EXHIBIT 1.01
CONFLICT MINERALS REPORT OF
METTLER-TOLEDO INTERNATIONAL INC.
FOR THE PERIOD JANUARY 1 TO DECEMBER 31, 2015
Background
We are a leading global supplier of precision instruments and services. We have strong leadership positions in our businesses and believe we hold global number-one market positions in a majority of them. Specifically, we are the largest provider of weighing instruments for use in laboratory, industrial, and food retailing applications. We are also a leading provider of analytical instruments for use in life science, reaction engineering and real-time analytic systems used in drug and chemical compound development, and process analytics instruments used for in-line measurement in production processes. In addition, we are the largest supplier of end-of-line inspection systems used in production and packaging for food, pharmaceutical, and other industries.
We are committed to conducting our business ethically, legally, and in a socially and environmentally responsible manner. As part of this commitment we seek to understand the origin of the materials that go into our products and the social and environmental impacts their sourcing has. Accordingly, we take seriously the requirements of Rule 13p-1under the Securities Exchange Act. To ensure we meet these requirements we adopted a formal, company-wide conflict minerals policy, which we communicate to and enforce with our suppliers. This policy describes our commitment to compliance with conflict minerals requirements, supplier due diligence, and ongoing supply chain evaluation. It is publicly available as part of our Ethical, Social and Quality Standards at www.mt.com/businesspartner. We also actively engage our suppliers in an effort to determine the source of certain defined minerals, collectively referenced in this report as “3TG,”1 in our products and if armed groups benefited from their production. The relevant product categories2 for our analysis were laboratory balances, pipettes, analytical instruments, automated chemistry solutions, process analytics, industrial weighing instruments, industrial terminals, transportation and logistics, vehicle scale systems, product inspection, and retail weighing solutions.
This report describes our engagement and its results, and was filed as Exhibit 1.01 to our Form SD for the reporting period for January 1 to December 31, 2015.
3TG Disclosure
After our reasonable country of origin inquiry (as described below), we concluded in good faith that for the period January 1 to December 31, 2015, 3TG were necessary to the functionality or production of products we manufactured and contracted to manufacture (“our products”).
Description of Inquiry/Analysis
We describe below the actions we took with respect to the 3TG that are necessary to the production or functionality of the products we manufactured or contracted to manufacture for sale in 2015.
Reasonable country of origin inquiry: We performed a reasonable country of origin inquiry on the materials in our products. We designed the country of origin inquiry to determine whether any of the 3TG necessary to the production or functionality of our products originated in the Conflict Region or are from recycled or scrap sources.3 Our inquiry included our suppliers of materials containing 3TG or posing a high risk of containing 3TG. We contacted 76% of our electronic components suppliers in scope4, which represent more than 85% of our 3TG risk categorized materials. We asked suppliers to define if they are using 3TG in their products, and if so, to identify the origin, mines, and smelters of the 3TG they provide. If the scope of our current inquiry were expanded to 100% of our necessary materials we expect the results would be similar to those detailed in this report.
We engaged with IHS Global Inc. to survey our suppliers. IHS is a global database that maintains information on the electronics industry. Through IHS our suppliers delivered a Conflict Minerals Reporting Template (CMRT)5. We reviewed the results of our supplier survey for reasonableness and red flags:
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| • | 431 suppliers provided completed surveys. |
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| • | With respect to 87% of the responses, the 3TG provided either, (i) did not originate in the Conflict Region, (ii) we have no reason to believe they may have originated in the Conflict Region, (iii) came from recycled or scrap sources, or (iv) we reasonably believe they came from recycled or scrap sources. |
Due diligence: Under the direction of a steering committee comprised of our Chief Financial Officer, General Counsel, and Head of Global Supply Chain Management, our Procurement Compliance Expert together with IHS
performed due diligence on the source and chain of custody of approximately 13% of the materials subjected to the country of origin inquiry. We subjected a material to due diligence if after the country of origin inquiry we could not determine that its 3TG either, (i) originated outside the Conflict Region, (ii) we have no reason to believe they may have originated in the Conflict Region, (iii) came from recycled or scrap sources, or (iv) we reasonably believe they came from recycled or scrap sources.
Our due diligence conformed to the Organisation for Economic Cooperation and Development’s "Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas," which specifies establishing strong company management systems, identifying and assessing risks in the supply chain, designing and implementing a strategy to respond to identified risks, carrying out independent third-party audits of due diligence practices, and reporting annually on supply chain due diligence. Our due diligence approach is comprehensive, beginning at the commencement of our relationship, continuing throughout the relationship with active engagement, and concluding each cycle with an analysis of the information gathered:
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| | | | |
| Relationship Commencement | | Supplier Engagement | | Analysis |
● Supplier engagement due diligence. We perform due diligence at the commencement of our relationship with each supplier. This due diligence is leveraged with respect to 3TG suppliers. | | ● Supplier surveys. We request additional country of origin and internal policy information from our suppliers using most recently updated version of the CMRT published by CFSI. | | ● Industry cooperation. When available, we leverage resources available through industry cooperation. These efforts include checking suppliers, intermediaries, mines, and refineries against industry watch and conflict free lists. We also subscribe to, and participate in, the IHS collaborative database. |
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● Policy communication and contracting. We have adopted a conflict minerals policy that we communicate to suppliers, and the public, at www.mt.com/businesspartner. We also seek to include a provision requiring due diligence support in all our supplier agreements. Where necessary, we will enforce our policies and agreements against suppliers.
| | ● Work done upstream. As a company positioned downstream in the supply chain we request copies of, and must rely on, the due diligence performed by our suppliers, who are positioned further up the supply chain.
| | ● Red flags. We follow-up on and address flags discovered during our process.
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Identification and Mitigation of Risks
Because we are positioned downstream, our principal risk is having suppliers with non-existent or inadequate due diligence to assure a responsible supply chain of minerals from conflict-affected and high-risk areas. Our due diligence sought to identify risks upstream by assessing the due diligence practices of those parties upstream. Our due diligence yielded no determinable risks or red flags that would require a mitigation plan. In the coming period we plan to further evaluate what steps may be taken to mitigate the risk that our 3TG benefit armed groups, including any steps to improve our due diligence. To mitigate the risk that the necessary conflict minerals benefit armed groups in the Conflict Region, we have reiterated our conflict minerals policy to our suppliers. We also have grievance mechanisms in place internally, and publically, to act as an early-warning risk-awareness system.
Independent Private Sector Audit
As permitted by applicable rules, we are not submitting an independent private sector auditor’s report with respect to this report.
Mine or Location of Origin
Our efforts to determine the mine or location of origin of our 3TG with the greatest possible specificity included the due diligence measures and the reasonable country of origin inquiry described above. In making our determination we relied on information our direct suppliers provided and information available on the IHS data cooperative. At times, we were unable to identify the mine or location of origin of our 3TG because our suppliers could not give us sufficient information to make the necessary determinations and contact details were not available to establish communication further down the supply chain.
The following table lists the recognized facilities which, to the extent known, may have processed our 3TG.
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| | |
| Metal | Smelter or Refiner Facility Name* | Location of Facility* |
| Gold | Advanced Chemical Company | United States |
| Gold | Aida Chemical Industries Co., Ltd.** | Japan |
| Gold | Al Etihad Gold Refinery DMCC | United Arab Emirates |
| Gold | Allgemeine Gold-und Silberscheideanstalt A.G.** | Germany |
| Gold | Almalyk Mining and Metallurgical Complex (AMMC) | Uzbekistan |
| Gold | AngloGold Ashanti Córrego do Sítio Mineração** | Brazil |
| Gold | Argor-Heraeus S.A.** | Switzerland |
| Gold | Asahi Pretec Corp.** | Japan |
| Gold | Asahi Refining Canada Ltd.** | Canada |
| Gold | Asahi Refining USA Inc.** | United States |
| Gold | Asaka Riken Co., Ltd.** | Japan |
| Gold | Atasay Kuyumculuk Sanayi Ve Ticaret A.S.** | Turkey |
| Gold | Aurubis AG** | Germany |
| Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines)** | Philippines |
| Gold | Boliden AB** | Sweden |
| Gold | C. Hafner GmbH + Co. KG** | Germany |
| Gold | Caridad | Mexico |
| Gold | CCR Refinery - Glencore Canada Corporation** | Canada |
| Gold | Cendres + Métaux S.A. | Switzerland |
| Gold | Chimet S.p.A.** | Italy |
| Gold | Chugai Mining | Japan |
| Gold | Daejin Indus Co., Ltd. | Korea, Republic Of |
| Gold | Daye Non-Ferrous Metals Mining Ltd. | China |
| Gold | DODUCO GmbH** | Germany |
| Gold | Dowa** | Japan |
| Gold | DSC (Do Sung Corporation) | Korea, Republic Of |
| Gold | Eco-System Recycling Co., Ltd.** | Japan |
| Gold | Elemetal Refining, LLC** | United States |
| Gold | Emirates Gold DMCC** | United Arab Emirates |
| Gold | Faggi Enrico S.p.A. | Italy |
| Gold | Fidelity Printers and Refiners Ltd. | Zimbabwe |
| Gold | Gansu Seemine Material Hi-Tech Co., Ltd. | China |
| Gold | Geib Refining Corporation | United States |
| Gold | Great Wall Precious Metals Co., Ltd. of CBPM | China |
| Gold | Guangdong Jinding Gold Limited | China |
| Gold | Guoda Safina High-Tech Environmental Refinery Co., Ltd. | China |
| Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. | China |
| Gold | Heimerle + Meule GmbH** | Germany |
| Gold | Heraeus Ltd. Hong Kong** | China |
| Gold | Heraeus Precious Metals GmbH & Co. KG** | Germany |
| Gold | Hunan Chenzhou Mining Co., Ltd. | China |
| Gold | Hwasung CJ Co., Ltd. | Korea, Republic Of |
| Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | China |
| Gold | Ishifuku Metal Industry Co., Ltd.** | Japan |
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| | |
| Gold | Istanbul Gold Refinery** | Turkey |
| Gold | Japan Mint** | Japan |
| Gold | Jiangxi Copper Co., Ltd.** | China |
| Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant** | Russian Federation |
| Gold | JSC Uralelectromed** | Russian Federation |
| Gold | JX Nippon Mining & Metals Co., Ltd.** | Japan |
| Gold | Kaloti Precious Metals | United Arab Emirates |
| Gold | Kazakhmys Smelting LLC | Kazakhstan |
| Gold | Kazzinc** | Kazakhstan |
| Gold | Kennecott Utah Copper LLC** | United States |
| Gold | KGHM Polska MiedŸ Spó³ka Akcyjna | Poland |
| Gold | Kojima Chemicals Co., Ltd.** | Japan |
| Gold | Korea Metal Co., Ltd. | Korea, Republic Of |
| Gold | Kyrgyzaltyn JSC | Kyrgyzstan |
| Gold | L'azurde Company For Jewelry | Saudi Arabia |
| Gold | Lingbao Gold Co., Ltd. | China |
| Gold | Lingbao Jinyuan Tonghui Refinery Co., Ltd. | China |
| Gold | LS-NIKKO Copper Inc.** | Korea, Republic Of |
| Gold | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | China |
| Gold | Materion** | United States |
| Gold | Matsuda Sangyo Co., Ltd.** | Japan |
| Gold | Metalor Technologies (Hong Kong) Ltd.** | China |
| Gold | Metalor Technologies (Singapore) Pte., Ltd.** | Singapore |
| Gold | Metalor Technologies (Suzhou) Ltd. | China |
| Gold | Metalor Technologies S.A.** | Switzerland |
| Gold | Metalor USA Refining Corporation** | United States |
| Gold | Metalúrgica Met-Mex Peñoles S.A. De C.V.** | Mexico |
| Gold | Mitsubishi Materials Corporation** | Japan |
| Gold | Mitsui Mining and Smelting Co., Ltd.** | Japan |
| Gold | MMTC-PAMP India Pvt., Ltd.** | India |
| Gold | Morris and Watson | New Zealand |
| Gold | Moscow Special Alloys Processing Plant** | Russian Federation |
| Gold | Nadir Metal Rafineri San. Ve Tic. A.ª.** | Turkey |
| Gold | Navoi Mining and Metallurgical Combinat | Uzbekistan |
| Gold | Nihon Material Co., Ltd.** | Japan |
| Gold | Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH** | Austria |
| Gold | Ohura Precious Metal Industry Co., Ltd.** | Japan |
| Gold | OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)** | Russian Federation |
| Gold | OJSC Novosibirsk Refinery** | Russian Federation |
| Gold | PAMP S.A.** | Switzerland |
| Gold | Penglai Penggang Gold Industry Co., Ltd. | China |
| Gold | Prioksky Plant of Non-Ferrous Metals** | Russian Federation |
| Gold | PT Aneka Tambang (Persero) Tbk** | Indonesia |
| Gold | PX Précinox S.A.** | Switzerland |
| Gold | Rand Refinery (Pty) Ltd.** | South Africa |
| Gold | Republic Metals Corporation** | United States |
| Gold | Royal Canadian Mint** | Canada |
| Gold | Sabin Metal Corp. | United States |
| Gold | Samduck Precious Metals | Korea, Republic Of |
| Gold | SAMWON Metals Corp. | Korea, Republic Of |
| Gold | SAXONIA Edelmetalle GmbH | Germany |
| Gold | Schone Edelmetaal B.V.** | Netherlands |
| Gold | SEMPSA Joyería Platería S.A.** | Spain |
| Gold | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | China |
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| | |
| Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd.** | China |
| Gold | Sichuan Tianze Precious Metals Co., Ltd.** | China |
| Gold | Singway Technology Co., Ltd.** | Taiwan |
| Gold | So Accurate Group, Inc. | United States |
| Gold | SOE Shyolkovsky Factory of Secondary Precious Metals** | Russian Federation |
| Gold | Solar Applied Materials Technology Corp.** | Taiwan |
| Gold | Sudan Gold Refinery | Sudan |
| Gold | Sumitomo Metal Mining Co., Ltd.** | Japan |
| Gold | T.C.A S.p.A** | Italy |
| Gold | Tanaka Kikinzoku Kogyo K.K.** | Japan |
| Gold | The Refinery of Shandong Gold Mining Co., Ltd.** | China |
| Gold | Tokuriki Honten Co., Ltd.** | Japan |
| Gold | Tongling Nonferrous Metals Group Co., Ltd. | China |
| Gold | Torecom | Korea, Republic Of |
| Gold | Umicore Brasil Ltda.** | Brazil |
| Gold | Umicore Precious Metals Thailand** | Thailand |
| Gold | Umicore S.A. Business Unit Precious Metals Refining** | Belgium |
| Gold | United Precious Metal Refining, Inc.** | United States |
| Gold | Valcambi S.A.** | Switzerland |
| Gold | Western Australian Mint trading as The Perth Mint** | Australia |
| Gold | WIELAND Edelmetalle GmbH | Germany |
| Gold | Yamamoto Precious Metal Co., Ltd.** | Japan |
| Gold | Yokohama Metal Co., Ltd.** | Japan |
| Gold | Yunnan Copper Industry Co., Ltd. | China |
| Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation** | China |
| Gold | Zijin Mining Group Co., Ltd. Gold Refinery** | China |
| Tantalum | Changsha South Tantalum Niobium Co., Ltd.** | China |
| Tantalum | Conghua Tantalum and Niobium Smeltry** | China |
| Tantalum | D Block Metals, LLC** | United States |
| Tantalum | Duoluoshan** | China |
| Tantalum | E.S.R. Electronics | United States |
| Tantalum | Exotech Inc.** | United States |
| Tantalum | F&X Electro-Materials Ltd.** | China |
| Tantalum | FIR Metals & Resource Ltd.** | China |
| Tantalum | Global Advanced Metals Aizu** | Japan |
| Tantalum | Global Advanced Metals Boyertown** | United States |
| Tantalum | Guangdong Zhiyuan New Material Co., Ltd.** | China |
| Tantalum | H.C. Starck Co., Ltd.** | Thailand |
| Tantalum | H.C. Starck GmbH Goslar** | Germany |
| Tantalum | H.C. Starck GmbH Laufenburg** | Germany |
| Tantalum | H.C. Starck Hermsdorf GmbH** | Germany |
| Tantalum | H.C. Starck Inc.** | United States |
| Tantalum | H.C. Starck Ltd.** | Japan |
| Tantalum | H.C. Starck Smelting GmbH & Co. KG** | Germany |
| Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd.** | China |
| Tantalum | Hi-Temp Specialty Metals, Inc.** | United States |
| Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd.** | China |
| Tantalum | Jiangxi Tuohong New Raw Material** | China |
| Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd.** | China |
| Tantalum | Jiujiang Tanbre Co., Ltd.** | China |
| Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd.** | China |
| Tantalum | KEMET Blue Metals** | Mexico |
| Tantalum | KEMET Blue Powder** | United States |
| Tantalum | King-Tan Tantalum Industry Ltd.** | China |
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| | |
| Tantalum | LSM Brasil S.A.** | Brazil |
| Tantalum | Metallurgical Products India Pvt., Ltd.** | India |
| Tantalum | Mineração Taboca S.A.** | Brazil |
| Tantalum | Mitsui Mining & Smelting** | Japan |
| Tantalum | Molycorp Silmet A.S.** | Estonia |
| Tantalum | Ningxia Orient Tantalum Industry Co., Ltd.** | China |
| Tantalum | Plansee SE Liezen** | Austria |
| Tantalum | Plansee SE Reutte** | Austria |
| Tantalum | QuantumClean** | United States |
| Tantalum | Resind Indústria e Comércio Ltda.** | Brazil |
| Tantalum | RFH Tantalum Smeltry Co., Ltd.** | China |
| Tantalum | Solikamsk Magnesium Works OAO** | Russian Federation |
| Tantalum | Taki Chemicals** | Japan |
| Tantalum | Telex Metals** | United States |
| Tantalum | Tranzact, Inc.** | United States |
| Tantalum | Ulba Metallurgical Plant JSC** | Kazakhstan |
| Tantalum | XinXing HaoRong Electronic Material Co., Ltd.** | China |
| Tantalum | Yichun Jin Yang Rare Metal Co., Ltd.** | China |
| Tantalum | Zhuzhou Cemented Carbide** | China |
| Tin | Alpha** | United States |
| Tin | An Thai Minerals Co., Ltd. | Vietnam |
| Tin | An Vinh Joint Stock Mineral Processing Company | Vietnam |
| Tin | China Tin Group Co., Ltd.** | China |
| Tin | CNMC (Guangxi) PGMA Co., Ltd. | China |
| Tin | Cooperativa Metalurgica de Rondônia Ltda.** | Brazil |
| Tin | CV Ayi Jaya** | Indonesia |
| Tin | CV Dua Sekawan | Indonesia |
| Tin | CV Gita Pesona** | Indonesia |
| Tin | CV Serumpun Sebalai** | Indonesia |
| Tin | CV Tiga Sekawan | Indonesia |
| Tin | CV United Smelting** | Indonesia |
| Tin | CV Venus Inti Perkasa** | Indonesia |
| Tin | Dowa** | Japan |
| Tin | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | Vietnam |
| Tin | Elmet S.L.U.** | Spain |
| Tin | EM Vinto** | Bolivia |
| Tin | Estanho de Rondônia S.A. | Brazil |
| Tin | Feinhütte Halsbrücke GmbH | Germany |
| Tin | Fenix Metals** | Poland |
| Tin | Gejiu Fengming Metallurgy Chemical Plant | China |
| Tin | Gejiu Kai Meng Industry and Trade LLC | China |
| Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd.** | China |
| Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | China |
| Tin | Gejiu Zili Mining And Metallurgy Co., Ltd. | China |
| Tin | Guanyang Guida Nonferrous Metal Smelting Plant | China |
| Tin | HuiChang Hill Tin Industry Co., Ltd. | China |
| Tin | Huichang Jinshunda Tin Co., Ltd. | China |
| Tin | Jiangxi Ketai Advanced Material Co., Ltd.** | China |
| Tin | Linwu Xianggui Ore Smelting Co., Ltd. | China |
| Tin | Magnu's Minerais Metais e Ligas Ltda.** | Brazil |
| Tin | Malaysia Smelting Corporation (MSC)** | Malaysia |
| Tin | Melt Metais e Ligas S.A.** | Brazil |
| Tin | Metallic Resources, Inc.** | United States |
| Tin | Metallo-Chimique N.V.** | Belgium |
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| | |
| Tin | Mineração Taboca S.A.** | Brazil |
| Tin | Minsur** | Peru |
| Tin | Mitsubishi Materials Corporation** | Japan |
| Tin | Nankang Nanshan Tin Manufactory Co., Ltd. | China |
| Tin | Nghe Tinh Non-Ferrous Metals Joint Stock Company | Vietnam |
| Tin | O.M. Manufacturing (Thailand) Co., Ltd.** | Thailand |
| Tin | O.M. Manufacturing Philippines, Inc.** | Philippines |
| Tin | Operaciones Metalurgical S.A.** | Bolivia |
| Tin | Phoenix Metal Ltd. | Rwanda |
| Tin | PT Alam Lestari Kencana | Indonesia |
| Tin | PT Aries Kencana Sejahtera** | Indonesia |
| Tin | PT Artha Cipta Langgeng** | Indonesia |
| Tin | PT ATD Makmur Mandiri Jaya** | Indonesia |
| Tin | PT Babel Inti Perkasa** | Indonesia |
| Tin | PT Bangka Kudai Tin | Indonesia |
| Tin | PT Bangka Prima Tin** | Indonesia |
| Tin | PT Bangka Timah Utama Sejahtera | Indonesia |
| Tin | PT Bangka Tin Industry** | Indonesia |
| Tin | PT Belitung Industri Sejahtera** | Indonesia |
| Tin | PT BilliTin Makmur Lestari** | Indonesia |
| Tin | PT Bukit Timah** | Indonesia |
| Tin | PT Cipta Persada Mulia** | Indonesia |
| Tin | PT DS Jaya Abadi** | Indonesia |
| Tin | PT Eunindo Usaha Mandiri** | Indonesia |
| Tin | PT Fang Di MulTindo | Indonesia |
| Tin | PT Inti Stania Prima** | Indonesia |
| Tin | PT Justindo** | Indonesia |
| Tin | PT Karimun Mining | Indonesia |
| Tin | PT Kijang Jaya Mandiri | Indonesia |
| Tin | PT Mitra Stania Prima** | Indonesia |
| Tin | PT Panca Mega Persada** | Indonesia |
| Tin | PT Pelat Timah Nusantara Tbk | Indonesia |
| Tin | PT Prima Timah Utama** | Indonesia |
| Tin | PT Refined Bangka Tin** | Indonesia |
| Tin | PT Sariwiguna Binasentosa** | Indonesia |
| Tin | PT Seirama Tin Investment | Indonesia |
| Tin | PT Stanindo Inti Perkasa** | Indonesia |
| Tin | PT Sukses Inti Makmur** | Indonesia |
| Tin | PT Sumber Jaya Indah** | Indonesia |
| Tin | PT Timah (Persero) Tbk Kundur** | Indonesia |
| Tin | PT Timah (Persero) Tbk Mentok** | Indonesia |
| Tin | PT Tinindo Inter Nusa** | Indonesia |
| Tin | PT Tirus Putra Mandiri | Indonesia |
| Tin | PT Tommy Utama** | Indonesia |
| Tin | PT Wahana Perkit Jaya** | Indonesia |
| Tin | Resind Indústria e Comércio Ltda.** | Brazil |
| Tin | Rui Da Hung** | Taiwan |
| Tin | Soft Metais Ltda.** | Brazil |
| Tin | Thaisarco** | Thailand |
| Tin | Tuyen Quang Non-Ferrous Metals Joint Stock Company | Vietnam |
| Tin | VQB Mineral and Trading Group JSC** | Vietnam |
| Tin | White Solder Metalurgia e Mineração Ltda.** | Brazil |
| Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | China |
| Tin | Yunnan Tin Company Limited** | China |
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| Tungsten | A.L.M.T. TUNGSTEN Corp.** | Japan |
| Tungsten | ACL Metais Eireli | Brazil |
| Tungsten | Asia Tungsten Products Vietnam Ltd.** | Vietnam |
| Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd.** | China |
| Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd.** | China |
| Tungsten | Dayu Jincheng Tungsten Industry Co., Ltd.** | China |
| Tungsten | Dayu Weiliang Tungsten Co., Ltd.** | China |
| Tungsten | Fujian Jinxin Tungsten Co., Ltd.** | China |
| Tungsten | Ganxian Shirui New Material Co., Ltd. | China |
| Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd.** | China |
| Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd.** | China |
| Tungsten | Ganzhou Non-ferrous Metals Smelting Co., Ltd.** | China |
| Tungsten | Ganzhou Seadragon W & Mo Co., Ltd.** | China |
| Tungsten | Ganzhou Yatai Tungsten Co., Ltd.** | China |
| Tungsten | Global Tungsten & Powders Corp.** | United States |
| Tungsten | Guangdong Xianglu Tungsten Co., Ltd.** | China |
| Tungsten | H.C. Starck GmbH** | Germany |
| Tungsten | H.C. Starck Smelting GmbH & Co.KG** | Germany |
| Tungsten | Hunan Chenzhou Mining Co., Ltd.** | China |
| Tungsten | Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji | China |
| Tungsten | Hunan Chuangda Vanadium Tungsten Co., Ltd. Yanglin | China |
| Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd.** | China |
| Tungsten | Hydrometallurg, JSC** | Russian Federation |
| Tungsten | Japan New Metals Co., Ltd.** | Japan |
| Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd.** | China |
| Tungsten | Jiangxi Dayu Longxintai Tungsten Co., Ltd. | China |
| Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd.** | China |
| Tungsten | Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. | China |
| Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.** | China |
| Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd.** | China |
| Tungsten | Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.** | China |
| Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. | China |
| Tungsten | Kennametal Fallon | United States |
| Tungsten | Kennametal Huntsville** | United States |
| Tungsten | Malipo Haiyu Tungsten Co., Ltd.** | China |
| Tungsten | Niagara Refining LLC** | United States |
| Tungsten | Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC** | Vietnam |
| Tungsten | Pobedit, JSC** | Russian Federation |
| Tungsten | Sanher Tungsten Vietnam Co., Ltd. | Vietnam |
| Tungsten | South-East Nonferrous Metal Company Limited of Hengyang City | China |
| Tungsten | Tejing (Vietnam) Tungsten Co., Ltd.** | Vietnam |
| Tungsten | Vietnam Youngsun Tungsten Industry Co., Ltd.** | Vietnam |
| Tungsten | Wolfram Bergbau und Hütten AG** | Austria |
| Tungsten | Woltech Korea Co., Ltd. | Korea, Republic Of |
| Tungsten | Xiamen Tungsten Co., Ltd.** | China |
| Tungsten | Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. | China |
| Tungsten | Xinhai Rendan Shaoguan Tungsten Co., Ltd.** | China |
Countries of origin of the 3TG these facilities may process include: Australia, Belgium, Bolivia, Brazil, Canada, Chile, China, Germany, Hong Kong, Indonesia, Japan, Kazakhstan, Republic of Korea, Malaysia, Peru, Philippines, Poland, Russian Federation, South Africa, Switzerland, Taiwan, Thailand, United States, and Uzbekistan |
* Smelter and refiner facility names and locations as reported by CFSI as of April 29, 2016.
** Denotes smelters and refiners that have received a "conflict free" designation from an independent third party audit program as of April 29, 2016.
1As used in this report, “3TG” refers to, collectively, columbite-tantalite (coltan), cassiterite, gold, wolframite, or their derivatives, which are limited to tantalum, tin, and tungsten.
2Product categories include the products described under the same headings in Part I, Item 1 of our 10-K for the fiscal year ended December 31, 2015.
3As used in this report: “Conflict Region” at the time of our analysis means the Democratic Republic of the Congo, and the countries sharing an internationally recognized border with it, namely Angola, Burundi Central Africa Republic, The Republic of the Congo, Rwanda, South Sudan, Tanzania, Uganda and Zambia. 3TG from “recycled or scrap sources” means 3TG from recycled metals, which are reclaimed end-user or post-consumer products, or scrap processed metals created during product manufacturing. Recycled metal includes excess, obsolete, defective, and scrap metal materials that contain refined or processed metals that are appropriate to recycle in the production of tin, tantalum, tungsten and/or gold. Minerals partially processed, unprocessed, or a bi-product from another ore are not included in the definition of recycled metal.
4The scope of our inquiry was limited to operations on our global enterprise platform, or Blue Ocean. “Blue Ocean,” as described in Part I, Item 1 of our 10-K for the fiscal year ended December 31, 2015, is our program to establish a new global operating model with standardized, automated, and integrated processes, and high levels of global data transparency. Operations covered include units in China, Germany, Switzerland, the United Kingdom, and the United States, which account for most of our principal manufacturing operations. We will extend the inquiries and processes described in this report to additional operations as they come on to Blue Ocean. We have no reason to expect results would be materially different for operations not on Blue Ocean.
5The Conflict Minerals Reporting Template (CMRT) is offered by the Conflict-Free Sourcing Initiative (CFSI), an initiative of the Electronic Industry Citizenship Coalition and Global e-Sustainability.
