Exhibit 1.01 Conflict Minerals Report
Telefonaktiebolaget LM Ericsson
Conflict Minerals Report for the year ended December 31, 2017
This Conflict Minerals Report of Telefonaktiebolaget LM Ericsson for the year ended December 31, 2017 is provided pursuant to Rule13p-1 under the Securities Exchange Act of 1934, as amended (the “Rule”). The Rule was adopted by the U.S. Securities and Exchange Commission (the “SEC”) to implement disclosure and reporting requirements pursuant to Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. As permitted by the Rule and the SEC, this report has not been subject to an independent private sector audit.
| 1. | Introduction |
Ericsson is a global provider of infrastructure, services and software – especially in networks, digital services and managed services – to the telecom industry and other sectors. This report has been prepared by the management of Telefonaktiebolaget LM Ericsson (herein referred to as “Ericsson”, the “Company”, “we”, “us”, or “our”). This report does not include the activities of entities that are not required to be consolidated in our financial statements. In accordance with the Rule, this report is available on our website: http://www.ericsson.com/thecompany/investors/financial-reports.
| 2. | Supply Chain Description and Reasonable Country of Origin Inquiry |
| 2.1 | General information on Ericsson’s supply chain |
The hardware provided by Ericsson largely consists of electronics. The supply chain is complex with multiple tiers of suppliers. For manufacturing, Ericsson purchases customized and standardized components from several global providers as well as from local and regional suppliers, eitheroff-the-shelf or in accordance with Ericsson’s design or specifications. The production of electronic modules andsub-assemblies is mostly outsourced. Final configuration of products is largely donein-house. This consists of assembling and testing modules and integrating them into complete units. A number of Ericsson’s suppliers design and manufacture highly specialized and customized components. There are generally many tiers of suppliers between 3TG (defined below) smelters and refiners and our direct suppliers. During 2017, Ericsson divested its power modules business.
| 2.2 | Overview of Ericsson’s Conflict Minerals Program and Reasonable Country of Origin Inquiry 2017 |
Ericsson gathers materials information from our suppliers. Through this we know that many of our products contain small amounts of tin, tantalum, tungsten and gold (“3TG”) that are necessary to the functionality of those products.
As part of Ericsson’s commitment to responsible sourcing and human rights it is our goal that the 3TG in our products should not, directly or indirectly, finance or benefit armed groups in the Democratic Republic of Congo (the “DRC”), or adjoining countries. At the same time, we aim to continue supporting responsible mineral sourcing in the region. Ericsson’s efforts with respect to 3TG are aligned with the Responsible Minerals Initiative (RMI) and our aim is to improve traceability in our supply chain. Ericsson does not prohibit sourcing of materials from the DRC or adjoining countries or avoid using 3TGs. The Company has a Conflict Minerals program to fulfill compliance with the Rule, including performing the Reasonable Country of Origin Inquiry and reporting on 3TG. Senior management is regularly informed about matters relating to 3TG.
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Exhibit 1.01 Conflict Minerals Report
Ericsson relies on its first-tier suppliers to provide information on the origin of 3TG contained in components and parts included in Ericsson’s products. This includes sources of 3TG that are supplied to them fromsub-suppliers. Ericsson’s first-tier suppliers are required to comply with the requirements in Ericsson’s Code of Conduct which requires due diligence to be exercised with respect to the sourcing and extraction of raw materials, including 3TG. The due diligence shall be consistent with the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas and the related Supplements for gold and for tin, tantalum and tungsten (the “OECD Guidance”). Furthermore, suppliers are required to comply with the requirements of the Ericsson Lists of Banned and Restricted Substances, which include an obligation to provide information on 3TG upon request and to have appropriate due diligence processes in place to identify the source and chain of custody of 3TG. Our first-tier suppliers are similarly to Ericsson reliant upon information provided by their suppliers.
The identification of first-tier suppliers of Ericsson that are in scope under the Rule involves different parts of Ericsson’s global organization. The sourcing organization has an important role in leading and coordinating the work. Suppliers identified to be in scope are first-tier suppliers of Ericsson supplying (i) products containing 3TG that Ericsson contracts to manufacture, (ii) materials, parts, components and other products, containing 3TG, that are incorporated into or included in a product manufactured by Ericsson, or (iii) materials used in the production of Ericsson’s products where 3TG becomes part of the final product. Suppliers of products that Ericsson does not contract to manufacture (i.e. products purchased“off-the shelf”) and not included in or incorporated into an Ericsson product have been considered out of scope for purposes of the Rule. In our annual inquiry we survey first tier suppliers identified to be in scope and analyze and follow up on the responses as we deem appropriate. Accordingly, during 2017, Ericsson conducted a reasonable country of origin inquiry to determine the origin of the 3TG in Ericsson’s products. The inquiry did not provide sufficient information to determine with specificity the countries of origin of the 3TG in our products or whether they are from recycled and scrap sources.
Ericsson believes that industry cooperation is one of the best ways to address issues related to 3TG in an efficient and transparent way. We typically do not have a direct relationship with 3TG smelters and refiners and we do not perform or direct audits of these entities within our supply chain. In accordance with the OECD Guidance, we support the RMI’s audit of smelters’ and refiners’ due diligence activities. During 2017, we used data obtained through the RMI in our internal processes, using the Reasonable Country of Origin Inquiry Report for Ericsson.
| 3. | Due Diligence |
Ericsson has processes in place for the purpose of exercising due diligence in the supply chain. The design of the due diligence processes conforms substantially to the OECD Guidance as it relates to “downstream” purchasers of products and components. The due diligence processes have been described below undersub-headings corresponding to the five-step framework of the OECD Guidance. Ericsson’s Conflict Minerals program focuses on identifying the origin of 3TG; however, Ericsson acknowledges the challenge to identify, detect and remedy other human rights and environmental risks relating to sourcing of 3TG.
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Exhibit 1.01 Conflict Minerals Report
| 3.1 | Maintain strong management systems |
The first step of the OECD Guidance relates to strong management systems. As mentioned above, Ericsson has established a Conflict Minerals program for reporting on 3TG and compliance with the Rule. Senior management is regularly informed about matters relating to 3TG. Controls include, but are not limited to, our Code of Business Ethics and Code of Conduct, which outlines expected behaviors for all Ericsson’s employees and suppliers, and the Ericsson Lists of Banned and Restricted Substances, which include supplier requirements relating to 3TG as described above and are integrated in our template supplier agreements.
With respect to 2017, identification of smelters/refiners in our supply chain was made via the use of due diligence tools created by the RMI, including the Conflict Minerals Reporting Template 5.01 (the “Template”). The Template is a standardized supply chain survey designed to gather information regarding the smelters and refiners that process 3TGs used in our supply chain. The information from our suppliers, in combination with information from the RMI, helps Ericsson to obtain information on the origin of minerals processed. Data obtained was reviewed, analyzed and retained by Ericsson.
In 2017 we added the issue of responsible sourcing of raw materials to our Code of Conduct to clarify expectations in the area. Employees are encouraged to report violations of laws or the Code of Business Ethics to their manager or a manager of higher rank. In addition, Ericsson has a whistle-blower tool, Ericsson Compliance Line, managed by an external service provider, for the reporting of alleged violations of laws or the Code of Business Ethics that (i) are conducted by Group or local management, and (ii) relate to corruption, questionable accounting, deficiencies in the internal control of accounting or auditing matters or otherwise seriously affect vital interests of the Group or personal health and safety. Ericsson Compliance Line is available for both Ericsson employees and external stakeholders such as customers and suppliers.
| 3.2 | Identify and assess risk in the supply chain |
In the second step of the OECD Guidance, risks are identified and assessed. For downstream companies such as Ericsson, the focus should be on the smelters and refiners. Downstream companies should, with help from their first-tier suppliers, identify smelters and refiners in the supply chain.
In Ericsson’s 2017 survey, first tier suppliers identified to be in scope were requested by Ericsson to provide information on 3TG in their supply chain through completing and submitting the Template. Suppliers were provided with support material, including the generally available instructions and training illustrating the use of the tool that is available on RMI’s website. To ensure sufficient quality, a high response rate and to minimize risks, the responses were continuously analyzed and followed up as deemed appropriate. Data obtained was saved, reviewed and analyzed by Ericsson. Supplier responses were reviewed against criteria developed to determine which responses required further engagement with our suppliers. In certain circumstances suppliers were contacted viae-mail or telephone to improve the quality of responses and increase the response rate. In 2017, we had a risk-based approach and focused on suppliers with incomplete data since they are typically deemed to constitute a higher risk. As part of the risk mitigation additional efforts were mainly targeted at suppliers that are awarded large parts of our business.
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Exhibit 1.01 Conflict Minerals Report
| 3.3 | Design and implement a strategy to respond to identified risks |
Under the third step of the OECD Guidance, companies are encouraged to design and implement a strategy to respond to identified risks. Due diligence within Ericsson is anon-going process. Ericsson publishes additional information about its commitment to responsible sourcing and engagement with its suppliers in its Sustainability and Corporate Responsibility Report.
We continuously work to improve our due diligence with respect to 3TG, mainly focusing on the quality of data from suppliers surveyed. This includes communication and collaboration with suppliers for purposes of improving the response rate of surveyed suppliers and improving the reliability and quality of the information provided. As described above, we have a risk-based approach when reviewing and following up supplier responses and generally prioritize to follow up suppliers that are awarded large parts of our business.
| 3.4 | Independent third-party audit of smelters’/refiners’ due diligence practices |
The fourth step of the OECD Guidance focuses on audits of smelters’/refiners’ due diligence practices. Through our 2017 GeSI engagement we were members of the RMI, supporting the responsible minerals assurance process (“RMAP”) as well as the development and implementation of due diligence practices and tools such as the Template. Due to the structure of our supply chain, there are generally many tiers of suppliers between Ericsson and the smelters and refiners in the supply chain. Therefore, we have, as mentioned in section 2.2, not performed our own audits of smelters or refiners.
| 3.5 | Report annually on supply chain due diligence |
The fifth step of the OECD Guidance encourages reporting on supply chain due diligence. We have a public statement on 3TG; which is available on our website:http://www.ericsson.com/res/thecompany/docs/corporate-responsibility/statement-on-sourcing-of-conflict-minerals.pdf
In accordance with the Rule, we make our Conflict Minerals Report available on our website:
http://www.ericsson.com/thecompany/investors/financial-reports.
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Exhibit 1.01 Conflict Minerals Report
| 4. | 2017 due diligence results |
For the calendar year 2017, our inquiries were made on the supplier level and the supplier responses received mainly provided data at a company or divisional level and not isolated to products and components provided to us. Our inquiries include responses where we believe that the names of smelters or refiners may have been misidentified as smelters and refiners or smelters or refiners that we believe are not operational. Such names have not been listed among identified smelters and refiners.
The response rate among suppliers surveyed in 2017 was 99%. This response rate was achieved this year mainly due to our additional efforts in getting qualitative responses from our suppliers. Among the supplier responses, we identified approximately 316 smelters as potential sources of 3TG that were reported to be in the supply chain during the 2017 calendar year. The following table presents, by mineral, the percentages of identified smelters or refiners verified as conflict-free by the RMAP or mutually recognized audit systems.
Table 1. RMAP conformant smelters and refiners identified by Ericsson via inquiries to our suppliers in 2017
Metal | Identified smelters or refiners validated by RMAP conformant | Total number of identified smelters | ||||||
Tantalum | 100 | % | 40 | |||||
Tungsten | 89 | % | 46 | |||||
Tin | 88 | % | 82 | |||||
Gold | 68 | % | 148 | |||||
Note: The audit status of smelters and refiners are subject to change and the above represents information available from the RMI on April 25, 2018.
We are unable to validate that any of the identified smelters or refiners are actually in our supply chain. However, based on the information provided by Ericsson’s suppliers during the 2017 calendar year, Ericsson believes that the facilities that may have been used to process the 3TG in Ericsson’s products include the smelters and refiners listed in Annex 1 below. Ericsson does not have sufficient information to determine with specificity all countries of origin of the 3TG in our products or whether they are from recycled and scrap sources.
We support the refinement and expansion of the list of participating smelters and have determined that seeking information about 3TG smelters and refiners in our supply chain represents the most reasonable effort we can make to determine the mines or locations of origin of the 3TG in our supply chain.
During 2018, we anticipate to continue to review and evolve our due diligence processes with respect to 3TG. As part of these efforts, we expect to continue to collaborate with suppliers to maintain a high supplier response rate and improve the reliability and quality of information provided. Our engagement in the RMI program is anticipated to continue.
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Exhibit 1.01 Conflict Minerals Report
| 5. | Forward Looking Statements |
Certain of the matters discussed in this report, including our due diligence processes with respect to 3TG, include forward-looking statements. Readers of this document are cautioned that our forward-looking statements are not guarantees of our future actions, which may differ materially from the expectations expressed in the forward-looking statements. We expressly disclaim a duty to provide updates to these forward-looking statements after the date of this filing to reflect events or changes in circumstances or changes in expectations or the occurrence of anticipated events.
The information included on any websites that appear in this report and other materials referenced to is not incorporated by reference in this report.
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Exhibit 1.01 Conflict Minerals Report
Annex 1
Smelters and refiners identified by Ericsson via inquiries to our suppliers during 2017.1
No. | Metal | Name of Smelter/Refiner | Audit Status | Facility Location | ||||
| 1 | Gold | Abington Reldan Metals, LLC | Non Compliant | UNITED STATES OF AMERICA | ||||
| 2 | Gold | Advanced Chemical Company | Compliant | UNITED STATES OF AMERICA | ||||
| 3 | Gold | African Gold Refinery | Non Compliant | UGANDA | ||||
| 4 | Gold | Aida Chemical Industries Co., Ltd. | Compliant | JAPAN | ||||
| 5 | Gold | Al Etihad Gold LLC | Compliant | UNITED ARAB EMIRATES | ||||
| 6 | Gold | AllgemeineGold-und Silberscheideanstalt A.G. | Compliant | GERMANY | ||||
| 7 | Gold | Almalyk Mining and Metallurgical Complex (AMMC) | Compliant | UZBEKISTAN | ||||
| 8 | Gold | AngloGold Ashanti Corrego do Sitio Mineracao | Compliant | BRAZIL | ||||
| 9 | Gold | Argor-Heraeus S.A. | Compliant | SWITZERLAND | ||||
| 10 | Gold | Asahi Pretec Corp. | Compliant | JAPAN | ||||
| 11 | Gold | Asahi Refining Canada Ltd. | Compliant | CANADA | ||||
| 12 | Gold | Asahi Refining USA Inc. | Compliant | UNITED STATES OF AMERICA | ||||
| 13 | Gold | Asaka Riken Co., Ltd. | Compliant | JAPAN | ||||
| 14 | Gold | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | Non Compliant | TURKEY | ||||
| 15 | Gold | AU Traders and Refiners | Compliant | SOUTH AFRICA | ||||
| 16 | Gold | Aurubis AG | Compliant | GERMANY | ||||
| 17 | Gold | Bangalore Refinery | Active | INDIA | ||||
| 18 | Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | Compliant | PHILIPPINES | ||||
| 19 | Gold | Boliden AB | Compliant | SWEDEN | ||||
| 20 | Gold | C. Hafner GmbH + Co. KG | Compliant | GERMANY | ||||
| 21 | Gold | Caridad | Non Compliant | MEXICO | ||||
| 22 | Gold | CCR Refinery - Glencore Canada Corporation | Compliant | CANADA | ||||
| 23 | Gold | Cendres + Metaux S.A. | Compliant | SWITZERLAND | ||||
| 24 | Gold | Chimet S.p.A. | Compliant | ITALY | ||||
| 25 | Gold | Chugai Mining | Active | JAPAN | ||||
| 26 | Gold | Daejin Indus Co., Ltd. | Compliant | KOREA, REPUBLIC OF | ||||
| 27 | Gold | DayeNon-Ferrous Metals Mining Ltd. | Active | CHINA | ||||
| 28 | Gold | Degussa Sonne / Mond Goldhandel GmbH | Non Compliant | GERMANY | ||||
| 29 | Gold | DODUCO GmbH | Compliant | GERMANY | ||||
| 30 | Gold | Dowa | Compliant | JAPAN | ||||
| 31 | Gold | DS PRETECH Co., Ltd. | Active | KOREA, REPUBLIC OF | ||||
| 1 | The audit status of smelters and refiners are subject to change and Annex 1 represents information available from the RMI on April 25, 2018. The audit status indicates that the smelters and refiners have been verified as conformant to the RMAP protocol or mutually recognized systems. |
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Exhibit 1.01 Conflict Minerals Report
No. | Metal | Name of Smelter/Refiner | Audit Status | Facility Location | ||||
| 32 | Gold | DSC (Do Sung Corporation) | Compliant | KOREA, REPUBLIC OF | ||||
| 33 | Gold | Eco-System Recycling Co., Ltd. | Compliant | JAPAN | ||||
| 34 | Gold | Elemetal Refining, LLC | Non Compliant | UNITED STATES OF AMERICA | ||||
| 35 | Gold | Emirates Gold DMCC | Compliant | UNITED ARAB EMIRATES | ||||
| 36 | Gold | Fidelity Printers and Refiners Ltd. | Non Compliant | ZIMBABWE | ||||
| 37 | Gold | Gansu Seemine MaterialHi-Tech Co., Ltd. | Non Compliant | CHINA | ||||
| 38 | Gold | GCC Gujrat Gold Centre Pvt. Ltd. | Non Compliant | INDIA | ||||
| 39 | Gold | Geib Refining Corporation | Compliant | UNITED STATES OF AMERICA | ||||
| 40 | Gold | Gold Refinery of Zijin Mining Group Co., Ltd. | Compliant | CHINA | ||||
| 41 | Gold | Great Wall Precious Metals Co., Ltd. of CBPM | Non Compliant | CHINA | ||||
| 42 | Gold | Guangdong Jinding Gold Limited | Non Compliant | CHINA | ||||
| 43 | Gold | Guoda Safina High-Tech Environmental Refinery Co., Ltd. | Non Compliant | CHINA | ||||
| 44 | Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. | Non Compliant | CHINA | ||||
| 45 | Gold | HeeSung Metal Ltd. | Compliant | KOREA, REPUBLIC OF | ||||
| 46 | Gold | Heimerle + Meule GmbH | Compliant | GERMANY | ||||
| 47 | Gold | Heraeus Metals Hong Kong Ltd. | Compliant | CHINA | ||||
| 48 | Gold | Heraeus Precious Metals GmbH & Co. KG | Compliant | GERMANY | ||||
| 49 | Gold | Hunan Chenzhou Mining Co., Ltd. | Non Compliant | CHINA | ||||
| 50 | Gold | HwaSeong CJ CO., LTD. | Non Compliant | KOREA, REPUBLIC OF | ||||
| 51 | Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | Compliant | CHINA | ||||
| 52 | Gold | Ishifuku Metal Industry Co., Ltd. | Compliant | JAPAN | ||||
| 53 | Gold | Istanbul Gold Refinery | Compliant | TURKEY | ||||
| 54 | Gold | Italpreziosi | Compliant | ITALY | ||||
| 55 | Gold | Japan Mint | Compliant | JAPAN | ||||
| 56 | Gold | Jiangxi Copper Co., Ltd. | Compliant | CHINA | ||||
| 57 | Gold | JSC EkaterinburgNon-Ferrous Metal Processing Plant | Compliant | RUSSIAN FEDERATION | ||||
| 58 | Gold | JSC Uralelectromed | Compliant | RUSSIAN FEDERATION | ||||
| 59 | Gold | JX Nippon Mining & Metals Co., Ltd. | Compliant | JAPAN | ||||
| 60 | Gold | Kaloti Precious Metals | Non Compliant | UNITED ARAB EMIRATES | ||||
| 61 | Gold | Kazakhmys Smelting LLC | Active | KAZAKHSTAN | ||||
| 62 | Gold | Kazzinc | Compliant | KAZAKHSTAN | ||||
| 63 | Gold | Kennecott Utah Copper LLC | Compliant | UNITED STATES OF AMERICA | ||||
| 64 | Gold | KGHM Polska Miedz Spolka Akcyjna | Active | POLAND | ||||
| 65 | Gold | Kojima Chemicals Co., Ltd. | Compliant | JAPAN | ||||
| 66 | Gold | Korea Zinc Co., Ltd. | Compliant | KOREA, REPUBLIC OF | ||||
| 67 | Gold | Kyrgyzaltyn JSC | Compliant | KYRGYZSTAN | ||||
| 68 | Gold | Kyshtym Copper-Electrolytic Plant ZAO | Non Compliant | RUSSIAN FEDERATION | ||||
| 69 | Gold | L’azurde Company For Jewelry | Non Compliant | SAUDI ARABIA | ||||
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Exhibit 1.01 Conflict Minerals Report
No. | Metal | Name of Smelter/Refiner | Audit Status | Facility Location | ||||
| 70 | Gold | Lingbao Gold Co., Ltd. | Non Compliant | CHINA | ||||
| 71 | Gold | Lingbao Jinyuan Tonghui Refinery Co., Ltd. | Non Compliant | CHINA | ||||
| 72 | Gold | L’Orfebre S.A. | Active | ANDORRA | ||||
| 73 | Gold | LS-NIKKO Copper Inc. | Compliant | KOREA, REPUBLIC OF | ||||
| 74 | Gold | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | Non Compliant | CHINA | ||||
| 75 | Gold | Marsam Metals | Compliant | BRAZIL | ||||
| 76 | Gold | Materion | Compliant | UNITED STATES OF AMERICA | ||||
| 77 | Gold | Matsuda Sangyo Co., Ltd. | Compliant | JAPAN | ||||
| 78 | Gold | Metalor Technologies (Hong Kong) Ltd. | Compliant | CHINA | ||||
| 79 | Gold | Metalor Technologies (Singapore) Pte., Ltd. | Compliant | SINGAPORE | ||||
| 80 | Gold | Metalor Technologies (Suzhou) Ltd. | Compliant | CHINA | ||||
| 81 | Gold | Metalor Technologies S.A. | Compliant | SWITZERLAND | ||||
| 82 | Gold | Metalor USA Refining Corporation | Compliant | UNITED STATES OF AMERICA | ||||
| 83 | Gold | MetalurgicaMet-Mex Penoles S.A. De C.V. | Compliant | MEXICO | ||||
| 84 | Gold | Mitsubishi Materials Corporation | Compliant | JAPAN | ||||
| 85 | Gold | Mitsui Mining and Smelting Co., Ltd. | Compliant | JAPAN | ||||
| 86 | Gold | MMTC-PAMP India Pvt., Ltd. | Compliant | INDIA | ||||
| 87 | Gold | Modeltech Sdn Bhd | Active | MALAYSIA | ||||
| 88 | Gold | Morris and Watson | Non Compliant | NEW ZEALAND | ||||
| 89 | Gold | Morris and Watson Gold Coast | Non Compliant | AUSTRALIA | ||||
| 90 | Gold | Moscow Special Alloys Processing Plant | Compliant | RUSSIAN FEDERATION | ||||
| 91 | Gold | Nadir Metal Rafineri San. Ve Tic. A.S. | Compliant | TURKEY | ||||
| 92 | Gold | Navoi Mining and Metallurgical Combinat | Non Compliant | UZBEKISTAN | ||||
| 93 | Gold | NH Recytech Company | Active | KOREA, REPUBLIC OF | ||||
| 94 | Gold | Nihon Material Co., Ltd. | Compliant | JAPAN | ||||
| 95 | Gold | Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH | Compliant | AUSTRIA | ||||
| 96 | Gold | Ohura Precious Metal Industry Co., Ltd. | Compliant | JAPAN | ||||
| 97 | Gold | OJSC “The Gulidov KrasnoyarskNon-Ferrous Metals Plant” (OJSC Krastsvetmet) | Compliant | RUSSIAN FEDERATION | ||||
| 98 | Gold | OJSC Novosibirsk Refinery | Compliant | RUSSIAN FEDERATION | ||||
| 99 | Gold | PAMP S.A. | Compliant | SWITZERLAND | ||||
| 100 | Gold | Pease & Curren | Non Compliant | UNITED STATES OF AMERICA | ||||
| 101 | Gold | Penglai Penggang Gold Industry Co., Ltd. | Non Compliant | CHINA | ||||
| 102 | Gold | Planta Recuperadora de Metales SpA | Compliant | CHILE | ||||
| 103 | Gold | Prioksky Plant ofNon-Ferrous Metals | Compliant | RUSSIAN FEDERATION | ||||
| 104 | Gold | PT Aneka Tambang (Persero) Tbk | Compliant | INDONESIA | ||||
| 105 | Gold | PX Precinox S.A. | Compliant | SWITZERLAND | ||||
| 106 | Gold | Rand Refinery (Pty) Ltd. | Compliant | SOUTH AFRICA | ||||
| 107 | Gold | Remondis Argentia B.V. | Active | NETHERLANDS | ||||
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Exhibit 1.01 Conflict Minerals Report
No. | Metal | Name of Smelter/Refiner | Audit Status | Facility Location | ||||
| 108 | Gold | Republic Metals Corporation | Compliant | UNITED STATES OF AMERICA | ||||
| 109 | Gold | Royal Canadian Mint | Compliant | CANADA | ||||
| 110 | Gold | SAAMP | Compliant | FRANCE | ||||
| 111 | Gold | Sabin Metal Corp. | Non Compliant | UNITED STATES OF AMERICA | ||||
| 112 | Gold | Safimet S.p.A | Compliant | ITALY | ||||
| 113 | Gold | SAFINA A.S. | Active | CZECH REPUBLIC | ||||
| 114 | Gold | Sai Refinery | Non Compliant | INDIA | ||||
| 115 | Gold | Samduck Precious Metals | Compliant | KOREA, REPUBLIC OF | ||||
| 116 | Gold | Samwon Metals Corp. | Non Compliant | KOREA, REPUBLIC OF | ||||
| 117 | Gold | SAXONIA Edelmetalle GmbH | Compliant | GERMANY | ||||
| 118 | Gold | SEMPSA Joyeria Plateria S.A. | Compliant | SPAIN | ||||
| 119 | Gold | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | Non Compliant | CHINA | ||||
| 120 | Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | Compliant | CHINA | ||||
| 121 | Gold | Sichuan Tianze Precious Metals Co., Ltd. | Compliant | CHINA | ||||
| 122 | Gold | Singway Technology Co., Ltd. | Compliant | TAIWAN, PROVINCE OF CHINA | ||||
| 123 | Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | Compliant | RUSSIAN FEDERATION | ||||
| 124 | Gold | Solar Applied Materials Technology Corp. | Compliant | TAIWAN, PROVINCE OF CHINA | ||||
| 125 | Gold | State Research Institute Center for Physical Sciences and Technology | Non Compliant | LITHUANIA | ||||
| 126 | Gold | Sudan Gold Refinery | Non Compliant | SUDAN | ||||
| 127 | Gold | Sumitomo Metal Mining Co., Ltd. | Compliant | JAPAN | ||||
| 128 | Gold | SungEel HiTech | Compliant | KOREA, REPUBLIC OF | ||||
| 129 | Gold | T.C.A S.p.A | Compliant | ITALY | ||||
| 130 | Gold | Tanaka Kikinzoku Kogyo K.K. | Compliant | JAPAN | ||||
| 131 | Gold | The Refinery of Shandong Gold Mining Co., Ltd. | Compliant | CHINA | ||||
| 132 | Gold | Tokuriki Honten Co., Ltd. | Compliant | JAPAN | ||||
| 133 | Gold | Tongling Nonferrous Metals Group Co., Ltd. | Non Compliant | CHINA | ||||
| 134 | Gold | Tony Goetz NV | Non Compliant | BELGIUM | ||||
| 135 | Gold | TOOTau-Ken-Altyn | Active | KAZAKHSTAN | ||||
| 136 | Gold | Torecom | Compliant | KOREA, REPUBLIC OF | ||||
| 137 | Gold | Umicore Brasil Ltda. | Compliant | BRAZIL | ||||
| 138 | Gold | Umicore Precious Metals Thailand | Compliant | THAILAND | ||||
| 139 | Gold | Umicore S.A. Business Unit Precious Metals Refining | Compliant | BELGIUM | ||||
| 140 | Gold | United Precious Metal Refining, Inc. | Compliant | UNITED STATES OF AMERICA | ||||
| 141 | Gold | Universal Precious Metals Refining Zambia | Non Compliant | ZAMBIA | ||||
| 142 | Gold | Valcambi S.A. | Compliant | SWITZERLAND | ||||
| 143 | Gold | Western Australian Mint (T/a The Perth Mint) | Compliant | AUSTRALIA | ||||
| 144 | Gold | WIELAND Edelmetalle GmbH | Compliant | GERMANY | ||||
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Exhibit 1.01 Conflict Minerals Report
No. | Metal | Name of Smelter/Refiner | Audit Status | Facility Location | ||||
| 145 | Gold | Yamamoto Precious Metal Co., Ltd. | Compliant | JAPAN | ||||
| 146 | Gold | Yokohama Metal Co., Ltd. | Compliant | JAPAN | ||||
| 147 | Gold | Yunnan Copper Industry Co., Ltd. | Non Compliant | CHINA | ||||
| 148 | Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | Compliant | CHINA | ||||
| 149 | Tantalum | Asaka Riken Co., Ltd. | Compliant | JAPAN | ||||
| 150 | Tantalum | Changsha South Tantalum Niobium Co., Ltd. | Compliant | CHINA | ||||
| 151 | Tantalum | Conghua Tantalum and Niobium Smeltry | Compliant | CHINA | ||||
| 152 | Tantalum | D Block Metals, LLC | Compliant | UNITED STATES OF AMERICA | ||||
| 153 | Tantalum | Exotech Inc. | Compliant | UNITED STATES OF AMERICA | ||||
| 154 | Tantalum | F&X Electro-Materials Ltd. | Compliant | CHINA | ||||
| 155 | Tantalum | FIR Metals & Resource Ltd. | Compliant | CHINA | ||||
| 156 | Tantalum | Global Advanced Metals Aizu | Compliant | JAPAN | ||||
| 157 | Tantalum | Global Advanced Metals Boyertown | Compliant | UNITED STATES OF AMERICA | ||||
| 158 | Tantalum | Guangdong Zhiyuan New Material Co., Ltd. | Compliant | CHINA | ||||
| 159 | Tantalum | H.C. Starck Co., Ltd. | Compliant | THAILAND | ||||
| 160 | Tantalum | H.C. Starck Hermsdorf GmbH | Compliant | GERMANY | ||||
| 161 | Tantalum | H.C. Starck Inc. | Compliant | UNITED STATES OF AMERICA | ||||
| 162 | Tantalum | H.C. Starck Ltd. | Compliant | JAPAN | ||||
| 163 | Tantalum | H.C. Starck Smelting GmbH & Co. KG | Compliant | GERMANY | ||||
| 164 | Tantalum | H.C. Starck Tantalum and Niobium GmbH | Compliant | GERMANY | ||||
| 165 | Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | Compliant | CHINA | ||||
| 166 | Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | Compliant | CHINA | ||||
| 167 | Tantalum | Jiangxi Tuohong New Raw Material | Compliant | CHINA | ||||
| 168 | Tantalum | Jiujiang Janny New Material Co., Ltd. | Compliant | CHINA | ||||
| 169 | Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | Compliant | CHINA | ||||
| 170 | Tantalum | Jiujiang Nonferrous Metals Smelting Company Limited | Compliant | CHINA | ||||
| 171 | Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | Compliant | CHINA | ||||
| 172 | Tantalum | KEMET Blue Metals | Compliant | MEXICO | ||||
| 173 | Tantalum | KEMET Blue Powder | Compliant | UNITED STATES OF AMERICA | ||||
| 174 | Tantalum | LSM Brasil S.A. | Compliant | BRAZIL | ||||
| 175 | Tantalum | Metallurgical Products India Pvt., Ltd. | Compliant | INDIA | ||||
| 176 | Tantalum | Mineracao Taboca S.A. | Compliant | BRAZIL | ||||
| 177 | Tantalum | Mitsui Mining and Smelting Co., Ltd. | Compliant | JAPAN | ||||
| 178 | Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | Compliant | CHINA | ||||
| 179 | Tantalum | NPM Silmet AS | Compliant | ESTONIA | ||||
| 180 | Tantalum | Power Resources Ltd. | Compliant | MACEDONIA, THE FORMER YUGOSLAV REPUBLIC OF | ||||
| 181 | Tantalum | QuantumClean | Compliant | UNITED STATES OF AMERICA | ||||
11
Exhibit 1.01 Conflict Minerals Report
No. | Metal | Name of Smelter/Refiner | Audit Status | Facility Location | ||||
| 182 | Tantalum | Resind Industria e Comercio Ltda. | Compliant | BRAZIL | ||||
| 183 | Tantalum | RFH Tantalum Smeltry Co., Ltd. | Compliant | CHINA | ||||
| 184 | Tantalum | Solikamsk Magnesium Works OAO | Compliant | RUSSIAN FEDERATION | ||||
| 185 | Tantalum | Taki Chemical Co., Ltd. | Compliant | JAPAN | ||||
| 186 | Tantalum | Telex Metals | Compliant | UNITED STATES OF AMERICA | ||||
| 187 | Tantalum | Ulba Metallurgical Plant JSC | Compliant | KAZAKHSTAN | ||||
| 188 | Tantalum | XinXing HaoRong Electronic Material Co., Ltd. | Compliant | CHINA | ||||
| 189 | Tin | Alpha | Compliant | UNITED STATES OF AMERICA | ||||
| 190 | Tin | An Vinh Joint Stock Mineral Processing Company | Non Compliant | VIET NAM | ||||
| 191 | Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | Compliant | CHINA | ||||
| 192 | Tin | Chifeng Dajingzi Tin Industry Co., Ltd. | Compliant | CHINA | ||||
| 193 | Tin | China Tin Group Co., Ltd. | Compliant | CHINA | ||||
| 194 | Tin | China Yunnan Tin Co Ltd. | Compliant | CHINA | ||||
| 195 | Tin | CNMC (Guangxi) PGMA Co., Ltd. | Non Compliant | CHINA | ||||
| 196 | Tin | CV Ayi Jaya | Compliant | INDONESIA | ||||
| 197 | Tin | CV Dua Sekawan | Compliant | INDONESIA | ||||
| 198 | Tin | CV Gita Pesona | Compliant | INDONESIA | ||||
| 199 | Tin | CV Serumpun Sebalai | Compliant | INDONESIA | ||||
| 200 | Tin | CV Tiga Sekawan | Compliant | INDONESIA | ||||
| 201 | Tin | CV United Smelting | Compliant | INDONESIA | ||||
| 202 | Tin | CV Venus Inti Perkasa | Compliant | INDONESIA | ||||
| 203 | Tin | Dowa | Compliant | JAPAN | ||||
| 204 | Tin | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | Non Compliant | VIET NAM | ||||
| 205 | Tin | Elmet S.L.U. | Compliant | SPAIN | ||||
| 206 | Tin | EM Vinto | Compliant | BOLIVIA (PLURINATIONAL STATE OF) | ||||
| 207 | Tin | Estanho de Rondonia S.A. | Non Compliant | BRAZIL | ||||
| 208 | Tin | Fenix Metals | Compliant | POLAND | ||||
| 209 | Tin | Gejiu Fengming Metallurgy Chemical Plant | Compliant | CHINA | ||||
| 210 | Tin | Gejiu Jinye Mineral Company | Compliant | CHINA | ||||
| 211 | Tin | Gejiu Kai Meng Industry and Trade LLC | Compliant | CHINA | ||||
| 212 | Tin | GejiuNon-Ferrous Metal Processing Co., Ltd. | Compliant | CHINA | ||||
| 213 | Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | Compliant | CHINA | ||||
| 214 | Tin | Gejiu Zili Mining And Metallurgy Co., Ltd. | Active | CHINA | ||||
| 215 | Tin | Guangdong HanheNon-Ferrous Metal Co., Ltd. | Compliant | CHINA | ||||
| 216 | Tin | Guanyang Guida Nonferrous Metal Smelting Plant | Compliant | CHINA | ||||
| 217 | Tin | HuiChang Hill Tin Industry Co., Ltd. | Compliant | CHINA | ||||
| 218 | Tin | Huichang Jinshunda Tin Co., Ltd. | Compliant | CHINA | ||||
12
Exhibit 1.01 Conflict Minerals Report
No. | Metal | Name of Smelter/Refiner | Audit Status | Facility Location | ||||
| 219 | Tin | Jiangxi Ketai Advanced Material Co., Ltd. | Compliant | CHINA | ||||
| 220 | Tin | Magnu’s Minerais Metais e Ligas Ltda. | Compliant | BRAZIL | ||||
| 221 | Tin | Malaysia Smelting Corporation (MSC) | Compliant | MALAYSIA | ||||
| 222 | Tin | Melt Metais e Ligas S.A. | Compliant | BRAZIL | ||||
| 223 | Tin | Metallic Resources, Inc. | Compliant | UNITED STATES OF AMERICA | ||||
| 224 | Tin | Metallo-Chimique N.V. | Compliant | BELGIUM | ||||
| 225 | Tin | Mineracao Taboca S.A. | Compliant | BRAZIL | ||||
| 226 | Tin | Minsur | Compliant | PERU | ||||
| 227 | Tin | Mitsubishi Materials Corporation | Compliant | JAPAN | ||||
| 228 | Tin | Modeltech Sdn Bhd | Active | MALAYSIA | ||||
| 229 | Tin | Nankang Nanshan Tin Manufactory Co., Ltd. | Compliant | CHINA | ||||
| 230 | Tin | Nghe TinhNon-Ferrous Metals Joint Stock Company | Non Compliant | VIET NAM | ||||
| 231 | Tin | O.M. Manufacturing (Thailand) Co., Ltd. | Compliant | THAILAND | ||||
| 232 | Tin | O.M. Manufacturing Philippines, Inc. | Compliant | PHILIPPINES | ||||
| 233 | Tin | Operaciones Metalurgical S.A. | Compliant | BOLIVIA (PLURINATIONAL STATE OF) | ||||
| 234 | Tin | Pongpipat Company Limited | Non Compliant | MYANMAR | ||||
| 235 | Tin | PT Aries Kencana Sejahtera | Compliant | INDONESIA | ||||
| 236 | Tin | PT Artha Cipta Langgeng | Compliant | INDONESIA | ||||
| 237 | Tin | PT ATD Makmur Mandiri Jaya | Compliant | INDONESIA | ||||
| 238 | Tin | PT Babel Inti Perkasa | Compliant | INDONESIA | ||||
| 239 | Tin | PT Bangka Prima Tin | Compliant | INDONESIA | ||||
| 240 | Tin | PT Bangka Serumpun | Compliant | INDONESIA | ||||
| 241 | Tin | PT Bangka Tin Industry | Compliant | INDONESIA | ||||
| 242 | Tin | PT Belitung Industri Sejahtera | Compliant | INDONESIA | ||||
| 243 | Tin | PT Bukit Timah | Compliant | INDONESIA | ||||
| 244 | Tin | PT DS Jaya Abadi | Compliant | INDONESIA | ||||
| 245 | Tin | PT Eunindo Usaha Mandiri | Compliant | INDONESIA | ||||
| 246 | Tin | PT Inti Stania Prima | Compliant | INDONESIA | ||||
| 247 | Tin | PT Karimun Mining | Compliant | INDONESIA | ||||
| 248 | Tin | PT Kijang Jaya Mandiri | Compliant | INDONESIA | ||||
| 249 | Tin | PT Lautan Harmonis Sejahtera | Compliant | INDONESIA | ||||
| 250 | Tin | PT Menara Cipta Mulia | Compliant | INDONESIA | ||||
| 251 | Tin | PT Mitra Stania Prima | Compliant | INDONESIA | ||||
| 252 | Tin | PT Panca Mega Persada | Compliant | INDONESIA | ||||
| 253 | Tin | PT Prima Timah Utama | Compliant | INDONESIA | ||||
| 254 | Tin | PT Refined Bangka Tin | Compliant | INDONESIA | ||||
| 255 | Tin | PT Sariwiguna Binasentosa | Compliant | INDONESIA | ||||
| 256 | Tin | PT Stanindo Inti Perkasa | Compliant | INDONESIA | ||||
13
Exhibit 1.01 Conflict Minerals Report
No. | Metal | Name of Smelter/Refiner | Audit Status | Facility Location | ||||
| 257 | Tin | PT Sukses Inti Makmur | Compliant | INDONESIA | ||||
| 258 | Tin | PT Sumber Jaya Indah | Compliant | INDONESIA | ||||
| 259 | Tin | PT Timah (Persero) Tbk Kundur | Compliant | INDONESIA | ||||
| 260 | Tin | PT Timah (Persero) Tbk Mentok | Compliant | INDONESIA | ||||
| 261 | Tin | PT Tinindo Inter Nusa | Compliant | INDONESIA | ||||
| 262 | Tin | PT Tommy Utama | Compliant | INDONESIA | ||||
| 263 | Tin | Resind Industria e Comercio Ltda. | Compliant | BRAZIL | ||||
| 264 | Tin | Rui Da Hung | Compliant | TAIWAN, PROVINCE OF CHINA | ||||
| 265 | Tin | Soft Metais Ltda. | Compliant | BRAZIL | ||||
| 266 | Tin | Super Ligas | Non Compliant | BRAZIL | ||||
| 267 | Tin | Thaisarco | Compliant | THAILAND | ||||
| 268 | Tin | Tuyen QuangNon-Ferrous Metals Joint Stock Company | Non Compliant | VIET NAM | ||||
| 269 | Tin | White Solder Metalurgia e Mineracao Ltda. | Compliant | BRAZIL | ||||
| 270 | Tin | Yunnan ChengfengNon-ferrous Metals Co., Ltd. | Compliant | CHINA | ||||
| 271 | Tungsten | A.L.M.T. TUNGSTEN Corp. | Compliant | JAPAN | ||||
| 272 | Tungsten | ACL Metais Eireli | Compliant | BRAZIL | ||||
| 273 | Tungsten | Asia Tungsten Products Vietnam Ltd. | Compliant | VIET NAM | ||||
| 274 | Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd. | Compliant | CHINA | ||||
| 275 | Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | Compliant | CHINA | ||||
| 276 | Tungsten | Fujian Jinxin Tungsten Co., Ltd. | Compliant | CHINA | ||||
| 277 | Tungsten | Ganzhou Haichuang Tungsten Co., Ltd. | Active | CHINA | ||||
| 278 | Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. | Compliant | CHINA | ||||
| 279 | Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | Compliant | CHINA | ||||
| 280 | Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | Compliant | CHINA | ||||
| 281 | Tungsten | Ganzhou Yatai Tungsten Co., Ltd. | Non Compliant | CHINA | ||||
| 282 | Tungsten | Global Tungsten & Powders Corp. | Compliant | UNITED STATES OF AMERICA | ||||
| 283 | Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | Compliant | CHINA | ||||
| 284 | Tungsten | H.C. Starck Smelting GmbH & Co. KG | Compliant | GERMANY | ||||
| 285 | Tungsten | H.C. Starck Tungsten GmbH | Compliant | GERMANY | ||||
| 286 | Tungsten | Hunan Chenzhou Mining Co., Ltd. | Compliant | CHINA | ||||
| 287 | Tungsten | Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji | Compliant | CHINA | ||||
| 288 | Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd. | Compliant | CHINA | ||||
| 289 | Tungsten | Hunan Litian Tungsten Industry Co., Ltd. | Non Compliant | CHINA | ||||
| 290 | Tungsten | Hydrometallurg, JSC | Compliant | RUSSIAN FEDERATION | ||||
| 291 | Tungsten | Japan New Metals Co., Ltd. | Compliant | JAPAN | ||||
| 292 | Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | Compliant | CHINA | ||||
| 293 | Tungsten | Jiangxi Dayu Longxintai Tungsten Co., Ltd. | Non Compliant | CHINA | ||||
| 294 | Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | Compliant | CHINA | ||||
14
Exhibit 1.01 Conflict Minerals Report
No. | Metal | Name of Smelter/Refiner | Audit Status | Facility Location | ||||
| 295 | Tungsten | Jiangxi Minmetals Gao’anNon-ferrous Metals Co., Ltd. | Non Compliant | CHINA | ||||
| 296 | Tungsten | Jiangxi TongguNon-ferrous Metallurgical & Chemical Co., Ltd. | Compliant | CHINA | ||||
| 297 | Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | Compliant | CHINA | ||||
| 298 | Tungsten | Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd. | Compliant | CHINA | ||||
| 299 | Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. | Compliant | CHINA | ||||
| 300 | Tungsten | Kennametal Fallon | Compliant | UNITED STATES OF AMERICA | ||||
| 301 | Tungsten | Kennametal Huntsville | Compliant | UNITED STATES OF AMERICA | ||||
| 302 | Tungsten | Malipo Haiyu Tungsten Co., Ltd. | Compliant | CHINA | ||||
| 303 | Tungsten | Moliren Ltd. | Compliant | RUSSIAN FEDERATION | ||||
| 304 | Tungsten | Niagara Refining LLC | Compliant | UNITED STATES OF AMERICA | ||||
| 305 | Tungsten | Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC | Compliant | VIET NAM | ||||
| 306 | Tungsten | Philippine Chuangxin Industrial Co., Inc. | Compliant | PHILIPPINES | ||||
| 307 | Tungsten | South-East Nonferrous Metal Company Limited of Hengyang City | Compliant | CHINA | ||||
| 308 | Tungsten | Tejing (Vietnam) Tungsten Co., Ltd. | Compliant | VIET NAM | ||||
| 309 | Tungsten | Unecha Refractory Metals Plant | Compliant | RUSSIAN FEDERATION | ||||
| 310 | Tungsten | Vietnam Youngsun Tungsten Industry Co., Ltd. | Compliant | VIET NAM | ||||
| 311 | Tungsten | Wolfram Bergbau und Hutten AG | Compliant | AUSTRIA | ||||
| 312 | Tungsten | Woltech Korea Co., Ltd. | Compliant | KOREA, REPUBLIC OF | ||||
| 313 | Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | Compliant | CHINA | ||||
| 314 | Tungsten | Xiamen Tungsten Co., Ltd. | Compliant | CHINA | ||||
| 315 | Tungsten | Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. | Compliant | CHINA | ||||
| 316 | Tungsten | Xinhai Rendan Shaoguan Tungsten Co., Ltd. | Compliant | CHINA | ||||
15
