Exhibit 1.01
Kimberly-Clark Corporation
Conflict Minerals Report
for the Year Ended December 31, 2019
This Conflict Minerals Report of Kimberly-Clark Corporation has been prepared for the period from January 1, 2019 to December 31, 2019. Unless the context indicates otherwise, “Kimberly-Clark,” “we,” “us” and “our” refer to Kimberly-Clark Corporation and its consolidated subsidiaries.
During 2019, certain of our operations manufactured, or contracted to manufacture, products for which 3TGs (as defined below) are necessary to their functionality or production (“Covered Products”). The term “3TGs” refers to columbite-tantalite (coltan), cassiterite, gold, wolframite or their derivatives, which are limited to tantalum, tin and tungsten. The vast majority of our products do not contain 3TGs and our revenue from sales of Covered Products in 2019 was immaterial relative to our total net sales. In 2019, we manufactured or contracted for manufacture Covered Products primarily through our K-C Professional business. We have no reason to believe that any of the Covered Products are in our consumer businesses, which include our Personal Care and Consumer Tissue operating segments.
Electronic components account for a significant majority of any 3TGs present in our Covered Products. Electronic components commonly contain 3TGs for a variety of reasons (for example tin is usually present in solder). The Covered Products include dispensers (e.g., for hand sanitizers, soaps and paper products) which contain electronic sensors and actuators. In addition, certain welding helmet components we sold in 2019 contained 3TGs.
We have developed a conflict minerals compliance program reasonably designed to identify whether the 3TGs in our Covered Products originated in the Democratic Republic of the Congo (“DRC”) or an adjoining country (Angola, Burundi, the Central African Republic, the Republic of the Congo, Rwanda, South Sudan, Tanzania, Uganda or Zambia) (collectively, the “Covered Countries”), or whether any of the 3TGs in our Covered Products are from recycled or scrap sources. Our conflict minerals compliance program is overseen by an internal team of subject matter experts from key functions (“Core Team”).
Description of Our Reasonable Country of Origin Inquiry
We have conducted a reasonable country of origin inquiry (“RCOI”) that was designed to determine whether any of the 3TGs in our Covered Products originated from one of the Covered Countries or was from recycled or scrap sources.
In conducting our RCOI, we used a risk-based approach. First, we identified our product materials which contain or potentially contain 3TGs necessary to their functionality or production. Second, we identified the direct suppliers of the materials, components and finished goods supplied to us for those products. Third, we risk-stratified each supplier’s “materials risk” based on the likelihood that the product materials they supply to us contain 3TGs. Fourth, we conducted a supply chain survey of our direct suppliers to provide information on the origin of any 3TGs contained in materials supplied to us in our Covered Products, including sources of 3TGs supplied to these direct suppliers from second-tier suppliers, as well as suppliers further upstream.
Our survey included those suppliers rated with a materials risk of high risk and medium risk. We have determined that it is not necessary to survey our low risk and very low risk rated suppliers, based on a sampling program we conducted in past years in which we surveyed certain of these suppliers. This sampling program allowed us to confirm that the materials associated with our low risk and very low risk suppliers do not contain 3TGs.
Our supply chain survey employed the Conflict Minerals Reporting Template (the “CMRT”) version 5.12 developed by the Responsible Minerals Initiative of the Responsible Business Alliance (“RMI”). The CMRT was developed to facilitate general disclosures and information regarding smelters and refiners that provide materials to the supplier. It includes questions regarding the supplier’s conflict-free minerals policy, the engagement process with its direct suppliers and identification of the smelters and refiners used by the supplier.
As of May 8, 2020, approximately 95% of our direct suppliers included in the supply chain survey have responded with a completed CMRT or acceptable declaration, including all of our high risk suppliers. We compared the list of smelters and refiners provided in our suppliers’ responses to the lists maintained by the RMI and, if a supplier indicated that a facility was certified as conformant, confirmed that the facility was listed on the RMI’s list of smelters or refiners that are conformant with the Responsible Minerals Assurance Process (“RMAP”) assessment protocols. Four suppliers indicated that their supply chains include smelters or refiners that potentially could be sourcing from the Covered Countries; however, we have validated in the due diligence process described below that a substantial majority of the smelters and refiners used by these Suppliers have been certified as conformant. Many of the supplier responses were unable to specify all smelters or refiners used for materials supplied to us. Furthermore, many of the responses were provided at the company or division level, rather than the product level, and therefore, their list of smelters and refiners cannot be definitively linked to the products they provided to us.
Due Diligence Process
Following our RCOI, we conducted a due diligence review of the source and chain of custody of the 3TGs contained in our Covered Products. Our due diligence measures were designed to conform in all material respects with the framework 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 and the related Supplements for gold and for tin, tantalum and tungsten.
Management Systems and Controls
Internal Team
We have a centralized, cross-functional conflict minerals Core Team to oversee the implementation and daily administration of the program, which includes geographically diverse representation from the following departments: Procurement; Legal; and Environmental, Health, Safety & Sustainability. The Core Team periodically reports to senior management on program developments and progress. Our Senior Vice President and General Counsel serves as the executive sponsor of the Conflict Minerals Compliance program. Members of the Core Team have participated in
industry groups, forums, and conferences focused on compliance with responsible sourcing of conflict minerals and related legal requirements.
Control Systems
We address 3TGs sourced from the Covered Countries in our Supplier Social Compliance Standards and our Supplier Stewardship Standards, which are embedded in our Purchase Order Terms and Conditions and certain of our supplier agreements, as well as posted in the Company/SupplierLINK/Standards and Requirements section of our corporate website at: http://www.kimberlyclark.com.
Our suppliers are required to source responsibly and adhere to our Supplier Social Compliance Standards, which require suppliers to source 3TGs from smelters and refiners who source outside of the Covered Countries or that are designated as “conformant” by the RMI. These standards further require our suppliers to develop and provide written evidence of their own due diligence programs to promote “conflict-free” supply chains. We engage independent third-party audit firms to conduct Supplier Social Compliance audits (on-site inspections) of suppliers of certain commodity categories, particularly contract manufacturers. If an assessment reveals that the supplier is in violation of our Supplier Social Compliance Standards, we require that the supplier submit documentation showing that violations have been addressed and remediated. We conduct additional follow-up audits at our discretion to confirm compliance with our Supplier Social Compliance Standards. Any concerns regarding suppliers or our compliance program can be reported to our Corporate Social Compliance team as specified on our Corporate Social Compliance website. During 2019, we conducted 252 supplier audits covering 223 suppliers.
Supplier Engagement
We rely on our direct (tier one) suppliers to provide information on the origin of the 3TGs contained in components and materials supplied to us - including sources of 3TGs that are supplied to them from upstream suppliers.
In addition, we conduct periodic in-house training of our key functions, e.g., Research and Engineering; Procurement; and Environmental, Health, Safety & Sustainability, to educate employees to identify 3TGs in products and to work more closely with our suppliers to encourage responsible sourcing.
Grievance Mechanism
We maintain a comprehensive and multi-faceted system for the reporting of Code of Conduct violations, concerns and grievances. To ensure that every employee (and every stakeholder) has the ability to report concerns on an anonymous basis, we have established a Code of Conduct telephone helpline which is staffed by a professional independent company. This line is available 24 hours a day, 365 days a year, and one can give a report in any language. Our Code of Conduct, as well as the reporting process and helpline contact information, is available on our external website.
Calls are investigated by various internal subject matter experts in our Compliance, Internal Audit, Global Security, Human Resources and Legal departments. We report summary results and statistics to our executive leadership and our Board of Directors as deemed appropriate.
Maintenance of Records
We have adopted a policy to retain relevant documentation for a minimum of five years.
Identify and Assess Risk in the Supply Chain
As part of our due diligence process, we reviewed our suppliers’ responses to the supply chain survey against criteria developed to determine which responses required further engagement. These criteria included untimely or incomplete responses, as well as inconsistencies within the reported data.
Certain of the responses to the surveys included the names of facilities listed by the suppliers as smelters or refiners. We compared each facility listed in the responses to the lists of smelters and refiners maintained by the RMI to verify the existence of the facility and to determine whether the facility is certified as conformant with the RMAP assessment protocols.
We classify each listed smelter or refiner as high, medium or low risk based on three scoring criteria: geographic proximity to the Covered Countries, Conflict-Free Sourcing Program audit status and known or plausible evidence of unethical or conflict sourcing. Based on these criteria, we have identified three facilities as being high risk. When a supplier reports a high risk facility on a CMRT, we initiate risk mitigation activities. When CMRT responses include any high or medium risk facilities, we request the supplier to provide a product-specific CMRT to better identify any connection between the subject facilities and the products supplied to us.
If any smelter or refiner is not recognized by the RMI, we conduct outreach and research to gain more information about whether they are a smelter or a refiner, sourcing practices, location, and country of origin. Additionally, if any smelter is not certified conformant, we conduct outreach providing education on the Conflict-Free Smelter Program and encourage them to join this program.
Design and Implement a Strategy to Respond to Identified Risks
We have developed a risk management plan that includes the following elements:
•Communication directly with our suppliers of our conflict minerals requirements under our Supplier Social Compliance Standards, as described above.
•Communication with suppliers who do not satisfy our due diligence requests to obtain more complete and accurate responses.
•Additional follow up, due diligence, and/or risk mitigation activities, as appropriate, upon learning of changes in supplier circumstances or information.
Carry Out Independent Third-Party Audit of Supply Chain Due Diligence at Identified Points in the Supply Chain
We do not typically have a direct relationship with 3TG smelters and refiners, and we do not perform or direct audits of these entities within our supply chain.
Report Annually on Supply Chain Due Diligence
We report annually on supply chain due diligence by filing a Form SD and a Conflict Minerals Report with the SEC.
Due Diligence Results
Attachment A lists the 345 legitimate smelters and refiners that the suppliers we surveyed reported as being in their supply chains and indicates which of these smelters and refiners have been certified as RMAP Conformant. The majority of the responses received either provided data at a company or divisional level or did not specify the smelters or refiners used for materials supplied to us. We are therefore unable to determine whether the smelters or refiners reported by certain suppliers processed the 3TGs in the materials supplied to us or to validate that any of these smelters or refiners are actually in our supply chain. Attachment B contains an aggregated list of the countries of origin from which the reported facilities collectively source conflict minerals, based on information provided by suppliers and publicly by the RMI.
We believe that the inquiries and investigations described above represent a reasonable effort to determine the mines or locations of origin of the 3TGs in our Covered Products with the greatest possible specificity, including (1) seeking information about 3TG smelters and refiners in our supply chain through requesting that our suppliers complete the CMRT, (2) verifying those smelters and refiners using the RMI list, (3) conducting the due diligence review, and (4) obtaining additional documentation and verification, as applicable.
This Report has not been audited, nor is an independent private sector audit required for this Report.
Risk Mitigation and Due Diligence Improvement
We have taken or intend to take the following steps to further mitigate the risk that the 3TGs in our Covered Products could benefit armed groups in the Covered Countries:
•Continue to review the refinement and expansion of the RMI list of smelters and refiners to validate the smelters and refiners provided by suppliers.
•Provide continuing education of the Core Team and stakeholders on their on-going responsibilities with respect to conflict minerals compliance and any legislative or organizational developments.
•Encourage suppliers that provided company or division level information for 2019 to provide product level information for 2020 through ongoing communications with these suppliers.
•Maintain a global supplier screening program that requires our suppliers to provide information regarding 3TGs and requires each new in-scope direct supplier we add to our supply chain to provide a completed CMRT.
Attachment A
2019 Facility List
The following lists the smelters and refiners that the suppliers we surveyed reported as being in their supply chains and indicates which of these smelters and refiners have been certified as conformant.
| | | | | | | | | | | |
| Metal | Standard Smelter Name | Smelter Facility Location | RMI Conformance Level |
| Gold | Advanced Chemical Company | UNITED STATES OF AMERICA | CONFORMANT |
| Gold | Aida Chemical Industries Co., Ltd. | JAPAN | CONFORMANT |
| Gold | Allgemeine Gold-und Silberscheideanstalt A.G. | GERMANY | CONFORMANT |
| Gold | Almalyk Mining and Metallurgical Complex (AMMC) | UZBEKISTAN | CONFORMANT |
| Gold | AngloGold Ashanti Corrego do Sitio Mineracao | BRAZIL | CONFORMANT |
| Gold | Argor-Heraeus S.A. | SWITZERLAND | CONFORMANT |
| Gold | Asahi Pretec Corp. | JAPAN | CONFORMANT |
| Gold | Asaka Riken Co., Ltd. | JAPAN | CONFORMANT |
| Gold | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | TURKEY | UNKNOWN |
| Gold | Aurubis AG | GERMANY | CONFORMANT |
| Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | PHILIPPINES | CONFORMANT |
| Gold | Boliden AB | SWEDEN | CONFORMANT |
| Gold | C. Hafner GmbH + Co. KG | GERMANY | CONFORMANT |
| Gold | Caridad | MEXICO | UNKNOWN |
| Gold | CCR Refinery - Glencore Canada Corporation | CANADA | CONFORMANT |
| Gold | Cendres + Metaux S.A. | SWITZERLAND | CONFORMANT |
| Gold | Yunnan Copper Industry Co., Ltd | CHINA | UNKNOWN |
| Gold | Chimet S.p.A. | ITALY | CONFORMANT |
| Gold | Chugai Mining | JAPAN | CONFORMANT |
| Gold | Daejin Indus Co., Ltd. | KOREA, REPUBLIC OF | UNKNOWN |
| Gold | Daye Non-Ferrous Metals Mining Ltd. | CHINA | UNKNOWN |
| Gold | DSC (Do Sung Corporation) | KOREA, REPUBLIC OF | CONFORMANT |
| Gold | DODUCO Contacts and Refining GmbH | GERMANY | CONFORMANT |
| Gold | Dowa | JAPAN | CONFORMANT |
| Gold | Eco-System Recycling Co., Ltd. East Plant | JAPAN | CONFORMANT |
| Gold | OJSC Novosibirsk Refinery | RUSSIAN FEDERATION | CONFORMANT |
| Gold | Refinery of Seemine Gold Co., Ltd. | CHINA | UNKNOWN |
| Gold | Guoda Safina High-Tech Environmental Refinery Co., Ltd. | CHINA | UNKNOWN |
| Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. | CHINA | UNKNOWN |
| Gold | LT Metal Ltd. | KOREA, REPUBLIC OF | CONFORMANT |
| Gold | Heimerle + Meule GmbH | GERMANY | CONFORMANT |
| Gold | Heraeus Metals Hong Kong Ltd. | CHINA | CONFORMANT |
| Gold | Heraeus Precious Metals GmbH & Co. KG | GERMANY | CONFORMANT |
| Gold | Hunan Chenzhou Mining Co., Ltd. | CHINA | UNKNOWN |
| Gold | Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd | CHINA | UNKNOWN |
| | | |
| | | | | | | | | | | |
| Metal | Standard Smelter Name | Smelter Facility Location | RMI Conformance Level |
| Gold | HwaSeong CJ CO., LTD. | KOREA, REPUBLIC OF | UNKNOWN |
| Gold | Jiangxi Copper Co., Ltd. | CHINA | CONFORMANT |
| Gold | Asahi Refining USA Inc. | UNITED STATES OF AMERICA | CONFORMANT |
| Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | CHINA | CONFORMANT |
| Gold | Ishifuku Metal Industry Co., Ltd. | JAPAN | CONFORMANT |
| Gold | Istanbul Gold Refinery | TURKEY | CONFORMANT |
| Gold | Japan Mint | JAPAN | CONFORMANT |
| Gold | Asahi Refining Canada Ltd. | CANADA | CONFORMANT |
| Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | RUSSIAN FEDERATION | UNKNOWN |
| Gold | JSC Uralelectromed | RUSSIAN FEDERATION | CONFORMANT |
| Gold | JX Nippon Mining & Metals Co., Ltd. | JAPAN | CONFORMANT |
| Gold | Kazakhmys Smelting LLC | KAZAKHSTAN | UNKNOWN |
| Gold | Kazzinc | KAZAKHSTAN | CONFORMANT |
| Gold | Kennecott Utah Copper LLC | UNITED STATES OF AMERICA | CONFORMANT |
| Gold | Kojima Chemicals Co., Ltd. | JAPAN | CONFORMANT |
| Gold | Kyrgyzaltyn JSC | KYRGYZSTAN | CONFORMANT |
| Gold | L'azurde Company For Jewelry | SAUDI ARABIA | UNKNOWN |
| Gold | Lingbao Gold Co., Ltd. | CHINA | UNKNOWN |
| Gold | Lingbao Jinyuan Tonghui Refinery Co., Ltd. | CHINA | UNKNOWN |
| Gold | LS-NIKKO Copper Inc. | KOREA, REPUBLIC OF | CONFORMANT |
| Gold | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | CHINA | UNKNOWN |
| Gold | Materion | UNITED STATES OF AMERICA | CONFORMANT |
| Gold | Matsuda Sangyo Co., Ltd. | JAPAN | CONFORMANT |
| Gold | Metalor Technologies (Suzhou) Ltd. | CHINA | CONFORMANT |
| Gold | Metalor Technologies (Hong Kong) Ltd. | CHINA | CONFORMANT |
| Gold | Metalor Technologies (Singapore) Pte., Ltd. | SINGAPORE | CONFORMANT |
| Gold | Metalor Technologies S.A. | SWITZERLAND | CONFORMANT |
| Gold | Metalor USA Refining Corporation | UNITED STATES OF AMERICA | CONFORMANT |
| Gold | Metalurgica Met-Mex Penoles S.A. De C.V. | MEXICO | CONFORMANT |
| Gold | Mitsubishi Materials Corporation | JAPAN | CONFORMANT |
| Gold | Mitsui Mining and Smelting Co., Ltd. | JAPAN | CONFORMANT |
| Gold | Moscow Special Alloys Processing Plant | RUSSIAN FEDERATION | CONFORMANT |
| Gold | Nadir Metal Rafineri San. Ve Tic. A.S. | TURKEY | CONFORMANT |
| Gold | Navoi Mining and Metallurgical Combinat | UZBEKISTAN | UNKNOWN |
| Gold | Nihon Material Co., Ltd. | JAPAN | CONFORMANT |
| Gold | Elemetal Refining, LLC | UNITED STATES OF AMERICA | UNKNOWN |
| Gold | Ohura Precious Metal Industry Co., Ltd. | JAPAN | CONFORMANT |
| Gold | OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) | RUSSIAN FEDERATION | CONFORMANT |
| Gold | PAMP S.A. | SWITZERLAND | CONFORMANT |
| Gold | Penglai Penggang Gold Industry Co., Ltd. | CHINA | UNKNOWN |
| Gold | Prioksky Plant of Non-Ferrous Metals | RUSSIAN FEDERATION | CONFORMANT |
| Gold | PT Aneka Tambang (Persero) Tbk | INDONESIA | CONFORMANT |
| Gold | PX Precinox S.A. | SWITZERLAND | CONFORMANT |
| Gold | Rand Refinery (Pty) Ltd. | SOUTH AFRICA | CONFORMANT |
| | | | | | | | | | | |
| Metal | Standard Smelter Name | Smelter Facility Location | RMI Conformance Level |
| Gold | Royal Canadian Mint | CANADA | CONFORMANT |
| Gold | Sabin Metal Corp | UNITED STATES OF AMERICA | UNKNOWN |
| Gold | Samduck Precious Metals | KOREA, REPUBLIC OF | CONFORMANT |
| Gold | Samwon Metals Corp. | KOREA, REPUBLIC OF | UNKNOWN |
| Gold | Schone Edelmetaal B.V. | NETHERLANDS | UNKNOWN |
| Gold | SEMPSA Joyeria Plateria S.A. | SPAIN | CONFORMANT |
| Gold | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | CHINA | UNKNOWN |
| Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | CHINA | CONFORMANT |
| Gold | Sichuan Tianze Precious Metals Co., Ltd. | CHINA | CONFORMANT |
| Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | RUSSIAN FEDERATION | CONFORMANT |
| Gold | Solar Applied Materials Technology Corp. | TAIWAN | CONFORMANT |
| Gold | Sumitomo Metal Mining Co., Ltd. | JAPAN | CONFORMANT |
| Gold | Tanaka Kikinzoku Kogyo K.K. | JAPAN | CONFORMANT |
| Gold | Great Wall Precious Metals Co., Ltd. of CBPM | CHINA | UNKNOWN |
| Gold | The Refinery of Shandong Gold Mining Co., Ltd. | CHINA | CONFORMANT |
| Gold | Tokuriki Honten Co., Ltd. | JAPAN | CONFORMANT |
| Gold | Tongling Nonferrous Metals Group Co., Ltd. | CHINA | UNKNOWN |
| Gold | Torecom | KOREA, REPUBLIC OF | CONFORMANT |
| Gold | Umicore Brasil Ltda. | BRAZIL | CONFORMANT |
| Gold | Umicore S.A. Business Unit Precious Metals Refining | BELGIUM | CONFORMANT |
| Gold | United Precious Metal Refining, Inc. | UNITED STATES OF AMERICA | CONFORMANT |
| Gold | Valcambi S.A. | SWITZERLAND | CONFORMANT |
| Gold | Western Australian Mint (T/a The Perth Mint) | AUSTRALIA | CONFORMANT |
| Gold | Yamakin Co., Ltd. | JAPAN | CONFORMANT |
| Gold | Yokohama Metal Co., Ltd. | JAPAN | CONFORMANT |
| Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | CHINA | CONFORMANT |
| Gold | Gold Refinery of Zijin Mining Group Co., Ltd. | CHINA | CONFORMANT |
| Gold | Morris and Watson | NEW ZEALAND | UNKNOWN |
| Gold | SAFINA A.S. | CZECH REPUBLIC | ACTIVE |
| Gold | Guangdong Jinding Gold Limited | CHINA | UNKNOWN |
| Gold | Umicore Precious Metals Thailand | THAILAND | CONFORMANT |
| Gold | Geib Refining Corporation | UNITED STATES OF AMERICA | CONFORMANT |
| Gold | MMTC-PAMP India Pvt., Ltd. | INDIA | CONFORMANT |
| Gold | Republic Metals Corporation | UNITED STATES OF AMERICA | UNKNOWN |
| Gold | KGHM Polska Miedz Spolka Akcyjna | POLAND | CONFORMANT |
| Gold | Fidelity Printers and Refiners Ltd. | ZIMBABWE | UNKNOWN |
| Gold | Singway Technology Co., Ltd. | TAIWAN | CONFORMANT |
| Gold | Shandong Humon Smelting Co., Ltd. | CHINA | UNKNOWN |
| Gold | Al Etihad Gold Refinery DMCC | UNITED ARAB EMIRATES | CONFORMANT |
| Gold | Emirates Gold DMCC | UNITED ARAB EMIRATES | CONFORMANT |
| Gold | International Precious Metal Refiners | UNITED ARAB EMIRATES | UNKNOWN |
| Gold | Kaloti Precious Metals | UNITED ARAB EMIRATES | UNKNOWN |
| | | | | | | | | | | |
| Metal | Standard Smelter Name | Smelter Facility Location | RMI Conformance Level |
| Gold | Sudan Gold Refinery | SUDAN | UNKNOWN |
| Gold | T.C.A S.p.A | ITALY | CONFORMANT |
| Gold | REMONDIS PMR B.V. | NETHERLANDS | CONFORMANT |
| Gold | Fujairah Gold FZC | UNITED ARAB EMIRATES | UNKNOWN |
| Gold | Tony Goetz NV | BELGIUM | UNKNOWN |
| Gold | Korea Zinc Co., Ltd. | KOREA, REPUBLIC OF | CONFORMANT |
| Gold | Marsam Metals | BRAZIL | CONFORMANT |
| Gold | TOO Tau-Ken-Altyn | KAZAKHSTAN | CONFORMANT |
| Gold | Abington Reldan Metals, LLC | UNITED STATES OF AMERICA | UNKNOWN |
| Gold | SAAMP | FRANCE | CONFORMANT |
| Gold | L'Orfebre S.A. | ANDORRA | CONFORMANT |
| Gold | 8853 S.p.A. | ITALY | CONFORMANT |
| Gold | Italpreziosi | ITALY | CONFORMANT |
| Gold | SAXONIA Edelmetalle GmbH | GERMANY | CONFORMANT |
| Gold | WIELAND Edelmetalle GmbH | GERMANY | CONFORMANT |
| Gold | Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH | AUSTRIA | CONFORMANT |
| Gold | AU Traders and Refiners | SOUTH AFRICA | CONFORMANT |
| Gold | GCC Gujrat Gold Centre Pvt. Ltd. | INDIA | UNKNOWN |
| Gold | Sai Refinery | INDIA | UNKNOWN |
| Gold | Universal Precious Metals Refining Zambia | ZAMBIA | UNKNOWN |
| Gold | Modeltech Sdn Bhd | MALAYSIA | UNKNOWN |
| Gold | Bangalore Refinery | INDIA | CONFORMANT |
| Gold | Kyshtym Copper-Electrolytic Plant ZAO | RUSSIAN FEDERATION | UNKNOWN |
| Gold | Morris and Watson Gold Coast | AUSTRALIA | UNKNOWN |
| Gold | Degussa Sonne / Mond Goldhandel GmbH | GERMANY | UNKNOWN |
| Gold | Pease & Curren | UNITED STATES OF AMERICA | UNKNOWN |
| Gold | SungEel HiMetal Co., Ltd. | KOREA, REPUBLIC OF | CONFORMANT |
| Gold | Planta Recuperadora de Metales SpA | CHILE | CONFORMANT |
| Gold | Safimet S.p.A | ITALY | CONFORMANT |
| Gold | State Research Institute Center for Physical Sciences and Technology | LITHUANIA | UNKNOWN |
| Gold | African Gold Refinery | UGANDA | UNKNOWN |
| Gold | NH Recytech Company | KOREA, REPUBLIC OF | UNKNOWN |
| Gold | DS PRETECH Co., Ltd. | KOREA, REPUBLIC OF | CONFORMANT |
| Gold | Tin Technology & Refining | UNITED STATES OF AMERICA | UNKNOWN |
| Gold | Dijllah Gold Refinery FZC | UNITED ARAB EMIRATES | UNKNOWN |
| Gold | CGR Metalloys Pvt Ltd. | INDIA | UNKNOWN |
| Gold | Sovereign Metals | INDIA | UNKNOWN |
| Gold | Eco-System Recycling Co., Ltd. North Plant | JAPAN | CONFORMANT |
| Gold | Eco-System Recycling Co., Ltd. West Plant | JAPAN | CONFORMANT |
| Tantalum | Asaka Riken Co., Ltd. | JAPAN | CONFORMANT |
| Tantalum | Changsha South Tantalum Niobium Co., Ltd. | CHINA | CONFORMANT |
| Tantalum | Guangdong Rising Rare Metals-EO Materials Ltd. | CHINA | CONFORMANT |
| Tantalum | Duoluoshan | CHINA | UNKNOWN |
| Tantalum | Exotech Inc. | UNITED STATES OF AMERICA | CONFORMANT |
| Tantalum | F&X Electro-Materials Ltd. | CHINA | CONFORMANT |
| | | | | | | | | | | |
| Metal | Standard Smelter Name | Smelter Facility Location | RMI Conformance Level |
| Tantalum | Guangdong Zhiyuan New Material Co., Ltd. | CHINA | CONFORMANT |
| Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | CHINA | CONFORMANT |
| Tantalum | Jiujiang Tanbre Co., Ltd. | CHINA | CONFORMANT |
| Tantalum | LSM Brasil S.A. | BRAZIL | CONFORMANT |
| Tantalum | Metallurgical Products India Pvt., Ltd. | INDIA | CONFORMANT |
| Tantalum | Mineracao Taboca S.A. | BRAZIL | CONFORMANT |
| Tantalum | Mitsui Mining and Smelting Co., Ltd. | JAPAN | CONFORMANT |
| Tantalum | NPM Silmet AS | ESTONIA | CONFORMANT |
| Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | CHINA | CONFORMANT |
| Tantalum | QuantumClean | UNITED STATES OF AMERICA | CONFORMANT |
| Tantalum | Yanling Jincheng Tantalum & Niobium Co., Ltd. | CHINA | CONFORMANT |
| Tantalum | Solikamsk Magnesium Works OAO | RUSSIAN FEDERATION | CONFORMANT |
| Tantalum | Taki Chemical Co., Ltd. | JAPAN | CONFORMANT |
| Tantalum | Telex Metals | UNITED STATES OF AMERICA | CONFORMANT |
| Tantalum | Ulba Metallurgical Plant JSC | KAZAKHSTAN | CONFORMANT |
| Tantalum | Yichun Jin Yang Rare Metal Co., Ltd. | CHINA | UNKNOWN |
| Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | CHINA | CONFORMANT |
| Tantalum | D Block Metals, LLC | UNITED STATES OF AMERICA | CONFORMANT |
| Tantalum | FIR Metals & Resource Ltd. | CHINA | CONFORMANT |
| Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | CHINA | CONFORMANT |
| Tantalum | XinXing HaoRong Electronic Material Co., Ltd. | CHINA | CONFORMANT |
| Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | CHINA | CONFORMANT |
| Tantalum | KEMET Blue Metals | MEXICO | CONFORMANT |
| Tantalum | H.C. Starck Co., Ltd. | THAILAND | CONFORMANT |
| Tantalum | H.C. Starck Tantalum and Niobium GmbH | GERMANY | CONFORMANT |
| Tantalum | H.C. Starck Hermsdorf GmbH | GERMANY | CONFORMANT |
| Tantalum | H.C. Starck Inc. | UNITED STATES OF AMERICA | CONFORMANT |
| Tantalum | H.C. Starck Ltd. | JAPAN | CONFORMANT |
| Tantalum | H.C. Starck Smelting GmbH & Co. KG | GERMANY | CONFORMANT |
| Tantalum | Global Advanced Metals Boyertown | UNITED STATES OF AMERICA | CONFORMANT |
| Tantalum | Global Advanced Metals Aizu | JAPAN | CONFORMANT |
| Tantalum | KEMET Blue Powder | UNITED STATES OF AMERICA | CONFORMANT |
| Tantalum | Resind Industria e Comercio Ltda. | BRAZIL | CONFORMANT |
| Tantalum | Jiangxi Tuohong New Raw Material | CHINA | CONFORMANT |
| Tantalum | PRG Dooel | MACEDONIA | CONFORMANT |
| Tantalum | Jiujiang Janny New Material Co., Ltd. | CHINA | UNKNOWN |
| Tantalum | CP Metals Inc. | UNITED STATES OF AMERICA | CONFORMANT |
| Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | CHINA | CONFORMANT |
| Tin | Jiangxi Ketai Advanced Material Co., Ltd. | CHINA | UNKNOWN |
| Tin | CNMC (Guangxi) PGMA Co., Ltd. | CHINA | UNKNOWN |
| Tin | Alpha | UNITED STATES OF AMERICA | CONFORMANT |
| Tin | CV Gita Pesona | INDONESIA | CONFORMANT |
| Tin | PT Aries Kencana Sejahtera | INDONESIA | CONFORMANT |
| | | | | | | | | | | |
| Metal | Standard Smelter Name | Smelter Facility Location | RMI Conformance Level |
| Tin | PT Premium Tin Indonesia | INDONESIA | CONFORMANT |
| Tin | CV United Smelting | INDONESIA | CONFORMANT |
| Tin | Dowa | JAPAN | CONFORMANT |
| Tin | EM Vinto | BOLIVIA | CONFORMANT |
| Tin | Estanho de Rondonia S.A. | BRAZIL | UNKNOWN |
| Tin | Fenix Metals | POLAND | CONFORMANT |
| Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. | CHINA | CONFORMANT |
| Tin | Gejiu Zili Mining And Metallurgy Co., Ltd. | CHINA | CONFORMANT |
| Tin | Huichang Jinshunda Tin Co., Ltd. | CHINA | CONFORMANT |
| Tin | Gejiu Kai Meng Industry and Trade LLC | CHINA | CONFORMANT |
| Tin | China Tin Group Co., Ltd. | CHINA | CONFORMANT |
| Tin | Malaysia Smelting Corporation (MSC) | MALAYSIA | CONFORMANT |
| Tin | Metallic Resources, Inc. | UNITED STATES OF AMERICA | CONFORMANT |
| Tin | Mineracao Taboca S.A. | BRAZIL | CONFORMANT |
| Tin | Minsur | PERU | CONFORMANT |
| Tin | Mitsubishi Materials Corporation | JAPAN | CONFORMANT |
| Tin | Jiangxi New Nanshan Technology Ltd. | CHINA | CONFORMANT |
| Tin | O.M. Manufacturing (Thailand) Co., Ltd. | THAILAND | CONFORMANT |
| Tin | Operaciones Metalurgicas S.A. | BOLIVIA | CONFORMANT |
| Tin | PT Artha Cipta Langgeng | INDONESIA | CONFORMANT |
| Tin | PT Babel Inti Perkasa | INDONESIA | CONFORMANT |
| Tin | PT Bangka Tin Industry | INDONESIA | CONFORMANT |
| Tin | PT Belitung Industri Sejahtera | INDONESIA | CONFORMANT |
| Tin | PT Bukit Timah | INDONESIA | CONFORMANT |
| Tin | PT DS Jaya Abadi | INDONESIA | CONFORMANT |
| Tin | PT Eunindo Usaha Mandiri | INDONESIA | UNKNOWN |
| Tin | PT Karimun Mining | INDONESIA | CONFORMANT |
| Tin | PT Mitra Stania Prima | INDONESIA | CONFORMANT |
| Tin | PT Panca Mega Persada | INDONESIA | CONFORMANT |
| Tin | PT Prima Timah Utama | INDONESIA | CONFORMANT |
| Tin | PT Refined Bangka Tin | INDONESIA | CONFORMANT |
| Tin | PT Sariwiguna Binasentosa | INDONESIA | CONFORMANT |
| Tin | PT Stanindo Inti Perkasa | INDONESIA | CONFORMANT |
| Tin | PT Sumber Jaya Indah | INDONESIA | CONFORMANT |
| Tin | PT Timah Tbk Kundur | INDONESIA | CONFORMANT |
| Tin | PT Timah Tbk Mentok | INDONESIA | CONFORMANT |
| Tin | PT Tinindo Inter Nusa | INDONESIA | CONFORMANT |
| Tin | PT Tommy Utama | INDONESIA | CONFORMANT |
| Tin | Rui Da Hung | TAIWAN | CONFORMANT |
| Tin | Soft Metais Ltda. | BRAZIL | CONFORMANT |
| Tin | Thaisarco | THAILAND | CONFORMANT |
| Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | CHINA | CONFORMANT |
| Tin | White Solder Metalurgia e Mineracao Ltda. | BRAZIL | CONFORMANT |
| Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | CHINA | CONFORMANT |
| Tin | Yunnan Tin Company Limited | CHINA | CONFORMANT |
| Tin | CV Venus Inti Perkasa | INDONESIA | CONFORMANT |
| | | | | | | | | | | |
| Metal | Standard Smelter Name | Smelter Facility Location | RMI Conformance Level |
| Tin | Magnu's Minerais Metais e Ligas Ltda. | BRAZIL | CONFORMANT |
| Tin | Melt Metais e Ligas S.A. | BRAZIL | CONFORMANT |
| Tin | PT ATD Makmur Mandiri Jaya | INDONESIA | CONFORMANT |
| Tin | O.M. Manufacturing Philippines, Inc. | PHILIPPINES | CONFORMANT |
| Tin | PT Inti Stania Prima | INDONESIA | CONFORMANT |
| Tin | CV Ayi Jaya | INDONESIA | CONFORMANT |
| Tin | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | VIETNAM | UNKNOWN |
| Tin | Nghe Tinh Non-Ferrous Metals Joint Stock Company | VIETNAM | UNKNOWN |
| Tin | Tuyen Quang Non-Ferrous Metals Joint Stock Company | VIETNAM | UNKNOWN |
| Tin | CV Dua Sekawan | INDONESIA | CONFORMANT |
| Tin | PT Rajehan Ariq | INDONESIA | CONFORMANT |
| Tin | An Vinh Joint Stock Mineral Processing Company | VIETNAM | UNKNOWN |
| Tin | Resind Industria e Comercio Ltda. | BRAZIL | CONFORMANT |
| Tin | Super Ligas | BRAZIL | UNKNOWN |
| Tin | Metallo Belgium N.V. | BELGIUM | CONFORMANT |
| Tin | Metallo Spain S.L.U. | SPAIN | CONFORMANT |
| Tin | PT Bangka Prima Tin | INDONESIA | CONFORMANT |
| Tin | PT Sukses Inti Makmur | INDONESIA | CONFORMANT |
| Tin | PT Kijang Jaya Mandiri | INDONESIA | CONFORMANT |
| Tin | Thai Nguyen Mining and Metallurgy Co., Ltd. | VIETNAM | CONFORMANT |
| Tin | PT Menara Cipta Mulia | INDONESIA | CONFORMANT |
| Tin | HuiChang Hill Tin Industry Co., Ltd. | CHINA | CONFORMANT |
| Tin | Gejiu Fengming Metallurgy Chemical Plant | CHINA | CONFORMANT |
| Tin | Guanyang Guida Nonferrous Metal Smelting Plant | CHINA | CONFORMANT |
| Tin | Modeltech Sdn Bhd | MALAYSIA | UNKNOWN |
| Tin | Gejiu Jinye Mineral Company | CHINA | UNKNOWN |
| Tin | PT Lautan Harmonis Sejahtera | INDONESIA | CONFORMANT |
| Tin | Guangdong Hanhe Non-Ferrous Metal Co., Ltd. | CHINA | CONFORMANT |
| Tin | Chifeng Dajingzi Tin Industry Co., Ltd. | CHINA | CONFORMANT |
| Tin | PT Bangka Serumpun | INDONESIA | CONFORMANT |
| Tin | Pongpipat Company Limited | MYANMAR | UNKNOWN |
| Tin | Tin Technology & Refining | UNITED STATES OF AMERICA | CONFORMANT |
| Tin | Dongguan CiEXPO Environmental Engineering Co., Ltd. | CHINA | UNKNOWN |
| Tin | Ma'anshan Weitai Tin Co., Ltd. | CHINA | CONFORMANT |
| Tin | Yunnan Yunfan Non-ferrous Metals Co., Ltd. | CHINA | CONFORMANT |
| Tin | Precious Minerals and Smelting Limited | INDIA | ACTIVE |
| Tin | Gejiu City Fuxiang Industry and Trade Co., Ltd. | CHINA | UNKNOWN |
| Tungsten | A.L.M.T. Corp. | JAPAN | CONFORMANT |
| Tungsten | Kennametal Huntsville | UNITED STATES OF AMERICA | CONFORMANT |
| Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | CHINA | CONFORMANT |
| Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | CHINA | CONFORMANT |
| | | | | | | | | | | |
| Metal | Standard Smelter Name | Smelter Facility Location | RMI Conformance Level |
| Tungsten | CNMC (Guangxi) PGMA Co., Ltd. | CHINA | CONFORMANT |
| Tungsten | Fujian Jinxin Tungsten Co., Ltd. | CHINA | CONFORMANT |
| Tungsten | Global Tungsten & Powders Corp. | UNITED STATES OF AMERICA | CONFORMANT |
| Tungsten | Hunan Chenzhou Mining Co., Ltd. | CHINA | CONFORMANT |
| Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd. | CHINA | CONFORMANT |
| Tungsten | Japan New Metals Co., Ltd. | JAPAN | CONFORMANT |
| Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. | CHINA | CONFORMANT |
| Tungsten | Kennametal Fallon | UNITED STATES OF AMERICA | CONFORMANT |
| Tungsten | Tejing (Vietnam) Tungsten Co., Ltd. | VIET NAM | CONFORMANT |
| Tungsten | Vietnam Youngsun Tungsten Industry Co., Ltd. | VIET NAM | UNKNOWN |
| Tungsten | Wolfram Bergbau und Hutten AG | AUSTRIA | CONFORMANT |
| Tungsten | Xiamen Tungsten Co., Ltd. | CHINA | CONFORMANT |
| Tungsten | Xinhai Rendan Shaoguan Tungsten Co., Ltd. | CHINA | CONFORMANT |
| Tungsten | Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd | CHINA | UNKNOWN |
| Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | CHINA | CONFORMANT |
| Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. | CHINA | CONFORMANT |
| Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | CHINA | CONFORMANT |
| Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | CHINA | CONFORMANT |
| Tungsten | Malipo Haiyu Tungsten Co., Ltd. | CHINA | CONFORMANT |
| Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | CHINA | CONFORMANT |
| Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | CHINA | CONFORMANT |
| Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | CHINA | CONFORMANT |
| Tungsten | Asia Tungsten Products Vietnam Ltd. | VIET NAM | CONFORMANT |
| Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd. | CHINA | CONFORMANT |
| Tungsten | Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd. | CHINA | UNKNOWN |
| Tungsten | Ganzhou Yatai Tungsten Co., Ltd. | CHINA | UNKNOWN |
| Tungsten | H.C. Starck Tungsten GmbH | GERMANY | CONFORMANT |
| Tungsten | H.C. Starck Smelting GmbH & Co. KG | GERMANY | CONFORMANT |
| Tungsten | Masan Tungsten Chemical LLC (MTC) | VIET NAM | CONFORMANT |
| Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | CHINA | CONFORMANT |
| Tungsten | Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji | CHINA | CONFORMANT |
| Tungsten | Niagara Refining LLC | UNITED STATES OF AMERICA | CONFORMANT |
| Tungsten | China Molybdenum Co., Ltd. | CHINA | UNKNOWN |
| Tungsten | Ganzhou Haichuang Tungsten Co., Ltd. | CHINA | CONFORMANT |
| Tungsten | Jiangxi Xianglu Tungsten Co., Ltd. | CHINA | ACTIVE |
| Tungsten | Hydrometallurg, JSC | RUSSIAN FEDERATION | CONFORMANT |
| Tungsten | Unecha Refractory metals plant | RUSSIAN FEDERATION | CONFORMANT |
| Tungsten | South-East Nonferrous Metal Company Limited of Hengyang City | CHINA | UNKNOWN |
| Tungsten | Philippine Chuangxin Industrial Co., Inc. | PHILIPPINES | CONFORMANT |
| Tungsten | Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. | CHINA | CONFORMANT |
| | | | | | | | | | | |
| Metal | Standard Smelter Name | Smelter Facility Location | RMI Conformance Level |
| Tungsten | ACL Metais Eireli | BRAZIL | CONFORMANT |
| Tungsten | Woltech Korea Co., Ltd. | KOREA, REPUBLIC OF | CONFORMANT |
| Tungsten | Moliren Ltd. | RUSSIAN FEDERATION | CONFORMANT |
| Tungsten | Hunan Litian Tungsten Industry Co., Ltd. | CHINA | CONFORMANT |
| Tungsten | KGETS Co., Ltd. | KOREA, REPUBLIC OF | CONFORMANT |
| Tungsten | Fujian Ganmin RareMetal Co., Ltd. | CHINA | CONFORMANT |
| Tungsten | Lianyou Metals Co., Ltd. | TAIWAN | CONFORMANT |
| Tungsten | JSC "Kirovgrad Hard Alloys Plant" | RUSSIAN FEDERATION | ACTIVE |
| Tungsten | Albasteel Industria e Comercio de Ligas Para Fundicao Ltd. | BRAZIL | ACTIVE |
| | | |
Attachment B
Countries of Origin
The following lists the countries of origin from which the reported facilities in Attachment A collectively source conflict minerals based on information provided by our suppliers and the RMI.
| | | | | | | | | | | | | | |
| ANDORRA | | JAPAN | | SINGAPORE |
| AUSTRALIA | | KAZAKHSTAN | | SOUTH AFRICA |
| AUSTRIA | | KOREA, REPUBLIC OF | | SPAIN |
| BELGIUM | | KYRGYZSTAN | | SUDAN |
| BOLIVIA | | LITHUANIA | | SWEDEN |
| BRAZIL | | MACEDONIA | | SWITZERLAND |
| CANADA | | MALAYSIA | | TAIWAN |
| CHILE | | MEXICO | | THAILAND |
| CHINA | | MYANMAR | | TURKEY |
| CZECH REPUBLIC | | NETHERLANDS | | UGANDA |
| ESTONIA | | NEW ZEALAND | | UNITED ARAB EMIRATES |
| FRANCE | | PERU | | UNITED STATES OF AMERICA |
| GERMANY | | PHILIPPINES | | UZBEKISTAN |
| INDIA | | POLAND | | VIETNAM |
| INDONESIA | | RUSSIAN FEDERATION | | ZAMBIA |
| ITALY | | SAUDI ARABIA | | ZIMBABWE |
