Johnson Controls International plc
Conflict Minerals Report
For the Calendar Year Ended December 31, 2016
I. Background
This is the Conflict Minerals Report (“Report”) of Johnson Controls International plc for calendar year 2016 in accordance with Rule 13p-1 under the Securities Exchange Act of 1934 (the “Rule”). As used in this Report, and except where the context otherwise requires, the "Company", "Johnson Controls", “we” and “our” refer to Johnson Controls International plc and its majority-owned subsidiaries and variable interest entities that are required to be consolidated. This Report includes the operations of our former automotive seating and interiors business ("Automotive Experience") through October 31, 2016, the date on which this business was spun off as an independent company named Adient plc. Adient plc is filing their own Conflict Minerals Report.
On September 2, 2016, Johnson Controls, Inc. ("JCI") and Tyco International plc (“Tyco”) completed their combination pursuant to the Agreement and Plan of Merger (the “Merger Agreement”), dated as of January 24, 2016, as amended by Amendment No. 1, dated as of July 1, 2016, by and among JCI, Tyco and certain other parties named therein, including Jagara Merger Sub LLC, an indirect wholly owned subsidiary of Tyco (“Merger Sub”). Pursuant to the terms of the Merger Agreement, on September 2, 2016, Merger Sub merged with and into JCI, with JCI being the surviving corporation in the merger and a wholly owned, indirect subsidiary of Tyco (the “Merger”). Following the Merger, Tyco changed its name to “Johnson Controls International plc.”
The merger was accounted for as a reverse acquisition using the acquisition method of accounting in accordance with Accounting Standards Codification 805, "Business Combinations." JCI was the accounting acquirer for financial reporting purposes. For purposes of this Report, JCI is also treated as having acquired Tyco. Prior to the Merger, each of JCI and Tyco were obligated to provide specialized disclosure reports. As a result, this Report includes the operations of JCI and Tyco for the entirety of calendar 2016. Because the Merger closed on September 2, 2016, the conflict minerals compliance programs for each of JCI and Tyco have not yet been integrated. Accordingly, this Report includes descriptions of the reasonable country of origin inquiry (“RCOI”) and due diligence programs in effect during calendar 2016 for JCI (described as the Company excluding Tyco) and for Tyco.
The term “conflict mineral” is defined to include cassiterite, columbite-tantalite, gold, and wolframite and their derivatives, including tantalum, tin and tungsten (“3TG”), regardless of their source.
The term "Covered Countries" is defined as the Democratic Republic of the Congo (the “DRC”) and the countries adjoining the Democratic Republic of the Congo.
II. Company Overview
Johnson Controls is a global diversified technology and multi industrial leader serving a wide range of customers in more than 150 countries. The Company creates quality products, services and solutions to optimize energy and operational efficiencies of buildings; lead-acid automotive batteries and advanced batteries for hybrid and electric vehicles. Additional information about the Company and its
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core businesses may be obtained by accessing Johnson Controls’ corporate website at: www.johnsoncontrols.com. A copy of this Report can be found at: http://www.johnsoncontrols.com/corporate-sustainability/reporting-and-policies.
III. Product Overview
During calendar 2016, the Company’s products and services were offered by three business platforms with operations throughout the world: Building Technologies & Solutions (which consists of the legacy Johnson Controls Building Efficiency operations and the legacy operations of Tyco), Automotive Experience (through October 31, 2016), and Power Solutions.
Building Technologies & Solutions
A. | Building Efficiency |
Building Efficiency designs, produces, markets and installs HVAC, refrigeration systems and control systems that monitor, automate and integrate critical building segment equipment and conditions including HVAC, fire-safety and security in commercial buildings and in various industrial applications.
B. | Tyco |
Tyco designs, sells, installs, services and monitors integrated electronic security systems and integrated fire detection and suppression systems for commercial, industrial, retail, small business, institutional and governmental customers. The Tyco business also designs, manufactures and sells fire protection, security and life safety products, including intrusion security, anti-theft devices, breathing apparatus and access control and video management systems, for commercial, industrial, retail, residential, small business, institutional and governmental customers worldwide.
Power Solutions
Power Solutions services both automotive original equipment manufacturers and the battery aftermarket by providing advanced battery technology, coupled with systems engineering, marketing and service expertise.
Automotive Experience
The Automotive Experience business provides seating and interior systems through design and engineering expertise. Automotive Experience’s technologies extended into seating, door systems, floor consoles and instrument panels. Customers include most of the world’s major automakers.
IV. Supply Chain Description
The Company is committed to the responsible sourcing of conflict minerals and since 2015 has been a member of the Conflict-Free Sourcing Initiative (CFSI). The CFSI was founded by members of the Electronic Industry Citizenship Coalition (“EICC”) and Global e-Sustainability Initiative (“GeSI”). The
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Company encourages its suppliers to conduct conflict-free sourcing from the Covered Countries and source form CFSI certified smelters.
As a large multinational company, Johnson Controls has a complex, multi-tiered supply chain. The products that the Company manufactures are typically highly engineered, complex and contain thousands of parts from a vast network of globally dispersed suppliers.
As a downstream consumer with many tiers in its supply chain, Johnson Controls generally does not have a direct relationship with smelters and refiners. Thus, the Company must rely on its direct suppliers to provide information on the origin of any conflict minerals contained in the components and parts supplied to it.
V. Reasonable Country of Original Inquiry
A. | Process Summary |
Company Excluding Tyco
The Company’s RCOI for calendar year 2016 was designed to determine whether the conflict minerals necessary to the functionality or production of a product manufactured (or contracted to be manufactured) by the Company originated in the Covered Countries, or are from recycled or scrap sources. The Company established a system of controls designed to improve transparency over the conflict minerals in its supply chain. The Company performed a good faith, global scoping exercise to identify suppliers that were considered in-scope and subject to the RCOI (“In-Scope Suppliers”). Through communications with these suppliers, the Company attempted to identify smelters and refiners of conflict minerals that may be utilized in its products.
Due to the complexity of the Company’s supply chain, the Company relied on its first tier suppliers to provide information on the origin of conflict minerals potentially present in components and parts supplied to the Company. In addition, the Company sent the CFSI Conflict Minerals Reporting Template (“CMRT”) to suppliers to gather information on the chain of custody of the necessary conflict minerals potentially included in the Company’s products. During 2016, the Company focused on high-spend suppliers and, for certain non-high spend suppliers, relied on confirmations that information previously submitted to the Company had not changed.
The Company elected to utilize, without alteration, the CMRT, as well as tracking tools to facilitate its RCOI. The questions on the CMRT include, but are not limited to, the use of conflict minerals and their necessity to product functionality or production, the origin of such conflict minerals, and whether smelters have been validated as compliant in accordance with the CFSI. The Company communicated with In-Scope Suppliers, notifying them of the RCOI, the Company’s expectations of its suppliers, and provided instructions to assist with the completion of the CMRT. In addition to the RCOI efforts described above, the Company undertook the following measures to determine mine or country of origin:
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• | As part of its global scoping exercise, the Company considered the following supply base categories as the scope universe for RCOI purposes: manufactured products and, products contracted to be manufactured. |
• | The Company established scoping guidelines, which categorized a risk level based on the likelihood of conflict minerals’ presence in each commodity and/or component. |
• | The Company required each supplier deemed to be in-scope to provide information regarding the use of conflict minerals from their suppliers, who in turn, had to solicit that information from their next tier of suppliers; or to otherwise confirm that previously submitted information had not changed. |
• | The Company provided explanations and training to its suppliers regarding the relevant requirements of the Rule and its obligations under the Rule, and reiterated the Company’s expectation that suppliers cooperate to support the Company’s conflict minerals compliance efforts. Refer to the “Supplier Engagement and Training” section of this report for more information. |
• | The responses received from the Company’s In-Scope Suppliers about the country of origin of any conflict minerals necessary to functionality or production were reviewed for accuracy and completeness, and, if necessary, were flagged for additional follow up and/or due diligence. |
• | Suppliers who sent incomplete or inconsistent responses were asked to review their responses and resubmit their surveys. |
• | Based on internally determined criteria, the Company implemented an escalation process for suppliers who did not respond: |
▪ | Step 1: For a selection of high risk suppliers who did not respond, an email informing about possible escalation was sent. |
▪ | Step 2: Commodity managers/buyers contacted these suppliers (either by phone or in written form) to request survey completion. |
▪ | Step 3: If the supplier still did not respond, the concern was escalated to relevant Vice President(s) of Procurement in order to send a written letter to the supplier requesting completion of the survey. |
Tyco
Tyco’s RCOI primarily involved contacting 1,595 first tier suppliers of products or components for Tyco’s in scope product categories through a third-party service provider. Tyco reached out to all such suppliers through various communication channels, including escalation procedures and follow-on communications to non-responsive suppliers. Outreach efforts included an introductory email requesting that suppliers of in scope product categories register with a third-party vendor and review materials pertaining to Tyco’s conflict mineral compliance program contained in the vendor’s conflict minerals resource center. Subsequent engagement efforts included the following steps:
• | Following initial introductions to the program and information request, up to six reminder emails were sent to each non-responsive supplier requesting survey completion. |
• | A special focus was given to non-responsive high-spend suppliers, who were contacted by telephone and offered assistance in completing the registration process and the CMRT referred to below. This assistance included, but was not limited to, further information about Tyco’s conflict minerals compliance program, an explanation of why the information was being collected, a review of how the information would be used and clarification of how the information could be provided. |
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Suppliers were asked to provide information regarding the sourcing of their materials with the ultimate goal of identifying the 3TG smelters or refiners and associated mine countries of origin. Suppliers were generally requested to use the CMRT. In limited instances where a supplier was unable to provide a CMRT, information was requested of second tier suppliers which may have provided products or components containing 3TG. All supplier responses were evaluated for plausibility, consistency and gaps by the third party vendor. Additional supplier contacts were attempted to resolve certain quality control flags. Supplier responses were evaluated for plausibility, consistency, and gaps both in terms of which products were stated to contain or not contain necessary 3TG, as well as the origin of those materials.
B. | RCOI Results |
Company Excluding Tyco
There were 6,262 In-Scope Suppliers for calendar year 2016, which represented 75% of the Company’s total direct suppliers. During 2016 and in January 2017, the Company sent communications to 80% of its In-Scope Suppliers, notifying them of the RCOI.
Of the In-Scope Suppliers surveyed, the overall response rate was 44%, including 1,794 responses that were received and accepted (representing 36 % of the suppliers surveyed). The Company considers a response as received and accepted when a completed CMRT has been returned to the Company and the CMRT has been validated as accurate by its Compliance Specialists. Below are the results of the RCOI survey:
RCOI Survey Results | |
No 3TG | 78% |
Acknowledged 3TG Sourced from DRC (Covered Countries) | 8% |
Acknowledged 3TG Not Sourced from DRC | 7% |
3TG Origin Uncertain or Unknown | 7% |
Tyco
As noted above, Tyco contacted 1,595 first-tier suppliers of products or components for Tyco’s in scope product categories. The response rate among these suppliers was 45%. Of these responding suppliers, 62% indicated 3TG as necessary to the functionality or production of the products they supplied to Tyco. Based on Tyco’s RCOI, it concluded that, with respect to the in scope product categories, 3TG contained in and necessary to the functionality or production of certain products may have been sourced from the DRC Region. As a result, Tyco performed due diligence to determine the source and chain of custody of such 3TG. Tyco’s due diligence process was based on the Organization for Economic Cooperation and Development’s (OECD’s) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas: Second Edition, and accompanying Supplements (“OECD Guidance”). It is important to note that the OECD Guidance was written for both upstream and downstream companies in the supply chain. As Tyco is downstream in the supply chain, its due diligence practices were tailored accordingly.
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C. | Improvement Measures to Be Taken |
The Company continues to look for ways to improve its processes and to mitigate any risk that conflict minerals in its products could benefit armed groups in the Covered Countries. Specifically, the Company is undertaking, and will continue to undertake, the following steps:
• | Engage with those suppliers that have not responded to the Company’s request for conflict minerals information; |
• | Reconsider supply arrangements and potentially implement remedies available to the Company for suppliers that refuse to cooperate with the Company’s compliance efforts or do not conduct conflict-free sourcing from Covered Countries; |
• | Work with suppliers to educate them on the necessary processes they need to undertake in order to allow them to assist the Company in its compliance process; |
• | Continue devising and developing a strategy for managing and mitigating conflict minerals risk in the Company’s supply chain; |
• | Continue training initiatives to increase the level of awareness within Johnson Controls and at its suppliers; and |
• | Integrate the RCOI and due diligence procedures of legacy JCI and Tyco. |
VI. Conflict Minerals Due Diligence
A. Compliance Framework
Company Excluding Tyco
Framework Design and Overview
The Company designed a compliance framework that conforms to the primary principles of the internationally recognized due diligence framework developed by the OECD Guidance. The Company’s compliance framework included the following elements: 1) establish strong company management systems; 2) identify and assess risk in the supply chain; 3) design and implement a strategy to respond to identified risks; 4) carry out independent third-party audit of smelters’/refiners’ due diligence practices; and 5) report annually on supply chain due diligence.
1. | Establish Strong Company Management Systems |
Conflict Minerals Policy
The Company is committed to the responsible sourcing of conflict minerals and it supports the humanitarian goal of ending violent conflict in the Covered Countries. Among other things, the Company’s corporate policy expresses that it continues to promote and encourage its suppliers to conduct conflict-free sourcing from the Covered Countries, and to use responsible sourcing practices. The Company expects its suppliers to conduct due diligence on their respective supply chains and to assist the Company with compliance with these rules. To the extent that a supplier refuses to cooperate with the Company’s compliance efforts or does not conduct conflict-free sourcing from the Covered Countries, we may reconsider our supply arrangement and implement available remedies.
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The Company’s Conflict Minerals Policy Statement is publicly available on the Company’s website at http://www.johnsoncontrols.com/corporate-sustainability/reporting-and-policies
Internal Management System
The Company maintains an internal management system, where senior management, having the necessary expertise, knowledge and experience, oversees the supply chain country of origin inquiries and due diligence process. The Company continues to seek ways to address risk in its supply chain process through initiatives that often involve stakeholder engagement or consultation with outside experts.
The Company maintains a Conflict Minerals Executive Steering Committee (“Steering Committee”) comprised of leaders from Procurement, Legal, Communications, Information Technology, Internal Audit and Finance. The Steering Committee reports to the Executive Management Team, which consists of the Chairman and CEO and his direct reports. The Steering Committee oversees and supports the Company’s conflict minerals compliance. The Steering Committee meets on a regular basis to develop and monitor plans to comply with the reporting requirements of the Rule.
System of Controls and Transparency
Due to the complexity of the Company’s supply chain, the Company relies on its first tier suppliers to provide information on the origin of conflict minerals potentially present in materials supplied to the Company. The Company’s RCOI and due diligence processes are designed to gather information on the chain of custody of the necessary conflict minerals potentially included in the Company’s products.
Supplier Engagement and Training
The Company provides a conflict minerals presentation to the In-Scope Suppliers that summarizes the relevant requirements of the Rule, the Company’s obligations under the Rule, and reiterates the Company’s expectation that its suppliers cooperate to support conflict minerals compliance efforts. This presentation was delivered live to global suppliers at the Company’s North America Supplier Expectation Days and is posted externally on our website at: http://www.johnsoncontrols.com/suppliers/sustainability/conflict-minerals
The Company also provides the In-Scope Suppliers with instructions for responding to the survey and the Company’s Compliance Specialists have scripts to help explain the Company’s requests, and the reason behind the requests.
The Company publicly shares its position statement on conflict minerals through its Conflict Minerals Policy Statement. In addition, as Johnson Controls renews or enters into new agreements with suppliers that can be considered for Conflict Minerals, the Company includes a conflict minerals compliance provision. The provision requires suppliers to conduct and document inquiries of smelters and refiners, including inquiries as to the country of origin of conflict minerals.
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Internal Training
The Company has a web-based training module in order to increase awareness and education about the relevant requirements of the Rule, Johnson Controls’ obligations under the Rule, and the processes the Company uses to evaluate and respond to the risk of conflict minerals in our supply chain.
Records Management
The Company retains relevant conflict minerals documentation in accordance with its existing corporate retention policy and procedures.
Grievance Mechanism
The Company maintains a web- and telephone-based, 24-hour Integrity Helpline (http://www.johnsoncontrols.com/corporate-sustainability/governance), providing any interested party with a confidential reporting mechanism to communicate concerns regarding the Company’s supply chain. Our internal specialists track information relative to Conflict Minerals via this mechanism.
2. | Identify and Assess Risk in the Supply Chain |
The Company’s RCOI was designed to determine whether the conflict minerals necessary to the functionality or production of a product manufactured (or contracted to be manufactured) by the Company originated in the Covered Countries, or were from recycled or scrap sources. Through communications with these suppliers, the Company attempted to identify smelters and refiners of conflict minerals that may be utilized in its products.
The Company followed up, and continues to follow up, with suppliers who indicated that they might be sourcing conflict minerals from the Covered Countries in order to exercise due diligence on the source and chain of custody of the conflict minerals, inquiring of such suppliers whether:
• | they provided information on all smelters and the country of origin of the conflict minerals; |
• | they performed due diligence procedures for non-certified smelters; and |
• | they were able to determine if the conflict minerals financed or benefited armed groups in the Covered Countries. |
3. | Design and Implement a Strategy to Respond to Identified Risks |
Johnson Controls has established due diligence guidelines to be followed if the Company identifies a risk or red flag that a supplier sourced conflict minerals from the Covered Countries through a review of the received CMRT.
Once an In-Scope Supplier identified in its CMRT response that it might be sourcing conflict minerals from the Covered Countries, the Company initiated due diligence procedures to collect more detailed information from that supplier.
Survey findings were discussed with Johnson Controls’ Procurement Leadership Team. The Company created a shared listing of suppliers identified as using conflict minerals from a Covered Country as well
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as the indicated smelters. This list was then compared to the CFSI smelter listing to verify the accuracy of the supplier responses as well as the conflict minerals source.
In addition, the Company engaged and actively cooperated with industry groups, including CFSI. The Company invested in systems and processes to manage risk identified in the supply chain.
4. | Carry Out Independent Third-Party Audit of Smelters’/Refiners’ Due Diligence Practices |
Johnson Controls supports independent third-party audits by being a member of CFSI. In connection with its due diligence, the Company relies on the CFSI’s Conflict-Free Smelter Program to identify smelters and refiners that have systems in place to assure sourcing of only conflict-free materials. The Company is a downstream consumer of conflict minerals and is many steps removed from the mining of conflict minerals. The Company does not purchase raw ore or unrefined conflict minerals, and, to the best of its knowledge, conducts no purchasing activities directly in the Covered Countries.
5. | Report Annually on Supply Chain Due Diligence |
This Report (and the related Form SD) was filed with the SEC and is available on the Company’s website at: http://www.johnsoncontrols.com/corporate-sustainability/reporting-and-policies.
Tyco
Summarized below are the due diligence measures undertaken by Tyco in accordance with the OECD Guidance:
• | Development of a conflict minerals policy. Tyco implemented additional contractual provisions in all newly executed master supply agreements that require its suppliers to comply with conflict mineral provisions. These provisions require suppliers to certify that any 3TG in components supplied to Tyco either (i) was not sourced from the DRC or adjoining countries, or (ii) if it was, that such 3TG did not directly or indirectly fund armed groups in the DRC or adjoining countries. |
In addition, Tyco updated its Guide to Supplier Social Responsibility with conflict minerals related provisions that includes requirements that suppliers:
◦ | Develop policies and processes aimed toward preventing the use of conflict minerals or derivative metals necessary to the functionality or production of their products that finance or benefit armed groups in the DRC or adjoining countries; and |
◦ | Not knowingly procure conflict minerals that originate from facilities in the DRC or adjoining countries that are not certified as “conflict free” |
• | Assembled an internal team to support supply chain due diligence. An internal team led by Tyco’s Global Supply Chain function and including members of the legal department and the Engineering and Operation Excellence departments of each of Tyco’s businesses within its Global Products business unit was assembled to advance and implement the supply chain review required by the Rule. |
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• | Established a system of controls and transparency over the mineral supply chain. Tyco’s internal team created and implemented procedures to review all product categories to determine, based primarily on reviewing bills of material, whether the product category contained, or was likely to contain, 3TG. Based on this review, suppliers were contacted and asked to complete the CMRT to report on the status of 3TG in the products they supplied to Tyco. |
• | Implement measures taken to strengthen engagement with suppliers. Tyco engaged a third party service provider (Source Intelligence) to assist in the outreach effort to suppliers, to track and analyze responses, and to perform multiple follow up efforts for suppliers that were unresponsive. As part of this effort, tier 1 and, in limited circumstances, tier 2 suppliers were engaged to collect information regarding the presence and sourcing of 3TG used in the products supplied to Tyco. Special focus was made to elicit responses from high-spend suppliers in Tyco’s direct-spend category. Information was collected and stored using an online platform provided by the third party service provider. |
• | Identify the smelters or refiners in the supply chain. As noted above, as a result of Tyco’s RCOI, Tyco was able to identify smelters or refiners within its supply chain for those suppliers who affirmatively responded to outreach efforts. |
• | Documentation Processes. Tyco established its due diligence compliance program and was in the process of documenting and formalizing a record maintenance mechanism to ensure diligence procedures are sustainable. Tyco is now focusing on integrating its due diligence compliance program with that of legacy JCI. |
• | Report findings to senior management. Included in the process established by the internal team was routine reporting to senior management of Tyco of the progress of the supply chain due diligence, including periodic reporting to the Audit Committee of Tyco’s pre-Merger Board of Directors. |
B. Due Diligence Results
Company Excluding Tyco
1. | Facilities Used to Process Necessary 3TG Originating from Covered Countries |
The RCOI, including the use of the CMRT, and the Company’s due diligence efforts described above were designed to provide the Company with information on the smelters and refiners that the In-Scope Suppliers, and their suppliers, used to process conflict minerals in the products supplied to Johnson Controls. The Company must rely on responses from the suppliers in order to determine the facilities used to process conflict minerals. Similar to the Company, suppliers generally do not have a direct relationship with the facilities used to process conflict minerals; therefore, some suppliers responded that they were unable to provide smelter and refinery information at this time. Accordingly, the Company does not know as of this reporting period all the facilities used to process, or the country of origin of, all the conflict minerals included in its products.
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Based on a review of the received and accepted responses, 8% of the suppliers acknowledged that they sourced 3TG from the Covered Countries. The majority of the responses (66%) indicated that they only sourced from smelters that the CFSI identifies as DRC conflict free. None of the responses acknowledged that 3TG was sourced from smelters/mines that financed or benefited armed groups. For the remainder (34%), the suppliers were not able to determine if the 3TG had been sourced from DRC smelters/mines financing or benefiting armed groups.
2. | Smelter Lists (Appendix A) |
The Company compared the smelter lists provided in responses from its In-Scope Suppliers with the CFSI list of compliant smelters to determine which smelters the CFSI identifies as DRC conflict free. The information provided by suppliers was used to conduct due diligence, including assessing reports for completeness and consistency.
A total of 1,415 smelters were identified by suppliers and 244, or 17%, are CFSI certified. Refer to Appendix A for the following CFSI certified smelter lists:
• | CFSI Gold Smelter List |
• | CFSI Tin Smelter List |
• | CFSI Tantalum Smelter List |
• | CFSI Tungsten Smelter List |
Tyco
Under Tyco’s due diligence process, smelter or refiners in the supply chain that are certified by any of the CFSI Conflict-Free Smelter Program (“CFSP”), the London Bullion Market Association Good Delivery Program (“LBMA”) or the Responsible Jewellery Council (“RJC”) are deemed to have delivered 3TG that has not benefitted or financed armed groups in the DRC Region. A smelter or refiner that is not certified by one of these internationally recognized schemes is subject to additional inquiries. Attempts are made to contact the smelter or refiner to gain more information about its sourcing practices, including countries of origin and transfer, and whether there are any internal due diligence procedures in place or other processes the smelter or refiner takes to track the chain-of-custody on the source of its mineral ores. The table in Appendix B lists the smelters or refiners that were identified by responsive suppliers of materials used in Tyco’s in scope product categories that indicated that 3TG sourced by them may have originated in the DRC Region, the location of the mine in the DRC Region that may have supplied the applicable material to the smelter or refiner, and the certification status of the smelter or refiner.
C. Risk Mitigation Measures
In order to mitigate risk related to conflict minerals in Johnson Controls’ supply chain, the Company’s current processes and procedures include:
• | Being a member of the CFSI, which allows for the comparison of all supplier responses to the CFSI smelter listing to confirm the accuracy of supplier responses; |
• | Updating the Company’s global terms and conditions of purchase to require suppliers to disclose to the Company, in writing, the content and the origin of the conflict minerals in the materials and/or products they provide to the Company. |
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In order to further mitigate the risk that conflict minerals in the supply chain benefited armed groups in the Covered Countries and to identify the origin of those minerals, the Company will continue to initiate efforts to strengthen the response rate and the completeness of the surveys:
• | By including in our Global Supplier Standards Manual our expectations that suppliers conduct conflict-free sourcing from the Covered Countries and source from CFSI certified smelters; |
• | By continuing to incentivize suppliers tracked with our performance scorecards to disclose to the Company the origin of the conflict minerals in the materials and/or products they provide to the Company; |
• | By directing suppliers to its corporate policy with respect to the sourcing of conflict minerals; |
• | By following up with suppliers who indicated that they might be sourcing conflict minerals from the Covered Countries; |
• | By improving the effectiveness of the escalation process to enhance supplier communications and the quality of responses; |
• | By enhancing the Company’s RCOI and due diligence measures for existing and new suppliers included as part of scoping guidelines; and |
• | By working with relevant trade associations to define and improve best practices and build leverage over the supply chain in accordance with the OECD Guidance. |
VII. Determination
At this time, for calendar year 2016, the Company, including Tyco, is unable to determine the mine or country of origin of all of its necessary conflict minerals or the facilities used to process conflict minerals in its supply chain due to either a lack of survey responses or inconclusive survey responses from its In-Scope Suppliers. As such, the Company, including Tyco is currently unable to determine whether or not its products manufactured, or contracted to be manufactured in the 2016 calendar year, have been found to be free of necessary conflict minerals that directly or indirectly financed or benefited armed groups in the Covered Countries.
This Report includes forward-looking statements, within the meaning of the Private Securities Litigation Reform Act of 1995, that involve risks and uncertainties. Forward-looking statements provide current expectations of future events based on certain assumptions and include any statement that does not directly relate to any historical or current fact. Forward-looking statements can also be identified by words such as “expects,” “plans,” “intends,” “will,” “may,” and similar terms. Forward-looking statements are not guarantees of future performance. Johnson Controls assumes no obligation to revise or update any forward-looking statements for any reason, except as required by law. Subsequent events may affect Johnson Control’s future determinations under the Rule.
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VIII. Appendix A - CFSI Certified Smelters - Company Excluding Tyco
The attached smelter information refers to data available in the CFSI smelter database in March 2017. Changes that took place after March 2017 are not covered.
Country of Origin Legend:
R1 | Argentina, Australia, Austria, Belgium, Bolivia, Brazil, Cambodia, Canada, Chile, China, Colombia, Cote D'Ivoire, Czech Republic, Djibouti, Ecuador, Egypt, Estonia, Ethiopia, France, Germany, Guyana, Hungary, India, Indonesia, Ireland, Israel, Japan, Kazakhstan, Laos, Luxembourg, Madagascar, Malaysia, Mongolia, Myanmar, Namibia, Netherlands, Nigeria, Peru, Portugal, Russia, Sierra Leone, Singapore, Slovakia, South Korea, Spain, Suriname, Switzerland, Taiwan, Thailand, United Kingdom, United States of America, Vietnam, Zimbabwe |
R2 | Kenya, Mozambique, South Africa |
R3 | Angola, Burundi, Central African Republic, Republic of Congo, Rwanda, South Sudan, Tanzania, Uganda, Zambia |
DRC | Democratic Republic of the Congo |
R/S | Recycled or Scrap |
CFSI Gold Smelter List | |||
Smelter Name (*) | Smelter Country (*) | Smelter Identification | Country of Origin of Minerals |
Advanced Chemical Company | UNITED STATES OF AMERICA | CID000015 | Not disclosed by CFSI |
Aida Chemical Industries Co., Ltd. | JAPAN | CID000019 | R/S |
Al Etihad Gold Refinery DMCC | UNITED ARAB EMIRATES | CID002560 | Not disclosed by CFSI |
Allgemeine Gold-und Silberscheideanstalt A.G. | GERMANY | CID000035 | Not disclosed per RJC |
Almalyk Mining and Metallurgical Complex (AMMC) | UZBEKISTAN | CID000041 | Not disclosed by CFSI |
AngloGold Ashanti Córrego do Sítio Mineração | BRAZIL | CID000058 | Not disclosed per LBMA |
Argor-Heraeus S.A. | SWITZERLAND | CID000077 | Not disclosed per LBMA |
Asahi Pretec Corp. | JAPAN | CID000082 | R1, R/S |
Asahi Refining Canada Ltd. | CANADA | CID000924 | Not disclosed per LBMA |
Asahi Refining USA | UNITED STATES OF AMERICA | CID000920 | Not disclosed per LBMA |
Asaka Riken Co., Ltd. | JAPAN | CID000090 | R/S |
AU Traders and Refiners | SOUTH AFRICA | CID002850 | Not disclosed by CFSI |
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Aurubis AG | GERMANY | CID000113 | Not disclosed per LBMA |
Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | PHILIPPINES | CID000128 | Not disclosed per LBMA |
Boliden AB | SWEDEN | CID000157 | Not disclosed per LBMA |
C. Hafner GmbH + Co. KG | GERMANY | CID000176 | Not disclosed per LBMA |
CCR Refinery - Glencore Canada Corporation | CANADA | CID000185 | Not disclosed per LBMA |
Chimet S.p.A. | ITALY | CID000233 | Not disclosed per LBMA |
Daejin Indus Co., Ltd. | KOREA (REPUBLIC OF) | CID000328 | Not disclosed by CFSI |
DODUCO GmbH | GERMANY | CID000362 | R/S |
Dowa | JAPAN | CID000401 | R1, R/S |
DSC (Do Sung Corporation) | KOREA (REPUBLIC OF) | CID000359 | Not disclosed by CFSI |
Eco-System Recycling Co., Ltd. | JAPAN | CID000425 | R/S |
Elemetal Refining, LLC | UNITED STATES OF AMERICA | CID001322 | R1, R/S |
Emirates Gold DMCC | UNITED ARAB EMIRATES | CID002561 | Not disclosed by CFSI |
Heimerle + Meule GmbH | GERMANY | CID000694 | R/S |
Heraeus Ltd. Hong Kong | CHINA | CID000707 | Not disclosed per LBMA |
Heraeus Precious Metals GmbH & Co. KG | GERMANY | CID000711 | Not disclosed per LBMA |
Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | CHINA | CID000801 | Not disclosed by CFSI |
Ishifuku Metal Industry Co., Ltd. | JAPAN | CID000807 | Not disclosed per LBMA |
Istanbul Gold Refinery | TURKEY | CID000814 | Not disclosed per LBMA |
Japan Mint | JAPAN | CID000823 | Not disclosed per LBMA |
Jiangxi Copper Co., Ltd. | CHINA | CID000855 | Not disclosed per LBMA |
JSC Ekaterinburg Non-Ferrous Metal Processing Plant | RUSSIAN FEDERATION | CID000927 | Not disclosed per LBMA |
JSC Uralelectromed | RUSSIAN FEDERATION | CID000929 | Not disclosed per LBMA |
JX Nippon Mining & Metals Co., Ltd. | JAPAN | CID000937 | Not disclosed per LBMA |
Kazzinc | KAZAKHSTAN | CID000957 | Not disclosed per LBMA |
Kennecott Utah Copper LLC | UNITED STATES OF AMERICA | CID000969 | Not disclosed per RJC |
Kojima Chemicals Co., Ltd. | JAPAN | CID000981 | R1, R/S |
Korea Zinc Co., Ltd. | KOREA (REPUBLIC OF) | CID002605 | Not disclosed by CFSI |
Kyrgyzaltyn JSC | KYRGYZSTAN | CID001029 | Not disclosed by CFSI |
LS-NIKKO Copper | KOREA (REPUBLIC OF) | CID001078 | Not disclosed per LBMA |
Materion | UNITED STATES OF AMERICA | CID001113 | R1, R/S |
Matsuda Sangyo Co., Ltd. | JAPAN | CID001119 | Not disclosed per LBMA |
Page 14 of 24
Metalor Technologies (Hong Kong) Ltd. | CHINA | CID001149 | Not disclosed per LBMA |
Metalor Technologies (Singapore) Pte., Ltd. | SINGAPORE | CID001152 | Not disclosed per LBMA |
Metalor Technologies (Suzhou) Ltd. | CHINA | CID001147 | Not disclosed by CFSI |
Metalor Technologies S.A. | SWITZERLAND | CID001153 | Not disclosed per LBMA |
Metalor USA Refining Corporation | UNITED STATES OF AMERICA | CID001157 | Not disclosed per LBMA |
Metalúrgica Met-Mex Peñoles S.A. De C.V | MEXICO | CID001161 | Not disclosed per LBMA |
Mitsubishi Materials Corporation | JAPAN | CID001188 | Not disclosed per LBMA |
Mitsui Mining and Smelting Co., Ltd. | JAPAN | CID001193 | Not disclosed per LBMA |
MMTC-PAMP India Pvt., Ltd. | INDIA | CID002509 | Not disclosed per RJC |
Moscow Special Alloys Processing Plant | RUSSIAN FEDERATION | CID001204 | Not disclosed per LBMA |
Nadir Metal Rafineri San. Ve Tic. A.Ş. | TURKEY | CID001220 | Not disclosed per LBMA |
Nihon Material Co., Ltd. | JAPAN | CID001259 | Not disclosed per LBMA |
Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH | AUSTRIA | CID002779 | Not disclosed per RJC |
Ohura Precious Metal Industry Co., Ltd. | JAPAN | CID001325 | R1 |
OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) | RUSSIAN FEDERATION | CID001326 | Not disclosed per LBMA |
OJSC Novosibirsk Refinery | RUSSIAN FEDERATION | CID000493 | Not disclosed per LBMA |
PAMP S.A. | SWITZERLAND | CID001352 | Not disclosed per LBMA |
Prioksky Plant of Non-Ferrous Metals | RUSSIAN FEDERATION | CID001386 | Not disclosed by CFSI |
PT Aneka Tambang (Persero) Tbk | INDONESIA | CID001397 | Not disclosed per LBMA |
PX Précinox S.A. | SWITZERLAND | CID001498 | Not disclosed per LBMA |
Rand Refinery (Pty) Ltd. | SOUTH AFRICA | CID001512 | Not disclosed per LBMA |
Republic Metals Corporation | UNITED STATES OF AMERICA | CID002510 | Not disclosed per LBMA |
Royal Canadian Mint | CANADA | CID001534 | Not disclosed per LBMA |
Samduck Precious Metals | KOREA (REPUBLIC OF) | CID001555 | Not disclosed by CFSI |
SAXONIA Edelmetalle GmbH | GERMANY | CID002777 | Not disclosed by CFSI |
Schone Edelmetaal B.V. | NETHERLANDS | CID001573 | Not disclosed per LBMA |
SEMPSA Joyería Platería S.A. | SPAIN | CID001585 | Not disclosed by CFSI |
Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | CHINA | CID001622 | Not disclosed per LBMA |
Page 15 of 24
Sichuan Tianze Precious Metals Co., Ltd. | CHINA | CID001736 | Not disclosed per LBMA |
Singway Technology Co., Ltd. | TAIWAN, PROVINCE OF CHINA | CID002516 | R1, R/S |
SOE Shyolkovsky Factory of Secondary Precious Metals | RUSSIAN FEDERATION | CID001756 | Not disclosed by CFSI |
Solar Applied Materials Technology Corp. | TAIWAN, PROVINCE OF CHINA | CID001761 | R1, R/S |
Sumitomo Metal Mining Co., Ltd. | JAPAN | CID001798 | Not disclosed per LBMA |
T.C.A S.p.A | ITALY | CID002580 | Not disclosed per LBMA |
Tanaka Kikinzoku Kogyo K.K. | JAPAN | CID001875 | Not disclosed per LBMA |
The Refinery of Shandong Gold Mining Co., Ltd. | CHINA | CID001916 | Not disclosed per LBMA |
Tokuriki Honten Co., Ltd. | JAPAN | CID001938 | Not disclosed per LBMA |
Torecom | KOREA (REPUBLIC OF) | CID001955 | Not disclosed by CFSI |
Umicore Brasil Ltda. | BRAZIL | CID001977 | Not disclosed per LBMA |
Umicore Precious Metals Thailand | THAILAND | CID002314 | Not disclosed per RJC |
Umicore S.A. Business Unit Precious Metals Refining | BELGIUM | CID001980 | Not disclosed per LBMA |
United Precious Metal Refining, | UNITED STATES OF AMERICA | CID001993 | R/S |
Valcambi S.A. | SWITZERLAND | CID002003 | Not disclosed per RJC |
Western Australian Mint trading as The Perth Mint | AUSTRALIA | CID002030 | Not disclosed per LBMA |
WIELAND Edelmetalle GmbH | GERMANY | CID002778 | Not disclosed by CFSI |
Yamamoto Precious Metal Co., Ltd. | JAPAN | CID002100 | R/S |
Yokohama Metal Co., Ltd. | JAPAN | CID002129 | Not disclosed by CFSI |
Zhongyuan Gold Smelter of Zhongjin Gold Corporation | CHINA | CID002224 | Not disclosed per LBMA |
Zijin Mining Group Co., Ltd. Gold Refinery | CHINA | CID002243 | Not disclosed per LBMA |
CFSI Tantalum Smelter List | |||
Smelter Name (*) | Smelter Country (*) | Smelter Identification | Country of Origin of Minerals |
Changsha South Tantalum Niobium Co., Ltd. | CHINA | CID000211 | R/S |
Conghua Tantalum and Niobium Smeltry | CHINA | CID000291 | R1, R2, R3, DRC, R/S |
D Block Metals, LLC | UNITED STATES OF AMERICA | CID002504 | R/S |
Duoluoshan | CHINA | CID000410 | R1, R3, R/S |
Exotech | UNITED STATES OF AMERICA | CID000456 | R1, R/S |
F&X Electro-Materials Ltd. | CHINA | CID000460 | R1, R3, DRC, R/S |
FIR Metals & Resource Ltd. | CHINA | CID002505 | R1, R/S |
Global Advanced Metals Aizu | JAPAN | CID002558 | R1, R3, DRC, R/S |
Global Advanced Metals Boyertown | UNITED STATES OF AMERICA | CID002557 | R1, R3, DRC, R/S |
Page 16 of 24
Guangdong Zhiyuan New Material Co., Ltd. | CHINA | CID000616 | R1, R/S |
H.C. Starck Co., Ltd. | THAILAND | CID002544 | R1, R2, R3, DRC, R/S |
H.C. Starck GmbH Goslar | GERMANY | CID002545 | R1, R3, DRC, R/S |
H.C. Starck Hermsdorf GmbH | GERMANY | CID002547 | R1, R/S |
H.C. Starck | UNITED STATES OF AMERICA | CID002548 | R1, R/S |
H.C. Starck Ltd. | JAPAN | CID002549 | R/S |
H.C. Starck Smelting GmbH & Co. KG | GERMANY | CID002550 | R1, DRC, R/S |
Hengyang King Xing Lifeng New Materials Co., Ltd. | CHINA | CID002492 | R1, R/S |
Hi-Temp Specialty Metals, | UNITED STATES OF AMERICA | CID000731 | R/S |
Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | CHINA | CID002512 | R1 |
Jiangxi Tuohong New Raw Material | CHINA | CID002842 | Not disclosed by CFSI |
JiuJiang JinXin Nonferrous Metals Co., Ltd. | CHINA | CID000914 | R1, R3 |
Jiujiang Tanbre Co., Ltd. | CHINA | CID000917 | R1, R2, R3, R/S |
Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | CHINA | CID002506 | R1 |
KEMET Blue Metals | MEXICO | CID002539 | R1, R3, DRC, R/S |
KEMET Blue Powder | UNITED STATES OF AMERICA | CID002568 | R1, R3, DRC, R/S |
King-Tan Tantalum Industry Ltd. | CHINA | CID000973 | R1 |
LSM Brasil S.A. | BRAZIL | CID001076 | R1, R/S |
Metallurgical Products India Pvt., Ltd. | INDIA | CID001163 | R1, R2, R/S |
Mineração Taboca S.A. | BRAZIL | CID001175 | R1 |
Mitsui Mining and Smelting Co., Ltd. | JAPAN | CID001192 | R/S |
Molycorp Silmet A.S. | ESTONIA | CID001200 | R1, R/S |
Ningxia Orient Tantalum Industry Co., Ltd. | CHINA | CID001277 | R1, R3, DRC, R/S |
Power Resources Ltd. | MACEDONIA (THE FORMER YUGOSLAV REPUBLIC OF) | CID002847 | Not disclosed by CFSI |
QuantumClean | UNITED STATES OF AMERICA | CID001508 | R/S |
Resind Indústria e Comércio Ltda. | BRAZIL | CID002707 | R1 |
RFH Tantalum Smeltry Co., Ltd. | CHINA | CID001522 | R1, R/S |
Solikamsk Magnesium Works OAO | RUSSIAN FEDERATION | CID001769 | R1 |
Taki Chemical Co., Ltd. | JAPAN | CID001869 | R1, R3, R/S |
Telex Metals | UNITED STATES OF AMERICA | CID001891 | R1, R/S |
Tranzact, | UNITED STATES OF AMERICA | CID002571 | R/S |
Ulba Metallurgical Plant JSC | KAZAKHSTAN | CID001969 | R1, R3, DRC, R/S |
XinXing HaoRong Electronic Material Co., Ltd. | CHINA | CID002508 | R/S |
Page 17 of 24
Yichun Jin Yang Rare Metal Co., Ltd. | CHINA | CID002307 | R1, R2, R/S |
Zhuzhou Cemented Carbide Group Co., Ltd. | CHINA | CID002232 | R1, R3, DRC, R/S |
CFSI Tin Smelter List | |||
Smelter Name (*) | Smelter Country (*) | Smelter Identification | Country of Origin of Minerals |
Alpha | UNITED STATES OF AMERICA | CID000292 | R1, R/S |
Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | CHINA | CID000228 | Not disclosed by CFSI |
China Tin Group Co., Ltd. | CHINA | CID001070 | Not disclosed by CFSI |
Cooperativa Metalurgica de Rondônia Ltda. | BRAZIL | CID000295 | R1 |
CV Ayi Jaya | INDONESIA | CID002570 | R1 |
CV Dua Sekawan | INDONESIA | CID002592 | Not disclosed by CFSI |
CV Gita Pesona | INDONESIA | CID000306 | R1 |
CV Serumpun Sebalai | INDONESIA | CID000313 | R1 |
CV Tiga Sekawan | INDONESIA | CID002593 | Not disclosed by CFSI |
CV United Smelting | INDONESIA | CID000315 | R1 |
CV Venus Inti Perkasa | INDONESIA | CID002455 | Not disclosed by CFSI |
Dowa | JAPAN | CID000402 | R1 |
Elmet S.L.U. | SPAIN | CID002774 | R/S |
EM Vinto | BOLIVIA (PLURINATIONAL STATE OF) | CID000438 | R1 |
Fenix Metals | POLAND | CID000468 | R/S |
Gejiu Fengming Metallurgy Chemical Plant | CHINA | CID002848 | Not disclosed by CFSI |
Gejiu Jinye Mineral Company | CHINA | CID002859 | Not disclosed by CFSI |
Gejiu Non-Ferrous Metal Processing Co., Ltd. | CHINA | CID000538 | R1 |
Guanyang Guida Nonferrous Metal Smelting Plant | CHINA | CID002849 | Not disclosed by CFSI |
HuiChang Hill Tin Industry Co., Ltd. | CHINA | CID002844 | Not disclosed by CFSI |
Jiangxi Ketai Advanced Material Co., Ltd. | CHINA | CID000244 | R1 |
Magnu's Minerais Metais e Ligas Ltda. | BRAZIL | CID002468 | R1, R/S |
Malaysia Smelting Corporation (MSC) | MALAYSIA | CID001105 | R1, R2, R3, DRC, R/S |
Melt Metais e Ligas S.A. | BRAZIL | CID002500 | R1 |
Metallic Resources, | UNITED STATES OF AMERICA | CID001142 | Not disclosed by CFSI |
Metallo-Chimique N.V. | BELGIUM | CID002773 | R1, R/S |
Mineração Taboca S.A. | BRAZIL | CID001173 | R1 |
Minsur | PERU | CID001182 | R1, R/S |
Page 18 of 24
Mitsubishi Materials Corporation | JAPAN | CID001191 | R/S |
O.M. Manufacturing (Thailand) Co., Ltd. | THAILAND | CID001314 | R/S |
O.M. Manufacturing Philippines, | PHILIPPINES | CID002517 | R/S |
Operaciones Metalurgical S.A. | BOLIVIA (PLURINATIONAL STATE OF) | CID001337 | R1 |
PT Aries Kencana Sejahtera | INDONESIA | CID000309 | R1 |
PT Artha Cipta Langgeng | INDONESIA | CID001399 | R1 |
PT ATD Makmur Mandiri Jaya | INDONESIA | CID002503 | R1 |
PT Babel Inti Perkasa | INDONESIA | CID001402 | R1 |
PT Bangka Prima Tin | INDONESIA | CID002776 | R1 |
PT Bangka Tin Industry | INDONESIA | CID001419 | R1 |
PT Belitung Industri Sejahtera | INDONESIA | CID001421 | R1 |
PT Bukit Timah | INDONESIA | CID001428 | R1 |
PT Cipta Persada Mulia | INDONESIA | CID002696 | Not disclosed by CFSI |
PT DS Jaya Abadi | INDONESIA | CID001434 | R1 |
PT Eunindo Usaha Mandiri | INDONESIA | CID001438 | R1 |
PT Inti Stania Prima | INDONESIA | CID002530 | R1 |
PT Karimun Mining | INDONESIA | CID001448 | Not disclosed by CFSI |
PT Kijang Jaya Mandiri | INDONESIA | CID002829 | Not disclosed by CFSI |
PT Mitra Stania Prima | INDONESIA | CID001453 | R1 |
PT O.M. Indonesia | INDONESIA | CID002757 | Not disclosed by CFSI |
PT Panca Mega Persada | INDONESIA | CID001457 | R1 |
PT Prima Timah Utama | INDONESIA | CID001458 | R1 |
PT Refined Bangka Tin | INDONESIA | CID001460 | R1 |
PT Sariwiguna Binasentosa | INDONESIA | CID001463 | R1 |
PT Stanindo Inti Perkasa | INDONESIA | CID001468 | R1 |
PT Sukses Inti Makmur | INDONESIA | CID002816 | R1 |
PT Sumber Jaya Indah | INDONESIA | CID001471 | Not disclosed by CFSI |
PT Timah (Persero) Tbk Kundur | INDONESIA | CID001477 | R1 |
PT Timah (Persero) Tbk Mentok | INDONESIA | CID001482 | R1 |
PT Tinindo Inter Nusa | INDONESIA | CID001490 | R1 |
PT Tommy Utama | INDONESIA | CID001493 | Not disclosed by CFSI |
PT Wahana Perkit Jaya | INDONESIA | CID002479 | R1 |
Resind Indústria e Comércio Ltda. | BRAZIL | CID002706 | R1 |
Rui Da Hung | TAIWAN, PROVINCE OF CHINA | CID001539 | Not disclosed by CFSI |
Soft Metais Ltda. | BRAZIL | CID001758 | R1 |
Thaisarco | THAILAND | CID001898 | R1, R3, R/S |
Page 19 of 24
VQB Mineral and Trading Group JSC | VIETNAM | CID002015 | Not disclosed by CFSI |
White Solder Metalurgia e Mineração Ltda. | BRAZIL | CID002036 | R1 |
Yunnan Tin Company Limited | CHINA | CID002180 | Not disclosed by CFSI |
CFSI Tungsten Smelter List | |||
Smelter Name (*) | Smelter Country (*) | Smelter Identification | Country of Origin of Minerals |
A.L.M.T. TUNGSTEN Corp. | JAPAN | CID000004 | R1, R/S |
Asia Tungsten Products Vietnam Ltd. | VIETNAM | CID002502 | R1, R3 |
Chenzhou Diamond Tungsten Products Co., Ltd. | CHINA | CID002513 | R1, R/S |
Chongyi Zhangyuan Tungsten Co., Ltd. | CHINA | CID000258 | R1 |
Fujian Jinxin Tungsten Co., Ltd. | CHINA | CID000499 | R1 |
Ganzhou Huaxing Tungsten Products Co., Ltd. | CHINA | CID000875 | R1 |
Ganzhou Jiangwu Ferrotungsten Co., Ltd. | CHINA | CID002315 | R1, R/S |
Ganzhou Seadragon W & Mo Co., Ltd. | CHINA | CID002494 | R1 |
Global Tungsten & Powders Corp. | UNITED STATES OF AMERICA | CID000568 | R1, R/S |
Guangdong Xianglu Tungsten Co., Ltd. | CHINA | CID000218 | R1 |
H.C. Starck GmbH | GERMANY | CID002541 | R1, R/S |
H.C. Starck Smelting GmbH & Co. KG | GERMANY | CID002542 | R/S |
Hunan Chenzhou Mining Co., Ltd. | CHINA | CID000766 | R1 |
Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji | CHINA | CID002579 | R1 |
Hunan Chunchang Nonferrous Metals Co., Ltd. | CHINA | CID000769 | R1 |
Hydrometallurg, JSC | RUSSIAN FEDERATION | CID002649 | R1, R/S |
Japan New Metals Co., Ltd. | JAPAN | CID000825 | R1, R/S |
Jiangwu H.C. Starck Tungsten Products Co., Ltd. | CHINA | CID002551 | R1 |
Jiangxi Gan Bei Tungsten Co., Ltd. | CHINA | CID002321 | R1 |
Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | CHINA | CID002318 | R1 |
Jiangxi Xinsheng Tungsten Industry Co., Ltd. | CHINA | CID002317 | R1 |
Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd. | CHINA | CID002535 | R1 |
Jiangxi Yaosheng Tungsten Co., Ltd. | CHINA | CID002316 | R1 |
Kennametal Fallon | UNITED STATES OF AMERICA | CID000966 | R1 |
Kennametal Huntsville | UNITED STATES OF AMERICA | CID000105 | R1, R/S |
Malipo Haiyu Tungsten Co., Ltd. | CHINA | CID002319 | R1 |
Moliren Ltd. | RUSSIAN FEDERATION | CID002845 | Not disclosed by CFSI |
Page 20 of 24
Niagara Refining LLC | UNITED STATES OF AMERICA | CID002589 | R1, R/S |
Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC | VIETNAM | CID002543 | R1 |
Philippine Chuangxin Industrial Co., | PHILIPPINES | CID002827 | Not disclosed by CFSI |
South-East Nonferrous Metal Company Limited of Hengyang City | CHINA | CID002815 | R1, R/S |
Tejing (Vietnam) Tungsten Co., Ltd. | VIETNAM | CID001889 | R1 |
Unecha Refractory metals plant | RUSSIAN FEDERATION | CID002724 | Not disclosed by CFSI |
Vietnam Youngsun Tungsten Industry Co., Ltd. | VIETNAM | CID002011 | R1, R3 |
Wolfram Bergbau und Hütten AG | AUSTRIA | CID002044 | R1, R3, R/S |
Woltech Korea Co., Ltd. | KOREA (REPUBLIC OF) | CID002843 | Not disclosed by CFSI |
Xiamen Tungsten (H.C.) Co., Ltd. | CHINA | CID002320 | R1, R3, R/S |
Xiamen Tungsten Co., Ltd. | CHINA | CID002082 | R1, R/S |
Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. | CHINA | CID002830 | R1 |
Xinhai Rendan Shaoguan Tungsten Co., Ltd. | CHINA | CID002095 | R1 |
Page 21 of 24
IX. Appendix B - Tyco smelter or refiner results
Metal | Smelter / Refiner | CFSI Smelter ID | Certifications | Mine Countries of Origin |
Gold | Almalyk Mining and Metallurgical Complex (AMMC) | CID000041 | LBMA, CFSP | DRC- Congo (Kinshasa), Zambia |
Gold | Asaka Riken Co., Ltd. | CID000090 | CFSP | Burundi, Rwanda |
Gold | CCR Refinery - Glencore Canada Corporation | CID000185 | LBMA, CFSP | DRC- Congo (Kinshasa), Zambia |
Gold | Jiangxi Copper Company Limited | CID000855 | LBMA, CFSP | Rwanda |
Gold | Mitsubishi Materials Corporation | CID001188 | LBMA, CFSP | Congo (Brazzaville) |
Gold | Nihon Material Co., Ltd. | CID001259 | LBMA, CFSP | DRC- Congo (Kinshasa), Rwanda |
Gold | Elemetal Refining, LLC | CID001322 | LBMA, CFSP | Rwanda |
Gold | Prioksky Plant of Non-Ferrous Metals | CID001386 | LBMA, CFSP | Rwanda |
Gold | Rand Refinery (Pty) Ltd. | CID001512 | LBMA, CFSP | DRC- Congo (Kinshasa), Tanzania |
Gold | Samduck Precious Metals | CID001555 | CFSP | Rwanda |
Tantalum | Changsha South Tantalum Niobium Co., Ltd. | CID000211 | CFSP | DRC- Congo (Kinshasa) |
Tantalum | Conghua Tantalum and Niobium Smeltry | CID000291 | CFSP | DRC- Congo (Kinshasa) and all adjoining countries |
Tantalum | Duoluoshan | CID000410 | CFSP | DRC- Congo (Kinshasa) and all adjoining countries |
Tantalum | F&X Electro-Materials Ltd. | CID000460 | CFSP | DRC- Congo (Kinshasa) and all adjoining countries |
Tantalum | Guangdong Zhiyuan New Material Co., Ltd. | CID000616 | CFSP | DRC- Congo (Kinshasa), Rwanda |
Tantalum | Hi-Temp Specialty Metals, | CID000731 | CFSP | Rwanda |
Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | CID000914 | CFSP | DRC- Congo (Kinshasa) and all adjoining countries |
Tantalum | Jiujiang Nonferrous Metals Smelting Company Limited | CID000917 | CFSP | DRC- Congo (Kinshasa) and all adjoining countries |
Tantalum | LSM Brasil S.A. | CID001076 | CFSP | DRC- Congo (Kinshasa) |
Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | CID001277 | CFSP | DRC- Congo (Kinshasa) and all adjoining countries |
Tantalum | Ulba Metallurgical Plant JSC | CID001969 | CFSP | DRC- Congo (Kinshasa) and all adjoining countries |
Tantalum | Zhuzhou Cemented Carbide Group Co., Ltd. | CID002232 | CFSP | Burundi, DRC- Congo (Kinshasa), Rwanda |
Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | CID002506 | CFSP | DRC- Congo (Kinshasa) |
Tantalum | KEMET Blue Metals | CID002539 | CFSP | DRC- Congo (Kinshasa) and all adjoining countries |
Tantalum | H.C. Starck Co., Ltd. | CID002544 | CFSP | DRC- Congo (Kinshasa) and all adjoining countries |
Page 22 of 24
Tantalum | H.C. Starck Tantalum and Niobium GmbH | CID002545 | CFSP | DRC- Congo (Kinshasa) and all adjoining countries |
Tantalum | H.C. Starck Hermsdorf GmbH | CID002547 | CFSP | Burundi, DRC- Congo (Kinshasa), Rwanda |
Tantalum | H.C. Starck | CID002548 | CFSP | Burundi, Congo (Brazzaville), Rwanda |
Tantalum | H.C. Starck Ltd. | CID002549 | CFSP | Rwanda |
Tantalum | H.C. Starck Smelting GmbH & Co. KG | CID002550 | CFSP | Burundi, Congo (Brazzaville), DRC- Congo (Kinshasa), Rwanda |
Tantalum | Global Advanced Metals Boyertown | CID002557 | CFSP | DRC- Congo (Kinshasa) and all adjoining countries |
Tantalum | Global Advanced Metals Aizu | CID002558 | CFSP | DRC- Congo (Kinshasa) and all adjoining countries |
Tantalum | Kemet Blue Powder | CID002568 | CFSP | DRC- Congo (Kinshasa) and all adjoining countries |
Tin | Jiangxi Ketai Advanced Material Co., Ltd. | CID000244 | CFSP | Burundi |
Tin | CV United Smelting | CID000315 | CFSP | Congo (Brazzaville), DRC- Congo (Kinshasa), Rwanda |
Tin | EM Vinto | CID000438 | CFSP | Congo (Brazzaville), DRC- Congo (Kinshasa) |
Tin | China Tin Group Co., Ltd. | CID001070 | CFSP | DRC- Congo (Kinshasa) |
Tin | Malaysia Smelting Corporation (MSC) | CID001105 | CFSP | Angola, Burundi, Central African Republic, Congo (Brazzaville), DRC- Congo (Kinshasa), South Sudan, Tanzania, Uganda, Zambia |
Tin | Minsur | CID001182 | CFSP | DRC- Congo (Kinshasa), Rwanda |
Tin | Operaciones Metalurgical S.A. | CID001337 | CFSP | DRC- Congo (Kinshasa) |
Tin | PT Bangka Tin Industry | CID001419 | CFSP | DRC- Congo (Kinshasa) |
Tin | PT Bukit Timah | CID001428 | CFSP | DRC- Congo (Kinshasa) |
Tin | PT Eunindo Usaha Mandiri | CID001438 | CFSP | DRC- Congo (Kinshasa), Rwanda |
Tin | PT Stanindo Inti Perkasa | CID001468 | CFSP | DRC- Congo (Kinshasa) |
Tin | PT Sumber Jaya Indah | CID001471 | CFSP | Rwanda |
Tin | PT Timah (Persero) Tbk Kundur | CID001477 | CFSP | DRC- Congo (Kinshasa), Rwanda |
Tin | PT Timah (Persero) Tbk Mentok | CID001482 | CFSP | DRC- Congo (Kinshasa) |
Tin | PT Tinindo Inter Nusa | CID001490 | CFSP | DRC- Congo (Kinshasa), Rwanda |
Tin | Thaisarco | CID001898 | CFSP | DRC- Congo (Kinshasa) and all adjoining countries |
Tin | VQB Mineral and Trading Group JSC | CID002015 | CFSP | DRC- Congo (Kinshasa) |
Tin | CV Venus Inti Perkasa | CID002455 | CFSP | Congo (Brazzaville) |
Tin | Magnu's Minerais Metais e Ligas Ltda. | CID002468 | CFSP | DRC- Congo (Kinshasa) |
Tungsten | A.L.M.T. Corp. | CID000004 | CFSP | Burundi, DRC- Congo (Kinshasa), Rwanda |
Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | CID000258 | CFSP | DRC- Congo (Kinshasa) |
Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. | CID000875 | CFSP | Rwanda |
Tungsten | Vietnam Youngsun Tungsten Industry Co., Ltd. | CID002011 | CFSP | DRC- Congo (Kinshasa) and all adjoining countries |
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Tungsten | Xiamen Tungsten Co., Ltd. | CID002082 | CFSP | DRC- Congo (Kinshasa), Rwanda |
Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | CID002315 | CFSP | DRC- Congo (Kinshasa) |
Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | CID002317 | CFSP | DRC- Congo (Kinshasa) |
Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | CID002320 | CFSP | Burundi, Rwanda |
Tungsten | Asia Tungsten Products Vietnam Ltd. | CID002502 | CFSP | Angola, Burundi, Central African Republic, Congo (Brazzaville), Rwanda, South Sudan, Tanzania, Uganda, Zambia |
Tungsten | H.C. Starck Tungsten GmbH | CID002541 | CFSP | Rwanda |
Tungsten | Hydrometallurg, JSC | CID002649 | CFSP | DRC- Congo (Kinshasa) |
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