EX-1.01 2 d189171dex101.htm EX-1.01 EX-1.01

Exhibit 1.01

Harman International Industries, Incorporated

Conflict Minerals Report

For The Year Ended December 31, 2015

This Conflict Minerals Report for the year ended December 31, 2015 (this “CMR”) is presented to comply with Rule 13p-1 under the Securities Exchange Act of 1934, as amended (the “Rule”). The term “conflict mineral” is defined in Section 1502(e)(4) of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 as (A) columbite-tantalite, also known as coltan (the metal ore from which tantalum is extracted); cassiterite (the metal ore from which tin is extracted); gold; wolframite (the metal ore from which tungsten is extracted); or their derivatives; or (B) any other mineral or its derivatives determined by the Secretary of State to be financing conflict in the Democratic Republic of the Congo (“DRC”) or an adjoining country (collectively referred to herein as the “Covered Countries”). Tin, tungsten, tantalum and gold will herein be referred to as “3TGs.”

Harman International Industries, Incorporated (herein referred to as “HARMAN,” the “Company,” “we,” “us,” or “our”) has concluded in good faith that, for the year ended December 31, 2015, we have manufactured or contracted to manufacture products as to which 3TGs are necessary to the functionality or production of such products. Based on a “reasonable country of origin inquiry,” HARMAN knows or has reason to believe that a portion of its necessary 3TGs originated or may have originated in the Covered Countries and knows or has reason to believe that those necessary 3TGs may not be from recycled or scrap sources. As a result of the foregoing, pursuant to the Rule, we undertook due diligence measures on the source and chain of custody of the 3TGs as described below, and are required to submit to the Securities and Exchange Commission (“SEC”) this CMR as an Exhibit to our Form SD for the year ended December 31, 2015.

 

  I. Company Overview

This CMR has been prepared by HARMAN management. The information set forth in this CMR includes the activities of all majority-owned subsidiaries and variable interest entities that are required to be consolidated. It does not include the activities of variable interest entities that are not required to be consolidated. HARMAN designs and engineers connected products and solutions for automakers, consumers, and enterprises worldwide, including connected car systems, audio and visual products, enterprise automation solutions and connected services, under multiple name brands. We use externally sourced microchips in many of our products, and several independent suppliers manufacture loudspeakers and electronic products for us. Our broad and complex product range may contain 3TGs within the following components:

 

    Tantalum, used in capacitors.

 

    Tin, used in soldered components.

 

    Tungsten, used in coatings, alloys, heating elements and electrodes.

 

    Gold, used in circuit boards, electrodes and electronic components.

HARMAN adopted a Conflict Minerals Policy Statement (the “Policy”) which is publicly available on our website at http://www.harman.com/sites/default/files/supply-chain/1463660384/document/CONFLICT%20MINERALS%20POLICY%20STATEMENT%20May%202016.pdf. As stated in the Policy, HARMAN expects each of its suppliers to do all of the following:

 

    Establish a conflict mineral policy consistent with the Policy;

 

    Complete HARMAN’s Conflict Minerals survey, identifying products they sell to HARMAN and the smelters that provided the original 3TGs; and

 

    On an annual basis, provide a report to support HARMAN’s SEC reporting requirements.

 

  II. Description of Reasonable Country of Origin Inquiry (“RCOI”)

HARMAN’s RCOI employed a combination of measures to determine whether the necessary 3TGs in HARMAN products originated from the Covered Countries. HARMAN’s primary means of determining country of origin of necessary 3TGs was by conducting a supply chain survey with direct suppliers using the EICC-GeSI Conflict Minerals Reporting Template, version 4.01 (“CMRT”). This supply chain survey and the conflict minerals program as a whole has been developed and implemented with our third-party service provider, Assent Compliance Inc. (“Assent”).

 

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It was decided to conduct a survey of all our direct material suppliers (suppliers that provided materials used in HARMAN’s products). We began our scoping process by completing a supplier list extraction from a list of all of HARMAN’s suppliers. This list was then filtered to remove:

 

    Suppliers of services and indirect materials (such as capital equipment, information technology, office supplies, and other goods other than production parts); and

 

    Inactive suppliers (minimum of 24 months since last purchase).

This ensures that all suppliers surveyed provided items to HARMAN that were used in final HARMAN products in the calendar year ended December 31, 2015. Once the filtering was completed, HARMAN populated the list with contact information and this list, composed of 2,145 suppliers, was then provided to Assent for upload to their Assent Compliance Manager Software as a Solution (“SaaS”) system.

Assent conducted additional analysis of the supply chain and, combined with supplier feedback, 3 percent of suppliers provided a response that allowed Assent and HARMAN to remove these suppliers from the scope of the conflict minerals survey. The factors considered in Assent’s secondary analysis and the information provided that supported removing these suppliers from the scope included:

 

    The product supplied is packaging (packaging excludes labels).

 

    The parts supplied do not end up in the final product. This includes equipment used to make the product but is not a part of the actual product itself (e.g., industrial equipment, computers, etc.)

 

    Supplier is a provider of test lab services (i.e., providers that test the resistance or durability of a product), or other services and indirect materials, or is inactive, but was not previously identified as such.

Assent then conducted the supplier survey portion of the RCOI on the remaining in-scope suppliers, totaling 2,086.

During the supplier survey, suppliers were contacted via the SaaS system that enables its users to complete and track supplier communications. It also allows suppliers to upload completed CMRTs directly to the platform for red flag assessment and management.

Non-responsive suppliers were contacted a minimum of three times by the Assent Compliance Manager and then were also managed by the Assent Compliance supply chain team in one on one communications. This included two to three follow ups from the supply chain team.

Assent communications included training and education on the completion of the CMRT to alleviate any remaining confusion with suppliers. All of these communications were monitored and tracked in Assent’s system for future reporting and transparency.

The SaaS system also performed automated data validation on all submitted CMRTs. The goal of data validation is to increase the accuracy of submissions and identify any contradictory answers in the CMRT. All submitted forms are accepted and classified as valid or invalid, but the data is still retained. Suppliers are contacted in regards to invalid forms and requested to resubmit a valid form. As of April 29, 2016, there were 58 invalid supplier submissions, which is less than 6 percent of total supplier submissions.

HARMAN had a survey completion rate of 44 percent, which is a 2 percent improvement over the previous year. In addition, the rate of invalid supplier submissions decreased 12 percent over the previous year. We anticipate further gains moving forward as the intricacies of HARMAN’s supply chain become more transparent.

 

  III. Due Diligence

Establish Strong Company Management Systems

As described above, HARMAN has adopted the Policy which is posted on our website at http://www.harman.com/sites/default/files/supply-chain/1463660384/document/CONFLICT%20MINERALS%20POLICY%20STATEMENT%20May%202016.pdf.

HARMAN has also established a management system for conflict minerals. Our management system is sponsored by the General Counsel as well as executive-level representatives and a team of subject matter experts from relevant functions such as legal, procurement and engineering, who are responsible for implementing our conflict minerals compliance strategy. Senior management is briefed about the results of our due diligence efforts on a regular basis.

As we do not typically have a direct relationship with 3TG smelters and refiners, we are engaged and actively cooperate with other major manufacturers in the automotive and consumer and professional electronics sectors. Controls include, but are not limited to, our Code of Conduct which outlines expected behaviors for all HARMAN employees, our Supplier Code of Conduct, and a supplier conflict minerals contract clause which is further described below.

 

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We rely on our direct suppliers to provide information on the origin of any 3TGs contained in components and materials supplied to us – including sources of 3TGs that are supplied to them from lower tier suppliers. Contracts with our suppliers are frequently in force for three to five years or more and we cannot unilaterally impose new contract terms and flow-down requirements. As we enter into new contracts, or our contracts renew, we are adding a clause to require suppliers to provide information about the source of any 3TGs and smelters or refiners. It will take a number of years to ensure that all our supplier contracts contain appropriate flow-down clauses. In the meantime, as described below, we are working with selected suppliers to ensure they provide 3TG sourcing information until the contracts can be amended.

We have strengthened our engagement with suppliers through Assent by:

 

    providing education on conflict minerals regulation as well as the expectations of the law and for a continued business relationship with HARMAN; and

 

    leveraging the existing communications within HARMAN, specifically our procurement department, to encourage their interactions with Assent, as well as understand the requirement for completion.

Feedback from this engagement has allowed us to enhance the training and to focus and adapt it to each supplier’s needs. It has also allowed for our supplier communications to be more focused and ensure expectations are clear.

We have multiple longstanding grievance mechanisms whereby employees and suppliers can report violations of HARMAN’s policies. We have a policy to retain relevant documentation for a period of at least six years.

Design of the Due Diligence Process

Our due diligence measures have been designed to conform with the framework in 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 (the “OECD Guidance”) and the related Supplements for gold and for tin, tantalum and tungsten.

In accordance with OECD Guidance, it is important to understand risk levels associated with 3TGs in the supply chain. Suppliers that utilize smelters for the production of 3TGs that are not certified DRC conflict-free pose a significant risk to the supply chain. In the SaaS system, this risk is classified as “High,” “Medium” or “Low,” and is generated based on three scoring criteria:

 

    Regulated Body: this assesses whether the smelter has an associated regulated body number (Smelter CID Number is the primary method).

 

    Proximity: this assesses the level of risk of the country where the smelter is located.

 

    Level 1 Countries are countries with known active ore production for tin or tantalum that are not identified as conflict regions or plausible countries of smuggling or export of tin or tantalum containing materials. Level 1 Countries are located in North or South America, Australia or Europe.

 

    Level 2 Countries are countries that are known or are plausible countries for smuggling or export out of Level 3 countries, or transit of materials containing tin or tantalum. Level 2 Countries currently include Kenya, Mozambique, and South Africa.

 

    Level 3 Countries are the Covered Countries.

 

    Certification: this assesses whether the smelter is certified conflict-free via the Conflict-Free Sourcing Initiative (“CFSI”) or the London Bullion Market Association (“LBMA”) Responsible Gold Programme.

We also calculate supplier risk based on the chances that the supplier provides 3TGs that may originate from non-conflict free sources. The value of this risk is calculated based on the risk ratings of the smelters declared by that supplier on their CMRT.

Additionally, further assisting in identifying risk in the supply chain, suppliers are evaluated on program strength. While many of our suppliers are only in the initial stages of implementing a conflict minerals program, evaluating and tracking the strength of each supplier’s conflict minerals program meets the OECD Guidance and assists us in making key risk mitigation decisions as each supplier’s program progresses. The criteria used to evaluate the strength of each program are:

 

    Whether the supplier has a policy in place that includes DRC conflict-free sourcing.

 

    Whether the supplier has implemented due diligence measures for DRC conflict-free sourcing.

 

    Whether the supplier verifies due diligence information received from its suppliers.

 

    Whether the verification process includes corrective action management.

Based on the foregoing, each supplier’s program is identified as either “Strong” or “Weak.”

 

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We believe that the inquiries and investigations described above represent a reasonable effort to determine the mines or locations of origin of 3TGs in our products, including (i) seeking information about 3TG smelters and refiners in our supply chain through requesting that our suppliers complete the CMRT, (ii) verifying those 3TG smelters and refiners with the expanding CFSI lists and (iii) conducting further due diligence review of the 3TG smelters and refiners, and obtaining additional documentation and verification, as applicable. Our existing policy related to documentation relevant to our conflict mineral compliance process requires that such documentation will be retained for a period of at least six years.

Design and Implement a Strategy to Respond to Risks

In response to the risk assessment described in the foregoing section, HARMAN has an approved risk management plan through which the conflict minerals program is implemented, managed and monitored. If a supplier’s conflict minerals program is identified as “Weak” this is a risk that is dealt with by implementing supplier corrective action measures which ensure HARMAN suppliers have policies and procedures in place that will produce the necessary data in an accurate manner. Once obtained, the data, including smelter and refiner information, is then verified and a risk level of “High,” “Medium” or “Low” is designated, as described in the foregoing section. Updates to the risk assessment of suppliers are provided regularly to senior management.

As part of our risk management plan, to ensure suppliers understand our expectations, we have provided both video, recorded training and documented instructions through Assent. As the program progresses, contacts via email and phone by HARMAN procurement team members will be completed as an escalation to ensure the importance of a response via CMRTs to Assent and the required cooperation for compliance with the Rule will be emphasized.

We intend to engage with any of our suppliers whom we have reason to believe are supplying us with 3TGs from sources that may support conflict in the Covered Countries to establish an alternative source of 3TGs that does not support such conflict, as provided in the OECD Guidance. We have found no instances where it was necessary to terminate a contract or find a replacement supplier.

 

  IV. Due Diligence Results

The large majority of the responses received from the supplier survey provided data at a company or divisional level or were unable to specify the smelters or refiners used for components supplied to HARMAN. We are therefore unable to determine whether the 3TGs reported by the suppliers were contained in components or parts supplied to us. Furthermore, suppliers did not always provide smelter lists nor were the smelter lists consistently completed with smelter identification numbers, and therefore we were unable to validate that any of these smelters or refiners are actually in our supply chain.

The current efforts focus on gathering smelter information via the CMRT and, as the program progresses, requiring full completion of all necessary smelter identification information which will enable the validation and disclosure of the smelters as well as the tracing of 3TGs to their location of origin. Seeking information about 3TG smelters and refiners in our supply chain represents the most reasonable effort we can make to determine the mines or locations of origin of 3TGs in our supply chain.

Certain of the responses provided by suppliers to the CMRT did include the names of facilities listed by the suppliers as smelters or refiners. We do not typically have a direct relationship with 3TG smelters and refiners and do not perform or direct audits of these entities within our supply chain. Assent compared these facilities listed in the responses to the list of smelters maintained by the CFSI, the United States Department of Commerce and the LBMA and, if a supplier indicated that the facility was certified as conflict-free, confirmed that the name was listed by CFSI.

As of April 29, 2016, we have validated 310 smelters or refiners and are working to validate the additional smelter and refiner entries from the submitted CMRTs. The table set forth on Schedule 1 to this CMR lists the valid smelters identified by suppliers we surveyed. Not all of these facilities have necessarily processed 3TGs contained in our products for the year ended December 31, 2015. This is because our suppliers generally provided facility information via the CMRT at the company or divisional level, and generally did not limit their CMRT responses to facility information for 3TGs in products they supply to HARMAN specifically. The table set forth on Schedule 2 lists the countries where the valid smelters identified by suppliers are located. Again, as our suppliers generally provided facility information via the CMRT at the company or divisional level, and generally did not limit their CMRT responses to facility information for 3TGs in products they supply to HARMAN specifically, 3TGs contained in our products for the year ended December 31, 2015 did not necessarily originate in the countries listed on Schedule 2.

Based on the smelter lists provided by suppliers via the CMRTs, we are aware that 213 smelters are certified conflict-free, and a number of other smelters are active in the Conflict-Free Smelter Program (“CFSP”) third-party audit process. Many suppliers are still unable to provide the smelters or refiners used for materials supplied to us. Furthermore, many of the responses provided at the company or division level indicated an “unknown” status in terms of determining the origin of 3TGs.

 

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  V. Steps to be Taken to Mitigate Risk

Our conflict minerals program will continue to focus on vetting smelter and refiner data including:

 

    Working with suppliers to move to the latest version of the CMRT, when available, where new smelter identification numbers have been assigned.

 

    Increasing year-over-year the number of product-level CMRTs received.

 

    Requiring the use of the smelter identification numbers. Supplier responses will not be considered complete without identification numbers.

 

    Requesting suppliers inform HARMAN of the correlation between smelters or refiners identified and the products and parts they supply to HARMAN.

 

    Comparing the facilities identified to the CFSI list of smelters.

 

    Efforts to determine mine or location of origin.

We also intend to take the following steps to improve the due diligence conducted to further mitigate any risk that the necessary 3TGs in our products could benefit armed groups in the Covered Countries:

 

    Continue to include a conflict minerals flow-down clause in new or renewed supplier contracts.

 

    Continue to strengthen engagement with relevant suppliers and direct them to training resources to attempt to increase the response rate and improve the content of the supplier survey responses.

 

    Engage any of our suppliers found to be supplying us with 3TGs from sources that directly or indirectly finance armed conflict in the Covered Countries to establish an alternative source of 3TGs that does not support such armed conflict.

 

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Harman International Industries, Incorporated

Conflict Minerals Report

For The Year Ended December 31, 2015

Schedule 1

Harman believes that each of the smelters and refiners listed below with “Yes” listed in the fourth column have been verified as complying with the Conflict-Free Sourcing Initiative (“CFSI”) or the London Bullion Market Association (“LBMA”) Responsible Gold Programme.

 

Metal    Standard Smelter Name    Smelter Facility Location    Conflict-Free?
Gold    Advanced Chemical Company    UNITED STATES    In progress
Gold    Aida Chemical Industries Co., Ltd.    JAPAN    Yes
Gold    Aktyubinsk Copper Company TOO    KAZAKHSTAN   
Gold    Al Etihad Gold Refinery DMCC    UNITED ARAB EMIRATES   
Gold    Allgemeine Gold-und Silberscheideanstalt A.G.    GERMANY    Yes
Gold    Almalyk Mining and Metallurgical Complex (AMMC)    UZBEKISTAN    In progress
Gold    AngloGold Ashanti Córrego do Sítio Mineração    BRAZIL    Yes
Gold    Argor-Heraeus SA    SWITZERLAND    Yes
Gold    Asahi Pretec Corporation    JAPAN    Yes
Gold    Asahi Refining Canada Limited    CANADA    Yes
Gold    Asahi Refining USA Inc.    UNITED STATES    Yes
Gold    Asaka Riken Co., Ltd.    JAPAN    Yes
Gold    Atasay Kuyumculuk Sanayi Ve Ticaret A.S.    TURKEY    Yes
Gold    Aurubis AG    GERMANY    Yes
Gold    Bangko Sentral ng Pilipinas (Central Bank of the Philippines)    PHILIPPINES    Yes
Gold    Bauer Walser AG    GERMANY   
Gold    Boliden AB    SWEDEN    Yes
Gold    C. Hafner GmbH + Co. KG    GERMANY    Yes
Gold    Caridad    MEXICO   
Gold    CCR Refinery – Glencore Canada Corporation    CANADA    Yes
Gold    Cendres + Métaux SA    SWITZERLAND    In progress
Gold    Chimet S.p.A.    ITALY    Yes
Gold    Chugai Mining    JAPAN   
Gold    Daejin Indus Co., Ltd.    KOREA, REPUBLIC OF    In progress
Gold    Daye Non-Ferrous Metals Mining Ltd.    CHINA   
Gold    Do Sung Corporation    KOREA, REPUBLIC OF    In progress


Gold    DODUCO GmbH    GERMANY    Yes
Gold    Dowa    JAPAN    Yes
Gold    Eco-System Recycling Co., Ltd.    JAPAN    Yes
Gold    Elemetal Refining, LLC    UNITED STATES    Yes
Gold    Emirates Gold DMCC    UNITED ARAB EMIRATES    Yes
Gold    Faggi Enrico S.p.A.    ITALY    In progress
Gold    Fidelity Printers and Refiners Ltd.    ZIMBABWE   
Gold    Gansu Seemine Material Hi-Tech Co., Ltd.    CHINA   
Gold    Geib Refining Corporation    UNITED STATES    In progress
Gold    Great Wall Precious Metals Co., Ltd. of CBPM    CHINA   
Gold    Guangdong Jinding Gold Limited    CHINA   
Gold    Guoda Safina High-Tech Environmental Refinery Co., Ltd.    CHINA   
Gold    Hangzhou Fuchunjiang Smelting Co., Ltd.    CHINA   
Gold    Heimerle + Meule GmbH    GERMANY    Yes
Gold    Heraeus Ltd. Hong Kong    CHINA    Yes
Gold    Heraeus Precious Metals GmbH & Co. KG    GERMANY    Yes
Gold    Hunan Chenzhou Mining Co., Ltd.    CHINA   
Gold    Hwasung CJ Co., Ltd.    KOREA, REPUBLIC OF   
Gold    Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited    CHINA   
Gold    Ishifuku Metal Industry Co., Ltd.    JAPAN    Yes
Gold    Istanbul Gold Refinery    TURKEY    Yes
Gold    Japan Mint    JAPAN    Yes
Gold    Jiangxi Copper Company Limited    CHINA    Yes
Gold    JSC Ekaterinburg Non-Ferrous Metal Processing Plant    RUSSIAN FEDERATION    Yes
Gold    JSC Uralelectromed    RUSSIAN FEDERATION    Yes
Gold    JX Nippon Mining & Metals Co., Ltd.    JAPAN    Yes
Gold    Kaloti Precious Metals    UNITED ARAB EMIRATES   
Gold    Kazakhmys Smelting LLC    KAZAKHSTAN   
Gold    Kazzinc    KAZAKHSTAN    Yes
Gold    Kennecott Utah Copper LLC    UNITED STATES    Yes
Gold    KGHM Polska Miedź Spółka Akcyjna    POLAND    In progress
Gold    Kojima Chemicals Co., Ltd.    JAPAN    Yes
Gold    Korea Metal Co., Ltd.    KOREA, REPUBLIC OF   


Gold    Korea Zinc Co. Ltd.    KOREA, REPUBLIC OF    In progress
Gold    Kyrgyzaltyn JSC    KYRGYZSTAN   
Gold    L’ azurde Company For Jewelry    SAUDI ARABIA   
Gold    Lingbao Gold Company Limited    CHINA   
Gold    Lingbao Jinyuan Tonghui Refinery Co., Ltd.    CHINA   
Gold    LS-NIKKO Copper Inc.    KOREA, REPUBLIC OF    Yes
Gold    Luoyang Zijin Yinhui Gold Refinery Co., Ltd.    CHINA   
Gold    Materion    UNITED STATES    Yes
Gold    Matsuda Sangyo Co., Ltd.    JAPAN    Yes
Gold    Metahub Industries Sdn. Bhd.    MALAYSIA   
Gold    Metalor Technologies (Hong Kong) Ltd.    CHINA    Yes
Gold    Metalor Technologies (Singapore) Pte., Ltd.    SINGAPORE    Yes
Gold    Metalor Technologies (Suzhou) Ltd.    CHINA    In progress
Gold    Metalor Technologies SA    SWITZERLAND    Yes
Gold    Metalor USA Refining Corporation    UNITED STATES    Yes
Gold    METALÚRGICA MET-MEX PEÑOLES, S.A. DE C.V    MEXICO    Yes
Gold    Mitsubishi Materials Corporation    JAPAN    Yes
Gold    Mitsui Mining and Smelting Co., Ltd.    JAPAN    Yes
Gold    MMTC-PAMP India Pvt., Ltd.    INDIA    Yes
Gold    Morris and Watson    NEW ZEALAND   
Gold    Moscow Special Alloys Processing Plant    RUSSIAN FEDERATION    Yes
Gold    Nadir Metal Rafineri San. Ve Tic. A.Ş.    TURKEY    Yes
Gold    Navoi Mining and Metallurgical Combinat    UZBEKISTAN    In progress
Gold    Nihon Material Co., Ltd.    JAPAN    Yes
Gold    Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH    AUSTRIA    Yes
Gold    Ohura Precious Metal Industry Co., Ltd.    JAPAN    Yes
Gold    OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)    RUSSIAN FEDERATION    Yes
Gold    OJSC Kolyma Refinery    RUSSIAN FEDERATION   
Gold    OJSC Novosibirsk Refinery    RUSSIAN FEDERATION    Yes
Gold    PAMP SA    SWITZERLAND    Yes
Gold    Penglai Penggang Gold Industry Co., Ltd.    CHINA   
Gold    Prioksky Plant of Non-Ferrous Metals    RUSSIAN FEDERATION    Yes
Gold    PT Aneka Tambang (Persero) Tbk    INDONESIA    Yes


Gold    PX Précinox SA    SWITZERLAND    Yes
Gold    Rand Refinery (Pty) Ltd.    SOUTH AFRICA    Yes
Gold    Republic Metals Corporation    UNITED STATES    Yes
Gold    Royal Canadian Mint    CANADA    Yes
Gold    Sabin Metal Corp.    UNITED STATES   
Gold    Samduck Precious Metals    KOREA, REPUBLIC OF    In progress
Gold    SAMWON Metals Corp.    KOREA, REPUBLIC OF   
Gold    SAXONIA Edelmetalle GmbH    GERMANY    In progress
Gold    Schone Edelmetaal B.V.    NETHERLANDS    Yes
Gold    SEMPSA Joyería Platería SA    SPAIN    Yes
Gold    Shandong Tiancheng Biological Gold Industrial Co., Ltd.    CHINA   
Gold    Shandong Zhaojin Gold & Silver Refinery Co., Ltd.    CHINA    Yes
Gold    Sichuan Tianze Precious Metals Co., Ltd.    CHINA    Yes
Gold    Singway Technology Co., Ltd.    TAIWAN    Yes
Gold    So Accurate Group, Inc.    UNITED STATES   
Gold    SOE Shyolkovsky Factory of Secondary Precious Metals    RUSSIAN FEDERATION    Yes
Gold    Solar Applied Materials Technology Corp.    TAIWAN    Yes
Gold    Sudan Gold Refinery    SUDAN   
Gold    Sumitomo Metal Mining Co., Ltd.    JAPAN    Yes
Gold    T.C.A S.p.A    ITALY    Yes
Gold    Tanaka Kikinzoku Kogyo K.K.    JAPAN    Yes
Gold    The Refinery of Shandong Gold Mining Co., Ltd.    CHINA    Yes
Gold    Tokuriki Honten Co., Ltd.    JAPAN    Yes
Gold    Tongling Nonferrous Metals Group Co., Ltd.    CHINA   
Gold    Torecom    KOREA, REPUBLIC OF    In progress
Gold    Umicore Brasil Ltda.    BRAZIL    Yes
Gold    Umicore Precious Metals Thailand    THAILAND    Yes
Gold    Umicore SA Business Unit Precious Metals Refining    BELGIUM    Yes
Gold    United Precious Metal Refining, Inc.    UNITED STATES    Yes
Gold    Valcambi SA    SWITZERLAND    Yes
Gold    Western Australian Mint trading as The Perth Mint    AUSTRALIA    Yes
Gold    WIELAND Edelmetalle GmbH    GERMANY    In progress
Gold    Yamamoto Precious Metal Co., Ltd.    JAPAN    Yes
Gold    Yokohama Metal Co., Ltd.    JAPAN    Yes


Gold    Yunnan Copper Industry Co., Ltd.    CHINA   
Gold    Zhongyuan Gold Smelter of Zhongjin Gold Corporation    CHINA    Yes
Gold    Zijin Mining Group Co., Ltd. Gold Refinery    CHINA    Yes
Tantalum    Avon Specialty Metals Ltd    UNITED KINGDOM   
Tantalum    Changsha South Tantalum Niobium Co., Ltd.    CHINA    Yes
Tantalum    Conghua Tantalum and Niobium Smeltry    CHINA    Yes
Tantalum    D Block Metals, LLC    UNITED STATES    Yes
Tantalum    Duoluoshan    CHINA    Yes
Tantalum    Exotech Inc.    UNITED STATES    Yes
Tantalum    F&X Electro-Materials Ltd.    CHINA    Yes
Tantalum    FIR Metals & Resource Ltd.    CHINA    Yes
Tantalum    Global Advanced Metals Aizu    JAPAN    Yes
Tantalum    Global Advanced Metals Boyertown    UNITED STATES    Yes
Tantalum    Guangdong Zhiyuan New Material Co., Ltd.    CHINA    Yes
Tantalum    Guizhou Zhenhua Xinyun Technology Ltd., Kaili branch    CHINA   
Tantalum    H.C. Starck Co., Ltd.    THAILAND    Yes
Tantalum    H.C. Starck GmbH Goslar    GERMANY    Yes
Tantalum    H.C. Starck GmbH Laufenburg    GERMANY    Yes
Tantalum    H.C. Starck Hermsdorf GmbH    GERMANY    Yes
Tantalum    H.C. Starck Inc.    UNITED STATES    Yes
Tantalum    H.C. Starck Ltd.    JAPAN    Yes
Tantalum    H.C. Starck Smelting GmbH & Co.KG    GERMANY    Yes
Tantalum    Hengyang King Xing Lifeng New Materials Co., Ltd.    CHINA    Yes
Tantalum    Hi-Temp Specialty Metals, Inc.    UNITED STATES    Yes
Tantalum    Jiangxi Dinghai Tantalum & Niobium Co., Ltd.    CHINA    Yes
Tantalum    JiuJiang JinXin Nonferrous Metals Co., Ltd.    CHINA    Yes
Tantalum    Jiujiang Tanbre Co., Ltd.    CHINA    Yes
Tantalum    Jiujiang Zhongao Tantalum & Niobium Co., Ltd.    CHINA    Yes
Tantalum    KEMET Blue Metals    MEXICO    Yes
Tantalum    KEMET Blue Powder    UNITED STATES    Yes
Tantalum    King-Tan Tantalum Industry Ltd.    CHINA    Yes
Tantalum    LSM Brasil S.A.    BRAZIL    Yes
Tantalum    Metallurgical Products India Pvt., Ltd.    INDIA    Yes
Tantalum    Mineração Taboca S.A.    BRAZIL    Yes


Tantalum    Mitsui Mining & Smelting    JAPAN    Yes
Tantalum    Molycorp Silmet A.S.    ESTONIA    Yes
Tantalum    Ningxia Orient Tantalum Industry Co., Ltd.    CHINA    Yes
Tantalum    Plansee SE Liezen    AUSTRIA    Yes
Tantalum    Plansee SE Reutte    AUSTRIA    Yes
Tantalum    QuantumClean    UNITED STATES    Yes
Tantalum    Resind Indústria e Comércio Ltda.    BRAZIL    Yes
Tantalum    RFH Tantalum Smeltry Co., Ltd.    CHINA    Yes
Tantalum    Solikamsk Magnesium Works OAO    RUSSIAN FEDERATION    Yes
Tantalum    Taki Chemicals    JAPAN    Yes
Tantalum    Telex Metals    UNITED STATES    Yes
Tantalum    Tranzact, Inc.    UNITED STATES    Yes
Tantalum    Ulba Metallurgical Plant JSC    KAZAKHSTAN    Yes
Tantalum    XinXing HaoRong Electronic Material Co., Ltd.    CHINA    Yes
Tantalum    Yichun Jin Yang Rare Metal Co., Ltd.    CHINA    Yes
Tantalum    Zhuzhou Cemented Carbide    CHINA    Yes
Tin    Alpha    UNITED STATES    Yes
Tin    An Thai Minerals Company Limited    VIET NAM    In progress
Tin    An Vinh Joint Stock Mineral Processing Company    VIET NAM    In progress
Tin    Chenzhou Yun Xiang mining limited liability company    CHINA    In progress
Tin    China Tin Group Co., Ltd.    CHINA    Yes
Tin    CNMC (Guangxi) PGMA Co., Ltd.    CHINA   
Tin    Cooperativa Metalurgica de Rondônia Ltda.    BRAZIL    Yes
Tin    CV Ayi Jaya    INDONESIA    Yes
Tin    CV Dua Sekawan    INDONESIA    In progress
Tin    CV Gita Pesona    INDONESIA    Yes
Tin    CV Serumpun Sebalai    INDONESIA    Yes
Tin    CV United Smelting    INDONESIA    Yes
Tin    CV Venus Inti Perkasa    INDONESIA    Yes
Tin    Dowa    JAPAN    Yes
Tin    Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company    VIET NAM    In progress
Tin    Elmet S.L.U. (Metallo Group)    SPAIN    Yes
Tin    EM Vinto    BOLIVIA    Yes


Tin    Estanho de Rondônia S.A.    BRAZIL   
Tin    Feinhütte Halsbrücke GmbH    GERMANY    In progress
Tin    Fenix Metals    POLAND    Yes
Tin    Gejiu Fengming Metalurgy Chemical Plant    CHINA    In progress
Tin    Gejiu Kai Meng Industry and Trade LLC    CHINA    In progress
Tin    Gejiu Non-Ferrous Metal Processing Co., Ltd.    CHINA    Yes
Tin    Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.    CHINA   
Tin    Gejiu Zili Mining And Metallurgy Co., Ltd.    CHINA   
Tin    HuiChang Hill Tin Industry Co., Ltd.    CHINA    In progress
Tin    Huichang Jinshunda Tin Co., Ltd.    CHINA   
Tin    Jiangxi Ketai Advanced Material Co., Ltd.    CHINA    Yes
Tin    Linwu Xianggui Ore Smelting Co., Ltd.    CHINA   
Tin    Magnu’s Minerais Metais e Ligas Ltda.    BRAZIL    Yes
Tin    Malaysia Smelting Corporation (MSC)    MALAYSIA    Yes
Tin    Melt Metais e Ligas S/A    BRAZIL    Yes
Tin    Metahub Industries Sdn. Bhd.    MALAYSIA   
Tin    Metallic Resources, Inc.    UNITED STATES    Yes
Tin    Metallo-Chimique N.V.    BELGIUM    Yes
Tin    Mineração Taboca S.A.    BRAZIL    Yes
Tin    Minsur    PERU    Yes
Tin    Mitsubishi Materials Corporation    JAPAN    Yes
Tin    Nankang Nanshan Tin Manufactory Co., Ltd.    CHINA   
Tin    Nghe Tinh Non-Ferrous Metals Joint Stock Company    VIET NAM    In progress
Tin    O.M. Manufacturing (Thailand) Co., Ltd.    THAILAND    Yes
Tin    O.M. Manufacturing Philippines, Inc.    PHILIPPINES    Yes
Tin    Operaciones Metalurgical S.A.    BOLIVIA    Yes
Tin    Phoenix Metal Ltd.    RWANDA    In progress
Tin    PT Alam Lestari Kencana    INDONESIA   
Tin    PT Aries Kencana Sejahtera    INDONESIA    Yes
Tin    PT Artha Cipta Langgeng    INDONESIA    Yes
Tin    PT ATD Makmur Mandiri Jaya    INDONESIA    Yes
Tin    PT Babel Inti Perkasa    INDONESIA    Yes
Tin    PT Bangka Kudai Tin    INDONESIA   
Tin    PT Bangka Prima Tin    INDONESIA    Yes


Tin    PT Bangka Timah Utama Sejahtera    INDONESIA   
Tin    PT Bangka Tin Industry    INDONESIA    Yes
Tin    PT Belitung Industri Sejahtera    INDONESIA    Yes
Tin    PT BilliTin Makmur Lestari    INDONESIA    Yes
Tin    PT Bukit Timah    INDONESIA    Yes
Tin    PT Cipta Persada Mulia    INDONESIA    Yes
Tin    PT DS Jaya Abadi    INDONESIA    Yes
Tin    PT Eunindo Usaha Mandiri    INDONESIA    Yes
Tin    PT Fang Di MulTindo    INDONESIA   
Tin    PT Inti Stania Prima    INDONESIA    Yes
Tin    PT Justindo    INDONESIA    Yes
Tin    PT Karimun Mining    INDONESIA    In progress
Tin    PT Mitra Stania Prima    INDONESIA    Yes
Tin    PT Panca Mega Persada    INDONESIA    Yes
Tin    PT Pelat Timah Nusantara Tbk    INDONESIA   
Tin    PT Prima Timah Utama    INDONESIA    Yes
Tin    PT Refined Bangka Tin    INDONESIA    Yes
Tin    PT Sariwiguna Binasentosa    INDONESIA    Yes
Tin    PT Seirama Tin Investment    INDONESIA   
Tin    PT Stanindo Inti Perkasa    INDONESIA    Yes
Tin    PT Sukses Inti Makmur    INDONESIA    Yes
Tin    PT Sumber Jaya Indah    INDONESIA    Yes
Tin    PT Timah (Persero) Tbk Kundur    INDONESIA    Yes
Tin    PT Timah (Persero) Tbk Mentok    INDONESIA    Yes
Tin    PT Tinindo Inter Nusa    INDONESIA    Yes
Tin    PT Tirus Putra Mandiri    INDONESIA   
Tin    PT Tommy Utama    INDONESIA    Yes
Tin    PT Wahana Perkit Jaya    INDONESIA    Yes
Tin    Resind Indústria e Comércio Ltda.    BRAZIL    Yes
Tin    Rui Da Hung    TAIWAN    Yes
Tin    Soft Metais Ltda.    BRAZIL    Yes
Tin    Thaisarco    THAILAND    Yes
Tin    Tuyen Quang Non-Ferrous Metals Joint Stock Company    VIET NAM    In progress
Tin    VQB Mineral and Trading Group JSC    VIET NAM    Yes


Tin    White Solder Metalurgia e Mineração Ltda.    BRAZIL    Yes
Tin    Yunnan Chengfeng Non-ferrous Metals Co., Ltd.    CHINA    In progress
Tin    Yunnan Tin Group (Holding) Company Limited    CHINA    Yes
Tungsten    A.L.M.T. TUNGSTEN Corp.    JAPAN    Yes
Tungsten    ACL Metais Eireli    BRAZIL    In progress
Tungsten    Asia Tungsten Products Vietnam Ltd.    VIET NAM    Yes
Tungsten    Chenzhou Diamond Tungsten Products Co., Ltd.    CHINA    Yes
Tungsten    Chongyi Zhangyuan Tungsten Co., Ltd.    CHINA    Yes
Tungsten    Dayu Jincheng Tungsten Industry Co., Ltd.    CHINA    In progress
Tungsten    Dayu Weiliang Tungsten Co., Ltd.    CHINA    In progress
Tungsten    Fujian Jinxin Tungsten Co., Ltd.    CHINA    Yes
Tungsten    Ganxian Shirui New Material Co., Ltd.    CHINA   
Tungsten    Ganzhou Huaxing Tungsten Products Co., Ltd.    CHINA    Yes
Tungsten    Ganzhou Jiangwu Ferrotungsten Co., Ltd.    CHINA    Yes
Tungsten    Ganzhou Non-ferrous Metals Smelting Co., Ltd.    CHINA    In progress
Tungsten    Ganzhou Seadragon W & Mo Co., Ltd.    CHINA    Yes
Tungsten    Ganzhou Yatai Tungsten Co., Ltd.    CHINA    Yes
Tungsten    Global Tungsten & Powders Corp.    UNITED STATES    Yes
Tungsten    Guangdong Xianglu Tungsten Co., Ltd.    CHINA    Yes
Tungsten    H.C. Starck GmbH    GERMANY    Yes
Tungsten    H.C. Starck Smelting GmbH & Co.KG    GERMANY    Yes
Tungsten    Hunan Chenzhou Mining Co., Ltd.    CHINA    Yes
Tungsten    Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji    CHINA    In progress
Tungsten    Hunan Chuangda Vanadium Tungsten Co., Ltd. Yanglin    CHINA    In progress
Tungsten    Hunan Chunchang Nonferrous Metals Co., Ltd.    CHINA    Yes
Tungsten    Hydrometallurg, JSC    RUSSIAN FEDERATION    Yes
Tungsten    Japan New Metals Co., Ltd.    JAPAN    Yes
Tungsten    Jiangwu H.C. Starck Tungsten Products Co., Ltd.    CHINA    In progress
Tungsten    Jiangxi Dayu Longxintai Tungsten Co., Ltd.    CHINA    In progress
Tungsten    Jiangxi Gan Bei Tungsten Co., Ltd.    CHINA    Yes
Tungsten    Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.    CHINA   
Tungsten    Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.    CHINA    In progress
Tungsten    Jiangxi Xinsheng Tungsten Industry Co., Ltd.    CHINA    In progress
Tungsten    Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.    CHINA    Yes


Tungsten    Jiangxi Yaosheng Tungsten Co., Ltd.    CHINA    In progress
Tungsten    Kennametal Fallon    UNITED STATES    In progress
Tungsten    Kennametal Huntsville    UNITED STATES    Yes
Tungsten    Malipo Haiyu Tungsten Co., Ltd.    CHINA    Yes
Tungsten    Niagara Refining LLC    UNITED STATES    Yes
Tungsten    Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC    VIET NAM    Yes
Tungsten    Pobedit, JSC    RUSSIAN FEDERATION    In progress
Tungsten    Sanher Tungsten Vietnam Co., Ltd.    VIET NAM    In progress
Tungsten    Tejing (Vietnam) Tungsten Co., Ltd.    VIET NAM    Yes
Tungsten    Vietnam Youngsun Tungsten Industry Co., Ltd.    VIET NAM    Yes
Tungsten    Wolfram Bergbau und Hütten AG    AUSTRIA    Yes
Tungsten    Xiamen Tungsten (H.C.) Co., Ltd.    CHINA    Yes
Tungsten    Xiamen Tungsten Co., Ltd.    CHINA    Yes
Tungsten    Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.    CHINA    In progress
Tungsten    Xinhai Rendan Shaoguan Tungsten Co., Ltd.    CHINA    Yes


Harman International Industries, Incorporated

Conflict Minerals Report

For The Year Ended December 31, 2015

Schedule 2

Publicly available information on countries of origin for the smelters listed in Schedule 1 are included here.

 

Angola

  Laos

Argentina

  Luxembourg

Australia

  Madagascar

Austria

  Malaysia

Belgium

  Mongolia

Bolivia

  Mozambique

Brazil

  Myanmar

Burundi

  Namibia

Cambodia

  Netherlands

Canada

  Nigeria

Central African Republic

  Peru

Chile

  Portugal

China

  Republic of Congo

Colombia

  Russia

Cote D’Ivoire

  Rwanda

Czech Republic

  Sierra Leone

Democratic Republic of Congo

  Singapore

Djibouti

  Slovakia

Ecuador

  South Africa

Egypt

  South Korea

Estonia

  South Sudan

Ethiopia

  Spain

France

  Suriname

Germany

  Switzerland

Guyana

  Taiwan

Hungary

  Tanzania

India

  Thailand

Indonesia

  Uganda

Ireland

  United Kingdom

Israel

  United States

Japan

  Vietnam

Kazakhstan

  Zambia

Kenya

  Zimbabwe