Exhibit 1.01
Conflict Minerals Report
Citrix Systems, Inc. has included this Conflict Minerals Report as an exhibit to its Form SD for 2021 as provided for in Rule 13p-1 under the Securities Exchange Act of 1934, as amended (the “Exchange Act”), and Form SD (collectively, the “Conflict Minerals Rule”).
Unless the context indicates otherwise, the terms “Citrix,” “we,” “its,” “us,” and “our” refer to Citrix Systems, Inc. and its consolidated subsidiaries. As used herein and consistent with the Conflict Minerals Rule, “Conflict Minerals” or “3TG” are columbite-tantalite (coltan), cassiterite, gold, wolframite and the derivatives tantalum, tin and tungsten, without regard to the location of origin of the minerals or derivative metals.
Forward-Looking Statements
This document contains forward-looking statements within the meaning of Section 27A of the Securities Act of 1933, as amended (the “Securities Act”), and Section 21E of the Exchange Act. In particular, statements contained in this document that are not historical facts, including, but not limited to, statements concerning the additional steps that we intend to take to mitigate the risk that our necessary 3TG benefit armed groups, constitute forward-looking statements and are made under the safe harbor provisions of Section 27A of the Securities Act and Section 21E of the Exchange Act.
Forward-looking statements are subject to risks and uncertainties that could cause actual actions or performance to differ materially from those expressed in the forward-looking statements. These risks and uncertainties may include, but are not limited to, the continued implementation of satisfactory traceability and other compliance measures by our direct and indirect suppliers on a timely basis or at all, whether smelters and refiners and other market participants responsibly source 3TG and political and regulatory developments, whether in the Democratic Republic of the Congo (the “DRC”) region, the United States or elsewhere. We caution readers not to place undue reliance on any forward-looking statements, which only speak as of the date made. We undertake no obligation to update any forward-looking statement to reflect events or circumstances after the date on which such statement is made.
Applicability of the Conflict Minerals Rule to Our Company
Citrix is an enterprise software company focused on helping organizations deliver a consistent and secure work experience no matter where work needs to get done – in the office, at home, or in the field. We do this by delivering a digital workspace solution that provides unified, reliable and secure access to all work resources (apps, content, etc.) and simplifies work execution and collaboration across every work channel, device and location. Our Workspace solutions are complemented by our general work solutions, such as content collaboration and collaborative work management solutions, and our App Delivery and Security solutions, which deliver the applications and data employees need across any network with security, reliability and speed. Most of our products consist solely of software and do not contain a physical component and therefore do not contain 3TG. Accordingly, substantially all of our products are out of scope for purposes of the Conflict Minerals Rule.
Although substantially all of our products are out of scope for purposes of the Conflict Minerals Rule, we identified a limited number of hardware components with necessary 3TG content in the products that we contracted to manufacture in 2021. These in-scope products consisted of physical networking products (“In-Scope Products”). We did not directly source the 3TG in these In-Scope Products, and we make no purchases from mines in the DRC or any of its adjoining countries (the “Covered Countries”) or from any smelters or refiners. The 3TG were sourced, either directly or indirectly, by the manufacturers of the In-Scope Products and we believe that we are, in most cases, many levels removed from such mines, smelters or refiners. While, practically speaking, we have limited influence over the sourcing of the 3TG in our In-Scope Products, through the efforts described in this Conflict Minerals Report, we seek to ensure that our sourcing practices are consistent with our Conflict Minerals Policy (which is discussed below under “Our Conflict Minerals Policy”), promote transparency and traceability and encourage conflict free sourcing in our supply chain.
For 2021, we were unable to determine the origin of at least a portion of the 3TG that were necessary to the functionality or production of each of our In-Scope Products. None of the necessary 3TG contained in our In-Scope Products were determined by us to directly or indirectly finance or benefit armed groups in the Covered Countries. However, we did not conclude that any of our products were “DRC conflict free.” The terms “adjoining country,” “armed group,” and “DRC conflict free” have the meanings contained in the Conflict Minerals Rule. Smelter, refiner and country of origin information for 2021 is provided under “Product Information” below.
Our Conflict Minerals Policy
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We have adopted a company policy relating to 3TG (the “Conflict Minerals Policy”). The Conflict Minerals Policy includes, but is not limited to, our expectations that our suppliers:
| 1. | adopt a policy of responsible sourcing of minerals and pass this requirement through their supply chain; |
| 2. | implement due diligence processes to support that policy; |
| 3. | source minerals from socially responsible suppliers; and |
| 4. | provide us all information we may request regarding the sourcing of minerals in products supplied to us. |
The Conflict Minerals Policy indicates that, if we become aware of a supplier who is not in compliance with the foregoing expectations, then we will take appropriate action to remedy the situation, including reassessment of supplier relationships.
Our Conflict Minerals Policy also contains an email address for employees, suppliers and other interested parties to report violations of the policy electronically. The email address is compliance.prime@citrix.com.
We do not support embargos of 3TG from the DRC region, but rather encourage our suppliers to continue to source responsibly from that region.
Reasonable Country of Origin Inquiry Information
As required by the Conflict Minerals Rule, for 2021, we conducted a “reasonable country of origin inquiry.” For our reasonable country of origin inquiry, to the extent applicable, we utilized the same processes and procedures as for our due diligence, in particular Steps 1 and 2 of the OECD Guidance (as defined below) design framework, which are described below in this Conflict Minerals Report.
Our outreach included, with respect to the In-Scope Products, all of those suppliers (the “Suppliers”) that we identified as having provided us with components, parts or products that contain 3TG or that we believe may have provided us with components, parts or products that contain 3TG. In connection with our scoping determination, we looked at product specifications, made supplier inquiries and utilized other information known to us regarding the materials composition of our products.
For 2021, the Suppliers identified to us 189 smelters and refiners that processed or may have processed the necessary 3TG contained in our In-Scope Products. Based on our reasonable country of origin inquiry, we concluded that 82 of these smelters and refiners sourced entirely from outside of the Covered Countries, including from recycled or scrap sources, as described under “Product Information – Smelter, Refiner and Country of Origin Information.” Our conclusion was based on information provided by the Responsible Minerals Initiative (the “RMI”) to its members.
Pursuant to the Conflict Minerals Rule, based on the results of our reasonable country of origin inquiry, we exercised due diligence for 2021. These due diligence efforts are discussed below.
Due Diligence Measures
Design Framework
We utilize due diligence measures relating to 3TG that are intended to conform with, in all material respects, the criteria set forth in the Organisation for Economic Co-operation and Development’s Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, including the Supplement on Tin, Tantalum and Tungsten and the Supplement on Gold (Third Edition) (the “OECD Guidance”).
The OECD Guidance has established a five-step framework for due diligence as a basis for responsible global supply chain management of minerals from conflict-affected and high-risk areas. Selected elements of our program are discussed below, but these are not all of the elements of the program that we have put in place to help ensure that the 3TG contained in our products are responsibly sourced.
Selected Elements of Design Framework and Due Diligence Program
Compliance Team
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In support of our compliance efforts, we have a Conflict Minerals Reporting Oversight Committee (the “Committee”) that is charged with overseeing, implementing and providing feedback on our Conflict Minerals compliance strategy. The Committee consists of senior staff under our Executive Vice President and Chief Financial Officer and our Executive Vice President and Chief Legal Officer, who have executive leadership for our 3TG compliance program. Finance, legal and supply chain management are represented on the Committee. Certain members of the Committee and selected other internal personnel are trained on the Conflict Minerals Rule, the OECD Guidance, our compliance plan and the procedures for reviewing and validating supplier responses to our inquiries.
The Committee is supplemented by outside professionals. We utilize specialist outside counsel to advise us on certain aspects of our compliance. We also utilize a third-party to help us gather data from some suppliers.
Conflict Minerals Policy; Reporting Mechanism
As described above under “Our Conflict Minerals Policy,” we have adopted a Conflict Minerals Policy. We communicate the Conflict Minerals Policy internally to selected employees. The Conflict Minerals Policy also is communicated to direct suppliers and certain tier 2 suppliers with whom we have a direct relationship and that we determine to potentially be in-scope for purposes of our compliance. In addition, the Conflict Minerals Policy is posted on our website at https://www.citrix.com/content/dam/citrix/en_us/documents/about/conflict-minerals-policy.pdf. Our Conflict Minerals Policy contains an email address for employees, suppliers and other interested parties to report violations of the policy electronically. The email address is compliance.prime@citrix.com.
Records Storage and Retention
We have an internal electronic database for the maintenance of business records relating to 3TG due diligence, including records of due diligence processes, findings and resulting decisions. As contemplated by the OECD Guidance, our policy requires the maintenance of these records for at least five years.
Contract Terms with Suppliers
We have a contract addendum (the “Contract Addendum”) requiring relevant suppliers to agree to, among other things, (1) maintain, record and provide to us on request, traceability data and other information that we may request in order to facilitate our compliance with the Conflict Minerals Rule, (2) comply with our Conflict Minerals Policy and (3) adopt and maintain policies, due diligence frameworks and management systems that enable us to comply with our obligations under the Conflict Minerals Rule. The Contract Addendum was sent to suppliers with whom we already had contracts at the time that the addendum was developed and is included in new proposed contracts as determined to be appropriate by our legal department.
Identification, Assessment and Reporting of Supply Chain Risk
Following our scoping determination, we request that relevant suppliers provide us with information concerning the usage and source of the 3TG in the In-Scope Products they supply to us by submitting to us a completed copy of the Conflict Minerals Reporting Template (“Template”) developed by the RMI. We requested that the Suppliers furnish us with a completed Template at the product level. We followed up by email or phone with the Suppliers that did not provide a response within the specified time frame. Some of the requests were sent, and follow-up was performed on our behalf, by one of our tier 1 third-party manufacturers.
After we receive back the Template responses from suppliers, we review the responses. We, or one of our tier 1 third-party manufacturers on our behalf, follow up with suppliers that do not fully complete the Template or that submit a response that we determine contained errors or inaccuracies. If a supplier does not fully complete the Template or if we determine that the response contained errors or inaccuracies, we or the third-party manufacturer on our behalf requests that the supplier submit a revised response.
We reviewed the smelters and refiners identified to us by the Suppliers against those contained on the Smelter Look-up tab list of the Template and the lists of Conformant and Active (as defined later in this Conflict Minerals Report) smelters and refiners published by the RMI, as well as the country of origin information made available by the RMI to its members. For 2021, 178, or 94%, of the identified smelters and refiners in product level Template responses were listed as Conformant by the RMI as of May 10, 2022.
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Based on the information furnished by the Suppliers and other information known to us, we assessed the risks of adverse impacts. The Committee reported the findings of its supply chain risk assessment to our Executive Vice President and Chief Financial Officer, our Executive Vice President and Chief Legal Officer and our internal management Disclosure Committee.
We determine on a case-by-case basis the appropriate risk mitigation strategy for any identified risks of a violation of our Conflict Minerals Policy. Potential outcomes under our risk mitigation strategy include continuing to work with the supplier while risks are addressed or reassessing the relationship with the supplier. Under our risk mitigation strategy, to the extent that risks that require mitigation are identified, if applicable, we will adopt procedures for monitoring and tracking the performance of the risk mitigation efforts and for reporting these efforts back to appropriate senior oversight personnel. Under our procedures, we also will undertake additional fact and risk assessments, as determined by the Committee, for risks that require mitigation or after a change of circumstances.
Independent Third-party Audit of Supply Chain Due Diligence at Identified Points in the Supply Chain
We utilize and rely on information made available by the RMI concerning independent third-party audits of smelters and refiners to assess smelter and refiner due diligence and to determine whether identified smelters and refiners are Conformant. We are a member of the Responsible Business Alliance (the “RBA”), of which the RMI is an initiative.
Report on Supply Chain Due Diligence
We file a Form SD and a Conflict Minerals Report with the Securities and Exchange Commission and make these filings available on our corporate website.
Product Information
For 2021, we were unable to determine the origin of at least a portion of the necessary 3TG in each of our In-Scope Products (which are described earlier in this Conflict Minerals Report). Most of our products consist solely of software and do not contain a physical component, and therefore do not contain 3TG. For a further discussion of our products, see our Annual Report on Form 10-K for the fiscal year ended December 31, 2021. The information contained in our Form 10-K is not incorporated by reference into this Conflict Minerals Report or our Form SD and should not be considered part of this Conflict Minerals Report or our Form SD.
For 2021, none of the 3TG in our In-Scope Products was determined by us to have directly or indirectly financed or benefitted armed groups in the Covered Countries. An “armed group” under the Conflict Minerals Rule is an armed group that is identified as a perpetrator of serious human rights abuses in annual Country Reports on Human Rights Practices under sections 116(d) and 502B(b) of the Foreign Assistance Act of 1961 relating to the Covered Countries. However, we did not conclude that any of our products were “DRC conflict free.”
Smelter, Refiner and Country of Origin Information
The Suppliers identified to us the 189 facilities listed below that may have processed the necessary 3TG contained in our In-Scope Products during 2021. As of May 10, 2022, 178 of these facilities, or 94%, were listed as Conformant.
We depend upon our suppliers for information concerning the origin of the 3TG contained in our In-Scope Products. The smelters and refiners identified to us by the Suppliers may not be all of the smelters and refiners that were in our supply chain during 2021, since the Suppliers were not able to obtain smelter and refiner information from all of their direct and indirect suppliers, and since we did not receive responses from all of the Suppliers.
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Smelter and Refiner Information (1)
Metal | Smelter Name | Country | ID | Status | ||||
| Gold | Aida Chemical Industries Co., Ltd. | JAPAN | CID000019 | Conformant | ||||
| Gold | Agosi AG | GERMANY | CID000035 | Conformant | ||||
| Gold | AngloGold Ashanti Corrego do Sitio Mineracao | BRAZIL | CID000058 | Conformant | ||||
| Gold | Argor-Heraeus S.A. | SWITZERLAND | CID000077 | Conformant | ||||
| Gold | Asahi Pretec Corp. | JAPAN | CID000082 | Conformant | ||||
| Gold | Asahi Refining Canada Ltd. | CANADA | CID000924 | Conformant | ||||
| Gold | Asahi Refining USA Inc. | UNITED STATES OF AMERICA | CID000920 | Conformant | ||||
| Gold | Asaka Riken Co., Ltd. | JAPAN | CID000090 | Conformant | ||||
| Gold | Aurubis AG | GERMANY | CID000113 | Conformant | ||||
| Gold | Bangalore Refinery | INDIA | CID002863 | Conformant | ||||
| Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | PHILIPPINES | CID000128 | Conformant | ||||
| Gold | Boliden AB | SWEDEN | CID000157 | Conformant | ||||
| Gold | C. Hafner GmbH + Co. KG | GERMANY | CID000176 | Conformant | ||||
| Gold | CCR Refinery – Glencore Canada Corporation | CANADA | CID000185 | Conformant | ||||
| Gold | Chimet S.p.A. | ITALY | CID000233 | Conformant | ||||
| Gold | DODUCO Contacts and Refining GmbH | GERMANY | CID000362 | Conformant | ||||
| Gold | Dowa | JAPAN | CID000401 | Conformant | ||||
| Gold | Eco-System Recycling Co., Ltd. East Plant | JAPAN | CID000425 | Conformant | ||||
| Gold | Emirates Gold DMCC | UNITED ARAB EMIRATES | CID002561 | Conformant | ||||
| Gold | Gold Refinery of Zijin Mining Group Co., Ltd. | CHINA | CID002243 | Conformant |
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Metal | Smelter Name | Country | ID | Status | ||||
| Gold | Heimerle + Meule GmbH | GERMANY | CID000694 | Conformant | ||||
| Gold | Heraeus Metals Hong Kong Ltd. | CHINA | CID000707 | Conformant | ||||
| Gold | Ishifuku Metal Industry Co., Ltd. | JAPAN | CID000807 | Conformant | ||||
| Gold | Istanbul Gold Refinery | TURKEY | CID000814 | Conformant | ||||
| Gold | Japan Mint | JAPAN | CID000823 | Conformant | ||||
| Gold | Jiangxi Copper Co., Ltd. | CHINA | CID000855 | Conformant | ||||
| Gold | JSC Uralelectromed | RUSSIAN FEDERATION | CID000929 | On Smelter Look-up Tab List Only | ||||
| Gold | JX Nippon Mining & Metals Co., Ltd. | JAPAN | CID000937 | Conformant | ||||
| Gold | Kazzinc | KAZAKHSTAN | CID000957 | Conformant | ||||
| Gold | Kennecott Utah Copper LLC | UNITED STATES OF AMERICA | CID000969 | Conformant | ||||
| Gold | Kojima Chemicals Co., Ltd. | JAPAN | CID000981 | Conformant | ||||
| Gold | L’Orfebre S.A. | ANDORRA | CID002762 | Conformant | ||||
| Gold | LS-NIKKO Copper Inc. | KOREA, REPUBLIC OF | CID001078 | Conformant | ||||
| Gold | Materion | UNITED STATES OF AMERICA | CID001113 | Conformant | ||||
| Gold | Matsuda Sangyo Co., Ltd. | JAPAN | CID001119 | Conformant | ||||
| Gold | Metalor Technologies S.A. | SWITZERLAND | CID001153 | Conformant | ||||
| Gold | Metalor Technologies (Hong Kong) Ltd. | CHINA | CID001149 | Conformant | ||||
| Gold | Metalor Technologies (Singapore) Pte., Ltd. | SINGAPORE | CID001152 | Conformant | ||||
| Gold | Metalor Technologies (Suzhou) Ltd. | CHINA | CID001147 | Conformant | ||||
| Gold | Metalor USA Refining Corporation | UNITED STATES OF AMERICA | CID001157 | Conformant | ||||
| Gold | Metalurgica Met-Mex Penoles S.A. De C.V. | MEXICO | CID001161 | Conformant | ||||
| Gold | Mitsubishi Materials Corporation | JAPAN | CID001188 | Conformant |
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Metal | Smelter Name | Country | ID | Status | ||||
| Gold | Mitsui Mining and Smelting Co., Ltd. | JAPAN | CID001193 | Conformant | ||||
| Gold | Moscow Special Alloys Processing Plant | RUSSIAN FEDERATION | CID001204 | On Smelter Look-up Tab List Only | ||||
| Gold | Nadir Metal Rafineri San. Ve Tic. A.S. | TURKEY | CID001220 | Conformant | ||||
| Gold | Nihon Material Co., Ltd. | JAPAN | CID001259 | Conformant | ||||
| Gold | Ohura Precious Metal Industry Co., Ltd. | JAPAN | CID001325 | Conformant | ||||
| Gold | OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet) | RUSSIAN FEDERATION | CID001326 | On Smelter Look-up Tab List Only | ||||
| Gold | OJSC Novosibirsk Refinery | RUSSIAN FEDERATION | CID000493 | On Smelter Look-up Tab List Only | ||||
| Gold | PAMP S.A. | SWITZERLAND | CID001352 | Conformant | ||||
| Gold | Prioksky Plant of Non-Ferrous Metals | RUSSIAN FEDERATION | CID001386 | On Smelter Look-up Tab List Only | ||||
| Gold | PT Aneka Tambang (Persero) Tbk | INDONESIA | CID001397 | Conformant | ||||
| Gold | PX Precinox S.A. | SWITZERLAND | CID001498 | Conformant | ||||
| Gold | Rand Refinery (Pty) Ltd. | SOUTH AFRICA | CID001512 | Conformant | ||||
| Gold | Royal Canadian Mint | CANADA | CID001534 | Conformant | ||||
| Gold | SAXONIA Edelmetalle GmbH | GERMANY | CID002777 | Conformant | ||||
| Gold | SEMPSA Joyeria Plateria S.A. | SPAIN | CID001585 | Conformant | ||||
| Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | CHINA | CID001622 | Conformant | ||||
| Gold | Sichuan Tianze Precious Metals Co., Ltd. | CHINA | CID001736 | Conformant | ||||
| Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | RUSSIAN FEDERATION | CID001756 | On Smelter Look-up Tab List Only | ||||
| Gold | Solar Applied Materials Technology Corp. | TAIWAN, PROVINCE OF CHINA | CID001761 | Conformant |
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Metal | Smelter Name | Country | ID | Status | ||||
| Gold | Sumitomo Metal Mining Co., Ltd. | JAPAN | CID0001798 | Conformant | ||||
| Gold | Tanaka Kikinzoku Kogyo K.K. | JAPAN | CID001875 | Conformant | ||||
| Gold | The Refinery of Shandong Gold Mining Co., Ltd. | CHINA | CID0001916 | Conformant | ||||
| Gold | Tokuriki Honten Co., Ltd. | JAPAN | CID001938 | Conformant | ||||
| Gold | Umicore Precious Metals Thailand | THAILAND | CID002314 | Conformant | ||||
| Gold | Umicore S.A. Business Unit Precious Metals Refining | BELGIUM | CID001980 | Conformant | ||||
| Gold | United Precious Metal Refining, Inc. | UNITED STATES OF AMERICA | CID001993 | Conformant | ||||
| Gold | Valcambi S.A. | SWITZERLAND | CID002003 | Conformant | ||||
| Gold | Western Australian Mint (T/a The Perth Mint) | AUSTRALIA | CID002030 | Conformant | ||||
| Gold | WIELAND Edelmetalle GmbH | GERMANY | CID002778 | Conformant | ||||
| Gold | Yamakin Co., Ltd. | JAPAN | CID002100 | Conformant | ||||
| Gold | Yokohama Metal Co., Ltd. | JAPAN | CID002129 | Conformant | ||||
| Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | CHINA | CID002224 | Conformant | ||||
| Tantalum | Changsha South Tantalum Niobium Co., Ltd. | CHINA | CID000211 | Conformant | ||||
| Tantalum | D Block Metals, LLC | UNITED STATES OF AMERICA | CID002504 | Conformant | ||||
| Tantalum | Exotech Inc. | UNITED STATES OF AMERICA | CID000456 | Conformant | ||||
| Tantalum | F&X Electro-Materials Ltd. | CHINA | CID000460 | Conformant | ||||
| Tantalum | FIR Metals & Resource Ltd. | CHINA | CID002505 | Conformant | ||||
| Tantalum | Global Advanced Metals Aizu | JAPAN | CID002558 | Conformant | ||||
| Tantalum | Global Advanced Metals Boyertown | UNITED STATES OF AMERICA | CID002557 | Conformant |
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Metal | Smelter Name | Country | ID | Status | ||||
| Tantalum | H.C. Starck Hermsdorf GmbH | GERMANY | CID002547 | Conformant | ||||
| Tantalum | H.C. Starck Inc. | UNITED STATES OF AMERICA | CID002548 | Conformant | ||||
| Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | CHINA | CID002492 | Conformant | ||||
| Tantalum | Jiangxi Tuohong New Raw Material | CHINA | CID002842 | Conformant | ||||
| Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | CHINA | CID000914 | Conformant | ||||
| Tantalum | Jiujiang Tanbre Co., Ltd. | CHINA | CID000917 | Conformant | ||||
| Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | CHINA | CID002506 | Conformant | ||||
| Tantalum | AMG Brasil | BRAZIL | CID001076 | Conformant | ||||
| Tantalum | Metallurgical Products India Pvt., Ltd. | INDIA | CID001163 | Conformant | ||||
| Tantalum | Mineracao Taboca S.A. | BRAZIL | CID001175 | Conformant | ||||
| Tantalum | Mitsui Mining and Smelting Co., Ltd. | JAPAN | CID001192 | Conformant | ||||
| Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | CHINA | CID001277 | Conformant | ||||
| Tantalum | Solikamsk Magnesium Works OAO | RUSSIAN FEDERATION | CID001769 | On Smelter Look-up Tab List Only | ||||
| Tantalum | Taki Chemical Co., Ltd. | JAPAN | CID001869 | Conformant | ||||
| Tantalum | TANIOBIS Co., Ltd. | THAILAND | CID002544 | Conformant | ||||
| Tantalum | TANIOBIS GmbH | GERMANY | CID002545 | Conformant | ||||
| Tantalum | TANIOBIS Japan Co., Ltd. | JAPAN | CID002549 | Conformant | ||||
| Tantalum | TANIOBIS Smelting GmbH & Co. KG | GERMANY | CID002550 | Conformant | ||||
| Tantalum | Telex Metals | UNITED STATES OF AMERICA | CID001891 | Conformant | ||||
| Tantalum | Ulba Metallurgical Plant JSC | KAZAKHSTAN | CID001969 | Conformant |
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Metal | Smelter Name | Country | ID | Status | ||||
| Tantalum | XIMEI RESOURCES (GUANGDONG) LIMITED | CHINA | CID000616 | Conformant | ||||
| Tantalum | Yanling Jincheng Tantalum & Niobium Co., Ltd. | CHINA | CID001522 | Conformant | ||||
| Tin | Alpha | UNITED STATES OF AMERICA | CID000292 | Conformant | ||||
| Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | CHINA | CID000228 | Conformant | ||||
| Tin | Chifeng Dajingzi Tin Industry Co., Ltd. | CHINA | CID003190 | Conformant | ||||
| Tin | China Tin Group Co., Ltd. | CHINA | CID001070 | Conformant | ||||
| Tin | Dowa | JAPAN | CID000402 | Conformant | ||||
| Tin | EM Vinto | BOLIVIA (PLURINATIONAL STATE OF) | CID000438 | Conformant | ||||
| Tin | Fenix Metals | POLAND | CID000468 | Conformant | ||||
| Tin | Gejiu Kai Meng Industry and Trade LLC | CHINA | CID000942 | Conformant | ||||
| Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. | CHINA | CID000538 | Conformant | ||||
| Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | CHINA | CID001908 | Conformant | ||||
| Tin | Gejiu Zili Mining And Metallurgy Co., Ltd. | CHINA | CID000555 | Conformant | ||||
| Tin | Guangdong Hanhe Non-Ferrous Metal Co., Ltd. | CHINA | CID003116 | Conformant | ||||
| Tin | HuiChang Hill Tin Industry Co., Ltd. | CHINA | CID002844 | Conformant | ||||
| Tin | Jiangxi New Nanshan Technology Ltd. | CHINA | CID001231 | Conformant | ||||
| Tin | Luna Smelter, Ltd. | RWANDA | CID003387 | Conformant | ||||
| Tin | Ma’anshan Weitai Tin Co., Ltd. | CHINA | CID003379 | Conformant | ||||
| Tin | Magnu’s Minerais Metais e Ligas Ltda. | BRAZIL | CID002468 | Conformant |
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Metal | Smelter Name | Country | ID | Status | ||||
| Tin | Malaysia Smelting Corporation (MSC) | MALAYSIA | CID001105 | Conformant | ||||
| Tin | Melt Metais e Ligas S.A. | BRAZIL | CID002500 | Conformant | ||||
| Tin | Metallic Resources, Inc. | UNITED STATES OF AMERICA | CID001142 | Conformant | ||||
| Tin | Metallo Belgium N.V. | BELGIUM | CID002773 | Conformant | ||||
| Tin | Metallo Spain S.L.U. | SPAIN | CID002774 | Conformant | ||||
| Tin | Mineracao Taboca S.A. | BRAZIL | CID001173 | Conformant | ||||
| Tin | Minsur | PERU | CID001182 | Conformant | ||||
| Tin | Mitsubishi Materials Corporation | JAPAN | CID001191 | Conformant | ||||
| Tin | O.M. Manufacturing (Thailand) Co., Ltd. | THAILAND | CID001314 | Conformant | ||||
| Tin | O.M. Manufacturing Philippines, Inc. | PHILIPPINES | CID002517 | Conformant | ||||
| Tin | Operaciones Metalurgicas S.A. | BOLIVIA (PLURINATIONAL STATE OF) | CID001337 | Conformant | ||||
| Tin | PT Artha Cipta Langgeng | INDONESIA | CID001399 | Conformant | ||||
| Tin | PT ATD Makmur Mandiri Jaya | INDONESIA | CID002503 | Conformant | ||||
| Tin | PT Babel Surya Alam Lestari | INDONESIA | CID001406 | Conformant | ||||
| Tin | PT Bangka Serumpun | INDONESIA | CID003205 | Conformant | ||||
| Tin | PT Menara Cipta Mulia | INDONESIA | CID002835 | Conformant | ||||
| Tin | PT Mitra Stania Prima | INDONESIA | CID001453 | Conformant | ||||
| Tin | PT Prima Timah Utama | INDONESIA | CID001458 | Conformant | ||||
| Tin | PT Rajawali Rimba Perkasa | INDONESIA | CID003381 | Conformant | ||||
| Tin | PT Rajehan Ariq | INDONESIA | CID002593 | Conformant | ||||
| Tin | PT Refined Bangka Tin | INDONESIA | CID001460 | Conformant | ||||
| Tin | PT Stanindo Inti Perkasa | INDONESIA | CID001468 | Conformant | ||||
| Tin | PT Timah Tbk Kundur | INDONESIA | CID001477 | Conformant | ||||
| Tin | PT Timah Tbk Mentok | INDONESIA | CID001482 | Conformant | ||||
| Tin | PT Tinindo Inter Nusa | INDONESIA | CID001490 | Conformant |
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Metal | Smelter Name | Country | ID | Status | ||||
| Tin | Resind Industria e Comercio Ltda. | BRAZIL | CID002706 | Conformant | ||||
| Tin | Rui Da Hung | TAIWAN, PROVINCE OF CHINA | CID001539 | Conformant | ||||
| Tin | Soft Metais Ltda. | BRAZIL | CID001758 | Conformant | ||||
| Tin | Thai Nguyen Mining and Metallurgy Co., Ltd. | VIET NAM | CID002834 | Conformant | ||||
| Tin | Thaisarco | THAILAND | CID001898 | Conformant | ||||
| Tin | Tin Technology & Refining | UNITED STATES OF AMERICA | CID003325 | Conformant | ||||
| Tin | White Solder Metalurgia e Mineracao Ltda. | BRAZIL | CID002036 | Conformant | ||||
| Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | CHINA | CID002158 | Conformant | ||||
| Tin | Yunnan Tin Company Limited | CHINA | CID002180 | Conformant | ||||
| Tin | Yunnan Yunfan Non-ferrous Metals Co., Ltd. | CHINA | CID003397 | On Smelter Look-up Tab List Only | ||||
| Tungsten | A.L.M.T. Corp. | JAPAN | CID000004 | Conformant | ||||
| Tungsten | ACL Metais Eireli | BRAZIL | CID002833 | Conformant | ||||
| Tungsten | Asia Tungsten Products Vietnam Ltd. | VIET NAM | CID002502 | Conformant | ||||
| Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd. | CHINA | CID002513 | Conformant | ||||
| Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | CHINA | CID000258 | Conformant | ||||
| Tungsten | Ganzhou Haichuang Tungsten Co., Ltd. | CHINA | CID002645 | Conformant | ||||
| Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. | CHINA | CID000875 | Conformant | ||||
| Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | CHINA | CID002315 | Conformant | ||||
| Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | CHINA | CID002494 | Conformant |
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Metal | Smelter Name | Country | ID | Status | ||||
| Tungsten | Global Tungsten & Powders Corp. | UNITED STATES OF AMERICA | CID000568 | Conformant | ||||
| Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | CHINA | CID000218 | Conformant | ||||
| Tungsten | H.C. Starck Tungsten GmbH | GERMANY | CID002541 | Conformant | ||||
| Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd. | CHINA | CID000769 | Conformant | ||||
| Tungsten | Hunan Chenzhou Mining Co., Ltd. | CHINA | CID000766 | Conformant | ||||
| Tungsten | Hydrometallurg, JSC | RUSSIAN FEDERATION | CID002649 | On Smelter Look-up Tab List Only | ||||
| Tungsten | Japan New Metals Co., Ltd. | JAPAN | CID000825 | Conformant | ||||
| Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | CHINA | CID002551 | Conformant | ||||
| Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | CHINA | CID002321 | Conformant | ||||
| Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | CHINA | CID002318 | Conformant | ||||
| Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | CHINA | CID002317 | Conformant | ||||
| Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. | CHINA | CID002316 | Conformant | ||||
| Tungsten | Kennametal Fallon | UNITED STATES OF AMERICA | CID000966 | Conformant | ||||
| Tungsten | Kennametal Huntsville | UNITED STATES OF AMERICA | CID000105 | Conformant | ||||
| Tungsten | Malipo Haiyu Tungsten Co., Ltd. | CHINA | CID002319 | Conformant | ||||
| Tungsten | Masan High-Tech Materials | VIET NAM | CID002543 | Conformant | ||||
| Tungsten | Moliren Ltd. | RUSSIAN FEDERATION | CID002845 | On Smelter Look-up Tab List Only | ||||
| Tungsten | Niagara Refining LLC | UNITED STATES OF AMERICA | CID002589 | Conformant |
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Metal | Smelter Name | Country | ID | Status | ||||
| Tungsten | Philippine Chuangxin Industrial Co., Inc. | PHILIPPINES | CID002827 | Conformant | ||||
| Tungsten | TANIOBIS Smelting GmbH & Co. KG | GERMANY | CID002542 | Conformant | ||||
| Tungsten | Unecha Refractory metals plant | RUSSIAN FEDERATION | CID002724 | On Smelter Look-up Tab List Only | ||||
| Tungsten | Wolfram Bergbau und Hutten AG | AUSTRIA | CID002044 | Conformant | ||||
| Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | CHINA | CID002320 | Conformant | ||||
| Tungsten | Xiamen Tungsten Co., Ltd. | CHINA | CID002082 | Conformant | ||||
| Tungsten | Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. | CHINA | CID002830 | Conformant |
| (1) | We note the following in connection with the information contained in the foregoing list: |
| a) | The smelters and refiners listed above were identified to us by the Suppliers as being part of our 2021 supply chain. However, not all of the included smelters and refiners may have processed necessary 3TG contained in our In-Scope Products. Some Suppliers may have reported to us smelters and refiners that were not in our supply chain due to over-inclusiveness in the information received from their suppliers, due to errors or for other reasons. In addition, the smelters and refiners reflected above may not be all of the smelters and refiners in our 2021 supply chain, since (i) we have not included smelter or refiner information that our Suppliers reported to us at a “company level,” meaning that they reported to us the 3TG content contained in all of their products, not just the products they sold to us; (ii) many of our Suppliers were unable to identify all of the smelters and refiners used to process the necessary 3TG content contained in our In-Scope Products; and (iii) because not all of our Suppliers responded to our inquiries. |
| b) | The listed smelters and refiners only include those reported entities that were listed on the Smelter Look-up tab list of the Template because those are the only reported entities that we were able to determine were smelters or refiners. |
| c) | “Conformant” means that a smelter has successfully completed an assessment against the applicable Responsible Minerals Assurance Process (“RMAP”) standard or an equivalent cross-recognized assessment. Included smelters and refiners were not necessarily Conformant for all or part of 2021 and may not continue to be Conformant for any future period. |
| d) | “Active” means that the smelter or refiner is currently engaged in the RMAP but a conformance determination has yet to be made. |
| e) | “Smelter Look-up List Tab Only” means that a smelter or refiner is listed on the Smelter Look-up tab list of the Template, but is not listed as “Conformant” or “Active.” The RMI notes on its website that the operational impacts of COVID-19 have led to postponements of some RMAP assessments. The RMI website also notes that, due to the eligibility criteria for an RMAP assessment, smelters are sometimes removed from the Conformant list because they are no longer operational and not because they are non-conformant to the standard. |
| f) | The compliance status and country location reflected in the list is based solely on information made available by the RMI to its members, without independent verification by us. |
| g) | Country Location is the location of the smelter or refiner and is based solely on information made publicly available by RMI, without independent verification by us. |
We have endeavored to determine the mine or location of origin of the 3TG contained in our In-Scope Products by requesting that the Suppliers provide us with completed Templates and through the flow-down provisions contained in the Conflict Minerals Policy. Where a smelter or refiner has been identified, we also have reviewed public online information and information made available by the RMI to its members, to the extent available, to try to determine the mine or location of origin.
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Country of Original Information
The countries of origin of the 3TG processed by the Conformant smelters and refiners identified to us by the Suppliers may have included the countries listed below, in addition to other possible countries. The listed countries of origin are derived from information made available by the RMI to its members.
| Argentina | Eritrea | Mali | Singapore | |||
| Armenia | Ethiopia | Mauritania | Slovakia | |||
| Australia | Fiji | Mexico | Solomon Islands | |||
| Austria | Finland | Mongolia | South Africa | |||
| Azerbaijan | France | Montenegro | South Korea | |||
| Belgium | French Guiana | Morocco | Spain | |||
| Benin | Georgia | Mozambique | Sudan | |||
| Bolivia | Germany | Myanmar | Suriname | |||
| Botswana | Ghana | Namibia | Swaziland | |||
| Brazil | Guatemala | New Zealand | Sweden | |||
| Bulgaria | Guinea | Nicaragua | Taiwan | |||
| Burkina Faso | Guyana | Niger | Tajikistan | |||
| Burundi* | Honduras | Nigeria | Tanzania* | |||
| Canada | India | Oman | Thailand | |||
| Chile | Indonesia | Papua New Guinea | Turkey | |||
| China | Ivory Coast | Peru | Uganda* | |||
| Colombia | Japan | Philippines | United Kingdom of Great | |||
| Costa Rica | Kazakhstan | Portugal | Britain and Northern | |||
| Cyprus | Kenya | Russian Federation | Ireland | |||
| Democratic Republic of | Kyrgyzstan | Rwanda* | United States of America | |||
| the Congo* | Laos | Saudi Arabia | Uruguay | |||
| Dominican Republic | Liberia | Senegal | Uzbekistan | |||
| Ecuador | Madagascar | Serbia | Vietnam | |||
| Malaysia | Sierra Leone | Zimbabwe |
*Represents a Covered Country.
Alternatively, some of the 3TG processed by the Conformant smelters and refiners may have originated from recycled or scrap sources.
Based on the manner in which information is made available by the RMI, we were not able to determine the countries of origin of the 3TG processed by the identified Conformant smelters and refiners with greater specificity. In addition, for some of the identified Conformant smelters and refiners, origin information is not disclosed by the RMI. We do not have information on the countries of origin of the 3TG processed by the other smelters and refiners listed in the smelter and refiner table above.
As noted earlier in this Conflict Minerals Report, based on our reasonable country of origin inquiry, we concluded that 82 of the Conformant smelters and refiners identified by the Suppliers sourced entirely from outside of the Covered Countries, including from recycled or scrap sources.
Due Diligence Improvement Measures
We intend to further improve due diligence measures for 2022 in order to mitigate the risk that the necessary 3TG in our In-Scope Products benefit armed groups by taking the following steps, among others:
| • | Continuing to encourage Suppliers that provided company level information for 2021 to provide product level information for 2022 through ongoing outreach with these Suppliers; |
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| • | Continuing to engage with Suppliers that provided incomplete responses or that did not provide responses for 2021 to help ensure that they provide requested information for 2022; and |
| • | Communicating our sourcing expectations to any new supplier in 2022, including providing the supplier with a copy of the Conflict Minerals Policy. |
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