EX-1.01 2 d918659dex101.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 2019 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 “Citrix,” “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

Citrix is an enterprise software company focused on helping customers improve the productivity and user experience of their most valuable assets, their employees. We do this by creating a digital workspace that provides unified, secure, and reliable access to all applications and content employees need to be productive - anytime, anywhere, on any device. Our networking solutions, which can be consumed via hardware or software, complement our workspace solutions by delivering the applications and data employees need across any network with security, reliability and speed. 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 2019. 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 (the “Covered 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 2019, 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 Covered Countries. 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 2019 is provided under “Product Information” below.

 

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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 2019, 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 2019, the Suppliers identified to us 256 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 170 of these smelters and refiners sourced entirely from outside of the Covered 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 Responsible Minerals Initiative (the “RMI”) to its members.

Pursuant to the Conflict Minerals Rule, based on the results of our reasonable country of origin inquiry, we exercised due diligence for 2019. These due diligence efforts are discussed below.

Due Diligence Measures

Design 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 (Third Edition) (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 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.

 

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Selected Elements of Design Framework and Due Diligence Program

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 Executive Vice President and Chief Financial Officer and our Executive Vice President and Chief Legal Officer, who have executive leadership for our 3TG compliance program. Finance, legal and supply chain management are represented on the Committee. Certain 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 RMI. 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.

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.

 

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We reviewed the smelters and refiners identified to us by the Suppliers against those contained on the Smelter Look-up tab list of the Template and the lists of Conformant and Active (as defined later in this Conflict Minerals Report) smelters and refiners published by the RMI, as well as the country of origin information made available by the RMI to its members. For 2019, 252, or 98%, of the identified smelters and refiners in product level Template responses were listed as Conformant by the RMI as of April 16, 2020.

Based on the information furnished by the suppliers and other information known to us, we assessed the risks of adverse impacts. The Committee reported the findings of its supply chain risk assessment to our Executive Vice President and Chief Financial Officer, our Executive Vice President and Chief Legal Officer and our internal management Disclosure Committee.

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

We utilize and rely on information made available by the RMI concerning independent third-party audits of smelters and refiners to assess smelter and refiner due diligence and to determine whether identified smelters and refiners are Conformant. We are a member of the Responsible Business Alliance (the “RBA”), of which the RMI is an initiative.

Report on Supply Chain Due Diligence

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

Product Information

For 2019, 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, 2019. 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 2019, none of the 3TG in our In-Scope Products was determined by us to have directly or indirectly financed or benefitted armed groups in the Covered Countries. 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 Covered Countries. 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 256 facilities listed below that may have processed the necessary 3TG contained in our In-Scope Products during 2019. As of April 16, 2020, 252 of these facilities, or 98%, were listed as Conformant.

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 2019, 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.

 

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Smelter and Refiner Information (1)

 

      Metal    Smelter Name    Country    ID    Status
           
1    Gold    8853 S.p.A.    ITALY    CID002763    Conformant
           
2    Gold    Advanced Chemical Company    UNITED STATES OF AMERICA    CID000015    Conformant
           
3    Gold    Aida Chemical Industries Co., Ltd.    JAPAN    CID000019    Conformant
           
4    Gold    Allgemeine Gold-und Silberscheideanstalt A.G.    GERMANY    CID000035    Conformant
           
5    Gold    Almalyk Mining and Metallurgical Complex (AMMC)    UZBEKISTAN    CID000041    Conformant
           
6    Gold    AngloGold Ashanti Corrego do Sitio Mineracao    BRAZIL    CID000058    Conformant
           
7    Gold    Argor-Heraeus S.A.    SWITZERLAND    CID000077    Conformant
           
8    Gold    Asahi Pretec Corp.    JAPAN    CID000082    Conformant
           
9    Gold    Asahi Refining Canada Ltd.    CANADA    CID000924    Conformant
           
10    Gold    Asahi Refining USA Inc.    UNITED STATES OF AMERICA    CID000920    Conformant
           
11    Gold    Asaka Riken Co., Ltd.    JAPAN    CID000090    Conformant
           
12    Gold    AU Traders and Refiners    SOUTH AFRICA    CID002850    On Smelter Look-up Tab List Only
           
13    Gold    Aurubis AG    GERMANY    CID000113    Conformant
           
14    Gold    Bangalore Refinery    INDIA    CID002863    Conformant
           
15    Gold    Bangko Sentral ng Pilipinas (Central Bank of the Philippines)    PHILIPPINES    CID000128    Conformant
           
16    Gold    Boliden AB    SWEDEN    CID000157    Conformant
           
17    Gold    C. Hafner GmbH + Co. KG    GERMANY    CID000176    Conformant
           
18    Gold    CCR Refinery - Glencore Canada Corporation    CANADA    CID000185    Conformant
           
19    Gold    Cendres + Metaux S.A.    SWITZERLAND    CID000189    Conformant
           
20    Gold    Chimet S.p.A.    ITALY    CID000233    Conformant
           
21    Gold    Chugai Mining    JAPAN    CID000264    Conformant

 

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22    Gold    Daejin Indus Co., Ltd.    KOREA, REPUBLIC OF    CID000328    On Smelter Look-up Tab List Only
           
23    Gold    DODUCO Contacts and Refining GmbH    GERMANY    CID000362    Conformant
           
24    Gold    Dowa    JAPAN    CID000401    Conformant
           
25    Gold    DS PRETECH Co., Ltd.    KOREA, REPUBLIC OF    CID003195    Conformant
           
26    Gold    DSC (Do Sung Corporation)    KOREA, REPUBLIC OF    CID000359    Conformant
           
27    Gold    Eco-System Recycling Co., Ltd.    JAPAN    CID000425    Conformant
           
28    Gold    Emirates Gold DMCC    UNITED ARAB EMIRATES    CID002561    Conformant
           
29    Gold    Geib Refining Corporation    UNITED STATES OF AMERICA    CID002459    Conformant
           
30    Gold    Gold Refinery of Zijin Mining Group Co., Ltd.    CHINA    CID002243    Conformant
           
31    Gold    HeeSung Metal Ltd.    KOREA, REPUBLIC OF    CID000689    Conformant
           
32    Gold    Heimerle + Meule GmbH    GERMANY    CID000694    Conformant
           
33    Gold    Heraeus Metals Hong Kong Ltd.    CHINA    CID000707    Conformant
           
34    Gold    Heraeus Precious Metals GmbH & Co. KG    GERMANY    CID000711    Conformant
           
35    Gold    Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.    CHINA    CID000801    Conformant
           
36    Gold    Ishifuku Metal Industry Co., Ltd.    JAPAN    CID000807    Conformant
           
37    Gold    Istanbul Gold Refinery    TURKEY    CID000814    Conformant
           
38    Gold    Italpreziosi    ITALY    CID002765    Conformant
           
39    Gold    Japan Mint    JAPAN    CID000823    Conformant
           
40    Gold    Jiangxi Copper Co., Ltd.    CHINA    CID000855    Conformant
           
41    Gold    JSC Uralelectromed    RUSSIAN FEDERATION    CID000929    Conformant
           
42    Gold    JX Nippon Mining & Metals Co., Ltd.    JAPAN    CID000937    Conformant
           
43    Gold    Kazzinc    KAZAKHSTAN    CID000957    Conformant
           
44    Gold    Kennecott Utah Copper LLC    UNITED STATES OF AMERICA    CID000969    Conformant
           
45    Gold    KGHM Polska Miedz Spolka Akcyjna    POLAND    CID002511    Conformant
           
46    Gold    Kojima Chemicals Co., Ltd.    JAPAN    CID000981    Conformant

 

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47    Gold    Korea Zinc Co., Ltd.    KOREA, REPUBLIC OF    CID002605    Conformant
           
48    Gold    Kyrgyzaltyn JSC    KYRGYZSTAN    CID001029    Conformant
           
49    Gold    L’Orfebre S.A.    ANDORRA    CID002762    Conformant
           
50    Gold    LS-NIKKO Copper Inc.    KOREA, REPUBLIC OF    CID001078    Conformant
           
51    Gold    Marsam Metals    BRAZIL    CID002606    Conformant
           
52    Gold    Materion    UNITED STATES OF AMERICA    CID001113    Conformant
           
53    Gold    Matsuda Sangyo Co., Ltd.    JAPAN    CID001119    Conformant
           
54    Gold    Metalor Technologies (Hong Kong) Ltd.    CHINA    CID001149    Conformant
           
55    Gold    Metalor Technologies (Singapore) Pte., Ltd.    SINGAPORE    CID001152    Conformant
           
56    Gold    Metalor Technologies (Suzhou) Ltd.    CHINA    CID001147    Conformant
           
57    Gold    Metalor Technologies S.A.    SWITZERLAND    CID001153    Conformant
           
58    Gold    Metalor USA Refining Corporation    UNITED STATES OF AMERICA    CID001157    Conformant
           
59    Gold    Metalurgica Met-Mex Penoles S.A. De C.V.    MEXICO    CID001161    Conformant
           
60    Gold    Mitsubishi Materials Corporation    JAPAN    CID001188    Conformant
           
61    Gold    Mitsui Mining and Smelting Co., Ltd.    JAPAN    CID001193    Conformant
           
62    Gold    MMTC-PAMP India Pvt., Ltd.    INDIA    CID002509    Conformant
           
63    Gold    Moscow Special Alloys Processing Plant    RUSSIAN FEDERATION    CID001204    Conformant
           
64    Gold    Nadir Metal Rafineri San. Ve Tic. A.S.    TURKEY    CID001220    Conformant
           
65    Gold    Nihon Material Co., Ltd.    JAPAN    CID001259    Conformant
           
66    Gold    Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH    AUSTRIA    CID002779    Conformant
           
67    Gold    Ohura Precious Metal Industry Co., Ltd.    JAPAN    CID001325    Conformant
           
68    Gold    OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)    RUSSIAN FEDERATION    CID001326    Conformant
           
69    Gold    OJSC Novosibirsk Refinery    RUSSIAN FEDERATION    CID000493    Conformant

 

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70    Gold    PAMP S.A.    SWITZERLAND    CID001352    Conformant
           
71    Gold    Planta Recuperadora de Metales SpA    CHILE    CID002919    Conformant
           
72    Gold    Prioksky Plant of Non-Ferrous Metals    RUSSIAN FEDERATION    CID001386    Conformant
           
73    Gold    PT Aneka Tambang (Persero) Tbk    INDONESIA    CID001397    Conformant
           
74    Gold    PX Precinox S.A.    SWITZERLAND    CID001498    Conformant
           
75    Gold    Rand Refinery (Pty) Ltd.    SOUTH AFRICA    CID001512    Conformant
           
76    Gold    REMONDIS PMR B.V.    NETHERLANDS    CID002582    Conformant
           
77    Gold    Royal Canadian Mint    CANADA    CID001534    Conformant
           
78    Gold    SAAMP    FRANCE    CID002761    Conformant
           
79    Gold    Safimet S.p.A    ITALY    CID002973    Conformant
           
80    Gold    Samduck Precious Metals    KOREA, REPUBLIC OF    CID001555    Conformant
           
81    Gold    SAXONIA Edelmetalle GmbH    GERMANY    CID002777    Conformant
           
82    Gold    SEMPSA Joyeria Plateria S.A.    SPAIN    CID001585    Conformant
           
83    Gold    Shandong Zhaojin Gold & Silver Refinery Co., Ltd.    CHINA    CID001622    Conformant
           
84    Gold    Sichuan Tianze Precious Metals Co., Ltd.    CHINA    CID001736    Conformant
           
85    Gold    Singway Technology Co., Ltd.    TAIWAN, PROVINCE OF CHINA    CID002516    Conformant
           
86    Gold    SOE Shyolkovsky Factory of Secondary Precious Metals    RUSSIAN FEDERATION    CID001756    Conformant
           
87    Gold    Solar Applied Materials Technology Corp.    TAIWAN, PROVINCE OF CHINA    CID001761    Conformant
           
88    Gold    Sumitomo Metal Mining Co., Ltd.    JAPAN    CID001798    Conformant
           
89    Gold    SungEel HiMetal Co., Ltd.    KOREA, REPUBLIC OF    CID002918    Conformant
           
90    Gold    T.C.A S.p.A    ITALY    CID002580    Conformant
           
91    Gold    Tanaka Kikinzoku Kogyo K.K.    JAPAN    CID001875    Conformant
           
92    Gold    The Refinery of Shandong Gold Mining Co., Ltd.    CHINA    CID001916    Conformant
           
93    Gold    Tokuriki Honten Co., Ltd.    JAPAN    CID001938    Conformant
           
94    Gold    Torecom    KOREA, REPUBLIC OF    CID001955    Conformant
           
95    Gold    Umicore Brasil Ltda.    BRAZIL    CID001977    Conformant

 

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96    Gold    Umicore Precious Metals Thailand    THAILAND    CID002314    Conformant
           
97    Gold    Umicore S.A. Business Unit Precious Metals Refining    BELGIUM    CID001980    Conformant
           
98    Gold    United Precious Metal Refining, Inc.    UNITED STATES OF AMERICA    CID001993    Conformant
           
99    Gold    Valcambi S.A.    SWITZERLAND    CID002003    Conformant
           
100    Gold    Western Australian Mint (T/a The Perth Mint)    AUSTRALIA    CID002030    Conformant
           
101    Gold    WIELAND Edelmetalle GmbH    GERMANY    CID002778    Conformant
           
102    Gold    Yamakin Co., Ltd.    JAPAN    CID002100    Conformant
           
103    Gold    Yokohama Metal Co., Ltd.    JAPAN    CID002129    Conformant
           
104    Gold    Zhongyuan Gold Smelter of Zhongjin Gold Corporation    CHINA    CID002224    Conformant
           
105    Tantalum    Asaka Riken Co., Ltd.    JAPAN    CID000092    Conformant
           
106    Tantalum    Changsha South Tantalum Niobium Co., Ltd.    CHINA    CID000211    Conformant
           
107    Tantalum    D Block Metals, LLC    UNITED STATES OF AMERICA    CID002504    Conformant
           
108    Tantalum    Exotech Inc.    UNITED STATES OF AMERICA    CID000456    Conformant
           
109    Tantalum    F&X Electro-Materials Ltd.    CHINA    CID000460    Conformant
           
110    Tantalum    FIR Metals & Resource Ltd.    CHINA    CID002505    Conformant
           
111    Tantalum    Global Advanced Metals Aizu    JAPAN    CID002558    Conformant
           
112    Tantalum    Global Advanced Metals Boyertown    UNITED STATES OF AMERICA    CID002557    Conformant
           
113    Tantalum    Guangdong Rising Rare Metals-EO Materials Ltd.    CHINA    CID000291    Conformant
           
114    Tantalum    Guangdong Zhiyuan New Material Co., Ltd.    CHINA    CID000616    Conformant
           
115    Tantalum    H.C. Starck Co., Ltd.    THAILAND    CID002544    Conformant
           
116    Tantalum    H.C. Starck Hermsdorf GmbH    GERMANY    CID002547    Conformant
           
117    Tantalum    H.C. Starck Inc.    UNITED STATES OF AMERICA    CID002548    Conformant
           
118    Tantalum    H.C. Starck Ltd.    JAPAN    CID002549    Conformant

 

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119    Tantalum    H.C. Starck Smelting GmbH & Co. KG    GERMANY    CID002550    Conformant
           
120    Tantalum    H.C. Starck Tantalum and Niobium GmbH    GERMANY    CID002545    Conformant
           
121    Tantalum    Hengyang King Xing Lifeng New Materials Co., Ltd.    CHINA    CID002492    Conformant
           
122    Tantalum    Jiangxi Dinghai Tantalum & Niobium Co., Ltd.    CHINA    CID002512    Conformant
           
123    Tantalum    Jiangxi Tuohong New Raw Material    CHINA    CID002842    Conformant
           
124    Tantalum    Jiujiang Janny New Material Co., Ltd.    CHINA    CID003191    On Smelter Look-up Tab List Only
           
125    Tantalum    JiuJiang JinXin Nonferrous Metals Co., Ltd.    CHINA    CID000914    Conformant
           
126    Tantalum    Jiujiang Tanbre Co., Ltd.    CHINA    CID000917    Conformant
           
127    Tantalum    Jiujiang Zhongao Tantalum & Niobium Co., Ltd.    CHINA    CID002506    Conformant
           
128    Tantalum    KEMET Blue Metals    MEXICO    CID002539    Conformant
           
129    Tantalum    KEMET Blue Powder    UNITED STATES OF AMERICA    CID002568    Conformant
           
130    Tantalum    LSM Brasil S.A.    BRAZIL    CID001076    Conformant
           
131    Tantalum    Metallurgical Products India Pvt., Ltd.    INDIA    CID001163    Conformant
           
132    Tantalum    Mineracao Taboca S.A.    BRAZIL    CID001175    Conformant
           
133    Tantalum    Mitsui Mining and Smelting Co., Ltd.    JAPAN    CID001192    Conformant
           
134    Tantalum    Ningxia Orient Tantalum Industry Co., Ltd.    CHINA    CID001277    Conformant
           
135    Tantalum    Power Resources Ltd.    MACEDONIA, THE FORMER YUGOSLAV REPUBLIC OF    CID002847    Conformant
           
136    Tantalum    QuantumClean    UNITED STATES OF AMERICA    CID001508    Conformant
           
137    Tantalum    Resind Industria e Comercio Ltda.    BRAZIL    CID002707    Conformant
           
138    Tantalum    RFH Tantalum Smeltery Co., Ltd./Yanling Jincheng Tantalum & Niobium Co., Ltd.    CHINA    CID001522    Conformant
           
139    Tantalum    Solikamsk Magnesium Works OAO    RUSSIAN FEDERATION    CID001769    Conformant
           
140    Tantalum    Taki Chemical Co., Ltd.    JAPAN    CID001869    Conformant

 

10

           
141    Tantalum    Telex Metals    UNITED STATES OF AMERICA    CID001891    Conformant
           
142    Tantalum    Ulba Metallurgical Plant JSC    KAZAKHSTAN    CID001969    Conformant
           
143    Tantalum    XinXing HaoRong Electronic Material Co., Ltd.    CHINA    CID002508    Conformant
           
144    Tin    Alpha    UNITED STATES OF AMERICA    CID000292    Conformant
           
145    Tin    Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.    CHINA    CID000228    Conformant
           
146    Tin    Chifeng Dajingzi Tin Industry Co., Ltd.    CHINA    CID003190    Conformant
           
147    Tin    China Tin (Hechi)    China Tin Group Co., Ltd.    CID001070    Conformant
           
148    Tin    CV Ayi Jaya    INDONESIA    CID002570    Conformant
           
149    Tin    CV Dua Sekawan    INDONESIA    CID002592    Conformant
           
150    Tin    CV Gita Pesona    INDONESIA    CID000306    Conformant
           
151    Tin    CV United Smelting    INDONESIA    CID000315    Conformant
           
152    Tin    CV Venus Inti Perkasa    INDONESIA    CID002455    Conformant
           
153    Tin    Dowa    JAPAN    CID000402    Conformant
           
154    Tin    EM Vinto    BOLIVIA (PLURINATIONAL STATE OF)    CID000438    Conformant
           
155    Tin    Fenix Metals    POLAND    CID000468    Conformant
           
156    Tin    Gejiu Fengming Metallurgy Chemical Plant    CHINA    CID002848    Conformant
           
157    Tin    Gejiu Kai Meng Industry and Trade LLC    CHINA    CID000942    Conformant
           
158    Tin    Gejiu Non-Ferrous Metal Processing Co., Ltd.    CHINA    CID000538    Conformant
           
159    Tin    Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.    CHINA    CID001908    Conformant
           
160    Tin    Gejiu Zili Mining And Metallurgy Co., Ltd.    CHINA    CID000555    Conformant
           
161    Tin    Guangdong Hanhe Non-Ferrous Metal Co., Ltd.    CHINA    CID003116    Conformant
           
162    Tin    Guanyang Guida Nonferrous Metal Smelting Plant    CHINA    CID002849    Conformant

 

11

           
163    Tin    HuiChang Hill Tin Industry Co., Ltd.    CHINA    CID002844    Conformant
           
164    Tin    Huichang Jinshunda Tin Co., Ltd.    CHINA    CID000760    Conformant
           
165    Tin    Jiangxi New Nanshan Technology Ltd.    CHINA    CID001231    Conformant
           
166    Tin    Magnu’s Minerais Metais e Ligas Ltda.    BRAZIL    CID002468    Conformant
           
167    Tin    Malaysia Smelting Corporation (MSC)    MALAYSIA    CID001105    Conformant
           
168    Tin    Melt Metais e Ligas S.A.    BRAZIL    CID002500    Conformant
           
169    Tin    Metallic Resources, Inc.    UNITED STATES OF AMERICA    CID001142    Conformant
           
170    Tin    Metallo Belgium N.V.    BELGIUM    CID002773    Conformant
           
171    Tin    Metallo Spain S.L.U.    SPAIN    CID002774    Conformant
           
172    Tin    Mineracao Taboca S.A.    BRAZIL    CID001173    Conformant
           
173    Tin    Minsur    PERU    CID001182    Conformant
           
174    Tin    Mitsubishi Materials Corporation    JAPAN    CID001191    Conformant
           
175    Tin    O.M. Manufacturing (Thailand) Co., Ltd.    THAILAND    CID001314    Conformant
           
176    Tin    O.M. Manufacturing Philippines, Inc.    PHILIPPINES    CID002517    Conformant
           
177    Tin    Operaciones Metalurgical S.A.    BOLIVIA (PLURINATIONAL STATE OF)    CID001337    Conformant
           
178    Tin    PT Aries Kencana Sejahtera    INDONESIA    CID000309    Conformant
           
179    Tin    PT Artha Cipta Langgeng    INDONESIA    CID001399    Conformant
           
180    Tin    PT ATD Makmur Mandiri Jaya    INDONESIA    CID002503    Conformant
           
181    Tin    PT Babel Inti Perkasa    INDONESIA    CID001402    Conformant
           
182    Tin    PT Bangka Prima Tin    INDONESIA    CID002776    Conformant
           
183    Tin    PT Bangka Serumpun    INDONESIA    CID003205    Conformant
           
184    Tin    PT Bangka Tin Industry    INDONESIA    CID001419    Conformant
           
185    Tin    PT Belitung Industri Sejahtera    INDONESIA    CID001421    Conformant
           
186    Tin    PT Bukit Timah    INDONESIA    CID001428    Conformant
           
187    Tin    PT DS Jaya Abadi    INDONESIA    CID001434    Conformant
           
188    Tin    PT Inti Stania Prima    INDONESIA    CID002530    Conformant

 

12

           
189    Tin    PT Karimun Mining    INDONESIA    CID001448    Conformant
           
190    Tin    PT Kijang Jaya Mandiri    INDONESIA    CID002829    Conformant
           
191    Tin    PT Lautan Harmonis Sejahtera    INDONESIA    CID002870    Conformant
           
192    Tin    PT Menara Cipta Mulia    INDONESIA    CID002835    Conformant
           
193    Tin    PT Mitra Stania Prima    INDONESIA    CID001453    Conformant
           
194    Tin    PT Panca Mega Persada    INDONESIA    CID001457    Conformant
           
195    Tin    PT Premium Tin Indonesia    INDONESIA    CID000313    Conformant
           
196    Tin    PT Prima Timah Utama    INDONESIA    CID001458    Conformant
           
197    Tin    PT Rajehan Ariq    INDONESIA    CID002593    Conformant
           
198    Tin    PT Refined Bangka Tin    INDONESIA    CID001460    Conformant
           
199    Tin    PT Sariwiguna Binasentosa    INDONESIA    CID001463    Conformant
           
200    Tin    PT Stanindo Inti Perkasa    INDONESIA    CID001468    Conformant
           
201    Tin    PT Sukses Inti Makmur    INDONESIA    CID002816    Conformant
           
202    Tin    PT Sumber Jaya Indah    INDONESIA    CID001471    Conformant
           
203    Tin    PT Timah (Persero) Tbk Kundur    INDONESIA    CID001477    Conformant
           
204    Tin    PT Timah (Persero) Tbk Mentok    INDONESIA    CID001482    Conformant
           
205    Tin    PT Tinindo Inter Nusa    INDONESIA    CID001490    Conformant
           
206    Tin    PT Tommy Utama    INDONESIA    CID001493    Conformant
           
207    Tin    Resind Industria e Comercio Ltda.    BRAZIL    CID002706    Conformant
           
208    Tin    Rui Da Hung    TAIWAN, PROVINCE OF CHINA    CID001539    Conformant
           
209    Tin    Soft Metais Ltda.    BRAZIL    CID001758    Conformant
           
210    Tin    Thai Nguyen Mining and Metallurgy Co., Ltd.    VIET NAM    CID002834    Conformant
           
211    Tin    Thaisarco    THAILAND    CID001898    Conformant
           
212    Tin    Tin Technology & Refining    UNITED STATES OF AMERICA    CID003325    Conformant
           
213    Tin    White Solder Metalurgia e Mineracao Ltda.    BRAZIL    CID002036    Conformant
           
214    Tin    Yunnan Chengfeng Non-ferrous Metals Co., Ltd.    CHINA    CID002158    Conformant
           
215    Tin    Yunnan Tin Company Limited    CHINA    CID002180    Conformant

 

13

           
216    Tungsten    A.L.M.T. TUNGSTEN Corp.    JAPAN    CID000004    Conformant
           
217    Tungsten    ACL Metais Eireli    BRAZIL    CID002833    Conformant
           
218    Tungsten    Chenzhou Diamond Tungsten Products Co., Ltd.    CHINA    CID002513    Conformant
           
219    Tungsten    Chongyi Zhangyuan Tungsten Co., Ltd.    CHINA    CID000258    Conformant
           
220    Tungsten    Fujian Jinxin Tungsten Co., Ltd.    CHINA    CID000499    Conformant
           
221    Tungsten    Ganzhou Haichuang Tungsten Co., Ltd.    CHINA    CID002645    Conformant
           
222    Tungsten    Ganzhou Huaxing Tungsten Products Co., Ltd.    CHINA    CID000875    Conformant
           
223    Tungsten    Ganzhou Jiangwu Ferrotungsten Co., Ltd.    CHINA    CID002315    Conformant
           
224    Tungsten    Ganzhou Seadragon W & Mo Co., Ltd.    CHINA    CID002494    Conformant
           
225    Tungsten    Global Tungsten & Powders Corp.    UNITED STATES OF AMERICA    CID000568    Conformant
           
226    Tungsten    Guangdong Xianglu Tungsten Co., Ltd.    CHINA    CID000218    Conformant
           
227    Tungsten    H.C. Starck Smelting GmbH & Co. KG    GERMANY    CID002542    Conformant
           
228    Tungsten    H.C. Starck Tungsten GmbH    GERMANY    CID002541    Conformant
           
229    Tungsten    Hunan Chenzhou Mining Co., Ltd.    CHINA    CID000766    Conformant
           
230    Tungsten    Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji    CHINA    CID002579    Conformant
           
231    Tungsten    Hunan Chunchang Nonferrous Metals Co., Ltd.    CHINA    CID000769    Conformant
           
232    Tungsten    Hydrometallurg, JSC    RUSSIAN FEDERATION    CID002649    Conformant
           
233    Tungsten    Japan New Metals Co., Ltd.    JAPAN    CID000825    Conformant
           
234    Tungsten    Jiangwu H.C. Starck Tungsten Products Co., Ltd.    CHINA    CID002551    Conformant
           
235    Tungsten    Jiangxi Dayu Longxintai Tungsten Co., Ltd.    CHINA    CID002647    Active
           
236    Tungsten    Jiangxi Gan Bei Tungsten Co., Ltd.    CHINA    CID002321    Conformant
           
237    Tungsten    Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.    CHINA    CID002318    Conformant

 

14

           
238    Tungsten    Jiangxi Xinsheng Tungsten Industry Co., Ltd.    CHINA    CID002317    Conformant
           
239    Tungsten    Jiangxi Yaosheng Tungsten Co., Ltd.    CHINA    CID002316    Conformant
           
240    Tungsten    Kennametal Fallon    UNITED STATES OF AMERICA    CID000966    Conformant
           
241    Tungsten    Kennametal Huntsville    UNITED STATES OF AMERICA    CID000105    Conformant
           
242    Tungsten    KGETS Co., Ltd.    KOREA, REPUBLIC OF    CID003388    Conformant
           
243    Tungsten    Malipo Haiyu Tungsten Co., Ltd.    CHINA    CID002319    Conformant
           
244    Tungsten    Masan Tungsten Chemical LLC (MTC)    VIET NAM    CID002543    Conformant
           
245    Tungsten    Moliren Ltd.    RUSSIAN FEDERATION    CID002845    Conformant
           
246    Tungsten    Niagara Refining LLC    UNITED STATES OF AMERICA    CID002589    Conformant
           
247    Tungsten    Philippine Chuangxin Industrial Co., Inc.    PHILIPPINES    CID002827    Conformant
           
248    Tungsten    Smelter not listed    VIET NAM    CID002502    Conformant
           
249    Tungsten    Tejing (Vietnam) Tungsten Co., Ltd.    VIET NAM    CID001889    Conformant
           
250    Tungsten    Unecha Refractory metals plant    RUSSIAN FEDERATION    CID002724    Conformant
           
251    Tungsten    Wolfram Bergbau und Hutten AG    AUSTRIA    CID002044    Conformant
           
252    Tungsten    Woltech Korea Co., Ltd.    KOREA, REPUBLIC OF    CID002843    Conformant
           
253    Tungsten    Xiamen Tungsten (H.C.) Co., Ltd.    CHINA    CID002320    Conformant
           
254    Tungsten    Xiamen Tungsten Co., Ltd.    CHINA    CID002082    Conformant
           
255    Tungsten    Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.    CHINA    CID002830    Conformant
           
256    Tungsten    Xinhai Rendan Shaoguan Tungsten Co., Ltd.    CHINA    CID002095    Conformant

 

15

(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 2019 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 and refiners reflected above may not be all of the smelters and refiners in our 2019 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 Look-up tab list of the Template because those are the only reported entities that we were able to determine were smelters or refiners.

 

  c)

“Conformant” means that a smelter has successfully completed an assessment against the applicable Responsible Minerals Assurance Process (“RMAP”) standard or an equivalent cross-recognized assessment. Smelters and refiners listed as “re-audit in progress” are still considered to be Conformant. Included smelters and refiners were not necessarily Conformant for all or part of 2019 and may not continue to be Conformant for any future period.

 

  d)

“Active” means that the smelter or refiner has committed to undergo an RMAP assessment, completed the relevant documents, and scheduled the on-site assessment. These may be in the pre-assessment, assessment, or corrective-action phases of the assessment.

 

  e)

A smelter or refiner is listed as “On Smelter Look-up List Only” if it was not Conformant or Active but appears on the Smelter Look-up tab list of the Template.

 

  f)

The compliance status and country location reflected in the list is based solely on information made available by the RMI 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 RMI, 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 RMI to its members, to the extent available, to try to determine the mine or location of origin.

Country of Original Information

The countries of origin of the 3TG processed by the Conformant smelters and refiners identified to us by the Suppliers may have included the countries listed below, in addition to other possible countries. The listed countries of origin are derived from information made available by the RMI to its members.

 

Argentina

   Democratic Republic   Guyana   Mongolia

Australia

   of the Congo*   Honduras   Morocco

Austria

   Cyprus   India   Mozambique

Azerbaijan

   Dominican Republic   Indonesia   Myanmar

Benin

   Ecuador   Ivory Coast   Namibia

Bolivia

   Egypt   Japan   Netherlands

Botswana

   Eritrea   Kazakhstan   New Zealand

Brazil

   Ethiopia   Kenya   Nicaragua

Burkina Faso

   Fiji   Laos   Niger

Burundi*

   Finland   Liberia   Nigeria

Canada

   France   Madagascar   Papua New Guinea

Chile

   Georgia   Malaysia   Peru

China

   Ghana   Mali   Philippines

Colombia

   Guatemala   Mauritania   Portugal
  Guinea   Mexico   Puerto Rico

 

16

Russian Federation

   South Africa   Thailand   Uruguay

Rwanda*

   Spain   Togo   Uzbekistan

Saudi Arabia

   Suriname   Turkey   Vietnam

Senegal

   Swaziland   Uganda*   Zimbabwe

Serbia

   Sweden   United Kingdom of Great  

Sierra Leone

   Taiwan   Britain and Northern Ireland  

Slovakia

   Tajikistan   United States of America  

Solomon Islands

   Tanzania*    

*Represents a Covered Country.

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

Based on the manner in which information is made available by the RMI, we were not able to determine the countries of origin of the 3TG processed by the identified Conformant smelters and refiners with greater specificity. In addition, for some of the identified Conformant smelters and refiners, origin information is not disclosed by the RMI. We do not have information on the countries of origin of the 3TG processed by the other smelters and refiners listed in the smelter and refiner table above.

As noted earlier in this Conflict Minerals Report, based on our reasonable country of origin inquiry, we concluded that 170 of the Conformant smelters and refiners identified by the Suppliers sourced entirely from outside of the Covered Countries, including from recycled or scrap sources.

Due Diligence Improvement Measures

We intend to further improve due diligence measures for 2020 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:

 

  •  

Continuing to encourage Suppliers that provided company level information for 2019 to provide product level information for 2020 through ongoing outreach with these Suppliers;

 

  •  

Continuing to engage with Suppliers that provided incomplete responses or that did not provide responses for 2019 to help ensure that they provide requested information for 2020; and

 

  •  

Communicating our sourcing expectations to any new supplier in 2020, including providing the supplier with a copy of the Conflict Minerals Policy.

 

17