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May 26, 2016 4:04 PM EDT

 
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549 
 
Form SD
Specialized Disclosure Report
 
Analog Devices, Inc.
(Exact name of registrant as specified in its charter) 
 
Massachusetts
 
04-2348234
(State or other jurisdiction of incorporation or organization)
 
(I.R.S. Employer Identification No.)
 
  1-7819 (Commission File No.)
 
One Technology Way, Norwood, MA
 
02062-9106
(Address of principal executive offices)
 
(Zip Code)
 
 
 
Margaret Seif
 
781-329-4700
Senior Vice President, Chief Legal Officer and Secretary
 
 
(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:



þ Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2015.














 



Section 1 - Conflict Minerals Disclosure

Item 1.01 - Conflict Minerals Disclosure and Report
Item 1.02 - Exhibit

Conflict Minerals Disclosure

Analog Devices, Inc. has filed a Conflict Minerals Report as Exhibit 1.01 hereto. The Report is publicly available at www.analog.com under the heading "Investor Relations." The content of any website referred to in this Form SD is included for general information only and is not incorporated by reference in this Form SD.

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.


 
 
 
 
 
 
 
Analog Devices, Inc.
 
 
(registrant)
 
 
 
 
 
/S/ DAVID A. ZINSNER
 
Dated: May 26, 2016
David A. Zinsner
 
 
Senior Vice President, Finance
 
 
and Chief Financial Officer
 
 


 
Exhibit 1.01

CONFLICT MINERALS REPORT OF ANALOG DEVICES, INC.
IN ACCORDANCE WITH RULE 13P-1 UNDER THE SECURITIES EXCHANGE ACT OF 1934
(UNAUDITED)

Section 1: Introduction

This is the Conflict Minerals Report of Analog Devices, Inc. (“Analog Devices”, “we”, “our”) for calendar year 2015 in accordance with Rule 13p-1 under the Securities Exchange Act of 1934 (“Rule 13p-1”). Numerous terms in this Report are defined in Rule 13p-1 and Form SD and the reader is referred to those sources and to 1934 Act Release No. 34-67716 (August 22, 2012) for such definitions and explanations thereof.

Gold, tantalum, tin or tungsten (collectively, “conflict minerals”) are necessary to the functionality or production of products manufactured or contracted to be manufactured by Analog Devices. Such products include Integrated Circuits, Assembled Products and Evaluation Boards, which (depending on the product) contain one or more conflict minerals (collectively, the “Products”). Based on the Reasonable Country of Origin Inquiry described below, Analog Devices either knows that necessary conflict minerals originated in the Democratic Republic of the Congo or an adjoining country (collectively, “Covered Countries”) and are not from recycled or scrap sources, or has reason to believe that necessary conflict minerals may have originated in the Covered Countries and has reason to believe that they may not be from recycled or scrap sources. Accordingly we undertook due diligence to determine whether the necessary conflict minerals in the Products did originate or may have originated in the Covered Countries.

Analog Devices is many steps removed from the mining of the conflict minerals; we do not purchase raw ore or unrefined conflict minerals, and we do no purchasing in the Covered Countries. We either purchase conflict minerals indirectly from a smelter or refiner for use in our manufacturing processes or purchase components from suppliers that incorporate conflict minerals. The mine or other point of origin of conflict minerals cannot be determined with any certainty once the raw ores are smelted, refined and converted to ingots, bullion or other conflict-mineral containing derivatives. Smelters and refiners are consolidating points for raw ore and are therefore in the best position in the total supply chain to know the origin of the ores. Our due diligence measures were based on multi-industry initiatives with the smelters and refiners of conflict minerals who provide those conflict minerals to Analog Devices’ suppliers.

Section 1.1: Company Overview

Analog Devices, Inc. is a world leader in the design, manufacture and marketing of a broad portfolio of solutions that leverage high-performance analog, mixed-signal and digital signal processing technology, including integrated circuits (ICs), algorithms, software, and subsystems. We were incorporated in Massachusetts in 1965. Our headquarters are near Boston, in Norwood, Massachusetts. In addition, we have manufacturing facilities in Massachusetts, Ireland, and the Philippines, and have more than thirty design facilities worldwide. Since our inception in 1965, we have focused on solving the engineering challenges associated with signal processing in virtually all types of electronic equipment. Our signal processing products play a fundamental role in converting, conditioning, and processing real-world phenomena such as temperature, pressure, sound, light, speed and motion into electrical signals to be used in a wide array of electronic devices. As new generations of applications, such as the Internet of Things, evolve, new needs


for high-performance analog signal processing and digital signal processing (DSP) technology are generated. We focus on sensing, measurement, and connectivity challenges that apply to a diverse set of customers and markets. We combine data converters, amplifiers and linear products, radio frequency (RF) ICs, power management products, sensors based on micro-electro mechanical systems (MEMS) technology and other sensors, and processing products, including DSP, micro controllers and other processors, into technology platforms that we adapt to specific customer and market needs, leveraging our engineering investment across a broad base of customers.

We focus on key strategic markets where our signal processing technology is often a critical differentiator in our customers’ products, in particular, the industrial, automotive, consumer and communications markets.

Section 1.2 Principal Products

We design, manufacture and market a broad line of high-performance ICs that incorporate analog, mixed-signal and digital signal processing technologies. Our ICs are designed to address a wide range of real-world signal processing applications. We sell our ICs to tens of thousands of customers worldwide, many of whom use products spanning our core technologies in a wide range of applications. Our IC product portfolio includes both general-purpose products used by a broad range of customers and applications, as well as application-specific products designed for specific clusters of customers in key target markets. By using readily available, high-performance, general-purpose products in their systems, our customers can reduce the time they need to bring new products to market. Given the high cost of developing more customized ICs, our standard products often provide a cost-effective solution for many low to medium volume applications. We also focus on working with leading customers to design application-specific solutions. We begin with our existing core technologies, which leverage our data conversion, amplification, RF and microwave, MEMS, power management and DSP capabilities, and devise a solution to more closely meet the needs of a specific customer or group of customers. Because we have already developed the core technology platform for our general-purpose products, we can create application-specific solutions quickly.

We produce and market a broad range of ICs and operate in one reportable segment based on the aggregation of six operating segments. The ICs sold by each of our operating segments are manufactured using similar semiconductor manufacturing processes and raw materials in either our own production facilities or by third-party wafer fabricators using proprietary processes.  Our ICs are sold to customers globally through a direct sales force, third-party distributors, independent sales representatives and via our website. Our ten highest revenue products, in the aggregate, accounted for approximately 16% of our revenue for our fiscal year ended October 31, 2015 (fiscal 2015). In July 2014, we acquired Hittite Microwave Corporation (Hittite), a company that designed and developed high performance integrated circuits, modules, subsystems and instrumentation for radio frequency, microwave and millimeterwave applications. Hittite’s supply chain is included in this report.

Section 2: Conflict Minerals Policy
Analog Devices has adopted a Conflict Minerals Policy. The ADI Conflict Minerals Policy is publicly available on our website (http://www.analog.com/media/en/Other/About-ADI/Sustainability/Analog_Devices_Conflict_Minerals_Policy_Statement.pdf) and is a key component of our conflict minerals program framework systems. This policy:
•
reflects ADI’s commitment to ethical practices and compliance with applicable laws and regulations,


•
includes ADI’s actions to collaborate with other concerned electronics companies, under the EICC-GeSI Conflict-Free Sourcing Initiative (CFSI), in developing methods to track the origin of conflict minerals used in the manufacture of electronic products,
•
reflects ADI’s support of the Conflict-Free Smelter Program (CFSP) in assessing activities, processes, and systems used by the smelter or refiner (SOR) facility to conduct upstream supply chain due diligence of minerals for conflict-affected and high-risk areas, and
•
is communicated to ADI’s supply chain with the expectation of compliance with the conflict minerals policy, and for the suppliers to provide sourcing information using the EICC-GeSI Conflict Minerals Reporting Template (EICC-GeSI CMRT) as a standard.

Section 3: Conflict Minerals Team
An internal team is tasked to implement our Conflict Minerals Policy and oversee ADI’s conflict-free minerals program. The Director of Environmental, Health, & Safety (EH&S), who reports to the Senior Vice President of Global Operations and Technology, is the assigned team leader and is supported by representatives from different functional groups.

Section 4: Reasonable Country of Origin Inquiry (RCOI)

Analog Devices engaged with our relevant suppliers to identify the smelters and refiners in our supply chain. We define relevant suppliers as those who supply materials to the Company that are known to contain any or all of the conflict minerals and that end up in our final products. We utilized a web-based platform, provided by a third party, to reach out to our relevant suppliers to request conflict minerals sourcing information using the EICC-GeSI Conflict Minerals Reporting Template (CMRT). Information provided by our relevant suppliers is reviewed for completeness and reasonableness, based on ADI’s knowledge of the supplier. If necessary, assessment reports were created to outline additional actions needed from suppliers regarding their submission, including but not limited to follow-up and escalation.

Section 5: Due Diligence

A.
Design of Analog Devices’ due diligence framework

Analog Devices designed our due diligence measures to conform, in all material respects, with the internationally recognized due diligence framework in the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas: Second Edition (OECD 2013) (“OECD Framework”), including related supplements for each of the conflict minerals.

B.
Description of Analog Devices’ due diligence measures performed with respect to products manufactured during 2015

Analog Devices’ due diligence measures performed with respect to products manufactured during 2015 included:

•
Comparing the smelters and refiners identified by relevant suppliers via the CMRT against the CFSI list of smelter and refinery facilities that have received a “conflict free” designation for


conflict minerals by participating in an independent third party smelter audit. We also validated the smelters status using CFSI’s Active Smelters and Refiners List.

•
Gathering more information on smelters or refiners (SORs) that are not listed on the references mentioned above by working with the SOR directly, contacting the SOR indirectly through our suppliers, or conducting internet research. If the result of this data collection process indicates that the SOR is legitimately processing conflict minerals, we forward the SOR information to CFSI for further research. If, however, the result reveals that the SOR is not legitimate, we work with our supplier to conduct additional research on the SOR and to obtain information indicating that it is legitimate, otherwise, the supplier is asked to remove the alleged smelter from the supplier CMRT.

•
Reaching out directly to SORs who are no longer certified as conflict-free by a recognized certification program to gather information regarding their plans of recertification, or lack thereof. If the SOR decided not to pursue recertification, we will ask our supplier to discontinue engagement with the smelter.

•
Working with our suppliers to strongly encourage smelters in our supply chain to participate in the CFSP or a similar program and to cease sourcing from SOR who decline to participate in a CFSP or similar program.

•
Pursuing non-responsive suppliers to obtain a CMRT. Suppliers who failed to provide survey information were escalated to our purchasing group and the supplier’s management group. We will take measures up to and including termination of our relationship with the supplier, if warranted.

Section 6: Risk Management Plan

The OECD guidelines for managing risk are largely directed towards the upstream portion of the supply chain (SORs and mines of origin). Nevertheless, ADI as a downstream company in the supply chain, participates in the Conflict-Free Sourcing Initiative (CFSI) under the EICC-GeSI industry consortium to identify and review the due diligence process of the smelters or refiners in the electronics industry supply chain. CFSI assesses and audits whether the SORs adhere to the due diligence measures per the OECD Guidance; compliant SORs are then designated as “conflict free” and listed as such on the CFSI website.

Our Risk Mitigation process includes the following:

•
In the event that a supplier reports on the EICC-GeSI Conflict Minerals Reporting Template or it is discovered that the SOR has used conflict minerals sourced from mines that support armed conflict in the Covered Countries, then we work with the SOR to obtain its agreement to take steps to rectify the situation, including implementing corrective action to eliminate the use of non-DRC conflict free minerals in products supplied for ADI products, in an agreed upon timeframe. Should the SOR fail to mitigate the issue, ADI will discontinue engagement with the SOR.

•
ADI will continue to work with our suppliers and with CFSI to encourage smelters who have not yet obtained the “conflict-free” designation to do so.



Findings, including the number of SORs which are designated as conflict–free and suppliers which reported conflict-free status of all its SORs during the preceding quarter relative to the total number of SORs and suppliers in the ADI supply chain, the number of SORs whose sources of minerals are undeterminable, and any supplier reporting use of minerals sourced from conflict mines are reported to the Senior Vice President of Global Operations and Technology and staff members quarterly.
The responses from our suppliers listed 330 entities as smelters or refiners of conflict minerals in their supply chains. 212 of these entities were identified as conflict-free by our suppliers. Analog Devices compared the 212 identified entities to the CFSI list of smelters, and we confirmed that all conflict-free entities reported by our suppliers were in fact designated as conflict-free by the CFSP. The following is a summary of the smelters used by our suppliers broken out by mineral type:

Metal
Total Known Smelters Used
Conflict-Free Smelters
Gold
141
79
Tantalum
47
46
Tin
98
57
Tungsten
44
30
Total
330
212

Section 7: Other Matters

Based on the information provided by our suppliers through December 31, 2015, we believe that the facilities that may have been used to process conflict minerals in our products include the refiners listed in Annex I below.

After exercising the due diligence described above, Analog Devices was unable to obtain sufficient information from our direct suppliers or other sources to conclude whether necessary conflict minerals originated in the Covered Countries and/or, if so, whether or not the conflict minerals directly or indirectly financed an armed group in the Covered Countries. However, based on information provided by our suppliers, as well as from the RCOI data from CFSI, Analog Devices believes the countries of origin of the conflict minerals contained in our products may include the countries listed in Annex II below.

Analog Devices will undertake the following steps during the next compliance period to continue to improve the due diligence conducted and to further mitigate the risk that our necessary conflict minerals benefit armed groups, including:

•
Continue to participate in industry initiatives, such as the CFSI.

•
Continue to contact smelters identified as a result of the RCOI process and request their participation in obtaining a “conflict free” designation from an industry program such as the CFSP program or equivalent, if they have not already done so.

•
Obtain an independent assessment of the current state of our due diligence framework for alignment with the OECD Framework.

    


ANNEX I

Metal
Standard Smelter Name
Country
Gold
Advanced Chemical Company**
UNITED STATES
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
Atasay Kuyumculuk Sanayi Ve Ticaret A.S.
TURKEY
Gold
AURA-II
UNITED STATES
Gold
Aurubis AG*
GERMANY
Gold
BAKER
UNKNOWN
Gold
Bangalore Refinery
INDIA
Gold
Bangko Sentral ng Pilipinas (Central Bank of the Philippines)*
PHILIPPINES
Gold
Boliden AB*
SWEDEN
Gold
C. Hafner GmbH + Co. KG*
GERMANY
Gold
Caridad
MEXICO
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, REPUBLIC OF
Gold
Daye Non-Ferrous Metals Mining Ltd.
CHINA
Gold
DODUCO GmbH*
GERMANY
Gold
Dowa*
JAPAN
Gold
DSC (Do Sung Corporation)**
KOREA, REPUBLIC OF
Gold
Eco-System Recycling Co., Ltd.*
JAPAN
Gold
Elemetal Refining, LLC*
UNITED STATES
Gold
Faggi Enrico S.p.A.**
ITALY
Gold
Fidelity Printers and Refiners Ltd.
ZIMBABWE
Gold
Gansu Seemine Material Hi-Tech Co., Ltd.
CHINA
Gold
Geib Refining Corporation**
UNITED STATES
Gold
Great Wall Precious Metals Co., Ltd. of CBPM
CHINA
Gold
Guangdong Jinding Gold Limited
CHINA
Gold
Guoda Safina High-Tech Environmental Refinery Co., Ltd.
CHINA
Gold
Hangzhou Fuchunjiang Smelting Co., Ltd.
CHINA
Gold
Heimerle + Meule GmbH*
GERMANY


Gold
Henan Yuguang Gold & Lead Co., Ltd.
CHINA
Gold
Heraeus Ltd. Hong Kong*
CHINA
Gold
Heraeus Precious Metals GmbH & Co. KG*
GERMANY
Gold
HeTai Gold Mineral GuangDong Ltd. Co.
CHINA
Gold
HH HANDY & HARMAN REFINING GROUP
CANADA
Gold
House of Currency of Brazil (Casa da Moeda do Brazil)
BRAZIL
Gold
Hunan Chenzhou Mining Co., Ltd.
CHINA
Gold
Hwasung CJ Co., Ltd.
KOREA, REPUBLIC OF
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
Jin Jinyin refining company limited
CHINA
Gold
Jinlong 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
K.A Rasmussen AS
UNKNOWN
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
Kyrgyzaltyn JSC
KYRGYZSTAN
Gold
L'azurde Company For Jewelry
SAUDI ARABIA
Gold
Lingbao Gold Co., Ltd.
CHINA
Gold
Lingbao Jinyuan Tonghui Refinery Co., Ltd.
CHINA
Gold
LS-NIKKO Copper Inc.*
KOREA, REPUBLIC OF
Gold
Luoyang Zijin Yinhui Gold Refinery Co., Ltd.
CHINA
Gold
Materion*
UNITED STATES
Gold
Matsuda Sangyo Co., Ltd.*
JAPAN
Gold
METALLURGIE HOBOKEN OVERPELT SA/NV
UNKNOWN
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
Morris and Watson
NEW ZEALAND


Gold
Moscow Special Alloys Processing Plant*
RUSSIAN FEDERATION
Gold
Nadir Metal Rafineri San. Ve Tic. A.Ş.*
TURKEY
Gold
Navoi Mining and Metallurgical Combinat**
UZBEKISTAN
Gold
Nihon Material Co., Ltd.*
JAPAN
Gold
Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH*
AUSTRIA
Gold
Ohura Precious Metal Industry Co., Ltd.*
JAPAN
Gold
OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)*
RUSSIAN FEDERATION
Gold
OJSC Novosibirsk Refinery*
RUSSIAN FEDERATION
Gold
PAMP S.A.*
SWITZERLAND
Gold
Penglai Penggang Gold Industry Co., Ltd.
CHINA
Gold
Precious Metals Sales Corp.
UNITED STATES
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
Realized the enterprise co. ltd.
UNKNOWN
Gold
Republic Metals Corporation*
UNITED STATES
Gold
Royal Canadian Mint*
CANADA
Gold
Sabin Metal Corp.
UNITED STATES
Gold
Samduck Precious Metals**
KOREA, REPUBLIC OF
Gold
SAMWON Metals Corp.
KOREA, REPUBLIC OF
Gold
SAXONIA Edelmetalle GmbH**
GERMANY
Gold
Schone Edelmetaal B.V.*
NETHERLANDS
Gold
SEMPSA Joyería Platería S.A.*
SPAIN
Gold
Shan Tou Shi Yong Yuan Jin Shu Zai Sheng Co. Ltd.
CHINA
Gold
Shangdong Humon Smelting Co., Ltd.
CHINA
Gold
Shandong Tiancheng Biological Gold Industrial Co., Ltd.
CHINA
Gold
Shandong Zhaojin Gold & Silver Refinery Co., Ltd.*
CHINA
Gold
Shenzhen Heng Zhong Industry Co.,Ltd.
CHINA
Gold
Shenzhen Zhonghenglong Real Industry Co., Ltd.
CHINA
Gold
SOE Shyolkovsky Factory of Secondary Precious Metals
UNKNOWN
Gold
Sichuan Tianze Precious Metals Co., Ltd.*
CHINA
Gold
Singway Technology Co., Ltd.*
TAIWAN
Gold
So Accurate Group, Inc.
UNITED STATES
Gold
SOE Shyolkovsky Factory of Secondary Precious Metals*
RUSSIAN FEDERATION
Gold
Solar Applied Materials Technology Corp.*
TAIWAN
Gold
Sumitomo Metal Mining Co., Ltd.*
JAPAN
Gold
Super Dragon Technology Co., Ltd
CHINA
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
THE SHEFFIELD SMELTING CO. LTD
UNKNOWN


Gold
Tokuriki Honten Co., Ltd.*
JAPAN
Gold
Tongling Nonferrous Metals Group Co., Ltd.
CHINA
Gold
Torecom**
KOREA, REPUBLIC OF
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
Yunnan Copper Industry Co., Ltd.
CHINA
Gold
Zhe Jiang Guang Yuan Noble Metal Smelting Factory
CHINA
Gold
Zhongkuang Gold Industry Co.,LTD
CHINA
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 Electro-Materials Ltd.*
CHINA
Tantalum
FIR Metals & Resource Ltd.*
CHINA
Tantalum
Global Advanced Metals Aizu*
JAPAN
Tantalum
Global Advanced Metals Boyertown*
UNITED STATES
Tantalum
Guangdong Zhiyuan New Material Co., Ltd.*
CHINA
Tantalum
H.C. Starck Co., Ltd.*
THAILAND
Tantalum
H.C. Starck GmbH Goslar*
GERMANY
Tantalum
H.C. Starck GmbH Laufenburg*
GERMANY
Tantalum
H.C. Starck Hermsdorf GmbH*
GERMANY
Tantalum
H.C. Starck Inc.*
UNITED STATES
Tantalum
H.C. Starck Ltd.*
JAPAN
Tantalum
H.C. Starck Smelting GmbH & Co. KG*
GERMANY
Tantalum
Hengyang King Xing Lifeng New Materials Co., Ltd.*
CHINA
Tantalum
Hi-Temp Specialty Metals, Inc.*
UNITED STATES
Tantalum
Jiangxi Dinghai Tantalum & Niobium Co., Ltd.*
CHINA
Tantalum
Jiangxi Tuohong New Raw Material*
CHINA
Tantalum
JiuJiang JinXin Nonferrous Metals Co., Ltd.*
CHINA
Tantalum
Jiujiang Tanbre Co., Ltd.*
CHINA
Tantalum
Jiujiang Zhongao Tantalum & Niobium Co., Ltd.*
CHINA
Tantalum
KEMET Blue Metals*
MEXICO
Tantalum
KEMET Blue Powder*
UNITED STATES


Tantalum
King-Tan Tantalum Industry Ltd.*
CHINA
Tantalum
LSM Brasil S.A.*
BRAZIL
Tantalum
Metallurgical Products India Pvt., Ltd.*
INDIA
Tantalum
Mineração Taboca S.A.*
BRAZIL
Tantalum
Mitsui Mining & Smelting*
JAPAN
Tantalum
Molycorp Silmet A.S.*
ESTONIA
Tantalum
Ningxia Orient Tantalum Industry Co., Ltd.*
CHINA
Tantalum
Plansee SE Liezen*
AUSTRIA
Tantalum
Plansee SE Reutte*
AUSTRIA
Tantalum
QuantumClean*
UNITED STATES
Tantalum
Resind Indústria e Comércio Ltda.*
BRAZIL
Tantalum
RFH Tantalum Smeltry Co., Ltd.*
CHINA
Tantalum
Shanghai Jiangxi Metals 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*
CHINA
Tin
Alpha*
UNITED STATES
Tin
An Vinh Joint Stock Mineral Processing Company**
VIET NAM
Tin
Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.**
CHINA
Tin
China Tin Group Co., Ltd.*
CHINA
Tin
CNMC (Guangxi) PGMA Co., Ltd.
CHINA
Tin
Cooperativa Metalurgica de Rondônia Ltda.*
BRAZIL
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
Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company**
VIET NAM
Tin
Elmet S.L.U.*
SPAIN
Tin
EM Vinto*
BOLIVIA
Tin
Estanho de Rondônia S.A.
BRAZIL
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 Yunxi Group Corp.
CHINA
Tin
Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.**
CHINA


Tin
Gejiu Zili Mining And Metallurgy Co., Ltd.
CHINA
Tin
GUANG XI HUA XI CORP
CHINA
Tin
Guangxi Nonferrous Metals Group
CHINA
Tin
Huichang Jinshunda Tin Co., Ltd.
CHINA
Tin
Jau Janq Enterprise Co. Ltd.
TAIWAN
Tin
Jiangxi Ketai Advanced Material Co., Ltd.*
CHINA
Tin
Leybold Co., Ltd.
UNKNOWN
Tin
Lingbao Jinyuan Tonghui Refinery Co., Ltd.
CHINA
Tin
Linwu Xianggui Ore Smelting Co., Ltd.
CHINA
Tin
Magnu's Minerais Metais e Ligas Ltda.*
BRAZIL
Tin
Malaysia Smelting Corporation (MSC)*
MALAYSIA
Tin
Materials Eco-Refining CO.LTD
JAPAN
Tin
Melt Metais e Ligas S.A.*
BRAZIL
Tin
Metahub Industries Sdn. Bhd.
MALAYSIA
Tin
Metallic Resources, Inc.*
UNITED STATES
Tin
Metallo-Chimique N.V.*
BELGIUM
Tin
Mineração Taboca S.A.*
BRAZIL
Tin
Ming Li Jia smelt Metal Factory
CHINA
Tin
Minsur*
PERU
Tin
Mitsubishi Materials Corporation*
JAPAN
Tin
Nankang Nanshan Tin Manufactory Co., Ltd.
CHINA
Tin
Nghe Tinh Non-Ferrous Metals Joint Stock Company**
VIET NAM
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 BilliTin Makmur Lestari*
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 Justindo*
INDONESIA
Tin
PT Karimun Mining**
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 Sumber Jaya Indah*
INDONESIA
Tin
PT Timah (Persero) Tbk Kundur*
INDONESIA
Tin
PT Timah (Persero) Tbk Mentok*
INDONESIA
Tin
PT Tinindo Inter Nusa*
INDONESIA
Tin
PT Tirus Putra Mandiri
INDONESIA
Tin
PT Tommy Utama*
INDONESIA
Tin
PT Wahana Perkit Jaya*
INDONESIA
Tin
Resind Indústria e Comércio Ltda.*
BRAZIL
Tin
Rui Da Hung*
TAIWAN
Tin
Settu Chemical Industry
UNKNOWN
Tin
Sevotrans
UNKNOWN
Tin
Shan Tou Shi Yong Yuan Jin Shu Zai Sheng Co. Ltd.
CHINA
Tin
Soft Metais Ltda.*
BRAZIL
Tin
Super Ligas
BRAZIL
Tin
Taicang City Nancang Metal Material Co.,Ltd
CHINA
Tin
Thaisarco*
THAILAND
Tin
Tianshui ling bo technology co., Ltd
CHINA
Tin
Tuyen Quang Non-Ferrous Metals Joint Stock Company**
VIET NAM
Tin
VQB Mineral and Trading Group JSC*
VIET NAM
Tin
White Solder Metalurgia e Mineração Ltda.*
BRAZIL
Tin
Winter Metalle Gmbh
UNKNOWN
Tin
Wu Xi Shi Yi Zheng Ji Xie She Bei Company
CHINA
Tin
Xianghualing Tin Industry Co. Ltd
UNKNOWN
Tin
Xianghualing Tin Minerals
CHINA
Tin
Xinmao Tin Corp Ltd
UNKNOWN
Tin
Yifeng Tin
CHINA
Tin
Yunnan Chengfeng Non-ferrous Metals Co., Ltd.**
CHINA
Tin
Yunnan Chengo Electric Smelting Plant
CHINA
Tin
Yunnan Tin Company Limited*
CHINA
Tin
Yunnan Xi YE
CHINA
Tin
Zhuhai Quanjia
CHINA
Tungsten
A.L.M.T. TUNGSTEN Corp.*
JAPAN
Tungsten
Asia Tungsten Products Vietnam Ltd.*
VIET NAM
Tungsten
Chenzhou Diamond Tungsten Products Co., Ltd.*
CHINA
Tungsten
Chongyi Zhangyuan Tungsten Co., Ltd.*
CHINA
Tungsten
Dayu Jincheng Tungsten Industry Co., Ltd.***
CHINA
Tungsten
Dayu Weiliang Tungsten Co., Ltd.***
CHINA
Tungsten
Fujian Jinxin Tungsten Co., Ltd.*
CHINA
Tungsten
Ganxian Shirui New Material Co., Ltd.
CHINA
Tungsten
Ganzhou Haichuang Tungsten Industry Co., Ltd.
CHINA


Tungsten
Ganzhou Huaxing Tungsten Products Co., Ltd.*
CHINA
Tungsten
Ganzhou Jiangwu Ferrotungsten Co., Ltd.*
CHINA
Tungsten
Ganzhou Non-ferrous Metals Smelting Co., Ltd.***
CHINA
Tungsten
Ganzhou Seadragon W & Mo Co., Ltd.*
CHINA
Tungsten
Ganzhou Yatai Tungsten Co., Ltd.*
CHINA
Tungsten
Global Tungsten & Powders Corp.*
UNITED STATES
Tungsten
Guangdong Xianglu Tungsten Co., Ltd.*
CHINA
Tungsten
H.C. Starck GmbH*
GERMANY
Tungsten
H.C. Starck Smelting GmbH & Co.KG*
GERMANY
Tungsten
Heyuan Carbide Co LTD
UNKNOWN
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 Minmetals Gao'an Non-ferrous Metals Co., Ltd.
CHINA
Tungsten
Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.**
CHINA
Tungsten
Jiangxi Xinsheng Tungsten Industry Co., Ltd.**
CHINA
Tungsten
Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.*
CHINA
Tungsten
Jiangxi Yaosheng Tungsten Co., Ltd.**
CHINA
Tungsten
Kennametal Fallon**
UNITED STATES
Tungsten
Kennametal Huntsville*
UNITED STATES
Tungsten
Luoyang Mudu Tungsten & Molybdenum Technology Co. Ltd
CHINA
Tungsten
Malipo Haiyu Tungsten Co., Ltd.*
CHINA
Tungsten
Niagara Refining LLC*
UNITED STATES
Tungsten
Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC*
VIET NAM
Tungsten
Pobedit, JSC***
RUSSIAN FEDERATION
Tungsten
Tejing (Vietnam) Tungsten Co., Ltd.*
VIET NAM
Tungsten
Vietnam Youngsun Tungsten Industry Co., Ltd.*
VIET NAM
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
*    Smelter name included in the Conflict-Free Smelters List as of May 12, 2016
**   Smelter name included in the CFSI Active Smelters and Refiners List as of May 12, 2016
*** Tungsten Industry Conflict Minerals Council (TI-CMC) Members progressing toward CFSP validation as of May 12, 2016






ANNEX II


Angola
Luxembourg
Argentina
Madagascar
Australia
Malaysia
Austria
Mongolia
Belgium
Mozambique
Bolivia
Myanmar
Brazil
Namibia
Burundi
Netherlands
Cambodia
Nigeria
Canada
Peru
Central African Republic
Portugal
Chile
Republic of Congo
China
Russia
Colombia
Rwanda
Côte D'Ivoire
Sierra Leone
Czech Republic
Singapore
Djibouti
Slovakia
Ecuador
South Africa
Egypt
South Korea
Estonia
South Sudan
Ethiopia
Spain
France
Suriname
Germany
Switzerland
Guyana
Taiwan
Hungary
Tanzania
India
Thailand
Indonesia
The Democratic Republic of Congo (DRC)
Ireland
Uganda
Israel
United Kingdom
Japan
United States of America
Kazakhstan
Vietnam
Kenya
Zambia
Laos
Zimbabwe



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