EX-1.01 2 d935681dex101.htm EX-1.01 EX-1.01

Exhibit 1.01

GLOSSARY OF TERMS

The following table summarizes certain terms and abbreviations that may be used within the text of this report:

 

Abbreviation

  

Term

CMRT    RMI’s Conflict Minerals Reporting Template
Communication Suspended—Not Interested    RMI assigned smelter or refiner status for a facility which has strongly communicated a lack of interest in participation in the RMI RMAP program
Conflict-free    A status for which all associated conflict minerals are sourced through smelters of refiners validated by recognized responsible sourcing protocols such as RMI’s RMAP and its cross-recognized programs (e.g., RJC and LBMA) as not financing armed conflict
DRC    Democratic Republic of the Congo
Form SD    The U.S. Securities and Exchange Commission’s Specialized Disclosure Form
Framework    OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas: Third Edition
LBMA    London Bullion Market Association
Non-Conformant    RMI status for a smelter or refiner facility that was audited but found to be nonconformant with the relevant RMAP standard
OECD    Organisation for Economic Co-operation and Development
RCOI    Reasonable Country of Origin Inquiry
RJC    Responsible Jewelry Council
RMAP    Responsible Minerals Assurance Process
RMI    Responsible Minerals Initiative
Rule    Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1)

 


Dolby Laboratories, Inc.

Conflict Minerals Report

For Calendar Year Ended December 31, 2019

Introduction

This Conflict Minerals Report (this “Report”) of Dolby Laboratories, Inc. (“Dolby” or the “Company”) has been prepared pursuant to Rule 13p-1 and Form SD (the “Rule”) promulgated under the Securities Exchange Act of 1934, as amended, for the reporting period from January 1, 2019 to December 31, 2019. The Rule requires disclosure of certain information when a company manufactures or contracts to manufacture products and the minerals specified in the Rule are necessary to the functionality or production of those products. The specified minerals referred to as “Conflict Minerals” are gold, columbite-tantalite (coltan), cassiterite and wolframite, including their metallic derivatives which include tantalum, tin and tungsten. The “Covered Countries” for purposes of the Rule and this Report are the Democratic Republic of Congo, the Republic of Congo, the Central African Republic, South Sudan, Uganda, Rwanda, Burundi, Tanzania, Zambia and Angola.

Dolby has determined that certain Conflict Minerals are necessary to the functionality or production of products manufactured or contracted to be manufactured by us during calendar year 2019. These products are referred to in this Report as “Covered Products.” Dolby has conducted a RCOI reasonably designed to determine if Conflict Minerals originated in the Covered Countries. Based on our RCOI, Dolby believes that certain of the Conflict Minerals used in our products may have originated in the Covered Countries. Because of this finding, we performed additional due diligence on the source and chain of custody of these Conflict Minerals based on 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: Third Edition (“Framework”), to determine if the Conflict Minerals that may have originated in the Covered Countries benefited armed groups. As such, we believe our process was reasonably designed and performed in good faith. After performing the RCOI and additional due diligence in conformity with the Framework, we were unable to comprehensively determine the origin of all Conflict Minerals used in our products, the facilities used to process them, their country of origin, and their mine or location of origin. We note, however, that we did not learn of any facts that led us to conclude that any of our Covered Products include Conflict Minerals that originated in a Covered Country and financed or benefitted an armed group.

The Covered Products are hardware products and a significant majority of Dolby’s revenues are associated with licensing and services as opposed to physical hardware products. As reported in Dolby’s Annual Report on Form 10-K for the fiscal year ended September 27, 2019, Dolby’s Products and Services revenue for the fiscal year period comprised approximately 11% of reported revenues of $1.24 billion. Most of Dolby’s hardware products are manufactured by contract manufacturers. These factors result in a relatively small supply base as indicated in the RCOI summary. Descriptions of our covered products are provided below.

Descriptions of Covered Products

 

Product    Description
Cinema     Cinema Imaging Products   

Digital cinema servers used to load, store, decrypt, decode, watermark, and playback digital film files for presentation on digital cinema projectors and software used to encrypt, encode, and package digital media files for distribution.

 

   Cinema Audio Products   

Cinema processors, amplifiers, and loudspeakers used to decode, render, and optimally play back digital cinema soundtracks including those using Dolby Atmos.

 

     
Other    Dolby Conference Phone   

An integral hardware component of the Dolby Voice conferencing solution that enhances full-room voice capture, spatial voice separation, and playback.

 

   Dolby Voice Room   

Video conferencing solution for huddle rooms and small conference rooms that combines a camera product with the Dolby Conference Phone and Dolby Voice technology.

 

   Other Products   

3-D glasses and kits, broadcast hardware and software used to encode, transmit, and decode multiple channels of high quality audio for Digital Television (DTV) and High-Definition Television (HDTV) distribution, monitors, and accessibility solutions for hearing and visually impaired consumers.

 


RCOI

Our RCOI consisted of requesting a completed RMI CMRT from our contract manufacturers and suppliers of materials/products/components received by Dolby in 2019 for purchases made through Dolby’s purchase order system. Responses were reviewed for completeness and consistency, and we routinely followed up with our suppliers for corrections and clarifications as needed. We submitted this questionnaire to 85 suppliers and manufacturers of components and products purchased directly by Dolby. We did not receive complete responses to the questionnaire from 9 of these suppliers (10.6%) despite repeated follow-up attempts with these nonresponsive suppliers. We were informed that many of Dolby’s suppliers have not received responses from all their upstream suppliers. Of the responses received, 17 suppliers indicated that they source Conflict Minerals from the Covered Countries while 6 others indicated they do not know whether they source Conflict Minerals from the Covered Countries. Based on these responses, we conducted additional due diligence on the smelters and refiners identified.

Due Diligence Framework

Dolby’s due diligence program was designed to conform in all material respects with the OECD Framework.

Due Diligence Measures Taken

The due diligence measures taken include, but are not limited to, those described as follows:

Dolby has assembled a conflict minerals project team comprised of representatives from engineering, legal, and procurement who meet periodically and provide oversight of our Conflict Minerals program. Dolby adopted a conflict minerals policy in 2013 and it was updated in 2018. The policy, which is available at https://www.dolby.com/us/en/about/conflict-minerals-policy.html, describes our commitment to avoiding the use of Conflict Minerals that finance or benefit armed groups. Our policy statement does not exclude the use of responsibly sourced materials from the Covered Countries. Dolby has communicated this policy to our suppliers. We encourage suppliers to seek conflict-free sources of Conflict Minerals that are validated as conflict-free by recognized responsible sourcing protocols such as RMAP and its cross-recognized programs (e.g., RJC and LBMA). If we become aware of a supplier who does not meet the expectations specified in our conflict minerals policy, including the provision of a CMRT, our director of procurement may seek alternative sources of supply for our products or components. In support of Dolby’s Conflict Minerals program, we participate in industry groups on the topic of Conflict Minerals and other responsible sourcing matters. Dolby is an active member of RMI, and we utilize data from RMI for smelter conformance status and reasonable country of origin information.

Findings and Conclusions

Through our RCOI, certain suppliers reported the use of smelters or refiners with an RMI audit status of “Non-Conformant” or “Communication Suspended—Not Interested”. We cannot be certain these smelters or refiners are present in our supply chain due to uncertainty in our supplier survey results. We have asked these suppliers to request that these smelters or refiners pursue conformance to a recognized responsible sourcing protocol or be removed from our supply chain. Where contact information was available, we have communicated this request directly to these smelters or refiners. Should these smelters or refiners decline to pursue conformance to a recognized responsible sourcing protocol and our supplier refuses to remove these smelters from our supply chain, we will evaluate our relationship with that supplier and explore alternatives.

Dolby did not receive responses from certain of our suppliers as noted above. We made repeated requests that these suppliers provide a CMRT. A list of these nonresponsive suppliers was provided to our director of procurement who is determining if Dolby will continue to purchase components from these non-responsive suppliers or if alternative suppliers can be identified and utilized in the future. We continue to include provisions in new supply agreements relating to the gathering of Conflict Minerals information, the provision of a CMRT, and the sourcing of Conflict Free materials to encourage greater cooperation by the companies in our supply chain.

As we have not received conclusive data from all our direct suppliers, we are unable to make a definitive determination about all sources of the tin, tungsten, tantalum or gold in our products and cannot determine whether our supply chain is “conflict-free”. However, we received no information from our direct suppliers who did provide a CMRT response to indicate that the tin, tantalum, tungsten or gold directly or indirectly financed or benefitted armed groups in the DRC or adjoining countries. Some suppliers disclosed to us that scrap/recycled sources of gold, tantalum, tin and/or tungsten were identified in their supply chains and therefore did not require due diligence. The table in Annex 1 lists the names and countries of the smelters or refiners reported by our suppliers. Annex 2 lists the countries of origin identified as the sources of those smelters and refiners.


We believe that requesting our contract manufacturers and component/product/material suppliers to complete the RMI CMRT and encouraging these upstream suppliers to source materials from conflict-free sources such as those validated by the RMAP, the communication of our conflicts minerals policy, as well as our review of the smelter or refiner information provided and our review of the country of origin of source materials of those smelters or refiners represents a reasonable effort to determine the mines or location of origin of the Conflict Minerals in our supply chain. Moving forward, the Company will continue to implement commercially reasonable procedures to continue preventing Conflict Minerals that finance or benefit armed groups from being introduced into our supply chain.

Independent Private Sector Audit (IPSA)

Not required for reporting year 2019.

Risk Factors

The statements above are based on the RCOI process and due diligence performed in good faith by the Company. These statements are based on the infrastructure and information available at the time. A number of factors could introduce errors or otherwise affect Dolby’s Conflict Minerals status. These factors include, but are not limited to, gaps in supplier data, gaps in smelter or refiner data, errors or omissions by suppliers, errors or omissions by smelters or refiners, the definition of a smelter or refiner not being finalized at the end of the reporting period, all instances of Conflict Minerals necessary to the functionality or manufacturing of Dolby’s products possibly not yet having been identified, gaps in supplier education and knowledge, timeliness of data, public information not discovered during a reasonable search, errors in public data, inaccurate or incomplete information due to disruptions caused by COVID-19, language barriers and translation, supplier and smelter or refiner unfamiliarity with the protocol, oversights or errors in independent third party audits conducted by the RMAP, LBMA, or RJC, Covered Countries sourced materials being declared secondary materials, companies going out of business, auditing programs being not equally advanced for all industry segments and metals, and smuggling of Conflict Minerals from the Covered Countries to countries beyond the Covered Countries.

Forward-Looking Statements

Certain statements in this Report, including, but not limited to, statements relating to Dolby’s future supply management practices, policies and plans for procurement of materials, and efforts to improve supply chain transparency, are “forward-looking statements” that are subject to risks and uncertainties. In some cases, you can identify forward-looking statements because they contain words such as “believe,” “continue,” “could,” “expect,” “may,” “will,” or “would” or the negative of these words or other similar terms or expressions. These forward-looking statements are based on management’s current expectations, and as a result of certain risks and uncertainties, actual results may differ materially from those projected. The following important factors, without limitation, could cause actual results to differ materially from those in the forward-looking statements: the ability of Dolby and its suppliers to obtain reliable information as to the source of purchased production materials; whether upstream suppliers responsibly source materials from conflict-free sources; political and regulatory developments; and other risks detailed under the section captioned “Risk Factors” in this Report. Dolby disclaims any obligation to update information contained in these forward-looking statements whether as a result of new information, future events, or otherwise.


Annex 1

The table below describes the smelters and refiners reported by our contract manufacturers and component/product/ materials suppliers in their CMRT as of April 16, 2020 covering Dolby products manufactured during calendar year 2019:

 

Metal

  

Smelter Name

  

Smelter Country

Gold

   Advanced Chemical Company    UNITED STATES OF AMERICA

Gold

   Allgemeine Gold-und Silberscheideanstalt A.G.    GERMANY

Gold

   BALORE REFINERSGA    INDIA

Gold

   Chugai Mining    JAPAN

Gold

   Smelter Not Listed    JAPAN

Gold

   Smelter Not Listed    JAPAN

Gold

   JSC Uralelectromed    RUSSIAN FEDERATION

Gold

   KGHM Polska Miedz S.A.    POLAND

Gold

   Kyrgyzaltyn JSC    KYRGYZSTAN

Gold

   L’Orfebre S.A.    ANDORRA

Gold

   Navoi Mining and Metallurgical Combinat    UZBEKISTAN

Gold

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

Gold

   Remondis Argentia B.V.    NETHERLANDS

Gold

   Umicore Brasil Ltda.    BRAZIL

Gold

   SAFINA A.S.    CZECHIA

Gold

   Caridad    MEXICO

Gold

   HwaSeong CJ CO., LTD.    KOREA, REPUBLIC OF

Gold

   Samwon Metals Corp.    KOREA, REPUBLIC OF

Gold

   Morris and Watson    NEW ZEALAND

Gold

   Aida Chemical Industries Co., Ltd.    JAPAN

Gold

   Almalyk Mining and Metallurgical Complex (AMMC)    UZBEKISTAN

Gold

   AngloGold Ashanti Corrego do Sitio Mineracao    BRAZIL

Gold

   Argor-Heraeus S.A.    SWITZERLAND

Gold

   Asahi Pretec Corp.    JAPAN

Gold

   Asaka Riken Co., Ltd.    JAPAN

Gold

   Aurubis AG    GERMANY

Gold

   Bangko Sentral ng Pilipinas (Central Bank of the Philippines)    PHILIPPINES

Gold

   Boliden AB    SWEDEN

Gold

   C. Hafner GmbH + Co. KG    GERMANY

Gold

   CCR Refinery—Glencore Canada Corporation    CANADA

Gold

   Cendres + Metaux S.A.    SWITZERLAND

Gold

   Chimet S.p.A.    ITALY

Gold

   DSC (Do Sung Corporation)    KOREA, REPUBLIC OF

Gold

   DODUCO Contacts and Refining GmbH    GERMANY

Gold

   Dowa    JAPAN

Gold

   Eco-System Recycling Co., Ltd.    JAPAN

Gold

   OJSC Novosibirsk Refinery    RUSSIAN FEDERATION

Gold

   HeeSung Metal Ltd.    KOREA, REPUBLIC OF

Gold

   Heimerle + Meule GmbH    GERMANY

Gold

   Heraeus Metals Hong Kong Ltd.    CHINA

Gold

   Heraeus Precious Metals GmbH & Co. KG    GERMANY

Gold

   Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.    CHINA

Gold

   Ishifuku Metal Industry Co., Ltd.    JAPAN

Gold

   Istanbul Gold Refinery    TURKEY

Gold

   Japan Mint    JAPAN

Gold

   Jiangxi Copper Co., Ltd.    CHINA

Gold

   Asahi Refining USA Inc.    UNITED STATES OF AMERICA

Gold

   Asahi Refining Canada Ltd.    CANADA

Gold

   JX Nippon Mining & Metals Co., Ltd.    JAPAN

Gold

   Kazzinc    KAZAKHSTAN

Gold

   Kennecott Utah Copper LLC    UNITED STATES OF AMERICA

Gold

   Kojima Chemicals Co., Ltd.    JAPAN

Gold

   LS-NIKKO Copper Inc.    KOREA, REPUBLIC OF

Gold

   Materion    UNITED STATES OF AMERICA

Gold

   Matsuda Sangyo Co., Ltd.    JAPAN

Gold

   Metalor Technologies (Suzhou) Ltd.    CHINA


Gold

   Metalor Technologies (Hong Kong) Ltd.    CHINA

Gold

   Metalor Technologies (Singapore) Pte., Ltd.    SINGAPORE

Gold

   Metalor Technologies S.A.    SWITZERLAND

Gold

   Metalor USA Refining Corporation    UNITED STATES OF AMERICA

Gold

   Metalurgica Met-Mex Penoles S.A. De C.V.    MEXICO

Gold

   Mitsubishi Materials Corporation    JAPAN

Gold

   Mitsui Mining and Smelting Co., Ltd.    JAPAN

Gold

   Moscow Special Alloys Processing Plant    RUSSIAN FEDERATION

Gold

   Nadir Metal Rafineri San. Ve Tic. A.S.    TURKEY

Gold

   Nihon Material Co., Ltd.    JAPAN

Gold

   Ohura Precious Metal Industry Co., Ltd.    JAPAN

Gold

   PAMP S.A.    SWITZERLAND

Gold

   Prioksky Plant of Non-Ferrous Metals    RUSSIAN FEDERATION

Gold

   PT Aneka Tambang (Persero) Tbk    INDONESIA

Gold

   PX Precinox S.A.    SWITZERLAND

Gold

   Rand Refinery (Pty) Ltd.    SOUTH AFRICA

Gold

   Royal Canadian Mint    CANADA

Gold

   Samduck Precious Metals    KOREA, REPUBLIC OF

Gold

   SEMPSA Joyeria Plateria S.A.    SPAIN

Gold

   Shandong Zhaojin Gold & Silver Refinery Co., Ltd.    CHINA

Gold

   Sichuan Tianze Precious Metals Co., Ltd.    CHINA

Gold

   SOE Shyolkovsky Factory of Secondary Precious Metals    RUSSIAN FEDERATION

Gold

   Solar Applied Materials Technology Corp.    TAIWAN

Gold

   Sumitomo Metal Mining Co., Ltd.    JAPAN

Gold

   Tanaka Kikinzoku Kogyo K.K.    JAPAN

Gold

   The Refinery of Shandong Gold Mining Co., Ltd.    CHINA

Gold

   Tokuriki Honten Co., Ltd.    JAPAN

Gold

   Torecom    KOREA, REPUBLIC OF

Gold

   Umicore S.A. Business Unit Precious Metals Refining    BELGIUM

Gold

   United Precious Metal Refining, Inc.    UNITED STATES OF AMERICA

Gold

   Valcambi S.A.    SWITZERLAND

Gold

   Western Australian Mint (T/a The Perth Mint)    AUSTRALIA

Gold

   Yamakin Co., Ltd.    JAPAN

Gold

   Yokohama Metal Co., Ltd.    JAPAN

Gold

   Zhongyuan Gold Smelter of Zhongjin Gold Corporation    CHINA

Gold

   Gold Refinery of Zijin Mining Group Co., Ltd.    CHINA

Gold

   Umicore Precious Metals Thailand    THAILAND

Gold

   Geib Refining Corporation    UNITED STATES OF AMERICA

Gold

   MMTC-PAMP India Pvt., Ltd.    INDIA

Gold

   Singway Technology Co., Ltd.    TAIWAN

Gold

   Al Etihad Gold Refinery DMCC    UNITED ARAB EMIRATES

Gold

   Emirates Gold DMCC    UNITED ARAB EMIRATES

Gold

   T.C.A S.p.A    ITALY

Gold

   Korea Zinc Co., Ltd.    KOREA, REPUBLIC OF

Gold

   Marsam Metals    BRAZIL

Gold

   TOO Tau-Ken-Altyn    KAZAKHSTAN

Gold

   SAAMP    FRANCE

Gold

   8853 S.p.A.    ITALY

Gold

   Italpreziosi    ITALY

Gold

   SAXONIA Edelmetalle GmbH    GERMANY

Gold

   WIELAND Edelmetalle GmbH    GERMANY

Gold

   Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH    AUSTRIA

Gold

   AU Traders and Refiners    SOUTH AFRICA

Gold

   SungEel HiMetal Co., Ltd.    KOREA, REPUBLIC OF

Gold

   Planta Recuperadora de Metales SpA    CHILE

Gold

   Safimet S.p.A    ITALY

Gold

   DS PRETECH Co., Ltd.    KOREA, REPUBLIC OF

Gold

   Atasay Kuyumculuk Sanayi Ve Ticaret A.S.    TURKEY

Gold

   Fidelity Printers and Refiners Ltd.    ZIMBABWE

Gold

   Daye Non-Ferrous Metals Mining Ltd.    CHINA

Gold

   Kazakhmys Smelting LLC    KAZAKHSTAN

Gold

   GCC Gujrat Gold Centre Pvt. Ltd.    INDIA

Gold

   Dijllah Gold Refinery FZC    UNITED ARAB EMIRATES


Gold

   Tony Goetz NV    BELGIUM

Gold

   Abington Reldan Metals, LLC    UNITED STATES OF AMERICA

Gold

   Modeltech Sdn Bhd    MALAYSIA

Gold

   NH Recytech Company    KOREA, REPUBLIC OF

Gold

   Yunnan Copper Industry Co., Ltd.    CHINA

Gold

   Refinery of Seemine Gold Co., Ltd.    CHINA

Gold

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

Gold

   Hangzhou Fuchunjiang Smelting Co., Ltd.    CHINA

Gold

   Hunan Chenzhou Mining Co., Ltd.    CHINA

Gold

   Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd.    CHINA

Gold

   Lingbao Gold Co., Ltd.    CHINA

Gold

   Lingbao Jinyuan Tonghui Refinery Co., Ltd.    CHINA

Gold

   Luoyang Zijin Yinhui Gold Refinery Co., Ltd.    CHINA

Gold

   Penglai Penggang Gold Industry Co., Ltd.    CHINA

Gold

   Sabin Metal Corp.    UNITED STATES OF AMERICA

Gold

   Shandong Tiancheng Biological Gold Industrial Co., Ltd.    CHINA

Gold

   Great Wall Precious Metals Co., Ltd. of CBPM    CHINA

Gold

   Tongling Nonferrous Metals Group Co., Ltd.    CHINA

Gold

   Guangdong Jinding Gold Limited    CHINA

Gold

   Shandong Humon Smelting Co., Ltd.    CHINA

Gold

   International Precious Metal Refiners    UNITED ARAB EMIRATES

Gold

   Sudan Gold Refinery    SUDAN

Gold

   Fujairah Gold FZC    UNITED ARAB EMIRATES

Gold

   Sai Refinery    INDIA

Gold

   Kyshtym Copper-Electrolytic Plant ZAO    RUSSIAN FEDERATION

Gold

   Degussa Sonne / Mond Goldhandel GmbH    GERMANY

Gold

   Pease & Curren    UNITED STATES OF AMERICA

Gold

   State Research Institute Center for Physical Sciences and Technology    LITHUANIA

Gold

   African Gold Refinery    UGANDA

Gold

   QG Refining, LLC    UNITED STATES OF AMERICA

Gold

   CGR Metalloys Pvt Ltd.    INDIA

Gold

   Sovereign Metals    INDIA

Gold

   JSC Ekaterinburg Non-Ferrous Metal Processing Plant    RUSSIAN FEDERATION

Gold

   L’azurde Company For Jewelry    SAUDI ARABIA

Gold

   Kaloti Precious Metals    UNITED ARAB EMIRATES

Tantalum

   Changsha South Tantalum Niobium Co., Ltd.    CHINA

Tantalum

   Conghua Tantalum and Niobium Smeltry    CHINA

Tantalum

   CP Metals Inc.    UNITED STATES OF AMERICA

Tantalum

   Asaka Riken Co., Ltd.    JAPAN

Tantalum

   Exotech Inc.    UNITED STATES OF AMERICA

Tantalum

   F&X Electro-Materials Ltd.    CHINA

Tantalum

   Guangdong Zhiyuan New Material Co., Ltd.    CHINA

Tantalum

   JiuJiang JinXin Nonferrous Metals Co., Ltd.    CHINA

Tantalum

   Jiujiang Tanbre Co., Ltd.    CHINA

Tantalum

   LSM Brasil S.A.    BRAZIL

Tantalum

   Metallurgical Products India Pvt., Ltd.    INDIA

Tantalum

   Mineracao Taboca S.A.    BRAZIL

Tantalum

   Mitsui Mining and Smelting Co., Ltd.    JAPAN

Tantalum

   NPM Silmet AS    ESTONIA

Tantalum

   Ningxia Orient Tantalum Industry Co., Ltd.    CHINA

Tantalum

   QuantumClean    UNITED STATES OF AMERICA

Tantalum

   RFH Tantalum Smeltery Co., Ltd./Yanling Jincheng Tantalum & Niobium Co., Ltd.    CHINA

Tantalum

   Solikamsk Magnesium Works OAO    RUSSIAN FEDERATION

Tantalum

   Taki Chemical Co., Ltd.    JAPAN

Tantalum

   Telex Metals    UNITED STATES OF AMERICA

Tantalum

   Ulba Metallurgical Plant JSC    KAZAKHSTAN

Tantalum

   Hengyang King Xing Lifeng New Materials Co., Ltd.    CHINA

Tantalum

   D Block Metals, LLC    UNITED STATES OF AMERICA

Tantalum

   FIR Metals & Resource Ltd.    CHINA

Tantalum

   Jiujiang Zhongao Tantalum & Niobium Co., Ltd.    CHINA

Tantalum

   XinXing HaoRong Electronic Material Co., Ltd.    CHINA

Tantalum

   Jiangxi Dinghai Tantalum & Niobium Co., Ltd.    CHINA

Tantalum

   KEMET Blue Metals    MEXICO


Tantalum

   H.C. Starck Co., Ltd.    THAILAND

Tantalum

   H.C. Starck Tantalum and Niobium GmbH    GERMANY

Tantalum

   H.C. Starck Hermsdorf GmbH    GERMANY

Tantalum

   H.C. Starck Inc.    UNITED STATES OF AMERICA

Tantalum

   H.C. Starck Ltd.    JAPAN

Tantalum

   H.C. Starck Smelting GmbH & Co. KG    GERMANY

Tantalum

   Global Advanced Metals Boyertown    UNITED STATES OF AMERICA

Tantalum

   Global Advanced Metals Aizu    JAPAN

Tantalum

   KEMET Blue Powder    UNITED STATES OF AMERICA

Tantalum

   Resind Industria e Comercio Ltda.    BRAZIL

Tantalum

   Jiangxi Tuohong New Raw Material    CHINA

Tantalum

   Power Resources Ltd.    MACEDONIA, THE FORMER YUGOSLAV REPUBLIC OF

Tin

   Cookson    UNITED STATES

Tin

   An Vinh Joint Stock Mineral Processing Company    VIET NAM

Tin

   CV Ayi Jaya    INDONESIA

Tin

   CV Gita Pesona    INDONESIA

Tin

   CV Serumpun Sebalai    INDONESIA

Tin

   CV Tiga Sekawan    INDONESIA

Tin

   Estanho de Rondonia S.A.    BRAZIL

Tin

   Gejiu Fengming Metallurgy Chemical Plant    CHINA

Tin

   Gejiu Zi-Li    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

   Luna Smelter, Ltd.    RWANDA

Tin

   Magnu’s Minerais Metais e Ligas Ltda.    BRAZIL

Tin

   Metallic Resources, Inc.    UNITED STATES OF AMERICA

Tin

   Metallo Spain S.L.U.    SPAIN

Tin

   O.M. Manufacturing Philippines, Inc.    PHILIPPINES

Tin

   Pongpipat Company Limited    MYANMAR

Tin

   CV Nurjanah    INDONESIA

Tin

   PT Bangka Prima Tin    INDONESIA

Tin

   PT Bangka Serumpun    INDONESIA

Tin

   PT Inti Stania Prima    INDONESIA

Tin

   PT Karimun Mining    INDONESIA

Tin

   PT Menara Cipta Mulia    INDONESIA

Tin

   PT Mitra Stania Prima    INDONESIA

Tin

   PT Panca Mega Persada    INDONESIA

Tin

   PT Prima Timah Utama    INDONESIA

Tin

   PT Sumber Jaya Indah    INDONESIA

Tin

   PT Tommy Utama    INDONESIA

Tin

   Resind Ind e Com Ltda.    BRAZIL

Tin

   Super Ligas    BRAZIL

Tin

   Tuyen Quang Non-Ferrous Metals Joint Stock Company    VIET NAM

Tin

   Precious Minerals and Smelting Limited    INDIA

Tin

   Chenzhou Yun Xiang mining limited liability company    CHINA

Tin

   CV United Smelting    INDONESIA

Tin

   Dowa    JAPAN

Tin

   EM Vinto    BOLIVIA (PLURINATIONAL STATE OF)

Tin

   Fenix Metals    POLAND

Tin

   Gejiu Non-Ferrous Metal Processing Co., Ltd.    CHINA

Tin

   Gejiu Kai Meng Industry and Trade LLC    CHINA

Tin

   China Tin Group Co., Ltd.    CHINA

Tin

   Malaysia Smelting Corporation (MSC)    MALAYSIA

Tin

   Mineracao Taboca S.A.    BRAZIL

Tin

   Minsur    PERU

Tin

   Mitsubishi Materials Corporation    JAPAN

Tin

   Jiangxi New Nanshan Technology Ltd.    CHINA

Tin

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

Tin

   Operaciones Metalurgicas S.A.    BOLIVIA (PLURINATIONAL STATE OF)

Tin

   PT Artha Cipta Langgeng    INDONESIA

Tin

   PT Babel Inti Perkasa    INDONESIA

Tin

   PT Babel Surya Alam Lestari    INDONESIA


Tin

   PT Bangka Tin Industry    INDONESIA

Tin

   PT Belitung Industri Sejahtera    INDONESIA

Tin

   PT Bukit Timah    INDONESIA

Tin

   PT DS Jaya Abadi    INDONESIA

Tin

   PT Refined Bangka Tin    INDONESIA

Tin

   PT Sariwiguna Binasentosa    INDONESIA

Tin

   PT Stanindo Inti Perkasa    INDONESIA

Tin

   PT Timah (Persero) Tbk Kundur    INDONESIA

Tin

   PT Timah Tbk Mentok    INDONESIA

Tin

   PT Tinindo Inter Nusa    INDONESIA

Tin

   Rui Da Hung    TAIWAN

Tin

   Soft Metais Ltda.    BRAZIL

Tin

   Thaisarco    THAILAND

Tin

   Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.    CHINA

Tin

   White Solder Metalurgia e Mineracao Ltda.    BRAZIL

Tin

   Yunnan Chengfeng Non-ferrous Metals Co., Ltd.    CHINA

Tin

   Yunnan Tin Company Limited    CHINA

Tin

   CV Venus Inti Perkasa    INDONESIA

Tin

   PT Tirus Putra Mandiri    INDONESIA

Tin

   Melt Metais e Ligas S.A.    BRAZIL

Tin

   PT ATD Makmur Mandiri Jaya    INDONESIA

Tin

   CV Dua Sekawan    INDONESIA

Tin

   Metallo Belgium N.V.    BELGIUM

Tin

   PT Sukses Inti Makmur    INDONESIA

Tin

   PT Kijang Jaya Mandiri    INDONESIA

Tin

   Thai Nguyen Mining and Metallurgy Co., Ltd.    VIET NAM

Tin

   PT Lautan Harmonis Sejahtera    INDONESIA

Tin

   Guangdong Hanhe Non-Ferrous Metal Co., Ltd.    CHINA

Tin

   Chifeng Dajingzi Tin Industry Co., Ltd.    CHINA

Tin

   Tin Technology & Refining    UNITED STATES OF AMERICA

Tin

   Ma’anshan Weitai Tin Co., Ltd.    CHINA

Tin

   PT Rajawali Rimba Perkasa    INDONESIA

Tin

   Yunnan Yunfan Non-ferrous Metals Co., Ltd.    CHINA

Tin

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

Tin

   Modeltech Sdn Bhd    MALAYSIA

Tin

   Dongguan CiEXPO Environmental Engineering Co., Ltd.    CHINA

Tin

   Nghe Tinh Non-Ferrous Metals Joint Stock Company    VIET NAM

Tin

   Gejiu City Fuxiang Industry and Trade Co., Ltd.”    CHINA

Tungsten

   Albasteel Industria e Comercio de Ligas Para Fundicao Ltd.    BRAZIL

Tungsten

   Chenzhou Diamond Tungsten Products Co., Ltd.    CHINA

Tungsten

   CP Metals Inc.    United States

Tungsten

   Ganzhou Seadragon W & Mo Co., Ltd.    CHINA

Tungsten

   GEM Co., Ltd.    CHINA

Tungsten

   ATI Tungsten Materials    UNITED STATES

Tungsten

   NPP Tyazhmetprom LLC    RUSSIAN FEDERATION

Tungsten

   Jiangxi Dayu Longxintai Tungsten Co., Ltd.    CHINA

Tungsten

   JSC “Kirovgrad Hard Alloys Plant”    RUSSIAN FEDERATION

Tungsten

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

Tungsten

   A.L.M.T. Corp.    JAPAN

Tungsten

   Guangdong Xianglu Tungsten Co., Ltd.    CHINA

Tungsten

   Chongyi Zhangyuan Tungsten Co., Ltd.    CHINA

Tungsten

   Fujian Jinxin Tungsten Co., Ltd.    CHINA

Tungsten

   Global Tungsten & Powders Corp.    UNITED STATES OF AMERICA

Tungsten

   Hunan Chenzhou Mining Co., Ltd.    CHINA

Tungsten

   Hunan Chunchang Nonferrous Metals Co., Ltd.    CHINA

Tungsten

   Japan New Metals Co., Ltd.    JAPAN

Tungsten

   Ganzhou Huaxing Tungsten Products Co., Ltd.    CHINA

Tungsten

   Kennametal Fallon    UNITED STATES OF AMERICA

Tungsten

   Tejing (Vietnam) Tungsten Co., Ltd.    VIET NAM

Tungsten

   Wolfram Bergbau und Hutten AG    AUSTRIA

Tungsten

   Xiamen Tungsten Co., Ltd.    CHINA

Tungsten

   Xinhai Rendan Shaoguan Tungsten Co., Ltd.    CHINA

Tungsten

   Ganzhou Jiangwu Ferrotungsten Co., Ltd.    CHINA


Tungsten

   Jiangxi Yaosheng Tungsten Co., Ltd.    CHINA

Tungsten

   Jiangxi Xinsheng Tungsten Industry Co., Ltd.    CHINA

Tungsten

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

Tungsten

   Malipo Haiyu Tungsten Co., Ltd.    CHINA

Tungsten

   Xiamen Tungsten (H.C.) Co., Ltd.    CHINA

Tungsten

   Jiangxi Gan Bei Tungsten Co., Ltd.    CHINA

Tungsten

   Asia Tungsten Products Vietnam Ltd.    VIET NAM

Tungsten

   H.C. Starck Tungsten GmbH    GERMANY

Tungsten

   H.C. Starck Smelting GmbH & Co. KG    GERMANY

Tungsten

   Masan Tungsten Chemical LLC (MTC)    VIET NAM

Tungsten

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

Tungsten

   Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji    CHINA

Tungsten

   Niagara Refining LLC    UNITED STATES OF AMERICA

Tungsten

   Ganzhou Haichuang Tungsten Co., Ltd.    CHINA

Tungsten

   Hydrometallurg, JSC    RUSSIAN FEDERATION

Tungsten

   Unecha Refractory metals plant    RUSSIAN FEDERATION

Tungsten

   Philippine Chuangxin Industrial Co., Inc.    PHILIPPINES

Tungsten

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

Tungsten

   ACL Metais Eireli    BRAZIL

Tungsten

   Woltech Korea Co., Ltd.    KOREA, REPUBLIC OF

Tungsten

   Moliren Ltd.    RUSSIAN FEDERATION

Tungsten

   Hunan Litian Tungsten Industry Co., Ltd.    CHINA

Tungsten

   KGETS Co., Ltd.    KOREA, REPUBLIC OF

Tungsten

   Fujian Ganmin RareMetal Co., Ltd.    CHINA

Tungsten

   Lianyou Metals Co., Ltd.    TAIWAN

Tungsten

   CNMC (Guangxi) PGMA Co., Ltd.    CHINA


Annex 2

The table below provides a list of countries identified as potential sources of minerals for the smelters or refiners described in Annex 1:

Gold

 

Argentina    France    Luxembourg    Senegal
Armenia    Gambia, The    Macau SAR    Serbia
Australia    Georgia    Madagascar    Sierra Leone
Austria    Germany    Malaysia    Singapore
Azerbaijan    Ghana    Mali    Slovakia
Belgium    Greece    Malta    Slovenia
Benin    Guatemala    Mauritania    Solomon Islands
Bolivia    Guinea    Mauritius    South Africa
Botswana    Guyana    Mexico    Spain
Brazil    Honduras    Monaco    Sudan
Brunei    Hong Kong SAR    Mongolia    Suriname
Bulgaria    Hungary    Morocco    Swaziland
Burkina Faso    Iceland    Namibia    Sweden
Cameroon    India    Netherlands    Switzerland
Canada    Indonesia    New Caledonia    Taiwan
Chile    Iran    New Zealand    Tajikistan
China    Ireland    Nicaragua    Tanzania
Colombia    Israel    Niger    Thailand
Congo, Democratic Republic of the    Italy    Norway    Togo
Croatia    Ivory Coast    Pakistan    Trinidad and Tobago
Cuba    Japan    Panama    Tunisia
Cyprus    Jordan    Papua New Guinea    Turkey
Czech Republic    Kazakhstan    Paraguay    Uganda
Denmark    Kenya    Peru    Ukraine
Dominican Republic    Korea, Republic of    Philippines    United Arab Emirates
Ecuador    Kuwait    Poland    United Kingdom
Egypt    Kyrgyzstan    Portugal    United States of America
El Salvador    Laos    Puerto Rico    Uruguay
Eritrea    Latvia    Romania    Venezuela
Estonia    Lebanon    Russian Federation    Vietnam
Ethiopia    Liberia    Rwanda    Zambia
Fiji    Liechtenstein    San Marino    Zimbabwe
Finland    Lithuania    Saudi Arabia   

Tantalum

 

Australia    Congo, Democratic Republic of the    Israel    Rwanda
Austria    Ethiopia    Japan    Sierra Leone
Belarus    France    Madagascar    Somaliland
Bolivia    Germany    Malaysia    Spain
Brazil    Guinea    Mozambique    Switzerland
Burundi    India    Namibia    Thailand
China    Indonesia    Nigeria    United States of America
Colombia    Ireland    Russian Federation    Zimbabwe


Tin

 

Angola    Estonia    Morocco    Sudan
Australia    France    Myanmar    Switzerland
Austria    Gabon    Netherlands    Taiwan
Belarus    Germany    New Zealand    Tanzania
Belgium    Guinea    Nigeria    Thailand
Benin    Hong Kong SAR    Pakistan    Togo
Bolivia    Hungary    Peru    Tunisia
Brazil    India    Philippines    Turkey
Burundi    Indonesia    Portugal    Uganda
Canada    Israel    Qatar    Ukraine
Chile    Italy    Russian Federation    United Arab Emirates
China    Japan    Rwanda    United Kingdom
Colombia    Kazakhstan    Saudi Arabia    United States of America
Congo, Democratic Republic of the    Korea, Republic of    Senegal    Venezuela
Croatia    Laos    Singapore    Vietnam
Czech Republic    Lebanon    Slovakia    Yemen
Denmark    Malaysia    Slovenia   
Egypt    Mexico    South Africa   
El Salvador    Mongolia    Spain   

Tungsten

 

Australia    Czech Republic    Mongolia    Thailand
Austria    France    Myanmar    Uganda
Belgium    Germany    Nigeria    United Arab Emirates
Bolivia    Guinea    Peru    United Kingdom
Brazil    Hong Kong SAR    Portugal    United States of America
Burundi    Indonesia    Russia    Uzbekistan
Canada    Japan    Russian Federation    Vietnam
China    Laos    Rwanda   
Colombia    Latvia    Spain   
Congo, Democratic Republic of the    Malaysia    Taiwan