Form SD ANALOGIC CORP

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

 

FORM SD

 

 

SPECIALIZED DISCLOSURE REPORT

 

 

ANALOGIC CORPORATION

(Exact name of registrant as specified in its charter)

 

 

 

Massachusetts		0-6715		04-2454372
(State or other jurisdiction of incorporation or organization)		(Commission File No.)		(I.R.S. Employer Identification No.)
8 Centennial Drive, Peabody, Massachusetts				01960
(Address of principal executive offices)				(Zip Code)

John J. Fry (978) 326-4000

(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:

 

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

 

 

 

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Section 1 – Conflict Minerals Disclosure

 

Item 1.01

Conflict Minerals Disclosure and Report

This Form SD of Analogic Corporation (the “Company”) is filed pursuant to Rule 13p-1 promulgated under the Securities Exchange Act of 1934 for the reporting period January 1, 2015 to December 31, 2015.

The Company’s Conflict Minerals Report is provided as Exhibit 1.01 to this Form SD, and is publicly available at www.analogic.com/compliance.

 

Item 1.02

Exhibit

The Company’s Conflict Minerals Report required by Items 1.01 and 1.02 is provided as Exhibit 1.01 to this Form SD, and is publicly available at www.analogic.com/compliance.

Section 2 – Exhibits

 

Item 2.01

Exhibits

The following exhibit is filed as part of this report.

 

Exhibit No.		Description
1.01		Conflict Minerals Report of Analogic Corporation

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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.

 

				Analogic Corporation
Date: May 31, 2016				By:		/s/ John J. Fry
				Name:		John J. Fry
				Title:		Senior Vice President, General Counsel and Secretary

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EXHIBIT INDEX

 

Exhibit No.		Description
1.01		Conflict Minerals Report of Analogic Corporation

Exhibit 1.01

ANALOGIC CORPORATION

CONFLICT MINERALS REPORT

FOR THE REPORTING PERIOD FROM

JANUARY 1 TO DECEMBER 31, 2015

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Introduction

This Conflict Minerals Report of Analogic Corporation (which we refer to as we, us, Analogic, or the Company) is filed pursuant to Rule 13p-1 (which we refer to as the rule) promulgated under the Securities Exchange Act of 1934 for the reporting period from January 1, 2015 to December 31, 2015.

The rule requires disclosure of certain information when a company manufactures or contracts to manufacture products for which tin, tantalum, tungsten or gold (which we refer to as conflict minerals) are necessary to the functionality or the production of the company’s products (which we refer to as the necessary conflict minerals).

Products Covered by this Report

This report relates to products (i) for which conflict minerals are necessary to the functionality or production of that product; (ii) that were manufactured, or contracted to be manufactured, by the Company; and (iii) for which manufacture was completed during calendar year 2015.

We evaluated our product lines to identify the covered products. We also evaluated our purchased material categories to identify those purchased items that contain, or are reasonably likely to contain, conflict minerals.

These products (which we refer to as the covered products) consist of products in the areas of medical imaging, medical ultrasound, security technology, and motion control. Our medical imaging products comprise systems and subsystems used in computed tomography (“CT”), magnetic resonance imaging (“MRI”), and digital mammography. Our ultrasound products comprise medical ultrasound systems and probes. Our security technology products comprise threat detection systems for use in aviation security. Our motion control products comprise drives and controllers deployed in semiconductor, life sciences, automotive assembly, and other industries.

Our Reasonable Country of Origin Inquiry

We conducted a reasonable country of origin inquiry (RCOI) regarding the conflict minerals in our products to determine whether any of our necessary conflict minerals originated in the Democratic Republic of the Congo, the Republic of the Congo, the Central African Republic, South Sudan, Uganda, Rwanda, Burundi, Tanzania, Zambia and Angola (which we refer to as the covered countries) and whether any of the conflict minerals were from recycled or scrap sources.

As part of our RCOI, we surveyed our principal suppliers of conflict minerals in covered products using the Electronic Industry Citizenship Coalition (EICC) GESI Conflict Minerals reporting template. The survey was facilitated through an Analogic web page dedicated to the solicitation and collection of the relevant information. We engaged in follow up communications with those suppliers who did not respond to the survey or who provided information that we believed to be incomplete. We then reviewed the survey responses to identify the facilities used to process, and the countries of origin of, the covered products. At the end of this process, the Company had received a response rate of reasonably acceptable and complete surveys from over 75% of its suppliers surveyed, compared to over 40% of suppliers surveyed the prior year.

We believe the inquiry was reasonably designed to determine whether any of our necessary conflict minerals originated in a covered country. Annex A lists the smelters and refiners identified by our suppliers and Annex B lists the countries of origin identified by our suppliers.

Due Diligence Process

We conducted due diligence on the source and chain of custody of the conflict minerals in our products, and are reporting on the results of that due diligence in this Conflict Minerals Report.

Design of Due Diligence

Our due diligence measures were designed to conform to 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 (2013), including the related supplements on gold, tungsten, and tantalum (which we refer to as the OECD guidance), in all material respects.

Our Conflict Minerals program followed the following five-step framework described in the OECD guidance, including, as applicable, with regard to our due diligence process:

 

•

Step 1 – Establish strong management systems;

 

•

Step 2 – Assess risk in the supply chain;

 

•

Step 3 – Design and implement a strategy to respond to identified risk;

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•

Step 4 – Carry out independent third-party audit of supply chain; and

 

•

Step 5 – Report on supply chain due diligence.

Due Diligence Performed

Step 1 – Establish strong management systems

In connection with our due diligence efforts, we established a management team that includes subject matter experts from relevant functions including operations, regulatory, finance and legal that is responsible for implementing our conflict minerals compliance strategy. Senior management was briefed on the results of our due diligence efforts on a regular basis. We also established a corporate policy emphasizing our commitment to compliance with the rule, including our intention to conduct a reasonable country of origin inquiry and due diligence as required by the rule. This corporate policy is available at our website, www.analogic.com/compliance. Finally, we also maintain a mechanism through which concerns and questions about our conflict minerals policy and use (and other compliance concerns) may be raised. Such questions and concerns may be directed to +1 770-810-1147.

Step 2 – Assess risk in the supply chain

We do not purchase conflict minerals directly from mines, smelters or refiners. We must therefore rely on our suppliers to provide information regarding the origin of conflict minerals that are included in the covered products. We surveyed our principal suppliers of materials that include conflict minerals using the Electronic Industry Citizenship Coalition (EICC) GESI Conflict Minerals reporting template. The survey was facilitated through an Analogic web page dedicated to the solicitation and collection of the relevant information. We engaged in follow up communications with those suppliers who did not respond to the survey or who provided information that we believed to be incomplete.

We then reviewed the survey responses to identify the facilities used to process, and countries of origin of, the covered products, and compared the smelter lists against the Conflict Free Sourcing Initiative (CFSI) Conflict-Free Smelter Program (the CFSP) list of validated smelters.

Step 3 – Design and implement a strategy to respond to identified risk

The design of our due diligence process conforms to Step 3 of the OECD guidance as applicable to our circumstances and position in the supply chain as a “downstream” company with little to no direct influence on smelters/refiners. To the extent that we can influence our direct suppliers to provide minerals from conflict-free smelters or refiners, we seek to do so.

Step 4 – Carry out independent third-party audit of supply chain

We do not have direct relationships with smelters or refiners and, accordingly, we do not perform direct audits of these entities in our supply chain. Rather, we rely on the efforts of industry associations that administer independent third-party smelter and refiner audit programs. In this regard, we relied on the CSFP listing of conflict-free compliant sources.

Step 5 - Report on supply chain due diligence

We have prepared and filed a Form SD and this Conflict Minerals Report, and posted the required content on our website at www.analogic.com/compliance.

Due Diligence Determination

After conducting the due diligence described above, we have been unable to determine whether our necessary conflict minerals finance or otherwise benefit armed groups in the covered countries, as defined in the rule.

Our efforts to determine the mine or location of origin of the necessary conflict minerals consisted of the due diligence measures described above in this report. Based on the information provided by our suppliers, we determined that some, but not all, of the smelters that processed the necessary conflict minerals were included in the CFSI CFSP listing of conflict-free compliant sources.

We surveyed all of our principal suppliers of covered products and received responses from over 75% of suppliers surveyed, identifying approximately 360 smelters or refiners (after elimination of duplicates) processing conflict minerals, of which approximately 216 have been designated conflict-free by the CFSI. Annex A lists these smelters and refiners. In addition, Annex B lists the countries of origin identified by our suppliers. Some suppliers did not respond to our survey request, and some returned incomplete responses. In addition, some of those suppliers that responded to our survey returned company-level rather than product-level information. Some of our suppliers indicated that the smelters used to process, or the country of origin of, the conflict minerals contained in products supplied by them are currently undetermined pending the receipt of additional information from their suppliers. Therefore, we are unable to identify with certainty all of the smelters used to process, or all of the countries of origin of, the necessary conflict minerals.

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Efforts to Mitigate Risk

The Company has taken, or expects to take in reporting year 2016, the following steps, to mitigate the risk that the necessary conflict minerals contained in the Company’s products finance or benefit armed groups in the covered countries:

 

1)

Continuing to engage with our suppliers to obtain current, accurate and complete information about the supply chain relevant to necessary conflict minerals.

 

2)

Strongly encouraging our direct suppliers to implement responsible sourcing and to have them encourage smelters and refiners to obtain a “conflict-free” designation from an independent, third-party auditor; and

 

3)

Engaging in industry initiatives encouraging “conflict-free” supply chains.

This Conflict Minerals Report contains forward-looking statements relating to actions that we may take in the future. The forward-looking statements included in this report release represent Analogic management’s views and expectations as of the date of this report. Analogic anticipates that subsequent events and developments may cause its views and expectations to change. Although Analogic may elect to update these forward-looking statements at some point in the future, it specifically disclaims any obligation to do so. These forward-looking statements should not be relied upon as representing Analogic’s views and expectations as of any date subsequent to the date of this report.

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Annex A

 

Subject Mineral		Smelter or Refiner Facility Name		Country Location of Smelter or Refiner		Compliance (per CFSI)
Gold		Advanced Chemical Company		UNITED STATES		Unknown
Gold		Aida Chemical Industries Co., Ltd.		JAPAN		Compliant
Gold		Aktyubinsk Copper Company TOO		KAZAKHSTAN		Unknown
Gold		Al Etihad Gold Refinery DMCC		UNITED ARAB EMIRATES		Unknown
Gold		Allgemeine Gold-und Silberscheideanstalt A.G.		GERMANY		Compliant
Gold		Almalyk Mining and Metallurgical Complex (AMMC)		UZBEKISTAN		Compliant
Gold		AngloGold Ashanti Córrego do Sítio Mineração		BRAZIL		Compliant
Gold		Argor-Heraeus SA		SWITZERLAND		Compliant
Gold		Asahi Pretec Corporation		JAPAN		Compliant
Gold		Asahi Refining Canada Limited		CANADA		Compliant
Gold		Asahi Refining USA Inc.		UNITED STATES		Compliant
Gold		Asaka Riken Co., Ltd.		JAPAN		Compliant
Gold		Atasay Kuyumculuk Sanayi Ve Ticaret A.S.		TURKEY		Compliant
Gold		Aurubis AG		GERMANY		Compliant
Gold		Bangko Sentral ng Pilipinas (Central Bank of the Philippines)		PHILIPPINES		Compliant
Gold		Bauer Walser AG		GERMANY		Unknown
Gold		Boliden AB		SWEDEN		Compliant
Gold		C. Hafner GmbH + Co. KG		GERMANY		Compliant
Gold		Caridad		MEXICO		Unknown
Gold		CCR Refinery - Glencore Canada Corporation		CANADA		Compliant
Gold		Cendres + Métaux SA		SWITZERLAND		Unknown
Gold		Chimet S.p.A.		ITALY		Compliant
Gold		China Gold Deal Investment Co., Ltd.		CHINA		Unknown
Gold		China National Gold Group Corporation		CHINA		Unknown
Gold		Chugai Mining		JAPAN		Unknown
Gold		Colt Refining		UNITED STATES		Unknown
Gold		Daejin Indus Co., Ltd.		KOREA, REPUBLIC OF		Unknown
Gold		DaeryongENC		KOREA, REPUBLIC OF		Unknown
Gold		Daye Non-Ferrous Metals Mining Ltd.		CHINA		Compliant
Gold		DODUCO GmbH		GERMANY		Compliant
Gold		Dowa		JAPAN		Compliant
Gold		DSC (Do Sung Corporation)		KOREA, REPUBLIC OF		Unknown
Gold		Eco-System Recycling Co., Ltd.		JAPAN		Compliant
Gold		Elemetal Refining, LLC		UNITED STATES		Compliant
Gold		Emirates Gold DMCC		UNITED ARAB EMIRATES		Unknown
Gold		Faggi Enrico S.p.A.		ITALY		Unknown
Gold		Fidelity Printers and Refiners Ltd.		ZIMBABWE		Unknown
Gold		Gansu Seemine Material Hi-Tech Co., Ltd.		CHINA		Unknown
Gold		Geib Refining Corporation		UNITED STATES		Unknown
Gold		Guangdong Jinding Gold Limited		CHINA		Unknown
Gold		Guoda Safina High-Tech Environmental Refinery Co., Ltd.		CHINA		Unknown
Gold		Hangzhou Fuchunjiang Smelting Co., Ltd.		CHINA		Unknown
Gold		Harmony Gold Mining Company Limited		SOUTH AFRICA		Unknown
Gold		Heimerle + Meule GmbH		GERMANY		Compliant

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Gold		Heraeus Ltd. Hong Kong		CHINA		Compliant
Gold		Heraeus Precious Metals GmbH & Co. KG		GERMANY		Compliant
Gold		Heraeus Precious Metals North America (HPMN)		UNITED STATES		Unknown
Gold		Hishikari Gold Mine (Isa)		JAPAN		Unknown
Gold		Hunan Chenzhou Mining Co., Ltd.		CHINA		Unknown
Gold		Hwasung CJ Co., Ltd.		KOREA, REPUBLIC OF		Unknown
Gold		Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited		CHINA		Compliant
Gold		Ishifuku Metal Industry Co., Ltd.		JAPAN		Compliant
Gold		Istanbul Gold Refinery		TURKEY		Compliant
Gold		Japan Mint		JAPAN		Compliant
Gold		Jiangxi Copper Company Limited		CHINA		Compliant
Gold		JSC Ekaterinburg Non-Ferrous Metal Processing Plant		RUSSIAN FEDERATION		Compliant
Gold		JSC Uralelectromed		RUSSIAN FEDERATION		Compliant
Gold		JX Nippon Mining & Metals Co., Ltd.		JAPAN		Compliant
Gold		Kaloti Precious Metals		UNITED ARAB EMIRATES		Unknown
Gold		Kazakhmys Smelting LLC		KAZAKHSTAN		Unknown
Gold		Kazzinc		KAZAKHSTAN		Compliant
Gold		Kennecott Utah Copper LLC		UNITED STATES		Compliant
Gold		KGHM Polska Miedź Spółka Akcyjna		POLAND		Unknown
Gold		Kojima Chemicals Co., Ltd.		JAPAN		Compliant
Gold		Korea Metal Co., Ltd.		KOREA, REPUBLIC OF		Unknown
Gold		Korea Zinc Co. Ltd.		KOREA, REPUBLIC OF		Unknown
Gold		Kyrgyzaltyn JSC		KYRGYZSTAN		Compliant
Gold		L' azurde Company For Jewelry		SAUDI ARABIA		Compliant
Gold		Lingbao Gold Company Limited		CHINA		Unknown
Gold		Lingbao Jinyuan Tonghui Refinery Co., Ltd.		CHINA		Unknown
Gold		LS-NIKKO Copper Inc.		KOREA, REPUBLIC OF		Compliant
Gold		Luoyang Zijin Yinhui Gold Refinery Co., Ltd.		CHINA		Unknown
Gold		Materion		UNITED STATES		Compliant
Gold		Matsuda Sangyo Co., Ltd.		JAPAN		Compliant
Gold		Metahub Industries Sdn. Bhd.		MALAYSIA		Unknown
Gold		Metalor Technologies (Hong Kong) Ltd.		CHINA		Compliant
Gold		Metalor Technologies (Singapore) Pte., Ltd.		SINGAPORE		Compliant
Gold		Metalor Technologies (Suzhou) Ltd.		CHINA		Unknown
Gold		Metalor Technologies SA		SWITZERLAND		Compliant
Gold		Metalor USA Refining Corporation		UNITED STATES		Compliant
Gold		METALÚRGICA MET-MEX PEÑOLES, S.A. DE C.V		MEXICO		Compliant
Gold		Mitsubishi Materials Corporation		JAPAN		Compliant
Gold		Mitsui Mining and Smelting Co., Ltd.		JAPAN		Compliant
Gold		MMTC-PAMP India Pvt., Ltd.		INDIA		Compliant
Gold		Morris and Watson		NEW ZEALAND		Unknown
Gold		Moscow Special Alloys Processing Plant		RUSSIAN FEDERATION		Compliant
Gold		Nadir Metal Rafineri San. Ve Tic. A.Ş.		TURKEY		Compliant
Gold		Navoi Mining and Metallurgical Combinat		UZBEKISTAN		Compliant
Gold		Nihon Material Co., Ltd.		JAPAN		Compliant
Gold		Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH		AUSTRIA		Unknown
Gold		Ohura Precious Metal Industry Co., Ltd.		JAPAN		Compliant
Gold		OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastvetmet)		RUSSIAN FEDERATION		Compliant

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Gold		OJSC Kolyma Refinery		RUSSIAN FEDERATION		Compliant
Gold		OJSC Novosibirsk Refinery		RUSSIAN FEDERATION		Compliant
Gold		PAMP SA		SWITZERLAND		Compliant
Gold		Penglai Penggang Gold Industry Co., Ltd.		CHINA		Unknown
Gold		Prioksky Plant of Non-Ferrous Metals		RUSSIAN FEDERATION		Compliant
Gold		PT Aneka Tambang (Persero) Tbk		INDONESIA		Compliant
Gold		PX Précinox SA		SWITZERLAND		Compliant
Gold		Rand Refinery (Pty) Ltd.		SOUTH AFRICA		Compliant
Gold		Republic Metals Corporation		UNITED STATES		Compliant
Gold		Royal Canadian Mint		CANADA		Compliant
Gold		Sabin Metal Corp.		UNITED STATES		Unknown
Gold		Samduck Precious Metals		KOREA, REPUBLIC OF		Unknown
Gold		SAMWON METALS Corp.		KOREA, REPUBLIC OF		Unknown
Gold		SANMENXIA HENGSHENG SCIENCE AND TECHNOLOGY R&D CO.,LTD		CHINA		Unknown
Gold		SAXONIA Edelmetalle GmbH		GERMANY		Unknown
Gold		Schone Edelmetaal B.V.		NETHERLANDS		Compliant
Gold		SEMPSA Joyerĺa Platerĺa SA		SPAIN		Compliant
Gold		Shandong Tiancheng Biological Gold Industrial Co., Ltd.		CHINA		Unknown
Gold		Shandong Zhaojin Gold & Silver Refinery Co., Ltd.		CHINA		Compliant
Gold		Shandong zhongkuang group co., LTD		CHINA		Unknown
Gold		Sichuan Tianze Precious Metals Co., Ltd.		CHINA		Compliant
Gold		Singway Technology Co., Ltd.		TAIWAN		Compliant
Gold		So Accurate Group, Inc.		UNITED STATES		Unknown
Gold		SOE Shyolkovsky Factory of Secondary Precious Metals		RUSSIAN FEDERATION		Compliant
Gold		Solar Applied Materials Technology Corp.		TAIWAN		Compliant
Gold		Sudan Gold Refinery		SUDAN		Unknown
Gold		Sumitomo Metal Mining Co., Ltd.		JAPAN		Compliant
Gold		Super Dragon Technology Co., Ltd.		TAIWAN		Unknown
Gold		Suzhou Xingrui Noble metal material co.ltd		CHINA		Unknown
Gold		T.C.A S.p.A		ITALY		Unknown
Gold		Tanaka Kikinzoku Kogyo K.K.		JAPAN		Compliant
Gold		The Great Wall Gold and Silver Refinery of China		CHINA		Unknown
Gold		The Refinery of Shandong Gold Mining Co., Ltd.		CHINA		Compliant
Gold		Tokuriki Honten Co., Ltd.		JAPAN		Compliant
Gold		Tongling Nonferrous Metals Group Co., Ltd.		CHINA		Unknown
Gold		Torecom		KOREA, REPUBLIC OF		Unknown
Gold		Umicore Brasil Ltda.		BRAZIL		Compliant
Gold		Umicore Precious Metal Refining		UNITED STATES		Unknown
Gold		Umicore Precious Metals Thailand		THAILAND		Compliant
Gold		Umicore SA Business Unit Precious Metals Refining		BELGIUM		Compliant
Gold		United Precious Metal Refining, Inc.		UNITED STATES		Compliant
Gold		Valcambi SA		SWITZERLAND		Compliant
Gold		Western Australian Mint trading as The Perth Mint		AUSTRALIA		Compliant
Gold		WIELAND Edelmetalle GmbH		GERMANY		Unknown
Gold		YAMAMOTO PRECIOUS METAL CO., LTD.		JAPAN		Compliant
Gold		Yokohama Metal Co., Ltd.		JAPAN		Unknown
Gold		Yunnan Copper Industry Co., Ltd.		CHINA		Unknown
Gold		Zhongyuan Gold Smelter of Zhongjin Gold Corporation		CHINA		Compliant

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Gold		Zijin Mining Group Co., Ltd. Gold Refinery		CHINA		Compliant
Tantalum		Avon Specialty Metals Ltd		UNITED KINGDOM		Unknown
Tantalum		Changsha South Tantalum Niobium Co., Ltd.		CHINA		Compliant
Tantalum		Conghua Tantalum and Niobium Smeltry		CHINA		Compliant
Tantalum		D Block Metals, LLC		UNITED STATES		Compliant
Tantalum		Duoluoshan		CHINA		Compliant
Tantalum		Exotech Inc.		UNITED STATES		Compliant
Tantalum		F&X Electro-Materials Ltd.		CHINA		Compliant
Tantalum		FIR Metals & Resource Ltd.		CHINA		Compliant
Tantalum		Gannon & Scott		UNITED STATES		Unknown
Tantalum		Global Advanced Metals Aizu		JAPAN		Compliant
Tantalum		Global Advanced Metals Boyertown		UNITED STATES		Compliant
Tantalum		Guangdong Zhiyuan New Material Co., Ltd.		CHINA		Compliant
Tantalum		Guizhou Zhenhua Xinyun Technology Ltd., Kaili branch		CHINA		Compliant
Tantalum		H.C. Starck Co., Ltd.		THAILAND		Compliant
Tantalum		H.C. Starck GmbH Goslar		GERMANY		Compliant
Tantalum		H.C. Starck GmbH Laufenburg		GERMANY		Compliant
Tantalum		H.C. Starck Hermsdorf GmbH		GERMANY		Compliant
Tantalum		H.C. Starck Inc.		UNITED STATES		Compliant
Tantalum		H.C. Starck Ltd.		JAPAN		Compliant
Tantalum		H.C. Starck Smelting GmbH & Co.KG		GERMANY		Compliant
Tantalum		Hengyang King Xing Lifeng New Materials Co., Ltd.		CHINA		Compliant
Tantalum		Hi-Temp Specialty Metals, Inc.		UNITED STATES		Compliant
Tantalum		Jiangxi Dinghai Tantalum & Niobium Co., Ltd.		CHINA		Compliant
Tantalum		JiuJiang JinXin Nonferrous Metals Co., Ltd.		CHINA		Compliant
Tantalum		Jiujiang Tanbre Co., Ltd.		CHINA		Compliant
Tantalum		Jiujiang Zhongao Tantalum & Niobium Co., Ltd.		CHINA		Compliant
Tantalum		KEMET Blue Metals		MEXICO		Compliant
Tantalum		KEMET Blue Powder		UNITED STATES		Compliant
Tantalum		King-Tan Tantalum Industry Ltd.		CHINA		Compliant
Tantalum		LSM Brasil S.A.		BRAZIL		Compliant
Tantalum		Metallurgical Products India Pvt., Ltd.		INDIA		Compliant
Tantalum		Mineração Taboca S.A.		BRAZIL		Compliant
Tantalum		Mitsui Mining & Smelting		JAPAN		Compliant
Tantalum		Molycorp Silmet A.S.		ESTONIA		Compliant
Tantalum		Ningxia Orient Tantalum Industry Co., Ltd.		CHINA		Compliant
Tantalum		Phoenix Metal Ltd		RWANDA		Unknown
Tantalum		Plansee SE Liezen		AUSTRIA		Compliant
Tantalum		Plansee SE Reutte		AUSTRIA		Compliant
Tantalum		QuantumClean		UNITED STATES		Compliant
Tantalum		Resind Indústria e Comércio Ltda.		BRAZIL		Compliant
Tantalum		RFH Tantalum Smeltry Co., Ltd.		CHINA		Compliant
Tantalum		Shanghai Jiangxi Metals Co. Ltd		CHINA		Unknown
Tantalum		Solikamsk Magnesium Works OAO		RUSSIAN FEDERATION		Compliant
Tantalum		Taki Chemicals		JAPAN		Compliant
Tantalum		Tantalite Resources		SOUTH AFRICA		Unknown
Tantalum		Telex Metals		UNITED STATES		Compliant
Tantalum		Tranzact, Inc.		UNITED STATES		Compliant
Tantalum		Ulba Metallurgical Plant JSC		KAZAKHSTAN		Compliant
Tantalum		XinXing HaoRong Electronic Material Co., Ltd.		CHINA		Compliant

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Tantalum		Yichun Jin Yang Rare Metal Co., Ltd.		CHINA		Compliant
Tantalum		Zhuzhou Cemented Carbide		CHINA		Compliant
Tin		Alpha		UNITED STATES		Compliant
Tin		Alpha		KOREA, REPUBLIC OF		Unknown
Tin		Alpha Metals (Taiwan) Inc.		TAIWAN		Unknown
Tin		An Thai Minerals Company Limited		VIET NAM		Unknown
Tin		An Vinh Joint Stock Mineral Processing Company		VIET NAM		Unknown
Tin		BALVER ZINN Josef Jost GmbH & Co. KG		GERMANY		Unknown
Tin		Best Metais e Soldas SA		BRAZIL		Unknown
Tin		Chenzhou Yunxiang Mining and Metallurgy Company Limited		CHINA		Unknown
Tin		China Minmetals Corporation		CHINA		Unknown
Tin		China Tin Group Co., Ltd.		CHINA		Unknown
Tin		CNMC (Guangxi) PGMA Co., Ltd.		CHINA		Unknown
Tin		Cooper Santa		BRAZIL		Unknown
Tin		Cooperativa Metalurgica de Rondônia Ltda.		BRAZIL		Compliant
Tin		CV Ayi Jaya		INDONESIA		Compliant
Tin		CV DS Jaya Abadi		INDONESIA		Unknown
Tin		CV Dua Sekawan		INDONESIA		Unknown
Tin		CV Gita Pesona		INDONESIA		Compliant
Tin		CV Makmur Jaya		INDONESIA		Compliant
Tin		CV Serumpun Sebalai		INDONESIA		Compliant
Tin		CV Tiga Sekawan		INDONESIA		Unknown
Tin		CV United Smelting		INDONESIA		Compliant
Tin		CV Venus Inti Perkasa		INDONESIA		Compliant
Tin		Dowa		JAPAN		Compliant
Tin		Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company		VIET NAM		Unknown
Tin		Elmet S.L.U. (Metallo Group)		SPAIN		Compliant
Tin		EM Vinto		BOLIVIA		Compliant
Tin		Estanho de Rondônia S.A.		BRAZIL		Unknown
Tin		Feinhütte Halsbrücke GmbH		GERMANY		Unknown
Tin		Fenix Metals		POLAND		Compliant
Tin		Gejiu Fengming Metalurgy Chemical Plant		CHINA		Unknown
Tin		Gejiu Kai Meng Industry and Trade LLC		CHINA		Unknown
Tin		Gejiu Non-Ferrous Metal Processing Co., Ltd.		CHINA		Compliant
Tin		Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.		CHINA		Unknown
Tin		Gejiu Zili Mining And Metallurgy Co., Ltd.		CHINA		Unknown
Tin		Guanyang Guida Nonferrous Metal Smelting Plant		CHINA		Unknown
Tin		Heraeus Group		GERMANY		Unknown
Tin		Heraeus Precious Metals GmbH & Co. KG		GERMANY		Unknown
Tin		HuiChang Hill Tin Industry Co., Ltd.		CHINA		Unknown
Tin		Huichang Jinshunda Tin Co., Ltd.		CHINA		Unknown
Tin		Hunan Xianghualing Tin Co. ltd		CHINA		Unknown
Tin		Jiangxi Ketai Advanced Material Co., Ltd.		CHINA		Compliant
Tin		Jiangxi Nanshan		CHINA		Unknown
Tin		Linwu Xianggui Ore Smelting Co., Ltd.		CHINA		Unknown
Tin		Magnu's Minerais Metais e Ligas Ltda.		BRAZIL		Compliant
Tin		Malaysia Smelting Corporation (MSC)		MALAYSIA		Compliant
Tin		Melt Metais e Ligas S/A		BRAZIL		Compliant
Tin		Metahub Industries Sdn. Bhd.		MALAYSIA		Unknown

---

Tin		Metallic Resources, Inc.		UNITED STATES		Compliant
Tin		Metallo-Chimique N.V.		BELGIUM		Compliant
Tin		Metallum Metal Trading Company		SWITZERLAND		Unknown
Tin		Mineração Taboca S.A.		BRAZIL		Compliant
Tin		Minmetals Ganzhou Tin Co. Ltd.		CHINA		Unknown
Tin		Minsur		PERU		Compliant
Tin		Mitsubishi Materials Corporation		JAPAN		Compliant
Tin		Momentive		UNITED STATES		Unknown
Tin		Nankang Nanshan Tin Manufactory Co., Ltd.		CHINA		Unknown
Tin		Nghe Tinh Non-Ferrous Metals Joint Stock Company		VIET NAM		Unknown
Tin		Novosibirsk Processing Plant Ltd.		RUSSIAN FEDERATION		Unknown
Tin		O.M. Manufacturing (Thailand) Co., Ltd.		THAILAND		Compliant
Tin		O.M. Manufacturing Philippines, Inc.		PHILIPPINES		Compliant
Tin		OMSA		BOLIVIA		Unknown
Tin		Operaciones Metalurgical S.A.		BOLIVIA		Compliant
Tin		Phoenix Metal Ltd.		RWANDA		Unknown
Tin		PT Alam Lestari Kencana		INDONESIA		Unknown
Tin		PT Aries Kencana Sejahtera		INDONESIA		Compliant
Tin		PT Artha Cipta Langgeng		INDONESIA		Compliant
Tin		PT ATD Makmur Mandiri Jaya		INDONESIA		Compliant
Tin		PT Babel Inti Perkasa		INDONESIA		Compliant
Tin		PT Babel Surya Alam Lestari		INDONESIA		Compliant
Tin		PT Bangka Prima Tin		INDONESIA		Compliant
Tin		PT Bangka Putra Karya		INDONESIA		Compliant
Tin		PT Bangka Timah Utama Sejahtera		INDONESIA		Unknown
Tin		PT Bangka Tin Industry		INDONESIA		Compliant
Tin		PT Belitung Industri Sejahtera		INDONESIA		Compliant
Tin		PT BilliTin Makmur Lestari		INDONESIA		Compliant
Tin		PT Bukit Timah		INDONESIA		Compliant
Tin		PT Cipta Persada Mulia		INDONESIA		Compliant
Tin		PT Donna Kembara Jaya		INDONESIA		Unknown
Tin		PT DS Jaya Abadi		INDONESIA		Compliant
Tin		PT Eunindo Usaha Mandiri		INDONESIA		Compliant
Tin		PT Fang Di MulTindo		INDONESIA		Unknown
Tin		PT HANJAYA PERKASA METALS		INDONESIA		Unknown
Tin		PT HP Metals Indonesia		INDONESIA		Unknown
Tin		PT Inti Stania Prima		INDONESIA		Compliant
Tin		PT Justindo		INDONESIA		Compliant
Tin		PT Karimun Mining		INDONESIA		Unknown
Tin		PT Kijang Jaya Mandiri		INDONESIA		Unknown
Tin		PT Koba Tin		INDONESIA		Unknown
Tin		PT Mitra Stania Prima		INDONESIA		Compliant
Tin		PT Panca Mega Persada		INDONESIA		Compliant
Tin		PT Pelat Timah Nusantara Tbk		INDONESIA		Unknown
Tin		PT Prima Timah Utama		INDONESIA		Compliant
Tin		PT Rajwa International		INDONESIA		Unknown
Tin		PT REFINED BANGKA TIN		INDONESIA		Compliant
Tin		PT Sariwiguna Binasentosa		INDONESIA		Compliant
Tin		PT Seirama Tin investment		INDONESIA		Unknown
Tin		PT Singkep Times Utama		INDONESIA		Unknown

---

Tin		PT Stanindo Inti Perkasa		INDONESIA		Compliant
Tin		PT Sukses Inti Makmur		INDONESIA		Unknown
Tin		PT Sumber Jaya Indah		INDONESIA		Compliant
Tin		PT Supra Sukses Trinusa		INDONESIA		Unknown
Tin		PT Tambang Timah		INDONESIA		Unknown
Tin		PT Timah		INDONESIA		Unknown
Tin		PT Timah (Persero) Tbk Kundur		INDONESIA		Compliant
Tin		PT Timah (Persero) Tbk Mentok		INDONESIA		Compliant
Tin		PT Tinindo Inter Nusa		INDONESIA		Compliant
Tin		PT Tirus Putra Mandiri		INDONESIA		Unknown
Tin		PT Tommy Utama		INDONESIA		Compliant
Tin		PT Wahana Perkit Jaya		INDONESIA		Compliant
Tin		Resind Indústria e Comércio Ltda.		BRAZIL		Compliant
Tin		Rui Da Hung		TAIWAN		Compliant
Tin		Soft Metais Ltda.		BRAZIL		Compliant
Tin		Thaisarco		THAILAND		Unknown
Tin		TONGDING METALLIC MATERIAL CO.LTD		CHINA		Unknown
Tin		Tuyen Quang Non-Ferrous Metals Joint Stock Company		VIET NAM		Unknown
Tin		Umicore AG & Co KG		GERMANY		Unknown
Tin		Umicore Group		GERMANY		Unknown
Tin		VQB Mineral and Trading Group JSC		VIET NAM		Compliant
Tin		White Solder Metalurgia e Mineração Ltda.		BRAZIL		Compliant
Tin		Yifeng Tin Industry (Chenzhou) Co Ltd		CHINA		Unknown
Tin		Yunnan Chengfeng Non-ferrous Metals Co., Ltd.		CHINA		Unknown
Tin		Yunnan Tin Company Limited		CHINA		Unknown
Tin		Yunnan Tin Group (Holding) Company Limited		CHINA		Unknown
Tungsten		A.L.M.T. TUNGSTEN Corp.		JAPAN		Compliant
Tungsten		Asia Tungsten Products Vietnam Ltd.		VIET NAM		Compliant
Tungsten		Chenzhou Diamond Tungsten Products Co., Ltd.		CHINA		Compliant
Tungsten		Chongyi Zhangyuan Tungsten Co., Ltd.		CHINA		Compliant
Tungsten		Dayu Jincheng Tungsten Industry Co., Ltd.		CHINA		Unknown
Tungsten		Dayu Weiliang Tungsten Co., Ltd.		CHINA		Unknown
Tungsten		Fujian Jinxin Tungsten Co., Ltd.		CHINA		Compliant
Tungsten		Ganxian Shirui New Material Co., Ltd.		CHINA		Unknown
Tungsten		Ganzhou Huaxing Tungsten Products Co., Ltd.		CHINA		Compliant
Tungsten		Ganzhou Jiangwu Ferrotungsten Co., Ltd.		CHINA		Compliant
Tungsten		Ganzhou Non-ferrous Metals Smelting Co., Ltd.		CHINA		Unknown
Tungsten		Ganzhou Seadragon W & Mo Co., Ltd.		CHINA		Compliant
Tungsten		Ganzhou Yatai Tungsten Co., Ltd.		CHINA		Compliant
Tungsten		Global Tungsten & Powders Corp.		UNITED STATES		Compliant
Tungsten		Guangdong Xianglu Tungsten Co., Ltd.		CHINA		Compliant
Tungsten		H.C. Starck GmbH		GERMANY		Compliant
Tungsten		H.C. Starck Smelting GmbH & Co.KG		GERMANY		Compliant
Tungsten		Hunan Chenzhou Mining Co., Ltd.		CHINA		Compliant
Tungsten		Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji		CHINA		Unknown
Tungsten		Hunan Chuangda Vanadium Tungsten Co., Ltd. Yanglin		CHINA		Unknown
Tungsten		Hunan Chunchang Nonferrous Metals Co., Ltd.		CHINA		Compliant
Tungsten		Hydrometallurg, JSC		RUSSIAN FEDERATION		Compliant
Tungsten		Japan New Metals Co., Ltd.		JAPAN		Compliant
Tungsten		Jiangwu H.C. Starck Tungsten Products Co., Ltd.		CHINA		Unknown

---

Tungsten		Jiangxi Gan Bei Tungsten Co., Ltd.		CHINA		Compliant
Tungsten		Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.		CHINA		Unknown
Tungsten		Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.		CHINA		Unknown
Tungsten		Jiangxi Xinsheng Tungsten Industry Co., Ltd.		CHINA		Unknown
Tungsten		Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.		CHINA		Compliant
Tungsten		Jiangxi Yaosheng Tungsten Co., Ltd.		CHINA		Unknown
Tungsten		Kennametal Fallon		UNITED STATES		Unknown
Tungsten		Kennametal Huntsville		UNITED STATES		Compliant
Tungsten		Luoyang Mudu Tungsten & Molybdenum Technology Co., Ltd.		CHINA		Unknown
Tungsten		Malipo Haiyu Tungsten Co., Ltd.		CHINA		Compliant
Tungsten		Niagara Refining LLC		UNITED STATES		Compliant
Tungsten		Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC		VIET NAM		Compliant
Tungsten		Pobedit, JSC		RUSSIAN FEDERATION		Unknown
Tungsten		Sanher Tungsten Vietnam Co., Ltd.		VIET NAM		Unknown
Tungsten		Sumitomo Group		CHINA		Unknown
Tungsten		Sumitomo Metal Mining Co., Ltd.		CHINA		Unknown
Tungsten		Tejing (Vietnam) Tungsten Co., Ltd.		VIET NAM		Compliant
Tungsten		Vietnam Youngsun Tungsten Industry Co., Ltd.		VIET NAM		Compliant
Tungsten		Wolfram Bergbau und Hütten AG		AUSTRIA		Compliant
Tungsten		Xiamen Tungsten (H.C.) Co., Ltd.		CHINA		Compliant
Tungsten		Xiamen Tungsten Co., Ltd.		CHINA		Compliant
Tungsten		Xinhai Rendan Shaoguan Tungsten Co., Ltd.		CHINA		Compliant

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Annex B

Australia

Belarus

Belgium

Bolivia

Brazil

Burundi

Canada

Chile

China

Cote d’Ivorie

Democratic Republic of the Congo

Ethiopia

Germany

India

Indonesia

Japan

Kazakhstan

Malaysia

Mexico

Mozambique

Nambia

Nigeria

Peru

Philippines

Poland

Portugal

Russia

Rwanda

Sierra Leone

South Africa

Spain

Switzerland

Taiwan

Thailand

United States

Vietnam

Zimbabwe

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