0000764180-19-000051.txt : 20190529 0000764180-19-000051.hdr.sgml : 20190529 20190529125143 ACCESSION NUMBER: 0000764180-19-000051 CONFORMED SUBMISSION TYPE: SD PUBLIC DOCUMENT COUNT: 2 13p-1 1.01 20181231 1.02 20181231 FILED AS OF DATE: 20190529 DATE AS OF CHANGE: 20190529 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ALTRIA GROUP, INC. CENTRAL INDEX KEY: 0000764180 STANDARD INDUSTRIAL CLASSIFICATION: CIGARETTES [2111] IRS NUMBER: 133260245 STATE OF INCORPORATION: VA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SD SEC ACT: 1934 Act SEC FILE NUMBER: 001-08940 FILM NUMBER: 19860673 BUSINESS ADDRESS: STREET 1: 6601 WEST BROAD STREET CITY: RICHMOND STATE: VA ZIP: 23230 BUSINESS PHONE: (804) 274-2200 MAIL ADDRESS: STREET 1: 6601 WEST BROAD STREET CITY: RICHMOND STATE: VA ZIP: 23230 FORMER COMPANY: FORMER CONFORMED NAME: ALTRIA GROUP INC DATE OF NAME CHANGE: 20030127 FORMER COMPANY: FORMER CONFORMED NAME: PHILIP MORRIS COMPANIES INC DATE OF NAME CHANGE: 19920703 SD 1 a2018formsd.htm FORM SD Document



UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549


FORM SD

SPECIALIZED DISCLOSURE REPORT


ALTRIA GROUP, INC.
(Exact name of the registrant as specified in its charter)


Virginia
 
1-08940
 
13-3260245
(State or other jurisdiction of
incorporation or organization)
 
(Commission
File Number)
 
(IRS Employer
Identification No.)


6601 West Broad Street, Richmond, Virginia
 
23230
(Address of principal executive offices)
 
(Zip Code)

(Name and telephone number, including area code,
of the person to contact in connection with this report.): W. Hildebrandt Surgner, Jr. (804) 274-2200


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 - Conflict Minerals Disclosure

Item 1.01    Conflict Minerals Disclosure and Report

A copy of Altria Group, Inc.’s (“Altria”) Conflict Minerals Report is provided as Exhibit 1.01 to this Form SD and is publicly available at www.altria.com/secfilings. The information contained in, and that can be accessed through, the respective websites of Altria and its subsidiaries is not, and shall not be deemed to be, a part of this Form SD or incorporated into any other filings Altria makes with the Securities and Exchange Commission.

Item 1.02    Exhibit

A copy of Altria’s Conflict Minerals Report is provided as Exhibit 1.01 to this Form SD.

Section 2 - Exhibits

Item 2.01    Exhibits


2



SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the duly authorized undersigned.


 
ALTRIA GROUP, INC.
 
 
 
 
By:
/s/ Salvatore Mancuso
 
Name:
Salvatore Mancuso
 
Title:
Senior Vice President, Finance and Procurement
 
 
 

May 29, 2019



3
 EX-1.01 2 exhibit101conflictminerals.htm CONFLICT MINERALS REPORT Exhibit


EXHIBIT 1.01

ALTRIA GROUP, INC.

Conflict Minerals Report

For The Year Ended December 31, 2018



Overview:

Altria Group, Inc. is a holding company that conducts business through its wholly-owned subsidiary operating companies and services companies that support its operating companies. References to “Altria” in this report refer to Altria Group, Inc. and its subsidiary operating companies and services companies, unless otherwise specified or otherwise required. Altria prepared this report pursuant to Rule 13p-1 (the “Rule”) promulgated under the Securities Exchange Act of 1934, as amended.

The United States Securities and Exchange Commission (the “SEC”) requires registrants that manufacture or contract to manufacture products containing conflict minerals (defined as columbite-tantalite (coltan), cassiterite, gold, wolframite, or their derivatives, which are limited to tantalum, tin, and tungsten) necessary to the functionality or production of those products (“3TG”) to file a Form SD. For products that contain 3TG, a registrant must conduct a reasonable country of origin inquiry (“RCOI”) designed to determine whether any of the 3TG originated in the Democratic Republic of Congo or an adjoining country (a “Covered Country”). From January 1, 2018 until December 18, 2018, (the “Reporting Period”), Nu Mark LLC (“Nu Mark”), an Altria operating company, sold products containing 3TG. Altria does not believe that any of its other operating companies sold products containing 3TG that are necessary to their functionality or production. The products that Nu Mark sold that contain 3TG were e-vapor devices and related cartridges, battery assemblies and chargers under the MarkTen and Green Smoke brand names (collectively, the “Nu Mark Products”). In 2018, Nu Mark expanded its product offerings, which resulted in an increase in the number of smelters used from the previous year. However, in December 2018, Nu Mark announced the discontinuation of production and distribution of all Nu Mark Products. As of December 19, 2018, Nu Mark Products were no longer available for purchase online and were only available at existing retail locations while supplies lasted.

Description of Altria’s RCOI:

Altria began investigating the uses of 3TG in its products in 2012 and has periodically updated its processes to reflect evolving industry best practices and changes to its products and supply chains. Altria established a management system to support supply chain due diligence related to 3TG that includes a senior management review board and a team of subject matter experts from functions such as Procurement, Import Export Services, Product Development and Law (the “Conflict Minerals Team”). The Conflict Minerals Team created a process for (i) conducting the RCOI regarding the use of 3TG in Altria operating companies’ products and (ii) preparing the required disclosures and, to the extent necessary, reports.

Using information on the composition of Altria operating companies’ products prepared by the appropriate business functions, the Conflict Minerals Team determined that certain of the Nu Mark Products contain a small amount of gold, tin, tungsten and tantalum necessary to their functionality or production.

Based on their findings, the Conflict Minerals Team performed an RCOI of the Nu Mark Products. Nu Mark had a diverse and complex global supply chain and there are typically multiple tiers between the mines and production facilities for 3TG and its direct suppliers. Nu Mark relied on its direct suppliers to coordinate with their lower-tier (upstream) suppliers to obtain accurate information about the origins of 3TG in the goods


1


provided to Nu Mark. Therefore, a critical part of the RCOI involved engaging with Nu Mark’s direct suppliers. The Conflict Minerals Team provided Nu Mark’s direct suppliers with (i) a notice letter describing the requirements of the Rule and Altria’s reporting obligations and (ii) an annual certification form regarding whether the goods provided to Nu Mark contained 3TG and, if so, the source of the 3TG in those goods. The Conflict Minerals Team then worked with the direct suppliers to identify and trace the supply chain to the smelter or refiner that processed the minerals, and to the country of origin where possible, for each component of the Nu Mark Products that contained 3TG. As part of this process, the Conflict Minerals Team requested that all direct suppliers of goods that possibly contain 3TG provide information using the template developed by the Responsible Minerals Initiative (“RMI”, formerly the Conflict-Free Sourcing Initiative), known as the Conflict Minerals Reporting Template (the “CMRT”). The Conflict Minerals Team also requested that the direct suppliers contact each of their upstream suppliers and request certifications regarding whether the components that they provided contained 3TG and, if so, the source of the 3TG in those components. When a report warranted clarification or confirmation, the Conflict Minerals Team contacted the direct supplier to clarify or confirm information and responses of both the direct supplier and upstream suppliers. In some cases, the Conflict Minerals Team directly contacted upstream suppliers in order to obtain CMRTs, or for clarification and confirmation of information contained in the upstream supplier’s report.

The Conflict Minerals Team received responses from all the direct and upstream suppliers that were identified as part of Nu Mark’s supply chain and conducted further due diligence on the source and chain of custody of the 3TG in the Nu Mark Products, as described below.

Description of Due Diligence Process:

The Conflict Minerals Team designed its 3TG due diligence process based upon the Organisation for Economic Co-operation and Development’s Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, Third Edition (the “OECD Guidelines”). This process contains the following five steps:

Step 1. Establish Strong Company Management Systems
Step 2. Identify and Assess Risks in the Supply Chain
Step 3. Design and Implement a Strategy to Respond to Identified Risks
Step 4. Carry Out Independent Third-Party Audit of Smelter/Refiner’s Due Diligence Practices
Step 5. Report Annually on Supply Chain Due Diligence

Step 1. Establish Strong Company Management Systems

Conflict Minerals Position

Altria has an internal 3TG procedure that defines the process for conducting RCOI and due diligence regarding the use of 3TG and for preparing the forms and reports required by the Rule. Altria also has a conflict minerals position statement that is available on Altria’s website at http://www.altria.com/Responsibility/Supply-Chain-Responsibility/Conflict-Minerals/Pages/default.aspx?src=leftnav.

Conflict Minerals Team

As noted above, Altria established the Conflict Minerals Team to support supply chain due diligence related to 3TG. The Conflict Minerals Team is responsible for implementing and conducting 3TG due diligence on behalf of Altria’s operating companies.

Control Systems

Altria engages in industry-wide initiatives to enhance supply chain responsibility and to keep abreast of industry best practices. Specifically, Nu Mark is a member of RMI and the Responsible Business Alliance, formerly the Electronics Industry Citizenship Coalition. The Conflict Minerals Team reviewed the


2


certifications and reports provided by Nu Mark’s direct and upstream suppliers to confirm whether the smelters and refiners in Nu Mark’s supply chain participated in RMI’s Responsible Minerals Assurance Process. Table A below contains a list of smelters and refiners that Nu Mark’s direct and upstream suppliers identified as being present in their supply chains and that the Conflict Minerals Team believed processed 3TG contained in the Nu Mark Products.

Altria has an established records retention policy with respect to documentation relevant to the use of 3TG in the Nu Mark Products.

Supplier Engagement and Contractual Requirements

As described in the summary of the RCOI above, in 2018, Nu Mark had a strong level of engagement with its direct suppliers and, when necessary, it directly engaged its upstream suppliers.

To encourage responsible 3TG sourcing, Nu Mark had agreements with its contract manufacturers requiring 3TG reporting and due diligence assistance for goods sold to Nu Mark. Nu Mark required its contract manufacturers to notify Nu Mark immediately if they determined that a Nu Mark Product or related component originated from a Covered Country. These agreements also required that contract manufacturers cooperate with the Conflict Minerals Team’s 3TG reporting and due diligence efforts.

Nu Mark periodically engaged with its direct suppliers in various ways including site visits, supplier communications, and training activities. During these engagement events, Nu Mark discussed ethical sourcing topics, including the responsible sourcing of 3TG, to promote actions consistent with Altria’s Mission & Values, a description of which is available on Altria’s website at http://www.altria.com/About-Altria/Our-Mission-and-Values/Pages/default.aspx.

Grievance Mechanism

Altria has internal reporting mechanisms to receive and act on concerns expressed by employees regarding possible improper or unethical business practices or violations of company policies (including Altria’s Code of Conduct), laws, or regulations. Suppliers and others may also notify Altria of potential improper or unethical business practices or violations of company policies, laws, or regulations via appropriate operating company contact information available on Altria’s website at http://www.altria.com/Pages/Contact-Us.aspx or by accessing the Altria Integrity WebLine available at https://altria.alertline.com/gcs/welcome.

Step 2. Identify and Assess Risks in the Supply Chain

As described in the summary of the RCOI above, the Conflict Minerals Team engaged with Nu Mark’s direct suppliers and, when necessary, its upstream suppliers to evaluate the source of 3TG in the Nu Mark Products. Upon receiving a supplier certification and report, members of the Conflict Minerals Team reviewed the information for consistency and accuracy. As noted above, when a report warranted clarification or confirmation, a member of the Conflict Minerals Team contacted the direct supplier, or in some cases the upstream supplier, to clarify or confirm the information and responses. The Conflict Minerals Team’s review also included checking all identified smelters and refiners against RMI’s Responsible Minerals Assurance Process database (the “Smelter Database”). With the exception of the smelters specifically noted in Table A, all smelters and refiners identified in Nu Mark’s supply chain were listed as conformant with the relevant Responsible Minerals Assurance Process assessment protocols in the Smelter Database as of March 2019 (including their RMI smelter identification number).

Step 3. Design and Implement a Strategy to Respond to Identified Risks

The Conflict Minerals Team performs a risk assessment to identify areas of possible concern within Nu Mark’s supply chain. The Conflict Minerals Team evaluates areas of possible concern and deploys appropriate risk mitigation controls and strategies. For example, one risk mitigation control is change


3


notification, which requires members of the supply chain to notify Nu Mark before making any sourcing changes in the supply chain.

For 2018, Altria continued to provide enhanced transparency into Nu Mark’s supply chain by identifying the countries of origin for the 3TG in the Nu Mark Products. Table B below contains a list of countries that Nu Mark’s direct and upstream suppliers identified as being the sources of 3TG contained in the Nu Mark Products.

As noted above, the Conflict Minerals Team is comprised of a multidisciplinary group of subject matter experts that periodically reports to Altria’s senior management.

Step 4. Carry Out Independent Third-Party Audit of Smelter/Refiner’s Due Diligence Practices

Nu Mark supported audits of 3TG smelters and refiners conducted by third parties through its participation in the RMI’s Responsible Minerals Assurance Process.

Step 5. Report Annually on Supply Chain Due Diligence

This report constitutes Altria’s annual report on its 3TG due diligence and is publicly available at www.altria.com/secfilings. The information contained in, and that can be accessed through, the respective websites of Altria Group, Inc. and its subsidiaries is not, and shall not be deemed to be, a part of this report or the related Form SD or incorporated into any other filings Altria Group, Inc. makes with the SEC.
























4



Table A

Summary of Identified Smelters and Refiners for 2018
Metal
Smelter Name
RMI Smelter ID No.
Smelter Country
Gold
Advanced Chemical Company
CID000015
UNITED STATES OF AMERICA
Gold
Aida Chemical Industries Co., Ltd.
CID000019
JAPAN
Gold
Allgemeine Gold-und Silberscheideanstalt A.G.
CID000035
GERMANY
Gold
Almalyk Mining and Metallurgical Complex (AMMC)
CID000041
UZBEKISTAN
Gold
AngloGold Ashanti Corrego do Sitio Mineracao
CID000058
BRAZIL
Gold
Argor-Heraeus S.A.
CID000077
SWITZERLAND
Gold
Asahi Pretec Corp.
CID000082
JAPAN
Gold
Asaka Riken Co., Ltd.
CID000090
JAPAN
Gold
Aurubis AG
CID000113
GERMANY
Gold
Bangko Sentral ng Pilipinas (Central Bank of the Philippines)
CID000128
PHILIPPINES
Gold
Boliden AB
CID000157
SWEDEN
Gold
C. Hafner GmbH + Co. KG
CID000176
GERMANY
Gold
CCR Refinery - Glencore Canada Corporation
CID000185
CANADA
Gold
Cendres + Metaux S.A.
CID000189
SWITZERLAND
Gold
Chimet S.p.A.
CID000233
ITALY
Gold
Chugai Mining*
CID000264*
JAPAN
Gold
Daejin Indus Co., Ltd.
CID000328
KOREA, REPUBLIC OF
Gold
DSC (Do Sung Corporation)
CID000359
KOREA, REPUBLIC OF
Gold
DODUCO Contacts and Refining GmbH
CID000362
GERMANY
Gold
Dowa
CID000401
JAPAN
Gold
Eco-System Recycling Co., Ltd.
CID000425
JAPAN
Gold
OJSC Novosibirsk Refinery
CID000493
RUSSIAN FEDERATION
Gold
HeeSung Metal Ltd.
CID000689
KOREA, REPUBLIC OF
Gold
Heimerle + Meule GmbH
CID000694
GERMANY
Gold
Heraeus Metals Hong Kong Ltd.
CID000707
CHINA
Gold
Heraeus Precious Metals GmbH & Co. KG
CID000711
GERMANY
Gold
Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.
CID000801
CHINA
Gold
Ishifuku Metal Industry Co., Ltd.
CID000807
JAPAN
Gold
Istanbul Gold Refinery
CID000814
TURKEY
Gold
Japan Mint
CID000823
JAPAN
Gold
Jiangxi Copper Co., Ltd.
CID000855
CHINA
Gold
Asahi Refining USA Inc.
CID000920
UNITED STATES OF AMERICA
Gold
Asahi Refining Canada Ltd.
CID000924
CANADA
Gold
JSC Uralelectromed
CID000929
RUSSIAN FEDERATION
Gold
JX Nippon Mining & Metals Co., Ltd.
CID000937
JAPAN
Gold
Kazzinc
CID000957
KAZAKHSTAN


5


Gold
Kennecott Utah Copper LLC
CID000969
UNITED STATES OF AMERICA
Gold
Kojima Chemicals Co., Ltd.
CID000981
JAPAN
Gold
Kyrgyzaltyn JSC
CID001029
KYRGYZSTAN
Gold
LS-NIKKO Copper Inc.
CID001078
KOREA, REPUBLIC OF
Gold
Materion
CID001113
UNITED STATES OF AMERICA
Gold
Matsuda Sangyo Co., Ltd.
CID001119
JAPAN
Gold
Metalor Technologies (Suzhou) Ltd.
CID001147
CHINA
Gold
Metalor Technologies (Hong Kong) Ltd.
CID001149
CHINA
Gold
Metalor Technologies (Singapore) Pte., Ltd.
CID001152
SINGAPORE
Gold
Metalor Technologies S.A.
CID001153
SWITZERLAND
Gold
Metalor USA Refining Corporation
CID001157
UNITED STATES OF AMERICA
Gold
Metalurgica Met-Mex Penoles S.A. De C.V.
CID001161
MEXICO
Gold
Mitsubishi Materials Corporation
CID001188
JAPAN
Gold
Mitsui Mining and Smelting Co., Ltd.
CID001193
JAPAN
Gold
Moscow Special Alloys Processing Plant
CID001204
RUSSIAN FEDERATION
Gold
Nadir Metal Rafineri San. Ve Tic. A.S.
CID001220
TURKEY
Gold
Nihon Material Co., Ltd.
CID001259
JAPAN
Gold
Ohura Precious Metal Industry Co., Ltd.
CID001325
JAPAN
Gold
OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)
CID001326
RUSSIAN FEDERATION
Gold
PAMP S.A.
CID001352
SWITZERLAND
Gold
Prioksky Plant of Non-Ferrous Metals
CID001386
RUSSIAN FEDERATION
Gold
PT Aneka Tambang (Persero) Tbk
CID001397
INDONESIA
Gold
PX Precinox S.A.
CID001498
SWITZERLAND
Gold
Rand Refinery (Pty) Ltd.
CID001512
SOUTH AFRICA
Gold
Royal Canadian Mint
CID001534
CANADA
Gold
Samduck Precious Metals
CID001555
KOREA, REPUBLIC OF
Gold
SEMPSA Joyeria Plateria S.A.
CID001585
SPAIN
Gold
Shandong Zhaojin Gold & Silver Refinery Co., Ltd.
CID001622
CHINA
Gold
Sichuan Tianze Precious Metals Co., Ltd.
CID001736
CHINA
Gold
SOE Shyolkovsky Factory of Secondary Precious Metals
CID001756
RUSSIAN FEDERATION
Gold
Solar Applied Materials Technology Corp.
CID001761
TAIWAN
Gold
Sumitomo Metal Mining Co., Ltd.
CID001798
JAPAN
Gold
Tanaka Kikinzoku Kogyo K.K.
CID001875
JAPAN
Gold
The Refinery of Shandong Gold Mining Co., Ltd.
CID001916
CHINA
Gold
Tokuriki Honten Co., Ltd.
CID001938
JAPAN
Gold
Torecom
CID001955
KOREA, REPUBLIC OF
Gold
Umicore Brasil Ltda.
CID001977
BRAZIL
Gold
Umicore S.A. Business Unit Precious Metals Refining
CID001980
BELGIUM
Gold
United Precious Metal Refining, Inc.
CID001993
UNITED STATES OF AMERICA
Gold
Valcambi S.A.
CID002003
SWITZERLAND
Gold
Western Australian Mint (T/a The Perth Mint)
CID002030
AUSTRALIA


6


Gold
Yamakin Co., Ltd.
CID002100
JAPAN
Gold
Yokohama Metal Co., Ltd.
CID002129
JAPAN
Gold
Zhongyuan Gold Smelter of Zhongjin Gold Corporation
CID002224
CHINA
Gold
Gold Refinery of Zijin Mining Group Co., Ltd.
CID002243
CHINA
Gold
Umicore Precious Metals Thailand
CID002314
THAILAND
Gold
Geib Refining Corporation
CID002459
UNITED STATES OF AMERICA
Gold
MMTC-PAMP India Pvt., Ltd.
CID002509
INDIA
Gold
KGHM Polska Miedz Spolka Akcyjna*
CID002511*
POLAND
Gold
Singway Technology Co., Ltd.
CID002516
TAIWAN
Gold
Al Etihad Gold Refinery DMCC
CID002560
UNITED ARAB EMIRATES
Gold
Emirates Gold DMCC
CID002561
UNITED ARAB EMIRATES
Gold
T.C.A S.p.A
CID002580
ITALY
Gold
REMONDIS PMR B.V.
CID002582
NETHERLANDS
Gold
Korea Zinc Co., Ltd.
CID002605
KOREA, REPUBLIC OF
Gold
Marsam Metals
CID002606
BRAZIL
Gold
SAAMP
CID002761
FRANCE
Gold
L'Orfebre S.A.
CID002762
ANDORRA
Gold
Italpreziosi
CID002765
ITALY
Gold
SAXONIA Edelmetalle GmbH
CID002777
GERMANY
Gold
WIELAND Edelmetalle GmbH
CID002778
GERMANY
Gold
Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH
CID002779
AUSTRIA
Gold
AU Traders and Refiners
CID002850
SOUTH AFRICA
Gold
Bangalore Refinery
CID002863
INDIA
Gold
SungEel HiMetal Co., Ltd.
CID002918
KOREA, REPUBLIC OF
Gold
Planta Recuperadora de Metales SpA
CID002919
CHILE
Gold
Safimet S.p.A
CID002973
ITALY
Tantalum
Asaka Riken Co., Ltd.
CID000092
JAPAN
Tantalum
Changsha South Tantalum Niobium Co., Ltd.
CID000211
CHINA
Tantalum
Guangdong Rising Rare Metals-EO Materials Ltd.
CID000291
CHINA
Tantalum
Exotech Inc.
CID000456
UNITED STATES OF AMERICA
Tantalum
F&X Electro-Materials Ltd.
CID000460
CHINA
Tantalum
Guangdong Zhiyuan New Material Co., Ltd.
CID000616
CHINA
Tantalum
JiuJiang JinXin Nonferrous Metals Co., Ltd.
CID000914
CHINA
Tantalum
Jiujiang Tanbre Co., Ltd.
CID000917
CHINA
Tantalum
LSM Brasil S.A.
CID001076
BRAZIL
Tantalum
Metallurgical Products India Pvt., Ltd.
CID001163
INDIA
Tantalum
Mineracao Taboca S.A.
CID001175
BRAZIL
Tantalum
Mitsui Mining and Smelting Co., Ltd.
CID001192
JAPAN
Tantalum
NPM Silmet AS
CID001200
ESTONIA
Tantalum
Ningxia Orient Tantalum Industry Co., Ltd.
CID001277
CHINA
Tantalum
QuantumClean
CID001508
UNITED STATES OF AMERICA
Tantalum
RFH Tantalum Smeltery Co., Ltd./Yanling Jincheng Tantalum & Niobium Co., Ltd.
CID001522
CHINA


7


Tantalum
Solikamsk Magnesium Works OAO
CID001769
RUSSIAN FEDERATION
Tantalum
Taki Chemical Co., Ltd.
CID001869
JAPAN
Tantalum
Telex Metals
CID001891
UNITED STATES OF AMERICA
Tantalum
Ulba Metallurgical Plant JSC
CID001969
KAZAKHSTAN
Tantalum
Hengyang King Xing Lifeng New Materials Co., Ltd.
CID002492
CHINA
Tantalum
D Block Metals, LLC
CID002504
UNITED STATES OF AMERICA
Tantalum
FIR Metals & Resource Ltd.
CID002505
CHINA
Tantalum
Jiujiang Zhongao Tantalum & Niobium Co., Ltd.
CID002506
CHINA
Tantalum
XinXing HaoRong Electronic Material Co., Ltd.
CID002508
CHINA
Tantalum
Jiangxi Dinghai Tantalum & Niobium Co., Ltd.
CID002512
CHINA
Tantalum
KEMET Blue Metals
CID002539
MEXICO
Tantalum
H.C. Starck Co., Ltd.
CID002544
THAILAND
Tantalum
H.C. Starck Tantalum and Niobium GmbH
CID002545
GERMANY
Tantalum
H.C. Starck Hermsdorf GmbH
CID002547
GERMANY
Tantalum
H.C. Starck Inc.
CID002548
UNITED STATES OF AMERICA
Tantalum
H.C. Starck Ltd.
CID002549
JAPAN
Tantalum
H.C. Starck Smelting GmbH & Co. KG
CID002550
GERMANY
Tantalum
Global Advanced Metals Boyertown
CID002557
UNITED STATES OF AMERICA
Tantalum
Global Advanced Metals Aizu
CID002558
JAPAN
Tantalum
KEMET Blue Powder
CID002568
UNITED STATES OF AMERICA
Tantalum
Resind Industria e Comercio Ltda.
CID002707
BRAZIL
Tantalum
Jiangxi Tuohong New Raw Material
CID002842
CHINA
Tantalum
Power Resources Ltd.
CID002847
MACEDONIA, THE FORMER YUGOSLAV REPUBLIC OF
Tantalum
Jiujiang Janny New Material Co., Ltd.
CID003191
CHINA
Tin
Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.
CID000228
CHINA
Tin
Alpha
CID000292
UNITED STATES OF AMERICA
Tin
CV Gita Pesona
CID000306
INDONESIA
Tin
PT Aries Kencana Sejahtera
CID000309
INDONESIA
Tin
PT Premium Tin Indonesia
CID000313
INDONESIA
Tin
CV United Smelting
CID000315
INDONESIA
Tin
Dowa
CID000402
JAPAN
Tin
EM Vinto
CID000438
BOLIVIA
Tin
Fenix Metals
CID000468
POLAND
Tin
Gejiu Non-Ferrous Metal Processing Co., Ltd.
CID000538
CHINA
Tin
Gejiu Zili Mining And Metallurgy Co., Ltd.*
CID000555*
CHINA
Tin
Huichang Jinshunda Tin Co., Ltd.
CID000760
CHINA
Tin
Gejiu Kai Meng Industry and Trade LLC
CID000942
CHINA
Tin
China Tin Group Co., Ltd.
CID001070
CHINA
Tin
Malaysia Smelting Corporation (MSC)
CID001105
MALAYSIA
Tin
Metallic Resources, Inc.
CID001142
UNITED STATES OF AMERICA


8


Tin
Mineracao Taboca S.A.
CID001173
BRAZIL
Tin
Minsur
CID001182
PERU
Tin
Mitsubishi Materials Corporation
CID001191
JAPAN
Tin
Jiangxi New Nanshan Technology Ltd.
CID001231
CHINA
Tin
O.M. Manufacturing (Thailand) Co., Ltd.
CID001314
THAILAND
Tin
Operaciones Metalurgicas S.A.
CID001337
BOLIVIA
Tin
PT Artha Cipta Langgeng
CID001399
INDONESIA
Tin
PT Babel Inti Perkasa
CID001402
INDONESIA
Tin
PT Bangka Tin Industry
CID001419
INDONESIA
Tin
PT Belitung Industri Sejahtera
CID001421
INDONESIA
Tin
PT Bukit Timah
CID001428
INDONESIA
Tin
PT DS Jaya Abadi
CID001434
INDONESIA
Tin
PT Karimun Mining
CID001448
INDONESIA
Tin
PT Mitra Stania Prima
CID001453
INDONESIA
Tin
PT Panca Mega Persada
CID001457
INDONESIA
Tin
PT Prima Timah Utama
CID001458
INDONESIA
Tin
PT Refined Bangka Tin
CID001460
INDONESIA
Tin
PT Sariwiguna Binasentosa
CID001463
INDONESIA
Tin
PT Stanindo Inti Perkasa
CID001468
INDONESIA
Tin
PT Sumber Jaya Indah
CID001471
INDONESIA
Tin
PT Timah Tbk Kundur
CID001477
INDONESIA
Tin
PT Timah Tbk Mentok
CID001482
INDONESIA
Tin
PT Tinindo Inter Nusa
CID001490
INDONESIA
Tin
PT Tommy Utama
CID001493
INDONESIA
Tin
Rui Da Hung
CID001539
TAIWAN
Tin
Soft Metais Ltda.
CID001758
BRAZIL
Tin
Thaisarco
CID001898
THAILAND
Tin
Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.
CID001908
CHINA
Tin
White Solder Metalurgia e Mineracao Ltda.
CID002036
BRAZIL
Tin
Yunnan Chengfeng Non-ferrous Metals Co., Ltd.
CID002158
CHINA
Tin
Yunnan Tin Company Limited
CID002180
CHINA
Tin
CV Venus Inti Perkasa
CID002455
INDONESIA
Tin
Magnu's Minerais Metais e Ligas Ltda.
CID002468
BRAZIL
Tin
Melt Metais e Ligas S.A.
CID002500
BRAZIL
Tin
PT ATD Makmur Mandiri Jaya
CID002503
INDONESIA
Tin
O.M. Manufacturing Philippines, Inc.
CID002517
PHILIPPINES
Tin
PT Inti Stania Prima
CID002530
INDONESIA
Tin
CV Ayi Jaya
CID002570
INDONESIA
Tin
CV Dua Sekawan
CID002592
INDONESIA
Tin
PT Rajehan Ariq
CID002593
INDONESIA
Tin
Resind Industria e Comercio Ltda.
CID002706
BRAZIL
Tin
Metallo Belgium N.V.
CID002773
BELGIUM
Tin
Metallo Spain S.L.U.
CID002774
SPAIN
Tin
PT Bangka Prima Tin
CID002776
INDONESIA
Tin
PT Sukses Inti Makmur
CID002816
INDONESIA
Tin
PT Kijang Jaya Mandiri
CID002829
INDONESIA
Tin
PT Menara Cipta Mulia
CID002835
INDONESIA
Tin
Gejiu Fengming Metallurgy Chemical Plant
CID002848
CHINA
Tin
Guanyang Guida Nonferrous Metal Smelting Plant
CID002849
CHINA
Tin
Modeltech Sdn Bhd
CID002858
MALAYSIA


9


Tin
Gejiu Jinye Mineral Company
CID002859
CHINA
Tin
PT Lautan Harmonis Sejahtera
CID002870
INDONESIA
Tin
Guangdong Hanhe Non-Ferrous Metal Co., Ltd.
CID003116
CHINA
Tin
Chifeng Dajingzi Tin Industry Co., Ltd.
CID003190
CHINA
Tin
PT Bangka Serumpun
CID003205
INDONESIA
Tungsten
A.L.M.T. Corp.
CID000004
JAPAN
Tungsten
Kennametal Huntsville
CID000105
UNITED STATES OF AMERICA
Tungsten
Guangdong Xianglu Tungsten Co., Ltd.
CID000218
CHINA
Tungsten
Chongyi Zhangyuan Tungsten Co., Ltd.
CID000258
CHINA
Tungsten
Fujian Jinxin Tungsten Co., Ltd.
CID000499
CHINA
Tungsten
Global Tungsten & Powders Corp.
CID000568
UNITED STATES OF AMERICA
Tungsten
Hunan Chenzhou Mining Co., Ltd.
CID000766
CHINA
Tungsten
Hunan Chunchang Nonferrous Metals Co., Ltd.
CID000769
CHINA
Tungsten
Japan New Metals Co., Ltd.
CID000825
JAPAN
Tungsten
Ganzhou Huaxing Tungsten Products Co., Ltd.
CID000875
CHINA
Tungsten
Kennametal Fallon
CID000966
UNITED STATES OF AMERICA
Tungsten
Tejing (Vietnam) Tungsten Co., Ltd.
CID001889
VIETNAM
Tungsten
Wolfram Bergbau und Hutten AG
CID002044
AUSTRIA
Tungsten
Xiamen Tungsten Co., Ltd.
CID002082
CHINA
Tungsten
Xinhai Rendan Shaoguan Tungsten Co., Ltd.
CID002095
CHINA
Tungsten
Ganzhou Jiangwu Ferrotungsten Co., Ltd.
CID002315
CHINA
Tungsten
Jiangxi Yaosheng Tungsten Co., Ltd.
CID002316
CHINA
Tungsten
Jiangxi Xinsheng Tungsten Industry Co., Ltd.
CID002317
CHINA
Tungsten
Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.
CID002318
CHINA
Tungsten
Malipo Haiyu Tungsten Co., Ltd.
CID002319
CHINA
Tungsten
Xiamen Tungsten (H.C.) Co., Ltd.
CID002320
CHINA
Tungsten
Jiangxi Gan Bei Tungsten Co., Ltd.
CID002321
CHINA
Tungsten
Ganzhou Seadragon W & Mo Co., Ltd.
CID002494
CHINA
Tungsten
Chenzhou Diamond Tungsten Products Co., Ltd.
CID002513
CHINA
Tungsten
H.C. Starck Tungsten GmbH
CID002541
GERMANY
Tungsten
H.C. Starck Smelting GmbH & Co. KG
CID002542
GERMANY
Tungsten
Masan Tungsten Chemical LLC (MTC)
CID002543
VIETNAM
Tungsten
Jiangwu H.C. Starck Tungsten Products Co., Ltd.
CID002551
CHINA
Tungsten
Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji
CID002579
CHINA
Tungsten
Niagara Refining LLC
CID002589
UNITED STATES OF AMERICA
Tungsten
Ganzhou Haichuang Tungsten Co., Ltd.
CID002645
CHINA
Tungsten
Hydrometallurg, JSC
CID002649
RUSSIAN FEDERATION
Tungsten
Unecha Refractory metals plant
CID002724
RUSSIAN FEDERATION
Tungsten
South-East Nonferrous Metal Company Limited of Hengyang City
CID002815
CHINA
Tungsten
Philippine Chuangxin Industrial Co., Inc.
CID002827
PHILIPPINES
Tungsten
Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.
CID002830
CHINA
Tungsten
ACL Metais Eireli
CID002833
BRAZIL
Tungsten
Woltech Korea Co., Ltd.
CID002843
KOREA, REPUBLIC OF


10


Tungsten
Moliren Ltd.
CID002845
RUSSIAN FEDERATION

* The smelters and refiners identified with an asterisk (*) are listed as "active" and are not yet "conformant" with the relevant Responsible Minerals Assurance Process assessment protocols per the Smelter Database as of March 2019.



Table B

Summary of Countries of Origin for 2018
Metal
Countries
Gold
Andorra, Australia, Austria, Belgium, Brazil, Canada, Chile, China, France, Germany, India, Indonesia, Italy, Japan, Kazakhstan, Republic of Korea, Kyrgyzstan, Mexico, Netherlands, Philippines, Poland, Russian Federation, Singapore, South Africa, Spain, Sweden, Switzerland, Taiwan, Thailand, Turkey, United Arab Emirates, United States of America, Uzbekistan
Tin
Belgium, Bolivia, Brazil, China, Indonesia, Japan, Malaysia, Peru, Philippines, Poland, Spain, Taiwan, Thailand, United States of America
Tungsten
Austria, Brazil, China, Germany, Japan, Philippines, Republic of Korea, Russian Federation, United States of America, Vietnam
Tantalum
Brazil, China, Estonia, Germany, India, Japan, Kazakhstan, the Former Yugoslav Republic of Macedonia, Mexico, Russian Federation, Thailand, United States of America.






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