EX-1.01 2 d587814dex101.htm EX-1.01 EX-1.01

Exhibit 1.01

Conflict Minerals Report

Knowles Corporation has included this Conflict Minerals Report as an exhibit to its Form SD for 2017 as provided for in Rule 13p-1 under the Securities Exchange Act of 1934, as amended, and Form SD (collectively, the “Conflict Minerals Rule”). The date of filing of this Conflict Minerals Report is May 24, 2018.

Unless the context indicates otherwise, the terms “we,” “its,” “us,” “our” and “Knowles” refer to Knowles Corporation and its consolidated subsidiaries. Consistent with the Conflict Minerals Rule, “Conflict Minerals” or “3TG” are columbite-tantalite (coltan), cassiterite, gold, wolframite and the derivatives tantalum, tin and tungsten, without regard to the location of origin of the minerals or derivative metals.

Forward-Looking Statements

This Conflict Minerals Report contains forward-looking statements within the meaning of the safe harbor provisions of the United States Private Securities Litigation Reform Act of 1995. The words “believe,” “expect,” “anticipate,” “continue,” “could,” “intend,” “may,” “plan,” “potential,” “seek,” “should,” “will,” “would,” “expect” and similar expressions, among others, generally identify forward-looking statements, which speak only as of the date the statements were made. The statements in this Conflict Minerals Report are based on current plans, expectations and assumptions and involve risks and uncertainties that could cause actual outcomes or results to differ materially from those outcomes or results that are anticipated or implied in these statements. These risks and uncertainties include, but are not limited to: the continued implementation of satisfactory traceability and other compliance measures by our direct and indirect suppliers on a timely basis or at all; whether smelters and refiners and other market participants responsibly source3TG; political and regulatory developments, whether in the Democratic Republic of the Congo (the “DRC”), its adjoining countries, the United States or elsewhere; and other factors that we may not have currently identified or quantified. Knowles disclaims any intention or obligation to update or revise any forward-looking statements, whether as a result of new information, future events or otherwise, except as required by law.

Overview; Applicability of the Conflict Minerals Rule to Our Company

Knowles is a market leader and global provider of advanced micro-acoustic solutions, audio processing, and precision device solutions serving the mobile consumer electronics, communications, medical, military, aerospace, and industrial markets. We are subject to the Conflict Minerals Rule because certain of the products that we manufacture contain 3TG that are necessary to the functionality or production of the products. Not all of our products are in-scope under the Conflict Minerals Rule. Our in-scope products taken as a whole include all four 3TG.

We do not directly source 3TG from mines, smelters or refiners, and we believe that we are in most cases many levels removed from these market participants, which limits our influence over their sourcing. However, through the efforts described in this Conflict Minerals Report, we seek to ensure that our sourcing practices are consistent with the expectations provided in our Conflict Minerals Policy, which is described below.

For 2017, each of our in-scope products contained at least some 3TG content for which we were unable to determine the origin. Product, smelter and refiner information in respect of 2017 is described under “Product Information” below and on Annex A. We have not found for 2017 that any of the necessary 3TG contained in our in-scope products directly or indirectly financed or benefitted armed groups in the DRC or an adjoining country. However, we did not conclude that any of our products were “DRC conflict free.” The terms “adjoining country,” “armed group” and “DRC conflict free” have the meanings contained in the Conflict Minerals Rule.

Our Conflict Minerals Policy

We strongly disapprove of the violence in the DRC and adjoining countries and are committed to supporting responsible sourcing of 3TG. We also take seriously our compliance obligations under the Conflict Minerals Rule. To these ends, we have adopted and communicated to our suppliers and the public a company policy regarding 3TG (the “Conflict Minerals Policy”) for our supply chain.

As indicated in our Conflict Minerals Policy, as part of Knowles’s commitment to social responsibility and compliance with the Conflict Minerals Rule, it is our goal only to use 3TG in our products that do not directly or indirectly finance or benefit armed groups in the DRC or adjoining countries.

 

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As also indicated in our Conflict Minerals Policy, Knowles expects our suppliers to:

 

    adopt a conflict minerals policy that is consistent with our Conflict Minerals Policy and expect their direct and indirect suppliers to do the same;

 

    exercise due diligence with relevant suppliers on the source and chain of custody of 3TG consistent with the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (the “OECD Guidance”);

 

    identify smelters and refiners associated with the 3TG supply chain for our products; and

 

    transition to certified conflict free smelters and refiners.

We do not seek to embargo the sourcing of 3TG from the DRC region and encourage our suppliers to continue to source responsibly from certified smelters and refiners that source from the region. For 2017, we reached out to suppliers suspected of embargoing sourcing of 3TG from the DRC region, requesting that they not do so.

Reasonable Country of Origin Inquiry Information

As required by the Conflict Minerals Rule, for 2017, we conducted a “reasonable country of origin inquiry.” For our reasonable country of origin inquiry, to the extent applicable, we utilized the same processes and procedures as for our due diligence, in particular Steps 1 and 2 of the OECD Guidance framework, which are discussed below in this Conflict Minerals Report.

Our outreach included 143 direct suppliers (the “Suppliers”) that we identified as having provided us with components, parts or products that contain 3TG or that we believe may have provided us with components, parts or products that contain 3TG.

For 2017, the Suppliers identified to us 252 smelters and refiners as having processed the necessary 3TG contained in our in-scope products, as listed on Annex A. As indicated on Annex A, all of these smelters and refiners were listed as Conformant or Active (both as defined on Annex A) by the Responsible Minerals Initiative (the “RMI;” formerly known as the Conflict-free Sourcing Initiative). According to information made available by the RMI to its members, 252 of these smelters and refiners sourced solely from outside of the DRC region, including from recycled or scrap sources.

Based on the results of our reasonable country of origin inquiry, we conducted due diligence for 2017. These due diligence efforts are discussed in this Conflict Minerals Report.

Due Diligence Program Design

Design Framework

We have designed our due diligence measures relating to 3TG to conform with, in all material respects, the criteria set forth in the OECD Guidance (Third Edition).

Selected Elements of Design Framework

The OECD Guidance has established a five-step framework for due diligence as a basis for responsible global supply chain management of minerals from conflict-affected and high-risk areas. Selected elements of our program design are discussed below. However, these are not all of the elements of the program that we have put in place to help ensure that the 3TG contained in our products are responsibly sourced. The headings below conform to the headings used in the OECD Guidance for each of the five steps. Selected due diligence measures that we took in respect of 2017 are discussed under “Due Diligence Program Execution.”

 

  1. Establish strong company management systems

 

  a. We have designated a team of senior staff responsible for the management and continued implementation of our 3TG compliance strategy. The following functional areas are represented on the team or otherwise involved with our compliance process: financial reporting; internal audit; investor relations; legal, quality and supply chain. We also utilize outside counsel to assist us with our compliance efforts. The executive sponsor of the compliance program is our Senior Vice President – Chief Operating Officer.

 

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  b. On an ongoing basis, selected internal personnel receive training on the Conflict Minerals Rule, the OECD Guidance, our compliance program and the procedures for reviewing and validating supplier responses to our inquiries. We have prepared written procedures addressing certain aspects of our compliance program, including our process for querying suppliers and reviewing supplier responses. These procedures have been communicated to the members of our internal working group.

 

  c. We have adopted the Conflict Minerals Policy. The Conflict Minerals Policy is posted on our website and selected employees and suppliers have been notified of the Conflict Minerals Policy. Our policy is available on our website at www.knowles.com/eng/Our-company/Governance#Conflict-minerals.

 

  d. We utilize the Conflict Minerals Reporting Template (the “Conflict Minerals Reporting Template”) developed by the RMI to identify smelters and refiners in our supply chain. The Conflict Minerals Reporting Template requests suppliers to provide information concerning the usage and source of 3TG in their products, as well as information concerning their related compliance efforts.

 

  e. We are a member of the RMI and of IPC — Association Connecting Electronics Industries. We actively participate on the RMI’s smelter engagement team.

 

  f. We maintain responses relating to 3TG due diligence, including records of due diligence processes, findings and resulting decisions, in an electronic format for at least five years.

 

  g. Our form of Supply Agreement and our forms of purchase order terms and conditions contain provisions relating to the sourcing of 3TG to be contained in our products.

 

  h. We have web-based and telephonic mechanisms available for employees, suppliers and other interested parties to report violations of our Conflict Minerals Policy. The contact information for our grievance mechanism is as follows: by telephone, 1-855-657-8022; and by web, www.knowles.ethicspoint.com. We communicate to stakeholders the availability of this mechanism for reporting violations of the Conflict Minerals Policy.

 

  2. Identify and assess risk in the supply chain

 

  a. We request that suppliers provide us with information concerning the usage and source of 3TG in the parts that they sell to us and their related compliance efforts through the completion of a Conflict Minerals Reporting Template. We follow up by email or phone with suppliers that do not respond to the request within a specified time frame.

 

  b. We review the Conflict Minerals Reporting Templates that we receive from suppliers against internal written review criteria. We follow up by email or phone with suppliers that submit an incomplete response. We follow up with other suppliers where provided for under our review criteria or otherwise deemed appropriate by us.

 

  c. Smelter and refiner information provided by suppliers is reviewed against the Smelter Look-up tab list of the Conflict Minerals Reporting Template. To the extent that a smelter or refiner identified by a supplier is not on that list, we take additional steps to attempt to determine whether the listed entity is a smelter or refiner.

 

  d. Smelter and refiner information also is reviewed against the lists of Conformant and Active smelters and refiners and country of origin information published by the RMI. To the extent that a smelter or refiner identified by a supplier is not listed as Conformant by the RMI, we consult publicly available information or information made available by the RMI to its members or request that the supplier contact the smelter or refiner to attempt to determine whether it obtained 3TG from sources that directly or indirectly financed or benefitted armed groups in the DRC or an adjoining country.

 

  3. Design and implement a strategy to respond to identified risks

 

  a. We monitor and report on risk to designated senior management on an ongoing basis. Our 3TG compliance team reports the findings of its compliance efforts to our Senior Director – Global Supply Chain.

 

  b. If a supplier identifies as part of our supply chain 3TG that originate from a non- Conformant smelter or refiner that sources from the DRC region, the supplier may be required to instead source from a Conformant smelter or refiner; the Conformant smelter or refiner may include the supplier’s current smelter or refiner if it undergoes an independent third-party audit. As part of our risk management process, we request that the supplier reach out to the smelter or refiner in writing and/or telephonically encouraging it to participate in an independent third-party audit program. For other risks, our risk mitigation strategy allows for a flexible response that is commensurate with the risks identified.

 

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  c. In addition, to the extent that identified smelters and refiners are not Conformant, we seek to exercise leverage over these smelters and refiners to become Conformant through our participation in and support of the RMI. We also utilize information provided by the RMI to its members to monitor smelter and refiner improvement.

 

  4. Carry out independent third-party audit of supply chain due diligence at identified points in the supply chain

In connection with our due diligence, we utilize and rely on information made available by the RMI concerning independent third-party audits of smelters and refiners to assess smelter and refiner due diligence. We also support independent third-party audits by being a member of the RMI.

 

  5. Report on supply chain due diligence

We file a Form SD, and to the extent applicable a Conflict Minerals Report, with the Securities and Exchange Commission and make these documents available on our website.

Due Diligence Program Execution

We performed the following due diligence measures in respect of the 2017 compliance period. These are not all of the measures that we took in respect of 2017 in furtherance of our Conflict Minerals Policy and 3TG compliance program or pursuant to the Conflict Minerals Rule and the OECD Guidance. For a discussion of the design of our due diligence measures, please see “Due Diligence Program Design.”

 

  1. We sent requests to 143 Suppliers to provide us with a completed Conflict Minerals Reporting Template. We followed up by email or phone with the Suppliers that did not provide a response within the specified time frame. We received Conflict Minerals Reporting Templates from 95% of the Suppliers to which we sent a request.

 

  2. We reviewed the completed responses received from the Suppliers based on our internal written review criteria to identify incomplete responses and specified sourcing risks.

 

  3. We reviewed the smelters and refiners identified to us by the Suppliers against those contained on the Smelter Look-up tab list of the Conflict Minerals Reporting Template.

 

  4. To the extent that a completed response identified a smelter or refiner, we also reviewed that information against the lists of Conformant and Active smelters and refiners and country of origin information published by the RMI. 252 of the identified smelters and refiners were listed as Conformant or Active by the RMI as of March 5, 2018.

 

  5. To the extent that a smelter or refiner identified by a Supplier was not listed as Conformant by the RMI, we consulted publicly available information or information made available by the RMI to its members or requested that the Supplier contact the smelter or refiner to attempt to determine whether that smelter or refiner obtained 3TG from sources that directly or indirectly financed or benefitted armed groups in the DRC or an adjoining country.

 

  6. Suppliers that identified smelters or refiners that were not listed as Conformant or Active by the RMI were asked to remove those smelters and refiners from their supply chain or substitute the smelters and refiners with ones that are Conformant.

 

  7. Our 3TG compliance team reported the findings of its compliance efforts in respect of 2017 to our Senior Director – Global Supply Chain.

 

  8. In addition, to mitigate the risk that the necessary 3TG contained in our in-scope products directly or indirectly finance or benefit armed groups in the DRC or an adjoining country, we:

 

  a. as a member of the RMI’s smelter engagement team, participated in three audit visits to smelters and engaged in outreach to additional smelters and refiners;

 

  b. conducted training sessions for internal personnel involved with the review of Conflict Minerals Reporting Templates and the management of our compliance program generally; and

 

  c. as part of our supplier audits, made inquiries concerning policies relating to 3TG sourcing.

Product Information

For 2017, our in-scope product categories were: microphones, receivers, integrated modules, multi-functional devices, ultrasonic sensors, integrated audio sub-systems, transducers, capacitors and filters. Not all of our products in these categories were in-scope for purposes of our compliance. For a further discussion of our products, see our Annual Report on Form 10-K for the fiscal year ended

 

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December 31, 2017. The information contained in our Form 10-K is not incorporated by reference into this Conflict Minerals Report and should not be considered part of this Conflict Minerals Report.

Due to the challenges of tracing a multi-tier supply chain, for 2017, we were unable to determine the origin of at least a portion of the 3TG in each of our in-scope products. We have not found for 2017 that any of our in-scope products supported conflict (i.e., contained necessary 3TG that directly or indirectly financed or benefitted an armed group in the DRC or an adjoining country). An “armed group” under the Conflict Minerals Rule is an armed group that is identified as a perpetrator of serious human rights abuses in annual Country Reports on Human Rights Practices under sections 116(d) and 502B(b) of the Foreign Assistance Act of 1961 relating to the DRC or an adjoining country. However, we did not conclude that any of our products were “DRC conflict free.”

Identified Smelters and Refiners

In connection with our reasonable country of origin inquiry or due diligence, as applicable, the Suppliers identified to us the facilities listed on Annex A as having processed the necessary 3TG contained in our in-scope products in 2017. Due to our position in the supply chain, which is discussed earlier in this Conflict Minerals Report, we rely on our suppliers for accurate smelter and refiner information and our due diligence measures do not provide absolute certainty regarding the source and chain of custody of the necessary 3TG contained in our in-scope products.

We endeavored to determine the mine or location of origin of the 3TG contained in our in-scope products by requesting that the Suppliers provide us with a completed Conflict Minerals Reporting Template. Where a smelter or refiner was identified, we also reviewed publicly available information and information made available by the RMI to its members, to the extent available, to try to determine the mine or location of origin.

Future Risk Mitigation Efforts

We continue to take the following additional steps to enhance our 3TG compliance program and to mitigate the risk that the necessary 3TG in our in-scope products benefit armed groups:

 

  1. Conduct training sessions for selected suppliers and for internal personnel involved with the review of Conflict Minerals Reporting Templates and the management of our compliance program generally, and otherwise institute measures to help ensure that relevant personnel at our larger suppliers undergo sufficient training.

 

  2. As part of our supplier audits, make inquiries concerning policies relating to 3TG sourcing.

 

  3. Reach out to suppliers suspected of embargoing sourcing of 3TG from the DRC region.

 

  4. Continue to actively participate in the RMI.

 

  5. Through our participation in RMI committees, encourage uncertified smelters and refiners to undergo certification.

 

  6. Implement a new, more robust information technology solution for the management of data relating to our 3TG compliance program.

 

  7. Continue to encourage Suppliers that provided company level information for 2017 to provide product level information for 2018 through ongoing outreach with these Suppliers.

 

  8. Engage with Suppliers that provided incomplete responses for 2017 to help ensure that they provide requested information for 2018.

 

  9. Monitor and encourage the continuing development and progress of traceability measures at Suppliers that indicated for 2017 that the source of 3TG was unknown or undeterminable.

 

  10. Communicate to new potentially in-scope suppliers our sourcing expectations, including through the dissemination of our Conflict Minerals Policy to them. In addition, as new in-scope suppliers are added, work with these suppliers to help ensure that they understand the requirements of the Conflict Minerals Rule and the OECD Guidance.

To the extent applicable, we also intend to continue to take in respect of our 2018 compliance the 2017 compliance steps discussed earlier in this Conflict Minerals Report.

 

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Annex A

Capitalized terms used and not otherwise defined in this Annex have the meanings set forth in the Conflict Minerals Report of which this Annex is a part.

Smelters and Refiners

In connection with our reasonable country of origin inquiry or due diligence, as applicable, the Suppliers identified to us the smelters and refiners listed below as having processed the necessary 3TG contained in our in-scope products in 2017. Please see the notes that accompany the table for additional information concerning the information in the table.

Smelter and Refiner Information (1)

 

Metal

  

Name of Smelter/Refiner

   Country of Location    Smelter/Refiner Status
Gold    Advanced Chemical Company    UNITED STATES OF
AMERICA
   Conformant
Gold    Aida Chemical Industries Co., Ltd.    JAPAN    Conformant
Gold    Allgemeine Gold-und Silberscheideanstalt A.G.    GERMANY    Conformant
Gold    Almalyk Mining and Metallurgical Complex (AMMC)    UZBEKISTAN    Conformant
Gold    AngloGold Ashanti Corrego do Sitio Mineracao    BRAZIL    Conformant
Gold    Argor-Heraeus S.A.    SWITZERLAND    Conformant
Gold    Asahi Pretec Corp.    JAPAN    Conformant
Gold    Asaka Riken Co., Ltd.    JAPAN    Conformant
Gold    Aurubis AG    GERMANY    Conformant
Gold    Bangko Sentral ng Pilipinas (Central Bank of the Philippines)    PHILIPPINES    Conformant
Gold    Boliden AB    SWEDEN    Conformant
Gold    C. Hafner GmbH + Co. KG    GERMANY    Conformant
Gold    CCR Refinery—Glencore Canada Corporation    CANADA    Conformant
Gold    Cendres + Metaux S.A.    SWITZERLAND    Conformant
Gold    Chimet S.p.A.    ITALY    Conformant
Gold    Daejin Indus Co., Ltd.    KOREA, REPUBLIC OF    Conformant
Gold    DSC (Do Sung Corporation)    KOREA, REPUBLIC OF    Conformant
Gold    DODUCO GmbH    GERMANY    Conformant
Gold    Dowa    JAPAN    Conformant
Gold    Eco-System Recycling Co., Ltd.    JAPAN    Conformant
Gold    OJSC Novosibirsk Refinery    RUSSIAN FEDERATION    Conformant
Gold    Heimerle + Meule GmbH    GERMANY    Conformant
Gold    Heraeus Metals Hong Kong Ltd.    CHINA    Conformant
Gold    Heraeus Precious Metals GmbH & Co. KG    GERMANY    Conformant
Gold    Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.    CHINA    Conformant
Gold    Ishifuku Metal Industry Co., Ltd.    JAPAN    Conformant
Gold    Istanbul Gold Refinery    TURKEY    Conformant
Gold    Japan Mint    JAPAN    Conformant
Gold    Jiangxi Copper Co., Ltd.    CHINA    Conformant
Gold    Asahi Refining USA Inc.    UNITED STATES OF
AMERICA
   Conformant
Gold    Asahi Refining Canada Ltd.    CANADA    Conformant

 

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Gold    JSC Ekaterinburg Non-Ferrous Metal Processing Plant    RUSSIAN FEDERATION    Conformant
Gold    JSC Uralelectromed    RUSSIAN FEDERATION    Conformant
Gold    JX Nippon Mining & Metals Co., Ltd.    JAPAN    Conformant
Gold    Kazzinc    KAZAKHSTAN    Conformant
Gold    Kennecott Utah Copper LLC    UNITED STATES OF
AMERICA
   Conformant
Gold    Kojima Chemicals Co., Ltd.    JAPAN    Conformant
Gold    Kyrgyzaltyn JSC    KYRGYZSTAN    Conformant
Gold    LS-NIKKO Copper Inc.    KOREA, REPUBLIC OF    Conformant
Gold    Materion    UNITED STATES OF
AMERICA
   Conformant
Gold    Matsuda Sangyo Co., Ltd.    JAPAN    Conformant
Gold    Metalor Technologies (Suzhou) Ltd.    CHINA    Conformant
Gold    Metalor Technologies (Hong Kong) Ltd.    CHINA    Conformant
Gold    Metalor Technologies (Singapore) Pte., Ltd.    SINGAPORE    Conformant
Gold    Metalor Technologies S.A.    SWITZERLAND    Conformant
Gold    Metalor USA Refining Corporation    UNITED STATES OF
AMERICA
   Conformant
Gold    Metalurgica Met-Mex Penoles S.A. De C.V.    MEXICO    Conformant
Gold    Mitsubishi Materials Corporation    JAPAN    Conformant
Gold    Mitsui Mining and Smelting Co., Ltd.    JAPAN    Conformant
Gold    Moscow Special Alloys Processing Plant    RUSSIAN FEDERATION    Conformant
Gold    Nadir Metal Rafineri San. Ve Tic. A.S.    TURKEY    Conformant
Gold    Nihon Material Co., Ltd.    JAPAN    Conformant
Gold    Ohura Precious Metal Industry Co., Ltd.    JAPAN    Conformant
Gold    OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)    RUSSIAN FEDERATION    Conformant
Gold    PAMP S.A.    SWITZERLAND    Conformant
Gold    Prioksky Plant of Non-Ferrous Metals    RUSSIAN FEDERATION    Conformant
Gold    PT Aneka Tambang (Persero) Tbk    INDONESIA    Conformant
Gold    PX Precinox S.A.    SWITZERLAND    Conformant
Gold    Rand Refinery (Pty) Ltd.    SOUTH AFRICA    Conformant
Gold    Royal Canadian Mint    CANADA    Conformant
Gold    Samduck Precious Metals    KOREA, REPUBLIC OF    Conformant
Gold    Schone Edelmetaal B.V.    NETHERLANDS    Conformant
Gold    SEMPSA Joyeria Plateria S.A.    SPAIN    Conformant
Gold    Shandong Zhaojin Gold & Silver Refinery Co., Ltd.    CHINA    Conformant
Gold    Sichuan Tianze Precious Metals Co., Ltd.    CHINA    Conformant
Gold    SOE Shyolkovsky Factory of Secondary Precious Metals    RUSSIAN FEDERATION    Conformant
Gold    Solar Applied Materials Technology Corp.    TAIWAN, PROVINCE
OF CHINA
   Conformant
Gold    Sumitomo Metal Mining Co., Ltd.    JAPAN    Conformant
Gold    Tanaka Kikinzoku Kogyo K.K.    JAPAN    Conformant
Gold    The Refinery of Shandong Gold Mining Co., Ltd.    CHINA    Conformant
Gold    Tokuriki Honten Co., Ltd.    JAPAN    Conformant
Gold    Torecom    KOREA, REPUBLIC OF    Conformant
Gold    Umicore Brasil Ltda.    BRAZIL    Conformant

 

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Gold    Umicore S.A. Business Unit Precious Metals Refining    BELGIUM    Conformant
Gold    United Precious Metal Refining, Inc.    UNITED STATES OF
AMERICA
   Conformant
Gold    Valcambi S.A.    SWITZERLAND    Conformant
Gold    Western Australian Mint (T/a The Perth Mint)    AUSTRALIA    Conformant
Gold    Yamamoto Precious Metal Co., Ltd.    JAPAN    Conformant
Gold    Yokohama Metal Co., Ltd.    JAPAN    Conformant
Gold    Zhongyuan Gold Smelter of Zhongjin Gold Corporation    CHINA    Conformant
Gold    Gold Refinery of Zijin Mining Group Co., Ltd.    CHINA    Conformant
Gold    SAFINA A.S.    CZECH REPUBLIC    Active
Gold    Umicore Precious Metals Thailand    THAILAND    Conformant
Gold    Geib Refining Corporation    UNITED STATES OF
AMERICA
   Conformant
Gold    MMTC-PAMP India Pvt., Ltd.    INDIA    Conformant
Gold    Republic Metals Corporation    UNITED STATES OF
AMERICA
   Conformant
Gold    KGHM Polska Miedz Spolka Akcyjna    POLAND    Active
Gold    Singway Technology Co., Ltd.    TAIWAN, PROVINCE
OF CHINA
   Conformant
Gold    Al Etihad Gold LLC    UNITED ARAB
EMIRATES
   Conformant
Gold    Emirates Gold DMCC    UNITED ARAB
EMIRATES
   Conformant
Gold    T.C.A S.p.A    ITALY    Conformant
Gold    Remondis Argentia B.V.    NETHERLANDS    Active
Gold    Korea Zinc Co., Ltd.    KOREA, REPUBLIC OF    Conformant
Gold    SAAMP    FRANCE    Conformant
Gold    SAXONIA Edelmetalle GmbH    GERMANY    Conformant
Gold    WIELAND Edelmetalle GmbH    GERMANY    Conformant
Gold    Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH    AUSTRIA    Conformant
Gold    AU Traders and Refiners    SOUTH AFRICA    Conformant
Gold    Modeltech Sdn Bhd    MALAYSIA    Active
Gold    Bangalore Refinery    INDIA    Active
Tantalum    Changsha South Tantalum Niobium Co., Ltd.    CHINA    Conformant
Tantalum    Conghua Tantalum and Niobium Smeltry    CHINA    Conformant
Tantalum    Exotech Inc.    UNITED STATES OF
AMERICA
   Conformant
Tantalum    F&X Electro-Materials Ltd.    CHINA    Conformant
Tantalum    Guangdong Zhiyuan New Material Co., Ltd.    CHINA    Conformant
Tantalum    JiuJiang JinXin Nonferrous Metals Co., Ltd.    CHINA    Conformant
Tantalum    Jiujiang Nonferrous Metals Smelting Company Limited    CHINA    Conformant
Tantalum    King-Tan Tantalum Industry Ltd.    CHINA    Conformant
Tantalum    LSM Brasil S.A.    BRAZIL    Conformant
Tantalum    Metallurgical Products India Pvt., Ltd.    INDIA    Conformant
Tantalum    Mineracao Taboca S.A.    BRAZIL    Conformant
Tantalum    Mitsui Mining & Smelting    JAPAN    Conformant
Tantalum    NPM Silmet AS    ESTONIA    Conformant
Tantalum    Ningxia Orient Tantalum Industry Co., Ltd.    CHINA    Conformant

 

A-3


Tantalum    QuantumClean    UNITED STATES OF
AMERICA
   Conformant
Tantalum    RFH Tantalum Smeltery Co., Ltd./Yanling Jincheng Tantalum & Niobium Co., Ltd.    CHINA    Conformant
Tantalum    Solikamsk Magnesium Works OAO    RUSSIAN FEDERATION    Conformant
Tantalum    Taki Chemical Co., Ltd.    JAPAN    Conformant
Tantalum    Telex Metals    UNITED STATES OF
AMERICA
   Conformant
Tantalum    Ulba Metallurgical Plant JSC    KAZAKHSTAN    Conformant
Tantalum    Yichun Jin Yang Rare Metal Co., Ltd.    CHINA    Conformant
Tantalum    Hengyang King Xing Lifeng New Materials Co., Ltd.    CHINA    Conformant
Tantalum    D Block Metals, LLC    UNITED STATES OF
AMERICA
   Conformant
Tantalum    FIR Metals & Resource Ltd.    CHINA    Conformant
Tantalum    Jiujiang Zhongao Tantalum & Niobium Co., Ltd.    CHINA    Conformant
Tantalum    XinXing HaoRong Electronic Material Co., Ltd.    CHINA    Conformant
Tantalum    Jiangxi Dinghai Tantalum & Niobium Co., Ltd.    CHINA    Conformant
Tantalum    KEMET Blue Metals    MEXICO    Conformant
Tantalum    H.C. Starck Co., Ltd.    THAILAND    Conformant
Tantalum    H.C. Starck Tantalum and Niobium GmbH    GERMANY    Conformant
Tantalum    H.C. Starck Hermsdorf GmbH    GERMANY    Conformant
Tantalum    H.C. Starck Inc.    UNITED STATES OF
AMERICA
   Conformant
Tantalum    H.C. Starck Ltd.    JAPAN    Conformant
Tantalum    H.C. Starck Smelting GmbH & Co. KG    GERMANY    Conformant
Tantalum    Global Advanced Metals Boyertown    UNITED STATES OF
AMERICA
   Conformant
Tantalum    Global Advanced Metals Aizu    JAPAN    Conformant
Tantalum    KEMET Blue Powder    UNITED STATES OF
AMERICA
   Conformant
Tantalum    Resind Industria e Comercio Ltda.    BRAZIL    Conformant
Tantalum    Jiangxi Tuohong New Raw Material    CHINA    Conformant
Tantalum    Power Resources Ltd.    MACEDONIA, THE
FORMER YUGOSLAV
REPUBLIC OF
   Conformant
Tin    Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.    CHINA    Conformant
Tin    Jiangxi Ketai Advanced Material Co., Ltd.    CHINA    Conformant
Tin    Alent plc    UNITED STATES OF
AMERICA
   Conformant
Tin    CV Gita Pesona    INDONESIA    Conformant
Tin    PT Aries Kencana Sejahtera    INDONESIA    Conformant
Tin    CV Serumpun Sebalai    INDONESIA    Conformant
Tin    CV United Smelting    INDONESIA    Conformant
Tin    Dowa    JAPAN    Conformant
Tin    EM Vinto    BOLIVIA
(PLURINATIONAL
STATE OF)
   Conformant
Tin    Fenix Metals    POLAND    Conformant
Tin    Gejiu Non-Ferrous Metal Processing Co., Ltd.    CHINA    Conformant

 

A-4


Tin    Huichang Jinshunda Tin Co., Ltd.    CHINA   Conformant
Tin    Gejiu Kai Meng Industry and Trade LLC    CHINA   Conformant
Tin    China Tin Group Co., Ltd.    CHINA   Conformant
Tin    Malaysia Smelting Corporation (MSC)    MALAYSIA   Conformant
Tin    Metallic Resources, Inc.    UNITED STATES OF AMERICA   Conformant
Tin    Mineracao Taboca S.A.    BRAZIL   Conformant
Tin    Minsur    PERU   Conformant
Tin    Mitsubishi Materials Corporation    JAPAN   Conformant
Tin    Nankang Nanshan Tin Manufactory Co., Ltd.    CHINA   Conformant
Tin    O.M. Manufacturing (Thailand) Co., Ltd.    THAILAND   Conformant
Tin    Operaciones Metalurgical S.A.    BOLIVIA

(PLURINATIONAL STATE OF)

  Conformant
Tin    PT Artha Cipta Langgeng    INDONESIA   Conformant
Tin    PT Babel Inti Perkasa    INDONESIA   Conformant
Tin    PT Bangka Tin Industry    INDONESIA   Conformant
Tin    PT Belitung Industri Sejahtera    INDONESIA   Conformant
Tin    PT Bukit Timah    INDONESIA   Conformant
Tin    PT DS Jaya Abadi    INDONESIA   Conformant
Tin    PT Eunindo Usaha Mandiri    INDONESIA   Conformant
Tin    PT Karimun Mining    INDONESIA   Conformant
Tin    PT Mitra Stania Prima    INDONESIA   Conformant
Tin    PT Panca Mega Persada    INDONESIA   Conformant
Tin    PT Prima Timah Utama    INDONESIA   Conformant
Tin    PT Refined Bangka Tin    INDONESIA   Conformant
Tin    PT Sariwiguna Binasentosa    INDONESIA   Conformant
Tin    PT Stanindo Inti Perkasa    INDONESIA   Conformant
Tin    PT Sumber Jaya Indah    INDONESIA   Conformant
Tin    PT Timah (Persero) Tbk Kundur    INDONESIA   Conformant
Tin    PT Timah (Persero) Tbk Mentok    INDONESIA   Conformant
Tin    PT Tinindo Inter Nusa    INDONESIA   Conformant
Tin    PT Tommy Utama    INDONESIA   Conformant
Tin    Rui Da Hung    TAIWAN, PROVINCE OF CHINA   Conformant
Tin    Soft Metais Ltda.    BRAZIL   Conformant
Tin    Thaisarco    THAILAND   Conformant
Tin    Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.    CHINA   Conformant
Tin    White Solder Metalurgia e Mineracao Ltda.    BRAZIL   Conformant
Tin    Yunnan Chengfeng Non-ferrous Metals Co., Ltd.    CHINA   Conformant
Tin    Yunnan Tin Company Limited    CHINA   Conformant
Tin    CV Venus Inti Perkasa    INDONESIA   Conformant
Tin    Magnu’s Minerais Metais e Ligas Ltda.    BRAZIL   Conformant
Tin    Melt Metais e Ligas S.A.    BRAZIL   Conformant
Tin    PT ATD Makmur Mandiri Jaya    INDONESIA   Conformant
Tin   

O.M. Manufacturing Philippines, Inc.

   PHILIPPINES   Conformant
Tin   

PT Inti Stania Prima

   INDONESIA   Conformant

 

A-5


Tin    CV Ayi Jaya    INDONESIA    Conformant
Tin    CV Dua Sekawan    INDONESIA    Conformant
Tin    CV Tiga Sekawan    INDONESIA    Conformant
Tin    Resind Industria e Comercio Ltda.    BRAZIL    Conformant
Tin    PT O.M. Indonesia    INDONESIA    Conformant
Tin    Metallo-Chimique N.V.    BELGIUM    Conformant
Tin    Elmet S.L.U.    SPAIN    Conformant
Tin    PT Bangka Prima Tin    INDONESIA    Conformant
Tin    PT Sukses Inti Makmur    INDONESIA    Conformant
Tin    PT Kijang Jaya Mandiri    INDONESIA    Conformant
Tin    PT Menara Cipta Mulia    INDONESIA    Conformant
Tin    Gejiu Fengming Metallurgy Chemical Plant    CHINA    Conformant
Tin    Guanyang Guida Nonferrous Metal Smelting Plant    CHINA    Conformant
Tin    Modeltech Sdn Bhd    MALAYSIA    Active
Tin    Gejiu Jinye Mineral Company    CHINA    Conformant
Tin    PT Lautan Harmonis Sejahtera    INDONESIA    Conformant
Tin    Guangdong Hanhe Non-Ferrous Metal Co., Ltd.    CHINA    Conformant
Tungsten    A.L.M.T. TUNGSTEN Corp.    JAPAN    Conformant
Tungsten    Kennametal Huntsville    UNITED STATES OF
AMERICA
   Conformant
Tungsten    Guangdong Xianglu Tungsten Co., Ltd.    CHINA    Conformant
Tungsten    Chongyi Zhangyuan Tungsten Co., Ltd.    CHINA    Conformant
Tungsten    Fujian Jinxin Tungsten Co., Ltd.    CHINA    Conformant
Tungsten    Global Tungsten & Powders Corp.    UNITED STATES OF
AMERICA
   Conformant
Tungsten    Hunan Chenzhou Mining Co., Ltd.    CHINA    Conformant
Tungsten    Hunan Chunchang Nonferrous Metals Co., Ltd.    CHINA    Conformant
Tungsten    Japan New Metals Co., Ltd.    JAPAN    Conformant
Tungsten    Ganzhou Huaxing Tungsten Products Co., Ltd.    CHINA    Conformant
Tungsten    Kennametal Fallon    UNITED STATES OF
AMERICA
   Conformant
Tungsten    Tejing (Vietnam) Tungsten Co., Ltd.    VIET NAM    Conformant
Tungsten    Vietnam Youngsun Tungsten Industry Co., Ltd.    VIET NAM    Conformant
Tungsten    Wolfram Bergbau und Hutten AG    AUSTRIA    Conformant
Tungsten    Xiamen Tungsten Co., Ltd.    CHINA    Conformant
Tungsten    Xinhai Rendan Shaoguan Tungsten Co., Ltd.    CHINA    Conformant
Tungsten    Ganzhou Jiangwu Ferrotungsten Co., Ltd.    CHINA    Conformant
Tungsten    Jiangxi Yaosheng Tungsten Co., Ltd.    CHINA    Conformant
Tungsten    Jiangxi Xinsheng Tungsten Industry Co., Ltd.    CHINA    Conformant
Tungsten    Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.    CHINA    Conformant
Tungsten    Malipo Haiyu Tungsten Co., Ltd.    CHINA    Conformant
Tungsten    Xiamen Tungsten (H.C.) Co., Ltd.    CHINA    Conformant
Tungsten    Jiangxi Gan Bei Tungsten Co., Ltd.    CHINA    Conformant
Tungsten    Ganzhou Seadragon W & Mo Co., Ltd.    CHINA    Conformant
Tungsten   

Asia Tungsten Products Vietnam Ltd.

   VIET NAM    Conformant

 

A-6


Tungsten    Chenzhou Diamond Tungsten Products Co., Ltd.    CHINA    Conformant
Tungsten    Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.    CHINA    Conformant
Tungsten    H.C. Starck Tungsten GmbH    GERMANY    Conformant
Tungsten    H.C. Starck Smelting GmbH & Co. KG    GERMANY    Conformant
Tungsten    Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC    VIET NAM    Conformant
Tungsten    Jiangwu H.C. Starck Tungsten Products Co., Ltd.    CHINA    Conformant
Tungsten    Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji    CHINA    Conformant
Tungsten    Niagara Refining LLC    UNITED STATES OF
AMERICA
   Conformant
Tungsten    Hydrometallurg, JSC    RUSSIAN FEDERATION    Conformant
Tungsten    Unecha Refractory metals plant    RUSSIAN FEDERATION    Conformant
Tungsten    South-East Nonferrous Metal Company Limited of Hengyang City    CHINA    Conformant
Tungsten    Philippine Chuangxin Industrial Co., Inc.    PHILIPPINES    Conformant
Tungsten    Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.    CHINA    Conformant
Tungsten    ACL Metais Eireli    BRAZIL    Conformant
Tungsten    Woltech Korea Co., Ltd.    KOREA, REPUBLIC OF    Conformant
Tungsten    Moliren Ltd.    RUSSIAN FEDERATION    Conformant

 

(1) We note the following in connection with the information contained in the foregoing table:

 

  (a) The smelters and refiners listed in the table were identified by the Suppliers to us as being part of our 2017 supply chain. Not all of the included smelters and refiners may have processed the necessary 3TG contained in our in-scope products due to over-inclusiveness in the information the Suppliers provided to us and/or received from their suppliers. In addition, the smelters and refiners listed above may not be all of the smelters and refiners in our supply chain, since many Suppliers were unable to identify all of the smelters and refiners used to process the necessary 3TG content contained in our in-scope products and because not all Suppliers responded to our inquiries.

 

  (b) The table only includes entities that were listed on the Smelter Look-up tab list of the Conflict Minerals Reporting Template.

 

  (c) Smelter or refiner status information in the table is as of March 5, 2018.

 

  (d) “Conformant” means that a smelter or refiner was listed as conformant with the Responsible Minerals Assurance Process’s (the “RMAP”) assessment protocols, including through mutual recognition. Smelters and refiners that are listed as “Re-audit in process” by the RMAP are considered to be Conformant by the RMAP. Included smelters and refiners were not necessarily Conformant for all or part of 2017 and may not continue to be Conformant for any future period.

 

  (e) As used herein, “Active” is a RMAP designation that means that the smelter or refiner is a participant in the RMAP and has committed to undergo an audit or is participating in a cross-recognized certification program.

 

  (f) “Country of Location” refers to the country in which the applicable smelter or refiner is located.

 

  (g) Smelter or refiner status and smelter or refiner location reflected in the table is based solely on information made publicly available by the RMI, without independent verification by us.

 

A-7


Country of Origin Information

The countries of origin of the 3TG processed by the Conformant smelters and refiners listed above may have included the countries listed below. The listed countries of origin are derived from information made available by the RMI to its members. Except for the DRC, the RMI does not indicate individual countries of origin of the 3TG processed by Conformant smelters and refiners. Instead, the RMI indicates country of origin by category. Conformant smelters and refiners listed above were in each of the categories below:

L1 – Countries that are not identified as conflict regions or plausible areas of smuggling or export from the DRC and its adjoining countries: Argentina, Australia, Austria, Benin, Bolivia, Brazil, Burkina Faso, Cambodia, Canada, Chile, China, Colombia, Ecuador, Eritrea, Ethiopia, France, Germany, Ghana, Guatemala, Guinea, Guyana, Honduras, India, Indonesia, Japan, Kazakhstan, Laos, Madagascar, Malaysia, Mali, Mexico, Mongolia, Myanmar, Namibia, Nicaragua, Nigeria, Panama, Peru, Portugal, Russia, Senegal, Sierra Leone, Spain, Thailand, Togo, United Kingdom, United States of America, Uzbekistan, Vietnam and Zimbabwe.

L2 – Countries that are known or plausible countries for smuggling, export out of region or transit of materials containing 3TG: Mozambique and South Africa.

L3 – The DRC and its adjoining countries: Burundi, Rwanda and Uganda.

DRC – The Democratic Republic of the Congo.

In addition, some of the 3TG processed by the Conformant smelters and refiners originated in whole or in part from recycled or scrap sources.

Because the RMI generally does not indicate individual countries of origin of the 3TG processed by Conformant smelters and refiners, we were not able to determine the countries of origin of the 3TG processed by the listed Conformant smelters and refiners with greater specificity. In addition, for some of the listed Conformant smelters and refiners, origin information is not disclosed by the RMI. We did not determine the countries of origin of the 3TG processed by other smelters and refiners listed on this Annex A.

 

A-8