UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM SD
Specialized Disclosure Report
ALIGN TECHNOLOGY, INC.
(Exact name of registrant as specified in its charter)
Delaware | 0-32259 | 94-3267295 | ||
(State or other jurisdiction of incorporation) | (Commission File Number) | (IRS Employer Identification No.) | ||
2560 Orchard Parkway
San Jose, California 95131
(Address of principal executive offices)
(408) 470-1000
(Registrant’s telephone number, including area code)
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
Align Technology, Inc. (“Align” or the “Company”) has determined that conflict minerals are necessary to the functionality or production of a product manufactured by Align; therefore, the Company is filing this specialized disclosure report.
Item 1.02 Exhibit
Following the Company’s application of appropriate due diligence, Align has filed, as Exhibit 1.02 to this Form SD, the Conflict Minerals Report required by Item 1.01.
Section 2 - Exhibits
Item 2.01 Exhibits
Exhibit 1.01 - Align’s 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.
Align Technology, Inc. | ||
/s/ Roger E. George | Date: June 1, 2015 | |
Name: Roger E. George | ||
Title: Vice President, Corporate & Legal Affairs and General Counsel | ||
Exhibit 1.01
CONFLICT MINERALS REPORT OF
Align Technology, Inc.
FOR THE REPORTING PERIOD FROM
JANUARY 1 TO DECEMBER 31, 2014
I. Introduction
This is the Conflict Minerals1 Report of Align Technology, Inc. (“we,” “our,” “us,” “Align,” or the “Company”) prepared for calendar year 2014 (except for conflict minerals that, prior to January 31, 2013, were located outside of the supply chain) in accordance with Rule 13p-1 (“Rule 13p-1”) under the Securities Exchange Act of 1934 (the “Act”). Numerous terms in this Report are defined in Rule 13p-1 of the Act and Form SD and the reader is referred to those sources, and also to Release No. 34-67716 (August 22, 2012) of the Act (the “Adopting Release”) for such definitions.
In accordance with Rule 13p-1, we undertook efforts to determine whether the necessary conflict minerals in our products were or were not “DRC conflict-free.” The Company designed its efforts in conformity, with the internationally recognized due diligence framework in the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas2 (“OECD Due Diligence Guidance”) and related Supplements.
The statements below are based on the activities performed to date, in good faith, by Align and on the infrastructure and information available at the time of this filing. There are factors that could affect the accuracy of these statements. These factors include, but are not limited to, incomplete supplier data or available smelter data, errors or omissions by suppliers or smelters, evolving definition and confirmation of smelters, incomplete information from industry or other third-party sources, continuing guidance regarding the SEC final rules, and other issues.
II. Design of Conflict Minerals Program
The Company designed its conflict minerals program to conform, in all material respects, with the five-step framework of the OECD Due Diligence Guidance, the Supplement on Tin, Tantalum, and Tungsten, and the Supplement on Gold, specifically as it relates to our position in the minerals supply chain as a “downstream” company:
Step 1: Establish strong company management systems
Step 2: Identify and assess risks in the supply chain
Step 3: Design and implement a strategy to respond to identified risks
Step 4: Carry out independent third-party audit of smelter/refiner's due diligence practices
Step 5: Report annually on supply chain due diligence.
1 The term “conflict mineral” is defined in Section 1502(e)(4) of the Act as (A) columbite-tantalite, also known as coltan (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; or (B) any other mineral or its derivatives determined by the Secretary of State to be financing conflict in the Democratic Republic of the Congo (“DRC”) or an adjoining country.
2 OECD (2013), OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas: Second Edition, OECD Publishing. http://dx.doi.org/10.1787/9789264185050-en
1
Exhibit 1.01
We relied upon multi-stakeholder initiatives that provide verification processes for conflict-free minerals from smelters or refiners who may provide those minerals to companies in our supply chain. The Company, as a purchaser of component parts, is many steps removed from the mining of conflict minerals; the Company does not purchase raw ore or unrefined conflict minerals, and conducts no purchasing activities directly in the Covered Countries.
Align engaged Crowe Horwath, an international accounting and consulting firm, to assist in the design and implementation of our program. We utilized Crowe Horwath’s technology platform to communicate with our supply chain, collect Conflict Minerals Reporting Templates, and validate key information from our suppliers. Align also engaged Flextronics and to assist with the certain international suppliers.
III. Due Diligence Measures Performed by Align
The following describes the measures taken to reasonably determine the country of origin and to exercise due diligence in the mineral supply chain in conformance with the OECD Due Diligence Guidance.
Step 1: Establish strong company management systems
a. | Conflict minerals team – Align established a conflict minerals team that includes individuals from the appropriate business units and departments, including procurement, accounting, legal, and compliance. The team was structured to ensure critical information, including the Company policy, reached relevant employees and suppliers. |
b. | Conflict minerals policy – We adopted and published a policy establishing the expectations of our suppliers. The policy can be found at http://investor.aligntech.com/governance.cfm. It is periodically reviewed and will be updated, if necessary. |
c. | Internal engagement – We have a training program for internal use to educate relevant employees on our conflict minerals program and reporting obligations. |
d. | Supplier engagement –Suppliers were provided information on the conflict minerals disclosure requirements as well as recommendations for developing, implementing, and documenting a conflict minerals compliance program. |
e. | Company level grievance mechanism – As recommended by the OECD Due Diligence Guidance, Align has established a grievance mechanism as a risk-awareness system for conflict minerals issues. |
f. | Records management – Align will maintain records relating to our conflict minerals program in accordance with the recommended record retention guidelines. |
Step 2: Identify and assess risks in the supply chain
We performed the following steps as part of our risk assessment process:
a. | Identified products in scope – Our conflict minerals team conducted a detailed review of the products manufactured or contracted to be manufactured during the Reporting Period to identify products that should be deemed in-scope as described by the Adopting Release. |
b. | Conducted Reasonable Country of Origin Inquiry (“RCOI”) – We utilized the industry-developed Conflict Minerals Reporting Template (“CMRT”) to query our suppliers for conflict minerals information. We requested this information from the Tier 1 suppliers who provide material and |
2
Exhibit 1.01
components for the products deemed in-scope by our conflict minerals team. We evaluated the responses from the templates submitted by our suppliers to determine our reporting obligation based on this RCOI.
c. | Completed additional follow-up – We contacted direct suppliers that did not respond to our request for conflict minerals information by the requested date. We also worked to clarify and validate the information provided by our suppliers. |
d. | Identify smelters/processors – We collected a list of smelters/processors that are in our supply chain by utilizing the CMRT. The Company reconciled this list to the list of smelter facilities designated by the Conflict-Free Sourcing Initiative’s (“CFSI”) Conflict-Free Smelter Program. We have provided that list in this report. |
Step 3: Design and implement a strategy to respond to identified risks
We performed the following steps as part of our risk management plan:
a. | Designed and implemented a plan – Align used a risk rating criteria to evaluate suppliers based on the responses provided within their CMRT as well as any additional documentation furnished to support those responses. The resulting risk ratings will be used to develop specific supplier outreach and education to address the identified risks. |
b. | Verify smelters – As part of the risk mitigation process, the Company reconciled the list of smelters collected from suppliers to the list of smelter facilities designated as “conflict-free” by the Conflict-Free Sourcing Initiative’s (“CFSI”) Conflict-Free Smelter Program. |
Step 4: Carry out independent third-party audit of smelter/refiner's due diligence practices
Align is relying on the CFSI’s published lists to verify the conflict-free status of smelters/processors that source from Covered Countries.
Step 5: Report annually on supply chain due diligence
Align has determined that a portion of the conflict minerals used to manufacture our products originated from the Covered Countries. Accordingly, this Conflict Minerals Report has been filed with the SEC and is available on our website at http://investor.aligntech.com/sec.cfm.
IV. | Product Determination |
On the basis of the measures described above, the Company has determined that all of our products manufactured as of December 31, 2014 are considered to be DRC conflict undeterminable.
V.Product Description
Products – Align Technology, Inc (“We”, “Our”, “Align”) designs, manufactures and markets a system of clear aligner therapy, intra-oral scanners and CAD/CAM (computer-aided design and computer-aided manufacturing) digital services used in dentistry, orthodontics, and dental records storage. We have two operating segments: (1) Clear Aligner, known as the Invisalign System; and (2) Scanners and CAD/CAM Services ("SCCS"), known as the iTero intra-oral scanner and OrthoCAD services.
Processing Facilities – Based on our due diligence process and the information received from our suppliers, the following facilities may have been used to process conflict minerals used in our products.
3
Exhibit 1.01
Mineral | Standard Smelter Name | Country | Conflict-Free Status |
Gold | Aida Chemical Industries Co., Ltd. | JAPAN | Conflict-Free |
Gold | Allgemeine Gold-und Silberscheideanstalt A.G. | GERMANY | Conflict-Free |
Gold | AngloGold Ashanti Córrego do Sítio Mineração | BRAZIL | Conflict-Free |
Gold | Argor-Heraeus SA | SWITZERLAND | Conflict-Free |
Gold | Asahi Pretec Corporation | JAPAN | Conflict-Free |
Gold | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | TURKEY | Conflict-Free |
Gold | Aurubis AG | GERMANY | Conflict-Free |
Gold | Boliden AB | SWEDEN | Conflict-Free |
Gold | C. Hafner GmbH + Co. KG | GERMANY | Conflict-Free |
Gold | CCR Refinery - Glencore Canada Corporation | CANADA | Conflict-Free |
Gold | Chimet S.p.A. | ITALY | Conflict-Free |
Gold | Dowa | JAPAN | Conflict-Free |
Gold | Eco-System Recycling Co., Ltd. | JAPAN | Conflict-Free |
Gold | Heimerle + Meule GmbH | GERMANY | Conflict-Free |
Gold | Heraeus Ltd. Hong Kong | CHINA | Conflict-Free |
Gold | Heraeus Precious Metals GmbH & Co. KG | GERMANY | Conflict-Free |
Gold | Ishifuku Metal Industry Co., Ltd. | JAPAN | Conflict-Free |
Gold | Istanbul Gold Refinery | TURKEY | Conflict-Free |
Gold | Japan Mint | JAPAN | Conflict-Free |
Gold | Johnson Matthey Inc. | UNITED STATES | Conflict-Free |
Gold | Johnson Matthey Limited | CANADA | Conflict-Free |
Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | RUSSIAN FEDERATION | Conflict-Free |
Gold | JSC Uralelectromed | RUSSIAN FEDERATION | Conflict-Free |
Gold | JX Nippon Mining & Metals Co., Ltd. | JAPAN | Conflict-Free |
Gold | Kazzinc | KAZAKHSTAN | Conflict-Free |
Gold | Kennecott Utah Copper LLC | UNITED STATES | Conflict-Free |
Gold | Kojima Chemicals Co., Ltd. | JAPAN | Conflict-Free |
Gold | L' azurde Company For Jewelry | SAUDI ARABIA | Conflict-Free |
Gold | LS-NIKKO Copper Inc. | KOREA, REPUBLIC OF | Conflict-Free |
Gold | Materion | UNITED STATES | Conflict-Free |
Gold | Matsuda Sangyo Co., Ltd. | JAPAN | Conflict-Free |
Gold | Metalor Technologies (Hong Kong) Ltd. | CHINA | Conflict-Free |
Gold | Metalor Technologies (Singapore) Pte., Ltd. | SINGAPORE | Conflict-Free |
Gold | Metalor Technologies SA | SWITZERLAND | Conflict-Free |
Gold | Metalor USA Refining Corporation | UNITED STATES | Conflict-Free |
Gold | METALÚRGICA MET-MEX PEÑOLES, S.A. DE C.V | MEXICO | Conflict-Free |
Gold | Mitsubishi Materials Corporation | JAPAN | Conflict-Free |
Gold | Mitsui Mining and Smelting Co., Ltd. | JAPAN | Conflict-Free |
Gold | Nadir Metal Rafineri San. Ve Tic. A.S. | TURKEY | Conflict-Free |
Gold | Nihon Material Co., Ltd. | JAPAN | Conflict-Free |
Gold | Ohio Precious Metals, LLC | UNITED STATES | Conflict-Free |
Gold | Ohura Precious Metal Industry Co., Ltd. | JAPAN | Conflict-Free |
Gold | OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastvetmet) | RUSSIAN FEDERATION | Conflict-Free |
Gold | PAMP SA | SWITZERLAND | Conflict-Free |
4
Exhibit 1.01
Gold | PT Aneka Tambang (Persero) Tbk | INDONESIA | Conflict-Free |
Gold | PX Précinox SA | SWITZERLAND | Conflict-Free |
Gold | Rand Refinery (Pty) Ltd. | SOUTH AFRICA | Conflict-Free |
Gold | Royal Canadian Mint | CANADA | Conflict-Free |
Gold | Schone Edelmetaal | NETHERLANDS | Conflict-Free |
Gold | SEMPSA Joyería Platería SA | SPAIN | Conflict-Free |
Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | CHINA | Conflict-Free |
Gold | Solar Applied Materials Technology Corp. | TAIWAN | Conflict-Free |
Gold | Sumitomo Metal Mining Co., Ltd. | JAPAN | Conflict-Free |
Gold | Tanaka Kikinzoku Kogyo K.K. | JAPAN | Conflict-Free |
Gold | The Refinery of Shandong Gold Mining Co., Ltd. | CHINA | Conflict-Free |
Gold | Tokuriki Honten Co., Ltd. | JAPAN | Conflict-Free |
Gold | Umicore Brasil Ltda. | BRAZIL | Conflict-Free |
Gold | Umicore Precious Metals Thailand | THAILAND | Conflict-Free |
Gold | Umicore SA Business Unit Precious Metals Refining | BELGIUM | Conflict-Free |
Gold | United Precious Metal Refining, Inc. | UNITED STATES | Conflict-Free |
Gold | Valcambi SA | SWITZERLAND | Conflict-Free |
Gold | Western Australian Mint trading as The Perth Mint | AUSTRALIA | Conflict-Free |
Gold | Yamamoto Precious Metal Co., Ltd. | JAPAN | Conflict-Free |
Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | CHINA | Conflict-Free |
Gold | Zijin Mining Group Co., Ltd. Gold Refinery | CHINA | Conflict-Free |
Gold | Almalyk Mining and Metallurgical Complex (AMMC) | UZBEKISTAN | Not Determined |
Gold | Asaka Riken Co., Ltd. | JAPAN | Not Determined |
Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | PHILIPPINES | Not Determined |
Gold | Bauer Walser AG | GERMANY | Not Determined |
Gold | Caridad | MEXICO | Not Determined |
Gold | Cendres + Métaux SA | SWITZERLAND | Not Determined |
Gold | Chugai Mining | JAPAN | Not Determined |
Gold | Daejin Indus Co., Ltd. | KOREA, REPUBLIC OF | Not Determined |
Gold | Daye Non-Ferrous Metals Mining Ltd. | CHINA | Not Determined |
Gold | Do Sung Corporation | KOREA, REPUBLIC OF | Not Determined |
Gold | Doduco | GERMANY | Not Determined |
Gold | Gansu Seemine Material Hi-Tech Co., Ltd. | CHINA | Not Determined |
Gold | Guangdong Jinding Gold Limited | CHINA | Not Determined |
Gold | Hunan Chenzhou Mining Group Co., Ltd. | CHINA | Not Determined |
Gold | Hwasung CJ Co., Ltd. | KOREA, REPUBLIC OF | Not Determined |
Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited | CHINA | Not Determined |
Gold | Jiangxi Copper Company Limited | CHINA | Not Determined |
Gold | Korea Metal Co., Ltd. | KOREA, REPUBLIC OF | Not Determined |
Gold | Kyrgyzaltyn JSC | KYRGYZSTAN | Not Determined |
Gold | Lingbao Jinyuan Tonghui Refinery Co., Ltd. | CHINA | Not Determined |
Gold | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | CHINA | Not Determined |
Gold | Moscow Special Alloys Processing Plant | RUSSIAN FEDERATION | Not Determined |
Gold | Navoi Mining and Metallurgical Combinat | UZBEKISTAN | Not Determined |
5
Exhibit 1.01
Gold | OJSC Kolyma Refinery | RUSSIAN FEDERATION | Not Determined |
Gold | OJSC Novosibirsk Refinery | RUSSIAN FEDERATION | Not Determined |
Gold | Penglai Penggang Gold Industry Co., Ltd. | CHINA | Not Determined |
Gold | Prioksky Plant of Non-Ferrous Metals | RUSSIAN FEDERATION | Not Determined |
Gold | Sabin Metal Corp. | UNITED STATES | Not Determined |
Gold | SAMWON Metals Corp. | KOREA, REPUBLIC OF | Not Determined |
Gold | So Accurate Group, Inc. | UNITED STATES | Not Determined |
Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | RUSSIAN FEDERATION | Not Determined |
Gold | The Great Wall Gold and Silver Refinery of China | CHINA | Not Determined |
Gold | Tongling Nonferrous Metals Group Co., Ltd. | CHINA | Not Determined |
Gold | Torecom | KOREA, REPUBLIC OF | Not Determined |
Gold | Yokohama Metal Co., Ltd. | JAPAN | Not Determined |
Gold | Yunnan Copper Industry Co., Ltd. | CHINA | Not Determined |
Tantalum | Changsha South Tantalum Niobium Co., Ltd. | CHINA | Conflict-Free |
Tantalum | Conghua Tantalum and Niobium Smeltry | CHINA | Conflict-Free |
Tantalum | Duoluoshan | CHINA | Conflict-Free |
Tantalum | Exotech Inc. | UNITED STATES | Conflict-Free |
Tantalum | F&X Electro-Materials Ltd. | CHINA | Conflict-Free |
Tantalum | Global Advanced Metals Aizu | JAPAN | Conflict-Free |
Tantalum | Global Advanced Metals Boyertown | UNITED STATES | Conflict-Free |
Tantalum | Guangdong Zhiyuan New Material Co., Ltd. | CHINA | Conflict-Free |
Tantalum | H.C. Starck Co., Ltd. | THAILAND | Conflict-Free |
Tantalum | H.C. Starck GmbH Goslar | GERMANY | Conflict-Free |
Tantalum | H.C. Starck GmbH Laufenburg | GERMANY | Conflict-Free |
Tantalum | H.C. Starck Hermsdorf GmbH | GERMANY | Conflict-Free |
Tantalum | H.C. Starck Inc. | UNITED STATES | Conflict-Free |
Tantalum | H.C. Starck Ltd. | JAPAN | Conflict-Free |
Tantalum | H.C. Starck Smelting GmbH & Co.KG | GERMANY | Conflict-Free |
Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | CHINA | Conflict-Free |
Tantalum | Hi-Temp Specialty Metals, Inc. | UNITED STATES | Conflict-Free |
Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | CHINA | Conflict-Free |
Tantalum | Jiujiang Tanbre Co., Ltd. | CHINA | Conflict-Free |
Tantalum | KEMET Blue Metals | MEXICO | Conflict-Free |
Tantalum | KEMET Blue Powder | UNITED STATES | Conflict-Free |
Tantalum | King-Tan Tantalum Industry Ltd. | CHINA | Conflict-Free |
Tantalum | LSM Brasil S.A. | BRAZIL | Conflict-Free |
Tantalum | Metallurgical Products India Pvt., Ltd. | INDIA | Conflict-Free |
Tantalum | Mineração Taboca S.A. | BRAZIL | Conflict-Free |
Tantalum | Mitsui Mining & Smelting | JAPAN | Conflict-Free |
Tantalum | Molycorp Silmet A.S. | ESTONIA | Conflict-Free |
Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | CHINA | Conflict-Free |
Tantalum | Plansee SE Liezen | AUSTRIA | Conflict-Free |
Tantalum | Plansee SE Reutte | AUSTRIA | Conflict-Free |
Tantalum | QuantumClean | UNITED STATES | Conflict-Free |
Tantalum | RFH Tantalum Smeltry Co., Ltd. | CHINA | Conflict-Free |
6
Exhibit 1.01
Tantalum | Solikamsk Magnesium Works OAO | RUSSIAN FEDERATION | Conflict-Free |
Tantalum | Taki Chemicals | JAPAN | Conflict-Free |
Tantalum | Telex Metals | UNITED STATES | Conflict-Free |
Tantalum | Ulba Metallurgical Plant JSC | KAZAKHSTAN | Conflict-Free |
Tantalum | Yichun Jin Yang Rare Metal Co., Ltd. | CHINA | Conflict-Free |
Tantalum | Zhuzhou Cemented Carbide | CHINA | Conflict-Free |
Tin | Alpha | UNITED STATES | Conflict-Free |
Tin | Cooperativa Metalurgica de Rondônia Ltda. | BRAZIL | Conflict-Free |
Tin | CV United Smelting | INDONESIA | Conflict-Free |
Tin | Dowa | JAPAN | Conflict-Free |
Tin | EM Vinto | BOLIVIA | Conflict-Free |
Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. | CHINA | Conflict-Free |
Tin | Jiangxi Ketai Advanced Material Co., Ltd. | CHINA | Conflict-Free |
Tin | Magnu's Minerais Metais e Ligas Ltda. | BRAZIL | Conflict-Free |
Tin | Malaysia Smelting Corporation (MSC) | MALAYSIA | Conflict-Free |
Tin | Melt Metais e Ligas S/A | BRAZIL | Conflict-Free |
Tin | Mineração Taboca S.A. | BRAZIL | Conflict-Free |
Tin | Minsur | PERU | Conflict-Free |
Tin | Mitsubishi Materials Corporation | JAPAN | Conflict-Free |
Tin | Operaciones Metalurgical S.A. | BOLIVIA | Conflict-Free |
Tin | PT Artha Cipta Langgeng | INDONESIA | Conflict-Free |
Tin | PT ATD Makmur Mandiri Jaya | INDONESIA | Conflict-Free |
Tin | PT Babel Inti Perkasa | INDONESIA | Conflict-Free |
Tin | PT Bangka Putra Karya | INDONESIA | Conflict-Free |
Tin | PT Bangka Tin Industry | INDONESIA | Conflict-Free |
Tin | PT Belitung Industri Sejahtera | INDONESIA | Conflict-Free |
Tin | PT Bukit Timah | INDONESIA | Conflict-Free |
Tin | PT DS Jaya Abadi | INDONESIA | Conflict-Free |
Tin | PT Eunindo Usaha Mandiri | INDONESIA | Conflict-Free |
Tin | PT Mitra Stania Prima | INDONESIA | Conflict-Free |
Tin | PT Panca Mega Persada | INDONESIA | Conflict-Free |
Tin | PT Prima Timah Utama | INDONESIA | Conflict-Free |
Tin | PT Refined Bangka Tin | INDONESIA | Conflict-Free |
Tin | PT Sariwiguna Binasentosa | INDONESIA | Conflict-Free |
Tin | PT Stanindo Inti Perkasa | INDONESIA | Conflict-Free |
Tin | PT Timah (Persero) Tbk Kundur | INDONESIA | Conflict-Free |
Tin | PT Timah (Persero) Tbk Mentok | INDONESIA | Conflict-Free |
Tin | PT Tinindo Inter Nusa | INDONESIA | Conflict-Free |
Tin | Thaisarco | THAILAND | Conflict-Free |
Tin | White Solder Metalurgia e Mineração Ltda. | BRAZIL | Conflict-Free |
Tin | Yunnan Tin Group (Holding) Company Limited | CHINA | Conflict-Free |
Tin | China Tin Group Co., Ltd. | CHINA | Not Determined |
Tin | CNMC (Guangxi) PGMA Co., Ltd. | CHINA | Not Determined |
Tin | CV Gita Pesona | INDONESIA | Not Determined |
Tin | CV Serumpun Sebalai | INDONESIA | Not Determined |
Tin | Estanho de Rondônia S.A. | BRAZIL | Not Determined |
Tin | Fenix Metals | POLAND | Not Determined |
Tin | Gejiu Kai Meng Industry and Trade LLC | CHINA | Not Determined |
7
Exhibit 1.01
Tin | Gejiu Zili Mining And Metallurgy Co., Ltd. | CHINA | Not Determined |
Tin | Huichang Jinshunda Tin Co., Ltd. | CHINA | Not Determined |
Tin | Linwu Xianggui Ore Smelting Co., Ltd. | CHINA | Not Determined |
Tin | Novosibirsk Processing Plant Ltd. | RUSSIAN FEDERATION | Not Determined |
Tin | O.M. Manufacturing (Thailand) Co., Ltd. | THAILAND | Not Determined |
Tin | PT Aries Kencana Sejahtera | INDONESIA | Not Determined |
Tin | PT Bangka Kudai Tin | INDONESIA | Not Determined |
Tin | PT BilliTin Makmur Lestari | INDONESIA | Not Determined |
Tin | PT Fang Di MulTindo | INDONESIA | Not Determined |
Tin | PT Justindo | INDONESIA | Not Determined |
Tin | PT Karimun Mining | INDONESIA | Not Determined |
Tin | PT Pelat Timah Nusantara Tbk | INDONESIA | Not Determined |
Tin | PT Seirama Tin Investment | INDONESIA | Not Determined |
Tin | PT Sumber Jaya Indah | INDONESIA | Not Determined |
Tin | PT Supra Sukses Trinusa | INDONESIA | Not Determined |
Tin | Rui Da Hung | TAIWAN | Not Determined |
Tin | Soft Metais Ltda. | BRAZIL | Not Determined |
Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | CHINA | Not Determined |
Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd. | China | Conflict-Free |
Tungsten | Fujian Jinxin Tungsten Co., Ltd. | CHINA | Conflict-Free |
Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. | CHINA | Conflict-Free |
Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | CHINA | Conflict-Free |
Tungsten | Global Tungsten & Powders Corp. | UNITED STATES | Conflict-Free |
Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd. | CHINA | Conflict-Free |
Tungsten | Japan New Metals Co., Ltd. | JAPAN | Conflict-Free |
Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | CHINA | Conflict-Free |
Tungsten | Vietnam Youngsun Tungsten Industry Co., Ltd. | VIET NAM | Conflict-Free |
Tungsten | Wolfram Bergbau und Hütten AG | AUSTRIA | Conflict-Free |
Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | CHINA | Conflict-Free |
Tungsten | Xiamen Tungsten Co., Ltd. | CHINA | Conflict-Free |
Tungsten | A.L.M.T. TUNGSTEN Corp. | JAPAN | Not Determined |
Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | CHINA | Not Determined |
Tungsten | Dayu Weiliang Tungsten Co., Ltd. | CHINA | Not Determined |
Tungsten | Ganzhou Non-ferrous Metals Smelting Co., Ltd. | CHINA | Not Determined |
Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | CHINA | Not Determined |
Tungsten | H.C. Starck GmbH | GERMANY | Not Determined |
Tungsten | H.C. Starck Smelting GmbH & Co.KG | GERMANY | Not Determined |
Tungsten | Hunan Chenzhou Mining Group Co., Ltd. | CHINA | Not Determined |
Tungsten | Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. | CHINA | Not Determined |
Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | CHINA | Not Determined |
Tungsten | Kennametal Fallon | UNITED STATES | Not Determined |
Tungsten | Kennametal Huntsville | UNITED STATES | Not Determined |
Tungsten | Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC | VIET NAM | Not Determined |
Tungsten | Tejing (Vietnam) Tungsten Co., Ltd. | VIET NAM | Not Determined |
Tungsten | Xinhai Rendan Shaoguan Tungsten Co., Ltd. | CHINA | Not Determined |
8
Exhibit 1.01
VI. Future Due Diligence
We will continue to communicate our expectations and information requirements to our direct suppliers. Over time, we anticipate that the amount of information globally on the traceability and sourcing of these ores will increase and improve our knowledge. We will continue to make inquiries to our direct suppliers and undertake additional risk assessments when potentially relevant changes in facts or circumstances are identified. If we become aware of a supplier whose due diligence needs improvement, we intend to continue the trade relationship while that supplier improves its compliance program. We expect our suppliers to take similar measures with their suppliers to ensure alignment throughout the supply chain.
In addition to those above, the Company will undertake the following steps during the next compliance period:
• | Continue to collect responses from suppliers using the CMRT. |
• | Monitor and track performance of risk mitigation efforts. |
• | Compare and validate RCOI results to information collected via independent conflict-free smelter validation programs such as the CFSI. |
• | Continue to allow verified conflict-free material from the region to enter our supply chain. |
VII. Independent Private Sector Audit
Not required for calendar year 2014.
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