Exhibit 1.01
General Electric Company
2018 Conflict Minerals Report
Introduction
General Electric Company (“GE” or the “Company”) has prepared this Conflict Minerals Report (“Report”) for the year ended December 31, 2018, as provided for in Rule 13p-1 of the Securities Exchange Act of 1934, as amended, and Form SD (collectively, the “Conflict Minerals Rule”). GE manufactures a wide range of products that contain tin, tantalum, tungsten or gold (“3TG”) but GE does not purchase ore or unrefined 3TG from mines and generally is many steps removed in the supply chain from the mining of these minerals. We purchase materials from a wide network of suppliers and rely on them to assist with our reasonable country of origin inquiry regarding the 3TG that are necessary to the functionality or production of products we manufacture. After performing our reasonable country of origin inquiry and due diligence for 2018, we have reason to believe that a portion of the 3TG used in our products may have originated in the Covered Countries (as defined below) and may not be solely from recycled or scrap sources and we are therefore submitting this Report, which describes the due diligence we have performed pursuant to the Conflict Minerals Rule and our related processes and procedures.
This Report describes:
| • | the due diligence we performed for 2018, including the steps we took to mitigate the risk that 3TG in our products benefit armed groups; |
| • | the products that we have reason to believe might contain 3TG originating from the Democratic Republic of the Congo or an adjoining country (collectively, the “Covered Countries”); and |
| • | information about the processing facilities and countries of origin of 3TG used in those products. |
Reasonable Country of Origin Inquiry and Due Diligence Process
| 1. | Design of GE’s due diligence measures |
GE has adopted Conflict Minerals Guidelines (the “Guidelines”) that lay out the design of our 3TG due diligence process, based on our broader ethical supply chain program. The Guidelines describe procedures that each GE business is expected to use to perform due diligence on the source and origin of 3TG contained in products we manufacture. GE management designed our due diligence measures to conform in material respects to the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas including, the Supplement on Tin, Tantalum, and Tungsten and the Supplement on Gold (Third Edition) (the “OECD Guidance”).
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This description of due diligence measures refers to measures performed at the GE corporate level and by the following GE businesses: Power, Renewable Energy, Aviation, Healthcare, Transportation and Lighting. Our Oil & Gas business merged with Baker Hughes Incorporated (“BHI”) in July 2017. For due diligence measures information regarding our legacy Oil & Gas business, please refer to the Form SD filing by Baker Hughes, a GE company (“BHGE”).
This description is presented pursuant to the organizational structure of the Five-Step Framework for Risk-Based Due Diligence in the Mineral Supply Chain contained in the OECD Guidance.
Step 1: Establish strong company management systems
| A. | Adopt and commit to a supply chain policy for minerals originating from conflict-affected and high-risk areas |
The Guidelines contain the operative provisions of GE’s Statement on Conflict Minerals, which can be found on GE’s website, as well as the process for ensuring that risks are adequately managed. GE Corporate created and disseminated the Guidelines to each GE business for execution of GE’s 3TG due diligence process. Additional GE policies that relate to the due diligence measures contained in the OECD Guidance are incorporated into GE’s policy document The Spirit & The Letter, which can be found on GE’s website (for each of these materials, see “Where You Can Find Additional Information” below).
| B. | Structure internal management systems to support supply chain due diligence |
GE Corporate. GE’s Global Law & Policy organization has oversight responsibility for GE’s Statement on Conflict Minerals, including the establishment of processes and procedures to carry out this statement.
GE businesses. Each GE business has:
| • | established a system to support due diligence of its supply chain; |
| • | documented that system in a written business program; and |
| • | assigned responsibility for the execution of the business program to specific personnel. |
Internal reporting. For 2018, GE Corporate used the following 3TG due diligence reporting mechanisms:
| • | Reporting within GE businesses: Each GE business conducted one or more reviews of its 3TG due diligence program with senior management covering measurements relating to efforts to achieve supply chain transparency; |
| • | Communicating across GE businesses: Representatives of GE businesses and others responsible for executing 3TG due diligence held regularly scheduled meetings to discuss design and modification of the due diligence process, share best practices among the businesses, and monitor progress of the 3TG due diligence process; and |
| • | Reporting to GE sourcing leaders: Sourcing leaders at each GE business periodically receive reports and review the 3TG due diligence program. |
| C. | Establish a system of controls and transparency over the 3TG supply chain |
Identifying suppliers. Each GE business identified:
| • | Relevant Suppliers: suppliers that provide inputs to GE products that are known or are likely to contain 3TG through a process that is based on an examination of internal records such as bills of |
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material or other product specifications, a qualitative review of sourcing records, or information provided by the supplier; and
| • | Significant Suppliers: those suppliers within the universe of Relevant Suppliers that are most significant to GE’s 3TG due diligence program, using criteria developed by each business, such as the amount of sourcing spend with the supplier. |
Identifying smelters and refiners in the supply chain. Each GE business identified all smelters and refiners (“SORs”) of 3TG that are first-tier suppliers to GE and used its best efforts to identify additional SORs by surveying Significant Suppliers, either directly or indirectly through an independent third-party supply chain expert, using the Responsible Minerals Initiative’s (“RMI”) Conflict Minerals Reporting Template (“CMRT”). The survey tools are designed to collect, manage and archive (for at least five years) supplier information relevant for 3TG due diligence including, among other things, the identity of SORs of 3TG in each supplier’s supply chain. Each GE business reviews supplier responses for completeness, accuracy and credibility, and follows up with Significant Suppliers whose survey responses are identified as having potentially incomplete or inaccurate information, in order to seek more complete information.
Conducting a reasonable country of origin inquiry (“RCOI”). GE relies on the information made available through the Responsible Minerals Assurance Process (“RMAP”) administered by RMI, as well as information from an independent third-party supply chain expert for upstream due diligence to identify countries of origin and other relevant information about the conflict status of metals produced by the SORs identified as potentially in GE’s supply chain. GE relied on this information from vendors to identify (1) the status of SORs potentially in GE’s supply chain; and (2) the countries of origin of ores that are potentially in the supply chains of these SORs. Where the data showed that ores utilized by one or more of these smelters or refiners were sourced from a Covered Country, GE concluded that there is reason to believe that 3TG from the Covered Countries may be present in the products of the business for which such smelters or refiners were reported as potentially in the supply chain. Due to business confidentiality and other competitive concerns, as recognized by the OECD Guidance, the RMI does not publish detailed information on specific mine and location of origin of ores that supply the SORs subject to verification reviews. Consequently, no such information is provided in this Report. RMI’s efforts to determine such information is described on the RMI website (see “Where You Can Find Additional Information” below). In addition, certain Significant Suppliers provided CMRTs with additional mine or location of origin information, and that information was also included in our RCOI.
| D. | Strengthen company engagement with suppliers |
Regular communications. GE regularly communicates its expectations on responsible supply chains of 3TG by transmitting surveys and other communications from the sourcing organizations of the GE businesses to Significant Suppliers and other Relevant Suppliers. In addition, the sourcing organizations of GE’s businesses make training available to their suppliers on GE’s 3TG due diligence program.
Contractual obligations. Each GE business contractually obligates Relevant Suppliers to (1) adopt policies and establish systems to procure 3TG from sources that have been verified as conflict free; and (2) provide supporting data on their 3TG supply chains to GE when requested, on a platform to be designated by GE. These obligations are reflected in GE’s Integrity Guide for Suppliers, Contractors and Consultants (“Integrity Guide”), which can be found on GE’s website (see “Where You Can Find Additional Information” below). Purchase order and contract terms and conditions in use by GE businesses require suppliers to conform their behavior to the Integrity Guide, and generally provide GE with audit rights and the right to terminate the contract in the event of material non-compliance.
| E. | Establish a company-level grievance mechanism |
Integrity Guide. The Integrity Guide provides multiple methods for suppliers and supplier personnel to raise concerns about matters that are subject to the Integrity Guide, including GE’s expectations of suppliers regarding 3TG due diligence.
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Open reporting system. Each GE business also has an open reporting system through which employees and third parties may report concerns about policy violations, including concerns related to our 3TG policies. Concerns can be reported anonymously or for attribution through several channels, including any compliance resource (e.g. GE legal counsel or auditor), by calling the GE integrity helpline at (800) 227-5003, or by emailing the GE Ombudsman at ombudsperson@corporate.ge.com.
No retaliation. Both the Integrity Guide and the open reporting system forbid retaliation against any person reporting an integrity concern.
Step 2: Identify and assess risks in the supply chain
| A. | Use best efforts to identify the smelters and refiners in the supply chain |
During 2018, using the processes described above under “Establish a system of controls and transparency over the 3TG supply chain,” GE businesses identified 8,453 Relevant Suppliers (down from 18,208 in 2017), including 4,615 Significant Suppliers (down from 5,931 in 2017). These year-over-year changes are primarily the result of business unit sales, the exclusion of BHGE from our analysis (which is reported separately by BHGE) and improvements in our due diligence efforts. The businesses followed up with the Significant Suppliers that did not respond to the request within the specified time frame. The information was requested from each Significant Supplier multiple times by email and phone, to the extent the supplier continued to be non-responsive. Our Significant Suppliers, mostly reporting at a company level, identified 322 SORs that were potentially in their supply chains (versus 316 in 2017). See Table A below for a list of these SORs and a summary of their validation status under the RMAP.
| B. | Identify the scope of the risk assessment of the 3TG supply chain |
Engaging with suppliers. GE’s 3TG supplier survey asks suppliers to identify SORs of 3TG in their supply chains. For Significant Suppliers that are identified as either not having a responsible 3TG sourcing policy or not implementing due diligence measures for conflict-free sourcing, we encourage those suppliers to implement such measures. We seek to engage all Significant Suppliers to encourage the SORs in their supply chains to become validated as conformant by the RMAP or a similar program.
The GE Businesses seek to continuously improve 3TG due diligence efforts to reduce 3TG supply chain risk by encouraging suppliers to source from conformant SORs. For 2018, these efforts increased the number of SORs in our supply chain that have been verified as conformant by 2% to 256. As a result, 80% of the SORs identified by our Significant Suppliers have been verified as conformant (up from 35% in 2013, when we started our 3TG due diligence program). In addition, the sourcing organizations of GE’s businesses provided specialized training to suppliers on GE’s 3TG due diligence program.
Engaging with smelters and refiners. In addition to engaging with SORs through the RMAP, GE’s businesses that buy tungsten products directly from a tungsten smelter (the “first-tier tungsten smelter”) periodically review its audit status and encourage the first-tier tungsten smelter to maintain its RMI Conformant status. See “Devise and adopt a risk management plan” below for additional information on our engagement efforts.
| C. | Assess whether the smelters/refiners have carried out all elements of due diligence for responsible supply chains of 3TG from conflict-affected and high-risk areas |
We review the smelter and refiner information provided by the Significant Suppliers against the Smelter Look-up tab list of the RMI’s CMRT and to the extent that a smelter or refiner identified by a Significant Supplier is not on that list, we take additional steps to verify whether the listed entity is a smelter or refiner. Identified SORs were reviewed against the RMI’s list of “Conformant” or “Active” SORs published in connection with the RMAP. If a smelter or refiner identified by a Significant Supplier is not listed as Conformant, or equivalent by another RMI cross-recognized, independent third-party audit program, we consult publicly available information or through
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industry associations, we attempt to contact the smelter or refiner to attempt to determine whether that smelter or refiner has a responsible 3TG sourcing process.
| D. | Where necessary, carry out joint spot checks at the mineral smelter or refiner’s own facilities (including through participation in industry-driven programs) |
First-tier suppliers. Each GE business is responsible for confirming that each of its first-tier suppliers that are SORs (if any):
| • | has a policy and procedures to eliminate sourcing of conflict-supporting 3TG; |
| • | has been subject to an audit of the origin of their 3TG supplies conducted in accordance with OECD Guidance or has made a firm commitment to undergo such an audit as soon as it can be scheduled; and |
| • | passes the audit as being conflict-free or, having failed the audit, has established and put into place a plan to correct process deficiencies. |
Lower-tier (upstream) suppliers. In accordance with OECD Guidance, including its audit recommendations for downstream companies, GE implements upstream audits by participating in and cooperating with industry organizations. GE is a member of RMI (member code GECO) and has, periodically, supported RMI and RMAP through membership on various committees and working groups. As such, GE relies on the RMAP to conduct risk assessment at the upstream level. For each smelter identified in its supply chain at the first or lower tiers, each GE business assesses the information available from the RMAP and an independent third-party supply chain expert to determine whether there are any high-risk (as defined below) smelters or refiners and, if needed, develops a corrective action plan. We encourage removing any high-risk smelters from our supply chain.
Step 3: Design and implement a strategy to respond to identified risks
| A. | Report findings to designated senior management |
See “Structure internal management systems to support supply chain due diligence” above for a description of GE’s 3TG due diligence internal reporting processes.
| B. | Devise and adopt a risk management plan |
Across GE. Each GE business periodically compiles a report of 3TG risks identified in its supply chain for review by the GE business executive-level program owner to determine appropriate steps to take in mitigating any risks identified during the 3TG due diligence process. In 2018, these steps focused on reducing risk by encouraging Significant Suppliers who identified high-risk SORs to remove them from their supply chains. A high-risk smelter or refiner is one for which there are credible reports that such smelter or refiner sources materials in a manner that directly or indirectly finances armed conflict. For Significant Suppliers who identified high-risk SORs, the relevant GE business sent such supplier a letter requesting: (1) that that supplier confirm whether these SORs are in fact in their supply chain, and if so, whether such materials are used in GE products, (2) that the supplier encourage these SORs to participate in the RMAP and (3) that if a smelter or refiner refuses to participate in the RMAP, such supplier should develop a plan to remove the smelter or refiner from its supply chain. In addition, in 2018, the Aerospace Industries Association, of which GE is a member, sent a letter to a number of SORs in the aerospace industry supply chain urging them to participate in the RMAP, as it has in prior years.
Step 4: Carry out independent 3rd-party audit of smelter/refiner’s due diligence practices
See “Where necessary, carry out joint spot checks at the mineral smelter or refiner’s own facilities (including through participation in industry-driven programs)” above for a discussion of how GE conducted risk assessment at the upstream level.
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Step 5: Report annually on supply chain due diligence
We file this Report annually, and a copy of it is available at https://www.ge.com/sustainability/reports-hub.
RCOI and Due Diligence Results
GE manufactures a wide range of products that contain 3TG. For a description of the products manufactured by GE in 2018, see the products description for each of our industrial businesses – Power, Renewable Energy, Oil & Gas, Aviation, Healthcare, Transportation and Lighting – on pages 14-33 of our 2018 Annual Report on Form 10-K, which are incorporated into this Report by reference and which you can find at https://www.ge.com/investor-relations/annual-report.
GE purchases materials from a wide network of suppliers so we necessarily rely on them to assist with our reasonable country of origin inquiry. After performing an RCOI and due diligence for 2018, we have reason to believe that tungsten sourced from the first-tier tungsten smelter may be sourced from a Covered Country, however, that smelter is verified as conformant by the RMI. Based on information RMI makes available to its members, we have reason to believe that some of the necessary 3TG in our products were sourced from Covered Countries. We are unaware and have no knowledge that any of the necessary 3TG contained in our in-scope products directly or indirectly financed or benefitted armed groups in a Covered Country, but make no assertion that any of our products are “DRC conflict free.”
Smelters and Refiners Used to Process 3TG in GE Products
GE obtained information about the SORs used to process 3TG in our products through the due diligence measures described in this Report. Table A provides a list of the first-tier tungsten smelter as well as the SORs that GE’s Significant Suppliers identified as being present in their supply chains and that may have processed 3TG contained in in-scope GE products.
Countries of Origin of 3TG in GE Products
GE relies on information RMI makes available to its members to obtain information about the country of origin and mine or location of origin of 3TG in GE products. Table B below contains a list of known countries of origin of 3TG used by SORs that GE suppliers identified as potentially being present in their supply chains.
In addition, certain Significant Suppliers provided CMRTs with additional mine or location of origin information, and that information is marked with an asterisk in Table B, because it has not been verified by the RMI or an equivalent third-party. For 2018, most Significant Suppliers provided company level responses, which may include country of origin information for parts not sold to GE. Therefore, we are unable to determine whether any 3TG in GE products actually sourced from the countries listed in Table B. For 2018, we were not able to determine the country of origin for the 3TG processed by any of the smelters or refiners listed as “Active” or “On Smelter Look-up Tab List Only.”
Future Risk Mitigation Efforts
2019 actions to improve due diligence and supplier engagement. GE intends to take the following steps in 2019 to improve 3TG due diligence and thereby mitigate the risk that 3TG contained in in-scope GE products may benefit armed groups:
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| • | continue communication with suppliers and spread best practices learned during execution of the 3TG due diligence process in 2018 across the GE businesses to continue to work to improve the percentage of Significant Suppliers responding to GE’s supply chain surveys and the quality of their responses, including requesting that suppliers provide information at a product level; |
| • | continue the identification of and communication with SORs in GE’s supply chain, both directly and indirectly through GE’s Significant Suppliers, in order to continue to increase the number of SORs that participate in the RMAP; |
| • | continue to participate in industry initiatives encouraging responsible supply chains, including initiatives to add cobalt and other minerals to the scope; and |
| • | as new Significant Suppliers are added, work with these suppliers to help ensure that they understand our compliance requirements, the requirements of the Conflict Minerals Rule and the OECD Guidance. |
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Table A
(as of April 23, 2019)
Summary of Smelters and Refiners
# of Smelters and Refiners Reported in Our Supply Chain
| Conformant | Active | On Smelter Look-up Tab List Only | Total | |||||
| 2017 | 2018 | 2017 | 2018 | 2017 | 2018 | 2017 | 2018 | |
| Tantalum | 40 | 40 | 0 | 0 | 0 | 0 | 40 | 40 |
| Tin | 72 | 75 | 2 | 2 | 9 | 9 | 83 | 86 |
| Tungsten | 40 | 40 | 1 | 1 | 4 | 2 | 45 | 43 |
| Gold | 99 | 101 | 8 | 4 | 41 | 48 | 148 | 153 |
| Total | 251 | 256 | 11 | 7 | 54 | 59 | 316 | 322 |
We note the following in connection with the information contained in the foregoing table:
| (1) | The SORs reflected in the table were the first-tier tungsten smelter or were identified by our Significant Suppliers as potentially being part of our 2018 supply chain. However, not all of the included SORs may have processed the necessary 3TG contained in the in-scope products that we manufactured, since many Significant Suppliers reported to us at a “company level” the 3TG contained in all of their products, not just those in the products that they sold to us. Some Significant Suppliers also may have reported to us SORs that were not in our supply chain due to over-inclusiveness in the information received from their suppliers or for other reasons. In addition, the SORs reflected above may not be all of the SORs in our supply chain, since many Significant Suppliers were unable to identify all of the SORs used to process the necessary 3TG content contained in the in-scope products that we manufactured and not all of the Significant Suppliers responded to our inquiries. |
| (2) | “Conformant” means that a smelter or refiner was audited by the RMI and has been found to be conformant with the RMAP. |
| (3) | “Active” means participants in the RMAP that have committed to undergo an assessment and have scheduled the assessment date, or are participating in one of the cross-recognized certification programs. |
| (4) | A smelter or refiner is listed as “On Smelter Look-up Tab List Only” if it was not Conformant or Active but appears on the Smelter Look-up tab of the CMRT. |
| (5) | The table excludes three smelters that ceased operation in 2018. |
| (6) | The compliance status information reflected in the table is based solely on information made available by the RMI to its members, without independent verification by us. |
| Status of Identified Smelters and Refiners for 2018 | |||
| Metal | Smelter/Refiner Name | Smelter/Refiner Location | Status |
| Gold | 8853 S.p.A. | ITALY | Conformant |
| Gold | Advanced Chemical Company | UNITED STATES OF AMERICA | Conformant |
| Gold | Aida Chemical Industries Co., Ltd. | JAPAN | Conformant |
| Gold | Al Etihad Gold Refinery DMCC | UNITED ARAB EMIRATES | Conformant |
| Gold | Allgemeine Gold-und Silberscheideanstalt A.G. | GERMANY | Conformant |
| Gold | Almalyk Mining and Metallurgical Complex (AMMC) | UZBEKISTAN | Conformant |
| Gold | AngloGold Ashanti Corrego do Sitio Mineracao | BRAZIL | Conformant |
| Gold | Argor-Heraeus S.A. | SWITZERLAND | Conformant |
| Gold | Asahi Pretec Corp. | JAPAN | Conformant |
| Gold | Asahi Refining Canada Ltd. | CANADA | Conformant |
| Gold | Asahi Refining USA Inc. | UNITED STATES OF AMERICA | Conformant |
| Gold | Asaka Riken Co., Ltd. | JAPAN | Conformant |
| Gold | AU Traders and Refiners | SOUTH AFRICA | Conformant |
| Gold | Aurubis AG | GERMANY | Conformant |
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| Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | PHILIPPINES | Conformant |
| Gold | Boliden AB | SWEDEN | Conformant |
| Gold | C. Hafner GmbH + Co. KG | GERMANY | Conformant |
| Gold | CCR Refinery - Glencore Canada Corporation | CANADA | Conformant |
| Gold | Cendres + Metaux S.A. | SWITZERLAND | Conformant |
| Gold | Chimet S.p.A. | ITALY | Conformant |
| Gold | Daejin Indus Co., Ltd. | KOREA, REPUBLIC OF | Conformant |
| Gold | DODUCO Contacts and Refining GmbH | GERMANY | Conformant |
| Gold | Dowa | JAPAN | Conformant |
| Gold | DS PRETECH Co., Ltd. | KOREA, REPUBLIC OF | Conformant |
| Gold | DSC (Do Sung Corporation) | KOREA, REPUBLIC OF | Conformant |
| Gold | Eco-System Recycling Co., Ltd. | JAPAN | Conformant |
| Gold | Emirates Gold DMCC | UNITED ARAB EMIRATES | Conformant |
| Gold | Geib Refining Corporation | UNITED STATES OF AMERICA | Conformant |
| Gold | Gold Refinery of Zijin Mining Group Co., Ltd. | CHINA | Conformant |
| Gold | HeeSung Metal Ltd. | KOREA, REPUBLIC OF | Conformant |
| Gold | Heimerle + Meule GmbH | GERMANY | Conformant |
| Gold | Heraeus Metals Hong Kong Ltd. | CHINA | Conformant |
| Gold | Heraeus Precious Metals GmbH & Co. KG | GERMANY | Conformant |
| Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | CHINA | Conformant |
| Gold | Ishifuku Metal Industry Co., Ltd. | JAPAN | Conformant |
| Gold | Istanbul Gold Refinery | TURKEY | Conformant |
| Gold | Italpreziosi | ITALY | Conformant |
| Gold | Japan Mint | JAPAN | Conformant |
| Gold | Jiangxi Copper Co., Ltd. | CHINA | Conformant |
| Gold | JSC Uralelectromed | RUSSIAN FEDERATION | Conformant |
| Gold | JX Nippon Mining & Metals Co., Ltd. | JAPAN | Conformant |
| Gold | Kazzinc | KAZAKHSTAN | Conformant |
| Gold | Kennecott Utah Copper LLC | UNITED STATES OF AMERICA | Conformant |
| Gold | Kojima Chemicals Co., Ltd. | JAPAN | Conformant |
| Gold | Korea Zinc Co., Ltd. | KOREA, REPUBLIC OF | Conformant |
| Gold | Kyrgyzaltyn JSC | KYRGYZSTAN | Conformant |
| Gold | L'Orfebre S.A. | ANDORRA | Conformant |
| Gold | LS-NIKKO Copper Inc. | KOREA, REPUBLIC OF | Conformant |
| Gold | Marsam Metals | BRAZIL | Conformant |
| Gold | Materion | UNITED STATES OF AMERICA | Conformant |
| Gold | Matsuda Sangyo Co., Ltd. | JAPAN | Conformant |
| Gold | Metalor Technologies (Hong Kong) Ltd. | CHINA | Conformant |
| Gold | Metalor Technologies (Singapore) Pte., Ltd. | SINGAPORE | Conformant |
| Gold | Metalor Technologies (Suzhou) Ltd. | CHINA | Conformant |
| Gold | Metalor Technologies S.A. | SWITZERLAND | Conformant |
| Gold | Metalor USA Refining Corporation | UNITED STATES OF AMERICA | Conformant |
| Gold | Metalurgica Met-Mex Penoles S.A. De C.V. | MEXICO | Conformant |
| Gold | Mitsubishi Materials Corporation | JAPAN | Conformant |
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| Gold | Mitsui Mining and Smelting Co., Ltd. | JAPAN | Conformant |
| Gold | MMTC-PAMP India Pvt., Ltd. | INDIA | Conformant |
| Gold | Moscow Special Alloys Processing Plant | RUSSIAN FEDERATION | Conformant |
| Gold | Nadir Metal Rafineri San. Ve Tic. A.S. | TURKEY | Conformant |
| Gold | Nihon Material Co., Ltd. | JAPAN | Conformant |
| Gold | Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH | AUSTRIA | Conformant |
| Gold | Ohura Precious Metal Industry Co., Ltd. | JAPAN | Conformant |
| Gold | OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) | RUSSIAN FEDERATION | Conformant |
| Gold | OJSC Novosibirsk Refinery | RUSSIAN FEDERATION | Conformant |
| Gold | PAMP S.A. | SWITZERLAND | Conformant |
| Gold | Planta Recuperadora de Metales SpA | CHILE | Conformant |
| Gold | Prioksky Plant of Non-Ferrous Metals | RUSSIAN FEDERATION | Conformant |
| Gold | PT Aneka Tambang (Persero) Tbk | INDONESIA | Conformant |
| Gold | PX Precinox S.A. | SWITZERLAND | Conformant |
| Gold | Rand Refinery (Pty) Ltd. | SOUTH AFRICA | Conformant |
| Gold | REMONDIS PMR B.V. | NETHERLANDS | Conformant |
| Gold | Royal Canadian Mint | CANADA | Conformant |
| Gold | SAAMP | FRANCE | Conformant |
| Gold | Safimet S.p.A | ITALY | Conformant |
| Gold | SAXONIA Edelmetalle GmbH | GERMANY | Conformant |
| Gold | SEMPSA Joyeria Plateria S.A. | SPAIN | Conformant |
| Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | CHINA | Conformant |
| Gold | Sichuan Tianze Precious Metals Co., Ltd. | CHINA | Conformant |
| Gold | Singway Technology Co., Ltd. | TAIWAN, PROVINCE OF CHINA | Conformant |
| Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | RUSSIAN FEDERATION | Conformant |
| Gold | Solar Applied Materials Technology Corp. | TAIWAN, PROVINCE OF CHINA | Conformant |
| Gold | Sumitomo Metal Mining Co., Ltd. | JAPAN | Conformant |
| Gold | SungEel HiMetal Co., Ltd. | KOREA, REPUBLIC OF | Conformant |
| Gold | T.C.A S.p.A | ITALY | Conformant |
| Gold | Tanaka Kikinzoku Kogyo K.K. | JAPAN | Conformant |
| Gold | The Refinery of Shandong Gold Mining Co., Ltd. | CHINA | Conformant |
| Gold | Tokuriki Honten Co., Ltd. | JAPAN | Conformant |
| Gold | Torecom | KOREA, REPUBLIC OF | Conformant |
| Gold | Umicore Brasil Ltda. | BRAZIL | Conformant |
| Gold | Umicore Precious Metals Thailand | THAILAND | Conformant |
| Gold | Umicore S.A. Business Unit Precious Metals Refining | BELGIUM | Conformant |
| Gold | United Precious Metal Refining, Inc. | UNITED STATES OF AMERICA | Conformant |
| Gold | Valcambi S.A. | SWITZERLAND | Conformant |
| Gold | Western Australian Mint (T/a The Perth Mint) | AUSTRALIA | Conformant |
| Gold | WIELAND Edelmetalle GmbH | GERMANY | Conformant |
| Gold | Yamakin Co., Ltd. | JAPAN | Conformant |
| Gold | Yokohama Metal Co., Ltd. | JAPAN | Conformant |
| Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | CHINA | Conformant |
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| Gold | Bangalore Refinery | INDIA | Active |
| Gold | Chugai Mining | JAPAN | Active |
| Gold | KGHM Polska Miedz Spolka Akcyjna | POLAND | Active |
| Gold | NH Recytech Company | KOREA, REPUBLIC OF | Active |
| Gold | Abington Reldan Metals, LLC | UNITED STATES OF AMERICA | On Smelter Look-up Tab List Only |
| Gold | African Gold Refinery | UGANDA | On Smelter Look-up Tab List Only |
| Gold | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | TURKEY | On Smelter Look-up Tab List Only |
| Gold | Caridad | MEXICO | On Smelter Look-up Tab List Only |
| Gold | Daye Non-Ferrous Metals Mining Ltd. | CHINA | On Smelter Look-up Tab List Only |
| Gold | Degussa Sonne / Mond Goldhandel GmbH | GERMANY | On Smelter Look-up Tab List Only |
| Gold | Dijllah Gold Refinery FZC | UNITED ARAB EMIRATES | On Smelter Look-up Tab List Only |
| Gold | Fidelity Printers and Refiners Ltd. | ZIMBABWE | On Smelter Look-up Tab List Only |
| Gold | Fujairah Gold FZC | UNITED ARAB EMIRATES | On Smelter Look-up Tab List Only |
| Gold | GCC Gujrat Gold Centre Pvt. Ltd. | INDIA | On Smelter Look-up Tab List Only |
| Gold | Great Wall Precious Metals Co., Ltd. of CBPM | CHINA | On Smelter Look-up Tab List Only |
| Gold | Guangdong Jinding Gold Limited | CHINA | On Smelter Look-up Tab List Only |
| Gold | Guoda Safina High-Tech Environmental Refinery Co., Ltd. | CHINA | On Smelter Look-up Tab List Only |
| Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. | CHINA | On Smelter Look-up Tab List Only |
| Gold | Hunan Chenzhou Mining Co., Ltd. | CHINA | On Smelter Look-up Tab List Only |
| Gold | Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd. | CHINA | On Smelter Look-up Tab List Only |
| Gold | HwaSeong CJ CO., LTD. | KOREA, REPUBLIC OF | On Smelter Look-up Tab List Only |
| Gold | International Precious Metal Refiners | UNITED ARAB EMIRATES | On Smelter Look-up Tab List Only |
| Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | RUSSIAN FEDERATION | On Smelter Look-up Tab List Only |
| Gold | Kaloti Precious Metals | UNITED ARAB EMIRATES | On Smelter Look-up Tab List Only |
| Gold | Kazakhmys Smelting LLC | KAZAKHSTAN | On Smelter Look-up Tab List Only |
| Gold | Kyshtym Copper-Electrolytic Plant ZAO | RUSSIAN FEDERATION | On Smelter Look-up Tab List Only |
| Gold | L'azurde Company For Jewelry | SAUDI ARABIA | On Smelter Look-up Tab List Only |
| Gold | Lingbao Gold Co., Ltd. | CHINA | On Smelter Look-up Tab List Only |
| Gold | Lingbao Jinyuan Tonghui Refinery Co., Ltd. | CHINA | On Smelter Look-up Tab List Only |
| Gold | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | CHINA | On Smelter Look-up Tab List Only |
A-4
| Gold | Modeltech Sdn Bhd | MALAYSIA | On Smelter Look-up Tab List Only |
| Gold | Morris and Watson | NEW ZEALAND | On Smelter Look-up Tab List Only |
| Gold | Morris and Watson Gold Coast | AUSTRALIA | On Smelter Look-up Tab List Only |
| Gold | Navoi Mining and Metallurgical Combinat | UZBEKISTAN | On Smelter Look-up Tab List Only |
| Gold | Pease & Curren | UNITED STATES OF AMERICA | On Smelter Look-up Tab List Only |
| Gold | Penglai Penggang Gold Industry Co., Ltd. | CHINA | On Smelter Look-up Tab List Only |
| Gold | QG Refining, LLC | UNITED STATES OF AMERICA | On Smelter Look-up Tab List Only |
| Gold | Refinery of Seemine Gold Co., Ltd. | CHINA | On Smelter Look-up Tab List Only |
| Gold | Sabin Metal Corp. | UNITED STATES OF AMERICA | On Smelter Look-up Tab List Only |
| Gold | SAFINA A.S. | CZECH REPUBLIC | On Smelter Look-up Tab List Only |
| Gold | Sai Refinery | INDIA | On Smelter Look-up Tab List Only |
| Gold | Samduck Precious Metals | KOREA, REPUBLIC OF | On Smelter Look-up Tab List Only |
| Gold | Samwon Metals Corp. | KOREA, REPUBLIC OF | On Smelter Look-up Tab List Only |
| Gold | Shandong Humon Smelting Co., Ltd. | CHINA | On Smelter Look-up Tab List Only |
| Gold | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | CHINA | On Smelter Look-up Tab List Only |
| Gold | State Research Institute Center for Physical Sciences and Technology | LITHUANIA | On Smelter Look-up Tab List Only |
| Gold | Sudan Gold Refinery | SUDAN | On Smelter Look-up Tab List Only |
| Gold | Tongling Nonferrous Metals Group Co., Ltd. | CHINA | On Smelter Look-up Tab List Only |
| Gold | Tony Goetz NV | BELGIUM | On Smelter Look-up Tab List Only |
| Gold | TOO Tau-Ken-Altyn | KAZAKHSTAN | On Smelter Look-up Tab List Only |
| Gold | Universal Precious Metals Refining Zambia | ZAMBIA | On Smelter Look-up Tab List Only |
| Gold | Yunnan Copper Industry Co., Ltd. | CHINA | On Smelter Look-up Tab List Only |
| Tantalum | Asaka Riken Co., Ltd. | JAPAN | Conformant |
| Tantalum | Changsha South Tantalum Niobium Co., Ltd. | CHINA | Conformant |
| Tantalum | D Block Metals, LLC | UNITED STATES OF AMERICA | Conformant |
| Tantalum | Exotech Inc. | UNITED STATES OF AMERICA | Conformant |
| Tantalum | F&X Electro-Materials Ltd. | CHINA | Conformant |
| Tantalum | FIR Metals & Resource Ltd. | CHINA | Conformant |
| Tantalum | Global Advanced Metals Aizu | JAPAN | Conformant |
| Tantalum | Global Advanced Metals Boyertown | UNITED STATES OF AMERICA | Conformant |
| Tantalum | Guangdong Rising Rare Metals-EO Materials Ltd. | CHINA | Conformant |
| Tantalum | Guangdong Zhiyuan New Material Co., Ltd. | CHINA | Conformant |
| Tantalum | H.C. Starck Co., Ltd. | THAILAND | Conformant |
A-5
| Tantalum | H.C. Starck Hermsdorf GmbH | GERMANY | Conformant |
| Tantalum | H.C. Starck Inc. | UNITED STATES OF AMERICA | Conformant |
| Tantalum | H.C. Starck Ltd. | JAPAN | Conformant |
| Tantalum | H.C. Starck Smelting GmbH & Co. KG | GERMANY | Conformant |
| Tantalum | H.C. Starck Tantalum and Niobium GmbH | GERMANY | Conformant |
| Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | CHINA | Conformant |
| Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | CHINA | Conformant |
| Tantalum | Jiangxi Tuohong New Raw Material | CHINA | Conformant |
| Tantalum | Jiujiang Janny New Material Co., Ltd. | CHINA | Conformant |
| Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | CHINA | Conformant |
| Tantalum | Jiujiang Tanbre Co., Ltd. | CHINA | Conformant |
| Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | CHINA | Conformant |
| Tantalum | KEMET Blue Metals | MEXICO | Conformant |
| Tantalum | KEMET Blue Powder | UNITED STATES OF AMERICA | Conformant |
| Tantalum | LSM Brasil S.A. | BRAZIL | Conformant |
| Tantalum | Metallurgical Products India Pvt., Ltd. | INDIA | Conformant |
| Tantalum | Mineracao Taboca S.A. | BRAZIL | Conformant |
| Tantalum | Mitsui Mining and Smelting Co., Ltd. | JAPAN | Conformant |
| Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | CHINA | Conformant |
| Tantalum | NPM Silmet AS | ESTONIA | Conformant |
| Tantalum | Power Resources Ltd. | NORTH MACEDONIA, REPUBLIC OF | Conformant |
| Tantalum | QuantumClean | UNITED STATES OF AMERICA | Conformant |
| Tantalum | Resind Industria e Comercio Ltda. | BRAZIL | Conformant |
| Tantalum | Solikamsk Magnesium Works OAO | RUSSIAN FEDERATION | Conformant |
| Tantalum | Taki Chemical Co., Ltd. | JAPAN | Conformant |
| Tantalum | Telex Metals | UNITED STATES OF AMERICA | Conformant |
| Tantalum | Ulba Metallurgical Plant JSC | KAZAKHSTAN | Conformant |
| Tantalum | XinXing HaoRong Electronic Material Co., Ltd. | CHINA | Conformant |
| Tantalum | Yanling Jincheng Tantalum & Niobium Co., Ltd. | CHINA | Conformant |
| Tin | Alpha | UNITED STATES OF AMERICA | Conformant |
| Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | CHINA | Conformant |
| Tin | Chifeng Dajingzi Tin Industry Co., Ltd. | CHINA | Conformant |
| Tin | China Tin Group Co., Ltd. | CHINA | Conformant |
| Tin | CV Ayi Jaya | INDONESIA | Conformant |
| Tin | CV Dua Sekawan | INDONESIA | Conformant |
| Tin | CV Gita Pesona | INDONESIA | Conformant |
| Tin | CV United Smelting | INDONESIA | Conformant |
| Tin | CV Venus Inti Perkasa | INDONESIA | Conformant |
| Tin | Dowa | JAPAN | Conformant |
| Tin | EM Vinto | BOLIVIA | Conformant |
| Tin | Fenix Metals | POLAND | Conformant |
| Tin | Gejiu Fengming Metallurgy Chemical Plant | CHINA | Conformant |
| Tin | Gejiu Jinye Mineral Company | CHINA | Conformant |
| Tin | Gejiu Kai Meng Industry and Trade LLC | CHINA | Conformant |
| Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. | CHINA | Conformant |
A-6
| Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | CHINA | Conformant |
| Tin | Gejiu Zili Mining And Metallurgy Co., Ltd. | CHINA | Conformant |
| Tin | Guangdong Hanhe Non-Ferrous Metal Co., Ltd. | CHINA | Conformant |
| Tin | Guanyang Guida Nonferrous Metal Smelting Plant | CHINA | Conformant |
| Tin | Huichang Jinshunda Tin Co., Ltd. | CHINA | Conformant |
| Tin | Jiangxi New Nanshan Technology Ltd. | CHINA | Conformant |
| Tin | Magnu's Minerais Metais e Ligas Ltda. | BRAZIL | Conformant |
| Tin | Malaysia Smelting Corporation (MSC) | MALAYSIA | Conformant |
| Tin | Melt Metais e Ligas S.A. | BRAZIL | Conformant |
| Tin | Metallic Resources, Inc. | UNITED STATES OF AMERICA | Conformant |
| Tin | Metallo Belgium N.V. | BELGIUM | Conformant |
| Tin | Metallo Spain S.L.U. | SPAIN | Conformant |
| Tin | Mineracao Taboca S.A. | BRAZIL | Conformant |
| Tin | Minsur | PERU | Conformant |
| Tin | Mitsubishi Materials Corporation | JAPAN | Conformant |
| Tin | Modeltech Sdn Bhd | MALAYSIA | Conformant |
| Tin | O.M. Manufacturing (Thailand) Co., Ltd. | THAILAND | Conformant |
| Tin | O.M. Manufacturing Philippines, Inc. | PHILIPPINES | Conformant |
| Tin | Operaciones Metalurgicas S.A. | BOLIVIA | Conformant |
| Tin | PT Aries Kencana Sejahtera | INDONESIA | Conformant |
| Tin | PT Artha Cipta Langgeng | INDONESIA | Conformant |
| Tin | PT ATD Makmur Mandiri Jaya | INDONESIA | Conformant |
| Tin | PT Babel Inti Perkasa | INDONESIA | Conformant |
| Tin | PT Babel Surya Alam Lestari | INDONESIA | Conformant |
| Tin | PT Bangka Prima Tin | INDONESIA | Conformant |
| Tin | PT Bangka Serumpun | INDONESIA | Conformant |
| Tin | PT Bangka Tin Industry | INDONESIA | Conformant |
| Tin | PT Belitung Industri Sejahtera | INDONESIA | Conformant |
| Tin | PT Bukit Timah | INDONESIA | Conformant |
| Tin | PT DS Jaya Abadi | INDONESIA | Conformant |
| Tin | PT Inti Stania Prima | INDONESIA | Conformant |
| Tin | PT Karimun Mining | INDONESIA | Conformant |
| Tin | PT Kijang Jaya Mandiri | INDONESIA | Conformant |
| Tin | PT Lautan Harmonis Sejahtera | INDONESIA | Conformant |
| Tin | PT Menara Cipta Mulia | INDONESIA | Conformant |
| Tin | PT Mitra Stania Prima | INDONESIA | Conformant |
| Tin | PT Panca Mega Persada | INDONESIA | Conformant |
| Tin | PT Premium Tin Indonesia | INDONESIA | Conformant |
| Tin | PT Prima Timah Utama | INDONESIA | Conformant |
| Tin | PT Rajehan Ariq | INDONESIA | Conformant |
| Tin | PT Refined Bangka Tin | INDONESIA | Conformant |
| Tin | PT Sariwiguna Binasentosa | INDONESIA | Conformant |
| Tin | PT Stanindo Inti Perkasa | INDONESIA | Conformant |
| Tin | PT Sukses Inti Makmur | INDONESIA | Conformant |
| Tin | PT Sumber Jaya Indah | INDONESIA | Conformant |
| Tin | PT Timah Tbk Kundur | INDONESIA | Conformant |
A-7
| Tin | PT Timah Tbk Mentok | INDONESIA | Conformant |
| Tin | PT Tinindo Inter Nusa | INDONESIA | Conformant |
| Tin | PT Tirus Putra Mandiri | INDONESIA | Conformant |
| Tin | PT Tommy Utama | INDONESIA | Conformant |
| Tin | Resind Industria e Comercio Ltda. | BRAZIL | Conformant |
| Tin | Rui Da Hung | TAIWAN, PROVINCE OF CHINA | Conformant |
| Tin | Soft Metais Ltda. | BRAZIL | Conformant |
| Tin | Thai Nguyen Mining and Metallurgy Co., Ltd. | VIET NAM | Conformant |
| Tin | Thaisarco | THAILAND | Conformant |
| Tin | Tin Technology & Refining | UNITED STATES OF AMERICA | Conformant |
| Tin | White Solder Metalurgia e Mineracao Ltda. | BRAZIL | Conformant |
| Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | CHINA | Conformant |
| Tin | Yunnan Tin Company Limited | CHINA | Conformant |
| Tin | Dongguan CiEXPO Environmental Engineering Co., Ltd. | CHINA | Active |
| Tin | PT Rajawali Rimba Perkasa | INDONESIA | Active |
| Tin | An Vinh Joint Stock Mineral Processing Company | VIET NAM | On Smelter Look-up Tab List Only |
| Tin | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | VIET NAM | On Smelter Look-up Tab List Only |
| Tin | Estanho de Rondonia S.A. | BRAZIL | On Smelter Look-up Tab List Only |
| Tin | Gejiu City Fuxiang Industry and Trade Co., Ltd. | CHINA | On Smelter Look-up Tab List Only |
| Tin | HuiChang Hill Tin Industry Co., Ltd. | CHINA | On Smelter Look-up Tab List Only |
| Tin | Nghe Tinh Non-Ferrous Metals Joint Stock Company | VIET NAM | On Smelter Look-up Tab List Only |
| Tin | Pongpipat Company Limited | MYANMAR | On Smelter Look-up Tab List Only |
| Tin | Super Ligas | BRAZIL | On Smelter Look-up Tab List Only |
| Tin | Tuyen Quang Non-Ferrous Metals Joint Stock Company | VIET NAM | On Smelter Look-up Tab List Only |
| Tungsten | A.L.M.T. Corp. | JAPAN | Conformant |
| Tungsten | ACL Metais Eireli | BRAZIL | Conformant |
| Tungsten | Asia Tungsten Products Vietnam Ltd. | VIET NAM | Conformant |
| Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd. | CHINA | Conformant |
| Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | CHINA | Conformant |
| Tungsten | Fujian Jinxin Tungsten Co., Ltd. | CHINA | Conformant |
| Tungsten | Ganzhou Haichuang Tungsten Co., Ltd. | CHINA | Conformant |
| Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. | CHINA | Conformant |
| Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | CHINA | Conformant |
| Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | CHINA | Conformant |
| Tungsten | Global Tungsten & Powders Corp. | UNITED STATES OF AMERICA | Conformant |
| Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | CHINA | Conformant |
| Tungsten | H.C. Starck Smelting GmbH & Co. KG | GERMANY | Conformant |
| Tungsten | H.C. Starck Tungsten GmbH | GERMANY | Conformant |
| Tungsten | Hunan Chenzhou Mining Co., Ltd. | CHINA | Conformant |
| Tungsten | Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji | CHINA | Conformant |
A-8
| Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd. | CHINA | Conformant |
| Tungsten | Hydrometallurg, JSC | RUSSIAN FEDERATION | Conformant |
| Tungsten | Japan New Metals Co., Ltd. | JAPAN | Conformant |
| Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | CHINA | Conformant |
| Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | CHINA | Conformant |
| Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | CHINA | Conformant |
| Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | CHINA | Conformant |
| Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. | CHINA | Conformant |
| Tungsten | Kennametal Fallon | UNITED STATES OF AMERICA | Conformant |
| Tungsten | Kennametal Huntsville | UNITED STATES OF AMERICA | Conformant |
| Tungsten | Malipo Haiyu Tungsten Co., Ltd. | CHINA | Conformant |
| Tungsten | Masan Tungsten Chemical LLC (MTC) | VIET NAM | Conformant |
| Tungsten | Moliren Ltd. | RUSSIAN FEDERATION | Conformant |
| Tungsten | Niagara Refining LLC | UNITED STATES OF AMERICA | Conformant |
| Tungsten | Philippine Chuangxin Industrial Co., Inc. | PHILIPPINES | Conformant |
| Tungsten | South-East Nonferrous Metal Company Limited of Hengyang City | CHINA | Conformant |
| Tungsten | Tejing (Vietnam) Tungsten Co., Ltd. | VIET NAM | Conformant |
| Tungsten | Unecha Refractory metals plant | RUSSIAN FEDERATION | Conformant |
| Tungsten | Wolfram Bergbau und Hutten AG | AUSTRIA | Conformant |
| Tungsten | Woltech Korea Co., Ltd. | KOREA, REPUBLIC OF | Conformant |
| Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | CHINA | Conformant |
A-9
Table B
(as of April 23, 2019)
| Gold | Tantalum | Tin | Tungsten |
| Argentina | Australia | Australia | Australia |
| Armenia | Austria | Bolivia | Austria* |
| Australia | Bolivia | Brazil | Bolivia |
| Azerbaijan | Brazil | Burundi | Brazil |
| Benin | Burundi | China | Burundi |
| Bolivia | China | Colombia | Canada* |
| Botswana | Colombia | Democratic Republic of the Congo | China |
| Brazil | Democratic Republic of the Congo | Guinea | Colombia |
| Bulgaria* | Ethiopia | India* | Democratic Republic of the Congo |
| Burkina Faso | Guinea | Indonesia | Guinea |
| Burundi* | India | Laos | Indonesia |
| Canada | Madagascar | Malaysia | Kyrgyzstan* |
| Central African Republic* | Malaysia | Mongolia | Laos |
| Chile | Mozambique | Myanmar | Malaysia |
| China | Nigeria | Niger* | Mexico* |
| Colombia | Russian Federation | Nigeria | Mongolia |
| Congo* | Rwanda | Peru | Myanmar |
| Cyprus | Sierra Leone | Portugal | Nigeria |
| Democratic Republic of the Congo | Thailand | Russian Federation | Peru |
| Dominican Republic | Uganda* | Rwanda | Portugal* |
| Ecuador | recycled | Taiwan | Russian Federation |
| Egypt | Tanzania* | Rwanda | |
| Eritrea | Thailand | Spain* | |
| Ethiopia | Uganda | Taiwan | |
| Finland | United Kingdom of Great Britain and Northern Ireland | Thailand | |
| Georgia | Venezuela | Uganda* | |
| Ghana | Viet Nam* | United Kingdom of Great Britain and Northern Ireland | |
| Guatemala | recycled | United States of America | |
| Guinea | Uzbekistan* | ||
| Guyana | Viet Nam* | ||
| Honduras | recycled | ||
| India* | |||
| Indonesia | |||
| Iran | |||
| Ivory Coast | |||
| Japan* | |||
| Kazakhstan | |||
| Kenya | |||
| Kyrgyzstan | |||
| Laos | |||
| Lebanon | |||
| Liberia* | |||
A-10
| Gold | Tantalum | Tin | Tungsten |
| Malaysia | |||
| Mali | |||
| Mauritania | |||
| Mauritius | |||
| Mexico | |||
| Mongolia | |||
| Morocco | |||
| Mozambique* | |||
| Namibia | |||
| New Zealand* | |||
| Nicaragua | |||
| Niger | |||
| Papua New Guinea | |||
| Peru | |||
| Philippines | |||
| Poland* | |||
| Puerto Rico | |||
| Russian Federation | |||
| Rwanda* | |||
| Saudi Arabia | |||
| Senegal | |||
| Sierra Leone* | |||
| Slovakia | |||
| Solomon Islands | |||
| South Africa | |||
| South Sudan* | |||
| Spain | |||
| Suriname | |||
| Swaziland | |||
| Sweden | |||
| Tajikistan* | |||
| Tanzania | |||
| Thailand | |||
| Togo | |||
| Turkey | |||
| Uganda* | |||
| United States of America | |||
| Uruguay | |||
| Uzbekistan | |||
| Viet Nam* | |||
| Zambia | |||
| Zimbabwe | |||
| recycled | |||
A-11
Helpful Resources
Acronyms Used in This Report
3TG | Tin, Tantalum, Tungsten or Gold |
| CMRT | Conflict Minerals Reporting Template |
| DRC | Democratic Republic of the Congo |
| OECD | Organization for Economic Cooperation and Development |
| RMAP | Responsible Minerals Assurance Process (formerly the Conflict-Free Smelter Program) |
| RMI | Responsible Minerals Initiative (formerly the Conflict-Free Sourcing Initiative) |
| SEC | U.S. Securities and Exchange Commission |
| SORs | Smelters and Refiners |
Forward-Looking Statements
This Report contains "forward-looking statements" – that is, statements related to future events that by their nature address matters that are, to different degrees, uncertain. For details on the uncertainties that may cause our actual future results to be materially different than those expressed in our forward-looking statements, see http://www.ge.com/investor-relations/disclaimer-caution-concerning-forward-looking-statements as well as our annual reports on Form 10-K and quarterly reports on Form 10-Q. We do not undertake to update our forward-looking statements.
Where You Can Find Additional Information*
GE’s Statement on Conflict Minerals
https://www.ge.com/sustainability/reports-hub
https://www.ge.com/sustainability/reports-hub
GE’s Statement on Ethical Supply Chain
https://www.ge.com/sustainability/reports-hub
GE’s Integrity Guide for Suppliers, Contractors and Consultants
www.gesupplier.com/html/SuppliersIntegrityGuide.htm
www.gesupplier.com/html/SuppliersIntegrityGuide.htm
GE’s Code of Conduct: The Spirit & The Letter
https://www.ge.com/sustainability/reports-hub
https://www.ge.com/sustainability/reports-hub
Responsible Minerals Initiative
http://www.responsiblemineralsinitiative.org
http://www.responsiblemineralsinitiative.org
OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas
www.oecd.org/daf/inv/mne/OECD-Due-Diligence-Guidance-Minerals-Edition3.pdf
www.oecd.org/daf/inv/mne/OECD-Due-Diligence-Guidance-Minerals-Edition3.pdf
GE’s 2018 Annual Report on Form 10-K
https://www.ge.com/investor-relations/annual-report
https://www.ge.com/investor-relations/annual-report
*These web links are provided for convenience only, and the content on the referenced websites does not constitute a part of this Report.
GE and the GE logo are trademarks and service marks of General Electric Company. Other marks used throughout are trademarks and service marks of their respective owners.