EX-1.01 2 exhibit101formsd12312017.htm EXHIBIT 1.01 Exhibit


EATON CORPORATION plc
CONFLICT MINERALS REPORT
FOR THE YEAR ENDED DECEMBER 31, 2017

This Conflict Minerals Report (Report) is filed as an exhibit to Eaton’s Form SD as required by Rule 13p-1 (the Rule) under the Securities Exchange Act of 1934, as amended.
Eaton Corporation plc (Eaton, the Company, we, us or our) is required to perform a reasonable country of origin inquiry into the sources of necessary conflict minerals in our products and disclose the results of such diligence. Conflict minerals have been defined as tin, tantalum, tungsten and gold (the Minerals). The design of our due diligence and related results are described below.
A copy of Eaton Corporation plc's Conflict Minerals Report is publicly available at www.eaton.com under "Responsible Sourcing of Conflict Minerals" at: http://www.eaton.com/content/eaton/us/en-us/company/policies-and-statements/responsible-sourcing-of-conflict-minerals0.html.html. The contents of our website referred to in this Report are not incorporated by reference into this Report.
1.     COMPANY OVERVIEW
Eaton Corporation plc is a power management company with 2017 net sales of $20.4 billion. The Company provides energy-efficient solutions that help its customers effectively manage electrical, hydraulic and mechanical power more efficiently, safely and sustainably.
Eaton has five principal business segments: Electrical Products and Electrical Systems and Services, Hydraulics, Aerospace and Vehicle. In 2017, Eaton considers all products to be in-scope and include, but are not limited to:
Electrical components, industrial components, residential products, single phase power quality, emergency lighting, fire detection, wiring devices, structural support systems, circuit protection, lighting products, power distribution and assemblies, three phase power quality, hazardous duty electrical equipment, intrinsically safe explosion-proof instrumentation, utility power distribution, and power reliability equipment.
Pumps, motors, hydraulic power units, controls and sensing products including valves, cylinders and electronic controls; fluid conveyance products including industrial and hydraulic hose, fittings, and assemblies electro-hydraulic pumps; electromechanical actuators, sensors, aircraft flap and slat systems and nose wheel steering systems, couplings, connectors, and assembly equipment; filtration systems solutions; industrial drum and disc brakes; and fuel systems including fuel pumps, sensors, valves, adapters and regulators.
Transmissions, clutches, hybrid power systems, superchargers, engine valves and valve actuation systems, cylinder heads, locking and limited slip differentials, transmission controls, fuel vapor components, fluid connectors and conveyance products.

Purchased raw materials and parts are varied and are sourced from many suppliers. Eaton has a substantial number of suppliers globally that span across our five business segments. Our supply chain is multi-tiered and Eaton is typically many levels removed from the mines, smelters and refiners. Eaton does not purchase any Minerals directly from mines, smelters or refiners. Therefore, Eaton must rely on its suppliers to provide information about the origin of the Minerals in its products. Some of Eaton’s products may contain the Minerals either from recycled sources or in their processed form.
For additional information about our business segments, including the wide variety of products manufactured in each segment, refer to Eaton's 2017 Form 10-K.
2.    REASONABLE COUNTRY OF ORIGIN INQUIRY
For the reporting period from January 1 through December 31, 2017, Eaton conducted a good faith reasonable country of origin inquiry of the Minerals that are necessary to the functionality or production of the products that Eaton manufactured or contracted with others to manufacture during the reporting period. Based on this reasonable country of origin inquiry, Eaton was unable to conclude that these Minerals did not originate from the Democratic Republic of the Congo (the DRC) or adjoining countries. Accordingly, Eaton undertook due diligence measures on the source and chain of custody of the identified necessary Minerals.





3.    DUE DILIGENCE
3.1 Design of Due Diligence
Our due diligence measures were designed to conform, in all material respects, with the due diligence framework set forth in 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 the related Supplements for tin, tantalum, and tungsten and for gold. Pursuant to this framework, we undertook to: (a) establish company management systems, (b) identify and assess risks in our supply chain, (c) design and implement a strategy to respond to the risks identified, (d) support the development and implementation of independent third party audits of smelter and refiner sourcing, and (e) report on the results of our supply chain due diligence.
3.2 Due Diligence Measures Performed
a. Establishment of Company Management Systems
Eaton has taken steps to develop strong company management systems pertaining to the use of Minerals in our products and supply chain. These include the development of a conflict minerals policy, which is available at http://www.eaton.com/content/eaton/us/en-us/company/policies-and-statements/responsible-sourcing-of-conflict-minerals0.html.html. In addition, we have implemented an internal management reporting structure to manage and oversee Eaton’s conflict minerals activities consisting of a dedicated Conflict Minerals team and executive-level Conflict Minerals Steering Committee chaired by Eaton’s Vice-Chairman and Chief Financial and Planning Officer. We have also established formal requirements for suppliers related to the use and reporting of Minerals, including the implementation of a supplier conflict minerals solicitation process utilizing tools created by the Responsible Minerals Initiative (RMI) which includes the Conflict Minerals Reporting Template (CMRT). Through our policy and participation in RMI, Eaton is committed to responsible sourcing of Minerals from the DRC and adjoining countries and encourages suppliers and smelters or refiners to source responsibly from the DRC region. Finally, we maintain a global ethics e-mail address and telephone helpline (http://www.eaton.com/content/eaton/us/en-us/company/policies-and-statements/responsible-sourcing-of-conflict-minerals0.html.html) which can be used by employees, suppliers or other stakeholders to report any concerns relating to Eaton’s Minerals activities.
b. Identify and Assess Risks in our Supply Chain
As a downstream user of Minerals, Eaton is many layers removed from the mine or location from which the Minerals originated and the smelters and refiners which processed the Minerals. We solicited relevant suppliers using due diligence tools including the RMI’s CMRT. Our solicitation letter included an explanation of the Minerals and the related legal regulations, a request for suppliers to comply with the regulations and respond to us, and our contact information to direct any questions. Additional solicitation requests, including in additional languages beyond English, were sent to suppliers that did not respond or provide sufficient information. Through this process, during 2017 we solicited approximately 3,000 suppliers.
We verified the information provided by our suppliers (to the extent possible) by comparing it to the information contained on the RMI website and against CMRT acceptance criteria for completeness and consistency of responses. Through this process, for suppliers who provided names of smelters and refiners, we confirmed the validation status of those supplier-reported smelters and refiners. For those suppliers who provided country of origin information for the Minerals, we confirmed the listed countries of origin for each smelter and refiner if that information was available from RMI.
c. Design and Implement a Strategy to Respond to Identified Risks
Eaton’s strategy to respond to identified risks includes the development of a conflict minerals policy, referenced above. This policy is also included in Eaton’s Purchase Order Terms and Conditions and associated Supplier Code of Conduct (the Code). Both the Purchase Order Terms and Conditions and the Code are used to communicate requirements to our suppliers, including expectations relating to the use and sourcing of the Minerals. In particular, Eaton’s Purchase Order Terms and Conditions and associated Code require our suppliers to perform due diligence into their respective supply chains to determine whether products sold to us contain Minerals, and whether, and to what extent, the Minerals are sourced from DRC conflict-free smelters and refiners, and to report to Eaton the results of this due diligence. The Terms and Conditions and the Code are available on our website at www.eaton.com.
Eaton monitors the information received from suppliers in response to our solicitations, and periodically shares summaries of this information with our Conflict Minerals Steering Committee. Eaton is a member of RMI (member Code





EATN) and uses data from the RMI to confirm the validation status of supplier-reported smelters and refiners, as well as reported country of origin information related to the Minerals sourced from such smelters or refiners, if available. Through our membership in RMI, Eaton further supports several complementary programs such as iTSCi, Better Sourcing Program, and Solutions for Hope, with which RMI collaborates to jointly address Minerals issues in the DRC and adjoining countries.
Suppliers that are either non-responsive or provide incomplete or inconsistent responses to Eaton’s solicitations are escalated within Eaton’s Supply Chain Management organization for follow-up engagement. Responding suppliers reporting smelters and refiners that are non-conformant or have other identified red flag triggers receive follow-up communication to remind them of Eaton’s expectations relating to the use and sourcing of Minerals as well as to notify them of further resources and training available to them through RMI.
d. Support the Development and Implementation of Independent Third-Party Audits of Smelter and Refiner Sourcing
As a downstream user of Minerals, Eaton and its direct supply chain are many layers removed from the mine or location from which the Minerals originated and smelters and refiners that process the Minerals. Through our membership and participation in the RMI, we collaborate at a cross-industry level, and we continue to support the development and implementation of due diligence practices, the RMI Responsible Minerals Assurance Process (RMAP) and tools such as the CMRT.
e. Report on Supply Chain Due Diligence
Eaton publicly communicates our conflict minerals policy, due diligence activities and related supplier expectations on our website and in our Form SD and Conflict Minerals Report available at:
http://www.eaton.com/content/eaton/us/en-us/company/policies-and-statements/responsible-sourcing-of-conflict-minerals0.html.html.
4.     RESULTS OF REVIEW
For the reporting period of January 1, 2017 through December 31, 2017, Eaton solicited approximately 3,000 suppliers to gather detailed information regarding the existence of the Minerals in products sold to us, as well as the origin and chain of custody of the Minerals, using the CMRT. Based on the information provided by Eaton’s suppliers and our own due diligence efforts through December 31, 2017, we do not have sufficient information to conclusively determine the countries of origin or chain of custody of Minerals in our products. A majority of our suppliers responded that their materials did not contain the Minerals, they used recycled materials, they were unable to determine whether the products they sold to us contained Minerals, or they were still in the process of evaluating the source of the Minerals in their products.
Based on the information provided by our suppliers, Eaton believes the smelters and refiners that may have been used to produce Minerals in Eaton’s products include those listed on Annex I. Based on information provided by our suppliers and information available from the RMI, Eaton believes that the countries of origin of Minerals processed by these smelters and refiners includes the countries listed on Annex II. Of the supplier-reported smelters or refiners, 39 were identified by RMI as potentially sourcing Minerals directly or indirectly from the DRC or adjoining countries; however, all 39 of these smelters or refiners are indicated by RMI to be conformant with the RMI Responsible Minerals Assurance Process (formerly the Conflict-Free Smelter Program). Eaton found no reasonable basis for concluding that any Minerals known to be in its supply chain directly or indirectly financed or benefitted armed groups in the DRC or surrounding countries.
5.     STEPS TAKEN TO MITIGATE RISK
Eaton intends to continue to evaluate its due diligence program in accordance with the provisions of the Rule. In particular, we intend to annually review the criteria used to select suppliers for solicitation and to continue to engage with our suppliers to identify the Minerals used within our supply chain, as well as the origin and chain of custody of those Minerals. We intend to continue to engage with third party programs such as the RMI. Finally, to the extent any Eaton supplier is found to be using non-conformant smelters or refiners within its supply chain, Eaton intends to engage that supplier and re-communicate our requirement for suppliers to commit to be DRC conflict-free, as per Eaton’s policy.








ANNEX I

Mineral
Status
Smelter or Refiner Name
Country Location of Smelter or Refiner
Gold
 
Hangzhou Fuchunjiang Smelting Co., Ltd.
CHINA
Gold
*
Heimerle + Meule GmbH
GERMANY
Tantalum
*
Hengyang King Xing Lifeng New Materials Co., Ltd.
CHINA
Gold
*
Heraeus Metals Hong Kong Ltd.
CHINA
Gold
*
Heraeus Precious Metals GmbH & Co. KG
GERMANY
Tin
*
HuiChang Hill Tin Industry Co., Ltd.
CHINA
Tin
*
Huichang Jinshunda Tin Co., Ltd.
CHINA
Tungsten
*
Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji
CHINA
Tantalum
*
KEMET Blue Metals
MEXICO
Tantalum
*
KEMET Blue Powder
UNITED STATES OF AMERICA
Tantalum
*
LSM Brasil S.A.
BRAZIL
Tantalum
*
Metallurgical Products India Pvt., Ltd.
INDIA
Tantalum
*
Mineracao Taboca S.A.
BRAZIL
Tantalum
*
Mitsui Mining and Smelting Co., Ltd.
JAPAN
Tantalum
*
NPM Silmet AS
ESTONIA
Tantalum
*
Ningxia Orient Tantalum Industry Co., Ltd.
CHINA
Gold
*
Prioksky Plant of Non-Ferrous Metals
RUSSIAN FEDERATION
Gold
*
PT Aneka Tambang (Persero) Tbk
INDONESIA
Tin
*
PT Artha Cipta Langgeng
INDONESIA
Tin
*
PT Babel Inti Perkasa
INDONESIA
Tin
*
PT Bangka Tin Industry
INDONESIA
Tin
*
PT Belitung Industri Sejahtera
INDONESIA
Tin
*
PT Bukit Timah
INDONESIA
Tin
*
PT DS Jaya Abadi
INDONESIA
Tin
*
PT Eunindo Usaha Mandiri
INDONESIA
Tin
*
PT Karimun Mining
INDONESIA
Gold
*
Allgemeine Gold-und Silberscheideanstalt A.G.
GERMANY
Gold
*
Argor-Heraeus S.A.
SWITZERLAND
Gold
*
The Refinery of Shandong Gold Mining Co., Ltd.
CHINA
Gold
*
Zhongyuan Gold Smelter of Zhongjin Gold Corporation
CHINA
Gold
 
Hunan Chenzhou Mining Co., Ltd.
CHINA
Gold
*
Jiangxi Copper Co., Ltd.
CHINA
Gold
*
Asahi Refining Canada Ltd.
CANADA
Gold
*
LS-NIKKO Copper Inc.
KOREA, REPUBLIC OF
Tin
*
PT Sariwiguna Binasentosa
INDONESIA
Tin
*
PT Stanindo Inti Perkasa
INDONESIA
Tin
*
PT Timah (Persero) Tbk Kundur
INDONESIA
Tin
*
White Solder Metalurgia e Mineracao Ltda.
BRAZIL
Tin
*
Yunnan Tin Company Limited
CHINA
Tungsten
*
A.L.M.T. TUNGSTEN Corp.
JAPAN
Gold
*
Advanced Chemical Company
UNITED STATES OF AMERICA
Gold
*
Aida Chemical Industries Co., Ltd.
JAPAN
Tungsten
*
Hydrometallurg, JSC
RUSSIAN FEDERATION
Tin
 
An Vinh Joint Stock Mineral Processing Company
VIET NAM





Mineral
Status
Smelter or Refiner Name
Country Location of Smelter or Refiner
Tin
*
Resind Industria e Comercio Ltda.
BRAZIL
Tantalum
*
Resind Industria e Comercio Ltda.
BRAZIL
Tungsten
*
Unecha Refractory metals plant
RUSSIAN FEDERATION
Gold
*
SAAMP
FRANCE
Tin
*
Metallo Belgium N.V.
BELGIUM
Tin
*
Metallo Spain S.L.U.
SPAIN
Tin
*
PT Bangka Prima Tin
INDONESIA
Gold
*
SAXONIA Edelmetalle GmbH
GERMANY
Gold
*
WIELAND Edelmetalle GmbH
GERMANY
Gold
*
Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH
AUSTRIA
Tungsten
*
South-East Nonferrous Metal Company Limited of Hengyang City
CHINA
Tin
*
PT Sukses Inti Makmur
INDONESIA
Tungsten
*
Philippine Chuangxin Industrial Co., Inc.
PHILIPPINES
Tin
*
PT Kijang Jaya Mandiri
INDONESIA
Tungsten
*
Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.
CHINA
Tungsten
*
ACL Metais Eireli
BRAZIL
Tungsten
*
Wolfram Bergbau und Hutten AG
AUSTRIA
Gold
*
Metalurgica Met-Mex Penoles S.A. De C.V.
MEXICO
Tantalum
*
Exotech Inc.
UNITED STATES OF AMERICA
Tungsten
*
Moliren Ltd.
RUSSIAN FEDERATION
Tungsten
*
Vietnam Youngsun Tungsten Industry Co., Ltd.
VIET NAM
Gold
*
Schone Edelmetaal B.V.
NETHERLANDS
Tin
*
PT Timah (Persero) Tbk Mentok
INDONESIA
Gold
*
Kojima Chemicals Co., Ltd.
JAPAN
Gold
*
Materion
UNITED STATES OF AMERICA
Gold
*
Matsuda Sangyo Co., Ltd.
JAPAN
Gold
*
Metalor Technologies S.A.
SWITZERLAND
Gold
*
Metalor Technologies (Hong Kong) Ltd.
CHINA
Gold
*
Metalor Technologies (Singapore) Pte., Ltd.
SINGAPORE
Gold
*
Royal Canadian Mint
CANADA
Gold
*
SEMPSA Joyeria Plateria S.A.
SPAIN
Gold
*
Shandong Zhaojin Gold & Silver Refinery Co., Ltd.
CHINA
Tungsten
*
Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC
VIET NAM
Tantalum
*
H.C. Starck Co., Ltd.
THAILAND
Tantalum
*
H.C. Starck Tantalum and Niobium GmbH
GERMANY
Tantalum
*
H.C. Starck Hermsdorf GmbH
GERMANY
Tantalum
*
H.C. Starck Inc.
UNITED STATES OF AMERICA
Tantalum
*
H.C. Starck Ltd.
JAPAN
Tantalum
*
H.C. Starck Smelting GmbH & Co. KG
GERMANY
Tungsten
*
Jiangwu H.C. Starck Tungsten Products Co., Ltd.
CHINA
Tin
*
Malaysia Smelting Corporation (MSC)
MALAYSIA
Tin
*
Metallic Resources, Inc.
UNITED STATES OF AMERICA
Gold
*
Metalor Technologies (Suzhou) Ltd.
CHINA
Gold
*
Metalor USA Refining Corporation
UNITED STATES OF AMERICA
Tin
*
Mineracao Taboca S.A.
BRAZIL
Tin
*
Minsur
PERU
Gold
*
Mitsubishi Materials Corporation
JAPAN
Tin
*
Mitsubishi Materials Corporation
JAPAN





Mineral
Status
Smelter or Refiner Name
Country Location of Smelter or Refiner
Gold
*
Moscow Special Alloys Processing Plant
RUSSIAN FEDERATION
Gold
*
Nadir Metal Rafineri San. Ve Tic. A.S.
TURKEY
Tin
*
Nankang Nanshan Tin Manufactory Co., Ltd.
CHINA
Gold
 
Navoi Mining and Metallurgical Combinat
UZBEKISTAN
Gold
*
Nihon Material Co., Ltd.
JAPAN
Tin
*
O.M. Manufacturing (Thailand) Co., Ltd.
THAILAND
Gold
 
Elemetal Refining, LLC
UNITED STATES OF AMERICA
Gold
*
Ohura Precious Metal Industry Co., Ltd.
JAPAN
Gold
*
OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)
RUSSIAN FEDERATION
Tin
*
Operaciones Metalurgical S.A.
BOLIVIA (PLURINATIONAL STATE OF)
Gold
*
PAMP S.A.
SWITZERLAND
Gold
 
Penglai Penggang Gold Industry Co., Ltd.
CHINA
Tin
*
PT Mitra Stania Prima
INDONESIA
Tin
*
PT Panca Mega Persada
INDONESIA
Tin
*
PT Prima Timah Utama
INDONESIA
Tin
*
PT Refined Bangka Tin
INDONESIA
Tin
*
PT Sumber Jaya Indah
INDONESIA
Gold
*
Gold Refinery of Zijin Mining Group Co., Ltd.
CHINA
Tantalum
*
Changsha South Tantalum Niobium Co., Ltd.
CHINA
Tantalum
*
QuantumClean
UNITED STATES OF AMERICA
Tantalum
*
RFH Tantalum Smeltery Co., Ltd./Yanling Jincheng Tantalum & Niobium Co., Ltd.
CHINA
Tantalum
*
Solikamsk Magnesium Works OAO
RUSSIAN FEDERATION
Tantalum
*
Taki Chemical Co., Ltd.
JAPAN
Tantalum
*
Telex Metals
UNITED STATES OF AMERICA
Tantalum
*
Ulba Metallurgical Plant JSC
KAZAKHSTAN
Tantalum
*
XinXing HaoRong Electronic Material Co., Ltd.
CHINA
Tantalum
*
Yichun Jin Yang Rare Metal Co., Ltd.
CHINA
Tin
*
Alpha
UNITED STATES OF AMERICA
Tin
*
Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.
CHINA
Tin
*
China Tin Group Co., Ltd.
CHINA
Tin
 
CNMC (Guangxi) PGMA Co., Ltd.
CHINA
Tin
*
CV Ayi Jaya
INDONESIA
Tin
*
CV Dua Sekawan
INDONESIA
Tin
*
CV Gita Pesona
INDONESIA
Tin
*
CV Serumpun Sebalai
INDONESIA
Tin
*
CV Tiga Sekawan
INDONESIA
Tin
*
CV United Smelting
INDONESIA
Tin
*
CV Venus Inti Perkasa
INDONESIA
Tin
*
Dowa
JAPAN
Tin
 
Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company
VIET NAM
Tin
*
EM Vinto
BOLIVIA (PLURINATIONAL STATE OF)
Tin
 
Estanho de Rondonia S.A.
BRAZIL
Tin
*
Fenix Metals
POLAND
Tin
*
Gejiu Jinye Mineral Company
CHINA
Tin
*
Gejiu Kai Meng Industry and Trade LLC
CHINA





Mineral
Status
Smelter or Refiner Name
Country Location of Smelter or Refiner
Tin
*
Gejiu Non-Ferrous Metal Processing Co., Ltd.
CHINA
Tin
*
Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.
CHINA
Tin
 
Gejiu Zili Mining And Metallurgy Co., Ltd.
CHINA
Gold
 
Atasay Kuyumculuk Sanayi Ve Ticaret A.S.
TURKEY
Gold
*
Aurubis AG
GERMANY
Gold
*
Bangalore Refinery
INDIA
Gold
*
Bangko Sentral ng Pilipinas (Central Bank of the Philippines)
PHILIPPINES
Gold
*
Boliden AB
SWEDEN
Gold
*
C. Hafner GmbH + Co. KG
GERMANY
Gold
 
Caridad
MEXICO
Gold
*
CCR Refinery - Glencore Canada Corporation
CANADA
Gold
*
MMTC-PAMP India Pvt., Ltd.
INDIA
Gold
*
Republic Metals Corporation
UNITED STATES OF AMERICA
Gold
*
KGHM Polska Miedz Spolka Akcyjna
POLAND
Tantalum
*
Jiangxi Dinghai Tantalum & Niobium Co., Ltd.
CHINA
Tungsten
*
Chenzhou Diamond Tungsten Products Co., Ltd.
CHINA
Gold
*
Singway Technology Co., Ltd.
TAIWAN, PROVINCE OF CHINA
Tin
*
O.M. Manufacturing Philippines, Inc.
PHILIPPINES
Tin
*
PT Inti Stania Prima
INDONESIA
Gold
*
Valcambi S.A.
SWITZERLAND
Gold
*
Western Australian Mint (T/a The Perth Mint)
AUSTRALIA
Tungsten
*
Woltech Korea Co., Ltd.
KOREA, REPUBLIC OF
Tungsten
*
Xiamen Tungsten (H.C.) Co., Ltd.
CHINA
Tantalum
*
Guangdong Rising Rare Metals-EO Materials Ltd.
CHINA
Tantalum
*
D Block Metals, LLC
UNITED STATES OF AMERICA
Tantalum
 
Duoluoshan
CHINA
Tantalum
*
F&X Electro-Materials Ltd.
CHINA
Tantalum
*
FIR Metals & Resource Ltd.
CHINA
Tantalum
*
Global Advanced Metals Aizu
JAPAN
Tantalum
*
Global Advanced Metals Boyertown
UNITED STATES OF AMERICA
Tantalum
*
Guangdong Zhiyuan New Material Co., Ltd.
CHINA
Tungsten
*
Ganzhou Huaxing Tungsten Products Co., Ltd.
CHINA
Tungsten
*
Ganzhou Jiangwu Ferrotungsten Co., Ltd.
CHINA
Tungsten
*
Ganzhou Seadragon W & Mo Co., Ltd.
CHINA
Tungsten
 
Ganzhou Yatai Tungsten Co., Ltd.
CHINA
Tungsten
*
Global Tungsten & Powders Corp.
UNITED STATES OF AMERICA
Tungsten
*
Guangdong Xianglu Tungsten Co., Ltd.
CHINA
Tungsten
*
H.C. Starck Tungsten GmbH
GERMANY
Tungsten
*
H.C. Starck Smelting GmbH & Co. KG
GERMANY
Tungsten
*
Hunan Chenzhou Mining Co., Ltd.
CHINA
Gold
*
Tokuriki Honten Co., Ltd.
JAPAN
Gold
 
Tongling Nonferrous Metals Group Co., Ltd.
CHINA
Gold
*
Torecom
KOREA, REPUBLIC OF
Gold
*
Chimet S.p.A.
ITALY
Gold
 
Chugai Mining
JAPAN
Gold
*
Daejin Indus Co., Ltd.
KOREA, REPUBLIC OF
Gold
*
DSC (Do Sung Corporation)
KOREA, REPUBLIC OF





Mineral
Status
Smelter or Refiner Name
Country Location of Smelter or Refiner
Gold
*
Dowa
JAPAN
Gold
*
Eco-System Recycling Co., Ltd.
JAPAN
Gold
*
OJSC Novosibirsk Refinery
RUSSIAN FEDERATION
Gold
*
Kyrgyzaltyn JSC
KYRGYZSTAN
Gold
 
Lingbao Gold Co., Ltd.
CHINA
Gold
 
Lingbao Jinyuan Tonghui Refinery Co., Ltd.
CHINA
Gold
 
Luoyang Zijin Yinhui Gold Refinery Co., Ltd.
CHINA
Tin
*
PT Tinindo Inter Nusa
INDONESIA
Tin
*
PT Tommy Utama
INDONESIA
Gold
*
PX Precinox S.A.
SWITZERLAND
Gold
*
Rand Refinery (Pty) Ltd.
SOUTH AFRICA
Tin
*
Rui Da Hung
TAIWAN, PROVINCE OF CHINA
Gold
 
Sabin Metal Corp.
UNITED STATES OF AMERICA
Gold
*
Samduck Precious Metals
KOREA, REPUBLIC OF
Gold
 
Samwon Metals Corp.
KOREA, REPUBLIC OF
Gold
 
Shandong Tiancheng Biological Gold Industrial Co., Ltd.
CHINA
Gold
*
Asahi Pretec Corp.
JAPAN
Gold
*
DODUCO Contacts and Refining GmbH
GERMANY
Gold
*
JX Nippon Mining & Metals Co., Ltd.
JAPAN
Gold
*
Kennecott Utah Copper LLC
UNITED STATES OF AMERICA
Gold
*
Solar Applied Materials Technology Corp.
TAIWAN, PROVINCE OF CHINA
Gold
*
Sumitomo Metal Mining Co., Ltd.
JAPAN
Gold
*
Tanaka Kikinzoku Kogyo K.K.
JAPAN
Gold
*
Umicore Brasil Ltda.
BRAZIL
Gold
*
Umicore Precious Metals Thailand
THAILAND
Gold
*
Umicore S.A. Business Unit Precious Metals Refining
BELGIUM
Gold
*
United Precious Metal Refining, Inc.
UNITED STATES OF AMERICA
Gold
*
Asahi Refining USA Inc.
UNITED STATES OF AMERICA
Gold
*
Asaka Riken Co., Ltd.
JAPAN
Tantalum
*
Jiangxi Tuohong New Raw Material
CHINA
Tantalum
*
JiuJiang JinXin Nonferrous Metals Co., Ltd.
CHINA
Tantalum
*
Jiujiang Nonferrous Metals Smelting Company Limited
CHINA
Tantalum
*
Jiujiang Zhongao Tantalum & Niobium Co., Ltd.
CHINA
Tin
*
Yunnan Chengfeng Non-ferrous Metals Co., Ltd.
CHINA
Tungsten
*
Hunan Chunchang Nonferrous Metals Co., Ltd.
CHINA
Tungsten
*
Japan New Metals Co., Ltd.
JAPAN
Tungsten
*
Xiamen Tungsten Co., Ltd.
CHINA
Tungsten
*
Xinhai Rendan Shaoguan Tungsten Co., Ltd.
CHINA
Tin
*
Gejiu Fengming Metallurgy Chemical Plant
CHINA
Tin
*
Guanyang Guida Nonferrous Metal Smelting Plant
CHINA
Gold
*
Modeltech Sdn Bhd
MALAYSIA
Tin
*
Modeltech Sdn Bhd
MALAYSIA
Gold
*
Geib Refining Corporation
UNITED STATES OF AMERICA
Gold
*
SOE Shyolkovsky Factory of Secondary Precious Metals
RUSSIAN FEDERATION
Gold
*
Ishifuku Metal Industry Co., Ltd.
JAPAN
Gold
*
Kazzinc
KAZAKHSTAN
Gold
 
Abington Reldan Metals, LLC
UNITED STATES OF AMERICA





Mineral
Status
Smelter or Refiner Name
Country Location of Smelter or Refiner
Tungsten
*
Malipo Haiyu Tungsten Co., Ltd.
CHINA
Tungsten
*
Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.
CHINA
Tin
*
Thaisarco
THAILAND
Tin
*
PT Aries Kencana Sejahtera
INDONESIA
Gold
*
Japan Mint
JAPAN
Gold
*
Sichuan Tianze Precious Metals Co., Ltd.
CHINA
Tin
*
Soft Metais Ltda.
BRAZIL
Gold
*
Almalyk Mining and Metallurgical Complex (AMMC)
UZBEKISTAN
Gold
*
AngloGold Ashanti Corrego do Sitio Mineracao
BRAZIL
Gold
*
Istanbul Gold Refinery
TURKEY
Tin
*
PT ATD Makmur Mandiri Jaya
INDONESIA
Gold
 
HwaSeong CJ CO., LTD.
KOREA, REPUBLIC OF
Gold
*
Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.
CHINA
Tungsten
*
Tejing (Vietnam) Tungsten Co., Ltd.
VIET NAM
Gold
 
Great Wall Precious Metals Co., Ltd. of CBPM
CHINA
Tungsten
 
Jiangxi Dayu Longxintai Tungsten Co., Ltd.
CHINA
Tungsten
*
Jiangxi Gan Bei Tungsten Co., Ltd.
CHINA
Tungsten
*
Jiangxi Xinsheng Tungsten Industry Co., Ltd.
CHINA
Gold
*
Cendres + Metaux S.A.
SWITZERLAND
Gold
 
Yunnan Copper Industry Co., Ltd.
CHINA
Tin
*
Jiangxi Ketai Advanced Material Co., Ltd.
CHINA
Tungsten
*
Chongyi Zhangyuan Tungsten Co., Ltd.
CHINA
Gold
*
JSC Uralelectromed
RUSSIAN FEDERATION
Tungsten
*
Kennametal Fallon
UNITED STATES OF AMERICA
Tungsten
*
Kennametal Huntsville
UNITED STATES OF AMERICA
Gold
*
Korea Zinc Co., Ltd.
KOREA, REPUBLIC OF
Tin
*
Melt Metais e Ligas S.A.
BRAZIL
Gold
*
Emirates Gold DMCC
UNITED ARAB EMIRATES
Tungsten
*
Fujian Jinxin Tungsten Co., Ltd.
CHINA
Tungsten
*
Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.
CHINA
Tungsten
*
Jiangxi Yaosheng Tungsten Co., Ltd.
CHINA
Tungsten
*
Asia Tungsten Products Vietnam Ltd.
VIET NAM
Gold
 
Guangdong Jinding Gold Limited
CHINA
Gold
*
SungEel HiMetal Co., Ltd.
KOREA, REPUBLIC OF
Gold
*
Yamakin Co., Ltd.
JAPAN
Gold
 
GCC Gujrat Gold Centre Pvt. Ltd.
INDIA
Gold
 
Kaloti Precious Metals
UNITED ARAB EMIRATES
Gold
 
Kazakhmys Smelting LLC
KAZAKHSTAN
Gold
*
Al Etihad Gold LLC
UNITED ARAB EMIRATES
Tin
 
Nghe Tinh Non-Ferrous Metals Joint Stock Company
VIET NAM
Tin
 
Tuyen Quang Non-Ferrous Metals Joint Stock Company
VIET NAM
Gold
*
T.C.A S.p.A
ITALY
Gold
 
Tony Goetz NV
BELGIUM
Gold
*
Yokohama Metal Co., Ltd.
JAPAN
Gold
 
TOO Tau-Ken-Altyn
KAZAKHSTAN
Gold
 
Universal Precious Metals Refining Zambia
ZAMBIA
Gold
 
Morris and Watson
NEW ZEALAND
Gold
 
Refinery of Seemine Gold Co., Ltd.
CHINA





Mineral
Status
Smelter or Refiner Name
Country Location of Smelter or Refiner
Gold
 
Daye Non-Ferrous Metals Mining Ltd.
CHINA
Tungsten
*
Niagara Refining LLC
UNITED STATES OF AMERICA
Tantalum
*
Power Resources Ltd.
MACEDONIA, THE FORMER YUGOSLAV REPUBLIC OF
Gold
*
AU Traders and Refiners
SOUTH AFRICA
Tin
*
PT Lautan Harmonis Sejahtera
INDONESIA
Tin
*
PT Menara Cipta Mulia
INDONESIA
Gold
*
Remondis Argentia B.V.
NETHERLANDS
Gold
 
Kyshtym Copper-Electrolytic Plant ZAO
RUSSIAN FEDERATION
Tungsten
*
Ganzhou Haichuang Tungsten Co., Ltd.
CHINA
Tin
 
Super Ligas
BRAZIL
Gold
 
Sai Refinery
INDIA
Tin
*
PT Babel Surya Alam Lestari
INDONESIA
Gold
*
HeeSung Metal Ltd.
KOREA, REPUBLIC OF
Gold
 
Degussa Sonne / Mond Goldhandel GmbH
GERMANY
Gold
 
Morris and Watson Gold Coast
AUSTRALIA
Gold
 
Pease & Curren
UNITED STATES OF AMERICA
Tin
*
Guangdong Hanhe Non-Ferrous Metal Co., Ltd.
CHINA
Gold
*
Italpreziosi
ITALY
Gold
*
Safimet S.p.A
ITALY
Gold
 
State Research Institute Center for Physical Sciences and Technology
LITHUANIA
Tin
*
Magnu's Minerais Metais e Ligas Ltda.
BRAZIL
Tantalum
*
Asaka Riken Co., Ltd.
JAPAN
Gold
*
Planta Recuperadora de Metales SpA
CHILE
Gold
*
Marsam Metals
BRAZIL
Tungsten
 
Hunan Litian Tungsten Industry Co., Ltd.
CHINA
Tungsten
 
Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.
CHINA
Gold
 
L’azurde Company For Jewelry
SAUDI ARABIA

* = Conformant or actively participating in the RMI Responsible Minerals Assurance Process (as reported by RMI as of March 18, 2018).






ANNEX II
COUNTRIES OF ORIGIN OF MINERALS PROCESSED BY
SUPPLIER-REPORTED SMELTERS AND REFINERS

Argentina
Laos
Australia
Madagascar
Austria
Malaysia
Benin
Mali
Bolivia (Plurinational State of)
Mexico
Brazil
Mongolia
Burkina Faso
Mozambique
Burundi
Myanmar
Cambodia
Namibia
Canada
Nicaragua
Chile
Nigeria
China
Panama
Colombia
Peru
Congo, Democratic Republic of the
Portugal
Ecuador
Russian Federation
Eritrea
Rwanda
Ethiopia
Senegal
France
Sierra Leone
Germany
South Africa
Ghana
Spain
Guatemala
Thailand
Guinea
Togo
Guyana
Uganda
Honduras
United Kingdom of Great Britain and Northern Ireland
India
United States of America
Indonesia
Uzbekistan
Japan
Vietnam
Kazakhstan
Zimbabwe