EX-1.01 2 tm2021270d1_ex1-01.htm EXHIBIT 10.1

 

Exhibit 1.01

 

Amphenol Corporation

Conflict Minerals Report

For The Year Ended December 31, 2019

 

This report (this “Conflict Minerals Report”) for the year ended December 31, 2019 is presented to comply with Rule 13p-1 under the Securities Exchange Act of 1934, as amended, and Form SD (collectively, the “Rule”). The Rule was adopted by the Securities and Exchange Commission (the “SEC”) to implement reporting and disclosure requirements related to certain minerals as directed by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the “Dodd-Frank Act”). The Rule imposes certain reporting obligations on SEC registrants, like Amphenol Corporation (together with its subsidiaries, the “Company”, “Amphenol” “us” or “we”), whose manufactured products contain certain minerals or their derivatives which are necessary to the functionality or production of their products. These minerals include cassiterite, columbite-tantalite, gold, wolframite, and their derivatives, which are limited to tin, tantalum, tungsten, and gold (“3TG” or “conflict minerals”) for the purposes of this assessment. These reporting obligations apply to registrants regardless of the geographic origin of the 3TG and whether or not they fund armed conflict in the Democratic Republic of the Congo (the “DRC”) or an adjoining country (together with the DRC, the “Covered Countries” or the “Conflict Region”).

 

This Conflict Minerals Report is not audited.

 

This Conflict Minerals Report has been prepared by management of the Company. The information includes the activities of all majority-owned subsidiaries.

 

1.Company Overview

 

Amphenol is one of the world’s largest designers, manufacturers and marketers of electrical, electronic and fiber optic connectors, and interconnect systems, antennas, sensors and sensor-based products and coaxial and high-speed specialty cable. Amphenol designs, manufactures and assembles its products at facilities in the Americas, Europe, Asia, Australia and Africa and sells its products through its own global sales force, independent representatives and a global network of electronics distributors. Amphenol has a diversified presence as a leader in certain markets including: automotive, broadband communications, commercial aerospace, industrial, information technology and data communications, military, mobile devices and mobile networks. Amphenol Corporation was incorporated in Delaware in 1986, but certain businesses now part of the Company have had operations since prior to 1900. Our principal executive offices are located at 358 Hall Avenue, Wallingford, Connecticut, 06492.

 

2.Conflict Minerals Philosophy and Guidelines

 

Our initial conflict minerals policy was crafted in 2010. The key principles guiding the Company’s conflict minerals philosophy and the guidelines pursuant to which the Company’s current conflict minerals program was established are expressed in two documents as modified and updated from time-to-time: (i) the Product Stewardship Policy — Conflict Minerals; and (ii) The Amphenol Corporation Code of Business Conduct and Ethics. Text from the relevant portions of these documents is set forth below:

 

(a)Product Stewardship Policy — Conflict Minerals

 

PURPOSE

 

To outline Amphenol Corporation’s practices regarding the sourcing of Conflict Minerals as well as the verification of such practices.

 

SCOPE

 

This policy applies to all employees of Amphenol Corporation (“Amphenol” or the “Company”) and its subsidiaries and affiliates. Amphenol will, as far as it is reasonably practicable, ensure that the Company’s activities, and those of its suppliers and sub-contractors, will comply with this policy.

 

 

 

 

POLICY

 

Amphenol is committed to implementing programs and practices that promote environmental sustainability and social responsibility, while continually improving product quality and reliability. To that end, Amphenol is committed to ensuring its products are “DRC conflict-free”, that is, they do not contain metals derived from “conflict minerals” - columbite-tantalite (tantalum), cassiterite (tin), gold, wolframite (tungsten) - which directly or indirectly finance or benefit armed groups through mining or mineral trading in the Democratic Republic of the Congo (DRC) or an adjoining country.

 

In carrying out this policy, Amphenol will implement programs and practices that, wherever practicable:

 

preclude the sourcing of conflict minerals from facilities in the DRC or adjoining countries that have not been certified as conflict-free

 

ensure that its suppliers have procedures in place to demonstrate and verify continuing conformance to this principle

 

audit its suppliers for the continued accuracy of those verifications

 

maintain records of verifications for both internal and/or external audit

 

assign internal roles and responsibilities and provide appropriate staff training to manage program

 

communicate the Company’s efforts to stakeholders

 

All Amphenol managers, employees, partners and suppliers are expected to adhere to the spirit as well as the letter of this policy.

 

IMPLEMENTATION

 

The senior executive responsible for each local operating unit is ultimately responsible for stewardship of the products made there and shall:

 

provide appropriate staffing and assign internal roles and responsibilities to manage the Product Stewardship — Conflict Minerals Program

 

maintain an awareness of and familiarity with regional, national and multi-national (e.g., European Union) statutes, regulations, directives and criteria applicable to the operation

 

develop and implement programs and procedures necessary to carry out this policy, addressing existing and new product lines

 

provide training to all affected employees of the requirements of this policy and the implementation of its programs and procedures. In particular, those personnel who interface with Amphenol’s customers (e.g., sales and marketing, product designers, quality assurance staff) should be familiar with all material aspects of this program

 

maintain an adequate, verifiable database, consistent with the products being manufactured at a local operating unit, to facilitate transfer of information to customers and other stakeholders

 

The Company reserves the right to unilaterally terminate, suspend or amend this policy at any time.

 

 

 

 

(b)Section 12 of the Amphenol Corporation Code of Business Conduct and Ethics reads as follows:

CONFLICT MINERALS

  

The ores from which gold, tantalum, tin and tungsten are derived, that come from the Democratic Republic of the Congo and adjoining nearby countries (including Angola, Burundi, Central African Republic, The Republic of the Congo, Rwanda, South Sudan, Tanzania, Uganda, and Zambia), which support the on-going conflicts in that region, are referred to herein as Conflict Minerals. It is believed that the proceeds of mining Conflict Minerals may contribute to armed conflict and human rights abuses. In support of initiatives to cut financing for this armed conflict and human rights abuses and in compliance with the regulations applicable to publicly traded companies, Amphenol has implemented programs and practices that are intended to:

 

Confirm with reasonable certainty that the gold, tantalum, tin and tungsten purchased from suppliers and used in its products are not derived from Conflict Minerals

 

Maintain, as necessary and appropriate, records of supplier verifications for both internal and/or external audit

 

Assign internal roles and responsibilities and provide appropriate staff training to manage these programs and practices

 

Communicate the Company’s efforts, as necessary and appropriate, to stakeholders

 

3.Commitment

 

We have developed a process and implemented a strategy to support the objectives of the Rule and our policy. Our commitment includes:

 

Developing policies and processes toward precluding the use of 3TG necessary to the functionality or production of our product(s) that finance or benefit armed groups in the Conflict Region.

 

Encouraging suppliers whose products contain 3TG to establish policies, due diligence frameworks, and management systems consistent with 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 that are designed to accomplish these goals, and requiring their suppliers to do the same.

 

Amphenol believes in establishing and maintaining long-term relationships with suppliers whenever possible. However, if we determine that any supplier is, or a reasonable risk exists that such supplier may be, violating this policy, we will require the supplier to commit to, devise and undertake suitable corrective action to move to a conflict-free source. If suitable action is not taken, we will look to alternative sources for the product. Amphenol’s efforts are not to ban procurement of 3TG from the DRC and adjoining countries, but to assure 3TG procurement from responsible sources in the region. If we determine that any of the components of our products contain 3TG from a mine or facility in the Conflict Region that is not conflict-free, we will work towards transitioning to components and materials that are conflict-free.

 

In 2019, we completed the Company-wide implementation of the Gensuite software to enhance our ability to capture and analyze relevant information regarding our 3TG supply chain. In 2020, we will further refine our capabilities with Gensuite by conducting advanced training with our reporting operations and updating data acceptance criteria within the software platform. Furthermore, in 2020 we will conduct an inaugural supply-chain assessment for cobalt.

 

4.Supply Chain Overview

 

Amphenol has a complex, broad and dynamic supply chain. In many cases, the presence of 3TG in our supply chain is obvious, particularly in the case of raw materials. Nevertheless, we performed a comprehensive analysis of our product components and raw materials, and the role our suppliers serve in both our manufacturing and product delivery processes. Through this analysis we determined that many contain 3TG, triggering obligations under the Rule. We also determined that 3TG is a small portion of overall materials content. We don’t source directly from mines, smelters or refiners. Rather, in almost all cases we are many levels removed from the mines, smelters or refiners.

 

 

 

 

5.Reasonable Country of Origin Inquiry and Due Diligence

 

Subsequent to its supply chain overview, the Company sought to determine whether its necessary 3TG originated in the Covered Countries. Amphenol’s primary methodology to achieve this objective is to rely upon our direct and sub-tier suppliers to provide information on the origin of the 3TG contained in components and materials supplied to us.

 

We reached out to our suppliers that provide components or materials that are likely to contain 3TG. Initially we conducted supplier training designed to educate certain key suppliers regarding the relevant, emerging SEC requirements and Amphenol’s expectations. We launched our conflict minerals communication survey to key suppliers in 2012. By 2014, our reasonable country of origin inquiry process had expanded such that we sought to reach all suppliers of components or materials containing 3TG in that year. This extensive process continued through 2019.

 

We aim to further develop transparency into our supply chain through our supply chain reasonable country of origin inquiry and due diligence processes, driving accountability within the supply chain by leveraging our compliance program, and continuing our supplier outreach efforts.

 

6.Process

 

(a)Design of Our Conflict Minerals Program and Description of the Investigative Process

 

Our conflict minerals compliance program together with our related investigative processes and efforts have been developed in conjunction with reference to the 3rd edition of the 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.

 

Our conflict minerals compliance process included: the development of a Conflict Minerals Policy, establishment of governance structures with cross functional team members and senior executives, communication to, and engagement of, suppliers, due diligence compliance process and measurement, record keeping and escalation procedures. The measures discussed below are not all of the measures we took in furtherance of our conflict minerals compliance program or pursuant to the Rule and the OECD Guidance. In addition, some of the measures discussed below are not expressly provided for in the OECD Guidance.

 

(b)Internal Team

 

Amphenol has established a management system for complying with the Rule and implementing our compliance program. This management system operates within the Company’s Corporate Sustainability Group and is currently led by our Director of Corporate Environmental, Health, Safety & Sustainability (EHSS) and includes a team of subject matter experts from relevant functions such as, legal, purchasing, quality assurance, corporate sustainability programs, manufacturing and environmental health and safety. The Director of Corporate EHSS acts as the conflict minerals program manager. Senior management is briefed about the process and results on a regular basis.

 

(c)Management Systems and Policies

 

As described above, Amphenol has included a provision in the Amphenol Corporation Code of Business Conduct and Ethics regarding Conflict Minerals. This provision is cited above and is also posted on our website at: www.amphenol.com, and can be found by clicking on “Investors”, “Corporate Governance”, “Governance Documents” and then “Code of Business Conduct and Ethics” and at https://s22.q4cdn.com/733286966/files/doc_downloads/governance_documents/conduct.pdf . The Product Stewardship Policy — Conflict Minerals also governs our conflict minerals approach. The information contained on our website is not incorporated by reference into this Conflict Minerals Report or our Form SD and should not be considered part of this Conflict Minerals Report or the Form SD.

 

(d)Reasonable Country of Origin Inquiry

 

Amphenol has a decentralized management structure designed to encourage local accountability and responsibility for management responsibilities. Pursuant to this structure, each local operating unit reports into a group management structure particular to a certain product line or market focus. In 2019, there were seven such operating groups, each led by a Group General Manager who reports to our Chief Executive Officer.

 

Each individual operating unit in the Company evaluated its product lines to determine whether it manufactured or contracted to manufacture products for which 3TG are necessary to functionality or production. Then, with respect to the related procurement of materials or components containing 3TG, each individual operating unit conducted its own reasonable country of origin inquiry (“RCOI”). Thus, each operating unit identified its suppliers, narrowed the group of relevant suppliers to those providing materials or supplies that could potentially contain 3TG, and then, utilizing the Gensuite platform and service, interfaced with those suppliers to conduct a RCOI. To assist with completion of this task, management and key product stewardship personnel of each of these groups were given RCOI materials prepared with reference to the OECD Guidance and we held internal training sessions delivered by the internal team regarding our RCOI process.

 

 

 

 

The operating units conducted outreach, training, and an extensive surveying project of our supply chain utilizing the Conflict Minerals Reporting Template (CMRT). Each operating unit reported the results of its surveying project to group management. Group management then provided certificates to Amphenol headquarters with the results of their inquiries.

 

The supplier responses to our RCOI have been electronically archived. The operating units collectively identified 32,320 vendor identification codes, some of which are likely duplicative given the Company’s decentralized management structure. Of these, they determined 6,275 to potentially be within the scope of our RCOI. Of these 6,275 suppliers potentially within the scope of the RCOI, the Company sent 6,873 requests for information and received 3,854 responses to our requests for information. Each local operating unit relied on these supplier’s responses to provide us with information about the source of 3TG contained in the components supplied to us. Many of our direct suppliers are similarly reliant upon information provided by their suppliers.

 

(e)Escalation Procedure

 

Our operating units have procedures to follow-up to identify and escalate any identified issues associated with non-responsiveness or problematic responses to our RCOI.

 

(f)Maintain Records

 

Amphenol has established our compliance process and set forth documentation and record maintenance mechanisms to ensure the retaining of relevant documentation in an electronic database.

 

(g)Due Diligence

 

Amphenol’s due diligence efforts are not conducted at the operating unit level, but rather are conducted by headquarters representatives.

 

7.Results of RCOI and Due Diligence

 

Feedback from the processes described herein has allowed us to render the conclusions in this Conflict Minerals Report.

 

Through its good faith RCOI, and subsequent due diligence efforts, Amphenol has no reason to believe any of the 3TG necessary to the functionality or production of its products is financing or benefiting armed conflict in the DRC or its adjoining countries, but is not able to conclude with certainty that all of the products we sell that contain 3TG are conflict-free. We have reached this conclusion because we have been unable to determine the origin of at least a portion of the 3TG used in some of our products. Based on data gathered by our RCOI, certain information about smelters/refiners and countries of origin in our supply chain is listed in Annexes I and II.

 

In the course of our RCOI and related due diligence, Amphenol has determined that certain elements of our supply chain originate in the Conflict Region. These findings were escalated in compliance with our due diligence escalation procedure. Through this process we learned that a portion of our feedstock and component materials contained gold, tantalum or tin which originated from the Conflict Region. Through diligence and further inquiry, we concluded that KEMET Blue Metals, Malaysia Smelting Corporation, Thaisarco and Luna Smelter, Ltd., have been audited and conform to the Responsible Minerals Initiative’s Responsible Minerals Assurance Process (RMAP). African Gold Refinery is an eligible gold refiner engaged in the RMAP, but has not yet been audited.

 

8.Due Diligence Risk Mitigation and Maturation

 

As we move towards enhancing our due diligence program, we intend to continue to mitigate possible risk that the necessary 3TG in our products could benefit armed groups in the Conflict Region. In furtherance of this goal, the Company has continued to increase the resources committed to supply chain due diligence efforts. We strive to enhance supplier communication, engage with certain suppliers to build supplier capability for conflict minerals supply chain traceability, and communicate training and escalation processes to improve due diligence data accuracy and completion. To the extent we were to discover that any of our suppliers are sourcing from smelters or refiners that support conflict, Amphenol will work toward using alternate sources within a reasonable time frame.

 

 

 

 

 

9.Identify and Assess Risk in the Supply Chain

 

Because of our size, the breadth and complexity of the raw materials and components used in our products, and the constant evolution of our supply chain, identifying actors upstream from our direct suppliers is a challenge. The Company will continue to seek to identify cost effective methodologies and to monitor practices used by other companies and industry associations to enhance visibility to subsequent tiers of the supply chain.

 

10.Audit of Supply Chain Due Diligence

 

Amphenol does not have a direct relationship with 3TG smelters and refiners, nor do we perform direct audits of these entities that provide our supply chain the 3TG. However, we do utilize information made available by and rely upon industry efforts to influence smelters and refineries to become audited and compliant through the Responsible Minerals Initiative’s Responsible Minerals Assurance Process, of which Amphenol is a member company.

 

 

 

 

ANNEX I

 

Smelters or Refiners (SOR) in Amphenol Corporation’s Supply Chain as of December 31, 2019 based on our RCOI

 

The SORs represent validated facilities in which conflict minerals may be processed into 3TG necessary to the functionality or production of Amphenol products.

 

Mineral   Smelter or Refiner Name  Smelter or Refiner
Country Location
Gold   Advanced Chemical Company  United States
Gold   African Gold Refinery  Uganda
Gold   Aida Chemical Industries Co., Ltd.  Japan
Gold   Al Etihad Gold Refinery DMCC  United Arab Emirates
Gold   Al Ghaith Gold  United Arab Emirates
Gold   Allgemeine Gold-und Silberscheideanstalt A.G.  Germany
Gold   Almalyk Mining and Metallurgical Complex (AMMC)  Uzbekistan
Gold   AngloGold Ashanti Corrego do Sitio Mineracao  Brazil
Gold   Argor-Heraeus S.A.  Switzerland
Gold   ARY Aurum Plus  United Arab Emirates
Gold   Asahi Pretec Corp.  Japan
Gold   Asahi Refining Canada Ltd.  Canada
Gold   Asahi Refining USA Inc.  United States
Gold   Asaka Riken Co., Ltd.  Japan
Gold   Atasay Kuyumculuk Sanayi Ve Ticaret A.S.  Turkey
Gold   AU Traders and Refiners  South Africa
Gold   Aurubis AG  Germany
Gold   Bangalore Refinery  India
Gold   Bangko Sentral ng Pilipinas (Central Bank of the Philippines)  Philippines
Gold   Boliden AB  Sweden
Gold   C. Hafner GmbH + Co. KG  Germany
Gold   Caridad  Mexico
Gold   CCR Refinery - Glencore Canada Corporation  Canada
Gold   Cendres + Metaux S.A.  Switzerland
Gold   CGR Metalloys Pvt Ltd.  India
Gold   Chimet S.p.A.  Italy
Gold   Chugai Mining  Japan
Gold   Colonial Metals, Inc.  United States
Gold   Daye Non-Ferrous Metals Mining Ltd.  China
Gold   Degussa Sonne / Mond Goldhandel GmbH  Germany
Gold   Dijllah Gold Refinery FZC  United Arab Emirates
Gold   DODUCO Contacts and Refining GmbH  Germany
Gold   Dowa  Japan
Gold   DS PRETECH Co., Ltd.  Republic of Korea
Gold   DSC (Do Sung Corporation)  Republic of Korea
Gold   Eco-System Recycling Co., Ltd. East Plant  Japan
Gold   Emirates Gold DMCC  United Arab Emirates
Gold   Fidelity Printers and Refiners Ltd.  Zimbabwe
Gold   Fujairah Gold FZC  United Arab Emirates
Gold   GCC Gujrat Gold Centre Pvt. Ltd.  India
Gold   Geib Refining Corporation  United States
Gold   Gold Coast Refinery  Ghana
Gold   Gold Refinery of Zijin Mining Group Co., Ltd.  China
Gold   Great Wall Precious Metals Co., Ltd. of CBPM  China
Gold   Guangdong Hua Jian Trade Co., Ltd.  China
Gold   Guangdong Jinding Gold Limited  China
Gold   Guangdong Jinxian Gaoxin Cai Liao Gong Si  China

 

 

 

 

Gold   Guoda Safina High-Tech Environmental Refinery Co., Ltd.  China
Gold   Hang Seng Technology  China
Gold   Hangzhou Fuchunjiang Smelting Co., Ltd.  China
Gold   Heimerle + Meule GmbH  Germany
Gold   Henan Yuguang Gold & Lead Co., Ltd.  China
Gold   Heraeus Metals Hong Kong Ltd.  China
Gold   Heraeus Precious Metals GmbH & Co. KG  Germany
Gold   Hetai Gold Mineral Guangdong Co., Ltd.  China
Gold   Hunan Chenzhou Mining Co., Ltd.  China
Gold   Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd.  China
Gold   Hung Cheong Metal Manufacturing Limited  China
Gold   HwaSeong CJ CO., LTD.  Republic of Korea
Gold   Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.  China
Gold   International Precious Metal Refiners  United Arab Emirates
Gold   Ishifuku Metal Industry Co., Ltd.  Japan
Gold   Istanbul Gold Refinery  Turkey
Gold   Italpreziosi  Italy
Gold   Japan Mint  Japan
Gold   Jiangxi Copper Co., Ltd.  China
Gold   Jin Jinyin Refining Co., Ltd.  China
Gold   Jinlong Copper Co., Ltd.  China
Gold   JSC Ekaterinburg Non-Ferrous Metal Processing Plant  Russian Federation
Gold   JSC Uralelectromed  Russian Federation
Gold   JX Nippon Mining & Metals Co., Ltd.  Japan
Gold   Kaloti Precious Metals  United Arab Emirates
Gold   Kazakhmys Smelting LLC  Kazakhstan
Gold   Kazzinc  Kazakhstan
Gold   Kennecott Utah Copper LLC  United States
Gold   KGHM Polska Miedz Spolka Akcyjna  Poland
Gold   Kojima Chemicals Co., Ltd.  Japan
Gold   Korea Zinc Co., Ltd.  Republic of Korea
Gold   Kosak Seiren  Japan
Gold   Kyrgyzaltyn JSC  Kyrgyzstan
Gold   Kyshtym Copper-Electrolytic Plant ZAO  Russian Federation
Gold   L'azurde Company For Jewelry  Saudi Arabia
Gold   Lingbao Gold Co., Ltd.  China
Gold   Lingbao Jinyuan Tonghui Refinery Co., Ltd.  China
Gold   L'Orfebre S.A.  Andorra
Gold   LS-NIKKO Copper Inc.  Republic of Korea
Gold   LT Metal Ltd.  Republic of Korea
Gold   Luoyang Zijin Yinhui Gold Refinery Co., Ltd.  China
Gold   Marsam Metals  Brazil
Gold   Materion  United States
Gold   Matsuda Sangyo Co., Ltd.  Japan
Gold   Metalor Technologies (Hong Kong) Ltd.  China
Gold   Metalor Technologies (Singapore) Pte., Ltd.  Singapore
Gold   Metalor Technologies (Suzhou) Ltd.  China
Gold   Metalor Technologies S.A.  Switzerland
Gold   Metalor USA Refining Corporation  United States

 

 

 

 

Gold   Metalurgica Met-Mex Penoles S.A. De C.V.  Mexico
Gold   Mitsubishi Materials Corporation  Japan
Gold   Mitsui Mining and Smelting Co., Ltd.  Japan
Gold   MMTC-PAMP India Pvt., Ltd.  India
Gold   Modeltech Sdn Bhd  Malaysia
Gold   Morris and Watson  New Zealand
Gold   Moscow Special Alloys Processing Plant  Russian Federation
Gold   Nadir Metal Rafineri San. Ve Tic. A.S.  Turkey
Gold   Nantong Yuan Electronic Material Co., Ltd.  China
Gold   Navoi Mining and Metallurgical Combinat  Uzbekistan
Gold   NH Recytech Company  Republic of Korea
Gold   Nihon Material Co., Ltd.  Japan
Gold   Nihon Superior Co., Ltd.  Japan
Gold   Nyrstar Metals  United States
Gold   Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH  Austria
Gold   Ohura Precious Metal Industry Co., Ltd.  Japan
Gold   OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)  Russian Federation
Gold   OJSC Novosibirsk Refinery  Russian Federation
Gold   PAMP S.A.  Switzerland
Gold   Pease & Curren  United States
Gold   Penglai Penggang Gold Industry Co., Ltd.  China
Gold   Planta Recuperadora de Metales SpA  Chile
Gold   Precious Metals Sales Corp.  United States
Gold   Prioksky Plant of Non-Ferrous Metals  Russian Federation
Gold   PT Aneka Tambang (Persero) Tbk  Indonesia
Gold   PX Precinox S.A.  Switzerland
Gold   QG Refining, LLC  United States
Gold   Rand Refinery (Pty) Ltd.  South Africa
Gold   Refinery of Seemine Gold Co., Ltd.  China
Gold   REMONDIS PMR B.V.  Netherlands
Gold   Royal Canadian Mint  Canada
Gold   SAAMP  France
Gold   Sabin Metal Corp.  United States
Gold   SAFINA A.S.  Czech Republic
Gold   Sai Refinery  India
Gold   Samduck Precious Metals  Republic of Korea
Gold   Samwon Metals Corp.  Republic of Korea
Gold   SAXONIA Edelmetalle GmbH  Germany
Gold   SEMPSA Joyeria Plateria S.A.  Spain
Gold   Shan Dong Huangjin  China
Gold   Shan Tou Shi Yong Yuan Jin Shu Zai Sheng Co., Ltd.  China
Gold   Shandong Hengbang Smelter Co., Ltd.  China
Gold   Shandong Humon Smelting Co., Ltd.  China
Gold   Shandong Middlings Jinye Group Co., Ltd.  China
Gold   Shandong Tiancheng Biological Gold Industrial Co., Ltd.  China
Gold   Shandong Yanggu Xiangguang Co., Ltd.  China
Gold   Shandong Zhaojin Gold & Silver Refinery Co., Ltd.  China
Gold   Shenzhen Heng Zhong Industry Co., Ltd.  China
Gold   Shenzhen Zhonghenglong Real Industry Co., Ltd.  China
Gold   Sichuan Tianze Precious Metals Co., Ltd.  China

 

 

 

 

 

Gold     Singway Technology Co., Ltd.   Taiwan
Gold     Sino-Platinum Metals Co., Ltd.   China
Gold     SOE Shyolkovsky Factory of Secondary Precious Metals   Russian Federation
Gold     Solar Applied Materials Technology Corp.   Taiwan
Gold     Sovereign Metals   India
Gold     State Research Institute Center for Physical Sciences and Technology   Lithuania
Gold     Sudan Gold Refinery   Sudan
Gold     Sumitomo Metal Mining Co., Ltd.   Japan
Gold     Sundwiger Messingwerk GmbH & Co.KG   Germany
Gold     SungEel HiMetal Co., Ltd.   Republic of Korea
Gold     Super Dragon Technology Co., Ltd.   China
Gold     T.C.A S.p.A   Italy
Gold     Tanaka Kikinzoku Kogyo K.K.   Japan
Gold     The Refinery of Shandong Gold Mining Co., Ltd.   China
Gold     Tokuriki Honten Co., Ltd.   Japan
Gold     Tongling Nonferrous Metals Group Co., Ltd.   China
Gold     Tony Goetz NV   Belgium
Gold     TOO Tau-Ken-Altyn   Kazakhstan
Gold     Torecom   Republic of Korea
Gold     Umicore Brasil Ltda.   Brazil
Gold     Umicore Precious Metals Thailand   Thailand
Gold     Umicore S.A. Business Unit Precious Metals Refining   Belgium
Gold     United Precious Metal Refining, Inc.   United States
Gold     Valcambi S.A.   Switzerland
Gold     Viagra Di precious metals (Zhaoyuan) Co., Ltd.   China
Gold     WAM Technologies Taiwan Co.,Ltd.   Taiwan
Gold     Western Australian Mint (T/a The Perth Mint)   Australia
Gold     WIELAND Edelmetalle GmbH   Germany
Gold     Wuzhong Group   China
Gold     Xiamen Honglu Tungsten Molybdenum Co., Ltd.   China
Gold     Yamakin Co., Ltd.   Japan
Gold     Yamamoto Precious Metal Co., Ltd.   Japan
Gold     Yokohama Metal Co., Ltd.   Japan
Gold     Yunnan Copper Industry Co., Ltd.   China
Gold     Zhaojinlifunoble metal (yantai) co.,LTD.   China
Gold     Zhe Jiang Guang Yuan Noble Metal Smelting Factory   China
Gold     Zhongkuang Gold Industry Co., Ltd.   China
Gold     Zhongshan Hyper-Toxic Substance Monopolized Co., Ltd.   China
Gold     Zhongshan Poison Material Proprietary Co., Ltd.   China
Gold     Zhongyuan Gold Smelter of Zhongjin Gold Corporation   China
Gold     Zhuhai toxic materials Monopoly Ltd.   China
Gold     Zhuzhou Smelting Group Co., Ltd   China
Tantalum     Asaka Riken Co., Ltd.   Japan
Tantalum     Changsha South Tantalum Niobium Co., Ltd.   China
Tantalum     CP Metals Inc.   United States
Tantalum     D Block Metals, LLC   United States
Tantalum     Exotech Inc.   United States
Tantalum     F&X Electro-Materials Ltd.   China
Tantalum     FIR Metals & Resource Ltd.   China

 

 

 

 

Tantalum     Global Advanced Metals Aizu   Japan
Tantalum     Global Advanced Metals Boyertown   United States
Tantalum     Guangdong Zhiyuan New Material Co., Ltd.   China
Tantalum     H.C. Starck Co., Ltd.   Thailand
Tantalum     H.C. Starck Hermsdorf GmbH   Germany
Tantalum     H.C. Starck Inc.   United States
Tantalum     H.C. Starck Ltd.   Japan
Tantalum     H.C. Starck Smelting GmbH & Co. KG   Germany
Tantalum     H.C. Starck Tantalum and Niobium GmbH   Germany
Tantalum     Hengyang King Xing Lifeng New Materials Co., Ltd.   China
Tantalum     Jiangxi Dinghai Tantalum & Niobium Co., Ltd.   China
Tantalum     Jiangxi Tuohong New Raw Material   China
Tantalum     JiuJiang JinXin Nonferrous Metals Co., Ltd.   China
Tantalum     Jiujiang Tanbre Co., Ltd.   China
Tantalum     Jiujiang Zhongao Tantalum & Niobium Co., Ltd.   China
Tantalum     KEMET Blue Metals   Mexico
Tantalum     LSM Brasil S.A.   Brazil
Tantalum     Metallurgical Products India Pvt., Ltd.   India
Tantalum     Mineracao Taboca S.A.   Brazil
Tantalum     Mitsui Mining and Smelting Co., Ltd.   Japan
Tantalum     Ningxia Orient Tantalum Industry Co., Ltd.   China
Tantalum     NPM Silmet AS   Estonia
Tantalum     Power Resources Ltd.   Macedonia
Tantalum     QuantumClean   United States
Tantalum     Resind Industria e Comercio Ltda.   Brazil
Tantalum     Solikamsk Magnesium Works OAO   Russian Federation
Tantalum     Taki Chemical Co., Ltd.   Japan
Tantalum     Telex Metals   United States
Tantalum     Ulba Metallurgical Plant JSC   Kazakhstan
Tantalum     XinXing HaoRong Electronic Material Co., Ltd.   China
Tantalum     Yanling Jincheng Tantalum & Niobium Co., Ltd.   China
Tin     ABC Refinery Pty Ltd.   Australia
Tin     Alpha   United States
Tin     An Vinh Joint Stock Mineral Processing Company   Vietnam
Tin     Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.   China
Tin     Chifeng Dajingzi Tin Industry Co., Ltd.   China
Tin     China Tin Group Co., Ltd.   China
Tin     Dongguan CiEXPO Environmental Engineering Co., Ltd.   China
Tin     Dongguan City Xida Soldering Tin Products Co.   China
Tin     Dowa   Japan
Tin     Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company   Vietnam
Tin     EM Vinto   Bolivia
Tin     Estanho de Rondonia S.A.   Brazil
Tin     Fenix Metals   Poland
Tin     Fuji Metal Mining Corp.   Japan
Tin     Fujian Jinxin Tungsten Co., Ltd.   China
Tin     Gejiu City Fuxiang Industry and Trade Co., Ltd.   China
Tin     Gejiu Kai Meng Industry and Trade LLC   China
Tin     Gejiu Non-Ferrous Metal Processing Co., Ltd.   China
Tin     Gejiu Yunxi Group Corp.   China

 

 

 

 

Tin     Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.   China
Tin     Gejiu Zili Mining And Metallurgy Co., Ltd.   China
Tin     Guangdong Hanhe Non-Ferrous Metal Co., Ltd.   China
Tin     Guangxi Hua Tin Gold Minute Fee, LTD.   China
Tin     Guangxi Nonferrous Metals Group   China
Tin     Guangxi Zhongshan Jin Yi Smelting Co., Ltd.   China
Tin     Guanyang Guida Nonferrous Metal Smelting Plant   China
Tin     Hezhou Jinwei Tin Co., Ltd.   China
Tin     Hongqiao Metals (Kunshan) Co., Ltd.   China
Tin     HuiChang Hill Tin Industry Co., Ltd.   China
Tin     Huichang Jinshunda Tin Co., Ltd.   China
Tin     Jian De City Hengshan Tungsten Industry   China
Tin     Jiangxi New Nanshan Technology Ltd.   China
Tin     Jiangxi Yaosheng Tungsten Co., Ltd.   China
Tin     Ju Tai Industrial Co., Ltd.   China
Tin     Lian Jing   China
Tin     Luna Smelter, Ltd.   Rwanda
Tin     M/S ECO Tropical Resources   Singapore
Tin     Ma An Shan Shu Guang Smelter Corp.   China
Tin     Ma'anshan Weitai Tin Co., Ltd.   China
Tin     Magnu's Minerais Metais e Ligas Ltda.   Brazil
Tin     Malaysia Smelting Corporation (MSC)   Malaysia
Tin     Materials Eco-Refining Co., Ltd.   Japan
Tin     Melt Metais e Ligas S.A.   Brazil
Tin     Metahub Industries Sdn. Bhd.   Malaysia
Tin     Metallic Resources, Inc.   United States
Tin     Metallo Belgium N.V.   Belgium
Tin     Metallo Spain S.L.U.   Spain
Tin     Metallum Group Holding NV   Belgium
Tin     Minchali Metal Industry Co., Ltd.   Taiwan
Tin     Mineracao Taboca S.A.   Brazil
Tin     Ming Li Jia smelt Metal Factory   China
Tin     Minsur   Peru
Tin     Mitsubishi Materials Corporation   Japan
Tin     Modeltech Sdn Bhd   Malaysia
Tin     New Original metal(China) Co.,LTD   China
Tin     Nghe Tinh Non-Ferrous Metals Joint Stock Company   Vietnam
Tin     Niihama Nickel Refinery   Vietnam
Tin     O.M. Manufacturing (Thailand) Co., Ltd.   Thailand
Tin     O.M. Manufacturing Philippines, Inc.   Philippines
Tin     Okuno New Technology Industries (Hangzhou)Co.,Ltd   China
Tin     Operaciones Metalurgicas S.A.   Bolivia
Tin     PAMP SA   Switzerland
Tin     Pongpipat Company Limited   Myanmar
Tin     Precious Minerals and Smelting Limited   India
Tin     PT Artha Cipta Langgeng   Indonesia
Tin     PT ATD Makmur Mandiri Jaya   Indonesia
Tin     PT Menara Cipta Mulia   Indonesia
Tin     PT Mitra Stania Prima   Indonesia
Tin     PT NATARI   Indonesia

 

 

 

 

Tin     PT Refined Bangka Tin   Indonesia
Tin     PT Timah Tbk Kundur   Indonesia
Tin     PT Timah Tbk Mentok   Indonesia
Tin     Resind Industria e Comercio Ltda.   Brazil
Tin     Rui Da Hung   Taiwan
Tin     S. Izaguirre   Spain
Tin     Shan Tou Shi Yong Yuan Jin Shu Zai Sheng Co., Ltd.   China
Tin     Shenzhen Hong Chang Metal Manufacturing Factory   China
Tin     Sichuan Guanghan Jiangnan casting smelters   China
Tin     Sigma Tin Alloy Co., Ltd.   China
Tin     Soft Metais Ltda.   Brazil
Tin     Spectro Alloys Corp.   United States
Tin     Super Ligas   Brazil
Tin     Suzhou Nuonengda Chemical Co., Ltd.   China
Tin     Taicang City Nancang Metal Material Co., Ltd.   China
Tin     Taiwan High-tech Co., Ltd.   Taiwan
Tin     Taiwan's Lofty Enterprises Ltd.   Taiwan
Tin     Tantalite Resources   South Africa
Tin     Tennant Metal PTY LTD.   Australia
Tin     Thai Nguyen Mining and Metallurgy Co., Ltd.   Vietnam
Tin     Thaisarco   Vietnam
Tin     The Refinery of Shandong Gold Mining Co., Ltd.   China
Tin     Tianshui Ling Bo Technology Co., Ltd.   China
Tin     Tin Plating Gejiu   China
Tin     Tin Technology & Refining   United States
Tin     Tokuriki Honten Co., Ltd.   Japan
Tin     Top-Team Technology (Shenzhen) Ltd.   China
Tin     Tuyen Quang Non-Ferrous Metals Joint Stock Company   Vietnam
Tin     Univertical International (Suzhou) Co., Ltd   Vietnam
Tin     Well Fore Special Wire   China
Tin     White Solder Metalurgia e Mineracao Ltda.   Brazil
Tin     White Solder Metalurgia e Mineração Ltda.   Brazil
Tin     Wujiang City Luxe Tin Factory   China
Tin     Xin Furukawa Metal ( Wuxi ) Co., Ltd.   China
Tin     XURI   China
Tin     Yifeng Tin   China
Tin     Ying Ling Electronics Co., Ltd.   China
Tin     Yuecheng Tin Co., Ltd.   China
Tin     Yunnan Chengfeng Non-ferrous Metals Co., Ltd.   China
Tin     Yunnan Chengo Electric Smelting Plant   China
Tin     Yunnan Copper Zinc Industry Co., Ltd.   China
Tin     Yunnan Dian'xi Tin Mine   China
Tin     Yunnan Industrial Co., Ltd.   China
Tin     Yunnan Malipo Baiyi Kuangye Co.   China
Tin     Yunnan Tin Company Limited   China
Tin     Yunnan Yunfan Non-ferrous Metals Co., Ltd.   China
Tin     Zhejiang Keyu Metal Material Co., Ltd.   China
Tin     Zhongshan Hyper-Toxic Substance Monopolized Co., Ltd.   China
Tungsten     A.L.M.T. Corp.   Japan
Tungsten     ACL Metais Eireli   Brazil

 

 

 

 

Tungsten     Chenzhou Diamond Tungsten Products Co., Ltd.   China
Tungsten     China Molybdenum Co., Ltd.   China
Tungsten     Chongyi Zhangyuan Tungsten Co., Ltd.   China
Tungsten     CNMC (Guangxi) PGMA Co., Ltd.   China
Tungsten     Fujian Jinxin Tungsten Co., Ltd.   China
Tungsten     Ganzhou Haichuang Tungsten Co., Ltd.   China
Tungsten     Ganzhou Huaxing Tungsten Products Co., Ltd.   China
Tungsten     Ganzhou Jiangwu Ferrotungsten Co., Ltd.   China
Tungsten     Ganzhou Seadragon W & Mo Co., Ltd.   China
Tungsten     Global Tungsten & Powders Corp.   United States
Tungsten     Guangdong Xianglu Tungsten Co., Ltd.   China
Tungsten     H.C. Starck Smelting GmbH & Co. KG   Germany
Tungsten     H.C. Starck Tungsten GmbH   Germany
Tungsten     Hunan Chenzhou Mining Co., Ltd.   China
Tungsten     Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji   China
Tungsten     Hunan Chunchang Nonferrous Metals Co., Ltd.   China
Tungsten     Hunan Litian Tungsten Industry Co., Ltd.   China
Tungsten     Hydrometallurg, JSC   Russian Federation
Tungsten     Japan New Metals Co., Ltd.   Japan
Tungsten     Jiangwu H.C. Starck Tungsten Products Co., Ltd.   China
Tungsten     Jiangxi Gan Bei Tungsten Co., Ltd.   China
Tungsten     Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.   China
Tungsten     Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.   China
Tungsten     Jiangxi Xianglu Tungsten Co., Ltd.   China
Tungsten     Jiangxi Xinsheng Tungsten Industry Co., Ltd.   China
Tungsten     Jiangxi Yaosheng Tungsten Co., Ltd.   China
Tungsten     JSC "Kirovgrad Hard Alloys Plant"   Russian Federation
Tungsten     Kennametal Fallon   United States
Tungsten     Kennametal Huntsville   United States
Tungsten     KGETS Co., Ltd.   Republic of Korea
Tungsten     Lianyou Metals Co., Ltd.   Taiwan
Tungsten     Malipo Haiyu Tungsten Co., Ltd.   China
Tungsten     Masan Tungsten Chemical LLC (MTC)   Vietnam
Tungsten     Moliren Ltd.   Vietnam
Tungsten     Niagara Refining LLC   United States
Tungsten     Philippine Chuangxin Industrial Co., Inc.   Philippines
Tungsten     Tejing (Vietnam) Tungsten Co., Ltd.   Vietnam
Tungsten     Unecha Refractory metals plant   Vietnam
Tungsten     Wolfram Bergbau und Hutten AG   Austria
Tungsten     Woltech Korea Co., Ltd.   Republic of Korea
Tungsten     Xiamen Tungsten (H.C.) Co., Ltd.   China
Tungsten     Xiamen Tungsten Co., Ltd.   China
Tungsten     Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.   China
Tungsten     Xinhai Rendan Shaoguan Tungsten Co., Ltd.   China

 

 

 

 

ANNEX II

 

Countries of Origin for Conflict Minerals Related to SORs Listed in Annex I

 

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