EX-1.01 2 d133921dex101.htm EX-1.01 EX-1.01

Exhibit 1.01

Conflict Minerals Report

Citrix Systems, Inc. has included this Conflict Minerals Report as an exhibit to its Form SD for 2016 as provided for in Rule 13p-1 under the Securities Exchange Act of 1934, as amended (the “Exchange Act”), and Form SD (collectively, the “Conflict Minerals Rule”).

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

Forward-Looking Statements

This document contains forward-looking statements within the meaning of Section 27A of the Securities Act of 1933, as amended (the “Securities Act”), and Section 21E of the Exchange Act. In particular, statements contained in this document that are not historical facts, including, but not limited to, statements concerning the additional steps that we intend to take to mitigate the risk that our necessary 3TG benefit armed groups, constitute forward-looking statements and are made under the safe harbor provisions of Section 27A of the Securities Act and Section 21E of the Exchange Act.

Forward-looking statements are subject to risks and uncertainties that could cause actual actions or performance to differ materially from those expressed in the forward-looking statements. These risks and uncertainties may include, but are not limited to, the continued implementation of satisfactory traceability and other compliance measures by our direct and indirect suppliers on a timely basis or at all, whether smelters and refiners and other market participants responsibly source 3TG and political and regulatory developments, whether in the Democratic Republic of the Congo (the “DRC”) region, the United States or elsewhere. We caution readers not to place undue reliance on any forward-looking statements, which only speak as of the date made. We undertake no obligation to update any forward-looking statement to reflect events or circumstances after the date on which such statement is made.

Applicability of the Conflict Minerals Rule to Our Company

Our mission is to power a world where people, organizations and things are securely connected and accessible to make the extraordinary possible. We aim to accomplish this by building the world’s best integrated technology services for secure delivery of apps and data anytime, anywhere. We are enabling the future of work by delivering the industry’s most comprehensive and integrated platform for secure app and data delivery and network functionality as a cloud-based service through technology leadership in application virtualization, VDI, mobility, networking and cloud. Most of our products consist solely of software and do not contain a physical component and therefore do not contain 3TG. Accordingly, substantially all of our products are out of scope for purposes of the Conflict Minerals Rule.

Although substantially all of our products are out of scope for purposes of the Conflict Minerals Rule, we identified a limited number of hardware components with necessary 3TG content in the products that we contracted to manufacture in 2016. These in-scope products consisted of physical networking products and a mouse sold in connection with our Windows app delivery products for tablet use cases (“In-Scope Products”). We did not directly source the 3TG in these In-Scope Products, and we make no purchases from mines in the DRC or any of its adjoining countries or from any smelters or refiners. The 3TG were sourced, either directly or indirectly, by the manufacturers of the In-Scope Products and we believe that we are in most cases many levels removed from such mines, smelters or refiners. While, practically speaking, we have limited influence over the sourcing of the 3TG in our In-Scope Products, through the efforts described in this Conflict Minerals Report, we seek to ensure that our sourcing practices are consistent with our Conflict Minerals Policy (which is discussed below under “Our Conflict Minerals Policy”), promote transparency and traceability and encourage conflict free sourcing in our supply chain.

For 2016, we were unable to determine the origin of at least a portion of the 3TG that were necessary to the functionality or production of each of our In-Scope Products. None of the necessary 3TG contained in our In-Scope Products were determined by us to directly or indirectly finance or benefit armed groups in the DRC or an adjoining country. However, we did not conclude that any of our products were “DRC conflict free.” The terms “adjoining country,” “armed group,” and “DRC conflict free” have the meanings contained in the Conflict Minerals Rule. Smelter, refiner and country of origin information for 2016 is provided under “Product Information” below.

 

1

Our Conflict Minerals Policy

We have adopted a company policy relating to 3TG (the “Conflict Minerals Policy”). The Conflict Minerals Policy includes, but is not limited to, our expectations that our suppliers:

 

  1. adopt a policy of responsible sourcing of minerals and pass this requirement through their supply chain;

 

  2. implement due diligence processes to support that policy;

 

  3. source minerals from socially responsible suppliers; and

 

  4. provide us all information we may request regarding the sourcing of minerals in products supplied to us.

The Conflict Minerals Policy indicates that, if we become aware of a supplier who is not in compliance with the foregoing expectations, then we will take appropriate action to remedy the situation, including reassessment of supplier relationships.

Our Conflict Minerals Policy also contains an email address for employees, suppliers and other interested parties to report violations of the policy electronically. The email address is compliance.prime@citrix.com.

We do not support embargos of 3TG from the DRC region, but rather encourage our suppliers to continue to source responsibly from that region.

Reasonable Country of Origin Inquiry Information

As required by the Conflict Minerals Rule, for 2016, we conducted a “reasonable country of origin inquiry.” For our reasonable country of origin inquiry, to the extent applicable, we utilized the same processes and procedures as for our due diligence, in particular Steps 1 and 2 of the OECD Guidance (as defined below) design framework, which are described below in this Conflict Minerals Report.

Our outreach included, with respect to the In-Scope Products, all of those suppliers (the “Suppliers”) that we identified as having provided us with components, parts or products that contain 3TG or that we believe may have provided us with components, parts or products that contain 3TG. In connection with our scoping determination, we looked at product specifications, made supplier inquiries and utilized other information known to us regarding the materials composition of our products.

For 2016, the Suppliers identified to us 173 smelters and refiners that processed or may have processed the necessary 3TG contained in our In-Scope Products. Based on our reasonable country of origin inquiry, we concluded that 84 of these smelters and refiners sourced entirely from outside of the DRC and its adjoining countries, including from recycled or scrap sources, as described under “Product Information — Smelter, Refiner and Country of Origin Information.” Our conclusion was based on information provided by the Conflict-Free Sourcing Initiative (the “CFSI”) to its members.

Pursuant to the Conflict Minerals Rule, based on the results of our reasonable country of origin inquiry, we conducted due diligence for 2016. These due diligence efforts are discussed below.

Due Diligence Framework

We utilize due diligence measures relating to 3TG that are intended to conform with, in all material respects, the criteria set forth in the Organisation for Economic Co-operation and Development’s Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, including the Supplement on Tin, Tantalum and Tungsten and the Supplement on Gold (the “OECD Guidance”).

The OECD Guidance has established a five-step framework for due diligence as a basis for responsible global supply chain management of minerals from conflict-affected and high-risk areas. Selected elements of our program design are discussed below, but these are not all of the elements of the program that we have put in place to help ensure that the 3TG contained in our products are responsibly sourced. Selected due diligence measures that we took in respect of 2016 are discussed under “Due Diligence Program Execution.”

 

2

Compliance Team

In support of our compliance efforts, we have a Conflict Minerals Reporting Oversight Committee (the “Committee”) that is charged with overseeing, implementing and providing feedback on our Conflict Minerals compliance strategy. The Committee consists of senior staff under our Chief Operating Officer and Chief Financial Officer and our Senior Vice President and General Counsel, who have executive leadership for our 3TG compliance program. Corporate citizenship, finance, legal and supply chain management are represented on the Committee. The members of the Committee and selected other internal personnel are trained on the Conflict Minerals Rule, the OECD Guidance, our compliance plan and the procedures for reviewing and validating supplier responses to our inquiries.

The Committee is supplemented by outside professionals. We utilize specialist outside counsel to advise us on certain aspects of our compliance. We also utilize a third-party to help us gather data from some suppliers.

Conflict Minerals Policy; Reporting Mechanism

As described above under “Our Conflict Minerals Policy,” we have adopted a Conflict Minerals Policy. We communicate the Conflict Minerals Policy internally to selected employees. The Conflict Minerals Policy also is communicated to direct suppliers and certain tier 2 suppliers with whom we have a direct relationship and that we determine to potentially be in-scope for purposes of our compliance. In addition, the Conflict Minerals Policy is posted on our website at https://www.citrix.com/content/dam/citrix/en_us/documents/about/conflict-minerals-policy.pdf. Our Conflict Minerals Policy contains an email address for employees, suppliers and other interested parties to report violations of the policy electronically. The email address is compliance.prime@citrix.com.

Records Storage and Retention

We have an internal electronic database for the maintenance of business records relating to 3TG due diligence, including records of due diligence processes, findings and resulting decisions. As contemplated by the OECD Guidance, our policy requires the maintenance of these records for at least five years.

Contract Terms With Suppliers

We have a contract addendum (the “Contract Addendum”) requiring relevant suppliers to agree to, among other things, (1) maintain, record and provide to us on request, traceability data and other information that we may request in order to facilitate our compliance with the Conflict Minerals Rule, (2) comply with our Conflict Minerals Policy and (3) adopt and maintain policies, due diligence frameworks and management systems that enable us to comply with our obligations under the Conflict Minerals Rule. The Contract Addendum was sent to suppliers with whom we already had contracts at the time that the addendum was developed and is included in new proposed contracts as determined to be appropriate by our legal department.

Identification, Assessment and Reporting of Supply Chain Risk

Following our scoping determination, we request that relevant suppliers provide us with information concerning the usage and source of the 3TG in the In-Scope Products they supply to us by submitting to us a completed copy of the Conflict Minerals Reporting Template (“Template”) developed by the CFSI, which is an initiative of the Electronic Industry Citizenship Coalition (“EICC”) and Global e-Sustainability Initiative. If a supplier does not respond within the requested time frame, we, or one of our tier 1 third-party manufacturers on our behalf, follow up with the supplier.

After we receive back the Template responses from suppliers, we review the responses. We, or one of our tier 1 third-party manufacturers on our behalf, follow up with suppliers that do not fully complete the Template or that submit a response that we determine contained errors or inaccuracies. If a supplier does not fully complete the Template or if we determine that the response contained errors or inaccuracies, we or the third-party manufacturer on our behalf requests that the supplier submit a revised response.

If a completed Template indicates a smelter or refiner, we review this information against the Smelter Reference List tab of the Template and the lists of Compliant and Active (as defined later in this Conflict Minerals Report) smelters and refiners published by the CFSI, as well as the country of origin information made available by the CFSI to its members. If an indicated smelter or refiner is not listed on the Smelter Reference List tab or listed as Compliant, we consult public online information, request the assistance of our supplier or contact the listed entity to attempt to determine whether that entity was actually a smelter or refiner, the mine or location of origin of the 3TG processed by the smelter or refiner and whether it is known to obtain 3TG from sources that directly or indirectly finance or benefit armed groups in the DRC or an adjoining country.

Based on the information furnished by the suppliers and other information known to us, we assess the risks of adverse impacts. The Committee also reports the findings of its supply chain risk assessment to our Chief Operating Officer and Chief Financial Officer, our Senior Vice President and General Counsel and our internal management Disclosure Committee.

 

3

We determine on a case-by-case basis the appropriate risk mitigation strategy for any identified risks of a violation of our Conflict Minerals Policy. Potential outcomes under our risk mitigation strategy include continuing to work with the supplier while risks are addressed or reassessing the relationship with the supplier. Under our risk mitigation strategy, to the extent that risks that require mitigation are identified, if applicable, we will adopt procedures for monitoring and tracking the performance of the risk mitigation efforts and for reporting these efforts back to appropriate senior oversight personnel. Under our procedures, we also will undertake additional fact and risk assessments, as determined by the Committee, for risks that require mitigation or after a change of circumstances.

Independent Third-party Audit of Supply Chain Due Diligence at Identified Points in the Supply Chain

To the extent that smelters or refiners are identified, we utilize and rely on information made available by the CFSI concerning independent third-party audits of smelters and refiners to assess smelter and refiner due diligence and to determine whether the smelter or refiner is Compliant with the applicable third-party conflict free certification. We are an EICC member, of which the CFSI is an initiative.

Report on Supply Chain Due Diligence

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

Due Diligence Program Execution

In furtherance of our 3TG due diligence, we performed the due diligence measures discussed below for 2016. These are not all of the measures that we took in furtherance of our 3TG compliance program and pursuant to the Conflict Minerals Rule and the OECD Guidance. For a discussion of the design of our due diligence measures, see “Due Diligence Framework.”

 

  1. We sent requests to the Suppliers to provide us with a completed Template. We requested that the Suppliers furnish us with a completed Template at the product level. We followed up by email or phone with the Suppliers that did not provide a response within the specified time frame. Some of the requests were sent, and follow-up was performed on our behalf, by one of our tier 1 third-party manufacturers.

 

  2. We reviewed the completed responses received from the Suppliers for incomplete responses, potential errors, inaccuracies and other potential issues.

 

  3. We reviewed the smelters and refiners identified to us by the Suppliers against those contained on the Smelter Reference List tab of the Template. To the extent not on that list, we (a) requested that the Supplier confirm that the listed entity is a smelter or refiner, (b) consulted publicly available online information to attempt to determine whether the identified entity was a smelter or refiner or (c) attempted to contact the listed entity.

 

  4. With respect to those responses that identified a smelter or refiner, we also reviewed that information against the lists of Compliant and Active smelters and refiners and country of origin information published by the CFSI or made available by it to its members. One hundred and fifty-five (155), or just under 90%, of the identified smelters and refiners in product level Template responses were listed as Compliant by the CFSI as of April 24, 2017 and 7 were listed as Active. In comparison, for calendar 2015, 112 of the reported smelters were listed as Compliant and 3 were listed as Active.

 

  5. To the extent that a smelter or refiner identified by a Supplier was not listed as Compliant by the CFSI, we searched online public information to attempt to determine the mine or location of origin of the 3TG processed by the smelter or refiner and whether it is known to obtain 3TG from sources that directly or indirectly finance or benefit armed groups in the DRC or an adjoining country.

 

  6. The Committee reported the findings of its supply chain risk assessment to our Chief Operating Officer and Chief Financial Officer, our Senior Vice President and General Counsel and our internal management Disclosure Committee.

 

  7. We are a member of the EICC; its affiliated entity, the CFSI, coordinates independent third-party audits of smelters and refiners on behalf of its membership.

 

4

Product Information

For 2016, we were unable to determine the origin of at least a portion of the necessary 3TG in each of our In-Scope Products (which are described earlier in this Conflict Minerals Report). Most of our products consist solely of software and do not contain a physical component, and therefore do not contain 3TG. For a further discussion of our products, see our Annual Report on Form 10-K for the fiscal year ended December 31, 2016. The information contained in our Form 10-K 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 our Form SD.

For 2016, none of the 3TG in our In-Scope Products were determined by us to have directly or indirectly financed or benefitted armed groups in the DRC or an adjoining country. An “armed group” under the Conflict Minerals Rule is an armed group that is identified as a perpetrator of serious human rights abuses in annual Country Reports on Human Rights Practices under sections 116(d) and 502B(b) of the Foreign Assistance Act of 1961 relating to the DRC or an adjoining country. However, we did not conclude that any of our products were “DRC conflict free.”

Smelter, Refiner and Country of Origin Information

The Suppliers identified to us the 173 facilities listed below that may have processed the necessary 3TG contained in our In-Scope Products during 2016. As of April 24, 2017, one hundred and fifty-five (155) of these facilities, or just under 90%, were listed as Compliant and seven (7), or just over an additional 4%, were listed as Active.

We depend upon our suppliers for information concerning the origin of the 3TG contained in our In-Scope Products. The smelters and refiners identified to us by the Suppliers may not be all of the smelters and refiners that were in our supply chain during 2016, since the Suppliers were not able to obtain smelter and refiner information from all of their direct and indirect suppliers, and since we did not receive responses from all of the Suppliers.

Smelter and Refiner Information (1)

 

      

Metal

   

Name of Smelter or Refiner

   

Country Location

   

Smelter or Refiner

Status

  1      Gold   

Aida Chemical Industries Co., Ltd.

    JAPAN    Compliant
  2      Gold   

Allgemeine Gold-und Silberscheideanstalt A.G.

    GERMANY    Compliant
  3      Gold   

AngloGold Ashanti Córrego do Sítio Mineração

    BRAZIL    Compliant
  4      Gold   

Argor-Heraeus S.A.

    SWITZERLAND    Compliant
  5      Gold   

Asahi Pretec Corp.

    JAPAN    Compliant
  6      Gold   

Asahi Refining Canada Ltd.

    CANADA    Compliant
  7      Gold   

Asahi Refining USA Inc.

    UNITED STATES    Compliant
  8      Gold   

Asaka Riken Co., Ltd.

    JAPAN    Compliant
  9      Gold   

Aurubis AG

    GERMANY    Compliant
  10      Gold   

Bangko Sentral ng Pilipinas (Central Bank of the Philippines)

    PHILIPPINES    Compliant
  11      Gold   

Boliden AB

    SWEDEN    Compliant
  12      Gold   

C. Hafner GmbH + Co. KG

    GERMANY    Compliant
  13      Gold   

CCR Refinery - Glencore Canada Corporation

    CANADA    Compliant
  14      Gold   

Chimet S.p.A.

    ITALY    Compliant
  15      Gold   

Dowa

    JAPAN    Compliant
  16      Gold   

Eco-System Recycling Co., Ltd.

    JAPAN    Compliant
  17      Gold   

Elemetal Refining, LLC

    UNITED STATES    Compliant
  18      Gold   

Heimerle + Meule GmbH

    GERMANY    Compliant
  19      Gold   

Heraeus Ltd. Hong Kong

    CHINA    Compliant

 

5

      

Metal

   

Name of Smelter or Refiner

   

Country Location

   

Smelter or Refiner

Status

  20      Gold   

Heraeus Precious Metals GmbH & Co. KG

    GERMANY    Compliant
  21      Gold   

Ishifuku Metal Industry Co., Ltd.

    JAPAN    Compliant
  22      Gold   

Istanbul Gold Refinery

    TURKEY    Compliant
  23      Gold   

Jiangxi Copper Co., Ltd.

    CHINA    Compliant
  24      Gold   

JX Nippon Mining & Metals Co., Ltd.

    JAPAN    Compliant
  25      Gold   

Kennecott Utah Copper LLC

    UNITED STATES    Compliant
  26      Gold   

Kojima Chemicals Co., Ltd.

    JAPAN    Compliant
  27      Gold   

LS-NIKKO Copper Inc.

    KOREA (REPUBLIC OF)    Compliant
  28      Gold   

Materion

    UNITED STATES    Compliant
  29      Gold   

Matsuda Sangyo Co., Ltd.

    JAPAN    Compliant
  30      Gold   

Metalor Technologies (Hong Kong) Ltd.

    CHINA    Compliant
  31      Gold   

Metalor Technologies (Singapore) Pte., Ltd.

    SINGAPORE    Compliant
  32      Gold   

Metalor Technologies S.A.

    SWITZERLAND    Compliant
  33      Gold   

Metalor USA Refining Corporation

    UNITED STATES    Compliant
  34      Gold   

Metalúrgica Met-Mex Peñoles S.A. De C.V.

    MEXICO    Compliant
  35      Gold   

Mitsubishi Materials Corporation

    JAPAN    Compliant
  36      Gold   

Mitsui Mining and Smelting Co., Ltd.

    JAPAN    Compliant
  37      Gold   

Nadir Metal Rafineri San. Ve Tic. A.Ş.

    TURKEY    Compliant
  38      Gold   

Nihon Material Co., Ltd.

    JAPAN    Compliant
  39      Gold   

Ohura Precious Metal Industry Co., Ltd.

    JAPAN    Compliant
  40      Gold   

PAMP S.A.

    SWITZERLAND    Compliant
  41      Gold   

PT Aneka Tambang (Persero) Tbk

    INDONESIA    Compliant
  42      Gold   

PX Précinox S.A.

    SWITZERLAND    Compliant
  43      Gold   

Rand Refinery (Pty) Ltd.

    SOUTH AFRICA    Compliant
  44      Gold   

Republic Metals Corporation

    UNITED STATES    Compliant
  45      Gold   

Royal Canadian Mint

    CANADA    Compliant
  46      Gold   

SEMPSA Joyería Platería S.A.

    SPAIN    Compliant
  47      Gold   

Shandong Zhaojin Gold & Silver Refinery Co., Ltd.

    CHINA    Compliant
  48      Gold   

SOE Shyolkovsky Factory of Secondary Precious Metals

    RUSSIAN FEDERATION    Compliant
  49      Gold   

Solar Applied Materials Technology Corp.

    TAIWAN    Compliant
  50      Gold   

Sumitomo Metal Mining Co., Ltd.

    JAPAN    Compliant
  51      Gold   

Tanaka Kikinzoku Kogyo K.K.

    JAPAN    Compliant
  52      Gold   

The Refinery of Shandong Gold Mining Co., Ltd.

    CHINA    Compliant
  53      Gold   

Tokuriki Honten Co., Ltd.

    JAPAN    Compliant
  54      Gold   

Umicore Brasil Ltda.

    BRAZIL    Compliant
  55      Gold   

Umicore Precious Metals Thailand

    THAILAND    Compliant
  56      Gold   

Umicore S.A. Business Unit Precious Metals Refining

    BELGIUM    Compliant
  57      Gold   

United Precious Metal Refining, Inc.

    UNITED STATES    Compliant

 

6

      

Metal

   

Name of Smelter or Refiner

   

Country Location

   

Smelter or Refiner

Status

  58      Gold   

Valcambi S.A.

    SWITZERLAND    Compliant
  59      Gold   

Western Australian Mint trading as The Perth Mint

    AUSTRALIA    Compliant
  60      Gold   

Yamamoto Precious Metal Co., Ltd.

    JAPAN    Compliant
  61      Gold   

Yokohama Metal Co., Ltd.

    JAPAN    Compliant
  62      Gold   

Zhongyuan Gold Smelter of Zhongjin Gold Corporation

    CHINA    Compliant
  63      Gold   

Zijin Mining Group Co., Ltd. Gold Refinery

    CHINA    Compliant
  64      Gold   

KGHM Polska Miedź Spółka Akcyjna

    POLAND    Active
  65      Tantalum   

Conghua Tantalum and Niobium Smeltry

    CHINA    Compliant
  66      Tantalum   

Exotech Inc.

    UNITED STATES    Compliant
  67      Tantalum   

F&X Electro-Materials Ltd.

    CHINA    Compliant
  68      Tantalum   

Global Advanced Metals Aizu

    JAPAN    Compliant
  69      Tantalum   

Global Advanced Metals Boyertown

    UNITED STATES    Compliant
  70      Tantalum   

H.C. Starck Co., Ltd.

    THAILAND    Compliant
  71      Tantalum   

H.C. Starck GmbH Goslar

    GERMANY    Compliant
  72      Tantalum   

H.C. Starck Hermsdorf GmbH

    GERMANY    Compliant
  73      Tantalum   

H.C. Starck Inc.

    UNITED STATES    Compliant
  74      Tantalum   

H.C. Starck Ltd.

    JAPAN    Compliant
  75      Tantalum   

H.C. Starck Smelting GmbH & Co. KG

    GERMANY    Compliant
  76      Tantalum   

Mitsui Mining and Smelting Co., Ltd.

    JAPAN    Compliant
  77      Tantalum   

Ningxia Orient Tantalum Industry Co., Ltd.

    CHINA    Compliant
  78      Tantalum   

Solikamsk Metal Works

    RUSSIAN FEDERATION    Compliant
  79      Tantalum   

Taki Chemical Co., Ltd.

    JAPAN    Compliant
  80      Tantalum   

Ulba Metallurgical Plant JSC

    KAZAKHSTAN    Compliant
  81      Tantalum   

Zhuzhou Cemented Carbide Group Co., Ltd.

    CHINA    Compliant
  82      Tantalum   

H.C. Starck GmbH Laufenburg

    GERMANY    On Reference List Only
  83      Tantalum   

Plansee SE Liezen

    AUSTRIA    On Reference List Only
  84      Tantalum   

Plansee SE Reutte

    AUSTRIA    On Reference List Only
  85      Tin   

Alpha

    UNITED STATES    Compliant
  86      Tin   

Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.

    CHINA    Compliant
  87      Tin   

China Tin Lai Ben Smelter Co., Ltd.

    CHINA    Compliant
  88      Tin   

Cooperativa Metalurgica de Rondônia Ltda.

    BRAZIL    Compliant
  89      Tin   

CV Ayi Jaya

    INDONESIA    Compliant
  90      Tin   

CV Dua Sekawan

    INDONESIA    Compliant
  91      Tin   

CV Gita Pesona

    INDONESIA    Compliant
  92      Tin   

CV Nurjanah

    INDONESIA    Compliant
  93      Tin   

CV Serumpun Sebalai

    INDONESIA    Compliant
  94      Tin   

CV Tiga Sekawan

    INDONESIA    Compliant
  95      Tin   

CV United Smelting

    INDONESIA    Compliant
  96      Tin   

CV Venus Inti Perkasa

    INDONESIA    Compliant

 

7

      

Metal

   

Name of Smelter or Refiner

   

Country Location

   

Smelter or Refiner

Status

  97      Tin   

Dowa

    JAPAN    Compliant
  98      Tin   

Elmet S.L.U.

    SPAIN    Compliant
  99      Tin   

EM Vinto

    BOLIVIA (PLURINATIONAL STATE OF)    Compliant
  100      Tin   

Fenix Metals

    POLAND    Compliant
  101      Tin   

Gejiu Fengming Metallurgy Chemical Plant

    CHINA    Compliant
  102      Tin   

Gejiu Jinye Mineral Company

    CHINA    Compliant
  103      Tin   

Gejiu Non-Ferrous Metal Processing Co., Ltd.

    CHINA    Compliant
  104      Tin   

Guanyang Guida Nonferrous Metal Smelting Plant

    CHINA    Compliant
  105      Tin   

HuiChang Hill Tin Industry Co., Ltd.

    CHINA    Compliant
  106      Tin   

Magnu’s Minerais Metais e Ligas Ltda.

    BRAZIL    Compliant
  107      Tin   

Malaysia Smelting Corporation (MSC)

    MALAYSIA    Compliant
  108      Tin   

Melt Metais e Ligas S.A.

    BRAZIL    Compliant
  109      Tin   

Metallic Resources, Inc.

    UNITED STATES    Compliant
  110      Tin   

Metallo-Chimique N.V.

    BELGIUM    Compliant
  111      Tin   

Mineração Taboca S.A.

    BRAZIL    Compliant
  112      Tin   

Minsur

    PERU    Compliant
  113      Tin   

Mitsubishi Materials Corporation

    JAPAN    Compliant
  114      Tin   

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

    THAILAND    Compliant
  115      Tin   

O.M. Manufacturing Philippines, Inc.

    PHILIPPINES    Compliant
  116      Tin   

Operaciones Metalurgical S.A.

    BOLIVIA (PLURINATIONAL STATE OF)    Compliant
  117      Tin   

PT Artha Cipta Langgeng

    INDONESIA    Compliant
  118      Tin   

PT ATD Makmur Mandiri Jaya

    INDONESIA    Compliant
  119      Tin   

PT Babel Inti Perkasa

    INDONESIA    Compliant
  120      Tin   

PT Bangka Prima Tin

    INDONESIA    Compliant
  121      Tin   

PT Bangka Tin Industry

    INDONESIA    Compliant
  122      Tin   

PT Belitung Industri Sejahtera

    INDONESIA    Compliant
  123      Tin   

PT Bukit Timah

    INDONESIA    Compliant
  124      Tin   

PT DS Jaya Abadi

    INDONESIA    Compliant
  125      Tin   

PT Eunindo Usaha Mandiri

    INDONESIA    Compliant
  126      Tin   

PT Inti Stania Prima

    INDONESIA    Compliant
  127      Tin   

PT Karimun Mining

    INDONESIA    Compliant
  128      Tin   

PT Kijang Jaya Mandiri

    INDONESIA    Compliant
  129      Tin   

PT Mitra Stania Prima

    INDONESIA    Compliant
  130      Tin   

PT O.M. Indonesia

    INDONESIA    Compliant
  131      Tin   

PT Panca Mega Persada

    INDONESIA    Compliant
  132      Tin   

PT Prima Timah Utama

    INDONESIA    Compliant
  133      Tin   

PT Refined Bangka Tin

    INDONESIA    Compliant
  134      Tin   

PT Sariwiguna Binasentosa

    INDONESIA    Compliant
  135      Tin   

PT Stanindo Inti Perkasa

    INDONESIA    Compliant

 

8

      

Metal

   

Name of Smelter or Refiner

   

Country Location

   

Smelter or Refiner

Status

  136      Tin   

PT Sukses Inti Makmur

    INDONESIA    Compliant
  137      Tin   

PT Sumber Jaya Indah

    INDONESIA    Compliant
  138      Tin   

PT Timah (Persero) Tbk Kundur

    INDONESIA    Compliant
  139      Tin   

PT Timah (Persero) Tbk Mentok

    INDONESIA    Compliant
  140      Tin   

PT Tinindo Inter Nusa

    INDONESIA    Compliant
  141      Tin   

PT Tommy Utama

    INDONESIA    Compliant
  142      Tin   

Resind Indústria e Comércio Ltda.

    BRAZIL    Compliant
  143      Tin   

Rui Da Hung

    TAIWAN    Compliant
  144      Tin   

Soft Metais Ltda.

    BRAZIL    Compliant
  145      Tin   

Thaisarco

    THAILAND    Compliant
  146      Tin   

VQB Mineral and Trading Group JSC

    VIET NAM    Compliant
  147      Tin   

White Solder Metalurgia e Mineração Ltda.

    BRAZIL    Compliant
  148      Tin   

Yunnan Tin Company, Ltd.

    CHINA    Compliant
  149      Tin    Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company    VIET NAM    Active
  150      Tin   

Gejiu Kai Meng Industry and Trade LLC

    CHINA    Active
  151      Tin   

Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.

    CHINA    Active
  152      Tin   

Modeltech Sdn Bhd

    MALAYSIA    Active
  153      Tin   

Nankang Nanshan Tin Manufactory Co., Ltd.

    CHINA    Active
  154      Tin   

Yunnan Chengfeng Non-ferrous Metals Co., Ltd.

    CHINA    Active
  155      Tin   

An Vinh Joint Stock Mineral Processing Company

    VIET NAM    On Reference List Only
  156      Tin   

CNMC (Guangxi) PGMA Co., Ltd.

    CHINA    On Reference List Only
  157      Tin   

CV JusTindo

    INDONESIA    On Reference List Only
  158      Tin   

Gejiu Zi-Li

    CHINA    On Reference List Only
  159      Tin   

Jiangxi Ketai Advanced Material Co., Ltd.

    CHINA    On Reference List Only
  160      Tin   

PT Cipta Persada Mulia

    INDONESIA    On Reference List Only
  161      Tin   

PT Wahana Perkit Jaya

    INDONESIA    On Reference List Only
  162      Tungsten   

A.L.M.T. TUNGSTEN Corp.

    JAPAN    Compliant
  163      Tungsten   

Chongyi Zhangyuan Tungsten Co., Ltd.

    CHINA    Compliant
  164      Tungsten   

Ganzhou Huaxing Tungsten Products Co., Ltd.

    CHINA    Compliant
  165      Tungsten   

Ganzhou Seadragon W & Mo Co., Ltd.

    CHINA    Compliant
  166      Tungsten   

Global Tungsten & Powders Corp.

    UNITED STATES    Compliant
  167      Tungsten   

H.C. Starck GmbH

    GERMANY    Compliant
  168      Tungsten   

Hunan Chunchang Nonferrous Metals Co., Ltd.

    CHINA    Compliant
  169      Tungsten   

Japan New Metals Co., Ltd.

    JAPAN    Compliant
  170      Tungsten   

Kennametal Huntsville

    UNITED STATES    Compliant
  171      Tungsten   

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

    CHINA    Compliant
  172      Tungsten   

Xiamen Tungsten Co., Ltd.

    CHINA    Compliant
  173      Tungsten   

Jiangxi Dayu Longxintai Tungsten Co., Ltd.

    CHINA    On Reference List Only

 

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

 

  a) The smelters and refiners listed above were identified to us by the Suppliers as being part of our 2016 supply chain. However, not all of the included smelters and refiners may have processed necessary 3TG contained in our In-Scope Products. Some Suppliers may have reported to us smelters and refiners that were not in our supply chain due to over-inclusiveness in the information received from their suppliers, due to errors or for other reasons. In addition, the smelters or refiners reflected above may not be all of the smelters and refiners in our 2016 supply chain, since (i) we have not included smelter or refiner information that our Suppliers reported to us at a “company level,” meaning that they reported to us the 3TG content contained in all of their products, not just the products they sold to us; (ii) many of our Suppliers were unable to identify all of the smelters and refiners used to process the necessary 3TG content contained in our In-Scope Products; and (iii) because not all of our Suppliers responded to our inquiries.

 

  b) The listed smelters and refiners only include those reported entities that were listed on the Smelter Reference List tab of the Template because those are the only reported entities that we were able to determine were smelters or refiners.

 

  c) “Compliant” means that a smelter or refiner was listed as compliant with the Conflict-Free Smelter Program (“CFSP”) assessment protocols, including through mutual recognition, or was indicated as “Re-audit in process.” Included smelters and refiners were not necessarily Compliant for all or part of 2016 and may not continue to be Compliant for any future period. We do not have information on the origin of the 3TG processed by any of the Compliant smelters and refiners prior to their respective compliance dates.

 

  d) “Active” means that the smelter or refiner was listed as having submitted a signed Agreement for the Exchange of Confidential Information and Auditee Agreement contracts to the CFSP or, according to information published by the CFSI, the smelter has agreed to complete a CFSP validation audit within two years of membership issuance by the Tungsten Industry – Conflict Minerals Council.

 

  e) A smelter or refiner is listed as “On Reference List Only” if it was not Compliant or Active.

 

  f) The compliance status and country location reflected in the list is based solely on information made available by the CFSI to its members, without independent verification by us.

 

  g) Country Location is the location of the smelter or refiner and is based solely on information made publicly available by CFSI, without independent verification by us.

We have endeavored to determine the mine or location of origin of the 3TG contained in our In-Scope Products by requesting that the Suppliers provide us with completed Templates and through the flow-down provisions contained in the Conflict Minerals Policy. Where a smelter or refiner has been identified, we also have reviewed public online information and information made available by the CFSI to its members, to the extent available, to try to determine the mine or location of origin.

The countries of origin of the Conflict Minerals processed by the Compliant smelters and refiners identified to us by the Suppliers may have included the countries listed below. The listed countries of origin are derived from information made available by the CFSI to its members. Except for the DRC, the CFSI does not indicate individual countries of origin of the 3TG processed by Compliant smelters and refiners. Instead, the CFSI indicates country of origin by category, according to risk level. The identified Compliant smelters and refiners were in each of the categories below:

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

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

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

DRC – The Democratic Republic of the Congo.

Alternatively, some of the 3TG processed by the Compliant smelters and refiners may have originated from recycled or scrap sources.

Because the CFSI does not indicate individual countries of origin of the 3TG processed by Compliant smelters and refiners (other than the DRC), we were not able to determine the countries of origin of the 3TG processed by the identified Compliant

 

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smelters and refiners with greater specificity, and certain of the Compliant smelters and refiners sourced from more than one region listed above and/or from recycled or scrap sources. In addition, for some of the identified Compliant smelters and refiners, origin information is not disclosed by the CFSI. We did not determine the countries of origin of the 3TG processed by the other smelters and refiners listed in the table above.

As noted earlier in this Conflict Minerals Report, based on our reasonable country of origin inquiry, we concluded that 84 of the Compliant smelters and refiners identified by the Suppliers sourced entirely from outside of the DRC and its adjoining countries, including from recycled or scrap sources.

Due Diligence Improvement Measures

We intend to further improve due diligence measures in 2017 in order to mitigate the risk that the necessary 3TG in our In-Scope Products benefit armed groups by taking the following steps, among others:

 

  •   Using the latest revision of the Conflict Minerals Reporting Template for our 2017 supplier outreach;

 

  •   Continuing to encourage Suppliers that provided company level information for 2016 to provide product level information for 2017 through ongoing outreach with these Suppliers;

 

  •   Continuing to engage with Suppliers that provided incomplete responses or that did not provide responses for 2016 to help ensure that they provide requested information for 2017; and

 

  •   Communicating our sourcing expectations to any new supplier in 2017, including providing the supplier with a copy of the Conflict Minerals Policy.

 

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