Exhibit 1.01
CONFLICT MINERALS REPORT OF PHILIP MORRIS INTERNATIONAL INC. FOR THE YEAR ENDED DECEMBER 31, 20161
INTRODUCTION
Philip Morris International Inc. is a Virginia holding company incorporated in 1987. Our subsidiaries and affiliates and their licensees are engaged in the manufacture and sale of cigarettes, other tobacco products and other nicotine-containing products in markets outside of the United States of America.
This Conflict Minerals Report (the “Report”) is provided in accordance with Rule 13p-1 under the Securities Exchange Act of 1934 (“Rule 13p-1”) for the reporting period from January 1 to December 31, 2016.
Conflict Minerals are defined by the Securities and Exchange Commission (“SEC”) as cassiterite, columbite-tantalite, wolframite and gold, and their derivatives, which are limited to tin, tantalum and tungsten (collectively, “3TGs”). During the reporting period, we contracted to manufacture the following products:
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| • | Platform 1 - a precisely controlled heating device, commercialized under the IQOS brand name, into which a specially designed and proprietary tobacco unit is inserted and heated to create an aerosol, as well as related accessories and parts; and |
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| • | Platform 4 - battery powered e-vapor products that produce an aerosol by vaporizing a liquid nicotine-containing solution; the current generation technology products are commercialized under the Nicolites, Nicocigs and Vivid brand names, and the new e-vapor technology products are commercialized using both the Nicocigs and MESH brand names. |
In this report, we refer to Platform 1 and Platform 4 products as “Covered Products.”
In 2016, we sourced the Covered Products from only two direct suppliers (the “Direct Suppliers”). The electronic components of the Covered Products contain one or more 3TGs; such 3TGs are necessary for the functionality or production of the Covered Products.
We have implemented policies, procedures and a due diligence process to determine whether any of the 3TGs contained in the Covered Products are sourced from the Democratic Republic of the Congo (“DRC”) or any of its adjoining countries (“Covered Countries”) and finance armed conflict in the region. In order to support the
1 In this report, “PMI,” “we,” “us,” and “our” refers to Philip Morris International Inc. and its subsidiaries.
economic activity in the region, we have communicated to our Direct Suppliers that we do not discourage them from sourcing 3TGs from the Covered Countries under our Conflict Minerals Policy (“Policy”), so long as they are determined to be “DRC conflict-free.”
We are far removed from the sources of ores from which the 3TGs contained in the Covered Products are procured and the smelters and refiners that process those ores (“SORs”). Therefore, the efforts to identify the countries of origin for the 3TGs reflect both (i) our downstream position in the supply chain; and (ii) the applicable OECD guidance described below.
DUE DILIGENCE MEASURES
A. Design of Our Due Diligence Measures
Our Conflict Minerals due diligence was performed in line with the internationally recognized due diligence framework provided by 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”), as applicable for 3TGs and downstream companies (as the term “downstream companies” is defined in the OECD Guidance). Our due diligence measures in relation to Covered Products included:
1. Establishing Company management systems and forming a dedicated cross-functional team for carrying out Conflict Minerals supply chain due diligence and reporting compliance;
2. Identifying and assessing Conflict Minerals risks in our supply chain;
3. Designing and implementing strategies to respond to Conflict Minerals risks to the extent identified;
4. Encouraging the reliance by our Direct Suppliers on an independent third-party audit protocol for assessing the due diligence practices of SORs relevant to Covered Products; and
5. Reporting on our supply chain due diligence activities, as required by Rule 13p-1.
B. Due Diligence Program Elements
1. Management Systems
Conflict Minerals Policy
We adopted our Policy and communicated it to our Direct Suppliers to help achieve responsible sourcing of 3TGs in our supply chain. We are committed to operating with integrity and are focused on the responsible sourcing of 3TGs. Our Policy is subject to regular reviews, is attached to this Report as Appendix A, and is publicly available on our website at: http://www.pmi.com/eng/sustainability/conflict_minerals/Pages/conflict_minerals_report.aspx.
Internal Team
Under the management of our Senior Vice President, Operations, we have established a cross-functional Conflict Minerals Team, with the expertise in sourcing, operations, sustainability, finance, corporate affairs and law. In addition, the Conflict Minerals Team has access to specialists working in various functions throughout PMI.
The Conflict Minerals Team has the overall responsibility for developing and implementing our Conflict Minerals compliance strategy, as well as for reviewing the ongoing progress and effectiveness of the Conflict Minerals reporting.
As part of our organizational framework, our Product Regulation and Compliance Department verifies ingredients and materials used in our direct materials. During this process, any Conflict Minerals reporting and compliance issues are analyzed and addressed by the Conflict Minerals Team.
Members of the team also interact with our Direct Suppliers to further improve the quality of the Conflict Minerals reporting.
Our senior management is periodically informed about the status and effectiveness of our due diligence efforts.
Our senior management reviews the results of our due diligence efforts, supply chain integrity and relationships with our Direct Suppliers in the context of our commitment to responsible sourcing principles and the human rights initiatives.
Control System and Supply Chain Transparency
PMI´s control system and supply chain transparency combines internal activities, collaboration with our Direct Suppliers and reliance on the information published by industry programs such as the Conflict Free Sourcing Initiative (“CFSI”).
We relied on the CFSI Conflict Minerals Reporting Template (“CMRT”) that was sent to our Direct Suppliers to collect and retain the necessary information on the chain of custody of the 3TGs contained in the Covered Products, including information about the SORs.
The CMRT is generally regarded as the most widely-used standard form to collect information about Conflict Minerals through the supply chain and was developed by several of the world’s leading consumer electronics companies.
Supplier Engagement and Other Compliance Efforts
Our agreements pertaining to the supply of Covered Products include Conflict Minerals-related provisions that are consistent with our Policy, and that recognize the need for cooperation by our Direct Suppliers in respect of Conflict Minerals reporting. We require our Direct Suppliers to comply with our due diligence requests and encourage them to participate in industry-wide or material-specific supply chain mapping initiatives.
In addition, as the Conflict Minerals report for the period ended December 31, 2015 (the “2015 Report”) stated we would do, we undertook in 2016 the following efforts to further improve due diligence and supplier engagement:
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| • | We continuously train our employees on compliance with our Conflict Minerals policy and the underlying regulations. For the 2016 fiscal year, we trained those employees who are responsible for engaging with our Direct Suppliers. |
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| • | Our employees met with our Direct Suppliers to communicate in person our Policy, our commitment to responsible sourcing, the grievance mechanism, compliance expectations and information requirements. These visits focused on further improving the understanding of the Conflict Minerals regulation in our Direct Suppliers’ supply chain; reviewing the due diligence process in terms of accuracy and timeliness of responses, and fostering efforts to improve compliance. In 2016, we saw improvements in both timeliness and completeness of the information submitted to us. |
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| • | We have communicated to our Direct Suppliers our expectation that for the manufacture of the Covered Products they should increasingly use SORs certified as “conflict-free” through the available third-party validation mechanisms (“Certified SORs”). For the 2016 fiscal year, one Direct Supplier reported that it used all but two Certified SORs for the relevant Covered Products, and the other Direct Supplier reported that it used one SOR, and it was Certified. |
Grievance Mechanism
We have a grievance mechanism that allows employees to report any suspected violation of PMI´s principles and practices to the senior management or the Compliance Department. Reports can be made through face-to-face discussions or via email if the employee prefers to remain anonymous. We maintain both a dedicated email address: PMI.Compliance@pmi.com, and an independently operated and confidential Compliance Helpline, that operates a phone line and a webline. Concerns can also be reported confidentially or anonymously via our website. Any such reports are to be forwarded to the Conflict Minerals Team that will review them and help design appropriate response measures.
Maintain Records
We have a records retention policy applicable to Conflict Minerals-related documentation that provides for the retention of relevant records for prescribed periods.
2. Identify and Assess Risk in the Supply Chain
We reviewed the answers to the CMRT received from our Direct Suppliers and assessed their completeness, clarity and consistency. We worked with our Direct Suppliers to understand their due diligence process, confirmed that they have established a Conflict Minerals policies and obtained a list of SORs in their respective supply chains for the Covered Products.
Our Direct Suppliers confirmed that some of the SORs in their supply chain may source 3TGs from the Covered Countries and that the 3TGs may not be from recycled or scrap sources. As part of our risk assessment, we verified whether these SORs were Certified SORs by comparing the facilities identified by our Direct Suppliers against the list provided by the CFSI and its Conflict Free Smelter Program (“CFSP”) as well as the list provided by the London Bullion Market Association (“LBMA”). We also followed up with additional information requests to obtain the necessary details to better assess the reliability of the responses and the risks in our supply chain.
Please also see B.1 for the discussion of our efforts in 2016 to help identify and assess risk in our supply chain.
3. Design and Implement a Strategy to Respond to Risks in the Supply Chain
We designed a strategy to respond to risks in the supply chain. When the Conflict Minerals Team becomes aware that the due diligence of our direct or indirect suppliers needs improvement, it provides feedback, asks clarifying questions and demands corrective actions where necessary. The Conflict Minerals Team has and will continue to provide information and training to our Direct Suppliers and will determine appropriate follow-up actions, if any, to mitigate any identified risks. Follow-up actions may include, but are not limited to, finding alternate sources of supply or terminating existing supplier relationships, as appropriate. We have encouraged our Direct Suppliers to further implement, and require their suppliers to implement, the due diligence standards that reflect the OECD guidance. Steps to improve the accuracy of the due diligence process are described in Sections B.1 above and D below. For 2016, we found no instances where it was necessary to find replacement sources of supply of Covered Products or terminate a supplier relationship due to a failure to comply with Conflict Minerals requirements. As we are expanding our supplier base for the relevant products, Conflict Minerals compliance, commitment and readiness are among our criteria for selecting new suppliers.
4. Independent Third Party Audit of Supply Chain Due Diligence at Identified Points in the Supply Chain
We rely on the CFSI’s Conflict-Free Smelter Program for the performance of third-party audits of SORs. To the extent possible, we review whether any 3TGs sourced from the Covered Countries is "DRC conflict-free" based on the information provided by our Direct Suppliers and the information available on the CFSI’s website. We encourage our suppliers to support industry organizations' efforts to ensure that smelters’ due diligence sourcing practices are audited by independent third party auditors.
5. Report on Supply Chain Due Diligence
This Report and our Form SD will be filed with the SEC and are publicly available at https://www.pmi.com/our-business/about-us/standards/transparency.
C. Reasonable Country of Origin Inquiry ("RCOI") and Due Diligence on the Source and Chain of Custody
We asked our Direct Suppliers to provide answers to the CMRT to ascertain whether the 3TGs contained in the Covered Products originated from Covered Countries. Based on the evaluation of our Direct Suppliers’ responses to the CMRT, we had reasons to believe that some of the 3TGs in the Covered Products manufactured in 2016 may have originated in the Covered Countries and were not entirely from recycled or scrap sources.
Through the CMRT, our Direct Suppliers informed us that: (i) 100% of their suppliers provided responses to the CMRT; (ii) 3TGs contained in some Covered Products may have originated from the Covered Countries for some Covered Products; (iii) 3TGs contained in Covered Products are not entirely from recycled or scrap sources; (iv) 100% of the SORs supplying 3TGs contained in the Covered Products and their locations were identified and reported; and (v) one Direct Supplier has used all but two Certified SORs for the relevant Covered Products, and the other Direct Supplier has used one SOR, and it was Certified. We compared the facilities that the Direct Suppliers identified in their respective CMRTs to the list of SORs that are certified as “conflict-free” with the CFSI and the LBMA and confirmed that two SORs identified by one of our Direct Suppliers were not Certified SORs.
With respect to the two SORs that have not been identified as Certified SORs, we undertook due diligence inquiries to verify whether during 2016 they sourced 3TGs that directly or indirectly financed armed groups in the Covered Countries. We have asked the Direct Supplier that sourced 3TGs from these SORs to take additional steps to identify the countries or mines of origin of the 3TGs sourced by them in relation to the manufacture of the Covered Products. We also reviewed publicly available information about these SORs. We were able to establish that one of these smelters sourced 3TGs from Mainland China but, despite our efforts, we were unable to ascertain the country of origin of the 3TGs sourced by the other smelter. Supporting supply chain transparency, we disclose in Appendix B of this Report the list of SORs in our supply chain and the location of such SORs, as identified by our Direct Suppliers.
D. Steps to Further Improve Due Diligence
We plan to concentrate on the following steps in the future:
•Continue to engage with our Direct Suppliers to communicate our expectation that they should increasingly source minerals for our products from Certified SORs;
•Encourage our Direct Suppliers to further strengthen due diligence efforts consistent with the OECD guidance, thereby improving the quality and completeness of supply chain information available to us;
•Encourage our Direct Suppliers to continue to enforce their respective Conflict Minerals policies;
•Continue to communicate our Policy, grievance mechanism, compliance expectations and information to our present and future direct suppliers;
•Continue engagement with our Direct Suppliers to review measures for improvement of the due diligence process.
E. Independent Private Sector Audit
Pursuant to Rule 13p-1, an independent private sector audit is not required for this Report.
Appendix A - Conflict Minerals Policy
Philip Morris International Inc.
Conflict Minerals Policy
The United States Securities and Exchange Commission (SEC) requires our company to disclose if our products contain certain minerals (gold, tin, tungsten, and tantalum) that:
•originate in the Democratic Republic of the Congo (DRC) or an adjoining country
•contribute to the financing of armed groups that are committing human rights abuses
These minerals are known as conflict minerals. PMI’s policy and due diligence process on the use of conflict minerals is not to knowingly procure conflict minerals that originate from the DRC or an adjoining country – and we ask our Direct Suppliers to undertake reasonable due diligence with their supply chains to assure the same – unless those minerals are determined to be “conflict-free.”
Appendix B - List of SORs identified by our Direct Suppliers as part of the supply chain for Covered Products2
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| Subject Mineral | Smelter or Refiner Name | Country Location of Smelter or Refiner |
| Gold | Argor-Heraeus S.A.* | SWITZERLAND |
| Gold | Asahi Pretec Corp.* | JAPAN |
| Gold | Dowa* | JAPAN |
| Gold | Heraeus Precious Metals GmbH & Co. KG* | GERMANY |
| Gold | Asahi Refining Canada Ltd.* | CANADA |
| Gold | JX Nippon Mining & Metals Co., Ltd.* | JAPAN |
| Gold | Materion* | UNITED STATES OF AMERICA |
| Gold | Matsuda Sangyo Co., Ltd.* | JAPAN |
| Gold | Metalor USA Refining Corporation* | UNITED STATES OF AMERICA |
| Gold | Mitsubishi Materials Corporation* | JAPAN |
| Gold | Mitsui Mining and Smelting Co., Ltd.* | JAPAN |
| Gold | Royal Canadian Mint* | CANADA |
| Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd.* | CHINA |
| Gold | Sumitomo Metal Mining Co., Ltd.* | JAPAN |
| Gold | Tanaka Kikinzoku Kogyo K.K.* | JAPAN |
| Gold | CCR Refinery - Glencore Canada Corporation* | CANADA |
| Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation* | CHINA |
| Gold | Allgemeine Gold-und Silberscheideanstalt A.G.* | GERMANY |
| Gold | Chimet S.p.A.* | ITALY |
| Gold | Heimerle + Meule GmbH* | GERMANY |
2 SORs that were designated, to our knowledge, as Certified as of December 31, 2016 are marked with an asterisk.
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| Subject Mineral | Smelter or Refiner Name | Country Location of Smelter or Refiner |
| Gold | Aurubis AG* | GERMANY |
| Gold | Aida Chemical Industries Co., Ltd.* | JAPAN |
| Gold | LS-NIKKO Copper Inc.* | SOUTH KOREA |
| Gold | Metalor Technologies S.A.* | SWITZERLAND |
| Gold | Solar Applied Materials Technology Corp.* | TAIWAN |
| Gold | Umicore S.A. Business Unit Precious Metals Refining* | BELGIUM |
| Gold | United Precious Metal Refining, Inc.* | UNITED STATES OF AMERICA |
| Gold | Western Australian Mint trading as The Perth Mint* | AUSTRALIA |
| Gold | AngloGold Ashanti Córrego do Sítio Mineração* | BRAZIL |
| Gold | Valcambi S.A.* | SWITZERLAND |
| Gold | Metalor Technologies (Singapore) Pte., Ltd.* | SINGAPORE |
| Gold | Tokuriki Honten Co., Ltd.* | JAPAN |
| Gold | Nihon Material Co., Ltd.* | JAPAN |
| Gold | Asahi Refining USA Inc.* | UNITED STATES OF AMERICA |
| Gold | Ohura Precious Metal Industry Co., Ltd.* | JAPAN |
| Gold | Metalor Technologies (Hong Kong) Ltd.* | CHINA |
| Gold | Rand Refinery (Pty) Ltd.* | SOUTH AFRICA |
| Gold | The Refinery of Shandong Gold Mining Co., Ltd.* | CHINA |
| Gold | Ishifuku Metal Industry Co., Ltd.* | JAPAN |
| Gold | Heraeus Ltd. Hong Kong* | CHINA |
| Gold | Kojima Chemicals Co., Ltd.* | JAPAN |
| Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines)* | PHILIPPINES |
| Gold | Boliden AB* | SWEDEN |
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| Subject Mineral | Smelter or Refiner Name | Country Location of Smelter or Refiner |
| Gold | C. Hafner GmbH + Co. KG* | GERMANY |
| Gold | Istanbul Gold Refinery* | TURKEY |
| Gold | Elemetal Refining, LLC* | UNITED STATES OF AMERICA |
| Gold | PAMP S.A.* | SWITZERLAND |
| Gold | Asaka Riken Co., Ltd.* | JAPAN |
| Gold | DODUCO GmbH* | GERMANY |
| Gold | Eco-System Recycling Co., Ltd.* | JAPAN |
| Gold | Jiangxi Copper Co., Ltd.* | CHINA |
| Gold | Metalúrgica Met-Mex Peñoles S.A. De C.V.* | MEXICO |
| Gold | Nadir Metal Rafineri San. Ve Tic. A.Ş.* | TURKEY |
| Gold | Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH* | AUSTRIA |
| Gold | PT Aneka Tambang (Persero) Tbk* | INDONESIA |
| Gold | PX Précinox S.A.* | SWITZERLAND |
| Gold | Republic Metals Corporation* | UNITED STATES OF AMERICA |
| Gold | Schone Edelmetaal B.V.* | NETHERLANDS |
| Gold | SEMPSA Joyería Platería S.A.* | SPAIN |
| Gold | Sichuan Tianze Precious Metals Co., Ltd.* | CHINA |
| Gold | SOE Shyolkovsky Factory of Secondary Precious Metals* | RUSSIAN FEDERATION |
| Gold | Umicore Brasil Ltda.* | BRAZIL |
| Gold | Umicore Precious Metals Thailand* | THAILAND |
| Gold | Yamamoto Precious Metal Co., Ltd.* | JAPAN |
| Gold | Yokohama Metal Co., Ltd.* | JAPAN |
| Gold | Zijin Mining Group Co., Ltd. Gold Refinery* | CHINA |
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| Subject Mineral | Smelter or Refiner Name | Country Location of Smelter or Refiner |
| Gold | WIELAND Edelmetalle GmbH* | GERMANY |
| Gold | Japan Mint* | JAPAN |
| Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant* | RUSSIAN FEDERATION |
| Gold | JSC Uralelectromed* | RUSSIAN FEDERATION |
| Gold | Kazzinc* | KAZAKHSTAN |
| Gold | Metalor Technologies (Suzhou) Ltd.* | CHINA |
| Gold | Moscow Special Alloys Processing Plant* | RUSSIAN FEDERATION |
| Gold | OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)* | RUSSIAN FEDERATION |
| Gold | OJSC Novosibirsk Refinery* | RUSSIAN FEDERATION |
| Gold | Prioksky Plant of Non-Ferrous Metals* | RUSSIAN FEDERATION |
| Gold | SAXONIA Edelmetalle GmbH* | GERMANY |
| Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.* | CHINA |
| Gold | Almalyk Mining and Metallurgical Complex (AMMC)* | UZBEKISTAN |
| Gold | Kyrgyzaltyn JSC* | KYRGYZSTAN |
| Gold | MMTC-PAMP India Pvt., Ltd.* | INDIA |
| Gold | Samduck Precious Metals* | SOUTH KOREA |
| Gold | Singway Technology Co., Ltd.* | TAIWAN |
| Gold | T.C.A S.p.A* | ITALY |
| Gold | Torecom* | SOUTH KOREA |
| Tantalum | Hi-Temp Specialty Metals, Inc.* | UNITED STATES OF AMERICA |
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| Subject Mineral | Smelter or Refiner Name | Country Location of Smelter or Refiner |
| Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd.* | CHINA |
| Tantalum | Jiujiang Tanbre Co., Ltd.* | CHINA |
| Tantalum | LSM Brasil S.A.* | BRAZIL |
| Tantalum | Mineração Taboca S.A.* | BRAZIL |
| Tantalum | Ningxia Orient Tantalum Industry Co., Ltd.* | CHINA |
| Tantalum | Telex Metals* | UNITED STATES OF AMERICA |
| Tantalum | Ulba Metallurgical Plant JSC* | KAZAKHSTAN |
| Tantalum | Yichun Jin Yang Rare Metal Co., Ltd.* | CHINA |
| Tantalum | Zhuzhou Cemented Carbide Group Co., Ltd.* | CHINA |
| Tantalum | Changsha South Tantalum Niobium Co., Ltd.* | CHINA |
| Tantalum | Conghua Tantalum and Niobium Smeltry* | CHINA |
| Tantalum | D Block Metals, LLC* | UNITED STATES OF AMERICA |
| Tantalum | Duoluoshan* | CHINA |
| Tantalum | Exotech Inc.* | UNITED STATES OF AMERICA |
| Tantalum | F&X Electro-Materials Ltd.* | CHINA |
| Tantalum | Global Advanced Metals Aizu* | JAPAN |
| Tantalum | Global Advanced Metals Boyertown* | UNITED STATES OF AMERICA |
| Tantalum | Guangdong Zhiyuan New Material Co., Ltd.* | CHINA |
| Tantalum | H.C. Starck Co., Ltd.* | THAILAND |
| Tantalum | H.C. Starck GmbH Goslar* | GERMANY |
| Tantalum | H.C. Starck Hermsdorf GmbH* | GERMANY |
| Tantalum | H.C. Starck Inc.* | UNITED STATES OF AMERICA |
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| Subject Mineral | Smelter or Refiner Name | Country Location of Smelter or Refiner |
| Tantalum | H.C. Starck Ltd.* | JAPAN |
| Tantalum | H.C. Starck Smelting GmbH & Co. KG* | GERMANY |
| Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd.* | CHINA |
| Tantalum | Mitsui Mining and Smelting Co., Ltd.* | JAPAN |
| Tantalum | Solikamsk Magnesium Works OAO* | RUSSIAN FEDERATION |
| Tantalum | Taki Chemical Co., Ltd.* | JAPAN |
| Tantalum | KEMET Blue Metals* | MEXICO |
| Tantalum | KEMET Blue Powder* | UNITED STATES OF AMERICA |
| Tantalum | RFH Tantalum Smeltry Co., Ltd.* | CHINA |
| Tin | PT Stanindo Inti Perkasa* | INDONESIA |
| Tin | CV United Smelting* | INDONESIA |
| Tin | EM Vinto* | BOLIVIA |
| Tin | Metallo-Chimique N.V.* | BELGIUM |
| Tin | Mineração Taboca S.A.* | BRAZIL |
| Tin | Minsur* | PERU |
| Tin | Operaciones Metalurgical S.A.* | BOLIVIA |
| Tin | Mitsubishi Materials Corporation* | JAPAN |
| Tin | PT Bukit Timah* | INDONESIA |
| Tin | PT Timah (Persero) Tbk Mentok* | INDONESIA |
| Tin | Thaisarco* | THAILAND |
| Tin | Yunnan Tin Company Limited* | CHINA |
| Tin | Malaysia Smelting Corporation (MSC)* | MALAYSIA |
| Tin | PT DS Jaya Abadi* | INDONESIA |
| Tin | PT Mitra Stania Prima* | INDONESIA |
| Tin | PT Panca Mega Persada* | INDONESIA |
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| | |
| Subject Mineral | Smelter or Refiner Name | Country Location of Smelter or Refiner |
| Tin | PT Prima Timah Utama* | INDONESIA |
| Tin | PT Refined Bangka Tin* | INDONESIA |
| Tin | PT Sariwiguna Binasentosa* | INDONESIA |
| Tin | PT Sumber Jaya Indah* | INDONESIA |
| Tin | PT Timah (Persero) Tbk Kundur* | INDONESIA |
| Tin | Fenix Metals* | POLAND |
| Tin | PT Tinindo Inter Nusa* | INDONESIA |
| Tin | PT Wahana Perkit Jaya | INDONESIA |
| Tin | Resind Indústria e Comércio Ltda.* | BRAZIL |
| Tin | Rui Da Hung* | TAIWAN |
| Tin | Soft Metais Ltda.* | BRAZIL |
| Tin | White Solder Metalurgia e Mineração Ltda.* | BRAZIL |
| Tin | PT Eunindo Usaha Mandiri* | INDONESIA |
| Tin | VQB Mineral and Trading Group JSC* | VIETNAM |
| Tin | PT Bangka Tin Industry* | INDONESIA |
| Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd.* | CHINA |
| Tin | China Tin Group Co., Ltd.* | CHINA |
| Tin | Alpha* | UNITED STATES OF AMERICA |
| Tin | Cooperativa Metalurgica de Rondônia Ltda.* | BRAZIL |
| Tin | PT Babel Inti Perkasa* | INDONESIA |
| Tin | CV Ayi Jaya* | INDONESIA |
| Tin | CV Gita Pesona* | INDONESIA |
| Tin | CV Serumpun Sebalai* | INDONESIA |
| Tin | CV Venus Inti Perkasa* | INDONESIA |
| Tin | Dowa* | JAPAN |
| Tin | Elmet S.L.U.* | SPAIN |
| Tin | Jiangxi Ketai Advanced Material Co., Ltd.* | CHINA |
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| | |
| Subject Mineral | Smelter or Refiner Name | Country Location of Smelter or Refiner |
| Tin | Magnu's Minerais Metais e Ligas Ltda.* | BRAZIL |
| Tin | Melt Metais e Ligas S.A.* | BRAZIL |
| Tin | Metallic Resources, Inc.* | UNITED STATES OF AMERICA |
| Tin | O.M. Manufacturing (Thailand) Co., Ltd.* | THAILAND |
| Tin | O.M. Manufacturing Philippines, Inc.* | PHILIPPINES |
| Tin | PT Aries Kencana Sejahtera* | INDONESIA |
| Tin | PT Artha Cipta Langgeng* | INDONESIA |
| Tin | PT ATD Makmur Mandiri Jaya* | INDONESIA |
| Tin | PT Bangka Prima Tin* | INDONESIA |
| Tin | PT Belitung Industri Sejahtera* | INDONESIA |
| Tin | PT Inti Stania Prima* | INDONESIA |
| Tin | PT Sukses Inti Makmur* | INDONESIA |
| Tin | PT Tommy Utama* | INDONESIA |
| Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | CHINA |
| Tin | PT Menara Cipta Mulia* | INDONESIA |
| Tungsten | Ganzhou Seadragon W & Mo Co., Ltd.* | CHINA |
| Tungsten | Global Tungsten & Powders Corp.* | UNITED STATES OF AMERICA |
| Tungsten | A.L.M.T. TUNGSTEN Corp.* | JAPAN |
| Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd.* | CHINA |
| Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd.* | CHINA |
| Tungsten | Xiamen Tungsten (H.C.) Co., Ltd.* | CHINA |
| Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd.* | CHINA |
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| | |
| Subject Mineral | Smelter or Refiner Name | Country Location of Smelter or Refiner |
| Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd.* | CHINA |
| Tungsten | Xiamen Tungsten Co., Ltd.* | CHINA |
| Tungsten | H.C. Starck GmbH* | GERMANY |
| Tungsten | Fujian Jinxin Tungsten Co., Ltd.* | CHINA |
| Tungsten | Guangdong Xianglu Tungsten Co., Ltd.* | CHINA |
| Tungsten | H.C. Starck Smelting GmbH & Co.KG* | GERMANY |
| Tungsten | Hunan Chenzhou Mining Co., Ltd.* | CHINA |
| Tungsten | Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji* | CHINA |
| Tungsten | Hydrometallurg, JSC* | RUSSIAN FEDERATION |
| Tungsten | Japan New Metals Co., Ltd.* | JAPAN |
| Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd.* | CHINA |
| Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd.* | CHINA |
| Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.* | CHINA |
| Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd.* | CHINA |
| Tungsten | Kennametal Fallon* | UNITED STATES OF AMERICA |
| Tungsten | Kennametal Huntsville* | UNITED STATES OF AMERICA |
| Tungsten | Niagara Refining LLC* | UNITED STATES OF AMERICA |
| Tungsten | Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC* | VIETNAM |
| Tungsten | Tejing (Vietnam) Tungsten Co., Ltd.* | VIETNAM |
|
| | |
| Subject Mineral | Smelter or Refiner Name | Country Location of Smelter or Refiner |
| Tungsten | Wolfram Bergbau und Hütten AG* | AUSTRIA |
| Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd.* | CHINA |
| Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd.* | CHINA |
| Tungsten | Malipo Haiyu Tungsten Co., Ltd.* | CHINA |
| Tungsten | Vietnam Youngsun Tungsten Industry Co., Ltd.* | VIETNAM |
| Tungsten | Xinhai Rendan Shaoguan Tungsten Co., Ltd.* | CHINA |
