Exhibit 1.01
CONFLICT MINERALS REPORT OF ANALOG DEVICES, INC.
IN ACCORDANCE WITH RULE 13P-1 UNDER THE SECURITIES EXCHANGE ACT OF 1934
(UNAUDITED)
Section 1: Introduction
This is the Conflict Minerals Report of Analog Devices, Inc. (“Analog Devices”, “we”, “our”) for calendar year 2015 in accordance with Rule 13p-1 under the Securities Exchange Act of 1934 (“Rule 13p-1”). Numerous terms in this Report are defined in Rule 13p-1 and Form SD and the reader is referred to those sources and to 1934 Act Release No. 34-67716 (August 22, 2012) for such definitions and explanations thereof.
Gold, tantalum, tin or tungsten (collectively, “conflict minerals”) are necessary to the functionality or production of products manufactured or contracted to be manufactured by Analog Devices. Such products include Integrated Circuits, Assembled Products and Evaluation Boards, which (depending on the product) contain one or more conflict minerals (collectively, the “Products”). Based on the Reasonable Country of Origin Inquiry described below, Analog Devices either knows that necessary conflict minerals originated in the Democratic Republic of the Congo or an adjoining country (collectively, “Covered Countries”) and are not from recycled or scrap sources, or has reason to believe that necessary conflict minerals may have originated in the Covered Countries and has reason to believe that they may not be from recycled or scrap sources. Accordingly we undertook due diligence to determine whether the necessary conflict minerals in the Products did originate or may have originated in the Covered Countries.
Analog Devices is many steps removed from the mining of the conflict minerals; we do not purchase raw ore or unrefined conflict minerals, and we do no purchasing in the Covered Countries. We either purchase conflict minerals indirectly from a smelter or refiner for use in our manufacturing processes or purchase components from suppliers that incorporate conflict minerals. The mine or other point of origin of conflict minerals cannot be determined with any certainty once the raw ores are smelted, refined and converted to ingots, bullion or other conflict-mineral containing derivatives. Smelters and refiners are consolidating points for raw ore and are therefore in the best position in the total supply chain to know the origin of the ores. Our due diligence measures were based on multi-industry initiatives with the smelters and refiners of conflict minerals who provide those conflict minerals to Analog Devices’ suppliers.
Section 1.1: Company Overview
Analog Devices, Inc. is a world leader in the design, manufacture and marketing of a broad portfolio of solutions that leverage high-performance analog, mixed-signal and digital signal processing technology, including integrated circuits (ICs), algorithms, software, and subsystems. We were incorporated in Massachusetts in 1965. Our headquarters are near Boston, in Norwood, Massachusetts. In addition, we have manufacturing facilities in Massachusetts, Ireland, and the Philippines, and have more than thirty design facilities worldwide. Since our inception in 1965, we have focused on solving the engineering challenges associated with signal processing in virtually all types of electronic equipment. Our signal processing products play a fundamental role in converting, conditioning, and processing real-world phenomena such as temperature, pressure, sound, light, speed and motion into electrical signals to be used in a wide array of electronic devices. As new generations of applications, such as the Internet of Things, evolve, new needs
for high-performance analog signal processing and digital signal processing (DSP) technology are generated. We focus on sensing, measurement, and connectivity challenges that apply to a diverse set of customers and markets. We combine data converters, amplifiers and linear products, radio frequency (RF) ICs, power management products, sensors based on micro-electro mechanical systems (MEMS) technology and other sensors, and processing products, including DSP, micro controllers and other processors, into technology platforms that we adapt to specific customer and market needs, leveraging our engineering investment across a broad base of customers.
We focus on key strategic markets where our signal processing technology is often a critical differentiator in our customers’ products, in particular, the industrial, automotive, consumer and communications markets.
Section 1.2 Principal Products
We design, manufacture and market a broad line of high-performance ICs that incorporate analog, mixed-signal and digital signal processing technologies. Our ICs are designed to address a wide range of real-world signal processing applications. We sell our ICs to tens of thousands of customers worldwide, many of whom use products spanning our core technologies in a wide range of applications. Our IC product portfolio includes both general-purpose products used by a broad range of customers and applications, as well as application-specific products designed for specific clusters of customers in key target markets. By using readily available, high-performance, general-purpose products in their systems, our customers can reduce the time they need to bring new products to market. Given the high cost of developing more customized ICs, our standard products often provide a cost-effective solution for many low to medium volume applications. We also focus on working with leading customers to design application-specific solutions. We begin with our existing core technologies, which leverage our data conversion, amplification, RF and microwave, MEMS, power management and DSP capabilities, and devise a solution to more closely meet the needs of a specific customer or group of customers. Because we have already developed the core technology platform for our general-purpose products, we can create application-specific solutions quickly.
We produce and market a broad range of ICs and operate in one reportable segment based on the aggregation of six operating segments. The ICs sold by each of our operating segments are manufactured using similar semiconductor manufacturing processes and raw materials in either our own production facilities or by third-party wafer fabricators using proprietary processes. Our ICs are sold to customers globally through a direct sales force, third-party distributors, independent sales representatives and via our website. Our ten highest revenue products, in the aggregate, accounted for approximately 16% of our revenue for our fiscal year ended October 31, 2015 (fiscal 2015). In July 2014, we acquired Hittite Microwave Corporation (Hittite), a company that designed and developed high performance integrated circuits, modules, subsystems and instrumentation for radio frequency, microwave and millimeterwave applications. Hittite’s supply chain is included in this report.
Section 2: Conflict Minerals Policy
Analog Devices has adopted a Conflict Minerals Policy. The ADI Conflict Minerals Policy is publicly available on our website (http://www.analog.com/media/en/Other/About-ADI/Sustainability/Analog_Devices_Conflict_Minerals_Policy_Statement.pdf) and is a key component of our conflict minerals program framework systems. This policy:
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| • | reflects ADI’s commitment to ethical practices and compliance with applicable laws and regulations, |
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| • | includes ADI’s actions to collaborate with other concerned electronics companies, under the EICC-GeSI Conflict-Free Sourcing Initiative (CFSI), in developing methods to track the origin of conflict minerals used in the manufacture of electronic products, |
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| • | reflects ADI’s support of the Conflict-Free Smelter Program (CFSP) in assessing activities, processes, and systems used by the smelter or refiner (SOR) facility to conduct upstream supply chain due diligence of minerals for conflict-affected and high-risk areas, and |
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| • | is communicated to ADI’s supply chain with the expectation of compliance with the conflict minerals policy, and for the suppliers to provide sourcing information using the EICC-GeSI Conflict Minerals Reporting Template (EICC-GeSI CMRT) as a standard. |
Section 3: Conflict Minerals Team
An internal team is tasked to implement our Conflict Minerals Policy and oversee ADI’s conflict-free minerals program. The Director of Environmental, Health, & Safety (EH&S), who reports to the Senior Vice President of Global Operations and Technology, is the assigned team leader and is supported by representatives from different functional groups.
Section 4: Reasonable Country of Origin Inquiry (RCOI)
Analog Devices engaged with our relevant suppliers to identify the smelters and refiners in our supply chain. We define relevant suppliers as those who supply materials to the Company that are known to contain any or all of the conflict minerals and that end up in our final products. We utilized a web-based platform, provided by a third party, to reach out to our relevant suppliers to request conflict minerals sourcing information using the EICC-GeSI Conflict Minerals Reporting Template (CMRT). Information provided by our relevant suppliers is reviewed for completeness and reasonableness, based on ADI’s knowledge of the supplier. If necessary, assessment reports were created to outline additional actions needed from suppliers regarding their submission, including but not limited to follow-up and escalation.
Section 5: Due Diligence
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| A. | Design of Analog Devices’ due diligence framework |
Analog Devices designed our due diligence measures to conform, in all material respects, with the internationally recognized due diligence framework in the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas: Second Edition (OECD 2013) (“OECD Framework”), including related supplements for each of the conflict minerals.
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| B. | Description of Analog Devices’ due diligence measures performed with respect to products manufactured during 2015 |
Analog Devices’ due diligence measures performed with respect to products manufactured during 2015 included:
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| • | Comparing the smelters and refiners identified by relevant suppliers via the CMRT against the CFSI list of smelter and refinery facilities that have received a “conflict free” designation for |
conflict minerals by participating in an independent third party smelter audit. We also validated the smelters status using CFSI’s Active Smelters and Refiners List.
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| • | Gathering more information on smelters or refiners (SORs) that are not listed on the references mentioned above by working with the SOR directly, contacting the SOR indirectly through our suppliers, or conducting internet research. If the result of this data collection process indicates that the SOR is legitimately processing conflict minerals, we forward the SOR information to CFSI for further research. If, however, the result reveals that the SOR is not legitimate, we work with our supplier to conduct additional research on the SOR and to obtain information indicating that it is legitimate, otherwise, the supplier is asked to remove the alleged smelter from the supplier CMRT. |
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| • | Reaching out directly to SORs who are no longer certified as conflict-free by a recognized certification program to gather information regarding their plans of recertification, or lack thereof. If the SOR decided not to pursue recertification, we will ask our supplier to discontinue engagement with the smelter. |
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| • | Working with our suppliers to strongly encourage smelters in our supply chain to participate in the CFSP or a similar program and to cease sourcing from SOR who decline to participate in a CFSP or similar program. |
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| • | Pursuing non-responsive suppliers to obtain a CMRT. Suppliers who failed to provide survey information were escalated to our purchasing group and the supplier’s management group. We will take measures up to and including termination of our relationship with the supplier, if warranted. |
Section 6: Risk Management Plan
The OECD guidelines for managing risk are largely directed towards the upstream portion of the supply chain (SORs and mines of origin). Nevertheless, ADI as a downstream company in the supply chain, participates in the Conflict-Free Sourcing Initiative (CFSI) under the EICC-GeSI industry consortium to identify and review the due diligence process of the smelters or refiners in the electronics industry supply chain. CFSI assesses and audits whether the SORs adhere to the due diligence measures per the OECD Guidance; compliant SORs are then designated as “conflict free” and listed as such on the CFSI website.
Our Risk Mitigation process includes the following:
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| • | In the event that a supplier reports on the EICC-GeSI Conflict Minerals Reporting Template or it is discovered that the SOR has used conflict minerals sourced from mines that support armed conflict in the Covered Countries, then we work with the SOR to obtain its agreement to take steps to rectify the situation, including implementing corrective action to eliminate the use of non-DRC conflict free minerals in products supplied for ADI products, in an agreed upon timeframe. Should the SOR fail to mitigate the issue, ADI will discontinue engagement with the SOR. |
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| • | ADI will continue to work with our suppliers and with CFSI to encourage smelters who have not yet obtained the “conflict-free” designation to do so. |
Findings, including the number of SORs which are designated as conflict–free and suppliers which reported conflict-free status of all its SORs during the preceding quarter relative to the total number of SORs and suppliers in the ADI supply chain, the number of SORs whose sources of minerals are undeterminable, and any supplier reporting use of minerals sourced from conflict mines are reported to the Senior Vice President of Global Operations and Technology and staff members quarterly.
The responses from our suppliers listed 330 entities as smelters or refiners of conflict minerals in their supply chains. 212 of these entities were identified as conflict-free by our suppliers. Analog Devices compared the 212 identified entities to the CFSI list of smelters, and we confirmed that all conflict-free entities reported by our suppliers were in fact designated as conflict-free by the CFSP. The following is a summary of the smelters used by our suppliers broken out by mineral type:
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| | |
| Metal | Total Known Smelters Used | Conflict-Free Smelters |
| Gold | 141 | 79 |
| Tantalum | 47 | 46 |
| Tin | 98 | 57 |
| Tungsten | 44 | 30 |
| Total | 330 | 212 |
Section 7: Other Matters
Based on the information provided by our suppliers through December 31, 2015, we believe that the facilities that may have been used to process conflict minerals in our products include the refiners listed in Annex I below.
After exercising the due diligence described above, Analog Devices was unable to obtain sufficient information from our direct suppliers or other sources to conclude whether necessary conflict minerals originated in the Covered Countries and/or, if so, whether or not the conflict minerals directly or indirectly financed an armed group in the Covered Countries. However, based on information provided by our suppliers, as well as from the RCOI data from CFSI, Analog Devices believes the countries of origin of the conflict minerals contained in our products may include the countries listed in Annex II below.
Analog Devices will undertake the following steps during the next compliance period to continue to improve the due diligence conducted and to further mitigate the risk that our necessary conflict minerals benefit armed groups, including:
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| • | Continue to participate in industry initiatives, such as the CFSI. |
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| • | Continue to contact smelters identified as a result of the RCOI process and request their participation in obtaining a “conflict free” designation from an industry program such as the CFSP program or equivalent, if they have not already done so. |
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| • | Obtain an independent assessment of the current state of our due diligence framework for alignment with the OECD Framework. |
ANNEX I
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| Metal | Standard Smelter Name | Country |
| Gold | Advanced Chemical Company** | UNITED STATES |
| Gold | Aida Chemical Industries Co., Ltd.* | JAPAN |
| 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 | AURA-II | UNITED STATES |
| Gold | Aurubis AG* | GERMANY |
| Gold | BAKER | UNKNOWN |
| Gold | Bangalore Refinery | INDIA |
| 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 | 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 | Henan Yuguang Gold & Lead Co., Ltd. | CHINA |
| Gold | Heraeus Ltd. Hong Kong* | CHINA |
| Gold | Heraeus Precious Metals GmbH & Co. KG* | GERMANY |
| Gold | HeTai Gold Mineral GuangDong Ltd. Co. | CHINA |
| Gold | HH HANDY & HARMAN REFINING GROUP | CANADA |
| Gold | House of Currency of Brazil (Casa da Moeda do Brazil) | BRAZIL |
| 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 |
| Gold | Istanbul Gold Refinery* | TURKEY |
| Gold | Japan Mint* | JAPAN |
| Gold | Jiangxi Copper Co., Ltd.* | CHINA |
| Gold | Jin Jinyin refining company limited | CHINA |
| Gold | Jinlong 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 | K.A Rasmussen AS | UNKNOWN |
| Gold | Kazakhmys Smelting LLC | KAZAKHSTAN |
| Gold | Kazzinc* | KAZAKHSTAN |
| Gold | Kennecott Utah Copper LLC* | UNITED STATES |
| Gold | KGHM Polska Miedź Spółka Akcyjna** | POLAND |
| Gold | Kojima Chemicals Co., Ltd.* | JAPAN |
| 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 | METALLURGIE HOBOKEN OVERPELT SA/NV | UNKNOWN |
| 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 |
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| | |
| Gold | Moscow Special Alloys Processing Plant* | RUSSIAN FEDERATION |
| Gold | Nadir Metal Rafineri San. Ve Tic. A.Ş.* | 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 | Precious Metals Sales Corp. | UNITED STATES |
| 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 | Realized the enterprise co. ltd. | UNKNOWN |
| 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 | Shan Tou Shi Yong Yuan Jin Shu Zai Sheng Co. Ltd. | CHINA |
| Gold | Shangdong Humon Smelting Co., Ltd. | CHINA |
| Gold | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | CHINA |
| Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd.* | CHINA |
| Gold | Shenzhen Heng Zhong Industry Co.,Ltd. | CHINA |
| Gold | Shenzhen Zhonghenglong Real Industry Co., Ltd. | CHINA |
| Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | UNKNOWN |
| 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 | Sumitomo Metal Mining Co., Ltd.* | JAPAN |
| Gold | Super Dragon Technology Co., Ltd | CHINA |
| 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 | THE SHEFFIELD SMELTING CO. LTD | UNKNOWN |
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| | |
| 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 | Zhe Jiang Guang Yuan Noble Metal Smelting Factory | CHINA |
| Gold | Zhongkuang Gold 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 | 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 |
| 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 | Shanghai Jiangxi Metals 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 Vinh Joint Stock Mineral Processing Company** | VIET NAM |
| Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.** | CHINA |
| Tin | China Tin Group Co., Ltd.* | CHINA |
| Tin | CNMC (Guangxi) PGMA Co., Ltd. | CHINA |
| Tin | Cooperativa Metalurgica de Rondônia Ltda.* | BRAZIL |
| Tin | CV Gita Pesona* | INDONESIA |
| Tin | CV Serumpun Sebalai* | 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** | VIET NAM |
| Tin | Elmet S.L.U.* | SPAIN |
| Tin | EM Vinto* | BOLIVIA |
| Tin | Estanho de Rondônia S.A. | BRAZIL |
| Tin | Fenix Metals* | POLAND |
| Tin | Gejiu Jinye Mineral Company** | CHINA |
| Tin | Gejiu Kai Meng Industry and Trade LLC** | CHINA |
| Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd.* | CHINA |
| Tin | Gejiu Yunxi Group Corp. | CHINA |
| Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.** | CHINA |
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| | |
| Tin | Gejiu Zili Mining And Metallurgy Co., Ltd. | CHINA |
| Tin | GUANG XI HUA XI CORP | CHINA |
| Tin | Guangxi Nonferrous Metals Group | CHINA |
| Tin | Huichang Jinshunda Tin Co., Ltd. | CHINA |
| Tin | Jau Janq Enterprise Co. Ltd. | TAIWAN |
| Tin | Jiangxi Ketai Advanced Material Co., Ltd.* | CHINA |
| Tin | Leybold Co., Ltd. | UNKNOWN |
| Tin | Lingbao Jinyuan Tonghui Refinery 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 | Materials Eco-Refining CO.LTD | JAPAN |
| Tin | Melt Metais e Ligas S.A.* | BRAZIL |
| Tin | Metahub Industries Sdn. Bhd. | MALAYSIA |
| Tin | Metallic Resources, Inc.* | UNITED STATES |
| Tin | Metallo-Chimique N.V.* | BELGIUM |
| Tin | Mineração Taboca S.A.* | BRAZIL |
| Tin | Ming Li Jia smelt Metal Factory | CHINA |
| 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** | VIET NAM |
| Tin | O.M. Manufacturing (Thailand) Co., Ltd.* | THAILAND |
| Tin | O.M. Manufacturing Philippines, Inc.* | PHILIPPINES |
| Tin | Operaciones Metalurgical S.A.* | BOLIVIA |
| 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 Prima Tin* | 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 Inti Stania Prima* | INDONESIA |
| Tin | PT Justindo* | INDONESIA |
| Tin | PT Karimun Mining** | INDONESIA |
| Tin | PT Mitra Stania Prima* | INDONESIA |
| Tin | PT Panca Mega Persada* | INDONESIA |
| Tin | PT Prima Timah Utama* | INDONESIA |
|
| | |
| Tin | PT Refined Bangka Tin* | INDONESIA |
| Tin | PT Sariwiguna Binasentosa* | INDONESIA |
| Tin | PT Stanindo Inti Perkasa* | 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 | Settu Chemical Industry | UNKNOWN |
| Tin | Sevotrans | UNKNOWN |
| Tin | Shan Tou Shi Yong Yuan Jin Shu Zai Sheng Co. Ltd. | CHINA |
| Tin | Soft Metais Ltda.* | BRAZIL |
| Tin | Super Ligas | BRAZIL |
| Tin | Taicang City Nancang Metal Material Co.,Ltd | CHINA |
| Tin | Thaisarco* | THAILAND |
| Tin | Tianshui ling bo technology co., Ltd | CHINA |
| Tin | Tuyen Quang Non-Ferrous Metals Joint Stock Company** | VIET NAM |
| Tin | VQB Mineral and Trading Group JSC* | VIET NAM |
| Tin | White Solder Metalurgia e Mineração Ltda.* | BRAZIL |
| Tin | Winter Metalle Gmbh | UNKNOWN |
| Tin | Wu Xi Shi Yi Zheng Ji Xie She Bei Company | CHINA |
| Tin | Xianghualing Tin Industry Co. Ltd | UNKNOWN |
| Tin | Xianghualing Tin Minerals | CHINA |
| Tin | Xinmao Tin Corp Ltd | UNKNOWN |
| Tin | Yifeng Tin | CHINA |
| Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd.** | CHINA |
| Tin | Yunnan Chengo Electric Smelting Plant | CHINA |
| Tin | Yunnan Tin Company Limited* | CHINA |
| Tin | Yunnan Xi YE | CHINA |
| Tin | Zhuhai Quanjia | CHINA |
| Tungsten | A.L.M.T. TUNGSTEN Corp.* | JAPAN |
| Tungsten | Asia Tungsten Products Vietnam Ltd.* | VIET NAM |
| 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 Haichuang Tungsten Industry 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 | Heyuan Carbide Co LTD | UNKNOWN |
| Tungsten | Hunan Chenzhou Mining Co., Ltd.* | CHINA |
| Tungsten | Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji* | 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 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 | Luoyang Mudu Tungsten & Molybdenum Technology Co. Ltd | CHINA |
| Tungsten | Malipo Haiyu Tungsten Co., Ltd.* | CHINA |
| Tungsten | Niagara Refining LLC* | UNITED STATES |
| Tungsten | Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC* | VIET NAM |
| Tungsten | Pobedit, JSC*** | RUSSIAN FEDERATION |
| Tungsten | Tejing (Vietnam) Tungsten Co., Ltd.* | VIET NAM |
| Tungsten | Vietnam Youngsun Tungsten Industry Co., Ltd.* | VIET NAM |
| Tungsten | Wolfram Bergbau und Hütten AG* | AUSTRIA |
| Tungsten | Xiamen Tungsten (H.C.) Co., Ltd.* | CHINA |
| Tungsten | Xiamen Tungsten Co., Ltd.* | CHINA |
| Tungsten | Xinhai Rendan Shaoguan Tungsten Co., Ltd.* | CHINA |
* Smelter name included in the Conflict-Free Smelters List as of May 12, 2016
** Smelter name included in the CFSI Active Smelters and Refiners List as of May 12, 2016
*** Tungsten Industry Conflict Minerals Council (TI-CMC) Members progressing toward CFSP validation as of May 12, 2016
ANNEX II
|
| |
| Angola | Luxembourg |
| Argentina | Madagascar |
| Australia | Malaysia |
| Austria | Mongolia |
| Belgium | Mozambique |
| Bolivia | Myanmar |
| Brazil | Namibia |
| Burundi | Netherlands |
| Cambodia | Nigeria |
| Canada | Peru |
| Central African Republic | Portugal |
| Chile | Republic of Congo |
| China | Russia |
| Colombia | Rwanda |
| Côte D'Ivoire | Sierra Leone |
| Czech Republic | Singapore |
| Djibouti | Slovakia |
| Ecuador | South Africa |
| Egypt | South Korea |
| Estonia | South Sudan |
| Ethiopia | Spain |
| France | Suriname |
| Germany | Switzerland |
| Guyana | Taiwan |
| Hungary | Tanzania |
| India | Thailand |
| Indonesia | The Democratic Republic of Congo (DRC) |
| Ireland | Uganda |
| Israel | United Kingdom |
| Japan | United States of America |
| Kazakhstan | Vietnam |
| Kenya | Zambia |
| Laos | Zimbabwe |
