EXHIBIT 1.01
Micron Technology, Inc.
Conflict Minerals Report
Calendar Year 2015
We1 prepared this Conflict Minerals Report (“CMR”) pursuant to Rule 13p-1 under the Securities Exchange Act of 1934, as amended (the “Rule”). This CMR covers the calendar year reporting period ended December 31, 20152 and is filed as an exhibit to our Form SD. This CMR includes a description of the measures we have taken to exercise due diligence on the source and chain of custody of conflict minerals3 (specifically gold, and the derivatives tin, tantalum, and tungsten (collectively “3TG metals”)) necessary to the functionality or production of our products manufactured during the year ended December 31, 2015.
Overview of Our Commitment to Responsible Sourcing:
In support of global responsible sourcing, we are committed to monitoring our supply chain with a goal to ensure that conflict minerals directly or indirectly supporting civil violence or human rights abuses in the Democratic Republic of the Congo (“DRC”) or adjoining countries are not used in the manufacture of Micron products. We also believe that responsible sourcing means continuing to support stable economic development in the DRC region (rather than a DRC embargo), and accordingly we do not prohibit our suppliers from using 3TG metals sourced from the region. Our conflict mineral supply chain monitoring program is consistent with the Organisation for Economic Co-operation and Development (“OECD”) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas and integrates tools developed by the Conflict-Free Sourcing Initiative (“CFSI”).
Micron is a founding member of the CFSI (member ID MICR). We continue to support the CFSI and its conflict-free4 third-party auditing program, the Conflict-Free Smelter Program (“CFSP”), as part of our commitment to drive ethical sourcing of 3TG metals throughout our supply chain. In 2015, we expanded our role within CFSI and worked on multiple CFSI leadership teams, including the Smelter Engagement Team, the Market Acceptance Team, the Joint Supplier Team, the Due Diligence Team, the CMRT Team and the Plenary Team, which is tasked with defining future directions, protocol, recognition of other reporting organizations, training, oversight, and smelter and refiner engagements. To learn more about CFSI’s initiatives to help companies achieve a conflict-free supply chain and the Conflict-Free Smelter Program visit: http://www.conflictfreesourcing.org/.
Micron’s conflict minerals policy is published at https://www.micron.com/about/our-commitment/supply-chain/conflict-minerals. To learn more about our conflict minerals supplier requirements, see our
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1In this CMR, unless otherwise indicated or the context otherwise requires “we,” “us,” “our,” “Micron” and the “Company” refers to Micron Technology, Inc. and its subsidiaries.
2 Unless otherwise noted, any designation of years refers to calendar years.
3 Conflict minerals are those minerals regulated by Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. They include columbite-tantalite, also known as coltan (and its derivative tantalum); cassiterite (and its derivative tin); wolframite (and its derivative tunsgsten); and gold.
4 The term “conflict-free” herein means the relevant smelters or refiners are verified as Compliant with the CFSI’s CFSP or an equivalent third-party auditing program.
Micron Supplier Quality Requirements Document (“SQRD”) at https://www.micron.com/~/media/documents/general/about/sqrd_rev4.pdf?la=en.
Overview of Micron’s Conflict Minerals Program:
We require our suppliers5 to source conflict minerals from smelters and refiners validated as Compliant6 with conflict-free sourcing standards (such as the CFSP or standards enacted by the London Bullion Market Association (“LBMA”) or the Responsible Jewellry Council (“RJC”)), or on the path to validation under one of those programs. We refer to smelters and refiners who have been validated to meet such conflict-free sourcing standards as “Compliant” and smelters and refiners who are actively engaged in an effort to become validated under one or more of these standards as “Active”7. To ensure our suppliers meet our SQRD requirements for conflict-free sourcing, we make all suppliers aware of our commitment to responsible sourcing and our expectation that all smelters and refiners in our supply chain are Compliant with conflict-free sourcing standards; conduct ongoing due diligence on the source and chain of custody of conflict minerals in our supply chain in conformance with the OECD’s Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas; encourage suppliers to adopt responsible sourcing practices; and collaborate with industry stakeholders through our leadership in the CFSI. To further transparency in the conflict mineral supply chain, in addition to publicly reporting the results of our due diligence efforts annually, we share our due diligence results directly with our customers.
In 2015, we added new leadership resources to help bolster our due diligence efforts through driving an extensive and integrated system of company-level strategies, direction, operations, supplier engagement and cross-functional executive-level oversight. These measures helped us to further improve our conflict minerals outreach and to better track and communicate our progress toward a conflict-free supply chain for our products. As part of this additional oversight, we implemented a formal cross-functional Conflict Minerals Executive Team consisting of senior functional executives from Micron’s Procurement, Supply Chain, Quality, Finance, R&D, Manufacturing, Sales and Legal departments to serve as the sponsor of our conflict minerals program.
Of the 274 smelters or refiners we believe were in our supply chain at any point for the year ended December 31, 2015, 210 (77%) were validated as Compliant while another 32 (12%) were Active in a conflict-free auditing program, representing a 72% increase in the number of Compliant smelters or refiners in our supply chain as compared to 2014. Throughout 2015, we worked with our suppliers in an effort to source only from smelters and refiners that were either validated as Compliant or Active in a conflict-free auditing program. As of December 31, 2015, the total number of smelters and refiners in our supply chain was 230, with 206 (90%) of them validated as Compliant and the remaining 24 (10%) Active in a conflict-free auditing program.
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5The term “supplier(s)” refers to both incumbent and new suppliers and manufacturers that are likely to provide us with products containing 3TG metals that are necessary to the function or manufacture of our products.
6 The term “Compliant” means that smelters or refiners are verified as Compliant with the CFSI’s CFSP or an equivalent third-party auditing program
7 The term “Active” refers to smelters or refiners actively pursuing certification through one of the approved auditing processes.
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| 1. | Our Outreach to Suppliers and Reasonable Country of Origin Inquiry |
Our goal is to ensure that all 3TG metals in our supply chain are sourced through conflict-free smelters and refiners. In furtherance of that goal, we require each Micron supplier to participate in our Supplier Management Performance process. This process begins with our annual submission of an inquiry letter to our suppliers (including a link to the CFSI Conflict Minerals Reporting Template (“CMRT”)). Through the CMRT we request information from suppliers regarding their 3TG supply chains, including the names and locations of smelters and refiners of 3TG as well as the country of origin of 3TG processed by such smelters and refiners. We then ask that suppliers review and acknowledge our Conflict Minerals Policy and our SQRD, which sets out our expectations that all smelters and refiners in our supply chain are, and remain, validated as Compliant or Active. We applied our Supplier Management Performance process to each new supplier as they were added to our supply chain throughout the year.
We make our suppliers aware that smelters and refiners that fail to become Active in one or more conflict-free auditing programs with a view towards being validated as Compliant will be targeted for removal from our supply chain. In addition, the terms and conditions we include with every Micron purchase order further highlight our Conflict Minerals expectations and requirements, with direct reference to our SQRD. Throughout 2015, we worked with our suppliers to help raise awareness of our expectations, provide ongoing education concerning our requirements, and provide training through our risk mitigation and escalation process.
Our outreach to suppliers, which included our reasonable country of origin inquiry, did not provide us with complete information on the origin of 3TG from smelters and refiners reported to be in our supply chain. We had reason to believe, however, that at least some sourcing was from the DRC and adjoining countries. Accordingly, we conducted due diligence on the chain and custody of 3TG and prepared this Conflict Minerals Report.
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| 2. | Our Conflict Minerals Due Diligence Program |
2.1 Our Conflict Minerals Due Diligence Program Design
We have designed our conflict minerals due diligence program in conformance with the principles of the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High Risk Areas (Second Edition) and the supplements thereto as applied to downstream companies.
2.2 Our Conflict Minerals Due Diligence for 2015 Products
2.2.1 Our Management System
For the year ended December 31, 2015, management of our conflict minerals program was provided by a cross-functional Conflict Minerals Steering Team, with representatives from Micron’s Procurement, Supply Chain, Quality, Finance, Sales and Legal departments, headed by a Conflict Minerals Compliance Manager. The Steering Team met at least monthly during the year ended December 31, 2015 to review progress towards achieving our goal of a conflict-free supply chain. Oversight of the Conflict Minerals Steering Team was provided by a cross-functional Conflict Minerals Executive Team, which is charged with sponsoring and reviewing our conflict minerals program. For the year ended December 31, 2015, the Conflict Minerals Executive Team met on a quarterly basis, with additional monthly email updates, to review our progress towards our goal of achieving a conflict free supply chain.
We also continued to incorporate conflict minerals requirements into the terms and conditions of our purchase orders and supplier agreements, and maintained internal and third-party access to our ethics and
compliance hotline, which can be used to report issues relating to conflict minerals. Our program included a ten-year record retention policy for our conflict minerals documents.
2.2.2 Our Risk Assessment
With the help of a third-party conflict minerals partner that provided collection, screening and analysis of our CMRT collection process, we collected CMRTs from our suppliers for the year ended December 31, 2015. We provided our suppliers with formal notification of Micron’s requirements to convey our expectations that they report to us, within thirty days of any such occurrence, any changes to their supply chains that would affect their CMRT status.
2.2.3 Our Risk Management
We reviewed all CMRT responses and updates received for the year ended December 31, 2015 and determined whether the disclosed smelters or refiners were recognized by CFSI or equivalents as processors of 3TG metals, and if so, whether they had been validated as Compliant or listed as Active with these organizations. We reviewed supplier CMRTs for accuracy and overall adherence to our conflict minerals requirements, as delivered through our inquiry letter to suppliers, and we began our risk mitigation (and escalation processes, if necessary) set out in our conflict minerals procedures with suppliers having disclosed any smelters or refiners that were not Compliant or Active. If a supplier reports a CMRT that includes smelters or refiners not yet listed as Compliant or Active, we implement our risk mitigation procedures, beginning with direct outreach to the supplier and escalating discussions up the management structure of our respective companies. We work with these suppliers throughout the risk mitigation process to provide awareness of Micron’s goal to only source from Compliant and Active smelters or refiners.
We are members of multiple CFSI working committees, including the CFSI Smelter Engagement Team, which was tasked with identifying and influencing smelters in the supply chains of CFSI members to join the CFSP and become validated as conflict free. Micron also has additional CFSI formal representation and leadership positions on multiple CFSI working teams, including the Market Acceptance Team, the Joint Supplier Team, the Due Diligence Team, the CMRT Team and the Plenary Team, which helps define future protocols, procedures, issue resolutions and training.
2.2.4 Smelter and Refiner Auditing
As we do not source 3TG metals directly from smelters or refiners, we rely on independent third-party auditing programs, like the CFSP, LBMA and RJC to coordinate audits of smelters and refiners in our supply chain.
2.2.5 Reporting
We report our annual due diligence results in our conflict minerals program to the U.S. Securities and Exchange Commission through the Form SD and the CMR. We make the CMR available on our company website.
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| 3. | Our Product Descriptions |
Overview
We offer a broad portfolio of DRAM, Non-Volatile, and NOR semiconductor memory products. We conducted due diligence, as described in this CMR, to try to determine the source and chain of custody of the necessary 3TG metals contained in these products. Our oversight process led us to believe that at least some sourcing is from the DRC and adjoining countries. We were unable to determine the country of origin of some of the 3TG metals contained in products we manufactured and sold during the year ended December 31, 2015 and/or whether all of the products we manufactured and sold during the year ended December 31, 2015 contain 3TG metals that may have directly or indirectly financed or benefited armed groups in the Democratic Republic of the Congo or an adjoining country.
Description of Products
During the year ended December 31, 2015, we manufactured or contracted to manufacture the following products containing 3TG metals.
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| • | Dynamic Random Access Memory (“DRAM”) |
DRAM products are high-density, low-cost-per-bit, random access memory devices that provide high-speed data storage and retrieval. DRAM products are used in computers, servers, tablets, mobile phones, communication equipment, computer peripherals, industrial, automotive and other electronic devices. We offer DRAM products with a variety of performance, pricing and other characteristics including high-volume DDR4, DDR3 and DDR2 products as well as specialty DRAM memory products including Mobile Low Power DRAM, DDR, SDRAM, Reduced Latency DRAM and Pseudo-static DRAM.
Non-Volatile Memory includes NAND Flash and 3D XPoint™ memory.
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| • | NAND Flash products are electrically re-writeable, non-volatile semiconductor memory devices that retain content when power is turned off. NAND Flash is ideal for mass-storage devices due to its fast erase and write times, high density and low cost per bit relative to other solid-state memories. Embedded NAND Flash-based storage devices are utilized in mobile phones, solid-state drives, tablets, computers, industrial and automotive applications, MP3/4 players and other personal and consumer applications. Removable storage devices, such as USB and Flash memory cards, are used with applications such as PCs, digital still cameras, MP3/4 players and mobile phones. |
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| • | In the fourth quarter of 2015, we introduced 3D XPoint™ technology, a new category of non-volatile memory. 3D XPoint memory’s innovative, transistor-less, cross point architecture creates a three-dimensional checkerboard where memory cells sit at the intersection of word lines and bit lines, allowing the cells to be addressed individually. As a result, data can be written and read in small sizes, leading to fast and efficient read/write processes. In 2015 we manufactured a small volume of 3D XPoint™ memory products in connection with our development efforts, and we plan to produce commercial volumes of 3D XPoint™ memory products in 2016. |
Other products include primarily NOR Flash products, which are electrically re-writeable semiconductor memory devices that offer fast read times which are used in wireless and
embedded applications. We also manufacture solid state drives, processors and assemblies which use various components of our main products.
Reported Smelters and Refiners Used to Process 3TG Metals
We identified 274 smelters and refiners that are recognized by CFSI, LBMA or RJC to be processors of 3TG metals and that we believe were potentially in our supply chain for the year ended December 31, 2015. Of these, 210 (77%) were validated as Compliant while another 32 (12%) were Active in a conflict-free auditing program. Many of our suppliers reported smelter and refiner information at the company level rather than limiting their response to smelters and refiners affiliated with products sold to Micron. As a result, some reported smelters and refiners may not be affiliated with our products.
Throughout 2015, we worked with our suppliers in an effort to source only from smelters and refiners that were either validated as Compliant or Active in a conflict-free auditing program. Over the course of the year ended December 31, 2015, and as a result of our efforts, 44 smelters and refiners were either removed from our supply chain or confirmed as not having been in it during 2015. As of December 31, 2015, the total number of smelters and refiners in our supply chain was 230, with 206 (90%) of them validated as Compliant and the remaining 24 (10%) Active in a conflict-free auditing program.
Aggregated Countries of Origin of 3TG Metals
Our due diligence efforts did not result in sufficient information to conclusively determine the countries of origin of all 3TG metals in our products due to the LBMA reporting process and those smelters and refiners not validated as Compliant (for which CFSI may not yet have country of origin information). Appendix B sets forth a list of countries of origin of 3TG metals that may be in our products based on information provided to us by our suppliers and CFSI, which is available to us (and is therefore being disclosed) on an aggregated basis only for CFSP Compliant smelters.
Efforts to Determine the Mine or Location of Origin
CFSI has an established audit protocol to assess whether smelters and refiners of 3TG metals employed policies, practices and procedures to source conflict-free minerals. CFSI, through the CFSP, collects and provides access for its members to certain information regarding the origin of minerals processed at CFSP conflict-free smelters and refiners.
We required our suppliers to complete the CFSI CMRT, which requested information regarding the mine or location of origin of necessary conflict minerals processed by the smelters and refiners our suppliers identified as potentially associated with our 3TG metals supply chain. We reviewed the supplier responses as well as information available through the CFSI on the mine or location of origin of 3TG metals processed by these smelters and refiners collectively. Because we were unable to confirm the supplier data, our list of the countries of origin in Appendix B reflects the aggregated list of countries provided by CFSI for CFSP conflict-free smelters and refiners.
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| 4. | 2016 Due Diligence Improvement Measures |
During the 2016 reporting year, Micron intends to:
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| • | Continue to engage with and provide active participation and leadership in the various CFSI working teams; |
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| • | Continue to proactively work with all suppliers in an effort to accomplish our goal that all smelters and refiners in our supply chain are Compliant; and |
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| • | Continue to refine and improve our escalation processes to ensure quick remediation, including removal, of any smelter or refiner that loses Compliant or Active status. |
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This Conflict Minerals Report contains forward looking statements related to our conflict minerals diligence programs for 2016. We wish to caution you that such statements are predictions and that actual events or results may differ materially. We refer you to the documents the Company files on a consolidated basis from time to time with Securities and Exchange Commission, specifically the Company’s most recent Form 10-K and Form 10-Q. These documents contain and identify important factors that could cause the actual results for the Company on a consolidated basis to differ materially from those contained in our projections or forward-looking statements. These certain factors can be found at http://investors.micron.com/riskFactors.cfm. Although we believe that the expectations reflected in the forward-looking statements are reasonable, we cannot guarantee future results, levels of activity, performance or achievements. We are under no duty to update any of the forward-looking statements after the date of the presentation to conform these statements to actual results.
Appendix A
Reported 3TG Smelters and Refiners List
This table provides the names of the smelters and refiners reported by our suppliers for the year ended December 31, 2015 that are also recognized by CFSI to be processors of 3TG metals, but that have either not been listed by CFSI as Compliant with the CFSP or an equivalent smelter or refiner auditing program as of December 31, 2015 or the country of origin was not disclosed by LBMA or RJC. The smelter and refiner names appear as they are listed on the CFSI Smelter or Refiner Information Exchange. We cannot confirm that any or all smelters and refiners in this table processed the necessary 3TG metals contained in our products, as many of our in scope suppliers identified all smelters and refiners in their total supply chain rather than just those smelters and refiners affiliated with products sold to us.
Smelters and refiners noted with an asterisk (*) in this table were listed by CFSI as Compliant with the CFSP or an equivalent smelter auditing program as of December 31, 2015 but the country of origin was not disclosed by LBMA or RJC. Given the ongoing work within the CFSP to perform audits of participating smelters and refiners, and the efforts of many smelters and refiners to successfully complete the auditing process, it is likely that a number of these entities have since become validated as conflict-free. Up to date information on the validation status of smelters and refiners participating in the CFSP is available at http://www.conflictfreesourcing.org/conflict-free-smelter-refiner-lists/.
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| Metal | Smelter Name | CFSI ID |
| Gold | Allgemeine Gold-und Silberscheideanstalt A.G. * | CID000035 |
| Gold | Almalyk Mining and Metallurgical Complex (AMMC) * | CID000041 |
| Gold | AngloGold Ashanti Córrego do Sítio Minerção * | CID000058 |
| Gold | Argor-Heraeus SA * | CID000077 |
| Gold | Asahi Pretec Corporation * | CID000082 |
| Gold | Asahi Refining Canada Ltd.* | CID000924 |
| Gold | Asahi Refining USA Inc.* | CID000920 |
| Gold | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. * | CID000103 |
| Gold | Aurubis AG * | CID000113 |
| Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) * | CID000128 |
| Gold | Bauer Walser AG | CID000141 |
| Gold | Boliden AB * | CID000157 |
| Gold | C. Hafner GmbH + Co. KG * | CID000176 |
| Gold | Caridad | CID000180 |
| Gold | CCR Refinery - Glencore Canada Corporation * | CID000185 |
| Gold | Cendres + Métaux SA * | CID000189 |
| Gold | Chimet S.p.A. * | CID000233 |
| Gold | Chugai Mining | CID000264 |
| Gold | Daejin Indus Co. Ltd * | CID000328 |
| Gold | Daye Non-Ferrous Metals Mining Ltd. * | CID000343 |
| Gold | Do Sung Corporation * | CID000359 |
| Gold | Faggi Enrico S.p.A. * | CID002355 |
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| Gold | Gansu Seemine Material Hi-Tech Co Ltd | CID000522 |
| Gold | Guangdong Jinding Gold Limited | CID002312 |
| Gold | Guoda Safina High-Tech Environmental Refinery Co., Ltd. | CID000651 |
| Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. | CID000671 |
| Gold | Heraeus Ltd. Hong Kong * | CID000707 |
| Gold | Heraeus Precious Metals GmbH & Co. KG * | CID000711 |
| Gold | Hunan Chenzhou Mining Group Co., Ltd. | CID000767 |
| Gold | Hwasung CJ Co. Ltd | CID000778 |
| Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited * | CID000801 |
| Gold | Ishifuku Metal Industry Co., Ltd. * | CID000807 |
| Gold | Istanbul Gold Refinery * | CID000814 |
| Gold | Japan Mint * | CID000823 |
| Gold | Jiangxi Copper Company Limited * | CID000855 |
| Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant * | CID000927 |
| Gold | JSC Uralelectromed * | CID000929 |
| Gold | JX Nippon Mining & Metals Co., Ltd. * | CID000937 |
| Gold | Kazzinc Ltd * | CID000957 |
| Gold | Kennecott Utah Copper LLC * | CID000969 |
| Gold | Korea Metal Co. Ltd | CID000988 |
| Gold | Kyrgyzaltyn JSC * | CID001029 |
| Gold | L' azurde Company For Jewelry * | CID001032 |
| Gold | Lingbao Gold Company Limited | CID001056 |
| Gold | Lingbao Jinyuan Tonghui Refinery Co. Ltd. | CID001058 |
| Gold | LS-NIKKO Copper Inc. * | CID001078 |
| Gold | Luoyang Zijin Yinhui Metal Smelt Co Ltd | CID001093 |
| Gold | Matsuda Sangyo Co., Ltd. * | CID001119 |
| Gold | Metalor Suzhou * | CID001147 |
| Gold | Metalor Technologies (Hong Kong) Ltd * | CID001149 |
| Gold | Metalor Technologies (Singapore) Pte. Ltd. * | CID001152 |
| Gold | Metalor Technologies SA * | CID001153 |
| Gold | Metalor USA Refining Corporation * | CID001157 |
| Gold | METALÚRGICA MET-MEX PEÑOLES, S.A. DE C.V * | CID001161 |
| Gold | Mitsubishi Materials Corporation * | CID001188 |
| Gold | Mitsui Mining and Smelting Co., Ltd. * | CID001193 |
| Gold | MMTC-PAMP India Pvt., Ltd. * | CID002509 |
| Gold | Moscow Special Alloys Processing Plant * | CID001204 |
| Gold | Nadir Metal Rafineri San. Ve Tic. A.ª. * | CID001220 |
| Gold | Navoi Mining and Metallurgical Combinat * | CID001236 |
| Gold | Nihon Material Co. LTD * | CID001259 |
| Gold | Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH * | CID002779 |
| Gold | OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastvetmet) * | CID001326 |
| Gold | OJSC Kolyma Refinery * | CID001328 |
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| Gold | OJSC Novosibirsk Refinery* | CID000493 |
| Gold | PAMP SA * | CID001352 |
| Gold | Penglai Penggang Gold Industry Co Ltd | CID001362 |
| Gold | Prioksky Plant of Non-Ferrous Metals * | CID001386 |
| Gold | PT Aneka Tambang (Persero) Tbk * | CID001397 |
| Gold | PX Précinox SA * | CID001498 |
| Gold | Rand Refinery (Pty) Ltd * | CID001512 |
| Gold | Republic Metals Corporation * | CID002510 |
| Gold | Royal Canadian Mint * | CID001534 |
| Gold | Sabin Metal Corp. | CID001546 |
| Gold | Samduck Precious Metals * | CID001555 |
| Gold | SAMWON METALS Corp. | CID001562 |
| Gold | Schone Edelmetaal * | CID001573 |
| Gold | SEMPSA Joyería Platería SA * | CID001585 |
| Gold | Shandong Zhaojin Gold & Silver Refinery Co. Ltd * | CID001622 |
| Gold | Sichuan Tianze Precious Metals Co., Ltd. * | CID001736 |
| Gold | So Accurate Group, Inc. | CID001754 |
| Gold | SOE Shyolkovsky Factory of Secondary Precious Metals * | CID001756 |
| Gold | Sumitomo Metal Mining Co., Ltd. * | CID001798 |
| Gold | T.C.A S.p.A * | CID002580 |
| Gold | Tanaka Kikinzoku Kogyo K.K. * | CID001875 |
| Gold | The Great Wall Gold and Silver Refinery of China * | CID001909 |
| Gold | The Refinery of Shandong Gold Mining Co. Ltd * | CID001916 |
| Gold | Tokuriki Honten Co., Ltd * | CID001938 |
| Gold | Tongling nonferrous Metals Group Co.,Ltd | CID001947 |
| Gold | Torecom * | CID001955 |
| Gold | Umicore Brasil Ltda * | CID001977 |
| Gold | Umicore Precious Metals Thailand * | CID002314 |
| Gold | Umicore SA Business Unit Precious Metals Refining * | CID001980 |
| Gold | Valcambi SA * | CID002003 |
| Gold | Western Australian Mint trading as The Perth Mint * | CID002030 |
| Gold | Yokohama Metal Co Ltd * | CID002129 |
| Gold | Yunnan Copper Industry Co Ltd | CID000197 |
| Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation * | CID002224 |
| Gold | Zijin Mining Group Co. Ltd * | CID002243 |
| Tin | An Vinh Joint Stock Mineral Processing Company * | CID002703 |
| Tin | China Tin Group Co., Ltd. * | CID001070 |
| Tin | CNMC (Guangxi) PGMA Co. Ltd. | CID000278 |
| Tin | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company * | CID002572 |
| Tin | Estanho de Rondônia S.A. | CID000448 |
| Tin | Feinhütte Halsbrücke GmbH *8 | CID000466 |
| Tin | Gejiu Kai Meng Industry and Trade LLC * | CID000942 |
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| Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | CID001908 |
| Tin | Gejiu Zi-Li | CID000555 |
| Tin | Huichang Jinshunda Tin Co. Ltd | CID000760 |
| Tin | Linwu Xianggui Smelter Co | CID001063 |
| Tin | Metallic Resources, Inc. * | CID001142 |
| Tin | Nankang Nanshan Tin Manufactory Co., Ltd | CID001231 |
| Tin | Nghe Tinh Non-Ferrous Metals Joint Stock Company * | CID002573 |
| Tin | Phoenix Metal Ltd. * | CID002507 |
| Tin | PT Alam Lestari Kencana | CID001393 |
| Tin | PT Bangka Putra Karya *9 | CID001412 |
| Tin | PT Fang Di MulTindo | CID001442 |
| Tin | PT Karimun Mining | CID001448 |
| Tin | PT Seirama Tin investment | CID001466 |
| Tin | PT Tommy Utama * | CID001493 |
| Tin | Tuyen Quang Non-Ferrous Metals Joint Stock Company * | CID002574 |
| Tin | Yunnan Chengfeng Non-ferrous Metals Co.,Ltd. * | CID002158 |
| Tungsten | Ganxian Shirui New Material Co., Ltd. | CID002531 |
| Tungsten | Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. | CID002313 |
| Tungsten | Unecha Refractory metals plant * | CID002724 |
| | * Smelter of refiner was on the CFSP Active List, listed with LBMA, or listed with RJC as of 12/31/15 | |
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8 Removed from the Active list because CFSI determined they did not meet the definition of a smelter.
9 This facility went out of business in February 2015. It is no longer listed in the latest version of the CMRT.
Appendix B
Aggregated Counties of Origin List
This table provides information available from CFSI on countries of origin for smelters or refiners that have been validated as Compliant with the CFSP. Due to confidential business information concerns, CFSI provides this country of origin information on an aggregated basis. This table reflects information available from CFSI as of December 31, 2015.
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| Angola | Germany | Republic of Congo |
| Argentina | Guyana | Russia |
| Australia | Hungary | Rwanda |
| Austria | India | Sierra Leone |
| Belgium | Indonesia | Singapore |
| Bolivia | Ireland | Slovakia |
| Brazil | Israel | South Africa |
| Burundi | Japan | South Korea |
| Cambodia | Kazakhstan | South Sudan |
| Canada | Kenya | Spain |
| Central African Republic | Laos | Suriname |
| Chile | Luxembourg | Switzerland |
| China | Madagascar | Taiwan |
| Colombia | Malaysia | Tanzania |
| Côte D'Ivoire | Mongolia | Thailand |
| Czech Republic | Mozambique | The Democratic Republic of Congo |
| Djibouti | Myanmar | Uganda |
| Ecuador | Namibia | United Kingdom |
| Egypt | Netherlands | United States of America |
| Estonia | Nigeria | Vietnam |
| Ethiopia | Peru | Zambia |
| France | Portugal | Zimbabwe |
