L.U. (Metallo Group) | Spain | Reference List |
| Tin | Estanho de Rondônia S.A. | Brazil | Reference List |
| Tin | Gejiu Zili Mining And Metallurgy Co., Ltd. | China | Reference List |
| Tin | Linwu Xianggui Ore Smelting Co., Ltd. | China | Reference List |
| Tin | Metallo-Chimique N.V. | Belgium | Reference List |
| Tin | Nghe Tinh Non-Ferrous Metals Joint Stock Company | Vietnam | Reference List |
| Tin | PT Alam Lestari Kencana | Indonesia | Reference List |
| Tin | PT Bangka Kudai Tin | Indonesia | Reference List |
| Tin | PT Bangka Timah Utama Sejahtera | Indonesia | Reference List |
| Tin | PT BilliTin Makmur Lestari | Indonesia | Reference List |
| Tin | PT Cipta Persada Mulia | Indonesia | Reference List |
| Tin | PT Fang Di MulTindo | Indonesia | Reference List |
| Tin | PT Justindo | Indonesia | Reference List |
| Tin | PT Pelat Timah Nusantara Tbk | Indonesia | Reference List |
| Tin | PT Seirama Tin Investment | Indonesia | Reference List |
| Tin | PT Tirus Putra Mandiri | Indonesia | Reference List |
| Tin | PT Wahana Perkit Jaya | Indonesia | Reference List |
| Tin | Tuyen Quang Non-Ferrous Metals Joint Stock Company | Vietnam | Reference List |
| Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | China | Reference List |
| Tungsten | A.L.M.T. TUNGSTEN Corp. | Japan | Compliant |
| Tungsten | Asia Tungsten Products Vietnam Ltd. | Vietnam | Compliant |
| Tungsten | Chenzhou Diamond Tungsten Product s Co., Ltd. | China | Compliant |
| Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | China | Compliant |
| Tungsten | Fujian Jinxin Tungsten Co., Ltd. | China | Compliant |
| Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. | China | Compliant |
| Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | China | Compliant |
| Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | China | Compliant |
| Tungsten | Global Tungsten & Powders Corp. | United States | Compliant |
| Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | China | Compliant |
| Tungsten | H.C. Starck GmbH | Germany | Compliant |
| Tungsten | H.C. Starck Smelting GmbH & Co.KG | Germany | Compliant |
| Tungsten | Hunan Chenzhou Mining Co., Ltd. | China | Compliant |
| Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd. | China | Compliant |
| Tungsten | Hydrometallurg, JSC | Russian Federation | Compliant |
| Tungsten | Japan New Metals Co., Ltd. | Japan | Compliant |
| Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | China | Compliant |
| Tungsten | Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd. | China | Compliant |
|
| | | |
| Mineral | Smelter or Refiner Name | Smelter of Refiner Location | Status |
| Tungsten | Kennametal Huntsville | United States | Compliant |
| Tungsten | Malipo Haiyu Tungsten Co., Ltd. | China | Compliant |
| Tungsten | Niagara Refining LLC | United States | Compliant |
| Tungsten | Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC | Vietnam | Compliant |
| Tungsten | Tejing (Vietnam) Tungsten Co., Ltd. | Vietnam | Compliant |
| Tungsten | Vietnam Youngsun Tungsten Industry Co., Ltd. | Vietnam | Compliant |
| Tungsten | Wolfram Bergbau und Hütten AG | Austria | Compliant |
| Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | China | Compliant |
| Tungsten | Xiamen Tungsten Co., Ltd. | China | Compliant |
| Tungsten | Xinhai Rendan Shaoguan Tungsten Co., Ltd. | China | Compliant |
| Tungsten | Dayu Jincheng Tungsten Industry Co., Ltd. | China | Active |
| Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | China | Active |
| Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | China | Active |
| Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | China | Active |
| Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. | China | Active |
| Tungsten | Kennametal Fallon | United States | Active |
| Tungsten | Dayu Weiliang Tungsten Co., Ltd. | China | Reference List |
| Tungsten | Ganxian Shirui New Material Co., Ltd. | China | Reference List |
| Tungsten | Ganzhou Non-ferrous Metals Smelting Co., Ltd. | China | Reference List |
| Tungsten | Ganzhou Yatai Tungsten Co., Ltd. | China | Reference List |
| Tungsten | Hunan Chuangda Vanadium Tungsten Col, Ltd. Wuji | China | Reference List |
| Tungsten | Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. | China | Reference List |
| Tungsten | Moliren Ltd | Russian Federation | Reference List |
| Tungsten | Philippine Chuangxin Industrial Co., Inc. | Philippines | Reference List |
| Tungsten | Pobedit, JSC | Russian Federation | Reference List |
| Tungsten | South-East Nonferrous Metal Company Limited of Hengyang City | China | Reference List |
| Tungsten | Unecha Refractory metals plant | Russian Federation | Reference List |
| Tungsten | Woltech Korea Co., Ltd. | Republic of Korea | Reference List |
| Tungsten | Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. | China | Reference List |
(1) We note the following in connection with the information contained in the foregoing table:
(a) All compliance status information in the table is as of May 22, 2017.
(b) “Compliant” means that a smelter or refiner was listed as compliant with the Conflict-Free Smelter Program’s (“CSFP”) assessment protocols, including through mutual recognition and those indicated as “Re-audit in process.” Included smelters and refiners were not necessarily Compliant for all or part of 2016 and may not continue to be Compliant for any future period. We do not have any information on the origin of the 3TG processed by any of the Compliant smelters and refiners prior to their respective compliance dates.
(c) “Active” means that the smelter or refiner was listed as having submitted a signed Agreement for the Exchange of Confidential Information and Auditee Agreement contracts to the CFSP or, according to information published
by the CFSI, the smelter has agreed to complete a CFSP validation audit within two years of membership issuance by the Tungsten Industry - Council Minerals Council.
(d) A smelter or refiner is listed as “Reference List” if it was not Compliant or Active.
(e) The compliance status indicated in the table is based solely on information made publicly available by the CFSI, without independent verification by us.
(f) “Country Location” is the location of the smelter or refiner and is based solely on information made publicly available by the CFSI, without independent verification by us.
Country of Origin
The identified countries of origin of the 3TG processed by the Compliant smelters and refiners listed in the table above may have included the countries in the categories listed below. We have not been able to reliably determine the country of origin of the 3TG processed by any of the other smelters and refiners listed in the table. The countries below are categorized by risk.
L1 - Countries that are not identified as conflict regions or plausible areas of smuggling or export from the Covered Countries: Australia, Austria, Benin, Bolivia, Brazil, Burkina Faso, Cambodia, Canada, Chile, China, Colombia, Ecuador, Eritrea, Ethiopia, France, Ghana, Guatemala, Guinea, Guyana, Honduras, India, Indonesia, Japan, Laos, Madagascar, Malaysia, Mali, Mexico, Mongolia, Myanmar, Namibia, Nicaragua, Nigeria, Panama, Peru, Portugal, Russia, Senegal, Sierra Leone, Spain, Thailand, Togo, United States of America, Uzbekistan, Vietnam, Zimbabwe.
L2 - Countries that are known or plausible countries for smuggling, export out of region or transit of materials containing 3TG: Mozambique and South Africa.
L3 - The DRC and its nine adjoining countries: Burundi, Rwanda and Uganda.
DRC - The Democratic Republic of the Congo.
In addition, some of the Compliant smelters and refiners may have sourced in whole or in part from recycled or scrap sources.
