Tin from Myanmar – a Scenario for Applying the European Union Regu- Lation on Supply Chain Due Diligence

Commodity TopNews Fakten ● Analysen ● Wirtschaftliche Hintergrundinformationen 61

TIN FROM MYANMAR – A SCENARIO FOR APPLYING THE EUROPEAN UNION REGU- LATION ON SUPPLY CHAIN DUE DILIGENCE

Christian Heimig 1, Philip Schütte 2, Gudrun Franken 2, Christoph Klein 3

Abb. 1:: Small-scale miners at the Mawchi tin mine, central Myanmar (photo: BGR).

INTRODUCTION

Starting from January 1, 2021, European Union including, among others, conflict financing, the (EU)-based importers of tin, tantalum and tungs- worst forms of child labor and human rights vi- ten, their ores, and gold are required to comply olations. To this end, the OECD guidance defi- with the EU regulation on supply chain due dili- nes a five-step due diligence framework, which gence (EU, 2017). The EU regulation is based on has been integrated into the EU regulation. The- the OECD due diligence guidance for responsib- se steps include establishing strong management le supply chains. The contents of this guidance systems, identifying and responding to supply provide a framework for companies to identify chain risks, carrying out independent third-party and mitigate risks in their mineral supply chains audits at certain points in the supply chain, and public reporting on due diligence implementation (OECD, 2016).

1 Formerly Federal Institute for Geosciences and Natural Resources, presently at Südwestdeutsche Salzwerke AG 2 Federal Institute for Geosciences and Natural Resources 3 Formerly Federal Institute for Geosciences and Natural Resources, presently at KPMG AG Wirtschaftsprüfungsgesellschaft 2 Commodity TopNews

The US Dodd-Frank Act, enacted in 2010, al- oned experts to develop an indicative global list ready defines certain sourcing requirements for of such areas, companies remain responsible for so-called conflict minerals. A range of industry in- evaluating their own supply chains as part of their itiatives has since been established in order to internal due diligence management (cf. Annex, support regulatory compliance and risk manage- Fig. A1). The present Commodity Top News illus- ment along upstream mineral supply chains. As trates a model evaluation of this question based the Dodd-Frank act introduced a geographic fo- on a hypothetical supply chain scenario for tin ori- cus on central Africa, early due diligence im- ginating from Myanmar. plementation efforts focused on supply chains originating from this region. However, the EU regulation defines a global scope for due diligence SIGNIFICANCE OF TIN SUPPLY implementation in the supply chains of the affec- FROM MYANMAR FOR THE EU ted minerals and metals. On this background, mineral-producing regions beyond central Afri- The EU is an important market for tin smelter pro- ca may come under increasing scrutiny with re- ducts, with both Germany and the Netherlands gards to the feasibility of due diligence-related being among the top-five global importers of re- risk management in the context of international in- fined tin. Germany’s most important tin suppliers dustry initiatives. A critical factor is whether these are currently Indonesia and Peru. The so-called mineral-producing regions correspond to the for- “Wa state” represents an autonomous region in mal definition of a conflict-affected and high-risk Myanmar’s Shan state. Over the past few years, area. While the EU Commission has commissi- the region has become one of the most important

400.000400.000

350.000350.000

300.000300.000

250.000250.000

200.000200.000

150.000150.000

100.000100.000 Refined tin production Refined tin production (tons) 50.00050.000

0 0

Produktion Raffinadezinn (Tonnen) Produktion Raffinadezinn 20102010 2011 2011 2012 2012 2013 2013 2014 2014 2015 2015 2016 20172016 2018 2017

restrestliche of the world Welt IndonesiaIndonesien MyanmarMyanmar (mostly ("Wa-Staat"), “Wa state“) smelted in in China verhüttet ChinaChina

Figure 2: Origin of global refined tin production. The proportion of Myanmar-derived tin refined in China was estimated from reported Chinese tin ore concentrate imports from Myanmar assuming an average tin grade of 20 % 4(reference: BGR raw material database and GTIS, 2019).

4 The increasing value of Chinese concentrate imports from Myanmar reported for 2017 indicates that these concentrates had higher tin grades compared to previous years. Therefore, for 2017, the actual tin content contained in concentrates originating from Myanmar should be somewhat higher compared to the tonnage shown in the figure. Commodity TopNews Commodity TopNews 3

tin mining areas at a global scale, after China and The official tin production in areas controlled by Indonesia (Figure 2). At the same time, the United the central government of Myanmar amounts to Nations have identified the Wa Army, operating in less than 1000 tons per year and, hence, is of mi- the “Wa state”, as one of the parties to the local nor global importance. However, even in these re- conflict. The Wa Army’s lack of initiative to stop gions controlling tin supply chains is not without the use of child soldiers represents a significant its challenges due to significant smuggling risks. risk in the context of supply chain due diligence. For example, the official purchasing price for tin concentrates from Mawchi is relatively low as it Tin ore mined in the “Wa state” is exclusively includes official levies and taxes. Therefore, this refined in China. In recent years, China expor- price cannot compete with black market prices of- ted only small tonnages of refined tin and asso- fered for Mawchi tin production. Tin concentrates ciated smelter products to Germany (cf. Annex, from Myanmar’s traditional tin mining areas typi- Table A1). This reflects China’s export tax re- cally have grades around 65 % tin and are expor- gime for raw materials and its high level of dome- ted to China or Thailand. stic tin consumption. Therefore, tin mined in the “Wa state” is currently not likely to be directly af- The so-called “Wa state” represents a globally fected by the EU regulation. Rather, this tin would important tin mining area. The autonomous regi- mainly reach the EU in the form of downstream on borders China and is controlled by the “Uni- supply chain products such as smartphones ma- ted Wa State Party” and the “United Wa State nufactured in China and then exported to Europe. Army” (UWSA). The UWSA represents the largest However, China reduced export levies on refined and best-equipped rebel group in Myanmar (The tin in 2017 making it economically more attracti- Irrawaddy, 2017). A ceasefire agreement with ve for EU-based companies to import refined tin the central government of Myanmar has been in from China. This development makes it more re- effect since 1989. The region was granted rela- levant for EU-based importers to reflect how they tive autonomy until the adoption of a new cons- should manage the associated supply chain risks titution. However, the UWSA has not accepted on the background of the EU regulation. Myanmar’s constitution of 2008. Given the de- facto independence of the region, the term “Wa state” is widely in use. TIN FROM MYANMAR – MINING AND TRADE While other regions of the Shan state feature limited road networks and trade, satellite images de- The Southeast Asian tin belt, which includes My- monstrate the continuing expansion of roads and anmar, has been the major source of global tin border posts between the “Wa state” and China. production over the past decades. In Myanmar, The connection to China serves as the most im- tin and tungsten have been mined at Mawchi portant factor for trade and economic develop- from colonial times onwards; tin has also been ment in the Shan state. The Chinese have also mined in the Tanintharyi region. Tin mineraliza- supported the substitution of local opium poppy tion in Myanmar is associated with both primary cultivation with rubber and tea plantations since as well as secondary (placer) deposits (Gardi- 2005 (Transnational Institute, 2012). ner et al., 2015). Over the past five years, My- anmar has become the third-largest tin miner in In 2005 rich tin deposits in the area of the “Wa sta- the world behind China and Indonesia. However, te” were discovered; a local tin mining boom has this development is not related to the above tra- been observed since 2010 (Asian Metal, 2016; ditional tin mining districts. Instead, it is due to tin Xia & Lin, 2018). The “Wa state’s” tin ore produc- production from new tin mines in the so-called tion is exclusively exported to China (Figure 4). “Wa state” within the Shan state (Figure 3). The metal grades of these tin concentrates currently vary from 17 – 30 %, depending on the tin deposit’s ore grades and the associated mineral 4 Commodity TopNews

processing techniques (Xia & Lin, 2018). A cen- to tin chlorides, all of which are classified as “me- tral warehouse for tin concentrates is located in tals” affected by the EU regulation. the “Wa state’s” capital, Panghsang (Bangkang), at the border to the Chinese province of Yunnan A number of market observers expect that tin mi- (Figure 3). Regional traders, often based out of ning in the “Wa state” has already reached its Menglian, facilitate the marketing of the tin con- peak and will probably decline in the coming ye- centrates in China. A significant proportion of the ars. This development is due to reduced ore gra- concentrates is probably smelted in the Chine- des of the currently mined deposits as well as se mining center of Gejiu. While Gejiu is located the reduction of local stockpiles of concentrates more than 700 km from Panghsang, with roads (Xia & Lin, 2018). Indeed, the reported Chine- passing through a mountainous region, the local se imports of tin ores and concentrates from My- infrastructure is increasingly well developed and anmar indicate a significant decline. Compared allows transport on mostly paved roads. to 2016, the reported import tonnages for 2018 show a reduction of 54 % (Figure 4). However, From the large number of tin smelters operating this reduction mainly refers to concentrate tonna- out of Gejiu, three companies – Yunnan Tin, Yun- ge whereas import values show only a moderate nan Chengfeng and Gejiu Zili – are among the decline. Over the same time period, the interna- largest tin smelters in the world; their products tional tin price increased by about 10 %. Therefo- are traded at the London Metal Exchange (cf. An- re, tin price developments alone cannot account nex, Table A2). Smaller smelters sell their pro- for the changes in unit value of Chinese tin con- ducts through local mineral trading companies centrate imports. Rather, the observed change in (Asian Metal, 2017). Yunnan Tin fabricates the unit values may further imply increasing tin gra- whole range of tin smelter products, from tin bars des of the imported concentrates. Geologically, it appears plausible that the easily accessible ore

Bhutan China „Wa state“ Yunnan India Lancang (Myanmar) (China) Bangla- Yunnan desh Menglian Myanmar Vietnam Shan state Panghsang Laos tin mining area Mongpauk concentrate warehouse 20 km paved roads 200 km Thailand

area of the „Wa state“ tin mining area refining center Cambodia tin smelter

Figure 3: Map illustrating the location of the so-called “Wa state”, the tin production regions of Myanmar and the main trade and transport route for tin refining in China. Commodity TopNews Commodity TopNews 5

500.000 1.000

400.000 800

300.000 600

200.000 400 Import value (million Import value (million US$)

100.000 200 Imports of tin ores and concentrates (tons) Imports

0 0 2010 2011 2012 2013 2014 2015 2016 2017 2018

Figure 4: Tonnage (in blue) and value (in red) of Chinese tin concentrate imports from Myanmar (with al- most all tin ore essentially mined in the “Wa state”; reference: GTIS, 2019).

deposits of the “Wa state” show increasing de- as the Responsible Minerals Initiative. Seven Ge- pletion of tin resources. However, the last years jiu-based tin smelters are currently certified by the have seen significant increases in the regional initiative, with two more smelters classified as au- availability of venture capital, mining expertise, dit candidates (RMI, 2019). From the perspective infrastructure development and processing faci- of an EU-based importer of tin smelter products, lities – these may incentivize further exploration the question whether the “Wa state” falls under and development of yet undiscovered tin depo- the definition of a conflict-affected and high-risk sits, possibly located at greater depth. Compared area is highly relevant. Should this be the case, it to the present-day tin mines, bringing these new implies higher requirements for chain of custody deposits into production may eventually be asso- tracking, supply chain risk management as well ciated with higher operating costs. as higher audit frequencies.

The EU Commission has published recommen- GENERAL RISK ASSESSMENT dations for non-binding guidelines that companies FOR “WA STATE” TIN may use in order to identify conflict-affected and high-risk areas (European Commission, 2018). Any possible import of refined tin or other tin pro- These guidelines refer to a combined range of ducts from the “Wa state” into the EU would like- indicator categories; checking of just a single in- ly follow the established supply chain structures dicator (such as conflict) does not necessarily im- through Chinese tin smelters. Assessing these ply the region’s classification as a conflict-affected smelters’ supply chain risk management systems and high-risk area. The latter requires the com- through independent auditing would then form bined presence of several indicators. Evaluating an important compliance check for downstream individual regions in this fashion is based on pu- stakeholders with regards to due diligence. This blicly available data sources. could be demonstrated, for example, by participation of these smelters in industry initiatives such 6 Commodity TopNews

Table 1: Illustration of a regional risk evaluation for Myanmar and the “Wa state” based on publicly accessible references according to EU recommendations *

Data extracted from references with regards to the Criterion “Wa state”/Myanmar

Conflikt National peace is rated as low/fragile. Eastern Myanmar is identified as a particularly conflict-prone region. UWSA participation in com- bat operations is documented, although not directly in tin-producing areas. Some references address independence movements in the Shan state, including that of the “Wa state”, as a combined problem.

Governance Myanmar populates the lowermost quartile of the Worldbank’s World- wide Governance Indicators. Fragility is rated as high, natural resource governance indicators score very low.

Human rights Not much information is available on the human rights situation in the “Wa state” as international attention tends to focus on other topics (jade; Rohingya crisis). The recommended UN references do not include relevant data in this regard.

Mineral resources and Country reports by the U.S. Geological Survey indicate the “Wa mining state’s” significance as a tin mining region.

* Corresponding to the matrix of table 4.2 in the EU recommendations (European Commission, 2018). The above table represents a summary; specific details are listed in the Annex, Table A3.

The following section illustrates a case study of classification of the “Wa state” as a conflict-affec- applying the recommended guidelines to the “Wa ted and high-risk area. Similarly, a study commis- state” in Myanmar (Table 1). In order to justify sioned by the International Tin Association did not classifying a region as a conflict-affected or high- reach a clear conclusion in this regard (keeping risk area, the EU regulation requires indications in mind that the latter study, published in 2015, for human rights violations combined with a weak pre-dates the EU regulation and the associated governance and security framework. Alternatively, recommendations; Sirven & Nénot, 2015). or in addition to the above, the occurrence of “red flags” indicates the presence of relevant supply However, in case downstream stakeholders in chain risks that should trigger enhanced due dili- the tin supply chain opt to consult additional re- gence measures by the affected companies. The ferences, they might derive more robust evalua- EU recommends 26 specific data references for tion results, which suggest that a classification of evaluating whether a region should be classified the “Wa state” as a conflict-affected and high-risk as a conflict-affected or high-risk area. At the time area may be plausible. In fact, consulting addi- of research for the present study, 21 of these re- tional references is in line with the EU recom- ferences included information on Myanmar. How- mendations, which explicitly note that a number ever, only three references contained significant of international, national and regional references information with regards to the “Wa state”. may provide relevant data for risk evaluations. For example, the UN Security Council’s working group on “children and armed conflict” rates the EVALUATION OF THE SPECIFIC UWSA activities as critical and notes the recruit- RISK PROFILE ment of child soldiers (UN, 2017). Combined with the “Wa state’s” autonomy movements, this ob- The illustrative evaluation above indicates that, servation as well as the presence of an armed based on the list of public data references recom- group (the UWSA) and the observed institutional mended by the EU, affected downstream com- weakness represent indicators that would justify panies may not be able to provide a definitive Commodity TopNews Commodity TopNews 7

classifying the “Wa state” as a conflict-affected tral and east Africa, institutionalized systems have and high-risk area. been operationalized in recent years. These systems may support companies in setting up the ap- Considering these findings, EU-based companies propriate management procedures on the ground. importing tin from the region would need to en- However, other global regions, such as Myanmar, sure detailed chain of custody tracking of their lack practical experience in this regard. Establi- supply chains up to the level of individual mine shing local support mechanisms in these regions sites in the “Wa state”. This also includes verify- would be a long-term process based on consulta- ing all payments made in connection to mineral tions among producers, buyers, civil society and trade. Furthermore, it would necessitate indepen- the government, and further considering the local dent auditing of risk management practice along implementation capacities. these supply chains, either through an industry initiative or as a stand-alone exercise. The re- Many Chinese smelters are already required to sponsibility for implementing these procedures, demonstrate chain of custody tracking and compli- and documenting their implementation, mainly ance with supply chain due diligence procedures, rests with the involved tin smelters. In case a gi- not only based on requirements by international ven tin smelter processes tin ore originating from industry initiatives but also via the Chinese due both China and the “Wa state”, this may be con- diligence guidelines (CCCMC, 2015). The EU re- sidered as an OECD red flag indicator necessi- gulation on due diligence further underlines the tating a more detailed evaluation of due diligence importance of this process. Given these deve- practice. lopments, it is of growing importance to facilitate a global alignment of effective risk management in upstream mineral supply chain as a base for CONCLUSIONS smelter certification.

When developing the regulation on due diligence in the supply chains of tin and other raw materi- REFERENCES als, the EU deliberately decided to define a global scope of application, rather than focusing on Asian Metal (2016): Black horse in global tin in- mines in a limited geographic area. While this dustry: Grim prospects for Burma tin ore develop- approach should avoid putting individual regions ment, http://wap.asianmetal.com/interview/2016/ such as central Africa at a competitive disadvan- interview_yuanmuEn.shtml tage, it provides new implementation challenges. Asian Metal (2017): Asian Metal visits Gejiu Ji- On the one hand, this refers to identifying conflict- nye, Yunnan Yunfan, Gejiu Kaimeng, Gejiu Zili affected and high-risk areas. Even though the EU and Qiandao Metal, http://www.asianmetal.com/ Commission plans the publication of an indicative cag/2017/visit2017120601en.shtml list of such areas, the final responsibility for evaluating the mineral sourcing framework of its sup- CCCMC (2015): China Chamber of Commerce of ply chains remains with the respective company. Metals, Minerals & Chemicals Importers and Ex- The Myanmar case study presented above shows porters – Chinese Due Diligence Guidelines for that a clear regional classification might be chal- Responsible Mineral Supply Chains. lenging. As such, different companies using va- riable research procedures and references may EU (2017): Regulation (EU) 2017/821 of the Eu- arrive at different conclusions in the end. ropean Parliament and of the Council of 17 May 2017 laying down supply chain due diligence On the other hand, this refers to the practice of obligations for Union importers of tin, tantalum, risk management in upstream supply chains ori- tungsten, their ores, and gold originating from ginating in conflict and high-risk areas. In cen- 8 Commodity TopNews

conflict-affected and high-risk areas. Official Jour- UN (2017): Children and armed conflict. Re- nal of the European Union (130), 19.5.2017. port of the Secretary-General, 24.8.2017, United Nations Security Council Document A/72/361– European Commission (2018): Commission S/2017/821, http://undocs.org/S/2017/821 Recommendation (EU) 2018/1149 of 10 August 2018 on non-binding guidelines for the identifica- Xia, D. & Lin, C. (2018): Myanmar tin supply pro- tion of conflict-affected and high-risk areas and spects – shortages may be coming. Presentati- other supply chain risks under Regulation (EU) on at the Asia Tin Week, Shenzhen, 17.9.2018 2017/821 of the European Parliament and of the Council. Official Journal of the European Union L 208/94, 17.8.2018. EDITORIAL Gardiner, N. J., Sykes, J. P., Trench, A., Robb, L. J. (2015): Tin mining in Myanmar: production Publisher: and potential. Resources Policy 46, 219-233. © Bundesanstalt für Geowissenschaften und http://dx.doi.org/10.1016/j.resourpol.2015.10.002 Rohstoffe, Hannover, October 2019

GTIS – Global Trade Information Services Inc. B1.2 Geologie der mineralischen Rohstoffe (2019): Global Trade Atlas. – kostenpflichtige- Bundesanstalt für Geowissenschaften und Online-Datenbank. – https://www.gtis.com/gta/ Rohstoffe (BGR) https://www.gtis.com/gta/ [Stand: 06/2019]) Stilleweg 2 30655 Hannover OECD (2016): OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from E-mail: [email protected] Conflict-Affected and High-Risk Areas, Third www.bgr.bund.de Edition. OECD Publishing, Paris. https://doi. org/10.1787/9789264252479-en

RMI (2019): Responsible Minerals Initiative – Responsible Minerals Assurance Process, list of “active” and “conformant” smelters and refiners. http://www.responsiblemineralsinitiative.org/ Last accessed on 15.5.2019

Sirven, Q & Nénot, B. (2015): High-level assessment on OECD Annex II risks in Wa territory in Myanmar. Forschungsbericht im Auftrag von ITRI Ltd. https://www.internationaltin.org/wp-content/uploads/2018/02/High-level-assessment-on- OECD-Annex-II-risks-in-Wa-territory.pdf

The Irrawaddy (2017): Who are the Wa? Article by Bertil Lintner, 26.5.2017. https://www.irrawaddy.com/from-the-archive/who-are-the-wa.html

Transnational Institute (2012): Financing Dis- possession: China’s Opium Substitution Program- me in Northern Burma. Commodity TopNews Commodity TopNews 9

ANNEX no risks risk evaluation (OECD step 2) (OECD step Red flags apply flags Red the supply chain supply the Identify and evaluate supply chain supply evaluate and Identify Evaluate the presence of red flags in flags red of presence the Evaluate Conclude supply chain due diligence diligence due chain supply Conclude ja no no The EU list of conflict-affected and high-risk areas is of indicative character only character indicative is of areas high-risk and conflict-affected list of EU The 1 uncertain Supply chain Supply high-risk area high-risk associated with associated and high-risk area and mineral/metal origin origin mineral/metal of a conflict-affected conflict-affected a of conflict-affected and conflict-affected Region fits definition fits definition Region produced and traded? and produced along whole supply chain supply whole along Evaluate situation in region of in region situation Evaluate (public sources of information) of sources (public Where were the minerals/metals the minerals/metals were Where Conduct due diligence risk assessment risk assessment diligence due Conduct yes yes no 1 yes (OECD step 3) (OECD step respond to risks respond of conflict-affected conflict-affected of Included on EU list EU on Included and high-risk areas and along whole supply chain supply whole along Risk mitigation (OECD Annex III) (OECD Annex Risk mitigation Management system: identify the identify system: Management Design and implement a strategy to strategy a implement and Design sourcing region of the minerals/metals the of region sourcing Conduct due diligence risk assessment risk assessment diligence due Conduct Figure A1: Illustrative flowchart for companies evaluating regional risk profiles with regards to minerals/metals in their supply chains and covered by the EU regulation on Figure supply chain due diligence. 10 Commodity TopNews

Table A1: Volume thresholds for minerals and metals containing tin covered by the EU regulation (import data from GTIS 2019).

Description CN code Volume EU-28 total German (combined threshold imports in 2018 imports in 2018 nomenclature) (tons) (tons) (tons)

Tin ores and 2609 5 304 0 concentrates Tin oxides and ex 2825 9085 To be defined n/a n/a hydroxides until 1.4. / 1.7.2020 Tin chlorides 2827 3910 10 413 (2017) 430 Tin, unwrought 8001 100 46.996 22.157 Tin bars, rods, pro- 8003 1,4 891 362 files and wires Tin, other articles 8007 2,1 4.073 954

Table A2: List of selected tin smelters based out of Gejiu, Yunnan, associated LME trade labels for tin bars, and compliance status within the Responsible Minerals Initiative (RMI, as of: December 2018)*

Tin smelter LME tin trade label RMI status

Gejiu Fengming Metallurgy – Responsible Minerals Chemical Plant Assurance Process (RMAP) conformant Gejiu Jinye Mineral Company YINSHENG RMAP conformant Gejiu Kai Meng Industry and – RMAP conformant Trade LLC Gejiu Non-Ferrous Metal Pro- – RMAP conformant cessing Co., Ltd. Gejiu Yunxin Nonferrous Elec- – RMAP conformant trolysis Co., Ltd. Gejiu Zili Mining and Metallurgy YS RMAP active participant Co. Yunnan Chengfeng Non-fer- YUNHENG RMAP conformant rous Metals Co., Ltd. Yunnan Tin Company Limited YT RMAP conformant Yunnan Yunfan Nonferrous – RMAP active participant Metals Co., Ltd.

* Data according to the websites of LME (https://www.lme.com/en-GB/Trading/Brands/Approved-brands) and RMI (http://www.responsiblemineralsinitiative.org/tin-conformant-smelters/) Commodity TopNews Commodity TopNews 11

Table A3: List of public references recommended by the European Commission (EU 2018/1149) and illustrative data analysis with regards to the “Wa state” / Myanmar.

Illustrative analysis with regards to Public reference the “Wa state” (Myanmar) category Cover-age Assessment Assessment

Analytical sources Heidelberg conflict barometer The 2017 report categorizes eastern http://www.hiik.de Myanmar including Shan state and the “Wa state” as in a state of “violent crisis”. The on-going conflict (since 1988) over regional autonomy between the UWSA, NDAA and the government is described as currently “de-escalated to a dispute” Geneva Academy Rule of Law in Armed Myanmar is not included in the list of Conflicts monitored countries http://rulac.org

Assessment Capacities Project – Myanmar is in a "situation of concern", Global Emergency Overview focus on Rohingya crisis https://www.acaps.org/countries/

Maps or tables Uppsala conflict data program – Georef- The ICDP presents a world map with erenced event dataset georeferenced fatality reports. No fatali- http://www.ucdp.uu.se/ged/ ties by the UWSA forces have been registered since 2005. However, the UWSA is described as having been involved in the intra-state and non-state categories of UCDP organized violence, including

GLOBAL clashes with government forces. CONFLICT CrisisWatch Focus on the Rohingya crisis. Shan http://www.crisisgroup.org state armed groups are mentioned in the October 2018 report: “Government and representatives of ten non-state armed groups met in summit in Naypyidaw 15 – 16 Oct, third anniversary of signing of Nationwide Ceasefire Agreement; no real progress in overcoming main issues deadlocking peace process, including military demands that armed groups accept principle of non-secession before further dialogue on federalism and security sector reform. Conflict in Kachin and Northern Shan states still eased due to monsoon season and summit, although clashes starting to increase in Northern Shan.” Global Peace Index Myanmar ranked 122/163, "low state of http://www.visionofhumanity.org peace" Major Episodes of Political Violence In 2016, the Myanmar nationwide situ- http://systemicpeace.org ation was categorized as “ethnic war, serious warfare, Magnitude 4: High level of state fragility and warfare“ 12 Commodity TopNews

continuation table A3

Illustrative analysis with regards to Public reference the “Wa state” (Myanmar) category Cover-age Assessment Assessment

Armed Conflict Location and Event Data Only few registered events for the http://www.acleddata.com “Wa state” International Peace Information Service IPIS’ work is focused on Africa – Conflict mapping http://ipisresearch.be International Tin Association ITA (the successor of ITRI) commis- https://www.internationaltin.org sioned a research report in 2015 (cf. reference list). Myanmar is identified as a relevant region for tin mining. The iTSCi program (http://www.itsci.org; coordinated by ITA), which facilitates risk and incident reporting, currently focuses CONFLICT REGIONAL on central Africa and does not include Myanmar. Specific supply chain data from the program is not public but only accessible to program members. Environmental Justice Atlas – While the EJA has a global coverage, Mining conflicts in Latin America the mining conflict-specific sub-site rec- http://ejatlas.org/featured/mining-latam ommended by the EU focuses on Latin America. The general EJA website men- tions conflicts over coal mining in Myan- mar’s Shan state. Worldwide Governance Indicators Myanmar in the global 10-25th percentile http://info.worldbank.org/governance/wgi range. Overall positive trends for Myan- mar in terms of voice and accountability, government effectiveness, regulatory quality, rule of law and control of corruption rankings. Deteriorating rankings for political stability and absence of violence/ terrorism in the 2017 report Fragile States Index Myanmar ranked as 22nd (of 178) most http://fundforpeace.org/fsi/ fragile state in 2018 GLOBAL Corruption Perception Index Myanmar ranks 130 out of 180 countries GOVERNANCE http://www.transparency.org/research/cpi/ overview National Resource Governance Institute Myanmar ranked 83/89 in the Resource https://resourcegovernance.org Governance Index; note that NRGI reporting focuses on oil, gas, and gem- stone revenues (not tin). United Nations Security Council No relevant resolutions on Myanmar resolutions http://www.un.org/en/sc/docu- ments/resolutions

United Nations Human Rights Council “Wa state” is mentioned in the annual

WELTWEIT https://www.ohchr.org/EN/HRBodies/ report 2018, but without providing HRC/ Pages/AboutCouncil.aspx specific information HUMAN RIGHTS HUMAN Commodity TopNews Commodity TopNews 13

continuation table A3

Illustrative analysis with regards to Public reference the “Wa state” (Myanmar) category Cover-age Assessment Assessment

Office of the United Nations High Com- Same as previous missioner for Human Rights http://www.ohchr.org/EN/pages/home. aspx United Nations Development Program – Myanmar ranks 148 on the Human International Human Development Indi- Development Index cators – Country profiles http://hdr.undp. org/en/countries Amnesty International No specific mentioning of “Wa state” in https://www.amnesty.org/en/countries the Myanmar country profile Global Witness Public reporting focuses on jade and the GLOBAL https://globalwitness.org/en-gb/ associated problems of Myanmar’s mining sector. HUMAN RIGHTS HUMAN Human Rights Watch Focus on illegal land grabbing and the https://www.hrw.org/ Rohingya crisis Mines and Communities Myanmar is mentioned in several arti- http://www.minesandcommunities.org cles. One of them (http://www.minesandcommunities.org/article.php?a=13423) references the question of tin from Myan- mar in the context of the EU regulation. British Geological Survey World Mineral Production, 2012-2016 https://www.bgs.ac.uk/mineralsuk/statis- edition: tics/ worldStatistics.html Myanmar is listed as a source of tin. No specific mentioning of the “Wa state”. U.S. Geological Survey The USGS Minerals Yearbook on Burma http://minerals.usgs.gov/minerals/pubs/ for 2015 references the Man Maw tin country/ mine in the “Wa state”. The 2018 tin mineral commodity summary provides general production and mineral resource estimates. GLOBAL The 2015 USGS Minerals Yearbook on tin references the link of Burma (Myan- mar) as a supplier of tin ores and concentrates for China.

MINERAL RESOURCES AND MINING AND RESOURCES MINERAL EU Raw Materials Information System No country profile for Myanmar available http://rmis.jrc.ec.europa.eu/ at the time of research; no information on Myanmar or the “Wa state”.