EATON CORPORATION plc
CONFLICT MINERALS REPORT
FOR THE YEAR ENDED DECEMBER 31, 2016
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" at: http://www.eaton.com/Eaton/OurCompany/ConflictMinerals/index.htm. 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 2016 net sales of $19.7 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 principal business segments: Electrical Products and Electrical Systems and Services, Hydraulics, Aerospace and Vehicle. In 2016, Eaton considers all products to be in-scope and include, but are not limited to:
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| • | Electrical components, industrial components, residential products, single phase power quality, emergency lighting, fire detection, wiring devices, structural support systems, circuit protection, lighting products, power distribution and assemblies, three phase power quality, hazardous duty electrical equipment, intrinsically safe explosion-proof instrumentation, utility power distribution, and power reliability equipment. |
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| • | Pumps, motors, hydraulic power units, controls and sensing products including valves, cylinders and electronic controls; fluid conveyance products including industrial and hydraulic hose, fittings, and assemblies electro-hydraulic pumps; electromechanical actuators, sensors, aircraft flap and slat systems and nose wheel steering systems, couplings, connectors, and assembly equipment; filtration systems solutions; industrial drum and disc brakes; and fuel systems including fuel pumps, sensors, valves, adapters and regulators. |
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| • | Transmissions, clutches, hybrid power systems, superchargers, engine valves and valve actuation systems, cylinder heads, locking and limited slip differentials, transmission controls, fuel vapor components, fluid connectors and conveyance products. |
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 many 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 2016 Form 10-K.
2. REASONABLE COUNTRY OF ORIGIN INQUIRY
For the reporting period from January 1 through December 31, 2016, 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 2016 we solicited approximately 3,200 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). Both the Purchase Order Terms and Conditions and the Code 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 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 and the Code 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, 2016 through December 31, 2016, Eaton solicited approximately 3,200 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, 2016, 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, 40 were identified by CFSI as potentially sourcing Minerals directly or indirectly from the DRC or adjoining countries; however, all 40 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 in accordance with the provisions of the Rule. In particular, we intend to annually review the criteria used to select suppliers for solicitation and 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 |
| Tin | * | PT Timah (Persero) Tbk Kundur | INDONESIA |
| Tin | * | PT Tinindo Inter Nusa | INDONESIA |
| Tin | * | PT Tommy Utama | INDONESIA |
| Tin | * | Rui Da Hung | TAIWAN, PROVINCE OF CHINA |
| Tin | * | Thaisarco | THAILAND |
| Tin | * | White Solder Metalurgia e Mineração Ltda. | BRAZIL |
| Tin | * | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | CHINA |
| Tin | * | Yunnan Tin Company Limited | CHINA |
| Tin | * | Magnu's Minerais Metais e Ligas Ltda. | BRAZIL |
| Tin | * | Melt Metais e Ligas S.A. | BRAZIL |
| Tin | * | PT ATD Makmur Mandiri Jaya | INDONESIA |
| Tin | * | PT Inti Stania Prima | INDONESIA |
| Tin | * | PT Timah (Persero) Tbk Mentok | INDONESIA |
| Tin | * | Mineração Taboca S.A. | BRAZIL |
| Tin | * | Jiangxi Ketai Advanced Material Co., Ltd. | CHINA |
| Tin | | CNMC (Guangxi) PGMA Co., Ltd. | CHINA |
| Tin | * | Alpha | UNITED STATES OF AMERICA |
| Tin | * | Cooperativa Metalurgica de Rondônia Ltda. | BRAZIL |
| Tin | * | CV Gita Pesona | INDONESIA |
| Tin | | PT Justindo | INDONESIA |
| Tin | * | PT Aries Kencana Sejahtera | INDONESIA |
| Tin | * | CV Serumpun Sebalai | INDONESIA |
| Tin | * | CV United Smelting | INDONESIA |
| Tin | * | Dowa | JAPAN |
| Tin | * | EM Vinto | BOLIVIA (PLURINATIONAL STATE OF) |
| Tin | | Estanho de Rondônia S.A. | BRAZIL |
| Tin | * | Fenix Metals | POLAND |
| Tin | | Gejiu Zili Mining And Metallurgy Co., Ltd. | CHINA |
| Tin | | Huichang Jinshunda Tin Co., Ltd. | CHINA |
| Tin | * | Gejiu Kai Meng Industry and Trade LLC | CHINA |
| Tin | * | China Tin Group Co., Ltd. | CHINA |
| Tin | * | Malaysia Smelting Corporation (MSC) | MALAYSIA |
| Tin | * | Minsur | PERU |
| Tin | * | Mitsubishi Materials Corporation | JAPAN |
| Tin | * | O.M. Manufacturing (Thailand) Co., Ltd. | THAILAND |
| Tin | * | Operaciones Metalurgical S.A. | BOLIVIA (PLURINATIONAL STATE OF) |
| Tin | * | PT Artha Cipta Langgeng | INDONESIA |
| Tin | * | PT Babel Inti Perkasa | INDONESIA |
| Tin | * | PT Bangka Tin Industry | INDONESIA |
| Tin | * | PT Belitung Industri Sejahtera | INDONESIA |
| Tin | * | PT Bukit Timah | INDONESIA |
| Tin | * | PT DS Jaya Abadi | INDONESIA |
| Tin | * | PT Eunindo Usaha Mandiri | INDONESIA |
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| Mineral | Status | Smelter or Refiner Name | Country Location of Smelter or Refiner |
| Tin | * | PT Mitra Stania Prima | INDONESIA |
| Tin | * | PT Panca Mega Persada | INDONESIA |
| Tin | * | PT Prima Timah Utama | INDONESIA |
| Tin | * | PT Refined Bangka Tin | INDONESIA |
| Tin | * | PT Sariwiguna Binasentosa | INDONESIA |
| Tin | * | PT Stanindo Inti Perkasa | INDONESIA |
| Tin | * | PT Sumber Jaya Indah | INDONESIA |
| Tungsten | * | Kennametal Huntsville | UNITED STATES OF AMERICA |
| Tungsten | * | Guangdong Xianglu Tungsten Co., Ltd. | CHINA |
| Tungsten | * | Chongyi Zhangyuan Tungsten Co., Ltd. | CHINA |
| Tungsten | | Dayu Weiliang Tungsten Co., Ltd. | CHINA |
| Tungsten | * | Fujian Jinxin Tungsten Co., Ltd. | CHINA |
| Tungsten | * | Global Tungsten & Powders Corp. | UNITED STATES OF AMERICA |
| 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 | * | Asahi Refining Canada Ltd. | CANADA |
| Gold | * | Asahi Refining USA Inc. | UNITED STATES OF AMERICA |
| Gold | * | Asaka Riken Co., Ltd. | JAPAN |
| 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 | | Caridad | MEXICO |
| Gold | * | CCR Refinery - Glencore Canada Corporation | CANADA |
| Gold | * | Cendres + Métaux S.A. | SWITZERLAND |
| Gold | * | Chimet S.p.A. | ITALY |
| Gold | * | The Refinery of Shandong Gold Mining Co., Ltd. | CHINA |
| 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 | * | Doduco GmbH | GERMANY |
| Gold | * | Dowa | JAPAN |
| Gold | * | Eco-System Recycling Co., Ltd. | JAPAN |
| Gold | * | Elemetal Refining LLC | UNITED STATES OF AMERICA |
| Gold | * | Emirates Gold DMCC | UNITED ARAB EMIRATES |
| Gold | * | OJSC Novosibirsk Refinery | RUSSIAN FEDERATION |
| Gold | | Gansu Seemine Material Hi-Tech Co., Ltd. | CHINA |
| Gold | * | Geib Refining Corporation | UNITED STATES OF AMERICA |
| Gold | | Great Wall Precious Metals Co., Ltd. of CBPM | CHINA |
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| Mineral | Status | Smelter or Refiner Name | Country Location of Smelter or Refiner |
| Gold | | Guangdong Jinding Gold Limited | CHINA |
| Gold | | Guoda Safina High-Tech Environmental Refinery Co., Ltd. | CHINA |
| Gold | | Hangzhou Fuchunjiang Smelting Co., Ltd. | CHINA |
| Gold | * | Heimerle + Meule GmbH | GERMANY |
| Gold | * | Heraeus Metals Hong Kong Ltd. | CHINA |
| Gold | * | Heraeus Precious Metals GmbH & Co. KG | GERMANY |
| Gold | | Hunan Chenzhou Mining Co., Ltd. | CHINA |
| Gold | | HwaSeong CJ Co., Ltd. | KOREA (REPUBLIC OF) |
| Gold | * | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | CHINA |
| Gold | * | Ishifuku Metal Industry Co., Ltd. | JAPAN |
| Gold | * | Istanbul Gold Refinery | TURKEY |
| Gold | * | Japan Mint | JAPAN |
| Gold | * | Jiangxi Copper Co., Ltd. | CHINA |
| Gold | * | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | RUSSIAN FEDERATION |
| Gold | * | JSC Uralelectromed | RUSSIAN FEDERATION |
| Gold | * | JX Nippon Mining & Metals Co., Ltd. | JAPAN |
| Gold | | Kaloti Precious Metals | UNITED ARAB EMIRATES |
| Gold | | Kazakhmys Smelting LLC | KAZAKHSTAN |
| Gold | * | Kazzinc | KAZAKHSTAN |
| Gold | * | Kennecott Utah Copper LLC | UNITED STATES OF AMERICA |
| Gold | * | KGHM Polska MiedŸ Spó³ka Akcyjna | POLAND |
| Gold | * | Kojima Chemicals Co., Ltd. | JAPAN |
| Gold | * | Singway Technology Co., Ltd. | TAIWAN, PROVINCE OF CHINA |
| Gold | | So Accurate Group, Inc. | UNITED STATES OF AMERICA |
| Gold | * | SOE Shyolkovsky Factory of Secondary Precious Metals | RUSSIAN FEDERATION |
| Gold | * | Solar Applied Materials Technology Corp. | TAIWAN, PROVINCE OF CHINA |
| Gold | * | Sumitomo Metal Mining Co., Ltd. | JAPAN |
| Gold | * | T.C.A S.p.A | ITALY |
| Gold | * | Tanaka Kikinzoku Kogyo K.K. | JAPAN |
| Gold | * | Tokuriki Honten Co., Ltd. | JAPAN |
| Gold | | Tongling Nonferrous Metals Group Co., Ltd. | CHINA |
| Gold | * | Tony Goetz NV | BELGIUM |
| Gold | * | Torecom | KOREA (REPUBLIC OF) |
| Gold | * | Umicore Brasil Ltda. | BRAZIL |
| Gold | * | Umicore Precious Metals Thailand | THAILAND |
| Gold | * | Umicore S.A. Business Unit Precious Metals Refining | BELGIUM |
| Gold | * | United Precious Metal Refining, Inc. | UNITED STATES OF AMERICA |
| Gold | * | Valcambi S.A. | SWITZERLAND |
| Gold | * | Western Australian Mint (T/a The Perth Mint) | AUSTRALIA |
| Gold | * | WIELAND Edelmetalle GmbH | GERMANY |
| Gold | * | Yamamoto Precious Metal Co., Ltd. | JAPAN |
| Gold | * | Yokohama Metal Co., Ltd. | JAPAN |
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| Mineral | Status | Smelter or Refiner Name | Country Location of Smelter or Refiner |
| Gold | | Yunnan Copper Industry Co., Ltd. | CHINA |
| Gold | * | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | CHINA |
| Gold | * | Gold Refinery of Zijin Mining 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 | * | FIR Metals & Resource 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 Tantalum and Niobium GmbH | GERMANY |
| Tantalum | * | H.C. Starck Hermsdorf GmbH | GERMANY |
| Tantalum | * | H.C. Starck Inc. | UNITED STATES OF AMERICA |
| 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 | * | Hi-Temp Specialty Metals, Inc. | UNITED STATES OF AMERICA |
| Tantalum | * | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | CHINA |
| Tantalum | * | Jiangxi Tuohong New Raw Material | CHINA |
| Tantalum | * | JiuJiang JinXin Nonferrous Metals Co., Ltd. | CHINA |
| Tantalum | * | Jiujiang Nonferrous Metals Smelting Company Limited | CHINA |
| Tantalum | * | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | CHINA |
| Tantalum | * | KEMET Blue Metals | MEXICO |
| Tantalum | * | KEMET Blue Powder | UNITED STATES OF AMERICA |
| Tantalum | * | King-Tan Tantalum Industry Ltd. | CHINA |
| Tantalum | * | LSM Brasil S.A. | BRAZIL |
| Tantalum | * | Metallurgical Products India Pvt., Ltd. | INDIA |
| Tantalum | * | Mineração Taboca S.A. | BRAZIL |
| Tantalum | * | Mitsui Mining and Smelting Co., Ltd. | JAPAN |
| Tin | * | Metallic Resources, Inc. | UNITED STATES OF AMERICA |
| Tin | * | Metallo-Chimique N.V. | BELGIUM |
| Tin | * | Nankang Nanshan Tin Manufactory Co., Ltd. | CHINA |
| Tin | | Nghe Tinh Non-Ferrous Metals Joint Stock Company | VIET NAM |
| Tin | * | O.M. Manufacturing Philippines, Inc. | PHILIPPINES |
| Tin | * | PT Bangka Prima Tin | INDONESIA |
| Tin | * | PT Cipta Persada Mulia | INDONESIA |
| Tin | * | PT Karimun Mining | INDONESIA |
| Tin | * | PT Kijang Jaya Mandiri | INDONESIA |
| Tungsten | * | Chenzhou Diamond Tungsten Products Co., Ltd. | CHINA |
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| | | |
| Mineral | Status | Smelter or Refiner Name | Country Location of Smelter or Refiner |
| Tin | * | CV Ayi Jaya | INDONESIA |
| Tin | * | CV Dua Sekawan | INDONESIA |
| Tin | * | CV Venus Inti Perkasa | INDONESIA |
| Tin | * | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | VIET NAM |
| Tungsten | * | Ganzhou Huaxing Tungsten Products Co., Ltd. | CHINA |
| Tungsten | * | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | CHINA |
| Tungsten | * | Ganzhou Seadragon W & Mo Co., Ltd. | CHINA |
| Tungsten | | Ganzhou Yatai Tungsten Co., Ltd. | CHINA |
| Tin | * | Gejiu Non-Ferrous Metal Processing Co., Ltd. | CHINA |
| Tin | * | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | CHINA |
| Tungsten | * | H.C. Starck Tungsten GmbH | GERMANY |
| 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 | * | Hunan Chunchang Nonferrous Metals Co., Ltd. | 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 | * | Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd. | CHINA |
| Tungsten | * | Jiangxi Yaosheng Tungsten Co., Ltd. | CHINA |
| Tungsten | * | Kennametal Fallon | UNITED STATES OF AMERICA |
| Gold | * | Kyrgyzaltyn JSC | KYRGYZSTAN |
| Gold | | Lingbao Jinyuan Tonghui Refinery Co., Ltd. | CHINA |
| Gold | | Penglai Penggang Gold Industry Co., Ltd. | CHINA |
| Gold | * | Prioksky Plant of Non-Ferrous Metals | RUSSIAN FEDERATION |
| Gold | * | PT Aneka Tambang (Persero) Tbk | INDONESIA |
| Tin | * | PT Wahana Perkit Jaya | INDONESIA |
| Tantalum | * | QuantumClean | UNITED STATES OF AMERICA |
| Gold | * | Rand Refinery (Pty) Ltd. | SOUTH AFRICA |
| Gold | * | Republic Metals Corporation | UNITED STATES OF AMERICA |
| Tantalum | * | Resind Indústria e Comércio Ltda. | BRAZIL |
| Tin | * | Resind Indústria e Comércio Ltda. | BRAZIL |
| Tantalum | * | RFH Tantalum Smeltry Co., Ltd. | CHINA |
| Gold | * | Royal Canadian Mint | CANADA |
| Gold | | Sabin Metal Corp. | UNITED STATES OF AMERICA |
| Gold | * | Samduck Precious Metals | KOREA (REPUBLIC OF) |
| Gold | | Samwon Metals Corp. | KOREA (REPUBLIC OF) |
| Gold | * | Schone Edelmetaal B.V. | NETHERLANDS |
| Gold | | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | CHINA |
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| | | |
| Mineral | Status | Smelter or Refiner Name | Country Location of Smelter or Refiner |
| Gold | * | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | CHINA |
| Gold | * | Sichuan Tianze Precious Metals Co., Ltd. | CHINA |
| Tin | * | Soft Metais Ltda. | BRAZIL |
| Tantalum | * | Solikamsk Magnesium Works OAO | RUSSIAN FEDERATION |
| Tantalum | * | Taki Chemical Co., Ltd. | JAPAN |
| Tungsten | * | Tejing (Vietnam) Tungsten Co., Ltd. | VIET NAM |
| Tantalum | * | Telex Metals | UNITED STATES OF AMERICA |
| Tantalum | * | Tranzact, Inc. | UNITED STATES OF AMERICA |
| Tin | | Tuyen Quang Non-Ferrous Metals Joint Stock Company | VIET NAM |
| Tungsten | * | Malipo Haiyu Tungsten Co., Ltd. | CHINA |
| Tungsten | * | Xiamen Tungsten (H.C.) Co., Ltd. | CHINA |
| Gold | | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | CHINA |
| Gold | * | Materion | UNITED STATES OF AMERICA |
| Gold | * | Matsuda Sangyo Co., Ltd. | JAPAN |
| Gold | * | Metalor Technologies (Suzhou) Ltd. | CHINA |
| Gold | * | Metalor Technologies (Hong Kong) Ltd. | CHINA |
| Gold | * | Metalor Technologies (Singapore) Pte., Ltd. | SINGAPORE |
| Gold | * | Metalor Technologies S.A. | SWITZERLAND |
| Gold | * | Metalor USA Refining Corporation | UNITED STATES OF AMERICA |
| Gold | * | Metalúrgica Met-Mex Peñoles S.A. De C.V. | MEXICO |
| Gold | * | Mitsubishi Materials Corporation | JAPAN |
| Gold | * | Moscow Special Alloys Processing Plant | RUSSIAN FEDERATION |
| Gold | * | SEMPSA Joyería Platería S.A. | SPAIN |
| Gold | | Morris and Watson | NEW ZEALAND |
| Gold | * | SAXONIA Edelmetalle GmbH | GERMANY |
| Tantalum | * | NPM Silmet AS | ESTONIA |
| Tantalum | * | Ningxia Orient Tantalum Industry Co., Ltd. | CHINA |
| Tantalum | * | Ulba Metallurgical Plant JSC | KAZAKHSTAN |
| Tantalum | * | Zhuzhou Cemented Carbide Group Co., Ltd. | CHINA |
| Tantalum | * | Yichun Jin Yang Rare Metal Co., Ltd. | CHINA |
| Tungsten | * | Vietnam Youngsun Tungsten Industry Co., Ltd. | VIET NAM |
| Tungsten | * | Wolfram Bergbau und Hütten AG | AUSTRIA |
| Tungsten | * | Xiamen Tungsten Co., Ltd. | CHINA |
| Tungsten | * | Xinhai Rendan Shaoguan Tungsten Co., Ltd. | CHINA |
| Tungsten | * | Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC | VIET NAM |
| Gold | * | Advanced Chemical Company | UNITED STATES OF AMERICA |
| Gold | * | Aida Chemical Industries Co., Ltd. | JAPAN |
| Gold | * | Allgemeine Gold-und Silberscheideanstalt A.G. | GERMANY |
| Gold | | L'azurde Company for Jewelry | SAUDI ARABIA |
| Gold | | Lingbao Gold Co., Ltd. | CHINA |
| Gold | * | LS-NIKKO Copper Inc. | KOREA (REPUBLIC OF) |
| Gold | * | Nadir Metal Rafineri San. Ve Tic. A.S. | TURKEY |
| Gold | * | Navoi Mining and Metallurgical Combinat | UZBEKISTAN |
| Gold | * | Nihon Material Co., Ltd. | JAPAN |
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| | | |
| Mineral | Status | Smelter or Refiner Name | Country Location of Smelter or Refiner |
| Gold | * | Ohura Precious Metal Industry Co., Ltd. | JAPAN |
| Gold | * | OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) | RUSSIAN FEDERATION |
| Gold | * | PAMP S.A. | SWITZERLAND |
| Gold | * | PX Précinox S.A. | SWITZERLAND |
| Tantalum | * | XinXing HaoRong Electronic Material Co., Ltd. | CHINA |
| Tin | * | VQB Mineral and Trading Group JSC | VIET NAM |
| Tungsten | * | Asia Tungsten Products Vietnam Ltd. | VIET NAM |
| Tin | * | An Vinh Joint Stock Mineral Processing Company | VIET NAM |
| Tin | * | Elmet S.L.U. | SPAIN |
| Tungsten | * | A.L.M.T. Tungsten Corp. | JAPAN |
| Gold | * | Al Etihad Gold LLC | UNITED ARAB EMIRATES |
| Gold | * | Korea Zinc Co., Ltd. | KOREA (REPUBLIC OF) |
| Gold | * | Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH | AUSTRIA |
| Tin | * | CV Tiga Sekawan | INDONESIA |
| Tin | * | Guanyang Guida Nonferrous Metal Smelting Plant | CHINA |
| Tin | * | HuiChang Hill Tin Industry Co., Ltd. | CHINA |
| Tin | * | PT Sukses Inti Makmur | INDONESIA |
| Gold | * | MMTC-PAMP India Pvt., Ltd. | INDIA |
| Gold | | SAAMP | FRANCE |
| Tin | | An Thai Minerals Co., Ltd. | VIET NAM |
| Tin | * | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | CHINA |
| Tin | * | Gejiu Fengming Metallurgy Chemical Plant | CHINA |
| Tungsten | * | Moliren Ltd. | RUSSIAN FEDERATION |
| Tungsten | * | Niagara Refining LLC | UNITED STATES OF AMERICA |
| Tungsten | * | Philippine Chuangxin Industrial Co., Inc. | PHILIPPINES |
| Tungsten | * | South-East Nonferrous Metal Company Limited of Hengyang City | CHINA |
| Tungsten | | ACL Metais Eireli | BRAZIL |
| Tungsten | | Jiangxi Dayu Longxintai Tungsten Co., Ltd. | CHINA |
| Tungsten | * | Woltech Korea Co., Ltd. | KOREA (REPUBLIC OF) |
| Tungsten | * | Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. | CHINA |
| Tin | * | Gejiu Jinye Mineral Company | CHINA |
| Gold | | Remondis Argentia B.V. | NETHERLANDS |
| Gold | | Degussa Sonne / Mond Goldhandel GmbH | GERMANY |
| Gold | * | HeeSung Metal Ltd. | KOREA (REPUBLIC OF) |
| Tin | | Super Ligas | BRAZIL |
| Gold | * | AU Traders and Refiners | SOUTH AFRICA |
| Gold | * | Bangalore Refinery | INDIA |
| Gold | | GCC Gujrat Gold Centre Pvt. Ltd. | INDIA |
| Gold | | Kyshtym Copper-Electrolytic Plant ZAO | RUSSIAN FEDERATION |
| Gold | * | Modeltech Sdn Bhd | MALAYSIA |
| Gold | | Sai Refinery | INDIA |
| Gold | | Universal Precious Metals Refining Zambia | ZAMBIA |
|
| | | |
| Mineral | Status | Smelter or Refiner Name | Country Location of Smelter or Refiner |
| Gold | | Safina A.S. | CZECH REPUBLIC |
| Gold | | Too Tau-Ken-Altyn | KAZAKHSTAN |
| Tantalum | * | Power Resources Ltd. | MACEDONIA (THE FORMER YUGOSLAV REPUBLIC OF) |
| Tin | * | PT O.M. Indonesia | INDONESIA |
| Tin | * | Modeltech Sdn Bhd | MALAYSIA |
| Tungsten | * | Unecha Refractory Metals Plant | RUSSIAN FEDERATION |
| Gold | * | Abington Reldan Metals, LLC | UNITED STATES OF AMERICA |
| Tungsten | | Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. | CHINA |
* = Conflict-Free or actively participating in CFSI CFSP (as reported by CFSI as of March 15, 2017).
ANNEX II
COUNTRIES OF ORIGIN OF MINERALS PROCESSED BY SUPPLIER-REPORTED SMELTERS AND REFINERS
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| Australia | Madagascar |
| Austria | Malaysia |
| Benin | Mali |
| Bolivia (Plurinational State of) | Mexico |
| Brazil | Mongolia |
| Burkina Faso | Mozambique |
| Burundi | Myanmar |
| Cambodia | Namibia |
| Canada | Nicaragua |
| Chile | Nigeria |
| China | Panama |
| Colombia | Peru |
| Democratic Republic of Congo | Portugal |
| Ecuador | Russia |
| Eritrea | Rwanda |
| Ethiopia | Senegal |
| France | Sierra Leone |
| Ghana | South Africa |
| Guatemala | Spain |
| Guinea | Thailand |
| Guyana | Togo |
| Honduras | Uganda |
| India | United States of America |
| Indonesia | Uzbekistan |
| Japan | Vietnam |
| Laos | Zimbabwe |
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