Conflict Minerals Report

Amphenol Corporation Conflict Minerals Report For The Year Ended December 31, 2016

This report (this “Conflict Minerals Report”) for the year ended December 31, 2016 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:

  • 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.

     

  • 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.
  • 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.  By 2014, our reasonable country of origin inquiry process had expanded such that we sough to reach all suppliers of components or materials containing 3TG in that year.  This extensive process continued through 2015 and 2016.

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 and is currently led by our Director EHS & Sustainability 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 & Sustainability 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 2016, there were nine 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 24,434 vendor identification codes, some of which are likely duplicative given the Company’s decentralized management structure. Of these, they determined 4,788 to potentially be within the scope of our RCOI. Of these 4,788 suppliers potentially within the scope of the RCOI, the Company sent 4,788  requests for information and received 4,319 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

Our operating units have procedures 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 gold, tantalum or tin which originated from the Conflict Region.  Through diligence and further inquiry, we concluded that KEMET, Malaysia Smelting Corporation and Thaisarco have been audited and confirmed as conflict-free by the Conflict-Free Sourcing Initiative. Sudan Gold Refinery and Fidelity Printers and Refiners Ltd. are gold refiners engaged in the Conflict Free Sourcing Program, but have 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, 2016 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

Gold

 

Advanced Chemical Company

 

United States

Gold

 

Aida Chemical Industries Co., Ltd.

 

Japan

Gold

 

Al Etihad Gold Refinery DMCC

 

United Arab Emirates

Gold

 

Allgemeine Gold-und Silberscheideanstalt A.G.

 

Germany

Gold

 

Almalyk Mining and Metallurgical Complex (AMMC)

 

Uzbekistan

Gold

 

AngloGold Ashanti Córrego do Sítio Mineração

 

Brazil

Gold

 

Argor-Heraeus SA

 

Switzerland

Gold

 

Asahi Pretec Corporation

 

Japan

Gold

 

Asahi Refining Canada Limited

 

Canada

Gold

 

Asahi Refining USA Inc.

 

United States

Gold

 

Asaka Riken Co., Ltd.

 

Japan

Gold

 

Atasay Kuyumculuk Sanayi Ve Ticaret A.S.

 

Turkey

Gold

 

AU Traders & Refiners

 

South Africa

Gold

 

Aurubis AG

 

Germany

Gold

 

Bangalore Refinery

 

India

Gold

 

Bangko Sentral ng Pilipinas (Central Bank of the Philippines)

 

Phillipines

Gold

 

Bauer Walser AG

 

Germany

Gold

 

Boliden AB

 

Sweden

Gold

 

C. Hafner GmbH + Co. KG

 

Germany

Gold

 

Caridad

 

Mexico

Gold

 

CCR Refinery - Glencore Canada Corporation

 

Canada

Gold

 

Cendres + Métaux SA

 

Switzerland

Gold

 

Chimet S.p.A.

 

Italy

Gold

 

Chugai Mining

 

Japan

Gold

 

Daejin Indus Co., Ltd.

 

Korea, Republic Of

Gold

 

Daye Non-Ferrous Metals Mining Ltd.

 

China

Gold

 

Do Sung Corporation

 

Korea, Republic Of

Gold

 

DODUCO GmbH

 

Germany

Gold

 

Dowa

 

Japan

Gold

 

Eco-System Recycling Co., Ltd.

 

Japan

Gold

 

Elemetal Refining, LLC

 

United States

Gold

 

Emirates Gold DMCC

 

United Arab Emirates

Gold

 

Faggi Enrico S.p.A.

 

Italy

Gold

 

Fidelity Printers and Refiners Ltd.

 

Zimbabwe

Gold

 

Gansu Seemine Material Hi-Tech Co., Ltd.

 

Estonia

Gold

 

Geib Refining Corporation

 

United States

Gold

 

Great Wall Precious Metals Co., Ltd. of CBPM

 

China

Gold

 

Guangdong Jinding Gold Limited

 

China

Gold

 

GCC Gujarat Gold Centre Pvt. Ltd.

 

India

Gold

 

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

 

China

Gold

 

Hangzhou Fuchunjiang Smelting Co., Ltd.

 

China

Gold

 

Heimerle + Meule GmbH

 

Germany

Gold

 

Heraeus Ltd. Hong Kong

 

China

Gold

 

Heraeus Precious Metals GmbH & Co. KG

 

Germany

Gold

 

Hunan Chenzhou Mining Co., Ltd.

 

China

Gold

 

Hwasung CJ Co., Ltd.

 

Korea, Republic Of

Gold

 

Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited

 

China

Gold

 

Ishifuku Metal Industry Co., Ltd.

 

Japan

Gold

 

Istanbul Gold Refinery

 

Turkey

Gold

 

Japan Mint

 

Japan

Gold

 

Jiangxi Copper Company Limited

 

China

Gold

 

JSC Ekaterinburg Non-Ferrous Metal Processing Plant

 

Russian Federation

Gold

 

JSC Uralelectromed

 

Russian Federation

Gold

 

JX Nippon Mining & Metals Co., Ltd.

 

Japan

Gold

 

Kaloti Precious Metals

 

United Arab Emirates

Gold

 

Kazzinc

 

Kazakhstan

Gold

 

Kennecott Utah Copper LLC

 

United States

Gold

 

KGHM Polska Miedź Spółka Akcyjna

 

Poland

Gold

 

Kojima Chemicals Co., Ltd.

 

Japan

Gold

 

Korea Zinc Co. Ltd.

 

Korea, Republic Of

Gold

 

Kyrgyzaltyn JSC

 

Kyrgyzstan

Gold

 

L’ azurde Company For Jewelry

 

Saudi Arabia

Gold

 

Lingbao Gold Company Limited

 

China

Gold

 

Lingbao Jinyuan Tonghui Refinery Co., Ltd.

 

China

Gold

 

LS-NIKKO Copper Inc.

 

Korea, Republic Of

Gold

 

Luoyang Zijin Yinhui Gold Refinery Co., Ltd.

 

China

Gold

 

Materion

 

United States

Gold

 

Matsuda Sangyo Co., Ltd.

 

Japan

Gold

 

Metalor Technologies (Hong Kong) Ltd.

 

China

Gold

 

Metalor Technologies (Singapore) Pte., Ltd.

 

Singapore

Gold

 

Metalor Technologies (Suzhou) Ltd.

 

China

Gold

 

Metalor Technologies SA

 

Switzerland

Gold

 

Metalor USA Refining Corporation

 

United States

Gold

 

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

 

Mexico

Gold

 

Mitsubishi Materials Corporation

 

Japan

Gold

 

Mitsui Mining and Smelting Co., Ltd.

 

Japan

Gold

 

MMTC-PAMP India Pvt., Ltd.

 

India

Gold

 

Modeltech Sdn Bhd

 

Malaysia

Gold

 

Morris and Watson

 

New Zealand

Gold

 

Moscow Special Alloys Processing Plant

 

Russian Federation

Gold

 

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

 

Turkey

Gold

 

Navoi Mining and Metallurgical Combinat

 

Uzbekistan

Gold

 

Nihon Material Co., Ltd.

 

Japan

Gold

 

Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH

 

Austria

Gold

 

Ohura Precious Metal Industry Co., Ltd.

 

Japan

Gold

 

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

 

Russian Federation

Gold

 

OJSC Kolyma Refinery

 

Russian Federation

Gold

 

OJSC Novosibirsk Refinery

 

Russian Federation

Gold

 

PAMP SA

 

Switzerland

Gold

 

Penglai Penggang Gold Industry Co., Ltd.

 

China

Gold

 

Prioksky Plant of Non-Ferrous Metals

 

Russian Federation

Gold

 

PT Aneka Tambang (Persero) Tbk

 

Indonesia

Gold

 

PX Précinox SA

 

Switzerland

Gold

 

Rand Refinery (Pty) Ltd.

 

South Africa

Gold

 

Remondis Argentia B.V.

 

Netherlands

Gold

 

Republic Metals Corporation

 

United States

Gold

 

Royal Canadian Mint

 

Canada

Gold

 

SAAMP

 

France

Gold

 

Sai Refining

 

India

Gold

 

Sabin Metal Corp.

 

United States

Gold

 

SAFINA A.S.

 

Czech Republic

Gold

 

Samduck Precious Metals

 

Korea, Republic Of

Gold

 

SAMWON Metals Corp.

 

Korea, Republic Of

Gold

 

SAXONIA Edelmetalle GmbH

 

Germany

Gold

 

Schone Edelmetaal B.V.

 

Netherlands

Gold

 

SEMPSA Joyería Platería SA

 

Spain

Gold

 

Shandong Tiancheng Biological Gold Industrial Co., Ltd.

 

China

Gold

 

Shandong Zhaojin Gold & Silver Refinery Co., Ltd.

 

China

Gold

 

Sichuan Tianze Precious Metals Co., Ltd.

 

China

Gold

 

Singway Technology Co., Ltd.

 

Taiwan

Gold

 

So Accurate Group, Inc.

 

United States

Gold

 

SOE Shyolkovsky Factory of Secondary Precious Metals

 

Russian Federation

Gold

 

Solar Applied Materials Technology Corp.

 

Taiwan

Gold

 

Sudan Gold Refinery

 

Sudan

Gold

 

Sumitomo Metal Mining Co., Ltd.

 

Japan

Gold

 

T.C.A S.p.A

 

Italy

Gold

 

Tanaka Kikinzoku Kogyo K.K.

 

Japan

Gold

 

The Refinery of Shandong Gold Mining Co., Ltd.

 

China

Gold

 

Tokuriki Honten Co., Ltd.

 

Japan

Gold

 

Tongling Nonferrous Metals Group Co., Ltd.

 

China

Gold

 

Tony Goetz NV

 

Belgium

Gold

 

Too Tau-Ken-Altyn

 

Kazakhstan

Gold

 

Torecom

 

Korea, Republic Of

Gold

 

Umicore Brasil Ltda.

 

Brazil

Gold

 

Umicore Precious Metals Thailand

 

Thailand

Gold

 

Umicore SA Business Unit Precious Metals Refining

 

Belgium

Gold

 

United Precious Metal Refining, Inc.

 

United States

Gold

 

Valcambi SA

 

Switzerland

Gold

 

Western Australian Mint trading as The Perth Mint

 

Australia

Gold

 

WIELAND Edelmetalle GmbH

 

Germany

Gold

 

Yamamoto Precious Metal Co., Ltd.

 

Japan

Gold

 

Yokohama Metal Co., Ltd.

 

Japan

Gold

 

Yunnan Copper Industry Co., Ltd.

 

China

Gold

 

Zhongyuan Gold Smelter of Zhongjin Gold Corporation

 

China

Gold

 

Zijin Mining Group Co., Ltd. Gold Refinery

 

China

Tantalum

 

Changsha South Tantalum Niobium Co., Ltd.

 

China

Tantalum

 

Conghua Tantalum and Niobium Smeltry

 

China

Tantalum

 

D Block Metals, LLC

 

United States

Tantalum

 

Duoluoshan

 

China

Tantalum

 

E.S.R. Electronics

 

United States

Tantalum

 

Exotech Inc.

 

United States

Tantalum

 

F&X Electro-Materials Ltd.

 

China

Tantalum

 

FIR Metals & Resource Ltd.

 

China

Tantalum

 

Global Advanced Metals Aizu

 

Japan

Tantalum

 

Global Advanced Metals Boyertown

 

United States

Tantalum

 

Guangdong Zhiyuan New Material Co., Ltd.

 

China

Tantalum

 

H.C. Starck Co., Ltd.

 

Thailand

Tantalum

 

H.C. Starck GmbH Goslar

 

Germany

Tantalum

 

H.C. Starck GmbH Laufenburg

 

Germany

Tantalum

 

H.C. Starck Hermsdorf GmbH

 

Germany

Tantalum

 

H.C. Starck Inc.

 

United States

Tantalum

 

H.C. Starck Ltd.

 

Japan

Tantalum

 

H.C. Starck Smelting GmbH & Co.KG

 

Germany

Tantalum

 

Hengyang King Xing Lifeng New Materials Co., Ltd.

 

China

Tantalum

 

Hi-Temp Specialty Metals, Inc.

 

United States

Tantalum

 

Jiangxi Dinghai Tantalum & Niobium Co., Ltd.

 

China

Tantalum

 

Jiangxi Tuohong New Raw Material

 

China

Tantalum

 

JiuJiang JinXin Nonferrous Metals Co., Ltd.

 

China

Tantalum

 

Jiujiang Tanbre Co., Ltd.

 

China

Tantalum

 

Jiujiang Zhongao Tantalum & Niobium Co., Ltd.

 

China

Tantalum

 

KEMET Blue Metals

 

Mexico

Tantalum

 

KEMET Blue Powder

 

United States

Tantalum

 

King-Tan Tantalum Industry Ltd.

 

China

Tantalum

 

LSM Brasil S.A.

 

Brazil

Tantalum

 

Metallurgical Products India Pvt., Ltd.

 

India

Tantalum

 

Mineração Taboca S.A.

 

Brazil

Tantalum

 

Mitsui Mining & Smelting

 

Japan

Tantalum

 

Molycorp Silmet A.S.

 

Estonia

Tantalum

 

Ningxia Orient Tantalum Industry Co., Ltd.

 

China

Tantalum

 

Plansee SE Liezen

 

Austria

Tantalum

 

Plansee SE Reutte

 

Austria

Tantalum

 

Power Resources Ltd.

 

Macedonia

Tantalum

 

QuantumClean

 

United States

Tantalum

 

Resind Indústria e Comércio Ltda.

 

Brazil

Tantalum

 

RFH Tantalum Smeltry Co., Ltd.

 

China

Tantalum

 

Solikamsk Magnesium Works OAO

 

Russian Federation

Tantalum

 

Taki Chemicals

 

Japan

Tantalum

 

Telex Metals

 

United States

Tantalum

 

Tranzact, Inc.

 

United States

Tantalum

 

Ulba Metallurgical Plant JSC

 

Kazakhstan

Tantalum

 

XinXing HaoRong Electronic Material Co., Ltd.

 

China

Tantalum

 

Yichun Jin Yang Rare Metal Co., Ltd.

 

China

Tantalum

 

Zhuzhou Cemented Carbide

 

China

Tin

 

Alpha

 

United States

Tin

 

An Thai Minerals Company Limited

 

Vietnam

Tin

 

An Vinh Joint Stock Mineral Processing Company

 

Vietnam

Tin

 

Chenzhou Yun Xiang mining limited liability company

 

China

Tin

 

China Tin Group Co., Ltd.

 

China

Tin

 

CNMC (Guangxi) PGMA Co., Ltd.

 

China

Tin

 

Cooperativa Metalurgica de Rondônia Ltda.

 

Brazil

Tin

 

CV Ayi Jaya

 

Indonesia

Tin

 

CV Dua Sekawan

 

Indonesia

Tin

 

CV Gita Pesona

 

Indonesia

Tin

 

CV Serumpun Sebalai

 

Indonesia

Tin

 

CV Tiga Sekawan

 

Indonesia

Tin

 

CV United Smelting

 

Indonesia

Tin

 

CV Venus Inti Perkasa

 

Indonesia

Tin

 

Dowa

 

Japan

Tin

 

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

 

Vietnam

Tin

 

Elmet S.L.U. (Metallo Group)

 

Spain

Tin

 

EM Vinto

 

Bolivia

Tin

 

Estanho de Rondônia S.A.

 

Brazil

Tin

 

Feinhütte Halsbrücke GmbH

 

Germany

Tin

 

Fenix Metals

 

Poland

Tin

 

Gejiu Fengming Metalurgy Chemical Plant

 

China

Tin

 

Gejiu Jinye Mineral Company

 

China

Tin

 

Gejiu Kai Meng Industry and Trade LLC

 

China

Tin

 

Gejiu Non-Ferrous Metal Processing Co., Ltd.

 

China

Tin

 

Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.

 

China

Tin

 

Gejiu Zili Mining And Metallurgy Co., Ltd.

 

China

Tin

 

Guanyang Guida Nonferrous Metal Smelting Plant

 

China

Tin

 

HuiChang Hill Tin Industry Co., Ltd.

 

China

Tin

 

Huichang Jinshunda Tin Co., Ltd.

 

China

Tin

 

Jiangxi Ketai Advanced Material Co., Ltd.

 

China

Tin

 

Linwu Xianggui Ore Smelting Co., Ltd.

 

China

Tin

 

Magnu’s Minerais Metais e Ligas Ltda.

 

Brazil

Tin

 

Malaysia Smelting Corporation (MSC)

 

Malaysia

Tin

 

Melt Metais e Ligas S/A

 

Brazil

Tin

 

Metallic Resources, Inc.

 

United States

Tin

 

Metallo-Chimique N.V.

 

Belgium

Tin

 

Mineração Taboca S.A.

 

Brazil

Tin

 

Minsur

 

Peru

Tin

 

Mitsubishi Materials Corporation

 

Japan

Tin

 

Nankang Nanshan Tin Manufactory Co., Ltd.

 

China

Tin

 

Nghe Tinh Non-Ferrous Metals Joint Stock Company

 

Vietnam

Tin

 

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

 

Thailand

Tin

 

O.M. Manufacturing Philippines, Inc.

 

Phillipines

Tin

 

Operaciones Metalurgical S.A.

 

Bolivia

Tin

 

PT Alam Lestari Kencana

 

Indonesia

Tin

 

PT Aries Kencana Sejahtera

 

Indonesia

Tin

 

PT Artha Cipta Langgeng

 

Indonesia

Tin

 

PT ATD Makmur Mandiri Jaya

 

Indonesia

Tin

 

PT Babel Inti Perkasa

 

Indonesia

Tin

 

PT Bangka Kudai Tin

 

Indonesia

Tin

 

PT Bangka Prima Tin

 

Indonesia

Tin

 

PT Bangka Timah Utama Sejahtera

 

Indonesia

Tin

 

PT Bangka Tin Industry

 

Indonesia

Tin

 

PT Belitung Industri Sejahtera

 

Indonesia

Tin

 

PT BilliTin Makmur Lestari

 

Indonesia

Tin

 

PT Bukit Timah

 

Indonesia

Tin

 

PT Cipta Persada Mulia

 

Indonesia

Tin

 

PT DS Jaya Abadi

 

Indonesia

Tin

 

PT Eunindo Usaha Mandiri

 

Indonesia

Tin

 

PT Fang Di MulTindo

 

Indonesia

Tin

 

PT Inti Stania Prima

 

Indonesia

Tin

 

PT Justindo

 

Indonesia

Tin

 

PT Karimun Mining

 

Indonesia

Tin

 

PT Kijang Jaya Mandiri

 

Indonesia

Tin

 

PT Mitra Stania Prima

 

Indonesia

Tin

 

PT O.M. Indonesia

 

Indonesia

Tin

 

PT Panca Mega Persada

 

Indonesia

Tin

 

PT Pelat Timah Nusantara Tbk

 

Indonesia

Tin

 

PT Prima Timah Utama

 

Indonesia

Tin

 

PT Refined Bangka Tin

 

Indonesia

Tin

 

PT Sariwiguna Binasentosa

 

Indonesia

Tin

 

PT Stanindo Inti Perkasa

 

Indonesia

Tin

 

PT Sukses Inti Makmur

 

Indonesia

Tin

 

PT Sumber Jaya Indah

 

Indonesia

Tin

 

PT Timah (Persero) Tbk Kundur

 

Indonesia

Tin

 

PT Timah (Persero) Tbk Mentok

 

Indonesia

Tin

 

PT Tinindo Inter Nusa

 

Indonesia

Tin

 

PT Tirus Putra Mandiri

 

Indonesia

Tin

 

PT Tommy Utama

 

Indonesia

Tin

 

PT Wahana Perkit Jaya

 

Indonesia

Tin

 

Resind Indústria e Comércio Ltda.

 

Brazil

Tin

 

Rui Da Hung

 

Taiwan

Tin

 

Soft Metais Ltda.

 

Brazil

Tin

 

Thaisarco

 

Thailand

Tin

 

Tuyen Quang Non-Ferrous Metals Joint Stock Company

 

Vietnam

Tin

 

VQB Mineral and Trading Group JSC

 

Vietnam

Tin

 

White Solder Metalurgia e Mineração Ltda.

 

Brazil

Tin

 

Yunnan Chengfeng Non-ferrous Metals Co., Ltd.

 

China

Tin

 

Yunnan Tin Group (Holding) Company Limited

 

China

Tin

 

PT Menara Cipta Mulia

 

Indonesia

Tungsten

 

A.L.M.T. TUNGSTEN Corp.

 

Japan

Tungsten

 

ACL Metais Eireli

 

Brazil

Tungsten

 

Asia Tungsten Products Vietnam Ltd.

 

Vietnam

Tungsten

 

Chenzhou Diamond Tungsten Products Co., Ltd.

 

China

Tungsten

 

Chongyi Zhangyuan Tungsten Co., Ltd.

 

China

Tungsten

 

Dayu Jincheng Tungsten Industry Co., Ltd.

 

China

Tungsten

 

Dayu Weiliang Tungsten Co., Ltd.

 

China

Tungsten

 

Fujian Jinxin Tungsten Co., Ltd.

 

China

Tungsten

 

Ganzhou Huaxing Tungsten Products Co., Ltd.

 

China

Tungsten

 

Ganzhou Jiangwu Ferrotungsten Co., Ltd.

 

China

Tungsten

 

Ganzhou Non-ferrous Metals Smelting Co., Ltd.

 

China

Tungsten

 

Ganzhou Seadragon W & Mo Co., Ltd.

 

China

Tungsten

 

Ganzhou Yatai Tungsten Co., Ltd.

 

China

Tungsten

 

Global Tungsten & Powders Corp.

 

United States

Tungsten

 

Guangdong Xianglu Tungsten Co., Ltd.

 

China

Tungsten

 

H.C. Starck GmbH

 

Germany

Tungsten

 

H.C. Starck Smelting GmbH & Co.KG

 

Germany

Tungsten

 

Hunan Chenzhou Mining Co., Ltd.

 

China

Tungsten

 

Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji

 

China

Tungsten

 

Hunan Chuangda Vanadium Tungsten Co., Ltd. Yanglin

 

China

Tungsten

 

Hunan Chunchang Nonferrous Metals Co., Ltd.

 

China

Tungsten

 

Hydrometallurg, JSC

 

Russian Federation

Tungsten

 

Japan New Metals Co., Ltd.

 

Japan

Tungsten

 

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

 

China

Tungsten

 

Jiangxi Dayu Longxintai Tungsten Co., Ltd.

 

China

Tungsten

 

Jiangxi Gan Bei Tungsten Co., Ltd.

 

China

Tungsten

 

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

 

China

Tungsten

 

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

 

China

Tungsten

 

Jiangxi Xinsheng Tungsten Industry Co., Ltd.

 

China

Tungsten

 

Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.

 

China

Tungsten

 

Jiangxi Yaosheng Tungsten Co., Ltd.

 

China

Tungsten

 

Kennametal Fallon

 

United States

Tungsten

 

Kennametal Huntsville

 

United States

Tungsten

 

Malipo Haiyu Tungsten Co., Ltd.

 

China

Tungsten

 

Moliren Ltd

 

Russian Federation

Tungsten

 

Niagara Refining LLC

 

United States

Tungsten

 

Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC

 

Vietnam

Tungsten

 

Philippine Chuangin Industrial Co., Inc.

 

Philippines

Tungsten

 

Southeast Nonferrous Metal Company Limited of Hengyang City

 

China

Tungsten

 

Tejing (Vietnam) Tungsten Co., Ltd.

 

Vietnam

Tungsten

 

Unecha Refractory Metals Plant

 

Russian Federation

Tungsten

 

Vietnam Youngsun Tungsten Industry Co., Ltd.

 

Vietnam

Tungsten

 

Wolfram Bergbau und Hütten AG

 

Austria

Tungsten

 

Woltech Korea Co., Ltd.

 

Korea, Republic Of

Tungsten

 

Xiamen Tungsten (H.C.) Co., Ltd.

 

China

Tungsten

 

Xiamen Tungsten Co., Ltd.

 

China

Tungsten

 

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

 

China

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, Czech Republic, Estonia, France, Germany, India, Indonesia, Italy  Japan, Kazakhstan, Kyrgyzstan, Macedonia, Malaysia, Mexico, Netherlands, New Zealand, Peru, Phillipines, Poland, Republic of Korea, Russian Federation, Saudi Arabia, Singapore, South Africa, Spain, Sudan, Sweden, Switzerland, Taiwan, Thailand, Turkey, United Arab Emirates, United States of America, Vietnam and Zimbabwe.