Exhibit 1.01
CONFLICT MINERALS REPORT FOR CALENDAR YEAR 2021
Part I: Introduction
This document constitutes Merck & Co., Inc.’s Conflict Minerals Report (the “Report” or “CMR”) for the year ended December 31, 2021. We have prepared this Report and are issuing it in accordance with the requirements of Rule 13p-1 under the Securities Exchange Act of 1934, as amended, and in connection with Merck & Co., Inc.’s disclosure filed on the specialized disclosure form (“Form SD”). Any references to “Merck,” the “Company,” “we,” “us,” and “our” refer to Merck & Co., Inc. and its consolidated subsidiaries.
The U.S. Securities and Exchange Commission (“SEC”) has issued rules implementing the “Conflict Minerals” disclosure requirements of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “SEC Conflict Minerals Reporting Rule” or the “Rule”). If an SEC registrant manufactures (or contracts to have manufactured) products containing columbite-tantalite (coltan), cassiterite, gold, wolframite or their derivatives, which are limited to tantalum, tin and tungsten (collectively, “3TG” or “Conflict Minerals”), and the 3TG is necessary to such products’ functionality or production, the Rule requires that registrant to undertake a Reasonable Country of Origin Inquiry (“RCOI”).
If, as a result of the RCOI, the Company knows or has reason to believe that any 3TG contained in such products originated in the Democratic Republic of Congo or an adjoining country as defined in the Rule (the “Covered Countries”), and is not from recycled or scrap sources, the registrant must exercise due diligence on the source and chain of custody of such minerals. Specifically, registrants must determine whether: (a) any 3TG that is necessary to the functionality or production of a product manufactured or contracted to be manufactured by the registrant originated in the Covered Countries; and (b) any such 3TG directly or indirectly financed or benefitted armed groups in the Covered Countries.
Overview
Merck is a global health care company that delivers innovative health solutions through its prescription medicines, vaccines, biologic therapies and animal health products. The Company’s operations are principally managed on a products basis and include two operating segments, which are the Pharmaceutical and Animal Health segments.
The Pharmaceutical segment includes human health pharmaceutical and vaccine products. Human health pharmaceutical products consist of therapeutic and preventive agents, generally sold by prescription, for the treatment of human disorders. The Company sells these human health pharmaceutical products primarily to drug wholesalers and retailers, hospitals, government agencies and managed health care providers such as health maintenance organizations, pharmacy benefit managers and other institutions. Human health vaccine products consist of preventive pediatric, adolescent and adult vaccines. The Company sells these human health vaccines primarily to physicians, wholesalers, physician distributors and government entities.
The Animal Health segment discovers, develops, manufactures, and markets a wide range of veterinary pharmaceutical and vaccine products, as well as health management solutions and services, for the prevention, treatment and control of disease in all major livestock and companion animal species. The Company also offers an extensive suite of digitally connected identification, traceability, and monitoring
technologies for livestock, veterinarian, pet owner, wildlife research, aqua, and animal producer customers through its affiliated brands. These products (collectively referred to as Merck Animal Health Intelligence (“MAHI”) products), are designed to improve the quality of life of animals, protect the human food chain, and assist in aquaculture conservation efforts. The Company sells these products to veterinarians, distributors and animal health producers. MAHI’s suite of products is largely digital, meaning that such products inherently involve a greater potential use of 3TG.
On June 2, 2021, Merck completed the spin-off of products from its women’s health, biosimilars and established brands businesses into a new, independent, publicly traded company named Organon & Co. (Organon) through a distribution of Organon’s publicly traded stock to Company shareholders. The established brands included in the transaction consisted of dermatology, non-opioid pain management, respiratory, select cardiovascular products, as well as the rest of Merck’s diversified brands franchise.
Merck has thousands of direct material suppliers and an extensive internal and external network of manufacturing sites around the world. Given the size and complexity of Merck’s supply chain, Merck is several tiers removed from smelters/refiners and has no direct business relationship with them. As a result, Merck must rely on its direct material suppliers to provide information on their upstream supplier sourcing; this includes country of origin determinations for Conflict Minerals that may go into the materials or product provided by those direct material suppliers to Merck. In addition, the amount of reliable information available globally on the traceability and sourcing of Conflict Minerals is limited, which presents another challenge to our ability to precisely track any Conflict Minerals back to their source and origin, thereby making us more reliant on the information provided by our direct material suppliers and industrial initiatives such as the Responsible Materials Initiative (“RMI”).
Our Conflict Minerals Policy
Merck has established a Conflict Minerals Policy governing its position and commitment on managing the use of Conflict Minerals in its supply chain.
Our Conflict Minerals Public Policy Statement can be found on our website:
Public Policy Statement - Conflict Minerals
Our Scoping Assessment
Merck undertook scoping assessment activities to determine which materials and products in our supply chain for this reporting period contain any Conflict Minerals that may be necessary to the functionality or production of our products, including those made by contract manufacturers or that Merck manufactures along with its joint ventures. Consistent with the Company’s last filing, Merck has determined that none of our Pharmaceutical or Animal Health medicines, vaccines or biologic products contains 3TG.
Merck does, however, have reason to believe that 3TG may be necessary to the functionality or production of certain MAHI products, including electronic identification and monitoring tags and collars for livestock and companion animals, home pet products that monitor behaviors, and electronic and radiofrequency identification products and other technology products for fish conservation and aquaculture. Merck also has reason to believe that 3TG may be necessary to the functionality or production of a small number of its product delivery systems and ancillary devices to support the use of certain of our prescription medicines, vaccines and biological products. The products for which Merck believes 3TG may be necessary to the
functionality or production are referred to herein as our “in-scope products.” Merck is taking the actions described in Part II and conducting a RCOI of these in-scope products.
Part II. Reasonable Country of Origin Inquiry
For the 2021 reporting period, Merck retained a third-party vendor, who used the Conflict Minerals Reporting Template (“CMRT”) published by the RMI for the RCOI survey to obtain countries of origin information for any Conflict Mineral smelters/refiners that may exist upstream in our supply chain. Merck, with the assistance of the third-party vendor, performed a Conflict Minerals applicability scoping assessment to determine which of our suppliers sell products to Merck that may contain 3TG in their materials or products, or for which 3TG is necessary to the functionality or production of the materials or products.
With the ongoing integration of the recently acquired MAHI portfolio of products, our scoping assessment confirmed that approximately 635 direct material suppliers (including contract manufacturers) were in scope for the 2021 RCOI survey. Accordingly, via our third-party vendor, we sent the RCOI survey to these suppliers and requested that they identify the smelters/refiners and countries of origin of the Conflict Minerals in products or materials they supply to us.
Each direct material supplier received an introductory email that provided each supplier with information on the SEC Conflict Minerals Reporting Rule and the reasons for contacting them. The suppliers were also provided with information on how to complete the CMRT. Following the initial survey request, reminder emails were sent asking suppliers to complete the RCOI survey.
We received responses from 137 direct material suppliers that were in the RCOI survey. Of these, 110 stated that some 3TG is used in their materials or products or is necessary to the functionality or production of the materials or products purchased by Merck. A number of the direct material suppliers that responded to our survey identified specific smelters or refiners. Based on the RCOI survey responses received and subsequent smelter/refiner information verification, we have reason to believe that some smelters/refiners identified by our direct material suppliers may be sourcing 3TG from the Covered Countries and that the 3TG does not completely come from recycled or scrap sources; however, we cannot be certain that the identified smelters and refiners supplied 3TG for parts and components supplied to Merck rather than to other customers, and we are continuing to conduct due diligence activities, as described further in Part VI below.
Part III. Design of Conflict Minerals Program
We have designed our due diligence process to conform, in all material respects, with the Organization for Economic Co-Operation and Development’s Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (“OECD Guidance”), and related supplements for tin, tantalum, tungsten and gold. Summarized below are the design components of our Conflict Minerals program as they relate to the five-step framework from the OECD Guidance.
OECD Step 1: Establish strong company management systems
Conflict Minerals Policy: We have an established Conflict Minerals Public Policy Statement. It is posted on our Company website.
Conflict Minerals Expectations: We define and communicate our expectations for the responsible sourcing of minerals in our Company’s Business Partner Code of Conduct. All business partners that engage in the manufacture of our products or that supply direct materials are expected to maintain procedures to ensure the responsible sourcing of minerals.
Conflict Minerals Team: We maintain a cross-functional team consisting of Compliance, Legal, and Global Supplier Management that supervises and manages our Conflict Minerals program. We also engage the services of a third party to support the implementation of our program. This team provides program updates to senior management of Global Supplier Management, the Merck Manufacturing Division, and the Animal Health Division.
Conflict Minerals Training: We train internal staff that have responsibility for sourcing direct materials on the processes and procedures that must be followed when sourcing materials, including those that may potentially contain Conflict Minerals.
Conflict Minerals Information: Through our third-party vendor, we provide information and training materials on Conflict Minerals to direct materials suppliers identified as in-scope to receive a supply chain survey to help inform and educate them.
Conflict Minerals Control System: We maintain a Conflict Minerals program that is linked to our supplier sourcing decision-making process. We apply a conflict minerals supply chain system of controls and transparency through the use of the CMRT, to identify the smelters/refiners that process the necessary Conflict Minerals potentially contained in our products.
Conflict Minerals Recordkeeping: We keep business records that relate to our Conflict Minerals program, including the results of RCOI surveys and smelter/refiner due diligence activities, and retain them for at least 5 years.
Conflict Minerals Contract Clause: There is a Conflict Minerals compliance clause for inclusion in our contract templates used with direct material suppliers whose materials or products are known to contain Conflict Minerals and for which Conflict Minerals are necessary to the functionality or production of the products.
Grievance Mechanism: We maintain a mechanism to allow employees, suppliers, business partners and other stakeholders to report concerns, including those that relate to our Conflict Minerals program. Concerns may be reported confidentially and anonymously at msdethics.com.
OECD Step 2: Identify and assess risks in our supply chain
Identify: We identify all direct material suppliers, including contract manufacturers and joint venture partners that supply materials and products to our Company which may potentially contain Conflict Minerals and that are considered in-scope.
Survey: For all direct material suppliers whose materials or products are considered likely to contain Conflict Minerals and for which Conflict Minerals are necessary to the production or functionality of the materials or products, we survey (via our third-party vendor) these suppliers using the CMRT developed by RMI, requesting them to identify smelters/refiners and countries of origin of the Conflict Minerals in the materials and products they provide to us.
Follow-Up: When direct material suppliers fail to provide complete and consistent responses to our RCOI survey request in a timely manner, we (via our third-party vendor) follow up to obtain the requested information. We (via our third-party vendor) sent as many as five follow-up communications to each MAHI supplier that had not responded throughout the duration of the campaign, and we have updated our standard MAHI supplier template agreement to require responses from suppliers with whom we engage.
Compare and Research: Upon receipt of the RCOI survey response, we (via our third-party vendor) compare each supplier’s reported list of smelters/refiners against the list of facilities that have received “conformant” or “confirmed” designation from the Responsible Minerals Assurance Process (“RMAP”) or other independent third-party audit programs to identify their “conflict-free” status. We rely on RMI data to ascertain the countries of origin of the Conflict Minerals processed by these facilities and, additionally, we leverage the research capabilities of a third-party service provider to attempt to identify the countries of origin for supplier identified smelters/refiners that are not disclosed by the RMI.
Document: At the conclusion of the process, we document the smelters/refiners and related countries of origin information for supplier identified smelters/refiners.
OECD Step 3: Execute a strategy to respond to identified risks
Our Conflict Minerals Team meets with relevant business sourcing managers to discuss and agree upon the actions Merck will take to maintain supplier compliance with our Conflict Minerals Policy. Our risk mitigation efforts are specifically related to our Conflict Minerals Policy, with the goal of bringing each surveyed supplier into compliance with our requirements.
OECD Step 4: Carry out independent third-party audits
Merck relies on the independent third-party audits of smelters/refiners that are conducted as part of the RMAP, which evaluates the procurement practices of smelters and refiners that process and provide Conflict Minerals to our supply chain.
OECD Step 5: Report annually on Supply Chain Due Diligence
Merck reports its annual Conflict Minerals due diligence results to the SEC and makes the report available on the Company website at
https://www.merck.com/company-overview/responsibility/transparency-disclosures/.
The information on this website is not incorporated by reference into this CMR and does not constitute a part of this CMR.
Part IV: Due Diligence Performed
Below is a summary description of the due diligence activities Merck performed for this reporting period:
•Continued to engage a third-party service provider to run our Conflict Minerals program, which included:
•Issued requests to all in-scope suppliers to complete/return a CMRT to obtain smelter/refiner and countries of origin information for the materials/products they provided to Merck in 2021.
•Performed verification activities to determine if any of the smelters/refiners disclosed by suppliers are Conflict Minerals processing facilities, using the Standard Smelter List published by RMI.
◦Where a supplier-identified smelter/refiner was confirmed as a Conflict Minerals processing facility, we evaluated whether that smelter/refiner was certified as “conformant” or “active” using the RMAP, or other equivalent validation program.
•Contacted surveyed suppliers on responses to supply chain surveys that we identified as having incomplete or potentially inaccurate information to seek additional clarifying information.
•Monitored and tracked surveyed suppliers to determine their progress in meeting our Company’s Conflict Minerals reporting requirements.
•Contacted suppliers that did not respond to our supply chain survey request and asked them to provide an updated CMRT.
•Participated in an outreach program to smelters and refiner facilities not currently enrolled in the RAMP to encourage their participation.
•Reported on the status of our Conflict Minerals program to senior management in our Global Supplier Management Group, the Merck Manufacturing Division and Animal Health Division.
•Provided Conflict Minerals training to new internal sourcing professionals involved in direct material sourcing activities.
•Updated MAHI’s supply agreement template to include a requirement that suppliers provide information in response to supply chain survey requests in the future.
Part V: Results of Due Diligence
During this reporting period, we confirmed that none of our Pharmaceutical or Animal Health medicines, vaccines or biologic products contains any 3TG; however, Merck does have reason to believe 3TG may be necessary to the functionality or production of certain MAHI products as well as a small number of its product delivery systems and ancillary devices to support the use of certain of our pharmaceutical and animal medicines, vaccines and biological products.
Merck cannot at this time draw any definitive conclusions about the countries of origin for, or the conformant status of, all identified smelters/refiners that may be necessary to its in-scope products’ functionality or production. The majority of the smelters/refiners identified by our suppliers were at company-level of their upstream suppliers and, therefore, potentially not relevant to the materials or products they supply to us.
Although some or all of the information in Appendix I and Appendix II below may not be relevant to any Merck product, Merck has chosen to aggregate the smelter/refiner data for all responding in-scope suppliers that identified smelters/refiners and report it in the Appendices below for the reasons noted above.
Our efforts to determine the countries of origin for supplier identified smelters/refiners is, as described in this report, reliant on the “conformant” smelter/refiner information provided by RMI.
| | | | | | | | | | | |
| Metal | Total Number of Smelters/Refiners Identified By our Direct Material Suppliers | Number of Confirmed Smelters/Refiners | Number of “Conformant” Smelters/Refiners |
| Total | 451 | 339 | 232 |
Notes:
“Confirmed” means smelters/refiners appear on the Standard Smelter List of the RMI’s CMRT.
“Conformant” means smelters/refiners are conformant with the RMAP assessment protocols.
The compliance status reflected in the table is based solely on information published by RMI.
Part VI: Future Due Diligence Measures
Merck is continuing to execute the activities described in Part III “Design of Conflict Minerals Program” and Part IV “Due Diligence Performed” for the next reporting period.
Appendix I: Smelter or Refiner Information
This list includes the facilities which, to the extent known, processed Tin, Tantalum, Tungsten and Gold in Merck’s supply chain. Merck conducts no direct transactions and has no contractual relationships with these smelters and refiner facilities nor their sources of ore.
The information provided in the list is an aggregation of data received from our direct material suppliers and not a confirmation of Conflict Minerals contained in our products. Since many of the identified smelters/refiners were disclosed at the company-level by our direct material suppliers, Merck is unable to confirm which specific smelters/refiners were actually linked to our products. Therefore, the list may contain smelters/refiners that do not relate directly to Merck’s products.
| | | | | | | | | | | | | | |
| Metal | Smelter Name | Facility Location | Smelter ID | Status |
| Gold | Argor-Heraeus S.A. | Switzerland | CID000077 | * |
| Gold | Asahi Pretec Corp. | Japan | CID000082 | * |
| Gold | Dowa | Japan | CID000401 | * |
| Gold | Eco-System Recycling Co., Ltd. East Plant | Japan | CID000425 | * |
| Gold | Heraeus Metals Hong Kong Ltd. | China | CID000707 | * |
| Gold | Ishifuku Metal Industry Co., Ltd. | Japan | CID000807 | * |
| Gold | JX Nippon Mining & Metals Co., Ltd. | Japan | CID000937 | * |
| Gold | Kojima Chemicals Co., Ltd. | Japan | CID000981 | * |
| Gold | Matsuda Sangyo Co., Ltd. | Japan | CID001119 | * |
| Gold | Mitsubishi Materials Corporation | Japan | CID001188 | * |
| Gold | Mitsui Mining and Smelting Co., Ltd. | Japan | CID001193 | * |
| Gold | Nihon Material Co., Ltd. | Japan | CID001259 | * |
| Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | China | CID001622 | * |
| Gold | Solar Applied Materials Technology Corp. | Taiwan | CID001761 | * |
| Gold | Sumitomo Metal Mining Co., Ltd. | Japan | CID001798 | * |
| Gold | Tanaka Kikinzoku Kogyo K.K. | Japan | CID001875 | * |
| Gold | Tokuriki Honten Co., Ltd. | Japan | CID001938 | * |
| Gold | Allgemeine Gold-und Silberscheideanstalt A.G. | Germany | CID000035 | * |
| Gold | Almalyk Mining and Metallurgical Complex | Uzbekistan | CID000041 | * |
| Gold | AngloGold Ashanti Corrego do Sitio Mineracao | Brazil | CID000058 | * |
| Gold | Asaka Riken Co., Ltd. | Japan | CID000090 | * |
| Gold | Aurubis AG | Germany | CID000113 | * |
| Gold | Bangko Sentral ng Pilipinas | Philippines | CID000128 | * |
| Gold | Boliden AB | Sweden | CID000157 | * |
| Gold | C. Hafner GmbH + Co. KG | Germany | CID000176 | * |
| Gold | CCR Refinery - Glencore Canada Corporation | Canada | CID000185 | * |
| Gold | Cendres + Metaux S.A. | Switzerland | CID000189 | * |
| Gold | Chimet S.p.A. | Italy | CID000233 | * |
| Gold | Chugai Mining | Japan | CID000264 | * |
| | | | | | | | | | | | | | |
| Gold | Daye Non-Ferrous Metals Mining Ltd. | China | CID000343 | |
| Gold | DSC (Do Sung Corporation) | Korea | CID000359 | * |
| Gold | DODUCO Contacts and Refining GmbH | Germany | CID000362 | * |
| Gold | OJSC Novosibirsk Refinery | Russian Federation | CID000493 | |
| Gold | JSC Uralelectromed | Russian Federation | CID000929 | |
| Gold | Heimerle + Meule GmbH | Germany | CID000694 | * |
| Gold | Heraeus Precious Metals GmbH & Co. KG | Germany | CID000711 | * |
| Gold | Inner Mongolia Qiankun Gold and Silver Refinery | China | CID000801 | * |
| Gold | Istanbul Gold Refinery | Turkey | CID000814 | * |
| Gold | Japan Mint | Japan | CID000823 | * |
| Gold | Jiangxi Copper Co., Ltd. | China | CID000855 | * |
| Gold | Asahi Refining USA Inc. | U.S.A. | CID000920 | * |
| Gold | Asahi Refining Canada Ltd. | Canada | CID000924 | * |
| Gold | Kyrgyzaltyn JSC | Kyrgyzstan | CID001029 | |
| Gold | Moscow Special Alloys Processing Plant | Russian Federation | CID001204 | |
| Gold | Kazzinc | Kazakhstan | CID000957 | * |
| Gold | Kennecott Utah Copper LLC | U.S.A. | CID000969 | * |
| Gold | OJSC The Gulidov Krasnoyarsk Non-Ferrous | Russian Federation | CID001326 | |
| Gold | LS-NIKKO Copper Inc. | Korea | CID001078 | * |
| Gold | Materion | U.S.A. | CID001113 | * |
| Gold | Metalor Technologies (Suzhou) Ltd. | China | CID001147 | * |
| Gold | Metalor Technologies (Hong Kong) Ltd. | China | CID001149 | * |
| Gold | Metalor Technologies (Singapore) Pte., Ltd. | Singapore | CID001152 | * |
| Gold | Metalor Technologies S.A. | Switzerland | CID001153 | * |
| Gold | Metalor USA Refining Corporation | U.S.A. | CID001157 | * |
| Gold | Metalurgica Met-Mex Penoles S.A. De C.V. | Mexico | CID001161 | * |
| Gold | Prioksky Plant of Non-Ferrous Metals | Russian Federation | CID001386 | |
| Gold | Nadir Metal Rafineri San. Ve Tic. A.S. | Turkey | CID001220 | * |
| Gold | Navoi Mining and Metallurgical Combinat | Uzbekistan | CID001236 | * |
| Gold | Ohura Precious Metal Industry Co., Ltd. | Japan | CID001325 | * |
| Gold | SOE Shyolkovsky Factory of Secondary Metals | Russian Federation | CID001756 | |
| Gold | PAMP S.A. | Switzerland | CID001352 | * |
| Gold | Great Wall Precious Metals Co., Ltd. of CBPM | China | CID001909 | |
| Gold | PT Aneka Tambang (Persero) Tbk | Indonesia | CID001397 | * |
| Gold | PX Precinox S.A. | Switzerland | CID001498 | * |
| Gold | Rand Refinery (Pty) Ltd. | South Africa | CID001512 | * |
| Gold | Royal Canadian Mint | Canada | CID001534 | * |
| Gold | Samduck Precious Metals | Korea | CID001555 | * |
| Gold | SEMPSA Joyeria Plateria S.A. | Spain | CID001585 | * |
| Gold | Sichuan Tianze Precious Metals Co., Ltd. | China | CID001736 | * |
| Gold | SAXONIA Edelmetalle GmbH | Germany | CID002777 | |
| Gold | AU Traders and Refiners | South Africa | CID002850 | |
| Gold | The Refinery of Shandong Gold Mining Co., Ltd. | China | CID001916 | * |
| Gold | Torecom | Korea | CID001955 | * |
| Gold | United Precious Metal Refining, Inc. | U.S.A. | CID001993 | * |
| | | | | | | | | | | | | | |
| Gold | Valcambi S.A. | Switzerland | CID002003 | * |
| Gold | Western Australian Mint (T/a The Perth Mint) | Australia | CID002030 | * |
| Gold | Yamakin Co., Ltd. | Japan | CID002100 | * |
| Gold | Yokohama Metal Co., Ltd. | Japan | CID002129 | * |
| Gold | Zhongyuan Gold Smelter of Zhongjin Gold | China | CID002224 | * |
| Gold | Gold Refinery of Zijin Mining Group Co., Ltd. | China | CID002243 | * |
| Gold | Umicore Precious Metals Thailand | Thailand | CID002314 | * |
| Gold | Geib Refining Corporation | U.S.A. | CID002459 | * |
| Gold | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | Turkey | CID000103 | |
| Gold | MMTC-PAMP India Pvt., Ltd. | India | CID002509 | * |
| Gold | KGHM Polska Miedz Spolka Akcyjna | Poland | CID002511 | * |
| Gold | Ogussa Osterreichische Gold- und Silber GmbH | Austria | CID002779 | * |
| Gold | Advanced Chemical Company | U.S.A. | CID000015 | * |
| Gold | Aida Chemical Industries Co., Ltd. | Japan | CID000019 | * |
| Gold | LT Metal Ltd. | Korea | CID000689 | * |
| Gold | Caridad | Mexico | CID000180 | |
| Gold | Yunnan Copper Industry Co., Ltd. | China | CID000197 | |
| Gold | Refinery of Seemine Gold Co., Ltd. | China | CID000522 | |
| Gold | Umicore S.A. Business Unit Precious Metals | Belgium | CID001980 | * |
| Gold | Singway Technology Co., Ltd. | Taiwan | CID002516 | * |
| Gold | Emirates Gold DMCC | U.A.E. | CID002561 | * |
| Gold | T.C.A S.p.A | Italy | CID002580 | * |
| Gold | Korea Zinc Co., Ltd. | Korea | CID002605 | * |
| Gold | Marsam Metals | Brazil | CID002606 | * |
| Gold | SAAMP | France | CID002761 | * |
| Gold | Italpreziosi | Italy | CID002765 | * |
| Gold | Guoda Safina High-Tech Environmental Refinery | China | CID000651 | |
| Gold | WIELAND Edelmetalle GmbH | Germany | CID002778 | * |
| Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. | China | CID000671 | |
| Gold | SungEel HiMetal Co., Ltd. | Korea | CID002918 | * |
| Gold | Planta Recuperadora de Metales SpA | Chile | CID002919 | * |
| Gold | Safimet S.p.A | Italy | CID002973 | * |
| Gold | Hunan Chenzhou Mining Co., Ltd. | China | CID000767 | |
| Gold | Hunan Guiyang yinxing Nonferrous Smelting Co. | China | CID000773 | |
| Gold | HwaSeong CJ CO., LTD. | Korea | CID000778 | * |
| Gold | JSC Ekaterinburg Non-Ferrous Metal Processing | Russian Federation | CID000927 | |
| Gold | Kazakhmys Smelting LLC | Kazakhstan | CID000956 | |
| Gold | L'azurde Company For Jewelry | Saudi Arabia | CID001032 | |
| Gold | Lingbao Gold Co., Ltd. | China | CID001056 | |
| Gold | Lingbao Jinyuan Tonghui Refinery Co., Ltd. | China | CID001058 | |
| Gold | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | China | CID001093 | |
| Gold | Penglai Penggang Gold Industry Co., Ltd. | China | CID001362 | |
| Gold | Sabin Metal Corp. | U.S.A. | CID001546 | * |
| Gold | Samwon Metals Corp. | Korea | CID001562 | * |
| Gold | Shandong Tiancheng Biological Gold Industrial Co. | China | CID001619 | |
| | | | | | | | | | | | | | |
| Gold | Tongling Nonferrous Metals Group Co., Ltd. | China | CID001947 | |
| Gold | Morris and Watson | New Zealand | CID002282 | |
| Gold | Guangdong Jinding Gold Limited | China | CID002312 | |
| Gold | Fidelity Printers and Refiners Ltd. | Zimbabwe | CID002515 | |
| Gold | Shandong Humon Smelting Co., Ltd. | China | CID002525 | |
| Gold | International Precious Metal Refiners | U.A.E. | CID002562 | |
| Gold | Kaloti Precious Metals | U.A.E. | CID002563 | |
| Gold | Sudan Gold Refinery | Sudan | CID002567 | |
| Gold | Fujairah Gold FZC | U.A.E. | CID002584 | |
| Gold | SAFINA A.S. | Czechia | CID002290 | * |
| Gold | Industrial Refining Company | Belgium | CID002587 | |
| Gold | Shirpur Gold Refinery Ltd. | India | CID002588 | |
| Gold | Abington Reldan Metals, LLC | U.S.A. | CID002708 | |
| Gold | Sai Refinery | India | CID002853 | |
| Gold | Al Etihad Gold Refinery DMCC | U.A.E. | CID002560 | * |
| Gold | Modeltech Sdn Bhd | Malaysia | CID002857 | |
| Gold | Kyshtym Copper-Electrolytic Plant ZAO | Russian Federation | CID002865 | |
| Gold | Super Dragon Technology Co., Ltd. | China | CID001810 | |
| Gold | Shenzhen Zhonghenglong Real Industry Co., Ltd. | China | CID002527 | |
| Gold | Degussa Sonne / Mond Goldhandel GmbH | Germany | CID002867 | |
| Gold | Pease & Curren | U.S.A. | CID002872 | * |
| Gold | REMONDIS PMR B.V. | Netherlands | CID002582 | * |
| Gold | JALAN & Company | India | CID002893 | |
| Gold | State Research Institute Center for Physical Sciences | Lithuania | CID003153 | |
| Gold | African Gold Refinery | Uganda | CID003185 | |
| Gold | TOO Tau-Ken-Altyn | Kazakhstan | CID002615 | * |
| Gold | Gold Coast Refinery | Ghana | CID003186 | |
| Gold | QG Refining, LLC | U.S.A. | CID003324 | |
| Gold | L'Orfebre S.A. | Andorra | CID002762 | * |
| Gold | 8853 S.p.A. | Italy | CID002763 | * |
| Gold | GCC Gujrat Gold Centre Pvt. Ltd. | India | CID002852 | ** |
| Gold | Dijllah Gold Refinery FZC | U.A.E. | CID003348 | |
| Gold | CGR Metalloys Pvt Ltd. | India | CID003382 | |
| Gold | Sovereign Metals | India | CID003383 | |
| Gold | Bangalore Refinery | India | CID002863 | * |
| Gold | Kundan Care Products Ltd. | India | CID003463 | |
| Gold | Emerald Jewel Industry India Limited (Unit 1) | India | CID003487 | |
| Gold | Emerald Jewel Industry India Limited (Unit 2) | India | CID003488 | |
| Gold | Emerald Jewel Industry India Limited (Unit 3) | India | CID003489 | |
| Gold | Emerald Jewel Industry India Limited (Unit 4) | India | CID003490 | |
| Gold | K.A. Rasmussen | Norway | CID003497 | |
| Gold | Eco-System Recycling Co., Ltd. North Plant | Japan | CID003424 | * |
| Gold | Eco-System Recycling Co., Ltd. West Plant | Japan | CID003425 | * |
| Gold | Sellem Industries Ltd. | Mauritania | CID003540 | * |
| Gold | MD Overseas | India | CID003548 | |
| | | | | | | | | | | | | | |
| Gold | Metallix Refining Inc. | U.S.A. | CID003557 | |
| Gold | Value Trading | Belgium | CID003617 | |
| Gold | NH Recytech Company | Korea | CID003189 | * |
| Gold | C.I Metales Procesados Industriales SAS | Colombia | CID003421 | ** |
| Gold | Augmont Enterprises Private Limited | India | CID003461 | ** |
| Gold | Alexy Metals | U.S.A. | CID003500 | ** |
| Gold | Sancus ZFS (L’Orfebre, SA) | Colombia | CID003529 | ** |
| Gold | Metal Concentrators SA (Pty) Ltd. | South Africa | CID003575 | * |
| Gold | WEEEREFINING | France | CID003615 | ** |
| Tantalum | F&X Electro-Materials Ltd. | China | CID000460 | * |
| Tantalum | Changsha South Tantalum Niobium Co., Ltd. | China | CID000211 | * |
| Tantalum | Guangdong Zhiyuan New Material Co., Ltd. | China | CID000616 | * |
| Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | China | CID000914 | * |
| Tantalum | Jiujiang Tanbre Co., Ltd. | China | CID000917 | * |
| Tantalum | LSM Brasil S.A. | Brazil | CID001076 | * |
| Tantalum | Metallurgical Products India Pvt., Ltd. | India | CID001163 | * |
| Tantalum | Mineracao Taboca S.A. | Brazil | CID001175 | * |
| Tantalum | Mitsui Mining and Smelting Co., Ltd. | Japan | CID001192 | * |
| Tantalum | NPM Silmet AS | Estonia | CID001200 | * |
| Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | China | CID001277 | * |
| Tantalum | QuantumClean | U.S.A. | CID001508 | * |
| Tantalum | Yanling Jincheng Tantalum & Niobium Co., Ltd. | China | CID001522 | * |
| Tantalum | Solikamsk Magnesium Works OAO | Russian Federation | CID001769 | * |
| Tantalum | Taki Chemical Co., Ltd. | Japan | CID001869 | * |
| Tantalum | Telex Metals | U.S.A. | CID001891 | * |
| Tantalum | Ulba Metallurgical Plant JSC | Kazakhstan | CID001969 | * |
| Tantalum | FIR Metals & Resource Ltd. | China | CID002505 | * |
| Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | China | CID002506 | * |
| Tantalum | KEMET Blue Metals | Mexico | CID002539 | * |
| Tantalum | H.C. Starck Hermsdorf GmbH | Germany | CID002547 | * |
| Tantalum | H.C. Starck Inc. | U.S.A. | CID002548 | * |
| Tantalum | H.C. Starck Ltd. | Japan | CID002549 | * |
| Tantalum | Global Advanced Metals Boyertown | U.S.A. | CID002557 | * |
| Tantalum | Global Advanced Metals Aizu | Japan | CID002558 | * |
| Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | China | CID002492 | * |
| Tantalum | D Block Metals, LLC | U.S.A. | CID002504 | * |
| Tantalum | XinXing HaoRong Electronic Material Co., Ltd. | China | CID002508 | * |
| Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | China | CID002512 | * |
| Tantalum | H.C. Starck Co., Ltd. | Thailand | CID002544 | * |
| Tantalum | H.C. Starck Tantalum and Niobium GmbH | Germany | CID002545 | * |
| Tantalum | H.C. Starck Smelting GmbH & Co. KG | Germany | CID002550 | * |
| Tantalum | Resind Industria e Comercio Ltda. | Brazil | CID002707 | * |
| Tantalum | Jiangxi Tuohong New Raw Material | China | CID002842 | * |
| Tantalum | Exotech Inc. | U.S.A. | CID000456 | |
| Tantalum | Yancheng Jinye New Material Technology Co., Ltd. | China | CID003583 | * |
| | | | | | | | | | | | | | |
| Tin | EM Vinto | Bolivia | CID000438 | * |
| Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. | China | CID000538 | * |
| Tin | Malaysia Smelting Corporation (MSC) | Malaysia | CID001105 | * |
| Tin | Mineracao Taboca S.A. | Brazil | CID001173 | * |
| Tin | Minsur | Peru | CID001182 | * |
| Tin | Mitsubishi Materials Corporation | Japan | CID001191 | * |
| Tin | PT Mitra Stania Prima | Indonesia | CID001453 | * |
| Tin | PT Refined Bangka Tin | Indonesia | CID001460 | * |
| Tin | PT Timah Tbk Kundur | Indonesia | CID001477 | * |
| Tin | PT Timah Tbk Mentok | Indonesia | CID001482 | * |
| Tin | Thaisarco | Thailand | CID001898 | * |
| Tin | Metallo Belgium N.V. | Belgium | CID002773 | * |
| Tin | Alpha | U.S.A. | CID000292 | * |
| Tin | Dowa | Japan | CID000402 | * |
| Tin | Estanho de Rondonia S.A. | Brazil | CID000448 | * |
| Tin | Fenix Metals | Poland | CID000468 | * |
| Tin | China Tin Group Co., Ltd. | China | CID001070 | * |
| Tin | Metallic Resources, Inc. | U.S.A. | CID001142 | * |
| Tin | Jiangxi New Nanshan Technology Ltd. | China | CID001231 | * |
| Tin | O.M. Manufacturing (Thailand) Co., Ltd. | Thailand | CID001314 | * |
| Tin | Operaciones Metalurgicas S.A. | Bolivia | CID001337 | * |
| Tin | PT Artha Cipta Langgeng | Indonesia | CID001399 | * |
| Tin | Rui Da Hung | Taiwan | CID001539 | * |
| Tin | Soft Metais Ltda. | Brazil | CID001758 | * |
| Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | China | CID001908 | * |
| Tin | White Solder Metalurgia e Mineracao Ltda. | Brazil | CID002036 | * |
| Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | China | CID002158 | * |
| Tin | Magnu's Minerais Metais e Ligas Ltda. | Brazil | CID002468 | * |
| Tin | PT ATD Makmur Mandiri Jaya | Indonesia | CID002503 | * |
| Tin | Resind Industria e Comercio Ltda. | Brazil | CID002706 | * |
| Tin | Chenzhou Yunxiang Mining and Metallurgy Co. | China | CID000228 | * |
| Tin | PT Aries Kencana Sejahtera | Indonesia | CID000309 | ** |
| Tin | Gejiu Zili Mining And Metallurgy Co., Ltd. | China | CID000555 | * |
| Tin | PT Babel Inti Perkasa | Indonesia | CID001402 | * |
| Tin | PT Bukit Timah | Indonesia | CID001428 | ** |
| Tin | PT Prima Timah Utama | Indonesia | CID001458 | * |
| Tin | PT Sariwiguna Binasentosa | Indonesia | CID001463 | * |
| Tin | PT Stanindo Inti Perkasa | Indonesia | CID001468 | * |
| Tin | PT Tinindo Inter Nusa | Indonesia | CID001490 | * |
| Tin | Yunnan Tin Company Limited | China | CID002180 | * |
| Tin | CV Venus Inti Perkasa | Indonesia | CID002455 | ** |
| Tin | O.M. Manufacturing Philippines, Inc. | Philippines | CID002517 | * |
| Tin | Metallo Spain S.L.U. | Spain | CID002774 | * |
| Tin | PT Sukses Inti Makmur | Indonesia | CID002816 | ** |
| Tin | PT Menara Cipta Mulia | Indonesia | CID002835 | * |
| | | | | | | | | | | | | | |
| Tin | HuiChang Hill Tin Industry Co., Ltd. | China | CID002844 | * |
| Tin | Guangdong Hanhe Non-Ferrous Metal Co., Ltd. | China | CID003116 | * |
| Tin | Chifeng Dajingzi Tin Industry Co., Ltd. | China | CID003190 | * |
| Tin | PT Bangka Serumpun | Indonesia | CID003205 | * |
| Tin | Thai Nguyen Mining and Metallurgy Co., Ltd. | Viet Nam | CID002834 | * |
| Tin | Tin Technology & Refining | U.S.A. | CID003325 | * |
| Tin | Ma'anshan Weitai Tin Co., Ltd. | China | CID003379 | * |
| Tin | PT Babel Surya Alam Lestari | Indonesia | CID001406 | * |
| Tin | PT Cipta Persada Mulia | Indonesia | CID002696 | * |
| Tin | Super Ligas | Brazil | CID002756 | ** |
| Tin | PT Rajawali Rimba Perkasa | Indonesia | CID003381 | * |
| Tin | Luna Smelter, Ltd. | Rwanda | CID003387 | * |
| Tin | PT Mitra Sukses Globalindo | Indonesia | CID003449 | ** |
| Tin | Novosibirsk Processing Plant Ltd. | Russian Federation | CID001305 | * |
| Tin | PT Timah Nusantara | Indonesia | CID001486 | ** |
| Tin | Gejiu Kai Meng Industry and Trade LLC | China | CID000942 | |
| Tin | Melt Metais e Ligas S.A. | Brazil | CID002500 | |
| Tin | PT Belitung Industri Sejahtera | Indonesia | CID001421 | |
| Tin | PT Panca Mega Persada | Indonesia | CID001457 | |
| Tin | PT Tommy Utama | Indonesia | CID001493 | |
| Tin | VQB Mineral and Trading Group JSC | Viet Nam | CID002015 | |
| Tin | PT Tirus Putra Mandiri | Indonesia | CID002478 | |
| Tin | PT Masbro Alam Stania | Indonesia | CID003380 | ** |
| Tin | Electro-Mechanical Facility of the Cao Bang | Viet Nam | CID002572 | |
| Tin | Nghe Tinh Non-Ferrous Metals Joint Stock Company | Viet Nam | CID002573 | |
| Tin | Tuyen Quang Non-Ferrous Metals Stock Company | Viet Nam | CID002574 | |
| Tin | CRM Fundicao De Metais E Comercio De | Brazil | CID003486 | ** |
| Tin | An Vinh Joint Stock Mineral Processing Company | Viet Nam | CID002703 | |
| Tin | Modeltech Sdn Bhd | Malaysia | CID002858 | |
| Tin | Pongpipat Company Limited | Myanmar | CID003208 | |
| Tin | Dongguan CiEXPO Environmental Engineering Co. | China | CID003356 | |
| Tin | Yunnan Yunfan Non-ferrous Metals Co., Ltd. | China | CID003397 | |
| Tin | CRM Synergies | Spain | CID003524 | * |
| Tin | Precious Minerals and Smelting Limited | India | CID003409 | |
| Tin | Gejiu City Fuxiang Industry and Trade Co., Ltd. | China | CID003410 | |
| Tin | Fabrica Auricchio Industria e Comercio Ltda. | Brazil | CID003582 | * |
| Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | China | CID000258 | * |
| Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd. | China | CID000769 | * |
| Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. | China | CID000875 | * |
| Tungsten | Xiamen Tungsten Co., Ltd. | China | CID002082 | * |
| Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | China | CID002317 | * |
| Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | China | CID002494 | * |
| Tungsten | A.L.M.T. Corp. | Japan | CID000004 | * |
| Tungsten | Kennametal Huntsville | U.S.A. | CID000105 | * |
| Tungsten | Global Tungsten & Powders Corp. | U.S.A. | CID000568 | * |
| | | | | | | | | | | | | | |
| Tungsten | Hunan Chenzhou Mining Co., Ltd. | China | CID000766 | * |
| Tungsten | Japan New Metals Co., Ltd. | Japan | CID000825 | * |
| Tungsten | Kennametal Fallon | U.S.A. | CID000966 | * |
| Tungsten | Wolfram Bergbau und Hutten AG | Austria | CID002044 | * |
| Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | China | CID002315 | * |
| Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. | China | CID002316 | * |
| Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical Co., Ltd. | China | CID002318 | * |
| Tungsten | Malipo Haiyu Tungsten Co., Ltd. | China | CID002319 | * |
| Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | China | CID002320 | * |
| Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | China | CID002321 | * |
| Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd. | China | CID002513 | * |
| Tungsten | H.C. Starck Smelting GmbH & Co. KG | Germany | CID002542 | * |
| Tungsten | Masan Tungsten Chemical LLC (MTC) | Viet Nam | CID002543 | * |
| Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | China | CID002551 | * |
| Tungsten | Niagara Refining LLC | U.S.A. | CID002589 | * |
| Tungsten | Hydrometallurg, JSC | Russian Federation | CID002649 | * |
| Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | China | CID000218 | * |
| Tungsten | H.C. Starck Tungsten GmbH | Germany | CID002541 | * |
| Tungsten | Unecha Refractory metals plant | Russian Federation | CID002724 | * |
| Tungsten | Philippine Chuangxin Industrial Co., Inc. | Philippines | CID002827 | * |
| Tungsten | Xinfeng Huarui Tungsten & Molybdenum Co., Ltd. | China | CID002830 | * |
| Tungsten | ACL Metais Eireli | Brazil | CID002833 | * |
| Tungsten | Moliren Ltd. | Russian Federation | CID002845 | * |
| Tungsten | Asia Tungsten Products Vietnam Ltd. | Viet Nam | CID002502 | * |
| Tungsten | Ganzhou Haichuang Tungsten Co., Ltd. | China | CID002645 | * |
| Tungsten | KGETS Co., Ltd. | Korea | CID003388 | * |
| Tungsten | Fujian Ganmin RareMetal Co., Ltd. | China | CID003401 | * |
| Tungsten | Lianyou Metals Co., Ltd. | Taiwan | CID003407 | * |
| Tungsten | China Molybdenum Co., Ltd. | China | CID002641 | * |
| Tungsten | JSC "Kirovgrad Hard Alloys Plant" | Russian Federation | CID003408 | * |
| Tungsten | NPP Tyazhmetprom LLC | Russian Federation | CID003416 | ** |
| Tungsten | GEM Co., Ltd. | China | CID003417 | * |
| Tungsten | Albasteel Industria e Comercio de Ligas Para Ltd. | Brazil | CID003427 | ** |
| Tungsten | Cronimet Brasil Ltda | Brazil | CID003468 | * |
| Tungsten | CNMC (Guangxi) PGMA Co., Ltd. | China | CID000281 | |
| Tungsten | Jiangxi Minmetals Gao'an Non-ferrous Metals Co. | China | CID002313 | * |
| Tungsten | Fujian Xinlu Tungsten | China | CID003609 | * |
| Tungsten | OOO “Technolom” 2 | Russian Federation | CID003612 | ** |
| Tungsten | OOO “Technolom” 1 | Russian Federation | CID003614 | ** |
| Tungsten | Artek LLC | Russian Federation | CID003553 | |
Smelter and refinery facility names and locations as reported by the RMI.
* Denotes smelters and refiners which are conformant to a responsible minerals sourcing validation program.
** Denotes smelters and refiners which are participating in a responsible minerals sourcing validation program.
Appendix II: Country of Origin Information
The countries of origin of the Conflict Minerals processed by the smelters/refiners listed above may have included the countries listed below, based on information provided by the RMI to its members for the “conformant” smelters/refiners and our independent research of all other smelters/refiners disclosed. Because the RMI generally does not indicate individual country of origin of the Conflict Minerals processed by “conformant” smelters/refiners, we were not able to determine the countries of origin of the Conflict Minerals processed by the listed “conformant” smelters/ refiners with greater specificity. In addition, for some of the listed “conformant” smelters/refiners, the country-of-origin information is not disclosed by RMI.
| | |
L1 - Level 1 countries that are not identified as conflict regions or plausible areas of smuggling or export from the DRC and its nine adjoining countries. Argentina, Armenia, Australia, Austria, Azerbaijan, Bahamas, Barbados, Belarus, Belgium, Benin, Bolivia, Bosnia and Herzegovina, Botswana, Brazil, Bulgaria, Burkina Faso, Cambodia, Cameroon, Canada, Cayman Islands, Chile, China, Colombia, Croatia, Curacao, Cyprus, Czech Republic, Denmark, Dominican Republic, Ecuador, Egypt, El Salvador, Eritrea, Estonia, Ethiopia, Fiji, Finland, France, Gabon, Gambia, Georgia, Germany, Ghana, Greece, Guatemala, Guinea, Guyana, Honduras, Hong Kong, Hungary, Iceland, India, Indonesia, Iran, Ireland, Israel, Italy, Ivory Coast, Japan, Jordan, Kazakhstan, Kenya, Korea, Republic of, Kosovo, Kuwait, Kyrgyzstan, Laos, Latvia, Lebanon, Liberia, Libya, Liechtenstein, Lithuania, Luxembourg, Macau, Madagascar, Malaysia, Mali, Malta, Mauritania, Mauritius, Mexico, Mongolia, Morocco, Myanmar, Namibia, Netherlands, New Caledonia, New Zealand, Nicaragua, Niger, Nigeria, Norway, Pakistan, Panama, Papua New Guinea, Peru, Philippines, Poland, Portugal, Puerto Rico, Romania, Russian Federation, San Marino, Saudi Arabia, Senegal, Serbia, Sierra Leone, Singapore, Slovakia, Solomon Islands, Spain, Suriname, Swaziland, Sweden, Switzerland, Taiwan, Tajikistan, Thailand, Togo, Trinidad and Tobago, Tunisia, Turkey, Ukraine, United Arab Emirates, United Kingdom of Great Britain and Northern Ireland, United States of America, Uruguay, Uzbekistan, Vatican City, Venezuela, Vietnam, Yemen and Zimbabwe. |
L2 - Level 2 countries that are known or plausible countries for smuggling, exporting out of region or transit of materials containing tantalum, tin, tungsten or gold: Mozambique and South Africa. |
CC – Covered counties are the 9 countries adjoining the Democratic Republic of Congo: Burundi, Rwanda, Uganda, Zambia and Tanzania. |
DRC - The Democratic Republic of the Congo. |
