Exhibit 1.01
2017 Avaya Holdings Corp. Conflict Minerals Report
Reporting period: January 1, 2017 to December 31, 2017
The Conflict Minerals Report is publicly available on the Company’s website at: https://www.avaya.com/en/about-avaya/corporate-responsibility.
Exhibit 1.01
Avaya Holdings Corp. is providing this Conflict Minerals Report (“CMR”) for the reporting period January 1 to December 31, 2017. This report is designed to provide the information required by the provisions of Rule 13(p) under the Securities Exchange Act of 1934 and the instructions to Form SD which requires SEC registered companies to annually disclose the use of conflict minerals originating from the Democratic Republic of the Congo or adjoining countries (”conflict countries”) and not from recycled or scrap sources that are necessary to the functionality or production of a manufactured product. Conflict minerals are identified as columbite-tantalite (coltan), cassiterite, gold, wolframite or their derivatives, or simply tantalum, tin, tungsten and gold, which are collectively referred to as “conflict minerals” or “3TG”. Use of the terms “Avaya” or the “Company” in this CMR refers to Avaya Holdings Corp., a Delaware corporation, and its consolidated subsidiaries, taken as a whole, unless the context otherwise indicates.
Avaya has conducted a reasonable country of origin inquiry (“RCOI”) and subsequent due diligence according to the 5-step approach detailed in the Organisation for Economic Co-operation and Development (OECD) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas Third Edition, an internationally recognized due diligence framework, to determine if it knows or has reason to believe that the 3TGs identified in the Company’s products originated from sources in the conflict countries. As a downstream user of minerals, the Company contracts the manufacture of products with electronic manufacturing suppliers (“EMSs”), making it challenging to identify all Avaya’s source mines given the extent of the Company’s supply chain and the Company’s lack of direct relationships with the mines and/or smelters providing the minerals. Avaya is therefore wholly reliant on industry initiatives, manufacturing partners and parts vendors with whom the Company has direct supplier relationships to determine the source of the conflict minerals in Avaya’s products. This CMR summarizes Avaya’s process to identify and assess products contracted by Avaya for manufacture by EMS partners that were sold during the reporting period and contained 3TG.
Executive Summary of the 2017 Conflict Minerals Program
Avaya performed a RCOI on the portion of its supply chain which provided products and parts containing 3TGs to determine the source of the 3TGs in such products and parts sold during the reporting period. The results identified in the Conflict Minerals Reporting Templates (“CMRTs”) returned by the suppliers showed 386 total smelters or refiners (“SORs”) involved in the Avaya supply chain, of which 319 could be found on the Responsible Minerals Assurance Process (“RMAP”) list of SORs. These 319 are either “conformant” (254), “active” (9) or “not active” (56) and are listed in Appendix A. There were 67 SORs that could not be found on the RMAP list and thus are considered “not a legitimate SOR” by RMAP. These 67 are listed in the second table in Appendix A. The RMAP list of conformant and legitimate SORs is produced by the Responsible Business Alliance’s (“RBA”) Responsible Minerals Initiative (“RMI”) and it identifies SORs who are legitimate processors and identifies which SORs have been found to conform with the RMAP
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standards. RMI uses an independent third-party audit of SOR management systems and sourcing practices to validate smelters' company level management processes for alignment to the OECD Guidance. The “not legitimate SORs” will require additional due diligence with the Company’s direct suppliers to determine the actual SORs that performed the mineral processing and the attributes at those SORs. This additional due diligence will be conducted in connection with the examination of next year’s CMRT supplier submissions.
Avaya cannot be certain about the origin of the conflict minerals used by smelters or entities that are not listed as RMAP-conformant SORs. Avaya has partnered with suppliers to obtain more information to determine the status of these smelters and entities. Notwithstanding that Avaya was unable to confirm the source of some of the 3TGs used in its products, no independent private sector audit was performed on the Avaya due diligence process this year.
Avaya Company Overview
Avaya is a global leader in digital communications software, services and devices for businesses of all sizes. Avaya’s open, intelligent and customizable solutions for contact centers and unified communications offer the flexibility of Cloud, on-premises and hybrid deployments. Avaya shapes intelligent connections and creates seamless communication experiences for our customers, and their customers. The Company’s professional planning, support and management services teams help optimize solutions, for highly reliable and efficient deployments. The Company’s solutions fall under two operating segments: Global Communications Solutions, representing the Company's products portfolio, and Avaya Global Services, representing the Company's services portfolio. The Company sells directly through its worldwide sales force and indirectly through its global network of channel partners, including distributors, service providers, dealers, value-added resellers, system integrators and business partners that provide sales and services support.
• Global Communications Solutions, or “GCS”, encompasses Avaya’s real-time collaboration solutions for unified communications and contact center offerings to drive exceptional customer experiences. The Company takes a cloud-first approach with a fully open architecture and multitenant platform that supports flexibility, reliability, security and scaling so customers can move to the cloud in a way that best meets their specific needs. Avaya omnichannel contact center solutions enable customers to build a customized portfolio of applications to drive stronger customer engagement and promote higher customer lifetime value. Avaya’s highly reliable, scalable communications-centric solutions include voice, e-mail, chat, social media, video, performance management and ease of third-party integration that can improve customer service and help companies compete more effectively.
• Avaya Global Services, or “AGS”, includes professional and support services designed to help Avaya’s customers maximize the benefits of the Company’s solutions. The Company’s global, experienced professional services team helps maximize customer investments in collaborative communications, with services from initial planning and design, to seamless implementation, integration and ongoing optimization. Avaya helps customers use communications to help minimize risk, enable people and deliver a differentiated customer experience.
On July 14, 2017, the Company sold its former networking business to Extreme Networks, Inc. (“Extreme”). Prior to the sale, the networking business was a separate operating segment comprised of certain assets of the Company’s Networking segment, along with the maintenance and professional services of the networking business, which were part of the AGS segment. Networking included advanced fabric networking technology, which offered a unique end-to-end virtualized architecture network designed to be simple to deploy. This
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operating segment also included software and hardware products such as ethernet switches, wireless networking, access control and unified management and orchestration solutions, which provided network and device management. After the sale of the networking business, the Company’s operating segments consist solely of GCS and AGS.
Avaya’s Conflict Minerals Program Overview
Avaya is an affiliate member of the RBA and participates in the RBA’s RMI program. Therefore, the Avaya Conflict Minerals Program (the “Program”) uses guidance published by the RMI as it relates to downstream companies and incorporates the RMI Conflict Minerals Reporting Template (“CMRT”), as well as the requirements of the of the provisions of Rule 13(p) under the Securities Exchange Act of 1934 and the instructions to Form SD and the Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas of the OECD. As further described below, the elements of the Program are:
| I. | Determination of Product Applicability |
| II. | The RCOI |
| III. | Due Diligence |
| I. | Determination of Product Applicability |
Each year, Avaya creates a list of products and parts which it sold in the reporting calendar year that were contracted to be manufactured for Avaya and that include 3TG. Products purchased off the shelf from Original Equipment Manufacturers (“OEMs”) were excluded as Avaya is not the manufacturer of those products. The list of products and parts that include 3TG and are considered to be manufactured by Avaya, was refined by assessing it against the Company’s previous year’s RCOI results. The list was then provided to a third-party partner to conduct Avaya’s RCOI.
| II. | Reasonable Country of Origin Inquiry (RCOI) |
Avaya outsources the design of some, and the manufacture of all, of its products and solutions. Therefore, the RCOI included Avaya EMS providers, Original Design Manufacturers (“ODMs”) and Avaya-controlled suppliers (collectively with the EMS providers and the ODMs, the “Suppliers”) of parts and components used in Avaya-designed hardware products and parts that were sold to customers during calendar year 2017. Finished products and parts obtained from OEMs where the designs were not influenced by Avaya (i.e., products or parts which were purchased and included in Avaya solutions without modification or additional assembly) were excluded from the scope of the RCOI. Avaya products and parts identified as containing the 3TGs that was not sourced from recycled or scrap sources, consist of gateways, routers, servers, network infrastructure equipment and endpoints. As mentioned above, Avaya’s RCOI was conducted using the CMRT, which was provided to in-scope suppliers, along with educational materials and training to facilitate their completion of the CMRT. Suppliers who did not respond to the RCOI were escalated to their Avaya Commodity Manager, who reminded them of their contractual obligation. In addition, Avaya leveraged information resources of the RMI, publicly available information published by the London Bullion Market Association (“LBMA”), the Responsible Jewelry Council (“RJC”) and the resources of Avaya’s conflict minerals consultant to analyze the Supplier responses. The results of the information review were used to identify those Suppliers for which additional information and due diligence was required. The results of the assessments and the collected CMRTs were electronically stored.
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| III. | Avaya’s Due Diligence Program |
The Avaya Due Diligence Program (hereafter referred to as the “Program”) was designed in accordance with the OECD five step framework, the international framework currently recognized for compliance with the Regulations.
Step 1: The Avaya Management System
Avaya has adopted a management system similar to the Avaya Quality and Environmental Management systems. As part of the Programs Avaya has implemented a ‘Plan-Do-Check-Act’ mechanism for its conflict minerals processes. Under this Program the Company has undertaken the following actions:
| • | developed a Conflict Minerals Policy and communicated it to suppliers during the RCOI process and during annual supplier engagement forums. This policy is posted on the Avaya website at https://www.avaya.com/en/documents/avayaconflictmineralspolicy.pdf, and is updated from time to time as needed. Avaya also developed Standard Operating Procedures (“SOPs”) that, with the Conflict Minerals Policy, define Avaya’s process for conducting the Program. A cross-functional team of subject matter experts was assembled from supply chain management, product compliance, product engineering, research and development, and the environmental and legal functions of the Company. Supply chain management leads the team and provides periodic updates to senior management. |
| • | joined the RBA and participates in RMI, which allows Avaya to learn from others in the electronics industry regarding their Conflict Minerals plans and processes. This has led to Program improvements with greater supply chain and customer transparency. |
| • | continued to implement its document control program to manage and retain from year to year the documentation associated with each RCOI and related Due Diligence activities. |
| • | partnered with Suppliers to identify the sources of conflict minerals in the products and parts that they provide to Avaya, as indicated in the RCOI results. Suppliers were also engaged through periodic business reviews and an annual supplier forum to discuss compliance requirements. If significant risks are identified through the Program or other means then it could ultimately cause the Company to suspend trade with, or disengage from, a Supplier. |
Step 2: Identify and Assess Risks in the Supply Chain
Avaya used the RCOI analysis results to identify Suppliers using SORs that are not engaged in an approved validation scheme (e.g., the RMAP list, LBMA, etc.) and to assess related supply chain risks.
Step 3: Design and Implement a Strategy to Respond to Identified Risks
To address the risks in the Company’s supply chain posed by the use of non-RMAP conformant SORs, Avaya remains actively involved in the RBA and RMI and in maintaining and executing the Avaya Conflict Minerals Program. Avaya continues to work with supply chain partners to address reported non-verified smelters, including dis-engagement or suspension if necessary. Avaya also works with supply chain partners for resolution when requests for smelters in the supply chain to participate in the RMAP list program, or other approved schemes, are met with resistance or are not executed.
Step 4: Independent Third-Party Audit of the SOR Due Diligence Practices
As a downstream user of 3TG minerals and a member of the RBA, Avaya leverages information from the independent third-party audits of the SORs facilitated by initiatives such as the RMI’s RMAP and the
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LBMA to determine the SORs’ practices. This effort has resulted in increasing numbers of SORs that are RMAP-conformant. Avaya actively participates in RMI activities, including involvement in sub-committees and contributing possible SOR names, to support their efforts to assess SOR’s alignment to the OECD Guidance via the RMAP.
Step 5: Annual Reporting on our Supply Chain Due Diligence
Avaya continues to provide an annual report of its Supply Chain Due Diligence Practice activities in accordance with the Regulations. Avaya participated in the RMI CMR Peer Review, and verbal and written feedback was reviewed and substantially incorporated. The Due Diligence results are summarized below.
Efforts to Determine Conflict Minerals Country of Origin and Facilities used to Process Conflict Minerals
Avaya’s RCOI process and due diligence to determine the source of 3TGs in Avaya products is based on data collection and partnership with Suppliers. Avaya queried 238 Suppliers for the 2017 RCOI reporting period. 386 unique SORs were identified as processing 3TGs used in the parts and/or components contained in Avaya Products. Avaya has verified that 254 of the SORs are RMAP-conformant SORs or actively progressing toward validation, which is an increase of 7 from the previous year.
The majority of responses received from Avaya’s Suppliers during the RCOI were provided at the company level rather than responses specific to the product sold to Avaya. One top tier Supplier indicated their inability to obtain more than a 50% response rate from their supply chain, making it impossible to determine the complete list of smelters in the Avaya supply chain. In addition, some SORs identified by the Suppliers were not listed on any certified smelter or refiners lists by the RMI, the LBMA, or the RJC and could not be confirmed through Company due diligence as actual SORs. As a result, Avaya cannot determine its conflict-free status at either a product or company level because it cannot confirm that the SORs identified provide a complete picture of conflict minerals sourcing. Of the information that was verified, the chart on the next page lists the country of origin for the 3TG minerals in Avaya products.
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Country of Origin Results for 3TG in Avaya Products
| Conflict Mineral | Country of Origin | Notes |
| Gold | Benin, Bolivia, Burkina Faso, Canada, Chile, Colombia, Ecuador, Eritrea, Ghana, Guatemala, Guinea, Guyana, Honduras, Mali, Nicaragua, Panama, Peru, Russian Federation, Senegal, South Africa, Togo, United States | No gold was reported from the DRC or other conflict countries. |
| Tantalum | Australia, Bolivia, Brazil, Burundi*, Colombia, China, Democratic Republic of the Congo*, Ethiopia, France, Guinea, Guyana, India, Kazakhstan, Madagascar, Malaysia, Mozambique*, Namibia, Nigeria, Russian Federation, Rwanda*, Sierra Leone, Thailand, United States, Zimbabwe | The reported Tantalum from the DRC and other covered countries came from 10 Smelters all of which have been audited and validated as "compliant" by the Responsible Mineral Initiative (RMI), which is internationally recognized for Conflict-free validation audits. ** |
| Tin | Argentina, Australia, Bolivia, Brazil, Burundi*, China, Colombia, Democratic Republic of the Congo*, Germany, Indonesia, Laos, Malaysia, Mongolia, Myanmar, Nigeria, Peru, Portugal, Russian Federation, Rwanda*, Thailand, United Kingdom, Uganda*, Viet Nam, Zimbabwe | The reported Tin from the DRC and other covered countries came from 2 Smelters all of which have been audited and validated as "compliant" by the RMI, which is internationally recognized for Conflict-free validation audits. ** |
| Tungsten | Australia, Austria, Bolivia, Brazil, Burundi*, Cambodia, Canada, China, Colombia, Democratic Republic of the Congo*, Japan, Mexico, Mongolia, Nigeria, Portugal, Russian Federation, Rwanda*, Spain, United Kingdom, United States, Uzbekistan, Viet Nam | The reported Tungsten from the DRC came from 2 Smelters all of which have been audited and validated as "compliant" by the RMI, which is internationally recognized for Conflict-free validation audits. ** |
*Conflict countries.
**SORs who receive minerals from the DRC can still be compliant by being declared conformant to the RMAP process.
The 386 SORs identified by the Company’s in-scope Suppliers, the minerals processed, and their RMAP list classification are provided in Appendix A of this Report. A graphical depiction of the 2017 RCOI and due diligence results is provided in Figure 1 as compared to the 2016 results in Figure 2. The validation classifications of the SORs reported in the graphs (Figures 1 and 2) are defined as follows:
• Conformant - These are RMAP-conformant SORs.
• RMAP Active - These are smelters that have committed to undergo a RMAP audit.
• Not Active - These are smelters that are neither Conformant nor RMAP Active.
An additional classification of the SORs is included in Appendix B only:
• Not a Legitimate SOR - These are non-verified smelters or “unknown”.
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Figure 1- 2017 RCOI Results
Figure 2- 2016 RCOI Results
Future Plans to Mitigate Conflict Minerals Sourcing Risk
Avaya plans to implement the following actions with supply chain to help mitigate the risk of potentially sourcing conflict minerals:
| • | Perform the RCOI process by December of the Reporting Year to allow additional time for Supplier engagement and due diligence. |
| • | Continue to require completion of the CMRT in applicable Requests for Quote (“RFQ”) and from applicable new Suppliers upon award of contract (if not part of an RFQ). |
| • | Identify Suppliers that, based on past performance, may need additional due diligence in the future, particularly the top tier Supplier that had difficulty obtaining more than 50% response rate from its supply chain. |
Forward-Looking Statements
This Conflict Minerals Report Exhibit 1.01 contains “forward-looking statements" about the Company’s future supply chain risk mitigation plans, diligence programs and conflict mineral management processes. All statements other than statements of historical fact are “forward-looking” statements for purposes of the U.S. federal and state securities laws. These statements may be identified by the use of forward looking terminology such as “anticipate,” “believe,” “continue,” “could,” “estimate,” “expect,” “intend,” “may,” “might,” “plan,” “potential,” “predict,” “should” or “will” or the negative thereof or other variations thereon or comparable terminology and include future plans to mitigate conflict minerals sourcing risk. The Company has based these forward-looking statements on its current expectations, assumptions, estimates and projections. While the Company believes these expectations, assumptions, estimates and projections are
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reasonable, such forward-looking statements are only predictions and involve known and unknown risks and uncertainties, many of which are beyond its control. These factors, including those discussed in Amendment No. 3 to the Company’s Registration Statement on Form 10 filed with the SEC, may cause its actual risk mitigation plans, diligence programs, conflict mineral management processes, results, performance or achievements to differ materially from any future risk mitigation plans, diligence programs, conflict mineral management processes, results, performance or achievements expressed or implied by these forward-looking statements. For a further list and description of such risks and uncertainties, please refer to the Company’s filings with the SEC that are available at www.sec.gov. The Company cautions you that the list of important factors included in the Company’s SEC filings may not contain all the material factors that are important to you. In addition, the matters referred to in the forward-looking statements contained in this report may not in fact occur. The Company undertakes no obligation to publicly update or revise any forward-looking statement as a result of new information, future events or otherwise, except as otherwise required by law.
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APPENDIX A
List of Reported Smelters/Refiners Facilities Processing Minerals Used in Avaya Products as Confirmed by the Responsible Minerals Initiative (RMI) Lists
| Metal | Standard Smelter Name | Smelter Id | Remark |
| Gold | Abington Reldan Metals, LLC | CID002708 | Not Active |
| Gold | Advanced Chemical Company | CID000015 | Conformant |
| Gold | African Gold Refinery | CID003185 | Not Active |
| Gold | Aida Chemical Industries Co., Ltd. | CID000019 | Conformant |
| Gold | Al Etihad Gold LLC | 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 | Not Active |
| Gold | AU Traders and Refiners | CID002850 | Conformant |
| Gold | Aurubis AG | CID000113 | Conformant |
| Gold | Bangalore Refinery | CID002863 | RMAP Active |
| Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | CID000128 | Conformant |
| Gold | Boliden AB | CID000157 | Conformant |
| Gold | C. Hafner GmbH + Co. KG | CID000176 | Conformant |
| Gold | Caridad | CID000180 | Not Active |
| Gold | CCR Refinery - Glencore Canada Corporation | CID000185 | Conformant |
| Gold | Cendres + Metaux S.A. | CID000189 | Conformant |
| Gold | Chimet S.p.A. | CID000233 | Conformant |
| Gold | Chugai Mining | CID000264 | Not Active |
| Gold | Daejin Indus Co., Ltd. | CID000328 | Conformant |
| Gold | Daye Non-Ferrous Metals Mining Ltd. | CID000343 | Not Active |
| Gold | Degussa Sonne / Mond Goldhandel GmbH | CID002867 | Not Active |
| Gold | DODUCO Contacts and Refining GmbH | CID000362 | Conformant |
| Gold | Dowa | CID000401 | Conformant |
| Gold | DS PRETECH Co., Ltd. | CID003195 | RMAP Active |
| Gold | DSC (Do Sung Corporation) | CID000359 | Conformant |
| Gold | Eco-System Recycling Co., Ltd. | CID000425 | Conformant |
| Gold | Elemetal Refining, LLC | CID001322 | Not Active |
| Gold | Emirates Gold DMCC | CID002561 | Conformant |
| Gold | Fidelity Printers and Refiners Ltd. | CID002515 | Not Active |
| Gold | GCC Gujrat Gold Centre Pvt. Ltd. | CID002852 | Not Active |
| Gold | Geib Refining Corporation | CID002459 | Conformant |
| Gold | Gold Refinery of Zijin Mining Group Co., Ltd. | CID002243 | Conformant |
| Gold | Great Wall Precious Metals Co., Ltd. of CBPM | CID001909 | Not Active |
| Gold | Guangdong Jinding Gold Limited | CID002312 | Not Active |
| Gold | Guoda Safina High-Tech Environmental Refinery Co., Ltd. | CID000651 | Not Active |
| Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. | CID000671 | Not Active |
| Gold | HeeSung Metal Ltd. | CID000689 | Conformant |
| Gold | Heimerle + Meule GmbH | CID000694 | Conformant |
| Gold | Heraeus Metals Hong Kong Ltd. | CID000707 | Conformant |
Appendix A – page 1
| Metal | Standard Smelter Name | Smelter Id | Remark |
| Gold | Heraeus Precious Metals GmbH & Co. KG | CID000711 | Conformant |
| Gold | Hunan Chenzhou Mining Co., Ltd. | CID000767 | Not Active |
| Gold | HwaSeong CJ CO., LTD. | CID000778 | Not Active |
| Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | CID000801 | Conformant |
| Gold | Ishifuku Metal Industry Co., Ltd. | CID000807 | Conformant |
| Gold | Istanbul Gold Refinery | CID000814 | Conformant |
| Gold | Italpreziosi | CID002765 | Conformant |
| Gold | Japan Mint | CID000823 | Conformant |
| Gold | Jiangxi Copper Co., Ltd. | CID000855 | Conformant |
| Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | CID000927 | Conformant |
| Gold | JSC Uralelectromed | CID000929 | Conformant |
| Gold | JX Nippon Mining & Metals Co., Ltd. | CID000937 | Conformant |
| Gold | Kaloti Precious Metals | CID002563 | Not Active |
| Gold | Kazakhmys Smelting LLC | CID000956 | Not Active |
| Gold | Kazzinc | CID000957 | Conformant |
| Gold | Kennecott Utah Copper LLC | CID000969 | Conformant |
| Gold | KGHM Polska Miedz Spolka Akcyjna | CID002511 | RMAP Active |
| Gold | Kojima Chemicals Co., Ltd. | CID000981 | Conformant |
| Gold | Korea Zinc Co., Ltd. | CID002605 | Conformant |
| Gold | Kyrgyzaltyn JSC | CID001029 | Conformant |
| Gold | Kyshtym Copper-Electrolytic Plant ZAO | CID002865 | Not Active |
| Gold | L'azurde Company For Jewelry | CID001032 | Not Active |
| Gold | Lingbao Gold Co., Ltd. | CID001056 | Not Active |
| Gold | Lingbao Jinyuan Tonghui Refinery Co., Ltd. | CID001058 | Not Active |
| Gold | L'Orfebre S.A. | CID002762 | RMAP Active |
| Gold | LS-NIKKO Copper Inc. | CID001078 | Conformant |
| Gold | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | CID001093 | Not Active |
| 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 | RMAP Active |
| Gold | Morris and Watson | CID002282 | Not Active |
| Gold | Morris and Watson Gold Coast | CID002866 | Not Active |
| 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 | Not Active |
| Gold | NH Recytech Company | CID003189 | RMAP Active |
| 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 |
Appendix A – page 2
| Metal | Standard Smelter Name | Smelter Id | Remark |
| Gold | PAMP S.A. | CID001352 | Conformant |
| Gold | Pease & Curren | CID002872 | Not Active |
| Gold | Penglai Penggang Gold Industry Co., Ltd. | CID001362 | Not Active |
| 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 | Rand Refinery (Pty) Ltd. | CID001512 | Conformant |
| Gold | Gansu Seemine Material Hi-Tech Co., Ltd. | CID000522 | Not Active |
| Gold | Remondis Argentia B.V. | CID002582 | RMAP Active |
| Gold | Republic Metals Corporation | CID002510 | Conformant |
| Gold | Royal Canadian Mint | CID001534 | Conformant |
| Gold | SAAMP | CID002761 | Conformant |
| Gold | Sabin Metal Corp. | CID001546 | Not Active |
| Gold | Safimet S.p.A | CID002973 | Conformant |
| Gold | SAFINA A.S. | CID002290 | RMAP Active |
| Gold | Sai Refinery | CID002853 | Not Active |
| Gold | Samduck Precious Metals | CID001555 | Conformant |
| Gold | SAMWON METALS Corp. | CID001562 | Not Active |
| Gold | SAXONIA Edelmetalle GmbH | CID002777 | Conformant |
| Gold | Schone Edelmetaal B.V. | CID001573 | Conformant |
| Gold | SEMPSA Joyeria Plateria S.A. | CID001585 | Conformant |
| Gold | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | CID001619 | Not Active |
| 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 | ARY Aurum Plus (private, 100%) | Not Active | |
| Gold | Bauer Walser AG | CID000141 | Not Active |
| Gold | Changcheng Gold & Silver Refining Factory | Not Active | |
| Gold | China Gold International Resources Corp. Ltd | Not Active | |
| Gold | Faggi Enrico S.p.A. | CID002355 | Not Active |
| Gold | Gannon & Scott | Not Active | |
| Gold | Henan Yuguang Gold & Lead Co., Ltd. | Not Active | |
| Gold | HOMESTAKE MINING COMPANY | Not Active | |
| Gold | Jinlong Copper Co., Ltd. | Not Active | |
| Gold | Johnson Matthey Chemicals Ltd. | Not Active | |
| Gold | Johnson Matthey Inc | Not Active | |
| Gold | Johnson Matthey Ltd | Not Active | |
| Gold | K.A.Rasmussen as | Not Active | |
| Gold | Kyoei Metal | Not Active | |
| Gold | Lingbao Jinyuan Mining Co., Ltd. | Not Active | |
| Gold | Linglong Gold mine | Not Active | |
| Gold | METAUX PRECIEUX SA METALOR | Not Active | |
| Gold | Philippine Associated Smelting and Refining Corporation | Not Active | |
| Gold | Shandong Yanggu Xiangguang Co. Ltd. | Not Active | |
| Gold | So Accurate Group, Inc. | CID001754 | Not Active |
| Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | CID001756 | Conformant |
| Gold | Solar Applied Materials Technology Corp. | CID001761 | Conformant |
| Gold | State Research Institute Center for Physical Sciences and Technology | CID003153 | Not Active |
| Gold | Sudan Gold Refinery | CID002567 | Not Active |
| Gold | Sumitomo Metal Mining Co., Ltd. | CID001798 | Conformant |
Appendix A – page 3
| Metal | Standard Smelter Name | Smelter Id | Remark |
| 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 | Not Active |
| Gold | Tony Goetz NV | CID002587 | Not Active |
| Gold | TOO Tau-Ken-Altyn | CID002615 | Not Active |
| Gold | Torecom | CID001955 | Conformant |
| Gold | Umicore Brasil Ltda. | CID001977 | Conformant |
| Gold | Umicore Precious Metals Thailand | CID002314 | Conformant |
| Gold | Umicore S.A. Business Unit Precious Metals Refining | CID001980 | Conformant |
| Gold | United Precious Metal Refining, Inc. | CID001993 | Conformant |
| Gold | Universal Precious Metals Refining Zambia | CID002854 | Not Active |
| 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 | Not Active |
| Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | CID002224 | Conformant |
| Tantalum | Asaka Riken Co., Ltd. | CID000092 | Conformant |
| Tantalum | Changsha South Tantalum Niobium Co., Ltd. | CID000211 | Conformant |
| Tantalum | D Block Metals, LLC | CID002504 | Conformant |
| Tantalum | Duoluoshan | CID000410 | Not Active |
| Tantalum | Exotech Inc. | CID000456 | Conformant |
| Tantalum | F&X Electro-Materials Ltd. | CID000460 | Conformant |
| Tantalum | FIR Metals & Resource Ltd. | CID002505 | Conformant |
| Tantalum | Global Advanced Metals Aizu | CID002558 | Conformant |
| Tantalum | Global Advanced Metals Boyertown | CID002557 | Conformant |
| Tantalum | Guangdong Rising Rare Metals-EO Materials Ltd. | CID000291 | Conformant |
| Tantalum | Guangdong Zhiyuan New Material Co., Ltd. | CID000616 | Conformant |
| Tantalum | H.C. Starck Co., Ltd. | CID002544 | Conformant |
| Tantalum | H.C. Starck GmbH Laufenburg | CID002546 | Not Active |
| Tantalum | H.C. Starck Hermsdorf GmbH | CID002547 | Conformant |
| Tantalum | H.C. Starck Inc. | CID002548 | Conformant |
| Tantalum | H.C. Starck Ltd. | CID002549 | Conformant |
| Tantalum | H.C. Starck Smelting GmbH & Co. KG | CID002550 | Conformant |
| Tantalum | H.C. Starck Tantalum and Niobium GmbH | CID002545 | Conformant |
| Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | CID002492 | Conformant |
| Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | CID002512 | Conformant |
| Tantalum | Jiangxi Tuohong New Raw Material | CID002842 | Conformant |
| Tantalum | Jiujiang Janny New Material Co., Ltd. | CID003191 | Conformant |
| Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | CID000914 | Conformant |
| Tantalum | Jiujiang Tanbre Co., Ltd. | CID000917 | Conformant |
| Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | CID002506 | Conformant |
| Tantalum | KEMET Blue Metals | CID002539 | Conformant |
| Tantalum | KEMET Blue Powder | CID002568 | Conformant |
| Tantalum | King-Tan Tantalum Industry Ltd. | CID000973 | Not Active |
| Tantalum | LSM Brasil S.A. | CID001076 | Conformant |
| Tantalum | Metallurgical Products India Pvt., Ltd. | CID001163 | Conformant |
Appendix A – page 4
| Metal | Standard Smelter Name | Smelter Id | Remark |
| 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 | Power Resources Ltd. | CID002847 | Conformant |
| Tantalum | QuantumClean | CID001508 | Conformant |
| Tantalum | Resind Industria e Comercio Ltda. | CID002707 | Conformant |
| Tantalum | RFH Tantalum Smeltery Co., Ltd./Yanling Jincheng Tantalum & Niobium Co., Ltd. | CID001522 | Conformant |
| Tantalum | Advanced Metallurgical Group N.V. (AMG) | Not Active | |
| Tantalum | Avon Specialty Metals Ltd | CID002705 | Not Active |
| Tantalum | H.C. Starck Group | CID000654 | Not Active |
| Tantalum | Hi-Temp Specialty Metals, Inc. | CID000731 | Not Active |
| Tantalum | Plansee | CID001368 | Not Active |
| Tantalum | Plansee SE Liezen | CID002540 | Not Active |
| Tantalum | Plansee SE Reutte | CID002556 | Not Active |
| Tantalum | Tranzact, Inc. | CID002571 | Not Active |
| Tantalum | Zhuzhou Cemented Carbide Group Co., Ltd. | CID002232 | Not Active |
| 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 | Yichun Jin Yang Rare Metal Co., Ltd. | CID002307 | Conformant |
| Tin | Alpha | CID000292 | Conformant |
| Tin | An Vinh Joint Stock Mineral Processing Company | CID002703 | Not Active |
| 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 | CNMC (Guangxi) PGMA Co., Ltd. | CID000278 | Not Active |
| Tin | CV Ayi Jaya | CID002570 | Conformant |
| Tin | CV Dua Sekawan | CID002592 | Conformant |
| Tin | CV Gita Pesona | CID000306 | Conformant |
| Tin | PT Premium Tin Indonesia | CID000313 | Conformant |
| Tin | PT Rajehan Ariq | CID002593 | Conformant |
| Tin | CV United Smelting | CID000315 | Conformant |
| Tin | CV Venus Inti Perkasa | CID002455 | Conformant |
| Tin | Dowa | CID000402 | Conformant |
| Tin | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | CID002572 | Not Active |
| Tin | EM Vinto | CID000438 | Conformant |
| Tin | Estanho de Rondonia S.A. | CID000448 | Not Active |
| Tin | Fenix Metals | CID000468 | Conformant |
| Tin | Gejiu Fengming Metallurgy Chemical Plant | CID002848 | Conformant |
| Tin | Gejiu Jinye Mineral Company | CID002859 | Conformant |
| Tin | Gejiu Kai Meng Industry and Trade LLC | CID000942 | Conformant |
| Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. | CID000538 | Conformant |
| Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | CID001908 | Conformant |
| Tin | Gejiu Zili Mining And Metallurgy Co., Ltd. | CID000555 | Not Active |
| 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 |
Appendix A – page 5
| Metal | Standard Smelter Name | Smelter Id | Remark |
| Tin | Jiangxi Ketai Advanced Material Co., Ltd. | CID000244 | 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 | RMAP Active |
| Tin | Jiangxi New Nanshan Technology Ltd. | CID001231 | Conformant |
| Tin | Nghe Tinh Non-Ferrous Metals Joint Stock Company | CID002573 | Not Active |
| Tin | O.M. Manufacturing (Thailand) Co., Ltd. | CID001314 | Conformant |
| Tin | O.M. Manufacturing Philippines, Inc. | CID002517 | Conformant |
| Tin | Operaciones Metalurgical S.A. | CID001337 | Conformant |
| Tin | 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 Bangka Prima Tin | CID002776 | Conformant |
| Tin | PT Bangka Tin Industry | CID001419 | Conformant |
| Tin | PT Belitung Industri Sejahtera | CID001421 | Conformant |
| Tin | PT Bukit Timah | CID001428 | Conformant |
| Tin | PT Cipta Persada Mulia | CID002696 | Not Active |
| Tin | PT DS Jaya Abadi | CID001434 | Conformant |
| Tin | PT Eunindo Usaha Mandiri | CID001438 | Conformant |
| Tin | PT Inti Stania Prima | CID002530 | Conformant |
| Tin | PT Karimun Mining | CID001448 | Conformant |
| Tin | PT Kijang Jaya Mandiri | CID002829 | Conformant |
| Tin | PT Lautan Harmonis Sejahtera | CID002870 | Conformant |
| Tin | PT Menara Cipta Mulia | CID002835 | Conformant |
| Tin | PT Mitra Stania Prima | CID001453 | Conformant |
| Tin | PT Panca Mega Persada | CID001457 | Conformant |
| Tin | PT Prima Timah Utama | CID001458 | Conformant |
| Tin | PT Refined Bangka Tin | CID001460 | Conformant |
| Tin | PT Sariwiguna Binasentosa | CID001463 | Conformant |
| Tin | PT Stanindo Inti Perkasa | CID001468 | Conformant |
| Tin | PT Sukses Inti Makmur | CID002816 | Conformant |
| Tin | PT Sumber Jaya Indah | CID001471 | Conformant |
| Tin | PT Timah (Persero) Tbk Kundur | CID001477 | Conformant |
| Tin | PT Timah (Persero) Tbk Mentok | CID001482 | Conformant |
| Tin | PT Tinindo Inter Nusa | CID001490 | Conformant |
| Tin | PT Tommy Utama | CID001493 | Conformant |
| Tin | Resind Industria e Comercio Ltda. | CID002706 | Conformant |
| Tin | Rui Da Hung | CID001539 | Conformant |
| Tin | 5NPLUS | Not Active | |
| Tin | An Thai Minerals Co., Ltd. | CID002825 | Not Active |
| Tin | Aoki Laboratories Ltd. | Not Active | |
| Tin | CHINA GUANGXI TIN METAL MATERIAL | Not Active | |
| Tin | Complejo Metalurgico Vinto S.A. | Not Active | |
Appendix A – page 6
| Metal | Standard Smelter Name | Smelter Id | Remark |
| Tin | Cooperativa Metalurgica de Rondonia Ltda. | CID000295 | Not Active |
| Tin | Da Nang Processing Import and Export Joint Stock | Not Active | |
| Tin | Elmet S.A. de C.V. | Not Active | |
| Tin | Feinhutte Halsbrucke GmbH | CID000466 | Not Active |
| Tin | GANZHOU LIANSHENG | Not Active | |
| Tin | Garoma Plus spol. s r.o. | Not Active | |
| Tin | Hayes Metals | CID002934 | Not Active |
| Tin | Hongqiao Metals (Kunshan) Co., Ltd. | CID002635 | Not Active |
| Tin | Jean Goldschmidt International | CID000835 | Not Active |
| Tin | JX Nippon Mining & Metals Co., Ltd. | CID000938 | Not Active |
| Tin | Northern Smelter | CID002963 | Not Active |
| Tin | PT Justindo | CID000307 | Not Active |
| Tin | PT O.M. Indonesia | CID002757 | Not Active |
| Tin | PT Tirus Putra Mandiri | CID002478 | Not Active |
| Tin | PT Wahana Perkit Jaya | CID002479 | Not Active |
| Tin | Shangrao Xuri Smelting Factory | CID001648 | Not Active |
| Tin | VQB Mineral and Trading Group JSC | CID002015 | Not Active |
| Tin | Yunnan Geiju Zili Metallurgy Co. Ltd. | Not Active | |
| Tin | Yuntinic Chemical GmbH | Not Active | |
| Tin | Zhongshan Jinye Smelting Co.,Ltd | CID002220 | Not Active |
| Tin | Soft Metais Ltda. | CID001758 | Conformant |
| Tin | Super Ligas | CID002756 | Not Active |
| Tin | Thaisarco | CID001898 | Conformant |
| Tin | Tuyen Quang Non-Ferrous Metals Joint Stock Company | CID002574 | Not Active |
| 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 |
| Tungsten | A.L.M.T. TUNGSTEN Corp. | CID000004 | Conformant |
| Tungsten | ACL Metais Eireli | CID002833 | Conformant |
| Tungsten | Asia Tungsten Products Vietnam Ltd. | CID002502 | Conformant |
| Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd. | CID002513 | Conformant |
| Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | CID000258 | Conformant |
| Tungsten | Fujian Jinxin Tungsten Co., Ltd. | CID000499 | Conformant |
| Tungsten | Ganzhou Haichuang Tungsten Industry Co., Ltd. | CID002645 | Not Active |
| Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. | CID000875 | Conformant |
| Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | CID002315 | Conformant |
| Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | CID002494 | Conformant |
| Tungsten | Ganzhou Yatai Tungsten Co., Ltd. | CID002536 | Not Active |
| Tungsten | Global Tungsten & Powders Corp. | CID000568 | Conformant |
| Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | CID000218 | Conformant |
| Tungsten | H.C. Starck Smelting GmbH & Co. KG | CID002542 | Conformant |
| Tungsten | H.C. Starck Tungsten GmbH | CID002541 | Conformant |
| Tungsten | Hunan Chenzhou Mining Co., Ltd. | CID000766 | Conformant |
| Tungsten | Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji | CID002579 | Conformant |
| Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd. | CID000769 | Conformant |
| Tungsten | Hunan Litian Tungsten Industry Co., Ltd. | CID003182 | Not Active |
| Tungsten | Hydrometallurg, JSC | CID002649 | Conformant |
| Tungsten | Japan New Metals Co., Ltd. | CID000825 | Conformant |
| Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | CID002551 | Conformant |
| Tungsten | Jiangxi Dayu Longxintai Tungsten Co., Ltd. | CID002647 | Not Active |
| Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | CID002321 | Conformant |
Appendix A – page 7
| Metal | Standard Smelter Name | Smelter Id | Remark |
| Tungsten | Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. | CID002313 | Not Active |
| Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | CID002318 | Conformant |
| Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | CID002317 | Conformant |
| Tungsten | Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd. | CID002535 | Conformant |
| Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. | CID002316 | Conformant |
| Tungsten | Kennametal Fallon | CID000966 | Conformant |
| Tungsten | Kennametal Huntsville | CID000105 | Conformant |
| Tungsten | Malipo Haiyu Tungsten Co., Ltd. | CID002319 | Conformant |
| Tungsten | Moliren Ltd. | CID002845 | Conformant |
| Tungsten | Niagara Refining LLC | CID002589 | Conformant |
| Tungsten | Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC | CID002543 | Conformant |
| Tungsten | Philippine Chuangxin Industrial Co., Inc. | CID002827 | Conformant |
| Tungsten | ATI Metalworking Products | Not Active | |
| Tungsten | Buffalo Tungsten | CID000173 | Not Active |
| Tungsten | Dayu Weiliang Tungsten Co., Ltd. | CID000345 | Not Active |
| Tungsten | Exotech Inc. | CID000458 | Not Active |
| Tungsten | Ganzhou Non-ferrous Metals Smelting Co., Ltd. | CID000868 | Not Active |
| Tungsten | HC Starck GmbH | CID000683 | Not Active |
| Tungsten | Hunan Chuangda Vanadium Tungsten Co., Ltd. Yanglin | CID002578 | Not Active |
| Tungsten | Jiangxi Tungsten Co.,Ltd | Not Active | |
| Tungsten | NIPPON TUNGSTEN CO., LTD. | Not Active | |
| Tungsten | TaeguTec | CID001837 | Not Active |
| Tungsten | Tungsten Diversified Industries LLC | Not Active | |
| Tungsten | Wolfram Company CJSC | CID002049 | Not Active |
| Tungsten | South-East Nonferrous Metal Company Limited of Hengyang City | CID002815 | Conformant |
| Tungsten | Tejing (Vietnam) Tungsten Co., Ltd. | CID001889 | Conformant |
| Tungsten | Unecha Refractory metals plant | CID002724 | Conformant |
| Tungsten | Vietnam Youngsun Tungsten Industry Co., Ltd. | CID002011 | Conformant |
| Tungsten | Wolfram Bergbau und Hutten AG | CID002044 | Conformant |
| Tungsten | Woltech Korea Co., Ltd. | CID002843 | Conformant |
| Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | CID002320 | Conformant |
| Tungsten | Xiamen Tungsten Co., Ltd. | CID002082 | Conformant |
| Tungsten | Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. | CID002830 | Conformant |
| Tungsten | Xinhai Rendan Shaoguan Tungsten Co., Ltd. | CID002095 | Conformant |
Appendix A – page 8
List of Reported Smelters/Refiners Facilities Processing Minerals Used in Avaya Products Not Confirmed as Legitimate SORs
| Metal | Standard Smelter Name | Smelter Id | Remark |
| Gold | ARY Aurum Plus (private, 100%) | Not a Legitimate SOR | |
| Gold | Bauer Walser AG | CID000141 | Not a Legitimate SOR |
| Gold | Changcheng Gold & Silver Refining Factory | Not a Legitimate SOR | |
| Gold | China Gold International Resources Corp. Ltd | Not a Legitimate SOR | |
| Gold | Faggi Enrico S.p.A. | CID002355 | Not a Legitimate SOR |
| Gold | Gannon & Scott | Not a Legitimate SOR | |
| Gold | Henan Yuguang Gold & Lead Co., Ltd. | Not a Legitimate SOR | |
| Gold | HOMESTAKE MINING COMPANY | Not a Legitimate SOR | |
| Gold | Jinlong Copper Co., Ltd. | Not a Legitimate SOR | |
| Gold | Johnson Matthey Chemicals Ltd. | Not a Legitimate SOR | |
| Gold | Johnson Matthey Inc | Not a Legitimate SOR | |
| Gold | Johnson Matthey Ltd | Not a Legitimate SOR | |
| Gold | K.A.Rasmussen as | Not a Legitimate SOR | |
| Gold | Kyoei Metal | Not a Legitimate SOR | |
| Gold | Lingbao Jinyuan Mining Co., Ltd. | Not a Legitimate SOR | |
| Gold | Linglong Gold mine | Not a Legitimate SOR | |
| Gold | METAUX PRECIEUX SA METALOR | Not a Legitimate SOR | |
| Gold | Philippine Associated Smelting and Refining Corporation | Not a Legitimate SOR | |
| Gold | Shandong Yanggu Xiangguang Co. Ltd. | Not a Legitimate SOR | |
| Gold | So Accurate Group, Inc. | CID001754 | Not a Legitimate SOR |
| Tantalum | H.C. Starck GmbH Laufenburg | CID002546 | Not a Legitimate SOR |
| Tantalum | Advanced Metallurgical Group N.V. (AMG) | Not a Legitimate SOR | |
| Tantalum | Avon Specialty Metals Ltd | CID002705 | Not a Legitimate SOR |
| Tantalum | H.C. Starck Group | CID000654 | Not a Legitimate SOR |
| Tantalum | Hi-Temp Specialty Metals, Inc. | CID000731 | Not a Legitimate SOR |
| Tantalum | Plansee | CID001368 | Not a Legitimate SOR |
| Tantalum | Plansee SE Liezen | CID002540 | Not a Legitimate SOR |
| Tantalum | Plansee SE Reutte | CID002556 | Not a Legitimate SOR |
| Tantalum | Tranzact, Inc. | CID002571 | Not a Legitimate SOR |
| Tantalum | Zhuzhou Cemented Carbide Group Co., Ltd. | CID002232 | Not a Legitimate SOR |
| Tin | PT Cipta Persada Mulia | CID002696 | Not a Legitimate SOR |
| Tin | 5NPLUS | Not a Legitimate SOR | |
| Tin | An Thai Minerals Co., Ltd. | CID002825 | Not a Legitimate SOR |
| Tin | Aoki Laboratories Ltd. | Not a Legitimate SOR | |
| Tin | CHINA GUANGXI TIN METAL MATERIAL | Not a Legitimate SOR | |
| Tin | Complejo Metalurgico Vinto S.A. | Not a Legitimate SOR | |
| Tin | Cooperativa Metalurgica de Rondonia Ltda. | CID000295 | Not a Legitimate SOR |
| Tin | Da Nang Processing Import and Export Joint Stock | Not a Legitimate SOR | |
| Tin | Elmet S.A. de C.V. | Not a Legitimate SOR | |
| Tin | Feinhutte Halsbrucke GmbH | CID000466 | Not a Legitimate SOR |
| Tin | GANZHOU LIANSHENG | Not a Legitimate SOR | |
| Tin | Garoma Plus spol. s r.o. | Not a Legitimate SOR | |
| Tin | Hayes Metals | CID002934 | Not a Legitimate SOR |
| Tin | Hongqiao Metals (Kunshan) Co., Ltd. | CID002635 | Not a Legitimate SOR |
| Tin | Jean Goldschmidt International | CID000835 | Not a Legitimate SOR |
| Tin | JX Nippon Mining & Metals Co., Ltd. | CID000938 | Not a Legitimate SOR |
Appendix A – page 9
| Metal | Standard Smelter Name | Smelter Id | Remark |
| Tin | Northern Smelter | CID002963 | Not a Legitimate SOR |
| Tin | PT Justindo | CID000307 | Not a Legitimate SOR |
| Tin | PT Tirus Putra Mandiri | CID002478 | Not a Legitimate SOR |
| Tin | PT Wahana Perkit Jaya | CID002479 | Not a Legitimate SOR |
| Tin | Shangrao Xuri Smelting Factory | CID001648 | Not a Legitimate SOR |
| Tin | VQB Mineral and Trading Group JSC | CID002015 | Not a Legitimate SOR |
| Tin | Yunnan Geiju Zili Metallurgy Co. Ltd. | Not a Legitimate SOR | |
| Tin | Yuntinic Chemical GmbH | Not a Legitimate SOR | |
| Tin | Zhongshan Jinye Smelting Co.,Ltd | CID002220 | Not a Legitimate SOR |
| Tungsten | ATI Metalworking Products | Not a Legitimate SOR | |
| Tungsten | Buffalo Tungsten | CID000173 | Not a Legitimate SOR |
| Tungsten | Dayu Weiliang Tungsten Co., Ltd. | CID000345 | Not a Legitimate SOR |
| Tungsten | Exotech Inc. | CID000458 | Not a Legitimate SOR |
| Tungsten | Ganzhou Non-ferrous Metals Smelting Co., Ltd. | CID000868 | Not a Legitimate SOR |
| Tungsten | HC Starck GmbH | CID000683 | Not a Legitimate SOR |
| Tungsten | Hunan Chuangda Vanadium Tungsten Co., Ltd. Yanglin | CID002578 | Not a Legitimate SOR |
| Tungsten | Jiangxi Tungsten Co.,Ltd | Not a Legitimate SOR | |
| Tungsten | NIPPON TUNGSTEN CO., LTD. | Not a Legitimate SOR | |
| Tungsten | TaeguTec | CID001837 | Not a Legitimate SOR |
| Tungsten | Tungsten Diversified Industries LLC | Not a Legitimate SOR | |
| Tungsten | Wolfram Company CJSC | CID002049 | Not a Legitimate SOR |
Appendix A – page 10