Exhibit 1.01
EATON CORPORATION plc
CONFLICT MINERALS REPORT
FOR THE YEAR ENDED DECEMBER 31, 2018
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 "Responsible Sourcing of Conflict Minerals" at: http://www.eaton.com/content/eaton/us/en-us/company/policies-and-statements/responsible-sourcing-of-conflict-minerals0.html.html. 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 2018 net sales of $21.6 billion. The Company provides energy-efficient solutions that help its customers effectively manage electrical, hydraulic and mechanical power more efficiently, safely and sustainably. Eaton is dedicated to improving the quality of life and the environment through the use of power management technologies and services.
Eaton has six principal business segments: Electrical Products and Electrical Systems and Services, Hydraulics, Aerospace, Vehicle and eMobility. In 2018, Eaton considers all products to be in-scope and include, but are not limited to:
Electrical Products and Electrical Systems and Services
The Electrical Products segment consists of electrical components, industrial components, residential products, single phase power quality, emergency lighting, fire detection, wiring devices, structural support systems, circuit protection, and lighting products. The Electrical Systems and Services segment consists of power distribution and assemblies, three phase power quality, hazardous duty electrical equipment, intrinsically safe explosion-proof instrumentation, utility power distribution, power reliability equipment, and services.
Hydraulics
The Hydraulics segment is a global leader in hydraulics components, systems and services for industrial and mobile
equipment. Eaton offers a wide range of power products including pumps, motors and hydraulic power units; a broad range of controls and sensing products including valves, cylinders and electronic controls; a full range of fluid conveyance products including industrial and hydraulic hose, fittings, and assemblies, thermoplastic hose and tubing, couplings, connectors, and assembly equipment; filtration systems solutions; industrial drum and disc brakes; and golf grips.
Aerospace
The Aerospace segment is a leading global supplier of aerospace fuel, hydraulics, and pneumatic systems for commercial and military use. Products include hydraulic power generation systems for aerospace applications including pumps, motors, hydraulic power units, hose and fittings, electro-hydraulic pumps; controls and sensing products including valves, cylinders, electronic controls, electromechanical actuators, sensors, aircraft flap and slat systems and nose wheel steering systems; fluid conveyance products, including hose, thermoplastic tubing, fittings, adapters, couplings, sealing and ducting; and fuel systems including fuel pumps, sensors, valves, adapters and regulators.
Vehicle
The Vehicle segment is a leader in the design, manufacture, marketing, and supply of: drivetrain, powertrain systems and critical components that reduce emissions and improve fuel economy, stability, performance, and safety of cars, light trucks and commercial vehicles. Products include 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 for the global vehicle industry.
eMobility
The eMobility segment designs, manufactures, markets, and supplies electrical and electronic components and systems that improve the power management and performance of both on-road and off-road vehicles. Products include high voltage inverters, converters, fuses, onboard chargers, circuit protection units, vehicle controls, power distribution, fuel tank isolation valves, and commercial vehicle hybrid systems.
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 six 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 2018 Form 10-K.
2. REASONABLE COUNTRY OF ORIGIN INQUIRY
For the reporting period from January 1 through December 31, 2018, 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/content/eaton/us/en-us/company/policies-and-statements/responsible-sourcing-of-conflict-minerals0.html.html. 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 Executive Vice President for Supply Chain Management. 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 Responsible Minerals Initiative (RMI) which includes the Conflict Minerals Reporting Template (CMRT). Through our policy and participation in RMI, 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/content/eaton/us/en-us/company/policies-and-statements/responsible-sourcing-of-conflict-minerals0.html.html) 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 RMI’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 2018 we solicited approximately 1,200 suppliers.
We verified the information provided by our suppliers (to the extent possible) by comparing it to the information contained on the RMI 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 RMI.
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 RMI (member Code EATN) and uses data from the RMI 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 RMI, Eaton further supports several complementary programs such as iTSCi, Better Sourcing Program, and Solutions for Hope, with which RMI 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-conformant 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 RMI.
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 RMI, we collaborate at a cross-industry level, and we continue to support the development and implementation of due diligence practices, the RMI Responsible Minerals Assurance Process (RMAP) 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/content/eaton/us/en-us/company/policies-and-statements/responsible-sourcing-of-conflict-minerals0.html.html.
4. RESULTS OF REVIEW
For the reporting period of January 1, 2018 through December 31, 2018, Eaton solicited approximately 1,200 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, 2018, 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 in Annex I. Based on information provided by our suppliers and information available from the RMI, Eaton believes that the countries of origin of Minerals processed by these smelters and refiners includes the countries listed in Annex II. Of the supplier-reported smelters or refiners, 41 were identified by RMI as potentially sourcing Minerals directly or indirectly from the DRC or adjoining countries; however, all 41 of these smelters or refiners are indicated by RMI to be conformant with the RMI Responsible Minerals Assurance Process (formerly the Conflict-Free Smelter Program). 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 RMI. Finally, to the extent any Eaton supplier is found to be using non-conformant smelters or 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 |
| Tungsten | * | A.L.M.T. Corp. | JAPAN |
| Gold | * | Advanced Chemical Company | UNITED STATES OF AMERICA |
| 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 Corrego do Sitio Mineracao | BRAZIL |
| Gold | * | Argor-Heraeus S.A. | SWITZERLAND |
| Gold | * | Asahi Pretec Corp. | JAPAN |
| Gold | * | Asaka Riken Co., Ltd. | JAPAN |
| Tantalum | * | Asaka Riken Co., Ltd. | JAPAN |
| Gold | | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | TURKEY |
| Tungsten | * | Kennametal Huntsville | UNITED STATES OF AMERICA |
| 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 + Metaux S.A. | SWITZERLAND |
| Gold | | Yunnan Copper Industry Co., Ltd. | CHINA |
| Tantalum | * | Changsha South Tantalum Niobium Co., Ltd. | CHINA |
| Tungsten | * | Guangdong Xianglu Tungsten Co., Ltd. | CHINA |
| Tin | * | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | CHINA |
| Gold | * | Chimet S.p.A. | ITALY |
| Tungsten | * | Chongyi Zhangyuan Tungsten Co., Ltd. | CHINA |
| Gold | | Chugai Mining | JAPAN |
| Tantalum | * | Guangdong Rising Rare Metals-EO Materials Ltd. | CHINA |
| Tin | * | Alpha | UNITED STATES OF AMERICA |
| Tin | * | CV Gita Pesona | INDONESIA |
| Tin | * | PT Aries Kencana Sejahtera | INDONESIA |
| Tin | * | PT Premium Tin Indonesia | INDONESIA |
| Tin | * | CV United Smelting | INDONESIA |
| 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 Contacts and Refining GmbH | GERMANY |
| Gold | * | Dowa | JAPAN |
| Tin | * | Dowa | JAPAN |
| Gold | * | Eco-System Recycling Co., Ltd. | JAPAN |
| Tin | * | EM Vinto | BOLIVIA (PLURINATIONAL STATE OF) |
| Tin | | Estanho de Rondonia S.A. | BRAZIL |
| Tantalum | * | Exotech Inc. | UNITED STATES OF AMERICA |
| Tantalum | * | F&X Electro-Materials Ltd. | CHINA |
| Tin | * | Fenix Metals | POLAND |
| Gold | * | OJSC Novosibirsk Refinery | RUSSIAN FEDERATION |
| Tungsten | * | Fujian Jinxin Tungsten Co., Ltd. | CHINA |
| Gold | | Refinery of Seemine Gold Co., Ltd. | CHINA |
| Tin | * | Gejiu Non-Ferrous Metal Processing Co., Ltd. | CHINA |
| Tin | | Gejiu Zili Mining And Metallurgy Co., Ltd. | CHINA |
| Tungsten | * | Global Tungsten & Powders Corp. | UNITED STATES OF AMERICA |
| Tantalum | * | Guangdong Zhiyuan New Material Co., Ltd. | CHINA |
| Gold | | Hangzhou Fuchunjiang Smelting Co., Ltd. | CHINA |
| Gold | * | HeeSung Metal Ltd. | KOREA, REPUBLIC OF |
| Gold | * | Heimerle + Meule GmbH | GERMANY |
| Gold | * | Heraeus Metals Hong Kong Ltd. | CHINA |
|
| | | |
| Mineral | Status | Smelter or Refiner Name | Country Location of Smelter or Refiner |
| Gold | * | Heraeus Precious Metals GmbH & Co. KG | GERMANY |
| Tin | * | Huichang Jinshunda Tin Co., Ltd. | CHINA |
| Tungsten | * | Hunan Chenzhou Mining Co., Ltd. | CHINA |
| Gold | | Hunan Chenzhou Mining Co., Ltd. | CHINA |
| Tungsten | * | Hunan Chunchang Nonferrous Metals Co., Ltd. | CHINA |
| Gold | | Hunan Guiyang yinxing Nonferrous Smelting 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 |
| Tungsten | * | Japan New Metals Co., Ltd. | JAPAN |
| Gold | * | Jiangxi Copper Co., Ltd. | CHINA |
| Tungsten | * | Ganzhou Huaxing Tungsten Products Co., Ltd. | CHINA |
| Tantalum | * | JiuJiang JinXin Nonferrous Metals Co., Ltd. | CHINA |
| Tantalum | * | Jiujiang Tanbre Co., Ltd. | CHINA |
| Gold | * | Asahi Refining USA Inc. | UNITED STATES OF AMERICA |
| Gold | * | Asahi Refining Canada Ltd. | CANADA |
| Gold | * | JSC Uralelectromed | RUSSIAN FEDERATION |
| Gold | * | JX Nippon Mining & Metals Co., Ltd. | JAPAN |
| Tin | * | Gejiu Kai Meng Industry and Trade LLC | CHINA |
| Gold | | Kazakhmys Smelting LLC | KAZAKHSTAN |
| Gold | * | Kazzinc | KAZAKHSTAN |
| Tungsten | * | Kennametal Fallon | UNITED STATES OF AMERICA |
| Gold | * | Kennecott Utah Copper LLC | UNITED STATES OF AMERICA |
| Gold | * | Kojima Chemicals Co., Ltd. | JAPAN |
| Gold | * | Kyrgyzaltyn JSC | KYRGYZSTAN |
| Gold | | L'azurde Company For Jewelry | SAUDI ARABIA |
| Gold | | Lingbao Gold Co., Ltd. | CHINA |
| Gold | | Lingbao Jinyuan Tonghui Refinery Co., Ltd. | CHINA |
| Tin | * | China Tin Group Co., Ltd. | CHINA |
| Tantalum | * | LSM Brasil S.A. | BRAZIL |
| Gold | * | LS-NIKKO Copper Inc. | KOREA, REPUBLIC OF |
| Gold | | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | CHINA |
| Tin | * | Malaysia Smelting Corporation (MSC) | MALAYSIA |
| Gold | * | Materion | UNITED STATES OF AMERICA |
| Gold | * | Matsuda Sangyo Co., Ltd. | JAPAN |
| Tin | * | Metallic Resources, Inc. | UNITED STATES OF AMERICA |
| 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 | * | Metalurgica Met-Mex Penoles S.A. De C.V. | MEXICO |
| Tantalum | * | Metallurgical Products India Pvt., Ltd. | INDIA |
| Tin | * | Mineracao Taboca S.A. | BRAZIL |
| Tantalum | * | Mineracao Taboca S.A. | BRAZIL |
| Tin | * | Minsur | PERU |
| Gold | * | Mitsubishi Materials Corporation | JAPAN |
| Tin | * | Mitsubishi Materials Corporation | JAPAN |
| Tantalum | * | Mitsui Mining and Smelting Co., Ltd. | JAPAN |
| Gold | * | Mitsui Mining and Smelting Co., Ltd. | JAPAN |
| Tantalum | * | NPM Silmet AS | ESTONIA |
| Gold | * | Moscow Special Alloys Processing Plant | RUSSIAN FEDERATION |
| Gold | * | Nadir Metal Rafineri San. Ve Tic. A.S. | TURKEY |
| Tin | * | Jiangxi New Nanshan Technology Ltd. | CHINA |
| Gold | | Navoi Mining and Metallurgical Combinat | UZBEKISTAN |
|
| | | |
| Mineral | Status | Smelter or Refiner Name | Country Location of Smelter or Refiner |
| Gold | * | Nihon Material Co., Ltd. | JAPAN |
| Tantalum | * | Ningxia Orient Tantalum Industry Co., Ltd. | CHINA |
| Tin | * | O.M. Manufacturing (Thailand) Co., Ltd. | THAILAND |
| Gold | * | Ohura Precious Metal Industry Co., Ltd. | JAPAN |
| Gold | * | OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) | RUSSIAN FEDERATION |
| Tin | * | Operaciones Metalurgical S.A. | BOLIVIA (PLURINATIONAL STATE OF) |
| Gold | * | PAMP S.A. | SWITZERLAND |
| 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 Artha Cipta Langgeng | INDONESIA |
| Tin | * | PT Babel Inti Perkasa | INDONESIA |
| Tin | * | PT Babel Surya Alam Lestari | 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 Karimun Mining | INDONESIA |
| 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 |
| Tin | * | PT Timah Tbk Kundur | INDONESIA |
| Tin | * | PT Timah Tbk Mentok | INDONESIA |
| Tin | * | PT Tinindo Inter Nusa | INDONESIA |
| Tin | * | PT Tommy Utama | INDONESIA |
| Gold | * | PX Precinox S.A. | SWITZERLAND |
| Tantalum | * | QuantumClean | UNITED STATES OF AMERICA |
| Gold | * | Rand Refinery (Pty) Ltd. | SOUTH AFRICA |
| Tantalum | * | RFH Tantalum Smeltery Co., Ltd./Yanling Jincheng Tantalum & Niobium Co., Ltd. | CHINA |
| Gold | * | Royal Canadian Mint | CANADA |
| Tin | * | Rui Da Hung | TAIWAN, PROVINCE OF CHINA |
| Gold | | Sabin Metal Corp. | UNITED STATES OF AMERICA |
| Gold | * | Samduck Precious Metals | KOREA, REPUBLIC OF |
| Gold | | Samwon Metals Corp. | KOREA, REPUBLIC OF |
| Gold | * | SEMPSA Joyeria Plateria S.A. | SPAIN |
| Gold | | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | CHINA |
| Gold | * | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | CHINA |
| Gold | * | Sichuan Tianze Precious Metals Co., Ltd. | CHINA |
| Gold | * | SOE Shyolkovsky Factory of Secondary Precious Metals | RUSSIAN FEDERATION |
| Tin | * | Soft Metais Ltda. | BRAZIL |
| Gold | * | Solar Applied Materials Technology Corp. | TAIWAN, PROVINCE OF CHINA |
| Tantalum | * | Solikamsk Magnesium Works OAO | RUSSIAN FEDERATION |
| Gold | * | Sumitomo Metal Mining Co., Ltd. | JAPAN |
| Tantalum | * | Taki Chemical Co., Ltd. | JAPAN |
| Gold | * | Tanaka Kikinzoku Kogyo K.K. | JAPAN |
| Tungsten | * | Tejing (Vietnam) Tungsten Co., Ltd. | VIET NAM |
| Tantalum | * | Telex Metals | UNITED STATES OF AMERICA |
| Tin | * | Thaisarco | THAILAND |
| Tin | * | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | CHINA |
| Gold | | Great Wall Precious Metals Co., Ltd. of CBPM | CHINA |
| Gold | * | The Refinery of Shandong Gold Mining Co., Ltd. | CHINA |
| Gold | * | Tokuriki Honten Co., Ltd. | JAPAN |
|
| | | |
| Mineral | Status | Smelter or Refiner Name | Country Location of Smelter or Refiner |
| Gold | | Tongling Nonferrous Metals Group Co., Ltd. | CHINA |
| Gold | * | Torecom | KOREA, REPUBLIC OF |
| Tantalum | * | Ulba Metallurgical Plant JSC | KAZAKHSTAN |
| Gold | * | Umicore Brasil Ltda. | BRAZIL |
| 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 |
| Tin | * | White Solder Metalurgia e Mineracao Ltda. | BRAZIL |
| Tungsten | * | Wolfram Bergbau und Hutten AG | AUSTRIA |
| Tungsten | * | Xiamen Tungsten Co., Ltd. | CHINA |
| Tungsten | * | Xinhai Rendan Shaoguan Tungsten Co., Ltd. | CHINA |
| Gold | * | Yamakin Co., Ltd. | JAPAN |
| Gold | * | Yokohama Metal Co., Ltd. | JAPAN |
| Tin | * | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | CHINA |
| Tin | * | Yunnan Tin Company Limited | CHINA |
| Gold | * | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | CHINA |
| Gold | * | Gold Refinery of Zijin Mining Group Co., Ltd. | CHINA |
| Gold | | Morris and Watson | NEW ZEALAND |
| Gold | | Guangdong Jinding Gold Limited | CHINA |
| Tungsten | | Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. | CHINA |
| Gold | * | Umicore Precious Metals Thailand | THAILAND |
| Tungsten | * | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | CHINA |
| Tungsten | * | Jiangxi Yaosheng Tungsten Co., Ltd. | CHINA |
| Tungsten | * | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | CHINA |
| Tungsten | * | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | CHINA |
| Tungsten | * | Malipo Haiyu Tungsten Co., Ltd. | CHINA |
| Tungsten | * | Xiamen Tungsten (H.C.) Co., Ltd. | CHINA |
| Tungsten | * | Jiangxi Gan Bei Tungsten Co., Ltd. | CHINA |
| Tin | * | CV Venus Inti Perkasa | INDONESIA |
| Gold | * | Geib Refining Corporation | UNITED STATES OF AMERICA |
| Tin | * | Magnu's Minerais Metais e Ligas Ltda. | BRAZIL |
| Tin | * | PT Tirus Putra Mandiri | INDONESIA |
| Tantalum | * | Hengyang King Xing Lifeng New Materials Co., Ltd. | CHINA |
| Tungsten | * | Ganzhou Seadragon W & Mo Co., Ltd. | CHINA |
| Tin | * | Melt Metais e Ligas S.A. | BRAZIL |
| Tin | * | PT ATD Makmur Mandiri Jaya | INDONESIA |
| Tantalum | * | D Block Metals, LLC | UNITED STATES OF AMERICA |
| Tantalum | * | FIR Metals & Resource Ltd. | CHINA |
| Tantalum | * | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | CHINA |
| Tantalum | * | XinXing HaoRong Electronic Material Co., Ltd. | CHINA |
| Gold | * | MMTC-PAMP India Pvt., Ltd. | INDIA |
| Gold | | KGHM Polska Miedz Spolka Akcyjna | POLAND |
| Tantalum | * | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | CHINA |
| Tungsten | * | Chenzhou Diamond Tungsten Products Co., Ltd. | CHINA |
| Gold | * | Singway Technology Co., Ltd. | TAIWAN, PROVINCE OF CHINA |
| Tin | * | O.M. Manufacturing Philippines, Inc. | PHILIPPINES |
| Tin | * | PT Inti Stania Prima | INDONESIA |
| Tantalum | * | KEMET Blue Metals | MEXICO |
| Tungsten | * | H.C. Starck Tungsten GmbH | GERMANY |
| Tungsten | * | H.C. Starck Smelting GmbH & Co. KG | GERMANY |
| Tungsten | * | Masan Tungsten Chemical LLC (MTC) | VIET NAM |
| 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 |
|
| | | |
| Mineral | Status | Smelter or Refiner Name | Country Location of Smelter or Refiner |
| Tantalum | * | H.C. Starck Smelting GmbH & Co. KG | GERMANY |
| Tungsten | * | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | CHINA |
| Tantalum | * | Global Advanced Metals Boyertown | UNITED STATES OF AMERICA |
| Tantalum | * | Global Advanced Metals Aizu | JAPAN |
| Gold | * | Al Etihad Gold Refinery DMCC | UNITED ARAB EMIRATES |
| Gold | * | Emirates Gold DMCC | UNITED ARAB EMIRATES |
| Gold | | Kaloti Precious Metals | UNITED ARAB EMIRATES |
| Tantalum | * | KEMET Blue Powder | UNITED STATES OF AMERICA |
| Tin | * | CV Ayi Jaya | INDONESIA |
| Tin | | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | VIET NAM |
| Tin | | Nghe Tinh Non-Ferrous Metals Joint Stock Company | VIET NAM |
| Tin | | Tuyen Quang Non-Ferrous Metals Joint Stock Company | VIET NAM |
| Tungsten | * | Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji | CHINA |
| Gold | * | T.C.A S.p.A | ITALY |
| Gold | * | REMONDIS PMR B.V. | NETHERLANDS |
| Gold | | Tony Goetz NV | BELGIUM |
| Tungsten | * | Niagara Refining LLC | UNITED STATES OF AMERICA |
| Tin | * | CV Dua Sekawan | INDONESIA |
| Tin | * | PT Rajehan Ariq | INDONESIA |
| Gold | * | Korea Zinc Co., Ltd. | KOREA, REPUBLIC OF |
| Gold | * | Marsam Metals | BRAZIL |
| Gold | | TOO Tau-Ken-Altyn | KAZAKHSTAN |
| Tungsten | * | Ganzhou Haichuang Tungsten Co., Ltd. | CHINA |
| Tungsten | | Jiangxi Dayu Longxintai Tungsten Co., Ltd. | CHINA |
| Tungsten | * | Hydrometallurg, JSC | RUSSIAN FEDERATION |
| Tin | | An Vinh Joint Stock Mineral Processing Company | VIET NAM |
| Tin | * | Resind Industria e Comercio Ltda. | BRAZIL |
| Tantalum | * | Resind Industria e Comercio Ltda. | BRAZIL |
| Gold | | Abington Reldan Metals, LLC | UNITED STATES OF AMERICA |
| Tungsten | * | Unecha Refractory metals plant | RUSSIAN FEDERATION |
| Tin | | Super Ligas | BRAZIL |
| Gold | * | SAAMP | FRANCE |
| Gold | * | Italpreziosi | ITALY |
| Tin | * | Metallo Belgium N.V. | BELGIUM |
| Tin | * | Metallo Spain S.L.U. | SPAIN |
| Tin | * | PT Bangka Prima Tin | INDONESIA |
| Gold | * | SAXONIA Edelmetalle GmbH | GERMANY |
| Gold | * | WIELAND Edelmetalle GmbH | GERMANY |
| Gold | * | Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH | AUSTRIA |
| Tungsten | * | South-East Nonferrous Metal Company Limited of Hengyang City | CHINA |
| Tin | * | PT Sukses Inti Makmur | INDONESIA |
| Tungsten | * | Philippine Chuangxin Industrial Co., Inc. | PHILIPPINES |
| Tin | * | PT Kijang Jaya Mandiri | INDONESIA |
| Tungsten | * | Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. | CHINA |
| Tungsten | * | ACL Metais Eireli | BRAZIL |
| Tin | * | PT Menara Cipta Mulia | INDONESIA |
| Tantalum | * | Jiangxi Tuohong New Raw Material | CHINA |
| Tungsten | * | Woltech Korea Co., Ltd. | KOREA, REPUBLIC OF |
| Tin | * | HuiChang Hill Tin Industry Co., Ltd. | CHINA |
| Tungsten | * | Moliren Ltd. | RUSSIAN FEDERATION |
| Tantalum | * | Power Resources Ltd. | MACEDONIA, THE FORMER YUGOSLAV REPUBLIC OF |
| Tin | * | Gejiu Fengming Metallurgy Chemical Plant | CHINA |
| Tin | * | Guanyang Guida Nonferrous Metal Smelting Plant | CHINA |
| Gold | * | AU Traders and Refiners | SOUTH AFRICA |
| Gold | | GCC Gujrat Gold Centre Pvt. Ltd. | INDIA |
| Gold | | Sai Refinery | INDIA |
|
| | | |
| Mineral | Status | Smelter or Refiner Name | Country Location of Smelter or Refiner |
| Gold | | Universal Precious Metals Refining Zambia | ZAMBIA |
| Gold | | Modeltech Sdn Bhd | MALAYSIA |
| Tin | * | Modeltech Sdn Bhd | MALAYSIA |
| Gold | | Bangalore Refinery | INDIA |
| Gold | | Kyshtym Copper-Electrolytic Plant ZAO | RUSSIAN FEDERATION |
| Gold | | Morris and Watson Gold Coast | AUSTRALIA |
| Gold | | Degussa Sonne / Mond Goldhandel GmbH | GERMANY |
| Gold | | Pease & Curren | UNITED STATES OF AMERICA |
| Gold | * | SungEel HiMetal Co., Ltd. | KOREA, REPUBLIC OF |
| Gold | * | Planta Recuperadora de Metales SpA | CHILE |
| Gold | * | Safimet S.p.A | ITALY |
| Tin | * | Guangdong Hanhe Non-Ferrous Metal Co., Ltd. | CHINA |
| Gold | | State Research Institute Center for Physical Sciences and Technology | LITHUANIA |
| Tungsten | | Hunan Litian Tungsten Industry Co., Ltd. | CHINA |
| Gold | | African Gold Refinery | UGANDA |
| Gold | | NH Recytech Company | KOREA, REPUBLIC OF |
| Tin | * | Chifeng Dajingzi Tin Industry Co., Ltd. | CHINA |
| Tantalum | * | Jiujiang Janny New Material Co., Ltd. | CHINA |
| Gold | * | DS PRETECH Co., Ltd. | KOREA, REPUBLIC OF |
| Tin | * | PT Bangka Serumpun | INDONESIA |
| Tin | | Pongpipat Company Limited | MYANMAR |
| Gold | | QG Refining, LLC | UNITED STATES OF AMERICA |
| Tin | * | Tin Technology & Refining | UNITED STATES OF AMERICA |
* = Conformant or actively participating in the RMI Responsible Minerals Assurance Process (as reported by RMI as of March 6, 2019).
ANNEX II
COUNTRIES OF ORIGIN OF MINERALS PROCESSED BY
SUPPLIER-REPORTED SMELTERS AND REFINERS
|
| |
| Argentina | Mauritius |
| Armenia | Mexico |
| Australia | Mongolia |
| Austria | Morocco |
| Azerbaijan | Mozambique |
| Benin | Myanmar |
| Bolivia (Plurinational State of) | Namibia |
| Botswana | Nicaragua |
| Brazil | Niger |
| Burkina Faso | Nigeria |
| Burundi | Papua New Guinea |
| Canada | Peru |
| Chile | Philippines |
| China | Portugal |
| Colombia | Puerto Rico |
| Congo, Democratic Republic of the | Russian Federation |
| Cyprus | Rwanda |
| Dominican Republic | Saudi Arabia |
| Ecuador | Senegal |
| Egypt | Sierra Leone |
| Eritrea | Slovakia |
| Ethiopia | Solomon Islands |
| Finland | South Africa |
| Georgia | Spain |
| Ghana | Suriname |
| Guatemala | Swaziland |
| Guinea | Sweden |
| Guyana | Taiwan |
| Honduras | Tanzania |
| India | Thailand |
| Indonesia | Togo |
| Ivory Coast | Turkey |
| Kazakhstan | Uganda |
| Kenya | United Kingdom of Great Britain and Northern Ireland |
| Kyrgyzstan | United States of America |
| Laos | Uruguay |
| Lebanon | Uzbekistan |
| Madagascar | Venezuela |
| Malaysia | Zambia |
| Mali | Zimbabwe |
| Mauritania | |
