Exhibit 1.01

 

EMCORE Corporation

Form SD-2019

 

Conflict Minerals Report

 

Conflict Minerals Disclosure

 

I.         Introduction

 

EMCORE Corporation is providing this Conflict Minerals Report (“CMR”) for calendar year 2019, 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 leading provider of advanced mixed-signal products that provide the foundation for today’s leading-edge aerospace & defense systems and high-speed broadband communication networks. Our optical chips, components, subsystems and systems enable broadband and wireless service providers to continually enhance their network capacity, speed, and coverage to advance the free flow of information. The mixed-signal technology at the heart of our broadband transmission products is shared with our fiber optic gyros and military communications links to provide the aerospace and defense markets with state-of-the-art navigation systems technology. Emcore’s optical components and systems serve a broad array of applications including cable television, fiber-to-the-premise networks, telecommunications, data centers, wireless infrastructure, satellite RF fiber links, navigation systems, and military communications.  EMCORE has vertically integrated manufacturing capability through our ISO 9001 certified indium phosphide compound semiconductor wafer fabrication facility at our headquarters in Alhambra, California and our quartz processing and sensor manufacturing facility located in Concord, California that is registered to AS 9100 standards.

 

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 provide information about their Conflict Minerals programs and sourcing practices related to 3TGs by submitting a CMRT. 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 software-as-a-service (SaaS) platform provided by the Consultant to complete and track supplier communications, as well as allow suppliers to upload completed CMRTs for validation, assessment and management. The platform also provides functionality that meets the OECD Guidance process expectations by evaluating the quality of each supplier response and assigning a health score based on the supplier’s declaration of process engagement. Additionally, the metrics provided in this report, as well as the step-by-step process for supplier engagement and upstream due diligence investigations performed, are managed through this platform.

 

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. This data validation is based on questions within the declaration tab of the CMRT which helps to identify areas that require further classification or risk assessment, as well as understand the due diligence efforts of the Tier 1 suppliers. The results of this data validation contribute to the program’s health assessment and are shared with the suppliers to ensure they understand areas that require clarification or improvement.

 

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 in the form of feedback to their CMRT submission, training courses and direct engagement help through the Consultant’s multilingual Supplier Experience team. Since some suppliers may remain unresponsive to feedback, the Company tracks program gaps to account for future improvement opportunities. As of May 11th, 2020, there were 4 invalid supplier submissions that could not be corrected.

 

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 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 5.12. 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 (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(a) - (e).

 

Due diligence requires the Company’s necessary reliance on data provided by direct suppliers and third-party audit programs. There is a risk of incomplete or inaccurate data as the process cannot fully be owned by the Company. However, through continued outreach and process validation, this aligns with industry standards and market expectations for downstream companies’ due diligence.

 

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, Section IV(b & c)). Third, Emcore’s position statement with respect to 3TGs, which is located on our website (https://emcore.com/our-company/quality-management/supply-chain-management/), 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.

 

The Company also leverages the Consultant’s Managed Services in order to work with dedicated program specialists who support the Company’s conflict minerals program. The Company communicates regularly with the Consultant’s team in order to receive updates on program status. Each member of the Consultant’s Customer Success team is trained in conflict minerals compliance and understands the intricacies of the CMRT and conflict minerals reporting, as well as Section 1502 of the Dodd-Frank Act.

 

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, either via our website at https://emcore.alertline.com or by calling 1-877-874-8416 in the United States, 10-800-110-0812 or 10-800-711-0887 in China, or 1-888-690-3865 outside the United States and China.

 

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 invalid information is described further in Section IV(c), below.

 

To the extent that a completed response identified a smelter or refiner, the Consultant determined if the smelter had been audited against a standard in conformance with the OECD Guidance, such as the Responsible Minerals Assurance Process (“RMAP”). The Company does not have a direct relationship with smelters and refiners, and does not perform direct audits of these entities within the supply chain. Smelters that have completed an RMAP audit are considered to be DRC-conflict free. In cases where the smelter’s due diligence practices have not been audited against the RMAP standard or they are considered non-conformant by RMAP, follow-ups are made to suppliers reporting those facilities. Smelters are then assessed for the potential for sourcing risk. 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 smelters of concern 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. In addition, suppliers are guided to the educational materials on mitigating the risks identified through the data collection process.

 

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.

 

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. The Consultant also directly contacts smelters and refiners that are not currently enrolled in the RMAP to encourage their participation and gather information regarding each facilities’ sourcing practices on behalf of its compliance partners.

 

 

e.         Report on Supply Chain Due Diligence

 

Our Form SD and this CMR are both available under “Quality Management” in the Company section of our website at http://www.emcore.com/our-company/quality-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.

 

·          Fiber Optic Gyroscope Products

 

These include products ranging from tactical to navigational grade fiber optic gyroscopes for applications including unmanned aerial systems, line-of-site stabilization, aviation and aeronautics.

 

·          FOG-Based Inertial Measurement Units and Navigation Systems Products

 

These include inertial measurement units, inertial navigation systems and micro inertial navigation systems that have broad application within the aerospace and defense markets for land, sea, air and space navigation.

 

·          Quartz MEMS Gyroscope Products

 

These include quartz MEMS Gyroscopes, Accelerometers, Inertial Measurement Units and GPS/INS products that have broad application within the aerospace and defense markets for land, sea, air and space navigation.

 

·          Satellite/Microwave Communications (Defense Optoelectronics) Products

 

These include transmitters, receivers, subsystems, and systems that transport wideband radio frequency and microwave signals between satellite hub equipment and antenna dishes.

 

·          Cable TV Lasers and Transmitters Products

 

These include forward and return-path analog lasers, receivers, photodetectors and subassembly components, analog and digital fiber-optic transmitters, quadrature amplitude modulation transmitters, optical switches and cable tv fiber amplifiers.

 

·          High-Power Gain Chips Products

 

These include gain chips for tunable lasers and transceivers utilized in coherent DWDM optical transmission systems.

 

·          Photodiode Products

 

These include 2.5G and 10G APD top and bottom illuminated chips and COB, along with 10G PIN photodiode chips.

 

·          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.

 

·          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.

 

 

·          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 Distributed Feedback lasers and optical receivers optimized for CATV, DOCSIS (Data Over Cable Service Interface Specification) 3.1 and wireless applications.

 

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 2019.

 

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 2019 or provided incomplete responses to help with our data collections for 2020.

 

·          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		Standard 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		Outreach Required
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 Corrego do Sitio Mineracao		CID000058		Conformant
Gold		Argor-Heraeus S.A.		CID000077		Conformant
Gold		Asahi Pretec Corp.		CID000082		Conformant
Gold		Asahi Refining 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		Due Diligence Vetting Process
Gold		AU Traders and Refiners		CID002850		Conformant
Gold		Aurubis AG		CID000113		Conformant
Gold		Bangalore Refinery		CID002863		Conformant
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		C.I Metales Procesados Industriales SAS		CID003421		In Communication
Gold		Caridad		CID000180		Communication Suspended - Not Interested
Gold		CCR Refinery - Glencore Canada Corporation		CID000185		Conformant
Gold		Cendres + Metaux S.A.		CID000189		Conformant
Gold		CGR Metalloys Pvt Ltd.		CID003382		Outreach Required
Gold		Chimet S.p.A.		CID000233		Conformant
Gold		Chugai Mining		CID000264		Conformant
Gold		Daye Non-Ferrous Metals Mining Ltd.		CID000343		In Communication

 

 

Gold		Degussa Sonne / Mond Goldhandel GmbH		CID002867		Outreach Required
Gold		Dijllah Gold Refinery FZC		CID003348		In Communication
Gold		DODUCO Contacts and Refining GmbH		CID000362		Conformant
Gold		Dowa		CID000401		Conformant
Gold		DS PRETECH Co., Ltd.		CID003195		Conformant
Gold		DSC (Do Sung Corporation)		CID000359		Conformant
Gold		Eco-System Recycling Co., Ltd. East Plant		CID000425		Conformant
Gold		Eco-System Recycling Co., Ltd. North Plant		CID003424		Conformant
Gold		Eco-System Recycling Co., Ltd. West Plant		CID003425		Conformant
Gold		Emirates Gold DMCC		CID002561		Conformant
Gold		Fidelity Printers and Refiners Ltd.		CID002515		Due Diligence Vetting Process
Gold		Fujairah Gold FZC		CID002584		Outreach Required
Gold		GCC Gujrat Gold Centre Pvt. Ltd.		CID002852		In Communication
Gold		Geib Refining Corporation		CID002459		Conformant
Gold		Gold Coast Refinery		CID003186		Outreach Required
Gold		Gold Refinery of Zijin Mining Group Co., Ltd.		CID002243		Conformant
Gold		Great Wall Precious Metals Co., Ltd. of CBPM		CID001909		Outreach Required
Gold		Guangdong Jinding Gold Limited		CID002312		Outreach Required
Gold		Guoda Safina High-Tech Environmental Refinery Co., Ltd.		CID000651		Outreach Required
Gold		Hangzhou Fuchunjiang Smelting Co., Ltd.		CID000671		Outreach Required
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		Outreach Required
Gold		Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd.		CID000773		Outreach Required
Gold		HwaSeong CJ CO., LTD.		CID000778		Communication Suspended - Not Interested
Gold		Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.		CID000801		Conformant
Gold		International Precious Metal Refiners		CID002562		Outreach Required
Gold		Ishifuku Metal Industry Co., Ltd.		CID000807		Conformant
Gold		Istanbul Gold Refinery		CID000814		Conformant
Gold		Italpreziosi		CID002765		Conformant
Gold		JALAN & Company		CID002893		Outreach Required
Gold		Japan Mint		CID000823		Conformant
Gold		Jiangxi Copper Co., Ltd.		CID000855		Conformant

 

 

Gold		JSC Ekaterinburg Non-Ferrous Metal Processing Plant		CID000927		RMI Due Diligence Review - Unable to Proceed
Gold		JSC Uralelectromed		CID000929		Conformant
Gold		JX Nippon Mining & Metals Co., Ltd.		CID000937		Conformant
Gold		Kaloti Precious Metals		CID002563		RMI Due Diligence Review - Unable to Proceed
Gold		Kazakhmys Smelting LLC		CID000956		In Communication
Gold		Kazzinc		CID000957		Conformant
Gold		Kennecott Utah Copper LLC		CID000969		Conformant
Gold		KGHM Polska Miedz Spolka Akcyjna		CID002511		Conformant
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		Outreach Required
Gold		L’azurde Company For Jewelry		CID001032		RMI Due Diligence Review - Unable to Proceed
Gold		Lingbao Gold Co., Ltd.		CID001056		Outreach Required
Gold		Lingbao Jinyuan Tonghui Refinery Co., Ltd.		CID001058		Outreach Required
Gold		L’Orfebre S.A.		CID002762		Conformant
Gold		LS-NIKKO Copper Inc.		CID001078		Conformant
Gold		LT Metal Ltd.		CID000689		Conformant
Gold		Luoyang Zijin Yinhui Gold Refinery Co., Ltd.		CID001093		Outreach Required
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		Metalurgica Met-Mex Penoles 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		Communication Suspended - Not Interested

 

 

Gold		Moscow Special Alloys Processing Plant		CID001204		Conformant
Gold		Nadir Metal Rafineri San. Ve Tic. A.S.		CID001220		Conformant
Gold		Navoi Mining and Metallurgical Combinat		CID001236		Outreach Required
Gold		NH Recytech Company		CID003189		Non Conformant
Gold		Nihon Material Co., Ltd.		CID001259		Conformant
Gold		Ogussa Osterreichische 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		Outreach Required
Gold		Penglai Penggang Gold Industry Co., Ltd.		CID001362		Outreach Required
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 Precinox S.A.		CID001498		Conformant
Gold		QG Refining, LLC		CID003324		Outreach Required
Gold		Rand Refinery (Pty) Ltd.		CID001512		Conformant
Gold		Refinery of Seemine Gold Co., Ltd.		CID000522		Outreach Required
Gold		REMONDIS PMR B.V.		CID002582		Conformant
Gold		Royal Canadian Mint		CID001534		Conformant
Gold		SAAMP		CID002761		Conformant
Gold		Sabin Metal Corp.		CID001546		Outreach Required
Gold		Safimet S.p.A		CID002973		Conformant
Gold		SAFINA A.S.		CID002290		Active
Gold		Sai Refinery		CID002853		Outreach Required
Gold		Samduck Precious Metals		CID001555		Conformant
Gold		Samwon Metals Corp.		CID001562		Communication Suspended - Not Interested
Gold		SAXONIA Edelmetalle GmbH		CID002777		Conformant
Gold		SEMPSA Joyeria Plateria S.A.		CID001585		Conformant
Gold		Shandong Humon Smelting Co., Ltd.		CID002525		Outreach Required
Gold		Shandong Tiancheng Biological Gold Industrial Co., Ltd.		CID001619		Outreach Required
Gold		Shandong Zhaojin Gold & Silver Refinery Co., Ltd.		CID001622		Conformant

 

 

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		Sovereign Metals		CID003383		Outreach Required
Gold		State Research Institute Center for Physical Sciences and Technology		CID003153		Outreach Required
Gold		Sudan Gold Refinery		CID002567		Outreach Required
Gold		Sumitomo Metal Mining Co., Ltd.		CID001798		Conformant
Gold		SungEel HiMetal Co., Ltd.		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		Outreach Required
Gold		Tony Goetz NV		CID002587		Non Conformant
Gold		TOO Tau-Ken-Altyn		CID002615		Conformant
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		Valcambi S.A.		CID002003		Conformant
Gold		Western Australian Mint (T/a The Perth Mint)		CID002030		Conformant
Gold		WIELAND Edelmetalle GmbH		CID002778		Conformant
Gold		Yamakin Co., Ltd.		CID002100		Conformant
Gold		Yokohama Metal Co., Ltd.		CID002129		Conformant
Gold		Yunnan Copper Industry Co., Ltd.		CID000197		Outreach Required
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		CP Metals Inc.		CID003402		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 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 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		LSM Brasil S.A.		CID001076		Conformant
Tantalum		Metallurgical Products India Pvt., Ltd.		CID001163		Conformant
Tantalum		Mineracao 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		PRG Dooel		CID002847		Conformant
Tantalum		QuantumClean		CID001508		Conformant
Tantalum		Resind Industria e Comercio Ltda.		CID002707		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
Tantalum		Yanling Jincheng Tantalum & Niobium Co., Ltd.		CID001522		Conformant
Tin		Alpha		CID000292		Conformant
Tin		An Vinh Joint Stock Mineral Processing Company		CID002703		Outreach Required
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		Dongguan CiEXPO Environmental Engineering Co., Ltd.		CID003356		Non 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 Rondonia S.A.		CID000448		In Communication
Tin		Fenix Metals		CID000468		Conformant
Tin		Gejiu City Fuxiang Industry and Trade Co., Ltd.		CID003410		Outreach Required
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		Guangdong Hanhe Non-Ferrous Metal Co., Ltd.		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		Luna Smelter, Ltd.		CID003387		Conformant
Tin		Ma’anshan Weitai Tin Co., Ltd.		CID003379		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		Mineracao Taboca S.A.		CID001173		Conformant
Tin		Minsur		CID001182		Conformant
Tin		Mitsubishi Materials Corporation		CID001191		Conformant
Tin		Modeltech Sdn Bhd		CID002858		Non Conformant
Tin		Nghe Tinh Non-Ferrous Metals Joint Stock Company		CID002573		Outreach Required
Tin		O.M. Manufacturing (Thailand) Co., Ltd.		CID001314		Conformant
Tin		O.M. Manufacturing Philippines, Inc.		CID002517		Conformant
Tin		Operaciones Metalurgicas S.A.		CID001337		Conformant
Tin		Pongpipat Company Limited		CID003208		Outreach Required
Tin		Precious Minerals and Smelting Limited		CID003409		Active
Tin		PT Artha Cipta Langgeng		CID001399		Conformant

 

 

Tin		PT ATD Makmur Mandiri Jaya		CID002503		Conformant
Tin		PT Menara Cipta Mulia		CID002835		Conformant
Tin		PT Mitra Stania Prima		CID001453		Conformant
Tin		PT Refined Bangka Tin		CID001460		Conformant
Tin		PT Timah Tbk Kundur		CID001477		Conformant
Tin		PT Timah Tbk Mentok		CID001482		Conformant
Tin		Resind Industria e Comercio Ltda.		CID002706		Conformant
Tin		Rui Da Hung		CID001539		Conformant
Tin		Soft Metais Ltda.		CID001758		Conformant
Tin		Super Ligas		CID002756		Outreach Required
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		Outreach Required
Tin		White Solder Metalurgia e Mineracao Ltda.		CID002036		Conformant
Tin		Yunnan Chengfeng Non-ferrous Metals Co., Ltd.		CID002158		Conformant
Tin		Yunnan Tin Company Limited		CID002180		Conformant
Tin		Yunnan Yunfan Non-ferrous Metals Co., Ltd.		CID003397		Conformant
Tungsten		A.L.M.T. Corp.		CID000004		Conformant
Tungsten		ACL Metais Eireli		CID002833		Conformant
Tungsten		Albasteel Industria e Comercio de Ligas Para Fundicao Ltd.		CID003427		Active
Tungsten		Asia Tungsten Products Vietnam Ltd.		CID002502		Conformant
Tungsten		Chenzhou Diamond Tungsten Products Co., Ltd.		CID002513		Conformant
Tungsten		China Molybdenum Co., Ltd.		CID002641		In Communication
Tungsten		Chongyi Zhangyuan Tungsten Co., Ltd.		CID000258		Conformant
Tungsten		CNMC (Guangxi) PGMA Co., Ltd.		CID000281		Outreach Required
Tungsten		CP Metals Inc.		CID003448		Active
Tungsten		Fujian Ganmin RareMetal Co., Ltd.		CID003401		Conformant
Tungsten		Fujian Jinxin Tungsten Co., Ltd.		CID000499		Conformant
Tungsten		Ganzhou Haichuang Tungsten 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		Global Tungsten & Powders Corp.		CID000568		Conformant
Tungsten		Guangdong Xianglu Tungsten Co., Ltd.		CID000218		Conformant
Tungsten		H.C. Starck Smelting GmbH & Co. KG		CID002542		Conformant