EX-1.01 2 infn-053018xex101.htm EXHIBIT 1.01 Exhibit


Exhibit 1.01
Infinera Corporation
Conflict Minerals Report
For the Reporting Period January 1, 2017 to December 31, 2017
 

Introduction
This is the Conflict Minerals Report of Infinera Corporation (“we,” “our,” “us,” or “Infinera”) prepared for calendar year 2017 in accordance with Rule 13p-1 (“Rule 13p-1”) under the Securities Exchange Act of 1934, as amended (the “Act”). Rule 13p-1 imposes certain reporting obligations on registrants whose manufactured products contain certain conflict minerals that are necessary to the functionality or production of such products. The term “conflict minerals” is defined in Item 1.01(d) of Form SD as (A) columbite-tantalite, also known as coltan (the metal ore from which tantalum is extracted), cassiterite (the metal ore from which tin is extracted); gold; wolframite (the metal ore from which tungsten is extracted), or their derivatives (“3TG”); or (B) any other mineral or its derivatives determined by the Secretary of State to be financing conflict in the Democratic Republic of the Congo (“DRC”) or adjoining countries, which are the Republic of Congo, the Central African Republic, South Sudan, Uganda, Rwanda, Burundi, Tanzania, Zambia and Angola (collectively with the DRC, the “Covered Countries”).
In conducting due diligence on our supply chain for purposes of complying with Rule 13p-1, we designed our efforts in conformity with the internationally recognized due diligence framework provided by the Organisation for Economic Co-Operation and Development (“OECD”). Specifically, this is based on and designed to comply with the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, Third Edition (2016), including the related supplements on tantalum, tin, tungsten and gold (the “OECD Guidance”).

Overview
Company Profile
We are a leader in optical transport networking solutions, providing equipment, software and services to telecommunications service providers, internet content providers, cable providers, wholesale and enterprise carriers, research and education institutions, enterprise customers, and government entities across the globe. Optical transport networks are deployed by customers facing significant demand for optical bandwidth prompted by increased use of high-speed internet access, business Ethernet services, mobile broadband, cloud-based services, high-definition video streaming services, virtual and augmented reality, and the Internet of Things (IoT). Our end-to-end packet-optical portfolio is designed to be managed with a single network management system.
Our products for the reporting period covered by this Conflict Minerals Report include the (i) DTN-X family of platforms; (ii) XTM series; and (iii) Cloud Xpress platform. The platforms connect to one another using an optical “line system” or the Infinera FlexILS. All the platforms and the line system are collectively referred to herein as the “Covered Products.” We have determined that hardware components of our Covered Products contain one or more conflict minerals and thus, the Covered Products are within the scope of Rule 13p-1.
Reasonable Country of Origin Inquiry
We procure our components and materials from a variety of suppliers around the world and we have determined that during calendar year 2017 we manufactured (or contracted to manufacture) Covered Products as to which conflict minerals are necessary to the functionality or production of such products. In accordance with Rule 13p-1, we conducted a good faith reasonable country of origin inquiry (“RCOI”) to determine whether the necessary conflict minerals may have originated in the Covered Countries or come from recycled or scrap sources.

Our RCOI process included conducting an inquiry of our direct suppliers using the Conflict Minerals Reporting Template (“CMRT”) developed by the Responsible Minerals Initiative (“RMI”). We do not have direct supply contracts with the providers of raw materials used in our Covered Products and we do not directly source 3TGs. We source

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components and products from suppliers, which in turn, source materials, components and products from their suppliers. Our supply chain is extensive and complex with many layers of suppliers positioned between ourselves and 3TG smelters and refiners. Due to our extended supply chain, we leverage our suppliers to provide us with information concerning the sources and chains of custody of 3TGs necessary to the functionality or production of Covered Products.
We required our direct suppliers to query their upstream suppliers using the CMRT. We used the CMRT responses from our direct suppliers to gather information regarding the origin of the minerals in the products and components they supplied to us, as well as the smelters and refiners that may have processed the conflict minerals in our supply chain. We obtained additional country of origin information for the smelters identified as potentially being within our supply chain through our membership in the RMI. Based on the results of our RCOI, we determined that a number of smelters and/or refiners identified in our supply chain either source, or we had reason to believe may source, 3TG from the Covered Countries, and we have exercised due diligence on the source and chain of custody of the conflict minerals.
Design of Conflict Minerals Program
We designed our conflict minerals program to conform, in all material respects, with the five-step framework of the OECD Guidance, specifically as it relates to our position in the minerals supply chain as a “downstream” company:
Step 1:     Establish strong company management systems
Step 2:     Identify and assess risk in the supply chain
Step 3:     Design and implement a strategy to respond to identified risks
Step 4:    Carry out independent third-party audit of supply chain due diligence
Step 5:     Report on supply chain due diligence
Consistent with the OECD Guidance, we relied upon multi-stakeholder initiatives that provide verification processes for conflict-free minerals from smelters or refiners who may provide those minerals to companies in our supply chain. We, as a purchaser of components and materials, are many steps removed from the mining of conflict minerals, do not purchase raw ore or unrefined conflict minerals, do not purchase minerals directly from smelters or refiners, and do not conduct purchasing activities directly in any of the Covered Countries.
Due Diligence Measures Performed
The following describes the measures taken to reasonably determine the country of origin of conflict minerals and to exercise due diligence on our supply chain in conformance with the OECD Guidance.
Step 1: Establish strong company management systems
a.
Conflict minerals team - We have established a conflict minerals team that includes individuals from the appropriate business units and departments, including legal, finance, operations and procurement. The team was structured to ensure critical information, including our policies related to this subject matter, reached relevant employees and suppliers.
b.
Conflict minerals policy - We have adopted and published a policy establishing out expectations of our suppliers. The policy can be found on our website at http://www.infinera.com/company/social-responsibility/conflict-minerals/ on the Corporate Social Responsibility webpage. It is periodically reviewed and will be updated, if necessary.
c.
Supplier engagement - We require our suppliers to fully disclose any materials found in components or products they supply to us that contain 3TG. In addition, we have incorporated requirements for compliance with conflict minerals disclosure into the periodic business reviews conducted with key suppliers. The periodic business reviews enable us to evaluate the performance and set goals for continuous improvement regarding supply chain issues including any issues related to conflict minerals.

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d.
Company level grievance mechanism - As recommended by the OECD Guidance, we have established a grievance mechanism, which is set forth in our Conflict Minerals Policy. Reports can be made anonymously, and will be kept confidential to the fullest extent practicable and allowed by law.
e.
Records management - We will maintain records relating to our conflict minerals program in accordance with the recommended record retention guidelines.
Step 2: Identify and assess risk in the supply chain
We performed the following steps as part of our risk assessment process:
a.
Identified Direct Suppliers - We identify all direct, or first tier, suppliers who may provide components and materials that contain 3TG in the Covered Products during the calendar year 2017 reporting period. We rely on our direct suppliers to provide information on the origin of the conflict minerals contained in components and materials supplied to us - including sources of conflict minerals that are supplied to them by upstream suppliers.
b.
Conducted RCOI - We utilized the industry-developed CMRT to query our direct suppliers for conflict minerals information, and we require our direct suppliers to query their upstream suppliers using the CMRT for the necessary conflict minerals information. We evaluated the information gathered from the CMRT’s submitted by our direct suppliers to determine our reporting obligation based on this RCOI.
c.
Completed additional follow-up - We reviewed the CMRT submissions to validate if they were complete and to identify any contradictions or inconsistencies. We also have worked with suppliers to secure updated responses where necessary.
d.
Identify smelters/processors - We collected a list of smelters/processors that may have processed conflict minerals in our supply chain by utilizing the responses to the CMRT. We reconciled this list to the list of smelter facilities designated by the RMI Responsible Minerals Assurance Process (formerly the Conflict-Free Smelter Program). We have provided that list in this report.
Step 3: Design and implement a strategy to respond to identified risks
We performed the following steps as part of our risk management plan:
a.
Designed and implemented a plan -We adopted and utilized the CMRT to monitor and mitigate supply chain risk.
b.
Verify smelters - As part of the risk mitigation process, we reconciled the list of smelters collected from suppliers to the list of smelter facilities designated as “RMAP conformant” by the RMI Responsible Minerals Assurance Process.
c.
Supplier outreach - We followed up with suppliers that did not initially respond to our requests to complete the CMRT and followed up with questions to explain contradictions and inconsistencies.
d.
Meet with management - Members of the conflict minerals team periodically report to a designated committee of senior management comprised of the Chief Financial Officer, SVP of Operations and the General Counsel.
Step 4: Carry out independent third-party audit of supply chain due diligence
We are relying on the RMI’s published lists to verify the status of smelters/processors that source from Covered Countries as conformant with the Responsible Minerals Assurance Process assessment protocols for responsible sourcing of conflict minerals.


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rmilogorgbfullcolornotagline.jpgWe are a member of the RMI (INFI). As a member, we have supported the development of the Responsible Minerals Assurance Process (“RMAP”) and have relied on the RMAP to determine the country of origin of conflict minerals in our products. The RMAP uses independent third-party audits to certify smelters and refiners that can demonstrate that the 3TGs which they process do not originate from sources that may be directly or indirectly financing or benefitting armed groups in a Covered Country. The efforts to determine location of origin through the RMI is described on the RMI website at: http://www.responsiblemineralsinitiative.org. We remain supportive of industry-wide efforts to expand smelter certification.
This report and our Form SD will be filed with the SEC, and this report is publicly available on our website at www.infinera.com.
Results of RCOI and Due Diligence
We conducted a survey of the 91 direct suppliers that we identified may provide products or components containing 3TG and received a response to our inquiry from all of these direct suppliers in calendar year 2017. We did receive, however, some incomplete responses from those surveyed, including responses that still contain incomplete smelter lists.
We have determined that a portion of the conflict minerals contained in the Covered Products originated from the Covered Countries, but we were unable to determine the origin of all the conflict minerals in our Covered Products. Because we have not described any of our products as “DRC conflict free,” an independent private sector audit is not required to be conducted under Rule 13p-1, based on guidance from the SEC’s staff, and therefore has not been conducted.
Smelters or Refineries
We present in this report a list of smelters or refiners provided by those of our suppliers that completed the smelter list on the CMRT, to the extent reasonably determinable, and that may have provided conflict minerals in any of the Covered Products. This table, included in Appendix 1, is as of May 1, 2018 and includes only facilities, to the extent known, that have been validated by the RMI as facilities that are currently listed in the RMAP or are listed in the CMRT as “known smelters or refiners.” For smelter and refiner identification, the vast majority of our suppliers provided data at a company or divisional level, or otherwise were unable to identify specific entities that had processed 3TGs contained in the materials, components, or products supplied to us. This was expected given the multiple tiers of suppliers and other entities that are positioned between our direct suppliers and 3TG smelters or refiners. Because of this, we are unable, at this time, to verify that any of the 3TG smelters or refiners that our suppliers identified were part of our raw materials supply chain.

Due Diligence Improvement Efforts
We will continue to communicate our expectations and information requirements to our direct suppliers and continue to work towards a conflict-free supply chain. Over time, we anticipate that the amount of information globally on the traceability and sourcing of these ores will increase and improve our knowledge. We will continue to make inquiries of our direct suppliers and undertake additional risk assessments when potentially relevant changes in facts or circumstances are identified. If we become aware of a supplier whose due diligence process or reporting needs improvement, we intend to continue the trade relationship while that supplier improves its compliance program. We expect our direct suppliers to take similar measures with their suppliers to ensure alignment throughout the supply chain.

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In addition to the plans described above, we will undertake the following steps during the next reporting period:
Continue to collect responses from suppliers using the CMRT, including the collection of more product-level responses.
Continue to work directly with our suppliers to provide more complete responses as a number of suppliers have been unable to determine the origin of the 3TG in products or components supplied to us or to determine whether they come from recycled or scrap sources.
Continue to support supply chain transparency efforts through our membership in RMI.
Compare and validate RCOI results to information collected via independent conflict-free smelter validation programs such as the RMAP.
Continue to allow verified conflict-free material from the Covered Countries to enter our supply chain.

Additional Information
The statements above are based on the RCOI process and due diligence performed in good faith by Infinera. These statements are based on information available at the time. A number of factors could introduce errors or otherwise affect our status with respect to this report. These factors include, but are not limited to, gaps in supplier data, gaps in smelter data, errors or omissions by suppliers or smelters, evolving definition and confirmation of smelters, incomplete information from industry or other third-party sources, all instances of conflict minerals necessary to the functionality or manufacturing of our products possibly not yet having been identified, gaps in supplier education and knowledge, timeliness of data, public information not discovered during a reasonable search, language barriers and translation, oversights or errors in conflict free smelter audits, Covered Countries sourced materials being declared secondary materials, companies in our supply chain going out of business, certification programs being not equally advanced for all industry segments and metals, updated guidance regarding the SEC final rules, and smuggling of conflict minerals from the Covered Countries to countries beyond the Covered Countries.

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Appendix 1

Smelters and Refiners
Metal
Smelter
RMAP Status
Gold
Abington Reldan Metals, LLC
Not RMAP Conformant or Active
Gold
Accurate Refining Group
Not RMAP Conformant or Active
Gold
Advanced Chemical Company
Conformant
Gold
African Gold Refinery
Not RMAP Conformant or Active
Gold
Aida Chemical Industries Co., Ltd.
Conformant
Gold
Al Etihad Gold Refinery DMCC
Conformant
Gold
Allgemeine Gold-und Silberscheideanstalt A.G.
Conformant
Gold
Almalyk Mining and Metallurgical Complex (AMMC)
Conformant
Gold
AngloGold Ashanti Corrego do Sitio Mineracao
Conformant
Gold
Argor-Heraeus S.A.
Conformant
Gold
Asahi Pretec Corp.
Conformant
Gold
Asahi Refining Canada Ltd.
Conformant
Gold
Asahi Refining USA Inc.
Conformant
Gold
Asaka Riken Co., Ltd.
Conformant
Gold
Atasay Kuyumculuk Sanayi Ve Ticaret A.S.
Not RMAP Conformant or Active
Gold
AU Traders and Refiners
Conformant
Gold
Aurubis AG
Conformant
Gold
Bangalore Refinery
Active
Gold
Bangko Sentral ng Pilipinas (Central Bank of the Philippines)
Conformant
Gold
Boliden AB
Conformant
Gold
C. Hafner GmbH + Co. KG
Conformant
Gold
Caridad
Not RMAP Conformant or Active
Gold
CCR Refinery - Glencore Canada Corporation
Conformant
Gold
Cendres + Metaux S.A.
Conformant
Gold
Chimet S.p.A.
Conformant
Gold
Chugai Mining
Not RMAP Conformant or Active
Gold
Daejin Indus Co., Ltd.
Conformant
Gold
Daye Non-Ferrous Metals Mining Ltd.
Not RMAP Conformant or Active
Gold
Degussa Sonne / Mond Goldhandel GmbH
Not RMAP Conformant or Active
Gold
DODUCO Contacts and Refining GmbH
Conformant
Gold
Dowa
Conformant
Gold
DS PRETECH Co., Ltd.
Active
Gold
DSC (Do Sung Corporation)
Conformant
Gold
Eco-System Recycling Co., Ltd.
Conformant
Gold
Emirates Gold DMCC
Conformant
Gold
Fidelity Printers and Refiners Ltd.
Not RMAP Conformant or Active
Gold
GCC Gujrat Gold Centre Pvt. Ltd.
Not RMAP Conformant or Active
Gold
Geib Refining Corporation
Conformant
Gold
Gold Refinery of Zijin Mining Group Co., Ltd.
Conformant
Gold
Great Wall Precious Metals Co., Ltd. of CBPM
Not RMAP Conformant or Active
Gold
Guangdong Jinding Gold Limited
Not RMAP Conformant or Active
Gold
Guoda Safina High-Tech Environmental Refinery Co., Ltd.
Not RMAP Conformant or Active
Gold
Hangzhou Fuchunjiang Smelting Co., Ltd.
Not RMAP Conformant or Active

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Metal
Smelter
RMAP Status
Gold
HeeSung Metal Ltd.
Conformant
Gold
Heimerle + Meule GmbH
Conformant
Gold
Heraeus Metals Hong Kong Ltd.
Conformant
Gold
Heraeus Precious Metals GmbH & Co. KG
Conformant
Gold
Hunan Chenzhou Mining Co., Ltd.
Not RMAP Conformant or Active
Gold
HwaSeong CJ CO., LTD.
Not RMAP Conformant or Active
Gold
Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.
Conformant
Gold
Ishifuku Metal Industry Co., Ltd.
Conformant
Gold
Istanbul Gold Refinery
Conformant
Gold
Italpreziosi
Conformant
Gold
Japan Mint
Conformant
Gold
Jiangxi Copper Co., Ltd.
Conformant
Gold
JSC Ekaterinburg Non-Ferrous Metal Processing Plant
Not RMAP Conformant or Active
Gold
JSC Uralelectromed
Conformant
Gold
JX Nippon Mining & Metals Co., Ltd.
Conformant
Gold
Kaloti Precious Metals
Not RMAP Conformant or Active
Gold
Kazakhmys Smelting LLC
Not RMAP Conformant or Active
Gold
Kazzinc
Conformant
Gold
Kennecott Utah Copper LLC
Conformant
Gold
KGHM Polska Miedz Spolka Akcyjna
Active
Gold
Kojima Chemicals Co., Ltd.
Conformant
Gold
Korea Zinc Co., Ltd.
Conformant
Gold
Kyrgyzaltyn JSC
Conformant
Gold
Kyshtym Copper-Electrolytic Plant ZAO
Not RMAP Conformant or Active
Gold
L'azurde Company For Jewelry
Not RMAP Conformant or Active
Gold
Lingbao Gold Co., Ltd.
Not RMAP Conformant or Active
Gold
Lingbao Jinyuan Tonghui Refinery Co., Ltd.
Not RMAP Conformant or Active
Gold
L'Orfebre S.A.
Active
Gold
LS-NIKKO Copper Inc.
Conformant
Gold
Luoyang Zijin Yinhui Gold Refinery Co., Ltd.
Not RMAP Conformant or Active
Gold
Marsam Metals
Conformant
Gold
Materion
Conformant
Gold
Matsuda Sangyo Co., Ltd.
Conformant
Gold
Metalor Technologies (Hong Kong) Ltd.
Conformant
Gold
Metalor Technologies (Singapore) Pte., Ltd.
Conformant
Gold
Metalor Technologies (Suzhou) Ltd.
Conformant
Gold
Metalor Technologies S.A.
Conformant
Gold
Metalor USA Refining Corporation
Conformant
Gold
Metalurgica Met-Mex Penoles S.A. De C.V.
Conformant
Gold
Mitsubishi Materials Corporation
Conformant
Gold
Mitsui Mining and Smelting Co., Ltd.
Conformant
Gold
MMTC-PAMP India Pvt., Ltd.
Conformant
Gold
Modeltech Sdn Bhd
Active
Gold
Morris and Watson
Not RMAP Conformant or Active
Gold
Morris and Watson Gold Coast
Not RMAP Conformant or Active

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Metal
Smelter
RMAP Status
Gold
Moscow Special Alloys Processing Plant
Conformant
Gold
Nadir Metal Rafineri San. Ve Tic. A.S.
Conformant
Gold
Navoi Mining and Metallurgical Combinat
Not RMAP Conformant or Active
Gold
NH Recytech Company
Active
Gold
Nihon Material Co., Ltd.
Conformant
Gold
Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH
Conformant
Gold
Ohio Precious Metals, LLC
Not RMAP Conformant or Active
Gold
Ohura Precious Metal Industry Co., Ltd.
Conformant
Gold
OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)
Conformant
Gold
OJSC Novosibirsk Refinery
Conformant
Gold
PAMP S.A.
Conformant
Gold
Pease & Curren
Not RMAP Conformant or Active
Gold
Penglai Penggang Gold Industry Co., Ltd.
Not RMAP Conformant or Active
Gold
Planta Recuperadora de Metales SpA
Conformant
Gold
Prioksky Plant of Non-Ferrous Metals
Conformant
Gold
PT Aneka Tambang (Persero) Tbk
Conformant
Gold
PX Precinox S.A.
Conformant
Gold
Rand Refinery (Pty) Ltd.
Conformant
Gold
Refinery of Seemine Gold Co., Ltd.
Not RMAP Conformant or Active
Gold
Remondis Argentia B.V.
Active
Gold
Republic Metals Corporation
Conformant
Gold
Royal Canadian Mint
Conformant
Gold
SAAMP
Conformant
Gold
Sabin Metal Corp.
Not RMAP Conformant or Active
Gold
Safimet S.p.A
Conformant
Gold
SAFINA A.S.
Conformant
Gold
Sai Refinery
Not RMAP Conformant or Active
Gold
Samduck Precious Metals
Conformant
Gold
Samwon Metals Corp.
Not RMAP Conformant or Active
Gold
SAXONIA Edelmetalle GmbH
Conformant
Gold
Schone Edelmetaal B.V.
Not RMAP Conformant or Active
Gold
SEMPSA Joyeria Plateria S.A.
Conformant
Gold
Shandong Tiancheng Biological Gold Industrial Co., Ltd.
Not RMAP Conformant or Active
Gold
Shandong Zhaojin Gold & Silver Refinery Co., Ltd.
Conformant
Gold
Sichuan Tianze Precious Metals Co., Ltd.
Conformant
Gold
Singway Technology Co., Ltd.
Conformant
Gold
SOE Shyolkovsky Factory of Secondary Precious Metals
Conformant
Gold
Solar Applied Materials Technology Corp.
Conformant
Gold
State Research Institute Center for Physical Sciences and Technology
Not RMAP Conformant or Active
Gold
Sudan Gold Refinery
Not RMAP Conformant or Active
Gold
Sumitomo Metal Mining Co., Ltd.
Conformant
Gold
SungEel HiMetal Co., Ltd.
Conformant
Gold
T.C.A S.p.A
Conformant
Gold
Tanaka Kikinzoku Kogyo K.K.
Conformant

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Metal
Smelter
RMAP Status
Gold
The Refinery of Shandong Gold Mining Co., Ltd.
Conformant
Gold
Tokuriki Honten Co., Ltd.
Conformant
Gold
Tongling Nonferrous Metals Group Co., Ltd.
Not RMAP Conformant or Active
Gold
Tony Goetz NV
Not RMAP Conformant or Active
Gold
TOO Tau-Ken-Altyn
Not RMAP Conformant or Active
Gold
Torecom
Conformant
Gold
Umicore Brasil Ltda.
Conformant
Gold
Umicore Precious Metals Thailand
Conformant
Gold
Umicore S.A. Business Unit Precious Metals Refining
Conformant
Gold
United Precious Metal Refining, Inc.
Conformant
Gold
Universal Precious Metals Refining Zambia
Not RMAP Conformant or Active
Gold
Valcambi S.A.
Conformant
Gold
Western Australian Mint (T/a The Perth Mint)
Conformant
Gold
WIELAND Edelmetalle GmbH
Conformant
Gold
Yamakin Co., Ltd.
Conformant
Gold
Yokohama Metal Co., Ltd.
Conformant
Gold
Yunnan Copper Industry Co., Ltd.
Not RMAP Conformant or Active
Gold
Zhongyuan Gold Smelter of Zhongjin Gold Corporation
Conformant
Tantalum
Asaka Riken Co., Ltd.
Conformant
Tantalum
Changsha South Tantalum Niobium Co., Ltd.
Conformant
Tantalum
D Block Metals, LLC
Conformant
Tantalum
Duoluoshan
Not RMAP Conformant or Active
Tantalum
Exotech Inc.
Conformant
Tantalum
F&X Electro-Materials Ltd.
Conformant
Tantalum
FIR Metals & Resource Ltd.
Conformant
Tantalum
Global Advanced Metals Aizu
Conformant
Tantalum
Global Advanced Metals Boyertown
Conformant
Tantalum
Guangdong Rising Rare Metals-EO Materials Ltd.
Conformant
Tantalum
Guangdong Zhiyuan New Material Co., Ltd.
Conformant
Tantalum
H.C. Starck Co., Ltd.
Conformant
Tantalum
H.C. Starck Hermsdorf GmbH
Conformant
Tantalum
H.C. Starck Inc.
Conformant
Tantalum
H.C. Starck Ltd.
Conformant
Tantalum
H.C. Starck Smelting GmbH & Co. KG
Conformant
Tantalum
H.C. Starck Tantalum and Niobium GmbH
Conformant
Tantalum
Hengyang King Xing Lifeng New Materials Co., Ltd.
Conformant
Tantalum
Jiangxi Dinghai Tantalum & Niobium Co., Ltd.
Conformant
Tantalum
Jiangxi Tuohong New Raw Material
Conformant
Tantalum
Jiujiang Janny New Material Co., Ltd.
Conformant
Tantalum
JiuJiang JinXin Nonferrous Metals Co., Ltd.
Conformant
Tantalum
Jiujiang Tanbre Co., Ltd.
Conformant
Tantalum
Jiujiang Zhongao Tantalum & Niobium Co., Ltd.
Conformant
Tantalum
KEMET Blue Metals
Conformant
Tantalum
KEMET Blue Powder
Conformant
Tantalum
King-Tan Tantalum Industry Ltd.
Not RMAP Conformant or Active

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Metal
Smelter
RMAP Status
Tantalum
LSM Brasil S.A.
Conformant
Tantalum
Metallurgical Products India Pvt., Ltd.
Conformant
Tantalum
Mineracao Taboca S.A.
Conformant
Tantalum
Mitsui Mining and Smelting Co., Ltd.
Conformant
Tantalum
Ningxia Orient Tantalum Industry Co., Ltd.
Conformant
Tantalum
NPM Silmet AS
Conformant
Tantalum
Power Resources Ltd.
Conformant
Tantalum
QuantumClean
Conformant
Tantalum
Resind Industria e Comercio Ltda.
Conformant
Tantalum
RFH Tantalum Smeltery Co., Ltd./Yanling Jincheng Tantalum & Niobium Co., Ltd.
Conformant
Tantalum
Solikamsk Magnesium Works OAO
Conformant
Tantalum
Taki Chemical Co., Ltd.
Conformant
Tantalum
Telex Metals
Conformant
Tantalum
Ulba Metallurgical Plant JSC
Conformant
Tantalum
XinXing HaoRong Electronic Material Co., Ltd.
Conformant
Tantalum
Yichun Jin Yang Rare Metal Co., Ltd.
Not RMAP Conformant or Active
Tin
Alpha
Conformant
Tin
An Vinh Joint Stock Mineral Processing Company
Not RMAP Conformant or Active
Tin
Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.
Conformant
Tin
Chifeng Dajingzi Tin Industry Co., Ltd.
Conformant
Tin
China Tin Group Co., Ltd.
Conformant
Tin
CNMC (Guangxi) PGMA Co., Ltd.
Not RMAP Conformant or Active
Tin
CV Ayi Jaya
Conformant
Tin
CV Dua Sekawan
Conformant
Tin
CV Gita Pesona
Conformant
Tin
CV United Smelting
Conformant
Tin
CV Venus Inti Perkasa
Conformant
Tin
Dowa
Conformant
Tin
Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company
Not RMAP Conformant or Active
Tin
EM Vinto
Conformant
Tin
Estanho de Rondonia S.A.
Not RMAP Conformant or Active
Tin
Fenix Metals
Conformant
Tin
Gejiu Fengming Metallurgy Chemical Plant
Conformant
Tin
Gejiu Jinye Mineral Company
Conformant
Tin
Gejiu Kai Meng Industry and Trade LLC
Conformant
Tin
Gejiu Non-Ferrous Metal Processing Co., Ltd.
Conformant
Tin
Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.
Conformant
Tin
Gejiu Zili Mining And Metallurgy Co., Ltd.
Not RMAP Conformant or Active
Tin
Guangdong Hanhe Non-Ferrous Metal Co., Ltd.
Conformant
Tin
Guanyang Guida Nonferrous Metal Smelting Plant
Conformant
Tin
HuiChang Hill Tin Industry Co., Ltd.
Conformant
Tin
Huichang Jinshunda Tin Co., Ltd.
Conformant
Tin
Jiangxi Ketai Advanced Material Co., Ltd.
Conformant
Tin
Jiangxi New Nanshan Technology Ltd.
Conformant

10



Metal
Smelter
RMAP Status
Tin
Magnu's Minerais Metais e Ligas Ltda.
Conformant
Tin
Malaysia Smelting Corporation (MSC)
Conformant
Tin
Melt Metais e Ligas S.A.
Conformant
Tin
Metallic Resources, Inc.
Conformant
Tin
Metallo Belgium N.V.
Conformant
Tin
Metallo Spain S.L.U.
Conformant
Tin
Mineracao Taboca S.A.
Conformant
Tin
Minsur
Conformant
Tin
Mitsubishi Materials Corporation
Conformant
Tin
Modeltech Sdn Bhd
Active
Tin
Nghe Tinh Non-Ferrous Metals Joint Stock Company
Not RMAP Conformant or Active
Tin
O.M. Manufacturing (Thailand) Co., Ltd.
Conformant
Tin
O.M. Manufacturing Philippines, Inc.
Conformant
Tin
Operaciones Metalurgical S.A.
Conformant
Tin
Pongpipat Company Limited
Not RMAP Conformant or Active
Tin
PT Aries Kencana Sejahtera
Conformant
Tin
PT Artha Cipta Langgeng
Conformant
Tin
PT ATD Makmur Mandiri Jaya
Conformant
Tin
PT Babel Inti Perkasa
Conformant
Tin
PT Bangka Prima Tin
Conformant
Tin
PT Bangka Serumpun
Conformant
Tin
PT Bangka Tin Industry
Conformant
Tin
PT Belitung Industri Sejahtera
Conformant
Tin
PT Bukit Timah
Conformant
Tin
PT DS Jaya Abadi
Conformant
Tin
PT Eunindo Usaha Mandiri
Conformant
Tin
PT Inti Stania Prima
Conformant
Tin
PT Karimun Mining
Conformant
Tin
PT Kijang Jaya Mandiri
Conformant
Tin
PT Lautan Harmonis Sejahtera
Conformant
Tin
PT Menara Cipta Mulia
Conformant
Tin
PT Mitra Stania Prima
Conformant
Tin
PT O.M. Indonesia
Not RMAP Conformant or Active
Tin
PT Panca Mega Persada
Conformant
Tin
PT Premium Tin Indonesia
Conformant
Tin
PT Prima Timah Utama
Conformant
Tin
PT Rajehan Ariq
Conformant
Tin
PT Refined Bangka Tin
Conformant
Tin
PT Sariwiguna Binasentosa
Conformant
Tin
PT Stanindo Inti Perkasa
Conformant
Tin
PT Sukses Inti Makmur
Conformant
Tin
PT Sumber Jaya Indah
Conformant
Tin
PT Timah (Persero) Tbk Kundur
Conformant
Tin
PT Timah (Persero) Tbk Mentok
Conformant
Tin
PT Tinindo Inter Nusa
Conformant

11



Metal
Smelter
RMAP Status
Tin
PT Tommy Utama
Conformant
Tin
Resind Industria e Comercio Ltda.
Conformant
Tin
Rui Da Hung
Conformant
Tin
Soft Metais Ltda.
Conformant
Tin
Super Ligas
Not RMAP Conformant or Active
Tin
Thaisarco
Conformant
Tin
Tuyen Quang Non-Ferrous Metals Joint Stock Company
Not RMAP Conformant or Active
Tin
White Solder Metalurgia e Mineracao Ltda.
Conformant
Tin
Yunnan Chengfeng Non-ferrous Metals Co., Ltd.
Conformant
Tin
Yunnan Tin Company Limited
Conformant
Tungsten
A.L.M.T. TUNGSTEN Corp.
Conformant
Tungsten
ACL Metais Eireli
Conformant
Tungsten
Asia Tungsten Products Vietnam Ltd.
Conformant
Tungsten
Chenzhou Diamond Tungsten Products Co., Ltd.
Conformant
Tungsten
Chongyi Zhangyuan Tungsten Co., Ltd.
Conformant
Tungsten
Fujian Jinxin Tungsten Co., Ltd.
Conformant
Tungsten
Ganzhou Haichuang Tungsten Co., Ltd.
Active
Tungsten
Ganzhou Huaxing Tungsten Products Co., Ltd.
Conformant
Tungsten
Ganzhou Jiangwu Ferrotungsten Co., Ltd.
Conformant
Tungsten
Ganzhou Seadragon W & Mo Co., Ltd.
Conformant
Tungsten
Ganzhou Yatai Tungsten Co., Ltd.
Not RMAP Conformant or Active
Tungsten
Global Tungsten & Powders Corp.
Conformant
Tungsten
Guangdong Xianglu Tungsten Co., Ltd.
Conformant
Tungsten
H.C. Starck Smelting GmbH & Co. KG
Conformant
Tungsten
H.C. Starck Tungsten GmbH
Conformant
Tungsten
Hunan Chenzhou Mining Co., Ltd.
Conformant
Tungsten
Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji
Conformant
Tungsten
Hunan Chunchang Nonferrous Metals Co., Ltd.
Conformant
Tungsten
Hunan Litian Tungsten Industry Co., Ltd.
Not RMAP Conformant or Active
Tungsten
Hydrometallurg, JSC
Conformant
Tungsten
Japan New Metals Co., Ltd.
Conformant
Tungsten
Jiangwu H.C. Starck Tungsten Products Co., Ltd.
Conformant
Tungsten
Jiangxi Dayu Longxintai Tungsten Co., Ltd.
Not RMAP Conformant or Active
Tungsten
Jiangxi Gan Bei Tungsten Co., Ltd.
Conformant
Tungsten
Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.
Not RMAP Conformant or Active
Tungsten
Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.
Conformant
Tungsten
Jiangxi Xinsheng Tungsten Industry Co., Ltd.
Conformant
Tungsten
Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.
Not RMAP Conformant or Active
Tungsten
Jiangxi Yaosheng Tungsten Co., Ltd.
Conformant
Tungsten
Kennametal Fallon
Conformant
Tungsten
Kennametal Huntsville
Conformant
Tungsten
Malipo Haiyu Tungsten Co., Ltd.
Conformant
Tungsten
Moliren Ltd.
Conformant
Tungsten
Niagara Refining LLC
Conformant
Tungsten
Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC
Conformant

12



Metal
Smelter
RMAP Status
Tungsten
Philippine Chuangxin Industrial Co., Inc.
Conformant
Tungsten
South-East Nonferrous Metal Company Limited of Hengyang City
Conformant
Tungsten
Tejing (Vietnam) Tungsten Co., Ltd.
Conformant
Tungsten
Unecha Refractory metals plant
Conformant
Tungsten
Vietnam Youngsun Tungsten Industry Co., Ltd.
Conformant
Tungsten
Wolfram Bergbau und Hutten AG
Conformant
Tungsten
Woltech Korea Co., Ltd.
Conformant
Tungsten
Xiamen Tungsten (H.C.) Co., Ltd.
Conformant
Tungsten
Xiamen Tungsten Co., Ltd.
Conformant
Tungsten
Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.
Conformant
Tungsten
Xinhai Rendan Shaoguan Tungsten Co., Ltd.
Conformant
Countries of origin of the conflict minerals these facilities process are believed to include:

Andorra, Australia, Austria, Belgium, Bolivia, Brazil, Canada, Chile, China, Czech Republic, Estonia, France, Germany, India, Indonesia, Italy, Japan, Kazakhstan, Kyrgyzstan, Lithuania, Macedonia, Malaysia, Mexico, Myanmar, Netherlands, New Zealand, Peru, Philippines, Poland, Russia, Saudi Arabia, Singapore, South Africa, South Korea, Spain, Sudan, Sweden, Switzerland, Taiwan, Thailand, Turkey, Uganda, United Arab Emirates, United States of America, Uzbekistan, Viet Nam, Zambia, Zimbabwe


13