UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM SD

 

SPECIALIZED DISCLOSURE REPORT

 

AEROVIRONMENT, INC.

(Exact name of the registrant as specified in its charter)

 

Delaware

 

001-33261

 

95-2705790

(State or other jurisdiction of
incorporation)

 

(Commission File Number)

 

(I.R.S. Employer
Identification No.)

 

181 W. Huntington Drive, Suite 202
Monrovia, CA 91016

(Address of principal executive offices, including zip code)

 


 

Douglas E. Scott

(626) 357-9983

(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, 2014.

 

 

 



 

Section 1 — Conflict Minerals Disclosure

 

Item 1.01 Conflict Minerals Disclosure and Report

 

Conflict Minerals Disclosure

 

A copy of AeroVironment’s Conflict Minerals Report is filed as Exhibit 1.01 hereto and is publicly available at www.avinc.com.

 

Item 1.02                                           Exhibit

 

AeroVironment has included its Conflict Minerals Report as Exhibit 1.01 to 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 Form SD.

 

2



 

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.

 

AEROVIRONMENT, INC.

 

/s/ Douglas E. Scott

 

 

By: Douglas E. Scott

 

June 1, 2015

Senior Vice President, General Counsel
and Corporate Secretary

 

 

 

3




Exhibit 1.01

 

AeroVironment, Inc.

 

Conflict Minerals Report

 

For The Year Ended December 31, 2014

 

This report for the year ended December 31, 2014 is presented to comply with Rule 13p-1 under the Securities Exchange Act of 1934 (the “Rule”). Please refer to the Rule, Specialized Disclosure Report on Form SD (“Form SD”) and the 1934 Act Release No. 34-67716 (August 22, 2012) for definitions of the terms used in this report, unless otherwise defined herein.  This report has been prepared by the management of AeroVironment, Inc. (herein referred to as “AV,” the “Company,” “we,” “us,” or “our”). For purposes of this report, the term “3TG” means tantalum, tin, tungsten, and gold.  The information includes the activities of all majority-owned subsidiaries and variable interest entities that are required to be consolidated. It does not include the activities of variable interest entities that are not required to be consolidated.

 

Company Overview and Summary

 

We design, develop, produce, support and operate a technologically-advanced portfolio of products and services. We supply unmanned aircraft systems, or UAS, tactical missile systems and related services primarily to organizations within the U.S. Department of Defense, or DoD. We also supply charging systems and services for electric vehicles, or EVs, and power cycling and test systems to commercial, consumer and government customers.

 

The Company determined that 3TG were necessary to the functionality or production of products that we manufactured or contracted to be manufactured during calendar 2014.  Therefore, AeroVironment conducted a reasonable country of origin inquiry (“RCOI”) in good faith to determine whether any of the 3TG in its products originated in the Democratic Republic of Congo (“DRC”) or an adjoining country (collectively, the “Covered Countries”).  Based on its RCOI, AeroVironment believes that its products could contain 3TG that may have originated in the Covered Countries and, therefore, in accordance with the Rule, performed due diligence on the source and chain of custody of the 3TG in question to determine whether its products are “DRC Conflict Free.”  AeroVironment designed its due diligence measures to conform, in all material respects, with the nationally recognized due diligence framework in The Organization for Economic Co-operation and Development (“OECD”) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas and the related Supplements for gold and for tin, tantalum and tungsten (the “OECD Guidance”). As a result of our due diligence efforts, AeroVironment concluded in good faith that during 2014 its products are “DRC Conflict Undeterminable” (as defined in Form SD).

 

Description of Company Products and Programs

 

The following items provide additional detail on our products that contain 3TG:

 

Small Unmanned Aircraft Systems (UAS) - Our small UAS typically consist of multiple unmanned aerial vehicles with payloads of electro-optical and infrared sensors, and multiple ground control stations. Modular battery packs provide power to the unmanned aerial vehicles and ground control stations.

 

Global Observer - Global Observer is our high-altitude, long-endurance unmanned aircraft system in development.

 

Tactical Missile Systems — AeroVironment’s Switchblade is a remotely piloted, man-portable tactical missile system that consists of a tube-launched air vehicle, an explosive warhead, launch tube and a ground control station.

 

Passenger and Fleet Electric Vehicle Charging Systems - We offer a complete portfolio of charging infrastructure for passenger and fleet electric vehicles, including portable level 2 charging cords, overnight home chargers, public chargers, public fast chargers, installation services, data collection systems and communications through multiple wired and wireless data communications options.

 

PosiCharge Industrial Electric Vehicle Charging Systems - AeroVironment provides charging systems and related accessories for industrial forklifts, robotic vehicles and other industrial equipment.

 

Power Cycling and Test Systems - We supply a line of DC power cycling and test systems to research and development organizations that focus on electric propulsion systems, electric generation systems and electricity storage systems. In addition, these systems can emulate any drive train component, enabling the testing of individual components or partial drive trains.

 

1



 

Design of Due Diligence

 

We designed our due diligence measures to conform, in all material respects, with the framework in the OECD Guidance.  The OECD Guidance identifies five steps for due diligence that should be implemented and provides guidance as to how to achieve each step.  We developed our due diligence process to address each of these five steps, namely:

 

·                  establishing strong company management systems regarding conflict minerals;

 

·                  identifying and assessing risks in our supply chain;

 

·                  designing and implementing a strategy to respond to identified risks in our supply chain;

 

·                  utilizing independent third-party audits of supply chain diligence; and

 

·                  publicly reporting on our supply chain due diligence.

 

We are a downstream supplier, many steps removed from the mining of 3TG. A large number of suppliers, through multiple tiers of distribution, supply the components and materials integrated into our products. Furthermore, AeroVironment does not purchase raw ore or unrefined conflict minerals or make purchases from the Covered Countries.   The origin of the 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.  The smelters and refiners consolidate raw ore and represent the best actors in the total supply chain to possess knowledge of the origin of the ores they procure.

 

The OECD Guidance specifies that the requirements for compliance should reflect a company’s position in the supply chain.  In particular, the OECD Guidance states that the implementation of due diligence should be tailored to a company’s activities and relationships and that the nature and extent of due diligence may vary based on a company’s size, products, relationships with suppliers and other factors.  Due to practical difficulties associated with supply chain complexities, the OECD Guidance advises that downstream companies exercise due diligence primarily by establishing controls over their immediate suppliers.  Accordingly, we rely primarily on our “tier 1” (direct) suppliers to provide information with respect to the origin of the conflict minerals contained in the components and materials supplied to us.

 

Due Diligence Performed

 

Management Systems

 

Internal Compliance Team

 

AeroVironment established a cross-functional Conflict Mineral Compliance Team sponsored by Doug Scott, Senior Vice President and General Counsel, comprising representatives from our purchasing, subcontracts, legal and finance teams. Subject matter experts from relevant functions such as purchasing, subcontracts and engineering support this Conflict Mineral Compliance Team.

 

The Conflicts Mineral Compliance Team is responsible for implementing our conflict minerals compliance strategy. The Conflicts Mineral Compliance Team briefs senior management about the results of our due diligence efforts on a periodic basis.

 

Conflict Minerals Policy

 

We adopted a Conflict Minerals Policy articulating our conflict minerals supply chain diligence process and our commitment to our reporting obligations regarding conflict minerals.  Our policy is available on our website at www.avinc.com.

 

2



 

Other Management Systems

 

We also implemented the following management systems to support our conflict minerals compliance program:

 

·                  When entering into or renewing supplier contracts we add a clause to require suppliers to provide information about the source of 3TG and smelters.

·                  We, through Assent Compliance, Inc. (“Assent”), (i) provide our suppliers with training on the Rule as well as our expectations regarding the responsible sourcing of conflict minerals, and (ii) leverage our existing communications with individual suppliers, specifically their procurement departments, to encourage their interactions with Assent as well as understand the requirement for completion. Feedback from this engagement allows us to enhance the training, focus and adapt it to each supplier’s needs. It also allows for our supplier communications to be more focused and ensure expectations are clear.

·                  We established multiple longstanding grievance mechanisms whereby employees and suppliers can report violations of AeroVironment’s policies, including with respect to conflict minerals.

·                  We implemented a document retention policy through Assent to retain conflict minerals related documents, including supplier responses to EICC/GeSI forms, also known as Conflict Minerals Reporting Template (“CMRT”) forms.  We store all of the information and findings from this process in a database that can be audited by internal or external parties.

 

Identify and assess risk in the supply chain

 

Because of our size, the complexity of our products, and the depth, breadth, and constant evolution of our supply chain, it is difficult to identify actors upstream from our direct suppliers.

 

Risks and Red Flags are identified automatically in the Assent Compliance Manager system based on criteria established for supplier responses in the System.

 

Red Flag responses are addressed by Assent Compliance Supply Chain staff who contact the supplier, gather pertinent data and perform an assessment of the supplier’s conflict minerals status.

 

The primary risk we identified with respect to the reporting period ended December 31, 2014 related to the nature of the responses received. A large number of the responses received provided data at a company or divisional level or were unable to specify the smelters or refiners used for 3TG in the components supplied to AeroVironment. Additionally, many suppliers indicated that they received information regarding their supply chains from fewer than 75% of their suppliers and, therefore, they could not provide a comprehensive list of all smelters or refiners in their supply chains.  We were, therefore, unable to determine all of the smelters or refiners in our supply chain and could not determine whether any of the conflict minerals contained in our products originated from the Covered Countries.

 

Design and Implement a Strategy to Respond to Risks

 

Together with Assent, we developed processes to assess and respond to the risks identified in our supply chain.  As discussed above, the primary risk we identified with respect to the reporting period ended December 31, 2014 related to the nature of the responses received and lack of information about the smelters and refiners used for 3TG in the components supplied to AeroVironment.  To address this risk, Assent Compliance Supply Chain staff worked with our suppliers to provide better and more accurate data on the source and country of origin of 3TG in the products supplied to us.  We are continuing to engage with our suppliers and offer them suggestions as to how to effectively diligence their own supply chains and complete the CMRT form.

 

Carry out Independent Third Party Audit of Supply Chain Due Diligence at Identified Points in the Supply Chain

 

We do not have a direct relationship with any 3TG smelters or refiners and do not perform or direct audits of these entities within our supply chain. Instead, we rely on third-party audits of smelters and refiners conducted as part of the CFSI Conflict-Free Smelter Program, which uses independent private sector auditors to audit the source, including the mines of origin, and the chain of custody of the conflict minerals used by smelters and refiners that agree to participate in the program.

 

Public Reporting on Supply Chain Due Diligence

 

We have published our Form SD for the year ended December 31, 2014 and this report in the Investor Relations section of our website at avinc.com.  Information found on or accessed through our website is not considered part of this report and is not incorporated by reference herein.  We have also publicly filed our Form SD and this report with the Securities and Exchange Commission.

 

3



 

Supply Chain Review Results

 

To determine whether necessary 3TG in our products originated in Covered Countries, we retained Assent to assist us in reviewing our supply chain.  We conducted a survey of all our suppliers of components of our products. We decided not to further filter this list based on the necessity of the presence of 3TG in our products as AeroVironment could not definitively determine the presence or absence of 3TG in all parts supplied to us for our products.

 

During the supplier survey, we contacted suppliers via the Assent Compliance Manager, a SaaS platform provided by Assent that enables its users to complete and track supplier communications as well as allow suppliers to upload completed EICC-GeSI forms directly to the platform for red flag assessment and management. Assent requested that suppliers complete the CMRT forms and included training and education on the completion of the CMRT form in its mailing to suppliers.  Assent monitored and tracked all of these communications in Assent’s system for future reporting and transparency.

 

Assent periodically informed the Company of the response rate of suppliers during the diligence process.  AeroVironment directly contacted suppliers that were unresponsive to Assent’s communications during the diligence process and requested such suppliers to complete the CMRT form and submit such form to Assent.  Suppliers requesting additional information regarding the form were encouraged to review informational materials prepared by Assent and to contact Assent with further questions.

 

Of the 316 suppliers we surveyed, we received responses (via the Assent Compliance Manager and directly from suppliers) from approximately 91.1% of the suppliers surveyed.  Responses received from these suppliers represented approximately 84.4% of our total spend in 2013 and 2014 on components and materials for our products.  We reviewed the initial responses against criteria developed to determine which suppliers required further engagement based on the information provided. These criteria included incomplete responses as well as inconsistencies within the data reported on the CMRT form. AeroVironment and Assent worked directly with these suppliers to attempt to obtain revised responses.  Ultimately, approximately 10.8% of the responses received contained an inconsistency or were deemed incomplete.

 

Assent compared the list of smelters and refiners provided in our suppliers’ responses to the lists of smelters maintained by the Conflict-Free Sourcing Initiative (“CFSI”), the United States Department of Commerce (“DoC”) and the London Bouillon Market Association (“LBMA”) and, if a supplier indicated that a facility was certified as conflict-free, confirmed that the facility was listed on CFSI’s list of validated conflict free smelters and refiners of 3TG.  Our suppliers identified a total of 279 smelters and refiners that appear on the lists maintained by CFSI, the DoC and the LBMA.  Of these 279 smelters and refiners, 150 are validated as conflict free by CFSI, and, based on information provided by CFSI, a further 42 have agreed to undergo or are currently undergoing a third-party audit.  Most of the CMRTs we received were made on a company or division level basis which did not allow us to identify which smelters or refiners listed by our suppliers actually processed the 3TG contained in our products.  All smelters and refiners identified by our suppliers that we believe may source 3TG from the Covered Countries appear on CFSI’s list of validated conflict free smelters and refiners.

 

Facilities, Country of Origin and Mines

 

Efforts to Determine Mine or Location of Origin

 

Our efforts to determine the mine or location of origin of the necessary conflict minerals contained in our products that are DRC Conflict Undeterminable include the due diligence efforts described in this report.

 

Facilities Used to Process, and Country of Origin of, the Necessary Conflict Minerals in our Products

 

Attached as Appendix A is a list of all of the smelters and refiners listed by our suppliers in their completed CMRTs that appear on the lists of smelters maintained by the CFSI, DoC and LBMA.  Because most of the CMRTs we received from our suppliers were made on a company or division level basis, rather than on a product-level basis, we are not able to identify which smelters or refiners listed on Appendix A actually processed the 3TGs contained in our productsTherefore, our list of processing smelters and refiners disclosed in Appendix A may contain more facilities than those that actually processed the conflict minerals contained in our products.

 

4



 

Steps to be taken to mitigate risk

 

Since December 31, 2014, we have taken or intend to take the following steps to improve the due diligence conducted to further mitigate any risk that the necessary 3TGs in our products could benefit armed groups in the DRC or adjoining countries:

 

a.                    Work more closely with our third party conflict minerals service provider to obtain CMRTs on a product-specific basis to enable us to determine which smelters and refiners actually process 3TGs contained in our products.

 

b.                    Engage with our suppliers more closely and provide suppliers with more information and training resources regarding responsible sourcing of 3TGs.

 

c.                     Encourage our suppliers to have due diligence procedures in place for their supply chains to improve the content of the responses from such suppliers.

 

5



 

APPENDIX A

 

Conflict
Mineral

 

Smelter/Refinery Name

 

Location

Tungsten

 

A.L.M.T. Corp.

 

JAPAN

Gold

 

Advanced Chemical Company

 

UNITED STATES

Gold

 

Aida Chemical Industries Co. Ltd.*

 

JAPAN

Tungsten

 

Air Products

 

UNITED STATES

Gold

 

Allgemeine Gold-und Silberscheideanstalt A.G.*

 

GERMANY

Gold

 

Almalyk Mining and Metallurgical Complex (AMMC)

 

UZBEKISTAN

Tin

 

Alpha*

 

UNITED STATES

Tin

 

Amalgamet Inc.

 

PERU

Gold

 

AngloGold Ashanti Córrego do Sítio Minerção*

 

BRAZIL

Gold

 

Argor-Heraeus SA*

 

SWITZERLAND

Gold

 

Asahi Pretec Corporation*

 

JAPAN

Gold

 

Asaka Riken Co Ltd

 

JAPAN

Gold

 

Atasay Kuyumculuk Sanayi Ve Ticaret A.S.*

 

TURKEY

Gold

 

Aurubis AG*

 

GERMANY

Gold

 

Bangko Sentral ng Pilipinas (Central Bank of the Philippines)

 

PHILIPPINES

Gold

 

Bauer Walser AG

 

GERMANY

Gold

 

Boliden AB*

 

SWEDEN

Gold

 

C. Hafner GmbH + Co. KG*

 

GERMANY

Gold

 

Caridad

 

MEXICO

Gold

 

CCR Refinery — Glencore Canada Corporation*

 

CANADA

Gold

 

Cendres + Métaux SA

 

SWITZERLAND

Tantalum

 

Changsha South Tantalum Niobium Co., Ltd.*

 

CHINA

Tungsten

 

Chenzhou Diamond Tungsten Products Co., Ltd.

 

CHINA

Gold

 

Chimet S.p.A.*

 

ITALY

Gold

 

China National Gold Group Corporation

 

CHINA

Tin

 

China Rare Metal Materials Company*

 

CHINA

Tin

 

China Tin Group Co., Ltd.

 

CHINA

Tungsten

 

Chongyi Zhangyuan Tungsten Co., Ltd.

 

CHINA

Gold

 

Chugai Mining

 

JAPAN

Tin

 

CNMC (Guangxi) PGMA Co. Ltd.

 

CHINA

Gold

 

Colt Refining

 

UNITED STATES

Tantalum

 

Conghua Tantalum and Niobium Smeltry*

 

CHINA

Tin

 

Cooper Santa

 

BRAZIL

Tin

 

CSC Pure Technologies

 

RUSSIAN FEDERATION

Tin

 

CV Duta Putra Bangka

 

INDONESIA

Tin

 

CV Gita Pesona

 

INDONESIA

Tin

 

CV JusTindo

 

INDONESIA

Tin

 

CV Makmur Jaya

 

INDONESIA

Tin

 

CV Nurjanah

 

INDONESIA

 

A-1



 

Conflict
Mineral

 

Smelter/Refinery Name

 

Location

Tin

 

CV Serumpun Sebalai

 

INDONESIA

Tin

 

CV United Smelting*

 

INDONESIA

Gold

 

Daejin Indus Co. Ltd

 

KOREA, REPUBLIC OF

Gold

 

Daye Non-Ferrous Metals Mining Ltd.

 

CHINA

Tungsten

 

Dayu Weiliang Tungsten Co., Ltd.

 

CHINA

Gold

 

Do Sung Corporation

 

KOREA, REPUBLIC OF

Gold

 

Doduco

 

GERMANY

Gold

 

Dowa*

 

JAPAN

Tin

 

Dowa*

 

JAPAN

Tantalum

 

Duoluoshan*

 

CHINA

Gold

 

Eco-System Recycling Co., Ltd.*

 

JAPAN

Tin

 

Electroloy Metal Pte

 

SINGAPORE

Tin

 

EM Vinto*

 

BOLIVIA

Tin

 

Estanho de Rondônia S.A.

 

BRAZIL

Tantalum

 

Exotech Inc.*

 

UNITED STATES

Tantalum

 

F&X Electro-Materials Ltd.*

 

CHINA

Tin

 

Fenix Metals

 

POLAND

Gold

 

FSE Novosibirsk Refinery

 

RUSSIAN FEDERATION

Tungsten

 

Fujian Jinxin Tungsten Co., Ltd.

 

CHINA

Gold

 

Gansu Seemine Material Hi-Tech Co Ltd

 

CHINA

Tungsten

 

Ganxian Shirui New Material 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

Tin

 

Gejiu Kai Meng Industry and Trade LLC

 

CHINA

Tin

 

Gejiu Non-Ferrous Metal Processing Co. Ltd.*

 

CHINA

Tin

 

Gejiu Zi-Li

 

CHINA

Tantalum

 

Global Advanced Metals Aizu*

 

JAPAN

Tantalum

 

Global Advanced Metals Boyertown*

 

UNITED STATES

Tungsten

 

Global Tungsten & Powders Corp.*

 

UNITED STATES

Gold

 

Guangdong Jinding Gold Limited

 

CHINA

Tungsten

 

Guangdong Xianglu Tungsten Co., Ltd.

 

CHINA

Tantalum

 

Guangdong Zhiyuan New Material Co., Ltd.*

 

CHINA

Tantalum

 

Guizhou Zhenhua Xinyun Technology Ltd., Kaili branch*

 

CHINA

Tantalum

 

H.C. Starck Co., Ltd.*

 

THAILAND

Tungsten

 

H.C. Starck GmbH

 

GERMANY

Tantalum

 

H.C. Starck GmbH Goslar*

 

GERMANY

Tantalum

 

H.C. Starck GmbH Laufenburg*

 

GERMANY

Tantalum

 

H.C. Starck Hermsdorf GmbH*

 

GERMANY

 

A-2



 

Conflict
Mineral

 

Smelter/Refinery Name

 

Location

Tantalum

 

H.C. Starck Inc.*

 

UNITED STATES

Tantalum

 

H.C. Starck Ltd.*

 

JAPAN

Tungsten

 

H.C. Starck Smelting GmbH & Co.KG

 

GERMANY

Tantalum

 

H.C. Starck Smelting GmbH & Co.KG*

 

GERMANY

Gold

 

Hangzhou Fuchunjiang Smelting Co., Ltd.

 

CHINA

Gold

 

Heimerle + Meule GmbH*

 

GERMANY

Tantalum

 

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

 

CHINA

Gold

 

Heraeus Ltd. Hong Kong*

 

HONG KONG

Gold

 

Heraeus Precious Metals GmbH & Co. KG*

 

GERMANY

Tantalum

 

Hi-Temp*

 

UNITED STATES

Tin

 

Huichang Jinshunda Tin Co. Ltd

 

CHINA

Tungsten

 

Hunan Chenzhou Mining Group Co., Ltd.

 

CHINA

Gold

 

Hunan Chenzhou Mining Group Co., Ltd.

 

CHINA

Tungsten

 

Hunan Chunchang Nonferrous Metals Co., Ltd.*

 

CHINA

Gold

 

Hwasung CJ Co. Ltd

 

KOREA, REPUBLIC OF

Tin

 

Hyundai-Steel

 

KOREA, REPUBLIC OF

Gold

 

Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited

 

CHINA

Gold

 

Ishifuku Metal Industry Co., Ltd.*

 

JAPAN

Gold

 

Istanbul Gold Refinery*

 

TURKEY

Tungsten

 

Izawa Metal Co., Ltd

 

JAPAN

Gold

 

Japan Mint*

 

JAPAN

Tungsten

 

Japan New Metals Co., Ltd.*

 

JAPAN

Tin

 

Jean Goldschmidt International SA

 

BELGIUM

Gold

 

Jiangxi Copper Company Limited

 

CHINA

Tungsten

 

Jiangxi Gan Bei Tungsten Co., Ltd.*

 

CHINA

Tungsten

 

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

 

CHINA

Tin

 

Jiangxi Nanshan

 

CHINA

Tungsten

 

Jiangxi Richsea New Materials Co., Ltd.

 

CHINA

Tungsten

 

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

 

CHINA

Tungsten

 

Jiangxi Xinsheng Tungsten Industry Co., Ltd.

 

CHINA

Tungsten

 

Jiangxi Yaosheng Tungsten Co., Ltd.

 

CHINA

Tantalum

 

JiuJiang JinXin Nonferrous Metals Co., Ltd.*

 

CHINA

Tantalum

 

Jiujiang Tanbre Co., Ltd.*

 

CHINA

Gold

 

Johnson Matthey Inc.*

 

UNITED STATES

Gold

 

Johnson Matthey Ltd*

 

CANADA

Gold

 

JSC Ekaterinburg Non-Ferrous Metal Processing Plant*

 

RUSSIAN FEDERATION

Gold

 

JSC Uralelectromed*

 

RUSSIAN FEDERATION

Gold

 

JX Nippon Mining & Metals Co., Ltd.*

 

JAPAN

Gold

 

Kazzinc Ltd*

 

KAZAKHSTAN

Tantalum

 

KEMET Blue Metals*

 

MEXICO

 

A-3



 

Conflict
Mineral

 

Smelter/Refinery Name

 

Location

Tantalum

 

KEMET Blue Powder*

 

UNITED STATES

Tungsten

 

Kennametal Fallon

 

UNITED STATES

Tungsten

 

Kennametal Huntsville

 

UNITED STATES

Gold

 

Kennecott Utah Copper LLC*

 

UNITED STATES

Tantalum

 

King-Tan Tantalum Industry Ltd*

 

CHINA

Gold

 

Kojima Chemicals Co., Ltd*

 

JAPAN

Tin

 

Koki Products Co. Ltd.

 

THAILAND

Gold

 

Korea Metal Co. Ltd

 

KOREA, REPUBLIC OF

Tin

 

KOVOHUTE PRIBRAM NASTUPNICKA, A.S.

 

CZECH REPUBLIC

Gold

 

Kyrgyzaltyn JSC

 

KYRGYZSTAN

Gold

 

L’ azurde Company For Jewelry*

 

SAUDI ARABIA

Gold

 

Lingbao Gold Company Limited

 

CHINA

Gold

 

Lingbao Jinyuan Tonghui Refinery Co. Ltd.

 

CHINA

Tin

 

Linwu Xianggui Smelter Co

 

CHINA

Tantalum

 

LSM Brasil S.A.*

 

BRAZIL

Gold

 

LS-NIKKO Copper Inc.*

 

KOREA, REPUBLIC OF

Gold

 

Luoyang Zijin Yinhui Metal Smelt Co Ltd

 

CHINA

Tin

 

Magnu’s Minerais Metais e Ligas LTDA*

 

BRAZIL

Tin

 

Malaysia Smelting Corporation (MSC)*

 

MALAYSIA

Tungsten

 

Malipo Haiyu Tungsten Co., Ltd.*

 

CHINA

Gold

 

Materion*

 

UNITED STATES

Gold

 

Matsuda Sangyo Co., Ltd.*

 

JAPAN

Tin

 

Melt Metais e Ligas S/A*

 

BRAZIL

Tin

 

Metallo Chimique*

 

BELGIUM

Tantalum

 

Metallurgical Products India (Pvt.) Ltd.*

 

INDIA

Gold

 

Metalor Technologies (Hong Kong) Ltd*

 

HONG KONG

Gold

 

Metalor Technologies (Singapore) Pte. Ltd.*

 

SINGAPORE

Gold

 

Metalor Technologies SA*

 

SWITZERLAND

Gold

 

Metalor USA Refining Corporation*

 

UNITED STATES

Gold

 

Met-Mex Peñoles, S.A.*

 

MEXICO

Tantalum

 

Mineração Taboca S.A.*

 

BRAZIL

Tin

 

Mineração Taboca S.A.*

 

BRAZIL

Tin

 

Minsur*

 

PERU

Gold

 

Mitsubishi Materials Corporation*

 

JAPAN

Tin

 

Mitsubishi Materials Corporation*

 

JAPAN

Tantalum

 

Mitsui Mining & Smelting*

 

JAPAN

Gold

 

Mitsui Mining and Smelting Co., Ltd.*

 

JAPAN

Tantalum

 

Molycorp Silmet A.S.*

 

ESTONIA

Gold

 

Moscow Special Alloys Processing Plant

 

RUSSIAN FEDERATION

Gold

 

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

 

TURKEY

 

A-4



 

Conflict
Mineral

 

Smelter/Refinery Name

 

Location

Tungsten

 

Nanchang Cemented Carbide Limited Liability Company

 

CHINA

Gold

 

Navoi Mining and Metallurgical Combinat

 

UZBEKISTAN

Gold

 

Nihon Material Co. LTD*

 

JAPAN

Tantalum

 

Ningxia Orient Tantalum Industry Co., Ltd.*

 

CHINA

Tantalum

 

Nippon Mining & Metals Co. Ltd.

 

JAPAN

Tungsten

 

North American Tungsten

 

CANADA

Tin

 

Novosibirsk Integrated Tin Works

 

RUSSIAN FEDERATION

Tungsten

 

Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC

 

VIETNAM

Tin

 

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

 

THAILAND

Tin

 

O.M. Manufacturing Philippines, Inc.

 

PHILIPPINES

Gold

 

Ohio Precious Metals, LLC*

 

UNITED STATES

Gold

 

Ohura Precious Metal Industry Co., Ltd*

 

JAPAN

Gold

 

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

 

RUSSIAN FEDERATION

Gold

 

OJSC Kolyma Refinery

 

RUSSIAN FEDERATION

Tin

 

OMSA*

 

BOLIVIA

Gold

 

PAMP SA*

 

SWITZERLAND

Gold

 

Penglai Penggang Gold Industry Co Ltd

 

CHINA

Tantalum

 

Plansee SE Liezen*

 

AUSTRIA

Tantalum

 

Plansee SE Reutte*

 

AUSTRIA

Tin

 

Poongsan Corporation

 

KOREA, REPUBLIC OF

Tin

 

POSCO

 

KOREA, REPUBLIC OF

Gold

 

Prioksky Plant of Non-Ferrous Metals

 

RUSSIAN FEDERATION

Tin

 

PT Alam Lestari Kencana

 

INDONESIA

Gold

 

PT Aneka Tambang (Persero) Tbk*

 

INDONESIA

Tin

 

PT Artha Cipta Langgeng

 

INDONESIA

Tin

 

PT ATD Makmur Mandiri Jaya*

 

INDONESIA

Tin

 

PT Babel Inti Perkasa*

 

INDONESIA

Tin

 

PT Babel Surya Alam Lestari

 

INDONESIA

Tin

 

PT Bangka Kudai Tin

 

INDONESIA

Tin

 

PT Bangka Putra Karya*

 

INDONESIA

Tin

 

PT Bangka Timah Utama Sejahtera

 

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 DS Jaya Abadi*

 

INDONESIA

Tin

 

PT Eunindo Usaha Mandiri*

 

INDONESIA

Tin

 

PT Fang Di MulTindo

 

INDONESIA

Tin

 

PT HP Metals Indonesia

 

INDONESIA

Tin

 

PT Inti Stania Prima

 

INDONESIA

 

A-5



 

Conflict
Mineral

 

Smelter/Refinery Name

 

Location

Tin

 

PT Karimun Mining

 

INDONESIA

Tin

 

PT Koba Tin

 

INDONESIA

Tin

 

PT Mitra Stania Prima*

 

INDONESIA

Tin

 

PT Panca Mega Persada*

 

INDONESIA

Tin

 

PT Pelat Timah Nusantara Tbk

 

INDONESIA

Tin

 

PT Prima Timah Utama*

 

INDONESIA

Tin

 

PT REFINED BANGKA TIN*

 

INDONESIA

Tin

 

PT Sariwiguna Binasentosa*

 

INDONESIA

Tin

 

PT Seirama Tin investment

 

INDONESIA

Tin

 

PT Stanindo Inti Perkasa*

 

INDONESIA

Tin

 

PT Sumber Jaya Indah

 

INDONESIA

Tin

 

PT Supra Sukses Trinusa

 

INDONESIA

Tin

 

PT Tambang Timah*

 

INDONESIA

Tin

 

PT Timah (Persero), Tbk*

 

INDONESIA

Tin

 

PT Tinindo Inter Nusa*

 

INDONESIA

Tin

 

PT Tommy Utama

 

INDONESIA

Tin

 

PT WAHANA PERKIT JAYA*

 

INDONESIA

Tin

 

PT Yinchendo Mining Industry

 

INDONESIA

Tin

 

Pure Technology

 

RUSSIA

Gold

 

PX Précinox SA*

 

SWITZERLAND

Tantalum

 

QuantumClean*

 

UNITED STATES

Tin

 

Rahman Hydraulic Tin Sdn Bhd

 

MALAYSIA

Gold

 

Rand Refinery (Pty) Ltd*

 

SOUTH AFRICA

Tantalum

 

RFH Tantalum Smeltry Co., Ltd*

 

CHINA

Gold

 

Royal Canadian Mint*

 

CANADA

Tin

 

Rui Da Hung

 

TAIWAN

Gold

 

Sabin Metal Corp.

 

UNITED STATES

Tungsten

 

Saganoseki Smelter & Refinery

 

JAPAN

Gold

 

Samduck Precious Metals

 

KOREA, REPUBLIC OF

Gold

 

SAMWON METALS Corp.

 

KOREA, REPUBLIC OF

Gold

 

Schone Edelmetaal*

 

NETHERLANDS

Gold

 

SEMPSA Joyería Platería SA*

 

SPAIN

Tin

 

SGS

 

BOLIVIA

Gold

 

Shandong Tarzan Bio-Gold Co Ltd

 

CHINA

Gold

 

Shandong Zhaojin Gold & Silver Refinery Co. Ltd*

 

CHINA

Tantalum

 

Shanghai Jiangxi Metals Co. Ltd

 

CHINA

Gold

 

So Accurate Group, Inc.

 

UNITED STATES

Gold

 

SOE Shyolkovsky Factory of Secondary Precious Metals

 

RUSSIAN FEDERATION

Tin

 

Soft Metais, Ltda.

 

BRAZIL

Gold

 

Solar Applied Materials Technology Corp.*

 

TAIWAN

 

A-6



 

Conflict
Mineral

 

Smelter/Refinery Name

 

Location

Tantalum

 

Solikamsk Magnesium Works OAO*

 

RUSSIAN FEDERATION

Gold

 

Sumitomo Metal Mining Co., Ltd.*

 

JAPAN

Tungsten

 

TaeguTec Ltd.

 

KOREA, REPUBLIC OF

Tantalum

 

Taki Chemicals*

 

JAPAN

Tungsten

 

Tamano Smelter, Hibi Kyodo Smelting Co., Ltd

 

JAPAN

Gold

 

Tanaka Kikinzoku Kogyo K.K.*

 

JAPAN

Tin

 

Technic Inc.

 

UNITED STATES

Tungsten

 

Tejing (Vietnam) Tungsten Co., Ltd.

 

VIET NAM

Tantalum

 

Telex*

 

UNITED STATES

Tin

 

Thaisarco*

 

THAILAND

Gold

 

The Great Wall Gold and Silver Refinery of China

 

CHINA

Gold

 

The Refinery of Shandong Gold Mining Co. Ltd*

 

CHINA

Gold

 

Tokuriki Honten Co., Ltd*

 

JAPAN

Gold

 

Tongling nonferrous Metals Group Co.,Ltd

 

CHINA

Gold

 

Torecom

 

KOREA, REPUBLIC OF

Tantalum

 

Ulba*

 

KAZAKHSTAN

Gold

 

Umicore Brasil Ltda*

 

BRAZIL

Gold

 

Umicore Precious Metals Thailand*

 

THAILAND

Gold

 

Umicore SA Business Unit Precious Metals Refining*

 

BELGIUM

Gold

 

United Precious Metal Refining, Inc.*

 

UNITED STATES

Gold

 

Valcambi SA*

 

SWITZERLAND

Tungsten

 

Vietnam Youngsun Tungsten Industry Co., Ltd*

 

VIET NAM

Gold

 

Western Australian Mint trading as The Perth Mint*

 

AUSTRALIA

Tin

 

White Solder Metalurgia e Mineração Ltda.*

 

BRAZIL

Tungsten

 

Wolfram Bergbau und Hütten AG*

 

AUSTRIA

Tungsten

 

Wolfram Company CJSC

 

RUSSIAN FEDERATION

Tungsten

 

Xiamen Honglu Tungsten Molybdenum Industry Co. Ltd

 

CHINA

Tungsten

 

Xiamen Tungsten (H.C.) Co., Ltd.*

 

CHINA

Tungsten

 

Xiamen Tungsten Co., Ltd.*

 

CHINA

Tungsten

 

Xinhai Rendan Shaoguan Tungsten Co., Ltd.

 

CHINA

Gold

 

YAMAMOTO PRECIOUS METAL CO., LTD.

 

JAPAN

Tantalum

 

Yichun Jin Yang Rare Metal Co., Ltd*

 

CHINA

Gold

 

Yokohama Metal Co Ltd

 

JAPAN

Tin

 

Yunnan Chengfeng Non-ferrous Metals Co.,Ltd.

 

CHINA

Gold

 

Yunnan Copper Industry Co Ltd

 

CHINA

Tin

 

Yunnan Tin Company, Ltd.*

 

CHINA

Gold

 

Zhaoyuan Gold Co.

 

CHINA

Gold

 

Zhongyuan Gold Smelter of Zhongjin Gold Corporation*

 

CHINA

Tantalum

 

Zhuzhou Cement Carbide*

 

CHINA

Gold

 

Zijin Mining Group Co. Ltd*

 

CHINA

 

A-7



 


* CFSI Compliant

 

Countries of origin for these facilities are believed to include: Argentina, Australia, Austria, Bolivia, Botswana, Brazil, Bulgaria, Burkina Faso, Canada, Chile, China, DRC, Egypt, Ethiopia, Finland, Ghana, Guinea, Indonesia, Ivory Coast, Kazakhstan, Kenya, Malaysia, Mali, Mexico, Mozambique, Namibia, Peru, Russian Federation, Rwanda, South Africa, Taiwan, Tanzania, Thailand, Turkey, United Arab Emirates, United States, Vietnam, Zambia, and Zimbabwe.

 

A-8


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