Exhibit 1.01
 

 
Cummins Inc.
Conflict Minerals Report
For The Year Ended December 31, 2014
 
This Conflict Minerals Report for the year ended December 31, 2014 is presented to comply with Rule 13p-1 under the Securities Exchange Act of 1934 (the Rule).  The Securities and Exchange Commission (SEC) adopted the Rule 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 (Dodd-Frank Act).  The Rule imposes certain reporting obligations on SEC registrants whose manufactured products contain so called conflict minerals that are necessary to the functionality or production of their products.  “Conflict minerals” are defined as cassiterite, columbite-tantalite, gold, wolframite, and their derivatives, which are limited to tin, tantalum, tungsten, and gold (3TG).  These requirements apply to registrants whatever the geographic origin of the conflict minerals and whether or not the conflict minerals fund armed conflict in the Democratic Republic of the Congo or an adjoining country (the Covered Countries).
 
1.  
Company Overview
 
This report has been prepared by the management of Cummins Inc. (herein referred to as “Company,” “we,” “us,” or “our”).  The information in this report includes the activities of all majority-owned subsidiaries and other entities that are required to be consolidated1.  It does not include the activities of entities that are not required to be consolidated.
 
Cummins Inc. is a global power leader that designs, manufactures, distributes and services diesel and natural gas engines and engine-related component products, including filtration, after-treatment, turbochargers, fuel systems, controls systems, air handling systems and electric power generation systems.  We sell our products to original equipment manufacturers (OEMs), distributors and other customers worldwide.  We serve our customers through a network of over 600 company-owned and independent distributor locations and over 7,200 dealer locations in more than 190 countries and territories.
 
We conducted an analysis of our products and determined that it is possible that 3TG may be found in the majority of our products.  However, we believe that the amount and value of 3TG that may be in any given product is generally de minimis compared to the size and value of the product as a whole.
 

 1 Excludes North American Distributor entities acquired in 2014 in accordance with Instruction (3) to Item 1.01 of Form SD.

1

 
Conflict Minerals Policy
 
We have adopted the following conflict minerals policy:
 
It is a policy of Cummins Inc.:
 
●   
To make reasonable efforts: a) to know, and to require each Cummins Inc. supplier to disclose to Cummins, the sources of Conflict Minerals used in its products; and b) to eliminate procurement, as soon as commercially practicable, of products containing Conflict Minerals obtained from sources that fund or support inhumane treatment in the Covered Countries.
 
●   
To require Cummins Inc. suppliers to assist the Company to comply with the disclosure requirements of Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, and the rules of the U.S. Securities and Exchange Commission promulgated pursuant to that law, as well as any related laws and rules.
 
Conflict Minerals Determination
 
We rely on our direct suppliers to provide information on the origin of the 3TG contained in the components and materials supplied to us – including sources of 3TG that are supplied to them from lower tier suppliers.  Based on the results of our Reasonable Country of Origin Inquiry (RCOI) and subsequent due diligence procedures, the products that we manufacture that are subject to the reporting obligations of Rule 13p-1 are “DRC conflict undeterminable,” because we have been unable to determine the origin of the 3TG they contain or to determine whether they come from recycled or scrap sources.
 
2.  
Reasonable Country of Origin Inquiry (RCOI)
 
Scope of the RCOI Review
 
We designed our RCOI to provide a reasonable basis for us to determine whether we source 3TG from Covered Countries.  In 2014, we identified those suppliers who we knew to have supplied, or otherwise were highly likely to have supplied (e.g., electronics suppliers), components and materials containing 3TG.  Through our scoping exercise, we identified over 800 direct suppliers representing 32% of our 2014 expenditures for direct components and materials.
 
We conducted a survey of these suppliers using the template developed by the Electronic Industry Citizenship Coalition® (EICC®) and The Global e-Sustainability Initiative (GeSI), known as the Conflict Minerals Reporting Template (the Template).  The Template was developed to facilitate disclosure and communication of information regarding smelters that provide material to a company’s supply chain.  It includes questions regarding a direct supplier’s conflict minerals policy, engagement with its direct suppliers, origin of conflict minerals included in its products, supplier due diligence, and a listing of the smelters the direct supplier and its suppliers use.  Written instructions and recorded training illustrating the use of the tool is available on the EICC’s website.  Many companies are using the Template in their RCOI and due diligence processes related to conflict minerals.

 
2

 
RCOI Results
 
In an effort to obtain the highest practical response rate, our process included multiple rounds of communication and follow-up including mail, email, and telephone calls.  We received a response from suppliers representing the majority of in-scope direct material and components expenditures.  We reviewed the responses against criteria developed to determine which responses required further engagement with our suppliers.  These criteria included untimely or incomplete responses as well as inconsistencies within the data reported in the Template.  We worked directly with these suppliers to obtain a revised response and/or additional clarity regarding their submission.
 
Most of the responses we received indicated that the 3TG in the suppliers’ components and materials either 1) did not originate from a Covered Country, 2) were not necessary to the functionality of the components and materials or 3) the source country was undeterminable.  However, after reviewing the results of our RCOI, we determined that we had reason to believe that some of the 3TG necessary for the functionality or production of our products, from a small number of suppliers, may have originated in a Covered Country during 2014, all within the meaning of the Rule.  We conducted our RCOI in good faith, and we believe that such inquiry was reasonable to allow us to make our determination. Accordingly, the Company proceeded to exercise due diligence on the source and chain of custody of the 3TG.
 
3.  
 Due Diligence Process
 
3.1   Design of Due Diligence
 
We designed our due diligence measures to conform, in all material respects, with the framework in The Organization for Economic Co-operation and Development Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (OECD Guidance) and the related Supplements for gold and for tin, tantalum, and tungsten.
 
3.2   Management Systems
 
Conflict Minerals Policy
 
As described above, the Company has adopted a conflict minerals policy.
 
Internal Team
 
We have developed a cross-functional team to set our conflict minerals strategy and ensure timely implementation and execution of our program.  Our Corporate Prohibited and Restricted Materials Leader, with support from our Environmental Materials Council, has primary responsibility for program execution.  Guidance on the overall strategy and implementation is provided by the Corporate Purchasing Leadership Team, the Legal Department, and the Ethics and Compliance Department.  Senior management is briefed about the results of our program on a regular basis.
 

3

 
Control Systems and Supplier Engagement
 
As a company well downstream in the supply chain, we do not have a direct relationship with 3TG smelters and refiners.  We engage with our suppliers and other major manufacturers in our industry and rely on information provided through the EICC-GeSI Conflict Minerals Reporting Template to gather information on the source and chain of custody of the conflict minerals in our products.
 
In 2013, we updated our Supplier Code of Business Conduct (Supplier Code) to address, among other things, conflict minerals and the requirement of our suppliers to provide information on their use of these minerals.  Our supplier contracts include a requirement that the supplier comply with the Supplier Code.  Contracts with our suppliers are frequently in force for three to five years, and we are ensuring that any new or renewed contracts incorporate the most up-to-date version of the Supplier Code.  In conjunction with that process, we are also asking our suppliers to certify that they have received the updated Supplier Code and intend to comply.  We conduct periodic audits of our suppliers to validate compliance with the Supplier Code.
 
Records Retention
 
We will retain documentation related to our conflict minerals compliance program according to our Corporate Record Retention Schedule.
 
Grievance Mechanism
 
We have longstanding grievance mechanisms whereby employees and suppliers can report potential violations of the Company’s policies, including our conflict minerals policy.  Our supplier Internet portal and Cummins website includes contact information that individuals can use to voice any concerns.
 
3.3   Identify and Assess Risk in the Supply Chain
 
Because of our size, the complexity of our products, and the depth, breadth, and constant evolution of our supply chain, it is difficult to identify actors upstream from our direct suppliers.  Through our RCOI process (see section 2 above), we rely on our suppliers whose materials or components contain 3TG to provide us with information about the source of 3TG contained in those materials or components.  Our direct suppliers similarly rely upon information provided by their suppliers.  Many of our largest suppliers either are SEC registrants and subject to the Rule or are suppliers to other SEC registrants that are subject to the Rule.
 
3.4   Design and Implement a Strategy to Respond to Risks
 
In conjunction with our risk assessment process, the Company has developed, and management has approved, a risk management plan.  Through our due diligence process we attempt to determine the source and chain of custody of the necessary conflict minerals we know, or have reason to believe, originated in a Covered Country.
 

4


As a downstream company, we generally do not have a direct relationship with smelters and/or refiners.  Most of the work toward this aspect of the OECD Guidance is carried out indirectly through our suppliers or through our involvement with industry working groups/coalitions.
 
As a downstream company, we largely focus on the accuracy and quality of the representations our direct suppliers make regarding the source and chain of custody of their conflict minerals.  The Company evaluates its direct suppliers’ responses to RCOI and due diligence inquiries based on the risk or likelihood that they are giving an incorrect response or that a non-response may indicate the supplier is purchasing from a known conflict source and does not wish to disclose this fact.  When necessary, issues are escalated to the appropriate level internally and with the supplier.
 
In evaluating the responses from its suppliers, the Company screens all responses for overall risk factors associated with the veracity of the information supplied.  Suitable, measurable risk mitigation plans are developed as needed on a case-by-case basis.  To date, we have found no instances where it was necessary to terminate a contract or find a replacement supplier.
 
3.5   Carry Out Independent Third Party Audits of Supply Chain Due Diligence at Identified Points in the Supply Chain
 
We do not typically have a direct relationship with 3TG smelters and refiners and do not perform or direct audits of these entities within our supply chain.  We support audits by engaging our upstream partners who are closer to the source and by supporting the processes carried out through the Conflict Minerals Reporting Template.
 
3.6   Report on Supply Chain Due Diligence
 
This conflict minerals report is being filed with the SEC as an exhibit to our specialized disclosure report on Form SD and is available on our website at http://now.cummins.com/conflictminerals.
 
4.  
 Due Diligence Results
 
Through our due diligence process we found that the majority of the suppliers we believed could be sourcing from a Covered Country were unable to determine the smelter or refiner of the 3TG in their products.  A small number of suppliers were able to provide a partial list of smelters and refiners.  These suppliers informed us that they were continuing to exercise their own due diligence efforts, but felt they would be unable to provide a complete list of smelters/refiners prior to the filing deadline. We compared the partial lists provided by our suppliers to those published by organizations such as the USGS, GAO, LBMA, EICC/GESI, and/or DMCC/WGC.  Through this process we were able to identify and address gaps in data, spelling errors, and eliminate duplicate records in order to arrive at the consolidated list of smelters and refiners.
 

5

 
The large majority of the responses received provided data at the supplier company level or a division/segment level relative to the supplier, rather than at a level directly relating to a part number that the supplier supplies to us, or were otherwise unable to specify the smelters or refiners used for components supplied to us. We were therefore unable to determine whether any of the 3TG that these suppliers reported was contained in components supplied to us or to validate that any of these smelters or refiners are actually in our supply chain.  However, based on the information we obtained from our suppliers, we believe that, to the best of our knowledge, the smelters and refiners listed in Annex I to this conflict minerals report may have been used to process the 3TG contained in the products we manufactured.
 
Efforts to Determine Mine or Location of Origin
 
Refer to sections 2 and 3 above for details on our RCOI and due diligence processes.  We believe that these processes are the most reasonable efforts we can make to determine the mines or locations of origin of the 3TG in our supply chain.
 
5.  
 Planned Program Improvements
 
We intend to continue to take the following steps to improve our conflict minerals program:
 
a)  
As described in section 3.2 above, new or renewed supplier contracts will include updated Supplier Code of Conduct language which requires the suppliers to support our conflict minerals program.
 
b)  
Engage with suppliers and direct them to training resources to attempt to increase the response rate and improve the content of the supplier survey responses.
 
c)  
Continue to work with our peers, suppliers, and industry groups to define and improve best practices and build leverage over the supply chain in accordance with the OECD Guidance.
 

 

6

 
ANNEX I

 
Subject Mineral
Smelter or Refiner Name
Country Location of Smelter or Refiner
Smelter Identification
Source of Smelter Identification Number
Gold
Daejin Indus Co. Ltd
KOREA, REPUBLIC OF
CID000328
Supplier
Gold
DaeryongENC
KOREA, REPUBLIC OF
CID000333
Supplier
Gold
Do Sung Corporation
KOREA, REPUBLIC OF
CID000359
Supplier
Gold
BANGKOK ASSAY
THAILAND
 
Supplier
Gold
Bauer Walser AG
GERMANY
CID000141
CFSI
Gold
Central Bank of the DPR of Korea
KOREA, REPUBLIC OF
1KOR012
Supplier
Gold
Colt Refining
UNITED STATES
CID000288
CFSI
Gold
Doduco
GERMANY
CID000362
CFSI
Gold
FSE Novosibirsk Refinery
RUSSIAN FEDERATION
CID000493
Supplier
Gold
Guangdong Jinding Gold Limited
CHINA
CID002312
CFSI
Gold
Hangzhou Fuchunjiang Smelting Co., Ltd.
CHINA
CID000671
CFSI
Gold
Hwasung CJ Co. Ltd
KOREA, REPUBLIC OF
CID000778
Supplier
Gold
Lingbao Jinyuan Tonghui Refinery Co. Ltd.
CHINA
CID001058
CFSI
Gold
SAMWON METALS Corp.
KOREA, REPUBLIC OF
CID001562
Supplier
Gold
So Accurate Group, Inc.
UNITED STATES
CID001754
CFSI
Gold
Suzhou Xingrui Noble
CHINA
1CHN079
Supplier
Gold
Tokuriki Tokyo Melters Assayers
Tokuriki Tokyo Melters Assayers
CID001399
EICC/GeSI
Gold
Torecom
KOREA, REPUBLIC OF
CID001955
Supplier
Gold
Toyo Smelter & Refinery
JAPAN
1JPN057
Supplier
Gold
Xstrata Canada Corporation
CANADA
1CAN064
Supplier
Gold
YAMAMOTO PRECIOUS METAL CO., LTD.
JAPAN
CID002100
CFSI
Gold
Yunnan Copper Industry Co Ltd
CHINA
CID000197
CFSI
Gold
Metalor Technologies SA
SWITZERLAND
CID001153
CFSI
Gold
Aida Chemical Industries Co. Ltd.
JAPAN
CID000019
Supplier
Gold
Allgemeine Gold-und Silberscheideanstalt A.G.
GERMANY
CID000035
Supplier
Gold
Almalyk Mining and Metallurgical Complex (AMMC)
UZBEKISTAN
CID000041
Supplier
Gold
AngloGold Ashanti Córrego do Sítio Minerção Ltda
BRAZIL
CID000058
Supplier
Gold
Argor-Heraeus SA
SWITZERLAND
CID000077
Supplier
Gold
Asahi Pretec Corporation
JAPAN
CID000082
CFSI
Gold
Asaka Riken Co Ltd
JAPAN
CID000090
Supplier
Gold
Atasay Kuyumculuk Sanayi Ve Ticaret A.S.
TURKEY
CID000103
Supplier
Gold
Aurubis AG
GERMANY
CID000113
Supplier
Gold
Bangko Sentral ng Pilipinas (Central Bank of the Philippines)
PHILIPPINES
CID000128
Supplier

 

7

 
Subject Mineral
Smelter or Refiner Name
Country Location of Smelter or Refiner
Smelter Identification
Source of Smelter Identification Number
Gold
Boliden AB
SWEDEN
CID000157
Supplier
Gold
C. Hafner GmbH + Co. KG
GERMANY
CID000176
CFSI
Gold
Caridad
MEXICO
CID000180
Supplier
Gold
Caridad
MEXICO
CID000927
GAO
Gold
CCR Refinery – Glencore Canada Corporation
CANADA
CID000185
Supplier
Gold
Cendres & Métaux SA
SWITZERLAND
CID000189
Supplier
Gold
Chimet S.p.A.
ITALY
CID000233
Supplier
Gold
China National Gold Group Corporation
CHINA
CID000242
CFSI
Gold
Chugai Mining
JAPAN
CID000264
Supplier
Gold
Codelco
CHILE
CID000278
USGS
Gold
Coopersanta
BRAZIL
CID000555
USGS
Gold
Daye Non-Ferrous Metals Mining Ltd.
CHINA
CID000343
CFSI
Gold
Dowa Mining Co. Ltd
JAPAN
CID000401
CFSI
Gold
Dowa Mining Co. Ltd
JAPAN
CID001179
USGS
Gold
Eco-System Recycling Co., Ltd.
JAPAN
CID000425
CFSI
Gold
Gansu Seemine Material Hi-Tech Co Ltd
CHINA
CID000522
CFSI
Gold
Heimerle + Meule GmbH
Austria
CID000694
Supplier
Gold
Heraeus Ltd Hong Kong
HONG KONG
CID000760
EICC/GeSI
Gold
Heraeus Ltd. Hong Kong
HONG KONG
CID000707
Supplier
Gold
Heraeus Precious Metals GmbH & Co. KG
GERMANY
CID000711
Supplier
Gold
Hunan Chenzhou Mining Industry Group
CHINA
CID000767
CFSI
Gold
Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited
CHINA
CID000801
Supplier
Gold
Ishifuku Metal Industry Co., Ltd.
JAPAN
CID000807
Supplier
Gold
Ishifuku Metal Industry Co., Ltd.
JAPAN
CID000963
EICC/GeSI
Gold
Istanbul Gold Refinery
TURKEY
CID000814
Supplier
Gold
Japan Mint
JAPAN
CID000823
Supplier
Gold
Jiangxi Copper Company Limited
CHINA
CID000855
Supplier
Gold
Johnson Matthey Gold and Silver Refining Inc.
UNITED STATES
CID000920
CFSI
Gold
Johnson Matthey plc
CANADA
CID000924
Supplier
Gold
JSC Uralelectromed
RUSSIAN FEDERATION
CID000929
Supplier
Gold
JX Nippon Mining & Metals Co., Ltd
JAPAN
CID001891
EICC/GeSI
 
 

8

 

 
Subject Mineral
Smelter or Refiner Name
Country Location of Smelter or Refiner
Smelter Identification
Source of Smelter Identification Number
Gold
JX Nippon Mining & Metals Co., Ltd.
JAPAN
CID000937
Supplier
Gold
Kazzinc Ltd
KAZAKHSTAN
CID000957
Supplier
Gold
Kennecott Utah Copper Corporation
UNITED STATES
CID000969
Supplier
Gold
Kojima Chemicals Co. Ltd
JAPAN
CID001508
EICC/GeSI
Gold
Kojima Chemicals Co., Ltd
JAPAN
CID000981
Supplier
Gold
Korea Zinc Co. Ltd
KOREA, REPUBLIC OF
CID000988
Supplier
Gold
Kyrgyzaltyn JSC
KYRGYZSTAN
CID001029
Supplier
Gold
L'azurde Company For Jewelry
SAUDI ARABIA
CID001032
Supplier
Gold
LS-NIKKO Copper Inc.
KOREA, REPUBLIC OF
CID001078
Supplier
Gold
Luoyang Zijin Yinhui Gold Refining Co Ltd
CHINA
CID001093
CFSI
Gold
Materion
UNITED STATES
CID001113
Supplier
Gold
Matsuda Sangyo Co. Ltd
JAPAN
CID001879
EICC/GeSI
Gold
Matsuda Sangyo Co., Ltd.
JAPAN
CID001119
Supplier
Gold
Metalor Technologies (Hong Kong) Ltd
HONG KONG
CID001149
Supplier
Gold
Metalor Technologies (Singapore) Pte. Ltd.
SINGAPORE
CID001152
CFSI
Gold
Metalor USA Refining Corporation
UNITED STATES
CID001157
Supplier
Gold
Metalor USA Refining Corporation
UNITED STATES
CID001448
EICC/GeSI
Gold
Met-Mex Peñoles, S.A. de C.V.
MEXICO
CID001161
Supplier
Gold
Mitsui Mining and Smelting Co., Ltd.
JAPAN
CID001193
Supplier
Gold
Moscow Special Alloys Processing Plant
RUSSIAN FEDERATION
CID001204
Supplier
Gold
Nadir Metal Rafineri San. Ve Tic. A.Ş.
TURKEY
CID001220
Supplier
Gold
Navoi Mining and Metallurgical Combinat
UZBEKISTAN
CID001236
Supplier
Gold
Navoi Mining and Metallurgical Combinat
UZBEKISTAN
CID002044
USGS
Gold
Nihon Material Co. LTD
JAPAN
CID001259
Supplier
Gold
Ohio Precious Metals, LLC
UNITED STATES
CID001322
Supplier
Gold
Ohura Precious Metal Industry Co., Ltd
JAPAN
CID001325
CFSI
Gold
OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastvetmet)
RUSSIAN FEDERATION
CID001326
Supplier

 

9

 
Subject Mineral
Smelter or Refiner Name
Country Location of Smelter or Refiner
Smelter Identification
Source of Smelter Identification Number
Gold
OJSC Kolyma Refinery
RUSSIAN FEDERATION
CID001328
Supplier
Gold
Penglai Penggang Gold Industry Co Ltd
CHINA
CID001362
CFSI
Gold
Perth Mint
AUSTRALIA
CID001434
EICC/GeSI
Gold
Perth Mint
AUSTRALIA
CID002030
Supplier
Gold
Prioksky Plant of Non-Ferrous Metals
RUSSIAN FEDERATION
CID001386
Supplier
Gold
Produits Artistiques de Métaux Précieux S.A.
SWITZERLAND
CID001352
Supplier
Gold
PT Aneka Tambang (Persero) Tbk
INDONESIA
CID001397
Supplier
Gold
PX Précinox SA
SWITZERLAND
CID001498
Supplier
Gold
Rand Refinery (Pty) Ltd
SOUTH AFRICA
CID001512
Supplier
Gold
Royal Canadian Mint
CANADA
CID001458
EICC/GeSI
Gold
Royal Canadian Mint
CANADA
CID001534
Supplier
Gold
Sabin Metal Corp.
UNITED STATES
CID001546
Supplier
Gold
Schone Edelmetaal B.V.
NETHERLANDS
CID001573
Supplier
Gold
SEMPSA Joyería Platería SA
SPAIN
CID001585
Supplier
Gold
Shandong Zhaojin Gold & Silver Refinery Co. Ltd
CHINA
CID001622
Supplier
Gold
SOE Shyolkovsky Factory of Secondary Precious Metals
RUSSIAN FEDERATION
CID001756
Supplier
Gold
Solar Applied Materials Technology Corp.
TAIWAN
CID001761
Supplier
Gold
Sumitomo Metal Mining Co., Ltd.
JAPAN
CID000313
EICC/GeSI
Gold
Sumitomo Metal Mining Co., Ltd.
JAPAN
CID001798
CFSI
Gold
Tanaka Kikinzoku Kogyo K.K.
JAPAN
CID000315
USGS
Gold
Tanaka Kikinzoku Kogyo K.K.
JAPAN
CID001875
CFSI
Gold
The Great Wall Gold and Silver Refinery of China
CHINA
CID001909
CFSI
Gold
The Refinery of Shandong Gold Mining Co. Ltd
CHINA
CID001916
CFSI
Gold
Tokuriki Honten Co., Ltd
JAPAN
CID001938
Supplier
Gold
Tongling Nonferrous Metals Group Holdings Co.,Ltd
CHINA
CID001947
CFSI
Gold
Umicore Brasil Ltda
BRAZIL
CID001977
Supplier
 
 

10

 

 
Subject Mineral
Smelter or Refiner Name
Country Location of Smelter or Refiner
Smelter Identification
Source of Smelter Identification Number
Gold
Umicore Precious Metals Thailand
THAILAND
CID002314
CFSI
Gold
Umicore SA Business Unit Precious Metals Refining
BELGIUM
CID001402
USGS
Gold
Umicore SA Business Unit Precious Metals Refining
BELGIUM
CID001980
Supplier
Gold
United Precious Metals Refining Inc.
UNITED STATES
CID001993
Supplier
Gold
unknown
PERU
CID000538
Supplier
Gold
Valcambi SA
SWITZERLAND
CID002003
Supplier
Gold
Yokohama Metal Co Ltd
JAPAN
CID002129
Supplier
Gold
Yunnan Tin Company Limited
CHINA
CID001070
USGS
Gold
Zhongyan Gold Smelter
CHINA
CID002224
CFSI
Gold
Zijin Mining Group Co. Ltd
CHINA
CID002243
Supplier
Tantalum
A&M Minerals Limited
UNITED KINGDOM
 
Supplier
Tantalum
H.C. Starck Group
GERMANY
CID000654
Supplier
Tantalum
Shanghai Jiangxi Metals Co. Ltd
CHINA
CID001634
CFSI
Tantalum
Solikamsk Metal Works
RUSSIAN FEDERATION
CID001769
Supplier
Tantalum
Cabot (Global Advanced Metals)
UNITED STATES
3USA005
Supplier
Tantalum
Changsha South Tantalum Niobium Co., Ltd.
CHINA
CID000211
CFSI
Tantalum
Conghua Tantalum and Niobium Smeltry
CHINA
CID000291
Supplier
Tantalum
Duoluoshan
CHINA
CID000410
Supplier
Tantalum
Exotech Inc.
UNITED STATES
CID000456
Supplier
Tantalum
F&X
CHINA
CID000807
EICC/GeSI
Tantalum
Gannon & Scott
UNITED STATES
3USA004
USGS
Tantalum
Global Advanced Metals
UNITED STATES
CID000564
Supplier
Tantalum
Guangdong Zhiyuan New Material Co., Ltd.
CHINA
CID000616
CFSI
Tantalum
H.C. Starck GmbH
GERMANY
CID001188
EICC/GeSI
Tantalum
Hengyang King Xing Lifeng New Materials Co., Ltd.
CHINA
CID002492
CFSI
Tantalum
Hi-Temp Specialty Metals, Inc.
UNITED STATES
CID000731
Supplier

 

11

 
 
Subject Mineral
Smelter or Refiner Name
Country Location of Smelter or Refiner
Smelter Identification
Source of Smelter Identification Number
Tantalum
Japan New Metals Co Ltd
JAPAN
4JPN017
USGS
Tantalum
Jiangmen Fuxiang Electro-materials Ltd. (F&X)
CHINA
CID000460
CFSI
Tantalum
Jiangxi Tungsten Group Limited Corporation
CHINA
CID000917
Supplier
Tantalum
Jiujiang Jinxin Nonferous Metals Co., Ltd
CHINA
CID000914
EICC/GeSI
Tantalum
Kemet Blue Powder
MEXICO
CID000963
CFSI
Tantalum
King-Tan Industry Co. Ltd.
CHINA
CID000973
Supplier
Tantalum
LSM Brasil S.A.
BRAZIL
CID001076
CFSI
Tantalum
Metallurgical Products India (Pvt.) Ltd.
INDIA
CID001163
CFSI
Tantalum
Mineração Taboca S.A.
BRAZIL
CID001175
CFSI
Tantalum
Molycorp Silmet A.S.
ESTONIA
CID001200
CFSI
Tantalum
Ningxia Orient Tantalum Industry Co., Ltd.
CHINA
CID001277
Supplier
Tantalum
Plansee Group
AUSTRIA
CID001368
Supplier
Tantalum
QuantumClean
UNITED STATES
CID001508
CFSI
Tantalum
RFH Tantalum Smeltery
CHINA
CID001522
Supplier
Tantalum
Taki Chemicals Co. Ltd.
JAPAN
CID001869
Supplier
Tantalum
Tantalite Resources
SOUTH AFRICA
CID001879
Supplier
Tantalum
Telex
UNITED STATES
CID001891
Supplier
Tantalum
Ulba Metallurgical Plant
KAZAKHSTAN
CID001969
CFSI
Tantalum
Yichun Jin Yang Rare Metal Co., Ltd
CHINA
CID002307
CFSI
Tantalum
Zhuzhou Cement Carbide Works
CHINA
CID002232
Supplier
Tin
China Rare Metal Materials Company
CHINA
CID000244
CFSI
Tin
5N PLUS
GERMANY
 
Supplier
Tin
CV Gita Pesona
INDONESIA
2IDN056
Supplier
Tin
Estanho de Rondônia S.A.
BRAZIL
CID000448
CFSI
Tin
Fenix Metals
POLAND
CID000468
Supplier
Tin
FSE Novosibirsk Refinery
RUSSIAN FEDERATION
1RUS016
USGS
Tin
Gold Bell Group
Gold Bell Group
CID001368
Supplier
Tin
Huichang Jinshunda Tin Co. Ltd
CHINA
CID000760
Supplier
 
 

12

 

 
Subject Mineral
Smelter or Refiner Name
Country Location of Smelter or Refiner
Smelter Identification
Source of Smelter Identification Number
Tin
Kai Unita Trade Limited Liability Company
CHINA
CID000942
Supplier
Tin
Linwu Xianggui Smelter Co
CHINA
CID001063
Supplier
Tin
Magnu's Minerais Metais e Ligas LTDA
BRAZIL
CID002468
CFSI
Tin
Melt Metais e Ligas S/A
BRAZIL
CID002500
CFSI
Tin
Minmetals Ganzhou Tin Co. Ltd.
CHINA
CID001179
Supplier
Tin
O.M. Manufacturing (Thailand) Co., Ltd.
THAILAND
CID001314
CFSI
Tin
PT Bangka Tin Industry
INDONESIA
2IDN058
Supplier
Tin
PT Bangka Tin Industry
INDONESIA
CID001419
CFSI
Tin
PT Karimun Mining
INDONESIA
CID001448
Supplier
Tin
PT Panca Mega
INDONESIA
2IDN060
Supplier
Tin
PT Prima Timah Utama
INDONESIA
CID001458
Supplier
Tin
PT Tin investment
INDONESIA
2IDN061
Supplier
Tin
PT Timah
INDONESIA
CID001305
GAO
Tin
PT Tommy Utama
INDONESIA
2IDN057
Supplier
Tin
Rui Da Hung
TAIWAN
CID001539
Supplier
Tin
Alpha
UNITED STATES
CID000292
Supplier
Tin
China Tin Group Co., Ltd.
CHINA
CID001070
Supplier
Tin
China Tin Group Co., Ltd.
CHINA
2CHN015
GAO
Tin
CNMC (Guangxi) PGMA Co. Ltd.
CHINA
CID000278
Supplier
Tin
Cookson
UNITED STATES
2USA001
GAO
Tin
Coopersanta
BRAZIL
CID000295
CFSI
Tin
CV JusTindo
INDONESIA
2IDN004
USGS
Tin
CV Makmur Jaya
INDONESIA
2IDN005
USGS
Tin
CV Nurjanah
INDONESIA
2IDN006
USGS
Tin
CV Prima Timah Utama
INDONESIA
2IDN007
USGS
Tin
CV Serumpun Sebalai
INDONESIA
CID000313
Supplier
Tin
CV United Smelting
INDONESIA
CID000315
Supplier
Tin
Empresa Metalúrgica Vinto
BOLIVIA
CID000438
CFSI
Tin
Empresa Metalúrgica Vinto
BOLIVIA
CID001412
USGS
Tin
Gejiu Non-Ferrous Metal Processing Co. Ltd.
CHINA
CID000538
Supplier
Tin
Malaysia Smelting Corp. Bhd.
MALAYSIA
CID000973
USGS
Tin
Malaysia Smelting Corp. Bhd.
MALAYSIA
CID001798
Smelter
Tin
Malaysia Smelting Corp. Bhd.
MALAYSIA
CID001105
CFSI
Tin
Metallo Chimique
BELGIUM
CID001143
Supplier
Tin
Metallo Chimique
BELGIUM
CID001421
USGS
 
 

13

 

 
Subject Mineral
Smelter or Refiner Name
Country Location of Smelter or Refiner
Smelter Identification
Source of Smelter Identification Number
Tin
Metallo Chimique
BELGIUM
CID001512
Supplier
Tin
Minsur
PERU
CID001428
EICC/GeSI
Tin
Mitsubishi Materials Corporation
JAPAN
CID001191
Supplier
Tin
Nanshan Tin Co. Ltd.
CHINA
CID000864
Supplier
Tin
OMSA
BOLIVIA
CID001173
EICC/GeSI
Tin
OMSA
BOLIVIA
CID001182
Supplier
Tin
PT Alam Lestari Kencana
INDONESIA
2IDN023
USGS
Tin
PT Artha Cipta Langgeng
INDONESIA
CID001399
Supplier
Tin
PT Babel Inti Perkasa
INDONESIA
CID001402
Supplier
Tin
PT Bangka Kudai Tin
INDONESIA
CID001076
USGS
Tin
PT Belitung Industri Sejahtera
INDONESIA
2IDN030
Supplier
Tin
PT Belitung Industri Sejahtera
INDONESIA
CID001522
USGS
Tin
PT Billiton Makmur Lestari
INDONESIA
2IDN031
USGS
Tin
PT Bukit Timah Tbk
INDONESIA
2IDN032
Supplier
Tin
PT DS Jaya Abadi
INDONESIA
2IDN002
USGS
Tin
PT DS Jaya Abadi
INDONESIA
CID001434
CFSI
Tin
PT Eunindo Usaha Mandiri
INDONESIA
CID001438
Supplier
Tin
PT Fang Di MulTindo
INDONESIA
2IDN034
USGS
Tin
PT HP Metals Indonesia
INDONESIA
2IDN035
USGS
Tin
PT Koba Tin
INDONESIA
CID002036
USGS
Tin
PT Mitra Stania Prima
INDONESIA
CID001453
Supplier
Tin
PT REFINED BANGKA TIN
INDONESIA
CID001460
Supplier
Tin
PT Sariwiguna Binasentosa
INDONESIA
CID001463
Supplier
Tin
PT Stanindo Inti Perkasa
INDONESIA
CID001468
CFSI
Tin
PT Stanindo Inti Perkasa
INDONESIA
CID001259
USGS
Tin
PT Sumber Jaya Indah
INDONESIA
2IDN041
USGS
Tin
PT Tambang Timah
INDONESIA
2IDN049
Supplier
Tin
PT Tambang Timah
INDONESIA
CID000654
EICC/GeSI
Tin
PT Timah (Persero), Tbk
INDONESIA
CID001482
Supplier
Tin
PT Tinindo Inter Nusa
INDONESIA
CID001490
Supplier
Tin
PT Yinchendo Mining Industry
INDONESIA
2IDN045
USGS
Tin
Sumitomo Metal Mining Co., Ltd.
JAPAN
CID001149
GAO
Tin
Thailand Smelting and Refining Company Ltd
THAILAND
CID001898
Supplier
Tin
White Solder Metalurgia e Mineração
BRAZIL
2BRA054
Supplier
Tin
Yunnan Chengfeng
CHINA
CID002158
CFSI

 

14

 
 
Subject Mineral
Smelter or Refiner Name
Country Location of Smelter or Refiner
Smelter Identification
Source of Smelter Identification Number
Tin
Yunnan Chengfeng Non-ferrous Metals Co. Ltd.
CHINA
2CHN047
Supplier
Tin
Yunnan Geiju Zili Metallurgy Co. Ltd.
CHINA
CID000555
CFSI
Tin
YUNNAN TIN COMPANY LIMITED
CHINA
CID001029
GAO
Tin
Yunnan Tin Company Limited
CHINA
CID001477
Supplier
Tin
Yunnan Tin Company, Ltd.
CHINA
CID002180
CFSI
Tungsten
A.L.M.T. Corp.
JAPAN
CID000004
CFSI
Tungsten
ATI Tungsten Materials
UNITED STATES
4USA001
Supplier
Tungsten
China National Non-Ferrous & Jiangxi corporation limited
CHINA
4CHN010
Supplier
Tungsten
Jiangxi Gan Bei Tungsten Co., Ltd.
CHINA
CID002321
CFSI
Tungsten
Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.
CHINA
CID002313
CFSI
Tungsten
Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.
CHINA
CID002318
CFSI
Tungsten
Malipo Haiyu Tungsten Co., Ltd.
CHINA
CID002319
CFSI
Tungsten
Chongyi Zhangyuan Tungsten Co Ltd
CHINA
CID000258
CFSI
Tungsten
Dayu Weiliang Tungsten Co., Ltd.
CHINA
CID000345
CFSI
Tungsten
Fujian Jinxin Tungsten Co., Ltd.
CHINA
CID000499
CFSI
Tungsten
Ganzhou Grand Sea W & Mo Group Co Ltd
CHINA
4CHN016
USGS
Tungsten
Ganzhou Huaxing Tungsten Products Co., Ltd.
CHINA
CID000875
CFSI
Tungsten
Ganzhou Jiangwu Ferrotungsten Co., Ltd.
CHINA
CID002315
CFSI
Tungsten
Ganzhou Non-ferrous Metals Smelting Co., Ltd.
CHINA
CID000868
CFSI
Tungsten
Ganzhou Seadragon W & Mo Co., Ltd.
CHINA
CID002494
USGS
Tungsten
Ganzhou Sinda W&Mo Co., Ltd.
CHINA
 
GAO
Tungsten
Global Tungsten & Powders Corp.
UNITED STATES
CID000568
CFSI
Tungsten
GuangDong XiangLu Tungsten Co., Ltd.
CHINA
CID000218
CFSI
Tungsten
HC Starck GmbH
GERMANY
CID000683
CFSI

 

15

 
 
Subject Mineral
Smelter or Refiner Name
Country Location of Smelter or Refiner
Smelter Identification
Source of Smelter Identification Number
Tungsten
Hunan Chenzhou Mining Group Co. Ltd.
CHINA
CID000766
CFSI
Tungsten
Hunan Chun-Chang Nonferrous Smelting & Concentrating Co., Ltd.
CHINA
CID000769
CFSI
Tungsten
Japan New Metals Co Ltd
JAPAN
CID000825
CFSI
Tungsten
Jiangxi Rare Earth & Rare Metals Tungsten Group Corp
CHINA
4CHN009
USGS
Tungsten
Jiangxi Richsea New Material Co., Ltd.
CHINA
CID002493
CFSI
Tungsten
Jiangxi Xinsheng Tungsten Industry Co., Ltd.
CHINA
CID002317
CFSI
Tungsten
Jiangxi Yaosheng Tungsten Co., Ltd.
CHINA
CID002316
CFSI
Tungsten
Kennametal Inc.
UNITED STATES
CID000966
Supplier
Tungsten
Kennametal Inc.
UNITED STATES
CID000105
CFSI
Tungsten
Tejing (Vietnam) Tungsten Co., Ltd.
VIETNAM
CID001889
Supplier
Tungsten
Vietnam Youngsun Tungsten Industry Co., Ltd
VIETNAM
CID002011
CFSI
Tungsten
Wolfram Bergbau und Hütten AG
AUSTRIA
CID002044
Supplier
Tungsten
Wolfram Company CJSC
RUSSIAN FEDERATION
CID002047
Supplier
Tungsten
Xiamen Tungsten (H.C.) Co., Ltd.
CHINA
CID002320
CFSI
Tungsten
Xiamen Tungsten Co., Ltd
CHINA
CID002082
Supplier
Tungsten
Xinhai Rendan Shaoguan Tungsten Co., Ltd.
CHINA
CID002095
CFSI
Tungsten
Zhuzhou Cemented Carbide Group Co Ltd
CHINA
4CHN015
USGS
Tungsten
Zhuzhou Cemented Carbide Group Co Ltd
CHINA
CID002236
CFSI

 
16