Exhibit 1.01
Bruker Corporation
Conflict Minerals Report
For the Year Ended December 31, 2015
Introduction
This Conflict Minerals Report (“Report”) of Bruker Corporation and its consolidated subsidiaries (“Bruker,” “we,” “us,” “our” or the “Company”) for the year ended December 31, 2015 has been prepared pursuant to Rule 13p-1 (the “Rule”) promulgated under the Securities Exchange Act of 1934, as amended. The Rule requires disclosure of certain information by a company that manufactures, or contracts to manufacture, products that contain minerals specified in the Rule as “conflict minerals” that are necessary to the functionality or production of those products. For purposes of the Rule, “conflict minerals” include gold, columbite-tantalite (coltan), cassiterite, and wolframite and their derivatives, which are limited to tantalum, tin and tungsten. During the year ended December 31, 2015, we manufactured, or contracted to manufacture, certain products described below for which conflict minerals are necessary to their functionality or production.
We have adopted a Conflict Minerals Policy, which is publicly available at www.bruker.com under “About Us” in “Investors/Corporate Governance/Conduct”. This Report describes our due diligence measures on the source and chain of custody of conflict minerals necessary to the products we manufactured, or contracted to manufacture during 2015, our efforts to determine the mine or location of origin of the necessary conflict minerals, and, to the extent known to us, the facilities used to process the conflict minerals.
Products Covered by this Report
Bruker, together with its consolidated subsidiaries, is a designer and manufacturer of high-performance scientific instruments and analytical and diagnostic solutions that enable our customers to explore life and materials at microscopic, molecular and cellular levels. Many of our products are used to detect, measure and visualize structural characteristics of chemical, biological and industrial material samples. Our products address the rapidly evolving needs of a diverse array of customers in life science research, pharmaceuticals, biotechnology, applied markets, cell biology, clinical research, microbiology, in-vitro diagnostics, nanotechnology and materials science research.
These products, which we collectively refer to in this Report as the “Products,” include the following: magnetic resonance systems; preclinical imaging systems; mass spectrometry, infrared and Raman molecular spectroscopy, and chromatography instruments; portable analytical and bioanalytical detection systems and related products; X-ray imaging and analytical systems and devices; atomic force microscopy, stylus and optical metrology, fluorescence optical microscopy, and electron microscope devices; and high and low temperature superconducting materials and superconductivity enabled tools and devices.
Reasonable Country of Origin Inquiry
We conducted a good faith reasonable country of origin inquiry (“RCOI”) regarding the conflict minerals necessary to our Products’ functionality or production. As the initial step in our RCOI process, we reviewed parts and materials used in the manufacturing of our products to identify those that may include conflict minerals. Those parts and materials identified that may include conflict minerals necessary to the functionality or production of the relevant product were then linked to the direct supplier, or suppliers, from which we purchased the applicable parts or materials. Our RCOI was reasonably designed to determine whether such conflict minerals originated in the Democratic Republic of the Congo, Angola, Burundi, Central African Republic, the Republic of the Congo,
Rwanda, South Sudan, Tanzania, Uganda, or Zambia (collectively, the “Covered Countries”) or came from scrap or recycled sources.
Our supply chain with respect to the Products is complex, and we do not purchase conflict minerals directly from mines, smelters or refiners. We purchase parts and materials directly, or contract with others to manufacture parts, from a large number of suppliers. In most cases, there are multiple layers of third parties in the supply chain between us and the ultimate upstream source of the conflict minerals. Due to the breadth and depth of our supply chain, our focus was to engage with direct suppliers that accounted for approximately 80% of our purchases of parts and materials where conflict minerals may be included. We requested our direct suppliers to provide information regarding the source and chain of custody of conflict minerals included in the Products, including smelter and country of origin information. To provide this information, our direct suppliers inquired with their suppliers to attempt to identify the ultimate source and country of origin of the conflict minerals included in the Products. We received responses from approximately 87% of those direct suppliers from whom we requested information, which represented a 14% increase over 2014. A higher percentage of suppliers completed the requested survey, as compared to some other form of response, than in the 2014 reporting year.
Given the complexity of this multi-tiered process, many of our direct suppliers have been unable to identify, verify, and report to us the origin of conflict minerals contained in the Products manufactured in 2015. Based on our RCOI, we do not have sufficient information to conclusively determine all the countries of origin of the Conflict Minerals in the Products. However, based on the information provided by our suppliers, we have reason to believe that some of the Conflict Minerals contained in the Products may have originated from Covered Countries or may not be from recycled or scrap sources.
Due Diligence Design and Process
Our due diligence process was designed to materially conform with 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 (“OECD Framework”), an internationally recognized due diligence framework.
Our due diligence process in 2015 included the following:
Step 1 — Establish strong company management systems
· We have a Conflict Minerals Policy, which is available on the Company’s website at www.bruker.com under “About Us” in “Investors/Corporate Governance/Conduct”.
· We have an internal team sponsored by our senior management. The internal team includes representation from corporate finance and the Company’s operating divisions on a cross-functional basis, including purchasing, manufacturing, quality management and research and development. The internal team’s responsibilities include developing and executing the Company’s due diligence process.
· We engaged a third-party vendor to assist in refining our RCOI procedures and due diligence process.
· We maintained a central electronic repository to store relevant documentation created or obtained during the due diligence process.
· We used a process document summarizing our RCOI and Due Diligence process that is a tool in completing our procedures.
Step 2 — Identify and assess risks in the supply chain
· We conducted a survey of suppliers determined to be in-scope for RCOI in the 2015 reporting year, using the Conflict Minerals Reporting Template (“CFSI Reporting Template”) developed by the Conflict-Free Sourcing Initiative (“CFSI”) .
· We reviewed the surveys, and any other documentation, received from suppliers to validate if parts or materials provided to us include conflict minerals, and if so, to attempt to identify the smelter and country of origin. We reviewed responses for completeness and reliability based on a defined set of red flags criteria developed to help facilitate the review.
· We compared the smelter information provided by suppliers against the standard smelter list in the CFSI Reporting Template. For those smelters included in the CFSI Reporting Template, we reviewed whether they are currently Conflict Free Smelter Program (“CFSP”) Compliant or Active.
Step 3 — Design and implement a strategy to respond to identified risks
· We used escalation procedures in an effort to obtain responses from all suppliers to which a survey was sent.
· We classified red flags identified into categories based on the process document noted above, with follow-up procedures performed based on the red flag category. The follow-up procedures included sending a communication to the supplier to either request additional information or validate certain information provided, or performing additional internal review procedures.
· We held periodic status updates with the internal team to discuss survey response results.
· We briefed senior management on the status of our compliance obligations and due diligence efforts on a periodic basis.
Step 4 — Carry out independent third-party audit of smelter/refiner’s due diligence practices
· We do not have a direct relationship with the smelters and refiners used to process the conflict minerals necessary to the Products and do not perform audits of those smelters and refiners. We rely on industry efforts, such as the CFSI, to influence smelters and refineries to become certified as part of CFSI’s
Conflict Free Smelter Program.
Step 5 — Report annually on supply chain due diligence
· We have filed publicly a Form SD, which includes, as needed, a Conflict Minerals Report on an annual basis. This Report is available on the Company’s website at www.bruker.com under “About Us” in “Investors/ Corporate Governance/Conduct”.
Due Diligence Results
We received responses from approximately 87% of those direct suppliers from whom we requested information. The responses identified potential smelters around the world from which our direct suppliers directly or indirectly source conflict minerals. In the majority of cases, the responses from direct suppliers noted that not all smelters had been identified and did not completely list all the smelters used in their supply chain. In addition, most survey responses were provided on a company-wide basis and did not differentiate as to parts and materials sold to us. Of the potential smelters provided in the responses, 319 were included in the standard smelter listing with the CFSI Reporting Template. As of May 2, 2016, 215 of the 319 smelters were verified as CFSP Compliant according to information published by CFSI, with an additional 48 verified as an Active smelter. See Exhibit A for a listing of the standard smelters provided from responses received, including smelters verified as CFSP Compliant or Active as of May 2, 2016.
As noted above, our supply chain is complex and contains many layers for which many of our direct suppliers have been unable to identify, verify and report to us the origin of conflict minerals. For 2015, based on survey responses from our suppliers, we did not find that any of the necessary conflict minerals contained in the Products directly or indirectly financed or benefitted armed groups in the Covered Countries. However, we did not have sufficient information to conclude that any of our products were “DRC conflict free.”
Future Due Diligence Considerations
We intend to incorporate the following measures, among others, to further develop our due diligence program and to mitigate any risk that the necessary conflict minerals in our products could benefit armed groups in the Covered Countries. Development of the due diligence program is expected to include:
· Re-examining our scoping approach to ensure we have surveyed a significant amount of our supplier spend where conflict minerals may be included.
· Continuing to engage with our suppliers to increase the survey response rate and to improve the accuracy and completeness of the information provided to us on the survey responses.
· To the extent any products or materials are reasonably determined to not be conflict free, encouraging our suppliers to implement responsible sourcing practices and obtain their products from smelters and refiners recognized as conflict free by a recognized program such as the CFSI Conflict Free Smelter Program.
Exhibit A — Smelter Listing (1)
Mineral |
| Smelter |
| Facility Location |
Gold |
| Advanced Chemical Company** |
| United States |
Gold |
| Aida Chemical Industries Co., Ltd.* |
| Japan |
Gold |
| Aktyubinsk Copper Company TOO |
| Kazakhstan |
Gold |
| Al Etihad Gold Refinery DMCC |
| United Arab Emirates |
Gold |
| Allgemeine Gold-und Silberscheideanstalt A.G.* |
| Germany |
Gold |
| Almalyk Mining and Metallurgical Complex (AMMC)** |
| Uzbekistan |
Gold |
| AngloGold Ashanti Córrego do Sítio Mineração* |
| Brazil |
Gold |
| Argor-Heraeus SA* |
| Switzerland |
Gold |
| Asahi Pretec Corporation* |
| Japan |
Gold |
| Asahi Refining Canada Limited* |
| Canada |
Gold |
| Asahi Refining USA Inc.* |
| United States |
Gold |
| Asaka Riken Co., Ltd.* |
| Japan |
Gold |
| Atasay Kuyumculuk Sanayi Ve Ticaret A.S. |
| Turkey |
Gold |
| Aurubis AG* |
| Germany |
Gold |
| Bangko Sentral ng Pilipinas (Central Bank of the Philippines)* |
| Philippines |
Gold |
| Bauer Walser AG |
| Germany |
Gold |
| Boliden AB* |
| Sweden |
Gold |
| C. Hafner GmbH + Co. KG* |
| Germany |
Gold |
| Caridad |
| Mexico |
Gold |
| CCR Refinery - Glencore Canada Corporation* |
| Canada |
Gold |
| Cendres + Métaux SA** |
| Switzerland |
Gold |
| Chimet S.p.A.* |
| Italy |
Gold |
| Chugai Mining |
| Japan |
Gold |
| Daejin Indus Co., Ltd.** |
| Korea, Republic Of |
Gold |
| Daye Non-Ferrous Metals Mining Ltd. |
| China |
Gold |
| DODUCO GmbH* |
| Germany |
Gold |
| Dowa* |
| Japan |
Gold |
| DSC (Do Sung Corporation)** |
| Korea, Republic Of |
Gold |
| Eco-System Recycling Co., Ltd.* |
| Japan |
Gold |
| Elemetal Refining, LLC* |
| United States |
Gold |
| Emirates Gold DMCC* |
| United Arab Emirates |
Gold |
| Faggi Enrico S.p.A.** |
| Italy |
Gold |
| Fidelity Printers and Refiners Ltd. |
| Zimbabwe |
Gold |
| Gansu Seemine Material Hi-Tech Co., Ltd. |
| China |
Gold |
| Geib Refining Corporation** |
| United States |
Gold |
| Great Wall Precious Metals Co., Ltd. of CBPM |
| China |
Gold |
| Guangdong Jinding Gold Limited |
| China |
Gold |
| Guoda Safina High-Tech Environmental Refinery Co., Ltd. |
| China |
Gold |
| Hangzhou Fuchunjiang Smelting Co., Ltd. |
| China |
Gold |
| Heimerle + Meule GmbH* |
| Germany |
Gold |
| Heraeus Ltd. Hong Kong* |
| China |
Gold |
| Heraeus Precious Metals GmbH & Co. KG* |
| Germany |
Gold |
| Hunan Chenzhou Mining Co., Ltd. |
| China |
Mineral |
| Smelter |
| Facility Location |
Gold |
| Hwasung CJ Co., Ltd. |
| Korea, Republic Of |
Gold |
| Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited* |
| China |
Gold |
| Ishifuku Metal Industry Co., Ltd.* |
| Japan |
Gold |
| Istanbul Gold Refinery* |
| Turkey |
Gold |
| Japan Mint* |
| Japan |
Gold |
| Jiangxi Copper Company Limited* |
| 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 Mied? Spó?ka Akcyjna** |
| Poland |
Gold |
| Kojima Chemicals Co., Ltd.* |
| Japan |
Gold |
| Korea Metal Co., Ltd. |
| Korea, Republic Of |
Gold |
| Korea Zinc Co. Ltd.** |
| Korea, Republic Of |
Gold |
| Kyrgyzaltyn JSC |
| Kyrgyzstan |
Gold |
| L’ azurde Company For Jewelry |
| Saudi Arabia |
Gold |
| Lingbao Gold Company Limited |
| China |
Gold |
| Lingbao Jinyuan Tonghui Refinery Co., Ltd. |
| China |
Gold |
| LS-NIKKO Copper Inc.* |
| Korea, Republic Of |
Gold |
| Luoyang Zijin Yinhui Gold Refinery Co., Ltd. |
| China |
Gold |
| Materion* |
| United States |
Gold |
| Matsuda Sangyo Co., Ltd.* |
| Japan |
Gold |
| Metahub Industries Sdn. Bhd. |
| Malaysia |
Gold |
| Metalor Technologies (Hong Kong) Ltd.* |
| China |
Gold |
| Metalor Technologies (Singapore) Pte., Ltd.* |
| Singapore |
Gold |
| Metalor Technologies (Suzhou) Ltd.** |
| China |
Gold |
| Metalor Technologies SA* |
| Switzerland |
Gold |
| Metalor USA Refining Corporation* |
| United States |
Gold |
| METALÚRGICA MET-MEX PEÑOLES, 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 |
| Morris and Watson |
| New Zealand |
Gold |
| Moscow Special Alloys Processing Plant* |
| Russian Federation |
Gold |
| Nadir Metal Rafineri San. Ve Tic. A.Ş.* |
| Turkey |
Gold |
| Navoi Mining and Metallurgical Combinat** |
| Uzbekistan |
Gold |
| Nihon Material Co., Ltd.* |
| Japan |
Gold |
| Ögussa Österreichische 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 |
Mineral |
| Smelter |
| Facility Location |
Gold |
| OJSC Kolyma Refinery |
| Russian Federation |
Gold |
| OJSC Novosibirsk Refinery* |
| Russian Federation |
Gold |
| PAMP SA* |
| Switzerland |
Gold |
| Penglai Penggang Gold Industry Co., Ltd. |
| China |
Gold |
| Prioksky Plant of Non-Ferrous Metals* |
| Russian Federation |
Gold |
| PT Aneka Tambang (Persero) Tbk* |
| Indonesia |
Gold |
| PX Précinox SA* |
| Switzerland |
Gold |
| Rand Refinery (Pty) Ltd.* |
| South Africa |
Gold |
| Republic Metals Corporation* |
| United States |
Gold |
| Royal Canadian Mint* |
| Canada |
Gold |
| SAAMP |
| France |
Gold |
| Sabin Metal Corp. |
| United States |
Gold |
| Samduck Precious Metals** |
| Korea, Republic Of |
Gold |
| SAMWON Metals Corp. |
| Korea, Republic Of |
Gold |
| SAXONIA Edelmetalle GmbH** |
| Germany |
Gold |
| Schone Edelmetaal B.V.* |
| Netherlands |
Gold |
| SEMPSA Joyería Platería SA* |
| Spain |
Gold |
| Shandong Zhaojin Gold & Silver Refinery Co., Ltd.* |
| China |
Gold |
| Sichuan Tianze Precious Metals Co., Ltd.* |
| China |
Gold |
| Singway Technology Co., Ltd.* |
| Taiwan |
Gold |
| So Accurate Group, Inc. |
| United States |
Gold |
| SOE Shyolkovsky Factory of Secondary Precious Metals* |
| Russian Federation |
Gold |
| Solar Applied Materials Technology Corp.* |
| Taiwan |
Gold |
| Sudan Gold Refinery |
| Sudan |
Gold |
| Sumitomo Metal Mining Co., Ltd.* |
| Japan |
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 |
| Tony Goetz NV |
| Belgium |
Gold |
| Umicore Brasil Ltda.* |
| Brazil |
Gold |
| Umicore Precious Metals Thailand* |
| Thailand |
Gold |
| Umicore SA Business Unit Precious Metals Refining* |
| Belgium |
Gold |
| United Precious Metal Refining, Inc.* |
| United States |
Gold |
| Valcambi SA* |
| Switzerland |
Gold |
| Western Australian Mint trading as The Perth Mint* |
| Australia |
Gold |
| WIELAND Edelmetalle GmbH** |
| Germany |
Gold |
| Yamamoto Precious Metal Co., Ltd.* |
| Japan |
Gold |
| Yokohama Metal Co., Ltd.* |
| Japan |
Gold |
| Yunnan Copper Industry Co., Ltd. |
| China |
Gold |
| Zhongyuan Gold Smelter of Zhongjin Gold Corporation* |
| China |
Gold |
| Zijin Mining Group Co., Ltd. Gold Refinery* |
| China |
Tantalum |
| Avon Specialty Metals Ltd |
| United Kingdom |
Mineral |
| Smelter |
| Facility Location |
Tantalum |
| Changsha South Tantalum Niobium Co., Ltd.* |
| China |
Tantalum |
| Conghua Tantalum and Niobium Smeltry* |
| China |
Tantalum |
| D Block Metals, LLC* |
| United States |
Tantalum |
| Duoluoshan* |
| China |
Tantalum |
| E.S.R. Electronics** |
| 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 |
| Guizhou Zhenhua Xinyun Technology Ltd., Kaili branch |
| China |
Tantalum |
| H.C. Starck Co., Ltd.* |
| Thailand |
Tantalum |
| H.C. Starck GmbH Goslar* |
| Germany |
Tantalum |
| H.C. Starck GmbH Laufenburg* |
| Germany |
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 |
| Hengyang King Xing Lifeng New Materials Co., Ltd.* |
| China |
Tantalum |
| Hi-Temp Specialty Metals, Inc.* |
| United States |
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 |
| KEMET Blue Powder* |
| United States |
Tantalum |
| King-Tan Tantalum Industry Ltd.* |
| China |
Tantalum |
| LSM Brasil S.A.* |
| Brazil |
Tantalum |
| Metallurgical Products India Pvt., Ltd.* |
| India |
Tantalum |
| Mineração Taboca S.A.* |
| Brazil |
Tantalum |
| Mitsui Mining & Smelting* |
| Japan |
Tantalum |
| Molycorp Silmet A.S.* |
| Estonia |
Tantalum |
| Ningxia Orient Tantalum Industry Co., Ltd.* |
| China |
Tantalum |
| Plansee SE Liezen* |
| Austria |
Tantalum |
| Plansee SE Reutte* |
| Austria |
Tantalum |
| QuantumClean* |
| United States |
Tantalum |
| Resind Indústria e Comércio Ltda.* |
| Brazil |
Tantalum |
| RFH Tantalum Smeltry Co., Ltd.* |
| China |
Tantalum |
| Solikamsk Magnesium Works OAO* |
| Russian Federation |
Tantalum |
| Taki Chemicals* |
| Japan |
Tantalum |
| Telex Metals* |
| United States |
Tantalum |
| Tranzact, Inc.* |
| United States |
Tantalum |
| Ulba Metallurgical Plant JSC* |
| Kazakhstan |
Mineral |
| Smelter |
| Facility Location |
Tantalum |
| XinXing HaoRong Electronic Material Co., Ltd.* |
| China |
Tantalum |
| Yichun Jin Yang Rare Metal Co., Ltd.* |
| China |
Tantalum |
| Zhuzhou Cemented Carbide* |
| China |
Tin |
| Alpha* |
| United States |
Tin |
| An Thai Minerals Company Limited** |
| Vietnam |
Tin |
| An Vinh Joint Stock Mineral Processing Company** |
| Vietnam |
Tin |
| Chenzhou Yunxiang Mining and Metallurgy Company Limited** |
| China |
Tin |
| China Tin Group Co., Ltd.* |
| China |
Tin |
| CNMC (Guangxi) PGMA Co., Ltd. |
| China |
Tin |
| Cooperativa Metalurgica de Rond?nia Ltda.* |
| Brazil |
Tin |
| CV Ayi Jaya* |
| Indonesia |
Tin |
| CV Dua Sekawan** |
| Indonesia |
Tin |
| CV Gita Pesona* |
| Indonesia |
Tin |
| CV Serumpun Sebalai* |
| Indonesia |
Tin |
| CV Tiga Sekawan** |
| Indonesia |
Tin |
| CV United Smelting* |
| Indonesia |
Tin |
| CV Venus Inti Perkasa* |
| Indonesia |
Tin |
| Dowa* |
| Japan |
Tin |
| Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company** |
| Vietnam |
Tin |
| Elmet S.L.U. (Metallo Group)* |
| Spain |
Tin |
| EM Vinto* |
| Bolivia |
Tin |
| Estanho de Rondônia S.A. |
| Brazil |
Tin |
| Feinhütte Halsbrücke GmbH |
| Germany |
Tin |
| Fenix Metals* |
| Poland |
Tin |
| Gejiu Fengming Metalurgy Chemical Plant** |
| China |
Tin |
| Gejiu Kai Meng Industry and Trade LLC** |
| China |
Tin |
| Gejiu Non-Ferrous Metal Processing Co., Ltd.* |
| China |
Tin |
| Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.** |
| China |
Tin |
| Gejiu Zili Mining And Metallurgy Co., Ltd. |
| China |
Tin |
| Guanyang Guida Nonferrous Metal Smelting Plant** |
| China |
Tin |
| HuiChang Hill Tin Industry Co., Ltd.** |
| China |
Tin |
| Huichang Jinshunda Tin Co., Ltd. |
| China |
Tin |
| Jiangxi Ketai Advanced Material Co., Ltd.* |
| China |
Tin |
| Linwu Xianggui Ore Smelting Co., Ltd. |
| China |
Tin |
| Magnu’s Minerais Metais e Ligas Ltda.* |
| Brazil |
Tin |
| Malaysia Smelting Corporation (MSC)* |
| Malaysia |
Tin |
| Melt Metais e Ligas S/A* |
| Brazil |
Tin |
| Metahub Industries Sdn. Bhd. |
| Malaysia |
Tin |
| Metallic Resources, Inc.* |
| United States |
Tin |
| Metallo-Chimique N.V.* |
| Belgium |
Tin |
| Mineração Taboca S.A.* |
| Brazil |
Tin |
| Minsur* |
| Peru |
Tin |
| Mitsubishi Materials Corporation* |
| Japan |
Tin |
| Nankang Nanshan Tin Manufactory Co., Ltd. |
| China |
Mineral |
| Smelter |
| Facility Location |
Tin |
| Nghe Tinh Non-Ferrous Metals Joint Stock Company** |
| Vietnam |
Tin |
| O.M. Manufacturing (Thailand) Co., Ltd.* |
| Thailand |
Tin |
| O.M. Manufacturing Philippines, Inc.* |
| Philippines |
Tin |
| Operaciones Metalurgical S.A.* |
| Bolivia |
Tin |
| Phoenix Metal Ltd.** |
| Rwanda |
Tin |
| PT Alam Lestari Kencana |
| Indonesia |
Tin |
| PT Aries Kencana Sejahtera* |
| Indonesia |
Tin |
| PT Artha Cipta Langgeng* |
| Indonesia |
Tin |
| PT ATD Makmur Mandiri Jaya* |
| Indonesia |
Tin |
| PT Babel Inti Perkasa* |
| Indonesia |
Tin |
| PT Bangka Kudai Tin |
| Indonesia |
Tin |
| PT Bangka Prima Tin* |
| Indonesia |
Tin |
| PT Bangka Timah Utama Sejahtera |
| Indonesia |
Tin |
| PT Bangka Tin Industry* |
| Indonesia |
Tin |
| PT Belitung Industri Sejahtera* |
| Indonesia |
Tin |
| PT BilliTin Makmur Lestari* |
| Indonesia |
Tin |
| PT Bukit Timah* |
| Indonesia |
Tin |
| PT Cipta Persada Mulia* |
| Indonesia |
Tin |
| PT DS Jaya Abadi* |
| Indonesia |
Tin |
| PT Fang Di MulTindo |
| Indonesia |
Tin |
| PT Inti Stania Prima* |
| Indonesia |
Tin |
| PT Justindo* |
| Indonesia |
Tin |
| PT Karimun Mining** |
| Indonesia |
Tin |
| PT Kijang Jaya Mandiri** |
| Indonesia |
Tin |
| PT Mitra Stania Prima* |
| Indonesia |
Tin |
| PT Panca Mega Persada* |
| Indonesia |
Tin |
| PT Pelat Timah Nusantara Tbk |
| Indonesia |
Tin |
| PT Prima Timah Utama* |
| Indonesia |
Tin |
| PT Refined Bangka Tin* |
| Indonesia |
Tin |
| PT Sariwiguna Binasentosa* |
| Indonesia |
Tin |
| PT Seirama Tin Investment |
| Indonesia |
Tin |
| PT Stanindo Inti Perkasa* |
| Indonesia |
Tin |
| PT Sukses Inti Makmur* |
| Indonesia |
Tin |
| PT Sumber Jaya Indah* |
| Indonesia |
Tin |
| PT Timah (Persero) Tbk Kundur* |
| Indonesia |
Tin |
| PT Timah (Persero) Tbk Mentok* |
| Indonesia |
Tin |
| PT Tinindo Inter Nusa* |
| Indonesia |
Tin |
| PT Tirus Putra Mandiri |
| Indonesia |
Tin |
| PT Tommy Utama* |
| Indonesia |
Tin |
| PT Wahana Perkit Jaya* |
| Indonesia |
Tin |
| Resind Indústria e Comércio Ltda.* |
| Brazil |
Tin |
| Rui Da Hung* |
| Taiwan |
Tin |
| Soft Metais Ltda.* |
| Brazil |
Tin |
| Thaisarco* |
| Thailand |
Tin |
| Tuyen Quang Non-Ferrous Metals Joint Stock Company** |
| Vietnam |
Mineral |
| Smelter |
| Facility Location |
Tin |
| VQB Mineral and Trading Group JSC* |
| Vietnam |
Tin |
| White Solder Metalurgia e Mineração Ltda.* |
| Brazil |
Tin |
| Yunnan Chengfeng Non-ferrous Metals Co., Ltd.** |
| China |
Tin |
| Yunnan Tin Group (Holding) Company Limited* |
| China |
Tungsten |
| A.L.M.T. TUNGSTEN Corp.* |
| Japan |
Tungsten |
| ACL Metais Eireli** |
| Brazil |
Tungsten |
| Asia Tungsten Products Vietnam Ltd.* |
| Vietnam |
Tungsten |
| Chenzhou Diamond Tungsten Products Co., Ltd.* |
| China |
Tungsten |
| Chongyi Zhangyuan Tungsten Co., Ltd.* |
| China |
Tungsten |
| Dayu Jincheng Tungsten Industry Co., Ltd.** |
| China |
Tungsten |
| Dayu Weiliang Tungsten Co., Ltd.** |
| China |
Tungsten |
| Fujian Jinxin Tungsten Co., Ltd.* |
| China |
Tungsten |
| Ganxian Shirui New Material Co., Ltd. |
| China |
Tungsten |
| Ganzhou Huaxing Tungsten Products Co., Ltd.* |
| China |
Tungsten |
| Ganzhou Jiangwu Ferrotungsten Co., Ltd.* |
| China |
Tungsten |
| Ganzhou Non-ferrous Metals Smelting Co., Ltd.** |
| China |
Tungsten |
| Ganzhou Seadragon W & Mo Co., Ltd.* |
| China |
Tungsten |
| Ganzhou Yatai Tungsten Co., Ltd.* |
| China |
Tungsten |
| Global Tungsten & Powders Corp.* |
| United States |
Tungsten |
| Guangdong Xianglu Tungsten Co., Ltd.* |
| China |
Tungsten |
| H.C. Starck GmbH* |
| Germany |
Tungsten |
| H.C. Starck Smelting GmbH & Co.KG* |
| Germany |
Tungsten |
| Hunan Chenzhou Mining Co., Ltd.* |
| China |
Tungsten |
| Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji* |
| China |
Tungsten |
| Hunan Chuangda Vanadium Tungsten Co., Ltd. Yanglin** |
| China |
Tungsten |
| Hunan Chunchang Nonferrous Metals 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 Dayu Longxintai Tungsten 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 Xinsheng Tungsten Industry Co., Ltd.** |
| China |
Tungsten |
| Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.* |
| China |
Tungsten |
| Jiangxi Yaosheng Tungsten Co., Ltd.** |
| China |
Tungsten |
| Kennametal Fallon** |
| United States |
Tungsten |
| Kennametal Huntsville* |
| United States |
Tungsten |
| Malipo Haiyu Tungsten Co., Ltd.* |
| China |
Tungsten |
| Moliren Ltd** |
| Russian Federation |
Tungsten |
| Niagara Refining LLC* |
| United States |
Tungsten |
| Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC* |
| Vietnam |
Tungsten |
| Philippine Chuangin Industrial Co., Inc.* |
| Philippines |
Tungsten |
| Pobedit, JSC** |
| Russian Federation |
Tungsten |
| Sanher Tungsten Vietnam Co., Ltd. |
| Vietnam |
Mineral |
| Smelter |
| Facility Location |
Tungsten |
| South-East Nonferrous Metal Company Limited of Hengyang City** |
| China |
Tungsten |
| Tejing (Vietnam) Tungsten Co., Ltd.* |
| Vietnam |
Tungsten |
| Vietnam Youngsun Tungsten Industry Co., Ltd.* |
| Vietnam |
Tungsten |
| Wolfram Bergbau und Hütten AG* |
| Austria |
Tungsten |
| Woltech Korea Co., Ltd.** |
| Korea, Republic Of |
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 |
(1) As noted in the Due Diligence Results section of this report, most survey responses from direct suppliers were provided on a company-wide basis and did not differentiate as to parts and materials sold to us. In addition, many of the responses noted that not all smelters had been identified and did not completely list all the smelters used in their supply chain.
* Verified as a Compliant smelter as of May 2, 2016, meaning the smelter is listed as compliant with the CFSP assessment protocols, including through mutual recognition, or is listed as “Re-audit in process” by the CFSI.
** Verified as an Active Smelter as of May 2, 2016, a CFSI designation meaning that the smelter is 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.