UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM SD
SPECIALIZED DISCLOSURE REPORT
XEROX CORPORATION
(Exact name of registrant as specified in its charter)
New York | 001-04471 | 16-0468020 | ||
(State or other jurisdiction of incorporation) |
(Commission File Number) |
(IRS Employer Identification No.) |
P. O. Box 4505
201 Merritt 7
Norwalk, Connecticut
06851-1056
Registrants telephone number, including area code: (203) 968-3000
Not Applicable
(Former name or former address, if changed since last 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:
X | Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2018. |
Section 1 Conflicts Minerals Disclosure
Items 1.01 and 1.02 Conflicts Minerals Disclosure and Report, Exhibit
This Form SD and the Conflict Minerals Report, filed as Exhibit 1.01 hereto, are publicly available on our website under Supplier Governance - Conflict Minerals at www.xerox.com/en-us/about/supplier-relations/governance as well as the SECs EDGAR database at www.sec.gov. The content of any website referred to in this Form SD is included for general information only and is not incorporated by reference in this Form SD.
Xerox Corporation (Xerox) is a print technology and intelligent work solutions leader focused on helping people communicate and work better. We apply our expertise in imaging and printing, data analytics, and the development of secure and automated solutions to help our customers improve productivity and increase client satisfaction. In 2018, Xeroxs products included but were not limited to multifunction printers/copiers, scanners, and multifunction/all in one printers, digital printing equipment, production printers & digital presses, continuous feed printers, wide format printers and consumables (e.g., toner cartridges).
Section 2 - Exhibits
Item 2.01 - Exhibits
Exhibit 1.01 - Conflict Minerals Report for the reporting period January 1, 2018 to December 31, 2018 as required by Items 1.01 and 1.02 of this Form.
Forward Looking Statements
This Specialized Disclosure Report on Form SD and any exhibits to this Report may contain forward-looking statements as defined in the Private Securities Litigation Reform Act of 1995. The words anticipate, believe, estimate, expect, intend, will, should, targeting, projecting, driving and similar expressions, as they relate to us, our performance and/or our technology, are intended to identify forward-looking statements. These statements reflect managements current beliefs, assumptions and expectations and are subject to a number of factors that may cause actual results to differ materially. Such factors include but are not limited to: our ability to address our business challenges in order to reverse revenue declines, reduce costs and increase productivity so that we can invest in and grow our business; our ability to attract and retain key personnel; changes in economic and political conditions, trade protection measures, licensing requirements and tax laws in the United States and in the foreign countries in which we do business; the imposition of new or incremental trade protection measures such as tariffs and import or export restrictions; changes in foreign currency exchange rates; our ability to successfully develop new products, technologies and service offerings and to protect our intellectual property rights; the risk that multi-year contracts with governmental entities could be terminated prior to the end of the contract term and that civil or criminal penalties and administrative sanctions could be imposed on us if we fail to comply with the terms of such contracts and applicable law; the risk that partners, subcontractors and software vendors will not perform in a timely, quality manner; actions of competitors and our ability to promptly and effectively react to changing technologies and customer expectations; our ability to obtain adequate pricing for our products and services and to maintain and improve cost efficiency of operations, including savings from restructuring actions; the risk that confidential and/or individually identifiable information of ours, our customers, clients and employees could be inadvertently disclosed or disclosed as a result of a breach of our security systems due to cyber attacks or other intentional acts; reliance on third parties, including subcontractors, for manufacturing of products and provision of services; the exit of the United Kingdom from the European Union; our ability to manage changes in the printing environment and expand equipment placements; interest rates, cost of borrowing and access to credit markets; funding requirements associated with our employee pension and retiree health benefit plans; the risk that our operations and products may not comply with applicable worldwide regulatory requirements, particularly environmental regulations and directives and anti-corruption laws; the outcome of litigation and regulatory proceedings to which we may be a party; any potential termination or restructuring of our relationship with Fujifilm Holdings Corporation; the proposed holding company reorganization; the occurrence and timing of any closing of the proposed holding
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company reorganization; the shared services arrangements entered into by the Company as part of Project Own It; any potential strategic transaction involving our customer financing business and/or related assets; and other factors that are set forth in the Risk Factors section, the Legal Proceedings section, the Managements Discussion and Analysis of Financial Condition and Results of Operations section and other sections of our Quarterly Reports on Form 10-Q and our 2018 Annual Report on Form 10-K, as well as our Current Reports on Form 8-K filed with the Securities and Exchange Commission (SEC). Our forward-looking statements are also subject to the factors and other information set forth in the Summary of the Holding Company Reorganization Proposal section, the Risk Factors section and the Proposal 1 - Approval of the Holding Company Reorganization section of our definitive Joint Proxy Statement/Prospectus dated April 22, 2019 filed on Schedule 14A with the SEC. These forward-looking statements speak only as of the date of this Report or as of the date to which they refer, and Xerox assumes no obligation to update any forward looking statements as a result of new information or future events or developments, except as required by law.
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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 undersigned duly authorized.
Date: May 17, 2019
XEROX CORPORATION | ||
By: | /s/ Steven J. Bandrowczak | |
Steven J. Bandrowczak President and Chief Operations Officer |
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EXHIBIT INDEX
Exhibit Number |
Description | |
1.01 | Conflict Minerals Report for the reporting period January 1, 2018 to December 31, 2018 |
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Exhibit 1.01
Conflict Minerals Report
Xerox Corporation
For the Year Ended December 31, 2018
This report for the year ended December 31, 2018 is made by Xerox Corporation and its subsidiaries (Xerox) in compliance with Rule 13p-1 under the Securities Exchange Act of 1934 (the Rule).
The Rule was adopted by the Securities and Exchange Commission (SEC) to implement reporting and disclosure requirements related to conflict minerals as directed by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (Dodd-Frank Act). The Rule imposes certain reporting obligations on SEC registrants whose manufactured products contain conflict minerals that are necessary to the functionality or production of their products. Conflict minerals are defined as cassiterite, columbite-tantalite, gold, wolframite and their derivatives, which are limited to tin, tantalum, tungsten and gold (3TG). These requirements apply to registrants regardless of the geographic origin of the conflict minerals and whether or not the trading in those minerals benefits armed groups.
If a registrant has reason to believe that any of the conflict minerals in their supply chain may have originated in the Democratic Republic of the Congo (DRC) or an adjoining country (the Covered Countries), or a registrant is unable to determine the country of origin of those conflict minerals, then the registrant must exercise due diligence on the source and chain of custody of those conflict minerals. The registrant must annually submit a specialized disclosure (Form SD) and Conflict Minerals Report (CMR) to the SEC that includes a description of those due diligence measures.
1. COMPANY OVERVIEW
Xerox Corporation (Xerox) is a print technology and intelligent work solutions leader focused on helping people communicate and work better. We apply our expertise in imaging and printing, data analytics, and the development of secure and automated solutions to help our customers improve productivity and increase client satisfaction. In 2018, Xeroxs products included but were not limited to multifunction printers/copiers, scanners, and multifunction/all in one printers, digital printing equipment, production printers & digital presses, continuous feed printers, wide format printers and consumables (e.g., toner cartridges). Xerox products are more fully described on our Xerox website, which can be accessed at www.xerox.com.
The content of any website referred to in this CMR is included for general information only and is not incorporated by reference in this Report.
2. OUR CONFLICT MINERALS PROGRAM
2.1 Supply Chain - Reasonable Country of Origin Inquiry
Xerox is many steps removed from the mining of conflict minerals. The origin of conflict minerals cannot be determined with any certainty once the raw ores are smelted, refined and converted to ingots, bullion or other conflict mineral containing derivatives. The 3TG smelters or refiners are consolidating points for raw ore and are in the best position in the total supply chain to know the origin of the ores. Xerox has conducted an analysis of our products and found that, although we do not directly purchase conflict minerals from our suppliers, Xerox purchases products, component parts and materials that contain metals, some of which contain conflict minerals. We rely on our Tier 1 suppliers to provide information on the origin of the conflict minerals contained in components that are included in our products by using the RMI Conflict Minerals Reporting Template (CMRT), which allows us to perform our Reasonable Country of Origin Inquiry (RCOI).
2.2 Supplier Risk Assessment
Because of the size of our company, the complexity of our products and the depth and breadth of our supply chain, it is difficult to identify sources upstream from our direct suppliers. As a result, Xerox conducted a product review to determine products in scope and developed a supplier risk assessment process, through which the conflict minerals program is implemented, managed and monitored. With a goal of targeting 3TG minerals, this risk assessment process was developed to identify those suppliers whose products may contain the presence of tin, tantalum, tungsten and gold.
We conducted a survey of these suppliers to determine whether the conflict minerals in components contained in our products originated from the DRC or adjoining countries. This supply-chain survey was conducted with our Tier 1 production suppliers using the CMRT, which contains questions about the facilities used to process these minerals, as well as supplier RCOI. The goal of this activity was to identify, where applicable, the 3TG smelters or refiners who contribute refined conflict minerals to Xerox components, assemblies and Original Equipment Manufacturer (OEM) Products. The CMRT was developed to facilitate disclosure and communication of information regarding smelters or refiners that provide material to a companys supply chain. It includes questions regarding a companys conflict-free policy, engagement with its direct suppliers, and a listing of the smelters or refiners the company and its suppliers use. Our supplier survey request also included the Responsible Minerals Initiative (RMI), informational links on available conflict mineral and smelter information. In 2018, Xerox surveyed 216 suppliers with a 61% response rate, estimated to represent over 58% of our 2018 spend with production suppliers.
The responses contained varying degrees of information regarding the names and locations of 3TG smelters or refiners which process necessary conflict minerals used by our suppliers, which are ultimately incorporated into our products. We have designed and adopted a risk management plan that summarizes our risk mitigation efforts. Under our risk-assessment process, we perform due diligence reviews of supplier responses for their use of 3TG and conduct follow-up actions on suppliers, encouraging further requests for accurate, complete or missing template information where responses identified red flags based on our risk assessment of the level of risk of the commodities supplied to us.
In 2018, we continued to refine our process of evaluating the CMRTs to assist with our ongoing risk assessment by analyzing supplier responses and providing feedback to suppliers on errors and corrections. We also provide a hot-line for supplier communication. In addition, we provide monthly reports and systematic management reviews to our senior management and elevate non-responsive issues as necessary.
2.3 Company Management Systems
Policy
Xerox has adopted a company policy which is posted on our website under Supplier Governance - Conflict Minerals at www.xerox.com/en-us/about/supplier-relations/governance
Internal Team
Xerox has established a management system for conflict minerals. Our management system includes a Senior Management Steering Committee sponsored by the Chief Operations Officer who reports directly to our CEO and who is responsible for signing the Form SD, as well as senior executives from Global Procurement, Environment Health Safety & Sustainability, and Legal. Our team of functional subject matter experts is responsible for implementing our conflict minerals compliance strategy. Senior management is provided with updates and results of our conflict minerals program efforts on a regular basis.
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2.4 Control Systems
Controls include, but are not limited to, our Code of Business Conduct for our employees, our Supplier Code of Conduct (adopted from the Responsible Business Alliance (RBA), and a conflict minerals contract clause incorporated in our Multi-National Master Purchasing Agreement for new contracts.
Xerox worked with the RBA in the early stages to support the RMI and continues to be a member of the RMI, a group assisting in the development of tools and processes to improve conflict minerals due diligence, which is an RBA and Global eSustainability initiative. As outlined in the Organization for Economic Co-operation and Development (OECD) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, 3RD Edition, (OECD 2016), which is the internationally recognized standard on which our companys system is based. We support the RMI, an industry initiative that audits smelters and refiners due diligence activities. The data on which we relied for certain statements in this declaration was obtained through our membership in the RMI, using the RMI Compliant Smelter Sourcing Information Report created specifically for Xerox.
In addition, our current standard supplier contracts also require our suppliers to adopt a policy on the responsible sourcing of minerals, implement due diligence processes to support that policy, and complete and return to Xerox the RMI CMRT.
2.5 Grievance Mechanism
We have multiple longstanding grievance mechanisms whereby employees and suppliers can report violations of Xerox policies. This is communicated annually in our employee code of ethics training process and the supplier ethics letter. This mechanism helps us to identify and assess risk.
3. DUE DILIGENCE
3.1 Design of Due Diligence
Xerox designed its due diligence measures to be in conformity, in all material respects, with the nationally or internationally recognized due diligence framework in the OECD 2016.
3.2 Smelter or Refiner Results*
Our due diligence process includes participation in RMI and following the OECD implementation framework. We requested that our suppliers complete the CMRT survey in order to obtain information about 3TG smelters or refiners in our supply chain. We have determined that these actions represent the most reasonable effort we can make to determine the mines or locations of origin of the 3TG in our supply chain.
The majority of survey responses provided smelter and refiner data, although some responses did not completely list all the smelters or refiners used in their supply chain. We analyzed and compared all the 3TG smelter and refiner data we received against information obtained from the RMI smelter database. For the calendar year 2018, our due diligence identified 397 smelters and refiners as potential sources of 3TG minerals that were reported to be in our supply chain.
In order to provide compliance status, we completed further analysis of the 397 smelters and refiners, of which 254 have been certified as conflict-free compliant by the RMI approved program. An additional 61 are known to be legitimate smelters whom the RMI outreach program is working to engage in their audit program but have yet to be certified. Four additional smelters were determined to be non-compliant to the RMI audit protocol. Of these three smelter did not complete re-audit / corrective action plans within the required timeframe. Additionally, one was assessed as non-compliant after review of their audit submission. We will advise our supply chain accordingly. The remaining 78 are alleged smelters which have been allocated a Smelter Identification CID number and are awaiting validation through the RMI audit program.
*Note: The data above was obtained from the non-public (member only access) RMI Data Exchange Forum as of 12/31/2018.
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Smelters or refiners verified as conflict-free or in the audit process**
**Note: RMI compliance results are as of 12/31/2018 (available at http://www.responsiblemineralsinitiative.org/).
2014 | 2015 | 2016 | 2017 | 2018 | ||||||||||||||||
Tantalum |
34 of 45 (75% | ) | 47 of 55 (85% | ) | 47 of 53 (89% | ) | 41 of 45 (91% | ) | 40 of 43 (93% | ) | ||||||||||
Tin |
51 of 253 (20% | ) | 84 of 172 (49% | ) | 82 of 152 (54% | ) | 79 of 129 (61% | ) | 84 of 124 (68% | ) | ||||||||||
Tungsten |
32 of 51 (63% | ) | 43 of 60 (72% | ) | 43 of 49 (88% | ) | 45 of 51 (88% | ) | 44 of 49 (90% | ) | ||||||||||
Gold |
71 of 206 (34% | ) | 129 of 176 (73% | ) | 139 of 183 (76% | ) | 143 of 180 (79% | ) | 147 of 181 (81% | ) | ||||||||||
Total |
188 of 555 (34% | ) | 303 of 463 (65% | ) | 311 of 437 (71% | ) | 308 of 405 (76% | ) | 315 of 397 (79% | ) |
4. DETERMINATION
The information received from our due diligence efforts from suppliers or other sources is not sufficient to determine the origin of all 3TG our products contain, whether the 3TG come from recycled or scrap sources, the facilities used to process them, their country of origin, or their mine or location of origin. We have found no reasonable basis for concluding that these refiners, or the other smelters preparing to be audited, sourced 3TG minerals that directly or indirectly finance or benefit armed groups of the conflict region of the Covered Countries.
Based on the information provided by our suppliers, we believe that the facilities that may have been used to process the 3TG minerals in our products include the RMI compliant smelters listed in Appendix I below. Based on our due diligence efforts, we do not have sufficient information to conclusively determine the countries of origin of the 3TG minerals in our products or whether the 3TG minerals in our products are from recycled or scrap sources. However, based on the information provided by our suppliers, as well as from the RMI and other sources, we believe that the countries of origin of the 3TG minerals contained in our products include the countries listed in Appendix II below as well as recycled and scrap sources. Pursuant to the Rule, this report is not subject to an independent private sector audit.
Through our participation in the RMI, we continue to support independent third party audits through the RMI or other third party certification schemes.
In accordance with the OECD Guidance and the Rule, this CMR is available on our website under Supplier Governance - Conflict Minerals at www.xerox.com/en-us/about/supplier-relations/governance.
5. STEPS TO BE TAKEN IN 2019 TO MITIGATE RISK
Xerox plans to undertake the following steps during 2019 to improve the due diligence conducted in order to further mitigate the risk that the necessary conflict minerals in our products do not benefit armed groups in the DRC or adjoining countries, including:
| Continue to strengthen engagement with relevant suppliers and to provide training, as appropriate, to help them understand and satisfy Xerox requirements related to 3TG minerals under the Rule. |
| Continue to review the process with distributors submitting CMRTs and develop best practices in obtaining 3TG mineral data. |
| Continue using internal escalation process within our supply chain organization when working with suppliers to obtain required information. |
| Benchmark third party programs and selected industry leader to assist in obtaining accurate and complete information about smelters/refiners in 2019. |
| Continue to provide ongoing feedback to suppliers on errors and corrections required in connection with the CMRT assessment. |
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| Notify supplier of non-compliant smelter within their supply chain |
| Continue to participate as a member in the RBA and the RMI, including Conflict Free Smelter Program smelter validation and supplier outreach. |
| Engage suppliers reporting the use of unique alleged smelters in 2018. This is where only one supplier is listing the use of a smelter in the Xerox supply chain, and request they review to validate this is an active smelter / refiner. |
| Continue to work with the OECD and relevant trade associations to define and improve best practices and build leverage over the supply chain in accordance with the OECD Guidance. |
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APPENDIX 1
Mineral |
Smelter or Refiner Name* |
Country location of Smelter or Refiner | ||
Gold |
Advanced Chemical Company |
UNITED STATES OF AMERICA | ||
Gold |
Aida Chemical Industries Co., Ltd. |
JAPAN | ||
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 |
Asaka Riken Co., Ltd. |
JAPAN | ||
Gold |
Aurubis AG |
GERMANY | ||
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 |
Daejin Indus Co., Ltd. |
KOREA, REPUBLIC OF | ||
Gold |
DSC (Do Sung Corporation) |
KOREA, REPUBLIC OF | ||
Gold |
DODUCO Contacts and Refining GmbH |
GERMANY | ||
Gold |
Dowa |
JAPAN | ||
Gold |
Eco-System Recycling Co., Ltd. |
JAPAN | ||
Gold |
OJSC Novosibirsk Refinery |
RUSSIAN FEDERATION | ||
Gold |
HeeSung Metal Ltd. |
KOREA, REPUBLIC OF | ||
Gold |
Heimerle + Meule GmbH |
GERMANY | ||
Gold |
Heraeus Metals Hong Kong Ltd. |
CHINA | ||
Gold |
Heraeus Precious Metals GmbH & Co. KG |
GERMANY | ||
Gold |
Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. |
CHINA | ||
Gold |
Ishifuku Metal Industry Co., Ltd. |
JAPAN | ||
Gold |
Istanbul Gold Refinery |
TURKEY | ||
Gold |
Japan Mint |
JAPAN | ||
Gold |
Jiangxi Copper Co., Ltd. |
CHINA | ||
Gold |
Asahi Refining USA Inc. |
UNITED STATES OF AMERICA | ||
Gold |
Asahi Refining Canada Ltd. |
CANADA | ||
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 |
Kojima Chemicals Co., Ltd. |
JAPAN | ||
Gold |
Kyrgyzaltyn JSC |
KYRGYZSTAN |
Mineral |
Smelter or Refiner Name* |
Country location of Smelter or Refiner | ||
Gold |
LS-NIKKO Copper Inc. |
KOREA, REPUBLIC OF | ||
Gold |
Materion |
UNITED STATES OF AMERICA | ||
Gold |
Matsuda Sangyo Co., Ltd. |
JAPAN | ||
Gold |
Metalor Technologies (Suzhou) Ltd. |
CHINA | ||
Gold |
Metalor Technologies (Hong Kong) Ltd. |
CHINA | ||
Gold |
Metalor Technologies (Singapore) Pte., Ltd. |
SINGAPORE | ||
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 |
Moscow Special Alloys Processing Plant |
RUSSIAN FEDERATION | ||
Gold |
Nadir Metal Rafineri San. Ve Tic. A.S. |
TURKEY | ||
Gold |
Nihon Material Co., Ltd. |
JAPAN | ||
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 |
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 |
Royal Canadian Mint |
CANADA | ||
Gold |
Samduck Precious Metals |
KOREA, REPUBLIC OF | ||
Gold |
SEMPSA Joyeria Plateria S.A. |
SPAIN | ||
Gold |
Shandong Zhaojin Gold & Silver Refinery Co., Ltd. |
CHINA | ||
Gold |
Sichuan Tianze Precious Metals Co., Ltd. |
CHINA | ||
Gold |
SOE Shyolkovsky Factory of Secondary Precious Metals |
RUSSIAN FEDERATION | ||
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 |
The Refinery of Shandong Gold Mining Co., Ltd. |
CHINA | ||
Gold |
Tokuriki Honten Co., Ltd. |
JAPAN | ||
Gold |
Torecom |
KOREA, REPUBLIC OF | ||
Gold |
Umicore Brasil Ltda. |
BRAZIL | ||
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 |
Yamakin Co., Ltd. |
JAPAN |
A-2
Mineral |
Smelter or Refiner Name* |
Country location of Smelter or Refiner | ||
Gold |
Yokohama Metal Co., Ltd. |
JAPAN | ||
Gold |
Zhongyuan Gold Smelter of Zhongjin Gold Corporation |
CHINA | ||
Gold |
Gold Refinery of Zijin Mining Group Co., Ltd. |
CHINA | ||
Gold |
Umicore Precious Metals Thailand |
THAILAND | ||
Gold |
Geib Refining Corporation |
UNITED STATES OF AMERICA | ||
Gold |
MMTC-PAMP India Pvt., Ltd. |
INDIA | ||
Gold |
Republic Metals Corporation |
UNITED STATES OF AMERICA | ||
Gold |
Singway Technology Co., Ltd. |
TAIWAN, PROVINCE OF CHINA | ||
Gold |
Al Etihad Gold Refinery DMCC |
UNITED ARAB EMIRATES | ||
Gold |
Emirates Gold DMCC |
UNITED ARAB EMIRATES | ||
Gold |
T.C.A S.p.A |
ITALY | ||
Gold |
REMONDIS PMR B.V. |
NETHERLANDS | ||
Gold |
Korea Zinc Co., Ltd. |
KOREA, REPUBLIC OF | ||
Gold |
Marsam Metals |
BRAZIL | ||
Gold |
SAAMP |
FRANCE | ||
Gold |
8853 S.p.A. |
ITALY | ||
Gold |
Italpreziosi |
ITALY | ||
Gold |
SAXONIA Edelmetalle GmbH |
GERMANY | ||
Gold |
WIELAND Edelmetalle GmbH |
GERMANY | ||
Gold |
Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH |
AUSTRIA | ||
Gold |
AU Traders and Refiners |
SOUTH AFRICA | ||
Gold |
SungEel HiMetal Co., Ltd. |
KOREA, REPUBLIC OF | ||
Gold |
Planta Recuperadora de Metales SpA |
CHILE | ||
Gold |
Safimet S.p.A |
ITALY | ||
Tantalum |
Hengyang King Xing Lifeng New Materials Co., Ltd. |
CHINA | ||
Tantalum |
D Block Metals, LLC |
UNITED STATES OF AMERICA | ||
Tantalum |
FIR Metals & Resource Ltd. |
CHINA | ||
Tantalum |
Jiujiang Zhongao Tantalum & Niobium Co., Ltd. |
CHINA | ||
Tantalum |
XinXing HaoRong Electronic Material Co., Ltd. |
CHINA | ||
Tantalum |
Jiangxi Dinghai Tantalum & Niobium Co., Ltd. |
CHINA | ||
Tantalum |
KEMET Blue Metals |
MEXICO | ||
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 | ||
Tantalum |
Global Advanced Metals Boyertown |
UNITED STATES OF AMERICA | ||
Tantalum |
Global Advanced Metals Aizu |
JAPAN |
A-3
Mineral |
Smelter or Refiner Name* |
Country location of Smelter or Refiner | ||
Tantalum |
KEMET Blue Powder |
UNITED STATES OF AMERICA | ||
Tantalum |
Resind Industria e Comercio Ltda. |
BRAZIL | ||
Tantalum |
Jiangxi Tuohong New Raw Material |
CHINA | ||
Tantalum |
Jiujiang Janny New Material Co., Ltd. |
CHINA | ||
Tantalum |
Asaka Riken Co., Ltd. |
JAPAN | ||
Tantalum |
Changsha South Tantalum Niobium Co., Ltd. |
CHINA | ||
Tantalum |
Guangdong Rising Rare Metals-EO Materials Ltd. |
CHINA | ||
Tantalum |
Exotech Inc. |
UNITED STATES OF AMERICA | ||
Tantalum |
F&X Electro-Materials Ltd. |
CHINA | ||
Tantalum |
Guangdong Zhiyuan New Material Co., Ltd. |
CHINA | ||
Tantalum |
JiuJiang JinXin Nonferrous Metals Co., Ltd. |
CHINA | ||
Tantalum |
Jiujiang Tanbre Co., Ltd. |
CHINA | ||
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 | ||
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 |
Power Resources Ltd. |
MACEDONIA, THE FORMER YUGOSLAV REPUBLIC OF | ||
Tin |
Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. |
CHINA | ||
Tin |
Jiangxi Ketai Advanced Material Co., Ltd. |
CHINA | ||
Tin |
Alpha |
UNITED STATES OF AMERICA | ||
Tin |
CV Gita Pesona |
INDONESIA | ||
Tin |
PT Aries Kencana Sejahtera |
INDONESIA | ||
Tin |
PT Premium Tin Indonesia |
INDONESIA | ||
Tin |
CV United Smelting |
INDONESIA | ||
Tin |
Dowa |
JAPAN | ||
Tin |
EM Vinto |
BOLIVIA (PLURINATIONAL STATE OF) | ||
Tin |
Fenix Metals |
POLAND | ||
Tin |
Gejiu Non-Ferrous Metal Processing Co., Ltd. |
CHINA | ||
Tin |
Huichang Jinshunda Tin Co., Ltd. |
CHINA |
A-4
Mineral |
Smelter or Refiner Name* |
Country location of Smelter or Refiner | ||
Tin |
Gejiu Kai Meng Industry and Trade LLC |
CHINA | ||
Tin |
China Tin Group Co., Ltd. |
CHINA | ||
Tin |
Malaysia Smelting Corporation (MSC) |
MALAYSIA | ||
Tin |
Metallic Resources, Inc. |
UNITED STATES OF AMERICA | ||
Tin |
Mineracao Taboca S.A. |
BRAZIL | ||
Tin |
Minsur |
PERU | ||
Tin |
Mitsubishi Materials Corporation |
JAPAN | ||
Tin |
Jiangxi New Nanshan Technology Ltd. |
CHINA | ||
Tin |
O.M. Manufacturing (Thailand) Co., Ltd. |
THAILAND | ||
Tin |
Operaciones Metalurgical S.A. |
BOLIVIA (PLURINATIONAL STATE OF) | ||
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 | ||
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 Sariwiguna Binasentosa |
INDONESIA | ||
Tin |
PT Stanindo Inti Perkasa |
INDONESIA | ||
Tin |
PT Sumber Jaya Indah |
INDONESIA | ||
Tin |
PT Timah Tbk Kundur |
INDONESIA | ||
Tin |
PT Timah Tbk Mentok |
INDONESIA | ||
Tin |
PT Tinindo Inter Nusa |
INDONESIA | ||
Tin |
PT Tommy Utama |
INDONESIA | ||
Tin |
Rui Da Hung |
TAIWAN, PROVINCE OF CHINA | ||
Tin |
Soft Metais Ltda. |
BRAZIL | ||
Tin |
Thaisarco |
THAILAND | ||
Tin |
Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. |
CHINA | ||
Tin |
White Solder Metalurgia e Mineracao Ltda. |
BRAZIL | ||
Tin |
Yunnan Chengfeng Non-ferrous Metals Co., Ltd. |
CHINA | ||
Tin |
Yunnan Tin Company Limited |
CHINA | ||
Tin |
CV Venus Inti Perkasa |
INDONESIA | ||
Tin |
Magnus Minerais Metais e Ligas Ltda. |
BRAZIL | ||
Tin |
Melt Metais e Ligas S.A. |
BRAZIL |
A-5
Mineral |
Smelter or Refiner Name* |
Country location of Smelter or Refiner | ||
Tin |
PT ATD Makmur Mandiri Jaya |
INDONESIA | ||
Tin |
O.M. Manufacturing Philippines, Inc. |
PHILIPPINES | ||
Tin |
PT Inti Stania Prima |
INDONESIA | ||
Tin |
CV Ayi Jaya |
INDONESIA | ||
Tin |
CV Dua Sekawan |
INDONESIA | ||
Tin |
PT Rajehan Ariq |
INDONESIA | ||
Tin |
Resind Industria e Comercio Ltda. |
BRAZIL | ||
Tin |
Metallo Belgium N.V. |
BELGIUM | ||
Tin |
Metallo Spain S.L.U. |
SPAIN | ||
Tin |
PT Bangka Prima Tin |
INDONESIA | ||
Tin |
PT Sukses Inti Makmur |
INDONESIA | ||
Tin |
PT Kijang Jaya Mandiri |
INDONESIA | ||
Tin |
PT Menara Cipta Mulia |
INDONESIA | ||
Tin |
HuiChang Hill Tin Industry Co., Ltd. |
CHINA | ||
Tin |
Gejiu Fengming Metallurgy Chemical Plant |
CHINA | ||
Tin |
Guanyang Guida Nonferrous Metal Smelting Plant |
CHINA | ||
Tin |
Modeltech Sdn Bhd |
MALAYSIA | ||
Tin |
Gejiu Jinye Mineral Company |
CHINA | ||
Tin |
PT Lautan Harmonis Sejahtera |
INDONESIA | ||
Tin |
Guangdong Hanhe Non-Ferrous Metal Co., Ltd. |
CHINA | ||
Tin |
Chifeng Dajingzi Tin Industry Co., Ltd. |
CHINA | ||
Tin |
PT Bangka Serumpun |
INDONESIA | ||
Tungsten |
A.L.M.T. Corp. |
JAPAN | ||
Tungsten |
Kennametal Huntsville |
UNITED STATES OF AMERICA | ||
Tungsten |
Guangdong Xianglu Tungsten Co., Ltd. |
CHINA | ||
Tungsten |
Chongyi Zhangyuan Tungsten Co., Ltd. |
CHINA | ||
Tungsten |
Fujian Jinxin Tungsten Co., Ltd. |
CHINA | ||
Tungsten |
Global Tungsten & Powders Corp. |
UNITED STATES OF AMERICA | ||
Tungsten |
Hunan Chenzhou Mining Co., Ltd. |
CHINA | ||
Tungsten |
Hunan Chunchang Nonferrous Metals Co., Ltd. |
CHINA | ||
Tungsten |
Japan New Metals Co., Ltd. |
JAPAN | ||
Tungsten |
Ganzhou Huaxing Tungsten Products Co., Ltd. |
CHINA | ||
Tungsten |
Kennametal Fallon |
UNITED STATES OF AMERICA | ||
Tungsten |
Tejing (Vietnam) Tungsten Co., Ltd. |
VIET NAM | ||
Tungsten |
Vietnam Youngsun Tungsten Industry Co., Ltd. |
VIET NAM | ||
Tungsten |
Wolfram Bergbau und Hutten AG |
AUSTRIA | ||
Tungsten |
Xiamen Tungsten Co., Ltd. |
CHINA | ||
Tungsten |
Xinhai Rendan Shaoguan Tungsten Co., Ltd. |
CHINA | ||
Tungsten |
Ganzhou Jiangwu Ferrotungsten Co., Ltd. |
CHINA | ||
Tungsten |
Jiangxi Yaosheng Tungsten Co., Ltd. |
CHINA |
A-6
Mineral |
Smelter or Refiner Name* |
Country location of Smelter or Refiner | ||
Tungsten |
Jiangxi Xinsheng Tungsten Industry Co., Ltd. |
CHINA | ||
Tungsten |
Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. |
CHINA | ||
Tungsten |
Malipo Haiyu Tungsten Co., Ltd. |
CHINA | ||
Tungsten |
Xiamen Tungsten (H.C.) Co., Ltd. |
CHINA | ||
Tungsten |
Jiangxi Gan Bei Tungsten Co., Ltd. |
CHINA | ||
Tungsten |
Ganzhou Seadragon W & Mo Co., Ltd. |
CHINA | ||
Tungsten |
Asia Tungsten Products Vietnam Ltd. |
VIET NAM | ||
Tungsten |
Chenzhou Diamond Tungsten Products Co., Ltd. |
CHINA | ||
Tungsten |
H.C. Starck Tungsten GmbH |
GERMANY | ||
Tungsten |
H.C. Starck Smelting GmbH & Co. KG |
GERMANY | ||
Tungsten |
Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC |
VIET NAM | ||
Tungsten |
Jiangwu H.C. Starck Tungsten Products Co., Ltd. |
CHINA | ||
Tungsten |
Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji |
CHINA | ||
Tungsten |
Niagara Refining LLC |
UNITED STATES OF AMERICA | ||
Tungsten |
Hydrometallurg, JSC |
RUSSIAN FEDERATION | ||
Tungsten |
Unecha Refractory metals plant |
RUSSIAN FEDERATION | ||
Tungsten |
South-East Nonferrous Metal Company Limited of Hengyang City |
CHINA | ||
Tungsten |
Philippine Chuangxin Industrial Co., Inc. |
PHILIPPINES | ||
Tungsten |
Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. |
CHINA | ||
Tungsten |
ACL Metais Eireli |
BRAZIL | ||
Tungsten |
Woltech Korea Co., Ltd. |
KOREA, REPUBLIC OF | ||
Tungsten |
Moliren Ltd. |
RUSSIAN FEDERATION |
*Smelter | or refiner names as reported by the RMI as of 1/10/19. |
A-7
APPENDIX II
Known countries of origin from which conformant 3TG minerals refiners source**
Gold |
Tin |
Tungsten |
Tantalum | |||
Known countries from which Conformant Gold Refiners Source | ||||||
Benin |
Australia |
Australia |
Australia | |||
Bolivia |
Bolivia |
Bolivia |
Austria | |||
Brazil |
Brazil |
Brazil |
Bolivia | |||
Chile |
China |
China |
Brazil | |||
Colombia |
Colombia |
Colombia |
China | |||
Ecuador |
Guinea |
Guinea |
Colombia | |||
Eritrea |
Indonesia |
Indonesia |
Ethiopia | |||
Ghana |
Laos |
Laos |
Guinea | |||
Guinea |
Malaysia |
Malaysia |
India | |||
Guyana |
Mongolia |
Mongolia |
Madagascar | |||
Mali |
Myanmar |
Myanmar |
Malaysia | |||
Mauritania |
Nigeria |
Nigeria |
Nigeria | |||
Nicaragua |
Peru |
Peru |
Russian Federation | |||
Niger |
Portugal |
United Kingdom of Great Britain and Northern Ireland |
Sierra Leone | |||
Peru |
Russian Federation |
Russian Federation |
Thailand | |||
Swaziland |
Taiwan |
Taiwan |
Mozabique | |||
Togo |
Thailand |
Thailand |
Burundi | |||
South Africa |
United Kingdom of Great Britain and Northern Ireland |
Burundi |
Rwanda | |||
Tanzania |
Venezuela |
Rwanda |
Democratic Republic of Congo | |||
Burundi |
Democratic Republic of Congo |
|||||
Rwanda |
||||||
Uganda |
||||||
Democratic Republic of Congo |
A-8
Known countries from which LBMA Good Delivery List Refiners Source Gold -
Mined Material
| ||||||
Argentina |
Ethiopia |
Mali |
Solomon Islands | |||
Armenia |
Finland |
Mauritius |
Spain | |||
Australia |
Georgia |
Mexico |
Suriname | |||
Azerbaijan |
Ghana |
Mongolia |
Sweden | |||
Bolivia |
Guatemala |
Morocco |
Thailand | |||
Botswana |
Guinea |
Namibia |
Turkey | |||
Brazil |
Guyana |
Nicaragua |
Uruguay | |||
Burkina Faso |
Honduras |
Niger |
United States of America | |||
Canada |
Indonesia |
Papua New Guinea |
Uzbekistan | |||
Chile |
Iran |
Peru |
Zimbabwe | |||
China |
Ivory Coast |
Phillipines |
Kenya | |||
Colombia |
Kazakhstan |
Puerto Rico |
South Africa | |||
Cyprus |
Kyrgyzstan |
Russian Federation |
Tananiza | |||
Dominican Republic |
Laos |
Saudi Arabia |
Zambia | |||
Ecuador |
Lebanon |
Senegal |
Democratic Republic of Congo | |||
Egypt |
Malaysia |
Slovakia |
** As per RMI Compliant Smelter Sourcing RCOI information as of 1/25/19 update.
A-9