Exhibit 1.01
Adient plc
Conflict Minerals Report
For the Calendar Year Ended December 31, 2017
I.Background
The Securities and Exchange Commission (the “SEC”), through Section 13(p) of the Securities Exchange Act of 1934, imposes reporting requirements (the “Rule”) on SEC issuers concerning the use of Conflict Minerals and the metals derived from such minerals, as described below, that originate in the Democratic Republic of the Congo (the “DRC”) or the adjoining countries (collectively, the “Covered Countries”).
The term “Conflict Mineral” is defined to include cassiterite, columbite-tantalite, gold, and wolframite and their derivatives, including tantalum, tin and tungsten ("3TG”) regardless of their source.
This is the Conflict Minerals Report (“Report”) of Adient plc (“Adient”) for calendar year 2017 and covers all activities conducted for the calendar year ended December 31, 2017.
II.Adient Overview
Adient is the world's largest automotive seating supplier with relationships with the largest global auto manufacturers. Adient designs, manufactures and markets a full range of seating systems and components for passenger cars, commercial vehicles and light trucks, including vans, pick-up trucks and sport/crossover utility vehicles. Adient's proprietary technologies extend into virtually every area of automotive seating solutions, including complete seating systems, frames, mechanisms, foam, head restraints, armrests, trim covers and fabrics.
As used in this Report, and except where the context otherwise requires, the terms “we” and “our” refer to Adient and its majority-owned subsidiaries and variable interest entities that are required to be consolidated.
III.Product Overview
As noted above, Adient manufactures a full range of seating systems and components for passenger cars, commercial vehicles and light trucks. These products include complete seating systems, frames, mechanisms, foam, head restraints, armrests, trim covers and fabrics.
IV.Supply Chain Description
Adient is committed to the responsible sourcing of Conflict Minerals and is a member of the Responsible Minerals Initiative (“RMI”) (formerly known as the Conflict-Free Sourcing Initiative). RMI was founded by members of the Responsible Business Alliance (“RBA”) (formerly known as the Electronic Industry Citizenship Coalition) and the Global e-Sustainability Initiative (“GeSI”). Adient encourages its suppliers to conduct conflict-free sourcing from RMI certified smelters.
As a large multinational company, Adient has a complex, multi-tiered supply chain. The products that Adient manufactures are typically highly engineered, complex and contain thousands of parts from a vast network of globally dispersed suppliers.
Adient does not purchase raw ore or unrefined Conflict Minerals, and, to the best of its knowledge, conducts no purchasing activities directly in the Covered Countries. As a downstream consumer with many tiers in its supply chain, Adient generally does not have a direct relationship with smelters and refiners. In most instances, Adient obtains products containing 3TG from unrelated third-party suppliers with their own independent supply chains. Accordingly, Adient must rely on its direct suppliers to provide information on the origin of any Conflict Minerals contained in the components and parts supplied to Adient.
V.Reasonable Country of Origin Inquiry (“RCOI”)
A.Process Summary
Adient’s RCOI for calendar year 2017 was designed to determine whether the Conflict Minerals necessary to the functionality or production of a product manufactured (or contracted to be manufactured) by Adient originated in the Covered Countries, or are
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Exhibit 1.01
from recycled or scrap sources. Adient established a system of controls designed to improve transparency into the Conflict Minerals used in its supply chain. Adient also performed a good faith, global scoping exercise to identify suppliers that were considered in-scope and subject to the RCOI (“In-Scope Suppliers”). Through communications with these suppliers, Adient attempted to identify Conflict Minerals smelters and refiners that may be sources for the various components used in Adient's own products.
Due to the complexity of Adient’s supply chain, Adient relied on its first-tier suppliers to provide information on the origin of any Conflict Minerals that might potentially appear in the components and parts they supplied to Adient. In addition, Adient sent the RMI Conflict Minerals Reporting Template (the “CMRT”) to these suppliers to gather information on the chain of custody of the necessary Conflict Minerals potentially included in Adient’s products.
Adient elected to use the CMRT, without alteration, as well as a survey tool to facilitate its RCOI. The questions on the CMRT include, but are not limited to, the use of Conflict Minerals by third-party suppliers; the Conflict Minerals' necessity to product functionality or production; the origin of such Conflict Minerals; and whether smelters producing the Conflict Minerals have been validated as compliant in accordance with the RMI. Adient notified In-Scope Suppliers of the RCOI and Adient’s expectations concerning the same, and provided them with instructions to assist with completing the CMRT.
In addition to the RCOI efforts described above, Adient undertook the following measures to determine the mine or country of origin of any Conflict Minerals used in the parts and components provided by its In-Scope Suppliers:
| Ÿ | As part of its global scoping exercise, Adient considered the following supply base categories as the scope universe for RCOI purposes: manufactured products, products contracted to be manufactured, and spare parts. | |
Ÿ | Adient established scoping guidelines, which categorized a risk level of “High,” “Low” or “None” based on the likelihood of the presence of Conflict Minerals in each commodity and/or component. The scoping exercise was performed as a joint effort between our procurement and engineering groups. Suppliers providing components or commodities with risk rankings of High and Low were considered in-scope for RCOI procedures. | |
Ÿ | Adient required each supplier deemed to be in-scope to provide information regarding the use of Conflict Minerals from their suppliers, who, in turn, were expected to solicit that information from their next tier of suppliers. The Conflict Minerals Supplier Letter that was sent to each In-Scope Supplier can be found on Adient’s website at: http://www.adient.com/suppliers/corporate-responsibility. | |
Ÿ | Adient provided explanations and training to its In-Scope Suppliers regarding the relevant requirements of the Rule and its obligations under the Rule, and reiterated Adient’s expectation that suppliers cooperate to support Adient’s compliance efforts. Refer to the “Supplier Engagement and Training” section of this Report for more information. | |
Ÿ | Adient reviewed for accuracy and completeness the responses it received from the In-Scope Suppliers regarding the country of origin of any Conflict Minerals necessary to functionality or production of products they supplied to Adient. If necessary, Adient flagged certain responses from these In-Scope Suppliers for additional follow up and/or due diligence. | |
| Ÿ | In-Scope Suppliers who sent incomplete or inconsistent responses were asked to review their responses and resubmit their surveys. If In-Scope Suppliers did not respond, Adient implemented the following escalation process: | |
| § | Step 1: Adient sent an escalation letter to certain high-risk In-Scope Suppliers that did not respond. | |
§ | Step 2: If the high-risk In-Scope Suppliers did not respond to the escalation letters, then the Adient commodity managers/buyers contacted them by telephone or in written form to request survey completion. | |
§ | Step 3: If the supplier still did not respond, the relevant Vice President(s) of Procurement sent a written letter to the supplier requesting completion of the survey. | |
B.RCOI Results
At the start of the RCOI process, Adient determined there were 1,049 In-Scope Suppliers for calendar year 2017, a number that represented approximately 53% of its total direct suppliers. Adient then sent communications to all of its In-Scope Suppliers notifying them of the upcoming RCOI and subsequently received receipt confirmations from 94% of them.
Of the In-Scope Suppliers surveyed, the overall response rate was 62%, including 413 responses that were received and accepted. This figure represented 42% of the In-Scope Suppliers who confirmed receipt of the survey. Adient considers a response as received and accepted when a completed CMRT has been returned to Adient and the CMRT has been validated as accurate by its Compliance Specialists. The results of the RCOI survey appear in the table below:
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| RCOI Survey Results | |
| No 3TG | 74% |
| Acknowledged 3TG Sourced from the Covered Countries | 16% |
| Acknowledged 3TG Not Sourced from the Covered Countries | 8% |
| 3TG Origin Uncertain or Unknown | 2% |
Adient believes that the improvement in the response rate from last year and the quality of the information received from its suppliers indicates improvement in its Conflict Minerals supply chain transparency. Notwithstanding these improvements, Adient continues to support its supplier's RCOI efforts during the reporting process to attempt to continue to improve its supply chain transparency.
C.Improvement Measures to Be Taken
During 2017, Adient continued its efforts to improve the quality of supplier CMRTs by offering awareness sessions, trainings and feedback sessions to suppliers, adding those elements to the sessions that were identified by the supplier satisfaction survey Adient conducted in 2016.
Adient plans to continue to improve its processes through additional measures, including, but not limited to, the following:
| Ÿ | Engage with suppliers that have not responded to Adient’s request for Conflict Minerals information with focus on regional variations in response rates and directed buy arrangements; |
| Ÿ | Reconsider supply arrangements and potentially implement remedies for suppliers that refuse to cooperate with Adient’s compliance efforts or do not conduct conflict-free sourcing from the Covered Countries; |
Ÿ | Continue to conduct and evaluate supplier satisfaction surveys related to our RCOI efforts to improve the communication with upstream suppliers and the quality of the supplier reporting; |
Ÿ | Continue refining Adient’s strategy for managing and mitigating Conflict Minerals risk in the supply chain by sharing information about smelters of concern with affected suppliers in order to raise awareness and by requesting that affected suppliers encourage smelters in their supply chains to participate in certification schemes; |
| Ÿ | Include steps in the evaluation process to ensure customs and trade compliance with respect to the country of origin of Conflict Minerals to address issues regarding embargoes and sanctions; |
Ÿ | Maintain and improve focused training initiatives designed to increase awareness within Adient and its supplier base; and |
| Ÿ | Report identified smelting facilities without a smelter ID to the RMI. |
VI.Conflict Minerals Due Diligence
A.Compliance Framework
i.Framework Design and Overview
Adient designed a compliance framework that conforms to the primary principles of the "OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected Areas and High-Risk Areas," an internationally recognized due diligence framework developed by the Organisation for Economic Co-operation and Development (“OECD”), as well as related supplements for each of the Conflict Minerals. Our compliance framework focused on five core objectives: 1) establish strong company management systems; 2) identify and assess risk in the supply chain; 3) design and implement a strategy to respond to identified risks; 4) carry out independent third-party audit of smelters’/refiners’ due diligence practices; and 5) report annually on supply chain due diligence.
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ii.Establish Strong Company Management Systems
Conflict Minerals Policy
Adient is committed to the responsible sourcing of Conflict Minerals and it supports the humanitarian goal of ending violent conflict in the Covered Countries. Our Conflict Minerals Policy Statement expresses that we continue to promote and encourage suppliers to conduct conflict-free sourcing from the Covered Countries, and to use responsible sourcing practices. We expect our suppliers to conduct due diligence on their respective supply chains and to assist us with our compliance efforts. To the extent that a supplier refuses to cooperate with our compliance efforts or does not conduct conflict-free sourcing from the Covered Countries, we may reconsider our supply arrangement and/or implement other remedies available to us. Our Conflict Minerals Policy Statement is publicly available on Adient’s website at:
http://www.adient.com/-/media/adient/shared/suppliers/corporate-responsibility/conflict-minerals/newadientconflictmineralspolicystatement nov-2016.ashx.
Internal Management System
Adient maintains an internal management system, where senior management who possess the necessary expertise, knowledge and experience oversee the RCOI and associated due diligence process. We continue to seek ways to identify and mitigate Conflict Minerals risk in our supply chain process through initiatives that often involve stakeholder engagement or consultation with outside experts.
Adient maintains a Conflict Minerals Executive Steering Committee (“Steering Committee”) comprised of leaders from Procurement, Legal, Engineering, Communications, Information Technology, Internal Audit and Finance. The Steering Committee oversees and supports Adient’s Conflict Minerals compliance program carried out by Adient’s global Project Management Organization (“PMO”). The global PMO includes representatives from each of the applicable departments involved in preparing and publishing this Report. The Steering Committee and PMO each meet on a regular basis to develop and monitor plans to comply with the reporting requirements of the Rule.
This Report was also reviewed by Adient’s Disclosure Committee, which is comprised of Adient’s Chief Executive Officer; Chief Financial Officer; Vice President, Communications & Investor Relations; General Counsel; Corporate Treasurer; Corporate Controller; Assistant Corporate Controller; Vice President, Tax; Vice President, Internal Audit; Vice President, Investor Relations; and Director - Corporate Governance & Securities.
System of Controls and Transparency
Due to the complexity of Adient’s supply chain, Adient relies on its first-tier In-Scope Suppliers to provide information on the origin of Conflict Minerals potentially present in materials supplied to Adient. Adient’s RCOI and due diligence processes are designed to gather information on the chain of custody of the necessary Conflict Minerals potentially included in Adient’s products.
Supplier Engagement and Training
Adient provides a Conflict Minerals presentation as part of the initial communication package to the In-Scope Suppliers that summarizes the relevant requirements of the Rule and our obligations under the Rule, and that reiterates Adient’s expectation that our suppliers cooperate to support our Conflict Minerals compliance efforts. The presentation is posted on our website at: http://www.adient.com/suppliers/corporate-responsibility. Suppliers are encouraged to ask their Adient representative questions to enhance the supplier's understanding of the Rule and our expectations.
Adient also provides the In-Scope Suppliers with instructions for responding to the survey, and our Compliance Specialists have scripts to help explain our requests and the reason behind the requests. Communications sent to suppliers also contain reference links to the Rule and additional guidance from the SEC, Automotive Industry Action Group (“AIAG”), RMI, and OECD. To help suppliers identify and address smelters of concern, Adient provides links to smelter information and other resources published by Non-Governmental Organizations ("NGO") such as Global Witness or Amnesty International.
Adient publicly shares its position on the responsible sourcing of Conflict Minerals through its Conflict Minerals Policy Statement. In addition, as Adient renews or enters into new agreements with suppliers, Adient includes a Conflict Minerals compliance
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provision when appropriate. This provision requires suppliers to conduct and document inquiries into smelters and refiners of Conflict Minerals included in the products supplied to Adient, including inquiries as to the country of origin. Adient’s Global Supplier Standards Manual reflects these expectations.
Internal Training
Adient has a web-based training module for its Sales, Procurement, and Engineering functions that is designed to increase awareness and education regarding the relevant requirements of the Rule, Adient’s obligations under the Rule, and the processes that Adient uses to evaluate and respond to the related risks in our supply chain.
Records Management
Adient retains relevant Conflict Minerals documentation in accordance with its existing corporate retention policy and procedures.
Grievance Mechanism
Adient maintains a web- and telephone-based, 24-hour Integrity Helpline (information is available at: http://adient.ethicspoint.com/), providing any interested party (including employees, customers, suppliers or other external third-parties) with a confidential reporting mechanism to communicate potential violations of the law, regulations, professional standards and policies (including the Ethics Policy and the Conflict Minerals Policy Statement), as well as concerns regarding Adient’s supply chain. Incoming reports follow Adient’s Investigations Protocol, whereby cases are either investigated by Adient’s Legal Department or transferred to the responsible group inside Adient. The Legal Department monitors the investigation and resolution of cases reported through the helpline or escalated through other channels.
iii.Identify and Assess Risk in the Supply Chain
Adient’s RCOI was designed to determine whether the Conflict Minerals necessary to the functionality or production of a product manufactured (or contracted to be manufactured) by Adient originated in the Covered Countries, or were from recycled or scrap sources. Through communications with these In-Scope Suppliers, Adient sought to identify smelters and refiners of Conflict Minerals that may be used in the components and parts it sources from In-Scope Suppliers.
Adient followed up, and continues to follow up, with In-Scope Suppliers who indicated that they might be sourcing Conflict Minerals from the Covered Countries or non-certified smelters in order to exercise due diligence on the source and chain of custody of the Conflict Minerals. To that end, Adient asked the relevant In-Scope Suppliers whether they:
| Ÿ | provided information on all smelters and the country of origin of the Conflict Minerals; |
| Ÿ | performed due diligence procedures for non-certified smelters; and |
| Ÿ | were able to determine if the Conflict Minerals financed or benefited armed groups in the Covered Countries. |
iv.Design and Implement a Strategy to Respond to Identified Risks
Adient has established due diligence guidelines to be followed if the CMRT it receives from In-Scope Suppliers contained information indicating that a supplier may have sourced Conflict Minerals from the Covered Countries.
Whenever an In-Scope Supplier provided a response indicating that it might be sourcing Conflict Minerals from the Covered Countries, Adient initiated due diligence procedures to collect more detailed information from that supplier. This included engaging with such In-Scope Suppliers and validating information with other reliable sources. In-Scope Suppliers reporting RMI certified smelters from the Covered Countries were generally exempt from further due diligence as long as there were no incident reports available from NGOs or other reliable sources regarding the listed smelter(s) or refiner(s).
Under these procedures, survey findings were discussed with Adient’s Procurement Leadership Team. Adient then compiled a list of In-Scope Suppliers suspected of using Conflict Minerals from a Covered Country and compares them to the RMI smelter listing to verify the accuracy of the responses as well as the source of the Conflict Minerals. This information is then shared with Adient's procurement team and/or the applicable Adient representatives.
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In addition to developing the procedures described above, Adient engaged and actively cooperated with industry groups, including RMI and AIAG. Adient also invested in systems and processes to manage risk identified in its supply chain.
v.Carry Out Independent Third-Party Audit of Smelters’/Refiners’ Due Diligence Practices
Adient supports independent third-party audits by being a member of the RMI. We rely on the RMI’s Conflict-Free Smelter Program as part of our due diligence process to identify smelters and refiners that have systems in place to assure sourcing of only conflict-free materials. As noted above, however, Adient does not purchase raw ore or unrefined Conflict Minerals, and, to the best of its knowledge, conducts no purchasing activities directly in the Covered Countries. In most instances, Adient obtains products containing 3TG from unrelated third-party suppliers with their own independent supply chains. This means that Adient must rely on these third-party suppliers to provide information on the origin of any Conflict Minerals contained in the components and parts they supply. Adient then evaluates the reports received from In-Scope Supplier by using the smelter database from RMI and reports any unknown smelter or smelters that have not been certified to RMI for further investigation and/or inclusion in the smelter certification scheme.
vi.Report Annually on Supply Chain Due Diligence
This Report (and the related Form SD) was filed with the SEC and is available on our website at:
http://www.adient.com/suppliers/corporate-responsibility.
B.Due Diligence Results
i.Facilities Used to Process Necessary 3TG Originating from Covered Countries
The RCOI, the use of the CMRT, and Adient’s other due diligence efforts described above were designed to provide Adient with information regarding the smelters and refiners that In-Scope Suppliers used to process Conflict Minerals in the products they supplied to Adient. As previously discussed, Adient is a downstream consumer of 3TG and generally does not have a direct relationship with smelters and refiners; as a result, it must rely on responses from its suppliers in order to determine the facilities used to process Conflict Minerals. Similar to Adient, our suppliers generally do not have a direct relationship with the facilities used to process Conflict Minerals. Against this backdrop, some of the In-Scope Suppliers responded that they were unable to provide smelter and refinery information at this time. Accordingly, Adient does not know all the facilities used to process, or the country of origin of, all the Conflict Minerals included in its products during this reporting period.
The responses Adient received and accepted as part of the RCOI indicate that 16% of the suppliers acknowledged that they sourced 3TG from the Covered Countries and 8% did not source from the Covered Countries. Each of the In-Scope Suppliers sourcing from the Covered Countries indicated that they only sourced from smelters that the RMI identifies as DRC conflict free. Although none of the responses acknowledged that 3TG was sourced from smelters or mines that financed or benefited armed groups, Adient's further review of additional information from NGOs and other sources found evidence suggesting possible concerns with four of the smelters identified by its In-Scope Suppliers. Adient subsequently contacted each of the relevant In-Scope Suppliers to encourage them to review their respective supply chain and to work with their own suppliers to eliminate problematic smelters from their supply chain. Failure to resolve these issues with potentially problematic smelters and refiners may lead Adient to take further measures in accordance with its existing Conflict Minerals Policy Statement and related procurement processes and policies, including reconsidering supply arrangements and potentially implementing remedies for suppliers that refuse to cooperate with Adient’s compliance efforts.
ii.Smelter Lists (Appendix A)
As explained above, Adient compared the smelter lists provided by its In-Scope Suppliers with the RMI list of compliant smelters to verify that these entities were DRC conflict free. The information provided by our suppliers was used to conduct this due diligence, as well as assess reports from In-Scope Suppliers for completeness and consistency.
Appendix A includes a list of the smelters identified by our suppliers as part of our RCOI and due diligence efforts. A total of 354 smelters were identified by our In-Scope Suppliers. Of that number, 262, or approximately 74%, are RMI certified. Another 73 smelters have not been certified by the RMI and 8 of those smelters reported using only recycled or scrap feedstock. Adient's analysis also determined that 19 of the smelters identified by our In-Scope Suppliers reportedly closed.
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C.Risk Mitigation Measures
Adient’s current processes and procedures for mitigating Conflict Minerals supply chain risk include the following:
| Ÿ | Continuing its membership in the RMI, which allows Adient to verify the accuracy of the responses received from its In-Scope Suppliers against the RMI smelter list; |
Ÿ | Institutionalizing scoping guidelines, RCOI and due diligence guidelines, as well as the escalation process and the regional work instruction describing the process of supplier data collection and evaluation; and |
| Ÿ | Continuing to refine Adient’s global terms and conditions for suppliers and its Global Supplier Standards Manual to require suppliers to disclose, in writing, the content and the origin of the Conflict Minerals in the materials and/or products they provide to Adient. |
Adient is aware of concerns that have been raised regarding the Rule’s possible unintended negative consequences for local communities. With these concerns in mind, Adient is committed to complying with the OECD Guidance and the Rule in a manner that is consistent with our Conflict Minerals Policy Statement and intended to mitigate such concerns. Adient continues to work with its In-Scope Suppliers to improve the response rate and completeness of its surveys, with the goal of mitigating the risk that Conflict Minerals in its supply chain benefited armed groups in the Covered Countries. In addition, Adient will:
| Ÿ | Continue to direct suppliers to Adient’s Conflict Minerals Policy Statement, which emphasizes the responsible sourcing of Conflict Minerals; |
Ÿ | Strive to improve supplier communication to identify potential risks at an early stage by conducting regular supplier satisfaction surveys and sending out detailed feedback related to information received from suppliers; |
| Ÿ | Continue to follow up with suppliers that source Conflict Minerals from, or were identified as potentially sourcing from, the Covered Countries; |
| Ÿ | Strive to improve the effectiveness of the escalation process to enhance supplier communications and the quality of responses, including through the use of root cause analysis related to supplier response rates; |
| Ÿ | Seek to enhance our RCOI and due diligence measures, as well as the review process for existing and new suppliers included in the scoping guidelines; |
| Ÿ | Continue to work with relevant trade associations to define and improve best practices and build leverage over the supply chain in accordance with the OECD guidance; and |
| Ÿ | Work with the RMI smelter engagement team to support their engagement and certification efforts. |
VII.Determination
For calendar year 2017, Adient was unable to determine the mine or country of origin of its necessary Conflict Minerals or the facilities used to process Conflict Minerals in its supply chain with the greatest possible specificity. This is due to a lack of survey responses from its In-Scope Suppliers, inconclusive survey responses from them or both. As such, Adient is also unable to determine whether the products it manufactured, or contracted to be manufactured, in the 2017 calendar year, which include those listed in “III. Product Overview” above, were free of necessary Conflict Minerals that directly or indirectly financed or benefited armed groups in the Covered Countries. See Appendix A for a list of smelters for each of the Conflict Minerals identified as part of Adient’s efforts and country of origin information.
Cautionary Statement Regarding Forward-Looking Statements:
Adient has made statements in this Report that are forward-looking and, therefore, are subject to risks and uncertainties. All statements in this Report other than statements of historical fact are statements that are, or could be, deemed “forward looking statements” within the meaning of the Private Securities Litigation Reform Act of 1995. In this document, statements regarding Adient’s future plans, objectives, outlook, targets, guidance or goals are forward-looking statements. Words such as “may,” “will,” “expect,” “intend,” “estimate,” “anticipate,” “believe,” “should,” “forecast,” “project” or “plan” or terms of similar meaning are also generally intended to identify forward-looking statements. Adient cautions that these statements are subject to numerous important risks, uncertainties, assumptions and other factors, some of which are beyond Adient's control, that could cause Adient’s
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actual results to differ materially from those expressed or implied by such forward-looking statements. These risks and uncertainties are difficult to predict accurately and may include (but are not limited to) regulatory changes and other developments relating to Conflict Minerals disclosures, changes in or developments related to Adient’s products or Adient’s supply chain, and industry developments relating to supply chain diligence, disclosure and other practices. A detailed discussion of risks related to Adient’s business is included in the section entitled “Risk Factors” in Adient's Annual Report on Form 10-K for the fiscal year ended September 30, 2017, filed with the SEC on November 22, 2017, and quarterly reports on Form 10-Q filed with the SEC, available at www.sec.gov. The forward-looking statements included in this Report are made only as of the date of this Report and, except as required by law, Adient assumes no obligation, and disclaims any obligation, to update such statements.
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Appendix A - Smelters by mineral
The attached smelter information refers to data available in the RMI smelter database in March 2017. Any changes to the RMI smelter database that took place after March 2017 are not covered.
Country of Origin Legend:
| L1 | Benin, Bolivia (Plurinational State of), Burkina Faso, Canada, Chile, Colombia, Ecuador, Eritrea, Ghana, Guatemala, Guinea, Guyana, Honduras, Mali, Nicaragua, Panama, Peru, Russian Federation, Senegal, Togo, United States of America, Australia, Brazil, China, Ethiopia, France, India, Madagascar, Malaysia, Namibia, Nigeria, Sierra Leone, Thailand, Zimbabwe, Argentina, Germany, Indonesia, Laos, Mongolia, Myanmar, Portugal, United Kingdom of Great Britain and Northern Ireland, Viet Nam, Austria, Cambodia, Japan, Mexico, Spain, Uzbekistan |
| L2 | Mozambique, South Africa |
| L3 | Burundi, Rwanda, Uganda |
| DRC | Democratic Republic of the Congo |
| R/S | Recycled or Scrap |
Abbreviations:
RMI Responsible Minerals Initiative
RJC Responsible Jewellery Council
LBMA London Bullion Market - Association
| List of Gold Smelters | ||||
| Smelter Name | Smelter Country | Smelter ID | Status | Country of Origin of Minerals |
| Advanced Chemical Company | UNITED STATES OF AMERICA | CID000015 | RMI certified smelter | R/S |
| Aida Chemical Industries Co., Ltd. | JAPAN | CID000019 | RMI certified smelter | L1, R/S |
| Al Etihad Gold LLC | UNITED ARAB EMIRATES | CID002560 | RMI certified smelter | L1, L2, R/S |
| Allgemeine Gold-und Silberscheideanstalt A.G. | GERMANY | CID000035 | RMI certified smelter | Not disclosed per RJC |
| Almalyk Mining and Metallurgical Complex (AMMC) | UZBEKISTAN | CID000041 | RMI certified smelter | Not disclosed per LBMA |
| AngloGold Ashanti Corrego do Sitio Mineracao | BRAZIL | CID000058 | RMI certified smelter | Not disclosed per LBMA |
| Argor-Heraeus S.A. | SWITZERLAND | CID000077 | RMI certified smelter | Not disclosed per LBMA |
| Asahi Pretec Corp. | JAPAN | CID000082 | RMI certified smelter | R/S |
| Asahi Refining Canada Ltd. | CANADA | CID000924 | RMI certified smelter | Not disclosed per LBMA |
| Asahi Refining USA Inc. | UNITED STATES OF AMERICA | CID000920 | RMI certified smelter | Not disclosed per LBMA |
| Asaka Riken Co., Ltd. | JAPAN | CID000090 | RMI certified smelter | R/S |
| AU Traders and Refiners | SOUTH AFRICA | CID002850 | RMI certified smelter | Not disclosed per RJC |
| Aurubis AG | GERMANY | CID000113 | RMI certified smelter | Not disclosed per LBMA |
Appendix A
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| Bangalore Refinery | INDIA | CID002863 | RMI certified smelter | Not disclosed per RMI |
| Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | PHILIPPINES | CID000128 | RMI certified smelter | Not disclosed per LBMA |
| Boliden AB | SWEDEN | CID000157 | RMI certified smelter | Not disclosed per LBMA |
| C. Hafner GmbH + Co. KG | GERMANY | CID000176 | RMI certified smelter | Not disclosed per RJC |
| CCR Refinery - Glencore Canada Corporation | CANADA | CID000185 | RMI certified smelter | Not disclosed per LBMA |
| Cendres + Metaux S.A. | SWITZERLAND | CID000189 | RMI certified smelter | Not disclosed per RMI |
| Chimet S.p.A. | ITALY | CID000233 | RMI certified smelter | Not disclosed per LBMA |
| Daejin Indus Co., Ltd. | REPUBLIC OF KOREA | CID000328 | RMI certified smelter | R/S |
| DODUCO Contacts and Refining GmbH | GERMANY | CID000362 | RMI certified smelter | L1, R/S |
| Dowa | JAPAN | CID000401 | RMI certified smelter | L1, R/S |
| DSC (Do Sung Corporation) | REPUBLIC OF KOREA | CID000359 | RMI certified smelter | R/S |
| Eco-System Recycling Co., Ltd. | JAPAN | CID000425 | RMI certified smelter | R/S |
| Emirates Gold DMCC | UNITED ARAB EMIRATES | CID002561 | RMI certified smelter | Not disclosed per LBMA |
| Geib Refining Corporation | UNITED STATES OF AMERICA | CID002459 | RMI certified smelter | R/S |
| Gold Refinery of Zijin Mining Group Co., Ltd. | CHINA | CID002243 | RMI certified smelter | Not disclosed per LBMA |
| HeeSung Metal Ltd. | REPUBLIC OF KOREA | CID000689 | RMI certified smelter | L1, R/S |
| Heimerle + Meule GmbH | GERMANY | CID000694 | RMI certified smelter | Not disclosed per LBMA |
| Heraeus Metals Hong Kong Ltd. | CHINA | CID000707 | RMI certified smelter | Not disclosed per LBMA |
| Heraeus Precious Metals GmbH & Co. KG | GERMANY | CID000711 | RMI certified smelter | Not disclosed per LBMA |
| Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | CHINA | CID000801 | RMI certified smelter | Not disclosed per LBMA |
| Ishifuku Metal Industry Co., Ltd. | JAPAN | CID000807 | RMI certified smelter | Not disclosed per LBMA |
| Istanbul Gold Refinery | TURKEY | CID000814 | RMI certified smelter | Not disclosed per LBMA |
| Italpreziosi | ITALY | CID002765 | RMI certified smelter | Not disclosed per RJC |
| Japan Mint | JAPAN | CID000823 | RMI certified smelter | Not disclosed per LBMA |
| Jiangxi Copper Co., Ltd. | CHINA | CID000855 | RMI certified smelter | Not disclosed per LBMA |
| JSC Ekaterinburg Non-Ferrous Metal Processing Plant | RUSSIAN FEDERATION | CID000927 | RMI certified smelter | Not disclosed per LBMA |
Appendix A
Page 2
Exhibit 1.01
| JSC Uralelectromed | RUSSIAN FEDERATION | CID000929 | RMI certified smelter | Not disclosed per LBMA |
| JX Nippon Mining & Metals Co., Ltd. | JAPAN | CID000937 | RMI certified smelter | Not disclosed per LBMA |
| Kazzinc | KAZAKHSTAN | CID000957 | RMI certified smelter | Not disclosed per LBMA |
| Kennecott Utah Copper LLC | UNITED STATES OF AMERICA | CID000969 | RMI certified smelter | Not disclosed per RJC |
| KGHM Polska Miedz Spolka Akcyjna | POLAND | CID002511 | RMI certified smelter | Not disclosed per RMI |
| Kojima Chemicals Co., Ltd. | JAPAN | CID000981 | RMI certified smelter | L1, R/S |
| Korea Zinc Co., Ltd. | REPUBLIC OF KOREA | CID002605 | RMI certified smelter | L1 |
| Kyrgyzaltyn JSC | KYRGYZSTAN | CID001029 | RMI certified smelter | Not disclosed per LBMA |
| L'Orfebre S.A. | ANDORRA | CID002762 | RMI certified smelter | Not disclosed per RMI |
| LS-NIKKO Copper Inc. | REPUBLIC OF KOREA | CID001078 | RMI certified smelter | Not disclosed per LBMA |
| Marsam Metals | BRAZIL | CID002606 | RMI certified smelter | L1, R/S |
| Materion | UNITED STATES OF AMERICA | CID001113 | RMI certified smelter | R/S |
| Matsuda Sangyo Co., Ltd. | JAPAN | CID001119 | RMI certified smelter | Not disclosed per LBMA |
| Metalor Technologies (Hong Kong) Ltd. | CHINA | CID001149 | RMI certified smelter | Not disclosed per RJC |
| Metalor Technologies (Singapore) Pte., Ltd. | SINGAPORE | CID001152 | RMI certified smelter | Not disclosed per RJC |
| Metalor Technologies (Suzhou) Ltd. | CHINA | CID001147 | RMI certified smelter | Not disclosed per RJC |
| Metalor Technologies S.A. | SWITZERLAND | CID001153 | RMI certified smelter | Not disclosed per RJC |
| Metalor USA Refining Corporation | UNITED STATES OF AMERICA | CID001157 | RMI certified smelter | Not disclosed per RJC |
| Metalurgica Met-Mex Penoles S.A. De C.V. | MEXICO | CID001161 | RMI certified smelter | Not disclosed per LBMA |
| Mitsubishi Materials Corporation | JAPAN | CID001188 | RMI certified smelter | Not disclosed per LBMA |
| Mitsui Mining and Smelting Co., Ltd. | JAPAN | CID001193 | RMI certified smelter | Not disclosed per LBMA |
| MMTC-PAMP India Pvt., Ltd. | INDIA | CID002509 | RMI certified smelter | Not disclosed per LBMA |
| Modeltech Sdn Bhd | MALAYSIA | CID002857 | RMI certified smelter | Not disclosed per RMI |
| Moscow Special Alloys Processing Plant | RUSSIAN FEDERATION | CID001204 | RMI certified smelter | Not disclosed per LBMA |
| Nadir Metal Rafineri San. Ve Tic. A.S. | TURKEY | CID001220 | RMI certified smelter | Not disclosed per LBMA |
| Nihon Material Co., Ltd. | JAPAN | CID001259 | RMI certified smelter | Not disclosed per LBMA |
Appendix A
Page 3
Exhibit 1.01
| Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH | AUSTRIA | CID002779 | RMI certified smelter | Not disclosed per RJC |
| Ohura Precious Metal Industry Co., Ltd. | JAPAN | CID001325 | RMI certified smelter | R/S |
| OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) | RUSSIAN FEDERATION | CID001326 | RMI certified smelter | Not disclosed per LBMA |
| OJSC Novosibirsk Refinery | RUSSIAN FEDERATION | CID000493 | RMI certified smelter | Not disclosed per LBMA |
| PAMP S.A. | SWITZERLAND | CID001352 | RMI certified smelter | Not disclosed per LBMA |
| Planta Recuperadora de Metales SpA | CHILE | CID002919 | RMI certified smelter | Not disclosed per RMI |
| Prioksky Plant of Non-Ferrous Metals | RUSSIAN FEDERATION | CID001386 | RMI certified smelter | Not disclosed per LBMA |
| PT Aneka Tambang (Persero) Tbk | INDONESIA | CID001397 | RMI certified smelter | Not disclosed per LBMA |
| PX Precinox S.A. | SWITZERLAND | CID001498 | RMI certified smelter | Not disclosed per LBMA |
| Rand Refinery (Pty) Ltd. | SOUTH AFRICA | CID001512 | RMI certified smelter | Not disclosed per LBMA |
| Remondis Argentia B.V. | NETHERLANDS | CID002582 | RMI certified smelter | Not disclosed per RMI |
| Republic Metals Corporation | UNITED STATES OF AMERICA | CID002510 | RMI certified smelter | Not disclosed per RJC |
| Royal Canadian Mint | CANADA | CID001534 | RMI certified smelter | Not disclosed per LBMA |
| SAAMP | FRANCE | CID002761 | RMI certified smelter | Not disclosed per RJC |
| Safimet S.p.A | ITALY | CID002973 | RMI certified smelter | Not disclosed per RMI |
| SAFINA A.S. | CZECH REPUBLIC | CID002290 | RMI certified smelter | Not disclosed per RMI |
| Samduck Precious Metals | REPUBLIC OF KOREA | CID001555 | RMI certified smelter | R/S |
| SAXONIA Edelmetalle GmbH | GERMANY | CID002777 | RMI certified smelter | L1, R/S |
| Schone Edelmetaal B.V. | NETHERLANDS | CID001573 | RMI certified smelter | Not disclosed per LBMA |
| SEMPSA Joyeria Plateria S.A. | SPAIN | CID001585 | RMI certified smelter | Not disclosed per LBMA |
| Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | CHINA | CID001622 | RMI certified smelter | Not disclosed per LBMA |
| Sichuan Tianze Precious Metals Co., Ltd. | CHINA | CID001736 | RMI certified smelter | Not disclosed per LBMA |
| Singway Technology Co., Ltd. | TAIWAN, PROVINCE OF CHINA | CID002516 | RMI certified smelter | L1, R/S |
| SOE Shyolkovsky Factory of Secondary Precious Metals | RUSSIAN FEDERATION | CID001756 | RMI certified smelter | Not disclosed per LBMA |
| Solar Applied Materials Technology Corp. | TAIWAN, PROVINCE OF CHINA | CID001761 | RMI certified smelter | L1, R/S |
| Sumitomo Metal Mining Co., Ltd. | JAPAN | CID001798 | RMI certified smelter | Not disclosed per LBMA |
Appendix A
Page 4
Exhibit 1.01
| SungEel HiMetal Co., Ltd. | REPUBLIC OF KOREA | CID002918 | RMI certified smelter | R/S |
| T.C.A S.p.A | ITALY | CID002580 | RMI certified smelter | Not disclosed per LBMA |
| Tanaka Kikinzoku Kogyo K.K. | JAPAN | CID001875 | RMI certified smelter | Not disclosed per LBMA |
| The Refinery of Shandong Gold Mining Co., Ltd. | CHINA | CID001916 | RMI certified smelter | Not disclosed per LBMA |
| Tokuriki Honten Co., Ltd. | JAPAN | CID001938 | RMI certified smelter | Not disclosed per LBMA |
| Torecom | REPUBLIC OF KOREA | CID001955 | RMI certified smelter | R/S |
| Umicore Brasil Ltda. | BRAZIL | CID001977 | RMI certified smelter | Not disclosed per LBMA |
| Umicore Precious Metals Thailand | THAILAND | CID002314 | RMI certified smelter | Not disclosed per LBMA |
| Umicore S.A. Business Unit Precious Metals Refining | BELGIUM | CID001980 | RMI certified smelter | Not disclosed per LBMA |
| United Precious Metal Refining, Inc. | UNITED STATES OF AMERICA | CID001993 | RMI certified smelter | L1, R/S |
| Valcambi S.A. | SWITZERLAND | CID002003 | RMI certified smelter | Not disclosed per RJC |
| Western Australian Mint (T/a The Perth Mint) | AUSTRALIA | CID002030 | RMI certified smelter | Not disclosed per LBMA |
| WIELAND Edelmetalle GmbH | GERMANY | CID002778 | RMI certified smelter | L1, R/S |
| Yamakin Co., Ltd. | JAPAN | CID002100 | RMI certified smelter | L1, R/S |
| Yokohama Metal Co., Ltd. | JAPAN | CID002129 | RMI certified smelter | R/S |
| Zhongyuan Gold Smelter of Zhongjin Gold Corporation | CHINA | CID002224 | RMI certified smelter | Not disclosed per LBMA |
| Abington Reldan Metals, LLC | UNITED STATES OF AMERICA | CID002708 | Registered by RMI but not certified | Does not source from Covered Countries |
| Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | TURKEY | CID000103 | Registered by RMI but not certified | RCOI confirmed as per RMI |
| AURA-II | UNITED STATES | CID002851 | Registered by RMI but not certified | R/S |
| Caridad | MEXICO | CID000180 | Registered by RMI but not certified | RCOI confirmed as per RMI |
| Chugai Mining | JAPAN | CID000264 | Registered by RMI but not certified | Investigation on-going |
| Daye Non-Ferrous Metals Mining Ltd. | CHINA | CID000343 | Registered by RMI but not certified | CHINA |
| Degussa Sonne / Mond Goldhandel GmbH | GERMANY | CID002867 | Registered by RMI but not certified | GERMANY |
| Elemetal Refining, LLC | UNITED STATES OF AMERICA | CID001322 | Registered by RMI but not certified | Japan, USA |
| Faggi Enrico S.p.A. | ITALY | CID002355 | Registered by RMI but not certified | - |
| Fidelity Printers and Refiners Ltd. | ZIMBABWE | CID002515 | Registered by RMI but not certified | ZIMBABWE |
Appendix A
Page 5
Exhibit 1.01
| Gansu Seemine Material Hi-Tech Co., Ltd. | CHINA | CID000522 | Registered by RMI but not certified | CHINA |
| GCC Gujrat Gold Centre Pvt. Ltd. | INDIA | CID002852 | Registered by RMI but not certified | INDIA |
| Great Wall Precious Metals Co., Ltd. of CBPM | CHINA | CID001909 | Registered by RMI but not certified | CHINA |
| Guangdong Jinding Gold Limited | CHINA | CID002312 | Registered by RMI but not certified | CHINA |
| Guoda Safina High-Tech Environmental Refinery Co., Ltd. | CHINA | CID000651 | Registered by RMI but not certified | CHINA |
| Hangzhou Fuchunjiang Smelting Co., Ltd. | CHINA | CID000671 | Registered by RMI but not certified | CHINA |
| Hunan Chenzhou Mining Co., Ltd. | CHINA | CID000767 | Registered by RMI but not certified | CHINA |
| HwaSeong CJ CO., LTD. | REPUBLIC OF KOREA | CID000778 | Registered by RMI but not certified | REPUBLIC OF KOREA |
| Hwasung CJ Co., Ltd. | REPUBLIC OF KOREA | CID000778 | Registered by RMI but not certified | REPUBLIC OF KOREA |
| Kaloti Precious Metals | UNITED ARAB EMIRATES | CID002563 | Registered by RMI but not certified | UNITED ARAB EMIRATES |
| Kazakhmys Smelting LLC | KAZAKHSTAN | CID000956 | Registered by RMI but not certified | KAZAKHSTAN |
| Korea Metal Co., Ltd. | REPUBLIC OF KOREA | CID000988 | Registered by RMI but not certified | - |
| Kyshtym Copper-Electrolytic Plant ZAO | RUSSIAN FEDERATION | CID002865 | Registered by RMI but not certified | RUSSIAN FEDERATION |
| L'azurde Company For Jewelry | SAUDI ARABIA | CID001032 | Registered by RMI but not certified | SAUDI ARABIA |
| Lingbao Gold Co., Ltd. | CHINA | CID001056 | Registered by RMI but not certified | CHINA |
| Lingbao Jinyuan Tonghui Refinery Co., Ltd. | CHINA | CID001058 | Registered by RMI but not certified | CHINA |
| Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | CHINA | CID001093 | Registered by RMI but not certified | CHINA |
| Morris and Watson | NEW ZEALAND | CID002282 | Registered by RMI but not certified | NEW ZEALAND |
| Morris and Watson Gold Coast | AUSTRALIA | CID002866 | Registered by RMI but not certified | AUSTRALIA |
| Navoi Mining and Metallurgical Combinat | UZBEKISTAN | CID001236 | Registered by RMI but not certified | UZBEKISTAN |
| Pease & Curren | UNITED STATES OF AMERICA | CID002872 | Registered by RMI but not certified | UNITED STATES OF AMERICA |
| Penglai Penggang Gold Industry Co., Ltd. | CHINA | CID001362 | Registered by RMI but not certified | CHINA |
| Sabin Metal Corp. | UNITED STATES OF AMERICA | CID001546 | Registered by RMI but not certified | UNITED STATES OF AMERICA |
| Sai Refinery | INDIA | CID002853 | Registered by RMI but not certified | INDIA |
| Samwon Metals Corp. | REPUBLIC OF KOREA | CID001562 | Registered by RMI but not certified | REPUBLIC OF KOREA |
| Shandong Tiancheng Biological Gold Industrial Co., Ltd. | CHINA | CID001619 | Registered by RMI but not certified | CHINA |
Appendix A
Page 6
Exhibit 1.01
| So Accurate Group, Inc. | UNITED STATES OF AMERICA | CID001754 | Registered by RMI but not certified | UNITED STATES OF AMERICA |
| State Research Institute Center for Physical Sciences and Technology | LITHUANIA | CID003153 | Registered by RMI but not certified | LITHUANIA |
| Sudan Gold Refinery | SUDAN | CID002567 | Registered by RMI but not certified | SUDAN |
| Tongling Nonferrous Metals Group Co., Ltd. | CHINA | CID001947 | Registered by RMI but not certified | CHINA |
| Tony Goetz NV | BELGIUM | CID002587 | Registered by RMI but not certified | BELGIUM |
| TOO Tau-Ken-Altyn | KAZAKHSTAN | CID002615 | Registered by RMI but not certified | KAZAKHSTAN |
| Universal Precious Metals Refining Zambia | ZAMBIA | CID002854 | Registered by RMI but not certified | ZAMBIA |
| Yunnan Copper Industry Co., Ltd. | CHINA | CID000197 | Registered by RMI but not certified | CHINA |
| Henan Yuguang Gold & Lead Co., Ltd. | CHINA | CID002519 | Registered by RMI but not certified | Investigation on-going |
| K.A.Rasmussen as | NORWAY | - | Unknown smelter | Unknown |
| Shandong Humon Smelting Co., Ltd. | CHINA | CID002525 | Registered by RMI but not certified | Investigation on-going |
| Shandong Yanggu Xiangguang Co. Ltd. | CHINA | CID002614 | Registered by RMI but not certified | - |
| Shenzhen Zhonghenglong Real Industry Co., Ltd. | CHINA | CID002527 | Registered by RMI but not certified | Investigation on-going |
| Super Dragon Technology Co., Ltd. | CHINA | CID001810 | Registered by RMI but not certified | Investigation on-going |
| Zhongkuang Gold Industry Co., Ltd. | CHINA | CID002214 | Registered by RMI but not certified | Investigation on-going |
| List of Tin Smelters | ||||
| Smelter Name | Smelter Country | Smelter ID | Status | Country of Origin of Minerals |
| Alpha | UNITED STATES OF AMERICA | CID000292 | RMI certified smelter | L1, R/S |
| Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | CHINA | CID000228 | RMI certified smelter | L1, R/S |
| China Tin Group Co., Ltd. | CHINA | CID001070 | RMI certified smelter | L1 |
| CV Ayi Jaya | INDONESIA | CID002570 | RMI certified smelter | L1 |
| CV Dua Sekawan | INDONESIA | CID002592 | RMI certified smelter | L1 |
| CV Gita Pesona | INDONESIA | CID000306 | RMI certified smelter | L1 |
| CV Tiga Sekawan | INDONESIA | CID002593 | RMI certified smelter | L1 |
| CV United Smelting | INDONESIA | CID000315 | RMI certified smelter | L1 |
| CV Venus Inti Perkasa | INDONESIA | CID002455 | RMI certified smelter | L1 |
| Dowa | JAPAN | CID000402 | RMI certified smelter | L1 |
Appendix A
Page 7
Exhibit 1.01
| EM Vinto | BOLIVIA (PLURINATIONAL STATE OF) | CID000438 | RMI certified smelter | L1 |
| Fenix Metals | POLAND | CID000468 | RMI certified smelter | L1, R/S |
| Gejiu Fengming Metallurgy Chemical Plant | CHINA | CID002848 | RMI certified smelter | L1 |
| Gejiu Jinye Mineral Company | CHINA | CID002859 | RMI certified smelter | L1 |
| Gejiu Kai Meng Industry and Trade LLC | CHINA | CID000942 | RMI certified smelter | L1, R/S |
| Gejiu Non-Ferrous Metal Processing Co., Ltd. | CHINA | CID000538 | RMI certified smelter | L1 |
| Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | CHINA | CID001908 | RMI certified smelter | L1, R/S |
| Guangdong Hanhe Non-Ferrous Metal Co., Ltd. | CHINA | CID003116 | RMI certified smelter | L1, R/S |
| Guanyang Guida Nonferrous Metal Smelting Plant | CHINA | CID002849 | RMI certified smelter | L1 |
| Huichang Jinshunda Tin Co., Ltd. | CHINA | CID000760 | RMI certified smelter | L1 |
| Jiangxi Ketai Advanced Material Co., Ltd. | CHINA | CID000244 | RMI certified smelter | L1 |
| Nankang Nanshan Tin Manufactory Co., Ltd. | CHINA | CID001231 | RMI certified smelter | Not disclosed per RMI |
| Magnu's Minerais Metais e Ligas Ltda. | BRAZIL | CID002468 | RMI certified smelter | L1, R/S |
| Malaysia Smelting Corporation (MSC) | MALAYSIA | CID001105 | RMI certified smelter | L1, L3, DRC, R/S |
| Melt Metais e Ligas S.A. | BRAZIL | CID002500 | RMI certified smelter | L1 |
| Metallic Resources, Inc. | UNITED STATES OF AMERICA | CID001142 | RMI certified smelter | L1, R/S |
| Metallo Belgium N.V. | BELGIUM | CID002773 | RMI certified smelter | L1, R/S |
| Metallo Spain S.L.U. | SPAIN | CID002774 | RMI certified smelter | L1, R/S |
| Mineracao Taboca S.A. | BRAZIL | CID001173 | RMI certified smelter | L1 |
| Minsur | PERU | CID001182 | RMI certified smelter | L1, R/S |
| Mitsubishi Materials Corporation | JAPAN | CID001191 | RMI certified smelter | R/S |
| Modeltech Sdn Bhd | MALAYSIA | CID002858 | RMI certified smelter | Not disclosed per RMI |
| O.M. Manufacturing (Thailand) Co., Ltd. | THAILAND | CID001314 | RMI certified smelter | R/S |
| O.M. Manufacturing Philippines, Inc. | PHILIPPINES | CID002517 | RMI certified smelter | R/S |
| Operaciones Metalurgical S.A. | BOLIVIA (PLURINATIONAL STATE OF) | CID001337 | RMI certified smelter | L1, R/S |
| PT Aries Kencana Sejahtera | INDONESIA | CID000309 | RMI certified smelter | L1 |
Appendix A
Page 8
Exhibit 1.01
| PT Artha Cipta Langgeng | INDONESIA | CID001399 | RMI certified smelter | L1 |
| PT ATD Makmur Mandiri Jaya | INDONESIA | CID002503 | RMI certified smelter | L1 |
| PT Babel Inti Perkasa | INDONESIA | CID001402 | RMI certified smelter | L1 |
| PT Bangka Prima Tin | INDONESIA | CID002776 | RMI certified smelter | L1 |
| PT Bangka Tin Industry | INDONESIA | CID001419 | RMI certified smelter | L1 |
| PT Belitung Industri Sejahtera | INDONESIA | CID001421 | RMI certified smelter | L1 |
| PT Bukit Timah | INDONESIA | CID001428 | RMI certified smelter | L1 |
| PT DS Jaya Abadi | INDONESIA | CID001434 | RMI certified smelter | L1 |
| PT Eunindo Usaha Mandiri | INDONESIA | CID001438 | RMI certified smelter | L1 |
| PT Inti Stania Prima | INDONESIA | CID002530 | RMI certified smelter | L1 |
| PT Karimun Mining | INDONESIA | CID001448 | RMI certified smelter | L1 |
| PT Kijang Jaya Mandiri | INDONESIA | CID002829 | RMI certified smelter | L1 |
| PT Lautan Harmonis Sejahtera | INDONESIA | CID002870 | RMI certified smelter | L1 |
| PT Menara Cipta Mulia | INDONESIA | CID002835 | RMI certified smelter | L1 |
| PT Mitra Stania Prima | INDONESIA | CID001453 | RMI certified smelter | L1 |
| PT O.M. Indonesia | INDONESIA | CID002757 | RMI certified smelter | L1, R/S |
| PT Panca Mega Persada | INDONESIA | CID001457 | RMI certified smelter | L1 |
| CV Serumpun Sebalai | INDONESIA | CID000313 | RMI certified smelter | L1 |
| PT Prima Timah Utama | INDONESIA | CID001458 | RMI certified smelter | L1 |
| PT Refined Bangka Tin | INDONESIA | CID001460 | RMI certified smelter | L1 |
| PT Sariwiguna Binasentosa | INDONESIA | CID001463 | RMI certified smelter | L1 |
| PT Stanindo Inti Perkasa | INDONESIA | CID001468 | RMI certified smelter | L1 |
| PT Sukses Inti Makmur | INDONESIA | CID002816 | RMI certified smelter | L1 |
| PT Sumber Jaya Indah | INDONESIA | CID001471 | RMI certified smelter | L1 |
| PT Timah (Persero) Tbk Kundur | INDONESIA | CID001477 | RMI certified smelter | L1 |
| PT Timah (Persero) Tbk Mentok | INDONESIA | CID001482 | RMI certified smelter | L1 |
Appendix A
Page 9
Exhibit 1.01
| PT Tinindo Inter Nusa | INDONESIA | CID001490 | RMI certified smelter | L1 |
| PT Tommy Utama | INDONESIA | CID001493 | RMI certified smelter | L1 |
| Resind Industria e Comercio Ltda. | BRAZIL | CID002706 | RMI certified smelter | L1 |
| Rui Da Hung | TAIWAN, PROVINCE OF CHINA | CID001539 | RMI certified smelter | L1, R/S |
| Soft Metais Ltda. | BRAZIL | CID001758 | RMI certified smelter | L1, R/S |
| Thaisarco | THAILAND | CID001898 | RMI certified smelter | L1, L3, DRC, R/S |
| White Solder Metalurgia e Mineracao Ltda. | BRAZIL | CID002036 | RMI certified smelter | L1 |
| Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | CHINA | CID002158 | RMI certified smelter | L1, R/S |
| Yunnan Tin Company Limited | CHINA | CID002180 | RMI certified smelter | L1 |
| An Thai Minerals Co., Ltd. | VIET NAM | CID002825 | Closed smelter | Investigation on-going |
| An Vinh Joint Stock Mineral Processing Company | VIET NAM | CID002703 | Registered by RMI but not certified | Investigation on-going |
| CNMC (Guangxi) PGMA Co., Ltd. | CHINA | CID000278 | Closed smelter | CHINA |
| Cooperativa Metalurgica de Rondonia Ltda. | BRAZIL | CID000295 | Closed smelter | BRAZIL |
| Da Nang Processing Import and Export Joint Stock | VIET NAM | CID003154 | Closed smelter | VIET NAM |
| Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | VIET NAM | CID002572 | Registered by RMI but not certified | VIET NAM |
| Estanho de Rondonia S.A. | BRAZIL | CID000448 | Registered by RMI but not certified | BRAZIL |
| Feinhütte Halsbrücke GmbH | GERMANY | CID000466 | Registered by RMI but not certified | - |
| Gejiu Zili Mining And Metallurgy Co., Ltd. | CHINA | CID000555 | Registered by RMI but not certified | CHINA |
| HuiChang Hill Tin Industry Co., Ltd. | CHINA | CID002844 | Registered by RMI but not certified | CHINA |
| Linwu Xianggui Ore Smelting Co., Ltd. | CHINA | CID001063 | Closed smelter | - |
| Nghe Tinh Non-Ferrous Metals Joint Stock Company | VIET NAM | CID002573 | Registered by RMI but not certified | VIET NAM |
| PT Cipta Persada Mulia | INDONESIA | CID002696 | Closed smelter | INDONESIA |
| PT Justindo | INDONESIA | CID000307 | Closed smelter | INDONESIA |
| PT Pelat Timah Nusantara Tbk | INDONESIA | CID001486 | Closed smelter | Refer to RMI CID Number, RMI site for details |
| PT Tirus Putra Mandiri | INDONESIA | CID002478 | Registered by RMI but not certified | INDONESIA |
| PT Wahana Perkit Jaya | INDONESIA | CID002479 | Closed smelter | Refer to RMI CID Number, RMI site for details |
Appendix A
Page 10
Exhibit 1.01
| Super Ligas | BRAZIL | CID002756 | Registered by RMI but not certified | BRAZIL |
| Tuyen Quang Non-Ferrous Metals Joint Stock Company | VIET NAM | CID002574 | Registered by RMI but not certified | VIET NAM |
| VQB Mineral and Trading Group JSC | VIET NAM | CID002015 | Registered by RMI but not certified | VIET NAM |
| bangka Kudai Tin | INDONESIA | CID001409 | Closed smelter | Bangka Belitung |
| Hayes Metals | NEW ZEALAND | CID002934 | Registered by RMI but not certified | - |
| Hongqiao Metals (Kunshan) Co., Ltd. | CHINA | CID002635 | Registered by RMI but not certified | - |
| Minmetals Ganzhou Tin Co. Ltd. | CHINA | CID001179 | Closed smelter | - |
| Yunnan Gejiu Jinye Minerals | CHINA | - | unknown smelter | - |
| List of Tantalum Smelters | ||||
| Smelter Name | Smelter Country | Smelter ID | Status | Country of Origin of Minerals |
| Asaka Riken Co., Ltd. | JAPAN | CID000092 | RMI certified smelter | R/S |
| Changsha South Tantalum Niobium Co., Ltd. | CHINA | CID000211 | RMI certified smelter | L1, R/S |
| D Block Metals, LLC | UNITED STATES OF AMERICA | CID002504 | RMI certified smelter | L1, R/S |
| Exotech Inc. | UNITED STATES OF AMERICA | CID000456 | RMI certified smelter | L1, R/S |
| F&X Electro-Materials Ltd. | CHINA | CID000460 | RMI certified smelter | L1, L3, DRC, R/S |
| FIR Metals & Resource Ltd. | CHINA | CID002505 | RMI certified smelter | L1, R/S |
| Global Advanced Metals Aizu | JAPAN | CID002558 | RMI certified smelter | L1, R/S |
| Global Advanced Metals Boyertown | UNITED STATES OF AMERICA | CID002557 | RMI certified smelter | L1, L3, DRC, R/S |
| Guangdong Rising Rare Metals-EO Materials Ltd. | CHINA | CID000291 | RMI certified smelter | L1, DRC |
| Guangdong Zhiyuan New Material Co., Ltd. | CHINA | CID000616 | RMI certified smelter | L1, DRC, R/S |
| H.C. Starck Co., Ltd. | THAILAND | CID002544 | RMI certified smelter | L1, L3, DRC, R/S |
| H.C. Starck Hermsdorf GmbH | GERMANY | CID002547 | RMI certified smelter | L1 |
| H.C. Starck Inc. | UNITED STATES OF AMERICA | CID002548 | RMI certified smelter | L1, R/S |
| H.C. Starck Ltd. | JAPAN | CID002549 | RMI certified smelter | L1, R/S |
| H.C. Starck Smelting GmbH & Co. KG | GERMANY | CID002550 | RMI certified smelter | L1, DRC, R/S |
| H.C. Starck Tantalum and Niobium GmbH | GERMANY | CID002545 | RMI certified smelter | L1, L3, DRC, R/S |
| Hengyang King Xing Lifeng New Materials Co., Ltd. | CHINA | CID002492 | RMI certified smelter | L1 |
| Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | CHINA | CID002512 | RMI certified smelter | L1 |
Appendix A
Page 11
Exhibit 1.01
| Jiangxi Tuohong New Raw Material | CHINA | CID002842 | RMI certified smelter | L1 |
| JiuJiang JinXin Nonferrous Metals Co., Ltd. | CHINA | CID000914 | RMI certified smelter | L1, L3, DRC |
| Jiujiang Nonferrous Metals Smelting Company Limited | CHINA | CID000917 | RMI certified smelter | L1, L2, L3, DRC, R/S |
| Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | CHINA | CID002506 | RMI certified smelter | L1 |
| KEMET Blue Metals | MEXICO | CID002539 | RMI certified smelter | L1, L3, DRC, R/S |
| KEMET Blue Powder | UNITED STATES OF AMERICA | CID002568 | RMI certified smelter | L1 |
| King-Tan Tantalum Industry Ltd. | CHINA | CID000973 | RMI certified smelter | L1 |
| LSM Brasil S.A. | BRAZIL | CID001076 | RMI certified smelter | L1, R/S |
| Metallurgical Products India Pvt., Ltd. | INDIA | CID001163 | RMI certified smelter | L1, L2, R/S |
| Mineracao Taboca S.A. | BRAZIL | CID001175 | RMI certified smelter | L1 |
| Mitsui Mining and Smelting Co., Ltd. | JAPAN | CID001192 | RMI certified smelter | L1, L3, R/S |
| Ningxia Orient Tantalum Industry Co., Ltd. | CHINA | CID001277 | RMI certified smelter | L1, L3, DRC, R/S |
| NPM Silmet AS | ESTONIA | CID001200 | RMI certified smelter | L1, R/S |
| Power Resources Ltd. | MACEDONIA, THE FORMER YUGOSLAV REPUBLIC OF | CID002847 | RMI certified smelter | L3 |
| QuantumClean | UNITED STATES OF AMERICA | CID001508 | RMI certified smelter | R/S |
| Resind Industria e Comercio Ltda. | BRAZIL | CID002707 | RMI certified smelter | L1 |
| RFH Tantalum Smeltery Co., Ltd./Yanling Jincheng Tantalum & Niobium Co., Ltd. | CHINA | CID001522 | RMI certified smelter | L1, R/S |
| Solikamsk Magnesium Works OAO | RUSSIAN FEDERATION | CID001769 | RMI certified smelter | L1 |
| Taki Chemical Co., Ltd. | JAPAN | CID001869 | RMI certified smelter | L1, L3, R/S |
| Telex Metals | UNITED STATES OF AMERICA | CID001891 | RMI certified smelter | L1, R/S |
| Ulba Metallurgical Plant JSC | KAZAKHSTAN | CID001969 | RMI certified smelter | L1, L3, DRC, R/S |
| XinXing HaoRong Electronic Material Co., Ltd. | CHINA | CID002508 | RMI certified smelter | L1 |
| Yichun Jin Yang Rare Metal Co., Ltd. | CHINA | CID002307 | RMI certified smelter | L1 |
| Duoluoshan | CHINA | CID000410 | Registered by RMI but not certified | L1, L2, L3, R/S |
| H.C. Starck GmbH Laufenburg | GERMANY | CID002546 | Registered by RMI but not certified | Refer to RMI CID Number, RMI site for details |
Appendix A
Page 12
Exhibit 1.01
| Hi-Temp Specialty Metals, Inc. | UNITED STATES OF AMERICA | CID000731 | Closed smelter | UNITED STATES |
| Plansee SE Liezen | AUSTRIA | CID002540 | Registered by RMI but not certified | Refer to RMI CID Number, RMI site for details |
| Plansee SE Reutte | AUSTRIA | CID002556 | Registered by RMI but not certified | - |
| Tranzact, Inc. | UNITED STATES OF AMERICA | CID002571 | Registered by RMI but not certified | UNITED STATES OF AMERICA |
| Zhuzhou Cemented Carbide Group Co., Ltd. | CHINA | CID002232 | Registered by RMI but not certified | L1, L3, DRC, R/S |
| List of Tungsten Smelters | ||||
| Smelter Name | Smelter Country | Smelter ID | Status | Country of Origin of Minerals |
| A.L.M.T. TUNGSTEN Corp. | JAPAN | CID000004 | RMI certified smelter | L1, R/S |
| ACL Metais Eireli | BRAZIL | CID002833 | RMI certified smelter | L1 |
| Asia Tungsten Products Vietnam Ltd. | VIET NAM | CID002502 | RMI certified smelter | L1, L3, DRC |
| Chenzhou Diamond Tungsten Products Co., Ltd. | CHINA | CID002513 | RMI certified smelter | L1, R/S |
| Chongyi Zhangyuan Tungsten Co., Ltd. | CHINA | CID000258 | RMI certified smelter | L1 |
| Fujian Jinxin Tungsten Co., Ltd. | CHINA | CID000499 | RMI certified smelter | L1 |
| Ganzhou Haichuang Tungsten Co., Ltd. | CHINA | CID002645 | RMI certified smelter | Not disclosed per RMI |
| Ganzhou Huaxing Tungsten Products Co., Ltd. | CHINA | CID000875 | RMI certified smelter | L1 |
| Ganzhou Jiangwu Ferrotungsten Co., Ltd. | CHINA | CID002315 | RMI certified smelter | L1, R/S |
| Ganzhou Seadragon W & Mo Co., Ltd. | CHINA | CID002494 | RMI certified smelter | L1 |
| Global Tungsten & Powders Corp. | UNITED STATES OF AMERICA | CID000568 | RMI certified smelter | L1, R/S |
| Guangdong Xianglu Tungsten Co., Ltd. | CHINA | CID000218 | RMI certified smelter | L1 |
| H.C. Starck Smelting GmbH & Co. KG | GERMANY | CID002542 | RMI certified smelter | R/S |
| H.C. Starck Tungsten GmbH | GERMANY | CID002541 | RMI certified smelter | L1, R/S |
| Hunan Chenzhou Mining Co., Ltd. | CHINA | CID000766 | RMI certified smelter | L1 |
| Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji | CHINA | CID002579 | RMI certified smelter | L1 |
| Hunan Chunchang Nonferrous Metals Co., Ltd. | CHINA | CID000769 | RMI certified smelter | L1 |
| Hunan Litian Tungsten Industry Co., Ltd. | CHINA | CID003182 | RMI certified smelter | Not disclosed per RMI |
| Hydrometallurg, JSC | RUSSIAN FEDERATION | CID002649 | RMI certified smelter | L1, R/S |
Appendix A
Page 13
Exhibit 1.01
| Japan New Metals Co., Ltd. | JAPAN | CID000825 | RMI certified smelter | L1, R/S |
| Jiangwu H.C. Starck Tungsten Products Co., Ltd. | CHINA | CID002551 | RMI certified smelter | L1 |
| Jiangxi Gan Bei Tungsten Co., Ltd. | CHINA | CID002321 | RMI certified smelter | L1 |
| Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | CHINA | CID002318 | RMI certified smelter | L1 |
| Jiangxi Xinsheng Tungsten Industry Co., Ltd. | CHINA | CID002317 | RMI certified smelter | L1 |
| Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd. | CHINA | CID002535 | RMI certified smelter | L1 |
| Jiangxi Yaosheng Tungsten Co., Ltd. | CHINA | CID002316 | RMI certified smelter | L1 |
| Kennametal Fallon | UNITED STATES OF AMERICA | CID000966 | RMI certified smelter | L1, R/S |
| Kennametal Huntsville | UNITED STATES OF AMERICA | CID000105 | RMI certified smelter | L1, R/S |
| Malipo Haiyu Tungsten Co., Ltd. | CHINA | CID002319 | RMI certified smelter | L1 |
| Moliren Ltd. | RUSSIAN FEDERATION | CID002845 | RMI certified smelter | L1 |
| Niagara Refining LLC | UNITED STATES OF AMERICA | CID002589 | RMI certified smelter | L1, R/S |
| Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC | VIET NAM | CID002543 | RMI certified smelter | L1 |
| Philippine Chuangxin Industrial Co., Inc. | PHILIPPINES | CID002827 | RMI certified smelter | R/S |
| South-East Nonferrous Metal Company Limited of Hengyang City | CHINA | CID002815 | RMI certified smelter | L1 |
| Tejing (Vietnam) Tungsten Co., Ltd. | VIET NAM | CID001889 | RMI certified smelter | L1 |
| Unecha Refractory metals plant | RUSSIAN FEDERATION | CID002724 | RMI certified smelter | L1 , R/S |
| Vietnam Youngsun Tungsten Industry Co., Ltd. | VIET NAM | CID002011 | RMI certified smelter | L1, L3 |
| Wolfram Bergbau und Hutten AG | AUSTRIA | CID002044 | RMI certified smelter | L1, L3, DRC, R/S |
| Woltech Korea Co., Ltd. | REPUBLIC OF KOREA | CID002843 | RMI certified smelter | L1 |
| Xiamen Tungsten (H.C.) Co., Ltd. | CHINA | CID002320 | RMI certified smelter | L1, L3, R/S |
| Xiamen Tungsten Co., Ltd. | CHINA | CID002082 | RMI certified smelter | L1, R/S |
| Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. | CHINA | CID002830 | RMI certified smelter | L1 |
| Xinhai Rendan Shaoguan Tungsten Co., Ltd. | CHINA | CID002095 | RMI certified smelter | L1 |
| Dayu Jincheng Tungsten Industry Co., Ltd. | CHINA | CID002518 | Closed smelter | Refer to RMI CID Number, RMI site for details |
| Dayu Weiliang Tungsten Co., Ltd. | CHINA | CID000345 | Closed smelter | CHINA |
Appendix A
Page 14
Exhibit 1.01
| Ganxian Shirui New Material Co., Ltd. | CHINA | CID002531 | Closed smelter | - |
| Ganzhou Non-ferrous Metals Smelting Co., Ltd. | CHINA | CID000868 | Closed smelter | - |
| Ganzhou Yatai Tungsten Co., Ltd. | CHINA | CID002536 | Registered by RMI but not certified | China |
| Jiangxi Dayu Longxintai Tungsten Co., Ltd. | CHINA | CID002647 | Registered by RMI but not certified | CHINA |
| Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. | CHINA | CID002313 | Registered by RMI but not certified | CHINA |
| Pobedit, JSC | RUSSIAN FEDERATION | CID002532 | Closed smelter | Refer to RMI CID Number, RMI site for details |
| Luoyang Mudu Tungsten & Molybdenum Technology Co., Ltd | CHINA | CID001091 | Registered by RMI but not certified | Investigation on-going |
Appendix A
Page 15