Exhibit 1.01
Conflict Minerals Report
Capri Holdings Limited has included this Conflict Minerals Report as an exhibit to its Form SD in respect of the calendar year ended December 31, 2020 (“calendar 2020”) as provided for in Rule 13p-1 under the Securities Exchange Act of 1934, as amended, and Form SD (collectively, the “Conflict Minerals Rule”). The date of filing of this Conflict Minerals Report is May 28, 2021.
Unless the context indicates otherwise, the terms “we,” “its,” “us,” “our” and the “Company” refer to Capri Holdings Limited and its consolidated subsidiaries. As used herein, “Conflict Minerals” or “3TG” are cassiterite (tin), columbite-tantalite (tantalum), gold and wolframite (tungsten), without regard to the location of origin of the minerals or derivative metals.
Forward-Looking Statements
The statements in this document that refer to plans and expectations for future periods are forward-looking statements within the meaning of federal securities laws. These forward-looking statements are based on management’s current expectations. Words such as “expects,” “anticipates,” “plans,” “believes,” “estimates,” “may,” “will,” “should,” “intends,” “could,” “would,” “might” and variations of such words and similar expressions are intended to identify such forward-looking statements. Examples of forward-looking statements include, but are not limited to, statements concerning the additional steps that we intend to take to mitigate the risk that our necessary 3TG benefit armed groups. You should not place undue reliance on such statements. These forward-looking statements are subject to a number of risks and uncertainties, many of which are beyond the Company’s control, which could cause the Company’s actual results to differ materially from those indicated in these forward-looking statements. These risks and uncertainties may include, but are not limited to, the continued implementation of satisfactory traceability and other compliance measures by our direct and indirect suppliers, on a timely basis or at all, whether smelters and refiners and other market participants responsibly source 3TG, and political, regulatory and economic developments, whether in the Democratic Republic of the Congo (“DRC”) region (the “Covered Countries”), the United States or elsewhere. The Company undertakes no obligation to update or revise any forward-looking statements to reflect subsequent events or circumstances, except as required by applicable laws or regulations.
Applicability of the Conflict Minerals Rule to Our Company
We are a global fashion luxury group consisting of iconic brands that are industry leaders in design, style and craftsmanship. Our brands (Versace, Jimmy Choo and Michael Kors) cover the full spectrum of fashion luxury categories including women’s and men’s accessories, footwear and ready-to-wear, wearable technology, watches, jewelry, eyewear, home furnishings and a full line of fragrance products. We believe that we are subject to the Conflict Minerals Rule because some of the products that we contract to manufacture may contain 3TG that are necessary to the functionality or production of such products.
In-scope product information in respect of calendar 2020 is provided under “Product Information” below and includes the Versace, Jimmy Choo and Michael Kors brands. Calendar 2020 is the first year in which Versace products are potentially in-scope for purposes of our Form SD and this Conflict Minerals Report.
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Through the efforts described in this Conflict Minerals Report, we seek to ensure that our sourcing practices are consistent with our Conflict Minerals Policy, which is described below. With the exception of one directly owned facility located in Pistoia, Italy, we contracted to manufacture, but did not directly manufacture, products during calendar 2020. We did not directly source 3TG from mines, smelters or refiners during calendar 2020, and are many levels removed from these market participants. The efforts undertaken to identify the origin of 3TG in our products reflect our circumstances and position in the supply chain, and we work with our direct suppliers so that they may provide us with accurate information about the origin of necessary 3TG minerals in the products that we manufacture or contract to manufacture.
Our Conflict Minerals Policy
We are opposed to human rights abuses such as those that are occurring in connection with the mining of certain minerals from locations in the DRC. We also take our obligations under U.S. Securities and Exchange Commission regulations and the laws in countries in which we operate seriously, including our compliance obligations under the Conflict Minerals Rule. In addition, we are committed to principles of ethical business practice and recognition of the dignity of others, including the responsible sourcing of 3TG, and we expect that our suppliers share this commitment.
In furtherance of the foregoing, we have adopted and communicated to our suppliers and the public a Company policy (the “Conflict Minerals Policy” or “Policy”) for determining the use and origin of 3TG in our supply chain. Our Conflict Minerals Policy is available on our website at www.capriholdings.com under the caption “Responsibility.” The information contained on our website is not incorporated by reference into this Conflict Minerals Report or the Form SD and should not be considered part of this Conflict Minerals Report or the Form SD.
The Conflict Minerals Policy includes, but is not limited to, our expectations that our suppliers:
| 1. | put in place procedures for the traceability of 3TG; |
| 2. | cooperate with our 3TG due diligence process, including by providing us, from time to time, with written certifications and other information concerning the origin of 3TG included in products and/or components supplied to us; |
| 3. | maintain reviewable business records supporting the source of 3TG; |
| 4. | adopt policies and procedures with respect to 3TG consistent with our Conflict Minerals Policy and 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, including the Supplement on Tin, Tantalum and Tungsten and the Supplement on Gold (collectively, the “OECD Guidance”), including the adoption of a risk mitigation strategy to respond to identified risks in the supply chain, and communicate such policies and procedures to their personnel, direct suppliers and indirect suppliers; and |
| 5. | require their direct and indirect suppliers to adopt policies and procedures that are consistent with our Conflict Minerals Policy. |
We do not support the embargoing of 3TG from the Covered Countries, but rather encourage our suppliers to continue to source responsibly from the region.
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In addition, our Code of Conduct for Business Partners (the “Supplier Code of Conduct”) indicates that we encourage our suppliers that use 3TG that are necessary to the functionality or production of products that we manufacture or contract to manufacture, to source product in a socially and environmentally responsible manner and in accordance with our Conflict Minerals Policy. The Supplier Code of Conduct is available on our website at www.capriholdings.com under the caption “Responsibility”.
Reasonable Country of Origin Inquiry
As required by the Conflict Minerals Rule, for calendar 2020, we conducted a “reasonable country of origin inquiry” (“RCOI”). We designed our RCOI in good faith to determine the origin of 3TG that are necessary to the functionality or production of products that we contract to manufacture. The results of our RCOI are discussed in Annex A to this Conflict Minerals Report. To the extent applicable, for our RCOI, we utilized the same processes and procedures as for our due diligence, particularly Steps 1 and 2 of the OECD Guidance design framework, which are described below in this Conflict Minerals Report.
We determined which of our products were in-scope or potentially in-scope for purposes of the Conflict Minerals Rule through product specifications, visual inspection, supplier inquiries and other information known to us. We also considered the degree of influence that we exercised over the materials, parts and components of the products. Our outreach included 486 suppliers that produce in-scope or potentially in-scope products (the “Suppliers”).
Pursuant to the Conflict Minerals Rule, based on the results of our RCOI, we exercised due diligence for calendar 2020. These due diligence efforts are discussed below.
Due Diligence Program Design and Execution
Design Framework
We designed our due diligence measures relating to 3TG to conform with, in all material respects, the criteria set forth in the OECD Guidance.
Selected Elements of Compliance Program
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. Selected elements of our compliance program are discussed below. However, these are not all of the discrete elements of the program that we have put in place to provide for the responsible sourcing of 3TG contained in our products. The headings below conform to the headings used in the OECD Guidance for each of the five steps.
| 1. | OECD Guidance Step One: “Establish strong company management systems” |
| a. | We have a Conflict Minerals Policy and Supplier Code of Conduct, as described earlier in this Conflict Minerals Report. The Conflict Minerals Policy is communicated internally by email and Intranet. The Conflict Minerals Policy is also communicated to suppliers utilizing our web-based compliance management software and is posted on our website. |
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| b. | We have a team under the General Counsel and Chief Sustainability Officer charged with managing our 3TG compliance program. The following functional areas are represented on the working group: Global Social Compliance; Production/Licensing; Internal Audit; and Legal. Appropriate members of these functional areas are educated on the Conflict Minerals Rule, the OECD Guidance, our Policy and our compliance program, including the procedures for reviewing and validating supplier responses to our inquiries. |
| c. | We have a Standard Operating Procedure that contains standard processes, timelines and communications for our compliance with the Conflict Minerals Rule. |
| d. | We utilize the Conflict Minerals Reporting Template (the “CMRT”) developed by the Responsible Minerals Initiative (the “RMI”) to identify smelters and refiners in our supply chain. |
| e. | Supplier requests for a completed CMRT are accompanied by the Conflict Minerals Policy or include a link to the Policy. |
| f. | We consider on an ongoing basis whether any suppliers may benefit from receiving training or orientation materials concerning the Conflict Minerals Rule, the OECD Guidance, the Conflict Minerals Policy and/or our survey process. If so, we arrange for the relevant supplier(s) to receive those materials and/or recommend training or informational resources to those supplier(s). |
| g. | We maintain records relating to 3TG due diligence, including records of our due diligence processes, findings and resulting decisions, in an electronic database. Our policy is to maintain these records for at least five years. |
| h. | We have an anonymous email mailbox for employees, suppliers and other interested parties to report violations of our Conflict Minerals Policy. The email address is conflictmineralscompliance@capriholdings.com. We also have a confidential hotline through which parties may report violations. The country-specific hotline telephone numbers are set forth in the Annex to our Code of Business Conduct and Ethics available on our website at www.capriholdings.com under the caption “Responsibility”. The foregoing serve as our grievance reporting mechanisms. |
| 2. | OECD Guidance Step Two: “Identify and assess risk in the supply chain” |
| a. | We requested through our web-based compliance management software that the Suppliers provide us with information, through the completion of a CMRT, concerning the usage and source of 3TG in their products as well as their related compliance efforts. We sent requests to 486 Suppliers to provide us with a completed CMRT. We followed up by email or phone with all Suppliers that did not respond to the request within the specified time frame. We requested that the Suppliers furnish us with a completed template at the product level. We received responses from approximately 99% of the Suppliers. |
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| b. | We reviewed the responses received from the Suppliers for completeness, accuracy, reasonableness, credibility and “red flags” using written guidelines that we have developed. We followed up by email or phone with the Suppliers that submitted a response that was rejected under our written guidelines, requesting the Supplier submit an updated or corrected CMRT. |
| c. | Smelter and refiner information provided by the Suppliers was reviewed against the Smelter Look-up tab list of the CMRT. To the extent that a smelter or refiner identified by a Supplier was not on that list, we took additional steps to attempt to determine whether the listed entity is a smelter or refiner. |
| d. | Smelter and refiner information provided by the Suppliers also was reviewed against the lists of Conformant and Active (both as later defined) smelters and refiners published by the RMI. To the extent that a smelter or refiner identified by a Supplier was not listed as Conformant by the RMI, we requested further information from the Supplier or consulted publicly available information to determine whether the smelter or refiner obtained 3TG from sources that directly or indirectly financed or benefitted armed groups in a Covered Country. |
| 3. | OECD Guidance Step Three: “Design and implement a strategy to respond to identified risks” |
| a. | Our 3TG compliance team reported the findings of its supply chain risk assessment to our General Counsel and Chief Sustainability Officer. |
| b. | If our due diligence does not result in a reasonable belief that the applicable 3TG originated outside of the Covered Countries or came from recycled or scrap sources, we assess the risk that the 3TG may benefit armed groups in the Covered Countries. |
| c. | Under our written procedures, risk mitigation measures include escalation of the supplier inquiry process, working with the supplier to establish a corrective action plan and possible termination of the supplier relationship. |
| 4. | OECD Guidance Step Four: “Carry out independent third-party audit of supply chain due diligence at identified points in the supply chain” |
To that extent that smelters or refiners of 3TG in our supply chain are identified to us, we utilize and rely on information made available by the RMI concerning independent third-party audits of smelters and refiners to assess smelter and refiner due diligence and to determine whether the smelter or refiner is Conformant.
| 5. | OECD Guidance Step Five: “Report on supply chain due diligence” |
We file a Form SD and a Conflict Minerals Report with the U.S. Securities and Exchange Commission and make these documents available on our website.
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Product Information; Identified Smelters and Refiners
For calendar 2020, the following categories of products that may include tin, tantalum, tungsten and/or gold were potentially in-scope:
| • | women’s and men’s accessories, including handbags and small leather goods |
| • | footwear |
| • | ready-to-wear, including womenswear, menswear, swimwear and outerwear |
| • | wearable technology |
| • | watches |
| • | jewelry |
| • | eyewear |
| • | home furnishings |
For a further discussion of our products, see our Annual Report on Form 10-K for the fiscal year ended March 27, 2021 (the “Annual Report”). The information contained in our Annual Report is not incorporated by reference into our Form SD or this Conflict Minerals Report and should not be considered part of this report or the Form SD.
We endeavored to determine the mine or location of origin of the 3TG contained in our in-scope products by requesting that the Suppliers provide us with a completed CMRT at the product level and through the other measures described in this Conflict Minerals Report.
In connection with our RCOI or due diligence, as applicable, the Suppliers identified to us the facilities listed on Annex A as potentially having processed the necessary 3TG contained in our potentially in-scope products for calendar 2020. Due to our position in the supply chain, we rely on the Suppliers for accurate smelter and refiner information. Our due diligence measures cannot provide absolute certainty regarding the source and chain of custody of the necessary 3TG contained in our potentially in-scope products for calendar 2020. Many of the Suppliers provided company level CMRT declarations rather than product level declarations. Therefore, we do not know if the smelters and refiners identified in these declarations relate specifically to products those Suppliers made for us.
Of the 344 smelters and refiners identified to us by our Suppliers, a substantial portion were identified by a single Supplier that manufactures watches and jewelry for us (including connected devices). We have not been able to confirm that all of the smelters and refiners identified by this Supplier actually processed the 3TG in our products, and given the large number of identified smelters and refiners, we believe that the smelter and refiner list provided by that Supplier is likely over-inclusive.
Please see the notes accompanying Annex A for additional information relevant to the table below. The number of Conformant smelters and refiners reflected in the table exceeds the number of unique Conformant smelters and refiners reported because some smelters and refiners processed more than one 3TG mineral.
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| Conformant | Active | On Smelter Look-up Tab List Only | ||||
Tantalum | 30 | 0 | 6 | |||
Tin | 54 | 8 | 30 | |||
Tungsten | 41 | 2 | 8 | |||
Gold | 102 | 2 | 61 |
Additional Risk Mitigation Efforts
We intend to take the following additional steps in respect of the calendar year ending December 31, 2021 (“calendar 2021”) to mitigate the risk that our necessary in-scope 3TG benefit armed groups, to the extent applicable:
| 1. | Encourage Suppliers that provided company level information for calendar 2020 to provide product level information for calendar 2021 through ongoing outreach with these Suppliers. |
| 2. | Engage with Suppliers that provided incomplete responses or that did not provide responses for calendar 2020 to provide requested information for calendar 2021. |
| 3. | Provide additional materials, informational resources and/or training to selected suppliers. |
| 4. | Communicate to new potentially in-scope suppliers our sourcing expectations, including through the dissemination of the Conflict Minerals Policy. In addition, as new in-scope suppliers are added, work with these suppliers to ensure that they understand the requirements of our Conflict Minerals Policy, the Conflict Minerals Rule and the OECD Guidance. |
All of the foregoing steps are in addition to the steps that we took in respect of our calendar 2020 inquiry, which we intend to continue to take in respect of our calendar 2021 inquiry to the extent applicable.
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Annex A
Capitalized terms used and not otherwise defined in this Annex have the meanings indicated in our Conflict Minerals Report.
In connection with our RCOI or due diligence, as applicable, our Suppliers identified to us the smelters and refiners listed below as potentially having processed the necessary 3TG contained in our potentially in-scope products in calendar 2020. As noted earlier in this Conflict Minerals Report, a substantial portion of the 344 smelters and refiners listed below were identified only by a single Supplier that manufactures watches and jewelry for us (including connected devices).
| Mineral | Smelter or Refiner Name | SOR Location | Status | |||
| Gold | Advanced Chemical Company | United States | Conformant | |||
| Gold | Aida Chemical Industries Co., Ltd. | Japan | Conformant | |||
| Gold | Allgemeine Gold-und Silberscheideanstalt A.G. | Germany | Conformant | |||
| Gold | Almalyk Mining and Metallurgical Complex (AMMC) | Uzbekistan | Conformant | |||
| Gold | AngloGold Ashanti Corrego do Sitio Mineracao | Brazil | Conformant | |||
| Gold | Argor-Heraeus S.A. | Switzerland | Conformant | |||
| Gold | Asahi Pretec Corp. | Japan | Conformant | |||
| Gold | Asaka Riken Co., Ltd. | Japan | Conformant | |||
| Gold | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | Turkey | Smelter Look-Up List Tab Only | |||
| Gold | Aurubis AG | Germany | Conformant | |||
| Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | Philippines | Conformant | |||
| Gold | Boliden AB | Sweden | Conformant | |||
| Gold | C. Hafner GmbH + Co. KG | Germany | Conformant | |||
| Gold | Caridad | Mexico | Smelter Look-Up List Tab Only | |||
| Gold | CCR Refinery - Glencore Canada Corporation | Canada | Conformant | |||
| Gold | Cendres + Metaux S.A. | Switzerland | Conformant | |||
| Gold | Yunnan Copper Industry Co., Ltd. | China | Smelter Look-Up List Tab Only | |||
A-1
| Mineral | Smelter or Refiner Name | SOR Location | Status | |||
| Gold | Chugai Mining | Japan | Conformant | |||
| Gold | Daejin Indus Co., Ltd. | Korea, Republic of | Smelter Look-Up List Tab Only | |||
| Gold | Daye Non-Ferrous Metals Mining Ltd. | China | Smelter Look-Up List Tab Only | |||
| Gold | DSC (Do Sung Corporation) | Korea, Republic of | Conformant | |||
| Gold | DODUCO Contacts and Refining GmbH | Germany | Conformant | |||
| Gold | Dowa | Japan | Conformant | |||
| Gold | Eco-System Recycling Co., North Plant | Japan | Conformant | |||
| Gold | Eco-System Recycling Co., West Plant | Japan | Conformant | |||
| Gold | OJSC Novosibirsk Refinery | Russian Federation | Smelter Look-Up List Tab Only | |||
| Gold | Refinery of Seemine Gold Co., Ltd. | China | Smelter Look-Up List Tab Only | |||
| Gold | Guoda Safina High-Tech Environmental Refinery Co., Ltd. | China | Smelter Look-Up List Tab Only | |||
| Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. | China | Smelter Look-Up List Tab Only | |||
| Gold | HeeSung Metal Ltd. | Korea, Republic of | Smelter Look-Up List Tab Only | |||
| Gold | Heimerle + Meule GmbH | Germany | Conformant | |||
| Gold | Heraeus Metals Hong Kong Ltd. | China | Conformant | |||
| Gold | Heraeus Ltd. Hong Kong | China | Smelter Look-Up List Tab Only | |||
| Gold | Heraeus Precious Metals GmbH & Co. KG | Germany | Active | |||
| Gold | Hunan Chenzhou Mining Co., Ltd. | China | Conformant | |||
| Gold | Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd. | China | Smelter Look-Up List Tab Only | |||
| Gold | HwaSeong CJ CO., LTD. | Korea, Republic of | Smelter Look-Up List Tab Only | |||
| Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | China | Conformant | |||
| Gold | Ishifuku Metal Industry Co., Ltd. | Japan | Conformant | |||
| Gold | Istanbul Gold Refinery | Turkey | Conformant | |||
| Gold | Japan Mint | Japan | Conformant | |||
A-2
| Mineral | Smelter or Refiner Name | SOR Location | Status | |||
| Gold | Jiangxi Copper Co., Ltd. | Japan | Conformant | |||
| Gold | Asahi Refining USA Inc. | United States | Conformant | |||
| Gold | Asahi Refining Canada Ltd. | Canada | Conformant | |||
| Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | Russian Federation | Smelter Look-Up List Tab Only | |||
| Gold | JSC Uralelectromed | Russian Federation | Conformant | |||
| Gold | JX Nippon Mining & Metals Co., Ltd. | Japan | Conformant | |||
| Gold | Kazakhmys Smelting LLC | Kazakhstan | Smelter Look-Up List Tab Only | |||
| Gold | Kazzinc | Kazakhstan | Conformant | |||
| Gold | Kennecott Utah Copper LLC | United States | Conformant | |||
| Gold | Kojima Chemicals Co., Ltd. | Japan | Conformant | |||
| Gold | Kyrgyzaltyn JSC | Kyrgyzstan | Conformant | |||
| Gold | L’azurde Company For Jewelry | Saudi Arabia | Smelter Look-Up List Tab Only | |||
| Gold | Lingbao Gold Co., Ltd. | China | Smelter Look-Up List Tab Only | |||
| Gold | Lingbao Jinyuan Tonghui Refinery Co., Ltd. | China | Smelter Look-Up List Tab Only | |||
| Gold | LS-NIKKO Copper Inc. | Korea, Republic of | Conformant | |||
| Gold | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | China | Smelter Look-Up List Tab Only | |||
| Gold | Materion | United States | Conformant | |||
| Gold | Matsuda Sangyo Co., Ltd. | Japan | Conformant | |||
| Gold | Metalor Technologies (Suzhou) Ltd. | China | Conformant | |||
| Gold | Metalor Technologies (Hong Kong) Ltd. | China | Conformant | |||
| Gold | Metalor Technologies (Singapore) Pte., Ltd. | Singapore | Conformant | |||
| Gold | Metalor Technologies S.A. | Switzerland | Conformant | |||
| Gold | Metalor Switzerland | Switzerland | Smelter Look-Up List Tab Only | |||
| Gold | Metalor USA Refining Corporation | United States | Conformant | |||
| Gold | Metalurgica Met-Mex Penoles S.A. De C.V. | Mexico | Conformant | |||
| Gold | Mitsubishi Materials Corporation | Japan | Conformant | |||
A-3
| Mineral | Smelter or Refiner Name | SOR Location | Status | |||
| Gold | Mitsui Mining and Smelting Co., Ltd. | Japan | Conformant | |||
| Gold | Moscow Special Alloys Processing Plant | Russian Federation | Conformant | |||
| Gold | Nadir Metal Rafineri San. Ve Tic. A.S. | Turkey | Conformant | |||
| Gold | Navoi Mining and Metallurgical Combinat | Uzbekistan | Conformant | |||
| Gold | Nihon Material Co., Ltd. | Japan | Conformant | |||
| Gold | Ohura Precious Metal Industry Co., Ltd. | Japan | Conformant | |||
| Gold | OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet) | Russian Federation | Conformant | |||
| Gold | PAMP S.A. | Switzerland | Conformant | |||
| Gold | Penglai Penggang Gold Industry Co., Ltd. | China | Smelter Look-Up List Tab Only | |||
| Gold | Prioksky Plant of Non-Ferrous Metals | Russian Federation | Conformant | |||
| Gold | PT Aneka Tambang (Persero) Tbk | Indonesia | Conformant | |||
| Gold | PX Precinox S.A. | Switzerland | Conformant | |||
| Gold | Rand Refinery (Pty) Ltd. | South Africa | Conformant | |||
| Gold | Royal Canadian Mint | Canada | Conformant | |||
| Gold | Sabin Metal Corp. | United States | Smelter Look-Up List Tab Only | |||
| Gold | Samduck Precious Metals | Korea, Republic of | Conformant | |||
| Gold | Samwon Metals Corp. | Korea, Republic of | Smelter Look-Up List Tab Only | |||
| Gold | SEMPSA Joyeria Plateria S.A. | Spain | Conformant | |||
| Gold | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | China | Smelter Look-Up List Tab Only | |||
| Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | China | Conformant | |||
| Gold | Sichuan Tianze Precious Metals Co., Ltd. | China | Conformant | |||
| Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | Russian Federation | Conformant | |||
| Gold | Solar Applied Materials Technology Corp. | Taiwan | Conformant | |||
| Gold | Sumitomo Metal Mining Co., Ltd. | Japan | Conformant | |||
| Gold | Tanaka Kikinzoku Kogyo K.K. | Japan | Conformant | |||
| Gold | Great Wall Precious Metals Co., Ltd. of CBPM | China | Smelter Look-Up List Tab Only | |||
A-4
| Mineral | Smelter or Refiner Name | SOR Location | Status | |||
| Gold | The Refinery of Shandong Gold Mining Co., Ltd. | China | Smelter Look-Up List Tab Only | |||
| Gold | China’s Shandong Gold Mining Co., Ltd | Uzbekistan | Smelter Look-Up List Tab Only | |||
| Gold | Tokuriki Honten Co., Ltd. | Japan | Conformant | |||
| Gold | Tongling Nonferrous Metals Group Co., Ltd. | China | Smelter Look-Up List Tab Only | |||
| Gold | Torecom | Korea, Republic of | Conformant | |||
| Gold | Umicore Brasil Ltda. | Brazil | Smelter Look-Up List Tab Only | |||
| Gold | Umicore S.A. Business Unit Precious Metals Refining | Belgium | Conformant | |||
| Gold | United Precious Metal Refining, Inc. | United States | Conformant | |||
| Gold | Valcambi S.A. | Switzerland | Conformant | |||
| Gold | Western Australian Mint (T/a The Perth Mint) | Australia States | Conformant | |||
| Gold | Yamakin Co., Ltd. | Japan | Conformant | |||
| Gold | Yokohama Metal Co., Ltd. | Japan | Conformant | |||
| Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | China | Conformant | |||
| Gold | Gold Refinery of Zijin Mining Group Co., Ltd. | China | Conformant | |||
| Gold | Morris and Watson | New Zealand | Smelter Look-Up List Tab Only | |||
| Gold | SAFINA A.S. | Czech Republic | Conformant | |||
| Gold | Guangdong Jinding Gold Limited | China | Smelter Look-Up List Tab Only | |||
| Gold | Umicore Precious Metals Thailand | Thailand | Conformant | |||
| Gold | Geib Refining Corporation | United States | Conformant | |||
| Gold | MMTC-PAMP India Pvt., Ltd. | India | Conformant | |||
| Gold | KGHM Polska Miedz Spolka Akcyjna | Poland | Conformant | |||
| Gold | Fidelity Printers and Refiners Ltd. | Zimbabwe | Smelter Look-Up List Tab Only | |||
| Gold | Singway Technology Co., Ltd. | Taiwan | Conformant | |||
| Gold | Shandong Humon Smelting Co., Ltd. | China | Smelter Look-Up List Tab Only | |||
A-5
| Mineral | Smelter or Refiner Name | SOR Location | Status | |||
| Gold | Al Etihad Gold Refinery DMCC | United Arab Emirates | Conformant | |||
| Gold | Emirates Gold DMCC | United Arab Emirates | Conformant | |||
| Gold | International Precious Metal Refiners | United Arab Emirates | Active | |||
| Gold | Kaloti Precious Metals | United Arab Emirates | Smelter Look-Up List Tab Only | |||
| Gold | Sudan Gold Refinery | Spain | Smelter Look-Up List Tab Only | |||
| Gold | T.C.A S.p.A | Italy | Conformant | |||
| Gold | REMONDIS PMR B.V. | Netherlands | Conformant | |||
| Gold | Fujairah Gold FZC | United Arab Emirates | Smelter Look-Up List Tab Only | |||
| Gold | Tony Goetz NV | Belgium | Smelter Look-Up List Tab Only | |||
| Gold | Korea Zinc Co., Ltd. | Korea, Republic of | Conformant | |||
| Gold | Marsam Metals | Brazil | Conformant | |||
| Gold | TOO Tau-Ken-Altyn | Kazakhstan | Conformant | |||
| Gold | Abington Reldan Metals, LLC | United States | Smelter Look-Up List Tab Only | |||
| Gold | SAAMP | France | Conformant | |||
| Gold | L’Orfebre S.A. | Andorra | Conformant | |||
| Gold | 8853 S.p.A. | Italy | Conformant | |||
| Gold | Italpreziosi | Italy | Conformant | |||
| Gold | SAXONIA Edelmetalle GmbH | Germany | Conformant | |||
| Gold | WIELAND Edelmetalle GmbH | Germany | Conformant | |||
| Gold | Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH | Austria | Conformant | |||
| Gold | AU Traders and Refiners | South Africa | Conformant | |||
| Gold | GCC Gujrat Gold Centre Pvt. Ltd. | India | Smelter Look-Up List Tab Only | |||
| Gold | Sai Refinery | India | Smelter Look-Up List Tab Only | |||
| Gold | Universal Precious Metals Refining Zambia | Zambia | Smelter Look-Up List Tab Only | |||
A-6
| Mineral | Smelter or Refiner Name | SOR Location | Status | |||
| Gold | Modeltech Sdn Bhd | Malaysia | Smelter Look-Up List Tab Only | |||
| Gold | Bangalore Refinery | India | Smelter Look-Up List Tab Only | |||
| Gold | Kyshtym Copper-Electrolytic Plant ZAO | Russian Federation | Smelter Look-Up List Tab Only | |||
| Gold | Morris and Watson Gold Coast | Belgium | Smelter Look-Up List Tab Only | |||
| Gold | Degussa Sonne / Mond Goldhandel GmbH | Germany | Smelter Look-Up List Tab Only | |||
| Gold | Pease & Curren | United States | Smelter Look-Up List Tab Only | |||
| Gold | SungEel HiMetal Co., Ltd. | Korea, Republic of | Conformant | |||
| Gold | Planta Recuperadora de Metales SpA | Chile | Conformant | |||
| Gold | Safimet S.p.A | Italy | Conformant | |||
| Gold | State Research Institute Center for Physical Sciences and Technology | Lithuania | Smelter Look-Up List Tab Only | |||
| Gold | African Gold Refinery | Uganda | Smelter Look-Up List Tab Only | |||
| Gold | NH Recytech Company | Korea, Republic of | Smelter Look-Up List Tab Only | |||
| Gold | DS PRETECH Co., Ltd. | Korea, Republic of | Smelter Look-Up List Tab Only | |||
| Gold | QG Refining, LLC | United States | Smelter Look-Up List Tab Only | |||
| Gold | Dijllah Gold Refinery FZC | United Arab Emirates | Smelter Look-Up List Tab Only | |||
| Gold | CGR Metalloys Pvt Ltd. | India | Smelter Look-Up List Tab Only | |||
| Gold | Sovereign Metals | India | Smelter Look-Up List Tab Only | |||
| Gold | Chimet S.p.A. | Italy | Conformant | |||
| Gold | Heraeus | Turkey | Smelter Look-Up List Tab Only | |||
| Gold | Tianjin Jingruida Flatware Co.,LTD | China | Smelter Look-Up List Tab Only | |||
| Gold | UMICORE GAHANOTECHNIK GmbH. | Germany | Smelter Look-Up List Tab Only | |||
A-7
| Mineral | Smelter or Refiner Name | SOR Location | Status | |||
| Gold | SANMENXIA CHAOYANG TECHNOLOGY CO.,LTD | Thailand | Smelter Look-Up List Tab Only | |||
| Gold | Namiwa Kin-Eki Co | Japan | Smelter Look-Up List Tab Only | |||
| Gold | HONGYANG SURFACE TREATMENT CO. LTD | China | Smelter Look-Up List Tab Only | |||
| Tantalum | Changsha South Tantalum Niobium Co., Ltd. | China | Conformant | |||
| Tantalum | Guangdong Rising Rare Metals-EO Materials Ltd. | China | Conformant | |||
| Tantalum | Exotech Inc. | United States | Conformant | |||
| Tantalum | F&X Electro-Materials Ltd. | China | Conformant | |||
| Tantalum | Guangdong Zhiyuan New Material Co., Ltd. | China | Smelter Look-Up List Tab Only | |||
| Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | China | Conformant | |||
| Tantalum | Jiujiang Tanbre Co., Ltd. | China | Conformant | |||
| Tantalum | LSM Brasil S.A. | Brazil | Conformant | |||
| Tantalum | Metallurgical Products India Pvt., Ltd. | India | Conformant | |||
| Tantalum | Mineracao Taboca S.A. | Brazil | Conformant | |||
| Tantalum | Mitsui Mining and Smelting Co., Ltd. | Japan | Conformant | |||
| Tantalum | NPM Silmet AS | Estonia | Conformant | |||
| Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | China | Conformant | |||
| Tantalum | QuantumClean | United States | Conformant | |||
| Tantalum | RFH Tantalum Smeltery Co., Ltd./Yanling Jincheng Tantalum & Niobium Co., Ltd. | China | Conformant | |||
| Tantalum | Solikamsk Magnesium Works OAO | Russian Federation | Conformant | |||
| Tantalum | Taki Chemical Co., Ltd. | Japan | Conformant | |||
| Tantalum | Telex Metals | United States | Conformant | |||
| Tantalum | Ulba Metallurgical Plant JSC | Kazakhstan | Conformant | |||
| Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | China | Conformant | |||
| Tantalum | D Block Metals, LLC | United States | Conformant | |||
| Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | China | Conformant | |||
A-8
| Mineral | Smelter or Refiner Name | SOR Location | Status | |||
| Tantalum | XinXing HaoRong Electronic Material Co., Ltd. | China | Conformant | |||
| Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | China | Conformant | |||
| Tantalum | KEMET Blue Metals | Mexico | Conformant | |||
| Tantalum | H.C. Starck Co., Ltd. | China | Smelter Look-Up List Tab Only | |||
| Tantalum | H.C. Starck Tantalum and Niobium GmbH | China | Smelter Look-Up List Tab Only | |||
| Tantalum | H.C. Starck Hermsdorf GmbH | Germany | Conformant | |||
| Tantalum | H.C. Starck Inc. | United States | Conformant | |||
| Tantalum | H.C. Starck Ltd. | Japan | Smelter Look-Up List Tab Only | |||
| Tantalum | Global Advanced Metals Boyertown | United States | Conformant | |||
| Tantalum | Global Advanced Metals Aizu | Japan | Conformant | |||
| Tantalum | KEMET Blue Powder | United States | Smelter Look-Up List Tab Only | |||
| Tantalum | Resind Industria e Comercio Ltda. | Brazil | Conformant | |||
| Tantalum | Jiangxi Tuohong New Raw Material | China | Conformant | |||
| Tantalum | Power Resources Ltd. | Macedonia, The Former Yugoslav Republic Of | Smelter Look-Up List Tab Only | |||
| Tin | Alpha | United States | Conformant | |||
| Tin | Dowa | Japan | Conformant | |||
| Tin | Tianjin Furen Industrial Group CO., Ltd. | China | Smelter Look-Up List Tab Only | |||
| Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | China | Conformant | |||
| Tin | Cookson | United States | Smelter Look-Up List Tab Only | |||
| Tin | CV Gita Pesona | Indonesia | Smelter Look-Up List Tab Only | |||
| Tin | PT Aries Kencana Sejahtera | Indonesia | Active | |||
| Tin | PT Premium Tin Indonesia | Indonesia | Smelter Look-Up List Tab Only | |||
| Tin | CV United Smelting | China | Smelter Look-Up List Tab Only | |||
A-9
| Mineral | Smelter or Refiner Name | SOR Location | Status | |||
| Tin | EM Vinto | Bolivia | Conformant | |||
| Tin | Estanho de Rondonia S.A. | Brazil | Active | |||
| Tin | Fenix Metals | Poland | Conformant | |||
| Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. | China | Conformant | |||
| Tin | Gejiu Zili Mining And Metallurgy Co., Ltd. | China | Conformant | |||
| Tin | Huichang Jinshunda Tin Co., Ltd. | China | Conformant | |||
| Tin | Gejiu Jinye Mineral Company | China | Smelter Look-Up List Tab Only | |||
| Tin | Gejiu Kai Meng Industry and Trade LLC | China | Conformant | |||
| Tin | China Tin Group Co., Ltd. | China | Conformant | |||
| Tin | Luna Smelter, Ltd. | Rwanda | Conformant | |||
| Tin | Malaysia Smelting Corporation (MSC) | Malaysia | Conformant | |||
| Tin | Metallic Resources, Inc. | United States | Conformant | |||
| Tin | Mineracao Taboca S.A. | Brazil | Conformant | |||
| Tin | Minsur | Peru | Conformant | |||
| Tin | Mitsubishi Materials Corporation | Japan | Conformant | |||
| Tin | Modeltech Sdn Bhd | Malaysia | Smelter Look-Up List Tab Only | |||
| Tin | Jiangxi New Nanshan Technology Ltd. | China | Conformant | |||
| Tin | O.M. Manufacturing (Thailand) Co., Ltd. | Thailand | Conformant | |||
| Tin | Operaciones Metalurgicas S.A. | Bolivia | Conformant | |||
| Tin | PT Artha Cipta Langgeng | Indonesia | Conformant | |||
| Tin | PT Babel Inti Perkasa | Indonesia | Smelter Look-Up List Tab Only | |||
| Tin | PT Babel Surya Alam Lestari | Indonesia | Conformant | |||
| Tin | PT Bangka Tin Industry | Indonesia | Smelter Look-Up List Tab Only | |||
| Tin | PT Belitung Industri Sejahtera | Indonesia | Smelter Look-Up List Tab Only | |||
| Tin | PT Bukit Timah | Indonesia | Active | |||
| Tin | PT DS Jaya Abadi | Indonesia | Smelter Look-Up List Tab Only | |||
A-10
| Mineral | Smelter or Refiner Name | SOR Location | Status | |||
| Tin | PT Karimun Mining | Indonesia | Smelter Look-Up List Tab Only | |||
| Tin | PT Lautan Harmonis Sejahtera | Indonesia | Active | |||
| Tin | PT Mitra Stania Prima | Indonesia | Conformant | |||
| Tin | PT Panca Mega Persada | Indonesia | Smelter Look-Up List Tab Only | |||
| Tin | PT Prima Timah Utama | Indonesia | Conformant | |||
| Tin | PT Rajawali Rimba Perkasa | Indonesia | Conformant | |||
| Tin | PT Refined Bangka Tin | Indonesia | Conformant | |||
| Tin | PT Sariwiguna Binasentosa | Indonesia | Smelter Look-Up List Tab Only | |||
| Tin | PT Stanindo Inti Perkasa | Indonesia | Conformant | |||
| Tin | PT Sumber Jaya Indah | Indonesia | Smelter Look-Up List Tab Only | |||
| Tin | PT Timah Tbk Kundur | Indonesia | Conformant | |||
| Tin | PT Timah Tbk Mentok | Indonesia | Conformant | |||
| Tin | PT Tinindo Inter Nusa | Indonesia | Smelter Look-Up List Tab Only | |||
| Tin | PT Tommy Utama | Indonesia | Smelter Look-Up List Tab Only | |||
| Tin | Resind Industria e Comercio Ltda. | Brazil | Conformant | |||
| Tin | Rui Da Hung | Taiwan | Conformant | |||
| Tin | Soft Metais Ltda. | Brazil | Conformant | |||
| Tin | Thaisarco | Thailand | Conformant | |||
| Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | Viet Nam | Conformant | |||
| Tin | White Solder Metalurgia e Mineracao Ltda. | Brazil | Conformant | |||
| Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | China | Conformant | |||
| Tin | CV Venus Inti Perkasa | Indonesia | Active | |||
| Tin | Magnu’s Minerais Metais e Ligas Ltda. | Brazil | Conformant | |||
| Tin | PT Tirus Putra Mandiri | Indonesia | Smelter Look-Up List Tab Only | |||
| Tin | Melt Metais e Ligas S.A. | Brazil | Conformant | |||
A-11
| Mineral | Smelter or Refiner Name | SOR Location | Status | |||
| Tin | PT ATD Makmur Mandiri Jaya | Indonesia | Conformant | |||
| Tin | O.M. Manufacturing Philippines, Inc. | Philippines | Conformant | |||
| Tin | PT Inti Stania Prima | Indonesia | Smelter Look-Up List Tab Only | |||
| Tin | CV Ayi Jaya | Indonesia | Active | |||
| Tin | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | Viet Nam | Smelter Look-Up List Tab Only | |||
| Tin | Nghe Tinh Non-Ferrous Metals Joint Stock Company | Viet Nam | Smelter Look-Up List Tab Only | |||
| Tin | Tuyen Quang Non-Ferrous Metals Joint Stock Company | Viet Nam | Smelter Look-Up List Tab Only | |||
| Tin | CV Dua Sekawan | China | Smelter Look-Up List Tab Only | |||
| Tin | PT Rajehan Ariq | Indonesia | Conformant | |||
| Tin | An Vinh Joint Stock Mineral Processing Company | Viet Nam | Smelter Look-Up List Tab Only | |||
| Tin | Super Ligas | Brazil | Active | |||
| Tin | Metallo Belgium N.V. | Belgium | Conformant | |||
| Tin | Metallo Spain S.L.U. | Spain | Conformant | |||
| Tin | PT Bangka Prima Tin | Indonesia | Smelter Look-Up List Tab Only | |||
| Tin | PT Sukses Inti Makmur | Indonesia | Active | |||
| Tin | PT Kijang Jaya Mandiri | Indonesia | Smelter Look-Up List Tab Only | |||
| Tin | Thai Nguyen Mining and Metallurgy Co., Ltd. | Viet Nam | Conformant | |||
| Tin | PT Menara Cipta Mulia | Indonesia | Conformant | |||
| Tin | HuiChang Hill Tin Industry Co., Ltd. | China | Conformant | |||
| Tin | Gejiu Fengming Metallurgy Chemical Plant | China | Conformant | |||
| Tin | Guanyang Guida Nonferrous Metal Smelting Plant | China | Conformant | |||
| Tin | Guangdong Hanhe Non-Ferrous Metal Co., Ltd. | China | Conformant | |||
| Tin | Chifeng Dajingzi Tin Industry Co., Ltd. | China | Conformant | |||
| Tin | PT Bangka Serumpun | Indonesia | Conformant | |||
| Tin | Pongpipat Company Limited | Myanmar | Conformant | |||
A-12
| Mineral | Smelter or Refiner Name | SOR Location | Status | |||
| Tin | Tin Technology & Refining | United States | Smelter Look-Up List Tab Only | |||
| Tin | Dongguan CiEXPO Environmental Engineering Co., Ltd. | China | Smelter Look-Up List Tab Only | |||
| Tin | Ma’anshan Weitai Tin Co., Ltd. | China | Conformant | |||
| Tin | Yunnan Yunfan Non-ferrous Metals Co., Ltd. | China | Conformant | |||
| Tin | Yunnan Tin Company Limited | China | Conformant | |||
| Tin | Precious Minerals and Smelting Limited | India | Smelter Look-Up List Tab Only | |||
| Tin | Gejiu City Fuxiang Industry and Trade Co., Ltd. | China | Smelter Look-Up List Tab Only | |||
| Tungsten | Albasteel Industria e Comercio de Ligas Para Fundicao Ltd. | Brazil | Active | |||
| Tungsten | A.L.M.T. Corp. | Japan | Conformant | |||
| Tungsten | Asia Tungsten Products Vietnam Ltd. | Viet Nam | Conformant | |||
| Tungsten | Kennametal Huntsville | United States | Conformant | |||
| Tungsten | China Molybdenum Co., Ltd. | China | Conformant | |||
| Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | China | Conformant | |||
| Tungsten | CNMC (Guangxi) PGMA Co., Ltd. | China | Smelter Look-Up List Tab Only | |||
| Tungsten | Fujian Jinxin Tungsten Co., Ltd. | China | Smelter Look-Up List Tab Only | |||
| Tungsten | Global Tungsten & Powders Corp. | United States | Conformant | |||
| Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | China | Conformant | |||
| Tungsten | Hunan Chenzhou Mining Co., Ltd. | China | Conformant | |||
| Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd. | China | Conformant | |||
| Tungsten | Japan New Metals Co., Ltd. | Japan | Conformant | |||
| Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. | China | Conformant | |||
| Tungsten | Kennametal Fallon | United States | Conformant | |||
| Tungsten | Tejing (Vietnam) Tungsten Co., Ltd. | Vietnam | Conformant | |||
| Tungsten | Wolfram Bergbau und Hutten AG | Austria | Conformant | |||
| Tungsten | Xiamen Tungsten Co., Ltd. | China | Conformant | |||
A-13
| Mineral | Smelter or Refiner Name | SOR Location | Status | |||
| Tungsten | Xinhai Rendan Shaoguan Tungsten Co., Ltd. | China | Smelter Look-Up List Tab Only | |||
| Tungsten | Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd. | China | Smelter Look-Up List Tab Only | |||
| Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | China | Conformant | |||
| Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. | China | Conformant | |||
| Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | China | Conformant | |||
| Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | China | Conformant | |||
| Tungsten | Malipo Haiyu Tungsten Co., Ltd. | China | Conformant | |||
| Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | China | Conformant | |||
| Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | China | Conformant | |||
| Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | China | Conformant | |||
| Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd. | China | Conformant | |||
| Tungsten | H.C. Starck Tungsten GmbH | Germany | Conformant | |||
| Tungsten | H.C. Starck Smelting GmbH & Co. KG | Germany | Smelter Look-Up List Tab Only | |||
| Tungsten | Masan Tungsten Chemical LLC (MTC) | Vietnam | Conformant | |||
| Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | China | Conformant | |||
| Tungsten | Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji | China | Conformant | |||
| Tungsten | Niagara Refining LLC | United States | Conformant | |||
| Tungsten | Ganzhou Haichuang Tungsten Co., Ltd. | China | Conformant | |||
| Tungsten | Jiangxi Dayu Longxintai Tungsten Co., Ltd. | China | Smelter Look-Up List Tab Only | |||
| Tungsten | Hydrometallurg, JSC | Russian Federation | Conformant | |||
| Tungsten | Unecha Refractory metals plant | Russian Federation | Conformant | |||
| Tungsten | South-East Nonferrous Metal Company Limited of Hengyang City | China | Conformant | |||
| Tungsten | Philippine Chuangxin Industrial Co., Inc. | Philippines | Conformant | |||
| Tungsten | Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. | China | Conformant | |||
| Tungsten | ACL Metais Eireli | Brazil | Active | |||
A-14
| Mineral | Smelter or Refiner Name | SOR Location | Status | |||
| Tungsten | Woltech Korea Co., Ltd. | Korea, Republic of | Conformant | |||
| Tungsten | Moliren Ltd. | Russian Federation | Conformant | |||
| Tungsten | Hunan Litian Tungsten Industry Co., Ltd. | China | Conformant | |||
| Tungsten | KGETS Co., Ltd. | Korea, Republic of | Conformant | |||
| Tungsten | Fujian Ganmin RareMetal Co., Ltd. | China | Conformant | |||
| Tungsten | Gejiu City Fuxiang Industry and Trade Co., Ltd. | Taiwan | Conformant | |||
| Tungsten | JSC “Kirovgrad Hard Alloys Plant” | Russian Federation | Smelter Look-Up List Tab Only | |||
| Tungsten | CP Metals Inc. | United States | Smelter Look-Up List Tab Only | |||
We note the following in connection with the information in the table:
| (a) | Not all of the included smelters and refiners may have processed the necessary 3TG contained in our in-scope products. Some Suppliers may have reported smelters and refiners that were not in our supply chain due to over-inclusiveness in the information received from their suppliers or for other reasons. In addition, the smelters and refiners reflected above may not include all of the smelters and refiners in our supply chain, since some Suppliers did not identify all of the smelters and refiners used to process the necessary 3TG content contained in our in-scope products and because not all Suppliers responded to our inquiries, as discussed above. |
| (b) | All information in the table is as of April 30, 2021. |
| (c) | “Conformant” means that a smelter or refiner has successfully completed an assessment against the applicable Responsible Minerals Assurance Process (“RMAP”) standard or an equivalent cross-recognized assessment. Included smelters and refiners were not necessarily Conformant for all or part of calendar 2020 and may not continue to be Conformant for any future period. |
| (d) | “Active” means that the smelter or refiner has committed to undergo an RMAP assessment, completed the relevant documents, and scheduled the on-site assessment. These may be in the pre-assessment, assessment, or corrective-action phases of the assessment. |
| (e) | “Smelter Look-up List Tab Only” means the smelter or refiner is listed on the Smelter Look-up tab list of the CMRT but is not listed as “Conformant” or “Active.” |
| (f) | The compliance status reflected in the table is based solely on information made publicly available by the RMI, without independent verification by us. |
| (g) | SOR location is the location of the smelter or refiner. |
A-15
Country of Origin Information
The countries of origin of the newly-mined 3TG processed by the Conformant smelters and refiners listed above may include the countries and locations listed below, as well as possibly other countries and locations.
| Argentina | Finland | Mexico | Slovakia | |||
| Australia | France | Mongolia | Solomon Islands | |||
| Austria | French Guiana | Morocco | Somaliland | |||
| Azerbaijan | Georgia | Mozambique | South Africa | |||
| Benin | Germany | Myanmar | Spain | |||
| Bolivia | Ghana | Namibia | Suriname | |||
| Botswana | Guatemala | Netherlands | Swaziland | |||
| Brazil | Guinea | New Zealand | Sweden | |||
| Burkina Faso | Guyana | Nicaragua | Taiwan | |||
| Burundi* | Honduras | Niger | Tajikistan | |||
| Canada | India | Nigeria | Tanzania* | |||
| Chile | Indonesia | Papua New Guinea | Thailand | |||
| China | Ivory Coast | Peru | Turkey | |||
| Colombia | Japan | Philippines | Uganda* | |||
| Cyprus | Kazakhstan | Portugal | United Kingdom | |||
| Democratic Republic of the Congo* | Kenya | Puerto Rico | United States of America | |||
| Dominican Republic | Laos | Russia | Uruguay | |||
| Ecuador | Liberia | Rwanda* | Uzbekistan | |||
| Egypt | Madagascar | Saudi Arabia | Vietnam | |||
| Eritrea | Malaysia | Senegal | Zambia* | |||
| Ethiopia | Mali | Serbia | Zimbabwe | |||
| Fiji | Mauritania | Sierra Leone | ||||
| * | Represents a Covered Country |
In addition, some of the listed Conformant smelters and refiners may have processed 3TG originating from recycled or scrap sources.
For calendar 2020, we were not able to determine the possible countries of origin of the 3TG processed by any of the smelters or refiners listed as “Active” or “On Smelter Look-up Tab List Only.”
A-16
