Document


 

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

Form SD
Specialized Disclosure Report

___________________________________________________________________________________________________________________
ACUITY BRANDS, INC.
(Exact name of registrant as specified in its charter)
___________________________________________________________________________________________________________________


Delaware
001-16583
58-2632672
(State or other jurisdiction of
incorporation or organization)
(Commission File Number)
(I.R.S. Employer
Identification Number)
1170 Peachtree Street, N.E., Suite 2300,
Atlanta, Georgia
(Address of principal executive offices)
 
30309-7676
(Zip Code)
Richard K. Reece, (404) 853-1400
(Name and telephone number, including area code, of the person to contact in connection with this report.)


___________________________________________________________________________________________________________________

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

þ
 Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2016.



___________________________________________________________________________________________________________________












 





Introduction

This Specialized Disclosure Report on Form SD ("Form SD") of Acuity Brands, Inc. ("Acuity Brands" or the "Company") for the year ended December 31, 2016 is filed to comply with Rule 13p-1 under the Securities Exchange Act of 1934 (the "Rule"). The Rule was adopted by the Securities and Exchange Commission (the "SEC") to implement reporting and disclosure requirements related to conflict minerals as required by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. Conflict minerals are defined by the SEC as columbite-tantalite (the metal ore from which tantalum is extracted), cassiterite (the metal ore from which tin is extracted), gold, wolframite (the metal ore from which tungsten is extracted), or their derivatives (collectively, the "Subject Minerals"). The Rule requires certain registrants to conduct a reasonable country of origin inquiry ("RCOI") designed to determine whether any of the Subject Minerals originated in the Democratic Republic of the Congo ("DRC"), or an adjoining country (collectively, the "Covered Countries").

Company Overview

Acuity Brands is one of the world's leading providers of lighting and building management solutions and services for commercial, institutional, industrial, infrastructure, and residential applications throughout North America and select international markets. The Company's lighting and building management solutions include devices such as luminaires, lighting controls, controllers for various building systems, power supplies, prismatic skylights, and drivers as well as integrated systems designed to optimize energy efficiency and comfort for various indoor and outdoor applications. Additionally, the Company continues to expand its solutions portfolio, including software and services, to provide a host of other economic benefits resulting from data analytics that enables the Internet of Things and supports the advancement of smart buildings, smart cities, and the smart grid. The Company manufactures or procures lighting and building management devices primarily in North America, Europe, and Asia. The production or functionality of certain of the Company's devices requires components such as circuit boards, capacitors, metal wires, electrodes, and other electronic components that contain the Subject Minerals. Consequently, the Company is subject to the disclosure and reporting requirements of the Rule.

Supply Chain Description

The Company utilizes a blend of internal and outsourced manufacturing processes and capabilities to fulfill a variety of customer needs in the most cost-effective manner. The Company operates 19 manufacturing facilities in North America and Europe. The Company also purchases certain components and finished goods from a broad network of suppliers located primarily in the U.S., Asia, and Europe. While some of the Company's products contain the Subject Minerals, the Company does not procure ore or unrefined minerals directly from mines and is many steps removed from the mining of the Subject Minerals. The origin of the Subject Minerals cannot be determined with any certainty once the ores are smelted, refined, and converted to ingots, bullion, or other mineral derivatives. The smelters and refiners are consolidating points for ore and, therefore, are in the best position to identify the origin of the ore. The Company relies on its suppliers to provide accurate information, including the identification of smelters and refiners, during its RCOI and due diligence procedures.

SECTION 1 - CONFLICT MINERALS DISCLOSURE

Item 1.01. Conflict Minerals Disclosure and Report.
 
Description of Reasonable Country of Origin Inquiry Efforts

For the 2016 reporting year, the Company conducted a supply chain survey with direct suppliers to determine the origin of the Subject Minerals, using the Conflict Minerals Reporting Template. Specifically, the survey requests direct suppliers to identify the smelters and refiners as well as the countries of origin for Subject Minerals contained in the products they sell to the Company. Management reviewed the responses and compared the smelters and refiners identified in the surveys against the lists of facilities with a "conflict free" designation by the Conflict-Free Smelter Program ("CFSP") or other independent third-party audit program. The Company's procedures for the RCOI and due diligence process are overlapping in nature; therefore, this report should be read in conjunction with the Company's Conflict Minerals Report filed as Exhibit 1.01 of this filing.






Conclusion Based on Reasonable Country of Origin Inquiry

Based on its RCOI, the Company believes it is possible that certain of the Subject Minerals used in its products may have originated in the Covered Countries and may not be from recycled or scrap sources. As discussed in the attached Conflict Minerals Report, the Company has insufficient information from suppliers or other sources regarding all of the smelters and refiners that processed the Subject Minerals to conclude whether the Subject Minerals originated in the Covered Countries.

Conflict Minerals Disclosure

The Conflict Minerals Report for the calendar year ended December 31, 2016, filed herewith as Exhibit 1.01, is publicly available at www.acuitybrands.com, but the contents of that site are not incorporated by reference into, and are not otherwise a part of, this Form SD.

This Form SD and the Conflict Minerals Report filed as Exhibit 1.01 contain statements that are forward looking, as that term is defined by the Private Securities Litigation Reform Act of 1995 or by the SEC in its rules, regulations and releases. Forward-looking statements also include any statement that is not based on historical fact, including statements containing the words "believes," "may," "plans," "will," "could," "should," "estimates," "continues," "anticipates," "intends," "expects," and similar expressions. The Company intends that such forward-looking statements be subject to the safe harbors created thereby. All forward-looking statements are based on current expectations regarding important risk factors and should not be regarded as a representation by the Company or any other person that the results expressed therein will be achieved. The Company assumes no obligation to revise or update any forward-looking statements for any reason, except as required by law. Important factors that could cause actual outcomes to differ materially from those contained in any forward-looking statement include those described in the Company’s reports, including its Form 10-K for the fiscal year ended August 31, 2016 and other forms filed by the Company with the SEC.

Item 1.02 Exhibit
The Conflict Minerals Report required by Item 1.01 is filed 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 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 undersigned thereunto duly authorized.
Date: May 31, 2017
 
 
 
ACUITY BRANDS, INC.
 
 
By:
 
/s/ Richard K. Reece
 
 
Richard K. Reece
 
 
Executive Vice President and Chief Financial Officer


Exhibit


Exhibit 1.01

Acuity Brands, Inc.
Conflict Minerals Report
For Calendar Year Ended December 31, 2016

This Conflict Minerals Report of Acuity Brands, Inc. ("Acuity Brands" or the "Company") for the year ended December 31, 2016 is filed to comply with Rule 13p-1 under the Securities Exchange Act of 1934 (the "Rule"). The Rule was adopted by the Securities and Exchange Commission (the "SEC") to implement reporting and disclosure requirements related to conflict minerals as required by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. Conflict minerals are defined by the SEC as columbite-tantalite (the metal ore from which tantalum is extracted), cassiterite (the metal ore from which tin is extracted), gold, wolframite (the metal ore from which tungsten is extracted), or their derivatives (collectively, the "Subject Minerals"). The Rule requires certain registrants to conduct a reasonable country of origin inquiry ("RCOI") designed to determine whether any of the Subject Minerals originated in the Democratic Republic of the Congo ("DRC"), or an adjoining country (collectively, the "Covered Countries").

Pursuant to the Rule, the Company performed due diligence procedures on the source and chain of custody of the Subject Minerals that are included in its products and for which, based on its RCOI, the Company believes it is possible that some may have originated from the Covered Countries and may not be from recycled or scrap sources.

Design of Due Diligence

The Company implemented a due diligence framework consistent with the Organization of Economic Co-Operation and Development's ("OECD") Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas and related Supplements on Tin, Tantalum, and Tungsten and Gold (collectively, "OECD Guidance"). Summarized below are the design components of the Company's procedures as they relate to the five-step framework set forth in the OECD Guidance:

1) Establish strong company management systems:
Publish and maintain a conflict minerals policy, which is available at http://www.acuitybrands.com/resources/regulations-codes-and-standards/conflict-minerals.
Adopt and maintain a conflict minerals governance charter, which defines the internal committee supporting compliance and due diligence efforts and the responsibilities of the internal committee.
Periodically review conflict minerals procedures with the Company's Chief Financial Officer and Audit Committee of the Board of Directors.
Utilize a conflict minerals compliance process, including the RCOI procedures described in the Form SD.
Incorporate requirements related to conflict minerals in the Company's standard supplier agreements and purchase order terms and conditions to obligate current and future suppliers to comply with the Company's conflict minerals policy, including participation in the supply chain survey and related due diligence activities.
Maintain records related to the RCOI and due diligence procedures in accordance with the Company's retention policy.
Facilitate employee, supplier, or other stakeholder grievance reporting through the Company's website.

2) Identify and assess risks in our supply chain:
Identify raw material components that may contain one or more of the Subject Minerals.
Identify finished goods that may contain one or more of the Subject Minerals for which the Company contracted to manufacture the finished goods.
Identify the direct suppliers which provided the raw material components and finished goods that may contain one or more of the Subject Minerals.
Conduct a supply chain survey using the Conflict Minerals Reporting Template ("CMRT"), requesting direct suppliers to identify smelters and refiners as well as the country of origin of the Subject Minerals in the products they sell to the Company.
Follow up with non-responsive suppliers by requesting compliance with the Company's request for information.
Review all responses received from suppliers based on the Company's conflict minerals compliance process and request supplemental information from suppliers providing responses that are deemed implausible, incomplete, inaccurate, or otherwise require clarification.
Compare smelters and refiners identified by the supply chain survey against the list of facilities that have received a "conflict-free" designation from the Conflict Free Smelter Program ("CFSP") or other independent





third party audit program; these designations also provide country of origin and due diligence information on the Subject Minerals sourced by such facilities.

3) Design and implement a strategy to respond to identified risks:
Publish and maintain a conflict minerals policy.
Utilize a risk management plan that outlines the Company's response to identified risks.
Perform risk mitigation efforts to bring suppliers into conformity with the Company's conflict minerals policy.
Provide, on a periodic basis, progress reports to the Company's Chief Financial Officer and the Audit Committee of the Board of Directors summarizing risk mitigation efforts.
When required by the Rule, obtain an independent private sector audit of this Report.

4) Support the development and implementation of independent third party audits of smelters' and refiners' sourcing:
Utilize multi-industry due diligence initiatives, including CFSP, to evaluate the procurement practices of the smelters and refiners that process and provide the Subject Minerals used in the Company's products.

5) Report on supply chain due diligence:
Communicate the Company's conflict minerals policy publicly on the Company's website at http://www.acuitybrands.com/resources/regulations-codes-and-standards/conflict-minerals.
Annually file a Conflict Minerals Report with the SEC and publish on the Company's website at http://www.acuitybrands.com.

The content of any website referred to in this report is included for general information only and is not incorporated by reference in this filing.

Due Diligence Measures Performed

Below is a description of the measures performed for the 2016 reporting period to exercise due diligence on the source and chain of custody of the Subject Minerals contained in the Company's products that the Company believes may have originated from the Covered Countries and may not be from recycled or scrap sources:

Utilized a risk management plan that outlines the Company's response to identified risks.
Followed up with non-responsive suppliers by requesting compliance with the Company's request for information.
Reviewed all responses received from suppliers based on the Company's conflict minerals compliance process and requested supplemental information from suppliers providing responses that were deemed implausible, incomplete, inaccurate, or otherwise required clarification.
Compared smelters and refiners identified by the supply chain survey against the list of facilities that have received a "conflict-free" designation from the CFSP or other independent third party audit program; these designations provide country of origin and due diligence information on the Subject Minerals sourced by such facilities.
Performed risk mitigation efforts to bring suppliers into conformity with the Company's conflict minerals policy.
Provided periodic progress reports to the Company's Chief Financial Officer and the Audit Committee of the Board of Directors summarizing risk mitigation efforts.
Identified improvement opportunities within the Company's conflict minerals compliance process and developed corrective action plans.

Results of Due Diligence Measures

Inherent Limitations on Due Diligence Measures

As an indirect purchaser of the Subject Minerals, the Company's due diligence efforts can provide only reasonable, not absolute, assurance regarding the source and chain of custody of the Subject Minerals. The Company is dependent on the data obtained from direct suppliers and in turn, the data those suppliers obtain from within their supply chains to identify sources of the Subject Minerals. In addition, the Company relies on the information collected by independent third party audit programs. These sources of information may yield incomplete or inaccurate data and may be subject to fraud.







Product Determination

Based on due diligence procedures performed in this report, the Company does not have sufficient information to conclusively confirm the country of origin or chain of custody of the Subject Minerals used in its products. The Company received company-level responses from certain of its suppliers with extensive lists of smelters without product-based information. As a result, the Company was unable to verify that Subject Minerals from these smelters were used in its products. Based on the information provided by the Company's suppliers, the Company believes some subset of the smelters and refiners listed in Table I potentially produced certain of the Subject Minerals contained in the Company's products. Based on the information from suppliers and the information available from the Conflict Free Sourcing Initiative, the Company believes the origin of the Subject Minerals processed by these smelters and refiners includes the countries listed in Table II.

Independent Private Sector Audit

This report is not subject to an independent private sector audit as allowed under Rule 13p-1.

Future Due Diligence Measures

The Company intends to implement steps to mitigate the risk that the Subject Minerals benefit armed groups and to improve the RCOI and due diligence processes.  These include, but are not limited to, the following:

Modifying the conflict minerals compliance process with the intent to increase the supplier response rate and to improve the quality of supplier responses;
Leveraging industry efforts to identify additional resources to facilitate compliance; and
Conducting an annual review of the Company's conflict minerals policy, conflict minerals compliance process and the related procedure documentation, and risks for any updates.








Table I
Listing of Smelters Potentially Producing Subject Minerals in Company Products

Metal
Smelter
Country of Smelter
Gold
Abington Reldan Metals, LLC
United States
Gold
Advanced Chemical Company
United States
Gold
Aida Chemical Industries Co., Ltd.
Japan
Gold
Al Etihad Gold
United Arab Emirates
Gold
Allgemeine Gold-und Silberscheideanstalt A.G.
Germany
Gold
Almalyk Mining and Metallurgical Complex (AMMC)
Uzbekistan
Gold
AngloGold Ashanti
Brazil
Gold
Argor-Heraeus SA
Switzerland
Gold
Asahi Pretec Corporation
Japan
Gold
Asahi Refining Canada Limited
Canada
Gold
Asahi Refining USA Inc.
United States
Gold
Asaka Riken Co., Ltd.
Japan
Gold
Atasay Kuyumculuk Sanayi Ve Ticaret A.S.
Turkey
Gold
AU Traders and Refiners
South Africa
Gold
Aurubis AG
Germany
Gold
Bangalore Refinery
India
Gold
Bangko Sentral ng Pilipinas (Central Bank of the Philippines)
Philippines
Gold
Boliden AB
Sweden
Gold
C. Hafner GmbH + Co. KG
Germany
Gold
Caridad
Mexico
Gold
CCR Refinery - Glencore Canada Corporation
Canada
Gold
Cendres + Métaux SA
Switzerland
Gold
Changcheng Gold & Silver Refining Factory
China
Gold
Chimet S.p.A.
Italy
Gold
China Gold International Resources Corp. Ltd
China
Gold
Chugai Mining
Japan
Gold
Daejin Indus Co., Ltd.
Republic of Korea
Gold
Daye Non-Ferrous Metals Mining Ltd.
China
Gold
DODUCO GmbH
Germany
Gold
Dowa
Japan
Gold
DSC (Do Sung Corporation)
Republic of Korea
Gold
Eco-System Recycling Co., Ltd.
Japan
Gold
Emirates Gold DMCC
United Arab Emirates
Gold
Fidelity Printers and Refiners Ltd.
Zimbabwe
Gold
Gansu Seemine Material Hi-Tech Co Ltd
China
Gold
Geib Refining Corporation
United States
Gold
Gold Refinery of Zijin Mining Group Co., Ltd
China
Gold
Great Wall Precious Metals Co., Ltd. of CBPM
China
Gold
Guangdong Jinding Gold Limited
China
Gold
Gujarat Gold Centre
India
Gold
Guoda Safina High-Tech Environmental Refinery Co., Ltd.
China





Metal
Smelter
Country of Smelter
Gold
Hangzhou Fuchunjiang Smelting Co., Ltd.
China
Gold
Heimerle + Meule GmbH
Germany
Gold
Henan Yuguang Gold & Lead Co., Ltd.
China
Gold
Heraeus Metals Hong Kong Ltd
China
Gold
Heraeus Precious Metals GmbH & Co. KG
Germany
Gold
Hunan Chenzhou Mining Co., Ltd.
China
Gold
HwaSeong CJ Co. Ltd
Republic of Korea
Gold
Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.
China
Gold
Ishifuku Metal Industry Co., Ltd.
Japan
Gold
Istanbul Gold Refinery
Turkey
Gold
Italpreziosi S.p.A.
Italy
Gold
Japan Mint
Japan
Gold
Jiangxi Copper Company Limited
China
Gold
Jinlong Copper Co., Ltd.
China
Gold
Johnson Matthey Chemicals Ltd.
United Kingdom
Gold
JSC Ekaterinburg Non-Ferrous Metal Processing Plant
Russian Federation
Gold
JSC Uralelectromed
Russian Federation
Gold
JX Nippon Mining & Metals Co., Ltd.
Japan
Gold
Kaloti Precious Metals
United Arab Emirates
Gold
Kazzinc
Kazakhstan
Gold
Kennecott Utah Copper LLC
United States
Gold
KGHM Polska Miedź Spółka Akcyjna
Poland
Gold
Kojima Chemicals Co., Ltd.
Japan
Gold
Korea Zinc Co., Ltd.
Republic of Korea
Gold
Kyrgyzaltyn JSC
Kyrgyzstan
Gold
L'azurde Company For Jewelry
Saudi Arabia
Gold
Lingbao Gold Company Ltd.
China
Gold
Lingbao Jinyuan Mining Co., Ltd.
China
Gold
Lingbao Jinyuan Tonghui Refinery Co. Ltd.
China
Gold
Linglong Gold mine
China
Gold
LS-NIKKO Copper Inc.
Republic of Korea
Gold
Luoyang Zijin Yinhui Gold Refinery Co., Ltd.
China
Gold
Materion
United States
Gold
Matsuda Sangyo Co., Ltd.
Japan
Gold
Metalor Technologies (Hong Kong) Ltd.
China
Gold
Metalor Technologies (Singapore) Pte., Ltd.
Singapore
Gold
Metalor Technologies (Suzhou) Co Ltd
China
Gold
Metalor Technologies SA
Switzerland
Gold
Metalor USA Refining Corporation
United States
Gold
METALÚRGICA MET-MEX PEÑOLES, S.A. DE C.V
Mexico
Gold
Minsur
Peru
Gold
Mitsubishi Materials Corporation
Japan
Gold
Mitsui Mining and Smelting Co., Ltd.
Japan
Gold
MMTC-PAMP India Pvt., Ltd.
India
Gold
Modeltech Sdn Bhd
Malaysia





Metal
Smelter
Country of Smelter
Gold
Morris and Watson
New Zealand
Gold
Moscow Special Alloys Processing Plant
Russian Federation
Gold
Nadir Metal Rafineri San. Ve Tic. A.Ş.
Turkey
Gold
Navoi Mining and Metallurgical Combinat
Uzbekistan
Gold
Nihon Material Co., Ltd.
Japan
Gold
Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH
Austria
Gold
Ohura Precious Metal Industry Co., Ltd.
Japan
Gold
OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)
Russian Federation
Gold
OJSC Novosibirsk Refinery
Russian Federation
Gold
PAMP S.A.
Switzerland
Gold
Penglai Penggang Gold Industry Co Ltd
China
Gold
Prioksky Plant of Non-Ferrous Metals
Russian Federation
Gold
PT Aneka Tambang (Persero) Tbk
Indonesia
Gold
PX Precinox SA
Switzerland
Gold
Rand Refinery (Pty) Ltd.
South Africa
Gold
Remondis Argentia B.V.
Netherlands
Gold
Republic Metals Corporation
United States
Gold
Royal Canadian Mint
Canada
Gold
SAAMP
France
Gold
Sabin Metal Corp.
United States
Gold
SAFINA A.S.
Czech Republic
Gold
Sai Refinery
India
Gold
Samduck Precious Metals
Republic of Korea
Gold
SAMWON METALS Corp.
Republic of Korea
Gold
SAXONIA Edelmetalle GmbH
Germany
Gold
Schone Edelmetaal B.V.
Netherlands
Gold
SEMPSA Joyería Platería SA
Spain
Gold
Shandong Tiancheng Biological Gold Industrial Co., Ltd.
China
Gold
Shandong Zhaojin Gold & Silver Refinery Co., Ltd.
China
Gold
Sichuan Tianze Precious Metals Co., Ltd.
China
Gold
Singway Technology Co., Ltd.
Taiwan
Gold
So Accurate Group, Inc.
United States
Gold
SOE Shyolkovsky Factory of Secondary Precious Metals
Russian Federation
Gold
Solar Applied Materials Technology Corp.
Taiwan
Gold
Sudan Gold Refinery
Sudan
Gold
Sumitomo Metal Mining Co., Ltd.
Japan
Gold
T.C.A S.p.A
Italy
Gold
Tanaka Kikinzoku Kogyo K.K.
Japan
Gold
The Refinery of Shandong Gold Mining Co., Ltd.
China
Gold
Tokuriki Honten Co., Ltd.
Japan
Gold
TongLing Nonferrous Metals Group Holdings Co., Ltd.
China
Gold
Tony Goetz NV
Belgium
Gold
Torecom
Republic of Korea
Gold
Umicore Brasil Ltda.
Brazil
Gold
Umicore Precious Metals Thailand
Thailand





Metal
Smelter
Country of Smelter
Gold
Umicore SA Business Unit Precious Metals Refining
Belgium
Gold
United Precious Metal Refining, Inc.
United States
Gold
Universal Precious Metals Refining Zambia
Zambia
Gold
Valcambi SA
Switzerland
Gold
Western Australian Mint trading as The Perth Mint
Australia
Gold
WIELAND Edelmetalle GmbH
Germany
Gold
Yamamoto Precious Metal Co., Ltd.
Japan
Gold
Yokohama Metal Co., Ltd.
Japan
Gold
Yunnan Copper Industry Co Ltd
China
Gold
Zhongyuan Gold Smelter of Zhongjin Gold Corporation
China
Tantalum
Changsha South Tantalum Niobium Co., Ltd.
China
Tantalum
Conghua Tantalum and Niobium Smeltry
China
Tantalum
D Block Metals, LLC
United States
Tantalum
Duoluoshan
China
Tantalum
Exotech Inc.
United States
Tantalum
F&X Electro-Materials Ltd.
China
Tantalum
FIR Metals & Resource Ltd.
China
Tantalum
Global Advanced Metals Aizu
Japan
Tantalum
Global Advanced Metals Boyertown
United States
Tantalum
Guangdong Zhiyuan New Material Co., Ltd.
China
Tantalum
H.C. Starck Co., Ltd.
Thailand
Tantalum
H.C. Starck Hermsdorf GmbH
Germany
Tantalum
H.C. Starck Inc.
United States
Tantalum
H.C. Starck Ltd.
Japan
Tantalum
H.C. Starck Smelting GmbH & Co. KG
Germany
Tantalum
H.C. Starck Tantalum and Niobium GmbH
Germany
Tantalum
Hengyang King Xing Lifeng New Materials Co., Ltd.
China
Tantalum
Hi-Temp Specialty Metals, Inc.
United States
Tantalum
Jiangxi Dinghai Tantalum & Niobium Co., Ltd.
China
Tantalum
Jiangxi Tuohong New Raw Material
China
Tantalum
Jiangxi Xinsheng Tungsten Industry Co., Ltd.
China
Tantalum
JiuJiang JinXin Nonferrous Metals Co., Ltd.
China
Tantalum
Jiujiang Nonferrous Metals Smelting Company Limited
China
Tantalum
Jiujiang Zhongao Tantalum & Niobium Co., Ltd.
China
Tantalum
KEMET Blue Metals
Mexico
Tantalum
Kemet Blue Powder
United States
Tantalum
King-Tan Tantalum Industry Ltd.
China
Tantalum
LSM Brasil S.A.
Brazil
Tantalum
Metallurgical Products India Pvt., Ltd.
India
Tantalum
Mineração Taboca S.A.
Brazil
Tantalum
Mitsui Mining and Smelting Co., Ltd.
Japan
Tantalum
Ningxia Orient Tantalum Industry Co., Ltd.
China
Tantalum
NPM Silmet AS
Estonia
Tantalum
Power Resources Ltd.
The Former Yugoslav Republic Of Macedonia
Tantalum
QuantumClean
United States





Metal
Smelter
Country of Smelter
Tantalum
Resind Indústria e Comércio Ltda.
Brazil
Tantalum
RFH Tantalum Smeltry Co., Ltd.
China
Tantalum
Solikamsk Magnesium Works OAO
Russian Federation
Tantalum
Taki Chemical Co., Ltd.
Japan
Tantalum
Telex Metals
United States
Tantalum
Tranzact, Inc.
United States
Tantalum
Ulba Metallurgical Plant JSC
Kazakhstan
Tantalum
XinXing Haorong Electronic Material Co., Ltd.
China
Tantalum
Yichun Jin Yang Rare Metal Co., Ltd.
China
Tantalum
Zhuzhou Cemented Carbide Group Co., Ltd.
China
Tin
5NPLUS
Canada
Tin
Alpha
United States
Tin
An Thai Minerals Company Limited
Vietnam
Tin
An Vinh Joint Stock Mineral Processing Company
Vietnam
Tin
Aoki Laboratories Ltd.
United States
Tin
Chenzhou Yunxiang Mining and Metallurgy Company Limited
China
Tin
China Tin Group Co., Ltd.
China
Tin
CNMC (Guangxi) PGMA Co. Ltd.
China
Tin
Cooperativa Metalurgica de Rondônia Ltda.
Brazil
Tin
CV Ayi Jaya
Indonesia
Tin
CV Dua Sekawan
Indonesia
Tin
CV Gita Pesona
Indonesia
Tin
CV Serumpun Sebalai
Indonesia
Tin
CV Tiga Sekawan
Indonesia
Tin
CV United Smelting
Indonesia
Tin
CV Venus Inti Perkasa
Indonesia
Tin
Dowa
Japan
Tin
Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company
Vietnam
Tin
Elmet S.A. de C.V.
Mexico
Tin
Elmet S.L.U.
Spain
Tin
EM Vinto
Bolivia
Tin
Estanho de Rondônia S.A.
Brazil
Tin
Fenix Metals
Poland
Tin
Gejiu Fengming Metallurgy Chemical Plant
China
Tin
Gejiu Jinye Mineral Company
China
Tin
Gejiu Kai Meng Industry and Trade LLC
China
Tin
Gejiu Non-Ferrous Metal Processing Co., Ltd.
China
Tin
Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.
China
Tin
Gejiu Zili Mining And Metallurgy Co., Ltd.
China
Tin
Guanyang Guida Nonferrous Metal Smelting Plant
China
Tin
HuiChang Hill Tin Industry Co., Ltd.
China
Tin
Huichang Jinshunda Tin Co. Ltd
China
Tin
Jean Goldschmidt International SA
Belgium
Tin
Jiangxi Ketai Advanced Material Co., Ltd.
China
Tin
Laibin Huaxi Smelter Co., Ltd.
China





Metal
Smelter
Country of Smelter
Tin
Magnu's Minerais Metais e Ligas Ltda.
Brazil
Tin
Malaysia Smelting Corporation (MSC)
Malaysia
Tin
Melt Metais e Ligas S.A.
Brazil
Tin
Metallic Resources, Inc.
United States
Tin
Metallo-Chimique N.V.
Belgium
Tin
Mineração Taboca S.A.
Brazil
Tin
Minsur
Peru
Tin
Mitsubishi Materials Corporation
Japan
Tin
Modeltech Sdn Bhd
Malaysia
Tin
Nankang Nanshan Tin Co., Ltd.
China
Tin
Nghe Tinh Non-Ferrous Metals Joint Stock Company
Vietnam
Tin
O.M. Manufacturing (Thailand) Co., Ltd.
Thailand
Tin
O.M. Manufacturing Philippines, Inc.
Philippines
Tin
Operaciones Metalurgical S.A.
Bolivia
Tin
PT Aries Kencana Sejahtera
Indonesia
Tin
PT Artha Cipta Langgeng
Indonesia
Tin
PT ATD Makmur Mandiri Jaya
Indonesia
Tin
PT Babel Inti Perkasa
Indonesia
Tin
PT Bangka Prima Tin
Indonesia
Tin
PT Bangka Tin Industry
Indonesia
Tin
PT Belitung Industri Sejahtera
Indonesia
Tin
PT Bukit Timah
Indonesia
Tin
PT Cipta Persada Mulia
Indonesia
Tin
PT DS Jaya Abadi
Indonesia
Tin
PT Eunindo Usaha Mandiri
Indonesia
Tin
PT Inti Stania Prima
Indonesia
Tin
PT Justindo(1)
Indonesia
Tin
PT Karimun Mining
Indonesia
Tin
PT Kijang Jaya Mandiri
Indonesia
Tin
PT Lautan Harmonis Sejahtera
Indonesia
Tin
PT Menara Cipta Mulia
Indonesia
Tin
PT Mitra Stania Prima
Indonesia
Tin
PT O.M. Indonesia
Indonesia
Tin
PT Panca Mega Persada
Indonesia
Tin
PT Prima Timah Utama
Indonesia
Tin
PT Refined Bangka Tin
Indonesia
Tin
PT Sariwiguna Binasentosa
Indonesia
Tin
PT Stanindo Inti Perkasa
Indonesia
Tin
PT Sukses Inti Makmur
Indonesia
Tin
PT Sumber Jaya Indah
Indonesia
Tin
PT Timah (Persero) Tbk Kundur
Indonesia
Tin
PT Timah (Persero) Tbk Mentok
Indonesia
Tin
PT Tinindo Inter Nusa
Indonesia
Tin
PT Tirus Putra Mandiri
Indonesia
Tin
PT Tommy Utama
Indonesia





Metal
Smelter
Country of Smelter
Tin
PT WAHANA PERKIT JAYA
Indonesia
Tin
Resind Indústria e Comércio Ltda.
Brazil
Tin
Rui Da Hung
Taiwan
Tin
Shangrao Xuri Smelting Factory
China
Tin
Soft Metais Ltda.
Brazil
Tin
Thaisarco
Thailand
Tin
Tuyen Quang Non-Ferrous Metals Joint Stock Company
Vietnam
Tin
VQB Mineral and Trading Group JSC
Vietnam
Tin
White Solder Metalurgia e Mineração Ltda.
Brazil
Tin
Yunnan Chengfeng Non-ferrous Metals Co.,Ltd.
China
Tin
Yunnan Tin Group (Holding) Company Limited
China
Tin
Yuntinic Chemical GmbH
Germany
Tungsten
A.L.M.T. Corp.
Japan
Tungsten
ACL Metais Eireli
Brazil
Tungsten
Asia Tungsten Products Vietnam Ltd.
Vietnam
Tungsten
Buffalo Tungsten
United States
Tungsten
Chenzhou Diamond Tungsten Products Co., Ltd.
China
Tungsten
Chongyi Zhangyuan Tungsten Co., Ltd.
China
Tungsten
Exotech Inc.
United States
Tungsten
Fujian Jinxin Tungsten Co., Ltd.
China
Tungsten
Ganzhou Haichuang Tungsten Industry Co., Ltd.
China
Tungsten
Ganzhou Huaxing Tungsten Products Co., Ltd.
China
Tungsten
Ganzhou Jiangwu Ferrotungsten Co., Ltd.
China
Tungsten
Ganzhou Seadragon W & Mo Co., Ltd.
China
Tungsten
Ganzhou Yatai Tungsten Co., Ltd.
China
Tungsten
Global Tungsten & Powders Corp.
United States
Tungsten
Guangdong Xianglu Tungsten Co., Ltd.
China
Tungsten
H.C. Starck Smelting GmbH & Co. KG
Germany
Tungsten
H.C. Starck Tungsten GmbH
Germany
Tungsten
Hunan Chenzhou Mining Co., Ltd.
China
Tungsten
Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji
China
Tungsten
Hunan Chunchang Nonferrous Metals Co., Ltd.
China
Tungsten
Hydrometallurg, JSC
Russian Federation
Tungsten
Japan New Metals Co., Ltd.
Japan
Tungsten
Jiangwu H.C. Starck Tungsten Products Co., Ltd.
China
Tungsten
Jiangxi Dayu Longxintai Tungsten Co., Ltd.
China
Tungsten
Jiangxi Gan Bei Tungsten Co., Ltd.
China
Tungsten
Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.
China
Tungsten
Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.
China
Tungsten
Jiangxi Xinsheng Tungsten Industry Co., Ltd.
China
Tungsten
Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.
China
Tungsten
Jiangxi Yaosheng Tungsten Co., Ltd.
China
Tungsten
Kennametal Fallon
United States
Tungsten
Kennametal Huntsville
United States
Tungsten
Malipo Haiyu Tungsten Co., Ltd.
China





Metal
Smelter
Country of Smelter
Tungsten
Moliren Ltd
Russian Federation
Tungsten
Niagara Refining LLC
United States
Tungsten
Nippon Tungsten (Shanghai) Commerce Co., Ltd.
Japan
Tungsten
Nippon Tungsten Co., Ltd.
Japan
Tungsten
Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC
Vietnam
Tungsten
Philippine Chuangxin Industrial Co., Inc.
Philippines
Tungsten
South-East Nonferrous Metal Company Limited of Hengyang City
China
Tungsten
TaeguTec Ltd.
Republic of Korea
Tungsten
Tejing (Vietnam) Tungsten Co., Ltd.
Vietnam
Tungsten
Unecha Refractory Metals Plant
Russian Federation
Tungsten
Vietnam Youngsun Tungsten Industry Co., Ltd.
Vietnam
Tungsten
Wolfram Bergbau und Hütten AG
Austria
Tungsten
Woltech Korea Co., Ltd.
Republic of Korea
Tungsten
Xiamen Tungsten (H.C.) Co., Ltd.
China
Tungsten
Xiamen Tungsten Co., Ltd.
China
Tungsten
Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.
China
Tungsten
Xinhai Rendan Shaoguan Tungsten Co., Ltd.
China
(1) This smelter is believed to source the Subject Minerals from the Covered Countries and are not included on the Conflict- Free Sourcing Initiative's list of certified or active smelters. The Company received company-level responses from suppliers sourcing from this smelter; therefore, the Company is unable to conclusively determine whether components or finished goods sourced from those suppliers contain Subject Minerals from this smelter.





Table II

Listing of Subject Minerals' Countries of Origin

Angola
Guyana
Peru
Argentina
Hong Kong
Philippines
Armenia
Hungary
Poland
Australia
India
Portugal
Austria
Indonesia
Russian Federation
Belarus
Ireland
Rwanda
Belgium
Israel
Saudi Arabia
Bermuda
Italy
Sierra Leone
Bolivia
Japan
Singapore
Brazil
Jersey
Slovakia
Burundi
Kazakhstan
South Africa
Cambodia
Kenya
South Sudan
Canada
Republic of Korea
Spain
Central African Republic
Kyrgyzstan
Suriname
Chile
Laos
Sweden
China
Luxembourg
Switzerland
Colombia
Madagascar
Taiwan
Congo (Brazzaville)
Malaysia
Tajikistan
Czech Republic
Mali
Tanzania
Djibouti
Mexico
Thailand
DRC- Congo (Kinshasa)
Mongolia
Turkey
Ecuador
Morocco
Uganda
Egypt
Mozambique
United Arab Emirates
Estonia
Myanmar
United Kingdom
Ethiopia
Namibia
United States
Finland
Netherlands
Uzbekistan
France
New Zealand
Vietnam
Germany
Niger
Zambia
Ghana
Nigeria
Zimbabwe
Guinea
Papua New Guinea