As filed with the Securities and Exchange Commission on May 31, 2024

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM SD

(SPECIALIZED DISCLOSURE REPORT)

 

 

 

EMCORE CORPORATION

(Exact name of registrant as specified in its charter)

 

 

 

    
New Jersey  001-36632
    
(State or other jurisdiction of incorporation)  (Commission file number)
    
450 Clark Dr., Budd Lake, NJ 08728    07828
    
(Address of principle executive offices)  (Zip code)
   

 

 

 

Ryan Hochgesang 

VP, General Counsel 

(626) 293-3400 

(Name and telephone number, including area code, of the person to contact in connection with this report)

 

 

 

Check the appropriate box to indicate the rule pursuant to which the form is being filed:

 

x Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2023.

 

¨ Rule 13q-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the fiscal year ended December 31, 2023.

 

 

 

 

 

 

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, 2023. The Conflict Minerals Report is publicly available at the following Internet website: http://www.emcore.com/our-company/quality-management/supply-chain-management/.

 

Item 1.02 Exhibit

 

The Conflict Minerals Report required by Item 1.01 is provided as Exhibit 1.01 to this Form SD.

 

SECTION 2 - Resource Extraction Issuer Disclosure

 

Item 2.01 Resource Extraction Issuer Disclosure and Report

 

Not applicable.

 

SECTION 3 – EXHIBITS

 

Item 3.01 Exhibits

 

The following Exhibit is filed as part of this report.

 

Exhibit 1.01 - Conflict Minerals Report

 

 

 

 

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 31, 2024  
  By: /s/ Tom Minichiello
  Name: Tom Minichiello
  Title: Chief Financial Officer
 

 

 

 

EMCORE Corporation

Form SD-2023

 

Exhibit 1.01

Conflict Minerals Report

 

 

 

 

 

Conflict Minerals Disclosure

 

I.              Introduction

 

EMCORE Corporation is providing this Conflict Minerals Report (“CMR”) for the calendar year ended December 31, 2023, as an exhibit to Form SD, pursuant to Rule 13p-1 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

 

We are a leading provider of inertial navigation products for the aerospace and defense markets and have also been a manufacturer of lasers and optical subsystems for use in the Cable TV (“CATV”) industry. We leverage industry-leading Photonic Integrated Chip (PIC), Quartz MEMS, and Lithium Niobate chip-level technology to deliver state-of-the-art component and system-level products across our end-market applications. Over the last five years, we have expanded our scale and portfolio of inertial sensor products through the acquisitions of Systron Donner Inertial, Inc. in June 2019, the Space and Navigation business of L3Harris Technologies, Inc. in April 2022, and the FOG and Inertial Navigation Systems business of KVH Industries, Inc. in August 2022. We have vertically-integrated manufacturing capability at our facilities in Budd Lake, NJ, Concord, CA, Tinley Park, IL, and Alhambra, CA. Our manufacturing facilities maintain ISO 9001 quality management certification, and we are AS9100 aerospace quality certified at our facilities in Budd Lake and Concord. These facilities support our vertically-integrated manufacturing strategy for quartz, FOG, and Ring Laser Gyro products for navigation systems.

 

As described in this CMR, certain of our 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

 

We are committed to responsible sourcing from our suppliers and each supplier is required to provide information about their Conflict Minerals programs and sourcing practices related to 3TGs by submitting a CMRT (as defined below). At our request, each of our suppliers shall permit us to assess its practices and procedures and shall provide us with any information reasonably requested. In addition, each supplier agrees to provide information to us necessary for us to comply with our 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/.

 

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III.         Reasonable Country of Origin Inquiry Information

 

We have conducted a good faith reasonable country of origin inquiry (“RCOI”) to determine whether the 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 (as defined below) 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, we track program gaps to account for future improvement opportunities. As of May 14, 2024, there were three 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, our 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 6.01. 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 us also assisted us in conducting due diligence on the source and chain of custody of 3TGs in our products. Our 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.

 

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Our due diligence measures have been designed to conform in all material respects to the internationally- recognized due diligence guidance 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 guidance (the “OECD Guidance”) is the only due diligence framework recognized by the Securities and Exchange Commission (“SEC”) to date. The OECD Guidance stresses five main areas of due diligence design, detailed below in IV(a) – (e).

 

Due diligence requires our 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 us. 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, we have assigned a Director of Supply Chain Management 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, we have requested that suppliers of goods incorporated into our products provide us with CMRTs for their products (see below, Section IV(b & c)). Third, our 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 ( “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 SORs that have systems in place to assure sourcing of only conflict-free materials.

 

We also leverage the Consultant’s managed services in order to work with dedicated program specialists who support our Conflict Minerals program. We communicate 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 our 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.ethicspoint.com or by calling 1-833-626-1524 in the United States, or with the associated country code outside the United States.

 

Maintain Records

 

We have 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.

 

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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”). We do not have a direct relationship with smelters and refiners and do not perform direct audits of these entities within the supply chain. SORs that have completed an RMAP audit are considered to be DRC-conflict free. In cases where the SORs’ 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. SORs are then assessed for the potential for sourcing risk. We also attempted to ascertain whether the smelter or refiner information provided was specific to the products supplied to us to determine whether the identified SORs are in our 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 Covered Countries;

·Known mineral source country of origin;

·RMAP audit status;

·Credible evidence of unethical or conflict sourcing; and

·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 us, 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 our products list.

 

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d.            Carry Out Independent Third-Party Audit of Supply Chain Due Diligence at Identified Points in the Supply Chain

 

Because we do not source 3TG directly from SORs, we rely on third parties, including the RMI, to coordinate and conduct third-party audits of these facilities. We utilize the published results of these third-party audits to determine whether a specified smelter or refiner processes 3TG that directly or indirectly finances or benefits 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

 

This CMR is available under “Quality Management” and “Supply Chain Management” in the “Company” section of our website at https://emcore.com/our-company/quality-management/supply-chain-management/. We will file a Form SD (and CMRs, as necessary) with the SEC on an annual basis, pursuant to the Rule.

 

V.            Due Diligence Results

 

a.Supply Chain Outreach Results

 

Supply chain outreach is required to identify the upstream sources of origin of tin, tantalum, tungsten and gold. Following the industry standard process, CMRTs are sent to and requested from Tier 1 suppliers, who are expected to follow this process until the smelter and refiner sources are identified. As of May 14, 2024, there were 368 suppliers in scope of the Conflict Minerals program and 261 provided a completed CMRT. Our total response rate for this reporting year was 71%.

 

b.            Upstream Data Transparency

 

All smelters and refiners listed by suppliers in completed CMRTs, which appear on the RMI-maintained smelters list, are attached in Appendix A. As is a common practice when requests are sent upstream in the supply chain, those who purchase materials from smelters may not be able to discern exactly which companies’ product lines the materials may end up in. As a result, those providing the smelters and refiners have the practice of listing all smelters and refiners they may purchase from within the reporting period. Therefore, the SORs (as sources) listed in Appendix A are likely to be more comprehensive than the list of SORs which actually processed the 3TGs contained in our products.

 

Although the potential for over-reporting is understood, we have taken measures to validate these sources of origin against validated audit programs intended to verify the material types and mine sources of origin for these smelters and refiners. Suppliers that identified these specific SORs of concern on their CMRT were contacted in accordance with the OECD Guidance to inform them of the potential for risk, and to evaluate whether or not these SORs could be connected to our products. The suppliers were asked to complete a user-defined or product-level CMRT specific to the materials, products or piece parts purchased by us, rather than a company-level CMRT, to better identify the connection to products that they supply to us. Other suppliers were evaluated internally to determine if they were in fact still active suppliers. If not, they were removed from the scope of data collection.

 

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c.            Countries of Origin

 

Appendix B includes an aggregated list of countries of origin from which the reported facilities collectively source 3TGs, based on information provided through the CMRT data collection process, from direct smelter outreach and the RMAP. As mentioned in the above section, it is understood that many responses may provide more data than can be directly linked to products sold by us. Therefore, Appendix B may contain more countries than those that our products are being sourced from. We have taken, or intend to take, the following steps to improve the due diligence conducted to further mitigate any risk that the necessary 3TGs in our products could benefit armed groups in the DRC or adjoining countries:

 

·Continue to evaluate upstream sources through a broader set of tools to evaluate risk. These include, but are not limited to:

oUsing a comprehensive smelter and refiner library with detailed status and notes for each listing.

oScanning for credible media on each smelter and refiner to flag risk issues.

oComparing the list of smelters and refiners against government watch and denied parties lists.

·Engage with suppliers more closely and provide more information and training resources regarding responsible sourcing of 3TGs.

·Encourage suppliers to have due diligence procedures in place for their supply chains to improve the content of the responses from such suppliers.

·Continue to include a Conflict Minerals flow-down clause in new or renewed supplier contracts, as well as included in the terms and conditions of each purchase order issued.

·Following the OECD Guidance process, increase the emphasis on clean and validated smelter and refiner information from the supply chain through feedback and detailed smelter analysis.

 

d.            Smelter & Refiner Risk Evaluation

 

Understanding the risks associated with the smelters and refiners potentially providing material into our supply chain is an important part of the due diligence process. Through the Consultant, comprehensive and ongoing analysis is conducted by the Consultant’s smelter library manager to assess sourcing risk. This information is used to:

 

·Provide suppliers with feedback.

·Determine the effectiveness of our overall program.

·Conduct outreach to smelters, refiners and their respective associations.

·Provide detailed analysis in this report.

 

The following risk categories are used for smelter evaluation and risk determination:

 

·Geo-risk

oWhether the mineral originated from or has been transported through a conflict-affected area as defined by Section 1502 of the Dodd-Frank Act (the DRC and its nine adjoining countries: Angola, Burundi, Central African Republic, Republic of the Congo, Rwanda, South Sudan, Tanzania, Uganda, and Zambia).

 

·Audit status

oWhether the refiner’s due diligence practices have been audited against a standard in conformance with the OECD Guidance.

oThe Consultant relies on the RMI audit standard, including cross-recognition of the London Bullion Market Association (“LBMA”) Good Delivery Program and the Responsible Jewelry Council Chain of Custody Certification, which are developed according to global standards, including the OECD Guidance.

 

·Sourcing risk

oWhether evidence of any other red flag that is supported by credible sources has been identified.

 

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VI.           Product Description; Processing Facilities

 

Product Description – Our business is of a broad portfolio of compound semiconductor-based products for the aerospace and defense markets and, previously and historically, the Broadband market.

 

·Inertial Navigation Products

 

These include products ranging from tactical to navigational grade gyros (including fiber optics gyroscopes, ring laser gyroscopes and Quartz MEMS gyroscopes), accelerometers, IMU and INS that have broad application within the aerospace and defense markets, including guidance, navigation, control, pointing, and stabilization applications in commercial and military aircraft, unmanned aerial systems, unmanned autonomous vehicles, land vehicles, precision guided weapons, and industrial and marine.

 

·Defense Optoelectronics Products

 

These included transmitters, receivers, subsystems, and systems that transport ultra-broadband, wideband radio frequency and microwave signals between satellite hub equipment and antenna dishes, with applications including satellite antenna remoting and signal distribution, inter- and intra-facility links, site diversity systems, high-performance supertrunking links, electronic warfare systems, and radar testing. These product families were sold in connection with the sale of our Defense Optoelectronics business to Ortel LLC in October 2023.

 

·Cable TV Lasers and Transmitters Products

 

These included forward and return-path 1310 nm and 1550 nm distributed feedback analog lasers, optical receivers optimized for CATV, data over cable service interface specification 3.1 and wireless, broadband photodiodes used in forward-and return-path broadband, subassembly components, analog fiber-optic transmitters, quadrature amplitude modulation transmitters, and CATV fiber amplifiers. These product families were sold in connection with the sale of our CATV business to Ortel LLC in October 2023.

 

·Optical Sensing Products

 

These included narrow linewidth 1310 and 1550 nm DFB lasers optimized for Light Detecting and Ranging (“LiDAR”) and distributed sensing applications and a continuous wavelength, coherent optical source laser for frequency modulation continuous wavelength (“FMCW”) sensing LiDAR applications. These product families were sold in connection with the sale of our optical sensing business to Ortel LLC in October 2023.

 

·Data Center Chips

 

These included custom chip devices tailored to specific customer requirements and applications for linear, coherent laser sources. These product families were sold in connection with the sale of our Chips business to HieFo Corporation in April 2024.

 

Processing Facilities – Based on our RCOI or due diligence process, as applicable, and the information received from our suppliers, the facilities listed on Appendix A were identified by our suppliers as the smelters and refiners that processed the 3TG present in and necessary to the functionality of products manufactured by us in the calendar year ended December 31, 2023.

 

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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.

 

VII.         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, we 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 2023 or provided incomplete responses to help with our data collections for 2023.

·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.

 

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Appendix A

 

Smelter and Refiner Information

 

Metal Standard Smelter Name Smelter ID RMI Audit Status*
Tantalum 5D Production OU CID003926 Outreach Required
Gold 8853 S.p.A. CID002763 Non Conformant
Tungsten A.L.M.T. Corp. CID000004 Conformant
Gold ABC Refinery Pty Ltd. CID002920 Outreach Required
Gold Abington Reldan Metals, LLC CID002708 Conformant
Tungsten ACL Metais Eireli CID002833 Non Conformant
Gold Advanced Chemical Company CID000015 Active
Gold African Gold Refinery** CID003185 RMI Due Diligence Review - Unable to Proceed
Gold Agosi AG CID000035 Conformant
Gold Aida Chemical Industries Co., Ltd. CID000019 Conformant
Gold Al Etihad Gold Refinery DMCC CID002560 Non Conformant
Tungsten Albasteel Industria e Comercio de Ligas Para Fundicao Ltd. CID003427 Non Conformant
Gold Albino Mountinho Lda. CID002760 Outreach Required
Gold Alexy Metals CID003500 Non Conformant
Gold Almalyk Mining and Metallurgical Complex (AMMC) CID000041 Conformant
Tin Alpha CID000292 Conformant
Tantalum AMG Brasil CID001076 Conformant
Tin An Vinh Joint Stock Mineral Processing Company CID002703 Outreach Required
Gold AngloGold Ashanti Corrego do Sitio Mineracao CID000058 Conformant
Gold Argor-Heraeus S.A. CID000077 Conformant
Tungsten Artek LLC CID003553 RMI Due Diligence Review - Unable to Proceed
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
Tungsten Asia Tungsten Products Vietnam Ltd. CID002502 Conformant
Gold Atasay Kuyumculuk Sanayi Ve Ticaret A.S. CID000103 Outreach Required
Gold AU Traders and Refiners CID002850 Non Conformant
Gold Augmont Enterprises Private Limited CID003461 Non Conformant

 

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Gold Aurubis AG CID000113 Conformant
Tin Aurubis Beerse CID002773 Conformant
Tin Aurubis Berango CID002774 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 Outreach Required
Gold CCR Refinery - Glencore Canada Corporation CID000185 Conformant
Gold Cendres + Metaux S.A. CID000189 Non Conformant
Gold CGR Metalloys Pvt Ltd. CID003382 Outreach Required
Tin Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. CID000228 Conformant
Tin Chifeng Dajingzi Tin Industry Co., Ltd. CID003190 Conformant
Gold Chimet S.p.A. CID000233 Conformant
Tungsten China Molybdenum Tungsten Co., Ltd. CID002641 Conformant
Tin China Tin Group Co., Ltd. CID001070 Conformant
Tungsten Chongyi Zhangyuan Tungsten Co., Ltd. CID000258 Conformant
Gold Chugai Mining CID000264 Conformant
Tungsten CNMC (Guangxi) PGMA Co., Ltd. CID000281 Outreach Required
Gold Coimpa Industrial LTDA CID004010 Conformant
Tin CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda CID003486 Conformant
Tin CRM Synergies CID003524 Conformant
Tungsten Cronimet Brasil Ltda CID003468 Conformant
Tin CV Ayi Jaya CID002570 Conformant
Tin CV Venus Inti Perkasa CID002455 Conformant
Tantalum D Block Metals, LLC CID002504 Conformant
Gold Daye Non-Ferrous Metals Mining Ltd. CID000343 Outreach Required
Gold Degussa Sonne / Mond Goldhandel GmbH CID002867 Outreach Required
Gold Dijllah Gold Refinery FZC CID003348 Outreach Required
Tin Dongguan CiEXPO Environmental Engineering Co., Ltd. CID003356 Non Conformant
Tungsten DONGKUK INDUSTRIES CO., LTD. CID004060 Outreach Required
Gold Dongwu Gold Group CID003663 Outreach Required
Gold Dowa CID000401 Conformant
Tin Dowa CID000402 Conformant
Tin DS Myanmar CID003831 Conformant
Gold DSC (Do Sung Corporation) CID000359 Conformant

 

10 
 

 

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
Tin Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company CID002572 Non Conformant
Tin EM Vinto CID000438 Conformant
Gold Emerald Jewel Industry India Limited (Unit 1) CID003487 Outreach Required
Gold Emerald Jewel Industry India Limited (Unit 2) CID003488 Outreach Required
Gold Emerald Jewel Industry India Limited (Unit 3) CID003489 Outreach Required
Gold Emerald Jewel Industry India Limited (Unit 4) CID003490 Outreach Required
Gold Emirates Gold DMCC CID002561 Non Conformant
Tin Estanho de Rondonia S.A. CID000448 Conformant
Tantalum F&X Electro-Materials Ltd. CID000460 Conformant
Tin Fabrica Auricchio Industria e Comercio Ltda. CID003582 Conformant
Tin Fenix Metals CID000468 Conformant
Gold Fidelity Printers and Refiners Ltd. CID002515 RMI Due Diligence Review - Unable to Proceed
Tantalum FIR Metals & Resource Ltd. CID002505 Conformant
Gold Fujairah Gold FZC CID002584 Outreach Required
Tungsten Fujian Xinlu Tungsten Co., Ltd. CID003609 Conformant
Tungsten Ganzhou Jiangwu Ferrotungsten Co., Ltd. CID002315 Conformant
Tungsten Ganzhou Seadragon W & Mo Co., Ltd. CID002494 Conformant
Tin Gejiu City Fuxiang Industry and Trade Co., Ltd. CID003410 Outreach Required
Tin Gejiu Kai Meng Industry and Trade LLC CID000942 Non Conformant
Tin Gejiu Non-Ferrous Metal Processing Co., Ltd. CID000538 Conformant
Tin Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. CID001908 Non Conformant
Tin Gejiu Zili Mining And Metallurgy Co., Ltd. CID000555 Non Conformant
Gold GG Refinery Ltd. CID004506 Active
Gold GGC Gujrat Gold Centre Pvt. Ltd. CID002852 Non Conformant
Tantalum Global Advanced Metals Aizu CID002558 Conformant
Tantalum Global Advanced Metals Boyertown CID002557 Conformant
Tungsten Global Tungsten & Powders LLC CID000568 Conformant
Gold Gold by Gold Colombia CID003641 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
Tin Guangdong Hanhe Non-Ferrous Metal Co., Ltd. CID003116 Conformant
Gold Guangdong Jinding Gold Limited CID002312 Outreach Required

 

11 
 

 

Tantalum Guangdong Rising Rare Metals-EO Materials Ltd. CID000291 Conformant
Tungsten Guangdong Xianglu Tungsten Co., Ltd. CID000218 Conformant
Gold Guoda Safina High-Tech Environmental Refinery Co., Ltd. CID000651 Outreach Required
Tungsten H.C. Starck Tungsten GmbH CID002541 Conformant
Gold Hangzhou Fuchunjiang Smelting Co., Ltd. CID000671 Outreach Required
Tungsten HANNAE FOR T Co., Ltd. CID003978 Outreach Required
Gold Heimerle + Meule GmbH CID000694 Conformant
Tantalum Hengyang King Xing Lifeng New Materials Co., Ltd. CID002492 Conformant
Gold Heraeus Germany GmbH Co. KG CID000711 Conformant
Gold Heraeus Metals Hong Kong Ltd. CID000707 Conformant
Tungsten Hubei Green Tungsten Co., Ltd. CID003417 Conformant
Tin HuiChang Hill Tin Industry Co., Ltd. CID002844 Conformant
Gold Hunan Chenzhou Mining Co., Ltd. CID000767 Outreach Required
Tungsten Hunan Chenzhou Mining Co., Ltd. CID000766 Conformant
Gold Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd. CID000773 Outreach Required
Tungsten Hunan Jintai New Material Co., Ltd. CID000769 Non Conformant
Tungsten Hunan Shizhuyuan Nonferrous Metals Co., Ltd. Chenzhou Tungsten Products Branch CID002513 Conformant
Gold HwaSeong CJ CO., LTD. CID000778 Communication Suspended - Not Interested
Tungsten Hydrometallurg, JSC CID002649 RMI Due Diligence Review - Unable to Proceed
Gold Industrial Refining Company CID002587 Non Conformant
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
Tungsten Japan New Metals Co., Ltd. CID000825 Conformant
Tungsten Jiangwu H.C. Starck Tungsten Products Co., Ltd. CID002551 Conformant
Gold Jiangxi Copper Co., Ltd. CID000855 Conformant
Tantalum Jiangxi Dinghai Tantalum & Niobium Co., Ltd. CID002512 Conformant
Tungsten Jiangxi Gan Bei Tungsten Co., Ltd. CID002321 Conformant

 

12 
 

 

Tungsten Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. CID002313 Communication Suspended - Not Interested
Tin Jiangxi New Nanshan Technology Ltd. CID001231 Conformant
Tungsten Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. CID002318 Conformant
Tantalum Jiangxi Tuohong New Raw Material CID002842 Conformant
Tungsten Jiangxi Xinsheng Tungsten Industry Co., Ltd. CID002317 Conformant
Tungsten Jiangxi Yaosheng Tungsten Co., Ltd. CID002316 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
Tungsten JSC "Kirovgrad Hard Alloys Plant" CID003408 RMI Due Diligence Review - Unable to Proceed
Gold JSC Ekaterinburg Non-Ferrous Metal Processing Plant CID000927 RMI Due Diligence Review - Unable to Proceed
Gold JSC Novosibirsk Refinery CID000493 RMI Due Diligence Review - Unable to Proceed
Gold JSC Uralelectromed CID000929 RMI Due Diligence Review - Unable to Proceed
Gold JX Nippon Mining & Metals Co., Ltd. CID000937 Conformant
Gold K.A. Rasmussen CID003497 Outreach Required
Gold Kaloti Precious Metals CID002563 RMI Due Diligence Review - Unable to Proceed
Gold Kazakhmys Smelting LLC CID000956 Outreach Required
Gold Kazzinc CID000957 Conformant
Tantalum KEMET de Mexico CID002539 Conformant
Tungsten Kenee Mining Corporation Vietnam CID004619 Active
Tungsten Kennametal Fallon CID000966 Conformant
Tungsten Kennametal Huntsville CID000105 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 Kundan Care Products Ltd. CID003463 Outreach Required
Gold Kyrgyzaltyn JSC CID001029 Non Conformant
Gold Kyshtym Copper-Electrolytic Plant ZAO CID002865 RMI Due Diligence Review - Unable to Proceed

 

13 
 

 

Gold L'azurde Company For Jewelry CID001032 RMI Due Diligence Review - Unable to Proceed
Tungsten Lianyou Metals Co., Ltd. CID003407 Conformant
Tungsten Lianyou Resources Co., Ltd. CID004397 Conformant
Gold Lingbao Gold Co., Ltd. CID001056 Outreach Required
Gold Lingbao Jinyuan Tonghui Refinery Co., Ltd. CID001058 Outreach Required
Tungsten LLC Vostok CID003643 RMI Due Diligence Review - Unable to Proceed
Gold L'Orfebre S.A. CID002762 Conformant
Gold LS-NIKKO Copper Inc. CID001078 Conformant
Gold LT Metal Ltd. CID000689 Conformant
Tin Luna Smelter, Ltd. CID003387 Conformant
Gold Luoyang Zijin Yinhui Gold Refinery Co., Ltd. CID001093 Outreach Required
Tin Ma'anshan Weitai Tin Co., Ltd. CID003379 Non Conformant
Tin Magnu's Minerais Metais e Ligas Ltda. CID002468 Conformant
Tin Malaysia Smelting Corporation (MSC) CID001105 Conformant
Tin Malaysia Smelting Corporation Berhad (Port Klang) CID004434 In Communication
Tungsten Malipo Haiyu Tungsten Co., Ltd. CID002319 Conformant
Gold Marsam Metals CID002606 Non Conformant
Tungsten Masan High-Tech Materials CID002543 Conformant
Gold Materion CID001113 Conformant
Tantalum Materion Newton Inc. CID002548 Conformant
Gold Matsuda Sangyo Co., Ltd. CID001119 Conformant
Gold MD Overseas CID003548 Outreach Required
Tin Melt Metais e Ligas S.A. CID002500 Non Conformant
Gold Metal Concentrators SA (Pty) Ltd. CID003575 Conformant
Tin Metallic Resources, Inc. CID001142 Conformant
Gold Metallix Refining Inc. CID003557 Outreach Required
Tantalum Metallurgical Products India Pvt., Ltd. CID001163 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

 

14 
 

 

Tantalum Mineracao Taboca S.A. CID001175 Conformant
Tin Mineracao Taboca S.A. CID001173 Conformant
Tin Mining Minerals Resources SARL CID004065 Conformant
Tin Minsur CID001182 Conformant
Gold Mitsubishi Materials Corporation CID001188 Conformant
Tin Mitsubishi Materials Corporation CID001191 Conformant
Gold Mitsui Mining and Smelting Co., Ltd. CID001193 Conformant
Tantalum Mitsui Mining and Smelting Co., Ltd. CID001192 Conformant
Gold MKS PAMP SA CID001352 Conformant
Gold MMTC-PAMP India Pvt., Ltd. CID002509 Conformant
Gold Modeltech Sdn Bhd CID002857 Non Conformant
Tin Modeltech Sdn Bhd CID002858 Non Conformant
Tungsten Moliren Ltd. CID002845 RMI Due Diligence Review - Unable to Proceed
Gold Morris and Watson CID002282 Outreach Required
Gold Moscow Special Alloys Processing Plant CID001204 RMI Due Diligence Review - Unable to Proceed
Gold Nadir Metal Rafineri San. Ve Tic. A.S. CID001220 Conformant
Tungsten Nam Viet Cromit Joint Stock Company CID004034 Outreach Required
Gold Navoi Mining and Metallurgical Combinat CID001236 Conformant
Tin Nghe Tinh Non-Ferrous Metals Joint Stock Company CID002573 Outreach Required
Gold NH Recytech Company CID003189 Conformant
Tungsten Niagara Refining LLC CID002589 Conformant
Gold Nihon Material Co., Ltd. CID001259 Conformant
Tantalum Ningxia Orient Tantalum Industry Co., Ltd. CID001277 Conformant
Tin Novosibirsk Tin Combine CID001305 RMI Due Diligence Review - Unable to Proceed
Tantalum NPM Silmet AS CID001200 Conformant
Tungsten NPP Tyazhmetprom LLC CID003416 RMI Due Diligence Review - Unable to Proceed
Tin O.M. Manufacturing (Thailand) Co., Ltd. CID001314 Conformant
Tin O.M. Manufacturing Philippines, Inc. CID002517 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 RMI Due Diligence Review - Unable to Proceed
Tungsten OOO “Technolom” 1 CID003614 RMI Due Diligence Review - Unable to Proceed

 

15 
 

 

Tungsten OOO “Technolom” 2 CID003612 RMI Due Diligence Review - Unable to Proceed
Tin Operaciones Metalurgicas S.A. CID001337 Conformant
Gold Pease & Curren CID002872 Communication Suspended - Not Interested
Gold Penglai Penggang Gold Industry Co., Ltd. CID001362 Outreach Required
Tungsten Philippine Chuangxin Industrial Co., Inc. CID002827 Conformant
Gold Planta Recuperadora de Metales SpA CID002919 Conformant
Tin Pongpipat Company Limited CID003208 Outreach Required
Tantalum PowerX Ltd. CID004054 Conformant
Tin Precious Minerals and Smelting Limited CID003409 Active
Gold Prioksky Plant of Non-Ferrous Metals CID001386 RMI Due Diligence Review - Unable to Proceed
Gold PT Aneka Tambang (Persero) Tbk CID001397 Conformant
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 Active
Tin PT Belitung Industri Sejahtera CID001421 Conformant
Tin PT Bukit Timah CID001428 Conformant
Tin PT Cipta Persada Mulia CID002696 Conformant
Tin PT Menara Cipta Mulia CID002835 Conformant
Tin PT Mitra Stania Prima CID001453 Conformant
Tin PT Mitra Sukses Globalindo CID003449 Conformant
Tin PT Panca Mega Persada CID001457 Outreach Required
Tin PT Premium Tin Indonesia CID000313 Conformant
Tin PT Prima Timah Utama CID001458 Conformant
Tin PT Putera Sarana Shakti (PT PSS) CID003868 Conformant
Tin PT Rajawali Rimba Perkasa CID003381 Conformant
Tin PT Rajehan Ariq CID002593 Conformant
Tin PT Refined Bangka Tin CID001460 Conformant

 

16 
 

 

Tin PT Sariwiguna Binasentosa CID001463 Conformant
Tin PT Stanindo Inti Perkasa CID001468 Conformant
Tin PT Sukses Inti Makmur CID002816 Conformant
Tin PT Timah Nusantara CID001486 Conformant
Tin PT Timah Tbk Kundur CID001477 Conformant
Tin PT Timah Tbk Mentok CID001482 Conformant
Tin PT Tinindo Inter Nusa CID001490 Conformant
Tin PT Tirus Putra Mandiri CID002478 Communication Suspended - Not Interested
Tin PT Tommy Utama CID001493 Conformant
Gold PX Precinox S.A. CID001498 Conformant
Gold QG Refining, LLC CID003324 Outreach Required
Tantalum QuantumClean CID001508 Conformant
Gold Rand Refinery (Pty) Ltd. CID001512 Conformant
Gold Refinery of Seemine Gold Co., Ltd. CID000522 Outreach Required
Gold REMONDIS PMR B.V. CID002582 Conformant
Tantalum Resind Industria e Comercio Ltda. CID002707 Conformant
Tin Resind Industria e Comercio Ltda. CID002706 Conformant
Tantalum RFH Yancheng Jinye New Material Technology Co., Ltd. CID003583 Conformant
Gold Royal Canadian Mint CID001534 Conformant
Tin Rui Da Hung CID001539 Conformant
Gold SAAMP CID002761 Non Conformant
Gold Sabin Metal Corp. CID001546 Communication Suspended - Not Interested
Gold Safimet S.p.A CID002973 Non Conformant
Gold SAFINA A.S. CID002290 Conformant
Gold Sai Refinery CID002853 Outreach Required
Gold Sam Precious Metals CID003666 Outreach Required
Gold Samduck Precious Metals CID001555 Non Conformant
Gold Samwon Metals Corp. CID001562 Communication Suspended - Not Interested
Gold SEMPSA Joyeria Plateria S.A. CID001585 Conformant
Gold Shandong Gold Smelting Co., Ltd. CID001916 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

 

17 
 

 

Gold Shenzhen CuiLu Gold Co., Ltd. CID002750 Outreach Required
Gold Shenzhen Zhonghenglong Real Industry Co., Ltd. CID002527 Outreach Required
Tungsten Shinwon Tungsten (Fujian Shanghang) Co., Ltd. CID004430 Conformant
Gold Shirpur Gold Refinery Ltd. CID002588 Outreach Required
Gold Sichuan Tianze Precious Metals Co., Ltd. CID001736 Conformant
Gold Singway Technology Co., Ltd. CID002516 Non Conformant
Gold SOE Shyolkovsky Factory of Secondary Precious Metals CID001756 RMI Due Diligence Review - Unable to Proceed
Gold Solar Applied Materials Technology Corp. CID001761 Conformant
Tantalum Solikamsk Magnesium Works OAO CID001769 RMI Due Diligence Review - Unable to Proceed
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 Super Dragon Technology Co., Ltd. CID001810 Outreach Required
Tin Super Ligas CID002756 Conformant
Gold T.C.A S.p.A CID002580 Conformant
Tin Takehara PVD Materials Plant / PVD Materials Division of MITSUI MINING & SMELTING CO., LTD. CID004403 Active
Tantalum Taki Chemical Co., Ltd. CID001869 Conformant
Gold Tanaka Kikinzoku Kogyo K.K. CID001875 Conformant
Tantalum TANIOBIS Co., Ltd. CID002544 Conformant
Tantalum TANIOBIS GmbH CID002545 Conformant
Tantalum TANIOBIS Japan Co., Ltd. CID002549 Conformant
Tantalum TANIOBIS Smelting GmbH & Co. KG CID002550 Conformant
Tungsten TANIOBIS Smelting GmbH & Co. KG CID002542 Conformant
Tantalum Telex Metals CID001891 Conformant
Tin Thaisarco CID001898 Conformant
Tin Tin Smelting Branch of Yunnan Tin Co., Ltd. CID002180 Conformant
Tin Tin Technology & Refining CID003325 Conformant
Gold Tokuriki Honten Co., Ltd. CID001938 Conformant
Gold Tongling Nonferrous Metals Group Co., Ltd. CID001947 Outreach Required
Gold TOO Tau-Ken-Altyn CID002615 Conformant
Gold Torecom CID001955 Conformant
Tungsten Tungsten Vietnam Joint Stock Company CID003993 Conformant

 

18 
 

 

Tin Tuyen Quang Non-Ferrous Metals Joint Stock Company CID002574 Outreach Required
Tantalum Ulba Metallurgical Plant JSC CID001969 Conformant
Gold Umicore Precious Metals Thailand CID002314 Non Conformant
Gold Umicore S.A. Business Unit Precious Metals Refining CID001980 Conformant
Tungsten Unecha Refractory metals plant CID002724 Non Conformant
Gold United Precious Metal Refining, Inc. CID001993 Conformant
Gold Valcambi S.A. CID002003 Conformant
Tin VQB Mineral and Trading Group JSC CID002015 Outreach Required
Gold WEEEREFINING CID003615 Conformant
Gold Western Australian Mint (T/a The Perth Mint) CID002030 Conformant
Tin White Solder Metalurgia e Mineracao Ltda. CID002036 Conformant
Gold WIELAND Edelmetalle GmbH CID002778 Conformant
Tungsten Wolfram Bergbau und Hutten AG CID002044 Conformant
Tungsten Xiamen Tungsten (H.C.) Co., Ltd. CID002320 Conformant
Tungsten Xiamen Tungsten Co., Ltd. CID002082 Conformant
Tantalum XIMEI RESOURCES (GUANGDONG) LIMITED CID000616 Conformant
Tantalum XinXing HaoRong Electronic Material Co., Ltd. CID002508 Conformant
Gold Yamakin Co., Ltd. CID002100 Conformant
Tantalum Yanling Jincheng Tantalum & Niobium Co., Ltd. CID001522 Conformant
Gold Yokohama Metal Co., Ltd. CID002129 Conformant
Tungsten YUDU ANSHENG TUNGSTEN CO., LTD. CID003662 Outreach Required
Tin Yunnan Chengfeng Non-ferrous Metals Co., Ltd. CID002158 Conformant
Gold Yunnan Copper Industry Co., Ltd. CID000197 Outreach Required
Tin Yunnan Yunfan Non-ferrous Metals Co., Ltd. CID003397 Conformant
Gold Zhongyuan Gold Smelter of Zhongjin Gold Corporation CID002224 Conformant

 

*      The information in this column is based on smelter or refiner information made publicly available by RMI as of May 14, 2024. 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 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 as audit. The following sub-statuses roll up into the “Not Enrolled” category; “Communication Suspended – Not Interested”; “Due Diligence Vetting Process”; “In Communication”; “Outreach Required”; and “RMI Due Diligence Review – Unable to Proceed”.

 

**      Certain suppliers reported the presence of this entity that was sanctioned by the United States Department of Treasury, Office of Foreign Assets Control on March 17, 2022, specifically, CID003185 - African Gold Refinery (“AGR”). Because of the over-reporting nature of the industry CMRT information collection process, and the nature of the supply chains and goods, we are unable to confirm AGR was or is active in our supply chain.

 

19 
 

 

·APPENDIX B - 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.

 

Albania
Andorra
Angola
Argentina
Armenia
Australia
Austria
Azerbaijan
Belarus
Belgium
Benin
Bermuda
Bolivia (Plurinational State of)
Brazil
Bulgaria
Burkina Faso
Burundi
Cambodia
Canada
Central African Republic
Chile
China
Colombia
Congo
Cyprus
DRC or an adjoining country (Covered Countries)
Djibouti
Dominica
Dominican Republic
Ecuador
Egypt
El Salvador
Eritrea
Estonia
Ethiopia
Fiji

 

20 
 

 

Finland
France
Georgia
Germany
Ghana
Guam
Guatemala
Guinea
Guyana
Honduras
Hong Kong
Hungary
India
Indonesia
Ireland
Israel
Italy
Ivory Coast
Japan
Jersey
Kazakhstan
Kenya
Korea, Republic Of
Kyrgyzstan
Liberia
Liechtenstein
Lithuania
Luxembourg
Madagascar
Malaysia
Mali
Mauritania
Mexico
Mongolia
Morocco
Mozambique
Myanmar
Namibia
Netherlands

 

21 
 

 

New Zealand
Nicaragua
Niger
Nigeria
Norway
Oman
Panama
Papua New Guinea
Peru
Philippines
Poland
Portugal
Russian Federation
Rwanda
Saudi Arabia
Senegal
Sierra Leone
Singapore
Slovakia
Solomon Islands
South Africa
South Sudan
Spain
Sudan
Suriname
Sweden
Switzerland
Taiwan
Tajikistan
Tanzania
Thailand
Togo
Turkey
Uganda
United Arab Emirates
United Kingdom
USA
Uzbekistan
Vietnam
Zambia

 

22 

 


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