EMCORE Corporation
EMCORE CORP (Form: SD, Received: 05/15/2017 11:31:26)


As filed with the Securities and Exchange Commission on May 15, 2017




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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EMCORELOGO2015A08.JPG
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, 2016.









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, 2016. 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 15 ,   2017
 
 
 
By:  /s/ Jikun Kim
 
Name: Jikun Kim
Title:   Chief Financial Officer








EMCORE Corporation
Form SD-2016

Exhibit 1.01
Conflict Minerals Report

Conflict Minerals Disclosure

I.
Introduction

EMCORE Corporation is providing this Conflict Minerals Report (“CMR”) for calendar year 2016, as an Exhibit to Form SD, pursuant to Rule 13p-1 and Form SD (the “Rule”) under the Securities Exchange Act of 1934, 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 products. 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 designs and manufactures Indium Phosphide (InP) optical chips, components, subsystems and systems for the broadband and specialty fiber optics market. Emcore is a provider of optical components, as well as complete end-to-end solutions for high-speed communications network infrastructures enabling systems and service providers to meet growing demand for bandwidth and connectivity. Emcore's advance optical technologies are designed for Cable Television (CATV), Fiber-To-The-Premises (FTTP) networks, telecommunications and data centers, satellite communications, aerospace and defense, wireless networks, and broadcast and professional audio/video systems. With its InP semiconductor wafer fabrication facility, Emcore has fully vertically-integrated manufacturing capability and also provides contract design, foundry and component packaging services.

As described in this CMR, certain of Emcore’s operations manufacture, or contract to manufacture, products that contain Conflict Minerals that are necessary to the functionality or production of those products. However, we do not directly source Conflict Minerals 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 Conflict Minerals that are included in our products, including sources of Conflict Minerals 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 (i.e., do not contain metals derived from "Conflict Minerals "). 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. Upon Emcore’s request, each of our suppliers shall permit Emcore to audit 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 Conflict Free Sourcing Initiative Conflict Minerals Reporting Template. 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 Conflict Minerals 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 Conflict Minerals data management consultant (the “Consultant”) to assist us in conducting this RCOI.

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 Conflict-Free Sourcing Initiative’s (“CFSI”) Conflict Minerals Reporting Template (“CMRT”). Based on the results of our RCOI, we are required to exercise due diligence on the source and chain of custody of the necessary Conflict Minerals 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 Conflict Minerals in our products, the country of origin of any Conflict Minerals 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.

(i)      Conformity to a Recognized Due Diligence Framework

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 (Second 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(i)(a) - (e).






a.      Establish Strong Company Management Systems

First, Emcore has assigned a Senior Director of Operations to (i) manage the Conflict Minerals 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 Conflict Mineral declarations for their products ( see below, §§ IV(i)(b & c)). Third, Emcore’s position statement with respect to Conflict Minerals, 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 Conflict-Free Smelter (“CFS”) certified smelters wherever possible, (Under the CFS program, the CFSI, 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.)

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 Conflict Minerals in our components, (ii) supplier engagement with their sub-tier suppliers, and (iii) smelters and points of origin of the constituent Conflict Minerals. 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 Conflict Minerals contained in components and materials supplied to us. This kit includes materials to educate suppliers about the SEC rule on Conflict Minerals, 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 conflict free and “active” smelters and refiners and country of origin information published by the CFS program as well as the list of known conflict mineral processing facilities published by the U.S. Department of Commerce. 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.

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 CFSI, 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.

Laser/Photodetector Component Products

These include lasers, photodetectors, and various forms of packaged subassemblies, bare die (or chip), transmitter optical subassemblies (TOSA), distributed feedback (DFB) lasers, positive-intrinsic-negative (PIN) and avalanche photodiode (APD) components for 10 Gb/s Ethernet, InfiniBand, FTTP, and telecom applications.

Cable Television (CATV) Products

These include forward and return-path analog and digital lasers, photodetectors and subassembly components, broadcast analog and digital fiber-optic transmitters, and quadrature amplitude modulation (QAM) transmitters and receivers.

Fiber-To-The-Premises (FTTP) Products

These include FTTP components and subsystem products to support plans by telephone companies to offer voice, video, and data services through the deployment of new fiber optics-based access networks, including passive optical network (PON) transceivers, radio frequency over glass (RFoG) optical transceivers, analog fiber optic transmitters for video overlay and high-power erbium-doped fiber amplifiers (EDFA), analog and digital lasers, photodetectors and subassembly components, analog video receivers, and multi-dwelling unit (MDU) video receivers.

Satellite 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.

Video Transport Products

These include video, audio, data, and RF transmission systems.






Defense and Homeland Security Products

These include fiber optic gyro components used in commercial and military applications, high-frequency RF fiber optic link components for towed decoy systems, optical delay lines for radar systems, erbium-doped fiber amplifiers, pulse lasers for light detection and ranging (LIDAR) spectroscopy systems and other products.

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 2015.

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 Conflict Minerals 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 CFSI, 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 Conflict Minerals 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 2016 or provided incomplete responses to
help with our data collections for 2017.
Monitor and track performance of risk mitigation efforts.
Compare and validate RCOI results to information collected via independent conflict-free smelter validation programs such as the CFSI.







Annex A

Smelter and Refiner Information

Metal
Smelter Name
Country
CFS Status (*)
Gold
Abington Reldan Metals, LLC
UNITED STATES OF AMERICA
Not Determined
Gold
Academy Precious Metal Materials (Zhaoyuan) Co., Ltd.
CHINA
Not Determined
Gold
Advanced Chemical Company
UNITED STATES OF AMERICA
Compliant CFS
Gold
Aida Chemical Industries Co., Ltd.
JAPAN
Compliant CFS
Gold
Aktyubinsk Copper Company TOO
KAZAKHSTAN
Not Determined
Gold
Al Etihad Gold Refinery DMCC
UNITED ARAB EMIRATES
Compliant CFS
Gold
Allgemeine Gold-und Silberscheideanstalt A.G.
GERMANY
Compliant CFS
Gold
Almalyk Mining and Metallurgical Complex (AMMC)
UZBEKISTAN
Compliant CFS
Gold
AngloGold Ashanti Córrego do Sítio Mineração
BRAZIL
Compliant CFS
Gold
Argor-Heraeus S.A.
SWITZERLAND
Compliant CFS
Gold
Asahi Pretec Corp.
JAPAN
Compliant CFS
Gold
Asahi Refining Canada Ltd.
CANADA
Compliant CFS
Gold
Asahi Refining USA Inc.
UNITED STATES OF AMERICA
Compliant CFS
Gold
Asaka Riken Co., Ltd.
JAPAN
Compliant CFS
Gold
Atasay Kuyumculuk Sanayi Ve Ticaret A.S.
TURKEY
Not Determined
Gold
AU Traders and Refiners
SOUTH AFRICA
Compliant CFS
Gold
AURA-II
UNITED STATES OF AMERICA
Not Determined
Gold
Aurubis AG
GERMANY
Compliant CFS
Gold
Baiyin Nonferrous Group Co.,Ltd
CHINA
Not Determined
Gold
Bangalore Refinery
INDIA
Not Determined
Gold
Bangko Sentral ng Pilipinas (Central Bank of the Philippines)
PHILIPPINES
Compliant CFS
Gold
Bauer Walser AG
GERMANY
Not Determined
Gold
Boliden AB
SWEDEN
Compliant CFS
Gold
Boliden Harjavalta
FINLAND
Not Determined
Gold
C. Hafner GmbH + Co. KG
GERMANY
Compliant CFS
Gold
Caridad
MEXICO
Not Determined
Gold
CCR Refinery - Glencore Canada Corporation
CANADA
Compliant CFS
Gold
Cendres + Métaux S.A.
SWITZERLAND
Not Determined
Gold
Chimet S.p.A.
ITALY
Compliant CFS





Gold
China Gold Deal Investment Co., Ltd.
CHINA
Not Determined
Gold
China National Gold Group Corporation
CHINA
Not Determined
Gold
Chugai Mining
JAPAN
Not Determined
Gold
Codelco
CHILE
Not Determined
Gold
Colt Refining
UNITED STATES OF AMERICA
Not Determined
Gold
Daejin Indus Co., Ltd.
KOREA (REPUBLIC OF)
Not Determined
Gold
DaeryongENC
KOREA (REPUBLIC OF)
Not Determined
Gold
Daye Non-Ferrous Metals Mining Ltd.
CHINA
Compliant CFS
Gold
DODUCO GmbH
GERMANY
Compliant CFS
Gold
Dongguan Standard Electronic Material.Co.,Ltd
CHINA
Not Determined
Gold
Dongguanshi Sutande Dianzi Cailiao Youxiangongsi
CHINA
Not Determined
Gold
Dowa
JAPAN
Compliant CFS
Gold
DSC (Do Sung Corporation)
KOREA (REPUBLIC OF)
Compliant CFS
Gold
E-CHEM Enterprise Corp
CHINA
Not Determined
Gold
Eco-System Recycling Co., Ltd.
JAPAN
Compliant CFS
Gold
Elemetal Refining, LLC
UNITED STATES OF AMERICA
Compliant CFS
Gold
Emirates Gold DMCC
UNITED ARAB EMIRATES
Compliant CFS
Gold
Faggi Enrico S.p.A.
ITALY
Not Determined
Gold
Feinhütte Halsbrücke GmbH
GERMANY
Not Determined
Gold
Ferro Corporation
UNITED STATES OF AMERICA
Not Determined
Gold
Fidelity Printers and Refiners Ltd.
ZIMBABWE
Not Determined
Gold
Gansu Seemine Material Hi-Tech Co., Ltd.
CHINA
Not Determined
Gold
Geib Refining Corporation
UNITED STATES OF AMERICA
Not Determined
Gold
Great Wall Precious Metals Co., Ltd. of CBPM
CHINA
Compliant CFS
Gold
Guangdong Jinding Gold Limited
CHINA
Not Determined
Gold
Gujarat Gold Centre
INDIA
Not Determined
Gold
Guoda Safina High-Tech Environmental Refinery Co., Ltd.
CHINA
Not Determined
Gold
Hangzhou Fuchunjiang Smelting Co., Ltd.
CHINA
Not Determined
Gold
Harima Smelter
JAPAN
Not Determined
Gold
Heesung Group
KOREA (REPUBLIC OF)
Not Determined
Gold
Heimerle + Meule GmbH
GERMANY
Compliant CFS
Gold
Henan Yuguang Gold & Lead Co., Ltd.
CHINA
Not Determined
Gold
Heraeus Group
CHINA
Not Determined
Gold
Heraeus Group
UNITED STATES OF AMERICA
Not Determined





Gold
Heraeus Ltd. Hong Kong
CHINA
Compliant CFS
Gold
Heraeus Ltd. Hong Kong
HONG KONG
Not Determined
Gold
Heraeus Precious Metals GmbH & Co. KG
GERMANY
Compliant CFS
Gold
Heraeus Precious Metals North America (HPMN)
UNITED STATES OF AMERICA
Not Determined
Gold
Hishikari Gold Mine (Isa)
JAPAN
Not Determined
Gold
Hunan Chenzhou Mining Co., Ltd.
CHINA
Not Determined
Gold
HwaSeong CJ Co., Ltd.
KOREA (REPUBLIC OF)
Not Determined
Gold
Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.
CHINA
Compliant CFS
Gold
Ishifuku Metal Industry Co., Ltd.
JAPAN
Compliant CFS
Gold
Istanbul Gold Refinery
TURKEY
Compliant CFS
Gold
Japan Mint
JAPAN
Compliant CFS
Gold
Jiangxi Copper Co., Ltd.
CHINA
Compliant CFS
Gold
Jinlong Copper Co.,Ltd.
CHINA
Not Determined
Gold
Johnson Matthey HongKong Ltd.
CHINA
Not Determined
Gold
JSC Ekaterinburg Non-Ferrous Metal Processing Plant
RUSSIAN FEDERATION
Compliant CFS
Gold
JSC Uralelectromed
RUSSIAN FEDERATION
Compliant CFS
Gold
JX Nippon Mining & Metals Co., Ltd.
JAPAN
Compliant CFS
Gold
K.A Rasmussen as
NORWAY
Not Determined
Gold
Kaloti Precious Metals
UNITED ARAB EMIRATES
Not Determined
Gold
Kangqiang Electronics Co., Ltd
CHINA
Not Determined
Gold
Kazakhmys Smelting LLC
KAZAKHSTAN
Not Determined
Gold
Kazzinc
KAZAKHSTAN
Compliant CFS
Gold
Kennecott Utah Copper LLC
UNITED STATES OF AMERICA
Compliant CFS
Gold
KGHM Polska MiedŸ Spó³ka Akcyjna
POLAND
Not Determined
Gold
Kojima Chemicals Co., Ltd.
JAPAN
Compliant CFS
Gold
Korea Metal Co., Ltd.
KOREA (REPUBLIC OF)
Not Determined
Gold
Korea Zinc Co., Ltd.
KOREA (REPUBLIC OF)
Compliant CFS
Gold
Kunshan Jinli chemical industry reagents co.,Ltd.
CHINA
Not Determined
Gold
Kyrgyzaltyn JSC
KYRGYZSTAN
Compliant CFS
Gold
KYSHTYM COPPER-ELECTROLYTIC PLANT ZAO
RUSSIAN FEDERATION
Not Determined
Gold
L'azurde Company For Jewelry
SAUDI ARABIA
Compliant CFS
Gold
Lingbao Gold Co., Ltd.
CHINA
Not Determined
Gold
Lingbao Jinyuan Tonghui Refinery Co., Ltd.
CHINA
Not Determined
Gold
London Bullion Market Association
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
Not Determined





Gold
LS-NIKKO Copper Inc.
KOREA (REPUBLIC OF)
Compliant CFS
Gold
Luoyang Zijin Yinhui Gold Refinery Co., Ltd.
CHINA
Not Determined
Gold
Materion
UNITED STATES OF AMERICA
Compliant CFS
Gold
Matsuda Sangyo Co., Ltd.
JAPAN
Compliant CFS
Gold
Metahub Industries Sdn. Bhd.
MALAYSIA
Not Determined
Gold
Metalor Technologies (Hong Kong) Ltd
HONG KONG
Not Determined
Gold
Metalor Technologies (Hong Kong) Ltd.
CHINA
Compliant CFS
Gold
Metalor Technologies (Singapore) Pte., Ltd.
SINGAPORE
Compliant CFS
Gold
Metalor Technologies (Suzhou) Ltd.
CHINA
Compliant CFS
Gold
Metalor Technologies S.A.
SWITZERLAND
Compliant CFS
Gold
Metalor USA Refining Corporation
UNITED STATES OF AMERICA
Compliant CFS
Gold
Metalúrgica Met-Mex Peñoles S.A. De C.V.
MEXICO
Compliant CFS
Gold
Mitsubishi Materials Corporation
JAPAN
Compliant CFS
Gold
Mitsui Mining and Smelting Co., Ltd.
JAPAN
Compliant CFS
Gold
MMTC-PAMP India Pvt., Ltd.
INDIA
Compliant CFS
Gold
Modeltech Sdn Bhd
MALAYSIA
Not Determined
Gold
Morris and Watson
NEW ZEALAND
Not Determined
Gold
Moscow Special Alloys Processing Plant
RUSSIAN FEDERATION
Compliant CFS
Gold
N.E.Chemcat Corporation
JAPAN
Not Determined
Gold
Nadir Metal Rafineri San. Ve Tic. A.ª.
TURKEY
Compliant CFS
Gold
Navoi Mining and Metallurgical Combinat
UZBEKISTAN
Compliant CFS
Gold
Nihon Material Co., Ltd.
JAPAN
Compliant CFS
Gold
Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH
AUSTRIA
Compliant CFS
Gold
Ohura Precious Metal Industry Co., Ltd.
JAPAN
Compliant CFS
Gold
OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)
RUSSIAN FEDERATION
Compliant CFS
Gold
OJSC Kolyma Refinery
RUSSIAN FEDERATION
Not Determined
Gold
OJSC Novosibirsk Refinery
RUSSIAN FEDERATION
Compliant CFS
Gold
PAMP S.A.
SWITZERLAND
Compliant CFS
Gold
Penglai Penggang Gold Industry Co., Ltd.
CHINA
Not Determined
Gold
Prioksky Plant of Non-Ferrous Metals
RUSSIAN FEDERATION
Compliant CFS
Gold
PT Aneka Tambang (Persero) Tbk
INDONESIA
Compliant CFS
Gold
Public security bureau of Shenzhen
CHINA
Not Determined
Gold
PX Précinox S.A.
SWITZERLAND
Compliant CFS
Gold
Rand Refinery (Pty) Ltd.
SOUTH AFRICA
Compliant CFS





Gold
Remondis Argentia B.V.
NETHERLANDS
Not Determined
Gold
Republic Metals Corporation
UNITED STATES OF AMERICA
Compliant CFS
Gold
Royal Canadian Mint
CANADA
Compliant CFS
Gold
SAAMP
FRANCE
Not Determined
Gold
Sabin Metal Corp.
UNITED STATES OF AMERICA
Not Determined
Gold
Safina a.s.
CZECH REPUBLIC
Not Determined
Gold
Sai Refinery
INDIA
Not Determined
Gold
Samduck Precious Metals
KOREA (REPUBLIC OF)
Compliant CFS
Gold
SAMWON METALS Corp.
KOREA (REPUBLIC OF)
Not Determined
Gold
SANMENXIA HENGSHENG SCIENCE AND TECHNOLOGY R&D CO.,LTD
CHINA
Not Determined
Gold
SAXONIA Edelmetalle GmbH
GERMANY
Compliant CFS
Gold
Schone Edelmetaal B.V.
NETHERLANDS
Compliant CFS
Gold
ScotiaMocatta, The Bank of Nova Scotia
HONG KONG
Not Determined
Gold
SEMPSA Joyería Platería S.A.
SPAIN
Compliant CFS
Gold
Shandong Humon Smelting Co., Ltd.
CHINA
Not Determined
Gold
Shandong Tiancheng Biological Gold Industrial Co., Ltd.
CHINA
Not Determined
Gold
Shandong Yanggu Xiangguang Co. Ltd.
CHINA
Not Determined
Gold
Shandong Zhaojin Gold & Silver Refinery Co., Ltd.
CHINA
Compliant CFS
Gold
Shandong zhongkuang group co., LTD
CHINA
Not Determined
Gold
Shang Hai Gold Exchange
CHINA
Not Determined
Gold
Shenzhen Zhonghenglong Real Industry Co.,Ltd.
CHINA
Not Determined
Gold
Sichuan Tianze Precious Metals Co., Ltd.
CHINA
Compliant CFS
Gold
Singway Technology Co., Ltd.
TAIWAN, PROVINCE OF CHINA
Compliant CFS
Gold
So Accurate Group, Inc.
UNITED STATES OF AMERICA
Not Determined
Gold
SOE Shyolkovsky Factory of Secondary Precious Metals
RUSSIAN FEDERATION
Compliant CFS
Gold
Solar Applied Materials Technology Corp.
TAIWAN, PROVINCE OF CHINA
Compliant CFS
Gold
Sudan Gold Refinery
SUDAN
Not Determined
Gold
Sumitomo Metal Mining Co., Ltd.
JAPAN
Compliant CFS
Gold
Super Dragon Technology Co., Ltd.
TAIWAN, PROVINCE OF CHINA
Not Determined
Gold
Suzhou Xingrui Noble metal material co.ltd
CHINA
Not Determined
Gold
T.C.A S.p.A
ITALY
Compliant CFS
Gold
Tai zhou chang san Jiao electron Co.,Ltd.
CHINA
Not Determined
Gold
Tanaka Kikinzoku Kogyo K.K.
JAPAN
Compliant CFS
Gold
THE HUTTI GOLD MINES CO.LTD
INDIA
Not Determined





Gold
The Refinery of Shandong Gold Mining Co., Ltd.
CHINA
Compliant CFS
Gold
Tiancheng Chemical
CHINA
Not Determined
Gold
Tokuriki Honten Co., Ltd.
JAPAN
Compliant CFS
Gold
Tongling Nonferrous Metals Group Co., Ltd.
CHINA
Not Determined
Gold
Tony Goetz NV
BELGIUM
Compliant CFS
Gold
TOO Tau-Ken-Altyn
KAZAKHSTAN
Not Determined
Gold
Torecom
KOREA (REPUBLIC OF)
Compliant CFS
Gold
UBS AG Bahnhofstr.
SWITZERLAND
Not Determined
Gold
Umicore Brasil Ltda.
BRAZIL
Compliant CFS
Gold
Umicore Galvanotechnik GmbH
GERMANY
Not Determined
Gold
Umicore Precious Metal Refining
UNITED STATES OF AMERICA
Not Determined
Gold
Umicore Precious Metals Thailand
THAILAND
Compliant CFS
Gold
Umicore S.A. Business Unit Precious Metals Refining
BELGIUM
Compliant CFS
Gold
United Precious Metal Refining, Inc.
UNITED STATES OF AMERICA
Compliant CFS
Gold
United Refining Company
UNITED STATES OF AMERICA
Not Determined
Gold
Universal Precious Metals Refining Zambia
ZAMBIA
Not Determined
Gold
Uyemura USA
UNITED STATES OF AMERICA
Not Determined
Gold
Valcambi S.A.
SWITZERLAND
Compliant CFS
Gold
Western Australian Mint trading as The Perth Mint
AUSTRALIA
Compliant CFS
Gold
WIELAND Edelmetalle GmbH
GERMANY
Compliant CFS
Gold
Wuxi Middle Treasures Materials
CHINA
Not Determined
Gold
YAMAMOTO PRECIOUS METAL CO., LTD.
JAPAN
Compliant CFS
Gold
Yantai Zhaojin Kanfort Precious Metals Incorporated Company
CHINA
Not Determined
Gold
Yokohama Metal Co., Ltd.
JAPAN
Compliant CFS
Gold
Yunnan Copper Industry Co., Ltd.
CHINA
Not Determined
Gold
Zhongyuan Gold Smelter of Zhongjin Gold Corporation
CHINA
Compliant CFS
Gold
Zijin Mining Group Co., Ltd. Gold Refinery
CHINA
Compliant CFS
Tantalum
Avon Specialty Metals Ltd
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
Not Determined
Tantalum
Cabot Corporation
UNITED STATES OF AMERICA
Not Determined
Tantalum
Changsha South Tantalum Niobium Co., Ltd.
CHINA
Compliant CFS
Tantalum
Conghua Tantalum and Niobium Smeltry
CHINA
Compliant CFS
Tantalum
D Block Metals, LLC
UNITED STATES OF AMERICA
Compliant CFS
Tantalum
Duoluoshan
CHINA
Compliant CFS
Tantalum
E.S.R. Electronics
UNITED STATES OF AMERICA
Not Determined





Tantalum
Ethiopian Minerals Development Share Company
ETHIOPIA
Not Determined
Tantalum
Exotech Inc.
UNITED STATES OF AMERICA
Compliant CFS
Tantalum
F&X Electro-Materials Ltd.
CHINA
Compliant CFS
Tantalum
FIR Metals & Resource Ltd.
CHINA
Compliant CFS
Tantalum
Gannon & Scott
UNITED STATES OF AMERICA
Not Determined
Tantalum
Global Advanced Metals Aizu
JAPAN
Compliant CFS
Tantalum
Global Advanced Metals Boyertown
UNITED STATES OF AMERICA
Compliant CFS
Tantalum
Guangdong Zhiyuan New Material Co., Ltd.
CHINA
Compliant CFS
Tantalum
Guizhou Zhenhua Xinyun Technology Ltd., Kaili branch
CHINA
Not Determined
Tantalum
H.C. Starck Co., Ltd.
THAILAND
Compliant CFS
Tantalum
H.C. Starck GmbH Goslar
GERMANY
Compliant CFS
Tantalum
H.C. Starck GmbH Laufenburg
GERMANY
Not Determined
Tantalum
H.C. Starck Hermsdorf GmbH
GERMANY
Compliant CFS
Tantalum
H.C. Starck Inc.
UNITED STATES OF AMERICA
Compliant CFS
Tantalum
H.C. Starck Ltd.
JAPAN
Compliant CFS
Tantalum
H.C. Starck Smelting GmbH & Co. KG
GERMANY
Compliant CFS
Tantalum
Hengyang King Xing Lifeng New Materials Co., Ltd.
CHINA
Compliant CFS
Tantalum
Hi-Temp Specialty Metals, Inc.
UNITED STATES OF AMERICA
Compliant CFS
Tantalum
Jiangxi Dinghai Tantalum & Niobium Co., Ltd.
CHINA
Compliant CFS
Tantalum
Jiangxi Tuohong New Raw Material
CHINA
Compliant CFS
Tantalum
JiuJiang JinXin Nonferrous Metals Co., Ltd.
CHINA
Compliant CFS
Tantalum
Jiujiang Tanbre Co., Ltd.
CHINA
Compliant CFS
Tantalum
Jiujiang Zhongao Tantalum & Niobium Co., Ltd.
CHINA
Compliant CFS
Tantalum
JX Nippon Mining & Metals Co., Ltd.
JAPAN
Not Determined
Tantalum
KEMET Blue Metals
MEXICO
Compliant CFS
Tantalum
KEMET Blue Powder
UNITED STATES OF AMERICA
Compliant CFS
Tantalum
King-Tan Tantalum Industry Ltd.
CHINA
Compliant CFS
Tantalum
LSM Brasil S.A.
BRAZIL
Compliant CFS
Tantalum
Metallurgical Products India Pvt., Ltd.
INDIA
Compliant CFS
Tantalum
Mineração Taboca S.A.
BRAZIL
Compliant CFS
Tantalum
Mitsui Mining and Smelting Co., Ltd.
JAPAN
Compliant CFS
Tantalum
Molycorp Silmet A.S.
ESTONIA
Compliant CFS
Tantalum
Ningxia Orient Tantalum Industry Co., Ltd.
CHINA
Compliant CFS
Tantalum
Phoenix Metal Ltd
RWANDA
Not Determined





Tantalum
Plansee SE Liezen
AUSTRIA
Compliant CFS
Tantalum
Plansee SE Reutte
AUSTRIA
Compliant CFS
Tantalum
Power Resources Ltd.
MACEDONIA (THE FORMER YUGOSLAV REPUBLIC OF)
Compliant CFS
Tantalum
QuantumClean
UNITED STATES OF AMERICA
Compliant CFS
Tantalum
Resind Indústria e Comércio Ltda.
BRAZIL
Compliant CFS
Tantalum
RFH Tantalum Smeltry Co., Ltd.
CHINA
Compliant CFS
Tantalum
Shanghai Jiangxi Metals Co. Ltd
CHINA
Not Determined
Tantalum
Solikamsk Magnesium Works OAO
RUSSIAN FEDERATION
Compliant CFS
Tantalum
Taki Chemical Co., Ltd.
JAPAN
Compliant CFS
Tantalum
Tantalite Resources
SOUTH AFRICA
Not Determined
Tantalum
Telex Metals
UNITED STATES OF AMERICA
Compliant CFS
Tantalum
Tranzact, Inc.
UNITED STATES OF AMERICA
Compliant CFS
Tantalum
Ulba Metallurgical Plant JSC
KAZAKHSTAN
Compliant CFS
Tantalum
Ulba Metallurgical Plant JSC
RUSSIAN FEDERATION
Not Determined
Tantalum
ULVAC
JAPAN
Not Determined
Tantalum
XinXing HaoRong Electronic Material Co., Ltd.
CHINA
Compliant CFS
Tantalum
Yichun Jin Yang Rare Metal Co., Ltd.
CHINA
Compliant CFS
Tantalum
Zhuzhou Cemented Carbide Group Co., Ltd.
CHINA
Compliant CFS
Tin
5N Plus
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
Not Determined
Tin
Alpha
UNITED STATES OF AMERICA
Compliant CFS
Tin
Alpha
KOREA (REPUBLIC OF)
Not Determined
Tin
Amalgamet Inc
UNITED STATES OF AMERICA
Not Determined
Tin
American Iron and Metal
CANADA
Not Determined
Tin
American Iron and Metal
UNITED STATES OF AMERICA
Not Determined
Tin
An Thai Minerals Co., Ltd.
VIET NAM
Not Determined
Tin
An Vinh Joint Stock Mineral Processing Company
VIET NAM
Not Determined
Tin
An Xin Xian Xin Yue You Se Jin Shu Co. Ltd.
CHINA
Not Determined
Tin
Baoshida Swissmetall
SWITZERLAND
Not Determined
Tin
Best Metais e Soldas SA
BRAZIL
Not Determined
Tin
Brinkmann Chemie AG
GERMANY
Not Determined
Tin
CFC Cooperativa dos Fundidores de Cassiterita da Amazonia Ltda.
BRAZIL
Not Determined
Tin
CHANGZHOU GALAXY CENTURY MICRO-ELECTRONICS CO.,LTD
CHINA
Not Determined
Tin
Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.
CHINA
Compliant CFS
Tin
China Minmetals Corporation
CHINA
Not Determined





Tin
China Tin Group Co., Ltd.
CHINA
Compliant CFS
Tin
CIMSA, S.A.
SPAIN
Not Determined
Tin
CNMC (Guangxi) PGMA Co., Ltd.
CHINA
Not Determined
Tin
Cooperativa Metalurgica de Rondônia Ltda.
BRAZIL
Compliant CFS
Tin
CV Ayi Jaya
INDONESIA
Compliant CFS
Tin
CV Dua Sekawan
INDONESIA
Compliant CFS
Tin
CV Duta Putra Bangka
INDONESIA
Not Determined
Tin
CV Gita Pesona
INDONESIA
Compliant CFS
Tin
CV Makmur Jaya
INDONESIA
Not Determined
Tin
CV Serumpun Sebalai
INDONESIA
Compliant CFS
Tin
CV Tiga Sekawan
INDONESIA
Compliant CFS
Tin
CV United Smelting
INDONESIA
Compliant CFS
Tin
CV Venus Inti Perkasa
INDONESIA
Compliant CFS
Tin
Daewoo International
KOREA (REPUBLIC OF)
Not Determined
Tin
Dowa
JAPAN
Compliant CFS
Tin
Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company
VIET NAM
Not Determined
Tin
Elmet S.L.U.
SPAIN
Compliant CFS
Tin
EM Vinto
BOLIVIA (PLURINATIONAL STATE OF)
Compliant CFS
Tin
Estanho de Rondônia S.A.
BRAZIL
Not Determined
Tin
Eximetal S.A.
ARGENTINA
Not Determined
Tin
Feinhütte Halsbrücke GmbH
GERMANY
Not Determined
Tin
Fenix Metals
POLAND
Compliant CFS
Tin
Fuji Metal Mining Corp.
TAIWAN, PROVINCE OF CHINA
Not Determined
Tin
Fuji Metal Mining Corp.
THAILAND
Not Determined
Tin
Furukawa Electric
JAPAN
Not Determined
Tin
Gejiu Fengming Metallurgy Chemical Plant
CHINA
Not Determined
Tin
Gejiu Jinye Mineral Company
CHINA
Not Determined
Tin
Gejiu Kai Meng Industry and Trade LLC
CHINA
Not Determined
Tin
Gejiu Non-Ferrous Metal Processing Co., Ltd.
CHINA
Compliant CFS
Tin
Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.
CHINA
Not Determined
Tin
Gejiu Zili Mining And Metallurgy Co., Ltd.
CHINA
Not Determined
Tin
Global Advanced Metals
AUSTRALIA
Not Determined
Tin
Gold Bell Group
CHINA
Not Determined
Tin
Guanyang Guida Nonferrous Metal Smelting Plant
CHINA
Compliant CFS





Tin
H. Kramer & Co.
UNITED STATES OF AMERICA
Not Determined
Tin
Heimerle + Meule GmbH
GERMANY
Not Determined
Tin
Heraeus Group
GERMANY
Not Determined
Tin
Heraeus Group
KOREA (REPUBLIC OF)
Not Determined
Tin
Hitachi Cable, Ltd.
JAPAN
Not Determined
Tin
Honeywell Electronic Materials, Inc
UNITED STATES OF AMERICA
Not Determined
Tin
HuiChang Hill Tin Industry Co., Ltd.
CHINA
Compliant CFS
Tin
Huichang Jinshunda Tin Co., Ltd.
CHINA
Not Determined
Tin
Hunan Xianghualing Tin Co. ltd
CHINA
Not Determined
Tin
IBF IND Brasileira de Ferrolligas Ltda
BRAZIL
Not Determined
Tin
IPS New Material (Suzhou) Co., Ltd.
FRANCE
Not Determined
Tin
Jean GOLDSCHMIDT INTERNATIONAL S.A.
BELGIUM
Not Determined
Tin
Jewish Xinmao Tin Co., Ltd.
CHINA
Not Determined
Tin
Jiangxi Ketai Advanced Material Co., Ltd.
CHINA
Compliant CFS
Tin
Jiangxi Yaosheng Tungsten Co., Ltd.
CHINA
Not Determined
Tin
jiangyinshi yizheng mechnaics co,.ltd
CHINA
Not Determined
Tin
Kennametal Huntsville
UNITED STATES OF AMERICA
Not Determined
Tin
KOBE STEEL,LTD.
JAPAN
Not Determined
Tin
KOVOHUTÌ PØÍBRAM NÁSTUPNICKÁ, A.S.
CZECH REPUBLIC
Not Determined
Tin
Kunshan Shing Lee Solder manufactureing co.Ltd
CHINA
Not Determined
Tin
Kupol
RUSSIAN FEDERATION
Not Determined
Tin
Lee Ku Industrial Company Limited
KOREA (REPUBLIC OF)
Not Determined
Tin
Linwu Xianggui Ore Smelting Co., Ltd.
CHINA
Not Determined
Tin
Magnu's Minerais Metais e Ligas Ltda.
BRAZIL
Compliant CFS
Tin
Malaysia Smelting Corporation (MSC)
MALAYSIA
Compliant CFS
Tin
Melt Metais e Ligas S.A.
BRAZIL
Compliant CFS
Tin
Metahub Industries Sdn. Bhd.
MALAYSIA
Not Determined
Tin
Metallic Resources, Inc.
UNITED STATES OF AMERICA
Compliant CFS
Tin
Metallo-Chimique N.V.
BELGIUM
Compliant CFS
Tin
Mineração Taboca S.A.
BRAZIL
Compliant CFS
Tin
Ming Li Jia Smelt Metal Factory
CHINA
Not Determined
Tin
Minmetals Ganzhou Tin Co. Ltd
CHINA
Not Determined
Tin
Minsur
PERU
Compliant CFS
Tin
Mitsubishi Materials Corporation
JAPAN
Compliant CFS





Tin
Modeltech Sdn Bhd
MALAYSIA
Not Determined
Tin
Nankang Nanshan Tin Manufactory Co., Ltd.
CHINA
Not Determined
Tin
Nathan Trotter & Co., Inc.
UNITED STATES OF AMERICA
Not Determined
Tin
Nghe Tinh Non-Ferrous Metals Joint Stock Company
VIET NAM
Not Determined
Tin
NIHON GENMA MFG.CO.,LTD.
THAILAND
Not Determined
Tin
Nihon Kagaku Sangyo Co., Ltd.
JAPAN
Not Determined
Tin
Novosibirsk Processing Plant Ltd.
RUSSIAN FEDERATION
Not Determined
Tin
O.M. Manufacturing (Thailand) Co., Ltd.
THAILAND
Compliant CFS
Tin
O.M. Manufacturing Philippines, Inc.
PHILIPPINES
Compliant CFS
Tin
Operaciones Metalurgical S.A.
BOLIVIA (PLURINATIONAL STATE OF)
Compliant CFS
Tin
Operaciones Metalurgical S.A.
INDONESIA
Not Determined
Tin
Phoenix Metal Ltd.
RWANDA
Not Determined
Tin
PHONON MEIWA INC.
JAPAN
Not Determined
Tin
Poongsan
KOREA (REPUBLIC OF)
Not Determined
Tin
PT Alam Lestari Kencana
INDONESIA
Not Determined
Tin
PT Aries Kencana Sejahtera
INDONESIA
Compliant CFS
Tin
PT Artha Cipta Langgeng
INDONESIA
Compliant CFS
Tin
PT ATD Makmur Mandiri Jaya
INDONESIA
Compliant CFS
Tin
PT Babel Inti Perkasa
INDONESIA
Compliant CFS
Tin
PT Babel Surya Alam Lestari
INDONESIA
Not Determined
Tin
PT Bangka Kudai Tin
INDONESIA
Not Determined
Tin
PT Bangka Prima Tin
INDONESIA
Compliant CFS
Tin
PT Bangka Putra Karya
INDONESIA
Not Determined
Tin
PT Bangka Timah Utama Sejahtera
INDONESIA
Not Determined
Tin
PT Bangka Tin Industry
INDONESIA
Compliant CFS
Tin
PT Belitung Industri Sejahtera
INDONESIA
Compliant CFS
Tin
PT BilliTin Makmur Lestari
INDONESIA
Not Determined
Tin
PT Bukit Timah
INDONESIA
Compliant CFS
Tin
PT Cipta Persada Mulia
INDONESIA
Compliant CFS
Tin
PT Donna Kembara Jaya
INDONESIA
Not Determined
Tin
PT DS Jaya Abadi
INDONESIA
Compliant CFS
Tin
PT Eunindo Usaha Mandiri
INDONESIA
Compliant CFS
Tin
PT Fang Di MulTindo
INDONESIA
Not Determined
Tin
PT HANJAYA PERKASA METALS
INDONESIA
Not Determined





Tin
PT HP Metals Indonesia
INDONESIA
Not Determined
Tin
PT Inti Stania Prima
INDONESIA
Compliant CFS
Tin
PT Justindo
INDONESIA
Not Determined
Tin
PT Karimun Mining
INDONESIA
Compliant CFS
Tin
PT Kijang Jaya Mandiri
INDONESIA
Compliant CFS
Tin
PT Koba Tin
INDONESIA
Not Determined
Tin
PT Mitra Stania Prima
INDONESIA
Compliant CFS
Tin
PT O.M. Indonesia
INDONESIA
Compliant CFS
Tin
PT Panca Mega Persada
INDONESIA
Compliant CFS
Tin
PT Pelat Timah Nusantara Tbk
INDONESIA
Not Determined
Tin
PT Prima Timah Utama
INDONESIA
Compliant CFS
Tin
PT Rajwa International
INDONESIA
Not Determined
Tin
PT REFINED BANGKA TIN
INDONESIA
Compliant CFS
Tin
PT Sariwiguna Binasentosa
INDONESIA
Compliant CFS
Tin
PT Seirama Tin investment
INDONESIA
Not Determined
Tin
PT Singkep Times Utama
INDONESIA
Not Determined
Tin
PT Stanindo Inti Perkasa
INDONESIA
Compliant CFS
Tin
PT Sukses Inti Makmur
INDONESIA
Compliant CFS
Tin
PT Sumber Jaya Indah
INDONESIA
Compliant CFS
Tin
PT Supra Sukses Trinusa
INDONESIA
Not Determined
Tin
PT Timah (Persero) Tbk Kundur
INDONESIA
Compliant CFS
Tin
PT Timah (Persero) Tbk Mentok
INDONESIA
Compliant CFS
Tin
PT Tinindo Inter Nusa
INDONESIA
Compliant CFS
Tin
PT Tirus Putra Mandiri
INDONESIA
Not Determined
Tin
PT Tommy Utama
INDONESIA
Compliant CFS
Tin
PT Wahana Perkit Jaya
INDONESIA
Compliant CFS
Tin
PT Yinchendo Mining Industry
INDONESIA
Not Determined
Tin
PT. CITRALOGAM ALPHASEJAHTERA
INDONESIA
Not Determined
Tin
Rahman Hydrulic Tin Sdn Bhd
MALAYSIA
Not Determined
Tin
Resind Indústria e Comércio Ltda.
BRAZIL
Compliant CFS
Tin
Rui Da Hung
TAIWAN, PROVINCE OF CHINA
Compliant CFS
Tin
Samhwa Non-Ferrous Metal. Inc Co.,Ltd.
KOREA (REPUBLIC OF)
Not Determined
Tin
Schloetter Co. Ltd.
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
Not Determined
Tin
SENJU METAL INDUSTRY CO.,LTD.
JAPAN
Not Determined





Tin
SENJU METAL INDUSTRY CO.,LTD.
MALAYSIA
Not Determined
Tin
Shan Tou Shi Yong Yuan Jin Shu Zai Sheng Co. Ltd.
CHINA
Not Determined
Tin
ShangHai YueQiang Metal Products Co., LTD
CHINA
Not Determined
Tin
SIZER METALS PTE LTD
SINGAPORE
Not Determined
Tin
Soft Metais Ltda.
BRAZIL
Compliant CFS
Tin
Sumisho Materials Corp.
JAPAN
Not Determined
Tin
Super Ligas
BRAZIL
Not Determined
Tin
Taicang City Nancang Metal Material Co.,Ltd
CHINA
Not Determined
Tin
Thaisarco
THAILAND
Compliant CFS
Tin
TONGDING METALLIC MATERIAL CO.LTD
CHINA
Not Determined
Tin
Traxys
FRANCE
Not Determined
Tin
Tuyen Quang Non-Ferrous Metals Joint Stock Company
VIET NAM
Not Determined
Tin
VQB Mineral and Trading Group JSC
VIET NAM
Compliant CFS
Tin
Westfalenzinn
GERMANY
Not Determined
Tin
White Solder Metalurgia e Mineração Ltda.
BRAZIL
Compliant CFS
Tin
Wilhelm Grillo Handelsgesellschaft mbH
GERMANY
Not Determined
Tin
Wilhelm Westmetall
GERMANY
Not Determined
Tin
Yantai Zhaojin Precious Metals Co., Ltd.
CHINA
Not Determined
Tin
Yifeng Tin Industry (Chenzhou) Co Ltd
CHINA
Not Determined
Tin
Yifeng Tin Industry
(Chenzhou) Co Ltd
CHINA
Not Determined
Tin
Yun'an Dian'xi Tin Mine
CHINA
Not Determined
Tin
Yunnan Chengfeng Non-ferrous Metals Co., Ltd.
CHINA
Not Determined
Tin
Yunnan Tin Company Limited
CHINA
Compliant CFS
Tin
ZHEJIANG HUANGYAN XINQIAN ELECTRICAL EQUIPMENT FITTINGS FACTORY
CHINA
Not Determined
Tin
Zhongshan Jinye Smelting Co., Ltd
CHINA
Not Determined
Tungsten
A.L.M.T. Corp.
CHINA
Not Determined
Tungsten
A.L.M.T. TUNGSTEN Corp.
JAPAN
Compliant CFS
Tungsten
ACL Metais Eireli
BRAZIL
Not Determined
Tungsten
Air Products
UNITED STATES OF AMERICA
Not Determined
Tungsten
AMPCO METAL (Foshan) Co. Ltd.
CHINA
Not Determined
Tungsten
Asia Tungsten Products Vietnam Ltd.
VIET NAM
Compliant CFS
Tungsten
Axis Material Limited
JAPAN
Not Determined
Tungsten
Chenzhou Diamond Tungsten Products Co., Ltd.
CHINA
Compliant CFS
Tungsten
Chongyi Zhangyuan Tungsten Co., Ltd.
CHINA
Compliant CFS





Tungsten
Dayu Jincheng Tungsten Industry Co., Ltd.
CHINA
Not Determined
Tungsten
Dayu Weiliang Tungsten Co., Ltd.
CHINA
Not Determined
Tungsten
Fujian Jinxin Tungsten Co., Ltd.
CHINA
Compliant CFS
Tungsten
Ganxian Shirui New Material Co., Ltd.
CHINA
Not Determined
Tungsten
Ganzhou Haichuang W Co., Ltd
CHINA
Not Determined
Tungsten
Ganzhou Hongfei Tungsten & Molybdenum Materials Co., Ltd.
CHINA
Not Determined
Tungsten
Ganzhou Huaxing Tungsten Products Co., Ltd.
CHINA
Compliant CFS
Tungsten
Ganzhou Jiangwu Ferrotungsten Co., Ltd.
CHINA
Compliant CFS
Tungsten
Ganzhou Non-ferrous Metals Smelting Co., Ltd.
CHINA
Not Determined
Tungsten
Ganzhou Seadragon W & Mo Co., Ltd.
CHINA
Compliant CFS
Tungsten
Ganzhou Yatai Tungsten Co., Ltd.
CHINA
Not Determined
Tungsten
Global Tungsten & Powders Corp.
UNITED STATES OF AMERICA
Compliant CFS
Tungsten
Guangdong Xianglu Tungsten Co., Ltd.
CHINA
Compliant CFS
Tungsten
H.C. Starck GmbH
GERMANY
Compliant CFS
Tungsten
H.C. Starck Smelting GmbH & Co.KG
GERMANY
Compliant CFS
Tungsten
Hitachi, Ltd.
JAPAN
Not Determined
Tungsten
Hunan Chenzhou Mining Co., Ltd.
CHINA
Compliant CFS
Tungsten
Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji
CHINA
Compliant CFS
Tungsten
Hunan Chuangda Vanadium Tungsten Co., Ltd. Yanglin
CHINA
Not Determined
Tungsten
Hunan Chunchang Nonferrous Metals Co., Ltd.
CHINA
Compliant CFS
Tungsten
Hydrometallurg, JSC
RUSSIAN FEDERATION
Compliant CFS
Tungsten
Japan New Metals Co., Ltd.
JAPAN
Compliant CFS
Tungsten
Jiangwu H.C. Starck Tungsten Products Co., Ltd.
CHINA
Compliant CFS
Tungsten
Jiangxi Dayu Longxintai Tungsten Co., Ltd.
CHINA
Not Determined
Tungsten
Jiangxi Gan Bei Tungsten Co., Ltd.
CHINA
Compliant CFS
Tungsten
Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.
CHINA
Not Determined
Tungsten
Jiangxi Richsea New Materials Co., Ltd.
CHINA
Not Determined
Tungsten
Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.
CHINA
Compliant CFS
Tungsten
Jiangxi Xinsheng Tungsten Industry Co., Ltd.
CHINA
Compliant CFS
Tungsten
Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.
CHINA
Compliant CFS
Tungsten
Jiangxi Yaosheng Tungsten Co., Ltd.
CHINA
Compliant CFS
Tungsten
JX Nippon Mining & Metals Co., Ltd.
JAPAN
Not Determined
Tungsten
Kanto Denka Kogyo Co., Ltd.
JAPAN
Not Determined
Tungsten
Kennametal Fallon
UNITED STATES OF AMERICA
Compliant CFS





Tungsten
Kennametal Huntsville
UNITED STATES OF AMERICA
Compliant CFS
Tungsten
Luoyang Mudu Tungsten & Molybdenum Technology Co., Ltd.
CHINA
Not Determined
Tungsten
Malipo Haiyu Tungsten Co., Ltd.
CHINA
Compliant CFS
Tungsten
Meterion Advanced Materials Thin Film Products
UNITED STATES OF AMERICA
Not Determined
Tungsten
Moliren Ltd
RUSSIAN FEDERATION
Compliant CFS
Tungsten
Nanchang Cemented Carbide Limited Liability Company
CHINA
Not Determined
Tungsten
Niagara Refining LLC
UNITED STATES OF AMERICA
Compliant CFS
Tungsten
NingHua XingLuoKeng TungSten Mining CO.,LTD
CHINA
Not Determined
Tungsten
North American Tungsten
CANADA
Not Determined
Tungsten
Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC
VIET NAM
Compliant CFS
Tungsten
Philippine Chuangxin Industrial Co., Inc.
PHILIPPINES
Compliant CFS
Tungsten
Pobedit, JSC
RUSSIAN FEDERATION
Not Determined
Tungsten
Sanher Tungsten Vietnam Co., Ltd.
VIET NAM
Not Determined
Tungsten
South-East Nonferrous Metal Company Limited of Hengyang City
CHINA
Compliant CFS
Tungsten
Sumitomo Electric Industries
CHINA
Not Determined
Tungsten
Sumitomo Metal Mining Co., Ltd.
JAPAN
Not Determined
Tungsten
TaeguTec Ltd.
KOREA (REPUBLIC OF)
Not Determined
Tungsten
Tejing (Vietnam) Tungsten Co., Ltd.
VIET NAM
Compliant CFS
Tungsten
Unecha Refractory metals plant
RUSSIAN FEDERATION
Compliant CFS
Tungsten
Vietnam Youngsun Tungsten Industry Co., Ltd.
VIET NAM
Compliant CFS
Tungsten
Voss Metals Company, Inc
UNITED STATES OF AMERICA
Not Determined
Tungsten
Wolfram Bergbau und Hütten AG
AUSTRIA
Compliant CFS
Tungsten
Woltech Korea Co., Ltd.
KOREA (REPUBLIC OF)
Compliant CFS
Tungsten
Xiamen Golden Egret Special Alloy Co. Ltd.
CHINA
Not Determined
Tungsten
Xiamen Honglu Tungsten Molybdenum Co., Ltd.
CHINA
Not Determined
Tungsten
Xiamen Tungsten (H.C.) Co., Ltd.
CHINA
Compliant CFS
Tungsten
Xiamen Tungsten Co., Ltd.
CHINA
Compliant CFS
Tungsten
Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.
CHINA
Compliant CFS
Tungsten
Xinhai Rendan Shaoguan Tungsten Co., Ltd.
CHINA
Compliant CFS

*
The information in this column is based on smelter or refiner information made publicly available by CFSI as of May 5, 2017. The terms used have the following meanings:
“Compliant CFS” means that a smelter or refiner participates in and has been listed as “compliant” by the Conflict-Free Smelter Program (“CFSP”).






“Not-Determined” means that a smelter or refiner has not been listed as “compliant” by the CFSP but may be in one of the following additional categories: (i) listed on the CFSP’s “Active” list, meaning that the smelter or refiner has committed to undergo a CFSP audit or is participating in one of the cross-recognized certification program (LMBA Responsible Gold Certification or Responsible Jewelry Program Chain-of-Custody Certification); (ii) listed on the CFSI Standard Smelter Names tab but is not listed as “Compliant” or “Active” (iii) smelter or refiner declared by the suppliers that are currently under investigation by the Consultant for certification status and legitimacy.






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.
Angola
France
Portugal
Argentina
Germany
Republic of Congo
Australia
Guyana
Russia
Austria
Hungary
Rwanda
Belgium
India
Sierra Leone
Bolivia
Indonesia
Singapore
Brazil
Ireland
Slovakia
Burundi
Israel
South Africa
Cambodia
Japan
Spain
Canada
Kazakhstan
Suriname
Central African Republic
Kenya
Switzerland
Chile
Laos
Taiwan
China
Luxembourg
Tanzania
Colombia
Madagascar
Thailand
Côte D'Ivoire
Malaysia
Uganda
Czech Republic
Mongolia
United Kingdom
Djibouti
Mozambique
United States of America