UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
__________________________________________________ 
FORM SD
SPECIALIZED DISCLOSURE REPORT
 
 __________________________________________________ 
INFINERA CORPORATION
(Exact name of registrant as specified in its charter)
 
__________________________________________________ 

					
 	 	 	 	 	
Delaware	 	001-33486	 	77-0560433	
(State or other jurisdiction of
incorporation or organization)	 	(Commission
File Number)	 	(IRS Employer
Identification No.)	

	
			
140 Caspian Court, Sunnyvale, California	 	94089	
(Address of principal executive offices)	 	(Zip Code)	

			
Michael P. Post	 	(408) 572-5200	
(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, 2016.	

					

Introduction

Infinera Corporation (the “Company”) provides optical transport networking equipment, software and services to telecommunications service providers, internet content providers, cable providers, wholesale and enterprise carriers, research and education institutions, enterprise customers, and government entities across the globe. Optical transport networks are deployed by customers facing significant demands for optical bandwidth prompted by increased use of high-speed internet access, mobile broadband, cloud-based services, high-definition video streaming services, virtual and augmented reality, the Internet of Things (IoT) and business Ethernet services. The Company’s end-to-end packet-optical portfolio is designed to be managed with a single network management system .

The Company’s products for the reporting period covered by this Form SD include the (i) DTN platform; (ii) DTN-X family of platforms; (iii) XTM and XTG series; and (iv) Cloud Xpress platform. The platforms connect to one another using an optical “line system.” All the platforms and the line system are collectively referred to herein as the “Covered Products.”

The Company has adopted a Conflict Minerals Policy, which is available on its website at http://www.infinera.com/company/social-responsibility/conflict-minerals/ on the Corporate Social Responsibility webpage. The content of any website referred to in this Form SD is included for general information only and is not incorporated by reference in this Form SD.
Section 1 - Conflict Minerals Disclosure
Item 1.01 Conflict Minerals Disclosure and Report
In accordance with Rule 13p-1 under the Securities Exchange Act of 1934, as amended, the Company has filed this Form SD in respect of the reporting period January 1, 2016 to December 31, 2016, and the associated Conflict Minerals Report, which appears as Exhibit 1.01 hereto and is publicly available on the Company’s website at www.infinera.com .
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

The following exhibit is filed as part of this report.

Item 2.01 Exhibits

Exhibit 1.01 - Conflict Minerals Report for the period January 1 to December 31, 2016 as required by Items 1.01 and 1.02 of this Form SD.

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.

	

INFINERA CORPORATION	 	 	
(Registrant)	 	
By:	/s/ BRAD D. FELLER	 	May 30, 2017	
 	Brad D. Feller	 	(Date)	
 	Chief Financial Officer	 	 	

Exhibit 1.01
Infinera Corporation
Conflict Minerals Report
For the Reporting Period January 1, 2016 to December 31, 2016

					

Introduction
This is the Conflict Minerals Report of Infinera Corporation (“we,” “our,” “us,” or “Infinera”) prepared for calendar year 2016 in accordance with Rule 13p-1 (“Rule 13p-1”) under the Securities Exchange Act of 1934, as amended (the “Act”). Rule 13p-1 imposes certain reporting obligations on registrants whose manufactured products contain certain conflict minerals that are necessary to the functionality or production of such products. The term “conflict minerals” is defined in Item 1.01(d) of Form SD 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 (“3TG”); 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 adjoining countries, which are the Republic of Congo, the Central African Republic, South Sudan, Uganda, Rwanda, Burundi, Tanzania, Zambia and Angola (collectively with the DRC, the “Covered Countries”).
In conducting due diligence on our supply chain for purposes of complying with Rule 13p-1, we designed our efforts in conformity with the internationally recognized due diligence framework provided by the Organisation for Economic Co-Operation and Development (“OECD”). Specifically, this is based on and designed to comply with the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, Second Edition, including the related supplements on tantalum, tin, tungsten and gold (the “OECD Guidance”).
Overview
Company Profile
We provide optical transport networking equipment, software and services to telecommunications service providers, internet content providers, cable providers, wholesale and enterprise carriers, research and education institutions, enterprise customers, and government entities across the globe. Optical transport networks are deployed by customers facing significant demands for optical bandwidth prompted by increased use of high-speed internet access, mobile broadband, cloud-based services, high-definition video streaming services, virtual and augmented reality, the Internet of Things (IoT) and business Ethernet services. Our end-to-end packet-optical portfolio is designed to be managed with a single network management system.
Our products for the reporting period covered by this Form SD include the (i) DTN platform; (ii) DTN-X family of platforms; (iii) XTM and XTG series; and (iv) Cloud Xpress platform. The platforms connect to one another using an optical “line system.” All the platforms and the line system are collectively referred to herein as the “Covered Products.” We have determined that hardware components of our Covered Products contain one or more conflict minerals and thus, the Covered Products are within the scope of Rule 13p-1.
Reasonable Country of Origin Inquiry
We procure our components and materials from a variety of suppliers around the world and we have determined that during calendar year 2016 we manufactured (or contracted to manufacture) Covered Products as to which conflict minerals are necessary to the functionality or production of such products. In accordance with Rule 13p-1, we conducted a good faith reasonable country of origin inquiry (“RCOI”) to determine whether the necessary conflict minerals may have originated in the Covered Countries or come from recycled or scrap sources.

Our RCOI process included conducting an inquiry of our direct suppliers using the Conflict Minerals Reporting Template (“CMRT”) developed by the Conflict-Free Sourcing Initiative (“CFSI”). We do not have direct supply

1

contracts with the providers of raw materials used in our Covered Products and do not directly source 3TGs. We source components and products from suppliers, which in turn, source materials, components and products from their suppliers. Our supply chain is extensive and complex with many layers of suppliers positioned between ourselves and 3TG smelters and refiners. Due to our extended supply chain, we leverage our suppliers to provide us with information concerning the sources and chains of custody of 3TGs necessary to the functionality or production of Covered Products.

We used the CMRT responses from our direct suppliers to gather information regarding the origin of the minerals in the products and components they supplied to us, as well as the smelters and refiners that may have processed the conflict minerals in our supply chain. We obtained additional country of origin information for the smelters identified as potentially being within our supply chain through our membership in the CFSI. Based on the results of our RCOI, we determined that a number of smelters and/or refiners identified in our supply chain either source, or we had reason to believe may source, 3TG from the Covered Countries, and we have exercised due diligence on the source and chain of custody of the conflict minerals.
Design of Conflict Minerals Program

We designed our conflict minerals program to conform, in all material respects, with the five-step framework of the OECD Guidance, 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 risk 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 supply chain due diligence
Step 5:      Report on supply chain due diligence
Consistent with the OECD Guidance, 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. We, as a purchaser of components and materials, are many steps removed from the mining of conflict minerals, do not purchase raw ore or unrefined conflict minerals, do not purchase minerals directly from smelters or refiners, and do not conduct purchasing activities directly in any of the Covered Countries.
Due Diligence Measures Performed
The following describes the measures taken to reasonably determine the country of origin of conflict minerals and to exercise due diligence on our supply chain in conformance with the OECD Guidance.
Step 1: Establish strong company management systems
		
a.	Conflict minerals team - We have established a conflict minerals team that includes individuals from the appropriate business units and departments, including legal, finance, operations and procurement. The team was structured to ensure critical information, including our policies related to this subject matter, reached relevant employees and suppliers.	
		
b.	Conflict minerals policy - We have adopted and published a policy establishing out expectations of our suppliers. The policy can be found on our website at http://www.infinera.com/company/social-responsibility/conflict-minerals/ on the Corporate Social Responsibility webpage. It is periodically reviewed and will be updated, if necessary.	
		
c.	Supplier engagement - We require our suppliers to fully disclose any materials found in components or products they supply to us that contain 3TG. In addition, we have incorporated requirements for compliance with conflict minerals disclosure into the periodic business reviews conducted with key suppliers. The periodic business reviews enable us to evaluate the performance and set goals for continuous improvement regarding supply chain issues including any issues related to conflict minerals.	

2

		
d.	Company level grievance mechanism - As recommended by the OECD Guidance, we have established a grievance mechanism, which is set forth in our Conflict Minerals Policy. Reports can be made anonymously, and will be kept confidential to the fullest extent practicable and allowed by law .	
		
e.	Records management - We will maintain records relating to our conflict minerals program in accordance with the recommended record retention guidelines.	
Step 2: Identify and assess risk in the supply chain
We performed the following steps as part of our risk assessment process:

a.	Identified Direct Suppliers - We identify all direct, or first tier, suppliers who may provide components and materials that contain 3TG in the Covered Products during the calendar year 2016 reporting period. We rely on our direct suppliers to provide information on the origin of the conflict minerals contained in components and materials supplied to us - including sources of conflict minerals that are supplied to them by upstream suppliers.	
		
b.	Conducted RCOI - We utilized the industry-developed CMRT to query our direct suppliers for conflict minerals information, and we require our direct suppliers to query their upstream suppliers using the CMRT for the necessary conflict minerals information. We evaluated the information gathered from the CMRT’s submitted by our direct suppliers to determine our reporting obligation based on this RCOI.	
		
c.	Completed additional follow-up - We reviewed the CMRT submissions to validate if they were complete and to identify any contradictions or inconsistencies. We also have worked with suppliers to secure updated responses where necessary.	
		
d.	Identify smelters/processors - We collected a list of smelters/processors that may have processed conflict minerals in our supply chain by utilizing the responses to the CMRT. We reconciled this list to the list of smelter facilities designated by the 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 -We adopted and utilized the CMRT to monitor and mitigate supply chain risk.	
		
b.	Verify smelters - As part of the risk mitigation process, we reconciled the list of smelters collected from suppliers to the list of smelter facilities designated as “conflict-free” by the CFSI Conflict-Free Smelter Program.	
		
c.	Supplier outreach - We followed up with suppliers that did not initially respond to our requests to complete the CMRT and followed up with questions to explain contradictions and inconsistencies.	
		
d.	Meet with management - Members of the conflict minerals team periodically report to a designated committee of senior management comprised of the Chief Financial Officer, SVP of Operations and the General Counsel.	
Step 4: Carry out independent third-party audit of supply chain due diligence
We are relying on the CFSI’s published lists to verify the conflict-free status of smelters/processors that source from Covered Countries.
 We are a member of the CFSI (INFI). As a member, we have supported the development of the Conflict-Free Smelter Program (“CFSP”) and have relied on the CFSP to determine the country of origin of conflict minerals in our products. The CFSP uses independent third-party audits to certify smelters and refiners that can

3

demonstrate that the 3TGs which they process do not originate from sources that may be directly or indirectly financing or benefitting armed groups in a Covered Country. The efforts to determine location of origin through the CFSI is described on the CFSI website at: http://www.conflictfreesourcing.org/ . We remain supportive of industry-wide efforts to expand smelter certification.
Step 5: Report on supply chain due diligence
This report and our Form SD will be filed with the SEC , and this report is publicly available on our website at www.infinera.com .
Results of RCOI and Due Diligence
We conducted a survey of the 78 direct suppliers that we identified may provide products or components containing 3TG and received a response to our inquiry from all of these direct suppliers in calendar year 2016. We did receive, however, some incomplete responses from those surveyed, including responses that still contain incomplete smelter lists.
We have determined that a portion of the conflict minerals contained in the Covered Products originated from the Covered Countries, but we were unable to determine the origin of all the conflict minerals in our Covered Products. Because we have not described any of our products as “DRC conflict free,” an independent private sector audit is not required to be conducted under Rule 13p-1, based on guidance from the SEC’s staff, and therefore has not been conducted.
Smelters or Refineries
We present in this report a list of smelters or refiners provided by those of our suppliers that completed the smelter list on the CMRT, to the extent reasonably determinable, and that may have provided conflict minerals in any of the Covered Products. This table below includes only facilities, to the extent known, that have been validated by the CFSI as facilities that are certified Conflict-Free or are listed in the Template as “known smelters or refiners.” Smelters and refiners that are denoted with an asterisk (*) in the table below have received a “conflict free” designation from an independent third party audit program or are “active” smelters or refiners in pursuit of a “conflict free” designation as of April 28, 2017. For smelter and refiner identification, the vast majority of our suppliers provided data at a company or divisional level, or otherwise were unable to identify specific entities that had processed 3TGs contained in the materials, components, or products supplied to us. This was expected given the multiple tiers of suppliers and other entities that are positioned between our direct suppliers and 3TG smelters or refiners. Because of this, we are unable, at this time, to verify that any of the 3TG smelters or refiners that our suppliers identified were part of our raw materials supply chain.

	
			
Metal	Smelter	Smelter ID	
Gold	Advanced Chemical Company (*)	CID000015	
Gold	Aida Chemical Industries Co., Ltd. (*)	CID000019	
Gold	Allgemeine Gold-und Silberscheideanstalt A.G. (*)	CID000035	
Gold	Almalyk Mining and Metallurgical Complex (AMMC) (*)	CID000041	
Gold	AngloGold Ashanti Córrego do Sítio Mineração (*)	CID000058	
Gold	Argor-Heraeus S.A. (*)	CID000077	
Gold	Asahi Pretec Corp. (*)	CID000082	
Gold	Asaka Riken Co., Ltd. (*)	CID000090	
Gold	Aurubis AG (*)	CID000113	
Gold	Bangko Sentral ng Pilipinas (Central Bank of the Philippines) (*)	CID000128	
Gold	Boliden AB (*)	CID000157	
Gold	C. Hafner GmbH + Co. KG (*)	CID000176	
Gold	CCR Refinery - Glencore Canada Corporation (*)	CID000185	

4

	
			
Metal	Smelter	Smelter ID	
Gold	Cendres + Métaux S.A.	CID000189	
Gold	Chimet S.p.A. (*)	CID000233	
Gold	DODUCO GmbH (*)	CID000362	
Gold	Dowa (*)	CID000401	
Gold	Eco-System Recycling Co., Ltd. (*)	CID000425	
Gold	OJSC Novosibirsk Refinery (*)	CID000493	
Gold	Heimerle + Meule GmbH (*)	CID000694	
Gold	Heraeus Precious Metals GmbH & Co. KG (*)	CID000711	
Gold	Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. (*)	CID000801	
Gold	Ishifuku Metal Industry Co., Ltd. (*)	CID000807	
Gold	Istanbul Gold Refinery (*)	CID000814	
Gold	Japan Mint (*)	CID000823	
Gold	Jiangxi Copper Co., Ltd. (*)	CID000855	
Gold	Asahi Refining USA Inc. (*)	CID000920	
Gold	Asahi Refining Canada Ltd. (*)	CID000924	
Gold	JSC Ekaterinburg Non-Ferrous Metal Processing Plant (*)	CID000927	
Gold	JSC Uralelectromed (*)	CID000929	
Gold	JX Nippon Mining & Metals Co., Ltd. (*)	CID000937	
Gold	Kazzinc (*)	CID000957	
Gold	Kennecott Utah Copper LLC (*)	CID000969	
Gold	Kojima Chemicals Co., Ltd. (*)	CID000981	
Gold	Kyrgyzaltyn JSC (*)	CID001029	
Gold	Materion (*)	CID001113	
Gold	Matsuda Sangyo Co., Ltd. (*)	CID001119	
Gold	Metalor Technologies (Suzhou) Ltd. (*)	CID001147	
Gold	Metalor Technologies (Hong Kong) Ltd. (*)	CID001149	
Gold	Metalor Technologies (Singapore) Pte., Ltd. (*)	CID001152	
Gold	Metalor Technologies S.A. (*)	CID001153	
Gold	Metalor USA Refining Corporation (*)	CID001157	
Gold	Metalúrgica Met-Mex Peñoles S.A. De C.V. (*)	CID001161	
Gold	Mitsubishi Materials Corporation (*)	CID001188	
Gold	Mitsui Mining and Smelting Co., Ltd. (*)	CID001193	
Gold	Moscow Special Alloys Processing Plant (*)	CID001204	
Gold	Nadir Metal Rafineri San. Ve Tic. A.ª. (*)	CID001220	
Gold	Navoi Mining and Metallurgical Combinat	CID001236	
Gold	Nihon Material Co., Ltd. (*)	CID001259	
Gold	Elemetal Refining, LLC	CID001322	
Gold	Ohura Precious Metal Industry Co., Ltd. (*)	CID001325	
Gold	OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) (*)	CID001326	
Gold	PAMP S.A. (*)	CID001352	
Gold	Prioksky Plant of Non-Ferrous Metals (*)	CID001386	
Gold	PT Aneka Tambang (Persero) Tbk (*)	CID001397	
Gold	PX Précinox S.A. (*)	CID001498	
Gold	Rand Refinery (Pty) Ltd. (*)	CID001512	
Gold	Royal Canadian Mint (*)	CID001534	
Gold	Schone Edelmetaal B.V. (*)	CID001573	
Gold	SEMPSA Joyería Platería S.A. (*)	CID001585	
Gold	Shandong Zhaojin Gold & Silver Refinery Co., Ltd. (*)	CID001622	

5

	
			
Metal	Smelter	Smelter ID	
Gold	Sichuan Tianze Precious Metals Co., Ltd. (*)	CID001736	
Gold	SOE Shyolkovsky Factory of Secondary Precious Metals (*)	CID001756	
Gold	Sumitomo Metal Mining Co., Ltd. (*)	CID001798	
Gold	Tanaka Kikinzoku Kogyo K.K. (*)	CID001875	
Gold	The Refinery of Shandong Gold Mining Co., Ltd. (*)	CID001916	
Gold	Tokuriki Honten Co., Ltd. (*)	CID001938	
Gold	Umicore Brasil Ltda. (*)	CID001977	
Gold	Umicore S.A. Business Unit Precious Metals Refining (*)	CID001980	
Gold	United Precious Metal Refining, Inc. (*)	CID001993	
Gold	Valcambi S.A. (*)	CID002003	
Gold	Western Australian Mint trading as The Perth Mint (*)	CID002030	
Gold	Yamamoto Precious Metal Co., Ltd. (*)	CID002100	
Gold	Yokohama Metal Co., Ltd. (*)	CID002129	
Gold	Zhongyuan Gold Smelter of Zhongjin Gold Corporation (*)	CID002224	
Gold	Zijin Mining Group Co., Ltd. Gold Refinery (*)	CID002243	
Gold	Umicore Precious Metals Thailand (*)	CID002314	
Gold	Geib Refining Corporation (*)	CID002459	
Gold	MMTC-PAMP India Pvt., Ltd. (*)	CID002509	
Gold	Republic Metals Corporation (*)	CID002510	
Gold	KGHM Polska MiedŸ Spó³ka Akcyjna	CID002511	
Gold	Emirates Gold DMCC (*)	CID002561	
Gold	T.C.A S.p.A (*)	CID002580	
Gold	Tony Goetz NV	CID002587	
Gold	Abington Reldan Metals, LLC	CID002708	
Gold	SAXONIA Edelmetalle GmbH (*)	CID002777	
Gold	WIELAND Edelmetalle GmbH (*)	CID002778	
Gold	Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH (*)	CID002779	
Gold	AU Traders and Refiners (*)	CID002850	
Gold	Modeltech Sdn Bhd	CID002857	
Gold	Bangalore Refinery	CID002863	
Tantalum	Changsha South Tantalum Niobium Co., Ltd. (*)	CID000211	
Tantalum	Conghua Tantalum and Niobium Smeltry (*)	CID000291	
Tantalum	Duoluoshan (*)	CID000410	
Tantalum	Exotech Inc. (*)	CID000456	
Tantalum	F&X Electro-Materials Ltd. (*)	CID000460	
Tantalum	Guangdong Zhiyuan New Material Co., Ltd. (*)	CID000616	
Tantalum	Hi-Temp Specialty Metals, Inc. (*)	CID000731	
Tantalum	JiuJiang JinXin Nonferrous Metals Co., Ltd. (*)	CID000914	
Tantalum	King-Tan Tantalum Industry Ltd. (*)	CID000973	
Tantalum	LSM Brasil S.A. (*)	CID001076	
Tantalum	Metallurgical Products India Pvt., Ltd. (*)	CID001163	
Tantalum	Mineração Taboca S.A. (*)	CID001175	
Tantalum	Mitsui Mining and Smelting Co., Ltd. (*)	CID001192	
Tantalum	Ningxia Orient Tantalum Industry Co., Ltd. (*)	CID001277	
Tantalum	QuantumClean (*)	CID001508	
Tantalum	Solikamsk Magnesium Works OAO (*)	CID001769	
Tantalum	Taki Chemical Co., Ltd. (*)	CID001869	
Tantalum	Telex Metals (*)	CID001891	
Tantalum	Ulba Metallurgical Plant JSC (*)	CID001969	

6

	
			
Metal	Smelter	Smelter ID	
Tantalum	Zhuzhou Cemented Carbide Group Co., Ltd. (*)	CID002232	
Tantalum	Yichun Jin Yang Rare Metal Co., Ltd. (*)	CID002307	
Tantalum	Hengyang King Xing Lifeng New Materials Co., Ltd. (*)	CID002492	
Tantalum	D Block Metals, LLC (*)	CID002504	
Tantalum	FIR Metals & Resource Ltd. (*)	CID002505	
Tantalum	Jiujiang Zhongao Tantalum & Niobium Co., Ltd. (*)	CID002506	
Tantalum	XinXing HaoRong Electronic Material Co., Ltd. (*)	CID002508	
Tantalum	Jiangxi Dinghai Tantalum & Niobium Co., Ltd. (*)	CID002512	
Tantalum	KEMET Blue Metals (*)	CID002539	
Tantalum	H.C. Starck Co., Ltd. (*)	CID002544	
Tantalum	H.C. Starck Hermsdorf GmbH (*)	CID002547	
Tantalum	H.C. Starck Inc. (*)	CID002548	
Tantalum	H.C. Starck Ltd. (*)	CID002549	
Tantalum	H.C. Starck Smelting GmbH & Co. KG (*)	CID002550	
Tantalum	Global Advanced Metals Boyertown (*)	CID002557	
Tantalum	Global Advanced Metals Aizu (*)	CID002558	
Tantalum	KEMET Blue Powder (*)	CID002568	
Tantalum	Tranzact, Inc. (*)	CID002571	
Tantalum	Resind Indústria e Comércio Ltda. (*)	CID002707	
Tantalum	Jiangxi Tuohong New Raw Material (*)	CID002842	
Tin	Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. (*)	CID000228	
Tin	Jiangxi Ketai Advanced Material Co., Ltd. (*)	CID000244	
Tin	Alpha (*)	CID000292	
Tin	Cooperativa Metalurgica de Rondônia Ltda. (*)	CID000295	
Tin	CV Gita Pesona (*)	CID000306	
Tin	PT Aries Kencana Sejahtera (*)	CID000309	
Tin	CV Serumpun Sebalai (*)	CID000313	
Tin	CV United Smelting (*)	CID000315	
Tin	Dowa (*)	CID000402	
Tin	Fenix Metals (*)	CID000468	
Tin	Gejiu Non-Ferrous Metal Processing Co., Ltd. (*)	CID000538	
Tin	Gejiu Kai Meng Industry and Trade LLC	CID000942	
Tin	China Tin Group Co., Ltd. (*)	CID001070	
Tin	Malaysia Smelting Corporation (MSC) (*)	CID001105	
Tin	Metallic Resources, Inc. (*)	CID001142	
Tin	Mineração Taboca S.A. (*)	CID001173	
Tin	Minsur (*)	CID001182	
Tin	Mitsubishi Materials Corporation (*)	CID001191	
Tin	Nankang Nanshan Tin Manufactory Co., Ltd.	CID001231	
Tin	O.M. Manufacturing (Thailand) Co., Ltd. (*)	CID001314	
Tin	PT Artha Cipta Langgeng (*)	CID001399	
Tin	PT Babel Inti Perkasa (*)	CID001402	
Tin	PT Bangka Tin Industry (*)	CID001419	
Tin	PT Belitung Industri Sejahtera (*)	CID001421	
Tin	PT Bukit Timah (*)	CID001428	
Tin	PT DS Jaya Abadi (*)	CID001434	
Tin	PT Eunindo Usaha Mandiri (*)	CID001438	
Tin	PT Karimun Mining (*)	CID001448	
Tin	PT Mitra Stania Prima (*)	CID001453	

7

	
			
Metal	Smelter	Smelter ID	
Tin	PT Panca Mega Persada (*)	CID001457	
Tin	PT Prima Timah Utama (*)	CID001458	
Tin	PT Refined Bangka Tin (*)	CID001460	
Tin	PT Sariwiguna Binasentosa (*)	CID001463	
Tin	PT Stanindo Inti Perkasa (*)	CID001468	
Tin	PT Sumber Jaya Indah (*)	CID001471	
Tin	PT Timah (Persero) Tbk Kundur (*)	CID001477	
Tin	PT Timah (Persero) Tbk Mentok (*)	CID001482	
Tin	PT Tinindo Inter Nusa (*)	CID001490	
Tin	PT Tommy Utama (*)	CID001493	
Tin	Soft Metais Ltda. (*)	CID001758	
Tin	Thaisarco (*)	CID001898	
Tin	Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.	CID001908	
Tin	VQB Mineral and Trading Group JSC (*)	CID002015	
Tin	White Solder Metalurgia e Mineração Ltda. (*)	CID002036	
Tin	Yunnan Chengfeng Non-ferrous Metals Co., Ltd. (*)	CID002158	
Tin	Yunnan Tin Company Limited (*)	CID002180	
Tin	CV Venus Inti Perkasa (*)	CID002455	
Tin	Magnu's Minerais Metais e Ligas Ltda. (*)	CID002468	
Tin	PT Wahana Perkit Jaya	CID002479	
Tin	Melt Metais e Ligas S.A. (*)	CID002500	
Tin	PT ATD Makmur Mandiri Jaya (*)	CID002503	
Tin	O.M. Manufacturing Philippines, Inc. (*)	CID002517	
Tin	PT Inti Stania Prima (*)	CID002530	
Tin	CV Ayi Jaya (*)	CID002570	
Tin	Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company	CID002572	
Tin	CV Dua Sekawan (*)	CID002592	
Tin	CV Tiga Sekawan (*)	CID002593	
Tin	PT Cipta Persada Mulia	CID002696	
Tin	An Vinh Joint Stock Mineral Processing Company	CID002703	
Tin	Resind Indústria e Comércio Ltda. (*)	CID002706	
Tin	PT O.M. Indonesia (*)	CID002757	
Tin	Metallo-Chimique N.V. (*)	CID002773	
Tin	Elmet S.L.U. (*)	CID002774	
Tin	PT Bangka Prima Tin (*)	CID002776	
Tin	PT Sukses Inti Makmur (*)	CID002816	
Tin	PT Kijang Jaya Mandiri (*)	CID002829	
Tin	PT Menara Cipta Mulia (*)	CID002835	
Tin	HuiChang Hill Tin Industry Co., Ltd. (*)	CID002844	
Tin	Gejiu Fengming Metallurgy Chemical Plant (*)	CID002848	
Tin	Guanyang Guida Nonferrous Metal Smelting Plant (*)	CID002849	
Tin	Modeltech Sdn Bhd	CID002858	
Tin	Gejiu Jinye Mineral Company (*)	CID002859	
Tin	PT Lautan Harmonis Sejahtera (*)	CID002870	
Tungsten	A.L.M.T. TUNGSTEN Corp. (*)	CID000004	
Tungsten	Kennametal Huntsville (*)	CID000105	
Tungsten	Guangdong Xianglu Tungsten Co., Ltd. (*)	CID000218	
Tungsten	Chongyi Zhangyuan Tungsten Co., Ltd. (*)	CID000258	

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Metal	Smelter	Smelter ID	
Tungsten	Fujian Jinxin Tungsten Co., Ltd. (*)	CID000499	
Tungsten	Global Tungsten & Powders Corp. (*)	CID000568	
Tungsten	Hunan Chenzhou Mining Co., Ltd. (*)	CID000766	
Tungsten	Hunan Chunchang Nonferrous Metals Co., Ltd. (*)	CID000769	
Tungsten	Japan New Metals Co., Ltd. (*)	CID000825	
Tungsten	Ganzhou Huaxing Tungsten Products Co., Ltd. (*)	CID000875	
Tungsten	Kennametal Fallon (*)	CID000966	
Tungsten	Tejing (Vietnam) Tungsten Co., Ltd. (*)	CID001889	
Tungsten	Vietnam Youngsun Tungsten Industry Co., Ltd. (*)	CID002011	
Tungsten	Wolfram Bergbau und Hütten AG (*)	CID002044	
Tungsten	Xiamen Tungsten Co., Ltd. (*)	CID002082	
Tungsten	Xinhai Rendan Shaoguan Tungsten Co., Ltd. (*)	CID002095	
Tungsten	Ganzhou Jiangwu Ferrotungsten Co., Ltd. (*)	CID002315	
Tungsten	Jiangxi Yaosheng Tungsten Co., Ltd. (*)	CID002316	
Tungsten	Jiangxi Xinsheng Tungsten Industry Co., Ltd. (*)	CID002317	
Tungsten	Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. (*)	CID002318	
Tungsten	Malipo Haiyu Tungsten Co., Ltd. (*)	CID002319	
Tungsten	Xiamen Tungsten (H.C.) Co., Ltd. (*)	CID002320	
Tungsten	Jiangxi Gan Bei Tungsten Co., Ltd. (*)	CID002321	
Tungsten	Ganzhou Seadragon W & Mo Co., Ltd. (*)	CID002494	
Tungsten	Asia Tungsten Products Vietnam Ltd. (*)	CID002502	
Tungsten	Chenzhou Diamond Tungsten Products Co., Ltd. (*)	CID002513	
Tungsten	Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd. (*)	CID002535	
Tungsten	Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC (*)	CID002543	
Tungsten	Jiangwu H.C. Starck Tungsten Products Co., Ltd. (*)	CID002551	
Tungsten	Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji (*)	CID002579	
Tungsten	Niagara Refining LLC (*)	CID002589	
Tungsten	Hydrometallurg, JSC (*)	CID002649	
Tungsten	Unecha Refractory metals plant (*)	CID002724	
Tungsten	South-East Nonferrous Metal Company Limited of Hengyang City (*)	CID002815	
Tungsten	Philippine Chuangxin Industrial Co., Inc. (*)	CID002827	
Tungsten	Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. (*)	CID002830	
Tungsten	Moliren Ltd (*)	CID002845	

Countries of origin of the conflict minerals these facilities process are believed to include:

Angola, Argentina, Australia, Austria, Belgium, Bolivia, Brazil, Burundi, Canada, Central African Republic, Chile, China, Colombia, Cote d’Ivoire, Czech Republic, Djibouti, Egypt, Estonia, Ethiopia,
France, Germany, Guyana, Hungary, India, Indonesia, Ireland, Israel, Japan, Kazakhstan, Kenya, Laos, Luxembourg, Madagascar, Malaysia, Mongolia, Mozambique, Myanmar, Namibia, Netherlands, Nigeria, Peru, Portugal, Republic of Congo, Russia, Rwanda, Sierra Leone, Singapore, Slovakia, South Africa, South Korea, South Sudan, Spain, Suriname, Switzerland, Taiwan, Tanzania, Thailand, Uganda, United Kingdom, United States of America, Vietnam, Zambia, Zimbabwe	

Due Diligence Improvement Efforts
We will continue to communicate our expectations and information requirements to our direct suppliers and continue to work towards a conflict-free supply chain. 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 of 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 process or

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reporting needs improvement, we intend to continue the trade relationship while that supplier improves its compliance program. We expect our direct suppliers to take similar measures with their suppliers to ensure alignment throughout the supply chain.
In addition to the plans described above, we will undertake the following steps during the next reporting period:
		
•	Continue to collect responses from suppliers using the CMRT.	
		
•	Continue to work directly with our suppliers to provide more complete responses as a number of suppliers have been unable to determine the origin of the 3TG in products or components supplied to us or to determine whether they come from recycled or scrap sources.	
		
•	Continue to support supply chain transparency efforts through our membership in CFSI.	
		
•	Compare and validate RCOI results to information collected via independent conflict-free smelter validation programs such as the CFSP.	
		
•	Continue to allow verified conflict-free material from the Covered Countries to enter our supply chain.	

Additional Information
    
The statements above are based on the RCOI process and due diligence performed in good faith by Infinera. These statements are based on information available at the time. A number of factors could introduce errors or otherwise affect our status with respect to this report. These factors include, but are not limited to, gaps in supplier data, gaps in smelter data, errors or omissions by suppliers or smelters, evolving definition and confirmation of smelters, incomplete information from industry or other third-party sources, all instances of conflict minerals necessary to the functionality or manufacturing of our products possibly not yet having been identified, gaps in supplier education and knowledge, timeliness of data, public information not discovered during a reasonable search, language barriers and translation, oversights or errors in conflict free smelter audits, Covered Countries sourced materials being declared secondary materials, companies in our supply chain going out of business, certification programs being not equally advanced for all industry segments and metals, updated guidance regarding the SEC final rules, and smuggling of conflict minerals from the Covered Countries to countries beyond the Covered Countries.

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