Exhibit 1.01
Conflict Minerals Report
This Report has been prepared pursuant to Rule 13p-1 (the “Rule”) for the reporting period from January 1 to December 31, 2014. The Company is a leading supplier of oilfield services, products, technology and systems to the worldwide oil and natural gas industry. The Company also provides industrial products and services to the downstream chemicals, and process and pipeline industries. The Company conducts its operations through subsidiaries, affiliates, ventures and alliances. The Company operates in more than 80 countries around the world and the corporate headquarters is in Houston, Texas.
Our supply chain is both global and complex, and there are multiple tiers of suppliers between us and the original sources of minerals used in our products. Therefore, we relied on our direct suppliers to provide us information about the origin of conflict minerals in the raw materials and components we purchase for use in the manufacture of or contracts to manufacture products that we offer for sale.
We are committed to the responsible sourcing of raw materials and components necessary to the production or functionality of our products for sale, and we have publicly posted this policy. The policy, including the commitment to establishing a conflict-free supply chain, may be found at: http://www.bakerhughes.com/company/corporate-social-responsibility/human-rights-and-security/conflict-minerals.
The Report contains forward-looking statements within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Securities Exchange Act of 1934, as amended, (each a “forward-looking statement”). The words “will,” “intend,” “anticipate,” “believe,” “ensure,” “expect,” “if,” “estimate,” “project,” “foresee,” “predict,” “outlook,” “aim,” “could,” “should,” “potential,” “would,” “may,” “probable,” “likely,” and similar expressions, and the negative thereof, are intended to identify forward-looking statements. The Company undertakes no obligation to publicly update or revise any forward-looking statement.
Reasonable Country of Origin Inquiry
In accordance with the Rule, we undertook a reasonable country of origin inquiry to determine the origin of the conflict minerals necessary to the production or functionality of the products we offer for sale for the fiscal year-ended December 31, 2014. We undertook the following as part of that inquiry:
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| • | identified those products which we manufactured or contracted to manufacture that we reasonably believed contained one or more conflict minerals (defined as cassiterite, columbite-tantalite, gold, wolframite, and their derivatives, which are limited to tin, tantalum, tungsten, and gold), by first eliminating those products which were clearly not subject to the Rule, including tool rentals, service-only, chemicals, and fluids; |
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| • | using lessons learned during the previous reporting year, we changed our process to help ensure we have identified all relevant suppliers which potentially provided raw materials or components used in the manufacture or contract for manufacture of the products specifically identified in the step above; engaged the services of a third-party conflict minerals service provider to create and maintain a supplier engagement portal; |
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| • | engaged the services of a third-party conflict minerals service provider to contact the identified suppliers; |
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| • | informed our suppliers of the Company’s conflict minerals policy and our expectation for compliance with that policy and their cooperation in developing conflict minerals data; |
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| • | requested our suppliers to determine which of the materials or components they provided to the Company contained one or more conflict minerals; |
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| • | requested our suppliers to in turn require their suppliers to comply with the Company’s conflict minerals requirements; |
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| • | requested our suppliers to develop a company policy and management system with respect to conflict minerals and to require their suppliers to in turn adopt similar policies and systems; |
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| • | informed our suppliers of the informational and instructional materials available on the our third-party conflict minerals service provider’s Conflict Minerals Resource Center web page, pertaining to the conflict minerals regulation, the Conflict Minerals Reporting Template (“CMRT”) questionnaire, and due diligence guidelines. |
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| • | requested from those our suppliers confirmation of the presence of every necessary conflict mineral in the raw materials or components they supplied to the Company, and information regarding the origin of those minerals; |
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| • | established a deadline of March 31, 2015 to provide the requested conflict minerals information and documentation; |
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| • | followed up with unresponsive suppliers to request compliance with the Company’s requests for information and documentation, until the stated deadline by: sending up to four e-mailed messages by the Company’s third-party service provider, and attempting at least one phone call by the service provider in cases when e-mail contact was unsuccessful; |
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| • | reviewed the responses compiled for each responding supplier, to determine which smelters or refiners (“SORs”) were the source of necessary conflict minerals contained in the raw materials or components supplied to the Company; |
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| • | received completed questionnaires from 30% of the identified suppliers contacted by our third-party conflict minerals service provider; and |
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| • | increased by more than 46% the identification of total SORs in the Company’s supply chain from 2013, and increased by 94% the identification of total conflict-free SORs from 2013, both increases due, in part, to the Company’s change in process noted above. |
We have also participated in monthly Responsible Sourcing Network Multi-Stakeholder Group calls and periodic Oil and Gas Services Working Group meetings, as well as attended various webinars and the 2nd Conflict Minerals Reporting & Supply Chain Transparency Conference, to enable us to consider best practices and to explore opportunities to participate in responsible sourcing and supply chain transparency.
The Company’s responding suppliers identified 388 SORs believed to be the source of necessary conflict minerals contained in the raw materials or components supplied to the Company. Of those supplier-identified SORs, 37 potentially sourced minerals or ores from the DRC Region, requiring due diligence on the source and chain of custody of conflict minerals. These SORs are more fully described in the table located in Schedule 2 below.
The appropriate due diligence on the above listed SORs is more fully described below.
Design of Due Diligence
Our due diligence was designed in conformance with the due diligence related steps of a nationally or internationally recognized due diligence framework, specifically, the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (Second Edition).
Due Diligence Measures Undertaken
We determined that approximately 10% of the identified SORs in our global supply chain required due diligence on source and chain of custody of the necessary conflict minerals ultimately provided to us, based upon the applicability of one or more criteria:
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| • | reporting sourcing conflict minerals from the conflict area; |
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| • | providing data on SORs that self-report sourcing from a mine located in the conflict area; |
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| • | providing data on SORs that were reported by independent entities to source from a mine located in the conflict area; |
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| • | indicated that the SOR named by the supplier passed materials through a known or suspected country for smuggling, export out of other countries, or the transit of materials containing conflict minerals; or |
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| • | provided information about an SOR indicating the origin of the materials was not from a country known to hold reserves. |
We undertook the following measures in its exercise of due diligence on the source and chain of custody of the necessary conflict minerals:
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| • | attempted to verify the existence and correct identity of SORs named by responsive suppliers, through contact with the pertinent SORs and cross-checks against Internet-based SOR lists compiled by U.S Department of Commerce, Conflict-Free Smelter Initiative, London Bullion Market Association, and Responsible Jewellery Council, to verify: |
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| ◦ | the source, countries of origin and chain of custody documentation of relevant minerals, |
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| ◦ | DRC conflict-free designations from the above named entities, |
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| ◦ | independent audits of processing facilities’ supply chains, and |
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| ◦ | other supply chain and chain-of-custody certifications or audits; and |
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| • | initiated follow-up contact with SORs directly, to confirm source and chain of custody information as well as conflict status of conflict minerals by: |
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| ◦ | attempting contact by phone at least 3 times, |
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| ◦ | attempting contact by e-mail at least 3 times, if phone contact was unsuccessful or unavailable, and |
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| ◦ | if direct contact was unsuccessful or unavailable, utilizing SOR web site information, to determine mineral source, chain of custody and conflict status. |
Results of Due Diligence Undertaken
The conflict status of the SORs requiring due diligence is included in the table located in Schedule 2 below.
Independent Private Sector Audit
The Company is not subject to an independent private sector audit of the Report.
Risk Mitigation
With respect to those products we manufacture or contract to be manufactured for sale that contain necessary conflict minerals, we plan to undertake the following steps to mitigate the risk that our necessary conflict minerals could unintentionally benefit armed groups:
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| • | improve processes to identify the presence of necessary conflict minerals in those of our products we manufacture or contract to be manufactured and offer for sale by: |
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| ◦ | seeking to increase our supplier response rate to 35% for 2015 and to 50% for 2016, although response rates will depend on supplier cooperation, |
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| ◦ | requiring suppliers to provide conflict minerals data at the material or component level, |
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| ◦ | incorporating a flow-down clause on all new or renewed Master Service Agreements, creating a contractual obligation on the part of suppliers to comply with the Company’s conflict minerals requirements and to in turn require policy and systems implementation by successive supply chain tiers; |
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| • | continue to assess the presence of necessary conflict minerals in our relevant supply chain; |
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| • | continue to perform due diligence on the necessary conflict minerals supplied to us, to determine their origin; |
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| • | continue to clearly communicate to suppliers our expectations with regard to compliance with the Company’s stated policies, performance, transparency and responsible sourcing practices; |
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| • | engage with our suppliers to encourage their sourcing from conflict-free SORs or mines, and to obtain from their applicable SORs or mines, conflict-free designations from recognized certification programs; |
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| • | continue to engage those of our suppliers that have not responded to our request for 2014 conflict minerals information, ultimately seeking to engage as many as possible of those suppliers, to determine for 2015: |
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| ◦ | those suppliers’ use of necessary conflict minerals, |
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| ◦ | the country of origin of those conflict minerals, |
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| ◦ | the use of scrap or recycled sources of those conflict minerals, and |
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| ◦ | the source and chain of custody of those conflict minerals originating in the conflict area and not obtained from scrap or recycled sources; |
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| • | improve and expand engagement of SORs by independent certifying organizations, by actively participating in and seeking membership in the Conflict Free Smelter Initiative; |
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| • | monitor the activities, initiatives and programs of DRC regional governments and agencies, international bodies, and non-governmental organizations which are aimed at minimizing or eliminating the benefit to relevant armed groups derived from conflict minerals, and, where practicable, to support or implement those activities, initiatives or programs; |
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| • | seek, where practicable, alternative suppliers that responsibly source necessary conflict minerals, which may include sources within the conflict area that do not benefit armed groups; and |
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| • | continue to participate in local and national industry groups, as well as non-governmental organizations, such as the Responsible Sourcing Network Multi-Stakeholder Group and the Oil and Gas Services Working Group on conflict minerals, to develop best practices regarding responsible sourcing and supply chain transparency. |
Products Description
Our products that are considered to contain necessary conflict minerals include the following:
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| • | Drill Bits - includes Tricone™, PDC or “diamond”, and Kymera™ hybrid drill bits used for performance drilling, hole enlargement and coring. |
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| • | Completion Systems - includes products used to control the flow of hydrocarbons within a wellbore including sand control systems; liner hangers; wellbore isolation; expandable tubulars; multilaterals; safety systems; packers and flow control; and tubing conveyed perforating. |
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| • | Wellbore Intervention - includes products used in existing wellbores to improve their performance including thru-tubing fishing; thru-tubing inflatables; conventional fishing; casing exit systems; production injection packers; and remedial and stimulation tools. |
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| • | Intelligent Production Systems - includes products used to monitor and dynamically control the production from individual wells or fields including intelligent well systems. |
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| • | Artificial Lift - includes electric submersible pump systems; progressing cavity pump systems; gas lift systems; and surface horizontal pumping systems used to lift large volumes of oil and water when a reservoir is no longer able to flow on its own. |
Processing Facilities
Based on our due diligence efforts to date, we do not have sufficient information to fully determine each processing facility utilized to produce the conflict minerals used in each of our relevant products. However, in Schedule 2 below is a listing of processing facilities which source minerals from the DRC, for which we have been able to confirm the information provided by our suppliers.
Based on our due diligence efforts to date, we do not have sufficient information to fully determine the country of origin of the conflict minerals in each of our products, or whether the conflict minerals in each of our products were from recycled or scrap sources. However, in Schedule 1 below is a listing of countries of origin, by pertinent mineral, for which we have been able to confirm the information provided by our suppliers.
The efforts to determine the origin of conflict minerals are more fully described in the section entitled “Due Diligence Measures Undertaken.”
Schedule 1
The information in this Schedule is solely an aggregation of data provided by the Company’s suppliers. This is not a confirmation of conflict minerals actually contained in the Company’s products.
Countries of Origin - Tantalum |
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| Australia | Chile | Nigeria | Thailand |
| Austria | China | Peru | United States |
| Bolivia | DRC * | Portugal | Vietnam |
| Brazil | Ethiopia | Russia | |
| Burundi * | Indonesia | Rwanda * | Recycle/Scrap |
| Canada | Mozambique | Spain | |
Countries of Origin - Tin
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| Argentina | Guyana | Niger | Suriname |
| Australia | India | Nigeria | Tajikistan |
| Bolivia | Indonesia | Papua New Guinea | Thailand |
| Brazil | Italy | Peru | United Kingdom |
| Burundi * | Japan | Philippines | United States |
| Canada | Kazakhstan | Portugal | Uzbekistan |
| Chile | Kyrgyzstan | Russia | Vietnam |
| China | Laos | Rwanda * | Zambia * |
| DRC * | Malaysia | Saudi Arabia | |
| Ethiopia | Mexico | South Africa | Recycle/Scrap |
| France | Mongolia | South Korea | |
| Guinea | Mozambique | Spain | |
Countries of Origin - Tungsten
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| Australia | China | Mozambique | Spain |
| Bolivia | DRC * | Nigeria | Thailand |
| Brazil | Ethiopia | Peru | United States |
| Burundi * | Indonesia | Portugal | Vietnam |
| Canada | Japan | Russia | |
| Chile | Malaysia | Rwanda * | Recycle/Scrap |
Countries of Origin - Gold
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| Argentina | Indonesia | Niger | Sweden |
| Armenia | Italy | Nigeria | Tanzania |
| Australia | Japan | Papua New Guinea | Thailand |
| Bolivia | Kazakhstan | Peru | Turkey |
| Brazil | Kyrgyzstan | Philippines | United Kingdom |
| Canada | Malaysia | Portugal | United States |
| Chile | Mali | Romania | Uzbekistan |
| China | Mexico | Russia | |
| DRC * | Mongolia | Rwanda * | Recycle/Scrap |
| Ghana | Mozambique | South Africa | |
| Greece | Myanmar | South Korea | |
| Guinea | Namibia | Spain | |
Schedule 2
Smelters or Refiners with Identified Mineral Sources
The information in this Schedule is solely an aggregation of data provided by the Company’s suppliers. This is not a confirmation of conflict minerals actually contained in the Company’s products.
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| Smelter or Refiner | Smelter Location | 3TG | 3TG Country of Origin - DRC Region | 3TG Country of Origin - Other |
| A.L.M.T. Corp. | Japan | Tungsten | | Australia, Canada, China, Peru, Portugal, Spain, United States |
| Advanced Chemical Company | United States | Gold | | United States |
| Aida Chemical Industries Co. Ltd. * | Japan | Gold | | Bolivia, Canada, Japan, Peru, Recycle/Scrap, Spain |
| Allgemeine Gold-und Silberscheideanstalt A.G. * | Germany | Gold | | Recycle/Scrap, Japan, Thailand |
| Almalyk Mining and Metallurgical Complex (AMMC) | Uzbekistan | Gold | | China, Mexico, Uzbekistan |
| Alpha * | United States | Tin | | China, Peru, Recycle/Scrap, Spain, Thailand |
| AMG Advanced Metallurgical Group | United States | Tantalum | | Brazil, Ethiopia |
| AngloGold Ashanti Córrego do Sítio Minerção * | Brazil | Gold | | Australia, Brazil, South Africa |
| Argor-Heraeus SA * | Switzerland | Gold | | Argentina, Chile, China, South Africa |
| Asahi Pretec Corporation * | Japan | Gold | | Argentina, Australia, Brazil, Canada, Chile, Guinea, Japan, Mexico, Papua New Guinea, Peru, Recycle/Scrap, United States |
| Asaka Riken Co Ltd | Japan | Gold | | Armenia, Japan, Mexico, Recycle/Scrap |
| Atasay Kuyumculuk Sanayi Ve Ticaret A.S. * | Turkey | Gold | | Brazil, Turkey |
| Aurubis AG * | Germany | Gold | | China, Recycle/Scrap, United States |
| Baiyin Nonferrous Group Co.,Ltd. | China | Gold | | China, Peru |
| Bangko Sentral ng Pilipinas (Central Bank of the Philippines) * | Philippines | Gold | | Canada, Philippines |
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| Smelter or Refiner | Smelter Location | 3TG | 3TG Country of Origin - DRC Region | 3TG Country of Origin - Other |
| Boliden AB * | Sweden | Gold | | Canada, Sweden |
| Caridad | Mexico | Gold | | Bolivia, Chile, China, Japan, Mexico |
| CCR Refinery - Glencore Canada Corporation * | Canada | Tin | DRC, Zambia | Argentina, Australia, Canada, Chile, Japan, Peru, United States |
| Cendres + Métaux SA | Switzerland | Gold | | Recycle/Scrap, Australia |
| Changsha South Tantalum Niobium Co., Ltd. * | China | Tantalum | | Australia, Brazil, Canada, China, Russia |
| Chengfeng Metals Co Pte Ltd | Singapore | Tin | | China |
| Chenzhou Diamond Tungsten Products Co., Ltd. | China | Tungsten | | China |
| Chimet S.p.A. * | Italy | Gold | | Australia, Italy, Mexico, Recycle/Scrap |
| China Gold International Resources Corp. Ltd. | China | Gold | | China, Mongolia |
| China Minmetals Nonferrous Metals Co Ltd | China | Tungsten | | China |
| China National Gold Group Corporation | China | Gold | | China, Mongolia |
| China Rare Metal Materials Company * | China | Tin | | China |
| China Tin Group Co., Ltd. | China | Tin | DRC | Australia, Brazil, China |
| Chongyi Zhangyuan Tungsten Co., Ltd. | China | Tungsten | | China, Canada, Peru, Russia, Thailand |
| Chugai Mining | Japan | Gold | | Canada, Japan |
| CNMC (Guangxi) PGMA Co. Ltd. | China | Tin | | China |
| Codelco | Chile | Gold | | Chile |
| Colonial Metals, Inc | Scotland | Tin | | Recycle/Scrap |
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| Smelter or Refiner | Smelter Location | 3TG | 3TG Country of Origin - DRC Region | 3TG Country of Origin - Other |
| Colt Refining | United States | Gold | | United States |
| Complejo Metalurgico Vinto S.A. | Bolivia | Tin | | Bolivia, Brazil |
| Conghua Tantalum and Niobium Smeltry * | China | Tantalum | Rwanda | Brazil, China, Ethiopia |
| Cooper Santa | Brazil | Tin | | Australia, Brazil, Peru |
| CSC Pure Technologies | Russia | Tin | | China, Russia |
| CV Duta Putra Bangka | Indonesia | Tin | | China |
| CV Makmur Jaya | Indonesia | Tin | | Indonesia |
| CV Nurjanah | Indonesia | Tin | | China |
| CV Prima Timah Utama | Indonesia | Tin | | Indonesia |
| CV Serumpun Sebalai | Indonesia | Tin | | Brazil, Malaysia |
| CV United Smelting * | Indonesia | Tin | DRC | China, Indonesia, Malaysia, Peru |
| Daejin Indus Co. Ltd | South Korea | Gold | | Japan, South Korea |
| Daye Non-Ferrous Metals Mining Ltd. | China | Gold | | China |
| Dayu Weiliang Tungsten Co., Ltd. | China | Tungsten | | China |
| Do Sung Corporation | South Korea | Gold | | South Korea, Recycle/Scrap |
| Doduco | Germany | Gold | | Recycle/Scrap |
| Dowa Mining Co., Ltd. * | Japan | Gold | | Canada, Indonesia, Japan, Mexico, United States |
| Duoluoshan Sapphire Rare Metal Co., Ltd. * | China | Tin | Rwanda | Brazil, Ethiopia, Malaysia, China, Nigeria |
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| Smelter or Refiner | Smelter Location | 3TG | 3TG Country of Origin - DRC Region | 3TG Country of Origin - Other |
| Eco-System Recycling Co., Ltd. * | Japan | Gold | | Bolivia, Canada, Japan, Recycle/Scrap |
| Eldorado Gold Corporation | Canada | Gold | | Australia, Brazil, China, Greece, Romania, Turkey |
| Electroloy Metal Pte | Singapore | Tin | | Brazil, China, Malaysia |
| Empresa Metallurgica Vinto * | Bolivia | Gold | DRC | Bolivia, Brazil, China, Indonesia, Malaysia, Peru, Russia |
| Estanho de Rondônia S.A. | Brazil | Tin | | Brazil |
| Ethiopian Minerals Development Share Company | Ethiopia | Tantalum | | China, Ethiopia |
| F&X Electro-Materials Ltd. * | China | Tantalum | | Recycle/Scrap, China, Russia |
| Faggi S.p.A. | Italy | Gold | | Italy, Recycle/Scrap |
| Federal Metal Company | United States | Tin | | Recycle/Scrap |
| Fenix Metals | Poland | Tin | | Brazil, Recycle/Scrap |
| FIR Metals & Resource., Ltd. * | China | Tantalum | | Brazil |
| Foshan Nanhai Tong Ding Metal Company. Ltd. | China | Tin | | China, Recycle/Scrap |
| FSE Novosibirsk Refinery | Russia | Gold | | Italy, Russia |
| Fujian Jinxin Tungsten Co., Ltd. | China | Tungsten | | Australia, China |
| Gansu Seemine Material Hi-Tech Co Ltd | China | Gold | | China |
| Ganzhou Grand Sea W & Mo Group Co Ltd | China | Tungsten | | Russia, Australia, Canada, China, United States |
| Ganzhou Huaxing Tungsten Products Co., Ltd. * | China | Tungsten | | Bolivia, Canada, China, Peru, Portugal, Spain |
| Ganzhou Jiangwu Ferrotungsten Co., Ltd. * | China | Tungsten | | China |
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| Smelter or Refiner | Smelter Location | 3TG | 3TG Country of Origin - DRC Region | 3TG Country of Origin - Other |
| Ganzhou Non-ferrous Metals Smelting Co., Ltd. | China | Tungsten | | Bolivia, China, Russia |
| Ganzhou Seadragon W & Mo Co., Ltd. * | China | Tungsten | | China |
| Geib Refining Corp | United States | Gold | | China, United States |
| Gejiu Kai Meng Industry and Trade LLC | China | Tin | | China |
| Gejiu Non-Ferrous Metal Processing Co. Ltd. * | China | Tin | | Bolivia, Brazil, China, Indonesia, Peru |
| Gejiu Zi-Li | China | Tin | | Brazil, China |
| Global Advanced Metals | United States | Tantalum | | Australia, Canada, Mozambique, Russia |
| Global Advanced Metals Aizu * | Japan | Tantalum | | Australia, Canada |
| Global Advanced Metals Boyertown * | United States | Tantalum | | Australia, Brazil, Canada, China, Mozambique |
| Global Tungsten & Powders Corp. * | United States | Tungsten | | Bolivia, Canada, China, Peru, Portugal, Spain, United States |
| Guangdong Jinding Gold Limited | China | Gold | | Australia, China |
| Guangdong Mingfa Precious Metals Co., Ltd. | China | Gold | | China |
| Guangdong Xianglu Tungsten Industry Co., Ltd. | China | Tungsten | | Canada, China, Russia, Thailand |
| Guangdong Zhiyuan New Material Co., Ltd. * | China | Tantalum | | China |
| H.C. Starck Co., Ltd. * | Thailand | Tantalum | Rwanda | Australia, Brazil, Ethiopia, Mozambique |
| H.C. Starck GmbH | Germany | Tantalum | Rwanda | Australia, Bolivia, Brazil, Canada, China, Peru, Portugal, Russia, Spain, Thailand, United States |
| H.C. Starck GmbH Goslar * | Germany | Tantalum | Rwanda | Australia, Brazil, Canada, China, Ethiopia, Mozambique |
| H.C. Starck GmbH Laufenburg * | Germany | Tantalum | Rwanda | Australia, Brazil, Canada, China, Ethiopia, Mozambique |
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| Smelter or Refiner | Smelter Location | 3TG | 3TG Country of Origin - DRC Region | 3TG Country of Origin - Other |
| H.C. Starck Group | Germany | Tungsten | DRC, Rwanda | Australia, Brazil, Canada, Ethiopia, Mozambique, Russia |
| H.C. Starck Hermsdorf GmbH * | Germany | Tantalum | Rwanda | Australia, Brazil, Canada, China, Ethiopia, Mozambique |
| H.C. Starck Inc. * | United States | Tantalum | Rwanda | Australia, Brazil, Canada, China, Ethiopia, Mozambique |
| H.C. Starck Ltd. * | Japan | Tantalum | Rwanda | Australia, Brazil, Canada, China, Ethiopia, Mozambique |
| Hangzhou Fuchunjiang Smelting Co., Ltd. | China | Gold | | China |
| Harmony Gold Mining Company Limited | South Africa | Gold | | Papua New Guinea, South Africa |
| Heimerle + Meule GmbH * | Germany | Gold | | Australia, Canada, China, Malaysia, Mozambique, Philippines, Recycle/Scrap, South Africa |
| Hengyang King Xing Lifeng New Materials Co., Ltd. * | China | Tantalum | | China |
| Heraeus Ltd. Hong Kong * | Hong Kong | Gold | | Australia, Canada, China, France, Japan, Laos, Malaysia, Mozambique, Peru, Philippines, South Africa, Thailand |
| Heraeus Precious Metals GmbH & Co. KG * | Germany | Gold | | Australia, Bolivia, Chile, China, Malaysia, Peru, United States |
| Hi-Temp Specialty Metals, Inc. * | United States | Tungsten | Rwanda | Brazil, China, Ethiopia, Australia, Mozambique |
| Huichang Jinshunda Tin Co. Ltd | China | Tin | | China |
| Hunan Chenzhou Mining Group Co., Ltd. | China | Tungsten | | China |
| Hunan Chun-Chang Nonferrous Smelting & Concentrating Co., Ltd. * | China | Tungsten | | China |
| Hwasung CJ Co. Ltd | South Korea | Gold | | Australia, Canada, Japan, South Korea, Mexico, United States |
| Hyundai-Steel | South Korea | Tin | | Malaysia |
| Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited | China | Gold | | China, Mexico, Mongolia |
| Istanbul Gold Refinery * | Turkey | Gold | | Turkey |
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| Smelter or Refiner | Smelter Location | 3TG | 3TG Country of Origin - DRC Region | 3TG Country of Origin - Other |
| Japan Mint * | Japan | Gold | | Japan |
| Japan New Metals Co., Ltd. * | Japan | Tungsten, Tin | | Canada, China, Russia, Thailand |
| Jean Goldschmidt International SA | Belgium | Tin | | China |
| Jiangwu H.C. Starck Tungsten Products Co., Ltd. | China | Tungsten | | China |
| Jiangxi Copper Company Limited | China | Gold | | China, Japan, United States |
| Jiangxi Gan Bei Tungsten Co., Ltd. * | China | Tungsten | | China |
| Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. | China | Tungsten | | China |
| Jiangxi Nanshan | China | Tin | | Bolivia, China |
| Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | China | Tungsten | | China |
| Jiangxi Tungsten Industry Group Co Ltd | China | Tungsten | | Bolivia, China, Peru, Portugal, Spain |
| Jiangxi Xinsheng Tungsten Industry Co., Ltd. | China | Tungsten | | China |
| Jiangxi Yaosheng Tungsten Co., Ltd. | China | Tungsten | | China |
| JiuJiang JinXin Nonferrous Metals Co., Ltd. * | China | Tantalum | | China |
| Jiujiang Tanbre Co., Ltd. * | China | Tantalum | DRC | China |
| Johnson Matthey Inc * | United States | Gold | | United States, Australia, Brazil, Canada, China, South Africa |
| Johnson Matthey Ltd * | Canada | Gold | | Australia, Canada, China, Malaysia, United States |
| JSC Ekaterinburg Non-Ferrous Metal Processing Plant * | Russia | Gold | | Australia, Canada, Japan, Russia |
| JSC Uralelectromed * | Russia | Gold | | Russia |
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| Smelter or Refiner | Smelter Location | 3TG | 3TG Country of Origin - DRC Region | 3TG Country of Origin - Other |
| JX Nippon Mining & Metals Co., Ltd. * | Japan | Gold, Tin, Tantalum,Tungsten | | Chile |
| Kai Unita Trade Limited Liability Company | Japan | Tin | | China |
| Kazzinc Inc. * | Kazakhstan | Gold | | Australia, Kazakhstan, Peru |
| KEMET Blue Metals * | Mexico | Tantalum | Rwanda | Mozambique, Nigeria |
| Kemet Blue Powder * | United States | Tantalum | Burundi, DRC, Rwanda | China, Mozambique, Nigeria |
| Kennametal Fallon | United States | Tungsten | | Bolivia, China, Portugal, Recycle/Scrap, Russia, United States |
| Kennametal Huntsville | United States | Tungsten | | Bolivia, China, United States |
| Kennecott Utah Copper LLC * | United States | Gold | | Japan, United States |
| King-Tan Tantalum Industry Ltd * | China | Tantalum | | China, Ethiopia |
| Kojima Chemicals Co., Ltd * | Japan | Gold | | Japan |
| Koki Products Co., Ltd. | Thailand | Tin | | Thailand |
| Korea Metal Co. Ltd | South Korea | Gold | | Australia, South Korea, Recycle/Scrap |
| Kyrgyzaltyn JSC | Kyrgyzstan | Gold | | Australia, Brazil, Kyrgyzstan |
| L' azurde Company For Jewelry * | Saudi Arabia | Gold | | Australia, Canada, Japan, Saudi Arabia |
| Lingbao Gold Company Ltd. | China | Gold | | China |
| Lingbao Jinyuan Tonghui Refinery Co. Ltd. | China | Gold | | China |
| Linwu Xianggui Smelter Co | China | Tin | | China |
| LSM Brasil S.A. * | Brazil | Tantalum | | Brazil |
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| Smelter or Refiner | Smelter Location | 3TG | 3TG Country of Origin - DRC Region | 3TG Country of Origin - Other |
| LS-NIKKO Copper Inc. * | South Korea | Gold | | Australia, Chile, Indonesia, Kazakhstan, Brazil, India, Japan, South Korea, Peru, South Africa, United States |
| Luoyang Zijin Yinhui Metal Smelt Co Ltd | China | Gold | | China |
| Magnu's Minerais Metais e Ligas LTDA * | Brazil | Tin | | Brazil |
| Malaysia Smelting Corporation (MSC) * | Malaysia | Gold | DRC, Rwanda | Australia, Bolivia, Brazil, China, Indonesia, Malaysia, Niger, Nigeria, Peru, Portugal, Spain, Thailand |
| Malipo Haiyu Tungsten Co., Ltd. * | China | Tungsten | | China |
| Materials Eco-Refining CO., LTD | Japan | Tin | | Recycle/Scrap |
| Materion * | United States | Gold, Tungsten | | Brazil, Canada, Chile, China, United States |
| Matsuda Sangyo Co., Ltd. * | Japan | Gold | | Australia, Canada, China, Indonesia, Japan, United Kingdom, United States |
| Melt Metais e Ligas S/A * | Brazil | Tin | | Brazil |
| Metallo Chimique * | Belgium | Gold | DRC | China, Malaysia, Peru, Russia, Thailand |
| Metalor Technologies (Hong Kong) Ltd * | Hong Kong | Gold | | Australia, China, Japan, Peru, United States |
| Metalor Technologies (Singapore) Pte. Ltd. * | Singapore | Gold | | China |
| Metalor Technologies (Suzhou) Co Ltd | China | Gold | | China, South Africa |
| Metalor Technologies SA * | Switzerland | Gold | | Canada, China, Sweden, United Kingdom, United States |
| Metalor USA Refining Corporation * | United States | Gold | | Canada, China, Mexico, United States |
| Met-Mex Peñoles, S.A. * | Mexico | Gold | | China, Mexico |
| Mineração Taboca S.A. * | Brazil | Tin | | Brazil, Thailand |
| Minmetals Ganzhou Tin Co. Ltd. | China | Tungsten, Tin | | Indonesia |
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| | | | |
| Smelter or Refiner | Smelter Location | 3TG | 3TG Country of Origin - DRC Region | 3TG Country of Origin - Other |
| Minsur * | Peru | Gold | DRC, Rwanda | Bolivia, Brazil, China, Indonesia, Malaysia, Peru, Thailand |
| Mitsubishi Materials Corporation * | Japan | Gold | | Argentina, Australia, Canada, Chile, Indonesia, Papua New Guinea, Peru |
| Mitsubishi Materials Corporation * | Japan | Tin | | China, Indonesia, Recycle/Scrap |
| Mitsui Mining and Smelting Co., Ltd. * | Japan | Gold | | Australia, Canada, China, Japan |
| Moscow Special Alloys Processing Plant | Russia | Gold | | Russia |
| Nankang Nanshan Tin Co., Ltd. | China | Tin | | China, Portugal, Russia |
| Navoi Mining and Metallurgical Combinat | Uzbekistan | Gold | | Australia, Canada, Chile, Indonesia, Japan, Peru, United States, Uzbekistan |
| Nghe Tinh Non-Ferrous Metals Joint Stock Company | Vietnam | Tin | | Vietnam |
| Nihon Material Co. LTD * | Japan | Gold | | Australia, Canada, Japan, Mozambique |
| Ningxia Orient Tantalum Industry Co., Ltd. * | China | Tungsten | Burundi, Rwanda | Australia, Brazil, China, Ethiopia, Malaysia, Mozambique, Nigeria |
| North American Tungsten | Canada | Tungsten | | China, Canada |
| Novosibirsk Integrated Tin Works | Russia | Tin | | Peru, Russia |
| Nui Phao Mining Company Ltd. | Vietnam | Tungsten | | Vietnam |
| O.M. Manufacturing (Thailand) Co., Ltd. | Thailand | Tin | | China, Thailand |
| O.M. Manufacturing Philippines, Inc. | Philippines | Tin | | Bolivia, Brazil, China, Malaysia, Peru |
| Ohio Precious Metals, LLC * | United States | Gold | | Brazil, Indonesia, Japan, Kazakhstan, Philippines, Russia, United States |
| Ohura Precious Metal Industry Co., Ltd * | Japan | Gold | | Japan |
| OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastvetmet) * | Russia | Gold | | Russia |
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| Smelter or Refiner | Smelter Location | 3TG | 3TG Country of Origin - DRC Region | 3TG Country of Origin - Other |
| OJSC Kolyma Refinery | Russia | Gold | | Russia |
| Operaciones Metalurgical S.A. * | Bolivia | Tin | DRC | Bolivia, Brazil, China, Indonesia, Malaysia, Peru, Russia, Thailand |
| PAMP SA * | Switzerland | Gold | | Australia, Canada, Mexico, South Africa |
| Penglai Penggang Gold Industry Co Ltd | China | Gold | | China |
| Plansee | Austria | Tantalum | | Australia, China, Ethiopia, Nigeria, Russia |
| Prioksky Plant of Non-Ferrous Metals | Russia | Gold | | Australia, China, Russia |
| PT Alam Lestari Kencana | Indonesia | Tin | | Australia, Indonesia |
| PT Aneka Tambang (Persero) Tbk * | Indonesia | Gold | | China, Indonesia |
| PT Artha Cipta Langgeng | Indonesia | Tin | | Bolivia, Brazil, China, Indonesia, Malaysia |
| PT Babel Inti Perkasa * | Indonesia | Tin | | Indonesia, Peru |
| PT Babel Surya Alam Lestari | Indonesia | Tin | | China |
| PT Bangka Kudai Tin | Indonesia | Tin | | China, Indonesia |
| PT Bangka Putra Karya * | Indonesia | Tin | DRC | Bolivia, Brazil, China, Indonesia, Malaysia, Peru |
| PT Bangka Timah Utama Sejahtera | Indonesia | Tin | | Brazil, China, Indonesia |
| PT Bangka Tin Industry * | Indonesia | Tin | | Bolivia, Brazil, China, Malaysia, Peru |
| PT Belitung Industri Sejahtera * | Indonesia | Tin | | Indonesia |
| PT BilliTin Makmur Lestari | Indonesia | Tin | | Bolivia, Brazil, China, Malaysia, Peru |
| PT Bukit Timah * | Indonesia | Gold | DRC | Australia, Bolivia, Brazil, China, Indonesia, Malaysia, Peru, Russia |
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| | | | |
| Smelter or Refiner | Smelter Location | 3TG | 3TG Country of Origin - DRC Region | 3TG Country of Origin - Other |
| PT DS Jaya Abadi * | Indonesia | Tin | | Australia, Bolivia, Brazil, China, Indonesia, Malaysia, Peru, Russia |
| PT Eunindo Usaha Mandiri * | Indonesia | Tin | | China |
| PT HP Metals Indonesia | Indonesia | Tin | | Bolivia, China, Malaysia |
| PT Justindo | Indonesia | Tin | | Australia, Brazil, China |
| PT Koba Tin | Indonesia | Tin | | Bolivia, Brazil, China, Indonesia, Malaysia, Peru, Portugal, Recycle/Scrap, Russia, Spain, Thailand |
| PT Mitra Stania Prima * | Indonesia | Tin | | Bolivia, Brazil, China, Indonesia, Mexico, Russia |
| PT Pelat Timah Nusantara Tbk | Indonesia | Tin | DRC, Burundi, Rwanda | Bolivia, Niger, Indonesia, Brazil, China, Malaysia, Nigeria |
| PT Refined Banka Tin * | Indonesia | Tin | | China, Indonesia |
| PT Stanindo Inti Perkasa * | Indonesia | Tungsten | DRC | Australia, Bolivia, Brazil, China, Indonesia, Malaysia, Peru |
| PT Sumber Jaya Indah | Indonesia | Tin | | China |
| PT Supra Sukses Trinusa | Indonesia | Tin | | China, Russia |
| PT Tambang Timah * | Indonesia | Tin | | Brazil, China, Indonesia, Malaysia, Peru, Thailand |
| PT Timah (Persero), Tbk * | Indonesia | Gold | DRC | Bolivia, Brazil, China, Indonesia, Malaysia, Peru, Thailand |
| PT Tinindo Inter Nusa * | Indonesia | Tin | | China, Indonesia |
| PT Yinchendo Mining Industry | Indonesia | Tin | | Brazil, China |
| Pure Technology | Russia | Tin | | China, Russia |
| PX Précinox SA * | Switzerland | Gold | | Australia, Canada, Mozambique |
| Rand Refinery (Pty) Ltd * | South Africa | Gold | DRC, Tanzania | Ghana, Guinea, Mali, Namibia, South Africa, Canada, China |
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| | | | |
| Smelter or Refiner | Smelter Location | 3TG | 3TG Country of Origin - DRC Region | 3TG Country of Origin - Other |
| RFH Tantalum Smeltry Co., Ltd * | China | Tantalum | | China, Russia |
| Royal Canadian Mint * | Canada | Gold | | Canada, Chile, Guyana, Japan, Mexico, Peru, Suriname |
| Rui Da Hung | Taiwan | Tin | | China |
| Sabin Metal Corp. | United States | Gold | | Canada, China, United States |
| Samduck Precious Metals | South Korea | Gold | | South Korea |
| SAMWON METALS Corp. | South Korea | Gold | | Australia, China, South Korea |
| SEMPSA Joyería Platería SA * | Spain | Gold | | Spain |
| SGS | Bolivia | Tin | | Bolivia, Brazil, China, Malaysia, Peru |
| Shandong Zhaojin Gold & Silver Refinery Co Ltd * | China | Gold | | China, Japan, United States |
| Shanghai Jiangxi Metals Co., Ltd. | China | Tantalum | | China |
| So Accurate Group, Inc. | United States | Gold | | China, Thailand, United States |
| SOE Shyolkovsky Factory of Secondary Precious Metals | Russia | Gold | | Russia |
| Soft Metais, Ltda. | Brazil | Tin | | Brazil |
| Solar Applied Materials Technology Corp. * | Taiwan | Gold | | Canada, China, United States |
| Sumitomo Metal Mining Co., Ltd. * | Germany | Gold, Tin, Tungsten | | Australia, Canada, Chile, Indonesia, Japan, Peru, United States |
| Super Dragon Technology Co., Ltd. | Taiwan | Gold | | China, Recycle/Scrap |
| Taki Chemicals * | Japan | Tantalum | | Brazil |
| Tanaka Kikinzoku Kogyo K.K. * | Japan | Gold | | Australia, Canada, Chile, China, Japan, Malaysia, Mexico, South Africa, United Kingdom, United States, Uzbekistan |
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| | | | |
| Smelter or Refiner | Smelter Location | 3TG | 3TG Country of Origin - DRC Region | 3TG Country of Origin - Other |
| Tejing (Vietnam) Tungsten Co., Ltd. | Vietnam | Tungsten | | China, Vietnam |
| Telex * | United States | Tantalum | | Recycle/Scrap, Russia |
| Thaisarco * | Thailand | Gold | DRC, Rwanda | Australia, Bolivia, Brazil, China, Indonesia, Malaysia, Myanmar, Peru, Portugal, Thailand |
| The Great Wall Gold and Silver Refinery of China | China | Gold | | China |
| The Refinery of Shandong Gold Mining Co. Ltd * | China | Gold | | China, Peru |
| Tokuriki Honten Co., Ltd * | Japan | Gold | | Australia, Canada, Chile, China, Japan, Peru, UNITED STATES |
| Torecom | South Korea | Gold | | South Korea |
| Ulba * | Kazakhstan | Tantalum | Burundi, DRC, Rwanda | Australia, Brazil, Canada, China, Ethiopia, Mozambique, Russia |
| Umicore Brasil Ltda * | Brazil | Gold | | Brazil, Japan |
| Umicore Precious Metals Thailand * | Thailand | Gold | | Thailand |
| United Precious Metal Refining, Inc. * | United States | Gold | | Australia, Canada, China, Russia, Thailand, United States |
| Valcambi SA * | Switzerland | Gold | | Australia, Japan |
| Vietnam Youngsun Tungsten Industry Co., Ltd. * | Vietnam | Tungsten | | China, United States, Vietnam |
| Voss Metals Company, Inc. | United States | Tungsten | | United States |
| Western Australian Mint trading as The Perth Mint * | Australia | Gold | | Australia, Bolivia, Chile, China, Guinea, Papua New Guinea, Peru, South Korea |
| White Solder Metalurgia e Mineração Ltda. * | Brazil | Tin | | Brazil, China, Peru, Thailand |
| Wolfram Bergbau und Hütten AG * | Austria | Tungsten | | Australia, Austria, China |
| Wolfram Company CJSC | Russia | Tin | Rwanda | Brazil, Canada, China, Russia, Thailand, United States |
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| | | | |
| Smelter or Refiner | Smelter Location | 3TG | 3TG Country of Origin - DRC Region | 3TG Country of Origin - Other |
| Xiamen Tungsten (H.C.) Co., Ltd. * | China | Tungsten | Burundi, Rwanda | Australia, Bolivia, Brazil, Canada, China, Russia, Spain, Thailand |
| Xiamen Tungsten Co., Ltd. * | China | Tantalum | Rwanda | Australia, Bolivia, Brazil, Canada, China, Peru, Portugal, Russia, Spain, Thailand, United States, Vietnam |
| Xinhai Rendan Shaoguan Tungsten Co., Ltd. | China | Tungsten | | China |
| Yamamoto Precious Metal Co., Ltd. | Japan | Gold | | Japan |
| Yantai Guodasafina High-tech Environmental Refinery CO., Ltd. | China | Gold | | China |
| Yichun Jin Yang Rare Metal Co., Ltd * | China | Tantalum | | China |
| Yokohama Metal Co Ltd | Japan | Gold | | Brazil, China, Japan, Malaysia |
| Yunnan Chengfeng Non-ferrous Metals Co.,Ltd. | China | Tin, Gold | | China, Recycle/Scrap |
| Yunnan Copper Industry Co Ltd | China | Gold | | China |
| Yunnan Tin Company Limited * | China | Gold | DRC | Australia, Bolivia, Brazil, China, Indonesia, Malaysia, Peru |
| Zhongyuan Gold Smelter of Zhongjin Gold Corporation * | China | Gold | | Australia, Canada, China, Mozambique, Philippines, Thailand |
| Zhuzhou Cement Carbide * | China | Tungsten | Burundi, DRC, Rwanda | Brazil, China, Malaysia, Nigeria, Russia |
| Zhuzhou Cemented Carbide Group Co Ltd | China | Tin | Rwanda | Australia, Bolivia, Brazil, Canada, China, Russia, Spain, Thailand |
| Zijin Mining Group Co. Ltd * | China | Gold | | Australia, China, Kyrgyzstan, Mongolia, Peru, Russia, Tajikistan |
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| * | Smelter certified as conflict free by the Conflict Free Smelter Initiative or an equivalent independent third party certification program during 2014. |
