EATON CORPORATION plc
CONFLICT MINERALS REPORT
FOR THE YEAR ENDED DECEMBER 31, 2015
This Conflict Minerals Report (Report) is filed as an exhibit to Eaton’s Form SD as required by Rule 13p-1 (the Rule) under the Securities Exchange Act of 1934, as amended.
Eaton Corporation plc (Eaton, the Company, we, us or our) is required to perform a reasonable country of origin inquiry into the sources of necessary conflict minerals in our products and disclose the results of such diligence. Conflict minerals have been defined as tin, tantalum, tungsten and gold (the Minerals). The design of our due diligence and related results are described below.
A copy of Eaton Corporation plc's Conflict Minerals Report is publicly available at www.eaton.com under "Conflict Minerals Policy and Info". The contents of our website referred to in this Report are not incorporated by reference into this Report.
1. COMPANY OVERVIEW
Eaton Corporation plc is a power management company with 2015 net sales of $20.9 billion. The Company provides energy-efficient solutions that help its customers effectively manage electrical, hydraulic and mechanical power more efficiently, safely and sustainably.
Eaton has five business segments: Electrical Products, Electrical Systems and Services, Hydraulics, Aerospace and Vehicle. Purchased raw materials and parts are varied and are sourced from many suppliers. Eaton has a substantial number of suppliers globally that span across our five business segments. Our supply chain is multi-tiered and Eaton is typically several levels removed from the mines, smelters and refiners. Eaton does not purchase any Minerals directly from mines, smelters or refiners. Therefore, Eaton must rely on its suppliers to provide information about the origin of the Minerals in its products. Some of Eaton’s products may contain the Minerals either from recycled sources or in their processed form.
For additional information about our business segments, including the wide variety of products manufactured in each segment, refer to Eaton's 2015 Form 10-K.
2. REASONABLE COUNTRY OF ORIGIN INQUIRY
For the reporting period from January 1 through December 31, 2015, Eaton conducted a good faith reasonable country of origin inquiry of the Minerals that are necessary to the functionality or production of the products that Eaton manufactured or contracted with others to manufacture during the reporting period. Based on this reasonable country of origin inquiry, Eaton was unable to conclude that these Minerals did not originate from the Democratic Republic of the Congo (the DRC) or adjoining countries. Accordingly, Eaton undertook due diligence measures on the source and chain of custody of the identified necessary Minerals.
3. DUE DILIGENCE
3.1 Design of Due Diligence
Our due diligence measures were designed to conform, in all material respects, with the due diligence framework set forth in The Organisation for Economic Co-operation and Development (OECD) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas and the related Supplements for tin, tantalum, and tungsten and for gold. Pursuant to this framework, we undertook to: (a) establish company management systems, (b) identify and assess risks in our supply chain, (c) design and implement a strategy to respond to the risks identified, (d) support the development and implementation of independent third party audits of smelter and refiner sourcing, and (e) report on the results of our supply chain due diligence.
3.2 Due Diligence Measures Performed
a. Establishment of Company Management Systems
Eaton has taken steps to develop strong company management systems pertaining to the use of Minerals in our products and supply chain. These include the development of a conflict minerals policy, which is available at http://www.eaton.com/Eaton/OurCompany/ConflictMinerals/index.htm. In addition, we have implemented an internal management reporting structure to manage and oversee Eaton’s conflict minerals activities consisting of a dedicated Conflict Minerals team and executive-level Conflict Minerals Steering Committee chaired by Eaton’s Vice-Chairman and Chief Financial and Planning Officer. We have also established formal requirements for suppliers related to the use and reporting of Minerals, including the implementation of a supplier conflict minerals solicitation process utilizing tools created by the Conflict-Free Sourcing Initiative (CFSI) which includes the Conflict Minerals Reporting Template (CMRT). Through our policy and participation in CFSI, Eaton is committed to responsible sourcing of Minerals from the DRC and adjoining countries and encourages suppliers and smelters or refiners to source responsibly from the DRC region. Finally, we maintain a global ethics e-mail address and telephone helpline (http://www.eaton.com/Eaton/OurCompany/ConflictMinerals/index.htm) which can be used by employees, suppliers or other stakeholders to report any concerns relating to Eaton’s Minerals activities.
b. Identify and Assess Risks in our Supply Chain
As a downstream user of Minerals, Eaton is many layers removed from the mine or location from which the Minerals originated and the smelters and refiners which processed the Minerals. We solicited relevant suppliers using due diligence tools including the CFSI’s CMRT. Our solicitation letter included an explanation of the Minerals and the related legal regulations, a request for suppliers to comply with the regulations and respond to us, and our contact information to direct any questions. Additional solicitation requests, including in additional languages beyond English, were sent to suppliers that did not respond or provide sufficient information. Through this process, during 2015 we solicited approximately 3,100 suppliers.
We verified the information provided by our suppliers (to the extent possible) by comparing it to the information contained on the CFSI website and against CMRT acceptance criteria for completeness and consistency of responses. Through this process, for suppliers who provided names of smelters and refiners, we confirmed the validation status of those supplier-reported smelters and refiners. For those suppliers who provided country of origin information for the Minerals, we confirmed the listed countries of origin for each smelter and refiner if that information was available from CFSI.
c. Design and Implement a Strategy to Respond to Identified Risks
Eaton’s strategy to respond to identified risks includes the development of a conflict minerals policy, referenced above. This policy is also included in Eaton’s Purchase Order Terms and Conditions and associated Supplier Code of Conduct (the Code) and Supplier Excellence Manual (the Manual). Both the Code and the Manual are used to communicate requirements to our suppliers, including expectations relating to the use and sourcing of the Minerals. In particular, Eaton’s Purchase Order Terms and Conditions and associated Code and the Manual require our suppliers to perform due diligence into their respective supply chains to determine whether products sold to us contain Minerals, and whether, and to what extent, the Minerals are sourced from DRC conflict-free smelters and refiners, and to report to Eaton the results of this due diligence. The Terms and Conditions, the Code and the Manual are available on our website at www.eaton.com.
Eaton monitors the information received from suppliers in response to our solicitations, and periodically shares summaries of this information with our Conflict Minerals Steering Committee. Eaton is a member of CFSI (member Code EATN) and uses data from the CFSI to confirm the validation status of supplier-reported smelters and refiners, as well as reported country of origin information related to the Minerals sourced from such smelters or refiners, if available. Through our membership in CFSI, Eaton further supports several complementary programs such as iTSCi, Better Sourcing Program, and Solutions for Hope, with which CFSI collaborates to jointly address Minerals issues in the DRC and adjoining countries.
Suppliers that are either non-responsive or provide incomplete or inconsistent responses to Eaton’s solicitations are escalated within Eaton’s Supply Chain Management organization for follow-up engagement. Responding Suppliers reporting smelters and refiners that are non-validated or have other identified red flag triggers receive follow-up communication to remind them of Eaton’s expectations relating to the use and sourcing of Minerals as well as to notify them of further resources and training available to them through CFSI.
d. Support the Development and Implementation of Independent Third-Party Audits of Smelter and Refiner Sourcing
As a downstream user of Minerals, Eaton and its direct supply chain are many layers removed from the mine or location from which the Minerals originated and smelters and refiners that process the Minerals. Through our membership and participation in the CFSI, we collaborate at a cross-industry level, and we continue to support the development and implementation of due diligence practices, the CFSI Conflict-Free Smelter Program and tools such as the CMRT.
e. Report on Supply Chain Due Diligence
Eaton publicly communicates our conflict minerals policy, due diligence activities and related supplier expectations on our website and in our Form SD and Conflict Minerals Report available at: http://www.eaton.com/Eaton/OurCompany/ConflictMinerals/index.htm.
4. RESULTS OF REVIEW
For the reporting period of January 1, 2015 through December 31, 2015, Eaton solicited approximately 3,100 suppliers to gather detailed information regarding the existence of the Minerals in products sold to us, as well as the origin and chain of custody of the Minerals, using the CMRT. Based on the information provided by Eaton’s suppliers and our own due diligence efforts through December 31, 2015, we do not have sufficient information to conclusively determine the countries of origin or chain of custody of Minerals in our products. A majority of our suppliers responded that their materials did not contain the Minerals, they used recycled materials, they were unable to determine whether the products they sold to us contained Minerals, or they were still in the process of evaluating the source of the Minerals in their products.
Based on the information provided by our suppliers, Eaton believes the smelters and refiners that may have been used to produce Minerals in Eaton’s products include those listed on Annex I. Based on information provided by our suppliers and information available from the CFSI, Eaton believes that the countries of origin of Minerals processed by these smelters and refiners includes the countries listed on Annex II. Of the supplier-reported smelters or refiners, 38 were identified as potentially sourcing Minerals directly or indirectly from the DRC or adjoining countries; however, all 38 of these smelters or refiners are indicated by CFSI to be conflict-free. Eaton found no reasonable basis for concluding that any Minerals known to be in its supply chain directly or indirectly financed or benefitted armed groups in the DRC or surrounding countries.
5. STEPS TAKEN TO MITIGATE RISK
Eaton intends to continue to evaluate its due diligence program, and, in particular, intends to annually review the criteria used to select suppliers for solicitation. We intend to continue to engage with our suppliers to identify the Minerals used within our supply chain, as well as the origin and chain of custody of those Minerals. We intend to continue to engage with third party programs such as the CFSI. Finally, to the extent any Eaton supplier is found to be using not-yet-validated smelters and refiners within its supply chain, Eaton intends to engage that supplier and re-communicate our requirement for suppliers to commit to be DRC conflict-free, as per Eaton’s policy.
ANNEX I
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| | | |
| Mineral | Status | Smelter or Refiner Name | Country Location of Smelter or Refiner |
| Gold | * | Zijin Mining Group Co., Ltd. Gold Refinery | CHINA |
| Gold | * | Materion | UNITED STATES |
| Gold | * | Matsuda Sangyo Co., Ltd. | JAPAN |
| Gold | * | Metalor Technologies (Hong Kong) Ltd. | CHINA |
| Gold | * | Metalor Technologies S.A. | SWITZERLAND |
| Gold | * | Metalor USA Refining Corporation | UNITED STATES |
| Gold | * | METALÚRGICA MET-MEX PEÑOLES, S.A. DE C.V | MEXICO |
| Gold | * | Mitsubishi Materials Corporation | JAPAN |
| Gold | * | Mitsui Mining and Smelting Co., Ltd. | JAPAN |
| Gold | * | Moscow Special Alloys Processing Plant | RUSSIAN FEDERATION |
| Gold | * | Nadir Metal Rafineri San. Ve Tic. A.ª. | TURKEY |
| Gold | * | Navoi Mining and Metallurgical Combinat | UZBEKISTAN |
| Gold | * | Nihon Material Co., Ltd. | JAPAN |
| Gold | * | Sumitomo Metal Mining Co., Ltd. | JAPAN |
| Gold | * | Heraeus Ltd. Hong Kong | CHINA |
| Gold | * | Tanaka Kikinzoku Kogyo K.K. | JAPAN |
| Gold | | Caridad | MEXICO |
| Gold | * | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | CHINA |
| Gold | * | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | TURKEY |
| Gold | * | Aurubis AG | GERMANY |
| Gold | * | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | PHILIPPINES |
| Gold | * | Boliden AB | SWEDEN |
| Gold | * | C. Hafner GmbH + Co. KG | GERMANY |
| Gold | * | CCR Refinery - Glencore Canada Corporation | CANADA |
| Gold | * | Chimet S.p.A. | ITALY |
| Gold | * | Dowa | JAPAN |
| Gold | * | Eco-System Recycling Co., Ltd. | JAPAN |
| Gold | * | Heimerle + Meule GmbH | GERMANY |
| Gold | * | Heraeus Precious Metals GmbH & Co. KG | GERMANY |
| Gold | | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | CHINA |
| Gold | * | Ishifuku Metal Industry Co., Ltd. | JAPAN |
| Gold | * | Elemetal Refining, LLC | UNITED STATES |
| Gold | * | PAMP S.A. | SWITZERLAND |
| Gold | * | Rand Refinery (Pty) Ltd. | SOUTH AFRICA |
| Gold | * | Royal Canadian Mint | CANADA |
| Gold | * | SEMPSA Joyería Platería S.A. | SPAIN |
| Gold | * | Solar Applied Materials Technology Corp. | TAIWAN |
| Gold | * | The Refinery of Shandong Gold Mining Co., Ltd. | CHINA |
| Gold | * | Tokuriki Honten Co., Ltd. | JAPAN |
| Gold | * | Umicore S.A. Business Unit Precious Metals Refining | BELGIUM |
| Gold | * | United Precious Metal Refining, Inc. | UNITED STATES |
| Gold | * | Valcambi S.A. | SWITZERLAND |
| Gold | * | Western Australian Mint trading as The Perth Mint | AUSTRALIA |
|
| | | |
| Mineral | Status | Smelter or Refiner Name | Country Location of Smelter or Refiner |
| Gold | * | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | CHINA |
| Gold | * | Aida Chemical Industries Co., Ltd. | JAPAN |
| Gold | * | Allgemeine Gold-und Silberscheideanstalt A.G. | GERMANY |
| Gold | * | Almalyk Mining and Metallurgical Complex (AMMC) | UZBEKISTAN |
| Gold | * | AngloGold Ashanti Córrego do Sítio Mineração | BRAZIL |
| Gold | * | Argor-Heraeus S.A. | SWITZERLAND |
| Gold | * | Asahi Pretec Corp. | JAPAN |
| Gold | * | Asaka Riken Co., Ltd. | JAPAN |
| Gold | | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | CHINA |
| Gold | * | Cendres + Métaux S.A. | SWITZERLAND |
| Gold | | Chugai Mining | JAPAN |
| Gold | * | Daejin Indus Co., Ltd. | KOREA, REPUBLIC OF |
| Gold | | Daye Non-Ferrous Metals Mining Ltd. | CHINA |
| Gold | * | DSC (Do Sung Corporation) | KOREA, REPUBLIC OF |
| Gold | * | OJSC Novosibirsk Refinery | RUSSIAN FEDERATION |
| Gold | | Great Wall Precious Metals Co., Ltd. of CBPM | CHINA |
| Gold | * | Asahi Refining USA Inc. | UNITED STATES |
| Gold | * | Istanbul Gold Refinery | TURKEY |
| Gold | * | Asahi Refining Canada Ltd. | CANADA |
| Gold | * | JX Nippon Mining & Metals Co., Ltd. | JAPAN |
| Gold | * | Kennecott Utah Copper LLC | UNITED STATES |
| Gold | * | Kojima Chemicals Co., Ltd. | JAPAN |
| Gold | | Hwasung CJ Co., Ltd. | KOREA, REPUBLIC OF |
| Gold | * | Japan Mint | JAPAN |
| Gold | * | Jiangxi Copper Co., Ltd. | CHINA |
| Gold | * | Prioksky Plant of Non-Ferrous Metals | RUSSIAN FEDERATION |
| Gold | * | PT Aneka Tambang (Persero) Tbk | INDONESIA |
| Gold | | Sabin Metal Corp. | UNITED STATES |
| Gold | * | Schone Edelmetaal B.V. | NETHERLANDS |
| Gold | * | Advanced Chemical Company | UNITED STATES |
| Gold | | Tongling Nonferrous Metals Group Co., Ltd. | CHINA |
| Gold | * | LS-NIKKO Copper Inc. | KOREA, REPUBLIC OF |
| Gold | * | Metalor Technologies (Singapore) Pte., Ltd. | SINGAPORE |
| Gold | * | Yamamoto Precious Metal Co., Ltd. | JAPAN |
| Gold | * | Yokohama Metal Co., Ltd. | JAPAN |
| Gold | | Guangdong Jinding Gold Limited | CHINA |
| Gold | | Hunan Chenzhou Mining Co., Ltd. | CHINA |
| Gold | * | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | RUSSIAN FEDERATION |
| Gold | * | Torecom | KOREA, REPUBLIC OF |
| Gold | * | Umicore Brasil Ltda. | BRAZIL |
| Gold | * | JSC Uralelectromed | RUSSIAN FEDERATION |
| Gold | * | Kazzinc | KAZAKHSTAN |
| Gold | | Kyrgyzaltyn JSC | KYRGYZSTAN |
| Gold | * | SOE Shyolkovsky Factory of Secondary Precious Metals | RUSSIAN FEDERATION |
|
| | | |
| Mineral | Status | Smelter or Refiner Name | Country Location of Smelter or Refiner |
| Gold | * | OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) | RUSSIAN FEDERATION |
| Gold | * | Umicore Precious Metals Thailand | THAILAND |
| Gold | | SAMWON Metals Corp. | KOREA, REPUBLIC OF |
| Gold | * | PX Précinox S.A. | SWITZERLAND |
| Gold | | Lingbao Gold Co., Ltd. | CHINA |
| Gold | | Lingbao Jinyuan Tonghui Refinery Co., Ltd. | CHINA |
| Gold | * | Ohura Precious Metal Industry Co., Ltd. | JAPAN |
| Gold | | Penglai Penggang Gold Industry Co., Ltd. | CHINA |
| Gold | * | Samduck Precious Metals | KOREA, REPUBLIC OF |
| Gold | * | DODUCO GmbH | GERMANY |
| Gold | | Gansu Seemine Material Hi-Tech Co., Ltd. | CHINA |
| Gold | | Geib Refining Corporation | UNITED STATES |
| Gold | | Guoda Safina High-Tech Environmental Refinery Co., Ltd. | CHINA |
| Gold | | Hangzhou Fuchunjiang Smelting Co., Ltd. | CHINA |
| Gold | * | Metalor Technologies (Suzhou) Ltd. | CHINA |
| Gold | | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | CHINA |
| Gold | * | Singway Technology Co., Ltd. | TAIWAN |
| Gold | | So Accurate Group, Inc. | UNITED STATES |
| Gold | | Yunnan Copper Industry Co., Ltd. | CHINA |
| Gold | * | Republic Metals Corporation | UNITED STATES |
| Gold | * | Faggi Enrico S.p.A. | ITALY |
| Gold | * | WIELAND Edelmetalle GmbH | GERMANY |
| Gold | | Kazakhmys Smelting LLC | KAZAKHSTAN |
| Gold | | Morris and Watson | NEW ZEALAND |
| Gold | * | SAXONIA Edelmetalle GmbH | GERMANY |
| Gold | * | Sichuan Tianze Precious Metals Co., Ltd. | CHINA |
| Gold | | KGHM Polska MiedŸ Spó³ka Akcyjna | POLAND |
| Gold | * | MMTC-PAMP India Pvt., Ltd. | INDIA |
| Gold | | Kaloti Precious Metals | UNITED ARAB EMIRATES |
| Gold | | Korea Zinc Co., Ltd. | KOREA, REPUBLIC OF |
| Gold | | Emirates Gold DMCC | UNITED ARAB EMIRATES |
| Gold | * | Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH | AUSTRIA |
| Gold | * | T.C.A S.p.A | ITALY |
| Gold | | Al Etihad Gold Refinery DMCC | UNITED ARAB EMIRATES |
| Tantalum | * | Changsha South Tantalum Niobium Co., Ltd. | CHINA |
| Tantalum | * | Conghua Tantalum and Niobium Smeltry | CHINA |
| Tantalum | * | Duoluoshan | CHINA |
| Tantalum | * | Exotech Inc. | UNITED STATES |
| Tantalum | * | F&X Electro-Materials Ltd. | CHINA |
| Tantalum | * | Global Advanced Metals Aizu | JAPAN |
| Tantalum | * | Global Advanced Metals Boyertown | UNITED STATES |
| Tantalum | * | Guangdong Zhiyuan New Material Co., Ltd. | CHINA |
|
| | | |
| Mineral | Status | Smelter or Refiner Name | Country Location of Smelter or Refiner |
| Tantalum | * | H.C. Starck GmbH Goslar | GERMANY |
| Tantalum | * | H.C. Starck Inc. | UNITED STATES |
| Tantalum | * | Mitsui Mining & Smelting | JAPAN |
| Tantalum | * | Jiujiang Tanbre Co., Ltd. | CHINA |
| Tantalum | * | Hengyang King Xing Lifeng New Materials Co., Ltd. | CHINA |
| Tantalum | * | Hi-Temp Specialty Metals, Inc. | UNITED STATES |
| Tantalum | * | JiuJiang JinXin Nonferrous Metals Co., Ltd. | CHINA |
| Tantalum | * | LSM Brasil S.A. | BRAZIL |
| Tantalum | * | Mineração Taboca S.A. | BRAZIL |
| Tantalum | * | Molycorp Silmet A.S. | ESTONIA |
| Tantalum | * | Ningxia Orient Tantalum Industry Co., Ltd. | CHINA |
| Tantalum | * | Plansee SE Liezen | AUSTRIA |
| Tantalum | * | Solikamsk Magnesium Works OAO | RUSSIAN FEDERATION |
| Tantalum | * | Telex Metals | UNITED STATES |
| Tantalum | * | Ulba Metallurgical Plant JSC | KAZAKHSTAN |
| Tantalum | * | Zhuzhou Cemented Carbide | CHINA |
| Tantalum | * | Taki Chemicals | JAPAN |
| Tantalum | * | King-Tan Tantalum Industry Ltd. | CHINA |
| Tantalum | * | KEMET Blue Powder | UNITED STATES |
| Tantalum | * | Metallurgical Products India Pvt., Ltd. | INDIA |
| Tantalum | * | RFH Tantalum Smeltry Co., Ltd. | CHINA |
| Tantalum | * | H.C. Starck Smelting GmbH & Co. KG | GERMANY |
| Tantalum | * | H.C. Starck Hermsdorf GmbH | GERMANY |
| Tantalum | * | D Block Metals, LLC | UNITED STATES |
| Tantalum | * | H.C. Starck Co., Ltd. | THAILAND |
| Tantalum | * | H.C. Starck GmbH Laufenburg | GERMANY |
| Tantalum | * | H.C. Starck Ltd. | JAPAN |
| Tantalum | * | Yichun Jin Yang Rare Metal Co., Ltd. | CHINA |
| Tantalum | * | KEMET Blue Metals | MEXICO |
| Tantalum | * | Plansee SE Reutte | AUSTRIA |
| Tantalum | * | QuantumClean | UNITED STATES |
| Tantalum | * | FIR Metals & Resource Ltd. | CHINA |
| Tantalum | * | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | CHINA |
| Tantalum | * | XinXing HaoRong Electronic Material Co., Ltd. | CHINA |
| Tantalum | * | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | CHINA |
| Tantalum | * | Resind Indústria e Comércio Ltda. | BRAZIL |
| Tantalum | * | Tranzact, Inc. | UNITED STATES |
| Tin | * | Mineração Taboca S.A. | BRAZIL |
| Tin | * | Minsur | PERU |
| Tin | * | Mitsubishi Materials Corporation | JAPAN |
| Tin | * | Operaciones Metalurgical S.A. | BOLIVIA |
| Tin | * | PT Bukit Timah | INDONESIA |
| Tin | * | PT Eunindo Usaha Mandiri | INDONESIA |
| Tin | * | PT Refined Bangka Tin | INDONESIA |
| Tin | * | PT Sariwiguna Binasentosa | INDONESIA |
|
| | | |
| Mineral | Status | Smelter or Refiner Name | Country Location of Smelter or Refiner |
| Tin | * | PT Stanindo Inti Perkasa | INDONESIA |
| Tin | * | PT Timah (Persero) Tbk Kundur | INDONESIA |
| Tin | * | PT Timah (Persero) Tbk Mentok | INDONESIA |
| Tin | * | PT Tinindo Inter Nusa | INDONESIA |
| Tin | * | Rui Da Hung | TAIWAN |
| Tin | * | Soft Metais Ltda. | BRAZIL |
| Tin | * | Thaisarco | THAILAND |
| Tin | * | White Solder Metalurgia e Mineração Ltda. | BRAZIL |
| Tin | * | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | CHINA |
| Tin | * | Yunnan Tin Group (Holding) Co., Ltd. | CHINA |
| Tin | * | Alpha | UNITED STATES |
| Tin | * | Cooperativa Metalurgica de Rondônia Ltda. | BRAZIL |
| Tin | * | CV United Smelting | INDONESIA |
| Tin | * | EM Vinto | BOLIVIA |
| Tin | * | Fenix Metals | POLAND |
| Tin | * | Gejiu Non-Ferrous Metal Processing Co., Ltd. | CHINA |
| Tin | * | China Tin Group Co., Ltd. | CHINA |
| Tin | * | Malaysia Smelting Corporation (MSC) | MALAYSIA |
| Tin | * | Metallo-Chimique N.V. | BELGIUM |
| Tin | * | PT DS Jaya Abadi | INDONESIA |
| Tin | * | PT Mitra Stania Prima | INDONESIA |
| Tin | | Gejiu Zili Mining And Metallurgy Co., Ltd. | CHINA |
| Tin | * | PT Belitung Industri Sejahtera | INDONESIA |
| Tin | * | PT Bangka Tin Industry | INDONESIA |
| Tin | * | CV Serumpun Sebalai | INDONESIA |
| Tin | * | PT Prima Timah Utama | INDONESIA |
| Tin | * | O.M. Manufacturing Philippines, Inc. | PHILIPPINES |
| Tin | | Nankang Nanshan Tin Manufactory Co., Ltd. | CHINA |
| Tin | | Huichang Jinshunda Tin Co., Ltd. | CHINA |
| Tin | | Linwu Xianggui Ore Smelting Co., Ltd. | CHINA |
| Tin | * | PT Artha Cipta Langgeng | INDONESIA |
| Tin | * | PT Babel Inti Perkasa | INDONESIA |
| Tin | * | Jiangxi Ketai Advanced Material Co., Ltd. | CHINA |
| Tin | * | PT Justindo | INDONESIA |
| Tin | * | PT Aries Kencana Sejahtera | INDONESIA |
| Tin | * | PT BilliTin Makmur Lestari | INDONESIA |
| Tin | * | Nghe Tinh Non-Ferrous Metals Joint Stock Company | VIET NAM |
| Tin | * | PT Sumber Jaya Indah | INDONESIA |
| Tin | | CNMC (Guangxi) PGMA Co., Ltd. | CHINA |
| Tin | * | Dowa | JAPAN |
| Tin | | Estanho de Rondônia S.A. | BRAZIL |
| Tin | * | Feinhütte Halsbrücke GmbH | GERMANY |
| Tin | * | Gejiu Kai Meng Industry and Trade LLC | CHINA |
| Tin | | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | CHINA |
| Tin | * | PT ATD Makmur Mandiri Jaya | INDONESIA |
|
| | | |
| Mineral | Status | Smelter or Refiner Name | Country Location of Smelter or Refiner |
| Tin | * | PT Panca Mega Persada | INDONESIA |
| Tin | * | Melt Metais e Ligas S.A. | BRAZIL |
| Tin | * | Metallic Resources, Inc. | UNITED STATES |
| Tin | * | O.M. Manufacturing (Thailand) Co., Ltd. | THAILAND |
| Tin | * | VQB Mineral and Trading Group JSC | VIET NAM |
| Tin | * | PT Inti Stania Prima | INDONESIA |
| Tin | * | CV Gita Pesona | INDONESIA |
| Tin | * | Elmet S.L.U. (Metallo Group) | SPAIN |
| Tin | * | PT Tommy Utama | INDONESIA |
| Tin | * | PT Bangka Prima Tin | INDONESIA |
| Tin | * | PT Wahana Perkit Jaya | INDONESIA |
| Tin | * | CV Venus Inti Perkasa | INDONESIA |
| Tin | | PT Tirus Putra Mandiri | INDONESIA |
| Tin | * | Resind Indústria e Comércio Ltda. | BRAZIL |
| Tin | * | CV Ayi Jaya | INDONESIA |
| Tin | * | Phoenix Metal Ltd. | RWANDA |
| Tin | * | An Vinh Joint Stock Mineral Processing Company | VIET NAM |
| Tin | * | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | VIET NAM |
| Tin | * | PT Cipta Persada Mulia | INDONESIA |
| Tin | * | Tuyen Quang Non-Ferrous Metals Joint Stock Company | VIET NAM |
| Tin | * | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | CHINA |
| Tin | * | Magnu's Minerais Metais e Ligas Ltda. | BRAZIL |
| Tin | * | An Thai Minerals Co., Ltd. | VIET NAM |
| Tin | * | PT Sukses Inti Makmur | INDONESIA |
| Tungsten | + | Ganzhou Non-ferrous Metals Smelting Co., Ltd. | CHINA |
| Tungsten | * | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | CHINA |
| Tungsten | * | Ganzhou Seadragon W & Mo Co., Ltd. | CHINA |
| Tungsten | * | Global Tungsten & Powders Corp. | UNITED STATES |
| Tungsten | * | H.C. Starck GmbH | GERMANY |
| Tungsten | * | Kennametal Fallon | UNITED STATES |
| Tungsten | * | Kennametal Huntsville | UNITED STATES |
| Tungsten | * | Wolfram Bergbau und Hütten AG | AUSTRIA |
| Tungsten | * | Xiamen Tungsten Co., Ltd. | CHINA |
| Tungsten | * | Xiamen Tungsten (H.C.) Co., Ltd. | CHINA |
| Tungsten | * | Hunan Chenzhou Mining Co., Ltd. | CHINA |
| Tungsten | * | Ganzhou Huaxing Tungsten Products Co., Ltd. | CHINA |
| Tungsten | * | Chongyi Zhangyuan Tungsten Co., Ltd. | CHINA |
| Tungsten | * | Guangdong Xianglu Tungsten Co., Ltd. | CHINA |
| Tungsten | * | Fujian Jinxin Tungsten Co., Ltd. | CHINA |
| Tungsten | * | Hunan Chunchang Nonferrous Metals Co., Ltd. | CHINA |
| Tungsten | * | Japan New Metals Co., Ltd. | JAPAN |
| Tungsten | + | Dayu Weiliang Tungsten Co., Ltd. | CHINA |
| Tungsten | * | Tejing (Vietnam) Tungsten Co., Ltd. | VIET NAM |
| Tungsten | * | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | CHINA |
|
| | | |
| Mineral | Status | Smelter or Refiner Name | Country Location of Smelter or Refiner |
| Tungsten | * | Jiangxi Gan Bei Tungsten Co., Ltd. | CHINA |
| Tungsten | | Ganxian Shirui New Material Co., Ltd. | CHINA |
| Tungsten | * | H.C. Starck Smelting GmbH & Co.KG | GERMANY |
| Tungsten | * | Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji | CHINA |
| Tungsten | * | Hunan Chuangda Vanadium Tungsten Co., Ltd. Yanglin | CHINA |
| Tungsten | * | Hydrometallurg, JSC | RUSSIAN FEDERATION |
| Tungsten | * | Vietnam Youngsun Tungsten Industry Co., Ltd. | VIET NAM |
| Tungsten | * | Xinhai Rendan Shaoguan Tungsten Co., Ltd. | CHINA |
| Tungsten | * | A.L.M.T. TUNGSTEN Corp. | JAPAN |
| Tungsten | * | Asia Tungsten Products Vietnam Ltd. | VIET NAM |
| Tungsten | * | Chenzhou Diamond Tungsten Products Co., Ltd. | CHINA |
| Tungsten | * | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | CHINA |
| Tungsten | * | Jiangxi Yaosheng Tungsten Co., Ltd. | CHINA |
| Tungsten | * | Malipo Haiyu Tungsten Co., Ltd. | CHINA |
| Tungsten | * | Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC | VIET NAM |
| Tungsten | | Pobedit, JSC | RUSSIAN FEDERATION |
| Tungsten | * | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | CHINA |
| Tungsten | + | Dayu Jincheng Tungsten Industry Co., Ltd. | CHINA |
| Tungsten | * | Sanher Tungsten Vietnam Co., Ltd. | VIET NAM |
| Tungsten | * | Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd. | CHINA |
| Tungsten | * | Ganzhou Yatai Tungsten Co., Ltd. | CHINA |
| Tungsten | * | Niagara Refining LLC | UNITED STATES |
* = Conflict-Free or actively participating in CFSI CFSP (as reported by CFSI as of February 25, 2016 per CFSI).
+ = TI-CMC Member Company (as reported by CFSI as of February 25, 2016 per CFSI).
ANNEX II
COUNTRIES OF ORIGIN OF MINERALS PROCESSED BY SUPPLIER-REPORTED SMELTERS AND REFINERS
|
| |
| Angola | Laos |
| Argentina | Luxembourg |
| Australia | Madagascar |
| Austria | Malaysia |
| Belgium | Mongolia |
| Bolivia | Mozambique |
| Brazil | Myanmar |
| Burundi | Namibia |
| Cambodia | Netherlands |
| Canada | Nigeria |
| Central African Republic | Peru |
| Chile | Portugal |
| China | Republic of Congo |
| Colombia | Rwanda |
| Côte D'Ivoire | Russia |
| Czech Republic | Sierra Leone |
| Democratic Republic of Congo | Singapore |
| Djibouti | Slovakia |
| Ecuador | South Africa |
| Egypt | South Korea |
| Estonia | South Sudan |
| Ethiopia | Spain |
| France | Suriname |
| Germany | Switzerland |
| Guyana | Taiwan |
| Hungary | Tanzania |
| India | Thailand |
| Indonesia | Uganda |
| Ireland | United Kingdom |
| Israel | United States of America |
| Japan | Vietnam |
| Kazakhstan | Zambia |
