CONFLICT MINERALS REPORT OF
ATRION CORPORATION
FOR THE REPORTING PERIOD FROM
JANUARY 1 TO DECEMBER 31, 2016
I. Introduction
This is the Conflict Minerals1 Report of Atrion Corporation (”we,” “our,” “us,” “Atrion,” or the “Company”) prepared for calendar year 2016 (except for conflict minerals that, prior to January 31, 2013, were located outside of the supply chain) in accordance with Rule 13p-1 (“Rule 13p-1”) under the Securities Exchange Act of 1934 (the “Act”). Numerous terms in this Report are defined in Rule 13p-1 of the Act and Form SD and the reader is referred to those sources and also to Release No. 34-67716 (August 22, 2012) of the Act (the “Adopting Release”) for such definitions.
In accordance with Rule 13p-1, we undertook efforts to determine whether the necessary conflict minerals in our products were or were not “DRC conflict-free.” The Company designed its efforts in conformity 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 2 (“OECD Due Diligence Guidance”) and related Supplements.
The statements below are based on the activities performed to date, in good faith, by Atrion and on the infrastructure and information available at the time of this filing. There are factors that could affect the accuracy of these statements. These factors include, but are not limited to, incomplete supplier data or available smelter data, errors or omissions by suppliers or smelters, evolving definition and confirmation of smelters, incomplete information from industry or other third-party sources, continuing guidance regarding the SEC final rules, and other matters.
Company Profile
Atrion Corporation develops and manufactures products primarily for medical applications. Our products advance the standard of care by increasing safety for patients and providers. We target niche markets, with particular emphasis on fluid delivery, cardiovascular and ophthalmology applications.
We are subject to this rule as we have determined that, during 2016, conflict minerals were likely necessary to the functionality or production of products we manufactured or contracted to manufacture. The Company, as a purchaser of component parts, is many steps removed from the mining of conflict minerals. We do not purchase raw ore or unrefined conflict minerals and we conduct no purchasing activities directly in the DRC or the adjoining countries.
2 OECD (2016), OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas: Third Edition, OECD Publishing, Paris. http://dx.doi.org/10.1787/9789264252479-en
Conflict Minerals Policy
The Company developed a policy statement to support the goals expressed by Congress in enacting Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The policy highlights the Company’s commitment to complying with the reporting and due diligence obligations required by the SEC rule and the Company’s expectations from its suppliers. The policy resides on our corporate website http://atrioncorp.com/investor_relations/Investor_Relations.htm.
Reasonable Country of Origin Inquiry Information
We have conducted a good faith reasonable country of origin inquiry (“RCOI”) to determine whether the necessary conflict minerals originated in the DRC or an adjoining country or came from recycled or scrap sources.
The Company’s RCOI process included reviewing the products manufactured or contracted to be manufactured during the Reporting Period to identify products that should be deemed in-scope as described by the Adopting Release and conducting an inquiry of our direct suppliers of the in-scope products using the Conflict-Free Sourcing Initiative’s (“CFSI”) Conflict Minerals Reporting Template (“CMRT”). Based on the results of our RCOI which indicated sourcing from the DRC or an adjoining country, we exercised due diligence on the source and chain of custody of the conflict minerals in accordance with the OECD framework. Our due diligence efforts are discussed further in this Conflict Minerals Report.
Design of Conflict Minerals Program
The Company designed its conflict minerals program to conform, in all material respects, with the five-step framework of the OECD Due Diligence Guidance, the Supplement on Tin, Tantalum, and Tungsten, and the Supplement on Gold, specifically as it relates to our position in the minerals supply chain as a “downstream” company:
Step 1: Establish strong company management systems
Step 2: Identify and assess risks in the supply chain
Step 3: Design and implement a strategy to respond to identified risks
Step 4: Carry out independent third-party audit of smelter/refiner's due diligence practices
Step 5: Report annually on supply chain due diligence
III.
Due Diligence Measures Performed by Atrion Corporation
The following describes the measures taken to reasonably determine the country of origin and to exercise due diligence in the mineral supply chain in conformance with the OECD Due Diligence Guidance.
Step 1: Establish strong company management systems
We implemented the following as part of our conflict minerals program:
a.
Conflict minerals team – Atrion established a conflict minerals team that included individuals from the appropriate business units and departments. The team was structured to ensure critical information, including the Company policy, reached relevant employees and suppliers.
b.
Conflict minerals policy – Atrion adopted and published a policy establishing the expectation that our suppliers will responsibly source products on a conflict-free basis. The policy can be found at http://atrioncorp.com/investor_relations/Investor_Relations.htm. The policy will be periodically reviewed and updated as needed.
c.
Supplier engagement – Atrion provided educational materials to our queried suppliers. Suppliers were provided information on the conflict minerals disclosure requirements as well as recommendations for developing, implementing, and documenting a conflict minerals compliance program.
d.
Records management – Atrion will maintain records relating to our conflict minerals program in accordance with the recommended record retention guidelines.
Step 2: Identify and assess risks in the supply chain
We performed the following steps as part of our risk assessment process:
a.
Identified products in scope – Our conflict minerals team reviewed the component parts purchased from our suppliers to determine those that should be deemed in-scope as described by the Adopting Release.
b.
Conducted Reasonable Country of Origin Inquiry (“RCOI”) – Atrion utilized the industry-developed Conflict Minerals Reporting Template (“CMRT”) to query our suppliers for conflict minerals information. We requested this information from the Tier 1 suppliers who provide material and components for the products deemed in-scope by our conflict minerals team. We evaluated the responses from the templates submitted by our suppliers to determine our reporting obligation based on this RCOI.
c.
Completed additional follow-up – Atrion contacted direct suppliers that did not respond to our request for conflict minerals information by the requested date. We also worked to clarify and validate the information provided by our suppliers.
d.
Identify smelters or refiners (“SORs”) – Atrion compiled a list of SORs in our supply chain using our suppliers’ responses in their CMRTs. We reconciled this list to the list of smelter facilities designated by the Conflict-Free Sourcing Initiative (“CFSI”) Conflict- Free Smelter Program. We have provided that list in this report.
Step 3: Design and implement a strategy to respond to identified risks
We performed the following steps as part of our risk management plan:
a.
Designed and implemented a plan – Atrion used established risk rating criteria to evaluate suppliers based on the responses provided within their completed CMRTs as well as any additional documentation furnished to support those responses. The resulting risk ratings will be used to develop specific outreach and education that will address the identified risks.
b.
Verify SORs –As part of the risk mitigation process, we reconciled the list of SORs collected from suppliers to the list of smelter facilities designated as “conflict-free” by the CFSI Conflict-Free Smelter Program.
Step 4: Carry out independent third-party audit of smelter/refiner's due diligence practices
Atrion is relying on published lists from CFSI, London Bullion Market Association (LBMA), and Responsible Jewelry Council (RJC), to confirm the existence and verify the conflict-free status of SORs identified during our due diligence.
Step 5: Report annually on supply chain due diligence
Atrion has determined that a portion of the conflict minerals used to manufacture our products originated from the Covered Countries. Accordingly, this Conflict Minerals Report has been filed with the SEC and is available on our website at http://atrioncorp.com/investor_relations/Investor_Relations.htm.
Products - The products subject to this report are:
Our MPS and ACTester electronic console products sold by our Quest Medical, Inc. subsidiary, as well as Inflation Products sold by our Halkey Roberts, Inc. subsidiary. In addition, the QL® Inflation Devices and NeedleVISE® products sold by our Atrion Medical Products, Inc. subsidiary are subject to this report.
Processing Facilities – Based on our due diligence process and the information received from our suppliers, the following facilities may have been used to process materials used in our products.
| Metal | Standard Smelter Name | CID | Country |
| Gold | Abington Reldan Metals, LLC | CID002708 | UNITED STATES OF AMERICA |
| Gold | Advanced Chemical Company | CID000015 | UNITED STATES OF AMERICA |
| Gold | Aida Chemical Industries Co., Ltd. | CID000019 | JAPAN |
| Gold | Al Etihad Gold LLC | CID002560 | UNITED ARAB EMIRATES |
| Gold | Allgemeine Gold-und Silberscheideanstalt A.G. | CID000035 | GERMANY |
| Gold | Almalyk Mining and Metallurgical Complex (AMMC) | CID000041 | UZBEKISTAN |
| Gold | Argor-Heraeus S.A. | CID000077 | SWITZERLAND |
| Gold | Asaka Riken Co., Ltd. | CID000090 | JAPAN |
| Gold | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | CID000103 | TURKEY |
| Gold | AU Traders and Refiners | CID002850 | SOUTH AFRICA |
| Gold | Aurubis AG | CID000113 | GERMANY |
| Gold | Bangalore Refinery | CID002863 | INDIA |
| Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | CID000128 | PHILIPPINES |
| Gold | Boliden AB | CID000157 | SWEDEN |
| Gold | C. Hafner GmbH + Co. KG | CID000176 | GERMANY |
| Gold | Caridad | CID000180 | MEXICO |
| Gold | CCR Refinery - Glencore Canada Corporation | CID000185 | CANADA |
| Gold | Cendres + Metaux S.A. | CID000189 | SWITZERLAND |
| Gold | Chimet S.p.A. | CID000233 | ITALY |
| Gold | Chugai Mining | CID000264 | JAPAN |
| Gold | Daejin Indus Co., Ltd. | CID000328 | KOREA, REPUBLIC OF |
| Gold | Daye Non-Ferrous Metals Mining Ltd. | CID000343 | CHINA |
| Gold | Degussa Sonne / Mond Goldhandel GmbH | CID002867 | GERMANY |
| Gold | DODUCO GmbH | CID000362 | GERMANY |
| Gold | Dowa | CID000401 | JAPAN |
| Gold | DSC (Do Sung Corporation) | CID000359 | KOREA, REPUBLIC OF |
| Gold | Eco-System Recycling Co., Ltd. | CID000425 | JAPAN |
| Gold | Emirates Gold DMCC | CID002561 | UNITED ARAB EMIRATES |
| Gold | Gansu Seemine Material Hi-Tech Co., Ltd. | CID000522 | CHINA |
| Gold | GCC Gujrat Gold Centre Pvt. Ltd. | CID002852 | INDIA |
| Gold | Geib Refining Corporation | CID002459 | UNITED STATES OF AMERICA |
| Gold | Gold Refinery of Zijin Mining Group Co., Ltd. | CID002243 | CHINA |
| Gold | Great Wall Precious Metals Co., Ltd. of CBPM | CID001909 | CHINA |
| Gold | Guangdong Jinding Gold Limited | CID002312 | CHINA |
| Gold | Guoda Safina High-Tech Environmental Refinery Co., Ltd. | CID000651 | CHINA |
| Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. | CID000671 | CHINA |
| Gold | Heimerle + Meule GmbH | CID000694 | GERMANY |
| Gold | Heraeus Metals Hong Kong Ltd. | CID000707 | CHINA |
| Gold | Heraeus Precious Metals GmbH & Co. KG | CID000711 | GERMANY |
| Gold | Hunan Chenzhou Mining Co., Ltd. | CID000767 | CHINA |
| Gold | HwaSeong CJ CO., LTD. | CID000778 | KOREA, REPUBLIC OF |
| Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | CID000801 | CHINA |
| Gold | Ishifuku Metal Industry Co., Ltd. | CID000807 | JAPAN |
| Gold | Istanbul Gold Refinery | CID000814 | TURKEY |
| Gold | Japan Mint | CID000823 | JAPAN |
| Gold | Jiangxi Copper Co., Ltd. | CID000855 | CHINA |
| Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | CID000927 | RUSSIAN FEDERATION |
| Gold | JSC Uralelectromed | CID000929 | RUSSIAN FEDERATION |
| Gold | JX Nippon Mining & Metals Co., Ltd. | CID000937 | JAPAN |
| Gold | Kazakhmys Smelting LLC | CID000956 | KAZAKHSTAN |
| Gold | Kazzinc | CID000957 | KAZAKHSTAN |
| Gold | Kennecott Utah Copper LLC | CID000969 | UNITED STATES OF AMERICA |
| Gold | KGHM Polska Miedz Spolka Akcyjna | CID002511 | POLAND |
| Gold | Kojima Chemicals Co., Ltd. | CID000981 | JAPAN |
| Gold | Korea Zinc Co., Ltd. | CID002605 | KOREA, REPUBLIC OF |
| Gold | Kyrgyzaltyn JSC | CID001029 | KYRGYZSTAN |
| Gold | Lingbao Gold Co., Ltd. | CID001056 | CHINA |
| Gold | Lingbao Jinyuan Tonghui Refinery Co., Ltd. | CID001058 | CHINA |
| Gold | LS-NIKKO Copper Inc. | CID001078 | KOREA, REPUBLIC OF |
| Gold | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | CID001093 | CHINA |
| Gold | Materion | CID001113 | UNITED STATES OF AMERICA |
| Gold | Matsuda Sangyo Co., Ltd. | CID001119 | JAPAN |
| Gold | Metalurgica Met-Mex Penoles S.A. De C.V. | CID001161 | MEXICO |
| Gold | Mitsubishi Materials Corporation | CID001188 | JAPAN |
| Gold | Mitsui Mining and Smelting Co., Ltd. | CID001193 | JAPAN |
| Gold | MMTC-PAMP India Pvt., Ltd. | CID002509 | INDIA |
| Gold | Modeltech Sdn Bhd | CID002857 | MALAYSIA |
| Gold | Morris and Watson | CID002282 | NEW ZEALAND |
| Gold | Moscow Special Alloys Processing Plant | CID001204 | RUSSIAN FEDERATION |
| Gold | Nadir Metal Rafineri San. Ve Tic. A.S. | CID001220 | TURKEY |
| Gold | Navoi Mining and Metallurgical Combinat | CID001236 | UZBEKISTAN |
| Gold | Nihon Material Co., Ltd. | CID001259 | JAPAN |
| Gold | Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH | CID002779 | AUSTRIA |
| Gold | Ohura Precious Metal Industry Co., Ltd. | CID001325 | JAPAN |
| Gold | OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) | CID001326 | RUSSIAN FEDERATION |
| Gold | OJSC Novosibirsk Refinery | CID000493 | RUSSIAN FEDERATION |
| Gold | PAMP S.A. | CID001352 | SWITZERLAND |
| Gold | Penglai Penggang Gold Industry Co., Ltd. | CID001362 | CHINA |
| Gold | Prioksky Plant of Non-Ferrous Metals | CID001386 | RUSSIAN FEDERATION |
| Gold | PT Aneka Tambang (Persero) Tbk | CID001397 | INDONESIA |
| Gold | PX Precinox S.A. | CID001498 | SWITZERLAND |
| Gold | Rand Refinery (Pty) Ltd. | CID001512 | SOUTH AFRICA |
| Gold | Remondis Argentia B.V. | CID002582 | NETHERLANDS |
| Gold | Republic Metals Corporation | CID002510 | UNITED STATES OF AMERICA |
| Gold | Royal Canadian Mint | CID001534 | CANADA |
| Gold | SAAMP | CID002761 | FRANCE |
| Gold | Sabin Metal Corp. | CID001546 | UNITED STATES OF AMERICA |
| Gold | SAFINA A.S. | CID002290 | CZECH REPUBLIC |
| Gold | Sai Refinery | CID002853 | INDIA |
| Gold | Samduck Precious Metals | CID001555 | KOREA, REPUBLIC OF |
| Gold | Samwon Metals Corp. | CID001562 | KOREA, REPUBLIC OF |
| Gold | SAXONIA Edelmetalle GmbH | CID002777 | GERMANY |
| Gold | Schone Edelmetaal B.V. | CID001573 | NETHERLANDS |
| Gold | SEMPSA Joyeria Plateria S.A. | CID001585 | SPAIN |
| Gold | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | CID001619 | CHINA |
| Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | CID001622 | CHINA |
| Gold | Sichuan Tianze Precious Metals Co., Ltd. | CID001736 | CHINA |
| Gold | Singway Technology Co., Ltd. | CID002516 | TAIWAN, PROVINCE OF CHINA |
| Gold | So Accurate Group, Inc. | CID001754 | UNITED STATES OF AMERICA |
| Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | CID001756 | RUSSIAN FEDERATION |
| Gold | Solar Applied Materials Technology Corp. | CID001761 | TAIWAN, PROVINCE OF CHINA |
| Gold | Sumitomo Metal Mining Co., Ltd. | CID001798 | JAPAN |
| Gold | T.C.A S.p.A | CID002580 | ITALY |
| Gold | Tanaka Kikinzoku Kogyo K.K. | CID001875 | JAPAN |
| Gold | The Refinery of Shandong Gold Mining Co., Ltd. | CID001916 | CHINA |
| Gold | Tokuriki Honten Co., Ltd. | CID001938 | JAPAN |
| Gold | Tongling Nonferrous Metals Group Co., Ltd. | CID001947 | CHINA |
| Gold | TOO Tau-Ken-Altyn | CID002615 | KAZAKHSTAN |
| Gold | Torecom | CID001955 | KOREA, REPUBLIC OF |
| Gold | Umicore Brasil Ltda. | CID001977 | BRAZIL |
| Gold | Umicore Precious Metals Thailand | CID002314 | THAILAND |
| Gold | Umicore S.A. Business Unit Precious Metals Refining | CID001980 | BELGIUM |
| Gold | United Precious Metal Refining, Inc. | CID001993 | UNITED STATES OF AMERICA |
| Gold | Valcambi S.A. | CID002003 | SWITZERLAND |
| Gold | Western Australian Mint (T/a The Perth Mint) | CID002030 | AUSTRALIA |
| Gold | WIELAND Edelmetalle GmbH | CID002778 | GERMANY |
| Gold | Yamamoto Precious Metal Co., Ltd. | CID002100 | JAPAN |
| Gold | Yokohama Metal Co., Ltd. | CID002129 | JAPAN |
| Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | CID002224 | CHINA |
| Tantalum | Changsha South Tantalum Niobium Co., Ltd. | CID000211 | CHINA |
| Tantalum | Changsha South Tantalum Niobium Co., Ltd. | CID000616 | CHINA |
| Tantalum | D Block Metals, LLC | CID002504 | UNITED STATES OF AMERICA |
| Tantalum | D Block Metals, LLC | CID002558 | UNITED STATES OF AMERICA |
| Tantalum | Duoluoshan | CID000410 | CHINA |
| Tantalum | Duoluoshan | CID000917 | CHINA |
| Tantalum | Exotech Inc. | CID000456 | UNITED STATES OF AMERICA |
| Tantalum | Exotech Inc. | CID000973 | UNITED STATES OF AMERICA |
| Tantalum | F&X Electro-Materials Ltd. | CID000460 | CHINA |
| Tantalum | F&X Electro-Materials Ltd. | CID001163 | CHINA |
| Tantalum | FIR Metals & Resource Ltd. | CID002568 | CHINA |
| Tantalum | Global Advanced Metals Aizu | CID000402 | JAPAN |
| Tantalum | Global Advanced Metals Boyertown | CID000315 | UNITED STATES OF AMERICA |
| Tantalum | Guangdong Rising Rare Metals-EO Materials Ltd. | CID000291 | CHINA |
| Tantalum | Guangdong Rising Rare Metals-EO Materials Ltd. | CID000731 | CHINA |
| Tantalum | Guangdong Zhiyuan New Material Co., Ltd. | CID001192 | CHINA |
| Tantalum | H.C. Starck Co., Ltd. | CID000244 | THAILAND |
| Tantalum | H.C. Starck Hermsdorf GmbH | CID000292 | GERMANY |
| Tantalum | H.C. Starck Inc. | CID000306 | UNITED STATES OF AMERICA |
| Tantalum | H.C. Starck Ltd. | CID000309 | JAPAN |
| Tantalum | H.C. Starck Smelting GmbH & Co. KG | CID000313 | GERMANY |
| Tantalum | H.C. Starck Tantalum and Niobium GmbH | CID000278 | GERMANY |
| Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | CID002492 | CHINA |
| Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | CID002557 | CHINA |
| Tantalum | Hi-Temp Specialty Metals, Inc. | CID001200 | UNITED STATES OF AMERICA |
| Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | CID002847 | CHINA |
| Tantalum | Jiangxi Tuohong New Raw Material | CID000538 | CHINA |
| Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | CID000914 | CHINA |
| Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | CID001508 | CHINA |
| Tantalum | Jiujiang Nonferrous Metals Smelting Company Limited | CID001522 | CHINA |
| Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | CID002707 | CHINA |
| Tantalum | KEMET Blue Powder | CID000448 | UNITED STATES OF AMERICA |
| Tantalum | King-Tan Tantalum Industry Ltd. | CID001769 | CHINA |
| Tantalum | LSM Brasil S.A. | CID001076 | BRAZIL |
| Tantalum | LSM Brasil S.A. | CID001869 | BRAZIL |
| Tantalum | Metallurgical Products India Pvt., Ltd. | CID001891 | INDIA |
| Tantalum | Mineracao Taboca S.A. | CID001175 | BRAZIL |
| Tantalum | Mineracao Taboca S.A. | CID002307 | BRAZIL |
| Tantalum | Mitsui Mining and Smelting Co., Ltd. | CID002505 | JAPAN |
| Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | CID001277 | CHINA |
| Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | CID002508 | CHINA |
| Tantalum | NPM Silmet AS | CID002506 | ESTONIA |
| Tantalum | Power Resources Ltd. | CID000555 | MACEDONIA, THE FORMER YUGOSLAV REPUBLIC OF |
| Tantalum | QuantumClean | CID002512 | UNITED STATES OF AMERICA |
| Tantalum | Resind Industria e Comercio Ltda. | CID000468 | BRAZIL |
| Tantalum | RFH Tantalum Smeltry Co., Ltd. | CID002539 | CHINA |
| Tantalum | Solikamsk Magnesium Works OAO | CID002544 | RUSSIAN FEDERATION |
| Tantalum | Taki Chemical Co., Ltd. | CID002545 | JAPAN |
| Tantalum | Telex Metals | CID002547 | UNITED STATES OF AMERICA |
| Tantalum | Ulba Metallurgical Plant JSC | CID001969 | KAZAKHSTAN |
| Tantalum | Ulba Metallurgical Plant JSC | CID002548 | KAZAKHSTAN |
| Tantalum | XinXing HaoRong Electronic Material Co., Ltd. | CID002842 | CHINA |
| Tantalum | Yichun Jin Yang Rare Metal Co., Ltd. | CID002550 | CHINA |
| Tantalum | Zhuzhou Cemented Carbide Group Co., Ltd. | CID002232 | CHINA |
| Tantalum | Zhuzhou Cemented Carbide Group Co., Ltd. | CID002549 | CHINA |
| Tin | Alpha | CID001142 | UNITED STATES OF AMERICA |
| Tin | An Thai Minerals Co., Ltd. | CID002082 | VIET NAM |
| Tin | An Vinh Joint Stock Mineral Processing Company | CID000769 | VIET NAM |
| Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | CID000760 | CHINA |
| Tin | China Tin Group Co., Ltd. | CID001458 | CHINA |
| Tin | CNMC (Guangxi) PGMA Co., Ltd. | CID001070 | CHINA |
| Tin | Cooperativa Metalurgica de Rondonia Ltda. | CID000295 | BRAZIL |
| Tin | Cooperativa Metalurgica de Rondonia Ltda. | CID001191 | BRAZIL |
| Tin | CV Ayi Jaya | CID000218 | INDONESIA |
| Tin | CV Dua Sekawan | CID000568 | INDONESIA |
| Tin | CV Gita Pesona | CID001231 | INDONESIA |
| Tin | CV Serumpun Sebalai | CID001337 | INDONESIA |
| Tin | CV Tiga Sekawan | CID000766 | INDONESIA |
| Tin | CV United Smelting | CID001399 | INDONESIA |
| Tin | CV Venus Inti Perkasa | CID002849 | INDONESIA |
| Tin | Dowa | CID001402 | JAPAN |
| Tin | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | CID000258 | VIET NAM |
| Tin | EM Vinto | CID000438 | BOLIVIA (PLURINATIONAL STATE OF) |
| Tin | EM Vinto | CID001419 | BOLIVIA (PLURINATIONAL STATE OF) |
| Tin | Estanho de Rondonia S.A. | CID001421 | BRAZIL |
| Tin | Fenix Metals | CID001428 | POLAND |
| Tin | Gejiu Fengming Metallurgy Chemical Plant | CID002315 | CHINA |
| Tin | Gejiu Jinye Mineral Company | CID002318 | CHINA |
| Tin | Gejiu Kai Meng Industry and Trade LLC | CID001457 | CHINA |
| Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. | CID001434 | CHINA |
| Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | CID002816 | CHINA |
| Tin | Gejiu Zili Mining And Metallurgy Co., Ltd. | CID001438 | CHINA |
| Tin | Guanyang Guida Nonferrous Metal Smelting Plant | CID002316 | CHINA |
| Tin | HuiChang Hill Tin Industry Co., Ltd. | CID002313 | CHINA |
| Tin | Huichang Jinshunda Tin Co., Ltd. | CID001448 | CHINA |
| Tin | Jiangxi Ketai Advanced Material Co., Ltd. | CID000942 | CHINA |
| Tin | Magnu's Minerais Metais e Ligas Ltda. | CID002858 | BRAZIL |
| Tin | Malaysia Smelting Corporation (MSC) | CID001105 | MALAYSIA |
| Tin | Malaysia Smelting Corporation (MSC) | CID001460 | MALAYSIA |
| Tin | Melt Metais e Ligas S.A. | CID002859 | BRAZIL |
| Tin | Metallic Resources, Inc. | CID001463 | UNITED STATES OF AMERICA |
| Tin | Metallo Belgium N.V. | CID002773 | BELGIUM |
| Tin | Metallo Belgium N.V. | CID000966 | BELGIUM |
| Tin | Metallo Spain S.L.U. | CID001889 | SPAIN |
| Tin | Mineracao Taboca S.A. | CID001173 | BRAZIL |
| Tin | Mineracao Taboca S.A. | CID001468 | BRAZIL |
| Tin | Minsur | CID001182 | PERU |
| Tin | Minsur | CID001471 | PERU |
| Tin | Mitsubishi Materials Corporation | CID001490 | JAPAN |
| Tin | Modeltech Sdn Bhd | CID002317 | MALAYSIA |
| Tin | Nankang Nanshan Tin Manufactory Co., Ltd. | CID001493 | CHINA |
| Tin | Nghe Tinh Non-Ferrous Metals Joint Stock Company | CID000345 | VIET NAM |
| Tin | O.M. Manufacturing (Thailand) Co., Ltd. | CID001539 | THAILAND |
| Tin | O.M. Manufacturing Philippines, Inc. | CID000004 | PHILIPPINES |
| Tin | Operaciones Metalurgical S.A. | CID001758 | BOLIVIA (PLURINATIONAL STATE OF) |
| Tin | PT Aries Kencana Sejahtera | CID001314 | INDONESIA |
| Tin | PT Artha Cipta Langgeng | CID001908 | INDONESIA |
| Tin | PT ATD Makmur Mandiri Jaya | CID002870 | INDONESIA |
| Tin | PT Babel Inti Perkasa | CID002015 | INDONESIA |
| Tin | PT Bangka Prima Tin | CID002011 | INDONESIA |
| Tin | PT Bangka Tin Industry | CID002036 | INDONESIA |
| Tin | PT Belitung Industri Sejahtera | CID002158 | INDONESIA |
| Tin | PT DS Jaya Abadi | CID002455 | INDONESIA |
| Tin | PT Eunindo Usaha Mandiri | CID002468 | INDONESIA |
| Tin | PT Inti Stania Prima | CID000105 | INDONESIA |
| Tin | PT Karimun Mining | CID002500 | INDONESIA |
| Tin | PT Kijang Jaya Mandiri | CID002095 | INDONESIA |
| Tin | PT Lautan Harmonis Sejahtera | CID002319 | INDONESIA |
| Tin | PT Mitra Stania Prima | CID001453 | INDONESIA |
| Tin | PT Mitra Stania Prima | CID002503 | INDONESIA |
| Tin | PT O.M. Indonesia | CID000875 | INDONESIA |
| Tin | PT Panca Mega Persada | CID002517 | INDONESIA |
| Tin | PT Prima Timah Utama | CID002530 | INDONESIA |
| Tin | PT Refined Bangka Tin | CID002570 | INDONESIA |
| Tin | PT Sariwiguna Binasentosa | CID002572 | INDONESIA |
| Tin | PT Stanindo Inti Perkasa | CID002573 | INDONESIA |
| Tin | PT Sukses Inti Makmur | CID002044 | INDONESIA |
| Tin | PT Sumber Jaya Indah | CID002574 | INDONESIA |
| Tin | PT Timah (Persero) Tbk Kundur | CID001477 | INDONESIA |
| Tin | PT Timah (Persero) Tbk Kundur | CID002592 | INDONESIA |
| Tin | PT Timah (Persero) Tbk Mentok | CID001482 | INDONESIA |
| Tin | PT Timah (Persero) Tbk Mentok | CID002593 | INDONESIA |
| Tin | PT Tinindo Inter Nusa | CID002703 | INDONESIA |
| Tin | PT Tommy Utama | CID002706 | INDONESIA |
| Tin | Resind Industria e Comercio Ltda. | CID000825 | BRAZIL |
| Tin | Rui Da Hung | CID002757 | TAIWAN, PROVINCE OF CHINA |
| Tin | Soft Metais Ltda. | CID002774 | BRAZIL |
| Tin | Thaisarco | CID001898 | THAILAND |
| Tin | Thaisarco | CID002776 | THAILAND |
| Tin | Tuyen Quang Non-Ferrous Metals Joint Stock Company | CID000499 | VIET NAM |
| Tin | VQB Mineral and Trading Group JSC | CID002825 | VIET NAM |
| Tin | White Solder Metalurgia e Mineracao Ltda. | CID002829 | BRAZIL |
| Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | CID002844 | CHINA |
| Tin | Yunnan Tin Company Limited | CID002848 | CHINA |
| Tungsten | A.L.M.T. TUNGSTEN Corp. | CID002320 | JAPAN |
| Tungsten | ACL Metais Eireli | | BRAZIL |
| Tungsten | Asia Tungsten Products Vietnam Ltd. | | VIET NAM |
| Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd. | | CHINA |
| Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | CID002502 | CHINA |
| Tungsten | Dayu Weiliang Tungsten Co., Ltd. | CID002513 | CHINA |
| Tungsten | Fujian Jinxin Tungsten Co., Ltd. | CID002535 | CHINA |
| Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. | CID002551 | CHINA |
| Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | CID002830 | CHINA |
| Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | | CHINA |
| Tungsten | Ganzhou Yatai Tungsten Co., Ltd. | | CHINA |
| Tungsten | Global Tungsten & Powders Corp. | CID002536 | UNITED STATES OF AMERICA |
| Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | CID002494 | CHINA |
| Tungsten | H.C. Starck Smelting GmbH & Co. KG | | GERMANY |
| Tungsten | H.C. Starck Tungsten GmbH | | GERMANY |
| Tungsten | Hunan Chenzhou Mining Co., Ltd. | CID002541 | CHINA |
| Tungsten | Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji | | CHINA |
| Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd. | CID002542 | CHINA |
| Tungsten | Hydrometallurg, JSC | | RUSSIAN FEDERATION |
| Tungsten | Japan New Metals Co., Ltd. | CID002543 | 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. | CID002827 | CHINA |
| Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | CID002845 | CHINA |
| Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | CID002843 | CHINA |
| Tungsten | Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd. | | CHINA |
| Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. | CID002833 | CHINA |
| Tungsten | Kennametal Fallon | CID002579 | UNITED STATES OF AMERICA |
| Tungsten | Kennametal Huntsville | CID002321 | UNITED STATES OF AMERICA |
| Tungsten | Malipo Haiyu Tungsten Co., Ltd. | | CHINA |
| Tungsten | Moliren Ltd. | | RUSSIAN FEDERATION |
| Tungsten | Niagara Refining LLC | | UNITED STATES OF AMERICA |
| Tungsten | Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC | | VIET NAM |
| Tungsten | Philippine Chuangxin Industrial Co., Inc. | | PHILIPPINES |
| Tungsten | South-East Nonferrous Metal Company Limited of Hengyang City | | CHINA |
| Tungsten | Tejing (Vietnam) Tungsten Co., Ltd. | CID002589 | VIET NAM |
| Tungsten | Unecha Refractory metals plant | | RUSSIAN FEDERATION |
| Tungsten | Vietnam Youngsun Tungsten Industry Co., Ltd. | CID002647 | VIET NAM |
| Tungsten | Wolfram Bergbau und Hutten AG | CID002649 | AUSTRIA |
| Tungsten | Woltech Korea Co., Ltd. | | KOREA, REPUBLIC OF |
| Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | | CHINA |
| Tungsten | Xiamen Tungsten Co., Ltd. | CID002724 | CHINA |
| Tungsten | Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. | | CHINA |
| Tungsten | Xinhai Rendan Shaoguan Tungsten Co., Ltd. | CID002815 | CHINA |
We will continue to communicate our expectations and information requirements to our direct suppliers. Over time, we anticipate that the amount of information globally on the traceability and sourcing of these ores will increase and improve our knowledge. We will continue to make inquiries to our direct suppliers and undertake additional risk assessments when potentially relevant changes in facts or circumstances are identified. If we become aware of a supplier whose due diligence needs improvement, we intend to continue the trade relationship while that supplier improves its compliance program. We expect our suppliers to take similar measures with their suppliers to ensure alignment throughout the supply chain.
In addition to those above, the Company will undertake the following steps during the next compliance period to improve the due diligence conducted and to further mitigate the risk that the necessary conflict minerals do not benefit armed groups, including:
●
Review the conflict minerals policy statement and update if necessary.
●
Continue to collect responses from suppliers using the most recent version of the CMRT.
●
Monitor and track performance of risk mitigation efforts.
●
Engage with suppliers that did not provide a response in 2016 or provided incomplete responses to enhance our data collection for 2017.
●
Compare and validate RCOI results to information collected via independent conflict-free smelter validation programs such as the CFSI.
●
Encourage responsible sourcing from the DRC and adjoining countries.
VI
Independent Private Sector Audit
Not required for calendar year 2016.
