Exhibit 1.01
SMTC Corporation
Conflict Minerals Report
For The Reporting Period January 1 to December 31, 2017
This Conflict Minerals Report (“CMR”) has been prepared by SMTC Corporation (herein referred to, alternatively, as “SMTC,” “we”, “us” and “our”). This CMR for the reporting period January 1 to December 31, 2017 is presented to comply with the final conflict minerals implementing rules (“Final Rules”) promulgated by the Securities and Exchange Commission (“SEC”), as modified by subsequent SEC guidance. The Final Rules were adopted by the to implement reporting and disclosure requirements related to conflict minerals as directed by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 as codified in Section 13(p) of the Securities Exchange Act of 1934, as amended. The Final Rules impose reporting obligations on SEC registrants whose manufactured products contain conflict minerals that are necessary to the functionality or production of their products. “Conflict minerals” are currently defined by the SEC as cassiterite, columbite-tantalite (coltan), gold, wolframite, or their derivatives, which the SEC has currently limited to tin, tantalum, tungsten and gold.
To comply with the Final Rules, we conducted due diligence on the origin, source and chain of custody of the conflict minerals that were necessary to the functionality or production of the products that we manufactured or contracted to manufacture the “Covered Products” to ascertain whether these conflict minerals originated in the Democratic Republic of Congo or an adjoining country (collectively, “Covered Countries”) and financed or benefited armed groups (as defined in Section 1, Item 1.01(d)(2) of Form SD) in any of these countries and whether any of the conflict minerals may be from recycled or scrap sources.
Pursuant to SEC guidance, SMTC is not required to describe any of its Covered Products as “DRC conflict free”, “DRC conflict undeterminable” or “having not been found to be ‘DRC conflict free’” (as each such term is defined in Item 1.01(d) of Form SD), and therefore makes no conclusion in this regard in this CMR. Furthermore, given that SMTC has not voluntarily elected to describe any of its Covered Products as “DRC conflict free,” an independent private sector audit of the report presented herein has not been conducted.
I. | Company Overview |
SMTC Corporation (the “Company” or “SMTC”) is a provider of end-to-end electronics manufacturing services, or EMS, including product design and sustaining engineering services, printed circuit board assembly, or PCBA, production, enclosure fabrication, cable assembly, systems integration and comprehensive testing services, configuration to order, build to order and direct order fulfilment. SMTC facilities span a broad footprint in the United States, Mexico, and China, with approximately 1,350 employees of which 1,087 are full-time employees. SMTC’s services extend over the entire electronic product life cycle from the development and introduction of new products through to growth, maturity and end of life phases. SMTC offers fully integrated contract manufacturing services to global original equipment manufacturers, or OEMs, and technology companies primarily within the industrial, computing and communications, power and energy and medical market segments. In addition, the Company operates an international sourcing and procurement office in Hong Kong and maintains its corporate headquarters in Markham, Canada.
II. | Product Overview |
SMTC’s electronic manufacturing services span the entire electronic product life cycle from the development and introduction of new products through the growth, maturity, and end-of-life phases. We believe that SMTC’s innovative manufacturing services have the capability to reduce our customers’ product costs and time-to-market, which improve competitiveness. We continuously work with our customers to identify, prioritize and implement opportunities for cost reduction.
SMTC offers three vertically integrated manufacturing streams: enclosures and precision metal fabrication products; PCBA products; and larger-scale systems. For each of these streams, SMTC provides a broad range of end-to-end manufacturing services, from assembly, test, integration and box-build through to system level test, CTO, BTO and DOF. These core services are complemented with cable assembly, interconnect and value engineering services. SMTC’s three manufacturing streams are vertically integrated to better control quality, lead times and inventory risk and to avoid the “margin stacking” when these services are provided by loosely connected entities. Customers benefit from lower costs, better quality, and shorter lead times.
Our Covered Products.
We identified the following categories of Covered Products:
● | Enclosures and Precision Metal Fabrication Products: We provide custom build metal fabrication, assembly enclosures, cable and harness assemblies. |
● | PCBA Products: We manufacture printed circuit board assemblies for various consumer and commercial products including audio systems, electronic payment terminals, fuel dispensers and computer and networking modules. |
● | Larger-Scale Systems: We manufacture subassemblies utilized in large scale systems used for the production of integrated circuits in the semiconductor industry. |
III. | Supply Chain Overview |
SMTC delivers supply chain capabilities and solutions that support the total product lifecycle. Our teams work closely with customers’ supply-base partners to integrate the entire supply chain. Our extended supply chain model recognizes the need for collaboration between OEM customers, SMTC and supply partners to ensure overall supply chain optimization, from product design processes, manufacturing, sourcing, order management and fulfillment to transportation and logistics. The end result is greater control over a complex, extended supply chain to help SMTC customers realize flexibility, cost savings, process improvements, and competitive advantages.
IV. | Conflict Minerals Analysis and Reasonable Country of Origin Inquiry |
Based upon a review of our products and our reasonable country of origin inquiry (“RCOI”), we have concluded that:
● | Those products identified above under the heading “Our Covered Products” contain conflict minerals that are necessary to the production or functionality of such products; and |
● | As of April 30, 2018, suppliers who have responded to our survey indicated that a portion of these conflict minerals originated from the Covered Countries. Please reference the table 1 below for a summary of the results based upon the surveys returned. |
Table 1
Supplier Response | Tantalum | Tin | Gold | Tungsten |
Yes | 60% | 44% | 12% | 47% |
Unknown | 12% | 9% | 19% | 11% |
No | 28% | 47% | 70% | 42% |
Total | 100% | 100% | 100% | 100% |
● | Suppliers who have responded to our survey indicated a portion of conflict minerals coming from recycled or scrap sources were used in the production of covered products as shown in the table 2 below. |
Table 2
Supplier Response | Tantalum | Tin | Gold | Tungsten |
Yes | 0 | 4% | 4.02% | 1.74% |
After completing the due diligence described below, SMTC continues to work with its suppliers to identify the country of origin of the conflict minerals and facilities used to produce the conflict minerals in the Covered Products.
Therefore, required by the Final Rules to file with the SEC a Form SD and a Conflict Minerals Report as an exhibit thereto.
V. | Design of Due Diligence Measures |
SMTC designed its due diligence process with respect to the source and chain of custody of the conflict minerals contained in the Covered Products based on the five-step framework set forth in the Second Edition of the Organization for Economic Co-operation and Development’s Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas and the supplements thereto (the “OECD Guidance”).
VI. | Due Diligence Measures Performed by SMTC |
SMTC performed the following due diligence measures in accordance with the OECD Guidance and the Final Rules:
OECD Guidance Step #1: Establish Strong Company Management Systems
● | On November 12, 2012, SMTC adopted a Conflict Minerals Policy (the “Conflict Minerals Policy”) that sets forth (i) its commitment to complying with the Final Rules, (ii) its expectations of its suppliers regarding supporting SMTC’s compliance activities, and (iii) its policies and practices with respect to the engagement of suppliers and the implementation of risk mitigation measures. The Conflict Minerals Policy can be found on our website at www.smtc.com under the “About SMTC” heading then click on “Corporate Social Responsibility”. |
● | The implementation of SMTC’s RCOI and the conducting of due diligence on the source and chain of custody of SMTC’s necessary conflict minerals is managed by SMTC’s Engineering and Quality team. To the extent that concerns or other issues are identified in the supplier data acquisition or engagement processes, these issues and concerns will be addressed first by the responsible individuals within this Engineering and Quality team and reviewed by the VP, Quality and Engineering on a quarterly basis. |
● | The Engineering and Quality team members responsible for compliance with our Conflict Minerals Policy and Final Rules (i) have received training regarding conflict minerals compliance and (ii) are required to be familiar with the Conflict Minerals Policy and with SMTC’s conflict minerals-related processes and procedures. |
● | Records of material conflict minerals-related documentation are maintained electronically by SMTC for a period of five (5) years from the date of creation. |
● | All of SMTC’s existing suppliers have been provided our copy of the Conflict Minerals Policy, and new suppliers will be provided a copy of the Conflict Minerals Policy as part of SMTC’s standard supplier onboarding process. Subject to each supplier’s position in our supply chain and our relative leverage with respect to such supplier, we will use commercially reasonable efforts to obtain (i) the assent of our suppliers to a policy on conflict minerals consistent with the Conflict Minerals Policy; (ii) the cooperation of such suppliers in providing the information required by the CMRT (as defined below); and (iii) the commitment of such suppliers to promptly update us regarding changes in their sourcing practices and circumstances that impact us by providing us with revised CMRTs. |
● | Interested parties can report improper activities in violation of the Conflict Minerals Policy or the Final Rules by reporting such activities to SMTC Conflict Minerals <conflictminerals@smtc.com>. The contact and email address for the grievance mechanism are published on SMTC’s website at www.smtc.com. All reported activities will be reviewed by the appropriate individuals within SMTC. |
OECD Guidance Step #2: Identify and Assess Risk in the Supply Chain
● | SMTC requires that its suppliers provide the information required to complete, in all material respects, the Electronic Industry Citizenship Coalition (“EICC”)/Global e-Sustainability Initiative Conflict Minerals Reporting Template (the “CMRT”). The CMRT is designed to provide SMTC with sufficient information regarding its suppliers’ practices with respect to the sourcing of conflict minerals to enable it to comply with its requirements under the Final Rules. As of January 13, 2013, we started our supplier data acquisition and engagement processes by sending CMRT request to our suppliers via the iPoint Conflict Minerals Platform. |
● | SMTC manages the collection of information that is reported on the CMRT by its suppliers using iPoint Conflict Minerals Platform. |
● | SMTC utilizes a series of escalating responses within the iPoint Conflict Minerals Platform to address the failure of a supplier to provide the information required by the CMRT. |
OECD Guidance Step #3: Design and Implement a Strategy to Respond to Identified Risks
● | If SMTC determines that there is a reasonable risk that a supplier is sourcing conflict minerals that are directly or indirectly financing or benefiting armed groups as a result of either (i) the supplier data acquisition or engagement processes or (ii) the receipt of information from other sources, SMTC will apply a series of escalations. |
| ● | In order to identify and respond to identified risks, SMTC follows a framework described by IPC WP-1081 - White Paper on Conflict Minerals Due Diligence. SMTC applies this framework to supplier engagements at or above $100,000 USD per year. In broad terms, a set of escalations are used to obtain the desired results. |
● | Such escalations may include sending escalation letters to our suppliers, suspend invoice payments and finally suspend trade. SMTC will also engage with customers to resolve a sourcing issue that involves product from suppliers required by our customer or a product from SMTC’s direct suppliers, to require such supplier to implement a risk management plan (which plan may involve, as appropriate, remedial action up to, and including, disengagement from upstream suppliers), or disengagement by SMTC from the applicable supplier. |
OECD Guidance Step #4: Carry Out Independent Third-Party Audit of Supply Chain Due Diligence at Identified Points in the Supply Chain
The supply chain for the Covered Products is complex, and there are many third parties in the supply chain between our direct supplier and the original sources of the conflict minerals necessary to the Covered Products. In this regard, we do not purchase conflict minerals directly from mines, smelters or refiners. We must therefore rely on our suppliers to provide information regarding the origin of the conflict minerals that are included in the Covered Products. Additionally, we believe that the smelters and refiners of the conflict minerals are best situated to identify the sources of the conflict minerals and have required our suppliers to take steps to identify the applicable smelters and refiners of the conflict minerals in our supply chain. Given that we do not have a direct relationship with the smelters and refiners that process the conflict minerals that are present in our the Covered Products, we rely on the Responsible Minerals Initiative (RMI) formerly Conflict-Free Sourcing Initiative (CFSI) to conduct third-party audits of smelters and refineries.
OECD Guidance Step #5: Report on Supply Chain Due Diligence
As required by the Final Rules, we have filed a Form SD and a Conflict Minerals Report as an exhibit thereto for the 2017 calendar year reporting period.
VII. | Smelters or Refineries Identified |
For year 2017, we have further reviewed and consolidated our RCOI inquiry due to acquisitions by or of several suppliers and to ease duplication of requests sent. As a result, there was a 15% decrease of suppliers request sent due to a few customer disengagements and further consolidation of supply base as compared with previous 10% decrease of supplier requests sent in 2016 as compared to year 2015, which also reported a decrease of 35%, as compared to year 2014 reporting period.
There has been a 0.4% increase of supplier responses in 2017 as compared with an increase of 10.6% of supplier responses in 2016, compared to 2015 and an increase of 15.6% and 30.6% when compared to 2014 and 2013 reporting period consecutively.
As of April 30, 2017, SMTC’s RCOI, involved 907 suppliers contributing conflict minerals necessary to SMTC’s products, of whom 62% have returned completed CMRTs to SMTC. These suppliers identified the names of 359 recognized smelters or refineries from which they source conflict minerals. Of those smelters, 247 smelters, or approximately 69.9%, have been certified by the Responsible Minerals Initiative (RMI) formerly Conflict-Free Sourcing Initiative (CFSI). The remainder of the smelters and refineries are not, at this time, certified by the RMI. With respect to these uncertified smelters and refineries, although we were not able to determine the mines of origin of the conflict minerals sourced from such smelters and refineries, we were able to determine the country locations of the refineries and smelters for the 2016 reporting period as compared to 2015 reporting period by requesting the completed CMRT from suppliers and soliciting the country of origin utilizing the iPoint Conflict Minerals Platform (iPCMP).
SMTC utilizes iPCMP to manage suppliers templates and status of smelters. The iPCMP Master Smelter List is continuously updated with the current information obtained from RMI. When RMI eventually validates these smelters and adds them to their system, iPCMP updates smelter status information within their master smelter list.
The following smelters and refineries were identified by SMTC’s supply chain. Smelters or refineries with the check mark with an “X” in the right hand column are listed on the RMI (Responsible Minerals Initiative)’s according to iPCMP.
3TG | Smelter Names and Refineries | Smelter or Refiner Country Location
| RMI List |
Gold | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | TURKEY | |
Gold | PX Precinox S.A. | SWITZERLAND | X |
Gold | Solar Applied Materials Technology Corp. | TAIWAN, PROVINCE OF CHINA | X |
Gold | T.C.A S.p.A | ITALY | X |
Gold | Caridad | MEXICO | |
Gold | Degussa Sonne / Mond Goldhandel GmbH | GERMANY | |
Gold | Kyrgyzaltyn JSC | KYRGYZSTAN | X |
Gold | Materion | UNITED STATES OF AMERICA | X |
Gold | Mitsui Mining and Smelting Co., Ltd. | JAPAN | X |
Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. | CHINA | |
Gold | Modeltech Sdn Bhd | MALAYSIA | |
Gold | Tokuriki Honten Co., Ltd. | JAPAN | X |
Gold | Metalor Technologies (Singapore) Pte., Ltd. | SINGAPORE | X |
Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | CHINA | X |
Gold | AURA-II | UNITED STATES OF AMERICA | |
Gold | Cendres + Metaux S.A. | SWITZERLAND | X |
Gold | LS-NIKKO Copper Inc. | KOREA, REPUBLIC OF | X |
Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | RUSSIAN FEDERATION | X |
Gold | Refinery of Seemine Gold Co., Ltd. | CHINA | |
Gold | Metalurgica Met-Mex Penoles S.A. De C.V. | MEXICO | X |
Gold | JX Nippon Mining & Metals Co., Ltd. | JAPAN | X |
Gold | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | CHINA | |
Gold | Safimet S.p.A | ITALY | X |
Gold | Navoi Mining and Metallurgical Combinat | UZBEKISTAN | |
Gold | Western Australian Mint (T/a The Perth Mint) | AUSTRALIA | X |
Gold | Rand Refinery (Pty) Ltd. | SOUTH AFRICA | X |
Gold | Guangdong Jinding Gold Limited | CHINA | |
Gold | Asahi Pretec Corp. | JAPAN | X |
Gold | OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) | RUSSIAN FEDERATION | X |
Gold | CCR Refinery - Glencore Canada Corporation | CANADA | X |
Gold | Umicore Precious Metals Thailand | THAILAND | X |
Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | RUSSIAN FEDERATION | |
Gold | Gold Refinery of Zijin Mining Group Co., Ltd. | CHINA | X |
Gold | Metalor USA Refining Corporation | UNITED STATES OF AMERICA | X |
Gold | PAMP S.A. | SWITZERLAND | X |
Gold | Allgemeine Gold-und Silberscheideanstalt A.G. | GERMANY | X |
Gold | PT Aneka Tambang (Persero) Tbk | INDONESIA | X |
Gold | Daejin Indus Co., Ltd. | KOREA, REPUBLIC OF | X |
Gold | Al Etihad Gold Refinery DMCC | UNITED ARAB EMIRATES | X |
Gold | Yokohama Metal Co., Ltd. | JAPAN | X |
Gold | YAMAKIN CO., LTD. | JAPAN | X |
Gold | Eco-System Recycling Co., Ltd. | JAPAN | X |
Gold | Emirates Gold DMCC | UNITED ARAB EMIRATES | X |
Gold | Samwon Metals Corp. | KOREA, REPUBLIC OF | |
Gold | DSC (Do Sung Corporation) | KOREA, REPUBLIC OF | X |
Gold | Metalor Technologies S.A. | SWITZERLAND | X |
Gold | C. Hafner GmbH + Co. KG | GERMANY | X |
Gold | Morris and Watson | NEW ZEALAND | |
Gold | Aurubis AG | GERMANY | X |
Gold | MMTC-PAMP India Pvt., Ltd. | INDIA | X |
Gold | DODUCO Contacts and Refining GmbH | GERMANY | X |
Gold | Kennecott Utah Copper LLC | UNITED STATES OF AMERICA | X |
Gold | HeeSung Metal Ltd. | KOREA, REPUBLIC OF | X |
Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | CHINA | X |
Gold | JSC Uralelectromed | RUSSIAN FEDERATION | X |
Gold | Singway Technology Co., Ltd. | TAIWAN, PROVINCE OF CHINA | X |
Gold | So Accurate Group, Inc. | UNITED STATES OF AMERICA | |
Gold | Kazakhmys Smelting LLC | KAZAKHSTAN |
Gold | Bauer Walser AG | GERMANY | |
Gold | Sai Refinery | INDIA | |
Gold | GCC Gujrat Gold Centre Pvt. Ltd. | INDIA | |
Gold | Umicore Brasil Ltda. | BRAZIL | X |
Gold | Super Dragon Technology Co., Ltd. | TAIWAN, PROVINCE OF CHINA | |
Gold | SAFINA A.S. | CZECH REPUBLIC | X |
Gold | Sabin Metal Corp. | UNITED STATES OF AMERICA | |
Gold | Abington Reldan Metals, LLC | UNITED STATES OF AMERICA | |
Gold | Geib Refining Corporation | UNITED STATES OF AMERICA | X |
Gold | SAXONIA Edelmetalle GmbH | GERMANY | X |
Gold | Advanced Chemical Company | UNITED STATES OF AMERICA | X |
Gold | Lingbao Jinyuan Tonghui Refinery Co., Ltd. | CHINA | |
Gold | Korea Metal Co., Ltd. | KOREA, REPUBLIC OF | |
Gold | Kojima Chemicals Co., Ltd. | JAPAN | X |
Gold | Asaka Riken Co., Ltd. | JAPAN | X |
Gold | Elemetal Refining, LLC | UNITED STATES OF AMERICA | |
Gold | Asahi Refining USA Inc. | UNITED STATES OF AMERICA | X |
Gold | KGHM Polska Miedz Spolka Akcyjna | POLAND | |
Gold | Argor-Heraeus S.A. | SWITZERLAND | X |
Gold | Yunnan Copper Industry Co., Ltd. | CHINA | |
Gold | Mitsubishi Materials Corporation | JAPAN | X |
Gold | WIELAND Edelmetalle GmbH | GERMANY | X |
Gold | Faggi Enrico S.p.A. | ITALY | |
Gold | Great Wall Precious Metals Co., Ltd. of CBPM | CHINA | |
Gold | Istanbul Gold Refinery | TURKEY | X |
Gold | Morris and Watson Gold Coast | AUSTRALIA | |
Gold | Asahi Refining Canada Ltd. | CANADA | X |
Gold | Bangalore Refinery | INDIA | |
Gold | Tanaka Kikinzoku Kogyo K.K. | JAPAN | X |
Gold | Marsam Metals | BRAZIL | X |
Gold | Henan Yuguang Gold and Lead Co., Ltd | CHINA | |
Gold | Heraeus Metals Hong Kong Ltd. | CHINA | X |
Gold | The Refinery of Shandong Gold Mining Co., Ltd. | CHINA | X |
Gold | Kaloti Precious Metals | UNITED ARAB EMIRATES | |
Gold | Aida Chemical Industries Co., Ltd. | JAPAN | X |
Gold | Boliden AB | SWEDEN | X |
Gold | Chimet S.p.A. | ITALY | X |
Gold | OJSC Novosibirsk Refinery | RUSSIAN FEDERATION | X |
Gold | SEMPSA Joyeria Plateria S.A. | SPAIN | X |
Gold | Penglai Penggang Gold Industry Co., Ltd. | CHINA | |
Gold | Sichuan Tianze Precious Metals Co., Ltd. | CHINA | X |
Gold | Valcambi S.A. | SWITZERLAND | X |
Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | PHILIPPINES | X |
Gold | Tony Goetz NV | BELGIUM | |
Gold | Japan Mint | JAPAN | X |
Gold | Samduck Precious Metals | KOREA, REPUBLIC OF | X |
Gold | SungEel HiMetal Co., Ltd. | KOREA, REPUBLIC OF | X |
Gold | Moscow Special Alloys Processing Plant | RUSSIAN FEDERATION | X |
Gold | K.A.Rasmussen as | NORWAY | |
Gold | Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH | AUSTRIA | X |
Gold | Fidelity Printers and Refiners Ltd. | ZIMBABWE | |
Gold | OJSC Kolyma Refinery | RUSSIAN FEDERATION | |
Gold | Jiangxi Copper Co., Ltd. | CHINA | X |
Gold | Shandong Yanggu Xiangguang Co. Ltd. | CHINA | |
Gold | Daye Non-Ferrous Metals Mining Ltd. | CHINA | |
Gold | Sumitomo Metal Mining Co., Ltd. | JAPAN | X |
Gold | Lingbao Gold Co., Ltd. | CHINA | |
Gold | Metalor Technologies (Suzhou) Ltd. | CHINA | X |
Gold | Gansu Seemine Material Hi-Tech Co., Ltd. | CHINA | |
Gold | United Precious Metal Refining, Inc. | UNITED STATES OF AMERICA | X |
Gold | Zhongkuang Gold Industry Co., LTD | CHINA | |
Gold | Matsuda Sangyo Co., Ltd. | JAPAN | X |
Gold | Guoda Safina High-Tech Environmental Refinery Co., Ltd. | CHINA | |
Gold | Torecom | KOREA, REPUBLIC OF | X |
Gold | SAAMP | FRANCE | X |
Gold | TOO Tau-Ken-Altyn | KAZAKHSTAN | |
Gold | Heraeus Precious Metals GmbH & Co. KG | GERMANY | X |
Gold | Tongling Nonferrous Metals Group Co., Ltd. | CHINA | |
Gold | Dowa | JAPAN | X |
Gold | Schone Edelmetaal B.V. | NETHERLANDS | |
Gold | Ishifuku Metal Industry Co., Ltd. | JAPAN | X |
Gold | Sudan Gold Refinery | SUDAN | |
Gold | Chugai Mining | JAPAN | |
Gold | State Research Institute Center for Physical Sciences and Technology | LITHUANIA | |
Gold | Ohura Precious Metal Industry Co., Ltd. | JAPAN | X |
Gold | Prioksky Plant of Non-Ferrous Metals | RUSSIAN FEDERATION | X |
Gold | Nadir Metal Rafineri San. Ve Tic. A.S. | TURKEY | X |
Gold | Nihon Material Co., Ltd. | JAPAN | X |
Gold | Korea Zinc Co., Ltd. | KOREA, REPUBLIC OF | X |
Gold | Almalyk Mining and Metallurgical Complex (AMMC) | UZBEKISTAN | X |
Gold | Hunan Chenzhou Mining Co., Ltd. | CHINA | |
Gold | Metalor Technologies (Hong Kong) Ltd. | CHINA | X |
Gold | Universal Precious Metals Refining Zambia | ZAMBIA | |
Gold | Planta Recuperadora de Metales SpA | CHILE | X |
Gold | Remondis Argentia B.V. | NETHERLANDS | |
Gold | Republic Metals Corporation | UNITED STATES OF AMERICA | X |
Gold | AngloGold Ashanti Corrego do Sitio Mineracao | BRAZIL | X |
Gold | Heimerle + Meule GmbH | GERMANY | X |
Gold | Kazzinc | KAZAKHSTAN | X |
Gold | AU Traders and Refiners | SOUTH AFRICA | X |
Gold | HwaSeong CJ CO., LTD. | KOREA, REPUBLIC OF | |
Gold | Kyshtym Copper-Electrolytic Plant ZAO | RUSSIAN FEDERATION |
Gold | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | CHINA | |
Gold | Royal Canadian Mint | CANADA | X |
Gold | Pease & Curren | UNITED STATES OF AMERICA | |
Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | CHINA | X |
Gold | Umicore S.A. Business Unit Precious Metals Refining | BELGIUM | X |
Gold | L'Orfebre S.A. | ANDORRA | |
Gold | Italpreziosi | ITALY | X |
Gold | L'azurde Company For Jewelry | SAUDI ARABIA | |
Gold | Hwasung CJ Co., Ltd. | KOREA, REPUBLIC OF | |
Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | CHINA | X |
Tantalum | Mitsui Mining and Smelting Co., Ltd. | JAPAN | X |
Tantalum | Jiujiang Tanbre Co., Ltd. | CHINA | X |
Tantalum | Guangdong Rising Rare Metals-EO Materials Ltd. | CHINA | X |
Tantalum | F&X Electro-Materials Ltd. | CHINA | X |
Tantalum | QuantumClean | UNITED STATES OF AMERICA | X |
Tantalum | Plansee SE Reutte | AUSTRIA | |
Tantalum | Zhuzhou Cemented Carbide Group Co., Ltd. | CHINA | |
Tantalum | Duoluoshan | CHINA | |
Tantalum | H.C. Starck Tantalum and Niobium GmbH | GERMANY | X |
Tantalum | Tranzact, Inc. | UNITED STATES OF AMERICA | |
Tantalum | Hi-Temp Specialty Metals, Inc. | UNITED STATES OF AMERICA | |
Tantalum | Metallurgical Products India Pvt., Ltd. | INDIA | X |
Tantalum | Jiujiang Janny New Material Co., Ltd. | CHINA | X |
Tantalum | Changsha South Tantalum Niobium Co., Ltd. | CHINA | X |
Tantalum | FIR Metals & Resource Ltd. | CHINA | X |
Tantalum | Exotech Inc. | UNITED STATES OF AMERICA | X |
Tantalum | Jiangxi Tuohong New Raw Material | CHINA | X |
Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | CHINA | X |
Tantalum | LSM Brasil S.A. | BRAZIL | X |
Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | CHINA | X |
Tantalum | Global Advanced Metals Aizu | JAPAN | X |
Tantalum | Mineracao Taboca S.A. | BRAZIL | X |
Tantalum | H.C. Starck Co., Ltd. | THAILAND | X |
Tantalum | H.C. Starck Smelting GmbH & Co. KG | GERMANY | X |
Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | CHINA | X |
Tantalum | Power Resources Ltd. | MACEDONIA, THE FORMER YUGOSLAV REPUBLIC OF | X |
Tantalum | NPM Silmet AS | ESTONIA | X |
Tantalum | Asaka Riken Co., Ltd. | JAPAN | X |
Tantalum | Ulba Metallurgical Plant JSC | KAZAKHSTAN | X |
Tantalum | King-Tan Tantalum Industry Ltd. | CHINA | |
Tantalum | Guangdong Zhiyuan New Material Co., Ltd. | CHINA | X |
Tantalum | Telex Metals | UNITED STATES OF AMERICA | X |
Tantalum | Taki Chemical Co., Ltd. | JAPAN | X |
Tantalum | KEMET Blue Powder | UNITED STATES OF AMERICA | X |
Tantalum | H.C. Starck Inc. | UNITED STATES OF AMERICA | X |
Tantalum | H.C. Starck Hermsdorf GmbH | GERMANY | X |
Tantalum | Global Advanced Metals Boyertown | UNITED STATES OF AMERICA | X |
Tantalum | Yichun Jin Yang Rare Metal Co., Ltd. | CHINA | |
Tantalum | Plansee SE Liezen | AUSTRIA | |
Tantalum | H.C. Starck Ltd. | JAPAN | X |
Tantalum | Resind Industria e Comercio Ltda. | BRAZIL | X |
Tantalum | D Block Metals, LLC | UNITED STATES OF AMERICA | X |
Tantalum | XinXing HaoRong Electronic Material Co., Ltd. | CHINA | X |
Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | CHINA | X |
Tantalum | KEMET Blue Metals | MEXICO | X |
Tantalum | H.C. Starck GmbH Laufenburg | GERMANY | |
Tantalum | Solikamsk Magnesium Works OAO | RUSSIAN FEDERATION | X |
Tantalum | RFH Tantalum Smeltery Co., Ltd./Yanling Jincheng Tantalum & Niobium Co., Ltd. | CHINA | X |
Tin | Operaciones Metalurgical S.A. | BOLIVIA (PLURINATIONAL STATE OF) | X |
Tin | Linwu Xianggui Ore Smelting Co., Ltd. | CHINA | |
Tin | Gejiu Fengming Metallurgy Chemical Plant | CHINA | X |
Tin | PT Pelat Timah Nusantara Tbk | INDONESIA | |
Tin | PT Artha Cipta Langgeng | INDONESIA | X |
Tin | PT Sukses Inti Makmur | INDONESIA | X |
Tin | Chifeng Dajingzi Tin Industry Co., Ltd. | CHINA | X |
Tin | CV Gita Pesona | INDONESIA | X |
Tin | PT Menara Cipta Mulia | INDONESIA | X |
Tin | PT Panca Mega Persada | INDONESIA | X |
Tin | PT Tommy Utama | INDONESIA | X |
Tin | PT Babel Surya Alam Lestari | INDONESIA | |
Tin | PT Alam Lestari Kencana | INDONESIA | |
Tin | Super Ligas | BRAZIL | |
Tin | PT Babel Inti Perkasa | INDONESIA | X |
Tin | Fenix Metals | POLAND | X |
Tin | An Vinh Joint Stock Mineral Processing Company | VIET NAM | |
Tin | Gejiu Zili Mining And Metallurgy Co., Ltd. | CHINA | |
Tin | PT Kijang Jaya Mandiri | INDONESIA | X |
Tin | PT Bangka Tin Industry | INDONESIA | X |
Tin | PT Timah (Persero) Tbk Mentok | INDONESIA | X |
Tin | PT Bangka Serumpun | INDONESIA | X |
Tin | PT O.M. Indonesia | INDONESIA | |
Tin | CV Dua Sekawan | INDONESIA | X |
Tin | EM Vinto | BOLIVIA (PLURINATIONAL STATE OF) | X |
Tin | Alpha | UNITED STATES OF AMERICA | X |
Tin | PT Premium Tin Indonesia | INDONESIA | X |
Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | CHINA | X |
Tin | PT Tirus Putra Mandiri | INDONESIA | |
Tin | Thaisarco | THAILAND | X |
Tin | Guangdong Hanhe Non-Ferrous Metal Co., Ltd. | CHINA | X |
Tin | Guanyang Guida Nonferrous Metal Smelting Plant | CHINA | X |
Tin | CV Ayi Jaya | INDONESIA | X |
Tin | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | VIET NAM | |
Tin | PT BilliTin Makmur Lestari | INDONESIA |
Tin | PT Justindo | INDONESIA | |
Tin | PT Refined Bangka Tin | INDONESIA | X |
Tin | Dowa | JAPAN | X |
Tin | Rui Da Hung | TAIWAN, PROVINCE OF CHINA | X |
Tin | Huichang Jinshunda Tin Co., Ltd. | CHINA | X |
Tin | Mitsubishi Materials Corporation | JAPAN | X |
Tin | Cooperativa Metalurgica de Rondonia Ltda. | BRAZIL | |
Tin | Yunnan Tin Company Limited | CHINA | X |
Tin | CNMC (Guangxi) PGMA Co., Ltd. | CHINA | |
Tin | PT Sumber Jaya Indah | INDONESIA | X |
Tin | PT Wahana Perkit Jaya | INDONESIA | |
Tin | PT Cipta Persada Mulia | INDONESIA | |
Tin | VQB Mineral and Trading Group JSC | VIET NAM | |
Tin | China Tin Group Co., Ltd. | CHINA | X |
Tin | Jiangxi New Nanshan Technology Ltd. | CHINA | X |
Tin | Pongpipat Company Limited | MYANMAR | |
Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. | CHINA | X |
Tin | Nghe Tinh Non-Ferrous Metals Joint Stock Company | VIET NAM | |
Tin | Phoenix Metal Ltd. | RWANDA | |
Tin | Melt Metais e Ligas S.A. | BRAZIL | X |
Tin | PT Sariwiguna Binasentosa | INDONESIA | X |
Tin | Minsur | PERU | X |
Tin | CV Tiga Sekawan | INDONESIA | |
Tin | PT Karimun Mining | INDONESIA | X |
Tin | HuiChang Hill Tin Industry Co., Ltd. | CHINA | X |
Tin | Soft Metais Ltda. | BRAZIL | X |
Tin | Estanho de Rondonia S.A. | BRAZIL | |
Tin | PT Bangka Timah Utama Sejahtera | INDONESIA | |
Tin | PT Bangka Kudai Tin | INDONESIA | |
Tin | Jiangxi Ketai Advanced Material Co., Ltd. | CHINA | X |
Tin | Malaysia Smelting Corporation (MSC) | MALAYSIA | X |
Tin | PT Bangka Putra Karya | INDONESIA | |
Tin | PT Lautan Harmonis Sejahtera | INDONESIA | X |
Tin | Tuyen Quang Non-Ferrous Metals Joint Stock Company | VIET NAM | |
Tin | CV United Smelting | INDONESIA | X |
Tin | Novosibirsk Processing Plant Ltd. | RUSSIAN FEDERATION | |
Tin | PT DS Jaya Abadi | INDONESIA | X |
Tin | PT Fang Di MulTindo | INDONESIA | |
Tin | Resind Industria e Comercio Ltda. | BRAZIL | X |
Tin | Metallo Spain S.L.U. | SPAIN | X |
Tin | Gejiu Jinye Mineral Company | CHINA | X |
Tin | PT Inti Stania Prima | INDONESIA | X |
Tin | Metallic Resources, Inc. | UNITED STATES OF AMERICA | X |
Tin | Metallo Belgium N.V. | BELGIUM | X |
Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | CHINA | X |
Tin | PT Eunindo Usaha Mandiri | INDONESIA | X |
Tin | O.M. Manufacturing Philippines, Inc. | PHILIPPINES | X |
Tin | PT Prima Timah Utama | INDONESIA | X |
Tin | Mineracao Taboca S.A. | BRAZIL | X |
Tin | PT Bangka Prima Tin | INDONESIA | X |
Tin | PT Tinindo Inter Nusa | INDONESIA | X |
Tin | PT Mitra Stania Prima | INDONESIA | X |
Tin | PT Aries Kencana Sejahtera | INDONESIA | X |
Tin | O.M. Manufacturing (Thailand) Co., Ltd. | THAILAND | X |
Tin | White Solder Metalurgia e Mineracao Ltda. | BRAZIL | X |
Tin | PT Stanindo Inti Perkasa | INDONESIA | X |
Tin | CV Venus Inti Perkasa | INDONESIA | X |
Tin | PT Belitung Industri Sejahtera | INDONESIA | X |
Tin | Gejiu Kai Meng Industry and Trade LLC | CHINA | X |
Tin | PT ATD Makmur Mandiri Jaya | INDONESIA | X |
Tin | Magnu's Minerais Metais e Ligas Ltda. | BRAZIL | X |
Tin | PT Bukit Timah | INDONESIA | X |
Tin | Modeltech Sdn Bhd | MALAYSIA | |
Tin | PT Timah (Persero) Tbk Kundur | INDONESIA | X |
Tin | An Thai Minerals Co., Ltd. | VIET NAM | |
Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | CHINA | X |
Tungsten | Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd. | CHINA | |
Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | CHINA | X |
Tungsten | Moliren Ltd. | RUSSIAN FEDERATION | X |
Tungsten | H.C. Starck Smelting GmbH & Co. KG | GERMANY | X |
Tungsten | Unecha Refractory metals plant | RUSSIAN FEDERATION | X |
Tungsten | Tejing (Vietnam) Tungsten Co., Ltd. | VIET NAM | X |
Tungsten | Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC | VIET NAM | X |
Tungsten | Xinhai Rendan Shaoguan Tungsten Co., Ltd. | CHINA | X |
Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | CHINA | X |
Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd. | CHINA | X |
Tungsten | Wolfram Bergbau und Hutten AG | AUSTRIA | X |
Tungsten | Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. | CHINA | X |
Tungsten | Philippine Chuangxin Industrial Co., Inc. | PHILIPPINES | X |
Tungsten | Woltech Korea Co., Ltd. | KOREA, REPUBLIC OF | X |
Tungsten | Global Tungsten & Powders Corp. | UNITED STATES OF AMERICA | X |
Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | CHINA | X |
Tungsten | Ganzhou Non-ferrous Metals Smelting Co., Ltd. | CHINA | |
Tungsten | H.C. Starck Tungsten GmbH | GERMANY | X |
Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | CHINA | X |
Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | CHINA | X |
Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | CHINA | X |
Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. | CHINA | X |
Tungsten | South-East Nonferrous Metal Company Limited of Hengyang City | CHINA | X |
Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. | CHINA | X |
Tungsten | Hydrometallurg, JSC | RUSSIAN FEDERATION | X |
Tungsten | Pobedit, JSC | RUSSIAN FEDERATION | |
Tungsten | ACL Metais Eireli | BRAZIL | X |
Tungsten | Vietnam Youngsun Tungsten Industry Co., Ltd. | VIET NAM | X |
Tungsten | Kennametal Huntsville | UNITED STATES OF AMERICA | X |
Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | CHINA | X |
Tungsten | Jiangxi Dayu Longxintai Tungsten Co., Ltd. | CHINA | |
Tungsten | A.L.M.T. TUNGSTEN Corp. | JAPAN | X |
Tungsten | Kennametal Fallon | UNITED STATES OF AMERICA | X |
Tungsten | Ganzhou Yatai Tungsten Co., Ltd. | CHINA | |
Tungsten | Hunan Chenzhou Mining Co., Ltd. | CHINA | X |
Tungsten | Malipo Haiyu Tungsten Co., Ltd. | CHINA | X |
Tungsten | Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. | CHINA | |
Tungsten | Fujian Jinxin Tungsten Co., Ltd. | CHINA | X |
Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | CHINA | X |
Tungsten | Asia Tungsten Products Vietnam Ltd. | VIET NAM | X |
Tungsten | Japan New Metals Co., Ltd. | JAPAN | X |
Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd. | CHINA | X |
Tungsten | Xiamen Tungsten Co., Ltd. | CHINA | X |
Tungsten | Hunan Litian Tungsten Industry Co., Ltd. | CHINA | |
Tungsten | North Metal and Chemical Company | UNITED STATES OF AMERICA | |
Tungsten | Ganzhou Haichuang Tungsten Co., Ltd. | CHINA | |
Tungsten | Dayu Weiliang Tungsten Co., Ltd. | CHINA | |
Tungsten | Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji | CHINA | X |
Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | CHINA | X |
Tungsten | Niagara Refining LLC | UNITED STATES OF AMERICA | X |
VIII. | Steps to Mitigate Risk |
SMTC intends to take the following steps to seek to mitigate the risk that its necessary conflict minerals directly or indirectly finance or benefit armed groups in the Covered Countries:
● | Continue to engage with suppliers to increase the number of returned CMRTs to decrease the number of incidents where no response is given in a CMRT, to obtain other information required to complete, in all material respects, the CMRT; |
● | Encourage the development of supplier capabilities to perform conflict-minerals related due diligence by the implementation of risk mitigation measures, as appropriate; and |
● | Provide ongoing training to applicable SMTC personnel regarding emerging best practices and other relevant topics for conflict minerals compliance. |
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