Exhibit 1.01
Brooks Automation, Inc.
Conflict Minerals Report
For The Year Ended December 31, 2015
Introduction
Brooks Automation, Inc. also referred to as “Brooks”, “we”, “our”, and “us” is a leading worldwide provider of automation and cryogenic solutions for multiple markets including semiconductor manufacturing and life sciences. Our technologies, engineering competencies and global service capabilities provide customers speed to market and ensure high uptime and rapid response, which equate to superior value in our customers' mission-critical controlled environments.
This Conflict Minerals Report (“CMR”) for the year ended December 31, 2015 is presented to comply with Rule 13p-1 under the Securities Exchange Act of 1934 (the “Rule”). The Rule imposes certain reporting obligations on U.S. Securities and Exchange Commission (“SEC”) issuers whose manufactured products contain certain minerals which are necessary to the functionality or production of their products. These minerals are cassiterite, columbite-tantalite (coltan), gold, wolframite, and their derivatives, which are limited to tin, tantalum and tungsten (“3TG” or “Conflict Minerals”). The Rule focuses on 3TG emanating from the Democratic Republic of Congo (“DRC”) region and nine adjoining countries (together, the “Covered Countries”). If an issuer has reason to believe that any of the Conflict Minerals in their supply chain may have originated in the Covered Countries, or if they are unable to determine the country of origin of those Conflict Minerals, then the issuer must exercise due diligence on the Conflict Minerals’ source and chain of custody and submit a CMR to the SEC that includes a description of those due diligence measures.
This CMR relates to the process undertaken for Brooks products that were manufactured, or contracted to be manufactured, during calendar year 2015 and that contain Conflict Minerals.
Executive Summary
Brooks performed a Reasonable Country of Origin Inquiry (RCOI) on suppliers believed to provide Brooks with materials or components containing 3TGs necessary to the manufacturing of Brooks’ products. Brooks’ suppliers identified 306 valid smelters and refineries (“smelters”). Of these 306 smelters, Brooks identified 39 as sourcing (or there was a reason to believe they may be sourcing) from the DRC or adjoining countries (collectively called the ‘Covered Countries’). Brooks’ due diligence review indicated that 37 of these smelters have been audited and recognized as conflict free by the Conflict Free Smelter Program (“CFSP”). The remaining 2 smelters sourcing from the Covered Countries were subject to Brooks’ risk mitigation process according to the OECD Due Diligence Guidance for Responsible Supply Chain of Minerals from Conflict-Affected and High Risk Areas (OECD Due Diligence Guidance) and did not require removal from Brooks’ supply chain.
Company Management Systems
Brooks established strong management systems according to Step 1 of the OECD Due Diligence Guidance. Brooks’ systems included:
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| • | Step 1A - Adopt, and clearly communicate to suppliers and the public, a company policy for the supply chain of minerals originating from conflict-affected and high-risk areas. |
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| • | Implemented a conflict minerals policy; |
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| • | Policy made publicly available: |
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| • | http://www.brooks.com/company/about-brooks/~/media/Files/Sustainability/Brooks_Policy_Conflict_Minerals.pdf; and |
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| • | Policy communicated directly to suppliers as part of RCOI process. |
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| • | Step 1B - Structure internal management to support supply chain due diligence; |
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| • | Maintained an internal cross functional team to support supply chain due diligence |
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| • | Appointed a member of the senior staff with the necessary competence, knowledge, and experience to oversee supply chain due diligence; and |
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| • | Applied the resources necessary to support the operation and monitoring of these processes including internal resources and external consulting support. |
Step 1C - Establish a system of transparency, information collection and control over the supply chain.
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| • | Implemented a process to collect required supplier and smelter RCOI and due diligence data (full details on the supply chain data gathering are included in the RCOI and due diligence sections of this Report). |
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| • | Step 1D - Strengthen company engagement with suppliers. |
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| • | Directly engaged suppliers during RCOI process; |
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| • | Reviewed supplier responses as part of RCOI process; |
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| • | Added conflict minerals compliance to new supplier contracts and Brooks’ supplier code of conduct; and |
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| • | Implemented a plan to improve the quantity and quality of supplier and smelter responses year over year. |
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| • | Step 1E - Establish a company and/or mine level grievance mechanism. |
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| • | Recognized the CFSP’s three audit protocols for gold, tin/tantalum, and tungsten as valid sources of smelter or mine level grievances; and |
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| • | Brooks’ ethics violations reporting system allows employees to voice confidentially without any fear of retribution, any concerns with the violations of the Brooks’ conflict minerals policy. |
Reasonable Country of Origin Inquiry (RCOI)
Brooks designed its RCOI process in accordance with Step 2A and 2B of the OECD Due Diligence Guidance. Brooks’ RCOI process involved two stages:
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| • | Stage 1 - Supplier RCOI (Step 2A of the OECD Due Diligence Guidance) |
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| • | Stage 2 - Smelter RCOI (Step 2B of the OECD Due Diligence Guidance) |
Supplier RCOI
Brooks designed its supplier RCOI process to identify, to the best of Brooks’ efforts, the smelters in Brooks’ supply chain in accordance with Step 2A of the OECD Due Diligence Guidance. Brooks’ supplier RCOI process for the 2015 reporting period included the following:
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| • | Developing a list of suppliers providing 3TG containing components to Brooks; |
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| • | Contacting each supplier and requesting the industry standard Conflict Minerals Reporting Template (“CMRT”) including smelter information; |
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| • | Reviewing supplier responses for accuracy and completeness; |
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| • | Amalgamating supplier provided smelters into a single unique list of smelters meeting the definition of a smelter under one of three industry recognized audit protocols; and |
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| • | Reviewing the final smelter list (and compared it to industry peers) to determine if Brooks identified reasonably all of the smelters in their supply chain. |
For the 2015 reporting period, Brooks’ supplier RCOI process was executed primarily by Claigan Environmental Inc. (“Claigan”). The design of Claigan’s process was independently audited in 2015 against the requirements of Step 2 of the OECD Due Diligence Guidance.
Brooks’ suppliers identified 306 smelters in their supply chain. The specific list of smelters is included in the Smelter and Refineries section at the end of this report.
Smelter RCOI
Due to the overlap between smelter RCOI and smelter due diligence, the smelter RCOI process is summarized in the due diligence section of this report.
Due Diligence
Brooks’ Due Diligence Process was designed in accordance with the applicable sections of Steps 2, 3, and 4 of the OECD Due Diligence Guidance.
Smelter RCOI and Due Diligence
Brooks’ smelter RCOI and due diligence process were designed to:
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| • | Identify the scope of the risk assessment of the mineral supply chain (OECD Step 2B); |
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| • | Assess whether the smelters/refiners have carried out all elements of due diligence for responsible supply chains of minerals from conflict-affected and high-risk areas (OECD Step 2C); and |
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| • | Where necessary, carry out, including through participation in industry-driven programs, joint spot checks at the mineral smelter/refiner’s own facilities (OECD Step 2D). |
Brooks’ smelter RCOI and Due Diligence Process included the following:
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| • | For each smelter identified in Brooks’ supply chain, direct engagement of the smelter to obtain whether or not the smelter sources from the DRC or surrounding countries, |
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| • | For smelters that declared directly or through their relevant industry association that they did not source from the DRC or surrounding countries, and were not recognized as conflict free by the CFSP, Brooks reviewed publicly available information to determine if there was any contrary evidence to the smelter’s declaration. The sources reviewed included: |
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| • | Public internet search (Google) of the facility in combination with each of the covered countries; |
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| • | Review of specific NGO publications, including: |
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| • | Southern Africa Resource Watch; and |
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| • | The most recent UN Group of Experts report on the DRC. |
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| • | For smelters that did not respond to direct engagement, Brooks reviewed publicly available sources to determine if there was ‘any reason to believe’ that the smelter may have sourced from the Covered Countries during the reporting period. |
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| • | Brooks reviewed the same sources as those used to compare against smelter sourcing declarations. |
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| • | For high risk smelters (smelters that are sourcing from or there is reason to believe they may be sourcing from the Covered Countries), Brooks requires the smelter be audited and recognized as conflict free by the CFSP. |
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| • | For high risk smelters that have not been audited and recognized as conflict free by the CFSP, Brooks communicates the risk to a designated member of senior management (OECD Step 3A) and conducts risk mitigation on the smelter according to OECD Step 3B. |
For the 2015 reporting period, Brooks’ smelter RCOI and Due Diligence process was executed primarily by Claigan. Claigan was independently audited in 2015 against the requirements of Step 2 of the OECD Due Diligence Guidance.
Brooks’ suppliers identified 306 smelters. Brooks identified 39 smelters that source, or there is a reason to believe they source, from the Covered Countries. Brooks determined that 37 of these 39 smelters have been audited and recognized as conflict free by the CFSP. Brooks conducted risk mitigation on the remaining 2 smelters.
Risk Mitigation
Brooks conducted risk mitigation on 2 smelters that were not recognized as conflict free by the CFSP and were sourcing from the DRC or surrounding countries. Brooks’ risk mitigation was designed in accordance with Step 3B of the OECD Due Diligence Guidance and was reported to the Vice President and General Counsel in accordance with Step 3A of the OECD Due Diligence Guidance. Brooks’ risk mitigation process included the following:
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| • | Additional due diligence to determine if there was any reason to believe the smelter directly or indirectly finance or benefit armed groups in the DRC or adjoining countries; |
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| • | Verifying with internal stakeholders and relevant suppliers whether 3TGs from the specific smelter were actually in Brooks’ supply chain in the 2015 reporting period; and |
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| • | Direct engagement with each high risk smelter to verify risk and to encourage the smelter to become conflict free. |
Brooks did not require the removal of smelters subject to Brooks’ risk mitigation process if there was no reason to believe they were directly or indirectly financing or benefitting armed groups in the DRC or adjoining countries. These smelters are scheduled to be re-visited in the 2016 reporting period. This process is consistent with Step 3B of the OECD Due Diligence Guidance and helps prevent unnecessary boycotts of the DRC or adjoining countries.
Risk mitigation was required for 2 smelters verified by suppliers likely to be in Brooks’ supply chain.
Tin Smelter - Rwanda
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| • | Smelter provided a very detailed due diligence report for 2014. |
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| • | Recognized by the CFSP as ‘active’ (undergoing an independent audit to an industry recognized protocol). |
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| • | The CFSP does not encourage the removal of a smelter from the supply chain as long as the smelter is recognized as active. |
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| • | No reason to believe, from publicly available sources and provided due diligence report, that the tin smelter directly or indirectly financed or benefitted armed groups in the DRC or adjoining countries. |
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| • | Does not require removal from supply chain. The smelter’s status will be reviewed in the 2016 reporting period. |
Gold Smelter - United Arab Emirates (UAE)
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| • | Smelter provided a very detailed due diligence report for 2014. |
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| • | The refinery was audited and successfully certified to the DMCC responsible sourcing of precious metals. |
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| • | The DMCC responsible sourcing audit is not yet recognized by the CFSP, but is to be reviewed for recognition by the CFSP in 2016. |
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| • | No reason to believe, from publicly available sources and provided due diligence report, that the gold smelter directly or indirectly financed or benefitted armed groups in the DRC or adjoining countries. |
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| • | Does not require removal from supply chain. The smelter’s status will be reviewed in the 2016 reporting period. |
Improvement Plan
Brooks is taking and will continue to take the following steps to improve the due diligence conducted to further mitigate risk that the necessary conflict minerals in Brooks’ products could directly or indirectly benefit or finance armed groups in the covered countries:
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| a. | Including a conflict minerals clause in all new and renewing supplier contracts; |
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| b. | Continuing to drive our suppliers to obtain current, accurate, and complete information about the smelters in their supply chain; |
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| c. | Engaging smelters sourcing from the covered countries to become audited and certified to a protocol recognized by the CFSP; and |
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| d. | Follow up in 2016 on smelters requiring risk mitigation, but not removal from Brooks’ supply chain. |
Smelters and Refineries
Below are the smelters reported to Brooks as likely in Brooks’ supply chain in the 2015 reporting period.
Metal Smelter
Gold Advanced Chemical Company
Gold Aida Chemical Industries Co., Ltd.
Gold Aktyubinsk Copper Company TOO
Gold Al Etihad Gold Refinery DMCC
Gold Allgemeine Gold-und Silberscheideanstalt A.G.
Gold Almalyk Mining and Metallurgical Complex (AMMC)
Gold AngloGold Ashanti Córrego do Sítio Mineração
Gold Argor-Heraeus SA
Gold Asahi Pretec Corporation
Gold Asahi Refining Canada Limited
Gold Asahi Refining USA Inc.
Gold Asaka Riken Co., Ltd.
Gold Atasay Kuyumculuk Sanayi Ve Ticaret A.S.
Gold Aurubis AG
Gold Bangalore Refinery (P) Ltd.
Gold Bangko Sentral ng Pilipinas (Central Bank of the Philippines)
Gold Bauer Walser AG
Gold Boliden AB
Gold C. Hafner GmbH + Co. KG
Gold Caridad
Gold CCR Refinery - Glencore Canada Corporation
Gold Cendres + Métaux SA
Gold Chimet S.p.A.
Gold Chugai Mining
Gold Daejin Indus Co., Ltd.
Gold Daye Non-Ferrous Metals Mining Ltd.
Gold Do Sung Corporation
Gold Doduco
Gold Dowa
Gold Eco-System Recycling Co., Ltd.
Gold Elemetal Refining, LLC
Gold Emirates Gold DMCC
Gold Faggi Enrico S.p.A.
Gold Fidelity Printers and Refiners Ltd.
Gold Gansu Seemine Material Hi-Tech Co., Ltd.
Gold Geib Refining Corporation
Gold Guangdong Jinding Gold Limited
Gold Guoda Safina High-Tech Environmental Refinery Co., Ltd.
Gold Hangzhou Fuchunjiang Smelting Co., Ltd.
Gold Heimerle + Meule GmbH
Gold Henan Yuguang Gold & Lead Co., Ltd.
Gold Heraeus Ltd. Hong Kong
Gold Heraeus Precious Metals GmbH & Co. KG
Gold Hunan Chenzhou Mining Group Co., Ltd.
Gold Hwasung CJ Co., Ltd.
Gold Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited
Gold Ishifuku Metal Industry Co., Ltd.
Gold Istanbul Gold Refinery
Gold Japan Mint
Gold Jiangxi Copper Company Limited
Gold JSC Ekaterinburg Non-Ferrous Metal Processing Plant
Gold JSC Uralelectromed
Gold JX Nippon Mining & Metals Co., Ltd.
Gold Kazakhmys Smelting LLC
Gold Kazzinc
Gold Kennecott Utah Copper LLC
Gold KGHM Polska Miedź Spółka Akcyjna
Gold Kojima Chemicals Co., Ltd.
Gold Korea Metal Co., Ltd.
Gold Korea Zinc Co. Ltd.
Gold Kyrgyzaltyn JSC
Gold L' azurde Company For Jewelry
Gold Lingbao Gold Company Limited
Gold Lingbao Jinyuan Tonghui Refinery Co., Ltd.
Gold LS-NIKKO Copper Inc.
Gold Luoyang Zijin Yinhui Gold Refinery Co., Ltd.
Gold Materion
Gold Matsuda Sangyo Co., Ltd.
Gold METALÚRGICA MET-MEX PEÑOLES, S.A. DE C.V
Gold Metalor Technologies (Hong Kong) Ltd.
Gold Metalor Technologies (Singapore) Pte., Ltd.
Gold Metalor Technologies (Suzhou) Ltd.
Gold Metalor Technologies SA
Gold Metalor USA Refining Corporation
Gold Mitsubishi Materials Corporation
Gold Mitsui Mining and Smelting Co., Ltd.
Gold MMTC-PAMP India Pvt., Ltd.
Gold Morris and Watson
Gold Moscow Special Alloys Processing Plant
Gold Nadir Metal Rafineri San. Ve Tic. A.Ş.
Gold Navoi Mining and Metallurgical Combinat
Gold Nihon Material Co., Ltd.
Gold Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH
Gold Ohura Precious Metal Industry Co., Ltd.
Gold OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastvetmet)
Gold OJSC Kolyma Refinery
Gold OJSC Novosibirsk Refinery
Gold PAMP SA
Gold Penglai Penggang Gold Industry Co., Ltd.
Gold Prioksky Plant of Non-Ferrous Metals
Gold PT Aneka Tambang (Persero) Tbk
Gold PX Précinox SA
Gold Rand Refinery (Pty) Ltd.
Gold Republic Metals Corporation
Gold Royal Canadian Mint
Gold Sabin Metal Corp.
Gold Samduck Precious Metals
Gold SAMWON Metals Corp.
Gold SAXONIA Edelmetalle GmbH
Gold Schone Edelmetaal B.V.
Gold SEMPSA Joyería Platería SA
Gold Shangdong Humon Smelting Co., Ltd.
Gold Shandong Tiancheng Biological Gold Industrial Co., Ltd.
Gold Shandong Zhaojin Gold & Silver Refinery Co., Ltd.
Gold Shenzhen Zhonghenglong Real Industry Co., Ltd.
Gold Sichuan Tianze Precious Metals Co., Ltd.
Gold Singway Technology Co., Ltd.
Gold So Accurate Group, Inc.
Gold SOE Shyolkovsky Factory of Secondary Precious Metals
Gold Solar Applied Materials Technology Corp.
Gold Sumitomo Metal Mining Co., Ltd.
Gold Super Dragon Technology Co., Ltd.
Gold T.C.A S.p.A
Gold Tanaka Kikinzoku Kogyo K.K.
Gold The Great Wall Gold and Silver Refinery of China
Gold The Refinery of Shandong Gold Mining Co., Ltd.
Gold Tokuriki Honten Co., Ltd.
Gold Tongling Nonferrous Metals Group Co., Ltd.
Gold Torecom
Gold Umicore Brasil Ltda.
Gold Umicore Precious Metals Thailand
Gold Umicore SA Business Unit Precious Metals Refining
Gold United Precious Metal Refining, Inc.
Gold Valcambi SA
Gold Western Australian Mint trading as The Perth Mint
Gold Yamamoto Precious Metal Co., Ltd.
Gold Yunnan Copper Industry Co., Ltd.
Gold Zhongkuang Gold Industry Co., Ltd.
Gold Zhongyuan Gold Smelter of Zhongjin Gold Corporation
Gold Zijin Mining Group Co., Ltd. Gold Refinery
Tantalum Changsha South Tantalum Niobium Co., Ltd.
Tantalum Conghua Tantalum and Niobium Smeltry
Tantalum Duoluoshan
Tantalum D Block Metals, LLC
Tantalum Exotech Inc.
Tantalum F&X Electro-Materials Ltd.
Tantalum FIR Metals & Resource Ltd.
Tantalum Global Advanced Metals Aizu
Tantalum Global Advanced Metals Boyertown
Tantalum Guangdong Zhiyuan New Material Co., Ltd.
Tantalum Guizhou Zhenhua Xinyun Technology Ltd., Kaili branch
Tantalum H.C. Starck Co., Ltd.
Tantalum H.C. Starck GmbH Goslar
Tantalum H.C. Starck GmbH Laufenburg
Tantalum H.C. Starck Hermsdorf GmbH
Tantalum H.C. Starck Inc.
Tantalum H.C. Starck Ltd.
Tantalum H.C. Starck Smelting GmbH & Co.KG
Tantalum Hengyang King Xing Lifeng New Materials Co., Ltd.
Tantalum Hi-Temp Specialty Metals, Inc.
Tantalum Jiangxi Dinghai Tantalum & Niobium Co., Ltd.
Tantalum JiuJiang JinXin Nonferrous Metals Co., Ltd.
Tantalum Jiujiang Tanbre Co., Ltd.
Tantalum Jiujiang Zhongao Tantalum & Niobium Co., Ltd.
Tantalum KEMET Blue Metals
Tantalum KEMET Blue Powder
Tantalum King-Tan Tantalum Industry Ltd.
Tantalum LSM Brasil S.A.
Tantalum Metallurgical Products India Pvt., Ltd.
Tantalum Mineração Taboca S.A.
Tantalum Mitsui Mining & Smelting
Tantalum Molycorp Silmet A.S.
Tantalum Ningxia Orient Tantalum Industry Co., Ltd.
Tantalum Plansee SE Liezen
Tantalum Plansee SE Reutte
Tantalum QuantumClean
Tantalum Resind Indústria e Comércio Ltda.
Tantalum RFH Tantalum Smeltry Co., Ltd.
Tantalum Solikamsk Magnesium Works OAO
Tantalum Taki Chemicals
Tantalum Telex Metals
Tantalum Tranzact, Inc.
Tantalum Ulba Metallurgical Plant JSC
Tantalum XinXing HaoRong Electronic Material Co., Ltd.
Tantalum Yichun Jin Yang Rare Metal Co., Ltd.
Tantalum Zhuzhou Cemented Carbide
Tin Alpha
Tin An Thai Minerals Company Limited
Tin An Vinh Joint Stock Mineral Processing Company
Tin Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.
Tin China Tin Group Co., Ltd.
Tin CNMC (Guangxi) PGMA Co., Ltd.
Tin Cooperativa Metalurgica de Rondônia Ltda.
Tin CV Ayi Jaya
Tin CV Gita Pesona
Tin CV Serumpun Sebalai
Tin CV United Smelting
Tin CV Venus Inti Perkasa
Tin Dowa
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| Tin | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company |
Tin Elmet S.L.U (Metallo Group)
Tin EM Vinto
Tin Estanho de Rondônia S.A.
Tin Feinhütte Halsbrücke GmbH
Tin Fenix Metals
Tin Gejiu Jinye Mineral Co., Ltd.
Tin Gejiu Kai Meng Industry and Trade LLC
Tin Gejiu Non-Ferrous Metal Processing Co., Ltd.
Tin Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.
Tin Gejiu Zili Mining And Metallurgy Co., Ltd.
Tin Huichang Jinshunda Tin Co., Ltd.
Tin Jiangxi Ketai Advanced Material Co., Ltd.
Tin Linwu Xianggui Ore Smelting Co., Ltd.
Tin Magnu's Minerais Metais e Ligas Ltda.
Tin Malaysia Smelting Corporation (MSC)
Tin Melt Metais e Ligas S/A
Tin Metallic Resources, Inc.
Tin Metallo-Chimique N.V.
Tin Mineração Taboca S.A.
Tin Minsur
Tin Mitsubishi Materials Corporation
Tin Nankang Nanshan Tin Manufactory Co., Ltd.
Tin Nghe Tinh Non-Ferrous Metals Joint Stock Company
Tin O.M. Manufacturing Philippines, Inc.
Tin O.M. Manufacturing (Thailand) Co., Ltd.
Tin Operaciones Metalurgical S.A.
Tin Phoenix Metal Ltd.
Tin PT Alam Lestari Kencana
Tin PT Aries Kencana Sejahtera
Tin PT Artha Cipta Langgeng
Tin PT ATD Makmur Mandiri Jaya
Tin PT Babel Inti Perkasa
Tin PT Bangka Kudai Tin
Tin PT Bangka Prima Tin
Tin PT Bangka Timah Utama Sejahtera
Tin PT Bangka Tin Industry
Tin PT Belitung Industri Sejahtera
Tin PT BilliTin Makmur Lestari
Tin PT Bukit Timah
Tin PT Cipta Persada Mulia
Tin PT DS Jaya Abadi
Tin PT Eunindo Usaha Mandiri
Tin PT Fang Di MulTindo
Tin PT Inti Stania Prima
Tin PT Justindo
Tin PT Karimun Mining
Tin PT Mitra Stania Prima
Tin PT Panca Mega Persada
Tin PT Pelat Timah Nusantara Tbk
Tin PT Prima Timah Utama
Tin PT Refined Bangka Tin
Tin PT Sariwiguna Binasentosa
Tin PT Stanindo Inti Perkasa
Tin PT Sumber Jaya Indah
Tin PT Timah (Persero) Tbk Kundur
Tin PT Timah (Persero) Tbk Mentok
Tin PT Tinindo Inter Nusa
Tin PT Tirus Putra Mandiri
Tin PT Wahana Perkit Jaya
Tin Resind Indústria e Comércio Ltda.
Tin Rui Da Hung
Tin Soft Metais Ltda.
Tin Super Ligas
Tin Thaisarco
Tin Tuyen Quang Non-Ferrous Metals Joint Stock Company
Tin VQB Mineral and Trading Group JSC
Tin White Solder Metalurgia e Mineração Ltda.
Tin Xianghualing Tin Industry Co., Ltd.
Tin Yunnan Chengfeng Non-ferrous Metals Co., Ltd.
Tin Yunnan Tin Group (Holding) Company Limited
Tungsten A.L.M.T. TUNGSTEN Corp.
Tungsten Asia Tungsten Products Vietnam Ltd.
Tungsten Chenzhou Diamond Tungsten Products Co., Ltd.
Tungsten Chongyi Zhangyuan Tungsten Co., Ltd.
Tungsten Dayu Jincheng Tungsten Industry Co., Ltd.
Tungsten Dayu Weiliang Tungsten Co., Ltd.
Tungsten Fujian Jinxin Tungsten Co., Ltd.
Tungsten Ganxian Shirui New Material Co., Ltd.
Tungsten Ganzhou Haichuang Tungsten Industry Co., Ltd.
Tungsten Ganzhou Huaxing Tungsten Products Co., Ltd.
Tungsten Ganzhou Jiangwu Ferrotungsten Co., Ltd.
Tungsten Ganzhou Non-ferrous Metals Smelting Co., Ltd.
Tungsten Ganzhou Seadragon W & Mo Co., Ltd.
Tungsten Ganzhou Yatai Tungsten Co., Ltd.
Tungsten Global Tungsten & Powders Corp.
Tungsten Guangdong Xianglu Tungsten Co., Ltd.
Tungsten H.C. Starck GmbH
Tungsten H.C. Starck Smelting GmbH & Co.KG
Tungsten Hunan Chenzhou Mining Group Co., Ltd.
Tungsten Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji
Tungsten Hunan Chuangda Vanadium Tungsten Co., Ltd. Yanglin
Tungsten Hunan Chunchang Nonferrous Metals Co., Ltd.
Tungsten Hydrometallurg, JSC
Tungsten Japan New Metals Co., Ltd.
Tungsten Jiangwu H.C. Starck Tungsten Products Co., Ltd.
Tungsten Jiangxi Gan Bei Tungsten Co., Ltd.
Tungsten Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.
Tungsten Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.
Tungsten Jiangxi Xinsheng Tungsten Industry Co., Ltd.
Tungsten Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.
Tungsten Jiangxi Yaosheng Tungsten Co., Ltd.
Tungsten Kennametal Fallon
Tungsten Kennametal Huntsville
Tungsten Luoyang Mudu Tungsten & Molybdenum Technology Co., Ltd
Tungsten Malipo Haiyu Tungsten Co., Ltd.
Tungsten Niagara Refining LLC
Tungsten Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC
Tungsten Pobedit, JSC
Tungsten Sanher Tungsten Vietnam Co., Ltd.
Tungsten Tejing (Vietnam) Tungsten Co., Ltd.
Tungsten Vietnam Youngsun Tungsten Industry Co., Ltd.
Tungsten Wolfram Bergbau und Hütten AG
Tungsten Xiamen Tungsten (H.C.) Co., Ltd.
Tungsten Xiamen Tungsten Co., Ltd.
Tungsten Xinhai Rendan Shaoguan Tungsten Co., Ltd.
Thirty-nine of the smelters above declared to be sourcing or there was reason to believe they may be sourcing from the covered countries. Under the SEC Final Rule, the requirement is to identify whether or not a smelter is sourcing from the covered countries and there is no requirement to identify the specific covered country by the smelter. Given the limitation on the specificity of the smelters’ disclosures, the identified covered countries are The Democratic Republic of the Congo, Rwanda, Burundi, and Tanzania.
