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, 2017.	

					

Introduction

Infinera Corporation (the “Company”) is a leader in optical transport networking solutions, providing 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 demand for optical bandwidth prompted by increased use of high-speed internet access, business Ethernet services, mobile broadband, cloud-based services, high-definition video streaming services, virtual and augmented reality, and the Internet of Things (IoT). 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-X family of platforms; (ii) XTM series; and (iii) Cloud Xpress platform. The platforms connect to one another using an optical “line system” or the Infinera FlexILS. 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, 2017 to December 31, 2017, 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 No.	  	Description	
 	 	
1.01	  	Conflict Minerals Report for the period January 1 to December 31, 2017 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, 2018	
 	Brad D. Feller	 	(Date)	
 	Chief Financial Officer	 	 	

Exhibit 1.01
Infinera Corporation
Conflict Minerals Report
For the Reporting Period January 1, 2017 to December 31, 2017

					

Introduction
This is the Conflict Minerals Report of Infinera Corporation (“we,” “our,” “us,” or “Infinera”) prepared for calendar year 2017 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, Third Edition (2016), including the related supplements on tantalum, tin, tungsten and gold (the “OECD Guidance”).

Overview
Company Profile
We are a leader in optical transport networking solutions, providing 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 demand for optical bandwidth prompted by increased use of high-speed internet access, business Ethernet services, mobile broadband, cloud-based services, high-definition video streaming services, virtual and augmented reality, and the Internet of Things (IoT). 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 Conflict Minerals Report include the (i) DTN-X family of platforms; (ii) XTM series; and (iii) Cloud Xpress platform. The platforms connect to one another using an optical “line system” or the Infinera FlexILS. 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 2017 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 Responsible Minerals Initiative (“RMI”). We do not have direct supply contracts with the providers of raw materials used in our Covered Products and we do not directly source 3TGs. We source

1

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 required our direct suppliers to query their upstream suppliers using the CMRT. 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 RMI. 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 2017 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 RMI Responsible Minerals Assurance Process (formerly the 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 “RMAP conformant” by the RMI Responsible Minerals Assurance Process.	
		
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 RMI’s published lists to verify the status of smelters/processors that source from Covered Countries as conformant with the Responsible Minerals Assurance Process assessment protocols for responsible sourcing of conflict minerals.

3

 We are a member of the RMI (INFI). As a member, we have supported the development of the Responsible Minerals Assurance Process (“RMAP”) and have relied on the RMAP to determine the country of origin of conflict minerals in our products. The RMAP uses independent third-party audits to certify smelters and refiners that can 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 RMI is described on the RMI website at: http://www.responsiblemineralsinitiative.org. We remain supportive of industry-wide efforts to expand smelter certification.
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 91 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 2017. 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, included in Appendix 1, is as of May 1, 2018 and includes only facilities, to the extent known, that have been validated by the RMI as facilities that are currently listed in the RMAP or are listed in the CMRT as “known smelters or refiners.” 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.

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 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.

4

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, including the collection of more product-level responses.	
		
•	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 RMI.	
		
•	Compare and validate RCOI results to information collected via independent conflict-free smelter validation programs such as the RMAP.	
		
•	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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Appendix 1

Smelters and Refiners

			
Metal	Smelter	RMAP Status	
Gold	Abington Reldan Metals, LLC	Not RMAP Conformant or Active	
Gold	Accurate Refining Group	Not RMAP Conformant or Active	
Gold	Advanced Chemical Company	Conformant	
Gold	African Gold Refinery	Not RMAP Conformant or Active	
Gold	Aida Chemical Industries Co., Ltd.	Conformant	
Gold	Al Etihad Gold Refinery DMCC	Conformant	
Gold	Allgemeine Gold-und Silberscheideanstalt A.G.	Conformant	
Gold	Almalyk Mining and Metallurgical Complex (AMMC)	Conformant	
Gold	AngloGold Ashanti Corrego do Sitio Mineracao	Conformant	
Gold	Argor-Heraeus S.A.	Conformant	
Gold	Asahi Pretec Corp.	Conformant	
Gold	Asahi Refining Canada Ltd.	Conformant	
Gold	Asahi Refining USA Inc.	Conformant	
Gold	Asaka Riken Co., Ltd.	Conformant	
Gold	Atasay Kuyumculuk Sanayi Ve Ticaret A.S.	Not RMAP Conformant or Active	
Gold	AU Traders and Refiners	Conformant	
Gold	Aurubis AG	Conformant	
Gold	Bangalore Refinery	Active	
Gold	Bangko Sentral ng Pilipinas (Central Bank of the Philippines)	Conformant	
Gold	Boliden AB	Conformant	
Gold	C. Hafner GmbH + Co. KG	Conformant	
Gold	Caridad	Not RMAP Conformant or Active	
Gold	CCR Refinery - Glencore Canada Corporation	Conformant	
Gold	Cendres + Metaux S.A.	Conformant	
Gold	Chimet S.p.A.	Conformant	
Gold	Chugai Mining	Not RMAP Conformant or Active	
Gold	Daejin Indus Co., Ltd.	Conformant	
Gold	Daye Non-Ferrous Metals Mining Ltd.	Not RMAP Conformant or Active	
Gold	Degussa Sonne / Mond Goldhandel GmbH	Not RMAP Conformant or Active	
Gold	DODUCO Contacts and Refining GmbH	Conformant	
Gold	Dowa	Conformant	
Gold	DS PRETECH Co., Ltd.	Active	
Gold	DSC (Do Sung Corporation)	Conformant	
Gold	Eco-System Recycling Co., Ltd.	Conformant	
Gold	Emirates Gold DMCC	Conformant	
Gold	Fidelity Printers and Refiners Ltd.	Not RMAP Conformant or Active	
Gold	GCC Gujrat Gold Centre Pvt. Ltd.	Not RMAP Conformant or Active	
Gold	Geib Refining Corporation	Conformant	
Gold	Gold Refinery of Zijin Mining Group Co., Ltd.	Conformant	
Gold	Great Wall Precious Metals Co., Ltd. of CBPM	Not RMAP Conformant or Active	
Gold	Guangdong Jinding Gold Limited	Not RMAP Conformant or Active	
Gold	Guoda Safina High-Tech Environmental Refinery Co., Ltd.	Not RMAP Conformant or Active	
Gold	Hangzhou Fuchunjiang Smelting Co., Ltd.	Not RMAP Conformant or Active	

6

	
			
Metal	Smelter	RMAP Status	
Gold	HeeSung Metal Ltd.	Conformant	
Gold	Heimerle + Meule GmbH	Conformant	
Gold	Heraeus Metals Hong Kong Ltd.	Conformant	
Gold	Heraeus Precious Metals GmbH & Co. KG	Conformant	
Gold	Hunan Chenzhou Mining Co., Ltd.	Not RMAP Conformant or Active	
Gold	HwaSeong CJ CO., LTD.	Not RMAP Conformant or Active	
Gold	Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.	Conformant	
Gold	Ishifuku Metal Industry Co., Ltd.	Conformant	
Gold	Istanbul Gold Refinery	Conformant	
Gold	Italpreziosi	Conformant	
Gold	Japan Mint	Conformant	
Gold	Jiangxi Copper Co., Ltd.	Conformant	
Gold	JSC Ekaterinburg Non-Ferrous Metal Processing Plant	Not RMAP Conformant or Active	
Gold	JSC Uralelectromed	Conformant	
Gold	JX Nippon Mining & Metals Co., Ltd.	Conformant	
Gold	Kaloti Precious Metals	Not RMAP Conformant or Active	
Gold	Kazakhmys Smelting LLC	Not RMAP Conformant or Active	
Gold	Kazzinc	Conformant	
Gold	Kennecott Utah Copper LLC	Conformant	
Gold	KGHM Polska Miedz Spolka Akcyjna	Active	
Gold	Kojima Chemicals Co., Ltd.	Conformant	
Gold	Korea Zinc Co., Ltd.	Conformant	
Gold	Kyrgyzaltyn JSC	Conformant	
Gold	Kyshtym Copper-Electrolytic Plant ZAO	Not RMAP Conformant or Active	
Gold	L'azurde Company For Jewelry	Not RMAP Conformant or Active	
Gold	Lingbao Gold Co., Ltd.	Not RMAP Conformant or Active	
Gold	Lingbao Jinyuan Tonghui Refinery Co., Ltd.	Not RMAP Conformant or Active	
Gold	L'Orfebre S.A.	Active	
Gold	LS-NIKKO Copper Inc.	Conformant	
Gold	Luoyang Zijin Yinhui Gold Refinery Co., Ltd.	Not RMAP Conformant or Active	
Gold	Marsam Metals	Conformant	
Gold	Materion	Conformant	
Gold	Matsuda Sangyo Co., Ltd.	Conformant	
Gold	Metalor Technologies (Hong Kong) Ltd.	Conformant	
Gold	Metalor Technologies (Singapore) Pte., Ltd.	Conformant	
Gold	Metalor Technologies (Suzhou) Ltd.	Conformant	
Gold	Metalor Technologies S.A.	Conformant	
Gold	Metalor USA Refining Corporation	Conformant	
Gold	Metalurgica Met-Mex Penoles S.A. De C.V.	Conformant	
Gold	Mitsubishi Materials Corporation	Conformant	
Gold	Mitsui Mining and Smelting Co., Ltd.	Conformant	
Gold	MMTC-PAMP India Pvt., Ltd.	Conformant	
Gold	Modeltech Sdn Bhd	Active	
Gold	Morris and Watson	Not RMAP Conformant or Active	
Gold	Morris and Watson Gold Coast	Not RMAP Conformant or Active	

7

	
			
Metal	Smelter	RMAP Status	
Gold	Moscow Special Alloys Processing Plant	Conformant	
Gold	Nadir Metal Rafineri San. Ve Tic. A.S.	Conformant	
Gold	Navoi Mining and Metallurgical Combinat	Not RMAP Conformant or Active	
Gold	NH Recytech Company	Active	
Gold	Nihon Material Co., Ltd.	Conformant	
Gold	Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH	Conformant	
Gold	Ohio Precious Metals, LLC	Not RMAP Conformant or Active	
Gold	Ohura Precious Metal Industry Co., Ltd.	Conformant	
Gold	OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)	Conformant	
Gold	OJSC Novosibirsk Refinery	Conformant	
Gold	PAMP S.A.	Conformant	
Gold	Pease & Curren	Not RMAP Conformant or Active	
Gold	Penglai Penggang Gold Industry Co., Ltd.	Not RMAP Conformant or Active	
Gold	Planta Recuperadora de Metales SpA	Conformant	
Gold	Prioksky Plant of Non-Ferrous Metals	Conformant	
Gold	PT Aneka Tambang (Persero) Tbk	Conformant	
Gold	PX Precinox S.A.	Conformant	
Gold	Rand Refinery (Pty) Ltd.	Conformant	
Gold	Refinery of Seemine Gold Co., Ltd.	Not RMAP Conformant or Active	
Gold	Remondis Argentia B.V.	Active	
Gold	Republic Metals Corporation	Conformant	
Gold	Royal Canadian Mint	Conformant	
Gold	SAAMP	Conformant	
Gold	Sabin Metal Corp.	Not RMAP Conformant or Active	
Gold	Safimet S.p.A	Conformant	
Gold	SAFINA A.S.	Conformant	
Gold	Sai Refinery	Not RMAP Conformant or Active	
Gold	Samduck Precious Metals	Conformant	
Gold	Samwon Metals Corp.	Not RMAP Conformant or Active	
Gold	SAXONIA Edelmetalle GmbH	Conformant	
Gold	Schone Edelmetaal B.V.	Not RMAP Conformant or Active	
Gold	SEMPSA Joyeria Plateria S.A.	Conformant	
Gold	Shandong Tiancheng Biological Gold Industrial Co., Ltd.	Not RMAP Conformant or Active	
Gold	Shandong Zhaojin Gold & Silver Refinery Co., Ltd.	Conformant	
Gold	Sichuan Tianze Precious Metals Co., Ltd.	Conformant	
Gold	Singway Technology Co., Ltd.	Conformant	
Gold	SOE Shyolkovsky Factory of Secondary Precious Metals	Conformant	
Gold	Solar Applied Materials Technology Corp.	Conformant	
Gold	State Research Institute Center for Physical Sciences and Technology	Not RMAP Conformant or Active	
Gold	Sudan Gold Refinery	Not RMAP Conformant or Active	
Gold	Sumitomo Metal Mining Co., Ltd.	Conformant	
Gold	SungEel HiMetal Co., Ltd.	Conformant	
Gold	T.C.A S.p.A	Conformant	
Gold	Tanaka Kikinzoku Kogyo K.K.	Conformant	

8

	
			
Metal	Smelter	RMAP Status	
Gold	The Refinery of Shandong Gold Mining Co., Ltd.	Conformant	
Gold	Tokuriki Honten Co., Ltd.	Conformant	
Gold	Tongling Nonferrous Metals Group Co., Ltd.	Not RMAP Conformant or Active	
Gold	Tony Goetz NV	Not RMAP Conformant or Active	
Gold	TOO Tau-Ken-Altyn	Not RMAP Conformant or Active	
Gold	Torecom	Conformant	
Gold	Umicore Brasil Ltda.	Conformant	
Gold	Umicore Precious Metals Thailand	Conformant	
Gold	Umicore S.A. Business Unit Precious Metals Refining	Conformant	
Gold	United Precious Metal Refining, Inc.	Conformant	
Gold	Universal Precious Metals Refining Zambia	Not RMAP Conformant or Active	
Gold	Valcambi S.A.	Conformant	
Gold	Western Australian Mint (T/a The Perth Mint)	Conformant	
Gold	WIELAND Edelmetalle GmbH	Conformant	
Gold	Yamakin Co., Ltd.	Conformant	
Gold	Yokohama Metal Co., Ltd.	Conformant	
Gold	Yunnan Copper Industry Co., Ltd.	Not RMAP Conformant or Active	
Gold	Zhongyuan Gold Smelter of Zhongjin Gold Corporation	Conformant	
Tantalum	Asaka Riken Co., Ltd.	Conformant	
Tantalum	Changsha South Tantalum Niobium Co., Ltd.	Conformant	
Tantalum	D Block Metals, LLC	Conformant	
Tantalum	Duoluoshan	Not RMAP Conformant or Active	
Tantalum	Exotech Inc.	Conformant	
Tantalum	F&X Electro-Materials Ltd.	Conformant	
Tantalum	FIR Metals & Resource Ltd.	Conformant	
Tantalum	Global Advanced Metals Aizu	Conformant	
Tantalum	Global Advanced Metals Boyertown	Conformant	
Tantalum	Guangdong Rising Rare Metals-EO Materials Ltd.	Conformant	
Tantalum	Guangdong Zhiyuan New Material Co., Ltd.	Conformant	
Tantalum	H.C. Starck Co., Ltd.	Conformant	
Tantalum	H.C. Starck Hermsdorf GmbH	Conformant	
Tantalum	H.C. Starck Inc.	Conformant	
Tantalum	H.C. Starck Ltd.	Conformant	
Tantalum	H.C. Starck Smelting GmbH & Co. KG	Conformant	
Tantalum	H.C. Starck Tantalum and Niobium GmbH	Conformant	
Tantalum	Hengyang King Xing Lifeng New Materials Co., Ltd.	Conformant	
Tantalum	Jiangxi Dinghai Tantalum & Niobium Co., Ltd.	Conformant	
Tantalum	Jiangxi Tuohong New Raw Material	Conformant	
Tantalum	Jiujiang Janny New Material Co., Ltd.	Conformant	
Tantalum	JiuJiang JinXin Nonferrous Metals Co., Ltd.	Conformant	
Tantalum	Jiujiang Tanbre Co., Ltd.	Conformant	
Tantalum	Jiujiang Zhongao Tantalum & Niobium Co., Ltd.	Conformant	
Tantalum	KEMET Blue Metals	Conformant	
Tantalum	KEMET Blue Powder	Conformant	
Tantalum	King-Tan Tantalum Industry Ltd.	Not RMAP Conformant or Active	

9

	
			
Metal	Smelter	RMAP Status	
Tantalum	LSM Brasil S.A.	Conformant	
Tantalum	Metallurgical Products India Pvt., Ltd.	Conformant	
Tantalum	Mineracao Taboca S.A.	Conformant	
Tantalum	Mitsui Mining and Smelting Co., Ltd.	Conformant	
Tantalum	Ningxia Orient Tantalum Industry Co., Ltd.	Conformant	
Tantalum	NPM Silmet AS	Conformant	
Tantalum	Power Resources Ltd.	Conformant	
Tantalum	QuantumClean	Conformant	
Tantalum	Resind Industria e Comercio Ltda.	Conformant	
Tantalum	RFH Tantalum Smeltery Co., Ltd./Yanling Jincheng Tantalum & Niobium Co., Ltd.	Conformant	
Tantalum	Solikamsk Magnesium Works OAO	Conformant	
Tantalum	Taki Chemical Co., Ltd.	Conformant	
Tantalum	Telex Metals	Conformant	
Tantalum	Ulba Metallurgical Plant JSC	Conformant	
Tantalum	XinXing HaoRong Electronic Material Co., Ltd.	Conformant	
Tantalum	Yichun Jin Yang Rare Metal Co., Ltd.	Not RMAP Conformant or Active	
Tin	Alpha	Conformant	
Tin	An Vinh Joint Stock Mineral Processing Company	Not RMAP Conformant or Active	
Tin	Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.	Conformant	
Tin	Chifeng Dajingzi Tin Industry Co., Ltd.	Conformant	
Tin	China Tin Group Co., Ltd.	Conformant	
Tin	CNMC (Guangxi) PGMA Co., Ltd.	Not RMAP Conformant or Active	
Tin	CV Ayi Jaya	Conformant	
Tin	CV Dua Sekawan	Conformant	
Tin	CV Gita Pesona	Conformant	
Tin	CV United Smelting	Conformant	
Tin	CV Venus Inti Perkasa	Conformant	
Tin	Dowa	Conformant	
Tin	Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company	Not RMAP Conformant or Active	
Tin	EM Vinto	Conformant	
Tin	Estanho de Rondonia S.A.	Not RMAP Conformant or Active	
Tin	Fenix Metals	Conformant	
Tin	Gejiu Fengming Metallurgy Chemical Plant	Conformant	
Tin	Gejiu Jinye Mineral Company	Conformant	
Tin	Gejiu Kai Meng Industry and Trade LLC	Conformant	
Tin	Gejiu Non-Ferrous Metal Processing Co., Ltd.	Conformant	
Tin	Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.	Conformant	
Tin	Gejiu Zili Mining And Metallurgy Co., Ltd.	Not RMAP Conformant or Active	
Tin	Guangdong Hanhe Non-Ferrous Metal Co., Ltd.	Conformant	
Tin	Guanyang Guida Nonferrous Metal Smelting Plant	Conformant	
Tin	HuiChang Hill Tin Industry Co., Ltd.	Conformant	
Tin	Huichang Jinshunda Tin Co., Ltd.	Conformant	
Tin	Jiangxi Ketai Advanced Material Co., Ltd.	Conformant	
Tin	Jiangxi New Nanshan Technology Ltd.	Conformant	

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Metal	Smelter	RMAP Status	
Tin	Magnu's Minerais Metais e Ligas Ltda.	Conformant	
Tin	Malaysia Smelting Corporation (MSC)	Conformant	
Tin	Melt Metais e Ligas S.A.	Conformant	
Tin	Metallic Resources, Inc.	Conformant	
Tin	Metallo Belgium N.V.	Conformant	
Tin	Metallo Spain S.L.U.	Conformant	
Tin	Mineracao Taboca S.A.	Conformant	
Tin	Minsur	Conformant	
Tin	Mitsubishi Materials Corporation	Conformant	
Tin	Modeltech Sdn Bhd	Active	
Tin	Nghe Tinh Non-Ferrous Metals Joint Stock Company	Not RMAP Conformant or Active	
Tin	O.M. Manufacturing (Thailand) Co., Ltd.	Conformant	
Tin	O.M. Manufacturing Philippines, Inc.	Conformant	
Tin	Operaciones Metalurgical S.A.	Conformant	
Tin	Pongpipat Company Limited	Not RMAP Conformant or Active	
Tin	PT Aries Kencana Sejahtera	Conformant	
Tin	PT Artha Cipta Langgeng	Conformant	
Tin	PT ATD Makmur Mandiri Jaya	Conformant	
Tin	PT Babel Inti Perkasa	Conformant	
Tin	PT Bangka Prima Tin	Conformant	
Tin	PT Bangka Serumpun	Conformant	
Tin	PT Bangka Tin Industry	Conformant	
Tin	PT Belitung Industri Sejahtera	Conformant	
Tin	PT Bukit Timah	Conformant	
Tin	PT DS Jaya Abadi	Conformant	
Tin	PT Eunindo Usaha Mandiri	Conformant	
Tin	PT Inti Stania Prima	Conformant	
Tin	PT Karimun Mining	Conformant	
Tin	PT Kijang Jaya Mandiri	Conformant	
Tin	PT Lautan Harmonis Sejahtera	Conformant	
Tin	PT Menara Cipta Mulia	Conformant	
Tin	PT Mitra Stania Prima	Conformant	
Tin	PT O.M. Indonesia	Not RMAP Conformant or Active	
Tin	PT Panca Mega Persada	Conformant	
Tin	PT Premium Tin Indonesia	Conformant	
Tin	PT Prima Timah Utama	Conformant	
Tin	PT Rajehan Ariq	Conformant	
Tin	PT Refined Bangka Tin	Conformant	
Tin	PT Sariwiguna Binasentosa	Conformant	
Tin	PT Stanindo Inti Perkasa	Conformant	
Tin	PT Sukses Inti Makmur	Conformant	
Tin	PT Sumber Jaya Indah	Conformant	
Tin	PT Timah (Persero) Tbk Kundur	Conformant	
Tin	PT Timah (Persero) Tbk Mentok	Conformant	
Tin	PT Tinindo Inter Nusa	Conformant	

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Metal	Smelter	RMAP Status	
Tin	PT Tommy Utama	Conformant	
Tin	Resind Industria e Comercio Ltda.	Conformant	
Tin	Rui Da Hung	Conformant	
Tin	Soft Metais Ltda.	Conformant	
Tin	Super Ligas	Not RMAP Conformant or Active	
Tin	Thaisarco	Conformant	
Tin	Tuyen Quang Non-Ferrous Metals Joint Stock Company	Not RMAP Conformant or Active	
Tin	White Solder Metalurgia e Mineracao Ltda.	Conformant	
Tin	Yunnan Chengfeng Non-ferrous Metals Co., Ltd.	Conformant	
Tin	Yunnan Tin Company Limited	Conformant	
Tungsten	A.L.M.T. TUNGSTEN Corp.	Conformant	
Tungsten	ACL Metais Eireli	Conformant	
Tungsten	Asia Tungsten Products Vietnam Ltd.	Conformant	
Tungsten	Chenzhou Diamond Tungsten Products Co., Ltd.	Conformant	
Tungsten	Chongyi Zhangyuan Tungsten Co., Ltd.	Conformant	
Tungsten	Fujian Jinxin Tungsten Co., Ltd.	Conformant	
Tungsten	Ganzhou Haichuang Tungsten Co., Ltd.	Active	
Tungsten	Ganzhou Huaxing Tungsten Products Co., Ltd.	Conformant	
Tungsten	Ganzhou Jiangwu Ferrotungsten Co., Ltd.	Conformant	
Tungsten	Ganzhou Seadragon W & Mo Co., Ltd.	Conformant	
Tungsten	Ganzhou Yatai Tungsten Co., Ltd.	Not RMAP Conformant or Active	
Tungsten	Global Tungsten & Powders Corp.	Conformant	
Tungsten	Guangdong Xianglu Tungsten Co., Ltd.	Conformant	
Tungsten	H.C. Starck Smelting GmbH & Co. KG	Conformant	
Tungsten	H.C. Starck Tungsten GmbH	Conformant	
Tungsten	Hunan Chenzhou Mining Co., Ltd.	Conformant	
Tungsten	Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji	Conformant	
Tungsten	Hunan Chunchang Nonferrous Metals Co., Ltd.	Conformant	
Tungsten	Hunan Litian Tungsten Industry Co., Ltd.	Not RMAP Conformant or Active	
Tungsten	Hydrometallurg, JSC	Conformant	
Tungsten	Japan New Metals Co., Ltd.	Conformant	
Tungsten	Jiangwu H.C. Starck Tungsten Products Co., Ltd.	Conformant	
Tungsten	Jiangxi Dayu Longxintai Tungsten Co., Ltd.	Not RMAP Conformant or Active	
Tungsten	Jiangxi Gan Bei Tungsten Co., Ltd.	Conformant	
Tungsten	Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.	Not RMAP Conformant or Active	
Tungsten	Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.	Conformant	
Tungsten	Jiangxi Xinsheng Tungsten Industry Co., Ltd.	Conformant	
Tungsten	Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.	Not RMAP Conformant or Active	
Tungsten	Jiangxi Yaosheng Tungsten Co., Ltd.	Conformant	
Tungsten	Kennametal Fallon	Conformant	
Tungsten	Kennametal Huntsville	Conformant	
Tungsten	Malipo Haiyu Tungsten Co., Ltd.	Conformant	
Tungsten	Moliren Ltd.	Conformant	
Tungsten	Niagara Refining LLC	Conformant	
Tungsten	Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC	Conformant	

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Metal	Smelter	RMAP Status	
Tungsten	Philippine Chuangxin Industrial Co., Inc.	Conformant	
Tungsten	South-East Nonferrous Metal Company Limited of Hengyang City	Conformant	
Tungsten	Tejing (Vietnam) Tungsten Co., Ltd.	Conformant	
Tungsten	Unecha Refractory metals plant	Conformant	
Tungsten	Vietnam Youngsun Tungsten Industry Co., Ltd.	Conformant	
Tungsten	Wolfram Bergbau und Hutten AG	Conformant	
Tungsten	Woltech Korea Co., Ltd.	Conformant	
Tungsten	Xiamen Tungsten (H.C.) Co., Ltd.	Conformant	
Tungsten	Xiamen Tungsten Co., Ltd.	Conformant	
Tungsten	Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.	Conformant	
Tungsten	Xinhai Rendan Shaoguan Tungsten Co., Ltd.	Conformant	
Countries of origin of the conflict minerals these facilities process are believed to include:

Andorra, Australia, Austria, Belgium, Bolivia, Brazil, Canada, Chile, China, Czech Republic, Estonia, France, Germany, India, Indonesia, Italy, Japan, Kazakhstan, Kyrgyzstan, Lithuania, Macedonia, Malaysia, Mexico, Myanmar, Netherlands, New Zealand, Peru, Philippines, Poland, Russia, Saudi Arabia, Singapore, South Africa, South Korea, Spain, Sudan, Sweden, Switzerland, Taiwan, Thailand, Turkey, Uganda, United Arab Emirates, United States of America, Uzbekistan, Viet Nam, Zambia, Zimbabwe	

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