EX-1.01 2 d480358dex101.htm EX-1.01 EX-1.01

EXHIBIT 1.01

CONFLICT MINERALS REPORT OF IRIDIUM COMMUNICATIONS INC.

For the year ended December 31, 2022

This Conflict Minerals Report (this “Report”) of Iridium Communications Inc. (the “Company”) has been prepared pursuant to Rule 13p-1 and Form SD (the “Rule”) promulgated under the Securities Exchange Act of 1934 for the reporting period January 1, 2022 to December 31, 2022 (the “Reporting Period”). For purposes of this Report, “Conflict Minerals” are defined as cassiterite, columbite-tantalite, gold, wolframite, and their derivatives, which are limited to tin, tantalum and tungsten. The “Covered Countries” for the purposes of the Rule and this Report are the Democratic Republic of the Congo, the Republic of the Congo, the Central African Republic, South Sudan, Uganda, Rwanda, Burundi, Tanzania, Zambia and Angola. As described in this Report, the Company contracts to manufacture products for which Conflict Minerals are necessary to their functionality or production.

Description of the Company’s Products Covered by this Report

The Company is a provider of mobile voice and data communications services via satellite. The Company also sells related voice and data equipment that it contracts to manufacture, including satellite handsets, Wi-Fi accessories, voice and data modems, broadband data devices and machine-to-machine data devices. The Company has determined that Conflict Minerals are necessary to the functionality or production of this equipment. These products are collectively referred to in this Report as the “Covered Products.” This Report relates to Covered Products the manufacture of which was completed during the Reporting Period.

Reasonable Country of Origin Inquiry

The Company has conducted a good faith reasonable country-of-origin inquiry (“RCOI”) regarding the Conflict Minerals necessary to the Covered Products that was reasonably designed to determine whether any of the Conflict Minerals originated in the Covered Countries and whether any of the Conflict Minerals may be from recycled or scrap sources. The RCOI consisted principally of identifying the suppliers of components that contain Conflict Minerals and circulating to them a supply-chain survey using the Conflict Minerals Reporting Template of the Responsible Minerals Initiative (“RMI template”). Among the purposes of this supplier survey was to identify, if possible, the supply chain, including smelters and refiners that contribute smelted or refined Conflict Minerals to the Company’s products, and to request information from those identified suppliers and refiners regarding whether any of the necessary Conflict Minerals in the components they provided originated from Covered Countries and whether the Conflict Minerals come from recycled or scrap sources.

The Company’s Due Diligence Process

The Company’s due diligence measures were based on multi-industry initiatives with the smelters and refiners of Conflict Minerals that provide those Conflict Minerals to the Company’s suppliers. The Company’s supply chain with respect to the Covered Products is complex, and the Company, as a purchaser, is many steps removed from the mining and smelting or refining of the Conflict Minerals. The Company does not purchase raw ore or unrefined Conflict Minerals and does no purchasing in the Covered Countries. 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. Because the smelters and refiners are consolidating points for raw ore, the Company believes the smelters and refiners are in the best position in the total supply chain to know the origin of the ores. As a result, tracing these minerals to their sources is a challenge that requires the Company to enlist its suppliers in its


efforts to achieve supply chain transparency, including its efforts to obtain information regarding the origin of the Conflict Minerals. The information provided by suppliers may be inaccurate or incomplete or subject to other irregularities. Because of the Company’s relative location within the supply chain in relation to the actual extraction, transport, smelting, and refinement of Conflict Minerals, its ability to verify the accuracy of information reported by suppliers is limited.

In addition, the Company has regular contact with only a limited number of suppliers – its first-tier suppliers – within its supply chain. The second-tier suppliers report to the Company’s direct suppliers and contract manufacturers, some of which, like the Company, are subject to the SEC’s Rule and file specialized disclosure reports on Form SD annually as required. The Company has chosen to directly survey all of its second-tier suppliers in lieu of relying only on the surveying efforts of contract manufacturers or other direct suppliers. These efforts include, but are not limited to, requesting and receiving supplier RMI templates.

 

  A.

Design of the Company’s due diligence framework

The design of the Company’s due diligence measures conforms, in material respects, with the internationally recognized due diligence framework in the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas: Third Edition (OECD 2016) (“OECD Framework”), including related Supplements for each of the Conflict Minerals, consistent with the Company’s position as a downstream company.

Establish Strong Company Management Systems

 

   

Conflict Minerals Team. The Company maintains a Conflict Minerals Team comprised of senior members of its legal, manufacturing, engineering and purchasing organizations under the oversight of the Chief Legal Officer.

 

   

Policy. The Company has communicated to its suppliers and the public the Company’s Conflict Minerals Policy for the supply chain of minerals originating from conflict-affected and high-risk areas (the “Policy”). The Policy can be found here: https://www.iridium.com/idr-file/394231/.

 

   

System of controls and transparency. The Company maintains internal standard operating procedures to guide the Company’s due diligence efforts. These procedures establish a process to be followed in order to generate and maintain the information needed to comply with Dodd-Frank Section 1502.

 

   

Strengthen engagement with suppliers. The Company maintains a standard provision in its supply chain contracts under which the supplier agrees that it shall not knowingly include Conflict Minerals in any Products that it delivers to the Company that originate from the Covered Countries. The provision further states that the supplier agrees to cooperate in any audit and produce any information that may reasonably be required by the Company to ensure that it fully complies with its legal and regulatory obligations that govern the use of Conflict Minerals. This provision also requests that this clause be included in agreements that each contract manufacturer may have with its suppliers, vendors, or subcontractors. Where suppliers include Conflict Minerals in Products that it delivers to the Company that originate from the Covered Countries from a smelter or refiner that has been validated as conflict-free by organizations such as RMI, the Company has elected to take no enforcement action.

 

   

Establish a company grievance mechanism. The Company maintains a grievance mechanism for concerned parties who wish to report information regarding the Company’s use of Conflict Minerals. Communications may be sent to supplychain@iridium.com.


Identify and Assess Risks in the Supply Chain

Identify smelters and refiners in the supply chain. The Company assessed its Covered Products and its suppliers in order to identify Conflict Minerals scope and risk. The Company’s Covered Products and suppliers were reviewed throughout the year. The Company looked for supplier changes in its supply chain and evaluated new suppliers for use of Conflict Minerals through a review of internal documents, including bills of material, materials declarations, and purchasing contracts. New suppliers were assessed as part of the Company’s vendor due diligence and compliance assessment program, which was designed to assess transparency from its vendors and compliance with the Company’s Conflict Minerals policy. Suppliers identified as providing parts to the Company that included Conflict Minerals were tracked through an information system that captures and categorizes supplier and product information.

The Company surveyed the suppliers on the Company’s master supplier list. The Company also conducted a survey of its direct and second-tier suppliers used by its contract manufacturers, Benchmark Electronics, Inc. and Beam Communications Pty Ltd., unless it was explicitly known from the material description or internal review that the material purchased did not contain Conflict Minerals. Due to the Company’s location within the supply chain relative to the actual extraction, transport, smelting, and refinement of ore, its ability to verify the accuracy of information reported by suppliers is limited. The Company requested that sourcing information provided by suppliers apply to materials provided for products the manufacture of which was completed during the entire Reporting Period.

Assessment of risk. All suppliers’ responses were assessed by evaluating the reasonableness and consistency of responses within the RMI template and follow-up email correspondence, as well as information known about supplies and suppliers. To the extent that, based on data provided by its suppliers, the Company was able to identify smelters and refiners that might be in the Company’s supply chain, the Company took steps to assess the smelter’s or refiner’s due diligence to the extent practicable. To that end, the Company examined whether each smelter or refiner had been validated as conflict-free through industry group programs, such as the RMI’s Responsible Minerals Assurance Process (“RMAP”). The RMAP provides a list of smelters and refiners that an independent third-party audit has confirmed have systems in place that comply with the RMAP’s assessment protocols to ensure sourcing of only conflict-free minerals.

Design and Implement Strategy to Respond to Identified Risks

Strategy to respond to identified risks. The Company has developed a strategy to manage suppliers that cannot or will not provide sufficient component and supply chain information or are using minerals from smelters or refiners that have not received a “conflict free” designation. The specific supplier corrective actions taken will depend on factors such as vendor size, risk level and vendor capabilities, and may include actions ranging from encouraging the supplier to source responsibly to disengaging from the supplier.

Steps taken to implement strategy to mitigate risk. The Company has completed the following steps to improve its due diligence process, improve its supply chain transparency, and to further mitigate the risk that its necessary Conflict Minerals finance or benefit armed groups in the Covered Countries, including:

 

   

Encourage supplier participation in an industry initiative such as iPoint, to increase compliance and response rate to suppliers’ smelter surveys.

 

   

Provide training materials for suppliers, if requested, on responsible sourcing to increase the response rate and improve the content of the supplier survey responses.


   

Develop and communicate a policy whereby suppliers that do not improve their responses in a timely fashion will be evaluated for potential removal as a preferred supplier from the Company’s supply chain.

 

   

Conducted independent research to attempt to identify and respond to risks in the Company’s supply chain.

Carry Out Independent Third-Party Audit of Supply Chain

The Company does not have any direct relationships with smelters or refiners that process Conflict Minerals, and it does not perform or direct audits of these entities within its supply chain. As an alternative, the Company has considered information collected and provided by independent third-party audit programs, such as the RMAP.

Report Annually on Supply Chain Due Diligence

The Company expects to report annually, as required by the Rule, and has posted this Report on its website here: https://www.iridium.com/idr-file/304185/

 

  B.

Description of the Company’s due diligence measures performed with respect to Covered Products the manufacture of which was completed during 2022

Because, as a result of its RCOI, the Company could not determine the country of origin of all its necessary Conflict Minerals, the Company also performed due diligence on the source and chain of custody to determine whether the Conflict Minerals directly or indirectly financed or benefitted armed groups in the Covered Countries.

The Company’s due diligence measures performed with respect to Covered Products the manufacture of which was completed during 2022 included:

 

   

Providing a briefing to members of supply chain management about results of the Company’s due diligence efforts on a monthly basis. A member of senior management was briefed about the results of the Company’s due diligence efforts on a quarterly basis.

 

   

Keeping an up-to-date Policy. Inquiries with regard to Conflict Minerals are communicated to the Company’s supply chain information team.

 

   

Maintaining a standard contract template with a standard provision regarding Conflict Minerals. Any changes to the Company’s contracts or contracts in progress are subject to negotiation and the Company’s review and approval process.

 

   

Requesting a full list of supplier information from the Company’s contract manufacturers that have direct contact with suppliers in the supply chain.

 

   

Analyzing the bill of materials for each product to confirm all identified suppliers are included within the Company’s due diligence efforts.

 

   

Conducting its due diligence using the RMI template, requesting country-of-origin information regarding the necessary Conflict Minerals and identification of smelters and refiners that process such minerals.

 

   

Completing follow-up inquiries to obtain as much needed information as possible from as many surveyed suppliers as possible.

 

   

Comparing survey results to information collected via independent third-party conflict-free smelter validation programs, such as RMAP, to determine if the identified smelters or refiners have been validated as conflict-free.

 

   

Discussing actions to be taken with regard to suppliers that do not comply with the Policy.


   

Filing the specialized disclosure report on Form SD and related conflict minerals report annually as required by the SEC.

C. Results of the Company’s Due Diligence

Identified Smelters and Refiners. As a result of the Company’s due diligence efforts and based on information provided by most of the Company’s suppliers, the Company has identified and obtained completed RMI templates from most of its suppliers that provide components containing necessary Conflict Minerals. However, in most cases, the information provided by suppliers was not specific enough to identify the smelters and refiners that processed the Conflict Minerals in the specific components provided by the supplier to the Company, but instead included information regarding the smelters and refiners that processed Conflict Minerals used by the responding supplier only on a company-wide or general product basis. As a result, in those cases, the Company has not been able to reasonably or reliably determine whether the identified smelters and refiners have been used to process Conflict Minerals in the components actually furnished to the Company for use in the Covered Products and thus did not include the smelters or refiners below. However, when the supplier provided information that reasonably appeared to be specific product-level information, the Company has listed on Appendix A the smelters or refiners identified by the supplier. Based on the information that was provided by the Company’s suppliers through the due diligence process, the Company believes that, to the extent reasonably determinable by the Company, the facilities that may have been used to process the necessary Conflict Minerals contained in the Covered Products included the smelters and refiners identified on Appendix A.

Identified Countries of Origin. Based on the information provided by suppliers pursuant to the due diligence process, the Company does not have sufficient information with respect to the Covered Products to reliably determine the countries of origin of all of the Conflict Minerals in the Covered Products. However, as noted above, when the supplier provided information that reasonably appeared to be specific product-level information, the Company has listed on Appendix B the countries of origin of the necessary Conflict Minerals identified by the supplier. When the supplier provided only company-level or general product information, the Company determined that it did not have sufficient information to identify with any reasonable level of confidence the particular countries of origin of the necessary Conflict Minerals contained in the component in the Covered Products, and thus did not include the country of origin. Accordingly, based on the information that has been obtained, the Company believes, to the extent reasonably determinable by the Company, that the countries of origin of the Conflict Minerals include the countries listed on Appendix B.

Efforts to Determine Mine or Location of Origin. The Company’s efforts to determine the mine(s) or location of origin with the greatest possible specificity included the use of the due diligence measures described above.

The Company received responses from 65% of its suppliers that provide components containing necessary Conflict Minerals. On the basis of the due diligence measures performed, the Company believes, to the extent reasonably determinable, that of the responses received, including specific product level, supplier defined, and broader company level responses, 26.7% of the suppliers from which the Company obtained sourcing information provided materials that contained Conflict Minerals that are of uncertain origin and 73.3% either (i) provided materials that did not contain Conflict Minerals, (ii) believe they provided materials containing Conflict Minerals not originating in the Covered Countries, or (iii) believe they provided materials containing Conflict Minerals that do originate from the Covered Countries but were processed using certified conflict-free smelters or refiners or from smelters or refiners that were “active” or “conformant” (as defined on Appendix A).


D. Measures to Improve Due Diligence

The Company currently expects to continue to perform its supply chain due diligence measures with the goal of achieving greater accuracy and transparency into the Company’s supply chain by reviewing supplier contracts and their Conflict Minerals policies on an as-needed basis to verify that relevant Conflict Mineral provisions are in place, developing the Company’s Conflict Mineral guidelines and procedures as needed, creating further awareness within the organization to promote positive change, and continually identifying areas of improvement.

Forward-Looking Statements

Forward-looking statements in this Report are made pursuant to the safe harbor provisions of Section 21E of the Exchange Act and other federal securities laws. Investors are cautioned that statements in this Report that are not strictly historical statements, including without limitation, the Company’s intentions and expectations regarding further supplier engagement, due diligence and risk mitigation efforts, strategy, and future reporting constitute forward-looking statements that involve risks and uncertainties. Actual results could differ materially from the forward-looking statements. Risks and uncertainties that could cause actual results to differ include, without limitation, risks and uncertainties associated with the progress of industry and other supply chain transparency and smelter or refiner validation programs for conflict minerals (including the possibility of inaccurate information, fraud and other irregularities), inadequate supplier education and knowledge, limitations on the ability or willingness of suppliers to provide more accurate, complete and detailed information and limitations on the Company’s ability to verify the accuracy or completeness of any supply chain information provided by suppliers, third-party audit programs or others as well as the possibility of future statutory and regulatory changes.


Appendix A

Conformant - The conformant status represents the smelters and refiners that have successfully completed an assessment against the applicable RMAP standard or an equivalent cross-recognized assessment as reported by RMAP

Active - The active status represents smelters and refiners that have committed to undergo an RMAP assessment, completed the relevant documents, and scheduled the on-site assessment as reported by RMAP. These may be in the pre-assessment, assessment, or corrective-action phases of the assessment.

Note: According to RMI, all previously conformant smelters/refiners located in the Russian Federation identified in Appendix A were removed from the conformant list during or prior to 2022. As a result, Iridium intends to take steps in an effort to remove them from the supply chain.

 

Metal

  

Smelter
Identification

  

Smelter Reference List

  

Smelter Country

  

RMI Smelter List

Gold    CID002762    L’Orfebre S.A.    ANDORRA    Conformant
Gold    CID002030    Western Australian Mint (T/a The Perth Mint)    AUSTRALIA    Conformant
Gold    CID002779    Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH    AUSTRIA    Conformant
Gold    CID001980    Umicore S.A. Business Unit Precious Metals Refining    BELGIUM    Conformant
Gold    CID000058    AngloGold Ashanti Corrego do Sitio Mineracao    BRAZIL    Conformant
Gold    CID002606    Marsam Metals    BRAZIL   
Gold    CID000924    Asahi Refining Canada Ltd.    CANADA    Conformant
Gold    CID000185    CCR Refinery - Glencore Canada Corporation    CANADA    Conformant
Gold    CID001534    Royal Canadian Mint    CANADA    Conformant
Gold    CID002919    Planta Recuperadora de Metales SpA    CHILE    Conformant
Gold    CID002243    Gold Refinery of Zijin Mining Group Co., Ltd.    CHINA    Conformant
Gold    CID000707    Heraeus Metals Hong Kong Ltd.    CHINA    Conformant
Gold    CID000767    Hunan Chenzhou Mining Co., Ltd.    CHINA    Conformant
Gold    CID000801    Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.    CHINA    Conformant
Gold    CID000855    Jiangxi Copper Co., Ltd.    CHINA    Conformant
Gold    CID001149    Metalor Technologies (Hong Kong) Ltd.    CHINA    Conformant
Gold    CID001147    Metalor Technologies (Suzhou) Ltd.    CHINA    Conformant
Gold    CID001916    Shandong Gold Smelting Co., Ltd.    CHINA    Conformant
Gold    CID001622    Shandong Zhaojin Gold & Silver Refinery Co., Ltd.    CHINA    Conformant
Gold    CID001736    Sichuan Tianze Precious Metals Co., Ltd.    CHINA    Conformant
Gold    CID001916    The Refinery of Shandong Gold Mining Co., Ltd.    China    Conformant


Gold    CID002224    Zhongyuan Gold Smelter of Zhongjin Gold Corporation    CHINA    Conformant
Gold    CID001909    Great Wall Precious Metals Co., Ltd. of CBPM    CHINA    Conformant
Gold    CID001056    Lingbao Gold Co., Ltd.    CHINA    Conformant
Gold    CID001058    Lingbao Jinyuan Tonghui Refinery Co., Ltd.    CHINA    Conformant
Gold    CID001093    Luoyang Zijin Yinhui Gold Refinery Co., Ltd.    CHINA    Conformant
Gold    CID001362    Penglai Penggang Gold Industry Co., Ltd.    CHINA    Conformant
Gold    CID000522    Refinery of Seemine Gold Co., Ltd.    CHINA    Conformant
Gold    CID001947    Tongling Nonferrous Metals Group Co., Ltd.    CHINA    Conformant
Gold    CID000197    Yunnan Copper Industry Co., Ltd.    CHINA    Conformant
Gold    CID000343    Daye Non-Ferrous Metals Mining Ltd.    CHINA   
Gold    CID002312    Guangdong Jinding Gold Limited    CHINA   
Gold    CID000651    Guoda Safina High-Tech Environmental Refinery Co., Ltd.    CHINA   
Gold    CID000671    Hangzhou Fuchunjiang Smelting Co., Ltd.    CHINA   
Gold    CID000773    Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd.    CHINA   
Gold    CID002525    Shandong Humon Smelting Co., Ltd.    CHINA   
Gold    CID001619    Shandong Tiancheng Biological Gold Industrial Co., Ltd.    CHINA   
Gold    CID002290    SAFINA A.S.    CZECHIA    Conformant
Gold    CID002761    SAAMP    FRANCE    Conformant
Gold    CID000362    DODUCO Contacts and Refining GmbH    GERMANY    Conformant
Gold    CID000035    Agosi AG    GERMANY    Conformant
Gold    CID000035    Allgemeine Gold-und Silberscheideanstalt A.G.    GERMANY    Conformant
Gold    CID000113    Aurubis AG    GERMANY    Conformant
Gold    CID000176    C. Hafner GmbH + Co. KG    GERMANY    Conformant
Gold    CID000694    Heimerle + Meule GmbH    GERMANY    Conformant
Gold    CID000711    Heraeus Germany GmbH Co. KG    GERMANY    Conformant
Gold    CID002778    WIELAND Edelmetalle GmbH    GERMANY    Conformant
Gold    CID002777    SAXONIA Edelmetalle GmbH    GERMANY    Conformant
Gold    CID002867    Degussa Sonne / Mond Goldhandel GmbH    GERMANY   
Gold    CID002852    GCC Gujrat Gold Centre Pvt. Ltd.    INDIA    Active
Gold    CID002863    Bangalore Refinery    INDIA    Conformant
Gold    CID002509    MMTC-PAMP India Pvt., Ltd.    INDIA    Conformant
Gold    CID003382    CGR Metalloys Pvt Ltd.    INDIA   


Gold    CID002853    Sai Refinery    INDIA   
Gold    CID003383    Sovereign Metals    INDIA   
Gold    CID001397    PT Aneka Tambang (Persero) Tbk    INDONESIA    Conformant
Gold    CID000233    Chimet S.p.A.    ITALY    Conformant
Gold    CID002765    Italpreziosi    ITALY    Conformant
Gold    CID002580    T.C.A S.p.A    ITALY    Conformant
Gold    CID002763    8853 S.p.A.    ITALY    Non-Conformant
Gold    CID002973    Safimet S.p.A    ITALY    Non-Conformant
Gold    CID000019    Aida Chemical Industries Co., Ltd.    JAPAN    Conformant
Gold    CID000082    Asahi Pretec Corp.    JAPAN    Conformant
Gold    CID000090    Asaka Riken Co., Ltd.    JAPAN    Conformant
Gold    CID000264    Chugai Mining    JAPAN    Conformant
Gold    CID000401    Dowa    JAPAN    Conformant
Gold    CID000425    Eco-System Recycling Co., Ltd. East Plant    JAPAN    Conformant
Gold    CID003424    Eco-System Recycling Co., Ltd. North Plant    JAPAN    Conformant
Gold    CID003425    Eco-System Recycling Co., Ltd. West Plant    JAPAN    Conformant
Gold    CID000807    Ishifuku Metal Industry Co., Ltd.    JAPAN    Conformant
Gold    CID000823    Japan Mint    JAPAN    Conformant
Gold    CID000937    JX Nippon Mining & Metals Co., Ltd.    JAPAN    Conformant
Gold    CID000981    Kojima Chemicals Co., Ltd.    JAPAN    Conformant
Gold    CID001119    Matsuda Sangyo Co., Ltd.    JAPAN    Conformant
Gold    CID001188    Mitsubishi Materials Corporation    JAPAN    Conformant
Gold    CID001193    Mitsui Mining and Smelting Co., Ltd.    JAPAN    Conformant
Gold    CID001259    Nihon Material Co., Ltd.    JAPAN    Conformant
Gold    CID001325    Ohura Precious Metal Industry Co., Ltd.    JAPAN    Conformant
Gold    CID001798    Sumitomo Metal Mining Co., Ltd.    JAPAN    Conformant
Gold    CID001875    Tanaka Kikinzoku Kogyo K.K.    JAPAN    Conformant
Gold    CID001938    Tokuriki Honten Co., Ltd.    JAPAN    Conformant
Gold    CID002100    Yamakin Co., Ltd.    JAPAN    Conformant
Gold    CID002129    Yokohama Metal Co., Ltd.    JAPAN    Conformant
Gold    CID000957    Kazzinc    KAZAKHSTAN    Conformant
Gold    CID002615    TOO Tau-Ken-Altyn    KAZAKHSTAN    Conformant
Gold    CID000956    Kazakhmys Smelting LLC    KAZAKHSTAN    Non-Conformant


Gold    CID000778    HwaSeong CJ CO., LTD.    KOREA, REPUBLIC OF    Conformant
Gold    CID000359    DSC (Do Sung Corporation)    KOREA, REPUBLIC OF    Conformant
Gold    CID002605    Korea Zinc Co., Ltd.    KOREA, REPUBLIC OF    Conformant
Gold    CID001078    LS-NIKKO Copper Inc.    KOREA, REPUBLIC OF    Conformant
Gold    CID000689    LT Metal Ltd.    KOREA, REPUBLIC OF    Conformant
Gold    CID003189    NH Recytech Company    KOREA, REPUBLIC OF    Conformant
Gold    CID002918    SungEel HiMetal Co., Ltd.    KOREA, REPUBLIC OF    Conformant
Gold    CID001955    Torecom    KOREA, REPUBLIC OF    Conformant
Gold    CID001562    Samwon Metals Corp.    KOREA, REPUBLIC OF    Conformant
Gold    CID003195    TSK Pretech    KOREA, REPUBLIC OF    Conformant
Gold    CID001555    Samduck Precious Metals    KOREA, REPUBLIC OF    Non-Conformant
Gold    CID001029    Kyrgyzaltyn JSC    KYRGYZSTAN    Non-Conformant
Gold    CID003153    State Research Institute Center for Physical Sciences and Technology    LITHUANIA    Non-Conformant
Gold    CID002857    Modeltech Sdn Bhd    MALAYSIA    Non-Conformant
Gold    CID001161    Metalurgica Met-Mex Penoles S.A. De C.V.    MEXICO    Conformant
Gold    CID000180    Caridad    MEXICO    Non-Conformant
Gold    CID002582    REMONDIS PMR B.V.    NETHERLANDS    Conformant
Gold    CID002282    Morris and Watson    NEW ZEALAND    Non-Conformant
Gold    CID000128    Bangko Sentral ng Pilipinas (Central Bank of the Philippines)    PHILIPPINES    Conformant
Gold    CID002511    KGHM Polska Miedz Spolka Akcyjna    POLAND    Conformant
Gold    CID000493    JSC Novosibirsk Refinery    RUSSIAN FEDERATION   
Gold    CID000929    JSC Uralelectromed    RUSSIAN FEDERATION   
Gold    CID002865    Kyshtym Copper-Electrolytic Plant ZAO    RUSSIAN FEDERATION   
Gold    CID001326    OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)    RUSSIAN FEDERATION   
Gold    CID000493    OJSC Novosibirsk Refinery    RUSSIAN FEDERATION   
Gold    CID000927    JSC Ekaterinburg Non-Ferrous Metal Processing Plant    RUSSIAN FEDERATION   
Gold    CID001204    Moscow Special Alloys Processing Plant    RUSSIAN FEDERATION   
Gold    CID001386    Prioksky Plant of Non-Ferrous Metals    RUSSIAN FEDERATION   
Gold    CID001756    SOE Shyolkovsky Factory of Secondary Precious Metals    RUSSIAN FEDERATION   
Gold    CID001032    L’azurde Company For Jewelry    SAUDI ARABIA    Conformant


Gold    CID001152    Metalor Technologies (Singapore) Pte., Ltd.    SINGAPORE    Conformant
Gold    CID003575    Metal Concentrators SA (Pty) Ltd.    SOUTH AFRICA    Conformant
Gold    CID001512    Rand Refinery (Pty) Ltd.    SOUTH AFRICA    Conformant
Gold    CID001585    SEMPSA Joyeria Plateria S.A.    SPAIN    Conformant
Gold    CID000157    Boliden AB    SWEDEN    Conformant
Gold    CID000189    Cendres + Metaux S.A.    SWITZERLAND    Conformant
Gold    CID000077    Argor-Heraeus S.A.    SWITZERLAND    Conformant
Gold    CID001153    Metalor Technologies S.A.    SWITZERLAND    Conformant
Gold    CID001352    PAMP S.A.    SWITZERLAND    Conformant
Gold    CID001498    PX Precinox S.A.    SWITZERLAND    Conformant
Gold    CID002003    Valcambi S.A.    SWITZERLAND    Conformant
Gold    CID001761    Solar Applied Materials Technology Corp.    TAIWAN    Conformant
Gold    CID002516    Singway Technology Co., Ltd.    TAIWAN   
Gold    CID002314    Umicore Precious Metals Thailand    THAILAND    Conformant
Gold    CID000814    Istanbul Gold Refinery    TURKEY    Conformant
Gold    CID001220    Nadir Metal Rafineri San. Ve Tic. A.S.    TURKEY    Conformant
Gold    CID000103    Atasay Kuyumculuk Sanayi Ve Ticaret A.S.    TURKEY   
Gold    CID002560    Al Etihad Gold Refinery DMCC    UNITED ARAB EMIRATES    Conformant
Gold    CID002561    Emirates Gold DMCC    UNITED ARAB EMIRATES    Conformant
Gold    CID003348    Dijllah Gold Refinery FZC    UNITED ARAB EMIRATES   
Gold    CID002584    Fujairah Gold FZC    UNITED ARAB EMIRATES   
Gold    CID002562    International Precious Metal Refiners    UNITED ARAB EMIRATES   
Gold    CID002563    Kaloti Precious Metals    UNITED ARAB EMIRATES   
Gold    CID002708    Abington Reldan Metals, LLC    UNITED STATES OF AMERICA    Conformant
Gold    CID000015    Advanced Chemical Company    UNITED STATES OF AMERICA    Conformant
Gold    CID000920    Asahi Refining USA Inc.    UNITED STATES OF AMERICA    Conformant
Gold    CID002459    Geib Refining Corporation    UNITED STATES OF AMERICA    Conformant
Gold    CID000969    Kennecott Utah Copper LLC    UNITED STATES OF AMERICA    Conformant
Gold    CID001113    Materion    UNITED STATES OF AMERICA    Conformant
Gold    CID001157    Metalor USA Refining Corporation    UNITED STATES OF AMERICA    Conformant
Gold    CID001993    United Precious Metal Refining, Inc.    UNITED STATES OF AMERICA    Conformant


Gold    CID002872    Pease & Curren    UNITED STATES OF AMERICA   
Gold    CID003324    QG Refining, LLC    UNITED STATES OF AMERICA   
Gold    CID001546    Sabin Metal Corp.    UNITED STATES OF AMERICA   
Gold    CID000041    Almalyk Mining and Metallurgical Complex (AMMC)    UZBEKISTAN    Conformant
Gold    CID001236    Navoi Mining and Metallurgical Combinat    UZBEKISTAN    Conformant
Tantalum    CID001076    LSM Brasil S.A.    BRAZIL    Conformant
Tantalum    CID001175    Mineracao Taboca S.A.    BRAZIL    Conformant
Tantalum    CID002707    Resind Industria e Comercio Ltda.    BRAZIL    Conformant
Tantalum    CID000211    Changsha South Tantalum Niobium Co., Ltd.    CHINA    Conformant
Tantalum    CID000460    F&X Electro-Materials Ltd.    CHINA    Conformant
Tantalum    CID002505    FIR Metals & Resource Ltd.    CHINA    Conformant
Tantalum    CID000616    Guangdong Zhiyuan New Material Co., Ltd.    China    Conformant
Tantalum    CID002492    Hengyang King Xing Lifeng New Materials Co., Ltd.    CHINA    Conformant
Tantalum    CID002512    Jiangxi Dinghai Tantalum & Niobium Co., Ltd.    CHINA    Conformant
Tantalum    CID002842    Jiangxi Tuohong New Raw Material    CHINA    Conformant
Tantalum    CID000914    JiuJiang JinXin Nonferrous Metals Co., Ltd.    CHINA    Conformant
Tantalum    CID000917    Jiujiang Tanbre Co., Ltd.    CHINA    Conformant
Tantalum    CID002506    Jiujiang Zhongao Tantalum & Niobium Co., Ltd.    CHINA    Conformant
Tantalum    CID001277    Ningxia Orient Tantalum Industry Co., Ltd.    CHINA    Conformant
Tantalum    CID000616    XIMEI RESOURCES (GUANGDONG) LIMITED    CHINA    Conformant
Tantalum    CID002508    XinXing HaoRong Electronic Material Co., Ltd.    CHINA    Conformant
Tantalum    CID001522    Yanling Jincheng Tantalum & Niobium Co., Ltd.    CHINA    Conformant
Tantalum    CID001200    NPM Silmet AS    ESTONIA    Conformant
Tantalum    CID002547    H.C. Starck Hermsdorf GmbH    GERMANY    Conformant
Tantalum    CID002545    TANIOBIS GmbH    GERMANY    Conformant
Tantalum    CID002550    TANIOBIS Smelting GmbH & Co. KG    GERMANY    Conformant
Tantalum    CID001163    Metallurgical Products India Pvt., Ltd.    INDIA    Conformant
Tantalum    CID000092    Asaka Riken Co., Ltd.    JAPAN    Conformant
Tantalum    CID002558    Global Advanced Metals Aizu    JAPAN    Conformant
Tantalum    CID001192    Mitsui Mining and Smelting Co., Ltd.    JAPAN    Conformant
Tantalum    CID001869    Taki Chemical Co., Ltd.    JAPAN    Conformant


Tantalum    CID002549    TANIOBIS Japan Co., Ltd.    JAPAN    Conformant
Tantalum    CID001969    Ulba Metallurgical Plant JSC    KAZAKHSTAN    Conformant
Tantalum    CID002539    KEMET de Mexico    MEXICO    Conformant
Tantalum    CID002847    Meta Materials    NORTH MACEDONIA, REPUBLIC OF    Conformant
Tantalum    CID001769    Solikamsk Magnesium Works OAO    RUSSIAN FEDERATION   
Tantalum    CID002544    TANIOBIS Co., Ltd.    THAILAND    Conformant
Tantalum    CID000456    Exotech Inc.    UNITED STATES OF AMERICA    Conformant
Tantalum    CID002504    D Block Metals, LLC    UNITED STATES OF AMERICA    Conformant
Tantalum    CID002557    Global Advanced Metals Boyertown    UNITED STATES OF AMERICA    Conformant
Tantalum    CID002548    H.C. Starck Inc.    UNITED STATES OF AMERICA    Conformant
Tantalum    CID001508    QuantumClean    UNITED STATES OF AMERICA    Conformant
Tantalum    CID001891    Telex Metals    UNITED STATES OF AMERICA    Conformant
Tin    CID002773    Metallo Belgium N.V.    BELGIUM    Conformant
Tin    CID000438    EM Vinto    BOLIVIA (PLURINATIONAL STATE OF)    Conformant
Tin    CID001337    Operaciones Metalurgicas S.A.    BOLIVIA (PLURINATIONAL STATE OF)    Conformant
Tin    CID002756    Super Ligas    BRAZIL    Active
Tin    CID000448    Estanho de Rondonia S.A.    BRAZIL    Conformant
Tin    CID003582    Fabrica Auricchio Industria e Comercio Ltda.    BRAZIL    Conformant
Tin    CID002468    Magnu’s Minerais Metais e Ligas Ltda.    BRAZIL    Conformant
Tin    CID001173    Mineracao Taboca S.A.    BRAZIL    Conformant
Tin    CID002706    Resind Industria e Comercio Ltda.    BRAZIL    Conformant
Tin    CID002036    White Solder Metalurgia e Mineracao Ltda.    BRAZIL    Conformant
Tin    CID002500    Melt Metais e Ligas S.A.    BRAZIL    Conformant
Tin    CID001758    Soft Metais Ltda.    BRAZIL    Conformant
Tin    CID003410    Gejiu City Fuxiang Industry and Trade Co., Ltd.    CHINA    Conformant
Tin    CID002848    Gejiu Fengming Metallurgy Chemical Plant    CHINA    Conformant
Tin    CID000942    Gejiu Kai Meng Industry and Trade LLC    CHINA    Conformant
Tin    CID000555    Gejiu Zili Mining And Metallurgy Co., Ltd.    CHINA    Conformant
Tin    CID000228    Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.    CHINA    Conformant


Tin    CID003190    Chifeng Dajingzi Tin Industry Co., Ltd.    CHINA    Conformant
Tin    CID001070    China Tin Group Co., Ltd.    CHINA    Conformant
Tin    CID000538    Gejiu Non-Ferrous Metal Processing Co., Ltd.    CHINA    Conformant
Tin    CID003116    Guangdong Hanhe Non-Ferrous Metal Co., Ltd.    CHINA    Conformant
Tin    CID002844    HuiChang Hill Tin Industry Co., Ltd.    CHINA    Conformant
Tin    CID001231    Jiangxi New Nanshan Technology Ltd.    CHINA    Conformant
Tin    CID003379    Ma’anshan Weitai Tin Co., Ltd.    CHINA    Conformant
Tin    CID002180    Tin Smelting Branch of Yunnan Tin Co., Ltd.    CHINA    Conformant
Tin    CID002158    Yunnan Chengfeng Non-ferrous Metals Co., Ltd.    CHINA    Conformant
Tin    CID002180    Yunnan Tin Company Limited    CHINA    Conformant
Tin    CID003356    Dongguan CiEXPO Environmental Engineering Co., Ltd.    CHINA   
Tin    CID001908    Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.    CHINA   
Tin    CID003397    Yunnan Yunfan Non-ferrous Metals Co., Ltd.    CHINA   
Tin    CID003409    Precious Minerals and Smelting Limited    INDIA   
Tin    CID001399    PT Artha Cipta Langgeng    INDONESIA    Conformant
Tin    CID002503    PT ATD Makmur Mandiri Jaya    INDONESIA    Conformant
Tin    CID001402    PT Babel Inti Perkasa    INDONESIA    Conformant
Tin    CID001406    PT Babel Surya Alam Lestari    INDONESIA    Conformant
Tin    CID003205    PT Bangka Serumpun    INDONESIA    Conformant
Tin    CID001428    PT Bukit Timah    INDONESIA    Conformant
Tin    CID002696    PT Cipta Persada Mulia    INDONESIA    Conformant
Tin    CID002835    PT Menara Cipta Mulia    INDONESIA    Conformant
Tin    CID001453    PT Mitra Stania Prima    INDONESIA    Conformant
Tin    CID001458    PT Prima Timah Utama    INDONESIA    Conformant
Tin    CID003381    PT Rajawali Rimba Perkasa    INDONESIA    Conformant
Tin    CID002593    PT Rajehan Ariq    INDONESIA    Conformant
Tin    CID002870    PT Lautan Harmonis Sejahtera    INDONESIA    Conformant
Tin    CID001460    PT Refined Bangka Tin    INDONESIA    Conformant
Tin    CID001463    PT Sariwiguna Binasentosa    INDONESIA    Conformant
Tin    CID001468    PT Stanindo Inti Perkasa    INDONESIA    Conformant
Tin    CID001477    PT Timah Tbk Kundur    INDONESIA    Conformant
Tin    CID001482    PT Timah Tbk Mentok    INDONESIA    Conformant


Tin    CID001490    PT Tinindo Inter Nusa    INDONESIA    Conformant
Tin    CID000402    Dowa    JAPAN    Conformant
Tin    CID001191    Mitsubishi Materials Corporation    JAPAN    Conformant
Tin    CID001105    Malaysia Smelting Corporation (MSC)    MALAYSIA    Conformant
Tin    CID002858    Modeltech Sdn Bhd    MALAYSIA   
Tin    CID003208    Pongpipat Company Limited    MYANMAR   
Tin    CID001182    Minsur    PERU    Conformant
Tin    CID002517    O.M. Manufacturing Philippines, Inc.    PHILIPPINES    Conformant
Tin    CID000468    Fenix Metals    POLAND    Conformant
Tin    CID003387    Luna Smelter, Ltd.    RWANDA    Conformant
Tin    CID002774    Metallo Spain S.L.U.    SPAIN    Conformant
Tin    CID001539    Rui Da Hung    TAIWAN    Conformant
Tin    CID001314    O.M. Manufacturing (Thailand) Co., Ltd.    THAILAND    Conformant
Tin    CID001898    Thaisarco    THAILAND    Conformant
Tin    CID000292    Alpha    UNITED STATES OF AMERICA    Conformant
Tin    CID001142    Metallic Resources, Inc.    UNITED STATES OF AMERICA    Conformant
Tin    CID003325    Tin Technology & Refining    UNITED STATES OF AMERICA    Conformant
Tin    CID002834    Thai Nguyen Mining and Metallurgy Co., Ltd.    VIET NAM    Conformant
Tin    CID002703    An Vinh Joint Stock Mineral Processing Company    VIET NAM   
Tin    CID002572    Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company    VIET NAM   
Tin    CID002573    Nghe Tinh Non-Ferrous Metals Joint Stock Company    VIET NAM   
Tin    CID002574    Tuyen Quang Non-Ferrous Metals Joint Stock Company    VIET NAM   
Tungsten    CID002044    Wolfram Bergbau und Hutten AG    AUSTRIA    Conformant
Tungsten    CID002833    ACL Metais Eireli    BRAZIL   
Tungsten    CID003427    Albasteel Industria e Comercio de Ligas Para Fundicao Ltd.    BRAZIL   
Tungsten    CID002513    Chenzhou Diamond Tungsten Products Co., Ltd.    CHINA    Conformant
Tungsten    CID002641    China Molybdenum Co., Ltd.    CHINA    Conformant
Tungsten    CID002641    China Molybdenum Tungsten Co., Ltd.    CHINA    Conformant
Tungsten    CID000258    Chongyi Zhangyuan Tungsten Co., Ltd.    CHINA    Conformant
Tungsten    CID003401    Fujian Ganmin RareMetal Co., Ltd.    CHINA    Conformant
Tungsten    CID002645    Ganzhou Haichuang Tungsten Co., Ltd.    CHINA    Conformant


Tungsten    CID000875    Ganzhou Huaxing Tungsten Products Co., Ltd.    CHINA    Conformant
Tungsten    CID002315    Ganzhou Jiangwu Ferrotungsten Co., Ltd.    CHINA    Conformant
Tungsten    CID002494    Ganzhou Seadragon W & Mo Co., Ltd.    CHINA    Conformant
Tungsten    CID003417    GEM Co., Ltd.    CHINA    Conformant
Tungsten    CID000218    Guangdong Xianglu Tungsten Co., Ltd.    CHINA    Conformant
Tungsten    CID000766    Hunan Chenzhou Mining Co., Ltd.    CHINA    Conformant
Tungsten    CID000769    Hunan Chunchang Nonferrous Metals Co., Ltd.    CHINA    Conformant
Tungsten    CID002551    Jiangwu H.C. Starck Tungsten Products Co., Ltd.    CHINA    Conformant
Tungsten    CID002321    Jiangxi Gan Bei Tungsten Co., Ltd.    CHINA    Conformant
Tungsten    CID002318    Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.    CHINA    Conformant
Tungsten    CID003182    Hunan Litian Tungsten Industry Co., Ltd.    CHINA    Conformant
Tungsten    CID002317    Jiangxi Xinsheng Tungsten Industry Co., Ltd.    CHINA    Conformant
Tungsten    CID002316    Jiangxi Yaosheng Tungsten Co., Ltd.    CHINA    Conformant
Tungsten    CID002319    Malipo Haiyu Tungsten Co., Ltd.    CHINA    Conformant
Tungsten    CID002320    Xiamen Tungsten (H.C.) Co., Ltd.    CHINA    Conformant
Tungsten    CID002082    Xiamen Tungsten Co., Ltd.    CHINA    Conformant
Tungsten    CID002830    Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.    CHINA    Conformant
Tungsten    CID000281    CNMC (Guangxi) PGMA Co., Ltd.    CHINA   
Tungsten    CID002313    Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.    CHINA   
Tungsten    CID002541    H.C. Starck Tungsten GmbH    GERMANY    Conformant
Tungsten    CID002542    TANIOBIS Smelting GmbH & Co. KG    GERMANY    Conformant
Tungsten    CID000004    A.L.M.T. Corp.    JAPAN    Conformant
Tungsten    CID000825    Japan New Metals Co., Ltd.    JAPAN    Conformant
Tungsten    CID003388    KGETS Co., Ltd.    KOREA, REPUBLIC OF    Conformant
Tungsten    CID002843    Woltech Korea Co., Ltd.    KOREA, REPUBLIC OF    Conformant
Tungsten    CID002827    Philippine Chuangxin Industrial Co., Inc.    PHILIPPINES    Conformant
Tungsten    CID002649    Hydrometallurg, JSC    RUSSIAN FEDERATION   
Tungsten    CID003408    JSC “Kirovgrad Hard Alloys Plant”    RUSSIAN FEDERATION   
Tungsten    CID002845    Moliren Ltd.    RUSSIAN FEDERATION   
Tungsten    CID002724    Unecha Refractory metals plant    RUSSIAN FEDERATION   
Tungsten    CID003407    Lianyou Metals Co., Ltd.    TAIWAN    Conformant


Tungsten    CID000568    Global Tungsten & Powders Corp.    UNITED STATES OF AMERICA    Conformant
Tungsten    CID000966    Kennametal Fallon    UNITED STATES OF AMERICA    Conformant
Tungsten    CID000105    Kennametal Huntsville    UNITED STATES OF AMERICA    Conformant
Tungsten    CID002589    Niagara Refining LLC    UNITED STATES OF AMERICA    Conformant
Tungsten    CID002502    Asia Tungsten Products Vietnam Ltd.    VIET NAM    Conformant
Tungsten    CID002543    Masan High-Tech Materials    VIET NAM    Conformant

Appendix B

 

Country of Origin
China
Indonesia
Malaysia

Note: Based on RMAP information, the Conflict Minerals known to be sourced from the above countries of origin were from smelters or refiners that were either Active or Conformant during the Reporting Period.