EX-1.01 2 atri_ex101.htm ATRION CORPORATIONS CONFLICT MINERALS REPORT Blueprint
 Exhibit 1.01
 
 
CONFLICT MINERALS REPORT OF
ATRION CORPORATION
FOR THE REPORTING PERIOD FROM
JANUARY 1 TO DECEMBER 31, 2016
 
 
I. Introduction
 
This is the Conflict Minerals1 Report of Atrion Corporation (”we,” “our,” “us,” “Atrion,” or the “Company”) prepared for calendar year 2016 (except for conflict minerals that, prior to January 31, 2013, were located outside of the supply chain) in accordance with Rule 13p-1 (“Rule 13p-1”) under the Securities Exchange Act of 1934 (the “Act”). Numerous terms in this Report are defined in Rule 13p-1 of the Act and Form SD and the reader is referred to those sources and also to Release No. 34-67716 (August 22, 2012) of the Act (the “Adopting Release”) for such definitions.
 
In accordance with Rule 13p-1, we undertook efforts to determine whether the necessary conflict minerals in our products were or were not “DRC conflict-free.” The Company designed its efforts in conformity with the internationally recognized due diligence framework in the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas 2 (“OECD Due Diligence Guidance”) and related Supplements.
 
The statements below are based on the activities performed to date, in good faith, by Atrion and on the infrastructure and information available at the time of this filing. There are factors that could affect the accuracy of these statements. These factors include, but are not limited to, incomplete supplier data or available smelter data, errors or omissions by suppliers or smelters, evolving definition and confirmation of smelters, incomplete information from industry or other third-party sources, continuing guidance regarding the SEC final rules, and other matters.
 
II.
Overview
 
Company Profile
 
Atrion Corporation develops and manufactures products primarily for medical applications. Our products advance the standard of care by increasing safety for patients and providers. We target niche markets, with particular emphasis on fluid delivery, cardiovascular and ophthalmology applications.
 
We are subject to this rule as we have determined that, during 2016, conflict minerals were likely necessary to the functionality or production of products we manufactured or contracted to manufacture. The Company, as a purchaser of component parts, is many steps removed from the mining of conflict minerals. We do not purchase raw ore or unrefined conflict minerals and we conduct no purchasing activities directly in the DRC or the adjoining countries.
 
2 OECD (2016), OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas: Third Edition, OECD Publishing, Paris. http://dx.doi.org/10.1787/9789264252479-en
 
1
 Exhibit 1.01
 
 
 
Conflict Minerals Policy
 
The Company developed a policy statement to support the goals expressed by Congress in enacting Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The policy highlights the Company’s commitment to complying with the reporting and due diligence obligations required by the SEC rule and the Company’s expectations from its suppliers. The policy resides on our corporate website http://atrioncorp.com/investor_relations/Investor_Relations.htm.
 
Reasonable Country of Origin Inquiry Information
 
We have conducted a good faith reasonable country of origin inquiry (“RCOI”) to determine whether the necessary conflict minerals originated in the DRC or an adjoining country or came from recycled or scrap sources.
 
The Company’s RCOI process included reviewing the products manufactured or contracted to be manufactured during the Reporting Period to identify products that should be deemed in-scope as described by the Adopting Release and conducting an inquiry of our direct suppliers of the in-scope products using the Conflict-Free Sourcing Initiative’s (“CFSI”) Conflict Minerals Reporting Template (“CMRT”). Based on the results of our RCOI which indicated sourcing from the DRC or an adjoining country, we exercised due diligence on the source and chain of custody of the conflict minerals in accordance with the OECD framework. Our due diligence efforts are discussed further in this Conflict Minerals Report.
 
Design of Conflict Minerals Program
 
The Company designed its conflict minerals program to conform, in all material respects, with the five-step framework of the OECD Due Diligence Guidance, the Supplement on Tin, Tantalum, and Tungsten, and the Supplement on Gold, 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 risks 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 smelter/refiner's due diligence practices
Step 5: Report annually on supply chain due diligence
 
III.            
Due Diligence Measures Performed by Atrion Corporation
 
The following describes the measures taken to reasonably determine the country of origin and to exercise due diligence in the mineral supply chain in conformance with the OECD Due Diligence Guidance.
 
Step 1: Establish strong company management systems
 
We implemented the following as part of our conflict minerals program:
a.
Conflict minerals team – Atrion established a conflict minerals team that included individuals from the appropriate business units and departments. The team was structured to ensure critical information, including the Company policy, reached relevant employees and suppliers.
b.
Conflict minerals policy – Atrion adopted and published a policy establishing the expectation that our suppliers will responsibly source products on a conflict-free basis. The policy can be found at http://atrioncorp.com/investor_relations/Investor_Relations.htm. The policy will be periodically reviewed and updated as needed.
c.
Supplier engagement – Atrion provided educational materials to our queried suppliers. Suppliers were provided information on the conflict minerals disclosure requirements as well as recommendations for developing, implementing, and documenting a conflict minerals compliance program.
d.
Records management – Atrion will maintain records relating to our conflict minerals program in accordance with the recommended record retention guidelines.
 
 
2
Exhibit 1.01
 
 
Step 2: Identify and assess risks in the supply chain
 
We performed the following steps as part of our risk assessment process:
a.
Identified products in scope – Our conflict minerals team reviewed the component parts purchased from our suppliers to determine those that should be deemed in-scope as described by the Adopting Release.
b.
Conducted Reasonable Country of Origin Inquiry (“RCOI”) – Atrion utilized the industry-developed Conflict Minerals Reporting Template (“CMRT”) to query our suppliers for conflict minerals information. We requested this information from the Tier 1 suppliers who provide material and components for the products deemed in-scope by our conflict minerals team. We evaluated the responses from the templates submitted by our suppliers to determine our reporting obligation based on this RCOI.
c.
Completed additional follow-up – Atrion contacted direct suppliers that did not respond to our request for conflict minerals information by the requested date. We also worked to clarify and validate the information provided by our suppliers.
d.
Identify smelters or refiners (“SORs”) – Atrion compiled a list of SORs in our supply chain using our suppliers’ responses in their CMRTs. We reconciled this list to the list of smelter facilities designated by the Conflict-Free Sourcing Initiative (“CFSI”) 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 – Atrion used established risk rating criteria to evaluate suppliers based on the responses provided within their completed CMRTs as well as any additional documentation furnished to support those responses. The resulting risk ratings will be used to develop specific outreach and education that will address the identified risks.
b.
Verify SORs –As part of the risk mitigation process, we reconciled the list of SORs collected from suppliers to the list of smelter facilities designated as “conflict-free” by the CFSI Conflict-Free Smelter Program.
 
Step 4: Carry out independent third-party audit of smelter/refiner's due diligence practices
 
Atrion is relying on published lists from CFSI, London Bullion Market Association (LBMA), and Responsible Jewelry Council (RJC), to confirm the existence and verify the conflict-free status of SORs identified during our due diligence.
 
Step 5: Report annually on supply chain due diligence
 
Atrion has determined that a portion of the conflict minerals used to manufacture our products originated from the Covered Countries. Accordingly, this Conflict Minerals Report has been filed with the SEC and is available on our website at http://atrioncorp.com/investor_relations/Investor_Relations.htm.
 
IV.
Product Description
 
Products - The products subject to this report are:
Our MPS and ACTester electronic console products sold by our Quest Medical, Inc. subsidiary, as well as Inflation Products sold by our Halkey Roberts, Inc. subsidiary. In addition, the QL® Inflation Devices and NeedleVISE® products sold by our Atrion Medical Products, Inc. subsidiary are subject to this report.
 
Processing Facilities – Based on our due diligence process and the information received from our suppliers, the following facilities may have been used to process materials used in our products.
 
Metal
Standard Smelter Name
CID
Country
Gold
Abington Reldan Metals, LLC
CID002708
UNITED STATES OF AMERICA
Gold
Advanced Chemical Company
CID000015
UNITED STATES OF AMERICA
Gold
Aida Chemical Industries Co., Ltd.
CID000019
JAPAN
 
 
3
Exhibit 1.01
 
 
Gold
Al Etihad Gold LLC
CID002560
UNITED ARAB EMIRATES
Gold
Allgemeine Gold-und Silberscheideanstalt A.G.
CID000035
GERMANY
Gold
Almalyk Mining and Metallurgical Complex (AMMC)
CID000041
UZBEKISTAN
Gold
Argor-Heraeus S.A.
CID000077
SWITZERLAND
Gold
Asaka Riken Co., Ltd.
CID000090
JAPAN
Gold
Atasay Kuyumculuk Sanayi Ve Ticaret A.S.
CID000103
TURKEY
Gold
AU Traders and Refiners
CID002850
SOUTH AFRICA
Gold
Aurubis AG
CID000113
GERMANY
Gold
Bangalore Refinery
CID002863
INDIA
Gold
Bangko Sentral ng Pilipinas (Central Bank of the Philippines)
CID000128
PHILIPPINES
Gold
Boliden AB
CID000157
SWEDEN
Gold
C. Hafner GmbH + Co. KG
CID000176
GERMANY
Gold
Caridad
CID000180
MEXICO
Gold
CCR Refinery - Glencore Canada Corporation
CID000185
CANADA
Gold
Cendres + Metaux S.A.
CID000189
SWITZERLAND
Gold
Chimet S.p.A.
CID000233
ITALY
Gold
Chugai Mining
CID000264
JAPAN
Gold
Daejin Indus Co., Ltd.
CID000328
KOREA, REPUBLIC OF
Gold
Daye Non-Ferrous Metals Mining Ltd.
CID000343
CHINA
Gold
Degussa Sonne / Mond Goldhandel GmbH
CID002867
GERMANY
Gold
DODUCO GmbH
CID000362
GERMANY
Gold
Dowa
CID000401
JAPAN
Gold
DSC (Do Sung Corporation)
CID000359
KOREA, REPUBLIC OF
Gold
Eco-System Recycling Co., Ltd.
CID000425
JAPAN
Gold
Emirates Gold DMCC
CID002561
UNITED ARAB EMIRATES
Gold
Gansu Seemine Material Hi-Tech Co., Ltd.
CID000522
CHINA
Gold
GCC Gujrat Gold Centre Pvt. Ltd.
CID002852
INDIA
Gold
Geib Refining Corporation
CID002459
UNITED STATES OF AMERICA
Gold
Gold Refinery of Zijin Mining Group Co., Ltd.
CID002243
CHINA
Gold
Great Wall Precious Metals Co., Ltd. of CBPM
CID001909
CHINA
Gold
Guangdong Jinding Gold Limited
CID002312
CHINA
Gold
Guoda Safina High-Tech Environmental Refinery Co., Ltd.
CID000651
CHINA
Gold
Hangzhou Fuchunjiang Smelting Co., Ltd.
CID000671
CHINA
Gold
Heimerle + Meule GmbH
CID000694
GERMANY
Gold
Heraeus Metals Hong Kong Ltd.
CID000707
CHINA
Gold
Heraeus Precious Metals GmbH & Co. KG
CID000711
GERMANY
Gold
Hunan Chenzhou Mining Co., Ltd.
CID000767
CHINA
Gold
HwaSeong CJ CO., LTD.
CID000778
KOREA, REPUBLIC OF
Gold
Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.
CID000801
CHINA
Gold
Ishifuku Metal Industry Co., Ltd.
CID000807
JAPAN
Gold
Istanbul Gold Refinery
CID000814
TURKEY
Gold
Japan Mint
CID000823
JAPAN
Gold
Jiangxi Copper Co., Ltd.
CID000855
CHINA
 
 
4
Exhibit 1.01
 
 
Gold
JSC Ekaterinburg Non-Ferrous Metal Processing Plant
CID000927
RUSSIAN FEDERATION
Gold
JSC Uralelectromed
CID000929
RUSSIAN FEDERATION
Gold
JX Nippon Mining & Metals Co., Ltd.
CID000937
JAPAN
Gold
Kazakhmys Smelting LLC
CID000956
KAZAKHSTAN
Gold
Kazzinc
CID000957
KAZAKHSTAN
Gold
Kennecott Utah Copper LLC
CID000969
UNITED STATES OF AMERICA
Gold
KGHM Polska Miedz Spolka Akcyjna
CID002511
POLAND
Gold
Kojima Chemicals Co., Ltd.
CID000981
JAPAN
Gold
Korea Zinc Co., Ltd.
CID002605
KOREA, REPUBLIC OF
Gold
Kyrgyzaltyn JSC
CID001029
KYRGYZSTAN
Gold
Lingbao Gold Co., Ltd.
CID001056
CHINA
Gold
Lingbao Jinyuan Tonghui Refinery Co., Ltd.
CID001058
CHINA
Gold
LS-NIKKO Copper Inc.
CID001078
KOREA, REPUBLIC OF
Gold
Luoyang Zijin Yinhui Gold Refinery Co., Ltd.
CID001093
CHINA
Gold
Materion
CID001113
UNITED STATES OF AMERICA
Gold
Matsuda Sangyo Co., Ltd.
CID001119
JAPAN
Gold
Metalurgica Met-Mex Penoles S.A. De C.V.
CID001161
MEXICO
Gold
Mitsubishi Materials Corporation
CID001188
JAPAN
Gold
Mitsui Mining and Smelting Co., Ltd.
CID001193
JAPAN
Gold
MMTC-PAMP India Pvt., Ltd.
CID002509
INDIA
Gold
Modeltech Sdn Bhd
CID002857
MALAYSIA
Gold
Morris and Watson
CID002282
NEW ZEALAND
Gold
Moscow Special Alloys Processing Plant
CID001204
RUSSIAN FEDERATION
Gold
Nadir Metal Rafineri San. Ve Tic. A.S.
CID001220
TURKEY
Gold
Navoi Mining and Metallurgical Combinat
CID001236
UZBEKISTAN
Gold
Nihon Material Co., Ltd.
CID001259
JAPAN
Gold
Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH
CID002779
AUSTRIA
Gold
Ohura Precious Metal Industry Co., Ltd.
CID001325
JAPAN
Gold
OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)
CID001326
RUSSIAN FEDERATION
Gold
OJSC Novosibirsk Refinery
CID000493
RUSSIAN FEDERATION
Gold
PAMP S.A.
CID001352
SWITZERLAND
Gold
Penglai Penggang Gold Industry Co., Ltd.
CID001362
CHINA
Gold
Prioksky Plant of Non-Ferrous Metals
CID001386
RUSSIAN FEDERATION
Gold
PT Aneka Tambang (Persero) Tbk
CID001397
INDONESIA
Gold
PX Precinox S.A.
CID001498
SWITZERLAND
Gold
Rand Refinery (Pty) Ltd.
CID001512
SOUTH AFRICA
Gold
Remondis Argentia B.V.
CID002582
NETHERLANDS
Gold
Republic Metals Corporation
CID002510
UNITED STATES OF AMERICA
Gold
Royal Canadian Mint
CID001534
CANADA
Gold
SAAMP
CID002761
FRANCE
Gold
Sabin Metal Corp.
CID001546
UNITED STATES OF AMERICA
Gold
SAFINA A.S.
CID002290
CZECH REPUBLIC
Gold
Sai Refinery
CID002853
INDIA
 
 
5
Exhibit 1.01
 
 
Gold
Samduck Precious Metals
CID001555
KOREA, REPUBLIC OF
Gold
Samwon Metals Corp.
CID001562
KOREA, REPUBLIC OF
Gold
SAXONIA Edelmetalle GmbH
CID002777
GERMANY
Gold
Schone Edelmetaal B.V.
CID001573
NETHERLANDS
Gold
SEMPSA Joyeria Plateria S.A.
CID001585
SPAIN
Gold
Shandong Tiancheng Biological Gold Industrial Co., Ltd.
CID001619
CHINA
Gold
Shandong Zhaojin Gold & Silver Refinery Co., Ltd.
CID001622
CHINA
Gold
Sichuan Tianze Precious Metals Co., Ltd.
CID001736
CHINA
Gold
Singway Technology Co., Ltd.
CID002516
TAIWAN, PROVINCE OF CHINA
Gold
So Accurate Group, Inc.
CID001754
UNITED STATES OF AMERICA
Gold
SOE Shyolkovsky Factory of Secondary Precious Metals
CID001756
RUSSIAN FEDERATION
Gold
Solar Applied Materials Technology Corp.
CID001761
TAIWAN, PROVINCE OF CHINA
Gold
Sumitomo Metal Mining Co., Ltd.
CID001798
JAPAN
Gold
T.C.A S.p.A
CID002580
ITALY
Gold
Tanaka Kikinzoku Kogyo K.K.
CID001875
JAPAN
Gold
The Refinery of Shandong Gold Mining Co., Ltd.
CID001916
CHINA
Gold
Tokuriki Honten Co., Ltd.
CID001938
JAPAN
Gold
Tongling Nonferrous Metals Group Co., Ltd.
CID001947
CHINA
Gold
TOO Tau-Ken-Altyn
CID002615
KAZAKHSTAN
Gold
Torecom
CID001955
KOREA, REPUBLIC OF
Gold
Umicore Brasil Ltda.
CID001977
BRAZIL
Gold
Umicore Precious Metals Thailand
CID002314
THAILAND
Gold
Umicore S.A. Business Unit Precious Metals Refining
CID001980
BELGIUM
Gold
United Precious Metal Refining, Inc.
CID001993
UNITED STATES OF AMERICA
Gold
Valcambi S.A.
CID002003
SWITZERLAND
Gold
Western Australian Mint (T/a The Perth Mint)
CID002030
AUSTRALIA
Gold
WIELAND Edelmetalle GmbH
CID002778
GERMANY
Gold
Yamamoto Precious Metal Co., Ltd.
CID002100
JAPAN
Gold
Yokohama Metal Co., Ltd.
CID002129
JAPAN
Gold
Zhongyuan Gold Smelter of Zhongjin Gold Corporation
CID002224
CHINA
Tantalum
Changsha South Tantalum Niobium Co., Ltd.
CID000211
CHINA
Tantalum
Changsha South Tantalum Niobium Co., Ltd.
CID000616
CHINA
Tantalum
D Block Metals, LLC
CID002504
UNITED STATES OF AMERICA
Tantalum
D Block Metals, LLC
CID002558
UNITED STATES OF AMERICA
Tantalum
Duoluoshan
CID000410
CHINA
Tantalum
Duoluoshan
CID000917
CHINA
Tantalum
Exotech Inc.
CID000456
UNITED STATES OF AMERICA
Tantalum
Exotech Inc.
CID000973
UNITED STATES OF AMERICA
Tantalum
F&X Electro-Materials Ltd.
CID000460
CHINA
 
 
6
Exhibit 1.01
 
 
Tantalum
F&X Electro-Materials Ltd.
CID001163
CHINA
Tantalum
FIR Metals & Resource Ltd.
CID002568
CHINA
Tantalum
Global Advanced Metals Aizu
CID000402
JAPAN
Tantalum
Global Advanced Metals Boyertown
CID000315
UNITED STATES OF AMERICA
Tantalum
Guangdong Rising Rare Metals-EO Materials Ltd.
CID000291
CHINA
Tantalum
Guangdong Rising Rare Metals-EO Materials Ltd.
CID000731
CHINA
Tantalum
Guangdong Zhiyuan New Material Co., Ltd.
CID001192
CHINA
Tantalum
H.C. Starck Co., Ltd.
CID000244
THAILAND
Tantalum
H.C. Starck Hermsdorf GmbH
CID000292
GERMANY
Tantalum
H.C. Starck Inc.
CID000306
UNITED STATES OF AMERICA
Tantalum
H.C. Starck Ltd.
CID000309
JAPAN
Tantalum
H.C. Starck Smelting GmbH & Co. KG
CID000313
GERMANY
Tantalum
H.C. Starck Tantalum and Niobium GmbH
CID000278
GERMANY
Tantalum
Hengyang King Xing Lifeng New Materials Co., Ltd.
CID002492
CHINA
Tantalum
Hengyang King Xing Lifeng New Materials Co., Ltd.
CID002557
CHINA
Tantalum
Hi-Temp Specialty Metals, Inc.
CID001200
UNITED STATES OF AMERICA
Tantalum
Jiangxi Dinghai Tantalum & Niobium Co., Ltd.
CID002847
CHINA
Tantalum
Jiangxi Tuohong New Raw Material
CID000538
CHINA
Tantalum
JiuJiang JinXin Nonferrous Metals Co., Ltd.
CID000914
CHINA
Tantalum
JiuJiang JinXin Nonferrous Metals Co., Ltd.
CID001508
CHINA
Tantalum
Jiujiang Nonferrous Metals Smelting Company Limited
CID001522
CHINA
Tantalum
Jiujiang Zhongao Tantalum & Niobium Co., Ltd.
CID002707
CHINA
Tantalum
KEMET Blue Powder
CID000448
UNITED STATES OF AMERICA
Tantalum
King-Tan Tantalum Industry Ltd.
CID001769
CHINA
Tantalum
LSM Brasil S.A.
CID001076
BRAZIL
Tantalum
LSM Brasil S.A.
CID001869
BRAZIL
Tantalum
Metallurgical Products India Pvt., Ltd.
CID001891
INDIA
Tantalum
Mineracao Taboca S.A.
CID001175
BRAZIL
Tantalum
Mineracao Taboca S.A.
CID002307
BRAZIL
Tantalum
Mitsui Mining and Smelting Co., Ltd.
CID002505
JAPAN
Tantalum
Ningxia Orient Tantalum Industry Co., Ltd.
CID001277
CHINA
Tantalum
Ningxia Orient Tantalum Industry Co., Ltd.
CID002508
CHINA
Tantalum
NPM Silmet AS
CID002506
ESTONIA
Tantalum
Power Resources Ltd.
CID000555
MACEDONIA, THE FORMER YUGOSLAV REPUBLIC OF
Tantalum
QuantumClean
CID002512
UNITED STATES OF AMERICA
Tantalum
Resind Industria e Comercio Ltda.
CID000468
BRAZIL
Tantalum
RFH Tantalum Smeltry Co., Ltd.
CID002539
CHINA
Tantalum
Solikamsk Magnesium Works OAO
CID002544
RUSSIAN FEDERATION
Tantalum
Taki Chemical Co., Ltd.
CID002545
JAPAN
Tantalum
Telex Metals
CID002547
UNITED STATES OF AMERICA
Tantalum
Ulba Metallurgical Plant JSC
CID001969
KAZAKHSTAN
 
 
7
Exhibit 1.01
 
 
Tantalum
Ulba Metallurgical Plant JSC
CID002548
KAZAKHSTAN
Tantalum
XinXing HaoRong Electronic Material Co., Ltd.
CID002842
CHINA
Tantalum
Yichun Jin Yang Rare Metal Co., Ltd.
CID002550
CHINA
Tantalum
Zhuzhou Cemented Carbide Group Co., Ltd.
CID002232
CHINA
Tantalum
Zhuzhou Cemented Carbide Group Co., Ltd.
CID002549
CHINA
Tin
Alpha
CID001142
UNITED STATES OF AMERICA
Tin
An Thai Minerals Co., Ltd.
CID002082
VIET NAM
Tin
An Vinh Joint Stock Mineral Processing Company
CID000769
VIET NAM
Tin
Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.
CID000760
CHINA
Tin
China Tin Group Co., Ltd.
CID001458
CHINA
Tin
CNMC (Guangxi) PGMA Co., Ltd.
CID001070
CHINA
Tin
Cooperativa Metalurgica de Rondonia Ltda.
CID000295
BRAZIL
Tin
Cooperativa Metalurgica de Rondonia Ltda.
CID001191
BRAZIL
Tin
CV Ayi Jaya
CID000218
INDONESIA
Tin
CV Dua Sekawan
CID000568
INDONESIA
Tin
CV Gita Pesona
CID001231
INDONESIA
Tin
CV Serumpun Sebalai
CID001337
INDONESIA
Tin
CV Tiga Sekawan
CID000766
INDONESIA
Tin
CV United Smelting
CID001399
INDONESIA
Tin
CV Venus Inti Perkasa
CID002849
INDONESIA
Tin
Dowa
CID001402
JAPAN
Tin
Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company
CID000258
VIET NAM
Tin
EM Vinto
CID000438
BOLIVIA (PLURINATIONAL STATE OF)
Tin
EM Vinto
CID001419
BOLIVIA (PLURINATIONAL STATE OF)
Tin
Estanho de Rondonia S.A.
CID001421
BRAZIL
Tin
Fenix Metals
CID001428
POLAND
Tin
Gejiu Fengming Metallurgy Chemical Plant
CID002315
CHINA
Tin
Gejiu Jinye Mineral Company
CID002318
CHINA
Tin
Gejiu Kai Meng Industry and Trade LLC
CID001457
CHINA
Tin
Gejiu Non-Ferrous Metal Processing Co., Ltd.
CID001434
CHINA
Tin
Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.
CID002816
CHINA
Tin
Gejiu Zili Mining And Metallurgy Co., Ltd.
CID001438
CHINA
Tin
Guanyang Guida Nonferrous Metal Smelting Plant
CID002316
CHINA
Tin
HuiChang Hill Tin Industry Co., Ltd.
CID002313
CHINA
Tin
Huichang Jinshunda Tin Co., Ltd.
CID001448
CHINA
Tin
Jiangxi Ketai Advanced Material Co., Ltd.
CID000942
CHINA
Tin
Magnu's Minerais Metais e Ligas Ltda.
CID002858
BRAZIL
Tin
Malaysia Smelting Corporation (MSC)
CID001105
MALAYSIA
Tin
Malaysia Smelting Corporation (MSC)
CID001460
MALAYSIA
Tin
Melt Metais e Ligas S.A.
CID002859
BRAZIL
Tin
Metallic Resources, Inc.
CID001463
UNITED STATES OF AMERICA
Tin
Metallo Belgium N.V.
CID002773
BELGIUM
Tin
Metallo Belgium N.V.
CID000966
BELGIUM
 
 
8
Exhibit 1.01
 
 
Tin
Metallo Spain S.L.U.
CID001889
SPAIN
Tin
Mineracao Taboca S.A.
CID001173
BRAZIL
Tin
Mineracao Taboca S.A.
CID001468
BRAZIL
Tin
Minsur
CID001182
PERU
Tin
Minsur
CID001471
PERU
Tin
Mitsubishi Materials Corporation
CID001490
JAPAN
Tin
Modeltech Sdn Bhd
CID002317
MALAYSIA
Tin
Nankang Nanshan Tin Manufactory Co., Ltd.
CID001493
CHINA
Tin
Nghe Tinh Non-Ferrous Metals Joint Stock Company
CID000345
VIET NAM
Tin
O.M. Manufacturing (Thailand) Co., Ltd.
CID001539
THAILAND
Tin
O.M. Manufacturing Philippines, Inc.
CID000004
PHILIPPINES
Tin
Operaciones Metalurgical S.A.
CID001758
BOLIVIA (PLURINATIONAL STATE OF)
Tin
PT Aries Kencana Sejahtera
CID001314
INDONESIA
Tin
PT Artha Cipta Langgeng
CID001908
INDONESIA
Tin
PT ATD Makmur Mandiri Jaya
CID002870
INDONESIA
Tin
PT Babel Inti Perkasa
CID002015
INDONESIA
Tin
PT Bangka Prima Tin
CID002011
INDONESIA
Tin
PT Bangka Tin Industry
CID002036
INDONESIA
Tin
PT Belitung Industri Sejahtera
CID002158
INDONESIA
Tin
PT DS Jaya Abadi
CID002455
INDONESIA
Tin
PT Eunindo Usaha Mandiri
CID002468
INDONESIA
Tin
PT Inti Stania Prima
CID000105
INDONESIA
Tin
PT Karimun Mining
CID002500
INDONESIA
Tin
PT Kijang Jaya Mandiri
CID002095
INDONESIA
Tin
PT Lautan Harmonis Sejahtera
CID002319
INDONESIA
Tin
PT Mitra Stania Prima
CID001453
INDONESIA
Tin
PT Mitra Stania Prima
CID002503
INDONESIA
Tin
PT O.M. Indonesia
CID000875
INDONESIA
Tin
PT Panca Mega Persada
CID002517
INDONESIA
Tin
PT Prima Timah Utama
CID002530
INDONESIA
Tin
PT Refined Bangka Tin
CID002570
INDONESIA
Tin
PT Sariwiguna Binasentosa
CID002572
INDONESIA
Tin
PT Stanindo Inti Perkasa
CID002573
INDONESIA
Tin
PT Sukses Inti Makmur
CID002044
INDONESIA
Tin
PT Sumber Jaya Indah
CID002574
INDONESIA
Tin
PT Timah (Persero) Tbk Kundur
CID001477
INDONESIA
Tin
PT Timah (Persero) Tbk Kundur
CID002592
INDONESIA
Tin
PT Timah (Persero) Tbk Mentok
CID001482
INDONESIA
Tin
PT Timah (Persero) Tbk Mentok
CID002593
INDONESIA
Tin
PT Tinindo Inter Nusa
CID002703
INDONESIA
Tin
PT Tommy Utama
CID002706
INDONESIA
Tin
Resind Industria e Comercio Ltda.
CID000825
BRAZIL
Tin
Rui Da Hung
CID002757
TAIWAN, PROVINCE OF CHINA
Tin
Soft Metais Ltda.
CID002774
BRAZIL
Tin
Thaisarco
CID001898
THAILAND
Tin
Thaisarco
CID002776
THAILAND
 
 
9
Exhibit 1.01
 
 
Tin
Tuyen Quang Non-Ferrous Metals Joint Stock Company
CID000499
VIET NAM
Tin
VQB Mineral and Trading Group JSC
CID002825
VIET NAM
Tin
White Solder Metalurgia e Mineracao Ltda.
CID002829
BRAZIL
Tin
Yunnan Chengfeng Non-ferrous Metals Co., Ltd.
CID002844
CHINA
Tin
Yunnan Tin Company Limited
CID002848
CHINA
Tungsten
A.L.M.T. TUNGSTEN Corp.
CID002320
JAPAN
Tungsten
ACL Metais Eireli
 
BRAZIL
Tungsten
Asia Tungsten Products Vietnam Ltd.
 
VIET NAM
Tungsten
Chenzhou Diamond Tungsten Products Co., Ltd.
 
CHINA
Tungsten
Chongyi Zhangyuan Tungsten Co., Ltd.
CID002502
CHINA
Tungsten
Dayu Weiliang Tungsten Co., Ltd.
CID002513
CHINA
Tungsten
Fujian Jinxin Tungsten Co., Ltd.
CID002535
CHINA
Tungsten
Ganzhou Huaxing Tungsten Products Co., Ltd.
CID002551
CHINA
Tungsten
Ganzhou Jiangwu Ferrotungsten Co., Ltd.
CID002830
CHINA
Tungsten
Ganzhou Seadragon W & Mo Co., Ltd.
 
CHINA
Tungsten
Ganzhou Yatai Tungsten Co., Ltd.
 
CHINA
Tungsten
Global Tungsten & Powders Corp.
CID002536
UNITED STATES OF AMERICA
Tungsten
Guangdong Xianglu Tungsten Co., Ltd.
CID002494
CHINA
Tungsten
H.C. Starck Smelting GmbH & Co. KG
 
GERMANY
Tungsten
H.C. Starck Tungsten GmbH
 
GERMANY
Tungsten
Hunan Chenzhou Mining Co., Ltd.
CID002541
CHINA
Tungsten
Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji
 
CHINA
Tungsten
Hunan Chunchang Nonferrous Metals Co., Ltd.
CID002542
CHINA
Tungsten
Hydrometallurg, JSC
 
RUSSIAN FEDERATION
Tungsten
Japan New Metals Co., Ltd.
CID002543
JAPAN
Tungsten
Jiangwu H.C. Starck Tungsten Products Co., Ltd.
 
CHINA
Tungsten
Jiangxi Dayu Longxintai Tungsten Co., Ltd.
 
CHINA
Tungsten
Jiangxi Gan Bei Tungsten Co., Ltd.
 
CHINA
Tungsten
Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.
CID002827
CHINA
Tungsten
Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.
CID002845
CHINA
Tungsten
Jiangxi Xinsheng Tungsten Industry Co., Ltd.
CID002843
CHINA
Tungsten
Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.
 
CHINA
Tungsten
Jiangxi Yaosheng Tungsten Co., Ltd.
CID002833
CHINA
Tungsten
Kennametal Fallon
CID002579
UNITED STATES OF AMERICA
Tungsten
Kennametal Huntsville
CID002321
UNITED STATES OF AMERICA
Tungsten
Malipo Haiyu Tungsten Co., Ltd.
 
CHINA
Tungsten
Moliren Ltd.
 
RUSSIAN FEDERATION
Tungsten
Niagara Refining LLC
 
UNITED STATES OF AMERICA
Tungsten
Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC
 
VIET NAM
Tungsten
Philippine Chuangxin Industrial Co., Inc.
 
PHILIPPINES
Tungsten
South-East Nonferrous Metal Company Limited of Hengyang City
 
CHINA
 
 
10
Exhibit 1.01
 
 
Tungsten
Tejing (Vietnam) Tungsten Co., Ltd.
CID002589
VIET NAM
Tungsten
Unecha Refractory metals plant
 
RUSSIAN FEDERATION
Tungsten
Vietnam Youngsun Tungsten Industry Co., Ltd.
CID002647
VIET NAM
Tungsten
Wolfram Bergbau und Hutten AG
CID002649
AUSTRIA
Tungsten
Woltech Korea Co., Ltd.
 
KOREA, REPUBLIC OF
Tungsten
Xiamen Tungsten (H.C.) Co., Ltd.
 
CHINA
Tungsten
Xiamen Tungsten Co., Ltd.
CID002724
CHINA
Tungsten
Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.
 
CHINA
Tungsten
Xinhai Rendan Shaoguan Tungsten Co., Ltd.
CID002815
CHINA
 
V            
Future Due Diligence
 
We will continue to communicate our expectations and information requirements to our direct suppliers. 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 to 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 needs improvement, we intend to continue the trade relationship while that supplier improves its compliance program. We expect our suppliers to take similar measures with their suppliers to ensure alignment throughout the supply chain.
 
In addition to those above, the Company will undertake the following steps during the next compliance period to improve the due diligence conducted and to further mitigate the risk that the necessary conflict minerals do not benefit armed groups, including:
 
●
Review the conflict minerals policy statement and update if necessary.
●
Continue to collect responses from suppliers using the most recent version of the CMRT.
●
Monitor and track performance of risk mitigation efforts.
●
Engage with suppliers that did not provide a response in 2016 or provided incomplete responses to enhance our data collection for 2017.
●
Compare and validate RCOI results to information collected via independent conflict-free smelter validation programs such as the CFSI.
●
Encourage responsible sourcing from the DRC and adjoining countries.
 
 VI            
Independent Private Sector Audit
 
Not required for calendar year 2016.
 
 
11