Exhibit 1.01
Conflict Minerals Report of Cavium, Inc.
for the year ended December 31, 2016
This report is presented to comply with Rule13p-1 under the Securities Exchange Act of 1934, as amended (the “Rule”). The Rule was adopted by the Securities and Exchange Commission (the “SEC”) to implement reporting and disclosure requirements related to “conflict minerals.” As of the date this report is filed with the SEC “conflict minerals” for purposes of the Rule and this report are defined as columbite-tantalite, cassiterite, gold, wolframite, and their derivatives, which are limited to tantalum, tin, and tungsten. The Rule imposes certain reporting obligations on SEC registrants when conflict minerals are necessary to the functionality or production of their products, including disclosure of whether any of the conflict minerals originated in the Democratic Republic of the Congo or an adjoining country (collectively the “Covered Countries”).
This report has been prepared by management of Cavium, Inc. (herein referred to as “Cavium,” the “Company,” “we,” “us,” or “our”). The information includes the activities of all majority-owned subsidiaries, including QLogic Corporation, which we acquired in August 2016.
Company Overview
We are a provider of highly integrated semiconductor processors that enable intelligent processing for wired and wireless infrastructure and cloud for networking, communications, storage, and security applications. Our products consist of multi-core processors for embedded and data center applications, network connectivity for server and switches, storage connectivity, and security processors for offload and appliance. A range of our products also include a rich suite of embedded security protocols that enable unified threat management, or UTM, secure connectivity, network perimeter protection, and deep packet inspection. We sell our products to networking original equipment manufacturers, or OEMs, that sell into the enterprise, datacenter, service provider, and broadband and consumer markets. We also sell our products through channels, original design manufacturers, or ODMs, as well as direct sales to mega data centers. In the enterprise market, our products are used in routers, switches, storage appliances, server connectivity for networking and storage, wireless local area networks, or WLAN, and UTM. In the datacenter market, our products are used in servers for data and storage connectivity as well as security offload and server load balancers. In the service provider market in wired infrastructure our products are used in edge routers, cable modem termination system head-ends, and media gateways, and in wireless infrastructure in 3G/4G/5G base stations, radio network controllers, micro/macro cell, evolved packet core nodes, and CloudRAN. In the broadband and consumer market our products are used in home gateways, wireless high-definition multimedia interface, WLAN, small office/home office, and UTM. Several of our products are systems on a chip, which incorporate single or multiple processor cores, a highly integrated architecture and customizable software that is based on a broad range of standard operating systems.
Supply Chain Overview
We focus our resources on the design, sales and marketing of our products, and outsource the manufacturing of our products. Since we outsource manufacturing of our products, we do not purchase raw ore or unrefined conflict minerals nor do we engage in the actual mining of conflict minerals, therefore we are many steps removed in the supply chain from the mining of conflict minerals.
The origin of conflict minerals cannot be determined with any certainty once the ores are smelted, refined and converted to ingots, bullion or other conflict minerals containing derivatives. The smelters and refiners are consolidating points for ore and are in the best position in the supply chain to know the origin of the ores. In order to manage the task of determining the source of necessary conflict minerals in our products, we rely upon our suppliers to provide information on the origin of the conflict minerals contained in components and materials supplied to us, including identification of smelters and refiners of conflict minerals that are supplied to them. Our suppliers are expected to provide the conflict mineral sourcing information to us per our Environmental and Conflict Mineral Program.
Reasonable Country of Origin Inquiry
Pursuant to the Rule, we conducted a good faith country of origin inquiry, or RCOI, that was reasonably designed to determine whether any of the conflict minerals necessary to the functionality or production of our products originated in the Covered Countries or were from recycled or scrap sources.
We conducted a survey of our suppliers that may contribute necessary conflict minerals to our products using the Conflict-Free Sourcing Initiative (“CFSI”) Reporting Template (the “CMRT”) to obtain country of origin information for any conflict minerals that may be in our products. The CMRT is a standardized reporting template that was developed to facilitate the transfer of information through the supply chain regarding smelters that provide material to a company’s supply chain and mineral country of origin.
We received responses from suppliers accounting for 93.88% of the aggregate components used in ourin-scope products. In their responses our suppliers identified various smelters that may have processed conflict minerals for our products. We compared our suppliers’ responses with data provided by CFSI’s Conflict-Free Smelter Program (the “CFSP”).
Based on our direct suppliers’ responses to our RCOI we had reason to believe that some of the necessary conflict minerals used in our products may have originated in the Covered Countries and may not have come from recycled or scrap sources.
Design of Due Diligence
Our conflict minerals due diligence program is designed to conform in all material respects with the framework provided by The Organization for EconomicCo-operation and Development Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas and the related supplements for gold and for tantalum, tin, and tungsten (collectively, the “OECD Guidance”).
Due Diligence Performed
Summarized below are the due diligence measures we performed for the reporting period on the source and chain of custody of necessary conflict minerals which we had reason to believe may have originated from Covered Countries and may not have come from recycled or scrap sources as they relate to the five-step framework set forth in the OECD Guidance:
OECD Guidance Step 1: Establish strong company management systems
| • | We adopted and publicly communicated our Policy on Corporate Social and Environmental Responsibility and Conflict Mineral Policy, which can be found on our website. |
| • | We assembled an internal conflict minerals team, with representation from our operations, legal, and quality supply chain management departments which report to executive management. |
| • | We used a system of control and transparency over our conflict minerals supply chain management process. We engaged a third-party conflict mineral due diligence service provider which utilized anin-house software program tool that compiles supplier CMRT data collected and validated for Cavium. We also worked directly with some suppliers to compile CMRT data, which was then aggregated with the results from our service provider. |
| • | We adopted our Environmental and Conflict Mineral Program which requires our suppliers to submit information to us, including regarding conflict minerals, and we communicated our conflict minerals supplier requirements to our direct suppliers. We require our direct suppliers comply with our conflict mineral requirements. |
| • | As outlined in our Code of Conduct, we maintained a telephone number to allow internal reporting about any matter of concern, including those related to conflict minerals. |
OECD Guidance Step 2: Identify and assess risk in the supply chain
| • | We identified relevant direct suppliers that supplied products to us that may contain conflict minerals. |
| • | We conducted a supply chain survey by using the CMRT, requesting such suppliers to provide information regarding smelters and refiners in our supply chain as well as country of origin information. |
| • | We reviewed supplier responses for completeness and accuracy and we provided suppliers with feedback on responses containing errors, inconsistencies or incomplete information. |
| • | We compared smelters and refiners identified in the supplier responses with the CFSI list of processing facilities that received a “conflict-free” designation under the CFSP. |
| • | We contactednon-responsive suppliers, requesting their responses. |
OECD Guidance Step 3: Design and implement a strategy to respond to risk
| • | We held conflict minerals team meetings to, among other things, review our conflict minerals program, any potential or actual risks identified during due diligence, and the status of supplier responses. |
| • | We identified risks in our supply chain. |
| • | We developed risk mitigation measures on acase-by-case basis and the conflict minerals team monitored progress at meetings; and when such risk mitigation measures did not meet conflict minerals team requirements, the team escalated items to senior members of the team for additional support. |
| • | We encouraged, typically through our direct suppliers or our large OEM customers, certain smelter and refiner facilities that have not received a “conflict-free” designation from an independent third-party audit program to participate in the CFSP. |
| • | We followed a risk mitigation response plan to monitor and track unresponsive suppliers and/or incomplete or inaccurate supply chain information. |
| • | We requested that certain suppliers remove specific smelters or refiners from their supply chain that we deemed to be high-risk. |
OECD Guidance Step 4: Independent third-party audit of smelter/refiner’s due diligence practices
| • | Because we do not source directly from processing facilities, we relied on publicly available results of third party audits of smelters and refiners, such as CFSI, to validate the sourcing practices of such facilities in our supply chain. |
OECD Guidance Step 5: Report annually on supply chain due diligence
| • | We file our Form SD and Conflict Mineral Report with the SEC on an annual basis and make it available on our website. |
| • | We publicly communicate our Policy on Corporate Social and Environmental Responsibility and Conflict Mineral Policy, which can be found on our website. |
Results of Due Diligence
In connection with our RCOI and due diligence, our suppliers identified for us certain smelters and refiners that may have processed the necessary conflict minerals contained in ourin-scope products for 2016. 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 absolute certainty regarding the source and chain of custody of the necessary conflict minerals contained in our 2016in-scope products. Not all of the included smelters and refiners may have processed the necessary conflict minerals contained in ourin-scope products, since some suppliers reported at a “company level,” meaning that they reported the conflict minerals contained in all of their products, not just those in the products sold to Cavium. Some suppliers also may have reported smelters and refiners that were not in Cavium’s supply chain due to over-inclusiveness in the information received from their suppliers or for other reasons. In addition, the identified smelters and refiners likely do not include all of the smelters and refiners in Cavium’s supply chain, since some suppliers did not identify any smelters or refiners and because not all suppliers responded to Cavium’s inquiries.
Through our review of supplier CMRT responses and comparison of those responses against the April 26, 2017 version of the CFSI smelter list, we identified an aggregate of 294 smelters used in connection with the supply of components to Cavium. 290 of these smelters have been recognized under the CFSP as being legitimate smelters and 242 are on the CFSI’s list certified Conflict Free Smelters and considered to be conflict free. A list of smelters in our supply chain that the CFSI has determined to be legitimate facilities is attached hereto as Appendix A.
We requested country of origin information from each of our direct suppliers for the purposes of determining the source and chain of custody of the necessary conflict minerals in our supply chain. We also relied on country of origin information provided by the CFSI when available. While some of our suppliers reported the names or countries of sourcing mines, many were unable to obtain mine or location of origin information for their necessary conflict minerals. Therefore, we were unable to ascertain the country of origin of all of the conflict minerals in our products for the year ended December 31, 2016.
Steps We Will Take to Mitigate Risk and Improve Due Diligence
In the future we will try to develop and improve our due diligence process including furthering accountability within our supply chain.
In order to mitigate any risk that the necessary conflict minerals in Cavium products could benefit armed groups in the Covered Countries, we intend to:
| • | increase the frequency of our supplier survey and validate the information we receive from suppliers; |
| • | engage with suppliers to improve supplier responses; |
| • | enhance our smelter validation process by partnering and collaborating with other CFSI members to verify the status of smelters and refiners that are identified by our suppliers; |
| • | encourage direct suppliers to use smelters that are CFSP compliant, adhere to our Environmental and Conflict Mineral Program and assist us in obtaining survey responses from unresponsive downstream suppliers; and |
| • | enhance internal and supplier training. |
Inherent Limitations of Due Diligence
As a result of our downstream position in the supply chain of conflict minerals, our due diligence measures can provide only reasonable, not absolute, assurance regarding the source and chain of custody of the necessary conflict minerals in our products. Our due diligence processes are based on the necessity of seeking data from our suppliers and those suppliers seeking similar information within their supply chains to identify the original sources of the conflict minerals. We also rely on information regarding smelter status collected and provided through independent third party audit programs. Such information may yield inaccurate or incomplete information and may be subject to fraud.
Another complicating factor is the unavailability of country of origin information from our suppliers on a continuous, real-time basis. The supply chain of conflict minerals is a multi-step process operating more or less on a daily basis, with ore delivered to smelters and refiners, smelters and refiners smelting or refining ores into metal containing derivatives, derivatives being shipped, sold and stored in numerous market locations around the world and distributors and purchasers holding varying amounts of the derivatives in inventory. As a result, we ask that the data from our suppliers cover the entire reporting year.
The historical statements contained in this report are based on information available to us at the time of the filing of the Form SD to which this report relates. This report also contains forward-looking statements, including our plans to mitigate risk, improve our programs and improve our processes, which are based on our current expectations and involve numerous risks and uncertainties that may cause these forward-looking statements to be inaccurate. Risks that may cause these forward-looking statements to be inaccurate include: we may fail to carry out these plans in a timely manner or at all; these plans may not be effective; our suppliers, their respective suppliers and smelters, our industry peers or industry groups may not cooperate with us in our efforts to carry out these steps; these steps may not be effective in mitigating the risk that conflict minerals used in our products benefit armed groups; or other risks detailed fromtime-to-time in our Securities and Exchange Commission filings and reports, including, but not limited to, our most recent quarterly report on Form10-Q. We do not intend to update the information contained in this report.
Appendix A
Metal | Smelter Name | Smelter Location | ||
| Gold | Advanced Chemical Company* | UNITED STATES OF AMERICA | ||
| Gold | Aida Chemical Industries Co., Ltd.* | JAPAN | ||
| Gold | Al Etihad Gold Refinery DMCC* | UNITED ARAB EMIRATES | ||
| Gold | AllgemeineGold-und Silberscheideanstalt A.G.* | GERMANY | ||
| Gold | Almalyk Mining and Metallurgical Complex (AMMC)* | UZBEKISTAN | ||
| Gold | AngloGold Ashanti Córrego do Sítio Mineração* | BRAZIL | ||
| Gold | Argor-Heraeus S.A.* | SWITZERLAND | ||
| Gold | Asahi Pretec Corp.* | JAPAN | ||
| Gold | Asahi Refining Canada Ltd.* | CANADA | ||
| Gold | Asahi Refining USA Inc.* | UNITED STATES OF AMERICA | ||
| Gold | Asaka Riken Co., Ltd.* | JAPAN | ||
| Gold | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | TURKEY | ||
| Gold | AU Traders and Refiners* | SOUTH AFRICA | ||
| Gold | Aurubis AG* | GERMANY | ||
| Gold | Bangalore Refinery* | INDIA | ||
| Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines)* | PHILIPPINES | ||
| Gold | Boliden AB* | SWEDEN | ||
| Gold | C. Hafner GmbH + Co. KG* | GERMANY | ||
| Gold | Caridad | MEXICO | ||
| Gold | CCR Refinery - Glencore Canada Corporation* | CANADA | ||
| Gold | Cendres + Métaux S.A.* | SWITZERLAND | ||
| Gold | Chimet S.p.A.* | ITALY | ||
| Gold | Chugai Mining | JAPAN | ||
| Gold | Daejin Indus Co., Ltd.* | KOREA (REPUBLIC OF) | ||
| Gold | DayeNon-Ferrous Metals Mining Ltd. | CHINA | ||
| Gold | DODUCO GmbH* | GERMANY | ||
| Gold | Dowa* | JAPAN | ||
| Gold | DSC (Do Sung Corporation)* | KOREA (REPUBLIC OF) | ||
| Gold | Eco-System Recycling Co., Ltd.* | JAPAN | ||
| Gold | Elemetal Refining, LLC | UNITED STATES OF AMERICA | ||
| Gold | Emirates Gold DMCC* | UNITED ARAB EMIRATES | ||
| Gold | Gansu Seemine MaterialHi-Tech Co., Ltd. | CHINA | ||
| Gold | Geib Refining Corporation* | UNITED STATES OF AMERICA | ||
| Gold | Great Wall Precious Metals Co., Ltd. of CBPM | CHINA | ||
| Gold | Guangdong Jinding Gold Limited | CHINA | ||
| Gold | Guoda Safina High-Tech Environmental Refinery Co., Ltd. | CHINA | ||
| Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. | CHINA | ||
| Gold | Heimerle + Meule GmbH* | GERMANY | ||
| Gold | Heraeus Ltd. Hong Kong* | CHINA | ||
| Gold | Heraeus Precious Metals GmbH & Co. KG* | GERMANY | ||
| Gold | Hunan Chenzhou Mining Co., Ltd. | CHINA | ||
Gold | HwaSeong CJ Co., Ltd. | KOREA (REPUBLIC OF) |
| Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.* | CHINA | ||
| Gold | Ishifuku Metal Industry Co., Ltd.* | JAPAN | ||
| Gold | Istanbul Gold Refinery* | TURKEY | ||
| Gold | Japan Mint* | JAPAN | ||
| Gold | Jiangxi Copper Co., Ltd.* | CHINA | ||
| Gold | JSC EkaterinburgNon-Ferrous Metal Processing Plant* | RUSSIAN FEDERATION | ||
| Gold | JSC Uralelectromed* | RUSSIAN FEDERATION | ||
| Gold | JX Nippon Mining & Metals Co., Ltd.* | JAPAN | ||
| Gold | Kazakhmys Smelting LLC | KAZAKHSTAN | ||
| Gold | Kazzinc* | KAZAKHSTAN | ||
| Gold | Kennecott Utah Copper LLC* | UNITED STATES OF AMERICA | ||
| Gold | KGHM Polska Miedź Spółka Akcyjna* | POLAND | ||
| Gold | Kojima Chemicals Co., Ltd.* | JAPAN | ||
| Gold | Korea Zinc Co., Ltd.* | KOREA (REPUBLIC OF) | ||
| Gold | Kyrgyzaltyn JSC* | KYRGYZSTAN | ||
| Gold | L’azurde Company For Jewelry | SAUDI ARABIA | ||
| Gold | Lingbao Gold Co., Ltd. | CHINA | ||
| Gold | Lingbao Jinyuan Tonghui Refinery Co., Ltd. | CHINA | ||
| Gold | LS-NIKKO Copper Inc.* | KOREA (REPUBLIC OF) | ||
| Gold | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | CHINA | ||
| Gold | Materion* | UNITED STATES OF AMERICA | ||
| Gold | Matsuda Sangyo Co., Ltd.* | JAPAN | ||
| Gold | Metalor Technologies (Hong Kong) Ltd.* | CHINA | ||
| Gold | Metalor Technologies (Singapore) Pte., Ltd.* | SINGAPORE | ||
| Gold | Metalor Technologies (Suzhou) Ltd.* | CHINA | ||
| Gold | Metalor Technologies S.A.* | SWITZERLAND | ||
| Gold | Metalor USA Refining Corporation* | UNITED STATES OF AMERICA | ||
| Gold | Metalúrgica Met-Mex Peñoles S.A. De C.V.* | MEXICO | ||
| Gold | Mitsubishi Materials Corporation* | JAPAN | ||
| Gold | Mitsui Mining and Smelting Co., Ltd.* | JAPAN | ||
| Gold | MMTC-PAMP India Pvt., Ltd.* | INDIA | ||
| Gold | Modeltech Sdn Bhd* | MALAYSIA | ||
| Gold | Moscow Special Alloys Processing Plant* | RUSSIAN FEDERATION | ||
| Gold | Nadir Metal Rafineri San. Ve Tic. A.Ş.* | TURKEY | ||
| Gold | Navoi Mining and Metallurgical Combinat* | UZBEKISTAN | ||
| Gold | Nihon Material Co., Ltd.* | JAPAN | ||
| Gold | Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH* | AUSTRIA | ||
| Gold | Ohura Precious Metal Industry Co., Ltd.* | JAPAN | ||
| Gold | OJSC “The Gulidov KrasnoyarskNon-Ferrous Metals Plant” (OJSC Krastsvetmet)* | RUSSIAN FEDERATION | ||
| Gold | OJSC Novosibirsk Refinery* | RUSSIAN FEDERATION | ||
| Gold | PAMP S.A.* | SWITZERLAND | ||
| Gold | Penglai Penggang Gold Industry Co., Ltd. | CHINA | ||
| Gold | Prioksky Plant ofNon-Ferrous Metals* | RUSSIAN FEDERATION | ||
| Gold | PT Aneka Tambang (Persero) Tbk* | INDONESIA |
| Gold | PX Précinox S.A.* | SWITZERLAND | ||
| Gold | Rand Refinery (Pty) Ltd.* | SOUTH AFRICA | ||
| Gold | Remondis Argentia B.V. | NETHERLANDS | ||
| Gold | Republic Metals Corporation* | UNITED STATES OF AMERICA | ||
| Gold | Royal Canadian Mint* | CANADA | ||
| Gold | SAAMP | FRANCE | ||
| Gold | Sabin Metal Corp. | UNITED STATES OF AMERICA | ||
| Gold | SAFINA A.S. | CZECH REPUBLIC | ||
| Gold | Samduck Precious Metals* | KOREA (REPUBLIC OF) | ||
| Gold | Samwon Metals Corp. | KOREA (REPUBLIC OF) | ||
| Gold | SAXONIA Edelmetalle GmbH* | GERMANY | ||
| Gold | Schone Edelmetaal B.V.* | NETHERLANDS | ||
| Gold | SEMPSA Joyería Platería S.A.* | SPAIN | ||
| Gold | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | CHINA | ||
| Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd.* | CHINA | ||
| Gold | Sichuan Tianze Precious Metals Co., Ltd.* | CHINA | ||
| Gold | Singway Technology Co., Ltd.* | TAIWAN, PROVINCE OF CHINA | ||
| Gold | So Accurate Group, Inc.* | UNITED STATES OF AMERICA | ||
| Gold | SOE Shyolkovsky Factory of Secondary Precious Metals* | RUSSIAN FEDERATION | ||
| Gold | Solar Applied Materials Technology Corp.* | TAIWAN, PROVINCE OF CHINA | ||
| Gold | Sumitomo Metal Mining Co., Ltd.* | JAPAN | ||
| Gold | T.C.A S.p.A* | ITALY | ||
| Gold | Tanaka Kikinzoku Kogyo K.K.* | JAPAN | ||
| Gold | The Refinery of Shandong Gold Mining Co., Ltd.* | CHINA | ||
| Gold | Tokuriki Honten Co., Ltd.* | JAPAN | ||
| Gold | Tongling Nonferrous Metals Group Co., Ltd. | CHINA | ||
| Gold | Tony Goetz NV* | BELGIUM | ||
| Gold | TOOTau-Ken-Altyn | KAZAKHSTAN | ||
| Gold | Torecom* | KOREA (REPUBLIC OF) | ||
| Gold | Umicore Brasil Ltda.* | BRAZIL | ||
| Gold | Umicore Precious Metals Thailand* | THAILAND | ||
| Gold | Umicore S.A. Business Unit Precious Metals Refining* | BELGIUM | ||
| Gold | United Precious Metal Refining, Inc.* | UNITED STATES OF AMERICA | ||
| Gold | Valcambi S.A.* | SWITZERLAND | ||
| Gold | Western Australian Mint trading as The Perth Mint* | AUSTRALIA | ||
| Gold | WIELAND Edelmetalle GmbH* | GERMANY | ||
| Gold | Yamamoto Precious Metal Co., Ltd.* | JAPAN | ||
| Gold | Yokohama Metal Co., Ltd.* | JAPAN | ||
| Gold | Yunnan Copper Industry Co., Ltd. | CHINA | ||
| Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation* | CHINA | ||
| Gold | Zijin Mining Group Co., Ltd. Gold Refinery* | CHINA | ||
| Tantalum | Changsha South Tantalum Niobium Co., Ltd.* | CHINA | ||
| Tantalum | Conghua Tantalum and Niobium Smeltry* | CHINA | ||
| Tantalum | D Block Metals, LLC* | UNITED STATES OF AMERICA | ||
| Tantalum | Duoluoshan* | CHINA | ||
| Tantalum | Exotech Inc.* | UNITED STATES OF AMERICA |
| Tantalum | F&X Electro-Materials Ltd.* | CHINA | ||
| Tantalum | FIR Metals & Resource Ltd.* | CHINA | ||
| Tantalum | Global Advanced Metals Aizu* | JAPAN | ||
| Tantalum | Global Advanced Metals Boyertown* | UNITED STATES OF AMERICA | ||
| Tantalum | Guangdong Zhiyuan New Material Co., Ltd.* | CHINA | ||
| Tantalum | H.C. Starck Co., Ltd.* | THAILAND | ||
| Tantalum | H.C. Starck GmbH Goslar* | GERMANY | ||
| Tantalum | H.C. Starck Hermsdorf GmbH* | GERMANY | ||
| Tantalum | H.C. Starck Inc.* | UNITED STATES OF AMERICA | ||
| Tantalum | H.C. Starck Ltd.* | JAPAN | ||
| Tantalum | H.C. Starck Smelting GmbH & Co. KG* | GERMANY | ||
| Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd.* | CHINA | ||
| Tantalum | Hi-Temp Specialty Metals, Inc.* | UNITED STATES OF AMERICA | ||
| Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd.* | CHINA | ||
| Tantalum | Jiangxi Tuohong New Raw Material* | CHINA | ||
| Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd.* | CHINA | ||
| Tantalum | Jiujiang Tanbre Co., Ltd.* | CHINA | ||
| Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd.* | CHINA | ||
| Tantalum | KEMET Blue Metals* | MEXICO | ||
| Tantalum | KEMET Blue Powder* | UNITED STATES OF AMERICA | ||
| Tantalum | King-Tan Tantalum Industry Ltd.* | CHINA | ||
| Tantalum | LSM Brasil S.A.* | BRAZIL | ||
| Tantalum | Metallurgical Products India Pvt., Ltd.* | INDIA | ||
| Tantalum | Mineração Taboca S.A.* | BRAZIL | ||
| Tantalum | Mitsui Mining & Smelting* | JAPAN | ||
| Tantalum | Molycorp Silmet A.S.* | ESTONIA | ||
| Tantalum | Ningxia Orient Tantalum Industry Co., Ltd.* | CHINA | ||
| Tantalum | Power Resources Ltd.* | MACEDONIA (THE FORMER YUGOSLAV REPUBLIC OF) | ||
| Tantalum | QuantumClean* | UNITED STATES OF AMERICA | ||
| Tantalum | Resind Indústria e Comércio Ltda.* | BRAZIL | ||
| Tantalum | RFH Tantalum Smeltry Co., Ltd.* | CHINA | ||
| Tantalum | Solikamsk Magnesium Works OAO | RUSSIAN FEDERATION | ||
| Tantalum | Taki Chemical Co., Ltd.* | JAPAN | ||
| Tantalum | Telex Metals* | UNITED STATES OF AMERICA | ||
| Tantalum | Tranzact, Inc.* | UNITED STATES OF AMERICA | ||
| Tantalum | Ulba Metallurgical Plant JSC* | KAZAKHSTAN | ||
| Tantalum | XinXing HaoRong Electronic Material Co., Ltd.* | CHINA | ||
| Tantalum | Yichun Jin Yang Rare Metal Co., Ltd.* | CHINA | ||
| Tantalum | Zhuzhou Cemented Carbide Group Co., Ltd.* | CHINA | ||
| Tin | Alpha* | UNITED STATES OF AMERICA | ||
| Tin | An Thai Minerals Co., Ltd. | VIET NAM | ||
| Tin | An Vinh Joint Stock Mineral Processing Company | VIET NAM | ||
| Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.* | CHINA | ||
| Tin | China Tin Group Co., Ltd.* | CHINA | ||
| Tin | CNMC (Guangxi) PGMA Co., Ltd. | CHINA | ||
| Tin | Cooperativa Metalurgica de Rondônia Ltda.* | BRAZIL |
| Tin | CV Ayi Jaya* | INDONESIA | ||
| Tin | CV Dua Sekawan* | INDONESIA | ||
| Tin | CV Gita Pesona* | INDONESIA | ||
| Tin | CV Serumpun Sebalai* | INDONESIA | ||
| Tin | CV Tiga Sekawan* | INDONESIA | ||
| Tin | CV United Smelting* | INDONESIA | ||
| Tin | CV Venus Inti Perkasa* | INDONESIA | ||
| Tin | Dowa* | JAPAN | ||
| Tin | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company* | VIET NAM | ||
| Tin | Elmet S.L.U.* | SPAIN | ||
| Tin | EM Vinto* | BOLIVIA (PLURINATIONAL STATE OF) | ||
| Tin | Estanho de Rondônia S.A. | BRAZIL | ||
| Tin | Fenix Metals* | POLAND | ||
| Tin | Gejiu Fengming Metallurgy Chemical Plant* | CHINA | ||
| Tin | Gejiu Jinye Mineral Company* | CHINA | ||
| Tin | Gejiu Kai Meng Industry and Trade LLC* | CHINA | ||
| Tin | GejiuNon-Ferrous Metal Processing Co., Ltd.* | CHINA | ||
| Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.* | CHINA | ||
| Tin | Gejiu Zili Mining And Metallurgy Co., Ltd. | CHINA | ||
| Tin | Guanyang Guida Nonferrous Metal Smelting Plant* | CHINA | ||
| Tin | HuiChang Hill Tin Industry Co., Ltd.* | CHINA | ||
| Tin | Huichang Jinshunda Tin Co., Ltd.* | CHINA | ||
| Tin | Jiangxi Ketai Advanced Material Co., Ltd.* | CHINA | ||
| Tin | Magnu’s Minerais Metais e Ligas Ltda.* | BRAZIL | ||
| Tin | Malaysia Smelting Corporation (MSC)* | MALAYSIA | ||
| Tin | Melt Metais e Ligas S.A.* | BRAZIL | ||
| Tin | Metallic Resources, Inc.* | UNITED STATES OF AMERICA | ||
| Tin | Metallo-Chimique N.V.* | BELGIUM | ||
| Tin | Mineração Taboca S.A.* | BRAZIL | ||
| Tin | Minsur* | PERU | ||
| Tin | Mitsubishi Materials Corporation* | JAPAN | ||
| Tin | Modeltech Sdn Bhd* | MALAYSIA | ||
| Tin | Nankang Nanshan Tin Manufactory Co., Ltd.* | CHINA | ||
| Tin | Nghe TinhNon-Ferrous Metals Joint Stock Company* | VIET NAM | ||
| Tin | O.M. Manufacturing (Thailand) Co., Ltd.* | THAILAND | ||
| Tin | O.M. Manufacturing Philippines, Inc.* | PHILIPPINES | ||
| Tin | Operaciones Metalurgical S.A.* | BOLIVIA (PLURINATIONAL STATE OF) | ||
| Tin | PT Aries Kencana Sejahtera* | INDONESIA | ||
| Tin | PT Artha Cipta Langgeng* | INDONESIA | ||
| Tin | PT ATD Makmur Mandiri Jaya* | INDONESIA | ||
| Tin | PT Babel Inti Perkasa* | INDONESIA | ||
| Tin | PT Bangka Prima Tin* | INDONESIA | ||
| Tin | PT Bangka Tin Industry* | INDONESIA |
| Tin | PT Belitung Industri Sejahtera* | INDONESIA | ||
| Tin | PT Bukit Timah* | INDONESIA | ||
| Tin | PT DS Jaya Abadi* | INDONESIA | ||
| Tin | PT Eunindo Usaha Mandiri* | INDONESIA | ||
| Tin | PT Inti Stania Prima* | INDONESIA | ||
| Tin | PT Karimun Mining* | INDONESIA | ||
| Tin | PT Kijang Jaya Mandiri* | INDONESIA | ||
| Tin | PT Mitra Stania Prima* | INDONESIA | ||
| Tin | PT O.M. Indonesia* | INDONESIA | ||
| Tin | PT Panca Mega Persada* | INDONESIA | ||
| Tin | PT Prima Timah Utama* | INDONESIA | ||
| Tin | PT Refined Bangka Tin* | INDONESIA | ||
| Tin | PT Sariwiguna Binasentosa* | INDONESIA | ||
| Tin | PT Stanindo Inti Perkasa* | INDONESIA | ||
| Tin | PT Sukses Inti Makmur* | INDONESIA | ||
| Tin | PT Sumber Jaya Indah* | INDONESIA | ||
| Tin | PT Timah (Persero) Tbk Kundur* | INDONESIA | ||
| Tin | PT Timah (Persero) Tbk Mentok* | INDONESIA | ||
| Tin | PT Tinindo Inter Nusa* | INDONESIA | ||
| Tin | PT Tommy Utama* | INDONESIA | ||
| Tin | Resind Indústria e Comércio Ltda.* | BRAZIL | ||
| Tin | Rui Da Hung* | TAIWAN, PROVINCE OF CHINA | ||
| Tin | Soft Metais Ltda.* | BRAZIL | ||
| Tin | Thaisarco* | THAILAND | ||
| Tin | Tuyen QuangNon-Ferrous Metals Joint Stock Company | VIET NAM | ||
| Tin | VQB Mineral and Trading Group JSC* | VIET NAM | ||
| Tin | White Solder Metalurgia e Mineração Ltda.* | BRAZIL | ||
| Tin | Yunnan ChengfengNon-ferrous Metals Co., Ltd.* | CHINA | ||
| Tin | Yunnan Tin Company Limited* | CHINA | ||
| Tungsten | A.L.M.T. TUNGSTEN Corp.* | JAPAN | ||
| Tungsten | Asia Tungsten Products Vietnam Ltd.* | VIET NAM | ||
| Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd.* | CHINA | ||
| Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd.* | CHINA | ||
| Tungsten | Fujian Jinxin Tungsten Co., Ltd.* | CHINA | ||
| Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. * | CHINA | ||
| Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd.* | CHINA | ||
| Tungsten | Ganzhou Seadragon W & Mo Co., Ltd.* | CHINA | ||
| Tungsten | Global Tungsten & Powders Corp.* | UNITED STATES OF AMERICA | ||
| Tungsten | Guangdong Xianglu Tungsten Co., Ltd.* | CHINA | ||
| Tungsten | H.C. Starck GmbH* | GERMANY | ||
| Tungsten | H.C. Starck Smelting GmbH & Co.KG* | GERMANY | ||
| Tungsten | Hunan Chenzhou Mining Co., Ltd.* | CHINA | ||
| Tungsten | Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji* | CHINA | ||
| Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd.* | CHINA | ||
| Tungsten | Hydrometallurg, JSC* | RUSSIAN FEDERATION |
| Tungsten | Japan New Metals Co., Ltd.* | JAPAN | ||
| Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd.* | CHINA | ||
| Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd.* | CHINA | ||
| Tungsten | Jiangxi TongguNon-ferrous Metallurgical & Chemical Co., Ltd.* | CHINA | ||
| Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd.* | CHINA | ||
| Tungsten | Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.* | CHINA | ||
| Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd.* | CHINA | ||
| Tungsten | Kennametal Fallon* | UNITED STATES OF AMERICA | ||
| Tungsten | Kennametal Huntsville* | UNITED STATES OF AMERICA | ||
| Tungsten | Malipo Haiyu Tungsten Co., Ltd.* | CHINA | ||
| Tungsten | Moliren Ltd* | RUSSIAN FEDERATION | ||
| Tungsten | Niagara Refining LLC* | UNITED STATES OF AMERICA | ||
| Tungsten | Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC* | VIET NAM | ||
| Tungsten | Philippine Chuangxin Industrial Co., Inc.* | PHILIPPINES | ||
| Tungsten | South-East Nonferrous Metal Company Limited of Hengyang City* | CHINA | ||
| Tungsten | Tejing (Vietnam) Tungsten Co., Ltd.* | VIET NAM | ||
| Tungsten | Unecha Refractory metals plant* | RUSSIAN FEDERATION | ||
| Tungsten | Vietnam Youngsun Tungsten Industry Co., Ltd.* | VIET NAM | ||
| Tungsten | Wolfram Bergbau und Hütten AG* | AUSTRIA | ||
| Tungsten | Woltech Korea Co., Ltd.* | KOREA (REPUBLIC OF) | ||
| Tungsten | Xiamen Tungsten (H.C.) Co., Ltd.* | CHINA | ||
| Tungsten | Xiamen Tungsten Co., Ltd.* | CHINA | ||
| Tungsten | Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.* | CHINA | ||
| Tungsten | Xinhai Rendan Shaoguan Tungsten Co., Ltd.* | CHINA |
| * | Indicates smelter was audited and found compliant with the relevant CFSP protocol or was actively engaged in the audit program but not yet compliant. |
