Exhibit 1.01
CONFLICT MINERALS REPORT OF 2021
TO
FORM SD SPECIALIZED DISCLOSURE REPORT
OF
ECOLAB INC.
| I. | Introduction |
Except where the context otherwise requires, references in this Conflict Minerals Report to “Ecolab,” “Company,” “we” and “our” are to Ecolab Inc. and its subsidiaries, collectively. As used herein and consistent with the Conflict Minerals Rule (as such term is defined below), (1) “Conflict Minerals” or “3TG” are columbite-tantalite (coltan), cassiterite, gold and wolframite, and their metallic-form derivatives tantalum, tin and tungsten, without regard to the location of origin of the minerals or derivative metals, and (2) the “Conflict Minerals Rule” is, collectively, Rule 13p-1 under the Securities Exchange Act of 1934, as amended, and Form SD.
Applicability of the Conflict Minerals Rule to Our Company
We believe we are a global leader in water, hygiene and infection prevention solutions and services that protect people, planet and business health. We deliver comprehensive science-based solutions, data-driven insights and world-class service to advance food safety, maintain clean and safe environments, optimize water and energy use, and improve operational efficiencies and sustainability for customers in the food, healthcare, hospitality and industrial markets in more than 170 countries around the world.
We are required to make filings pursuant to the Conflict Minerals Rule because some of the products that we manufacture or contract to manufacture, in particular certain components of our control and dispensing equipment and healthcare product offerings, contain metallic forms of 3TG that are necessary to the functionality or production of the products. Not all of our products contain 3TG. The 3TG content in our products accounts for only a small percentage of the total materials content and our products with 3TG content accounted for less than 1% of our 2021 total sales. Our in-scope products taken together as a whole include all four 3TG, though each in-scope product does not include all four 3TG.
We do not directly source 3TG from mines, smelters or refiners, and we believe that we are in most cases many levels removed from these market participants. However, through the efforts described in this Conflict Minerals Report, we seek to ensure that our sourcing practices are consistent with our Conflict Minerals Policy described below.
Reasonable Country of Origin Information
As required by the Conflict Minerals Rule, for 2021, we conducted a “reasonable country of origin inquiry” (“RCOI”) of the direct suppliers of the components, parts or products believed by us to contain 3TG. Our RCOI was reasonably designed to determine in good faith whether any of the 3TG in our in-scope products may have originated or did originate in the DRC or an adjoining country or from recycled or scrap sources. For our RCOI, we utilized the processes and procedures contemplated by Steps 1 and 2 of the OECD Guidance (as defined below). These steps of the OECD Guidance are described under “Design of Due Diligence Measures” and “Due Diligence Measures Performed by Ecolab.”
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In connection with our RCOI, the Conflict Minerals Reporting Templates (as defined below) provided by our suppliers identified 340 smelters and refiners that processed the necessary 3TG contained in our in-scope products. The percentage of these smelters and refiners that were listed as “conformant” by the Responsible Minerals Initiative (“RMI”) with applicable Responsible Minerals Assurance Process (“RMAP”) assessment protocols or equivalent cross-recognized assessment protocols, “active” with respect to progressing to compliance with such protocols, and not conformant or active as of March 21, 2022 are set forth in the table below. These smelters and refiners and their compliance status are listed on Annexes I and II.
| Smelter or | Conflict Minerals | ||||||||||||||||||||||||||||||||||
| Refiner | Gold | Tantalum | Tin | Tungsten | Total | ||||||||||||||||||||||||||||||
| Status | No. | % | No. | % | No. | % | No. | % | No. | % | |||||||||||||||||||||||||
| Conformant | 102 | 59.0 | % | 36 | 97.3 | % | 55 | 67.9 | % | 42 | 85.7 | % | 235 | 69.1 | % | ||||||||||||||||||||
| Active | 7 | 4.0 | % | 1 | 2.7 | % | 9 | 11.1 | % | 4 | 8.2 | % | 21 | 6.2 | % | ||||||||||||||||||||
| Not Conformant or Active | 64 | 37.0 | % | 0 | 0.0 | % | 17 | 21.0 | % | 3 | 6.1 | % | 84 | 24.7 | % | ||||||||||||||||||||
To help achieve a greater level of specificity in determining the countries of origin of the 3TG processed by the smelters and refiners identified by our suppliers, we continued our practice of enlisting the services of a third-party service provider (the “Reviewer”) to review the smelters and refiners identified to us and provide us with a list of the related countries of origin and plausible countries of origin known to it. The identified countries of origin are listed below under “Product, Smelter and Refiner and Country of Origin Information.” Our country of origin and plausibility determinations are derived from information known to us as an RMI member and information provided to us by the Reviewer. This information is based on, among other things, RMAP audits, smelter and refiner disclosures, other information known to the Reviewer and RMI through their work in this subject area and mineral origin information in reports published by the U.S. Geological Survey. Certain of the other compliance activities described in this Conflict Minerals Report also were performed on our behalf by the Reviewer.
Based on the information provided by the Reviewer and our own analysis of that information, we had reason to believe that some of the identified smelters and refiners sourced from the DRC and its adjoining countries. Based on the results of our RCOI, we conducted due diligence for 2021. These due diligence efforts are discussed below.
| II. | Design of Due Diligence Measures |
We designed our 3TG compliance procedures based on, and in conformity in all material respects with, the applicable portions of the five step framework of the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (2016 Third Edition), including the supplements on tin, tantalum and tungsten and gold (the “OECD Guidance”). Selected elements of our program design are discussed below. The headings below conform to the headings used in the OECD Guidance for each of the five steps. Selected due diligence measures that we took in respect of 2021 are discussed below under “Due Diligence Measures Performed by Ecolab.”
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| 1. | Establish strong company management systems |
a. We have a team of responsible personnel from our regulatory affairs, global supply chain, legal, and research and development functions for the management and continued implementation of our 3TG compliance strategy. We also utilize specialist outside counsel and other advisors to assist us with our compliance efforts.
b. We have adopted and communicate to our suppliers and the public a company policy regarding 3TG (the “Conflict Minerals Policy”) for our supply chain. Among other things, the Conflict Minerals Policy contains our expectations that our suppliers: (i) supply materials to Ecolab that are “DRC Conflict-Free”; (ii) adopt policies and management systems with respect to 3TG and require their suppliers to adopt similar policies and systems; (iii) establish their own due diligence program to ensure conflict-free supply chains; and (iv) respond to survey requests in a timely manner, and with full disclosure, following the specific instructions provided. The Conflict Minerals Policy indicates that, in the event Ecolab determines that a supplier’s efforts to comply with the Conflict Minerals Policy have been deficient and the supplier fails to cooperate in developing and implementing reasonable remedial steps, Ecolab reserves the right to take appropriate actions up to and including discontinuing purchases from the supplier. Our policy is available on our website at https://www.ecolab.com/about/suppliers/supplier-policies.
Through our procurement policies and industry association membership and participation we support responsible sourcing from the DRC region. We do not support embargoes of the region.
c. We utilize the Conflict Minerals Reporting Template (the “Conflict Minerals Reporting Template”) developed by the RMI to identify smelters and refiners in our supply chain. The Conflict Minerals Reporting Template requests suppliers to provide information concerning the usage and source of 3TG in the products they provide Ecolab, as well as information concerning their related compliance efforts.
d. As a member company of the RMI, we contribute to the organization’s development and international uptake of a range of tools and resources focused on minerals supply chain due diligence, including independent third-party audit programs for smelters, the Conflict Minerals Reporting Template and other reporting templates, supply chain risk assessment tools, Country of Origin data, and guidance documents on responsible sourcing of tin, tantalum, tungsten and gold.
e. We have implemented an IT solution managed by a third party to engage our direct suppliers and to maintain responses relating to 3TG due diligence, including records of due diligence processes, findings and resulting decisions, in an electronic format for at least five years.
f. Our procurement terms and conditions and our Supplier Code of Conduct contain provisions relating to the sourcing of 3TG to be contained in our products.
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g. In addition to other reporting methods set forth on our website and in our Code of Conduct and Supplier Code of Conduct, which is available on our website, we have a dedicated email address, conflictminerals@ecolab.com, which can be used by interested internal and external parties to contact Ecolab with respect to its supplier surveys, Conflict Minerals Policy and related matters such as grievances, concerns and other possibly relevant information. This email serves as our grievance mechanism.
| 2. | Identify and assess risk in the supply chain |
a. We request that suppliers provide us with information concerning the usage and source of 3TG in the parts that they sell to us and their related compliance efforts through the completion of a Conflict Minerals Reporting Template. We follow up by email with suppliers that do not respond to the request within a specified time frame.
b. Our IT solution utilizes programming logic to review the Conflict Minerals Reporting Templates that we receive from suppliers and flags responses not conforming to specified criteria.
c. Smelter and refiner data is reviewed for us through the IT solution and by the Reviewer to verify, to the extent known by the Reviewer based on its research and other information as described earlier in this Conflict Minerals Report, (a) the validity of the smelters and refiners identified to us by the suppliers, (b) the audit status of such smelters and refiners, (c) the country of origin of the 3TG processed by such smelters and refiners, (d) the plausibility of the identified countries of origin having 3TG reserves or mines, and (e) whether such smelters and refiners obtained 3TG from sources that directly or indirectly financed or benefitted armed groups in the DRC or an adjoining country.
| 3. | Design and implement a strategy to respond to identified risks |
We have procedures for monitoring and reporting on risk to designated senior management, including our Executive Vice President, General Counsel and Secretary, on an ongoing basis. Pursuant to these procedures, our 3TG compliance team also reports the findings of its compliance efforts to a steering committee comprised of management personnel from our global supply chain, regulatory affairs, legal, and research and development functions.
We utilize a risk mitigation framework that allows for a flexible response commensurate with the risks identified. Under the framework, actions range from supplier education and follow-up to discontinuing purchases from a supplier.
In addition, to the extent that identified smelters and refiners are not listed as conformant, we seek to exercise leverage over these smelters and refiners to become so through our participation in and support of the RMI. We also utilize information provided by the RMI to its members to monitor smelter and refiner improvement.
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| 4. | Carry out independent third-party audit of supply chain due diligence at identified points in the supply chain |
We support the RMAP through our membership in the RMI. The RMAP uses an independent third-party audit of smelter and refiner management systems and sourcing practices to validate conformance with RMAP standards. The audit employs a risk-based approach to validate smelters’ and refiners’ company level management processes for responsible mineral procurement.
In connection with our due diligence, we utilize and rely on information made available by the RMI concerning RMAP audits to assess smelter and refiner due diligence and to determine whether a smelter or refiner is conformant.
The data on which we relied for certain statements in this Conflict Minerals Report was obtained through our membership in the RMI.
| 5. | Report on supply chain due diligence |
We file a Form SD and a Conflict Minerals Report with the Securities and Exchange Commission and make these documents available on our website at https://www.ecolab.com/about/suppliers/supplier-policies.
| III. | Due Diligence Measures Performed by Ecolab |
Ecolab has performed the due diligence and related measures set forth below in respect of 2021. These are not all of the measures that we took in respect of 2021 in furtherance of our Conflict Minerals Policy and 3TG compliance program or pursuant to the Conflict Minerals Rule and the OECD Guidance.
We continued to refine our product scoping process with the introduction of a new compliance dashboard, which we utilized to determine whether new products introduced in 2021 were in scope.
We sent requests to our in-scope suppliers to provide us with a completed Conflict Minerals Reporting Template. We made repeated follow-up requests with the suppliers that did not provide a response within the specified time frame. Additionally, we engaged additional resources for the follow-up solicitations.
We reviewed the completed responses received from the suppliers based on our approved review criteria to identify incomplete responses and specified sourcing risks and sent follow-up emails to suppliers providing incomplete or non-conforming responses.
We utilized the IT solution and the Reviewer to verify, to the extent known by the Reviewer based on its research and other information as described in this Conflict Minerals Report, (a) the validity of the smelters and refiners identified to us by the suppliers, (b) the audit status of such smelters and refiners, (c) the country of origin of the 3TG processed by such smelters and refiners, (d) the plausibility of the identified countries of origin having 3TG reserves or mines, and (e) whether such smelters and refiners obtained 3TG from sources that directly or indirectly financed or benefitted armed groups in the DRC or an adjoining country.
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Our 3TG compliance team reported the findings of its compliance efforts in respect of 2021 to our management steering committee, which is described earlier in this Conflict Minerals Report.
We participated in independent third-party audits of smelters and refiners through our membership in the RMI.
| IV. | Product, Smelter and Refiner and Country of Origin Information |
In-Scope Product Categories
For 2021, our in-scope products were in the following product categories:
| A. | Ecolab-designed equipment used for the control and dispensing of chemical products. |
| B. | Healthcare patient management systems and other miscellaneous components related to our Healthcare products. |
| C. | Decontamination systems utilizing hydrogen peroxide vapor related to our Life Sciences business. |
Identified Smelters and Refiners
In connection with our due diligence, the suppliers identified to us the verified smelters and refiners listed in Annex I and Annex II below as having processed the necessary 3TG contained in our in-scope products in 2021. However, not all of the included smelters and refiners may have processed the necessary 3TG contained in our in-scope products. In some cases, suppliers may have reported to us smelters and refiners that were not in our supply chain due to over-inclusiveness in the information received from their suppliers or for other reasons. The smelters and refiners listed in the Annexes may not be all of the smelters and refiners in our supply chain, since the suppliers may have been unable to identify the smelters and refiners of some of the necessary 3TG content contained in our in-scope products and because not all suppliers responded to our inquiries.
Annex I provides a list of smelters and refiners reported by the RMI as conformant with applicable RMAP or equivalent cross-recognized assessment protocols or active with respect to progressing to compliance with such protocols. Annex II provides a list of verified smelters and refiners that were not conformant or active.
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Potential Countries of Origin
In addition to sourcing from recycled and scrap sources, based on information received from the Reviewer, Ecolab believes the country of origin of the 3TG sourced by the smelters and refiners in the Annexes may include the following:
Angola* Argentina Armenia Australia Austria Bolivia Brazil Burundi* Cambodia Canada Central African Republic* Chile China Colombia Congo (Brazzaville)* Czech Republic Djibouti DRC-Congo (Kinshasa)* Ecuador Egypt Estonia | Ethiopia Finland France Germany Ghana Guinea Guyana India Indonesia Ireland Israel Italy Ivory Coast Japan Jersey Kazakhstan Kenya Korea, Republic of Kyrgyzstan Laos | Madagascar Malaysia Mali Mexico Mongolia Morocco Mozambique Myanmar Namibia New Zealand Niger Nigeria Papua New Guinea Peru Philippines Poland Portugal Russian Federation Rwanda* Saudi Arabia | Sierra Leone Slovakia South Africa South Sudan* Spain Suriname Sweden Switzerland Taiwan Tajikistan Tanzania* Thailand Turkey Uganda* United Kingdom United States Uzbekistan Viet Nam Zambia* Zimbabwe |
*The DRC or adjoining countries.
For 2021, notwithstanding our compliance efforts, we may not have been able to determine the facilities at which at least a portion of the necessary 3TG contained in each of our in-scope products were processed. We also may not have been able to determine the country of origin for at least a portion of the necessary 3TG contained in each of our in-scope products. None of the necessary 3TG contained in our in-scope products were determined by us to directly or indirectly finance or benefit armed groups in the DRC or an adjoining country. However, we did not conclude that any of our products were “DRC conflict free.” The terms “adjoining country,” “armed group” and “DRC conflict free” have the meanings contained in the Conflict Minerals Rule.
We endeavored to determine the mine or location of origin of the necessary 3TG contained in our in-scope products by requesting that the suppliers provide us with a completed Conflict Minerals Reporting Template and through the other measures described in this Conflict Minerals Report. Additionally, information made available by the RMI to its members and the Reviewer assisted us in determining whether the smelters and refiners identified to us by our suppliers obtained 3TG from sources that directly or indirectly financed or benefitted armed groups in the DRC or an adjoining country to the extent known by the Reviewer from its research.
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| V. | Steps to Improve Due Diligence |
We intend to take the following additional steps to mitigate the risk that the necessary 3TG in our in-scope products benefit armed groups:
| • | Continue to follow up with suppliers that were unresponsive, provided non-conforming responses or provided company-level responses rather than product-level responses. |
| • | Continue to make improvements to our scoping processes, including our product scoping database, to better align data from supplier responses to our products and eliminate smelters and refiners with no relation to our products. |
| • | Continue to engage with certain suppliers listing smelters and refiners sourcing 3TG in the DRC and adjoining countries to encourage the use of smelters and refiners validated as conformant with applicable RMAP assessment protocols. |
| • | Continue our membership in the RMI. |
Cautionary Statement about Forward-Looking Statements
This document contains forward-looking statements within the meaning of the federal securities laws. Any statements that do not relate to historical or current facts or matters are forward-looking statements. You can identify some of the forward-looking statements by the use of forward-looking words, such as “intend” and the like, or the use of the future tense. Statements concerning current conditions may also be forward-looking if they imply a continuation of current conditions. Examples of forward-looking statements include, but are not limited to, statements concerning the additional steps that we intend to take to mitigate the risk that our necessary 3TG (as such term is defined below) benefit armed groups.
Forward-looking statements are subject to risks and uncertainties that could cause actual actions or performance to differ materially from those expressed in the forward-looking statements. These risks and uncertainties include, but are not limited to, (1) the continued implementation of satisfactory traceability and other compliance measures by our direct and indirect suppliers on a timely basis or at all, (2) whether smelters and refiners and other market participants responsibly source 3TG, (3) the accuracy and validity of the audits conducted under the RMAP assessment protocols and analogous audit programs with which the RMI has a mutual recognition agreement and (4) political and regulatory developments, whether in the Democratic Republic of the Congo (“DRC”) region, the United States or elsewhere. You are cautioned not to place undue reliance on these forward-looking statements, which speak only as of the date of the filing of this document. We do not intend, and undertake no obligation, to publish revised forward-looking statements to reflect events or circumstances after the date of the filing of this document or to reflect the occurrence of unanticipated events.
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ANNEX I
List of Facilities Conformant with RMAP or
Equivalent Cross-Recognized Assessment Protocols or on RMI Active List
| Smelter or Refiner Name | Mineral | Smelter or Refiner Status | Smelter or Refiner Location | |||
| 8853 S.p.A. | Gold | Conformant | Italy | |||
| Advanced Chemical Company | Gold | Conformant | United States | |||
| Aida Chemical Industries Co., Ltd. | Gold | Conformant | Japan | |||
| Al Etihad Gold Refinery DMCC | Gold | Conformant | United Arab Emirates | |||
| Alexy Metals | Gold | Active | United States | |||
| Allgemeine Gold-und Silberscheideanstalt A.G. | Gold | Conformant | Germany | |||
| Almalyk Mining and Metallurgical Complex (AMMC) | Gold | Conformant | Uzbekistan | |||
| AngloGold Ashanti Corrego do Sitio Mineracao | Gold | Conformant | Brazil | |||
| Argor-Heraeus S.A. | Gold | Conformant | Switzerland | |||
| Asahi Pretec Corp. | Gold | Conformant | Japan | |||
| Asahi Refining Canada Ltd. | Gold | Conformant | Canada | |||
| Asahi Refining USA Inc. | Gold | Conformant | United States | |||
| Asaka Riken Co., Ltd. | Gold | Conformant | Japan | |||
| Augmont Enterprises Private Limited | Gold | Active | India | |||
| Aurubis AG | Gold | Conformant | Germany | |||
| Bangalore Refinery | Gold | Conformant | India | |||
| Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | Gold | Conformant | Philippines | |||
| Boliden AB | Gold | Conformant | Sweden | |||
| C. Hafner GmbH + Co. KG | Gold | Conformant | Germany | |||
| C.I Metales Procesados Industriales SAS | Gold | Active | Colombia | |||
| CCR Refinery - Glencore Canada Corporation | Gold | Conformant | Canada | |||
| Cendres + Metaux S.A. | Gold | Conformant | Switzerland | |||
| Chimet S.p.A. | Gold | Conformant | Italy | |||
| Chugai Mining | Gold | Conformant | Japan | |||
| Daye Non-Ferrous Metals Mining Ltd. | Gold | Conformant | China | |||
| DODUCO Contacts and Refining GmbH | Gold | Conformant | Germany | |||
| Dowa | Gold | Conformant | Japan | |||
| DSC (Do Sung Corporation) | Gold | Conformant | Korea, Republic of | |||
| Eco-System Recycling Co., Ltd. East Plant | Gold | Conformant | Japan | |||
| Eco-System Recycling Co., Ltd. North Plant | Gold | Conformant | Japan | |||
| Eco-System Recycling Co., Ltd. West Plant | Gold | Conformant | Japan | |||
| Emirates Gold DMCC | Gold | Conformant | United Arab Emirates |
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| GCC Gujrat Gold Centre Pvt. Ltd. | Gold | Active | India | |||
| Geib Refining Corporation | Gold | Conformant | United States | |||
| Gold Refinery of Zijin Mining Group Co., Ltd. | Gold | Conformant | China | |||
| Great Wall Precious Metals Co., Ltd. of CBPM | Gold | Conformant | China | |||
| Heimerle + Meule GmbH | Gold | Conformant | Germany | |||
| Heraeus Metals Hong Kong Ltd. | Gold | Conformant | China | |||
| Heraeus Precious Metals GmbH & Co. KG | Gold | Conformant | Germany | |||
| Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | Gold | Conformant | China | |||
| Ishifuku Metal Industry Co., Ltd. | Gold | Conformant | Japan | |||
| Istanbul Gold Refinery | Gold | Conformant | Turkey | |||
| Italpreziosi | Gold | Conformant | Italy | |||
| Japan Mint | Gold | Conformant | Japan | |||
| Jiangxi Copper Co., Ltd. | Gold | Conformant | China | |||
| JX Nippon Mining & Metals Co., Ltd. | Gold | Conformant | Japan | |||
| Kazzinc | Gold | Conformant | Kazakhstan | |||
| Kennecott Utah Copper LLC | Gold | Conformant | United States | |||
| KGHM Polska Miedz Spolka Akcyjna | Gold | Conformant | Poland | |||
| Kojima Chemicals Co., Ltd. | Gold | Conformant | Japan | |||
| Korea Zinc Co., Ltd. | Gold | Conformant | Korea, Republic of | |||
| L'Orfebre S.A. | Gold | Conformant | Andorra | |||
| LS-NIKKO Copper Inc. | Gold | Conformant | Korea, Republic of | |||
| LT Metal Ltd. | Gold | Conformant | Korea, Republic of | |||
| Marsam Metals | Gold | Conformant | Brazil | |||
| Materion | Gold | Conformant | United States | |||
| Matsuda Sangyo Co., Ltd. | Gold | Conformant | Japan | |||
| Metal Concentrators SA (Pty) Ltd. | Gold | Conformant | South Africa | |||
| Metalor Technologies (Hong Kong) Ltd. | Gold | Conformant | China | |||
| Metalor Technologies (Singapore) Pte., Ltd. | Gold | Conformant | Singapore | |||
| Metalor Technologies (Suzhou) Ltd. | Gold | Conformant | China | |||
| Metalor Technologies S.A. | Gold | Conformant | Switzerland | |||
| Metalor USA Refining Corporation | Gold | Conformant | United States | |||
| Metalurgica Met-Mex Penoles S.A. De C.V. | Gold | Conformant | Mexico | |||
| Mitsubishi Materials Corporation | Gold | Conformant | Japan | |||
| Mitsui Mining and Smelting Co., Ltd. | Gold | Conformant | Japan | |||
| MMTC-PAMP India Pvt., Ltd. | Gold | Conformant | India | |||
| Nadir Metal Rafineri San. Ve Tic. A.S. | Gold | Conformant | Turkey | |||
| Navoi Mining and Metallurgical Combinat | Gold | Conformant | Uzbekistan | |||
| NH Recytech Company | Gold | Conformant | Korea, Republic of | |||
| Nihon Material Co., Ltd. | Gold | Conformant | Japan |
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| Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH | Gold | Conformant | Austria | |||
| Ohura Precious Metal Industry Co., Ltd. | Gold | Conformant | Japan | |||
| PAMP S.A. | Gold | Conformant | Switzerland | |||
| Planta Recuperadora de Metales SpA | Gold | Conformant | Chile | |||
| PT Aneka Tambang (Persero) Tbk | Gold | Conformant | Indonesia | |||
| PX Precinox S.A. | Gold | Conformant | Switzerland | |||
| Rand Refinery (Pty) Ltd. | Gold | Conformant | South Africa | |||
| REMONDIS PMR B.V. | Gold | Conformant | Netherlands | |||
| Royal Canadian Mint | Gold | Conformant | Canada | |||
| SAAMP | Gold | Conformant | France | |||
| Safimet S.p.A | Gold | Conformant | Italy | |||
| SAFINA A.S. | Gold | Conformant | Czech Republic | |||
| Samduck Precious Metals | Gold | Conformant | Korea, Republic of | |||
| Sancus ZFS (L’Orfebre, SA) | Gold | Active | Colombia | |||
| SAXONIA Edelmetalle GmbH | Gold | Active | Germany | |||
| SEMPSA Joyeria Plateria S.A. | Gold | Conformant | Spain | |||
| Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | Gold | Conformant | China | |||
| Sichuan Tianze Precious Metals Co., Ltd. | Gold | Conformant | China | |||
| Singway Technology Co., Ltd. | Gold | Conformant | Taiwan | |||
| Solar Applied Materials Technology Corp. | Gold | Conformant | Taiwan | |||
| Sumitomo Metal Mining Co., Ltd. | Gold | Conformant | Japan | |||
| SungEel HiMetal Co., Ltd. | Gold | Conformant | Korea, Republic of | |||
| T.C.A S.p.A | Gold | Conformant | Italy | |||
| Tanaka Kikinzoku Kogyo K.K. | Gold | Conformant | Japan | |||
| The Refinery of Shandong Gold Mining Co., Ltd. | Gold | Conformant | China | |||
| Tokuriki Honten Co., Ltd. | Gold | Conformant | Japan | |||
| TOO Tau-Ken-Altyn | Gold | Conformant | Kazakhstan | |||
| Torecom | Gold | Conformant | Korea, Republic of | |||
| Umicore Precious Metals Thailand | Gold | Conformant | Thailand | |||
| Umicore S.A. Business Unit Precious Metals Refining | Gold | Conformant | Belgium | |||
| United Precious Metal Refining, Inc. | Gold | Conformant | United States | |||
| Valcambi S.A. | Gold | Conformant | Switzerland | |||
| WEEEREFINING | Gold | Active | France | |||
| Western Australian Mint (T/a The Perth Mint) | Gold | Conformant | Australia | |||
| WIELAND Edelmetalle GmbH | Gold | Conformant | Germany | |||
| Yamakin Co., Ltd. | Gold | Conformant | Japan | |||
| Yokohama Metal Co., Ltd. | Gold | Conformant | Japan | |||
| Zhongyuan Gold Smelter of Zhongjin Gold Corporation | Gold | Conformant | China |
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| AMG Brasil | Tantalum | Conformant | Brazil | |||
| Changsha South Tantalum Niobium Co., Ltd. | Tantalum | Conformant | China | |||
| D Block Metals, LLC | Tantalum | Conformant | United States | |||
| Exotech Inc. | Tantalum | Active | United States | |||
| F&X Electro-Materials Ltd. | Tantalum | Conformant | China | |||
| FIR Metals & Resource Ltd. | Tantalum | Conformant | China | |||
| Global Advanced Metals Aizu | Tantalum | Conformant | Japan | |||
| Global Advanced Metals Boyertown | Tantalum | Conformant | United States | |||
| Guangdong Rising Rare Metals-EO Materials Ltd. | Tantalum | Conformant | China | |||
| Guangdong Zhiyuan New Material Co., Ltd. | Tantalum | Conformant | China | |||
| H.C. Starck Hermsdorf GmbH | Tantalum | Conformant | Germany | |||
| H.C. Starck Inc. | Tantalum | Conformant | United States | |||
| Hengyang King Xing Lifeng New Materials Co., Ltd. | Tantalum | Conformant | China | |||
| Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | Tantalum | Conformant | China | |||
| Jiangxi Tuohong New Raw Material | Tantalum | Conformant | China | |||
| JiuJiang JinXin Nonferrous Metals Co., Ltd. | Tantalum | Conformant | China | |||
| Jiujiang Tanbre Co., Ltd. | Tantalum | Conformant | China | |||
| Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | Tantalum | Conformant | China | |||
| KEMET Blue Metals | Tantalum | Conformant | Mexico | |||
| Metallurgical Products India Pvt., Ltd. | Tantalum | Conformant | India | |||
| Mineracao Taboca S.A. | Tantalum | Conformant | Brazil | |||
| Mitsui Mining and Smelting Co., Ltd. | Tantalum | Conformant | Japan | |||
| Ningxia Orient Tantalum Industry Co., Ltd. | Tantalum | Conformant | China | |||
| NPM Silmet AS | Tantalum | Conformant | Estonia | |||
| QuantumClean | Tantalum | Conformant | United States | |||
| Resind Industria e Comercio Ltda. | Tantalum | Conformant | Brazil | |||
| RFH Yancheng Jinye New Material Technology Co., Ltd. | Tantalum | Conformant | China | |||
| Solikamsk Magnesium Works OAO | Tantalum | Conformant | Russian Federation | |||
| Taki Chemical Co., Ltd. | Tantalum | Conformant | Japan | |||
| TANIOBIS Co., Ltd. | Tantalum | Conformant | Thailand | |||
| TANIOBIS GmbH | Tantalum | Conformant | Germany | |||
| TANIOBIS Japan Co., Ltd. | Tantalum | Conformant | Japan | |||
| TANIOBIS Smelting GmbH & Co. KG | Tantalum | Conformant | Germany | |||
| Telex Metals | Tantalum | Conformant | United States | |||
| Ulba Metallurgical Plant JSC | Tantalum | Conformant | Kazakhstan |
12
| XinXing Haorong Electronic Material Co., Ltd. | Tantalum | Conformant | China | |||
| Yanling Jincheng Tantalum & Niobium Co., Ltd. | Tantalum | Conformant | China | |||
| Alpha | Tin | Conformant | United States | |||
| Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | Tin | Conformant | China | |||
| Chifeng Dajingzi Tin Industry Co., Ltd. | Tin | Conformant | China | |||
| China Tin Group Co., Ltd. | Tin | Conformant | China | |||
| CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda | Tin | Active | Brazil | |||
| CRM Synergies | Tin | Conformant | Spain | |||
| CV Venus Inti Perkasa | Tin | Active | Indonesia | |||
| Dowa | Tin | Conformant | Japan | |||
| EM Vinto | Tin | Conformant | Bolivia | |||
| Estanho de Rondonia S.A. | Tin | Conformant | Brazil | |||
| Fabrica Auricchio Industria e Comercio Ltda. | Tin | Conformant | Brazil | |||
| Fenix Metals | Tin | Conformant | Poland | |||
| Gejiu Non-Ferrous Metal Processing Co., Ltd. | Tin | Conformant | China | |||
| Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | Tin | Conformant | China | |||
| Gejiu Zili Mining And Metallurgy Co., Ltd. | Tin | Conformant | China | |||
| Guangdong Hanhe Non-Ferrous Metal Co., Ltd. | Tin | Conformant | China | |||
| HuiChang Hill Tin Industry Co., Ltd. | Tin | Conformant | China | |||
| Jiangxi New Nanshan Technology Ltd. | Tin | Conformant | China | |||
| Luna Smelter, Ltd. | Tin | Conformant | Rwanda | |||
| Ma'anshan Weitai Tin Co., Ltd. | Tin | Conformant | China | |||
| Magnu's Minerais Metais e Ligas Ltda. | Tin | Conformant | Brazil | |||
| Malaysia Smelting Corporation (MSC) | Tin | Conformant | Malaysia | |||
| Melt Metais e Ligas S.A. | Tin | Active | Brazil | |||
| Metallic Resources, Inc. | Tin | Conformant | United States | |||
| Metallo Belgium N.V. | Tin | Conformant | Belgium | |||
| Metallo Spain S.L.U. | Tin | Conformant | Spain | |||
| Mineracao Taboca S.A. | Tin | Conformant | Brazil | |||
| Minsur | Tin | Conformant | Peru | |||
| Mitsubishi Materials Corporation | Tin | Conformant | Japan | |||
| Novosibirsk Processing Plant Ltd. | Tin | Conformant | Russian Federation | |||
| O.M. Manufacturing (Thailand) Co., Ltd. | Tin | Conformant | Thailand | |||
| O.M. Manufacturing Philippines, Inc. | Tin | Conformant | Philippines | |||
| Operaciones Metalurgicas S.A. | Tin | Conformant | Bolivia | |||
| PT Artha Cipta Langgeng | Tin | Conformant | Indonesia |
13
| PT ATD Makmur Mandiri Jaya | Tin | Conformant | Indonesia | |||
| PT Babel Inti Perkasa | Tin | Conformant | Indonesia | |||
| PT Babel Surya Alam Lestari | Tin | Conformant | Indonesia | |||
| PT Bangka Serumpun | Tin | Conformant | Indonesia | |||
| PT Bukit Timah | Tin | Active | Indonesia | |||
| PT Cipta Persada Mulia | �� | Tin | Conformant | Indonesia | ||
| PT Masbro Alam Stania | Tin | Active | Indonesia | |||
| PT Menara Cipta Mulia | Tin | Conformant | Indonesia | |||
| PT Mitra Stania Prima | Tin | Conformant | Indonesia | |||
| PT Mitra Sukses Globalindo | Tin | Active | Indonesia | |||
| PT Prima Timah Utama | Tin | Conformant | Indonesia | |||
| PT Rajawali Rimba Perkasa | Tin | Conformant | Indonesia | |||
| PT Refined Bangka Tin | Tin | Conformant | Indonesia | |||
| PT Sariwiguna Binasentosa | Tin | Conformant | Indonesia | |||
| PT Stanindo Inti Perkasa | Tin | Conformant | Indonesia | |||
| PT Sukses Inti Makmur | Tin | Active | Indonesia | |||
| PT Timah Nusantara | Tin | Active | Indonesia | |||
| PT Timah Tbk Kundur | Tin | Conformant | Indonesia | |||
| PT Timah Tbk Mentok | Tin | Conformant | Indonesia | |||
| PT Tinindo Inter Nusa | Tin | Conformant | Indonesia | |||
| Resind Industria e Comercio Ltda. | Tin | Conformant | Brazil | |||
| Rui Da Hung | Tin | Conformant | Taiwan | |||
| Soft Metais Ltda. | Tin | Conformant | Brazil | |||
| Super Ligas | Tin | Active | Brazil | |||
| Thai Nguyen Mining and Metallurgy Co., Ltd. | Tin | Conformant | Viet Nam | |||
| Thaisarco | Tin | Conformant | Thailand | |||
| Tin Technology & Refining | Tin | Conformant | United States | |||
| White Solder Metalurgia e Mineracao Ltda. | Tin | Conformant | Brazil | |||
| Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | Tin | Conformant | China | |||
| Yunnan Tin Company Limited | Tin | Conformant | China | |||
| A.L.M.T. TUNGSTEN Corp. | Tungsten | Conformant | Japan | |||
| ACL Metais Eireli | Tungsten | Conformant | Brazil | |||
| Albasteel Industria e Comercio de Ligas Para Fundicao Ltd. | Tungsten | Active | Brazil | |||
| Asia Tungsten Products Vietnam Ltd. | Tungsten | Conformant | Viet Nam | |||
| Chenzhou Diamond Tungsten Products Co., Ltd. | Tungsten | Conformant | China | |||
| China Molybdenum Co., Ltd. | Tungsten | Conformant | China | |||
| Chongyi Zhangyuan Tungsten Co., Ltd. | Tungsten | Conformant | China | |||
| Cronimet Brasil Ltda | Tungsten | Conformant | Brazil | |||
| Fujian Ganmin RareMetal Co., Ltd. | Tungsten | Conformant | China |
14
| Fujian Xinlu Tungsten | Tungsten | Conformant | China | |||
| Ganzhou Haichuang Tungsten Co., Ltd. | Tungsten | Conformant | China | |||
| Ganzhou Huaxing Tungsten Products Co., Ltd. | Tungsten | Conformant | China | |||
| Ganzhou Jiangwu Ferrotungsten Co., Ltd. | Tungsten | Conformant | China | |||
| Ganzhou Seadragon W & Mo Co., Ltd. | Tungsten | Conformant | China | |||
| Global Tungsten & Powders Corp. | Tungsten | Conformant | United States | |||
| Guangdong Xianglu Tungsten Co., Ltd. | Tungsten | Conformant | China | |||
| H.C. Starck Tungsten GmbH | Tungsten | Conformant | Germany | |||
| Hunan Chenzhou Mining Co., Ltd. | Tungsten | Conformant | China | |||
| Hunan Chunchang Nonferrous Metals Co., Ltd. | Tungsten | Conformant | China | |||
| Hydrometallurg, JSC | Tungsten | Conformant | Russian Federation | |||
| Japan New Metals Co., Ltd. | Tungsten | Conformant | Japan | |||
| Jiangwu H.C. Starck Tungsten Products Co., Ltd. | Tungsten | Conformant | China | |||
| Jiangxi Gan Bei Tungsten Co., Ltd. | Tungsten | Conformant | China | |||
| Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | Tungsten | Conformant | China | |||
| Jiangxi Xinsheng Tungsten Industry Co., Ltd. | Tungsten | Conformant | China | |||
| Jiangxi Yaosheng Tungsten Co., Ltd. | Tungsten | Conformant | China | |||
| Jingmen Dewei GEM Tungsten Resources Recycling Co., Ltd. | Tungsten | Conformant | China | |||
| JSC “Kirovgrad Hard Alloys Plant” | Tungsten | Conformant | Russian Federation | |||
| Kennametal Fallon | Tungsten | Conformant | United States | |||
| Kennametal Huntsville | Tungsten | �� | Conformant | United States | ||
| KGETS CO., LTD. | Tungsten | Conformant | Korea, Republic of | |||
| Lianyou Metals Co., Ltd. | Tungsten | Conformant | Taiwan | |||
| Malipo Haiyu Tungsten Co., Ltd. | Tungsten | Conformant | China | |||
| Masan Tungsten Chemical LLC (MTC) | Tungsten | Conformant | Viet Nam | |||
| Moliren Ltd. | Tungsten | Conformant | Russian Federation | |||
| Niagara Refining LLC | Tungsten | Conformant | United States | |||
| NPP Tyazhmetprom LLC | Tungsten | Active | Russian Federation | |||
| OOO “Technolom” 1 | Tungsten | Active | Russian Federation | |||
| OOO “Technolom” 2 | Tungsten | Active | Russian Federation | |||
| Philippine Chuangxin Industrial Co., Inc. | Tungsten | Conformant | Philippines | |||
| TANIOBIS Smelting GmbH & Co. KG | Tungsten | Conformant | Germany | |||
| Unecha Refractory Metals Plant | Tungsten | Conformant | Russian Federation | |||
| Wolfram Bergbau und Hutten AG | Tungsten | Conformant | Austria | |||
| Xiamen Tungsten (H.C.) Co., Ltd. | Tungsten | Conformant | China | |||
| Xiamen Tungsten Co., Ltd. | Tungsten | Conformant | China | |||
| Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. | Tungsten | Conformant | China |
15
The following notes apply to Annex I above:
| (1) | “Conformant” means that a smelter or refiner was conformant with the RMAP assessment protocols or the equivalent cross-recognized assessment programs of the London Bullion Market Association and the Responsible Jewellery Council. Smelters and refiners with a “re-audit in progress” are still considered to be RMAP conformant. |
| (2) | “Active” means that the smelter or refiner is a participant in the RMAP and has committed to undergo an audit or is participating in a cross-recognized certification program. |
| (3) | The designations of Conformant and Active and the smelter or refiner location reflected in the table are based solely on information made publicly available by the RMI, without independent verification by us. |
16
ANNEX II
List of Verified Facilities Not Otherwise Listed as Conformant or Active
| Smelter or Refiner Name | Mineral | Smelter or Refiner Location | ||
| Abington Reldan Metals, LLC | Gold | United States | ||
| African Gold Refinery | Gold | Uganda | ||
| Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | Gold | Turkey | ||
| AU Traders and Refiners | Gold | South Africa | ||
| Caridad | Gold | Mexico | ||
| CGR Metalloys Pvt Ltd. | Gold | India | ||
| Degussa Sonne / Mond Goldhandel GmbH | Gold | Germany | ||
| Dijllah Gold Refinery FZC | Gold | United Arab Emirates | ||
| Emerald Jewel Industry India Limited (Unit 1) | Gold | India | ||
| Emerald Jewel Industry India Limited (Unit 2) | Gold | India | ||
| Emerald Jewel Industry India Limited (Unit 3) | Gold | India | ||
| Emerald Jewel Industry India Limited (Unit 4) | Gold | India | ||
| Fidelity Printers and Refiners Ltd. | Gold | Zimbabwe | ||
| Fujairah Gold FZC | Gold | United Arab Emirates | ||
| Gold Coast Refinery | Gold | Ghana | ||
| Guangdong Jinding Gold Limited | Gold | China | ||
| Guoda Safina High-Tech Environmental Refinery Co., Ltd. | Gold | China | ||
| Hangzhou Fuchunjiang Smelting Co., Ltd. | Gold | China | ||
| Hunan Chenzhou Mining Co., Ltd. | Gold | China | ||
| Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd. | Gold | China | ||
| HwaSeong CJ CO., LTD. | Gold | Korea, Republic of | ||
| International Precious Metal Refiners | Gold | United Arab Emirates | ||
| JALAN & Company | Gold | India | ||
| JSC Ekaterinburg Non-Ferrous Metal Processing Plant | Gold | Russian Federation | ||
| JSC Uralelectromed | Gold | Russian Federation | ||
| K.A. Rasmussen | Gold | Norway | ||
| Kaloti Precious Metals | Gold | United Arab Emirates | ||
| Kazakhmys Smelting LLC | Gold | Kazakhstan | ||
| Kundan Care Products Ltd. | Gold | India | ||
| Kyrgyzaltyn JSC | Gold | Kyrgyzstan | ||
| Kyshtym Copper-Electrolytic Plant ZAO | Gold | Russian Federation | ||
| L'azurde Company For Jewelry | Gold | Saudi Arabia | ||
| Lingbao Gold Co., Ltd. | Gold | China | ||
| Lingbao Jinyuan Tonghui Refinery Co., Ltd. | Gold | China | ||
| Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | Gold | China | ||
| MD Overseas | Gold | India | ||
| Metallix Refining Inc. | Gold | United States | ||
| Modeltech Sdn Bhd | Gold | Malaysia |
17
| Smelter or Refiner Name | Mineral | Smelter or Refiner Location | ||
| Morris and Watson | Gold | New Zealand | ||
| Moscow Special Alloys Processing Plant | Gold | Russian Federation | ||
| OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) | Gold | Russian Federation | ||
| OJSC Novosibirsk Refinery | Gold | Russian Federation | ||
| Pease & Curren | Gold | United States | ||
| Penglai Penggang Gold Industry Co., Ltd. | Gold | China | ||
| Prioksky Plant of Non-Ferrous Metals | Gold | Russian Federation | ||
| QG Refining, LLC | Gold | United States | ||
| Refinery of Seemine Gold Co., Ltd. | Gold | China | ||
| Sabin Metal Corp. | Gold | United States | ||
| Sai Refinery | Gold | India | ||
| SAMWON METALS Corp. | Gold | Korea, Republic of | ||
| Sellem Industries Ltd. | Gold | Mauritania | ||
| Shandong Humon Smelting Co., Ltd. | Gold | China | ||
| Shandong Tiancheng Biological Gold Industrial Co., Ltd. | Gold | China | ||
| Shenzhen Zhonghenglong Real Industry Co., Ltd. | Gold | China | ||
| Shirpur Gold Refinery Ltd. | Gold | India | ||
| SOE Shyolkovsky Factory of Secondary Precious Metals | Gold | Russian Federation | ||
| Sovereign Metals | Gold | India | ||
| State Research Institute Center for Physical Sciences and Technology | Gold | Lithuania | ||
| Sudan Gold Refinery | Gold | Sudan | ||
| Super Dragon Technology Co., Ltd. | Gold | Taiwan | ||
| Tongling Nonferrous Metals Group Co., Ltd. | Gold | China | ||
| Tony Goetz NV | Gold | Belgium | ||
| Value Trading | Gold | Belgium | ||
| Yunnan Copper Industry Co., Ltd. | Gold | China | ||
| An Vinh Joint Stock Mineral Processing Company | Tin | Viet Nam | ||
| Dongguan CiEXPO Environmental Engineering Co., Ltd. | Tin | China | ||
| Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | Tin | Viet Nam | ||
| Gejiu City Fuxiang Industry and Trade Co., Ltd. | Tin | China | ||
| Gejiu Kai Meng Industry and Trade LLC | Tin | China | ||
| Modeltech Sdn Bhd | Tin | Malaysia | ||
| Nghe Tinh Non-Ferrous Metals Joint Stock Company | Tin | Viet Nam | ||
| Pongpipat Company Limited | Tin | Myanmar | ||
| Precious Minerals and Smelting Limited | Tin | India | ||
| PT Aries Kencana Sejahtera | Tin | Indonesia | ||
| PT Belitung Industri Sejahtera | Tin | Indonesia | ||
| PT Panca Mega Persada | Tin | Indonesia | ||
| PT Tirus Putra Mandiri | Tin | Indonesia | ||
| PT Tommy Utama | Tin | Indonesia |
18
| Smelter or Refiner Name | Mineral | Smelter or Refiner Location | ||
| Tuyen Quang Non-Ferrous Metals Joint Stock Company | Tin | Viet Nam | ||
| VQB Mineral and Trading Group JSC | Tin | Viet Nam | ||
| Yunnan Yunfan Non-ferrous Metals Co., Ltd. | Tin | China | ||
| Artek LLC | Tungsten | Russian Federation | ||
| CNMC (Guangxi) PGMA Co., Ltd. | Tungsten | China | ||
| Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. | Tungsten | China |
19
