UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, DC 20549

 

 

FORM SD

 

 

SPECIALIZED DISCLOSURE REPORT

 

 

Microsoft Corporation

(Exact Name of Registrant as Specified in Its Charter)

 

 

Washington

(State or Other Jurisdiction

of Incorporation)

 

001-37845   91-1144442

(Commission

File Number)

 

(IRS Employer

Identification No.)

 

One Microsoft Way, Redmond, Washington   98052-6399
(Address of Principal Executive Offices)   (Zip Code)

(425) 882-8080

(Registrant’s Telephone Number, Including Area Code)

(Former Name or Former Address, if Changed Since Last Report)

 

 

Check the appropriate box to indicate the rule pursuant to which this form is being filed, and provide the period to which the information in this form applies:

 

Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the period from January 1 to December 31, 2018.

 

 

 


Section 1 - Conflict Minerals Disclosure

Items 1.01 Conflict Minerals Disclosure and Report

Conflict Minerals Disclosure

A copy of Microsoft’s Conflict Minerals Report is provided as Exhibit 1.01 hereto and is publicly available at: http://download.microsoft.com/download/B/1/A/B1A33754-D15B-4A0D-8463-A9253C03CF07/Microsoft_Conflict_Minerals_Report_2019.pdf

Item 1.02 Exhibits

The Conflict Minerals Report required by Item 1.01 is filed as Exhibit 1.01 to this form SD.

Section 2 - Exhibits

Item 2.01 - Exhibits

Exhibit 1.01 - Conflict Minerals Report


SIGNATURE

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

 

   MICROSOFT CORPORATION
   (Registrant)

Date: May 31, 2019

  

/s/ BRADFORD L. SMITH

   Bradford L. Smith
   President and Chief Legal Officer

Exhibit 1.01

MICROSOFT CORPORATION

CONFLICT MINERALS REPORT

FOR THE REPORTING PERIOD FROM

JANUARY 1 TO DECEMBER 31, 2018

 

I.

INTRODUCTION

This Conflict Minerals Report (“CMR”) for MICROSOFT CORPORATION (“Microsoft”) is filed as an exhibit to Microsoft’s Form SD pursuant to Rule 13p-1 under the Securities Exchange Act of 1934 (the “Rule”) for the 2018 reporting year. The report covers all Microsoft majority-owned subsidiaries and variable interest entities that are subject to the Rule. The Rule imposes certain due diligence and reporting obligations on US Securities and Exchange Commission (“SEC”) registrants whose manufactured products (including products contracted to be made for each registrant) contain “conflict minerals” necessary to the functionality or production of those products. The Rule defines “conflict minerals” to include cassiterite, columbite-tantalite, gold, wolframite and their derivatives limited to tin, tantalum, tungsten, and gold (collectively referred to as “3TGs”).

Microsoft develops, licenses, and supports a wide range of software products, services and hardware devices that deliver new opportunities, greater convenience, and enhanced value to people’s lives. Microsoft is committed to the responsible sourcing of raw materials globally in support of human rights, labor, health and safety, environmental protection, and business ethics. Our commitment and strategy are outlined in Microsoft’s Responsible Sourcing of Raw Materials (“RSRM”) policy. Under our policy, Microsoft takes a holistic approach to the responsible sourcing of raw materials while working toward the use of conflict-free minerals in our devices. We strive to avoid harming communities through an inadvertent de facto embargo of minerals from Conflict Affected and High Risk Areas (“CAHRAs”), including the Democratic Republic of the Congo (“DRC”) or DRC-adjoining countries. The Rule defines the DRC and any of its adjoining countries as a “Covered Country.”

The number of Responsible Minerals Assurance Process (“RMAP”) 1 conformant smelters or refiners (“SORs”) in our supply chain remained consistent at 252. Since our last CMR filing, we have taken the following actions to improve our raw material due diligence:

 

   

Leveraged the results from the full integration of the RSRM program into our Social and Environmental Accountability (“SEA”) audit process to drive improvements in our supply chain for raw material sourcing;

 

   

Visited a tin smelter in China to understand the Responsible Minerals Initiative (“RMI”) smelter preaudit and to help us have a clearer picture of upstream and downstream suppliers;

 

   

Strengthened external partnerships to increase on-the-ground risk mitigation and enhance Microsoft’s due diligence capabilities; and

 

   

Strengthened internal partnerships to identify raw material risk at an early product development stage.

 

1  

Please note: this CMR contains references and hyper-text links to non-Microsoft, external websites. These links are provided for informational purposes only. Their inclusion in this CMR does not establish Microsoft’s endorsement of or assumption of liability for content posted on these external websites.

 

1


Microsoft devices contain one or more 3TGs and are within the Rule’s scope. Devices manufactured during the 2018 reporting year included:

 

   

Surface line of computers and other intelligent devices;

 

   

Xbox gaming/entertainment consoles and accessories;

 

   

HoloLens, a self-contained holographic computer; and

 

   

Personal computing accessories (mice, headsets, and keyboards).

On the basis of our “Reasonable Country of Origin Inquiry” (“RCOI”) (see Section II), we determined that 3TGs contained in our devices may have originated in a Covered Country. Therefore, we are submitting this CMR, which describes the conflict minerals due diligence we performed during the 2018 reporting year, as an exhibit to our Form SD. We have published the CMR externally on our responsible sourcing website .

The manufacture of our devices during any specified time period may include raw materials sourced before, as well as during, that time period. Some 3TGs used during the 2018 reporting year may have been smelted and refined prior to the Rule’s initial reporting period. While such 3TGs are excluded from the Rule’s scope, our RCOI and supply chain due diligence conducted for the 2018 reporting year may have included such minerals.

 

II.

REASONABLE COUNTRY OF ORIGIN INQUIRY

Our RCOI corresponds to the first and second steps of the five-step OECD Due Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (“OECD Guidance”). The OECD Guidance provides a detailed due diligence framework to support responsible global supply chain management of minerals and is currently the only internationally recognized framework for raw material due diligence. The OECD Guidance (including its Supplements) applies to each of the 3TGs and to Microsoft as a “downstream company.”

Microsoft does not source directly from 3TG raw material providers. We source products from suppliers, which source materials, components, and products from their sub-tier suppliers. Our supply chain is extensive and complex with many layers of suppliers positioned between ourselves and 3TG raw materials providers and processors (also known as “SORs”). We refer collectively in this CMR to directly contracted strategic suppliers as “in-scope suppliers.” Due to our extended supply chain, we leverage our in-scope suppliers to provide information on the sources and chains of custody of 3TGs necessary to the manufacture of our devices. We provide more detail on our supply chain due diligence process in Section III. The graphic below demonstrates Microsoft’s span of influence with its suppliers.

 

2


LOGO

 

  A.

Establish Strong Company Management Systems

 

  1.

Company Policies

The Microsoft Global Human Rights Statement and Supplier Code of Conduct define our expectations concerning ethical business, employment, environmental, and worker safety practices. Microsoft’s RSRM policy describes our commitment and strategy to responsibly source raw materials used in our devices. Microsoft is committed to indirectly source raw materials in support of human rights, labor, health and safety, environment, and ethics. This pledge extends to the harvesting, extraction, and transportation of raw materials globally and to all substances used in our devices unbounded by specific materials or locations. Our policy supports implementation of programs that are region-specific and work toward the use of conflict-free minerals in our devices.

We require our suppliers to conform to these policies and to include them in their contracts with their sub-tier suppliers. Our supplier specifications and internal procedures establish supplier requirements for the responsible sourcing of raw materials, including 3TGs. We audit our suppliers to ensure these requirements are met.

 

  2.

Internal Management Team

A cross-functional team supports Microsoft’s responsible sourcing and 3TG compliance activities. A General Manager of the Devices Group sponsors the team. The team consists of representatives from Strategic Sourcing; Responsible Sourcing/Social and Environmental Accountability; Manufacturing; Accounting/Finance; Internal Audit; Experiences and Devices Group; Corporate, External and Legal Affairs; Business and Corporate Responsibility; Information Services; and Product Environmental Compliance.

This team meets quarterly to assess the program’s progress, identify steps necessary to meet our compliance obligations, and identify areas for continuous improvement. The team also trains other internal stakeholders on their roles and responsibilities for implementing and supporting Microsoft’s responsible sourcing program. Team members are responsible for developing, reviewing, filing, and publishing the CMR.

 

3


  3.

System of Supply Chain Controls and Transparency

Our suppliers provide us information concerning the source and chain of custody of raw materials from Conflict-Affected and High-Risk Areas (“CAHRAs”), including 3TGs, contained in the products and components they supply to us. Many of our in-scope suppliers are also subject to the Rule. These suppliers rely on information provided by their suppliers to meet their compliance obligations. Our contracts require all Microsoft in-scope suppliers to identify every substance contained in the materials, components, and products supplied to us, including 3TGs, by weight. Our in-scope suppliers are responsible for communicating our sourcing requirements and specifications to their sub-tier suppliers, including our raw material due diligence requirements.

In addition, we require all in-scope suppliers to submit a Conflict Minerals Reporting Template (“CMRT”) annually and provide updated data upon request or when sourcing practices change. These CMRTs are evaluated for completeness, data integrity, due diligence thoroughness, and sourcing risk. Potential risks may include a failure to fully complete the CMRT, data inconsistencies, and possible sourcing from a CAHRA. Microsoft investigates each identified issue and engages with suppliers to address all concerns regarding conformance to Microsoft policies, procedures, and specifications. In cases where the supplier is identified as sourcing from a CAHRA, suppliers are required to submit a CMRT more frequently and further assess and mitigate risk with their sub-tier suppliers.

If we find that a supplier has introduced unmitigated risk to the Microsoft supply chain, such as using an upstream SOR that does not conform to Microsoft’s RSRM policy or specifications, Microsoft requires corrective action to address the non-conformance. The response time for corrective action is calibrated to the severity of the identified risk. Risks are mitigated by supplier engagement, corrective actions, training, and/or additional audits. These controls and related documentation are detailed in H02050 - Microsoft Supplier Social and Environmental Accountability Manual and Microsoft internal operating procedures.

Microsoft works with impacted suppliers to find sources for RMAP conformant minerals. If a supplier does not commit to a RMAP conformant source within a reasonable time period, Microsoft places the supplier on restricted status and no new Microsoft business is awarded until the non-conformance is resolved. Microsoft may also terminate its business relationship with the supplier.

Microsoft is a long-standing member of the Responsible Business Alliance . In 2008, the RBA initiated the Conflict Free Smelter Program, which evolved to become the Responsible Minerals Assurance Process (RMAP) in 2018. The RMAP is one of the most utilized and respected resources for addressing supply chain responsible sourcing issues. The RMAP uses independent third-party audits to assess and monitor whether SORs process 3TGs from sources that directly or indirectly finance or benefit armed groups in a Covered Country. Microsoft also financially supports the Industrial Technology Research Institute’s Tin Supply Chain Initiative (“iTSCi”), which has established a system of traceability and due diligence in Covered Countries.

 

4


We partner closely with Pact , the Initiative for Responsible Mining Assurance (“IRMA”), and Alliance for Responsible Mining (“ARM”). These organizations address human rights concerns in mining and leverage data and technology to bring about even greater change. Empowered by digital technology, Microsoft and our partners are working to drive transformations in the mining sector by addressing issues of increased scope and complexity. We believe this integrated approach improves conditions for the people working in raw material supply chains.

Our primary relationships are further described below:

 

   

Pact: Since 2014, we have supported a Pact project in the DRC to reduce child labor in mining. The results in Pact’s Watoto Inje Ya Mungoti (Children Out of Mining) project verify the effectiveness of Pact’s approach, data, and experience. The Children Out of Mining report states: “This project “reached 4,100 beneficiaries, of whom 1,881 were children. Bans on child labor were enforced at 23 mine sites in the target area by the end of the project. Reduction in child labor between 77 percent and 97 percent over the course of the project to date.” Yves Bawa, Pact country director for DRC, Rwanda, and Burundi notes that, “Microsoft was one of our first partners on this important issue. Its seed funding helped us achieve groundbreaking progress in the first two years of work.” We announced a new, expanded commitment in 2017 to continue this work as it is evident that this proven strategy can improve the livelihood of impoverished workers who labor in artisanal cobalt mines.

 

   

Initiative for Responsible Mining Assurance (“IRMA”): IRMA established a multi-stakeholder and independently verifiable responsible mining assurance system that improves social and environmental performance through the development of global mining standards for large- scale mines. Our partnership involves more than just participation – we are bringing technology to help scope, scale, and implement effective programs. Microsoft donated a technology platform to IRMA that will allow the organization to better implement these assurance standards. By pairing the technology platform with Power BI, a cloud-based business analytics service, stakeholders will be able to track mining performance against the assurance standards. This real-time information, presented in an easy-to-see and easy-to-use interface, will help mining companies and Non-Governmental Organizations (“NGOs”) overcome the inherent difficulties of scope and complexity of responsible mining programs to create new insights and inspire additional progress. With learnings from this engagement, we hope to enable additional NGO partners to expand their work to create sustainable mining communities.

 

   

Alliance for Responsible Mining (“ARM”): ARM sets standards for responsible artisanal and small-scale mining and supports and creates opportunities for gold miners, providing them with incentives to become responsible economic, technological, and environmental enterprises. Seed funding from Microsoft helped ARM secure further resources to develop a Market Entry Standard for Artisanal and Small-scale Gold Miners. Microsoft continues to support an ASM gold mining project in Peru which has attracted additional donors, furthering ARM’s efforts to develop certified gold mining sites throughout the region.

 

5


  4.

Supplier Engagement

Given the complexities of the global mineral supply chain, we work closely with our suppliers around the world to ensure they share and duplicate our commitment with their upstream suppliers. RMAP’s “ Reasonable Practices to Identify Sources of Conflict Minerals: Practical Guidance for Downstream Companies ” states, “all of the [OECD Guidance’s] red flag triggers are contained in the upstream portion of the supply chain (e.g., SORs and mine of origin).” Because these conflict mineral supply chain “triggers” are directed to upstream companies, rather than downstream manufacturers such as Microsoft, we mitigate raw material sourcing risks by working with our in- scope suppliers to identify raw material SORs and encourage those facilities to become RMAP conformant or use an alternate facility that is RMAP conformant. We also participate in industry- wide initiatives that assess SOR conformance with the OECD Guidance as recommended by RMAP guidance.

We drive responsible sourcing through our extended supply chain by surveying our in-scope suppliers’ sourcing of raw materials in their upstream supply chains. We also use tools that include supplier and smelter capability building and support broader industry efforts to promote responsible mining and sourcing. Finally, we conduct audits of our contracted suppliers to verify conformance to Microsoft requirements. More information is set forth below.

 

   

Supplier Requirements : We require our in-scope suppliers to meet our material disclosure requirements and related responsible sourcing policies through contractual provisions and product specifications. We communicate, monitor, and track supplier adherence to these requirements, ensuring conformance through the Microsoft Audit Management System (“AMS”). These policies and procedures are outlined in Section III, and the public can access them on Microsoft’s Responsible Sourcing Website . We also train our directly contracted suppliers to meet our requirements through classes, educational forums, and direct communications.

 

   

Capability Building and Partnerships : We work closely with our supply chain partners to build their raw material suppliers’ capabilities for achieving our responsible sourcing goals. With the empowerment of digital technology, Microsoft and our partners can drive transformations in the mining sector by addressing issues of increased scope and complexity. We invest in industry programs, such as the RMAP, to increase suppliers’ abilities and provide platforms to them for sharing best practices.

 

   

Supplier Audits : Microsoft conducts audits of its directly contracted suppliers to assess their conformance to Microsoft requirements. All new contracted in-scope suppliers undergo an Initial Capability Assessment (“ICA”) to verify conformance. Existing contracted in-scope suppliers also undergo a Sustaining Maintenance Audit (“SMA”) on an annual, biannual, or triannual basis depending on their risk level. Suppliers must establish and maintain a corporate policy and effective procedures for the responsible sourcing of raw materials. Microsoft selects and retains only those business partners committed to meeting these requirements. A failure by a supplier or sub-tier supplier to conform to these requirements may constitute a breach of the supplier’s contractual agreement with Microsoft, resulting in possible business termination.

 

6


  5.

Grievance Mechanism

Microsoft’s Global Human Rights Statement expresses our commitment to provide an anonymous grievance reporting mechanism for our employees and other stakeholders who may be impacted by our operations. Microsoft’s Business Conduct Hotline allows employees and others to anonymously ask compliance questions or report concerns regarding Microsoft’s business operations, including our responsible sourcing of raw materials policy or those of our suppliers. We investigate and, where appropriate, take remedial action to address reported concerns. We also participate in industry efforts to develop grievance mechanisms to address responsible sourcing of raw materials related issues.

 

  B.

Identify and Assess Risk in the Supply Chain

We took the following steps to identify and assess supplier conflict mineral sourcing risk during the 2018 reporting year 2 :

 

   

Following the Rule and SEC guidance, we generated a list of potential in-scope suppliers.

 

   

We surveyed all potential in-scope suppliers to determine the status of any 3TGs contained in devices manufactured during the 2018 reporting year by utilizing the RMAP-standard CMRT and the services of a third-party solution provider. The survey followed OECD Guidance as tailored for Microsoft’s role as a downstream company. Our survey included questions regarding the supplier’s raw material due diligence policies and procedures, its practices for engaging with its upstream suppliers, the SORs from which its 3TGs were sourced, and the origins of 3TGs contained in the supplier’s products.

 

   

We reviewed all supplier CMRT submissions to validate their completion and to identify contradictions or inconsistencies. We worked with our third-party solution provider to obtain updated responses from suppliers when necessary.

 

   

We identified 174 active in-scope suppliers for the 2018 reporting year. Of these suppliers, we received survey responses from 171 of those suppliers - a 98 percent response rate.

 

2  

Microsoft completed its supplier conflict mineral sourcing data analysis for the 2018 reporting year on April 12, 2019.

 

7


Figure 1. Response Rate for Active In-scope Suppliers (2013-2018 Reporting Years)

 

LOGO

Response Rate for Surveyed Active In-scope Suppliers

 

III.

DUE DILIGENCE DESIGN AND PERFORMANCE

On the basis of our RCOI, we determined that 3TGs contained in our devices may have originated in one or more Covered Country. Accordingly, we designed and performed due diligence on the source and chain-of-custody of those 3TGs.

 

  A.

Due Diligence Design

Our 3TGs due diligence process conformed to the third and fourth steps of the five-step OECD Guidance. The first and second steps of the five-step OECD Guidance were addressed in Section II.

 

  B.

Due Diligence Performed

 

  1.

Design and Implement a Strategy to Respond to Risks

Microsoft required its suppliers to minimize the possible sourcing of 3TGs from CAHRAs through contract requirements incorporating Microsoft’s supplier specifications.

 

8


  a.

Microsoft Supplier Specifications - H00594, H00642 and H02050

Microsoft required identification of all materials, including 3TGs, used in packaging and hardware products and parts on a component-by-component level using its supplier specification H00594, Restricted Substances for Hardware Products.

H02050, Microsoft’s Supplier Social and Environmental Accountability Manual, required all in-scope suppliers to:

 

   

Post a responsible sourcing policy, conforming to the OECD Guidance, on their website;

 

   

Exercise due diligence on the source and chain of custody of high risk raw materials, including 3TGs, contained in materials, components, or products supplied to Microsoft;

 

   

Identify, by name, each SOR that has processed or otherwise handled 3TGs contained in those materials, components, or products;

 

   

Encourage those SORs to participate in RMAP or an equivalent third-party responsible mineral audit scheme;

 

   

Confirm that 3TGs in their supply chain are sourced from available SORs that are conformant with the RMAP or an equivalent independent private sector audit firm; and

 

   

Notify Microsoft immediately if minerals used in the supplied materials, components, or products may contain 3TGs sourced from a CAHRA.

H02050 required all in-scope suppliers to impose these same requirements on their sub-tier suppliers and to assist sub-tier suppliers with appropriate training and support. To facilitate this process, Microsoft required suppliers to utilize the CMRT provided by the RMAP and available at www.conflictfreesourcing.org .

 

  b.

Responsible Sourcing Program Manual Processes to Implement OECD Guidance

Microsoft used the OECD Guidance to review supplier CMRT data and identify potential red flags for the sourcing of raw materials. The red flags, which required additional supplier due diligence, included the following:

 

   

The minerals originated from or were transported via a CAHRA;

 

   

The minerals were claimed to have originated from a country that has limited known reserves for the mineral in question;

 

   

The minerals were claimed to have originated from a country in which minerals from a CAHRA are known to transit;

 

9


   

The company’s suppliers or other known upstream companies had shareholder or other interests in companies that supply minerals or operate in one of the red flag locations of mineral origin and transit; and

 

   

The company’s suppliers or other known upstream companies were known to have sourced minerals from a red flag location of mineral origin and transit in the last 12 months.

Microsoft’s program includes an escalation process that requires an in-scope supplier to find an alternative to a non-RMAP conformant source of 3TGs for use in materials, components, or products supplied to Microsoft or risk termination as a Microsoft supplier. To date, we have not encountered an RSRM issue with a supplier warranting contract termination.

Microsoft’s Supplier Social and Environmental Accountability Program Manual requires self- assessment, monitoring, and internal reporting of the RSRM program’s progress and conformance. We utilize supplier survey updates, supplier communications, supplier social and environmental accountability audits, and new supplier briefings to prevent the introduction of new raw material sourcing risks to our supply chain. We leverage Microsoft’s SEA Committee meetings with senior management to report findings and receive program guidance.

 

  c.

Industry and Partner Engagement

Microsoft participated in or has been a member of several industry-wide responsible mining and smelting initiatives: RMAP, ITRI’s iTSCi program, PPA, IRMA, Pact, and ARM. We also conducted smelter outreach on behalf of the RMAP Smelter Engagement Team to further the RMAP program.

 

  2.

Carried Out Independent Third-Party Audit of Supply Chain Due Diligence

As contemplated by the OECD Guidance, our due diligence program leveraged independent SOR audits. The audits conformed to the RMAP and other similar programs. Microsoft obtained SOR data from the RMAP Conformant Smelter List using Reasonable Country of Origin Inquiry Data for member MSFT . The list identifies SORs that have undergone assessment through the RMAP or industry equivalent programs, such as Responsible Jewelry Council (“RJC”) or London Bullion Market Association (“LBMA”). We used the list to support certain statements contained in this CMR. Microsoft also participated in RMAPs Smelter Engagement Team during the 2018 reporting year.

 

  3.

Reported on Supply Chain Due Diligence

We have filed our CMR with the SEC and concurrently posted it on our website . These disclosures meet the fifth step of the OECD Guidance. The results of our program are presented in Microsoft’s Devices Group’s FY18 Sustainability Report . The Corporate Social Responsibility website provides additional information about Microsoft’s Responsible Sourcing of Raw Materials Program.

 

10


IV.

SOR INFORMATION

 

  A.

3TG Processing Facilities

Our supplier survey data revealed 311 potential 3TG SORs, which processed 3TGs, in the Microsoft supply chain. We validated the data by removing duplicate SORs, reconciling multiple SOR names for a single entity, and eliminating otherwise invalid SOR names. We then verified if the alleged SORs were active and participants in the RMAP audit program. We determined that 299 SORs met this criteria.

The Figures below provide a visual depiction of the 299 SORs identified in Microsoft’s supply chain by RMAP audit status. Figure 2 categorizes the SORs by RMAP audit status and reporting year. Figure 2 indicates that, for the 2018 Reporting Year, the number of conformant SORs remained stable at 252. Figure 3 categorizes the SORs by 3TG mineral and audit status.

Figure 2. Identified SORs by RMAP Audit Status (2013-2018 Reporting Years)

 

LOGO

 

11


Figure 3: Identified SORs by 3TG and Audit Status

 

LOGO

 

12


Table 1 (below) summarizes the conflict mineral status of the 299 SORs identified in Microsoft’s supply chain, which processed 3TGs, during the 2018 reporting year. The RMAP classifies audit status in the following manner:

 

   

Conformant : SOR has been audited and found to conform with the relevant audit protocols, including RMAP, LBMA, or RJC;

 

   

Outreach Required : SOR is not yet active and outreach is needed by RMAP member companies to encourage SOR participation in RMAP;

 

   

Active : SOR has been engaged but is not yet conformant;

 

   

In Communication : SOR is not yet active but is in communication with RMAP and/or member company;

 

   

Communication Suspended – Not Interested : SOR has strongly communicated a lack of interest in participation;

 

   

Non-Conformant : SOR was audited but found not to conform to the relevant RMAP protocol

 

   

RMI Due Diligence Vetting Restriction – Not Applicable: SOR cannot be audited as per RMI’s due diligence vetting process;

 

   

Due Diligence Vetting Process: SOR does not meet RMI’s requirements for participation according to the due diligence vetting process

 

   

RMI Due Diligence Review – Unable to Proceed : SOR has not met the threshold for Due Diligence Vetting Process after a period of 6 months. Status may change if additional information is submitted

 

   

Communication Suspended – Temporarily Ceased Operations : SOR has temporarily ceased operations

Table 1: RMAP Audit Status of Identified SORs in Microsoft Supply Chain

 

Number of SORs

  

RMAP Audit Status

252

   Conformant (Indicates RMAP, LBMA and/or RJC conformant)

26

   Outreach Required

6

   Active

3

   In Communication

5

   Communication Suspended - Not Interested

5

   Non-Conformant

0

   RMI Due Diligence Vetting Restriction - Not Applicable

1

   Due Diligence Vetting Process

1

   RMI Due Diligence Review – Unable to Proceed

0

   Communication Suspended - Temporarily Ceased Operations

 

13


Figures 4-7 show the geographic distribution of the 299 SORs identified in the Microsoft supply chain by 3TG mineral for the 2018 reporting year. The circle size corresponds to the relative number of times our in-scope suppliers identified each 3TG SOR in their completed CMRT form.

Figure 4: Location and Relative Number of Identified SORs - Tin

 

LOGO

Figure 5: Location and Relative Number of Identified SORs -Tantalum

 

LOGO

 

14


Figure 6: Location and Relative Number of Identified SORs - Tungsten

 

LOGO

Figure 7: Location and Relative Number of Identified SORs - Gold

 

LOGO

Appendix A provides the complete list of 299 SORs identified in Microsoft’s supply chain which processed 3TGs during the 2018 reporting year. Appendix A lists each SOR by metal, official smelter name, smelter country, and audit status.

 

15


  B.

3TG Countries of Origin

The table below lists countries of origin for the 299 SORs identified in Microsoft’s supply chain which processed 3TGs during the 2018 reporting year.

 

Countries of Origin identified by RMAP Conformant SORs

  

Additional Possible Countries of Origin

•  Australia

 

•  Austria

 

•  Benin

 

•  Bolivia

 

•  Brazil

 

•  Burundi

 

•  Chile

 

•  China

 

•  Colombia

 

•  Congo, Democratic Republic of the

 

•  Ecuador

 

•  Eritrea

 

•  Ethiopia

 

•  Ghana

 

•  Guinea

 

•  Guyana

 

•  India

 

•  Indonesia

 

•  Laos

 

•  Madagascar

 

•  Malaysia

 

•  Mali

 

•  Mauritania

 

•  Mongolia

 

•  Mozambique

 

•  Myanmar

 

•  Nicaragua

 

•  Niger

 

•  Nigeria

 

•  Peru

 

•  Portugal

 

•  Russian Federation

 

•  Rwanda

 

•  Sierra Leone

 

•  South Africa

 

•  Swaziland

 

•  Taiwan

 

•  Tanzania

 

•  Thailand

 

•  Togo

 

  

These countries were identified through research or were listed in supplier CMRTs. These countries require continued due diligence and investigation.

 

•  Andorra

 

•  Belgium

 

•  Canada

 

•  Estonia

 

•  France

 

•  Germany

 

•  Italy

 

•  Japan

 

•  Kazakhstan

 

•  Korea

 

•  Kyrgyzstan

 

•  Lithuania

 

•  Macedonia

 

•  Mexico

 

•  Netherlands

 

•  New Zealand

 

•  Philippines

 

•  Poland

 

•  Saudi Arabia

 

•  Singapore

 

•  Spain

 

•  Sweden

 

•  Switzerland

 

•  Turkey

 

•  United Arab Emirates

 

•  United States

 

•  Uzbekistan

 

•  Vietnam

 

16


•  Uganda

 

•  United Kingdom of Great Britain and
Northern Ireland

 

•  United States of America

 

•  Venezuela

  

Figure 8 provides a graphical presentation of the countries of origin for SORs identified in Microsoft’s supply chain which processed 3TGs during the 2018 reporting year.

Figure 8: Country-of-Origin Information for SORs Identified in Microsoft’s Supply Chain

 

LOGO

For the identified conflict-free SORs for which minerals sourcing information is available from RMAP3:

 

   

38 smelters, or 13 percent of total smelters, processed recycled or scrap material; and

 

   

22 SORs, or 7 percent of total smelters sourced from Covered Countries and were RMAP compliant.

 

C.

3TG Mines or Locations of Origin

Microsoft obtained Reasonable Country of Origin data through our membership in the RMAP using the Reasonable Country of Origin Inquiry Data for member MSFT . We used this data to determine the 3TG country of origin of SORs identified in Microsoft’s supply chain. Microsoft supports the continued refinement and expansion of the list of participating SORs in the RMAP audit program through our membership.

 

3  

All numbers include both direct and indirect sourcing.

 

17


We contact all non-conformant SORs identified in our supply chain each reporting year and encourage SORs to participate in the RMAP. We also require suppliers reporting non-conformant SORs to contact these SORs and request the SORs to join the CFSP. We actively support outreach events to increase RMAP SOR coverage. We funded a third party to help educate SORs and prepare them for the audit process. We also offered to visit SORs to facilitate their participation in the RMAP.

 

V.

IMPROVEMENTS

The results of Microsoft’s key 2018 reporting year efforts are detailed below:

 

   

The number of RMAP-conformant SORs identified in Microsoft’s supply chain remained consistent at 252;

 

   

Renewed and extended its engagement with external responsible sourcing organizations, such as Pact, IRMA, and ARM. These organizations are committed to advancing responsible sourcing on a global basis by developing mining standards and addressing issues such as child labor in the mining industry. We partner closely with them and leverage data and technology to bring about even greater change. With the further empowerment that digital technology can provide toward overcoming increased scope and complexity, Microsoft and our partners can drive positive transformations in the mining sector. We believe this integrated approach is the most effective way to improve conditions for the people working in raw material supply chains and the environment;

 

   

Continued to increase Microsoft’s level of engagement with suppliers and internal stakeholders by holding supplier forums, webinars, and in-person trainings, and by providing technical resources;

 

   

Leveraged the integrated RSRM program in our SEA audit process to drive improvements in the supply chain;

 

   

Ensured commitment to transparency by maintaining Microsoft’s publicly available excerpt of Microsoft’s Supplier Social and Environmental Accountability Program Manual, which includes Responsible Sourcing of Raw Material Requirements; and

 

   

Strengthened internal partnerships to identify raw material risk at an early product development stage.

 

VI.

FUTURE ACTIONS

Microsoft is committed to the responsible sourcing of raw materials used in our hardware products in support of human rights, labor, health and safety, environmental protection, and business. We will continue to advance implementation of our RSRM policy in our supply chain to promote supply chain identification and risk assessment, standardized requirements and verification, capability building, transparency, and strategic partnerships.

 

18


We will continue to encourage SORs to participate in the RMAP and expand our knowledge about 3TGs in our supply chain. Our ability to identify, assess, and mitigate risks associated with our raw materials sourcing will improve with ongoing due diligence efforts – with both our direct and sub- tier partners. Consistent with our commitments, we intend to take the following steps to improve our responsible sourcing of raw materials due diligence efforts:

 

   

Enhance our use of digital technology to improve supply chain information and risk mitigation;

 

   

Increase use of external data sources to proactively identify raw material risk in CAHRAs;

 

   

Continue our active participation in the RMAP Smelter Engagement Team to bring non- conformant SORs into the RMAP; and

 

   

Further our engagement with organizations like IRMA, ARM, and Pact to establish global responsible sourcing standards and support programs in the mineral supply chain.

Microsoft’s efforts to address human rights and advance economic opportunities in Africa do not end with our responsible sourcing programs. In 2013, Microsoft launched its 4Afrika Initiative. We started investing in start-ups, partners, small-to-medium enterprises, governments and youth on the African continent. Our focus has been on delivering affordable access to the internet, developing skilled workforces and investing in local technology solutions. Africa has the potential to lead the technology revolution – and so we’re empowering those with the right ideas to drive economic development, inclusive growth and digital transformation. At Microsoft, we’re very fortunate to have played a part in realising this potential, building strong partnerships to accelerate digital transformation and create sustained societal impact. For more information, visit our 4Afrika web-page .

 

19


APPENDIX A

Conflict Mineral Status of Identified SORs 1

This Appendix lists the 299 SORs which, to the extent known, processed 3TGs that were used to manufacture Microsoft devices during the 2018 reporting year. The SORs are listed by metal, official smelter name, melter country, and audit status.

 

RMI Smelter ID

  

Metal

  

Official Smelter Name

  

Smelter
Country

  

Audit Status

CID001798

   Gold    Sumitomo Metal Mining Co., Ltd.    JP    Conformant

CID002082

   Tungsten    Xiamen Tungsten Co., Ltd.    CN    Conformant

CID000035

   Gold    Allgemeine Gold-und Silberscheideanstalt A.G.    DE    Conformant

CID002550

   Tantalum    H.C. Starck Smelting GmbH & Co. KG    DE    Conformant

CID000233

   Gold    Chimet S.p.A.    IT    Conformant

CID000937

   Gold    JX Nippon Mining & Metals Co., Ltd.    JP    Conformant

CID002593

   Tin    CV Tiga Sekawan    ID    Conformant

CID000493

   Gold    OJSC Novosibirsk Refinery    RU    Conformant

CID002765

   Gold    Italpreziosi    IT    Conformant

CID000814

   Gold    Istanbul Gold Refinery    TR    Conformant

CID002724

   Tungsten    Unecha Refractory metals plant    RU    Conformant

CID000499

   Tungsten    Fujian Jinxin Tungsten Co., Ltd.    CN    Conformant

CID002320

   Tungsten    Xiamen Tungsten (H.C.) Co., Ltd.    CN    Conformant

CID000823

   Gold    Japan Mint    JP    Conformant

CID001909

   Gold    Great Wall Precious Metals Co., Ltd. of CBPM    CN    Outreach Required

CID000522

   Gold    Refinery of Seemine Gold Co., Ltd.    CN    Outreach Required

CID000468

   Tin    Fenix Metals    PL    Conformant

CID000616

   Tantalum    Guangdong Zhiyuan New Material Co., Ltd.    CN    Conformant

CID001736

   Gold    Sichuan Tianze Precious Metals Co., Ltd.    CN    Conformant

CID001200

   Tantalum    NPM Silmet AS    EE    Conformant

CID000460

   Tantalum    F&X Electro-Materials Ltd.    CN    Conformant

CID002551

   Tungsten    Jiangwu H.C. Starck Tungsten Products Co., Ltd.    CN    Conformant

CID002548

   Tantalum    H.C. Starck Inc.    US    Conformant

CID002516

   Gold    Singway Technology Co., Ltd.    TW    Conformant

CID001070

   Tin    China Tin Group Co., Ltd.    CN    Conformant

CID000425

   Gold    Eco-System Recycling Co., Ltd.    JP    Conformant

CID001192

   Tantalum    Mitsui Mining and Smelting Co., Ltd.    JP    Conformant

CID001993

   Gold    United Precious Metal Refining, Inc.    US    Conformant

CID000825

   Tungsten    Japan New Metals Co., Ltd.    JP    Conformant

CID002778

   Gold    WIELAND Edelmetalle GmbH    DE    Conformant

CID002319

   Tungsten    Malipo Haiyu Tungsten Co., Ltd.    CN    Conformant

CID000128

   Gold    Bangko Sentral ng Pilipinas (Central Bank of the Philippines)    PH    Conformant

 

1  

Data as of April 12, 2019.

 

A-1


CID002030

   Gold    Western Australian Mint (T/a The Perth Mint)    AU    Conformant

CID001259

   Gold    Nihon Material Co., Ltd.    JP    Conformant

CID000258

   Tungsten    Chongyi Zhangyuan Tungsten Co., Ltd.    CN    Conformant

CID000004

   Tungsten    A.L.M.T. TUNGSTEN Corp.    JP    Conformant

CID002918

   Gold    SungEel HiMetal Co., Ltd.    KR    Conformant

CID001314

   Tin    O.M. Manufacturing (Thailand) Co., Ltd.    TH    Conformant

CID002827

   Tungsten    Philippine Chuangxin Industrial Co., Inc.    PH    Conformant

CID002509

   Gold    MMTC-PAMP India Pvt., Ltd.    IN    Conformant

CID001490

   Tin    PT Tinindo Inter Nusa    ID    Conformant

CID001428

   Tin    PT Bukit Timah    ID    Conformant

CID002845

   Tungsten    Moliren Ltd.    RU    Conformant

CID002589

   Tungsten    Niagara Refining LLC    US    Conformant

CID003190

   Tin    Chifeng Dajingzi Tin Industry Co., Ltd.    CN    Conformant

CID000328

   Gold    Daejin Indus Co., Ltd.    KR    Conformant

CID001397

   Gold    PT Aneka Tambang (Persero) Tbk    ID    Conformant

CID000924

   Gold    Asahi Refining Canada Ltd.    CA    Conformant

CID000090

   Gold    Asaka Riken Co., Ltd.    JP    Conformant

CID002835

   Tin    PT Menara Cipta Mulia    ID    Conformant

CID001916

   Gold    The Refinery of Shandong Gold Mining Co., Ltd.    CN    Conformant

CID002539

   Tantalum    KEMET Blue Metals    MX    Conformant

CID001889

   Tungsten    Tejing (Vietnam) Tungsten Co., Ltd.    VN    Conformant

CID002580

   Gold    T.C.A S.p.A    IT    Conformant

CID002494

   Tungsten    Ganzhou Seadragon W & Mo Co., Ltd.    CN    Conformant

CID001161

   Gold    Metalurgica Met-Mex Penoles S.A. De C.V.    MX    Conformant

CID002003

   Gold    Valcambi S.A.    CH    Conformant

CID001453

   Tin    PT Mitra Stania Prima    ID    Conformant

CID002468

   Tin    Magnu’s Minerais Metais e Ligas Ltda.    BR    Conformant

CID001105

   Tin    Malaysia Smelting Corporation (MSC)    MY    Conformant

CID001977

   Gold    Umicore Brasil Ltda.    BR    Conformant

CID001352

   Gold    PAMP S.A.    CH    Conformant

CID002557

   Tantalum    Global Advanced Metals Boyertown    US    Conformant

CID002044

   Tungsten    Wolfram Bergbau und Hutten AG    AT    Conformant

CID002816

   Tin    PT Sukses Inti Makmur    ID    Conformant

CID000306

   Tin    CV Gita Pesona    ID    Conformant

CID000359

   Gold    DSC (Do Sung Corporation)    KR    Conformant

CID000402

   Tin    Dowa    JP    Conformant

CID001175

   Tantalum    Mineracao Taboca S.A.    BR    Conformant

CID001463

   Tin    PT Sariwiguna Binasentosa    ID    Conformant

CID001142

   Tin    Metallic Resources, Inc.    US    Conformant

CID001078

   Gold    LS-NIKKO Copper Inc.    KR    Conformant

CID000942

   Tin    Gejiu Kai Meng Industry and Trade LLC    CN    Conformant

CID002503

   Tin    PT ATD Makmur Mandiri Jaya    ID    Conformant

CID002506

   Tantalum    Jiujiang Zhongao Tantalum & Niobium Co., Ltd.    CN    Conformant

CID002314

   Gold    Umicore Precious Metals Thailand    TH    Conformant

CID002542

   Tungsten    H.C. Starck Smelting GmbH & Co. KG    DE    Conformant

CID002773

   Tin    Metallo Belgium N.V.    BE    Conformant

 

A-2


CID002776

   Tin    PT Bangka Prima Tin    ID    Conformant

CID000211

   Tantalum    Changsha South Tantalum Niobium Co., Ltd.    CN    Conformant

CID000113

   Gold    Aurubis AG    DE    Conformant

CID001277

   Tantalum    Ningxia Orient Tantalum Industry Co., Ltd.    CN    Conformant

CID001761

   Gold    Solar Applied Materials Technology Corp.    TW    Conformant

CID000929

   Gold    JSC Uralelectromed    RU    Conformant

CID001419

   Tin    PT Bangka Tin Industry    ID    Conformant

CID001191

   Tin    Mitsubishi Materials Corporation    JP    Conformant

CID002318

   Tungsten   

Jiangxi Tonggu Non-ferrous Metallurgical &

Chemical Co., Ltd.

   CN    Conformant

CID002455

   Tin    CV Venus Inti Perkasa    ID    Conformant

CID002512

   Tantalum    Jiangxi Dinghai Tantalum & Niobium Co., Ltd.    CN    Conformant

CID002849

   Tin    Guanyang Guida Nonferrous Metal Smelting Plant    CN    Conformant

CID001471

   Tin    PT Sumber Jaya Indah    ID    Conformant

CID001898

   Tin    Thaisarco    TH    Conformant

CID001163

   Tantalum    Metallurgical Products India Pvt., Ltd.    IN    Conformant

CID001769

   Tantalum    Solikamsk Magnesium Works OAO    RU    Conformant

CID002919

   Gold    Planta Recuperadora de Metales SpA    CL    Conformant

CID001477

   Tin    PT Timah (Persero) Tbk Kundur    ID    Conformant

CID001119

   Gold    Matsuda Sangyo Co., Ltd.    JP    Conformant

CID002545

   Tantalum    H.C. Starck Tantalum and Niobium GmbH    DE    Conformant

CID002517

   Tin    O.M. Manufacturing Philippines, Inc.    PH    Conformant

CID002649

   Tungsten    Hydrometallurg, JSC    RU    Conformant

CID000401

   Gold    Dowa    JP    Conformant

CID000291

   Tantalum    Guangdong Rising Rare Metals-EO Materials Ltd.    CN    Conformant

CID000969

   Gold    Kennecott Utah Copper LLC    US    Conformant

CID001980

   Gold   

Umicore S.A. Business Unit Precious Metals

Refining

   BE    Conformant

CID003191

   Tantalum    Jiujiang Janny New Material Co., Ltd.    CN    Conformant

CID001325

   Gold    Ohura Precious Metal Industry Co., Ltd.    JP    Conformant

CID002582

   Gold    Remondis Argentia B.V.    NL    Conformant

CID001149

   Gold    Metalor Technologies (Hong Kong) Ltd.    CN    Conformant

CID002549

   Tantalum    H.C. Starck Ltd.    JP    Conformant

CID001482

   Tin    PT Timah (Persero) Tbk Mentok    ID    Conformant

CID001458

   Tin    PT Prima Timah Utama    ID    Conformant

CID001421

   Tin    PT Belitung Industri Sejahtera    ID    Conformant

CID000292

   Tin    Alpha    US    Conformant

CID002530

   Tin    PT Inti Stania Prima    ID    Conformant

CID000082

   Gold    Asahi Pretec Corp.    JP    Conformant

CID002973

   Gold    Safimet S.p.A    IT    Conformant

CID000058

   Gold    AngloGold Ashanti Corrego do Sitio Mineracao    BR    Conformant

CID002850

   Gold    AU Traders and Refiners    ZA    Conformant

CID000707

   Gold    Heraeus Ltd. Hong Kong    CN    Conformant

CID002558

   Tantalum    Global Advanced Metals Aizu    JP    Conformant

CID002568

   Tantalum    KEMET Blue Powder    US    Conformant

CID002513

   Tungsten    Chenzhou Diamond Tungsten Products Co., Ltd.    CN    Conformant

 

A-3


CID002459

   Gold    Geib Refining Corporation    US    Conformant

CID000176

   Gold    C. Hafner GmbH + Co. KG    DE    Conformant

CID002492

   Tantalum    Hengyang King Xing Lifeng New Materials Co., Ltd.    CN    Conformant

CID002036

   Tin    White Solder Metalurgia e Mineracao Ltda.    BR    Conformant

CID002605

   Gold    Korea Zinc Co., Ltd.    KR    Conformant

CID001147

   Gold    Metalor Technologies (Suzhou) Ltd.    CN    Conformant

CID002706

   Tin    Resind Industria e Comercio Ltda.    BR    Conformant

CID002541

   Tungsten    H.C. Starck Tungsten GmbH    DE    Conformant

CID001182

   Tin    Minsur    PE    Conformant

CID001969

   Tantalum    Ulba Metallurgical Plant JSC    KZ    Conformant

CID000228

   Tin    Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.    CN    Conformant

CID002508

   Tantalum    XinXing HaoRong Electronic Material Co., Ltd.    CN    Conformant

CID001891

   Tantalum    Telex Metals    US    Conformant

CID001188

   Gold    Mitsubishi Materials Corporation    JP    Conformant

CID002129

   Gold    Yokohama Metal Co., Ltd.    JP    Conformant

CID002830

   Tungsten   

Xinfeng Huarui Tungsten & Molybdenum New

Material Co., Ltd.

   CN    Conformant

CID001193

   Gold    Mitsui Mining and Smelting Co., Ltd.    JP    Conformant

CID002833

   Tungsten    ACL Metais Eireli    BR    Conformant

CID002321

   Tungsten    Jiangxi Gan Bei Tungsten Co., Ltd.    CN    Conformant

CID001204

   Gold    Moscow Special Alloys Processing Plant    RU    Conformant

CID001534

   Gold    Royal Canadian Mint    CA    Conformant

CID000914

   Tantalum    JiuJiang JinXin Nonferrous Metals Co., Ltd.    CN    Conformant

CID002606

   Gold    Marsam Metals    BR    Conformant

CID002505

   Tantalum    FIR Metals & Resource Ltd.    CN    Conformant

CID002579

   Tungsten    Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji    CN    Conformant

CID000568

   Tungsten    Global Tungsten & Powders Corp.    US    Conformant

CID000966

   Tungsten    Kennametal Fallon    US    Conformant

CID001508

   Tantalum    QuantumClean    US    Conformant

CID000077

   Gold    Argor-Heraeus S.A.    CH    Conformant

CID001875

   Gold    Tanaka Kikinzoku Kogyo K.K.    JP    Conformant

CID001460

   Tin    PT Refined Bangka Tin    ID    Conformant

CID000309

   Tin    PT Aries Kencana Sejahtera    ID    Conformant

CID001326

   Gold    OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)    RU    Conformant

CID000801

   Gold    Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.    CN    Conformant

CID001231

   Tin    Jiangxi New Nanshan Technology Ltd.    CN    Conformant

CID000189

   Gold    Cendres + Metaux S.A.    CH    Conformant

CID001955

   Gold    Torecom    KR    Conformant

CID002842

   Tantalum    Jiangxi Tuohong New Raw Material    CN    Conformant

CID003205

   Tin    PT Bangka Serumpun    ID    Conformant

CID002829

   Tin    PT Kijang Jaya Mandiri    ID    Conformant

CID001938

   Gold    Tokuriki Honten Co., Ltd.    JP    Conformant

CID002243

   Gold    Gold Refinery of Zijin Mining Group Co., Ltd.    CN    Conformant

CID002543

   Tungsten    Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC    VN    Conformant

 

A-4


CID003116

   Tin    Guangdong Hanhe Non-Ferrous Metal Co., Ltd.    CN    Conformant

CID001457

   Tin    PT Panca Mega Persada    ID    Conformant

CID000981

   Gold    Kojima Chemicals Co., Ltd.    JP    Conformant

CID000957

   Gold    Kazzinc    KZ    Conformant

CID001402

   Tin    PT Babel Inti Perkasa    ID    Conformant

CID001468

   Tin    PT Stanindo Inti Perkasa    ID    Conformant

CID002502

   Tungsten    Asia Tungsten Products Vietnam Ltd.    VN    Conformant

CID002224

   Gold    Zhongyuan Gold Smelter of Zhongjin Gold Corporation    CN    Conformant

CID001498

   Gold    PX Precinox S.A.    CH    Conformant

CID002500

   Tin    Melt Metais e Ligas S.A.    BR    Conformant

CID001173

   Tin    Mineracao Taboca S.A.    BR    Conformant

CID000015

   Gold    Advanced Chemical Company    US    Conformant

CID000438

   Tin    EM Vinto    BO    Conformant

CID000041

   Gold    Almalyk Mining and Metallurgical Complex (AMMC)    UZ    Conformant

CID001399

   Tin    PT Artha Cipta Langgeng    ID    Conformant

CID000456

   Tantalum    Exotech Inc.    US    Conformant

CID002180

   Tin    Yunnan Tin Company Limited    CN    Conformant

CID002547

   Tantalum    H.C. Starck Hermsdorf GmbH    DE    Conformant

CID000538

   Tin    Gejiu Non-Ferrous Metal Processing Co., Ltd.    CN    Conformant

CID001337

   Tin    Operaciones Metalurgical S.A.    BO    Conformant

CID002100

   Gold    Yamakin Co., Ltd.    JP    Conformant

CID001622

   Gold    Shandong Zhaojin Gold & Silver Refinery Co., Ltd.    CN    Conformant

CID000315

   Tin    CV United Smelting    ID    Conformant

CID001157

   Gold    Metalor USA Refining Corporation    US    Conformant

CID001076

   Tantalum    LSM Brasil S.A.    BR    Conformant

CID000766

   Tungsten    Hunan Chenzhou Mining Co., Ltd.    CN    Conformant

CID002774

   Tin    Metallo Spain S.L.U.    ES    Conformant

CID002858

   Tin    Modeltech Sdn Bhd    MY    Conformant

CID001555

   Gold    Samduck Precious Metals    KR    Non Conformant

CID002707

   Tantalum    Resind Industria e Comercio Ltda.    BR    Conformant

CID001869

   Tantalum    Taki Chemical Co., Ltd.    JP    Conformant

CID000264

   Gold    Chugai Mining    JP    Active

CID000917

   Tantalum    Jiujiang Tanbre Co., Ltd.    CN    Conformant

CID002844

   Tin    HuiChang Hill Tin Industry Co., Ltd.    CN    Non Conformant

CID000362

   Gold    DODUCO Contacts and Refining GmbH    DE    Conformant

CID001522

   Tantalum    RFH Tantalum Smeltery Co., Ltd./Yanling Jincheng Tantalum & Niobium Co., Ltd.    CN    Conformant

CID001756

   Gold    SOE Shyolkovsky Factory of Secondary Precious Metals    RU    Conformant

CID001512

   Gold    Rand Refinery (Pty) Ltd.    ZA    Conformant

CID001493

   Tin    PT Tommy Utama    ID    Conformant

CID001585

   Gold    SEMPSA Joyeria Plateria S.A.    ES    Conformant

CID000092

   Tantalum    Asaka Riken Co., Ltd.    JP    Conformant

CID001153

   Gold    Metalor Technologies S.A.    CH    Conformant

CID002504

   Tantalum    D Block Metals, LLC    US    Conformant

 

A-5


CID002848

   Tin    Gejiu Fengming Metallurgy Chemical Plant    CN    Conformant

CID002592

   Tin    CV Dua Sekawan    ID    Conformant

CID000855

   Gold    Jiangxi Copper Co., Ltd.    CN    Conformant

CID000689

   Gold    HeeSung Metal Ltd.    KR    Conformant

CID000807

   Gold    Ishifuku Metal Industry Co., Ltd.    JP    Conformant

CID000875

   Tungsten    Ganzhou Huaxing Tungsten Products Co., Ltd.    CN    Conformant

CID002815

   Tungsten    South-East Nonferrous Metal Company Limited of Hengyang City    CN    Conformant

CID000778

   Gold    HwaSeong CJ CO., LTD.    KR    Communication Suspended - Not Interested

CID002843

   Tungsten    Woltech Korea Co., Ltd.    KR    Conformant

CID002544

   Tantalum    H.C. Starck Co., Ltd.    TH    Conformant

CID000760

   Tin    Huichang Jinshunda Tin Co., Ltd.    CN    Conformant

CID001386

   Gold    Prioksky Plant of Non-Ferrous Metals    RU    Conformant

CID000651

   Gold    Guoda Safina High-Tech Environmental Refinery Co., Ltd.    CN    Outreach Required

CID000218

   Tungsten    Guangdong Xianglu Tungsten Co., Ltd.    CN    Conformant

CID002863

   Gold    Bangalore Refinery    IN    Conformant

CID000019

   Gold    Aida Chemical Industries Co., Ltd.    JP    Conformant

CID000313

   Tin    PT Premium Tin Indonesia    ID    Conformant

CID002777

   Gold    SAXONIA Edelmetalle GmbH    DE    Conformant

CID000920

   Gold    Asahi Refining USA Inc.    US    Conformant

CID001539

   Tin    Rui Da Hung    TW    Conformant

CID001908

   Tin    Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.    CN    Conformant

CID000694

   Gold    Heimerle + Meule GmbH    DE    Conformant

CID000769

   Tungsten    Hunan Chunchang Nonferrous Metals Co., Ltd.    CN    Conformant

CID001220

   Gold    Nadir Metal Rafineri San. Ve Tic. A.S.    TR    Conformant

CID002779

   Gold    Ogussa Osterreichische Gold- und Silber- Scheideanstalt GmbH    AT    Conformant

CID002095

   Tungsten    Xinhai Rendan Shaoguan Tungsten Co., Ltd.    CN    Conformant

CID000157

   Gold    Boliden AB    SE    Conformant

CID001029

   Gold    Kyrgyzaltyn JSC    KG    Conformant

CID000711

   Gold    Heraeus Precious Metals GmbH & Co. KG    DE    Conformant

CID002561

   Gold    Emirates Gold DMCC    AE    Conformant

CID000185

   Gold    CCR Refinery - Glencore Canada Corporation    CA    Conformant

CID001113

   Gold    Materion    US    Conformant

CID001152

   Gold    Metalor Technologies (Singapore) Pte., Ltd.    SG    Conformant

CID002847

   Tantalum    Power Resources Ltd.    MK    Conformant

CID002317

   Tungsten    Jiangxi Xinsheng Tungsten Industry Co., Ltd.    CN    Conformant

CID002761

   Gold    SAAMP    FR    Conformant

CID001758

   Tin    Soft Metais Ltda.    BR    Conformant

CID002316

   Tungsten    Jiangxi Yaosheng Tungsten Co., Ltd.    CN    Conformant

CID000105

   Tungsten    Kennametal Huntsville    US    Conformant

CID002312

   Gold    Guangdong Jinding Gold Limited    CN    Outreach Required

CID002762

   Gold    L’Orfebre S.A.    AD    Conformant

CID002158

   Tin    Yunnan Chengfeng Non-ferrous Metals Co., Ltd.    CN    Conformant

 

A-6


CID003153

   Gold   

State Research Institute Center for Physical

Sciences and Technology

   LT    Outreach Required

CID002315

   Tungsten    Ganzhou Jiangwu Ferrotungsten Co., Ltd.    CN    Conformant

CID002560

   Gold    Al Etihad Gold LLC    AE    Conformant

CID001236

   Gold    Navoi Mining and Metallurgical Combinat    UZ    Outreach Required

CID001434

   Tin    PT DS Jaya Abadi    ID    Conformant

CID002572

   Tin   

Electro-Mechanical Facility of the Cao Bang

Minerals & Metallurgy Joint Stock Company

   VN    Non Conformant

CID003325

   Tin    Tin Technology & Refining    US    Conformant

CID000448

   Tin    Estanho de Rondonia S.A.    BR    Outreach Required

CID001056

   Gold    Lingbao Gold Co., Ltd.    CN    Outreach Required

CID002866

   Gold    Morris and Watson Gold Coast    AU    Communication Suspended - Not Interested

CID001032

   Gold    L’azurde Company For Jewelry    SA    RMI Due Diligence Review - Unable to Proceed

CID001562

   Gold    Samwon Metals Corp.    KR    Communication Suspended - Not Interested

CID001362

   Gold    Penglai Penggang Gold Industry Co., Ltd.    CN    Outreach Required

CID003182

   Tungsten    Hunan Litian Tungsten Industry Co., Ltd.    CN    Active

CID002511

   Gold    KGHM Polska Miedz Spolka Akcyjna    PL    Active

CID000555

   Tin    Gejiu Zili Mining And Metallurgy Co., Ltd.    CN    Conformant

CID001619

   Gold    Shandong Tiancheng Biological Gold Industrial Co., Ltd.    CN    Outreach Required

CID002853

   Gold    Sai Refinery    IN    Outreach Required

CID002857

   Gold    Modeltech Sdn Bhd    MY    Non Conformant

CID002763

   Gold    8853 S.p.A.    IT    Conformant

CID002282

   Gold    Morris and Watson    NZ    Communication Suspended - Not Interested

CID002703

   Tin    An Vinh Joint Stock Mineral Processing Company    VN    Outreach Required

CID002645

   Tungsten    Ganzhou Haichuang Tungsten Co., Ltd.    CN    Conformant

CID002708

   Gold    Abington Reldan Metals, LLC    US    Non Conformant

CID002872

   Gold    Pease & Curren    US    Outreach Required

CID000343

   Gold    Daye Non-Ferrous Metals Mining Ltd.    CN    In Communication

CID000767

   Gold    Hunan Chenzhou Mining Co., Ltd.    CN    Outreach Required

CID003195

   Gold    DS PRETECH Co., Ltd.    KR    Conformant

CID000956

   Gold    Kazakhmys Smelting LLC    KZ    In Communication

CID001093

   Gold    Luoyang Zijin Yinhui Gold Refinery Co., Ltd.    CN    Outreach Required

CID002852

   Gold    GCC Gujrat Gold Centre Pvt. Ltd.    IN    Outreach Required

CID002756

   Tin    Super Ligas    BR    Outreach Required

CID002478

   Tin    PT Tirus Putra Mandiri    ID    Conformant

CID002573

   Tin   

Nghe Tinh Non-Ferrous Metals Joint Stock

Company

   VN    Outreach Required

CID001406

   Tin    PT Babel Surya Alam Lestari    ID    Conformant

CID003189

   Gold    NH Recytech Company    KR    Active

 

A-7


CID002865

   Gold    Kyshtym Copper-Electrolytic Plant ZAO    RU    Outreach Required

CID001546

   Gold    Sabin Metal Corp.    US    Outreach Required

CID000180

   Gold    Caridad    MX    Communication Suspended - Not Interested

CID003381

   Tin    PT Rajawali Rimba Perkasa    ID    Active

CID000671

   Gold    Hangzhou Fuchunjiang Smelting Co., Ltd.    CN    Outreach Required

CID002615

   Gold    TOO Tau-Ken-Altyn    KZ    In Communication

CID000103

   Gold    Atasay Kuyumculuk Sanayi Ve Ticaret A.S.    TR    Due Diligence Vetting Process

CID002867

   Gold    Degussa Sonne / Mond Goldhandel GmbH    DE    Outreach Required

CID001058

   Gold    Lingbao Jinyuan Tonghui Refinery Co., Ltd.    CN    Outreach Required

CID001947

   Gold    Tongling Nonferrous Metals Group Co., Ltd.    CN    Outreach Required

CID002574

   Tin   

Tuyen Quang Non-Ferrous Metals Joint Stock

Company

   VN    Outreach Required

CID003356

   Tin    Dongguan CiEXPO Environmental Engineering Co., Ltd.    CN    Active

CID000197

   Gold    Yunnan Copper Industry Co., Ltd.    CN    Outreach Required

 

A-8