UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D. C. 20549
FORM SD
Specialized Disclosure Report
ON Semiconductor Corporation
(Exact name of registrant as specified in its charter)
| Delaware | 000-30419 | 36-3840979 | ||
| (State or other jurisdiction of incorporation) |
(Commission File Number) |
(IRS Employer Identification No.) |
| ON Semiconductor Corporation 5005 East McDowell Road |
||
| Phoenix, Arizona | 85008 | |
| (Address of principal executive offices) | (Zip Code) |
George H. Cave
ON Semiconductor Corporation
(602) 244-6600
(Name and telephone number, including area code, of the person to contact in connection with this report)
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
Pursuant to Rule 13p-1 and Section 13(p) of the Securities Exchange Act of 1934, as amended, which implements Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Conflict Regulations”), ON Semiconductor Corporation (the “Company”) was required to make certain inquiries and perform certain due diligence with respect to any “conflict minerals” (as defined by paragraph (d)(3) of Item 1.01 of Form SD) that are necessary to the functionality or production of a product manufactured (or contracted to be manufactured) by the Company or any of its subsidiaries.
Conflict minerals are necessary to the functionality of certain of the Company’s products. As required in the Conflict Regulations, the Company has conducted a reasonable country of origin inquiry (“RCOI”) designed to determine whether any of the conflict minerals originated in the Democratic Republic of the Congo or an adjoining country or are from recycled or scrap sources. Based on its RCOI, the Company has determined that certain of the conflict minerals contained in its products may have originated in the Democratic Republic of the Congo or an adjoining country and may not be from recycled or scrap sources. Therefore, the Company was required to exercise due diligence on the source and chain of custody of its conflict minerals in accordance with the Conflict Regulations and Form SD and to file a Conflict Minerals Report.
Conflict Minerals Disclosure
The Company has filed a Conflict Minerals Report which is attached hereto as Exhibit 1.01 and is incorporated herein by reference. Such report is also publicly available on the Company’s website at the following link: http://www.onsemi.com/social-responsibility.
Item 1.02. Exhibit
Information concerning conflict minerals required by the Conflict Regulations is included in Exhibit 1.01 to this Specialized Disclosure Report on Form SD.
SECTION 2. EXHIBITS
Item 2.01. Exhibits
| Exhibit No. |
Description | |
| 1.01 | Conflict Minerals Report for the year ended December 31, 2016 as required by Items 1.01 and 1.02 of this Form. | |
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SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the duly authorized undersigned.
| ON SEMICONDUCTOR CORPORATION | ||||
| (Registrant) | ||||
| Date: May 30, 2017 |
By: |
/s/ GEORGE H. CAVE | ||
| Name: |
George H. Cave | |||
| Title: |
Executive Vice President, General Counsel, Chief Compliance & Ethics Officer, Chief Risk Officer and Secretary | |||
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EXHIBIT INDEX
| Exhibit No. |
Description | |
| 1.01 | Conflict Minerals Report for the year ended December 31, 2016 as required by Items 1.01 and 1.02 of this Form. | |
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Exhibit 1.01
CONFLICTS MINERALS REPORT
This unaudited Conflict Minerals Report (this “Report”) of ON Semiconductor Corporation (the “Company,” “ON Semiconductor,” “we” or “us”) is attached as Exhibit 1.01 to the Form SD for the year ended December 31, 2016. This Report is also publicly available on the Company’s website at the following link: http://www.onsemi.com/social-responsibility. The content of any website referred to in this Report is included for general information only and is not incorporated by reference in this Report.
Pursuant to Rule 13p-1 and Section 13(p) of the Securities Exchange Act of 1934, as amended, which implements Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Conflict Regulations”), the Company was required to make certain inquiries and perform certain due diligence with respect to any “conflict minerals” (as defined by paragraph (d)(3) of Item 1.01 of Form SD) that are necessary to the functionality or production of a product manufactured (or contracted to be manufactured) by the Company or any of its subsidiaries.
The Company is a broad-based supplier of semiconductor components that serve a variety of end markets, including automotive, communications, computing, consumer, industrial, medical, networking and aerospace/defense. Our extensive portfolio of sensors, power and signal management, logic, system on chip, analog, connectivity, timing, discrete and custom devices helps customers efficiently solve their design challenges in advanced electronic systems and products.
As a purchaser of products containing the minerals tantalum, tin, tungsten or gold (collectively, “3TG”) from suppliers for use in our manufacturing process, the Company continues to be concerned about the reports of violence and human rights violations resulting from the sourcing of such minerals from the Democratic Republic of the Congo and adjoining countries (“Covered Countries”). The Company’s Corporate Social Responsibility Report is available at http://www.onsemi.com/social-responsibility.
For purposes of this Report, the term “products” is used to describe products manufactured (or contracted to be manufactured) by the Company or any of its subsidiaries. As a result, when conducting its conflict minerals analysis as required by the Conflict Regulations, the Company has considered its sole product to be semiconductor components.
This Report describes the process undertaken for products that were manufactured, or contracted to be manufactured, during calendar year 2016 and that contain conflict minerals. We completed our acquisition of Fairchild Semiconductor International, Inc. (“Fairchild”) on September 19, 2016, and Fairchild products are included within the scope of this Report. This Report is unaudited, as an independent private sector audit is not required pursuant to guidance provided by the Securities and Exchange Commission.
As a result of its inquiry, the Company determined that conflict minerals are necessary to the functionality of the Company’s products. In particular, these minerals provide internal electrically conductive connections to the various circuit elements required to manufacture a working semiconductor device and/or provide an electrically conductive path to connect the semiconductor device to the electronic application in which it is utilized.
Conflict minerals are obtained from sources worldwide, and the Company does not desire to eliminate those originating in Covered Countries. However, the Company is committed to ensuring conflict free sourcing of minerals from our supply chain through collaboration with our suppliers, including through our activities as a member of the Electronic Industry Citizenship Coalition (“EICC”) and a participant in the Conflict Free Sourcing Initiative (“CFSI”), which began as a joint effort between the EICC and Global e-Sustainability Initiative (“GeSI”). As a member of the CFSI, we are required to engage in reasonable due diligence with respect to our supply chain to assure such minerals are not being sourced from entities supporting armed conflict within the Covered Countries. The Company also recognizes the importance of supporting responsible mineral sourcing from the Covered Countries so as not to negatively impact the economies of those countries.
Due Diligence
Based on the Company’s reasonable country of origin inquiry (“RCOI”), the Company was unable to reasonably conclude that all of its conflict minerals did not originate in a Covered Country or come from recycled or scrap sources, and the Company continues its diligence on the source and chain of custody of its conflict minerals. In connection with this supply chain diligence, the Company used 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 (Second Edition, OECD 2013) and the related Supplements on tantalum, tin, tungsten and gold (collectively, the “OECD Guidance”) and, among other actions, implemented the following:
| • | OECD: Step 1: Established a strong management system |
| • | The Company continually reviews and updates policies as appropriate to reflect the procedures by which the Company and its suppliers should conduct conflict minerals related due diligence. |
| • | The Company established an internal management team to support supply chain due diligence. The internal management team includes appropriate employees within the Company’s quality, supply chain, finance, operations and legal departments. Regular reports generated as a result of this internal management team’s efforts were provided to the Audit Committee of the Company. |
| • | The Company utilized the form conflicts minerals reporting template (“CMRT”), standardized by the EICC, to collect sourcing information from its suppliers to identify whether (i) conflict minerals sourced by such suppliers originated in Covered Countries and (ii) whether or not smelters and refiners (collectively, “smelters”) used by such suppliers (or such suppliers’ suppliers) have been validated as compliant in |
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| accordance with the Conflict Free Smelter Program (“CFSP”). Appendix A sets forth a list of smelters, provided by the Company’s suppliers, from which the Company obtains product, including mineral type, standard smelter names, and whether the smelter is on the CFSI Compliant Smelter List (“Conflict Free Smelter List”). In addition, a summary of conflict minerals and countries of origin information, collected in connection with our RCOI efforts, is attached hereto as Appendix B. |
| • | The CFSI developed an audit protocol for verification of entities as compliant with the CFSP in accordance with the OECD Guidance and in conjunction with complementary traceability schemes in the Covered Countries. The Conflict Free Smelter List is composed of entities that were determined to be compliant with the CFSP and that have been subject to an independent third party audit to assess whether the entity employed policies, practices, and procedures to source conflict free minerals. ON Semiconductor uses the Conflict Free Smelter List and any other lists that have been recognized by the CFSI, including the London Bullion Metal Association (LBMA) and Responsible Jewelry Council (RJC) lists for gold, for making conflict minerals determinations with respect to conflict minerals sourced by the Company. We are a member of CFSI and have access to CFSI country of origin information for entities on the Conflict Free Smelter List. |
| • | The Company utilizes an internal compliance audit to assess and confirm that the due diligence approach followed by the Company was in accordance with OECD Guidance. |
| • | The Company established communication channels with customers and suppliers to inquire about conflict minerals, alert such entities about the risk of using non-CFSP sources and about the grievance mechanisms for our conflict minerals program. |
| • | OECD: Step 2: Risk Identification and Assessment / Identified supply chain risk |
| • | The Company believes that it has identified 100% of the suppliers who provide it with 3TG through its supply chain diligence. As of December 31, 2016, the Company received declaration from 100% of its suppliers of conflict minerals using the CMRT. |
| • | The Company employs a third party web-based software platform to collect, manage and aggregate the CMRT declarations received from its suppliers and to report the results to its customers. This software ensures the Company has an auditable “chain of custody” regarding receipt of declarations and information received from suppliers. |
| • | The Company’s conflict mineral team reviews all CMRT responses for completeness and consistency with the latest CMRT revision. |
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| • | OECD Step 3: Strategy to respond to Identified risks / Implemented strategy to address that risk |
| • | The Company’s conflict mineral team reviews and updates the company level CMRT on a monthly basis to identify any risks in the supply chain for non-CFSP compliant smelters reported by suppliers in their submitted CMRT’s. |
| • | Outreach or encouragement letters will be sent to suppliers to remove or replace non-CFSP compliant smelters. The Company contacts suppliers and continuously sends out reminder emails to request responses or updates. |
| • | As part of the CFSI Smelter Engagement Team campaign, outreach or encouragement letters are also sent directly by the Company’s conflict minerals coordinator to non-CFSP compliant smelters-. |
| • | The Company conducts a risk assessment of all suppliers and suppliers are rated using the internally-developed risk matrix system based on the CMRT submitted. Risk levels are No Risk, Low Risk, Medium Risk, High Risk and Critical Risk. |
| • | No Risk or Low Risk means that a supplier is using 100% CFSP compliant smelters with a publicly-posted conflict minerals policy and that such supplier submitted a product level CMRT. |
| • | Medium Risk means that a supplier has a rating between Low Risk and High Risk. |
| • | High Risk or Critical Risk means that a supplier is either using unknown/alleged smelters or has no conflict minerals policy. |
| • | As of December 31, 2016, 86% of our suppliers are in the “No Risk” or “Low Risk” levels. |
| • | The Company has developed a date and version controlled document and conflict minerals audit checklist for use in auditing its major suppliers of conflict minerals and has incorporated this checklist into its ongoing supplier audit process. |
| • | All suppliers receive a letter through a third party solution provider requesting them to: |
| • | adopt a policy to reasonably assure that the conflict minerals in their products do not directly or indirectly finance or benefit armed groups in the Covered Countries; |
| • | identify all conflict minerals smelters in their supply chain; and |
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| • | report back to the Company by filling in the latest CMRT. |
| • | The status of suppliers is discussed internally in monthly reviews with the conflict minerals team and reported to senior management. |
| • | OECD Step 4: Smelter audits / Independent auditing of smelters |
| • | The Company’s conflict mineral coordinators are members of the CFSI working teams that continue to encourage smelters to participate in the CFSP. To that end, the Company approaches, through direct communication and smelter outreach, both the smelters and their customers (the Company’s suppliers) in our supply chain. The Company also contributes to thought leadership and participates in the relevant workgroups and taskforces within industry organizations and industry mechanisms. |
| • | OECD Step 5: Report on supply chain due diligence. Inherent limitations on due diligence measures |
| • | The Company is an indirect purchaser of conflict minerals, and its due diligence measures provide reasonable, not absolute, assurance regarding the source and chain of custody of conflict minerals. The Company’s due diligence processes seek data from its direct suppliers and those suppliers seek similar information within their supply chains to identify the original sources of the 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 produce inaccurate or incomplete information and may be subject to fraud. |
| • | The Company prepares and submits a Conflict Minerals Report to the Securities Exchange Commission on an annual basis. This report is made available and posted publicly on the Company’s website. |
Due Diligence Results
As a result of its continuous due diligence with suppliers and smelters through CFSI’s smelter engagement team, the Company has determined that approximately 98% of our smelters are CFSP compliant as of December 31, 2016 compared to 89% at the end of 2015 and 53% at the end of 2014.
Smelter or refiner statuses are defined as follows:
| • | Compliant means that a smelter has been audited and found compliant with the relevant CFSP protocol and is included in the CMRT Standard Smelter List. |
| • | Active means that a smelter has engaged in the CFSP program but has not yet been determined to be compliant and included in the CMRT Standard Smelter List. |
| • | Eligible means that a smelter meets the definition of a smelter or refiner and is included in the CMRT Standard Smelter List. |
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| • | Not Eligible means that a smelter does not meet the definition of a smelter or refiner or is otherwise ineligible for the program and is not included in the CMRT Standard Smelter List. |
| • | Alleged means that it is unknown whether the entity is a smelter or refiner. More research is needed and the entity is not included in the CMRT Standard Smelter List. |
Products
As indicated above in the Due Diligence section, the Company has been unable to determine the origins of certain of the conflict minerals contained in its products.
Mitigation of Risk Related to Benefiting Armed Groups
The Company continues to improve its processes and procedures to mitigate the risk that its necessary conflict minerals benefit armed groups. In particular, the Company has taken the following steps to improve its due diligence processes:
| • | The Company has incorporated conflict minerals compliance requirements into its supplier handbook for all suppliers. |
| • | The Company has incorporated conflict minerals requirements and checkpoints into its business processes for new product introduction, new supplier qualification and change management. |
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APPENDIX A
CONFLICT MINERALS SOURCING INFORMATION
(as of December 31, 2016)
| SN | METAL | CID | STANDARD SMELTER/REFINER NAME | Country | ||||||||
| 1 | Gold | CID000019 | Aida Chemical Industries Co., Ltd. | JAPAN | ||||||||
| 2 | Gold | CID000035 | Allgemeine Gold-und Silberscheideanstalt A.G. | GERMANY | ||||||||
| 3 | Gold | CID000058 | AngloGold Ashanti Córrego do Sítio Mineração | BRAZIL | ||||||||
| 4 | Gold | CID000077 | Argor-Heraeus S.A. | SWITZERLAND | ||||||||
| 5 | Gold | CID000082 | Asahi Pretec Corp. | JAPAN | ||||||||
| 6 | Gold | CID000924 | Asahi Refining Canada Ltd. | CANADA | ||||||||
| 7 | Gold | CID000920 | Asahi Refining USA Inc. | USA | ||||||||
| 8 | Gold | CID000090 | Asaka Riken Co., Ltd. | JAPAN | ||||||||
| 9 | Gold | CID000113 | Aurubis AG | GERMANY | ||||||||
| 10 | Gold | CID000128 | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | PHILIPPINES | ||||||||
| 11 | Gold | CID000157 | Boliden AB | SWEDEN | ||||||||
| 12 | Gold | CID000176 | C. Hafner GmbH + Co. KG | GERMANY | ||||||||
| 13 | Gold | CID000185 | CCR Refinery - Glencore Canada Corporation | CANADA | ||||||||
| 14 | Gold | CID000189 | Cendres + Métaux S.A. | SWITZERLAND | ||||||||
| 15 | Gold | CID000233 | Chimet S.p.A. | ITALY | ||||||||
| 16 | Gold | CID000362 | DODUCO GmbH | GERMANY | ||||||||
| 17 | Gold | CID000401 | Dowa | JAPAN | ||||||||
| 18 | Gold | CID000425 | Eco-System Recycling Co., Ltd. | JAPAN | ||||||||
| 19 | Gold | CID001322 | Elemetal Refining, LLC | USA | ||||||||
| 20 | Gold | CID000694 | Heimerle + Meule GmbH | GERMANY | ||||||||
| 21 | Gold | CID000707 | Heraeus Ltd. Hong Kong | CHINA | ||||||||
| 22 | Gold | CID000711 | Heraeus Precious Metals GmbH & Co. KG | GERMANY | ||||||||
| 23 | Gold | CID000807 | Ishifuku Metal Industry Co., Ltd. | JAPAN | ||||||||
| 24 | Gold | CID000814 | Istanbul Gold Refinery | TURKEY | ||||||||
| 25 | Gold | CID000855 | Jiangxi Copper Co., Ltd. | CHINA | ||||||||
| 26 | Gold | CID000937 | JX Nippon Mining & Metals Co., Ltd. | JAPAN | ||||||||
| 27 | Gold | CID000969 | Kennecott Utah Copper LLC | USA | ||||||||
| 28 | Gold | CID000981 | Kojima Chemicals Co., Ltd. | JAPAN | ||||||||
| 29 | Gold | CID001078 | LS-NIKKO Copper Inc. | KOREA (REPUBLIC OF) | ||||||||
| 30 | Gold | CID001113 | Materion | USA | ||||||||
| 31 | Gold | CID001119 | Matsuda Sangyo Co., Ltd. | JAPAN | ||||||||
| 32 | Gold | CID001149 | Metalor Technologies (Hong Kong) Ltd. | CHINA | ||||||||
| 33 | Gold | CID001152 | Metalor Technologies (Singapore) Pte., Ltd. | SINGAPORE | ||||||||
| 34 | Gold | CID001153 | Metalor Technologies S.A. | SWITZERLAND | ||||||||
| 35 | Gold | CID001157 | Metalor USA Refining Corporation | USA | ||||||||
| 36 | Gold | CID001161 | Metalúrgica Met-Mex Peñoles S.A. De C.V. | MEXICO | ||||||||
| 37 | Gold | CID001188 | Mitsubishi Materials Corporation | JAPAN |
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| SN | METAL | CID | STANDARD SMELTER/REFINER NAME | Country | ||||||||
| 38 | Gold | CID001193 | Mitsui Mining and Smelting Co., Ltd. | JAPAN | ||||||||
| 39 | Gold | CID001220 | Nadir Metal Rafineri San. Ve Tic. A.Ş. | TURKEY | ||||||||
| 40 | Gold | CID001259 | Nihon Material Co., Ltd. | JAPAN | ||||||||
| 41 | Gold | CID002779 | Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH | AUSTRIA | ||||||||
| 42 | Gold | CID001325 | Ohura Precious Metal Industry Co., Ltd. | JAPAN | ||||||||
| 43 | Gold | CID001352 | PAMP S.A. | SWITZERLAND | ||||||||
| 44 | Gold | CID001397 | PT Aneka Tambang (Persero) Tbk | INDONESIA | ||||||||
| 45 | Gold | CID001498 | PX Précinox S.A. | SWITZERLAND | ||||||||
| 46 | Gold | CID001512 | Rand Refinery (Pty) Ltd. | SOUTH AFRICA | ||||||||
| 47 | Gold | CID002510 | Republic Metals Corporation | USA | ||||||||
| 48 | Gold | CID001534 | Royal Canadian Mint | CANADA | ||||||||
| 49 | Gold | CID002777 | SAXONIA Edelmetalle GmbH | GERMANY | ||||||||
| 50 | Gold | CID001573 | Schone Edelmetaal B.V. | NETHERLANDS | ||||||||
| 51 | Gold | CID001585 | SEMPSA Joyería Platería S.A. | SPAIN | ||||||||
| 52 | Gold | CID001622 | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | CHINA | ||||||||
| 53 | Gold | CID001736 | Sichuan Tianze Precious Metals Co., Ltd. | CHINA | ||||||||
| 54 | Gold | CID001756 | SOE Shyolkovsky Factory of Secondary Precious Metals | RUSSIAN FEDERATION | ||||||||
| 55 | Gold | CID001761 | Solar Applied Materials Technology Corp. | TAIWAN | ||||||||
| 56 | Gold | CID001798 | Sumitomo Metal Mining Co., Ltd. | JAPAN | ||||||||
| 57 | Gold | CID001875 | Tanaka Kikinzoku Kogyo K.K. | JAPAN | ||||||||
| 58 | Gold | CID001916 | The Refinery of Shandong Gold Mining Co., Ltd. | CHINA | ||||||||
| 59 | Gold | CID001938 | Tokuriki Honten Co., Ltd. | JAPAN | ||||||||
| 60 | Gold | CID001977 | Umicore Brasil Ltda. | BRAZIL | ||||||||
| 61 | Gold | CID002314 | Umicore Precious Metals Thailand | THAILAND | ||||||||
| 62 | Gold | CID001980 | Umicore S.A. Business Unit Precious Metals Refining | BELGIUM | ||||||||
| 63 | Gold | CID001993 | United Precious Metal Refining, Inc. | USA | ||||||||
| 64 | Gold | CID002003 | Valcambi S.A. | SWITZERLAND | ||||||||
| 65 | Gold | CID002030 | Western Australian Mint trading as The Perth Mint | AUSTRALIA | ||||||||
| 66 | Gold | CID002778 | WIELAND Edelmetalle GmbH | GERMANY | ||||||||
| 67 | Gold | CID002100 | Yamamoto Precious Metal Co., Ltd. | JAPAN | ||||||||
| 68 | Gold | CID002129 | Yokohama Metal Co., Ltd. | JAPAN | ||||||||
| 69 | Gold | CID002224 | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | CHINA | ||||||||
| 70 | Gold | CID002243 | Zijin Mining Group Co., Ltd. Gold Refinery | CHINA | ||||||||
| 71 | Tantalum | CID000211 | Changsha South Tantalum Niobium Co., Ltd. | CHINA | ||||||||
| 72 | Tantalum | CID000291 | Conghua Tantalum and Niobium Smeltry | CHINA | ||||||||
| 73 | Tantalum | CID002504 | D Block Metals, LLC | USA | ||||||||
| 74 | Tantalum | CID000410 | Duoluoshan | CHINA | ||||||||
| 75 | Tantalum | CID000456 | Exotech Inc. | USA | ||||||||
| 76 | Tantalum | CID000460 | F&X Electro-Materials Ltd. | CHINA | ||||||||
| 77 | Tantalum | CID002505 | FIR Metals & Resource Ltd. | CHINA | ||||||||
| 78 | Tantalum | CID002558 | Global Advanced Metals Aizu | JAPAN | ||||||||
| 79 | Tantalum | CID002557 | Global Advanced Metals Boyertown | USA |
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| SN | METAL | CID | STANDARD SMELTER/REFINER NAME | Country | ||||||||
| 80 | Tantalum | CID000616 | Guangdong Zhiyuan New Material Co., Ltd. | CHINA | ||||||||
| 81 | Tantalum | CID002544 | H.C. Starck Co., Ltd. | THAILAND | ||||||||
| 82 | Tantalum | CID002545 | H.C. Starck GmbH Goslar | GERMANY | ||||||||
| 83 | Tantalum | CID002546 | H.C. Starck GmbH Laufenburg | GERMANY | ||||||||
| 84 | Tantalum | CID002547 | H.C. Starck Hermsdorf GmbH | GERMANY | ||||||||
| 85 | Tantalum | CID002548 | H.C. Starck Inc. | USA | ||||||||
| 86 | Tantalum | CID002549 | H.C. Starck Ltd. | JAPAN | ||||||||
| 87 | Tantalum | CID002550 | H.C. Starck Smelting GmbH & Co. KG | GERMANY | ||||||||
| 88 | Tantalum | CID002492 | Hengyang King Xing Lifeng New Materials Co., Ltd. | CHINA | ||||||||
| 89 | Tantalum | CID000731 | Hi-Temp Specialty Metals, Inc. | USA | ||||||||
| 90 | Tantalum | CID000914 | JiuJiang JinXin Nonferrous Metals Co., Ltd. | CHINA | ||||||||
| 91 | Tantalum | CID000917 | Jiujiang Tanbre Co., Ltd. | CHINA | ||||||||
| 92 | Tantalum | CID002539 | KEMET Blue Metals | MEXICO | ||||||||
| 93 | Tantalum | CID002568 | KEMET Blue Powder | USA | ||||||||
| 94 | Tantalum | CID001076 | LSM Brasil S.A. | BRAZIL | ||||||||
| 95 | Tantalum | CID001163 | Metallurgical Products India Pvt., Ltd. | INDIA | ||||||||
| 96 | Tantalum | CID001175 | Mineração Taboca S.A. | BRAZIL | ||||||||
| 97 | Tantalum | CID001192 | Mitsui Mining and Smelting Co., Ltd. | JAPAN | ||||||||
| 98 | Tantalum | CID001277 | Ningxia Orient Tantalum Industry Co., Ltd. | CHINA | ||||||||
| 99 | Tantalum | CID001200 | Molycorp Silmet A.S. | ESTONIA | ||||||||
| 100 | Tantalum | CID002540 | Plansee SE Liezen | AUSTRIA | ||||||||
| 101 | Tantalum | CID002556 | Plansee SE Reutte | AUSTRIA | ||||||||
| 102 | Tantalum | CID001769 | Solikamsk Magnesium Works OAO | RUSSIAN FEDERATION | ||||||||
| 103 | Tantalum | CID001869 | Taki Chemical Co., Ltd. | JAPAN | ||||||||
| 104 | Tantalum | CID001891 | Telex Metals | USA | ||||||||
| 105 | Tantalum | CID001969 | Ulba Metallurgical Plant JSC | KAZAKHSTAN | ||||||||
| 106 | Tantalum | CID002307 | Yichun Jin Yang Rare Metal Co., Ltd. | CHINA | ||||||||
| 107 | Tantalum | CID002232 | Zhuzhou Cemented Carbide Group Co., Ltd. | CHINA | ||||||||
| 108 | Tin | CID000292 | Alpha | USA | ||||||||
| 109 | Tin | CID001070 | China Tin Group Co., Ltd. | CHINA | ||||||||
| 110 | Tin | CID000295 | Cooperativa Metalurgica de Rondônia Ltda. | BRAZIL | ||||||||
| 111 | Tin | CID002570 | CV Ayi Jaya | INDONESIA | ||||||||
| 112 | Tin | CID000306 | CV Gita Pesona | INDONESIA | ||||||||
| 113 | Tin | CID000313 | CV Serumpun Sebalai | INDONESIA | ||||||||
| 114 | Tin | CID000315 | CV United Smelting | INDONESIA | ||||||||
| 115 | Tin | CID002455 | CV Venus Inti Perkasa | INDONESIA | ||||||||
| 116 | Tin | CID000402 | Dowa | JAPAN | ||||||||
| 117 | Tin | CID002774 | Elmet S.L.U. | SPAIN | ||||||||
| 118 | Tin | CID000438 | EM Vinto | BOLIVIA | ||||||||
| 119 | Tin | CID000468 | Fenix Metals | POLAND | ||||||||
| 120 | Tin | CID000538 | Gejiu Non-Ferrous Metal Processing Co., Ltd. | CHINA | ||||||||
| 121 | Tin | CID000244 | Jiangxi Ketai Advanced Material Co., Ltd. | CHINA |
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| SN | METAL | CID | STANDARD SMELTER/REFINER NAME | Country | ||||||||
| 122 | Tin | CID002468 | Magnu’s Minerais Metais e Ligas Ltda. | BRAZIL | ||||||||
| 123 | Tin | CID001105 | Malaysia Smelting Corporation (MSC) | MALAYSIA | ||||||||
| 124 | Tin | CID002500 | Melt Metais e Ligas S.A. | BRAZIL | ||||||||
| 125 | Tin | CID001142 | Metallic Resources, Inc. | USA | ||||||||
| 126 | Tin | CID002773 | Metallo-Chimique N.V. | BELGIUM | ||||||||
| 127 | Tin | CID001173 | Mineração Taboca S.A. | BRAZIL | ||||||||
| 128 | Tin | CID001182 | Minsur | PERU | ||||||||
| 129 | Tin | CID001191 | Mitsubishi Materials Corporation | JAPAN | ||||||||
| 130 | Tin | CID001314 | O.M. Manufacturing (Thailand) Co., Ltd. | THAILAND | ||||||||
| 131 | Tin | CID002517 | O.M. Manufacturing Philippines, Inc. | PHILIPPINES | ||||||||
| 132 | Tin | CID001337 | Operaciones Metalurgical S.A. | BOLIVIA | ||||||||
| 133 | Tin | CID000309 | PT Aries Kencana Sejahtera | INDONESIA | ||||||||
| 134 | Tin | CID001399 | PT Artha Cipta Langgeng | INDONESIA | ||||||||
| 135 | Tin | CID002503 | PT ATD Makmur Mandiri Jaya | INDONESIA | ||||||||
| 136 | Tin | CID001402 | PT Babel Inti Perkasa | INDONESIA | ||||||||
| 137 | Tin | CID002776 | PT Bangka Prima Tin | INDONESIA | ||||||||
| 138 | Tin | CID001419 | PT Bangka Tin Industry | INDONESIA | ||||||||
| 139 | Tin | CID001421 | PT Belitung Industri Sejahtera | INDONESIA | ||||||||
| 140 | Tin | CID001428 | PT Bukit Timah | INDONESIA | ||||||||
| 141 | Tin | CID002696 | PT Cipta Persada Mulia | INDONESIA | ||||||||
| 142 | Tin | CID001434 | PT DS Jaya Abadi | INDONESIA | ||||||||
| 143 | Tin | CID001438 | PT Eunindo Usaha Mandiri | INDONESIA | ||||||||
| 144 | Tin | CID002530 | PT Inti Stania Prima | INDONESIA | ||||||||
| 145 | Tin | CID000307 | PT Justindo | INDONESIA | ||||||||
| 146 | Tin | CID001453 | PT Mitra Stania Prima | INDONESIA | ||||||||
| 147 | Tin | CID001457 | PT Panca Mega Persada | INDONESIA | ||||||||
| 148 | Tin | CID001458 | PT Prima Timah Utama | INDONESIA | ||||||||
| 149 | Tin | CID001460 | PT Refined Bangka Tin | INDONESIA | ||||||||
| 150 | Tin | CID001463 | PT Sariwiguna Binasentosa | INDONESIA | ||||||||
| 151 | Tin | CID001468 | PT Stanindo Inti Perkasa | INDONESIA | ||||||||
| 152 | Tin | CID002816 | PT Sukses Inti Makmur | INDONESIA | ||||||||
| 153 | Tin | CID001471 | PT Sumber Jaya Indah | INDONESIA | ||||||||
| 154 | Tin | CID001477 | PT Timah (Persero) Tbk Kundur | INDONESIA | ||||||||
| 155 | Tin | CID001482 | PT Timah (Persero) Tbk Mentok | INDONESIA | ||||||||
| 156 | Tin | CID001490 | PT Tinindo Inter Nusa | INDONESIA | ||||||||
| 157 | Tin | CID002479 | PT Wahana Perkit Jaya | INDONESIA | ||||||||
| 158 | Tin | CID002706 | Resind Indústria e Comércio Ltda. | BRAZIL | ||||||||
| 159 | Tin | CID001539 | Rui Da Hung | TAIWAN | ||||||||
| 160 | Tin | CID001758 | Soft Metais Ltda. | BRAZIL | ||||||||
| 161 | Tin | CID001898 | Thaisarco | THAILAND | ||||||||
| 162 | Tin | CID002015 | VQB Mineral and Trading Group JSC | VIET NAM | ||||||||
| 163 | Tin | CID002036 | White Solder Metalurgia e Mineração Ltda. | BRAZIL |
10
| SN | METAL | CID | STANDARD SMELTER/REFINER NAME | Country | ||||||||
| 164 | Tin | CID002158 | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | CHINA | ||||||||
| 165 | Tin | CID002180 | Yunnan Tin Company Limited | CHINA | ||||||||
| 166 | Tungsten | CID000004 | A.L.M.T. TUNGSTEN Corp. | JAPAN | ||||||||
| 167 | Tungsten | CID002513 | Chenzhou Diamond Tungsten Products Co., Ltd. | CHINA | ||||||||
| 168 | Tungsten | CID000258 | Chongyi Zhangyuan Tungsten Co., Ltd. | CHINA | ||||||||
| 169 | Tungsten | CID000499 | Fujian Jinxin Tungsten Co., Ltd. | CHINA | ||||||||
| 170 | Tungsten | CID000875 | Ganzhou Huaxing Tungsten Products Co., Ltd. | CHINA | ||||||||
| 171 | Tungsten | CID002315 | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | CHINA | ||||||||
| 172 | Tungsten | CID002494 | Ganzhou Seadragon W & Mo Co., Ltd. | CHINA | ||||||||
| 173 | Tungsten | CID000568 | Global Tungsten & Powders Corp. | USA | ||||||||
| 174 | Tungsten | CID000218 | Guangdong Xianglu Tungsten Co., Ltd. | CHINA | ||||||||
| 175 | Tungsten | CID002541 | H.C. Starck GmbH | GERMANY | ||||||||
| 176 | Tungsten | CID002542 | H.C. Starck Smelting GmbH & Co.KG | GERMANY | ||||||||
| 177 | Tungsten | CID000766 | Hunan Chenzhou Mining Co., Ltd. | CHINA | ||||||||
| 178 | Tungsten | CID002579 | Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji | CHINA | ||||||||
| 179 | Tungsten | CID000769 | Hunan Chunchang Nonferrous Metals Co., Ltd. | CHINA | ||||||||
| 180 | Tungsten | CID002649 | Hydrometallurg, JSC | RUSSIAN FEDERATION | ||||||||
| 181 | Tungsten | CID000825 | Japan New Metals Co., Ltd. | JAPAN | ||||||||
| 182 | Tungsten | CID002551 | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | CHINA | ||||||||
| 183 | Tungsten | CID002321 | Jiangxi Gan Bei Tungsten Co., Ltd. | CHINA | ||||||||
| 184 | Tungsten | CID002318 | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | CHINA | ||||||||
| 185 | Tungsten | CID002317 | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | CHINA | ||||||||
| 186 | Tungsten | CID000966 | Kennametal Fallon | USA | ||||||||
| 187 | Tungsten | CID000105 | Kennametal Huntsville | USA | ||||||||
| 188 | Tungsten | CID002589 | Niagara Refining LLC | USA | ||||||||
| 189 | Tungsten | CID002543 | Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC | VIET NAM | ||||||||
| 190 | Tungsten | CID001889 | Tejing (Vietnam) Tungsten Co., Ltd. | VIET NAM | ||||||||
| 191 | Tungsten | CID002044 | Wolfram Bergbau und Hütten AG | AUSTRIA | ||||||||
| 192 | Tungsten | CID002320 | Xiamen Tungsten (H.C.) Co., Ltd. | CHINA | ||||||||
| 193 | Tungsten | CID002082 | Xiamen Tungsten Co., Ltd. | CHINA |
11
APPENDIX B
Below is a summary of the minerals used in our products and country of origin information, collected as a result of the Company’s RCOI and due diligence from all the suppliers.
| CONFLICT |
SMELTER COUNTRY | |
| TANTALUM |
AUSTRIA, BRAZIL, CHINA, ESTONIA, GERMANY, INDIA, JAPAN, KAZAKHSTAN, MEXICO, RUSSIAN FEDERATION, THAILAND, UNITED STATES * Bolivia, Ethiopia, France, Guinea, Guyana, Madagascar, Malaysia, Namibia, Nigeria, Sierra Leone, Zimbabwe, Mozambique, Burundi, Congo (Democratic Republic of), Rwanda | |
| TIN |
BELGIUM, BOLIVIA, BRAZIL, CHINA, INDONESIA, JAPAN, MALAYSIA, PERU, PHILIPPINES, POLAND, SPAIN, TAIWAN, THAILAND, UNITED STATES, VIETNAM *Australia, Colombia, Laos, Mongolia, Myanmar, Nigeria, Portugal, Russia, Burundi, Congo (Democratic Republic of), Rwanda, Uganda | |
| TUNGSTEN |
AUSTRIA, CHINA, GERMANY, JAPAN, RUSSIAN FEDERATION, UNITED STATES, VIETNAM * Australia, Cambodia, Canada, Colombia, Mexico, Mongolia, Nigeria, Portugal, Russia, Uzbekistan, Zimbabwe, Burundi Congo (Democratic Republic of), Rwanda | |
| GOLD |
AUSTRALIA, AUSTRIA, BELGIUM, BRAZIL, CANADA, CHINA, GERMANY, INDONESIA, ITALY, JAPAN, KOREA (REPUBLIC OF), MEXICO, NETHERLANDS, PHILIPPINES, RUSSIAN FEDERATION, SINGAPORE, SOUTH AFRICA, SPAIN, SWEDEN, SWITZERLAND, TAIWAN, THAILAND, TURKEY, UNITED STATES | |
| * | As referenced from CSFI’s RCOI data, some smelters are sourcing directly and indirectly from these countries where tantalum, tin and tungsten from the Democratic Republic of the Congo region have been validated by CFSI as “compliant” with CFSP protocols. |