SD

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM SD

SPECIALIZED DISCLOSURE REPORT

 

 

FLIR Systems Inc.

(Exact Name of Registrant as Specified in Its Charter)

 

 

 

Oregon   0-21918   93-0708501

(State or other jurisdiction

of incorporation or organization)

 

(Commission

File Number)

 

(I.R.S. Employer

Identification No.)

 

27700 SW Parkway Avenue

Wilsonville, Oregon

    97070
(Address of principal executive offices)     (Zip Code)

Todd M. DuChene, (503) 498-3318

(Name and telephone, 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, 2017.

 

 

 


Section 1 — Conflict Minerals Disclosure

ITEM 1.01 Conflict Minerals Disclosure and Report

The registrant’s Conflict Minerals Report for the year ended December 31, 2017 is attached hereto as Exhibit 1.01 and is available at http://www.flir.com/Supplier.

ITEM 1.02 Exhibit

The registrant’s Conflict Minerals Report for the year ended December 31, 2017 is attached hereto as Exhibit 1.01.

Section 2 — Exhibits

ITEM 2.01 Exhibits

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, the Registrant has duly caused this report to be signed on its behalf by the duly authorized undersigned.

 

FLIR Systems, Inc.
BY:   /s/ Todd M. DuChene
 

Todd M. DuChene

Senior Vice President, General Counsel

and Secretary

Date: May 29, 2018

EX-1.01

Exhibit 1.01

Conflict Minerals Report of FLIR Systems, Inc.

for the Year Ending December 31, 2017

The following should be read in conjunction with the definitions contained in the Securities and Exchange Commission (“SEC”) instructions to Form SD and related rules.

This report for the year ended December 31, 2017 is presented to comply with Rule 13p-1 (the “Rule”) under the Securities Exchange Act of 1934 (the “Exchange Act”). The Rule was adopted by the SEC to implement reporting and disclosure requirements related to “conflict minerals” as directed by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the “Dodd-Frank Act”). The term “conflict minerals” is defined as cassiterite, columbite-tantalite (coltan), gold, wolframite, and their derivatives, which are limited to tin, tantalum and tungsten. For the purposes of this report, tin, tungsten, tantalum and gold will collectively be referred to herein as the 3TGs. The Rule requires each SEC registrant to provide certain disclosures about 3TGs which are necessary to the functionality or production of products manufactured by such registrant.

Description of Company

FLIR Systems, Inc. (“FLIR,” the “Company,” “we,” “us,” or “our”) is a world leader in developing technologies that enhance perception and awareness. We design, develop, market, and distribute solutions that detect people, objects and substances that may not be perceived by human senses and improve the way people interact with the world around them. We bring these innovative technologies—which include thermal imaging systems, visible-light imaging systems, locater systems, measurement and diagnostic systems, and advanced threat-detection solutions—into daily life.

Founded in 1978, FLIR is a pioneer in advanced sensors and integrated sensor systems that enable the gathering, measurement, and analysis of critical information through a wide variety of applications in commercial, industrial, government, and consumer markets worldwide. We offer the broadest range of infrared, also known as thermal, imaging solutions in the world, with products that range from consumer-use thermal camera smartphone accessories to highly advanced aircraft-mounted imaging systems for military and search and rescue applications, with products in between serving a multitude of markets, customers, and applications.

 

 

Products Overview

We offer a wide array of sensor products, including infrared imaging cameras and systems, detector cores, CBRNE threat detectors, test and measurement instruments, radars, maritime electronics, and related products and solutions. We have evolved our product suite over time, expanding our reach into markets that are adjacent to thermal imaging, with the intent of expanding the adoption and channel development for thermal imaging technology. Examples of this evolution include our entrance into the visible-image security and surveillance market, the maritime electronics market, and the traffic monitoring and signal control market. We intend to continue this evolution as we continue to lower the cost of advanced sensing products. As the cost to own thermal technology continues to decline, the application of these sensors is expanding beyond imaging to areas such as data acquisition where thermal sensors can provide important data that can be used for a wide variety of applications. For further information about our products, please see Item 1 of our Annual Report on Form 10-K for the year ending December 31, 2017.

We conducted an analysis of our products and found that 3TGs can be found in the products described above. Therefore, substantially all the products that we manufacture are subject to the reporting obligations of the Rule.

Due Diligence Process

Reasonable Country of Origin Inquiry

With respect to 3TGs necessary to the functionality or production of products manufactured by us, or contracted by us to be manufactured, and required to be reported on Form SD for 2017, we conducted in good faith a country of origin inquiry that we believe was reasonably designed to determine whether any of the 3TGs originated in the Democratic Republic of the Congo (the “DRC”) or an adjoining country (collectively the “Covered Countries”) or were from recycled or scrap sources.

First, we identified all component suppliers and analyzed the bills of materials to identify any 3TGs that may be contained in the components provided by these suppliers. To achieve greater control and transparency over our supply chain and help identify the risk that our products contain any 3TGs that may be financing or benefiting armed groups in any Covered Country, we utilized a reporting template, the Conflict Minerals Reporting Template version 5.0 or higher (“CMRT”), and data gathered by the Responsible Minerals Initiative (“RMI”) of the Responsible Business Alliance (“RBA”) and the Global E-Sustainability Initiative (“GeSI”). We identified and compiled a list of our suppliers from whom we needed to request information about their sourcing of 3TGs, and we requested that such identified suppliers provide us with information regarding their supply chain using the CMRT.


 

To gain insight into the country of origin, chain of custody, and whether they directly or indirectly finance or benefit armed groups in any Covered Country (the “Conflict Status”) of our 3TGs in our products, we relied primarily on the data reported by suppliers via the CMRT and the data from the Responsible Minerals Assurance Process (“RMAP”). RMAP is a voluntary program in which an independent third party evaluates smelter and refiner procurement activities and determines whether the smelter or refiner demonstrated that all the materials it processed originated from conflict-free sources. Pursuant to our Conflict Smelter Policy and our Supplier Code of Conduct, we require all suppliers to complete a CMRT.

Based on the information we received from our suppliers (as described below), we have reason to believe that some of the 3TGs contained in our products may have come from recycled or scrap sources.

To the extent we determined from our suppliers’ responses that the 3TGs originated (or may have originated) in the Covered Countries and may not have been from recycled or scrap sources, we exercised further due diligence as required by the Rule. In exercising due diligence, we were not able to determine whether the 3TGs that originated (or may have originated) in the Covered Countries directly or indirectly financed or benefitted armed groups.

Despite our good faith effort to determine the countries of origin and chain of custody of the 3TGs contained in our products, we have concluded that our products remain “DRC conflict undeterminable.” We have reached this conclusion because we have been unable to determine the countries of origin of some of the 3TGs used in our products and, for the 3TGs whose country of origin has become known to us, we have been unable to determine whether such 3TGs directly or indirectly financed or benefited armed groups in the Covered Countries.

Our ability to determine the origin and chain of custody of 3TGs and the Conflict Status is limited. Our supply chain for 3TGs is complex. In most cases, we are several steps removed from the mining and smelting or refining of 3TGs. Out of necessity, we depend on information from suppliers that may themselves purchase 3TGs from persons other than the miner, smelter or refiner of 3TGs.

Due to the breadth and complexity of our products and respective supply chain, it will take time for many of our suppliers to verify the origin of all the 3TGs they procure. By using our supply chain due diligence processes, driving accountability within the supply chain by leveraging the industry standard RMI/RMAP program and continuing our outreach efforts with suppliers, we hope to enhance the transparency within our supply chain regarding 3TGs.

 

 

Design of Due Diligence Measures

During 2017, we followed our management systems and due diligence procedures for 3TGs that we established in 2013 (our “CM Process”) with the intent to conform with the Organization for Economic Co-operation and Development (“OECD”) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, Third Edition, 2016 (“OECD Guidance”).

OECD Guidance Step 1 — Establish Strong Internal Management Systems

 

    We have adopted a Conflict Minerals Policy and Supplier Code of Conduct, which is available on our web site at www.flir.com/Supply Chain Information.

 

    We have an internal team comprised of those employees who have responsibility for SEC reporting and compliance, and a system to notify the team of information that is relevant to supply-chain due diligence. This team is led by our Legal Department.

 

    We use a third-party service provider to assist us with supply-chain outreach and CMRT collection as well as with due diligence activities related to same.


    This year, we put a strong emphasis on supplier education and training. To accomplish this, we utilized our third-party service provider’s Learning Management System, to provide all in-scope suppliers access to a Conflict Minerals training course. This training is tracked and evaluated based on completion. All suppliers were encouraged to complete this course.

Our employees may anonymously report suspected violations of our Conflict Minerals Policy and Supplier Code of Conduct using our hotline which is hosted by EthicsPoint, available 24 hours a day, seven days a week.

The Company has adopted a policy to retain relevant documentation for a period of 5 years. Through our third-party service provider we retain all conflict minerals related documents, including supplier responses to CMRTs. All of this information and findings from this process are stored in a database that can be audited by internal or external parties.

OECD Guidance Step 2 — Identify and Assess Risk in the Supply Chain

 

    We require all suppliers that are within scope of providing products that may contain 3TGs to complete a CMRT.

 

    We requested that our suppliers that provide in-scope products or parts complete a CMRT to collect information about the smelters of 3TG used in our products.

 

    We analyzed the suppliers’ template responses for completeness and internal consistency and followed up with suppliers in an effort to resolve any discrepancies or incomplete answers that we identified.

 

    We relied on representations from suppliers that we considered reasonable. Our third-party service-provider also has automatic validation to flag CMRTs that contain conflicting responses or missing information. If such a CMRT was submitted, the supplier received an automated email response indicating the issues with the CMRT they provided.

 

    In some instances, we worked with suppliers to contact the manufacturer of products supplied to them. We considered warning signs or other circumstances that, in our view, indicated responses to the CMRT were unreliable or that the 3TGs came from a Covered Country and were not from recycled or scrap sources.

Based on the smelter lists provided by our suppliers via CMRT, we have identified 317 smelters or refiners that are on the RMI Standard Smelter List that accompanies CMRT version 5.10. Of these, 246 have a certified conflict-free status from the Responsible Minerals Assurance Process.

Each facility that meets the RMI definition of a smelter or refiner of a 3TG mineral is assessed according to red flag indicators defined in the OECD Guidance. Our third-party service provider uses 3 factors to determine the level of risk that each smelter poses to the supply chain by identifying red flags:

1. Geographic proximity to the DRC and covered countries;

2. RMAP audit status; and

3. Credible evidence of unethical or conflict sourcing.

Based on the above criteria the following facilities have been identified with red flag risks in the supply chain:

 

    Tony Goetz NV — CID002587

 

    African Gold Refinery Limited (AGR) — CID003185

 

    Kaloti Precious Metals — CID002563

 

    Universal Precious Metals Refining Zambia — CID002854

 

    Sudan Gold Refinery — CID002567

When these facilities were reported on a CMRT by one of our suppliers, risk mitigation activities were initiated. Through our third-party service provider along with the FLIR site supply chain organizations, suppliers that included any of the above facilities were immediately contacted and requested to take their own risk mitigation actions, including submission of FLIR, review products sold to FLIR and advise in writing if minerals from any of these smelters were used in FLIR products and, if so, work towards removal of these red-flag smelter(s) from their supply chain.

In accordance with OECD Due Diligence Guidance, risk mitigation will depend on each supplier’s specific context. Suppliers are given clear performance objectives within reasonable timeframes with clear expectations to remediate the issue with focus on elimination of these risks from the supply chain.


OECD Guidance Step 3 — Design and Implement a Strategy to Respond to Identified Risks

 

    Supplier terms and conditions require, whenever possible, compliance with FLIR’s Supplier Code of Conduct which requires suppliers to certify as to whether supplied products are or are not free of Conflict Minerals (“CMs”). FLIR’s standard Supplier Terms and Conditions includes language which states Suppliers are required to adhere to our conflict minerals policy.

 

    We notify our direct suppliers of CMs and each third-party manufacturer of our products that contain CMs of our policy on CMs.

 

    We are in the process of cross-referencing the smelter and refiner information provided by suppliers this year with the data made available by RMAP concerning the country of origin of the CMs processed by those facilities and their Conflict Status.

OECD Guidance Step 4 — Carry Out Independent Third-Party Audits of Supply Chain Due Diligence at Identified Points in the Supply Chain

 

    We rely on the RMAP initiative described above to identify smelters or refiners who are conformant with their assessment protocols, in satisfaction of the OECD framework requirements. Any smelters or refiners that were reported by our suppliers on their CMRTs who were not part of the RMAP were contacted directly by our third-party service provider to encourage them to participate in the RMAP.

OECD Guidance Step 5 — Report on Supply Chain Due Diligence

 

    We publicly report the results of our due diligence by publishing a CMR annually. Our reports are accessible on our website at http://www.flir.com/Supply.

Due Diligence Results

Survey Results

We received information from approximately 82% of our suppliers, including information on materials supplied directly to us and contained in products that we contracted to have manufactured by third parties. All final CMRT submissions were reviewed and validated to ensure no inaccuracies or inconsistencies were found. 46 suppliers did not submit a new CMRT when advised of such inaccuracies or inconsistencies and as such are still listed as invalid submissions as of April 27, 2018.

Smelters and Refiners

A majority of the responses we received from our suppliers provided aggregate data for their global supplier list on entity company-wide basis. However, some of the responses we received were incomplete or stated that the supplier had no knowledge regarding the source of the 3TGs in their products supplied to FLIR because they had merely purchased such products from a source further down the supply chain. Some suppliers who responded were able to identify smelters or refiners used by sub tier suppliers in their supply chains but not at a component level. However, their responses indicated that their own supply chain due diligence was less than complete. A minority of our suppliers provided product level CMRTs but were unable to tie individual smelters or refiners to the specific components that were delivered to us and are contained in our end products. We are therefore unable to definitively (i) determine whether any of the 3TGs reported by our suppliers were contained in our end products or (ii) validate which of the smelters and refineries included in the CMRTs of our suppliers actually supplied 3TGs for specific components used in our end products. Due to this, our list of smelters or refiners may contain more facilities than those that processed the 3TGs contained in our products.

We are continuing our review of all responses to correlate, identify and resolve the inconsistencies and missing information related to each supplier’s responses. Our continuing efforts to determine the mine or location of origin of the 3TGs follow the steps outlined in the OECD Guidance described above.


Risk Mitigation and Future Due Diligence Measures

We have taken, or will take, the following steps since the period covered by this Report to mitigate the risk that our 3TGs financed or benefitted armed groups in the Covered Countries:

 

    Increased the response rate of suppliers to our information requests by continuing to refine our data collection

process.

 

    Implemented a new conflict minerals procedure to clarify our processes.

 

    Carry out requirements outlined in FLIR’s Conflict Mineral Policy Statement to identify non-compliant suppliers and take action to require suppliers remediate the issue or risk corrective action up to and including FLIR establishing alternative sources from conflict free suppliers and may include escalation to senior management to advise of suppliers using high risk.

 

    Encourage suppliers to increase the participation rate of smelters and refiners in the RMAP.

 

    Require new suppliers to commit to comply with our Conflict Minerals Policy and Supplier Code of Conduct before placing any orders with the supplier.

 

    Improve our supply chain due diligence by increasing awareness internally and externally regarding our Conflict Minerals Policy.

We will also continue to engage with the RBA and other key industry groups as part of a wider industry collaboration to develop best practices for the global supply chain and address the ongoing issue of conflict minerals.

In accordance with the Rule, a copy of this Report will be posted on the Company’s website at http://www.flir.com/Supply.

Appendix A

 

Mineral

  

Smelter Name

  

Smelter Location

Gold

   Abington Reldan Metals, LLC    Abington Reldan Metals, LLC

Gold

   Advanced Chemical Company    Advanced Chemical Company

Gold

   Aida Chemical Industries Co., Ltd.    Aida Chemical Industries Co., Ltd.

Gold

   Al Etihad Gold Refinery DMCC    Al Etihad Gold Refinery DMCC

Gold

   Allgemeine Gold-und Silberscheideanstalt A.G.    Allgemeine Gold-und Silberscheideanstalt A.G.

Gold

   Almalyk Mining and Metallurgical Complex (AMMC)    Almalyk Mining and Metallurgical Complex (AMMC)

Gold

   AngloGold Ashanti Córrego do Sítio Mineração    AngloGold Ashanti Córrego do Sítio Mineração

Gold

   Argor-Heraeus S.A.    Argor-Heraeus S.A.

Gold

   Asahi Pretec Corp.    Asahi Pretec Corp.


Gold

   Asahi Refining Canada Ltd.    Asahi Refining Canada Ltd.

Gold

   Asahi Refining USA Inc.    Asahi Refining USA Inc.

Gold

   Asaka Riken Co., Ltd.    Asaka Riken Co., Ltd.

Gold

   Atasay Kuyumculuk Sanayi Ve Ticaret A.S.    Atasay Kuyumculuk Sanayi Ve Ticaret A.S.

Gold

   AU Traders and Refiners    AU Traders and Refiners

Gold

   AURA-II    AURA-II

Gold

   Aurubis AG    Aurubis AG

Gold

   Bangalore Refinery    Bangalore Refinery

Gold

  

Bangko Sentral ng Pilipinas (Central Bank of

the Philippines)

   Bangko Sentral ng Pilipinas (Central Bank of the Philippines)

Gold

   Boliden AB    Boliden AB

Gold

   C. Hafner GmbH + Co. KG    C. Hafner GmbH + Co. KG

Gold

   Caridad    Caridad

Gold

   CCR Refinery — Glencore Canada Corporation    CCR Refinery — Glencore Canada Corporation

Gold

   Cendres + Métaux S.A.    Cendres + Métaux S.A.

Gold

   Chimet S.p.A.    Chimet S.p.A.

Gold

   Chugai Mining    Chugai Mining

Gold

   Daejin Indus Co., Ltd.    Daejin Indus Co., Ltd.

Gold

   Daye Non-Ferrous Metals Mining Ltd.    Daye Non-Ferrous Metals Mining Ltd.

Gold

   Degussa Sonne / Mond Goldhandel GmbH    Degussa Sonne / Mond Goldhandel GmbH

Gold

   DODUCO GmbH    DODUCO GmbH                                                                             


Gold

   Dowa    Dowa

Gold

   DSC (Do Sung Corporation)    DSC (Do Sung Corporation)

Gold

   Eco-System Recycling Co., Ltd.    Eco-System Recycling Co., Ltd.

Gold

   Elemetal Refining, LLC    Elemetal Refining, LLC

Gold

   Emirates Gold DMCC    Emirates Gold DMCC

Gold

   Fidelity Printers and Refiners Ltd.    Fidelity Printers and Refiners Ltd.

Gold

   Gansu Seemine Material Hi-Tech Co., Ltd.    Gansu Seemine Material Hi-Tech Co., Ltd.

Gold

   Geib Refining Corporation    Geib Refining Corporation

Gold

   Great Wall Precious Metals Co., Ltd. of CBPM    Great Wall Precious Metals Co., Ltd. of CBPM

Gold

   Guangdong Jinding Gold Limited    Guangdong Jinding Gold Limited

Gold

   Gujarat Gold Centre    Gujarat Gold Centre                                                                     

Gold

  

Guoda Safina High-Tech Environmental Refinery

Co., Ltd.

   Guoda Safina High-Tech Environmental Refinery Co., Ltd.

Gold

   Hangzhou Fuchunjiang Smelting Co., Ltd.    Hangzhou Fuchunjiang Smelting Co., Ltd.

Gold

   Heimerle + Meule GmbH    Heimerle + Meule GmbH

Gold

   Heraeus Ltd. Hong Kong    Heraeus Ltd. Hong Kong

Gold

   Heraeus Precious Metals GmbH & Co. KG    Heraeus Precious Metals GmbH & Co. KG

Gold

   Hunan Chenzhou Mining Co., Ltd.    Hunan Chenzhou Mining Co., Ltd.

Gold

   Hwasung CJ Co., Ltd.    Hwasung CJ Co., Ltd.

Gold

   Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.    Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.

Gold

   Ishifuku Metal Industry Co., Ltd.    Ishifuku Metal Industry Co., Ltd.


Gold

   Istanbul Gold Refinery    Istanbul Gold Refinery                                                         

Gold

   Japan Mint    Japan Mint

Gold

   Jiangxi Copper Co., Ltd.    Jiangxi Copper Co., Ltd.

Gold

   JSC Ekaterinburg Non-Ferrous Metal Processing Plant    JSC Ekaterinburg Non-Ferrous Metal Processing Plant

Gold

   JSC Uralelectromed    JSC Uralelectromed

Gold

   JX Nippon Mining & Metals Co., Ltd.    JX Nippon Mining & Metals Co., Ltd.

Gold

   Kaloti Precious Metals    Kaloti Precious Metals

Gold

   Kazakhmys Smelting LLC    Kazakhmys Smelting LLC

Gold

   Kazzinc    Kazzinc

Gold

   Kennecott Utah Copper LLC    Kennecott Utah Copper LLC

Gold

   KGHM Polska Miedź Spółka Akcyjna    KGHM Polska Miedź Spółka Akcyjna

Gold

   Kojima Chemicals Co., Ltd.    Kojima Chemicals Co., Ltd.

Gold

   Korea Zinc Co., Ltd.    Korea Zinc Co., Ltd.

Gold

   Kyrgyzaltyn JSC    Kyrgyzaltyn JSC

Gold

   L’azurde Company For Jewelry    L’azurde Company For Jewelry

Gold

   Lingbao Gold Co., Ltd.    Lingbao Gold Co., Ltd.

Gold

   Lingbao Jinyuan Tonghui Refinery Co., Ltd.    Lingbao Jinyuan Tonghui Refinery Co., Ltd.

Gold

   L’Orfebre S.A.    L’Orfebre S.A.

Gold

   LS-NIKKO Copper Inc.    LS-NIKKO Copper Inc.

Gold

   Luoyang Zijin Yinhui Gold Refinery Co., Ltd.    Luoyang Zijin Yinhui Gold Refinery Co., Ltd.


Gold

   Materion    Materion                                                                     

Gold

   Matsuda Sangyo Co., Ltd.    Matsuda Sangyo Co., Ltd.

Gold

   Metalor Technologies (Hong Kong) Ltd.    Metalor Technologies (Hong Kong) Ltd.

Gold

   Metalor Technologies (Singapore) Pte., Ltd.    Metalor Technologies (Singapore) Pte., Ltd.

Gold

   Metalor Technologies (Suzhou) Ltd.    Metalor Technologies (Suzhou) Ltd.

Gold

   Metalor Technologies S.A.    Metalor Technologies S.A.

Gold

   Metalor USA Refining Corporation    Metalor USA Refining Corporation

Gold

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

Gold

   Mitsubishi Materials Corporation    Mitsubishi Materials Corporation

Gold

   Mitsui Mining and Smelting Co., Ltd.    Mitsui Mining and Smelting Co., Ltd.

Gold

   MMTC-PAMP India Pvt., Ltd.    MMTC-PAMP India Pvt., Ltd.

Gold

   Modeltech Sdn Bhd    Modeltech Sdn Bhd

Gold

   Morris and Watson    Morris and Watson

Gold

   Morris and Watson Gold Coast    Morris and Watson Gold Coast

Gold

   Moscow Special Alloys Processing Plant    Moscow Special Alloys Processing Plant

Gold

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

Gold

   Navoi Mining and Metallurgical Combinat    Navoi Mining and Metallurgical Combinat

Gold

   Nihon Material Co., Ltd.    Nihon Material Co., Ltd.

Gold

   Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH    Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH

Gold

   Ohura Precious Metal Industry Co., Ltd.    Ohura Precious Metal Industry Co., Ltd.


Gold

   OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)    OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)

Gold

   OJSC Novosibirsk Refinery    OJSC Novosibirsk Refinery

Gold

   PAMP S.A.    PAMP S.A.

Gold

   Pease & Curren    Pease & Curren

Gold

   Penglai Penggang Gold Industry Co., Ltd.    Penglai Penggang Gold Industry Co., Ltd.

Gold

   Prioksky Plant of Non-Ferrous Metals    Prioksky Plant of Non-Ferrous Metals

Gold

   PT Aneka Tambang (Persero) Tbk    PT Aneka Tambang (Persero) Tbk

Gold

   PX Précinox S.A.    PX Précinox S.A.

Gold

   Rand Refinery (Pty) Ltd.    Rand Refinery (Pty) Ltd.

Gold

   Remondis Argentia B.V.    Remondis Argentia B.V.

Gold

   Republic Metals Corporation    Republic Metals Corporation

Gold

   Royal Canadian Mint    Royal Canadian Mint

Gold

   SAAMP    SAAMP

Gold

   Sabin Metal Corp.    Sabin Metal Corp.

Gold

   SAFINA A.S.    SAFINA A.S.

Gold

   Sai Refinery    Sai Refinery

Gold

   Samduck Precious Metals    Samduck Precious Metals

Gold

   SAMWON Metals Corp.    SAMWON Metals Corp.

Gold

   SAXONIA Edelmetalle GmbH    SAXONIA Edelmetalle GmbH

Gold

   Schone Edelmetaal B.V.    Schone Edelmetaal B.V.                                             


Gold

   SEMPSA Joyería Platería S.A.    SEMPSA Joyería Platería S.A.                                                 

Gold

   Shandong Tiancheng Biological Gold Industrial Co., Ltd.    Shandong Tiancheng Biological Gold Industrial Co., Ltd.

Gold

   Shandong Zhaojin Gold & Silver Refinery Co., Ltd.    Shandong Zhaojin Gold & Silver Refinery Co., Ltd.

Gold

   Sichuan Tianze Precious Metals Co., Ltd.    Sichuan Tianze Precious Metals Co., Ltd.

Gold

   Singway Technology Co., Ltd.    Singway Technology Co., Ltd.

Gold

   So Accurate Group, Inc.    So Accurate Group, Inc.

Gold

   SOE Shyolkovsky Factory of Secondary Precious Metals    SOE Shyolkovsky Factory of Secondary Precious Metals

Gold

   Solar Applied Materials Technology Corp.    Solar Applied Materials Technology Corp.

Gold

   Sudan Gold Refinery    Sudan Gold Refinery

Gold

   Sumitomo Metal Mining Co., Ltd.    Sumitomo Metal Mining Co., Ltd.

Gold

   SungEel HiTech    SungEel HiTech

Gold

   T.C.A S.p.A    T.C.A S.p.A

Gold

   Tanaka Kikinzoku Kogyo K.K.    Tanaka Kikinzoku Kogyo K.K.

Gold

   The Refinery of Shandong Gold Mining Co., Ltd.    The Refinery of Shandong Gold Mining Co., Ltd.

Gold

   Tokuriki Honten Co., Ltd.    Tokuriki Honten Co., Ltd.

Gold

   Tongling Nonferrous Metals Group Co., Ltd.    Tongling Nonferrous Metals Group Co., Ltd.

Gold

   Tony Goetz NV    Tony Goetz NV

Gold

   TOO Tau-Ken-Altyn    TOO Tau-Ken-Altyn

Gold

   Torecom    Torecom

Gold

   Umicore Brasil Ltda.    Umicore Brasil Ltda.


Gold

   Umicore Precious Metals Thailand    Umicore Precious Metals Thailand                                     

Gold

   Umicore S.A. Business Unit Precious Metals Refining    Umicore S.A. Business Unit Precious Metals Refining

Gold

   United Precious Metal Refining, Inc.    United Precious Metal Refining, Inc.

Gold

   Universal Precious Metals Refining Zambia    Universal Precious Metals Refining Zambia

Gold

   Valcambi S.A.    Valcambi S.A.

Gold

   Western Australian Mint trading as The Perth Mint    Western Australian Mint trading as The Perth Mint

Gold

   WIELAND Edelmetalle GmbH    WIELAND Edelmetalle GmbH

Gold

   Yamamoto Precious Metal Co., Ltd.    Yamamoto Precious Metal Co., Ltd.

Gold

   Yokohama Metal Co., Ltd.    Yokohama Metal Co., Ltd.

Gold

   Yunnan Copper Industry Co., Ltd.    Yunnan Copper Industry Co., Ltd.

Gold

   Zhongyuan Gold Smelter of Zhongjin Gold Corporation    Zhongyuan Gold Smelter of Zhongjin Gold Corporation

Gold

   Zijin Mining Group Co., Ltd. Gold Refinery    Zijin Mining Group Co., Ltd. Gold Refinery

Tantalum

   Changsha South Tantalum Niobium Co., Ltd.    Changsha South Tantalum Niobium Co., Ltd.

Tantalum

   Conghua Tantalum and Niobium Smeltry    Conghua Tantalum and Niobium Smeltry

Tantalum

   D Block Metals, LLC    D Block Metals, LLC

Tantalum

   Duoluoshan    Duoluoshan

Tantalum

   Exotech Inc.    Exotech Inc.

Tantalum

   F&X Electro-Materials Ltd.    F&X Electro-Materials Ltd.

Tantalum

   FIR Metals & Resource Ltd.    FIR Metals & Resource Ltd.

Tantalum

   Global Advanced Metals Aizu    Global Advanced Metals Aizu


Tantalum

   Global Advanced Metals Boyertown    Global Advanced Metals Boyertown                                 

Tantalum

   Guangdong Zhiyuan New Material Co., Ltd.    Guangdong Zhiyuan New Material Co., Ltd.

Tantalum

   H.C. Starck Co., Ltd.    H.C. Starck Co., Ltd.

Tantalum

   H.C. Starck GmbH Goslar    H.C. Starck GmbH Goslar

Tantalum

   H.C. Starck GmbH Laufenburg    H.C. Starck GmbH Laufenburg

Tantalum

   H.C. Starck Hermsdorf GmbH    H.C. Starck Hermsdorf GmbH

Tantalum

   H.C. Starck Inc.    H.C. Starck Inc.

Tantalum

   H.C. Starck Ltd.    H.C. Starck Ltd.

Tantalum

   H.C. Starck Smelting GmbH & Co. KG    H.C. Starck Smelting GmbH & Co. KG

Tantalum

   Hengyang King Xing Lifeng New Materials Co., Ltd.    Hengyang King Xing Lifeng New Materials Co., Ltd.

Tantalum

   Hi-Temp Specialty Metals, Inc.    Hi-Temp Specialty Metals, Inc.

Tantalum

   Jiangxi Dinghai Tantalum & Niobium Co., Ltd.    Jiangxi Dinghai Tantalum & Niobium Co., Ltd.

Tantalum

   Jiangxi Tuohong New Raw Material    Jiangxi Tuohong New Raw Material

Tantalum

   JiuJiang JinXin Nonferrous Metals Co., Ltd.    JiuJiang JinXin Nonferrous Metals Co., Ltd.

Tantalum

   Jiujiang Tanbre Co., Ltd.    Jiujiang Tanbre Co., Ltd.

Tantalum

   Jiujiang Zhongao Tantalum & Niobium Co., Ltd.    Jiujiang Zhongao Tantalum & Niobium Co., Ltd.

Tantalum

   KEMET Blue Metals    KEMET Blue Metals

Tantalum

   KEMET Blue Powder    KEMET Blue Powder

Tantalum

   King-Tan Tantalum Industry Ltd.    King-Tan Tantalum Industry Ltd.

Tantalum

   LSM Brasil S.A.    LSM Brasil S.A.


Tantalum

   Metallurgical Products India Pvt., Ltd.    Metallurgical Products India Pvt., Ltd.                        

Tantalum

   Mineração Taboca S.A.    Mineração Taboca S.A.

Tantalum

   Mitsui Mining & Smelting    Mitsui Mining & Smelting

Tantalum

   Molycorp Silmet A.S.    Molycorp Silmet A.S.

Tantalum

   Ningxia Orient Tantalum Industry Co., Ltd.    Ningxia Orient Tantalum Industry Co., Ltd.

Tantalum

   Plansee SE Liezen    Plansee SE Liezen

Tantalum

   Plansee SE Reutte    Plansee SE Reutte

Tantalum

   Power Resources Ltd.    Power Resources Ltd.

Tantalum

   QuantumClean    QuantumClean

Tantalum

   Resind Indústria e Comércio Ltda.    Resind Indústria e Comércio Ltda.

Tantalum

   RFH Tantalum Smeltry Co., Ltd.    RFH Tantalum Smeltry Co., Ltd.

Tantalum

   Solikamsk Magnesium Works OAO    Solikamsk Magnesium Works OAO

Tantalum

   Taki Chemicals    Taki Chemicals

Tantalum

   Telex Metals    Telex Metals

Tantalum

   Tranzact, Inc.    Tranzact, Inc.

Tantalum

   Ulba Metallurgical Plant JSC    Ulba Metallurgical Plant JSC

Tantalum

   XinXing HaoRong Electronic Material Co., Ltd.    XinXing HaoRong Electronic Material Co., Ltd.

Tantalum

   Yichun Jin Yang Rare Metal Co., Ltd.    Yichun Jin Yang Rare Metal Co., Ltd.

Tantalum

   Zhuzhou Cemented Carbide Group Co., Ltd.    Zhuzhou Cemented Carbide Group Co., Ltd.

Tin

   Alpha    Alpha


Tin

   An Thai Minerals Co., Ltd.    An Thai Minerals Co., Ltd.                                                 

Tin

   An Vinh Joint Stock Mineral Processing Company    An Vinh Joint Stock Mineral Processing Company

Tin

   Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.    Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.

Tin

   China Tin Group Co., Ltd.    China Tin Group Co., Ltd.

Tin

   CNMC (Guangxi) PGMA Co., Ltd.    CNMC (Guangxi) PGMA Co., Ltd.

Tin

   Cooperativa Metalurgica de Rondônia Ltda.    Cooperativa Metalurgica de Rondônia Ltda.

Tin

   CV Ayi Jaya    CV Ayi Jaya

Tin

   CV Dua Sekawan    CV Dua Sekawan

Tin

   CV Gita Pesona    CV Gita Pesona

Tin

   CV Serumpun Sebalai    CV Serumpun Sebalai

Tin

   CV Tiga Sekawan    CV Tiga Sekawan

Tin

   CV United Smelting    CV United Smelting

Tin

   CV Venus Inti Perkasa    CV Venus Inti Perkasa

Tin

   Dowa    Dowa

Tin

   Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company    Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company

Tin

   Elmet S.L.U.    Elmet S.L.U.

Tin

   EM Vinto    EM Vinto

Tin

   Estanho de Rondônia S.A.    Estanho de Rondônia S.A.

Tin

   Fenix Metals    Fenix Metals

Tin

   Gejiu Fengming Metallurgy Chemical Plant    Gejiu Fengming Metallurgy Chemical Plant


Tin

   Gejiu Jinye Mineral Company    Gejiu Jinye Mineral Company                                         

Tin

   Gejiu Kai Meng Industry and Trade LLC    Gejiu Kai Meng Industry and Trade LLC

Tin

   Gejiu Non-Ferrous Metal Processing Co., Ltd.    Gejiu Non-Ferrous Metal Processing Co., Ltd.

Tin

   Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.    Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.

Tin

   Gejiu Zili Mining And Metallurgy Co., Ltd.    Gejiu Zili Mining And Metallurgy Co., Ltd.

Tin

   Guanyang Guida Nonferrous Metal Smelting Plant    Guanyang Guida Nonferrous Metal Smelting Plant

Tin

   HuiChang Hill Tin Industry Co., Ltd.    HuiChang Hill Tin Industry Co., Ltd.

Tin

   Huichang Jinshunda Tin Co., Ltd.    Huichang Jinshunda Tin Co., Ltd.

Tin

   Jiangxi Ketai Advanced Material Co., Ltd.    Jiangxi Ketai Advanced Material Co., Ltd.

Tin

   Magnu’s Minerais Metais e Ligas Ltda.    Magnu’s Minerais Metais e Ligas Ltda.

Tin

   Malaysia Smelting Corporation (MSC)    Malaysia Smelting Corporation (MSC)

Tin

   Melt Metais e Ligas S.A.    Melt Metais e Ligas S.A.

Tin

   Metallic Resources, Inc.    Metallic Resources, Inc.

Tin

   Metallo-Chimique N.V.    Metallo-Chimique N.V.

Tin

   Mineração Taboca S.A.    Mineração Taboca S.A.

Tin

   Minsur    Minsur

Tin

   Mitsubishi Materials Corporation    Mitsubishi Materials Corporation

Tin

   Modeltech Sdn Bhd    Modeltech Sdn Bhd

Tin

   Nankang Nanshan Tin Manufactory Co., Ltd.    Nankang Nanshan Tin Manufactory Co., Ltd.

Tin

   Nghe Tinh Non-Ferrous Metals Joint Stock Company    Nghe Tinh Non-Ferrous Metals Joint Stock Company


Tin

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

Tin

   O.M. Manufacturing Philippines, Inc.    O.M. Manufacturing Philippines, Inc.

Tin

   Operaciones Metalurgical S.A.    Operaciones Metalurgical S.A.

Tin

   Phoenix Metal Ltd.    Phoenix Metal Ltd.

Tin

   PT Aries Kencana Sejahtera    PT Aries Kencana Sejahtera

Tin

   PT Artha Cipta Langgeng    PT Artha Cipta Langgeng

Tin

   PT ATD Makmur Mandiri Jaya    PT ATD Makmur Mandiri Jaya

Tin

   PT Babel Inti Perkasa    PT Babel Inti Perkasa

Tin

   PT Bangka Prima Tin    PT Bangka Prima Tin

Tin

   PT Bangka Tin Industry    PT Bangka Tin Industry

Tin

   PT Belitung Industri Sejahtera    PT Belitung Industri Sejahtera

Tin

   PT Bukit Timah    PT Bukit Timah

Tin

   PT Cipta Persada Mulia    PT Cipta Persada Mulia

Tin

   PT DS Jaya Abadi    PT DS Jaya Abadi

Tin

   PT Eunindo Usaha Mandiri    PT Eunindo Usaha Mandiri

Tin

   PT Inti Stania Prima    PT Inti Stania Prima

Tin

   PT Justindo    PT Justindo

Tin

   PT Karimun Mining    PT Karimun Mining

Tin

   PT Kijang Jaya Mandiri    PT Kijang Jaya Mandiri

Tin

   PT Lautan Harmonis Sejahtera    PT Lautan Harmonis Sejahtera


Tin

   PT Mitra Stania Prima    PT Mitra Stania Prima                                                             

Tin

   PT O.M. Indonesia    PT O.M. Indonesia

Tin

   PT Panca Mega Persada    PT Panca Mega Persada

Tin

   PT Prima Timah Utama    PT Prima Timah Utama

Tin

   PT Refined Bangka Tin    PT Refined Bangka Tin

Tin

   PT Sariwiguna Binasentosa    PT Sariwiguna Binasentosa

Tin

   PT Stanindo Inti Perkasa    PT Stanindo Inti Perkasa

Tin

   PT Sukses Inti Makmur    PT Sukses Inti Makmur

Tin

   PT Sumber Jaya Indah    PT Sumber Jaya Indah

Tin

   PT Timah (Persero) Tbk Kundur    PT Timah (Persero) Tbk Kundur

Tin

   PT Timah (Persero) Tbk Mentok    PT Timah (Persero) Tbk Mentok

Tin

   PT Tinindo Inter Nusa    PT Tinindo Inter Nusa

Tin

   PT Tommy Utama    PT Tommy Utama

Tin

   PT Wahana Perkit Jaya    PT Wahana Perkit Jaya

Tin

   Resind Indústria e Comércio Ltda.    Resind Indústria e Comércio Ltda.

Tin

   Rui Da Hung    Rui Da Hung

Tin

   Soft Metais Ltda.    Soft Metais Ltda.

Tin

   Thaisarco    Thaisarco

Tin

   Tuyen Quang Non-Ferrous Metals Joint Stock Company    Tuyen Quang Non-Ferrous Metals Joint Stock Company

Tin

   VQB Mineral and Trading Group JSC    VQB Mineral and Trading Group JSC


Tin

   White Solder Metalurgia e Mineração Ltda.    White Solder Metalurgia e Mineração Ltda.                    

Tin

   Yunnan Chengfeng Non-ferrous Metals Co., Ltd.    Yunnan Chengfeng Non-ferrous Metals Co., Ltd.

Tin

   Yunnan Tin Company Limited    Yunnan Tin Company Limited

Tungsten

   A.L.M.T. TUNGSTEN Corp.    A.L.M.T. TUNGSTEN Corp.

Tungsten

   ACL Metais Eireli    ACL Metais Eireli

Tungsten

   Asia Tungsten Products Vietnam Ltd.    Asia Tungsten Products Vietnam Ltd.

Tungsten

   Chenzhou Diamond Tungsten Products Co., Ltd.    Chenzhou Diamond Tungsten Products Co., Ltd.

Tungsten

   Chongyi Zhangyuan Tungsten Co., Ltd.    Chongyi Zhangyuan Tungsten Co., Ltd.

Tungsten

   Dayu Weiliang Tungsten Co., Ltd.    Dayu Weiliang Tungsten Co., Ltd.

Tungsten

   Fujian Jinxin Tungsten Co., Ltd.    Fujian Jinxin Tungsten Co., Ltd.

Tungsten

   Ganzhou Huaxing Tungsten Products Co., Ltd.    Ganzhou Huaxing Tungsten Products Co., Ltd.

Tungsten

   Ganzhou Jiangwu Ferrotungsten Co., Ltd.    Ganzhou Jiangwu Ferrotungsten Co., Ltd.

Tungsten

   Ganzhou Seadragon W & Mo Co., Ltd.    Ganzhou Seadragon W & Mo Co., Ltd.

Tungsten

   Ganzhou Yatai Tungsten Co., Ltd.    Ganzhou Yatai Tungsten Co., Ltd.

Tungsten

   Global Tungsten & Powders Corp.    Global Tungsten & Powders Corp.

Tungsten

   Guangdong Xianglu Tungsten Co., Ltd.    Guangdong Xianglu Tungsten Co., Ltd.

Tungsten

   H.C. Starck GmbH    H.C. Starck GmbH

Tungsten

   H.C. Starck Smelting GmbH & Co.KG    H.C. Starck Smelting GmbH & Co.KG

Tungsten

   Hunan Chenzhou Mining Co., Ltd.    Hunan Chenzhou Mining Co., Ltd.

Tungsten

   Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji    Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji


Tungsten

   Hunan Chunchang Nonferrous Metals Co., Ltd.    Hunan Chunchang Nonferrous Metals Co., Ltd.                

Tungsten

   Hydrometallurg, JSC    Hydrometallurg, JSC

Tungsten

   Japan New Metals Co., Ltd.    Japan New Metals Co., Ltd.

Tungsten

   Jiangwu H.C. Starck Tungsten Products Co., Ltd.    Jiangwu H.C. Starck Tungsten Products Co., Ltd.

Tungsten

   Jiangxi Dayu Longxintai Tungsten Co., Ltd.    Jiangxi Dayu Longxintai Tungsten Co., Ltd.

Tungsten

   Jiangxi Gan Bei Tungsten Co., Ltd.    Jiangxi Gan Bei Tungsten Co., Ltd.

Tungsten

  

Jiangxi Minmetals Gao’an Non-ferrous Metals

Co., Ltd.

   Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.

Tungsten

   Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.    Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.

Tungsten

   Jiangxi Xinsheng Tungsten Industry Co., Ltd.    Jiangxi Xinsheng Tungsten Industry Co., Ltd.

Tungsten

   Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.    Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.

Tungsten

   Jiangxi Yaosheng Tungsten Co., Ltd.    Jiangxi Yaosheng Tungsten Co., Ltd.

Tungsten

   Kennametal Fallon    Kennametal Fallon

Tungsten

   Kennametal Huntsville    Kennametal Huntsville

Tungsten

   Malipo Haiyu Tungsten Co., Ltd.    Malipo Haiyu Tungsten Co., Ltd.

Tungsten

   Moliren Ltd    Moliren Ltd

Tungsten

   Niagara Refining LLC    Niagara Refining LLC

Tungsten

   Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC    Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC

Tungsten

   Philippine Chuangxin Industrial Co., Inc.    Philippine Chuangxin Industrial Co., Inc.

Tungsten

   South-East Nonferrous Metal Company Limited of Hengyang City    South-East Nonferrous Metal Company Limited of Hengyang City

Tungsten

   Tejing (Vietnam) Tungsten Co., Ltd.    Tejing (Vietnam) Tungsten Co., Ltd.


Tungsten

   Unecha Refractory metals plant    Unecha Refractory metals plant                            

Tungsten

   Vietnam Youngsun Tungsten Industry Co., Ltd.    Vietnam Youngsun Tungsten Industry Co., Ltd.

Tungsten

   Wolfram Bergbau und Hütten AG    Wolfram Bergbau und Hütten AG

Tungsten

   Woltech Korea Co., Ltd.    Woltech Korea Co., Ltd.

Tungsten

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

Tungsten

   Xiamen Tungsten Co., Ltd.    Xiamen Tungsten Co., Ltd.

Tungsten

  

Xinfeng Huarui Tungsten & Molybdenum New

Material Co., Ltd.

   Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.

Tungsten

   Xinhai Rendan Shaoguan Tungsten Co., Ltd.    Xinhai Rendan Shaoguan Tungsten Co., Ltd.

Appendix B

This list of potential countries of origin is populated based on publicly available information, our RCOI and due diligence. It is important to note that this is also based on company level responses and, therefore, it is not certain which of these countries of origin can be linked to our products.

Argentina, Australia, Austria, Benin, Bolivia (Plurinational State of), Brazil, Burkina Faso, Burundi, Cambodia, Canada, Chile, China, Colombia, Congo, Democratic Republic of the, Ecuador, Eritrea, Ethiopia, France, Germany, Ghana, Guatemala, Guinea, Guyana, Honduras, India, Indonesia, Japan, Kazakhstan, Laos, Madagascar, Malaysia, Mali, Mexico, Mongolia, Mozambique, Myanmar, Namibia, Nicaragua, Nigeria, Panama, Peru, Portugal, Russian Federation, Rwanda, Senegal, Sierra Leone, South Africa, Spain, Thailand, Togo, Uganda, United Kingdom of Great Britain and Northern Ireland, United States of America, Uzbekistan, Viet Nam, Zimbabwe