UNITED STATES
SECURITIES EXCHANGE COMMISSION
Washington, D.C. 20549
FORM SD
Specialized Disclosure Report
Broadcom Inc. | ||||||||
(Exact name of registrant as specified in its charter) | ||||||||
Delaware | 001-38449 | 35-2617337 | ||||||
(State or other jurisdiction of incorporation or organization) | (Commission File Number) | (IRS Employer Identification No.) | ||||||
1320 Ridder Park Drive, San Jose, California | 95131 | |||||||
(Address of principal executive offices) | (Zip code) | |||||||
Mark Brazeal Chief Legal and Corporate Affairs Officer (408) 433-8000 | ||||||||
(Name and telephone number, including area code, of the person to contact in connection with this report.) | ||||||||
Check the appropriate box to indicate the rule pursuant to which this form is being filed, and provide the period to which the information in this form applies:
Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2021.
Section 1 – Conflict Minerals Disclosure
Item 1.01 Conflict Minerals Disclosure and Report
Conflict Minerals Disclosure
A copy of the Conflict Minerals Report of Broadcom Inc. for the reporting period January 1, 2021 to December 31, 2021 is provided as Exhibit 1.01 hereto and is publicly available at https://www.broadcom.com/company/citizenship/supplier-responsibility.
Item 1.02 Exhibit
Broadcom Inc.’s Conflict Minerals Report for the calendar year ended December 31, 2021 is filed as Exhibit 1.01 hereto.
Section 2 – Exhibits
Item 2.01 Exhibits
| Exhibit No. | Description | |||||||
| 1.01 | ||||||||
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the duly authorized undersigned.
BROADCOM INC.
By: /s/ Hock E. Tan
Name: Hock E. Tan
Title: President and Chief Executive Officer
Date: May 31, 2022
Exhibit 1.01
Broadcom Inc.
Conflict Minerals Report
For The Calendar Year Ended December 31, 2021
This Conflict Minerals Report (this “Report”) of Broadcom Inc. for the calendar year ended December 31, 2021 (the “Reporting Period”) is filed in accordance with Rule 13p-1 under the Securities Exchange Act of 1934, as amended (the “Rule”), and pursuant to the Company’s Specialized Disclosure Report on Form SD (“Form SD”) for the Reporting Period filed with the Securities and Exchange Commission (the “SEC”). The Rule imposes certain reporting and disclosure obligations on SEC registrants for which cassiterite, columbite-tantalite, gold, wolframite, or their derivatives, which are limited to tin, tantalum and tungsten (“conflict minerals”), are necessary to the functionality or production of a product manufactured, or contracted to be manufactured, by the registrant.
References in this Report to “Broadcom,” “the Company,” “we,” “our,” or “us” refer to Broadcom Inc. and its subsidiaries, on a consolidated basis, unless otherwise indicated or the context otherwise requires.
Company and Product Overview
Broadcom is a global technology leader that designs, develops and supplies a broad range of semiconductor and infrastructure software solutions. Broadcom has a history of innovation in the semiconductor industry and offers thousands of products that are used in end products such as enterprise and data center networking, home connectivity, set-top boxes, broadband access, telecommunication equipment, smartphones and base stations, data center servers and storage systems, factory automation, power generation and alternative energy systems, and electronic displays.
Broadcom’s infrastructure software solutions enable customers to plan, develop, automate, manage and secure applications across mainframe, distributed, mobile and cloud platforms.
Design of Conflict Minerals Program
Broadcom’s due diligence framework with regards to conflict minerals, which is summarized below, conforms to the Organization for Economic Co-operation and Development (“OECD”) Guidance for Responsible Supply Chains for Minerals from Conflict-Affected and High Risk Areas, and the Supplements on Tin, Tantalum and Tungsten and on Gold.
Step 1 - Establish strong company management systems
•Adopt a Conflict Minerals Policy and make it publicly available on our website. (https://www.broadcom.com/company/citizenship/supplier-responsibility)
•Establish an internal conflict minerals team led by our Global Quality organization to implement our Conflict Minerals Policy, which reports program activities to executive management on a regular basis.
•Establish a public email address (conflict.minerals@broadcom.com) for general inquiries.
•Establish a grievance mechanism to enable employees, suppliers and stakeholders to report any concerns and violations.
•Maintain records relating to our conflict minerals program.
•Utilize the Conflict Minerals Reporting Template (“CMRT”), a standardized reporting template developed by the Responsible Minerals Initiative (“RMI”) to identify smelters and refiners (“SORs”) that process the necessary conflict minerals contained in our products.
Exhibit 1.01
Step 2 - Identify and assess risks in the supply chain
•Survey our supply chain using the CMRT, requesting identified direct suppliers to identify SORs and country of origin of the conflict minerals.
•Contact suppliers who returned the CMRT that require follow-up based on internally defined criteria.
•Compare our final SORs list against the list of facilities maintained by RMI’s Responsible Minerals Assurance Process (“RMAP”) to identify which SORs are certified “conflict-free” (“conformant”) or active.
Step 3 - Design and implement a strategy to respond to identified risks
•Devise a risk management plan to respond to identified risk in the event that Broadcom’s due diligence process identifies smelters in the supply chain to be sourcing or processing conflict minerals from the Democratic Republic of Congo or adjoining countries (together, the “DRC”), and that are not RMAP conformant.
•Perform risk mitigation efforts by encouraging suppliers to purchase materials from SORs validated as “conflict-free” by an independent auditor to demonstrate conformance with the RMAP assessment protocols and implement due diligence measures for conflict-free sourcing.
•Contact SORs who are not RMAP conformant or active, whose email contact information is available from RMI, to participate in an independent third-party audit program to demonstrate conformance with the RMAP assessment protocols.
•Provide status reports, including information on the source and chain of custody of conflict minerals in our supply chain, to our senior management regularly.
Step 4 - Independent third-party audit of SOR’s due diligence practices
•Broadcom supports the development of a range of tools and resources including the RMAP, the CMRT, Reasonable Country of Origin Inquiry (“RCOI”) data and a range of guidance documents on conflict minerals sourcing through our membership with RMI.
•As Broadcom does not source directly from conflict minerals processing facilities, we rely on RMAP to coordinate independent third-party audits on SORs.
Step 5 - Report annually on supply chain due diligence
•In accordance with the Rule, Broadcom will file a Form SD and a conflict minerals report with the SEC on an annual basis. This Report is also available on our website (https://www.broadcom.com/company/citizenship/supplier-responsibility).
Description of Due Diligence Measures Performed
•Sent our policy to suppliers to communicate Broadcom’s goal and expectations of them to cooperate in providing due diligence information and to encourage suppliers to purchase materials from SORs validated as “conflict-free” by an independent auditor and demonstrated conformant to RMAP assessment protocols, and requested that suppliers return a completed CMRT.
•Contacted suppliers who returned the CMRT that require follow-up based on internally defined criteria.
•Compared our final SORs list (compiled based on information received from suppliers) against the list of facilities maintained by RMAP to identify which SORs are RMAP conformant or active.
Exhibit 1.01
•Performed outreach via email to SORs who are not RMAP conformant or active and whose email contact information is available from RMI by sending RMI’s standard smelter engagement letter inviting them to commence their participation in an independent third-party audit program to demonstrate their compliance with the RMAP assessment protocols.
•Provided status reports, including information on the source and chain of custody of conflict minerals in our supply chain, to our senior management regularly and at least once a quarter.
Results of Our Due Diligence Measures
Broadcom uses tin, tantalum, tungsten and gold (“3TG”) in the design and manufacture of many of its products and is therefore a “downstream” company in the conflict minerals supply chain. Due to the nature of our supply chain, we do not typically have a direct relationship with 3TG SORs. Our manufacturing operations employ a wide variety of semiconductors, electromechanical components and raw materials that are also supplied by other downstream companies in the supply chain. Our due diligence process involves seeking data from our relevant suppliers, and these suppliers also seek similar information from their supply chain in order to identify the sources for the necessary conflict minerals. We rely on the good faith efforts of our supply chain to provide us with reasonable data. We also depend largely on information collected and provided by RMI obtained through their independent third-party audit programs. We achieved a response rate of 100% for our supply chain survey.
Many of our suppliers sourced 3TG from a variety of upstream sources and provided information to us on an aggregated, company-wide level. Due to the fungible nature of these materials, we understand that these suppliers were unable to trace the 3TG that they source into the products provided to any particular customers (including Broadcom). As a result, our list of SORs may contain more facilities than are actually used in our supply chain. In addition, our list of SORs may not include all the SORs in our supply chain as our suppliers were unable to identify the SORs of some of the conflict minerals.
We compare SORs declared by our suppliers against the list of facilities that are certified “conflict free” by the RMAP and/or London Bullion Market Association (LBMA), and we obtain countries of origin information (when available) from RMI. We have identified 341 SORs in our supply chain at some point during the 2021 reporting year, of which 75 SORs were removed from our supply chain and 6 SORs had ceased operations.
As a result, as of December 31, 2021, we had 260 active SORs in our supply chain, of which 243 SORs have been validated as “conflict free”, 14 SORs are listed as “Active” as they are at various stages of the audit cycle in the RMAP, and the remaining 3 SORs have no known participation in the RMAP. However, we were unable to ascertain the country of origin and/or chain of custody of all necessary conflict minerals because, for this reporting period, many SORs facilities had not yet received a “conflict free” designation.
As reported to us by our relevant suppliers, we have included a list of SORs determined to be legitimate processing facilities by the RMI and/or LBMA and the locations of these facilities in Tables 1, 2 and 3.
As previously noted, because of the nature of our supply chain, we do not typically have any direct relationship with 3TG SORs. Therefore, as noted above, we contributed to the improvement of SOR diligence practices by working through our supply chain and through our membership with RMI.
Ongoing Improvement Efforts
For the next reporting period, we intend to continue taking steps to further mitigate the risk that conflict minerals that are necessary to the functionality or production of our products finance or benefit armed groups in the DRC.
Exhibit 1.01
These steps include:
•work with relevant suppliers to update their conflict minerals reporting template using the latest CMRT and verify the identified smelters with RMI’s most current list;
•continue to refine our conflict minerals program to improve our reasonable due diligence measures in our efforts to determine the source and chain of custody of conflict minerals;
•continue to work with suppliers and others on industry-wide solutions to enable products that are DRC conflict free;
•when required by the Rule, obtain an independent private sector audit for the Report; and
•extend RCOI and due diligence measures to any of our recently acquired entities and businesses.
Exhibit 1.01
Tables of Our Conflict Minerals Processing Smelters or Refiners
Set forth in the tables below are lists of the 341 SORs facilities identified by our suppliers as possibly being used to process their necessary conflict minerals. The SORs status set forth in the lists below are based on information provided by RMI and/or LBMA as of January 19, 2022. Our efforts to determine the mine or location of origin of our necessary conflict minerals are set forth above in “Description of Due Diligence Measures Performed” and “Results of Our Due Diligence Measures.”
Table 1: Conformant smelters and refiners
| Metal | Smelter or Refiner Name | Country Location | ||||||
| Gold | 8853 S.p.A. | Italy | ||||||
| Gold | Advanced Chemical Company | United States of America | ||||||
| Gold | Aida Chemical Industries Co., Ltd. | Japan | ||||||
| Gold | Al Etihad Gold Refinery DMCC | United Arab Emirates | ||||||
| Gold | Allgemeine Gold-und Silberscheideanstalt A.G. | Germany | ||||||
| Gold | Almalyk Mining and Metallurgical Complex (AMMC) | Uzbekistan | ||||||
| Gold | AngloGold Ashanti Corrego do Sitio Mineracao | Brazil | ||||||
| Gold | Argor-Heraeus S.A. | Switzerland | ||||||
| Gold | Asahi Pretec Corp. | Japan | ||||||
| Gold | Asahi Refining Canada Ltd. | Canada | ||||||
| Gold | Asahi Refining USA Inc. | United States of America | ||||||
| Gold | Asaka Riken Co., Ltd. | Japan | ||||||
| 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 | CCR Refinery - Glencore Canada Corporation | Canada | ||||||
| Gold | Cendres + Metaux S.A. | Switzerland | ||||||
| Gold | Chimet S.p.A. | Italy | ||||||
| Gold | Chugai Mining | Japan | ||||||
| Gold | Daye Non-Ferrous Metals Mining Ltd. | China | ||||||
| Gold | DODUCO Contacts and Refining GmbH | Germany | ||||||
| Gold | Dowa | Japan | ||||||
| Gold | DSC (Do Sung Corporation) | Republic of Korea | ||||||
| Gold | Eco-System Recycling Co., Ltd. East Plant | Japan | ||||||
| Gold | Eco-System Recycling Co., Ltd. North Plant | Japan | ||||||
| Gold | Eco-System Recycling Co., Ltd. West Plant | Japan | ||||||
| Gold | Emirates Gold DMCC | United Arab Emirates | ||||||
| Gold | Geib Refining Corporation | United States of America | ||||||
| Gold | Gold Refinery of Zijin Mining Group Co., Ltd. | China | ||||||
| Gold | Great Wall Precious Metals Co., Ltd. of CBPM | China | ||||||
| Gold | Heimerle + Meule GmbH | Germany | ||||||
| Gold | Heraeus Germany GmbH Co. KG | Germany | ||||||
| Gold | Heraeus Metals Hong Kong Ltd. | China | ||||||
| Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | China | ||||||
| Gold | Ishifuku Metal Industry Co., Ltd. | Japan | ||||||
| Gold | Istanbul Gold Refinery | Turkey | ||||||
Exhibit 1.01
| Metal | Smelter or Refiner Name | Country Location | ||||||
| Gold | Italpreziosi | Italy | ||||||
| Gold | Japan Mint | Japan | ||||||
| Gold | Jiangxi Copper Co., Ltd. | China | ||||||
| Gold | JSC Novosibirsk Refinery | Russian Federation | ||||||
| Gold | JSC Uralelectromed | Russian Federation | ||||||
| Gold | JX Nippon Mining & Metals Co., Ltd. | Japan | ||||||
| Gold | Kazzinc | Kazakhstan | ||||||
| Gold | Kennecott Utah Copper LLC | United States of America | ||||||
| Gold | KGHM Polska Miedz Spolka Akcyjna | Poland | ||||||
| Gold | Kojima Chemicals Co., Ltd. | Japan | ||||||
| Gold | Korea Zinc Co., Ltd. | Republic of Korea | ||||||
| Gold | L'Orfebre S.A. | Andorra | ||||||
| Gold | LS-NIKKO Copper Inc. | Republic of Korea | ||||||
| Gold | LT Metal Ltd. | Republic of Korea | ||||||
| Gold | Marsam Metals | Brazil | ||||||
| Gold | Materion | United States of America | ||||||
| Gold | Matsuda Sangyo Co., Ltd. | Japan | ||||||
| Gold | Metal Concentrators SA (Pty) Ltd. | South Africa | ||||||
| Gold | Metalor Technologies (Hong Kong) Ltd. | China | ||||||
| Gold | Metalor Technologies (Singapore) Pte., Ltd. | Singapore | ||||||
| Gold | Metalor Technologies (Suzhou) Ltd. | China | ||||||
| Gold | Metalor Technologies S.A. | Switzerland | ||||||
| Gold | Metalor USA Refining Corporation | United States of America | ||||||
| Gold | Metalurgica Met-Mex Penoles S.A. De C.V. | Mexico | ||||||
| Gold | Mitsubishi Materials Corporation | Japan | ||||||
| Gold | Mitsui Mining and Smelting Co., Ltd. | Japan | ||||||
| Gold | MMTC-PAMP India Pvt., Ltd. | India | ||||||
| Gold | Moscow Special Alloys Processing Plant | Russian Federation | ||||||
| Gold | Nadir Metal Rafineri San. Ve Tic. A.S. | Turkey | ||||||
| Gold | Navoi Mining and Metallurgical Combinat | Uzbekistan | ||||||
| Gold | NH Recytech Company | Republic of Korea | ||||||
| Gold | Nihon Material Co., Ltd. | Japan | ||||||
| Gold | Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH | Austria | ||||||
| Gold | Ohura Precious Metal Industry Co., Ltd. | Japan | ||||||
| Gold | OJSC (The Gulidov Krasnoyarsk Non-Ferrous Metals Plant) (OJSC Krastsvetmet) | Russian Federation | ||||||
| Gold | PAMP S.A. | Switzerland | ||||||
| Gold | Planta Recuperadora de Metales SpA | Chile | ||||||
| Gold | Prioksky Plant of Non-Ferrous Metals | Russian Federation | ||||||
| Gold | PT Aneka Tambang (Persero) Tbk | Indonesia | ||||||
| Gold | PX Precinox S.A. | Switzerland | ||||||
| Gold | Rand Refinery (Pty) Ltd. | South Africa | ||||||
| Gold | REMONDIS PMR B.V. | Netherlands | ||||||
| Gold | Royal Canadian Mint | Canada | ||||||
| Gold | SAAMP | France | ||||||
| Gold | Safimet S.p.A | Italy | ||||||
Exhibit 1.01
| Metal | Smelter or Refiner Name | Country Location | ||||||
| Gold | SAFINA A.S. | Czechia | ||||||
| Gold | Samduck Precious Metals | Republic of Korea | ||||||
| Gold | SAXONIA Edelmetalle GmbH | Germany | ||||||
| Gold | SEMPSA Joyeria Plateria S.A. | Spain | ||||||
| Gold | Shandong Gold Smelting Co., Ltd. | China | ||||||
| Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | China | ||||||
| Gold | Sichuan Tianze Precious Metals Co., Ltd. | China | ||||||
| Gold | Singway Technology Co., Ltd. | Taiwan | ||||||
| Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | Russian Federation | ||||||
| Gold | Solar Applied Materials Technology Corp. | Taiwan | ||||||
| Gold | Sumitomo Metal Mining Co., Ltd. | Japan | ||||||
| Gold | SungEel HiMetal Co., Ltd. | Republic of Korea | ||||||
| Gold | T.C.A S.p.A | Italy | ||||||
| Gold | Tanaka Kikinzoku Kogyo K.K. | Japan | ||||||
| Gold | Tokuriki Honten Co., Ltd. | Japan | ||||||
| Gold | TOO Tau-Ken-Altyn | Kazakhstan | ||||||
| Gold | Torecom | Republic of Korea | ||||||
| Gold | TSK Pretech* | Republic of Korea | ||||||
| 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 | Valcambi S.A. | Switzerland | ||||||
| Gold | Western Australian Mint (T/a The Perth Mint) | Australia | ||||||
| Gold | WIELAND Edelmetalle GmbH | Germany | ||||||
| Gold | Yamakin Co., Ltd. | Japan | ||||||
| Gold | Yokohama Metal Co., Ltd. | Japan | ||||||
| Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | China | ||||||
| Tantalum | AMG Brasil | Brazil | ||||||
| Tantalum | Asaka Riken Co., Ltd. | Japan | ||||||
| Tantalum | Changsha South Tantalum Niobium Co., Ltd. | China | ||||||
| Tantalum | D Block Metals, LLC | United States of America | ||||||
| Tantalum | Exotech Inc. | United States of America | ||||||
| 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 Rising Rare Metals-EO Materials Ltd. | China | ||||||
| Tantalum | H.C. Starck Hermsdorf GmbH | Germany | ||||||
| Tantalum | H.C. Starck Inc. | United States of America | ||||||
| Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | China | ||||||
| Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | China | ||||||
| Tantalum | Jiangxi Tuohong New Raw Material | China | ||||||
| Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | China | ||||||
| Tantalum | Jiujiang Tanbre Co., Ltd. | China | ||||||
| Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | China | ||||||
| Tantalum | KEMET de Mexico | Mexico | ||||||
Exhibit 1.01
| Metal | Smelter or Refiner Name | Country Location | ||||||
| Tantalum | Meta Materials | Republic of North Macedonia | ||||||
| Tantalum | Metallurgical Products India Pvt., Ltd. | India | ||||||
| Tantalum | Mineracao Taboca S.A. | Brazil | ||||||
| Tantalum | Mitsui Mining and Smelting Co., Ltd. | Japan | ||||||
| Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | China | ||||||
| Tantalum | NPM Silmet AS | Estonia | ||||||
| Tantalum | QuantumClean | United States of America | ||||||
| Tantalum | Resind Industria e Comercio Ltda. | Brazil | ||||||
| Tantalum | Solikamsk Magnesium Works OAO | Russian Federation | ||||||
| Tantalum | Taki Chemical Co., Ltd. | Japan | ||||||
| Tantalum | TANIOBIS Co., Ltd. | Thailand | ||||||
| Tantalum | TANIOBIS GmbH | Germany | ||||||
| Tantalum | TANIOBIS Japan Co., Ltd. | Japan | ||||||
| Tantalum | TANIOBIS Smelting GmbH & Co. KG | Germany | ||||||
| Tantalum | Telex Metals | United States of America | ||||||
| Tantalum | Ulba Metallurgical Plant JSC | Kazakhstan | ||||||
| Tantalum | XIMEI RESOURCES (GUANGDONG) LIMITED | China | ||||||
| Tantalum | XinXing HaoRong Electronic Material Co., Ltd. | China | ||||||
| Tantalum | Yanling Jincheng Tantalum & Niobium Co., Ltd. | China | ||||||
| Tin | Alpha | United States of America | ||||||
| Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | China | ||||||
| Tin | Chifeng Dajingzi Tin Industry Co., Ltd. | China | ||||||
| Tin | China Tin Group Co., Ltd. | China | ||||||
| Tin | Dowa | Japan | ||||||
| Tin | EM Vinto | Plurinational State of Bolivia | ||||||
| Tin | Fabrica Auricchio Industria e Comercio Ltda.‡ | Brazil | ||||||
| Tin | Fenix Metals | Poland | ||||||
| Tin | Gejiu Fengming Metallurgy Chemical Plant* | China | ||||||
| Tin | Gejiu Kai Meng Industry and Trade LLC | China | ||||||
| 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 | ||||||
| Tin | Guangdong Hanhe Non-Ferrous Metal Co., Ltd. | China | ||||||
| Tin | HuiChang Hill Tin Industry Co., Ltd. | China | ||||||
| Tin | Huichang Jinshunda Tin Co., Ltd. | China | ||||||
| Tin | Jiangxi New Nanshan Technology Ltd. | China | ||||||
| Tin | Luna Smelter, Ltd. | Rwanda | ||||||
| Tin | Ma'anshan Weitai Tin Co., Ltd. | China | ||||||
| Tin | Magnu's Minerais Metais e Ligas Ltda. | Brazil | ||||||
| Tin | Malaysia Smelting Corporation (MSC) | Malaysia | ||||||
| Tin | Melt Metais e Ligas S.A. | Brazil | ||||||
| Tin | Metallic Resources, Inc. | United States of America | ||||||
| Tin | Metallo Belgium N.V. | Belgium | ||||||
| Tin | Metallo Spain S.L.U. | Spain | ||||||
| Tin | Mineracao Taboca S.A. | Brazil | ||||||
| Tin | Minsur | Peru | ||||||
Exhibit 1.01
| Metal | Smelter or Refiner Name | Country Location | ||||||
| Tin | Mitsubishi Materials Corporation | Japan | ||||||
| Tin | O.M. Manufacturing (Thailand) Co., Ltd. | Thailand | ||||||
| Tin | O.M. Manufacturing Philippines, Inc. | Philippines | ||||||
| Tin | Operaciones Metalurgicas S.A. | Plurinational State of Bolivia | ||||||
| Tin | PT Artha Cipta Langgeng | Indonesia | ||||||
| Tin | PT ATD Makmur Mandiri Jaya | Indonesia | ||||||
| Tin | PT Babel Inti Perkasa | Indonesia | ||||||
| Tin | PT Babel Surya Alam Lestari | Indonesia | ||||||
| Tin | PT Bangka Serumpun | Indonesia | ||||||
| Tin | PT Menara Cipta Mulia | Indonesia | ||||||
| Tin | PT Mitra Stania Prima | Indonesia | ||||||
| Tin | PT Prima Timah Utama | Indonesia | ||||||
| Tin | PT Rajawali Rimba Perkasa | Indonesia | ||||||
| Tin | PT Rajehan Ariq | Indonesia | ||||||
| Tin | PT Refined Bangka Tin | Indonesia | ||||||
| Tin | PT Sariwiguna Binasentosa | Indonesia | ||||||
| Tin | PT Stanindo Inti Perkasa | Indonesia | ||||||
| Tin | PT Timah Tbk Kundur | Indonesia | ||||||
| Tin | PT Timah Tbk Mentok | Indonesia | ||||||
| Tin | PT Tinindo Inter Nusa | Indonesia | ||||||
| Tin | Resind Industria e Comercio Ltda. | Brazil | ||||||
| Tin | Rui Da Hung | Taiwan | ||||||
| Tin | Soft Metais Ltda. | Brazil | ||||||
| Tin | Thai Nguyen Mining and Metallurgy Co., Ltd. | Vietnam | ||||||
| Tin | Thaisarco | Thailand | ||||||
| Tin | Tin Technology & Refining | United States of America | ||||||
| Tin | White Solder Metalurgia e Mineracao Ltda. | Brazil | ||||||
| Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | China | ||||||
| Tin | Yunnan Yunfan Non-ferrous Metals Co., Ltd. | China | ||||||
| Tungsten | A.L.M.T. Corp. | Japan | ||||||
| Tungsten | ACL Metais Eireli | Brazil | ||||||
| Tungsten | Asia Tungsten Products Vietnam Ltd. | Vietnam | ||||||
| Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd. | China | ||||||
| Tungsten | China Molybdenum Tungsten Co., Ltd. | China | ||||||
| Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | China | ||||||
| Tungsten | Cronimet Brasil Ltda | Brazil | ||||||
| Tungsten | Fujian Ganmin RareMetal Co., Ltd. | China | ||||||
| Tungsten | Ganzhou Haichuang Tungsten 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 | Global Tungsten & Powders Corp. | United States of America | ||||||
| Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | China | ||||||
| Tungsten | H.C. Starck Tungsten GmbH | Germany | ||||||
| Tungsten | Hunan Chenzhou Mining Co., Ltd. | China | ||||||
| Tungsten | Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji | China | ||||||
Exhibit 1.01
| Metal | Smelter or Refiner Name | Country Location | ||||||
| Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd. | China | ||||||
| Tungsten | Hunan Litian Tungsten Industry Co., Ltd.* | China | ||||||
| Tungsten | Hydrometallurg, JSC | Russian Federation | ||||||
| Tungsten | Japan New Metals Co., Ltd. | Japan | ||||||
| Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | China | ||||||
| Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | China | ||||||
| Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | China | ||||||
| Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | China | ||||||
| Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. | China | ||||||
| Tungsten | JSC (Kirovgrad Hard Alloys Plant) | Russian Federation | ||||||
| Tungsten | Kennametal Fallon | United States of America | ||||||
| Tungsten | Kennametal Huntsville | United States of America | ||||||
| Tungsten | KGETS Co., Ltd. | Republic of Korea | ||||||
| Tungsten | Lianyou Metals Co., Ltd. | Taiwan | ||||||
| Tungsten | Malipo Haiyu Tungsten Co., Ltd. | China | ||||||
| Tungsten | Masan High-Tech Materials | Vietnam | ||||||
| Tungsten | Moliren Ltd. | Russian Federation | ||||||
| Tungsten | Niagara Refining LLC | United States of America | ||||||
| Tungsten | Philippine Chuangxin Industrial Co., Inc. | Philippines | ||||||
| Tungsten | TANIOBIS Smelting GmbH & Co. KG | Germany | ||||||
| Tungsten | Tejing (Vietnam) Tungsten Co., Ltd.* | Vietnam | ||||||
| Tungsten | Unecha Refractory metals plant | Russian Federation | ||||||
| Tungsten | Wolfram Bergbau und Hutten AG | Austria | ||||||
| Tungsten | Woltech Korea Co., Ltd. | Republic of Korea | ||||||
| Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | China | ||||||
| Tungsten | Xiamen Tungsten Co., Ltd. | China | ||||||
| Tungsten | Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. | China | ||||||
‡ Denotes a smelter that was removed from our supply chain in the reporting year.
* Denotes a conformant smelter or refiner reported to have ceased operations in the reporting year.
Exhibit 1.01
Table 2: Smelters and refiners not on RMAP conformant list but actively working with RMAP (Active)
| Metal | Smelter or Refiner Name | Country Location | ||||||
| Gold | Alexy Metals‡ | United States of America | ||||||
| Gold | Augmont Enterprises Private Limited‡ | India | ||||||
| Gold | C.I Metales Procesados Industriales SAS | Colombia | ||||||
| Gold | GGC Gujrat Gold Centre Pvt. Ltd. | India | ||||||
| Gold | Sancus ZFS (L’Orfebre, SA)‡ | Colombia | ||||||
| Tin | CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda | Brazil | ||||||
| Tin | CRM Synergies | Spain | ||||||
| Tin | CV Ayi Jaya* | Indonesia | ||||||
| Tin | CV Venus Inti Perkasa | Indonesia | ||||||
| Tin | Estanho de Rondonia S.A. | Brazil | ||||||
| Tin | Novosibirsk Processing Plant Ltd. | Russian Federation | ||||||
| Tin | PT Bukit Timah | Indonesia | ||||||
| Tin | PT Mitra Sukses Globalindo | Indonesia | ||||||
| Tin | PT Sukses Inti Makmur | Indonesia | ||||||
| Tin | PT Timah Nusantara | Indonesia | ||||||
| Tin | Super Ligas | Brazil | ||||||
| Tin | Tin Smelting Branch of Yunnan Tin Co., Ltd. | China | ||||||
| Tungsten | Albasteel Industria e Comercio de Ligas Para Fundicao Ltd. | Brazil | ||||||
| Tungsten | Jingmen Dewei GEM Tungsten Resources Recycling Co., Ltd.‡ | China | ||||||
| Tungsten | NPP Tyazhmetprom LLC‡ | Russian Federation | ||||||
‡ Denotes a smelter that was removed from our supply chain in the reporting year.
* Denotes a conformant smelter or refiner reported to have ceased operations in the reporting year.
Table 3: Smelters and refiners not on RMAP conformant list
| Metal | Smelter or Refiner Name | Country Location | ||||||
| Gold | Abington Reldan Metals, LLC‡ | United States of America | ||||||
| Gold | African Gold Refinery‡ | Uganda | ||||||
| Gold | Atasay Kuyumculuk Sanayi Ve Ticaret A.S.‡ | Turkey | ||||||
| Gold | AU Traders and Refiners | South Africa | ||||||
| Gold | Caridad‡ | Mexico | ||||||
| Gold | CGR Metalloys Pvt Ltd.‡ | India | ||||||
| Gold | Degussa Sonne / Mond Goldhandel GmbH‡ | Germany | ||||||
| Gold | Dijllah Gold Refinery FZC‡ | United Arab Emirates | ||||||
| Gold | Emerald Jewel Industry India Limited (Unit 1)‡ | India | ||||||
| Gold | Emerald Jewel Industry India Limited (Unit 2)‡ | India | ||||||
| Gold | Emerald Jewel Industry India Limited (Unit 3)‡ | India | ||||||
| Gold | Emerald Jewel Industry India Limited (Unit 4)‡ | India | ||||||
| Gold | Fidelity Printers and Refiners Ltd.‡ | Zimbabwe | ||||||
| Gold | Fujairah Gold FZC‡ | United Arab Emirates | ||||||
| Gold | Gold Coast Refinery‡ | Ghana | ||||||
| Gold | Guangdong Jinding Gold Limited‡ | China | ||||||
Exhibit 1.01
| Metal | Smelter or Refiner Name | Country Location | ||||||
| Gold | Guoda Safina High-Tech Environmental Refinery Co., Ltd.‡ | China | ||||||
| Gold | Hangzhou Fuchunjiang Smelting Co., Ltd.‡ | China | ||||||
| Gold | Hunan Chenzhou Mining Co., Ltd.‡ | China | ||||||
| Gold | Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd.‡ | China | ||||||
| Gold | HwaSeong CJ CO., LTD.‡ | Republic of Korea | ||||||
| Gold | Industrial Refining Company‡ | Belgium | ||||||
| Gold | International Precious Metal Refiners‡ | United Arab Emirates | ||||||
| Gold | JALAN & Company‡ | India | ||||||
| Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant‡ | Russian Federation | ||||||
| Gold | K.A. Rasmussen‡ | Norway | ||||||
| Gold | Kaloti Precious Metals‡ | United Arab Emirates | ||||||
| Gold | Kazakhmys Smelting LLC‡ | Kazakhstan | ||||||
| Gold | Kundan Care Products Ltd.‡ | India | ||||||
| Gold | Kyrgyzaltyn JSC | Kyrgyzstan | ||||||
| Gold | Kyshtym Copper-Electrolytic Plant ZAO‡ | Russian Federation | ||||||
| Gold | L'azurde Company For Jewelry‡ | Saudi Arabia | ||||||
| Gold | Lingbao Gold Co., Ltd.‡ | China | ||||||
| Gold | Lingbao Jinyuan Tonghui Refinery Co., Ltd.‡ | China | ||||||
| Gold | Luoyang Zijin Yinhui Gold Refinery Co., Ltd.‡ | China | ||||||
| Gold | MD Overseas‡ | India | ||||||
| Gold | Metallix Refining Inc.‡ | United States of America | ||||||
| Gold | Modeltech Sdn Bhd‡ | Malaysia | ||||||
| Gold | Morris and Watson‡ | New Zealand | ||||||
| Gold | Pease & Curren‡ | United States of America | ||||||
| Gold | Penglai Penggang Gold Industry Co., Ltd.‡ | China | ||||||
| Gold | QG Refining, LLC‡ | United States of America | ||||||
| Gold | Refinery of Seemine Gold Co., Ltd.‡ | China | ||||||
| Gold | Sabin Metal Corp.‡ | United States of America | ||||||
| Gold | Sai Refinery‡ | India | ||||||
| Gold | Samwon Metals Corp.‡ | Republic of Korea | ||||||
| Gold | Sellem Industries Ltd. ‡ | Mauritania | ||||||
| Gold | Shandong Humon Smelting Co., Ltd.‡ | China | ||||||
| Gold | Shandong Tiancheng Biological Gold Industrial Co., Ltd.‡ | China | ||||||
| Gold | Shenzhen Zhonghenglong Real Industry Co., Ltd. ‡ | China | ||||||
| Gold | Shirpur Gold Refinery Ltd.‡ | India | ||||||
| Gold | Sovereign Metals‡ | India | ||||||
| Gold | State Research Institute Center for Physical Sciences and Technology‡ | Lithuania | ||||||
| Gold | Sudan Gold Refinery‡ | Sudan | ||||||
| Gold | Tongling Nonferrous Metals Group Co., Ltd.‡ | China | ||||||
| Gold | Yunnan Copper Industry Co., Ltd.‡ | China | ||||||
| Tin | An Vinh Joint Stock Mineral Processing Company‡ | Vietnam | ||||||
| Tin | Dongguan CiEXPO Environmental Engineering Co., Ltd.‡ | China | ||||||
| Tin | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company‡ | Vietnam | ||||||
| Tin | Gejiu City Fuxiang Industry and Trade Co., Ltd.‡ | China | ||||||
Exhibit 1.01
| Metal | Smelter or Refiner Name | Country Location | ||||||
| Tin | Modeltech Sdn Bhd‡ | Malaysia | ||||||
| Tin | Nghe Tinh Non-Ferrous Metals Joint Stock Company‡ | Vietnam | ||||||
| Tin | Pongpipat Company Limited‡ | Myanmar | ||||||
| Tin | Precious Minerals and Smelting Limited‡ | India | ||||||
| Tin | PT Aries Kencana Sejahtera | Indonesia | ||||||
| Tin | PT Belitung Industri Sejahtera‡ | Indonesia | ||||||
| Tin | PT Lautan Harmonis Sejahtera* | Indonesia | ||||||
| Tin | PT Panca Mega Persada‡ | Indonesia | ||||||
| Tin | Tuyen Quang Non-Ferrous Metals Joint Stock Company‡ | Vietnam | ||||||
| Tin | VQB Mineral and Trading Group JSC‡ | Vietnam | ||||||
| Tungsten | Artek LLC‡ | Russian Federation | ||||||
| Tungsten | CNMC (Guangxi) PGMA Co., Ltd.‡ | China | ||||||
| Tungsten | Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.‡ | China | ||||||
‡ Denotes a smelter that was removed from our supply chain in the reporting year.
* Denotes a smelter or refiner reported to have ceased operations in the reporting year.