EX-1.01 2 a16-12432_1ex1d01.htm EX-1.01

Exhibit 1.01

 

Amphenol Corporation

Conflict Minerals Report

For The Year Ended December 31, 2015

 

This report (this “Conflict Minerals Report”) for the year ended December 31, 2015 is presented to comply with Rule 13p-1 under the Securities Exchange Act of 1934, as amended, and Form SD (collectively, the “Rule”). The Rule was adopted by the Securities and Exchange Commission (the “SEC”) to implement reporting and disclosure requirements related to certain minerals as directed by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the “Dodd-Frank Act”). The Rule imposes certain reporting obligations on SEC registrants, like Amphenol Corporation (together with its subsidiaries, the “Company”, “Amphenol” “us” or “we”), whose manufactured products contain certain minerals or their derivatives which are necessary to the functionality or production of their products. These minerals include cassiterite, columbite-tantalite, gold, wolframite, and their derivatives, which are limited to tin, tantalum, tungsten, and gold (“3TG” or “conflict minerals”) for the purposes of this assessment. These reporting obligations apply to registrants regardless of the geographic origin of the 3TG and whether or not they fund armed conflict in the Democratic Republic of the Congo (the “DRC”) or an adjoining country (together with the DRC, the “Covered Countries” or the “Conflict Region”).

 

This Conflict Minerals Report is not audited.

 

This Conflict Minerals Report has been prepared by management of the Company.  The information includes the activities of all majority-owned subsidiaries.

 

1. Company Overview

 

Amphenol is one of the world’s largest designers, manufacturers and marketers of electrical, electronic and fiber optic connectors, interconnect systems, antennas, sensors and sensor-based products and coaxial and high-speed specialty cable.  Amphenol designs, manufactures and assembles its products at facilities in the Americas, Europe, Asia, Australia and Africa and sells its products through its own global sales force, independent representatives and a global network of electronics distributors.  Amphenol has a diversified presence as a leader in high growth areas of the interconnect market including:  automotive, broadband communications, commercial aerospace, industrial, information technology and data communications, military, mobile devices and mobile networks.  Amphenol Corporation was incorporated in Delaware in 1986, but certain businesses now part of the Company have had operations since prior to 1900. Our principal executive offices are located at 358 Hall Avenue, Wallingford, Connecticut, 06492.

 

2.  Conflict Minerals Philosophy and Guidelines

 

Our initial conflict minerals policy was crafted in 2010.  The key principles guiding the Company’s conflict minerals philosophy and the guidelines pursuant to which the Company’s current conflict minerals program was established are expressed in two documents as modified and updated from time-to-time: (i) the Product Stewardship Policy — Conflict Minerals; and (ii) The Amphenol Corporation Code of Business Conduct and Ethics.  Text from the relevant portions of these documents is set forth below:

 

(a)         Product Stewardship Policy — Conflict Minerals

 

PURPOSE

 

To outline Amphenol Corporation’s practices regarding the sourcing of Conflict Minerals as well as the verification of such practices.

 

SCOPE

 

This policy applies to all employees of Amphenol Corporation (“Amphenol” or the “Company”) and its subsidiaries and affiliates. Amphenol will, as far as it is reasonably practicable, ensure that

 



 

the Company’s activities, and those of its suppliers and sub-contractors, will comply with this policy.

 

POLICY

 

Amphenol is committed to implementing programs and practices that promote environmental sustainability and social responsibility, while continually improving product quality and reliability. To that end, Amphenol is committed to ensuring its products are “DRC conflict-free”, that is, they do not contain metals derived from “conflict minerals”  -  columbite-tantalite (tantalum), cassiterite (tin), gold, wolframite (tungsten) - which directly or indirectly finance or benefit armed groups through mining or mineral trading in the Democratic Republic of the Congo (DRC) or an adjoining country.

 

In carrying out this policy, Amphenol will implement programs and practices that, wherever practicable:

 

·                  preclude the sourcing of conflict minerals from facilities in the DRC or adjoining countries that have not been certified as conflict free

 

·                  ensure that its suppliers have procedures in place to demonstrate and verify continuing conformance to this principle

 

·                  audit its suppliers for the continued accuracy of those verifications

 

·                  maintain records of verifications for both internal and/or external audit

 

·                  assign internal roles and responsibilities and provide appropriate staff training to manage program

 

·                  communicate the Company’s efforts to stakeholders

 

All Amphenol managers, employees, partners and suppliers are expected to adhere to the spirit as well as the letter of this policy.

 

IMPLEMENTATION

 

The senior executive responsible for each local operating unit is ultimately responsible for stewardship of the products made there and shall:

 

·                  provide appropriate staffing and assign internal roles and responsibilities to manage the Product Stewardship — Conflict Minerals Program

 

·                  maintain an awareness of and familiarity with regional, national and multi-national (e.g., European Union) statutes, regulations, directives and criteria applicable to the operation

 

·                  develop and implement programs and procedures necessary to carry out this policy, addressing existing and new product lines

 

·                  provide training to all affected employees of the requirements of this policy and the implementation of its programs and procedures. In particular, those personnel who interface with Amphenol’s customers (e.g., sales and marketing, product designers, quality assurance staff) should be familiar with all material aspects of this program

 

·                  maintain an adequate, verifiable database, consistent with the products being manufactured at a local operating unit, to facilitate transfer of information to customers and other stakeholders

 



 

The Company reserves the right to unilaterally terminate, suspend or amend this policy at any time.

 

(b)         Section 12 of the Amphenol Corporation Code of Business Conduct and Ethics reads as follows:

 

CONFLICT MINERALS

 

The ores from which gold, tantalum, tin and tungsten are derived, that come from the Democratic Republic of the Congo and adjoining nearby countries (including Angola, Burundi, Central African Republic, The Republic of the Congo, Rwanda, South Sudan, Tanzania, Uganda, and Zambia), which support the on-going conflicts in that region, are referred to herein as Conflict Minerals. It is believed that the proceeds of mining Conflict Minerals may contribute to armed conflict and human rights abuses. In support of initiatives to cut financing for this armed conflict and human rights abuses and in compliance with the regulations applicable to publicly traded companies, Amphenol has implemented programs and practices that are intended to:

 

·                  Confirm with reasonable certainty that the gold, tantalum, tin and tungsten purchased from suppliers and used in its products are not derived from Conflict Minerals

 

·                  Maintain, as necessary and appropriate, records of supplier verifications for both internal and/or external audit

 

·                  Assign internal roles and responsibilities and provide appropriate staff training to manage these programs and practices

 

·                  Communicate the Company’s efforts, as necessary and appropriate, to stakeholders

 

3.  Commitment

 

We have developed a process and are implementing a strategy to support the objectives of the Rule and our policy.  Our commitment includes:

 

·Developing policies and processes toward precluding the use of 3TG necessary to the functionality or production of our product(s) that finance or benefit armed groups in the Conflict Region.

 

·Not knowingly procuring specified minerals that originate from facilities in the Conflict Region that have not been independently identified as conflict free.

 

·Encouraging suppliers whose products contain 3TG to establish policies, due diligence frameworks, and management systems consistent with the Organisation for Economic Co-operation and Development (“OECD”) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High Risk-Areas that are designed to accomplish these goals, and requiring their suppliers to do the same.

 

Amphenol believes in establishing and maintaining long-term relationships with suppliers whenever possible. However, if we determine that any supplier is, or a reasonable risk exists that such supplier may be, violating this policy, we will require the supplier to commit to, devise and undertake suitable corrective action to move to a conflict-free source. If suitable action is not taken, we will look to alternative sources for the product. Amphenol’s efforts are not to ban procurement of 3TG from the DRC and adjoining countries, but to assure 3TG procurement from responsible sources in the region. If we determine that any of the components of our products contain 3TG from a mine or facility in the Conflict Region that is not “conflict free”, we will work towards transitioning to components and materials that are “conflict free”.

 



 

4.  Supply Chain Overview

 

Amphenol has a complex, broad and dynamic supply chain.  In many cases, the presence of 3TG in our supply chain is obvious, particularly in the case of raw materials.  Nevertheless, we performed a comprehensive analysis of our product components and raw materials, and the role our suppliers serve in both our manufacturing and product delivery processes.  Through this analysis we determined that many contain 3TG, triggering obligations under the Rule.  We also determined that 3TG is a small portion of overall materials content.  We don’t source directly from mines, smelters or refiners.  Rather, in almost all cases we are many levels removed from the mines, smelters or refiners.

 

5. Reasonable Country of Origin Inquiry and Due Diligence

 

Subsequent to its supply chain overview, the Company sought to determine whether its necessary 3TG originated in the Covered Countries.  Amphenol’s primary methodology to achieve this objective is to rely upon our direct and sub-tier suppliers to provide information on the origin of the 3TG contained in components and materials supplied to us.

 

We reached out to our suppliers that provide components or materials that are likely to contain 3TG.  Initially we conducted supplier training designed to educate certain key suppliers regarding the relevant, emerging SEC requirements and Amphenol’s expectations.  We launched our conflict minerals communication survey to key suppliers in 2012, and sought to reach all suppliers of components or materials containing 3TG in 2015.

 

We aim to further develop transparency into our supply chain through our supply chain reasonable country of origin inquiry and due diligence processes, driving accountability within the supply chain by leveraging our compliance program, and continuing our supplier outreach efforts.

 

5.1. Process

 

(a)         Design of Our Conflict Minerals Program and Description of the Investigative Process

 

Our conflict minerals compliance program together with our related investigative processes and efforts have been developed in conjunction with reference to the 2nd edition of the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (the “OECD Guidance”) and the related supplements for gold and for tin, tantalum and tungsten.

 

Our conflict minerals compliance process included: the development of a Conflict Minerals Policy, establishment of governance structures with cross functional team members and senior executives, communication to, and engagement of, suppliers, due diligence compliance process and measurement, record keeping and escalation procedures.  The measures discussed below are not all of the measures we took in furtherance of our conflict minerals compliance program or pursuant to the Rule and the OECD Guidance.  In addition, some of the measures discussed below are not expressly provided for in the OECD Guidance.

 

(b)         Internal Team

 

Amphenol has established a management system for complying with the Rule and implementing our compliance program. This management system operates within the Company’s Product Stewardship Group led by our Director EHS & Support Services, and includes a team of subject matter experts from relevant functions such as, legal, purchasing, quality assurance, corporate sustainability programs, manufacturing and environmental health and safety. The Director EHS & Support Services acts as the conflict minerals program manager. Senior management is briefed about the process and results on a regular basis.

 

(c)          Management Systems and Policies

 

As described above, Amphenol has included a provision in the Amphenol Corporation Code of Business Conduct and Ethics regarding Conflict Minerals.  This provision is cited above and is also posted on our website at: www.amphenol.com, and can be found by clicking on “Investors”, “Governance” and then “Code of Business Conduct” at http://www.amphenol.com/investors/governance/code_of_conduct.  The Product Stewardship Policy —

 



 

Conflict Minerals also governs our conflict minerals approach.  The information contained on our website 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 the Form SD.

 

(d)         Reasonable Country of Origin Inquiry

 

Amphenol has a decentralized management structure designed to encourage local accountability and responsibility for management responsibilities.  Pursuant to this structure, each local operating unit reports into a group management structure particular to a certain product line or market focus.  In 2015, there were eight such operating groups, each led by a Group General Manager who reports to our Chief Executive Officer.

 

Each individual operating unit in the Company evaluated its product lines to determine whether it manufactured or contracted to manufacture products for which 3TG are necessary to functionality or production.  Then, with respect to the related procurement of materials or components containing 3TG, each individual operating unit conducted its own reasonable country of origin inquiry (“RCOI”).  Thus, each operating unit identified its suppliers, narrowed the group of relevant suppliers to those providing materials or supplies that could potentially contain 3TG, and then interfaced with those suppliers to conduct a RCOI.  To assist with completion of this task, management and key product stewardship personnel of each of these groups were given RCOI materials prepared with reference to the OECD Guidance and we held internal training sessions delivered by the internal team regarding our RCOI process.

 

The operating units conducted outreach, training, and an extensive surveying project of our supply chain through the use of questionnaires prepared by our internal team with reference to the OECD Guidance.  Each operating unit reported the results of its surveying project to group management.  Group management then provided certificates to Amphenol headquarters with the results of their inquiries.

 

The supplier responses to our RCOI have been electronically archived.  The operating units collectively identified 24,842 vendor identification codes, some of which are likely duplicative given the Company’s decentralized management structure. Of these, they determined 5,244 to potentially be within the scope of our RCOI. Of these 5,244 suppliers potentially within the scope of the RCOI, the Company sent 5,244 requests for information and received 4,698 responses to our requests for information. Each local operating unit relied on these supplier’s responses to provide us with information about the source of 3TG contained in the components supplied to us. Many of our direct suppliers are similarly reliant upon information provided by their suppliers.

 

(e)          Escalation Procedure

 

We have a policy to follow-up to identify and escalate any identified issues associated with non-responsiveness or problematic responses to our RCOI.

 

(f)           Maintain Records

 

Amphenol has established our compliance process and set forth documentation and record maintenance mechanisms to ensure the retaining of relevant documentation in an electronic database.

 

(g)          Due Diligence

 

Amphenol’s due diligence efforts are not conducted at the operating unit level, but rather are conducted by headquarters representatives.

 

6.  Results of RCOI and Due Diligence

 

Feedback from the processes described herein has allowed us to render the conclusions in this Conflict Minerals Report.

 

Through its good faith RCOI, and subsequent due diligence efforts, Amphenol has no reason to believe any of the 3TG necessary to the functionality or production of its products is financing or benefiting armed conflict in the DRC

 



 

or its adjoining countries, but is not able to conclude with certainty that all of the products we sell that contain 3TG are conflict-free.  We have reached this conclusion because we have been unable to determine the origin of at least a portion of the 3TG used in some of our products.  Based on data gathered by our RCOI, certain information about smelters/refiners and countries of origin in our supply chain is listed in Annexes I and II.

 

In the course of our RCOI and related due diligence, Amphenol has determined that certain elements of our supply chain originate in the Conflict Region.  These findings were escalated in compliance with our due diligence escalation procedure.  Through this process we learned that a portion of our feedstock and component materials contained tantalum or tin which originated from the Conflict Region.  Through diligence and further inquiry, we concluded that the KEMET, Malaysia Smelting Corporation and Thaisarco have been audited and confirmed as conflict-free by the Conflict-Free Sourcing Initiative.  Phoenix Metal Ltd. is a tin smelter engaged in the Conflict-Free Sourcing Program, but has not yet been audited.

 

7. Due Diligence Risk Mitigation and Maturation

 

As we move towards enhancing our due diligence program, we intend to continue to mitigate possible risk that the necessary 3TG in our products could benefit armed groups in the Conflict Region.  In furtherance of this goal, the Company has continued to increase the number of personnel with responsibility for supply chain due diligence efforts.  We strive to enhance supplier communication, engage with certain suppliers to build supplier capability for conflict minerals supply chain traceability, and communicate training and escalation processes to improve due diligence data accuracy and completion.  To the extent we were to discover that any of our suppliers are sourcing from smelters or refiners that support conflict, Amphenol will work toward using alternate sources within a reasonable time frame.

 

8. Identify and Assess Risk in the Supply Chain

 

Because of our size, the breadth and complexity of the raw materials and components used in our products, and the constant evolution of our supply chain, identifying actors upstream from our direct suppliers is a challenge. The Company will continue to seek to identify cost effective methodologies and to monitor practices used by other companies and industry associations to enhance visibility to subsequent tiers of the supply chain.

 

9. Audit of Supply Chain Due Diligence

 

Amphenol does not have a direct relationship with 3TG smelters and refiners, nor do we perform direct audits of these entities that provide our supply chain the 3TG. However, we do utilize information made available by and rely upon industry efforts to influence smelters and refineries to become audited and compliant through the Conflict-Free Sourcing Initiative’s Conflict-Free Smelter Program, of which Amphenol is a member company.

 



 

ANNEX I

 

Smelters or Refiners (SOR) in Amphenol Corporation’s Supply Chain as of December 31, 2015 based on our RCOI

 

The SORs represent validated facilities in which conflict minerals may be processed into 3TG necessary to the functionality or production of Amphenol products.

 

 

 

Metal

 

Smelter or Refiner Name

 

Smelter or 
Refiner Country 
Location

1

 

Gold

 

Advanced Chemical Company

 

United States

2

 

Gold

 

Aida Chemical Industries Co., Ltd.

 

Japan

3

 

Gold

 

Aktyubinsk Copper Company TOO

 

Kazakhstan

4

 

Gold

 

Al Etihad Gold Refinery DMCC

 

United Arab Emirates

5

 

Gold

 

Allgemeine Gold-und Silberscheideanstalt A.G.

 

Germany

6

 

Gold

 

Almalyk Mining and Metallurgical Complex (AMMC)

 

Uzbekistan

7

 

Gold

 

AngloGold Ashanti Córrego do Sítio Mineração

 

Brazil

8

 

Gold

 

Argor-Heraeus SA

 

Switzerland

9

 

Gold

 

Asahi Pretec Corporation

 

Japan

10

 

Gold

 

Asahi Refining Canada Limited

 

Canada

11

 

Gold

 

Asahi Refining USA Inc.

 

United States

12

 

Gold

 

Asaka Riken Co., Ltd.

 

Japan

13

 

Gold

 

Atasay Kuyumculuk Sanayi Ve Ticaret A.S.

 

Turkey

14

 

Gold

 

Aurubis AG

 

Germany

15

 

Gold

 

Bangko Sentral ng Pilipinas (Central Bank of the Philippines)

 

Phillipines

16

 

Gold

 

Bauer Walser AG

 

Germany

17

 

Gold

 

Boliden AB

 

Sweden

18

 

Gold

 

C. Hafner GmbH + Co. KG

 

Germany

19

 

Gold

 

Caridad

 

Mexico

20

 

Gold

 

CCR Refinery - Glencore Canada Corporation

 

Canada

21

 

Gold

 

Cendres + Métaux SA

 

Switzerland

22

 

Gold

 

Chimet S.p.A.

 

Italy

23

 

Gold

 

Chugai Mining

 

Japan

24

 

Gold

 

Daejin Indus Co., Ltd.

 

Korea, Republic Of

25

 

Gold

 

Daye Non-Ferrous Metals Mining Ltd.

 

China

26

 

Gold

 

Do Sung Corporation

 

Korea, Republic Of

27

 

Gold

 

DODUCO GmbH

 

Germany

28

 

Gold

 

Dowa

 

Japan

29

 

Gold

 

Eco-System Recycling Co., Ltd.

 

Japan

30

 

Gold

 

Elemetal Refining, LLC

 

United States

31

 

Gold

 

Emirates Gold DMCC

 

United Arab Emirates

32

 

Gold

 

Faggi Enrico S.p.A.

 

Italy

 



 

33

 

Gold

 

Fidelity Printers and Refiners Ltd.

 

Zimbabwe

34

 

Gold

 

Gansu Seemine Material Hi-Tech Co., Ltd.

 

Estonia

35

 

Gold

 

Geib Refining Corporation

 

United States

36

 

Gold

 

Great Wall Precious Metals Co., Ltd. of CBPM

 

China

37

 

Gold

 

Guangdong Jinding Gold Limited

 

China

38

 

Gold

 

Guoda Safina High-Tech Environmental Refinery Co., Ltd.

 

China

39

 

Gold

 

Hangzhou Fuchunjiang Smelting Co., Ltd.

 

China

40

 

Gold

 

Heimerle + Meule GmbH

 

Germany

41

 

Gold

 

Heraeus Ltd. Hong Kong

 

China

42

 

Gold

 

Heraeus Precious Metals GmbH & Co. KG

 

Germany

43

 

Gold

 

Hunan Chenzhou Mining Co., Ltd.

 

China

44

 

Gold

 

Hwasung CJ Co., Ltd.

 

Korea, Republic Of

45

 

Gold

 

Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited

 

China

46

 

Gold

 

Ishifuku Metal Industry Co., Ltd.

 

Japan

47

 

Gold

 

Istanbul Gold Refinery

 

Turkey

48

 

Gold

 

Japan Mint

 

Japan

49

 

Gold

 

Jiangxi Copper Company Limited

 

China

50

 

Gold

 

JSC Ekaterinburg Non-Ferrous Metal Processing Plant

 

Russian Federation

51

 

Gold

 

JSC Uralelectromed

 

Russian Federation

52

 

Gold

 

JX Nippon Mining & Metals Co., Ltd.

 

Japan

53

 

Gold

 

Kaloti Precious Metals

 

United Arab Emirates

54

 

Gold

 

Kazakhmys Smelting LLC

 

Kazakhstan

55

 

Gold

 

Kazzinc

 

Kazakhstan

56

 

Gold

 

Kennecott Utah Copper LLC

 

United States

57

 

Gold

 

KGHM Polska Miedź Spółka Akcyjna

 

Poland

58

 

Gold

 

Kojima Chemicals Co., Ltd.

 

Japan

59

 

Gold

 

Korea Metal Co., Ltd.

 

Korea, Republic Of

60

 

Gold

 

Korea Zinc Co. Ltd.

 

Korea, Republic Of

61

 

Gold

 

Kyrgyzaltyn JSC

 

Kyrgyzstan

62

 

Gold

 

L’ azurde Company For Jewelry

 

Saudi Arabia

63

 

Gold

 

Lingbao Gold Company Limited

 

China

64

 

Gold

 

Lingbao Jinyuan Tonghui Refinery Co., Ltd.

 

China

65

 

Gold

 

LS-NIKKO Copper Inc.

 

Korea, Republic Of

66

 

Gold

 

Luoyang Zijin Yinhui Gold Refinery Co., Ltd.

 

China

67

 

Gold

 

Materion

 

United States

68

 

Gold

 

Matsuda Sangyo Co., Ltd.

 

Japan

69

 

Gold

 

Metahub Industries Sdn. Bhd.

 

Malaysia

70

 

Gold

 

Metalor Technologies (Hong Kong) Ltd.

 

China

71

 

Gold

 

Metalor Technologies (Singapore) Pte., Ltd.

 

Singapore

72

 

Gold

 

Metalor Technologies (Suzhou) Ltd.

 

China

73

 

Gold

 

Metalor Technologies SA

 

Switzerland

74

 

Gold

 

Metalor USA Refining Corporation

 

United States

75

 

Gold

 

METALÚRGICA MET-MEX PEÑOLES, S.A. DE C.V

 

Mexico

 



 

76

 

Gold

 

Mitsubishi Materials Corporation

 

Japan

77

 

Gold

 

Mitsui Mining and Smelting Co., Ltd.

 

Japan

78

 

Gold

 

MMTC-PAMP India Pvt., Ltd.

 

India

79

 

Gold

 

Morris and Watson

 

New Zealand

80

 

Gold

 

Moscow Special Alloys Processing Plant

 

Russian Federation

81

 

Gold

 

Nadir Metal Rafineri San. Ve Tic. A.Ş.

 

Turkey

82

 

Gold

 

Navoi Mining and Metallurgical Combinat

 

Uzbekistan

83

 

Gold

 

Nihon Material Co., Ltd.

 

Japan

84

 

Gold

 

Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH

 

Austria

85

 

Gold

 

Ohura Precious Metal Industry Co., Ltd.

 

Japan

86

 

Gold

 

OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)

 

Russian Federation

87

 

Gold

 

OJSC Kolyma Refinery

 

Russian Federation

88

 

Gold

 

OJSC Novosibirsk Refinery

 

Russian Federation

89

 

Gold

 

PAMP SA

 

Switzerland

90

 

Gold

 

Penglai Penggang Gold Industry Co., Ltd.

 

China

91

 

Gold

 

Prioksky Plant of Non-Ferrous Metals

 

Russian Federation

92

 

Gold

 

PT Aneka Tambang (Persero) Tbk

 

Indonesia

93

 

Gold

 

PX Précinox SA

 

Switzerland

94

 

Gold

 

Rand Refinery (Pty) Ltd.

 

South Africa

95

 

Gold

 

Republic Metals Corporation

 

United States

96

 

Gold

 

Royal Canadian Mint

 

Canada

97

 

Gold

 

SAAMP

 

France

98

 

Gold

 

Sabin Metal Corp.

 

United States

99

 

Gold

 

Samduck Precious Metals

 

Korea, Republic Of

100

 

Gold

 

SAMWON Metals Corp.

 

Korea, Republic Of

101

 

Gold

 

SAXONIA Edelmetalle GmbH

 

Germany

102

 

Gold

 

Schone Edelmetaal B.V.

 

Netherlands

103

 

Gold

 

SEMPSA Joyería Platería SA

 

Spain

104

 

Gold

 

Shandong Tiancheng Biological Gold Industrial Co., Ltd.

 

China

105

 

Gold

 

Shandong Zhaojin Gold & Silver Refinery Co., Ltd.

 

China

106

 

Gold

 

Sichuan Tianze Precious Metals Co., Ltd.

 

China

107

 

Gold

 

Singway Technology Co., Ltd.

 

Taiwan

108

 

Gold

 

So Accurate Group, Inc.

 

United States

109

 

Gold

 

SOE Shyolkovsky Factory of Secondary Precious Metals

 

Russian Federation

110

 

Gold

 

Solar Applied Materials Technology Corp.

 

Taiwan

111

 

Gold

 

Sudan Gold Refinery

 

Sudan

112

 

Gold

 

Sumitomo Metal Mining Co., Ltd.

 

Japan

113

 

Gold

 

T.C.A S.p.A

 

Italy

114

 

Gold

 

Tanaka Kikinzoku Kogyo K.K.

 

Japan

115

 

Gold

 

The Refinery of Shandong Gold Mining Co., Ltd.

 

China

116

 

Gold

 

Tokuriki Honten Co., Ltd.

 

Japan

117

 

Gold

 

Tongling Nonferrous Metals Group Co., Ltd.

 

China

118

 

Gold

 

Tony Goetz NV

 

Belgium

 



 

119

 

Gold

 

Torecom

 

Korea, Republic Of

120

 

Gold

 

Umicore Brasil Ltda.

 

Brazil

121

 

Gold

 

Umicore Precious Metals Thailand

 

Thailand

122

 

Gold

 

Umicore SA Business Unit Precious Metals Refining

 

Belgium

123

 

Gold

 

United Precious Metal Refining, Inc.

 

United States

124

 

Gold

 

Valcambi SA

 

Switzerland

125

 

Gold

 

Western Australian Mint trading as The Perth Mint

 

Australia

126

 

Gold

 

WIELAND Edelmetalle GmbH

 

Germany

127

 

Gold

 

Yamamoto Precious Metal Co., Ltd.

 

Japan

128

 

Gold

 

Yokohama Metal Co., Ltd.

 

Japan

129

 

Gold

 

Yunnan Copper Industry Co., Ltd.

 

China

130

 

Gold

 

Zhongyuan Gold Smelter of Zhongjin Gold Corporation

 

China

131

 

Gold

 

Zijin Mining Group Co., Ltd. Gold Refinery

 

China

132

 

Tantalum

 

Avon Specialty Metals Ltd

 

United Kingdom

133

 

Tantalum

 

Changsha South Tantalum Niobium Co., Ltd.

 

China

134

 

Tantalum

 

Conghua Tantalum and Niobium Smeltry

 

China

135

 

Tantalum

 

D Block Metals, LLC

 

United States

136

 

Tantalum

 

Duoluoshan

 

China

137

 

Tantalum

 

E.S.R. Electronics

 

United States

138

 

Tantalum

 

Exotech Inc.

 

United States

139

 

Tantalum

 

F&X Electro-Materials Ltd.

 

China

140

 

Tantalum

 

FIR Metals & Resource Ltd.

 

China

141

 

Tantalum

 

Global Advanced Metals Aizu

 

Japan

142

 

Tantalum

 

Global Advanced Metals Boyertown

 

United States

143

 

Tantalum

 

Guangdong Zhiyuan New Material Co., Ltd.

 

China

144

 

Tantalum

 

Guizhou Zhenhua Xinyun Technology Ltd., Kaili branch

 

China

145

 

Tantalum

 

H.C. Starck Co., Ltd.

 

Thailand

146

 

Tantalum

 

H.C. Starck GmbH Goslar

 

Germany

147

 

Tantalum

 

H.C. Starck GmbH Laufenburg

 

Germany

148

 

Tantalum

 

H.C. Starck Hermsdorf GmbH

 

Germany

149

 

Tantalum

 

H.C. Starck Inc.

 

United States

150

 

Tantalum

 

H.C. Starck Ltd.

 

Japan

151

 

Tantalum

 

H.C. Starck Smelting GmbH & Co.KG

 

Germany

152

 

Tantalum

 

Hengyang King Xing Lifeng New Materials Co., Ltd.

 

China

153

 

Tantalum

 

Hi-Temp Specialty Metals, Inc.

 

United States

154

 

Tantalum

 

Jiangxi Dinghai Tantalum & Niobium Co., Ltd.

 

China

155

 

Tantalum

 

Jiangxi Tuohong New Raw Material

 

China

156

 

Tantalum

 

JiuJiang JinXin Nonferrous Metals Co., Ltd.

 

China

157

 

Tantalum

 

Jiujiang Tanbre Co., Ltd.

 

China

158

 

Tantalum

 

Jiujiang Zhongao Tantalum & Niobium Co., Ltd.

 

China

159

 

Tantalum

 

KEMET Blue Metals

 

Mexico

160

 

Tantalum

 

KEMET Blue Powder

 

United States

161

 

Tantalum

 

King-Tan Tantalum Industry Ltd.

 

China

 



 

162

 

Tantalum

 

LSM Brasil S.A.

 

Brazil

163

 

Tantalum

 

Metallurgical Products India Pvt., Ltd.

 

India

164

 

Tantalum

 

Mineração Taboca S.A.

 

Brazil

165

 

Tantalum

 

Mitsui Mining & Smelting

 

Japan

166

 

Tantalum

 

Molycorp Silmet A.S.

 

Estonia

167

 

Tantalum

 

Ningxia Orient Tantalum Industry Co., Ltd.

 

China

168

 

Tantalum

 

Plansee SE Liezen

 

Austria

169

 

Tantalum

 

Plansee SE Reutte

 

Austria

170

 

Tantalum

 

QuantumClean

 

United States

171

 

Tantalum

 

Resind Indústria e Comércio Ltda.

 

Brazil

172

 

Tantalum

 

RFH Tantalum Smeltry Co., Ltd.

 

China

173

 

Tantalum

 

Solikamsk Magnesium Works OAO

 

Russian Federation

174

 

Tantalum

 

Taki Chemicals

 

Japan

175

 

Tantalum

 

Telex Metals

 

United States

176

 

Tantalum

 

Tranzact, Inc.

 

United States

177

 

Tantalum

 

Ulba Metallurgical Plant JSC

 

Kazakhstan

178

 

Tantalum

 

XinXing HaoRong Electronic Material Co., Ltd.

 

China

179

 

Tantalum

 

Yichun Jin Yang Rare Metal Co., Ltd.

 

China

180

 

Tantalum

 

Zhuzhou Cemented Carbide

 

China

181

 

Tin

 

Alpha

 

United States

182

 

Tin

 

An Thai Minerals Company Limited

 

Vietnam

183

 

Tin

 

An Vinh Joint Stock Mineral Processing Company

 

Vietnam

184

 

Tin

 

Chenzhou Yun Xiang mining limited liability company

 

China

185

 

Tin

 

China Tin Group Co., Ltd.

 

China

186

 

Tin

 

CNMC (Guangxi) PGMA Co., Ltd.

 

China

187

 

Tin

 

Cooperativa Metalurgica de Rondônia Ltda.

 

Brazil

188

 

Tin

 

CV Ayi Jaya

 

Indonesia

189

 

Tin

 

CV Dua Sekawan

 

Indonesia

190

 

Tin

 

CV Gita Pesona

 

Indonesia

191

 

Tin

 

CV Serumpun Sebalai

 

Indonesia

192

 

Tin

 

CV Tiga Sekawan

 

Indonesia

193

 

Tin

 

CV United Smelting

 

Indonesia

194

 

Tin

 

CV Venus Inti Perkasa

 

Indonesia

195

 

Tin

 

Dowa

 

Japan

196

 

Tin

 

Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company

 

Vietnam

197

 

Tin

 

Elmet S.L.U. (Metallo Group)

 

Spain

198

 

Tin

 

EM Vinto

 

Bolivia

199

 

Tin

 

Estanho de Rondônia S.A.

 

Brazil

200

 

Tin

 

Feinhütte Halsbrücke GmbH

 

Germany

201

 

Tin

 

Fenix Metals

 

Poland

202

 

Tin

 

Gejiu Fengming Metalurgy Chemical Plant

 

China

203

 

Tin

 

Gejiu Kai Meng Industry and Trade LLC

 

China

204

 

Tin

 

Gejiu Non-Ferrous Metal Processing Co., Ltd.

 

China

 



 

205

 

Tin

 

Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.

 

China

206

 

Tin

 

Gejiu Zili Mining And Metallurgy Co., Ltd.

 

China

207

 

Tin

 

Guanyang Guida Nonferrous Metal Smelting Plant

 

China

208

 

Tin

 

HuiChang Hill Tin Industry Co., Ltd.

 

China

209

 

Tin

 

Huichang Jinshunda Tin Co., Ltd.

 

China

210

 

Tin

 

Jiangxi Ketai Advanced Material Co., Ltd.

 

China

211

 

Tin

 

Linwu Xianggui Ore Smelting Co., Ltd.

 

China

212

 

Tin

 

Magnu’s Minerais Metais e Ligas Ltda.

 

Brazil

213

 

Tin

 

Malaysia Smelting Corporation (MSC)

 

Malaysia

214

 

Tin

 

Melt Metais e Ligas S/A

 

Brazil

215

 

Tin

 

Metahub Industries Sdn. Bhd.

 

Malaysia

216

 

Tin

 

Metallic Resources, Inc.

 

United States

217

 

Tin

 

Metallo-Chimique N.V.

 

Belgium

218

 

Tin

 

Mineração Taboca S.A.

 

Brazil

219

 

Tin

 

Minsur

 

Peru

220

 

Tin

 

Mitsubishi Materials Corporation

 

Japan

221

 

Tin

 

Nankang Nanshan Tin Manufactory Co., Ltd.

 

China

222

 

Tin

 

Nghe Tinh Non-Ferrous Metals Joint Stock Company

 

Vietnam

223

 

Tin

 

O.M. Manufacturing (Thailand) Co., Ltd.

 

Thailand

224

 

Tin

 

O.M. Manufacturing Philippines, Inc.

 

Phillipines

225

 

Tin

 

Operaciones Metalurgical S.A.

 

Bolivia

226

 

Tin

 

Phoenix Metal Ltd.

 

Rwanda

227

 

Tin

 

PT Alam Lestari Kencana

 

Indonesia

228

 

Tin

 

PT Aries Kencana Sejahtera

 

Indonesia

229

 

Tin

 

PT Artha Cipta Langgeng

 

Indonesia

230

 

Tin

 

PT ATD Makmur Mandiri Jaya

 

Indonesia

231

 

Tin

 

PT Babel Inti Perkasa

 

Indonesia

232

 

Tin

 

PT Bangka Kudai Tin

 

Indonesia

233

 

Tin

 

PT Bangka Prima Tin

 

Indonesia

234

 

Tin

 

PT Bangka Timah Utama Sejahtera

 

Indonesia

235

 

Tin

 

PT Bangka Tin Industry

 

Indonesia

236

 

Tin

 

PT Belitung Industri Sejahtera

 

Indonesia

237

 

Tin

 

PT BilliTin Makmur Lestari

 

Indonesia

238

 

Tin

 

PT Bukit Timah

 

Indonesia

239

 

Tin

 

PT Cipta Persada Mulia

 

Indonesia

240

 

Tin

 

PT DS Jaya Abadi

 

Indonesia

241

 

Tin

 

PT Eunindo Usaha Mandiri

 

Indonesia

242

 

Tin

 

PT Fang Di MulTindo

 

Indonesia

243

 

Tin

 

PT Inti Stania Prima

 

Indonesia

244

 

Tin

 

PT Justindo

 

Indonesia

245

 

Tin

 

PT Karimun Mining

 

Indonesia

246

 

Tin

 

PT Kijang Jaya Mandiri

 

Indonesia

247

 

Tin

 

PT Mitra Stania Prima

 

Indonesia

 



 

248

 

Tin

 

PT Panca Mega Persada

 

Indonesia

249

 

Tin

 

PT Pelat Timah Nusantara Tbk

 

Indonesia

250

 

Tin

 

PT Prima Timah Utama

 

Indonesia

251

 

Tin

 

PT Refined Bangka Tin

 

Indonesia

252

 

Tin

 

PT Sariwiguna Binasentosa

 

Indonesia

253

 

Tin

 

PT Seirama Tin Investment

 

Indonesia

254

 

Tin

 

PT Stanindo Inti Perkasa

 

Indonesia

255

 

Tin

 

PT Sukses Inti Makmur

 

Indonesia

256

 

Tin

 

PT Sumber Jaya Indah

 

Indonesia

257

 

Tin

 

PT Timah (Persero) Tbk Kundur

 

Indonesia

258

 

Tin

 

PT Timah (Persero) Tbk Mentok

 

Indonesia

259

 

Tin

 

PT Tinindo Inter Nusa

 

Indonesia

260

 

Tin

 

PT Tirus Putra Mandiri

 

Indonesia

261

 

Tin

 

PT Tommy Utama

 

Indonesia

262

 

Tin

 

PT Wahana Perkit Jaya

 

Indonesia

263

 

Tin

 

Resind Indústria e Comércio Ltda.

 

Brazil

264

 

Tin

 

Rui Da Hung

 

Taiwan

265

 

Tin

 

Soft Metais Ltda.

 

Brazil

266

 

Tin

 

Thaisarco

 

Thailand

267

 

Tin

 

Tuyen Quang Non-Ferrous Metals Joint Stock Company

 

Vietnam

268

 

Tin

 

VQB Mineral and Trading Group JSC

 

Vietnam

269

 

Tin

 

White Solder Metalurgia e Mineração Ltda.

 

Brazil

270

 

Tin

 

Yunnan Chengfeng Non-ferrous Metals Co., Ltd.

 

China

271

 

Tin

 

Yunnan Tin Group (Holding) Company Limited

 

China

272

 

Tungsten

 

A.L.M.T. TUNGSTEN Corp.

 

Japan

273

 

Tungsten

 

ACL Metais Eireli

 

Brazil

274

 

Tungsten

 

Asia Tungsten Products Vietnam Ltd.

 

Vietnam

275

 

Tungsten

 

Chenzhou Diamond Tungsten Products Co., Ltd.

 

China

276

 

Tungsten

 

Chongyi Zhangyuan Tungsten Co., Ltd.

 

China

277

 

Tungsten

 

Dayu Jincheng Tungsten Industry Co., Ltd.

 

China

278

 

Tungsten

 

Dayu Weiliang Tungsten Co., Ltd.

 

China

279

 

Tungsten

 

Fujian Jinxin Tungsten Co., Ltd.

 

China

280

 

Tungsten

 

Ganxian Shirui New Material Co., Ltd.

 

China

281

 

Tungsten

 

Ganzhou Huaxing Tungsten Products Co., Ltd.

 

China

282

 

Tungsten

 

Ganzhou Jiangwu Ferrotungsten Co., Ltd.

 

China

283

 

Tungsten

 

Ganzhou Non-ferrous Metals Smelting Co., Ltd.

 

China

284

 

Tungsten

 

Ganzhou Seadragon W & Mo Co., Ltd.

 

China

285

 

Tungsten

 

Ganzhou Yatai Tungsten Co., Ltd.

 

China

286

 

Tungsten

 

Global Tungsten & Powders Corp.

 

United States

287

 

Tungsten

 

Guangdong Xianglu Tungsten Co., Ltd.

 

China

288

 

Tungsten

 

H.C. Starck GmbH

 

Germany

289

 

Tungsten

 

H.C. Starck Smelting GmbH & Co.KG

 

Germany

290

 

Tungsten

 

Hunan Chenzhou Mining Co., Ltd.

 

China

 



 

291

 

Tungsten

 

Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji

 

China

292

 

Tungsten

 

Hunan Chuangda Vanadium Tungsten Co., Ltd. Yanglin

 

China

293

 

Tungsten

 

Hunan Chunchang Nonferrous Metals Co., Ltd.

 

China

294

 

Tungsten

 

Hydrometallurg, JSC

 

Russian Federation

295

 

Tungsten

 

Japan New Metals Co., Ltd.

 

Japan

296

 

Tungsten

 

Jiangwu H.C. Starck Tungsten Products Co., Ltd.

 

China

297

 

Tungsten

 

Jiangxi Dayu Longxintai Tungsten Co., Ltd.

 

China

298

 

Tungsten

 

Jiangxi Gan Bei Tungsten Co., Ltd.

 

China

299

 

Tungsten

 

Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.

 

China

300

 

Tungsten

 

Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.

 

China

301

 

Tungsten

 

Jiangxi Xinsheng Tungsten Industry Co., Ltd.

 

China

302

 

Tungsten

 

Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.

 

China

303

 

Tungsten

 

Jiangxi Yaosheng Tungsten Co., Ltd.

 

China

304

 

Tungsten

 

Kennametal Fallon

 

United States

305

 

Tungsten

 

Kennametal Huntsville

 

United States

306

 

Tungsten

 

Malipo Haiyu Tungsten Co., Ltd.

 

China

307

 

Tungsten

 

Moliren Ltd

 

Russian Federation

308

 

Tungsten

 

Niagara Refining LLC

 

United States

309

 

Tungsten

 

Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC

 

Vietnam

310

 

Tungsten

 

Philippine Chuangin Industrial Co., Inc.

 

Phillipines

311

 

Tungsten

 

Pobedit, JSC

 

Russian Federation

312

 

Tungsten

 

Sanher Tungsten Vietnam Co., Ltd.

 

Vietnam

313

 

Tungsten

 

Tejing (Vietnam) Tungsten Co., Ltd.

 

Vietnam

314

 

Tungsten

 

Vietnam Youngsun Tungsten Industry Co., Ltd.

 

Vietnam

315

 

Tungsten

 

Wolfram Bergbau und Hütten AG

 

Austria

316

 

Tungsten

 

Woltech Korea Co., Ltd.

 

Korea, Republic Of

317

 

Tungsten

 

Xiamen Tungsten (H.C.) Co., Ltd.

 

China

318

 

Tungsten

 

Xiamen Tungsten Co., Ltd.

 

China

319

 

Tungsten

 

Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.

 

China

320

 

Tungsten

 

Xinhai Rendan Shaoguan Tungsten Co., Ltd.

 

China

 

ANNEX II

 

Countries of Origin for Conflict Minerals Related to SORs Listed in Annex I

 

Australia, Austria, Belgium, Bolivia, Brazil, Canada, China, Estonia, France, Germany, India, Indonesia, Italy  Japan, Kazakhstan, Kyrgyzstan, Malaysia, Mexico, Netherlands, New Zealand, Peru, Phillipines, Poland, Russia, Rwanda, Saudi Arabia, Singapore, South Africa,  South Korea, Spain, Sudan, Sweden, Switzerland, Taiwan, Thailand, United Arab Emirates, United Kingdom, United States of America, Vietnam, Zimbabwe.