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Form SD TRIMBLE INC.

May 31, 2018 4:02 PM

 

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM SD

 

 

SPECIALIZED DISCLOSURE REPORT

 

 

TRIMBLE INC.

(Exact name of registrant as specified in its charter)

 

 

 

Delaware   001-14845   94-2802192

(State or other jurisdiction

of incorporation)

 

(Commission

File Number)

 

(IRS. Employer

Identification No.)

935 Stewart Drive

Sunnyvale, CA 94085

(Address of principal executive offices)

James A. Kirkland

Senior Vice President, General Counsel and Secretary

(408) 481-8000

(Name and telephone number, including area code, of the person to contact in connection with this report.)

 

 

Check the appropriate box to indicate the rule pursuant to which this form is being filed, and provide the period to which the information in this form applies:

 

Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2017.

 

 

 


Section 1 - Conflict Minerals Disclosure

Items 1.01 and 1.02 Conflict Minerals Disclosure and Report; Exhibit

A copy of Trimble Inc.’s Conflict Minerals Report is provided as Exhibit 1.01 to this Report and is available at the following address:

http://www.trimble.com/Corporate/Compliance/compliance_resources.aspx

Section 2 - Exhibits

 

Item 2.01 Exhibits

 

Exhibit

    No.    

  

Description

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.

 

TRIMBLE INC.

/s/ James A. Kirkland

By:   James A. Kirkland, Senior Vice President, General Counsel and Secretary
Date:   May 31, 2018

Exhibit 1.01

Trimble Inc.

Conflict Minerals Report For The Year Ended December 31, 2017

The following conflict minerals report contains forward-looking statements about our plans to take additional actions or to implement additional policies or procedures with respect to our due diligence efforts to determine the origin of conflict minerals contained in our products. We undertake no obligation to publically update or revise any forward-looking statement, whether as a result of new information, future events or otherwise. Our reporting obligations under the conflict minerals rules may change in the future and our ability to implement certain processes or obtain information from our suppliers may differ materially from those anticipated or implied in this report.

This is the Conflict Minerals Report of Trimble Inc. for the 2017 calendar year in accordance with Rule 13p-1 under the Securities Exchange Act of 1934, as amended.

Rule 13p-1 requires that all public companies report annually on the presence of certain minerals, characterized as conflict minerals, including tin, tantalum, tungsten or gold (“3TG” or “conflict minerals”), in the products that they manufacture or contract to manufacture, and demonstrate the proper level of due diligence in determining whether these minerals originated from the Democratic Republic of the Congo or an adjoining country (collectively, “Covered Countries”) or from scrap or recycled sources and whether they directly or indirectly finance or benefit armed groups in the Covered Countries.

Introduction

Trimble provides technology solutions that enable professionals and field mobile workers to improve or transform their work processes. Our solutions, which can include a combination of hardware, software and services, are used across a range of industries including agriculture, architecture, civil engineering, survey and land administration, construction, geospatial, government, natural resources, transportation and utilities. Representative Trimble customers include engineering and construction firms, contractors, surveying companies, farmers and agricultural companies, enterprise firms with large-scale fleets, energy, mining and utility companies, and state, federal and municipal governments.

We design and manufacture, or have manufactured on our behalf, thousands of different hardware products ranging across multiple business divisions within our key business segments of Buildings and Infrastructure, Geospatial, Resources and Utilities, and Transportation. Many of these hardware products, which are typically based upon positioning or location technologies, including Global Navigation Satellite Systems (GNSS), lasers and optics, are built by our contract manufacturing partners.

Our contract manufacturing partners are responsible for significant material procurement, assembly, and testing. We generally manage product design and are involved in qualifying suppliers and key components used in our products. We are many levels removed from the mining or processing of minerals in our supply chain, however, and we do not directly source, or manage the sourcing of, raw materials, including conflict minerals.

Many of our hardware products are designed with printed circuit boards, connectors, sheet metal and other electrical mechanical assemblies that may contain conflict minerals. The components used in our products that contain these metals are required for the functionality of our products.

 

1


Trimble’s Conflict Minerals Program

Trimble is committed to sourcing components and materials from companies that share our values concerning human rights, ethics and environmental responsibility. Our Conflict Minerals Policy Statement, as well as all of our Conflict Minerals Reports, are published on our public website and available at:

http://www.trimble.com/Corporate/Compliance/compliance_resources.aspx.

We focus our due diligence efforts on determining the source and chain of custody of conflict minerals in the components and materials that are supplied to us. Tracing conflict minerals back to their country of origin, though, is a complex task that requires, among other things, screening for the possible presence of 3TG in parts or materials provided by our contract manufacturers and direct suppliers (which we refer to as “in-scope suppliers”), and then surveying such in-scope suppliers to understand what programs they have in place for tracing the source of minerals included in products or components supplied to us. Suppliers are deemed out-of-scope and not surveyed if they only provide software, plastic, packaging materials or other items that do not contain 3TG.

Trimble uses as its standard reporting template, and requires its in-scope suppliers to use, the Responsible Minerals Initiative’s (“RMI”) (formerly known as the Conflict-Free Sourcing Initiative) Conflict Minerals Reporting Template (“CMRT”) to identify whether in-source suppliers source 3TG from the Covered Countries or from recycled or scrap sources. The CMRT is a key part of our due diligence efforts and is used to determine the source and chain of custody of 3TG in the components and materials that are supplied to us. We rely on the information provided through the CMRT by our supply chain, as well as smelter information provided by the RMI and other industry organizations, to complete our Conflict Minerals Report.

As part of our supplier risk assessment, we require new suppliers to go through a screening and approval process so we can assess their use of 3TG and determine whether they are in-scope suppliers. We provide an initial survey to assess their use of 3TG and to understand their business processes. We also inform new suppliers of our “Supplier Requirements for the Sourcing of Conflict Minerals,” which further describe our Conflict Minerals Program goals and expectations. Additionally, we have established a Supplier Code of Conduct, which is based upon the Responsible Business Alliance’s Code of Conduct.

Trimble requires in-scope suppliers to source from smelters that are either conformant with the Responsible Minerals Assurance Process (“RMAP”) (formerly, the Conflict-Free Smelter Program or CFSP), have undergone another recognized third-party audit program or are in the process of achieving audit compliance. In the event of non-compliance by an in-scope supplier, we require the supplier to pursue corrective actions, and, in the event of continued non-compliance, we may consider termination of the supplier.

Reasonable Country of Origin Inquiry (“RCOI”)

Since conflict minerals are necessary to the functionality of many of our hardware products, we conducted an RCOI to determine the origin of the 3TG present in our products delivered to customers. Given the complex nature of our supply chain and our extensive parts inventory, we assess our in-scope suppliers in three separate phases: (i) we first assess suppliers of parts containing 3TG that are used in the bill of materials for products that we are actively producing; (ii) we then review those suppliers that manufacture and sell to us their parts and components; and (iii) finally, we review suppliers of the companies and businesses that we acquire.

After our three phase assessment, we requested that in-scope suppliers provide us with information using the CMRT. We received a 96% response rate, which was the same rate as the prior year. Based on the CMRT responses from our in-scope suppliers and a review and analysis of the responses against RMI’s

 

2


RMAP Conformant Smelter & Refiner list, which provides sourcing information and audit status for certified smelters, we concluded that, of the identified smelters:

63% sourced minerals from conflict free regions;

8% sourced from Covered Countries but were compliant; and

29% did not disclose their sourcing information.

Based on our internal assessment of in-scope suppliers and the CMRT information we received back from our in-scope suppliers, we determined that it was necessary to exercise due diligence to determine the source and chain of custody of the conflict minerals contained in our products.

Trimble Due Diligence

We have designed our due diligence program to conform, in all material respects, with the framework in the “Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (Third Edition),” and the related supplements, published by the Organisation for Economic Co-operation and Development. The following describes Trimble’s due diligence activities for the 2017 reporting year.

 

Step 1: Establish Strong Company Management Systems

 

    We have made our Conflict Minerals Policy, described above, publicly available on our website.

 

    We have established a team that is responsible for administering our Conflict Minerals Program. Our team is supported by, and works closely with, our third-party vendor, MetricStream. Our team consists of personnel from our corporate operation’s group, including representatives from our quality, internal audit and global commodity management departments, and works closely with our specific business area buyers and product managers to address supplier risks and disclosure issues.

 

    If suppliers are unresponsive or do not provide the requested information, we have a process for escalating the matter to increasingly senior levels of management and considering corrective actions for suppliers that do not meet our stated expectations.

 

    We have established “Supplier Requirements for the Sourcing of Conflict Minerals,” which we communicate to our suppliers and require them to follow. We also engage suppliers by providing conflict mineral training and orientation materials to assist our suppliers in completing the CMRTs, and provide support to answer suppliers’ questions. We maintain a conflict minerals resource page with links to resources about the conflict minerals law, the CMRT and our contact information for conflict minerals related inquiries: http://www.trimble.com/Corporate/Compliance/compliance_resources.aspx.

 

    Our template terms of purchase require suppliers to assist us in complying with applicable provisions of Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act such as notifying us of their use of conflict minerals.

 

    We report on the status and progress of our Conflict Minerals Program during our operation group’s quarterly business and executive-level review meetings.

 

    Our Conflict Minerals Program, as an established internal process, is subject to oversight by our internal audit group.

 

3


Step 2: Identify and Assess Risk in the Supply Chain

 

    We requested each in-scope supplier to complete and return a CMRT so that we could survey our supply chain and obtain information about the smelters and refiners (which we collectively refer to as “smelters” throughout this report), and mines or locations of origin, of the 3TG used in our products. We identified the CMRT, the standardized reporting template developed by RMI as the best method for collecting information about Trimble’s suppliers in order to identify and assess risks.

 

    We tracked responses from in-scope suppliers and initially categorized suppliers according to whether they provided in their CMRT responses: (i) legitimate smelter information, or (ii) inconsistent or incomplete information about smelters that required further investigation.

 

    We use RMI’s smelters and refiners database to obtain conflict minerals sourcing information for the smelters identified on the CMRTs from our in-scope suppliers.

 

    We have a defined process for reviewing and evaluating CMRT responses, including procedures to address incomplete or vague answers and to follow up with suppliers, as necessary.

 

    We identify any “high risk” suppliers that require additional attention by focusing on suppliers that: (i) list smelters that are in the Covered Countries and are not found on the RMAP Conformant Smelters & Refiners list (ii) list smelters that have been found to be non-conformant with the RMAP or similar third-party audit programs (iii) list unresponsive smelters that are unwilling to undertake compliance with the RMAP or another third-party audit program; or (iv) identify smelters through our trade compliance screening that may be financed by a U.S.-embargoed or - sanctioned country, or that are identified as potentially supporting armed conflict or human rights violations.

 

Step 3: Design and Implement a Strategy to Respond to Identified Risks

 

    We obtained updated smelter status data from RMI’s smelters and refiners database and compared supplier provided information against such data. Smelters found not in conformance with the RMAP or other independent third-party audit programs (such as the Tin Supply Chain Initiative List and the London Bullion Market Good Delivery Lists) were flagged for further due diligence.

 

    Any supplier that Trimble identified as “high risk” underwent further investigation, and was subject to additional risk mitigation requests by Trimble.

 

    We informed our in-scope suppliers of identified high risk smelters and requested our suppliers to conduct further due diligence and to work with their supply chains to ensure compliance, such as by requesting impacted suppliers to utilize RMI’s smelter outreach letter in reaching out to non-certified smelters and press them for compliance, or to find substitute smelters.

 

    We require high risk suppliers to commit to and implement a corrective action plan within a reasonable time frame, and if such plan is deemed ineffective or there is no progress made, at the discretion of management, the supplier is subject to suspension or termination.

 

    We participate in and support RMI’s working groups on smelter due diligence practices for risk mitigation.

 

4


Step 4: Carry Out Independent Third-party Audit of Supply Chain Due Diligence at Identified Points in the Supply Chain

 

    We are a member of RMI and rely on RMI’s data to validate the audit status and sourcing information of smelters.

 

    We conduct our own due diligence through publicly available information regarding identified high risk smelters to validate the existence and assess the conflict status of smelters.

 

    We address conflict minerals in our general supplier audits, focusing on supplier CMRT responses and due diligence programs.

 

Step 5: Report on supply chain due diligence

 

    Our annual Conflict Minerals Reports are publicly accessible on our website.

 

    We highlight selected accomplishments and attributes of our Conflict Minerals Program in our Responsible Corporate Citizenship Report, publicly available through our website: https://www.trimble.com/corporate/pdf/Trimble_RCC_Final.pdf.

 

    We remind “high risk” suppliers of our expectations for the upcoming 2018 conflict minerals reporting period and emphasize our requirements and goals.

Results of Due Diligence

Based on the responses received from suppliers, we identified a total of 311 smelters within our supply chain that were potential sources of 3TG for our suppliers.

We utilized RMI’s smelter database to obtain recent smelter audit status as of April 5, 2018. The table below summarizes the status of smelters that were identified through the information provided by our in-scope suppliers. Trimble has adopted the same audit status designations utilized by RMI to categorize audit compliance status. “Compliant” smelters are those that have completed an audit and conform with RMAP or other third party programs. “Active” smelters are those that are engaging with RMAP or other third party auditors to achieve compliance. “In Communication” refers to smelters that are not certified, but which demonstrate interest in participating in an audit program. “Alleged” are alleged smelters that are not certified and have not even been verified yet to be a true smelter or still in business. “Non-Conformant” are those smelters that have been identified as having non-conformant audit results.

Schedule A lists all the verified smelters reported by our in-scope suppliers that we believe processed 3TG which may have been used in Trimble products during the 2017 reporting period.

 

2017 Trimble Smelters Audit Status in reference to RMI’s Smelter Database (as  of April 5, 2018)

 

Smelter Audit

Status             

   Compliant Smelters:      Active Smelters:      In Communication:      Alleged:      Non-
Conformant:
 

Gold

     101        6        27        8        2  

Tantalum

     41        —          —          —          —    

Tin

     71        2        5        1        1  

Tungsten

     41        1        2        —          2  
  

 

 

    

 

 

    

 

 

    

 

 

    

 

 

 

Total:

     254        9        34        9        5  
  

 

 

    

 

 

    

 

 

    

 

 

    

 

 

 

 

5


Of the total number of smelters identified, 180 smelters had associated mine disclosure information that was provided to us by RMI. From this information, we determined that 160 of those smelters did not source 3TG from the Covered Countries. We also determined that 2 smelters that sourced 3TG from Covered Countries were certified as “conflict-free” by RMI.

We conducted additional diligence and assessed the remaining 18 “high risk” smelters as follows:

 

    2 may have been misidentified as non-conformant due to mistranslations and were in fact determined to be part of valid smelter audit programs;

 

    3 smelters were determined to either not be true smelters or were no longer in business;

 

    7 smelters could not be validated as true 3TG smelters or there was a lack of evidence showing that the smelters sourced from Covered Countries; and

 

    6 smelters were of unknown status due to either RMI being unable to verify status or because of lack of participation in any audit program.

Trimble issued corrective actions to all 95 in-scope suppliers that listed at least one of these 18 smelters. Of those, 77 suppliers have responded with remedial action plans. The remaining 18 suppliers have acknowledged Trimble’s requests for corrective actions but have not yet provided remedial plans. Trimble continues to closely monitor the progress of these suppliers and will consider additional corrective action if warranted.

Determination

Based on the measures we have taken, as described above, we do not have sufficient information to determine the country of origin of all of the 3TG contained in our products. Not all of the RMAP compliant smelters disclosed the origin of their minerals. In addition, the information provided by some suppliers was incomplete and unverifiable, and certain smelters identified by suppliers were not recognized by RMI or were unknown to us so we were unable to determine the origin of minerals processed by such smelters.

However, based on the information provided by our suppliers, as well as information from RMI and other third party sources, we believe the origin of 3TG processed by smelters known to us and contained in our products include the countries listed in Schedule B. As discussed above, the known smelters for which we had mine disclosure information, and that we believe processed 3TG originating from the Covered Countries, were all certified conflict-free by RMI. In addition, we are not aware of any instance where 3TG sourced from the Covered Countries directly or indirectly financed or benefited armed groups.

Future Due Diligence Measures

We intend to take the following measures in 2018 to further mitigate the risk that conflict minerals in our products could directly or indirectly finance or benefit armed groups in the Covered Countries:

 

  Push our suppliers to reach out to those smelters with the status of “In Communication” to pressure those smelters to attain compliance with a third-party smelter audit program;

 

  Actively monitor the progress of those suppliers with high risk smelters identified within their supply chains;

 

  Continue to communicate with our suppliers regarding Trimble’s Conflict Mineral Policy and Supplier Requirements to ensure that suppliers appropriately assess their supply chains, in keeping with the principles of responsible sourcing and corporate social responsibility underlying Trimble’s Conflict Minerals Program;

 

6


  Require our suppliers to source from smelters that are certified as conflict-free or that are currently undergoing, or willing to undergo, an audit through the RMAP or another third party;

 

  Provide conflict minerals training to Trimble’s new suppliers and other suppliers that appear to need assistance;

 

  Review our supplier risk mitigation process to assess remedial and corrective actions that we may take to address situations where suppliers are unresponsive, provide incomplete information or continue to source from unknown smelters; and

 

  Continue monitoring our supply chain activities, keep current with changes or updates in relevant laws and guidance, and update our related policies and procedures as appropriate.

 

7


Schedule A

Smelters and Refiners

 

Metal

  

Smelter Name

  

Country

Gold    Abington Reldan Metals, LLC    UNITED STATES OF AMERICA
Gold    PAMP S.A.    SWITZERLAND
Gold    Nihon Material Co., Ltd.    JAPAN
Gold    Mitsui Mining and Smelting Co., Ltd.    JAPAN
Gold    Mitsubishi Materials Corporation    JAPAN
Gold    Metalurgica Met-Mex Penoles S.A. De C.V.    MEXICO
Gold    Metalor USA Refining Corporation    UNITED STATES OF AMERICA
Gold    Metalor Technologies S.A.    SWITZERLAND
Gold    Metalor Technologies (Singapore) Pte., Ltd.    SINGAPORE
Gold    Metalor Technologies (Hong Kong) Ltd.    CHINA
Gold    Metalor Technologies (Suzhou) Ltd.    CHINA
Gold    Matsuda Sangyo Co., Ltd.    JAPAN
Gold    Kojima Chemicals Co., Ltd.    JAPAN
Gold    Kennecott Utah Copper LLC    UNITED STATES OF AMERICA
Gold    JX Nippon Mining & Metals Co., Ltd.    JAPAN
Gold    Asahi Refining Canada Ltd.    CANADA
Gold    Ishifuku Metal Industry Co., Ltd.    JAPAN
Gold    Heraeus Precious Metals GmbH & Co. KG    GERMANY
Gold    Heraeus Metals Hong Kong Ltd.    CHINA
Gold    Dowa    JAPAN
Gold    CCR Refinery - Glencore Canada Corporation    CANADA
Gold    Asaka Riken Co., Ltd.    JAPAN
Gold    Asahi Pretec Corp.    JAPAN
Gold    Argor-Heraeus S.A.    SWITZERLAND
Gold    Republic Metals Corporation    UNITED STATES OF AMERICA
Gold    Zhongyuan Gold Smelter of Zhongjin Gold Corporation    CHINA
Gold    Valcambi S.A.    SWITZERLAND
Gold    Umicore Brasil Ltda.    BRAZIL
Gold    Tokuriki Honten Co., Ltd.    JAPAN
Gold    The Refinery of Shandong Gold Mining Co., Ltd.    CHINA
Gold    Tanaka Kikinzoku Kogyo K.K.    JAPAN
Gold    Sumitomo Metal Mining Co., Ltd.    JAPAN
Gold    Shandong Zhaojin Gold & Silver Refinery Co., Ltd.    CHINA
Gold    Royal Canadian Mint    CANADA
Gold    Rand Refinery (Pty) Ltd.    SOUTH AFRICA
Gold    Aida Chemical Industries Co., Ltd.    JAPAN
Gold    Western Australian Mint (T/a The Perth Mint)    AUSTRALIA
Gold    United Precious Metal Refining, Inc.    UNITED STATES OF AMERICA
Gold    Umicore S.A. Business Unit Precious Metals Refining    BELGIUM
Gold    Solar Applied Materials Technology Corp.    TAIWAN, PROVINCE OF CHINA
Gold    SEMPSA Joyeria Plateria S.A.    SPAIN
Gold    Ohura Precious Metal Industry Co., Ltd.    JAPAN
Gold    Materion    UNITED STATES OF AMERICA
Gold    LS-NIKKO Copper Inc.    KOREA, REPUBLIC OF
Gold    Asahi Refining USA Inc.    UNITED STATES OF AMERICA

 

1


Gold    Jiangxi Copper Co., Ltd.    CHINA
Gold    Heimerle + Meule GmbH    GERMANY
Gold    Eco-System Recycling Co., Ltd.    JAPAN
Gold    Chimet S.p.A.    ITALY
Gold    Aurubis AG    GERMANY
Gold    AngloGold Ashanti Corrego do Sitio Mineracao    BRAZIL
Gold    Allgemeine Gold-und Silberscheideanstalt A.G.    GERMANY
Gold    Yamakin Co., Ltd.    JAPAN
Gold    PT Aneka Tambang (Persero) Tbk    INDONESIA
Gold    SOE Shyolkovsky Factory of Secondary Precious Metals    RUSSIAN FEDERATION
Gold    PX Precinox S.A.    SWITZERLAND
Gold    Bangko Sentral ng Pilipinas (Central Bank of the Philippines)    PHILIPPINES
Gold    Torecom    KOREA, REPUBLIC OF
Gold    Sabin Metal Corp.    UNITED STATES OF AMERICA
Gold    Navoi Mining and Metallurgical Combinat    UZBEKISTAN
Gold    Al Etihad Gold LLC    UNITED ARAB EMIRATES
Gold    Advanced Chemical Company    UNITED STATES OF AMERICA
Gold    Yunnan Copper Industry Co., Ltd.    CHINA
Gold    Cendres + Metaux S.A.    SWITZERLAND
Gold    C. Hafner GmbH + Co. KG    GERMANY
Gold    Boliden AB    SWEDEN
Gold    Atasay Kuyumculuk Sanayi Ve Ticaret A.S.    TURKEY
Gold    Almalyk Mining and Metallurgical Complex (AMMC)    UZBEKISTAN
Gold    SAFINA A.S.    CZECH REPUBLIC
Gold    KGHM Polska Miedz Spolka Akcyjna    POLAND
Gold    Sichuan Tianze Precious Metals Co., Ltd.    CHINA
Gold    Schone Edelmetaal B.V.    NETHERLANDS
Gold    Samduck Precious Metals    KOREA, REPUBLIC OF
Gold    AU Traders and Refiners    SOUTH AFRICA
Gold    Remondis Argentia B.V.    NETHERLANDS
Gold    WIELAND Edelmetalle GmbH    GERMANY
Gold    SAAMP    FRANCE
Gold    Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH    AUSTRIA
Gold    Istanbul Gold Refinery    TURKEY
Gold    Hangzhou Fuchunjiang Smelting Co., Ltd.    CHINA
Gold    Guoda Safina High-Tech Environmental Refinery Co., Ltd.    CHINA
Gold    Refinery of Seemine Gold Co., Ltd.    CHINA
Gold    Sudan Gold Refinery    SUDAN
Gold    Luoyang Zijin Yinhui Gold Refinery Co., Ltd.    CHINA
Gold    Lingbao Jinyuan Tonghui Refinery Co., Ltd.    CHINA
Gold    Lingbao Gold Co., Ltd.    CHINA
Gold    L’azurde Company For Jewelry    SAUDI ARABIA
Gold    Tony Goetz NV    BELGIUM
Gold    Penglai Penggang Gold Industry Co., Ltd.    CHINA
Gold    Sai Refinery    INDIA
Gold    GCC Gujrat Gold Centre Pvt. Ltd.    INDIA

 

2


Gold    Tongling Nonferrous Metals Group Co., Ltd.    CHINA
Gold    Great Wall Precious Metals Co., Ltd. of CBPM    CHINA
Gold    Shandong Tiancheng Biological Gold Industrial Co., Ltd.    CHINA
Gold    Kyshtym Copper-Electrolytic Plant ZAO    RUSSIAN FEDERATION
Gold    Universal Precious Metals Refining Zambia    ZAMBIA
Gold    Guangdong Jinding Gold Limited    CHINA
Gold    Morris and Watson    NEW ZEALAND
Gold    MMTC-PAMP India Pvt., Ltd.    INDIA
Gold    SAXONIA Edelmetalle GmbH    GERMANY
Gold    Korea Zinc Co., Ltd.    KOREA, REPUBLIC OF
Gold    T.C.A S.p.A    ITALY
Gold    Emirates Gold DMCC    UNITED ARAB EMIRATES
Gold    Singway Technology Co., Ltd.    TAIWAN, PROVINCE OF CHINA
Gold    JSC Uralelectromed    RUSSIAN FEDERATION
Gold    JSC Ekaterinburg Non-Ferrous Metal Processing Plant    RUSSIAN FEDERATION
Gold    Japan Mint    JAPAN
Gold    Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.    CHINA
Gold    OJSC Novosibirsk Refinery    RUSSIAN FEDERATION
Gold    Geib Refining Corporation    UNITED STATES OF AMERICA
Gold    Umicore Precious Metals Thailand    THAILAND
Gold    Gold Refinery of Zijin Mining Group Co., Ltd.    CHINA
Gold    Yokohama Metal Co., Ltd.    JAPAN
Gold    DSC (Do Sung Corporation)    KOREA, REPUBLIC OF
Gold    Daejin Indus Co., Ltd.    KOREA, REPUBLIC OF
Gold    Prioksky Plant of Non-Ferrous Metals    RUSSIAN FEDERATION
Gold    OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)    RUSSIAN FEDERATION
Gold    Nadir Metal Rafineri San. Ve Tic. A.S.    TURKEY
Gold    Moscow Special Alloys Processing Plant    RUSSIAN FEDERATION
Gold    Kyrgyzaltyn JSC    KYRGYZSTAN
Gold    Kazzinc    KAZAKHSTAN
Gold    Hunan Chenzhou Mining Co., Ltd.    CHINA
Gold    DODUCO Contacts and Refining GmbH    GERMANY
Gold    Pease & Curren    UNITED STATES OF AMERICA
Gold    Degussa Sonne / Mond Goldhandel GmbH    GERMANY
Gold    Morris and Watson Gold Coast    AUSTRALIA
Gold    Bangalore Refinery    INDIA
Gold    Modeltech Sdn Bhd    MALAYSIA
Gold    Italpreziosi    ITALY
Gold    Marsam Metals    BRAZIL
Gold    State Research Institute Center for Physical Sciences and Technology    LITHUANIA
Gold    Safimet S.p.A    ITALY
Gold    Planta Recuperadora de Metales SpA    CHILE
Gold    SungEel HiMetal Co., Ltd.    KOREA, REPUBLIC OF
Gold    HeeSung Metal Ltd.    KOREA, REPUBLIC OF
Gold    L’Orfebre S.A.    ANDORRA
Tantalum    Ningxia Orient Tantalum Industry Co., Ltd.    CHINA

 

3


Tantalum    F&X Electro-Materials Ltd.    CHINA
Tantalum    Global Advanced Metals Aizu    JAPAN
Tantalum    Global Advanced Metals Boyertown    UNITED STATES OF AMERICA
Tantalum    H.C. Starck Smelting GmbH & Co. KG    GERMANY
Tantalum    H.C. Starck Ltd.    JAPAN
Tantalum    H.C. Starck Inc.    UNITED STATES OF AMERICA
Tantalum    H.C. Starck Hermsdorf GmbH    GERMANY
Tantalum    H.C. Starck Tantalum and Niobium GmbH    GERMANY
Tantalum    H.C. Starck Co., Ltd.    THAILAND
Tantalum    Solikamsk Magnesium Works OAO    RUSSIAN FEDERATION
Tantalum    Resind Industria e Comercio Ltda.    BRAZIL
Tantalum    Ulba Metallurgical Plant JSC    KAZAKHSTAN
Tantalum    NPM Silmet AS    ESTONIA
Tantalum    LSM Brasil S.A.    BRAZIL
Tantalum    JiuJiang JinXin Nonferrous Metals Co., Ltd.    CHINA
Tantalum    Power Resources Ltd.    MACEDONIA, THE FORMER YUGOSLAV REPUBLIC OF
Tantalum    Exotech Inc.    UNITED STATES OF AMERICA
Tantalum    Guangdong Rising Rare Metals-EO Materials Ltd.    CHINA
Tantalum    Changsha South Tantalum Niobium Co., Ltd.    CHINA
Tantalum    Hengyang King Xing Lifeng New Materials Co., Ltd.    CHINA
Tantalum    Mineracao Taboca S.A.    BRAZIL
Tantalum    Jiujiang Tanbre Co., Ltd.    CHINA
Tantalum    Guangdong Zhiyuan New Material Co., Ltd.    CHINA
Tantalum    KEMET Blue Powder    UNITED STATES OF AMERICA
Tantalum    KEMET Blue Metals    MEXICO
Tantalum    D Block Metals, LLC    UNITED STATES OF AMERICA
Tantalum    XinXing HaoRong Electronic Material Co., Ltd.    CHINA
Tantalum    Jiujiang Zhongao Tantalum & Niobium Co., Ltd.    CHINA
Tantalum    FIR Metals & Resource Ltd.    CHINA
Tantalum    RFH Tantalum Smeltery Co., Ltd./Yanling Jincheng Tantalum & Niobium Co., Ltd.    CHINA
Tantalum    QuantumClean    UNITED STATES OF AMERICA
Tantalum    Jiangxi Tuohong New Raw Material    CHINA
Tantalum    Jiangxi Dinghai Tantalum & Niobium Co., Ltd.    CHINA
Tantalum    Yichun Jin Yang Rare Metal Co., Ltd.    CHINA
Tantalum    Telex Metals    UNITED STATES OF AMERICA
Tantalum    Taki Chemical Co., Ltd.    JAPAN
Tantalum    Mitsui Mining and Smelting Co., Ltd.    JAPAN
Tantalum    Metallurgical Products India Pvt., Ltd.    INDIA
Tantalum    King-Tan Tantalum Industry Ltd.    CHINA
Tantalum    Asaka Riken Co., Ltd.    JAPAN
Tin    Operaciones Metalurgical S.A.    BOLIVIA (PLURINATIONAL STATE OF)
Tin    Mitsubishi Materials Corporation    JAPAN
Tin    Minsur    PERU
Tin    Mineracao Taboca S.A.    BRAZIL
Tin    Malaysia Smelting Corporation (MSC)    MALAYSIA
Tin    China Tin Group Co., Ltd.    CHINA
Tin    Huichang Jinshunda Tin Co., Ltd.    CHINA

 

4


Tin    Gejiu Non-Ferrous Metal Processing Co., Ltd.    CHINA
Tin    Fenix Metals    POLAND
Tin    EM Vinto    BOLIVIA (PLURINATIONAL STATE OF)
Tin    Dowa    JAPAN
Tin    CV United Smelting    INDONESIA
Tin    Gejiu Jinye Mineral Company    CHINA
Tin    Modeltech Sdn Bhd    MALAYSIA
Tin    PT Bangka Prima Tin    INDONESIA
Tin    Metallo Belgium N.V.    BELGIUM
Tin    PT Rajehan Ariq    INDONESIA
Tin    PT Inti Stania Prima    INDONESIA
Tin    PT ATD Makmur Mandiri Jaya    INDONESIA
Tin    CV Venus Inti Perkasa    INDONESIA
Tin    Yunnan Tin Company Limited    CHINA
Tin    Yunnan Chengfeng Non-ferrous Metals Co., Ltd.    CHINA
Tin    White Solder Metalurgia e Mineracao Ltda.    BRAZIL
Tin    Thaisarco    THAILAND
Tin    PT Tinindo Inter Nusa    INDONESIA
Tin    PT Timah (Persero) Tbk Mentok    INDONESIA
Tin    PT Timah (Persero) Tbk Kundur    INDONESIA
Tin    PT Stanindo Inti Perkasa    INDONESIA
Tin    PT Sariwiguna Binasentosa    INDONESIA
Tin    PT Refined Bangka Tin    INDONESIA
Tin    PT Prima Timah Utama    INDONESIA
Tin    PT Mitra Stania Prima    INDONESIA
Tin    PT Eunindo Usaha Mandiri    INDONESIA
Tin    PT DS Jaya Abadi    INDONESIA
Tin    PT Bukit Timah    INDONESIA
Tin    PT Belitung Industri Sejahtera    INDONESIA
Tin    PT Bangka Tin Industry    INDONESIA
Tin    PT Babel Inti Perkasa    INDONESIA
Tin    PT Artha Cipta Langgeng    INDONESIA
Tin    Soft Metais Ltda.    BRAZIL
Tin    Rui Da Hung    TAIWAN, PROVINCE OF CHINA
Tin    PT Panca Mega Persada    INDONESIA
Tin    PT Premium Tin Indonesia    INDONESIA
Tin    PT Aries Kencana Sejahtera    INDONESIA
Tin    Alpha    UNITED STATES OF AMERICA
Tin    PT Sukses Inti Makmur    INDONESIA
Tin    O.M. Manufacturing Philippines, Inc.    PHILIPPINES
Tin    Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.    CHINA
Tin    Melt Metais e Ligas S.A.    BRAZIL
Tin    Magnu’s Minerais Metais e Ligas Ltda.    BRAZIL
Tin    CV Ayi Jaya    INDONESIA
Tin    Jiangxi New Nanshan Technology Ltd.    CHINA
Tin    PT Sumber Jaya Indah    INDONESIA
Tin    HuiChang Hill Tin Industry Co., Ltd.    CHINA
Tin    Resind Industria e Comercio Ltda.    BRAZIL
Tin    PT Lautan Harmonis Sejahtera    INDONESIA

 

5


Tin    Jiangxi Ketai Advanced Material Co., Ltd.    CHINA
Tin    Metallo Spain S.L.U.    SPAIN
Tin    Metallic Resources, Inc.    UNITED STATES OF AMERICA
Tin    PT Tommy Utama    INDONESIA
Tin    An Vinh Joint Stock Mineral Processing Company    VIET NAM
Tin    Super Ligas    BRAZIL
Tin    Estanho de Rondonia S.A.    BRAZIL
Tin    Tuyen Quang Non-Ferrous Metals Joint Stock Company    VIET NAM
Tin    Nghe Tinh Non-Ferrous Metals Joint Stock Company    VIET NAM
Tin    Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company*    VIET NAM
Tin    PT Karimun Mining    INDONESIA
Tin    Guanyang Guida Nonferrous Metal Smelting Plant    CHINA
Tin    Gejiu Fengming Metallurgy Chemical Plant    CHINA
Tin    PT Menara Cipta Mulia    INDONESIA
Tin    PT Kijang Jaya Mandiri    INDONESIA
Tin    CV Dua Sekawan    INDONESIA
Tin    Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.    CHINA
Tin    CV Gita Pesona    INDONESIA
Tin    O.M. Manufacturing (Thailand) Co., Ltd.    THAILAND
Tin    Gejiu Kai Meng Industry and Trade LLC    CHINA
Tin    PT O.M. Indonesia    INDONESIA
Tin    Guangdong Hanhe Non-Ferrous Metal Co., Ltd.    CHINA
Tin    PT Babel Surya Alam Lestari    INDONESIA
Tungsten    Xiamen Tungsten (H.C.) Co., Ltd.    CHINA
Tungsten    Chongyi Zhangyuan Tungsten Co., Ltd.    CHINA
Tungsten    Xiamen Tungsten Co., Ltd.    CHINA
Tungsten    Jiangxi Xinsheng Tungsten Industry Co., Ltd.    CHINA
Tungsten    Ganzhou Seadragon W & Mo Co., Ltd.    CHINA
Tungsten    Hunan Chunchang Nonferrous Metals Co., Ltd.    CHINA
Tungsten    Ganzhou Huaxing Tungsten Products Co., Ltd.    CHINA
Tungsten    Global Tungsten & Powders Corp.    UNITED STATES OF AMERICA
Tungsten    H.C. Starck Tungsten GmbH    GERMANY
Tungsten    Hunan Chenzhou Mining Co., Ltd.    CHINA
Tungsten    Hydrometallurg, JSC    RUSSIAN FEDERATION
Tungsten    Moliren Ltd.    RUSSIAN FEDERATION
Tungsten    Woltech Korea Co., Ltd.    KOREA, REPUBLIC OF
Tungsten    ACL Metais Eireli    BRAZIL
Tungsten    South-East Nonferrous Metal Company Limited of Hengyang City    CHINA
Tungsten    Kennametal Huntsville    UNITED STATES OF AMERICA
Tungsten    A.L.M.T. TUNGSTEN Corp.    JAPAN
Tungsten    Niagara Refining LLC    UNITED STATES OF AMERICA
Tungsten    Japan New Metals Co., Ltd.    JAPAN
Tungsten    Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC    VIET NAM
Tungsten    H.C. Starck Smelting GmbH & Co. KG    GERMANY
Tungsten    Jiangxi Gan Bei Tungsten Co., Ltd.    CHINA
Tungsten    Ganzhou Jiangwu Ferrotungsten Co., Ltd.    CHINA

 

6


Tungsten    Xinhai Rendan Shaoguan Tungsten Co., Ltd.    CHINA
Tungsten    Wolfram Bergbau und Hutten AG    AUSTRIA
Tungsten    Tejing (Vietnam) Tungsten Co., Ltd.    VIET NAM
Tungsten    Ganzhou Haichuang Tungsten Co., Ltd.    CHINA
Tungsten    Ganzhou Yatai Tungsten Co., Ltd.    CHINA
Tungsten    Jiangxi Dayu Longxintai Tungsten Co., Ltd.    CHINA
Tungsten    Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.    CHINA
Tungsten    Fujian Jinxin Tungsten Co., Ltd.    CHINA
Tungsten    Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.    CHINA
Tungsten    Philippine Chuangxin Industrial Co., Inc.    PHILIPPINES
Tungsten    Unecha Refractory metals plant    RUSSIAN FEDERATION
Tungsten    Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji    CHINA
Tungsten    Jiangwu H.C. Starck Tungsten Products Co., Ltd.    CHINA
Tungsten    Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.    CHINA
Tungsten    Chenzhou Diamond Tungsten Products Co., Ltd.    CHINA
Tungsten    Asia Tungsten Products Vietnam Ltd.    VIET NAM
Tungsten    Malipo Haiyu Tungsten Co., Ltd.    CHINA
Tungsten    Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.    CHINA
Tungsten    Kennametal Fallon    UNITED STATES OF AMERICA
Tungsten    Vietnam Youngsun Tungsten Industry Co., Ltd.    VIET NAM
Tungsten    Guangdong Xianglu Tungsten Co., Ltd.    CHINA
Tungsten    Jiangxi Yaosheng Tungsten Co., Ltd.    CHINA
Tungsten    Hunan Litian Tungsten Industry Co., Ltd.    CHINA

 

7


Schedule B

Countries of Origin List

 

ANDORRA    SAUDI ARABIA
AUSTRALIA    SINGAPORE
AUSTRIA    SOUTH AFRICA
BELGIUM    SPAIN
BOLIVIA (PLURINATIONAL STATE OF)    SUDAN
BRAZIL    SWEDEN
CANADA    SWITZERLAND
CHILE    TAIWAN, PROVINCE OF CHINA
CHINA    THAILAND
CZECH REPUBLIC    TURKEY
ESTONIA    UNITED ARAB EMIRATES
FRANCE    UNITED STATES OF AMERICA
GERMANY    UZBEKISTAN
INDIA    VIETNAM
INDONESIA    ZAMBIA
ITALY    MALAYSIA
JAPAN    MEXICO
KAZAKHSTAN    NETHERLANDS
KOREA, REPUBLIC OF    NEW ZEALAND
KYRGYZSTAN    PERU
LITHUANIA    PHILIPPINES
MACEDONIA, THE FORMER YUGOSLAV REPUBLIC OF    POLAND
RUSSIAN FEDERATION   

 

1

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