UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM SD
Specialized Disclosure Report
Commission File Number 0-17795
CIRRUS LOGIC, INC.
(Exact name of registrant as specified in its charter)
| DELAWARE | 77-0024818 | |
| (State or other jurisdiction of incorporation or organization) | (I.R.S. Employer Identification No.) |
800 W. 6th Street, Austin, TX 78701
(Address of principal executive offices)
Registrant’s telephone number, including area code: (512) 851-4000
Check the appropriate box to indicate the rule pursuant to which this form is being filed, and provide the period to which the information in this form applies:
| ☑ | Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2016. |
SECTION 1 – CONFLICT MINERALS DISCLOSURE
| Item 1.01 | Conflict Minerals Disclosure and Report |
Cirrus Logic, Inc. (the “Company”) has evaluated its current product lines and determined that certain products that we manufactured, or contracted to manufacture, during calendar year 2016 use “conflict minerals” that are necessary to the functionality or production of those products. Conflict minerals are defined by the Securities and Exchange Commission (SEC) as cassiterite, columbite-tantalite, gold, wolframite, or their derivatives, which are limited to tin, tantalum, tungsten, and gold (the “3TG” minerals). The Company conducted a good faith reasonable country of origin inquiry regarding those 3TG minerals to determine whether any of the 3TG minerals originated in the Democratic Republic of the Congo, the Republic of the Congo, the Central African Republic, South Sudan, Uganda, Rwanda, Burundi, Tanzania, Zambia, and Angola (the “Covered Countries”), and whether any of the 3TG minerals may be from recycled or scrap sources. Based on its inquiry, the Company undertook due diligence on the source or chain of custody of its 3TG minerals and filed a Conflict Minerals Report as Exhibit 1.01 to this Form SD. A copy of the Company’s Conflict Minerals Report, along with a copy of this Form SD, is publicly available online at www.cirrus.com/company/quality/corporate-compliance in the Corporate Compliance section of our website.
| Item 1.02 | Exhibit |
A copy of the Company’s Conflict Minerals Report is provided as Exhibit 1.01 hereto.
SECTION 2 – EXHIBITS
| Item 2.01 | Exhibits |
The following exhibit is filed as part of this Report:
| • | Exhibit 1.01– Conflict Minerals Report as required by Items 1.01 and 1.02 of this Form. |
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, Registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
| CIRRUS LOGIC, INC. | ||||||||
| Date: May 31, 2017 | By: | /s/ Gregory S. Thomas | ||||||
| Name: | Gregory S. Thomas | |||||||
| Title: | Vice President, General Counsel | |||||||
Exhibit 1.01
Cirrus Logic, Inc.
Conflict Minerals Report
For the Year Ended December 31, 2016
| I. | Introduction |
This Conflict Minerals Report (the “Report”) has been prepared by Cirrus Logic, Inc. (the “Company”) pursuant to Rule 13p-1 and Form SD (the “Rule”), which were promulgated under the Securities Exchange Act of 1934. The Report covers the reporting period January 1, 2016, to December 31, 2016. The Securities and Exchange Commission (the “SEC”) adopted the Rule in order to implement the reporting and disclosure requirements related to “conflict minerals” as directed by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010.
The Rule imposes certain reporting obligations on SEC registrants whose manufactured products contain certain specified materials that are necessary to the functionality or production of their products. The specified materials, which are collectively referred to as the “Conflict Minerals,” are defined by the SEC as cassiterite, columbite-tantalite, gold, wolframite, or their derivatives, which are limited to tin, tantalum, tungsten, and gold (the “3TG” minerals).
According to the Rule, if a registrant has reason to believe that any of the 3TG minerals in their supply chain may have originated in the Covered Countries, or if the registrant is unable to determine that the 3TG minerals either did not originate in the Covered Countries or were from recycled or scrap sources, then the issuer must exercise due diligence on the source and chain of custody of the 3TG minerals. The “Covered Countries” for the purposes of the Rule and this Report are the Democratic Republic of the Congo, the Republic of the Congo, the Central African Republic, South Sudan, Uganda, Rwanda, Burundi, Tanzania, Zambia, and Angola. The registrant must annually submit a report, a Conflict Minerals Report (the “CMR”), to the SEC that includes a description of those due diligence measures.
This Report has been prepared by management of the Company, and includes the activities of all majority-owned subsidiaries and entities that are required to be consolidated. The Company did not subject this Report to an independent private sector audit since we do not believe such an audit was required based on the guidance provided by the SEC.
Company Overview
The Company is a leader in high performance, low-power ICs for audio and voice signal processing applications. Our products span the entire audio signal chain, from capture to playback, providing innovative products for the world’s top smartphones, tablets, digital headsets, wearables and emerging smart home applications.
Description of the Company’s Products Covered by this Report
This Report relates to products: (i) for which 3TG minerals are necessary to the functionality or production of that product; (ii) that were manufactured, or contracted to be manufactured, by the Company; and (iii) for which the manufacture was completed during calendar year 2016. For purposes of this Report, we have determined the following products include 3TG minerals that are necessary to the functionality or production of their products: (1) integrated circuits and (2) development and evaluation boards (“Boards”) sold by the Company (collectively, the “Covered Products”).
| II. | Reasonable Country of Origin Inquiry |
The Company has conducted a good faith reasonable country of origin inquiry (“RCOI”) regarding the 3TG minerals. This RCOI was reasonably designed to determine whether any of the 3TG minerals originated in the Covered Countries and whether any of the 3TG minerals may be from recycled or scrap sources. To conduct the RCOI, we requested our suppliers to report the origin of the 3TG minerals used in the manufacture of our products. Specifically, suppliers were expected to utilize the Conflict Free Sourcing Initiative (CFSI) Conflict Minerals Reporting Template to report on the use of 3TG minerals used in the manufacture of our products.
Annex I includes a summary of the country of origin information collected as a result of our RCOI. The data on which we relied for certain statements in this report was obtained through our membership in the CFSI, using the Reasonable Country of Origin Inquiry report for member “CRUS.”
| III. | Due Diligence Design and Performance |
| 1. | Due Diligence Design: |
Our due diligence measures have been designed to conform with the framework provided by the Organisation for Economic Co-operation and Development (“OECD”) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (the “OECD Guidance”).
In conjunction with its due diligence process, the Company has adopted a policy relating to 3TG minerals (the “Company Policy”), incorporating the standards set forth in the OECD Guidance. The Company Policy states that we expect our suppliers to source materials from environmentally and socially responsible supply chains. In addition, the Company Policy states that our suppliers must report at least annually the origin of the 3TG minerals used in the manufacture of our products. As outlined in the OECD Guidance, we also participate in groups and forums focused on responsible sourcing of the 3TG minerals, including the Electronic Industry Citizenship Coalition (EICC) and the Global e-Sustainability Initiative (GeSI) Conflict Free Smelter (CFS) program, which audits smelters’ and refiners’ due diligence activities.
Summarized below are the design components of our conflict minerals program as they relate to the five-step framework as provided by the OECD Guidance:
| • | Establishment of a strong company management system through: |
| • | The adoption of a Conflict Minerals Policy; |
| • | The establishment of an internal team of subject matter experts that includes members of our supply chain, purchasing, legal, and quality organizations, and is managed by our General Counsel; |
| • | The institution of processes for new suppliers of our integrated circuits whereby conflict mineral conformance is discussed during initial business reviews; |
| • | The inclusion of a flow-down clause in new or renewed supplier contracts relating to the sourcing of 3TG minerals; |
| • | The requirement that our integrated circuit suppliers abide by the Cirrus Logic Supplier Code of Conduct, which is based on the EICC Code of Conduct; |
| • | Participation in CFSI initiatives; and |
| • | The provision of multiple communication channels to serve as grievance mechanisms for early warning risk awareness, including the availability of an anonymous reporting hotline available for reporting possible violations of the Company’s policies. |
| • | Identification and assessment of risks in the supply chain by: |
| • | Identifying first-tier suppliers to engage in our due diligence efforts; |
| • | Conducting a survey of our direct supply chain using the template known as the CFSI Conflict Minerals Reporting template (CMRT); |
| • | Reviewing and validating smelter information provided by suppliers and working with our supply chain to correct any inaccuracies in reporting; |
| • | Comparing the smelters identified by our suppliers against lists of smelters certified as conflict free through the Conflict Free Smelter Program; |
| • | Identifying smelter usage by greatest risk and prioritizing efforts, if any, associated with our due diligence with those smelters; and |
| • | Participating in the CFSI as a member of the smelter engagement team, which assists in efforts to encourage smelter participation in CFSI’s Conflict-Free Smelter Program (“CFSP”). |
| • | Design and implement a strategy to respond to identified risks by: |
| • | Responding to risks identified in the supply chain by confirming that all smelters identified in survey responses from our suppliers have been verified by the CFSP; |
| • | Asserting leverage on our upstream suppliers through contractual obligations and requirements to comply with our Supplier Code of Conduct, which is based on the EICC Code of Conduct and includes provisions requiring responsible sourcing of conflict minerals; |
| • | Reporting on a quarterly basis to senior management, including the Company’s Vice President of Supply Chain, Vice President of Corporate Quality, and General Counsel, the status and findings derived from our due diligence efforts; |
| • | Informing the Company’s Audit Committee yearly on our due diligence activities and Conflict Minerals Report; |
| • | Designing and implementing training or recommendations for relevant first tier suppliers to improve their systems of transparency and control; and |
| • | Communicating our Conflict Minerals Policy to suppliers. |
| • | Auditing supply chain due diligence by: |
| • | Requesting our suppliers to report to us using an industry-developed audit program through CFSI that is administered by independent third-party auditors; |
| • | Assessing the conflict minerals processes, procurement, and documentation of our suppliers; and |
| • | Supporting efforts to determine mine or location of origin of conflict minerals through CFSI as described on the CFSI website at http://www.conflictfreesourcing.org. |
| • | Reporting on supply chain due diligence: |
| • | Communicate our Conflict Minerals Policy on our website. |
| • | Report annually our Specialized Disclosure Report on Form SD and Conflict Mineral Report filed with the SEC and publicly communicated on our website. |
| 2. | Due Diligence Measures Performed: |
The Company exercised due diligence on the source and chain of custody of the 3TG minerals. Below is a description of the measures we performed for this reporting period to exercise due diligence on the source and chain of custody of the necessary conflict minerals contained in or product which we had reason to believe may have originated from the Covered Countries and may not have come from recycled or scrap sources:
| • | Communicated our Conflict Minerals Policy to our suppliers; |
| • | Conducted a supply-chain survey of 13 direct suppliers of our integrated circuit products using the CFSI’s CMRT, requesting information regarding the necessary conflict minerals and identification of smelter and refiners that process such minerals; |
| • | Conducted a supply-chain survey of 28 suppliers of our Boards using the CFSI’s CMRT, requesting the necessary conflict minerals and identification of smelter and refiners that process such minerals; |
| • | Received responses to surveys from 100% of our suppliers with respect to our integrated circuits; |
| • | Received responses to surveys from approximately 89% of our Board suppliers; |
| • | Reviewed survey data for completeness, and contacted those suppliers that we identified as having contained incomplete or potentially inaccurate information to seek additional clarifying information; |
| • | Compared smelters identified by our suppliers against lists of smelters certified as conflict free through the Conflict Free Smelter Program; and |
| • | Conducted Conflict Minerals Program Assessments of 12 suppliers, focusing on the due diligence processes and policies of certain direct suppliers of our integrated circuit products. |
| IV. | Results of Due Diligence Measures |
Based on our due diligence efforts as it relates to our integrated circuits, we identified the facilities set forth in Annex II that could potentially have produced the necessary 3TG minerals in our products. Of the 181 smelters that we identified, 18 were believed to potentially be sourcing from the Covered Countries. However, none of the smelters identified in our supply chain are known to us as sourcing 3TG minerals that directly or indirectly finance or benefit armed groups in the DRC or adjoining countries. In Annex II, we have indicated the facilities identified in our supply chain as of May 12, 2017.
Based on our due diligence efforts as it relates to our Boards, we identified the facilities set forth in Annex III that could potentially have produced the necessary 3TG minerals in our products. Of the 243 identified smelters, 24 were believed to be sourcing from Covered Countries. Although none of the smelters identified in our supply chain are known to us as sourcing 3TG minerals that directly or indirectly finance or benefit armed groups in the DRC or adjoining countries, only 228 (or 94%) of the identified smelters successfully passed the CSFI audit. In Annex III, we have indicated the facilities identified in our supply chain for Boards as of May 12, 2017.
| V. | Inherent Limitations and Risks with our Due Diligence Measures |
The vast majority of our products that we sell are integrated circuits. We employ a “fabless” model for the manufacture, assembly, and test of our integrated circuits. We do not own or operate our own foundries or manufacturing facilities, and therefore, outsource our integrated circuit manufacturing to third-party foundries, primarily in Asia. We also outsource all product assembly, packaging and testing of our products to several assembly and test subcontractors in Asia.
Because of our fabless manufacturing strategy and our process for acquiring components for our Boards, our due diligence efforts can provide only reasonable, not absolute, assurance regarding the source and chain of custody for the necessary conflict minerals in the products that we sell. Our supply chain is complex, and there are multiple tiers between our company and the mine that ultimately supplies 3TG materials. Given our place in the supply chain, we have no direct relationships with smelters and refiners, and therefore, possess no independent means of determining the source and origin of conflict mineral ores processed by smelters and refiners. Our due diligence processes are based on the necessity of seeking data from our suppliers and component manufacturers, who similarly rely on their supply chains to identify the original sources of the necessary conflict minerals. We also rely, to a large extent, on information collected and provided by independent third-party audit programs. Such sources of information may yield inaccurate or incomplete information and may be subject to fraud.
In addition, for Boards, which generates less than 1% of our revenue, we acquire components from various suppliers, upon whom we rely to perform their own due diligence with respect to the source of materials in those components. With respect to our due diligence efforts as it relates to Boards, many of the responses that we received were incomplete and/or failed to provide data at a product level. Therefore, the data and the results reported for Boards that we sell are incomplete.
| VI. | Future Steps to Mitigate Risks |
Based on our efforts to collect data, we believe the main risks that we have identified are related to the lack of data and the quality of data, particularly with respect to our Boards. We intend to take the following steps to improve the due diligence conducted to further mitigate any risk that the necessary 3TG minerals in our products could benefit armed groups in the DRC or adjoining countries:
| a. | Continue to engage with suppliers and direct them to training resources to attempt to increase the response rate and improve the content of the supplier survey responses, particularly with the suppliers of components for our Boards; |
| b. | Incorporate conflict minerals data review as part of our annual quality audits that we perform on 100% of our subcontractors associated with the manufacture of our integrated circuit products; |
| d. | Continue participation with CFSI to expand the smelter and refiners participating in the Conflict Free Smelter Program; and |
| e. | Continue to work with the OECD or relevant trade associations to define and improve best practices and encourage responsible sourcing of 3TG minerals in accordance with the OECD Guidance. |
Annex I
Annex II
| Conflict Mineral |
Processing Facility Name | Processing Facility Location | ||
| Gold | Aida Chemical Industries Co., Ltd. | JAPAN | ||
| 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 S.A. | SWITZERLAND | ||
| Gold | Asahi Pretec Corp. | JAPAN | ||
| Gold | Asahi Refining Canada Ltd. | CANADA | ||
| Gold | Asahi Refining USA Inc. | UNITED STATES | ||
| Gold | Asaka Riken Co., Ltd. | JAPAN | ||
| Gold | Aurubis AG | GERMANY | ||
| Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | PHILIPPINES | ||
| Gold | Boliden AB | SWEDEN | ||
| Gold | C. Hafner GmbH + Co. KG | GERMANY | ||
| Gold | CCR Refinery—Glencore Canada Corporation | CANADA | ||
| Gold | Chimet S.p.A. | ITALY | ||
| Gold | Do Sung Corporation | KOREA | ||
| Gold | DODUCO GmbH | GERMANY | ||
| Gold | Dowa | JAPAN | ||
| Gold | Eco-System Recycling Co., Ltd. | JAPAN | ||
| Gold | Heimerle + Meule GmbH | GERMANY | ||
| Gold | Heraeus Ltd. Hong Kong | CHINA | ||
| Gold | Heraeus Precious Metals GmbH & Co. KG | GERMANY | ||
| Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | CHINA | ||
| Gold | Ishifuku Metal Industry Co., Ltd. | JAPAN | ||
| Gold | Istanbul Gold Refinery | TURKEY | ||
| Gold | Japan Mint | JAPAN | ||
| Gold | Jiangxi Copper Co., Ltd. | CHINA | ||
| Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | RUSSIAN FEDERATION | ||
| Gold | JSC Uralelectromed | RUSSIAN FEDERATION | ||
| Gold | JX Nippon Mining & Metals Co., Ltd. | JAPAN | ||
| Gold | Kazzinc | KAZAKHSTAN | ||
| Gold | Kennecott Utah Copper LLC | UNITED STATES | ||
| Gold | Kojima Chemicals Co., Ltd. | JAPAN | ||
| Gold | Kyrgyzaltyn JSC | KYRGYZSTAN | ||
| Gold | LS-NIKKO Copper Inc. | KOREA | ||
| Gold | Materion | UNITED STATES | ||
| Gold | Matsuda Sangyo Co., Ltd. | JAPAN | ||
| Gold | Metalor Technologies (Hong Kong) Ltd. | CHINA | ||
| Gold | Metalor Technologies (Singapore) Pte., Ltd. | SINGAPORE | ||
| Gold | Metalor Technologies S.A. | 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 | Moscow Special Alloys Processing Plant | RUSSIAN FEDERATION | ||
| Gold | Nadir Metal Rafineri San. Ve Tic. A.Ş. | TURKEY | ||
| 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 Krastsvetmet | RUSSIAN FEDERATION | ||
| Gold | OJSC Novosibirsk Refinery | RUSSIAN FEDERATION | ||
| Gold | PAMP S.A. | SWITZERLAND | ||
| Gold | Prioksky Plant of Non-Ferrous Metals | RUSSIAN FEDERATION | ||
| Gold | PT Aneka Tambang (Persero) Tbk | INDONESIA | ||
| Gold | PX Précinox S.A. | SWITZERLAND | ||
| Gold | Rand Refinery (Pty) Ltd. | SOUTH AFRICA | ||
| Gold | Republic Metals Corporation | UNITED STATES | ||
| Gold | Royal Canadian Mint | CANADA | ||
| Gold | Samduck Precious Metals | KOREA | ||
| Gold | Schone Edelmetaal B.V. | NETHERLANDS | ||
| Gold | SEMPSA Joyería Platería S.A. | 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 | SOE Shyolkovsky Factory of Secondary Precious Metals | RUSSIAN FEDERATION | ||
| Gold | Solar Applied Materials Technology Corp. | TAIWAN | ||
| 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 | Torecom | KOREA | ||
| Gold | Umicore Brasil Ltda. | BRAZIL | ||
| Gold | Umicore Precious Metals Thailand | THAILAND | ||
| Gold | Umicore S.A. Business Unit Precious Metals Refining | BELGIUM | ||
| Gold | United Precious Metal Refining, Inc. | UNITED STATES | ||
| Gold | Valcambi S.A. | SWITZERLAND | ||
| Gold | Western Australian Mint trading as The Perth Mint | AUSTRALIA | ||
| Gold | Yamamoto Precious Metal Co., Ltd. | JAPAN | ||
| Gold | Yokohama Metal Co., Ltd. | JAPAN | ||
| Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | CHINA | ||
| Gold | Zijin Mining Group Co., Ltd. Gold Refinery | CHINA | ||
| Tin | Alpha | UNITED STATES | ||
| Tin | China Tin Group Co., Ltd. | CHINA | ||
| Tin | Cooperativa Metalurgica de Rondônia Ltda. | BRAZIL | ||
| Tin | CV Ayi Jaya | INDONESIA |
| Tin | CV Gita Pesona | INDONESIA | ||
| Tin | CV Serumpun Sebalai | INDONESIA | ||
| Tin | CV United Smelting | INDONESIA | ||
| Tin | CV Venus Inti Perkasa | INDONESIA | ||
| Tin | Dowa | JAPAN | ||
| Tin | Elmet S.L.U. | SPAIN | ||
| Tin | EM Vinto | BOLIVIA | ||
| Tin | Fenix Metals | POLAND | ||
| Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. | CHINA | ||
| Tin | Jiangxi Ketai Advanced Material 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 | 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 | O.M. Manufacturing (Thailand) Co., Ltd. | THAILAND | ||
| Tin | O.M. Manufacturing Philippines, Inc. | PHILIPPINES | ||
| Tin | Operaciones Metalurgical S.A. | BOLIVIA | ||
| 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 Prima Tin | INDONESIA | ||
| Tin | PT Bangka Tin Industry | INDONESIA | ||
| Tin | PT Belitung Industri Sejahtera | INDONESIA | ||
| Tin | PT Bukit Timah | INDONESIA | ||
| Tin | PT Cipta Persada Mulia | INDONESIA | ||
| Tin | PT DS Jaya Abadi | INDONESIA | ||
| Tin | PT Eunindo Usaha Mandiri | INDONESIA | ||
| Tin | PT Inti Stania Prima | INDONESIA | ||
| Tin | PT Mitra Stania Prima | INDONESIA | ||
| Tin | PT Panca Mega Persada | INDONESIA | ||
| Tin | PT Prima Timah Utama | INDONESIA | ||
| Tin | PT Refined Bangka Tin | INDONESIA | ||
| Tin | PT Sariwiguna Binasentosa | 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 Tommy Utama | INDONESIA | ||
| Tin | Resind Indústria e Comércio Ltda. | BRAZIL |
| Tin | Rui Da Hung | TAIWAN CHINA | ||
| Tin | Soft Metais Ltda. | BRAZIL | ||
| Tin | Thaisarco | THAILAND | ||
| Tin | VQB Mineral and Trading Group JSC | VIETNAM | ||
| Tin | White Solder Metalurgia e Mineração Ltda. | BRAZIL | ||
| Tin | Yunnan Tin Company Limited | CHINA | ||
| Tungsten | A.L.M.T. TUNGSTEN Corp. | JAPAN | ||
| Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd. | CHINA | ||
| Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | CHINA | ||
| Tungsten | Fujian Jinxin Tungsten Co., Ltd. | CHINA | ||
| Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. | CHINA | ||
| Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | CHINA | ||
| Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | CHINA | ||
| Tungsten | Global Tungsten & Powders Corp. | UNITED STATES | ||
| Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | CHINA | ||
| Tungsten | H.C. Starck 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 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 Gan Bei Tungsten Co., Ltd. | CHINA | ||
| Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | CHINA | ||
| Tungsten | Jiangxi Xinsheng Tungsten Industry 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 | Niagara Refining LLC | UNITED STATES | ||
| Tungsten | Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC | VIETNAM | ||
| Tungsten | Tejing (Vietnam) Tungsten Co., Ltd. | VIETNAM | ||
| Tungsten | Vietnam Youngsun Tungsten Industry Co., Ltd. | VIETNAM | ||
| Tungsten | Wolfram Bergbau und Hütten AG | AUSTRIA | ||
| Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | CHINA | ||
| Tungsten | Xiamen Tungsten Co., Ltd. | CHINA | ||
| Tungsten | Xinhai Rendan Shaoguan Tungsten Co., Ltd. | CHINA | ||
| Tantalum | F&X Electro-Materials Ltd. | CHINA | ||
| Tantalum | Global Advanced Metals Boyertown | UNITED STATES | ||
| Tantalum | H.C. Starck Co., Ltd. | THAILAND | ||
| Tantalum | H.C. Starck GmbH Goslar | GERMANY | ||
| Tantalum | H.C. Starck Inc. | UNITED STATES | ||
| Tantalum | H.C. Starck Ltd. | JAPAN | ||
| Tantalum | H.C. Starck Smelting GmbH & Co. KG | GERMANY | ||
| Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | CHINA |
| Tantalum | Ulba Metallurgical Plant JSC | KAZAKHSTAN | ||
| Tantalum | H.C. Starck Hermsdorf GmbH | GERMANY |
Annex III
| Conflict Mineral |
Processing Facility Name | Processing Facility Location | ||
| Gold | Advanced Chemical Company | UNITED STATES | ||
| Gold | Aida Chemical Industries Co., Ltd. | JAPAN | ||
| Gold | Al Etihad Gold Refinery DMCC | UNITED ARAB EMIRATES | ||
| 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 Ltd. | CANADA | ||
| Gold | Asahi Refining USA Inc. | UNITED STATES | ||
| Gold | Asaka Riken Co., Ltd. | JAPAN | ||
| Gold | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | TURKEY | ||
| Gold | Aurubis AG | GERMANY | ||
| Gold | Bangko Sentral ng Pilipinas | PHILIPPINES | ||
| Gold | Boliden AB | SWEDEN | ||
| Gold | C. Hafner GmbH + Co. KG | GERMANY | ||
| Gold | CCR Refinery—Glencore Canada Corporation | CANADA | ||
| Gold | Cendres + Métaux S.A. | SWITZERLAND | ||
| Gold | Chimet S.p.A. | ITALY | ||
| Gold | Chugai Mining | JAPAN | ||
| Gold | Daejin Indus Co., Ltd. | KOREA | ||
| Gold | DODUCO GmbH | GERMANY | ||
| Gold | Dowa | JAPAN | ||
| Gold | DSC (Do Sung Corporation) | KOREA | ||
| Gold | Eco-System Recycling Co., Ltd. | JAPAN | ||
| Gold | Emirates Gold DMCC | UNITED ARAB EMIRATES | ||
| Gold | Geib Refining Corporation | UNITED STATES | ||
| Gold | Heimerle + Meule GmbH | GERMANY | ||
| Gold | Heraeus Ltd. Hong Kong | CHINA | ||
| Gold | Heraeus Precious Metals GmbH & Co. KG | GERMANY | ||
| Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | CHINA | ||
| Gold | Ishifuku Metal Industry Co., Ltd. | JAPAN | ||
| Gold | Istanbul Gold Refinery | TURKEY | ||
| Gold | Japan Mint | JAPAN | ||
| Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | RUSSIAN FEDERATION | ||
| Gold | JSC Uralelectromed | RUSSIAN FEDERATION | ||
| Gold | JX Nippon Mining & Metals Co., Ltd. | JAPAN | ||
| Gold | Kazakhmys Smelting LLC | KAZAKHSTAN | ||
| Gold | Kazzinc | KAZAKHSTAN | ||
| Gold | Kennecott Utah Copper LLC | UNITED STATES | ||
| Gold | KGHM Polska Miedź Spółka Akcyjna | POLAND | ||
| Gold | Kojima Chemicals Co., Ltd | JAPAN | ||
| Gold | Korea Zinc Co., Ltd. | KOREA | ||
| Gold | Kyrgyzaltyn JSC | KYRGYZSTAN | ||
| Gold | L’azurde Company For Jewelry | SAUDI ARABIA | ||
| Gold | LS-NIKKO Copper Inc. | KOREA | ||
| Gold | Materion | UNITED STATES | ||
| Gold | Matsuda Sangyo Co., Ltd. | JAPAN | ||
| Gold | Metalor Technologies (Hong Kong) Ltd. | CHINA | ||
| Gold | Metalor Technologies (Singapore) Pte., Ltd. | SINGAPORE | ||
| Gold | Metalor Technologies (Suzhou) Ltd. | CHINA | ||
| Gold | Metalor Technologies S.A. | SWITZERLAND | ||
| Gold | Metalor USA Refining Corporation | UNITED STATES | ||
| Gold | 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 | 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 Krastsvetmet | RUSSIAN FEDERATION | ||
| Gold | OJSC Novosibirsk Refinery | RUSSIAN FEDERATION | ||
| Gold | PAMP S.A. | SWITZERLAND | ||
| Gold | Prioksky Plant of Non-Ferrous Metals | RUSSIAN FEDERATION | ||
| Gold | PT Aneka Tambang (Persero) Tbk | INDONESIA | ||
| Gold | PX Précinox S.A. | SWITZERLAND | ||
| Gold | Rand Refinery (Pty) Ltd. | SOUTH AFRICA | ||
| Gold | Republic Metals Corporation | UNITED STATES | ||
| Gold | Royal Canadian Mint | CANADA | ||
| Gold | Samduck Precious Metals | KOREA | ||
| Gold | Samwon Metals Corp. | KOREA | ||
| Gold | SAXONIA Edelmetalle GmbH | GERMANY | ||
| Gold | Schone Edelmetaal B.V. | NETHERLANDS | ||
| Gold | SEMPSA Joyería Platería S.A. | 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 | SOE Shyolkovsky Factory of Secondary Precious Metals | RUSSIAN FEDERATION | ||
| Gold | Solar Applied Materials Technology Corp. | TAIWAN | ||
| 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 | Torecom | KOREA | ||
| Gold | Umicore Brasil Ltda. | BRAZIL | ||
| Gold | Umicore Precious Metals Thailand | THAILAND | ||
| Gold | Umicore S.A. Business Unit Precious Metals Refining | BELGIUM | ||
| Gold | United Precious Metal Refining, Inc. | UNITED STATES | ||
| Gold | Valcambi S.A. | SWITZERLAND | ||
| Gold | 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 | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | CHINA | ||
| Gold | Zijin Mining Group Co., Ltd. Gold Refinery | CHINA | ||
| 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 | Exotech Inc. | UNITED STATES | ||
| Tantalum | F & X | CHINA | ||
| Tantalum | FIR Metals & Resource Ltd. | CHINA | ||
| Tantalum | Global Advanced Metals Aizu | JAPAN | ||
| Tantalum | Global Advanced Metals Boyertown | UNITED STATES | ||
| Tantalum | Guangdong Zhiyuan New Material Co., Ltd. | CHINA | ||
| Tantalum | H.C. Starck Co., Ltd. | THAILAND | ||
| Tantalum | H.C. Starck GmbH Goslar | 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 | 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 | Power Resources Ltd. | MACEDONIA | ||
| 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 | ||
| Tantalum | XinXing HaoRong Electronic Material Co., Ltd. | CHINA | ||
| Tantalum | Yichun Jin Yang Rare Metal Co., Ltd. | CHINA | ||
| Tantalum | Zhuzhou Cemented Carbide Group Co., Ltd. | CHINA | ||
| Tin | Alpha | UNITED STATES | ||
| Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | CHINA | ||
| Tin | China Tin Group Co., Ltd. | CHINA | ||
| Tin | Cooperativa Metalurgica de Rondônia 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. | SPAIN | ||
| Tin | EM Vinto | BOLIVIA | ||
| Tin | Fenix Metals | POLAND | ||
| Tin | Gejiu Jinye Mineral Company | 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 | Huichang Jinshunda Tin Co., Ltd. | CHINA | ||
| Tin | Jiangxi Ketai Advanced Material 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 | Metallic Resources, Inc. | UNITED STATES | ||
| Tin | Metallo Chimique | BELGIUM | ||
| Tin | Mineração Taboca S.A. | BRAZIL | ||
| Tin | Minsur | PERU | ||
| Tin | Mitsubishi Materials Corporation | JAPAN | ||
| Tin | Nankang Nanshan Tin Manufactory Co., Ltd. | CHINA | ||
| Tin | O.M. Manufacturing (Thailand) Co., Ltd. | THAILAND | ||
| Tin | O.M. Manufacturing Philippines, Inc. | PHILIPPINES | ||
| Tin | OMSA | BOLIVIA |
| 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 Prima Tin | INDONESIA | ||
| Tin | PT Bangka Tin Industry | INDONESIA | ||
| Tin | PT Belitung Industri Sejahtera | INDONESIA | ||
| Tin | PT Bukit Timah | INDONESIA | ||
| Tin | PT DS Jaya Abadi | INDONESIA | ||
| Tin | PT Eunindo Usaha Mandiri | INDONESIA | ||
| Tin | PT Inti Stania Prima | INDONESIA | ||
| Tin | PT Lautan Harmonis Sejahtera | INDONESIA | ||
| Tin | PT Menara Cipta Mulia | INDONESIA | ||
| Tin | PT Mitra Stania Prima | INDONESIA | ||
| Tin | PT Panca Mega Persada | INDONESIA | ||
| Tin | PT Prima Timah Utama | INDONESIA | ||
| Tin | PT REFINED BANGKA TIN | INDONESIA | ||
| Tin | PT Sariwiguna Binasentosa | INDONESIA | ||
| Tin | PT Stanindo Inti Perkasa | INDONESIA | ||
| Tin | PT Sukses Inti Makmur | INDONESIA | ||
| Tin | PT Sumber Jaya Indah | INDONESIA | ||
| Tin | PT Tambang Timah | INDONESIA | ||
| Tin | PT Timah (Persero) Tbk Mentok | INDONESIA | ||
| Tin | PT Tinindo Inter Nusa | INDONESIA | ||
| Tin | PT Tommy Utama | INDONESIA | ||
| Tin | Resind Indústria e Comércio Ltda. | BRAZIL | ||
| Tin | Rui Da Hung | TAIWAN | ||
| Tin | Soft Metais Ltda. | BRAZIL | ||
| Tin | Thailand Smelting & Refining Co., Ltd | THAILAND | ||
| 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 Company Limited | CHINA | ||
| Tungsten | A.L.M.T. TUNGSTEN Corp. | JAPAN | ||
| Tungsten | Asia Tungsten Products Vietnam Ltd. | VIETNAM | ||
| Tungsten | Chaozhou Xianglu Tungsten Industry Co., Ltd. | CHINA | ||
| Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd. | CHINA | ||
| Tungsten | Chongyi Zhangyuan Tungsten Co Ltd | CHINA | ||
| Tungsten | Fujian Jinxin Tungsten Co., Ltd. | CHINA | ||
| Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. | CHINA | ||
| Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | CHINA | ||
| Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | CHINA | ||
| Tungsten | Global Tungsten & Powders Corp. | UNITED STATES | ||
| Tungsten | 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 Chun-Chang Nonferrous Smelting & Concentrating Co., Ltd. | CHINA | ||
| Tungsten | Hydrometallurg, JSC | RUSSIAN FEDERATION | ||
| Tungsten | Japan New Metals Co., Ltd. | JAPAN | ||
| Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | CHINA | ||
| Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | CHINA | ||
| Tungsten | Jiangxi 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 | Niagara Refining LLC | UNITED STATES | ||
| Tungsten | Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC | VIETNAM | ||
| Tungsten | Tejing (Vietnam) Tungsten Co., Ltd. | VIETNAM | ||
| Tungsten | Vietnam Youngsun Tungsten Industry Co., Ltd. | VIETNAM | ||
| Tungsten | Wolfram Bergbau und Hütten AG | AUSTRIA | ||
| Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | CHINA | ||
| Tungsten | Xiamen Tungsten Co., Ltd | CHINA | ||
| Tungsten | Xinhai Rendan Shaoguan Tungsten Co., Ltd. | CHINA |