As filed with the Securities and Exchange Commission on May 21, 2019
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM SD
(SPECIALIZED DISCLOSURE REPORT)
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EMCORE CORPORATION
Exact Name of Registrant as Specified in its Charter
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New Jersey | 000-22175 | 22-2746503 |
State of Incorporation | Commission File Number | IRS Employer Identification Number |
2015 W. Chestnut Street, Alhambra, CA 91803
Address of principal executive offices, including zip code
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EMCORE Corporation
2015 W. Chestnut Street
Alhambra, CA 91803
(626) 293-3400
(Name and telephone number, including area code, of the person to contact in connection with this report)
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The rule pursuant to which this form is being filed, and the period to which the information in this form applies:
þ Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2018.
INFORMATION TO BE INCLUDED IN THIS REPORT
SECTION 1 - CONFLICT MINERALS DISCLOSURE
Item 1.01 Conflict Minerals Disclosure and Report
In accordance with the disclosure requirements promulgated by the U.S. Securities and Exchange Commission, EMCORE Corporation has prepared a Conflict Minerals Report for the calendar year ended December 31, 2018. The Conflict Minerals Report is publicly available at the following Internet website: http://www.emcore.com/company/supply-chain-management/.
Item 1.02 Exhibit
The Conflict Minerals Report required by Item 1.01 is provided as an Exhibit to this Form SD.
SECTION 2 - EXHIBIT
Exhibit 1.01 - Conflict Minerals Report, as required by Items 1.01 and 1.02 of this Form SD.
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
EMCORE CORPORATION | |
Dated: May 21, 2019 | By: /s/ Mark A. Gordon Name: Mark A. Gordon Title: Interim Principal Financial and Accounting Officer |
EMCORE Corporation
Form SD-2018
Exhibit 1.01
Conflict Minerals Report
Conflict Minerals Disclosure
I. | Introduction |
EMCORE Corporation is providing this Conflict Minerals Report (“CMR”) for calendar year 2018, as an Exhibit to Form SD, pursuant to Rule 13p-1 and Form SD under the Securities Exchange Act of 1934 (the “Rule”), as amended. The Rule requires disclosure of certain information when a company manufactures or contracts to manufacture a product and any “conflict mineral” specified in the Rule is necessary for the functionality or production of such product. Conflict Minerals are defined by paragraph (d)(3) of Form SD as columbite-tantalite (coltan), cassiterite, gold, wolframite, or their derivatives, which are limited to tantalum, tin, and tungsten, or any other mineral or its derivatives determined by the U.S. Secretary of State to be financing conflict in the Covered Countries (collectively, “Conflict Minerals” or “3TG”). The “Covered Countries” for purposes of the Rule and this CMR are the Democratic Republic of the Congo (“DRC”) and any country that shares an internationally recognized border with the DRC.
As used in this document, “EMCORE,” the “Company” and the words "we," "our," and "us" refer to EMCORE Corporation and its subsidiaries.
II. | Overview |
Company Profile
EMCORE is a provider of advanced Mixed-Signal Optics products that enable communications systems and service providers to meet growing demand for increased bandwidth and connectivity. The Mixed-Signal Optics technology at the heart of our broadband communications products is shared with our fiber optic gyros and inertial sensors to provide the aerospace and defense markets with state-of-the-art navigations systems technology. EMCORE has fully vertically-integrated manufacturing capability through our Indium Phosphide (“InP”) compound semiconductor wafer fabrication facility at our headquarters in Alhambra, CA. The facility supports EMCORE’s vertically-integrated manufacturing for our laser, transmitter and receiver products for cable TV and other broadband applications, fiber optic gyro sensors for navigation systems, and chip devices for telecom and datacom applications.
As described in this CMR, certain of EMCORE’s operations manufacture, or contract to manufacture, products that contain 3TGs that are necessary to the functionality or production of those products. However, we do not directly source 3TGs from mines, smelters or refiners. We believe that, in most cases, we are several steps removed in the supply chain from these market participants, limiting our influence over their sourcing. We must therefore rely on our direct suppliers to provide information regarding the origin of necessary 3TGs that are included in our products, including sources of 3TGs that are supplied to them by sub-tier suppliers.
Conflict Minerals Policy
EMCORE is committed to responsible sourcing from its suppliers and each supplier is required to warrant that it has policies and procedures in place to determine whether parts and products supplied to EMCORE are DRC conflict free. Each of our suppliers must further warrant that it has established policies, due diligence frameworks, and management systems consistent with the Organization for Economic Co-operation and Development (OECD) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas and the related Supplements for gold, tin, tungsten, and tantalum (the “OECD Guidance”). Upon EMCORE’s request, each of our suppliers shall permit EMCORE to assess its practices and procedures and shall provide EMCORE with any information reasonably requested. In addition, each supplier agrees to provide information to EMCORE necessary for EMCORE to comply with its conflict minerals reporting requirements, including without limitation information under the Responsible Minerals Initiative’s (“RMI”) Conflict Minerals Reporting Template (“CMRT”). Our Conflict Minerals Policy is available on our corporate website at http://emcore.com/our-company/quality-management/supply-chain-management/
III. Reasonable Country of Origin Inquiry Information
EMCORE has conducted a good faith reasonable country of origin inquiry (“RCOI”) to determine whether the necessary 3TGs included in and necessary to the functionality of our products described under “Product Description” in Section V below originated in the Covered Countries or came from recycled or scrap sources. We engaged a leading 3TGs data management consultant (the “Consultant”) to assist us in conducting this RCOI. We utilized a SaaS platform provided by the Consultant to complete and track supplier communications, as well as allow suppliers to upload completed CMRTs for assessment and management. The use of the CMRT allowed for some elimination of irrelevant suppliers. We also periodically reviewed the supplier list to ensure that irrelevant or “out of scope” suppliers were removed from the survey process. Our program continues to include automated data validation on all submitted CMRTs. The goal of data validation is to increase the accuracy of submissions and identify any contradictory answers in the CMRT.
All submitted forms are accepted and classified as valid or invalid so that data is still retained. Suppliers are contacted in regard to invalid forms and are encouraged to submit a valid form. Suppliers are also provided with guidance on how to correct these validation errors.
The Consultant compared the list of smelters and refiners provided in our suppliers’ responses to the lists of smelters maintained by the RMI and, if a supplier indicated that a facility was certified as conflict-free, confirmed that the facility was listed on RMI’s list of validated conflict free smelters and refiners of 3TGs.
To the extent applicable, EMCORE’s RCOI utilized the same processes and procedures as for our due diligence described in Section IV below. This RCOI process included conducting an inquiry of our direct suppliers using a mechanism common in the technology industry: the CMRT version 5.11. Based on the results of our RCOI, we are required to exercise due diligence on the source and chain of custody of the necessary 3TGs contained in our products. Our due diligence efforts are discussed further in Section IV of this CMR.
IV. Due Diligence Process and Measures Performed
Based on the results of our RCOI, the Consultant engaged by EMCORE also assisted us in conducting due diligence on the source and chain of custody of 3TGs in our products. The Company’s due diligence measures are designed to attempt to ascertain the facilities used to process any 3TGs in our products, the country of origin of any 3TGs in our products and the mine(s) or location of origin with the greatest possible specificity.
The design of our due diligence system, its conformity with an internationally-recognized due diligence framework, and a description of the measures we have undertaken to exercise our due diligence, are detailed below.
EMCORE’s due diligence measures have been designed to conform in all material respects to the internationally-recognized due diligence framework of the Organization for Economic Co-operation and Development (“OECD”) Due Diligence Guidance for Responsible Supply Chain of Minerals from Conflict- Affected and High-Risk Areas (Third Edition), and its related supplements. This OECD framework (“Framework”) is the only due diligence framework recognized by the Securities and Exchange Commission (“SEC”) to date. The Framework stresses five main areas of Due Diligence design, detailed below in IV(a) - (e).
a. Establish Strong Company Management Systems
First, EMCORE has assigned a Senior Director of Operations to (i) manage the 3TGs compliance program, (ii) liaise with the Consultant, (iii) conduct reviews of collected data, and (iv) make decisions regarding the due diligence program, including risk mitigation. Second, EMCORE has requested that suppliers of goods incorporated into our products provide us with CMRTs for their products (see below, §§ IV(i)(b & c)). Third, EMCORE’s position statement with respect to 3TGs, which is located on our website (at http://www.emcore.com/wp-content/uploads/EMCORE-Conflict-Minerals-Policy-Statement.pdf), encourages our suppliers to source responsibly, through their sub-suppliers and on down through their own supply chains. In this position statement, we encourage our suppliers and their sub-suppliers to use smelters or refiners (“smelters” or “SORs”) that are conformant to assessment protocols for conflict-free sourcing wherever possible. Using its Responsible Minerals Assurance Process (“RMAP”) audit program, the RMI, an organization founded by members of the Electronic Industry Citizen Coalition (“EICC”) and the Global e-Sustainability Initiative (“GeSI”), is taking action to address responsible sourcing, using independent third-party audits to identify smelters and refiners that have systems in place to assure sourcing of only conflict-free materials.)
Grievance Mechanisms
We established multiple longstanding grievance mechanisms whereby employees and suppliers can report violations of Emcore’s policies, including with respect to conflict minerals. Suppliers and others outside of Emcore may contact our conflict minerals team to communicate with us, including to report grievances. In addition, our employees may anonymously report suspected violations using our anonymous ethics hotline.
Maintain Records
The Company has adopted a policy to retain relevant conflict minerals related documentation for a period of 5 years, including supplier responses to CMRTs and implemented this policy through the Consultant. The Consultant stores all of the information and findings from this process in a database that can be audited by internal or external parties.
b. Identify and Assess Risk in the Supply Chain
To obtain chain of custody declarations from our suppliers, we utilize the CMRT described above. This CMRT is distributed to all of our suppliers, with regular and persistent follow-ups (“Escalations”), to ensure maximum compliance and feedback. The CMRT includes questions on (i) the use and origin of 3TGs in our components, (ii) supplier engagement with their sub-tier suppliers, and (iii) smelters and points of origin of the constituent 3TGs. The Consultant provides suppliers with guidance and requirements to prepare them ahead of time for full compliance in completing the CMRT, our principal information-gathering step on the origin, source and chain of custody of 3TGs contained in components and materials supplied to us. This kit includes materials to educate suppliers about the SEC rule on 3TGs, responsible supply chain management, and a letter that suppliers can use if they need to request information from their sub-tier suppliers.
The CMRT responses are only a first step in our engagement with suppliers. The responses from suppliers are then individually validated and examined both for completeness and any internal inconsistencies between the data they provide. Any of these issues are resolved with our suppliers by phone and email. This follow-up to incomplete or inaccurate information is described further in §IV(i)(c), below.
To the extent that a completed response identified a smelter or refiner, the Company reviewed this information against the list of smelters provided by the RMI that are either conformant to audit protocols or active in the audit itself. The Company also attempted to ascertain whether the smelter or refiner information provided was specific to the products supplied to the Company to determine whether the identified smelters are in the Company’s supply chain.
Each facility that meets the RMI definition of a smelter or refiner of a 3TGs mineral is assessed according to red flag indicators defined in the OECD Guidance. The Consultant uses numerous factors to determine the level of risk that each smelter poses to the supply chain by identifying red flags. These factors include:
•Geographic proximity to the DRC and covered countries;
•Known mineral source country of origin;
•Responsible Minerals Assurance Process (RMAP) audit status;
•Credible evidence of unethical or conflict sourcing;
•Peer Assessments conducted by credible third-party sources.
As part of our risk management plan under the OECD Guidance, when facilities with red flags were reported on a CMRT by one of the suppliers surveyed, risk mitigation activities are initiated. Through the Consultant’s software, submissions that include any red flag facilities immediately produce a receipt instructing the supplier to take their own risk mitigation actions, including submission of a product specific CMRT to better identify the connection to products that they supply to Emcore, and escalating up to removal of these red flag smelters from their supply chain.
c. Design and implement a Strategy to Respond to Identified Risks
As outlined above, we have developed processes for Escalations and supplier engagement. This allows us to direct needed questions and follow-up to suppliers based on their varying responses to the CMRT. Escalations are used when, among other issues, suppliers are late in responding, have incomplete information, provide feedback inconsistent with prior responses, or when other issues are identified. An Escalation may include individual written requests for information, conference calls and meetings. Each Escalation is dated and tagged in our data management system, for a variety of further actions. These actions might include direct supplier contact through our business channels, changes of scope of the diligence request, reformatting supplier responses into the correct format, time extensions for delayed responses, follow-up with alternative contacts in the supplying organization, or the dropping of outdated component parts from the EMCORE products list. The readiness of suppliers to provide data is assessed and scaled in our diligence logs, and these scores may factor into decisions made by EMCORE when awarding future supply contracts.
d. Carry Out Independent Third Party Audit of Supply Chain Due Diligence at Identified Points in the Supply Chain
Because the Company does not source 3TG directly from smelters or refiners, we rely on third parties, including the RMI, to coordinate and conduct third party audits of these facilities. The Company utilizes the published results of these third-party audits to determine whether a specified smelter or refiner processes 3TG that directly or indirectly finance or benefit armed groups.
e. Report on Supply Chain Due Diligence
Our Form SD and this CMR are both available under “Supply Chain Management” in the Company section of our website at http://www.emcore.com/company/supply-chain-management/. EMCORE will file a Form SD (and CMRs, as necessary) with the SEC on an annual basis, pursuant to Rule 13p-1 of the Securities Exchange Act of 1934, as amended.
V. Product Description; Processing Facilities
Product Description - Currently, EMCORE’s business is of a broad portfolio of compound semiconductor-based products for the fiber optics markets.
• | Cable Television (CATV) Products |
These include forward and return-path analog lasers, receivers, photodetectors and subassembly components, analog and digital fiber-optic transmitters, and quadrature amplitude modulation (QAM) transmitters, optical switches and CATV fiber amplifiers.
• | Laser, Receiver and Photodetector Component Products |
These include lasers, receivers photodetectors, including CWDM (Coarse Wavelength Division Multiplexing) and DWDM (Dense Wavelength Division Multiplexing) products, 1310 nm and 1550 nm Distibuted Feedback lasers and optical receivers optimized for CATV, DOCSIS (Data Over Cable Service Interface Specification) 3.1 and wireless applications.
•Radio Frequency over Glass (RFoG) Fiber-To-The-Premises (FTTP) Products
These include an RFoG Optical Networking Unit (ONU) transceivers, analog fiber optic transmitters for video overlay, high-power Erbium-Doped Fiber Amplifiers (“EDFA”), analog and digital lasers, photodetectors and subassembly components.
•Satellite/Microwave Communications (Satcom) Products
These include transmitters, receivers, subsystems, and systems that transport wideband radio frequency and microwave signals between satellite hub equipment and antenna dishes.
•Wireless Communications Products
These include DFB lasers and optical receivers specifically designed for wireless networks, 3 GHz and 6.5 GHz fiber optic links for cellular backhaul, 4G LTE and Distributed Antenna Systems.
•High-Power Gain Chips Products
These include gain chips for tunable lasers and transceivers utilized in coherent DWDM optical transmission systems.
•GPON Fiber-To-The-Premises (FTTP) and Data Center Chip Products
These include 2.5G and 10G PON DFB and 10G Fabry-Perot laser chips, 2.5G and 10G APD top and bottom illuminated chips and 10G PIN photodiode chips.
•Fiber Optic Gyroscope Products
These include products ranging from tactical to navigational grade fiber optic gyroscopes.
•Inertial Measurement Units and Navigation Systems Products
These include inertial measurement units, inertial navigation systems and micro inertial navigation systems.
Processing Facilities - Based on our RCOI or due diligence process, as applicable, and the information received from our suppliers, the facilities listed on Annex A were identified by the Company’s suppliers as the smelters and refiners that processed the 3TG present in and necessary to the functionality of products manufactured by the Company in the calendar year 2018.
Due to our position in the supply chain, which we discuss above, we rely on our suppliers for accurate smelter and refiner information. Our due diligence measures cannot provide adequate certainty regarding the source and chain of custody of the necessary 3TGs contained in our in-scope products. The information from our suppliers is still evolving and may contain company level declarations. As such, this smelter list is presented in good faith as the best information we have to date. This list may contain smelters that are not in our supply chain and there may be other smelters not yet identified in our due diligence process. We will continue to update the list as our information and the relevant third-party data from RMI, LBMA, and RJC improves.
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 the necessary 3TGs in our products 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 may 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 most recent revision of the CMRT. |
• | Engage with suppliers that did not provide a response in 2018 or provided incomplete responses to |
help with our data collections for 2019.
• | 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 RMI. |
Annex A
Smelter and Refiner Information
Metal | Smelter Name | Smelter ID | RMI Audit Status* |
Gold | 8853 S.p.A. | CID002763 | Conformant |
Gold | Abington Reldan Metals, LLC | CID002708 | Non Conformant |
Gold | Advanced Chemical Company | CID000015 | Conformant |
Gold | African Gold Refinery | CID003185 | Not Enrolled |
Gold | Aida Chemical Industries Co., Ltd. | CID000019 | Conformant |
Gold | Al Etihad Gold Refinery DMCC | CID002560 | Conformant |
Gold | Allgemeine Gold-und Silberscheideanstalt A.G. | CID000035 | Conformant |
Gold | Almalyk Mining and Metallurgical Complex (AMMC) | CID000041 | Conformant |
Gold | AngloGold Ashanti Córrego do Sítio Mineração | CID000058 | Conformant |
Gold | Argor-Heraeus S.A. | CID000077 | Conformant |
Gold | Asahi Pretec Corp. | CID000082 | Conformant |
Gold | Asahi Canada Ltd. | CID000924 | Conformant |
Gold | Asahi Refining USA Inc. | CID000920 | Conformant |
Gold | Asaka Riken Co., Ltd. | CID000090 | Conformant |
Gold | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | CID000103 | Not Enrolled |
Gold | AU Traders and Refiners | CID002850 | Conformant |
Gold | Aurubis AG | CID000113 | Conformant |
Gold | Bangalore Refinery | CID002863 | Active |
Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | CID000128 | Conformant |
Gold | Boliden AB | CID000157 | Conformant |
Gold | C. Hafner GmbH + Co. KG | CID000176 | Conformant |
Gold | Caridad | CID000180 | Not Enrolled |
Gold | CCR Refinery - Glencore Canada Corporation | CID000185 | Conformant |
Gold | Cendres + Métaux S.A. | CID000189 | Conformant |
Gold | Chimet S.p.A. | CID000233 | Conformant |
Gold | Chugai Mining | CID000264 | Active |
Gold | Daejin Indus Co., Ltd. | CID000328 | Conformant |
Gold | Daye Non-Ferrous Metals Mining Ltd. | CID000343 | Not Enrolled |
Gold | Degussa Sonne/Mond Goldhandel GmbH | CID002867 | Not Enrolled |
Gold | Dijila Gold Refinery FZC | CID003348 | Not Enrolled |
Gold | DODUCO GmbH | CID000362 | Conformant |
Gold | Dowa | CID000401 | Conformant |
Gold | DS PRETECH Co., Ltd. | CID000425 | Conformant |
Gold | DSC (Do Sung Corporation) | CID000359 | Conformant |
Gold | Eco-System Recycling Co., Ltd. | CID000425 | Conformant |
Gold | Emirates Gold DMCC | CID002561 | Conformant |
Gold | Fidelity Printers and Refiners Ltd. | CID002515 | Not Enrolled |
Gold | Fujairah Gold FZE | CID002584 | Not Enrolled |
Gold | GCC Gurjat Gold Centre Pvt. Ltd. | CID002852 | Not Enrolled |
Gold | Geib Refining Corporation | CID002459 | Conformant |
Gold | Gold Refinery of Zijin Mining Group Co., Ltd. | CID002243 | Conformant |
Gold | Great Wall Precious Metals Co., Ltd. of CBPM | CID001909 | Not Enrolled |
Gold | Guangdong Jinding Gold Limited | CID002312 | Not Enrolled |
Gold | Guoda Safina High-Tech Environmental Refinery Co., Ltd. | CID000651 | Not Enrolled |
Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. | CID000671 | Not Enrolled |
Gold | Heesung Group | CID000689 | Conformant |
Gold | Heimerle + Meule GmbH | CID000694 | Conformant |
Gold | Heraeus Metals Hong Kong Ltd. | CID000707 | Conformant |
Gold | Heraeus Precious Metals GmbH & Co. KG | CID000711 | Conformant |
Gold | Hunan Chenzhou Mining Co., Ltd. | CID000767 | Not Enrolled |
Gold | Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd. | CID000773 | Not Enrolled |
Gold | HwaSeong CJ Co., Ltd. | CID000778 | Not Enrolled |
Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | CID000801 | Conformant |
Gold | International Precious Metal Refiners | CID002562 | Not Enrolled |
Gold | Ishifuku Metal Industry Co., Ltd. | CID000807 | Conformant |
Gold | Istanbul Gold Refinery | CID000814 | Conformant |
Gold | Italpreziosi | CID002765 | Conformant |
Gold | Japan Mint | CID000823 | Conformant |
Gold | Jiangxi Copper Co., Ltd. | CID000855 | Conformant |
Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | CID000927 | Not Enrolled |
Gold | JSC Uralelectromed | CID000929 | Conformant |
Gold | JX Nippon Mining & Metals Co., Ltd. | CID000937 | Conformant |
Gold | Kaloti Precious Metals | CID002563 | Not Enrolled |
Gold | Kazakhmys Smelting LLC | CID000956 | Not Enrolled |
Gold | Kazzinc | CID000957 | Conformant |
Gold | Kennecott Utah Copper LLC | CID000969 | Conformant |
Gold | KGHM Polska MiedŸ Spó³ka Akcyjna | CID002511 | Active |
Gold | Kojima Chemicals Co., Ltd. | CID000981 | Conformant |
Gold | Korea Zinc Co., Ltd. | CID002605 | Conformant |
Gold | Kyrgyzaltyn JSC | CID001029 | Conformant |
Gold | Kyshtym Copper-Electrolytic Plant ZAO | CID002865 | Not Enrolled |
Gold | L'azurde Company For Jewelry | CID001032 | Not Enrolled |
Gold | Lingbao Gold Co., Ltd. | CID001056 | Not Enrolled |
Gold | Lingbao Jinyuan Tonghui Refinery Co., Ltd. | CID001058 | Not Enrolled |
Gold | L'Orfebre S.A. | CID002762 | Conformant |
Gold | LS-NIKKO Copper Inc. | CID001078 | Conformant |
Gold | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | CID001093 | Not Enrolled |
Gold | Marsam Metals | CID002606 | Conformant |
Gold | Materion | CID001113 | Conformant |
Gold | Matsuda Sangyo Co., Ltd. | CID001119 | Conformant |
Gold | Metalor Technologies (Hong Kong) Ltd | CID001149 | Conformant |
Gold | Metalor Technologies (Singapore) Pte., Ltd. | CID001152 | Conformant |
Gold | Metalor Technologies (Suzhou) Ltd. | CID001147 | Conformant |
Gold | Metalor Technologies S.A. | CID001153 | Conformant |
Gold | Metalor USA Refining Corporation | CID001157 | Conformant |
Gold | Metalúrgica Met-Mex Peñoles S.A. De C.V. | CID001161 | Conformant |
Gold | Mitsubishi Materials Corporation | CID001188 | Conformant |
Gold | Mitsui Mining and Smelting Co., Ltd. | CID001193 | Conformant |
Gold | MMTC-PAMP India Pvt., Ltd. | CID002509 | Conformant |
Gold | Modeltech Sdn Bhd | CID002857 | Non Conformant |
Gold | Morris and Watson | CID002282 | Not Enrolled |
Gold | Morris and Watson Gold Coast | CID002866 | Not Enrolled |
Gold | Moscow Special Alloys Processing Plant | CID001204 | Conformant |
Gold | Nadir Metal Rafineri San. Ve Tic. A.ª. | CID001220 | Conformant |
Gold | Navoi Mining and Metallurgical Combinat | CID001236 | Not Enrolled |
Gold | NH Recytech Company | CID003189 | Active |
Gold | Nihon Material Co., Ltd. | CID001259 | Conformant |
Gold | Ögussa Österreichische Gold-und Silber-Scheideanstalt GmbH | CID002779 | Conformant |
Gold | Ohura Precious Metal Industry Co., Ltd. | CID001325 | Conformant |
Gold | OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) | CID001326 | Conformant |
Gold | OJSC Novosibirsk Refinery | CID000493 | Conformant |
Gold | PAMP S.A. | CID001352 | Conformant |
Gold | Pease & Curren | CID002872 | Not Enrolled |
Gold | Penglai Penggang Gold Industry Co., Ltd. | CID001362 | Not Enrolled |
Gold | Planta Recuperadora de Metales SpA | CID002919 | Conformant |
Gold | Prioksky Plant of Non-Ferrous Metals | CID001386 | Conformant |
Gold | PT Aneka Tambang (Persero) Tbk | CID001397 | Conformant |
Gold | PX Précinox S.A. | CID001498 | Conformant |
Gold | QG Refining, LLC | CID003324 | Not Enrolled |
Gold | Rand Refinery (Pty) Ltd. | CID001512 | Conformant |
Gold | Refinery of Seemine Gold Co., Ltd. | CID000522 | Not Enrolled |
Gold | Remondis Argentia B.V. | CID002582 | Conformant |
Gold | Republic Metals Corporation | CID002510 | Conformant |
Gold | Royal Canadian Mint | CID001534 | Conformant |
Gold | SAAMP | CID002761 | Conformant |
Gold | Sabin Metal Corp. | CID001546 | Not Enrolled |
Gold | Safimet S.p.A | CID002973 | Conformant |
Gold | SAFINA A.S. | CID002290 | Not Enrolled |
Gold | Sai Refinery | CID002853 | Not Enrolled |
Gold | Samduck Precious Metals | CID001555 | Non Conformant |
Gold | SAMWON METALS Corp. | CID001562 | Not Enrolled |
Gold | SAXONIA Edelmetalle GmbH | CID002777 | Conformant |
Gold | SEMPSA Joyería Platería S.A. | CID001585 | Conformant |
Gold | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | CID001619 | Not Enrolled |
Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | CID001622 | Conformant |
Gold | Shangdong Humon Smelting Co., Ltd. | CID002525 | Not Enrolled |
Gold | Sichuan Tianze Precious Metals Co., Ltd. | CID001736 | Conformant |
Gold | Singway Technology Co., Ltd. | CID002516 | Conformant |
Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | CID001756 | Conformant |
Gold | Solar Applied Materials Technology Corp. | CID001761 | Conformant |
Gold | State Research Institute Center for Physical Sciences and Technology | CID003153 | Not Enrolled |
Gold | Sudan Gold Refinery | CID002567 | Not Enrolled |
Gold | Sumitomo Metal Mining Co., Ltd. | CID001798 | Conformant |
Gold | SungEel HiTech | CID002918 | Conformant |
Gold | T.C.A S.p.A | CID002580 | Conformant |
Gold | Tanaka Kikinzoku Kogyo K.K. | CID001875 | Conformant |
Gold | The Refinery of Shandong Gold Mining Co., Ltd. | CID001916 | Conformant |
Gold | Tokuriki Honten Co., Ltd. | CID001938 | Conformant |
Gold | Tongling Nonferrous Metals Group Co., Ltd. | CID001947 | Not Enrolled |
Gold | Tony Goetz NV | CID002587 | Non Conformant |
Gold | TOO Tau-Ken-Altyn | CID002615 | Not Enrolled |
Gold | Torecom | CID001955 | Conformant |
Gold | Umicore Brasil Ltda. | CID001977 | Conformant |
Gold | Umicore Precious Metals Thailand | CID002314 | Conformant |
Gold | Umicore S.A. Business Unit Precious Metals Refining | CID001980 | Conformant |
Gold | United Precious Metal Refining, Inc. | CID001993 | Conformant |
Gold | Universal Precious Metals Refining Zambia | CID002854 | Not Enrolled |
Gold | Valcambi S.A. | CID002003 | Conformant |
Gold | Western Australian Mint trading as The Perth Mint | CID002030 | Conformant |
Gold | WIELAND Edelmetalle GmbH | CID002778 | Conformant |
Gold | YAMAMOTO PRECIOUS METAL CO., LTD. | CID002100 | Conformant |
Gold | Yokohama Metal Co., Ltd. | CID002129 | Conformant |
Gold | Yunnan Copper Industry Co., Ltd. | CID000197 | Not Enrolled |
Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | CID002224 | Conformant |
Tantalum | Asaka Riken Co., Ltd. | CID000092 | Conformant |
Tantalum | Changsha South Tantalum Niobium Co., Ltd. | CID000211 | Conformant |
Tantalum | D Block Metals, LLC | CID002504 | Conformant |
Tantalum | Exotech Inc. | CID000456 | Conformant |
Tantalum | F&X Electro-Materials Ltd. | CID000460 | Conformant |
Tantalum | FIR Metals & Resource Ltd. | CID002505 | Conformant |
Tantalum | Global Advanced Metals Aizu | CID002558 | Conformant |
Tantalum | Global Advanced Metals Boyertown | CID002557 | Conformant |
Tantalum | Guangdong Rising Rare Metals-EO Materials Ltd. | CID000291 | Conformant |
Tantalum | Guangdong Zhiyuan New Material Co., Ltd. | CID000616 | Conformant |
Tantalum | H.C. Starck Co., Ltd. | CID002544 | Conformant |
Tantalum | H.C. Starck Hermsdorf GmbH | CID002547 | Conformant |
Tantalum | H.C. Starck Inc. | CID002548 | Conformant |
Tantalum | H.C. Starck Ltd. | CID002549 | Conformant |
Tantalum | H.C. Starck Smelting GmbH & Co. KG | CID002550 | Conformant |
Tantalum | H.C. Starck Tantalum and Niobium GmbH | CID002545 | Conformant |
Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | CID002492 | Conformant |
Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | CID002512 | Conformant |
Tantalum | Jiangxi Tuohong New Raw Material | CID002842 | Conformant |
Tantalum | JiuJiang Janny New Material Co., Ltd. | CID003191 | Conformant |
Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | CID000914 | Conformant |
Tantalum | Jiujiang Tanbre Co., Ltd. | CID000917 | Conformant |
Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | CID002506 | Conformant |
Tantalum | KEMET Blue Metals | CID002539 | Conformant |
Tantalum | KEMET Blue Powder | CID002568 | Conformant |
Tantalum | LSM Brasil S.A. | CID001076 | Conformant |
Tantalum | Metallurgical Products India Pvt., Ltd. | CID001163 | Conformant |
Tantalum | Mineração Taboca S.A. | CID001175 | Conformant |
Tantalum | Mitsui Mining and Smelting Co., Ltd. | CID001192 | Conformant |
Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | CID001277 | Conformant |
Tantalum | NPM Silmet AS | CID001200 | Conformant |
Tantalum | Power Resources Ltd. | CID002847 | Conformant |
Tantalum | QuantumClean | CID001508 | Conformant |
Tantalum | Resind Indústria e Comércio Ltda. | CID002707 | Conformant |
Tantalum | RFH Tantalum Smeltry Co., Ltd. | CID001522 | Conformant |
Tantalum | Solikamsk Magnesium Works OAO | CID001769 | Conformant |
Tantalum | Taki Chemical Co., Ltd. | CID001869 | Conformant |
Tantalum | Telex Metals | CID001891 | Conformant |
Tantalum | Ulba Metallurgical Plant JSC | CID001969 | Conformant |
Tantalum | XinXing HaoRong Electronic Material Co., Ltd. | CID002508 | Conformant |
Tin | Alpha | CID000292 | Conformant |
Tin | An Vinh Joint Stock Mineral Processing Company | CID002703 | Not Enrolled |
Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | CID000228 | Conformant |
Tin | Chifeng Dajingzi Tin Industry Co., Ltd. | CID003190 | Conformant |
Tin | China Tin Group Co., Ltd. | CID001070 | Conformant |
Tin | CV Ayi Jaya | CID002570 | Conformant |
Tin | CV Dua Sekawan | CID002592 | Conformant |
Tin | CV Gita Pesona | CID000306 | Conformant |
Tin | CV Tiga Sekawan | CID002593 | Conformant |
Tin | CV United Smelting | CID000315 | Conformant |
Tin | CV Venus Inti Perkasa | CID002455 | Conformant |
Tin | Dowa | CID000402 | Conformant |
Tin | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | CID002572 | Non Conformant |
Tin | EM Vinto | CID000438 | Conformant |
Tin | Estanho de Rondônia S.A. | CID000448 | Not Enrolled |
Tin | Fenix Metals | CID000468 | Conformant |
Tin | Gejiu Fengming Metallurgy Chemical Plant | CID002848 | Conformant |
Tin | Gejiu Kai Meng Industry and Trade LLC | CID000942 | Conformant |
Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. | CID000538 | Conformant |
Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | CID001908 | Conformant |
Tin | Gejiu Zili Mining And Metallurgy Co., Ltd. | CID000555 | Conformant |
Tin | Guandong Hanhe Non-ferrous Metal Smelting Plant | CID003116 | Conformant |
Tin | Guanyang Guida Nonferrous Metal Smelting Plant | CID002849 | Conformant |
Tin | HuiChang Hill Tin Industry Co., Ltd. | CID002844 | Conformant |
Tin | Huichang Jinshunda Tin Co., Ltd. | CID000760 | Conformant |
Tin | Jiangxi New Nanshan Technology Ltd. | CID001231 | Conformant |
Tin | Magnu's Minerais Metais e Ligas Ltda. | CID002468 | Conformant |
Tin | Malaysia Smelting Corporation (MSC) | CID001105 | Conformant |
Tin | Melt Metais e Ligas S.A. | CID002500 | Conformant |
Tin | Metallic Resources, Inc. | CID001142 | Conformant |
Tin | Metallo Belgium N.V. | CID002773 | Conformant |
Tin | Metallo Spain S.L.U. | CID002774 | Conformant |
Tin | Mineração Taboca S.A. | CID001173 | Conformant |
Tin | Minsur | CID001182 | Conformant |
Tin | Mitsubishi Materials Corporation | CID001191 | Conformant |
Tin | Modeltech Sdn Bhd | CID002858 | Conformant |
Tin | Nghe Tinh Non-Ferrous Metals Joint Stock Company | CID002573 | Not Enrolled |
Tin | O.M. Manufacturing (Thailand) Co., Ltd. | CID001314 | Conformant |
Tin | O.M. Manufacturing Philippines, Inc. | CID002517 | Conformant |
Tin | Operaciones Metalurgical S.A. | CID001337 | Conformant |
Tin | Pongpipat Company Limited | CID003208 | Not Enrolled |
Tin | PT Aries Kencana Sejahtera | CID000309 | Conformant |
Tin | PT Artha Cipta Langgeng | CID001399 | Conformant |
Tin | PT ATD Makmur Mandiri Jaya | CID002503 | Conformant |
Tin | PT Babel Inti Perkasa | CID001402 | Conformant |
Tin | PT Babel Surya Alam Lestari | CID001406 | Conformant |
Tin | PT Bangka Prima Tin | CID002776 | Conformant |
Tin | PT Bangka Serumpun | CID003205 | Conformant |
Tin | PT Bangka Tin Industry | CID001419 | Conformant |
Tin | PT Belitung Industri Sejahtera | CID001421 | Conformant |
Tin | PT Bukit Timah | CID001428 | Conformant |
Tin | PT DS Jaya Abadi | CID001434 | Conformant |
Tin | PT Inti Stania Prima | CID002530 | Conformant |
Tin | PT Karimun Mining | CID001448 | Conformant |
Tin | PT Kijang Jaya Mandiri | CID002829 | Conformant |
Tin | PT Menara Cipta Mulia | CID002835 | Conformant |
Tin | PT Mitra Stania Prima | CID001453 | Conformant |
Tin | PT Panca Mega Persada | CID001457 | Conformant |
Tin | PT Premium Tin Indonesia | CID000313 | Conformant |
Tin | PT Prima Timah Utama | CID001458 | Conformant |
Tin | PT REFINED BANGKA TIN | CID001460 | Conformant |
Tin | PT Sariwiguna Binasentosa | CID001463 | Conformant |
Tin | PT Stanindo Inti Perkasa | CID001468 | Conformant |
Tin | PT Sukses Inti Makmur | CID002816 | Conformant |
Tin | PT Sumber Jaya Indah | CID001471 | Conformant |
Tin | PT Timah (Persero) Tbk Kundur | CID001477 | Conformant |
Tin | PT Timah (Persero) Tbk Mentok | CID001482 | Conformant |
Tin | PT Tinindo Inter Nusa | CID001490 | Conformant |
Tin | PT Tirus Putra Mandiri | CID002478 | Conformant |
Tin | PT Tommy Utama | CID001493 | Conformant |
Tin | Resind Indústria e Comércio Ltda. | CID002706 | Conformant |
Tin | Rui Da Hung | CID001539 | Conformant |
Tin | Soft Metais Ltda. | CID001758 | Conformant |
Tin | Super Ligas | CID002756 | Not Enrolled |
Tin | Thai Nguyen Mining and Metallurgy Co., Ltd. | CID002834 | Conformant |
Tin | Thaisarco | CID001898 | Conformant |
Tin | Tin Technology & Refining | CID003325 | Conformant |
Tin | Tuyen Quang Non-Ferrous Metals Joint Stock Company | CID002574 | Not Enrolled |
Tin | White Solder Metalurgia e Mineração Ltda. | CID002036 | Conformant |
Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | CID002158 | Conformant |
Tin | Yunnan Tin Company Limited | CID002180 | Conformant |
Tungsten | A.L.M.T. TUNGSTEN Corp. | CID000004 | Conformant |
Tungsten | ACL Metais Eireli | CID002833 | Conformant |
Tungsten | Asia Tungsten Products Vietnam Ltd. | CID002502 | Conformant |
Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd. | CID002513 | Conformant |
Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | CID000258 | Conformant |
Tungsten | Fujian Jinxin Tungsten Co., Ltd. | CID000499 | Conformant |
Tungsten | Ganzhou Haichuang W Co., Ltd | CID002645 | Conformant |
Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. | CID000875 | Conformant |
Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | CID002315 | Conformant |
Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | CID002494 | Conformant |
Tungsten | Ganzhou Yatai Tungsten Co., Ltd. | CID002536 | Non Conformant |
Tungsten | Global Tungsten & Powders Corp. | CID000568 | Conformant |
Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | CID000218 | Conformant |
Tungsten | H.C. Starck Smelting GmbH & Co.KG | CID002542 | Conformant |
Tungsten | H.C. Starck Tungsten GmbH | CID002541 | Conformant |
Tungsten | Hunan Chenzhou Mining Co., Ltd. | CID000766 | Conformant |
Tungsten | Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji | CID002579 | Conformant |
Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd. | CID000769 | Conformant |
Tungsten | Hunan Litian Tungsten Industry Co., Ltd. | CID003182 | Active |
Tungsten | Hydrometallurg, JSC | CID002649 | Conformant |
Tungsten | Japan New Metals Co., Ltd. | CID000825 | Conformant |
Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | CID002551 | Conformant |
Tungsten | Jiangxi Dayu Longxintai Tungsten Co., Ltd. | CID002647 | Not Enrolled |
Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | CID002321 | Conformant |
Tungsten | Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. | CID002313 | Not Enrolled |
Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | CID002318 | Conformant |
Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | CID002317 | Conformant |
Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. | CID002316 | Conformant |
Tungsten | Kennametal Fallon | CID000966 | Conformant |
Tungsten | Kennametal Huntsville | CID000105 | Conformant |
Tungsten | Malipo Haiyu Tungsten Co., Ltd. | CID002319 | Conformant |
Tungsten | Moliren Ltd | CID002845 | Conformant |
Tungsten | Niagara Refining LLC | CID002589 | Conformant |
Tungsten | Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC | CID002543 | Conformant |
Tungsten | Philippine Chuangxin Industrial Co., Inc. | CID002827 | Conformant |
Tungsten | South-East Nonferrous Metal Company Limited of Hengyang City | CID002815 | Conformant |
Tungsten | Tejing (Vietnam) Tungsten Co., Ltd. | CID001889 | Conformant |
Tungsten | Unecha Refractory metals plant | CID002724 | Conformant |
Tungsten | Wolfram Bergbau und Hütten AG | CID002044 | Conformant |
Tungsten | Woltech Korea Co., Ltd. | CID002843 | Conformant |
Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | CID002320 | Conformant |
Tungsten | Xiamen Tungsten Co., Ltd. | CID002082 | Conformant |
Tungsten | Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. | CID002830 | Conformant |
Tungsten | Xinhai Rendan Shaoguan Tungsten Co., Ltd. | CID002095 | Conformant |
* | The information in this column is based on smelter or refiner information made publicly available by RMI as of May 3, 2019. The terms used have the following meanings: |
• | Conformant means that a smelter or refiner participates in and has been listed as “Conformant” to the assessment protocols of the Responsible Minerals Assurance Process (“RMAP”). |
• | Non Conformant means that a smelter’s or refiner’s systems, processes and practices materially deviate from the requirements of the applicable RMAP audit standard, or the auditee refuses to participate in the assessment process or does not provide adequate access to facilities to complete the assessment. |
• | Active means that the facility is in one of the stages of the audit cycle, anywhere from completion of the necessary documents to scheduling the audit date to enacting corrective actions in the post-audit phase. |
• | Not Enrolled refers to smelters that are not currently participating in the RMAP. Included in this category are facilities that the RMI is currently reaching out to, those that are communicating with the RMI regarding participation in an audit, those that have refused to participate, and those that have not completed the mandatory annual re-audit and those that failed to meet the assessment protocols to pass an audit. |
APPENDIX I - Countries of Origin
The information provided in this Appendix is based on the information collected from our suppliers and is provided in good faith. We will continue to update it as our due diligence process and third party data evolves.
Argentina, Australia, Austria, Benin, Bolivia (Plurinational State of), Brazil, Burkina Faso, Burundi, Cambodia, Canada, Chile, China, Colombia, Congo, Democratic Republic of the, Ecuador, Eritrea, Ethiopia, France, Germany, Ghana, Guatemala, Guinea, Guyana, Honduras, India, Indonesia, Japan, Kazakhstan, Laos, Madagascar, Malaysia, Mali, Mexico, Mongolia, Mozambique, Myanmar, Namibia, Nicaragua, Nigeria, Panama, Peru, Portugal, Russian Federation, Rwanda, Senegal, Sierra Leone, South Africa, Spain, Thailand, Togo, Uganda, United Kingdom of Great Britain and Northern Ireland, United States of America, Uzbekistan, Viet Nam, Zimbabwe