Exhibit 1.01
Corning Incorporated
Conflict Minerals Report
For the Year Ended December 31, 2018
This Conflict Minerals Report (CMR) for the year ended December 31, 2018 is presented to comply with Rule13p-1 under the Securities Exchange Act of 1934 (the Rule). The Rule was adopted by the Securities and Exchange Commission (SEC) to implement reporting and disclosure requirements related to conflict minerals as directed by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (Dodd-Frank Act). The Rule imposes certain reporting obligations on SEC registrants whose manufactured products contain conflict minerals which are necessary to the functionality or production of their products. Conflict Minerals are defined as cassiterite, columbite-tantalite, gold, wolframite, and their derivatives, which are limited to tin, tantalum, tungsten, and gold (3TG).
This report is available on the Investor Relations page of Corning’s website (seehttp://www.corning.com/investor_relations/index.aspx and click on “View All Filings”).
| 1. | Company Overview |
This report has been prepared by management of Corning Incorporated (herein referred to as “Corning,” the “Company,” “we,” “us,” or “our”). The information includes the activities of all majority-owned subsidiaries and variable interest entities that are required to be consolidated in accordance with US Generally Accepted Accounting Principles. It does not include the activities of subsidiaries or variable interest entities that are not required to be consolidated.
Corning is a world leader in the manufacture of specialty glass and ceramics. Drawing on more than 160 years of materials science and process engineering knowledge, Corning creates and makes keystone components that enable high-technology systems for consumer electronics, mobile emissions control, telecommunications and life sciences. Corning operates in five reportable segments: Display Technologies, Optical Communications, Environmental Technologies, Specialty Materials and Life Sciences. Corning manufactures and processes products at approximately 105 plants in 15 countries.
| 2. | Products Overview |
Corning’s principal products, by segment, are as follows:
Corning’s Display Technologies segment manufactures glass substrates for active matrix liquid crystal displays (LCDs) that are used primarily in notebook computers and flat panel displays.
Corning’s Optical Communications segment is classified into two main product groupings – carrier network and enterprise network. The carrier network product group consists primarily of products and solutions for optical-based communications infrastructure for services such as video, data and voice communications. The enterprise network product group consists primarily of optical-based communication networks sold to businesses, governments and individuals for their own use.
Corning’s Environmental Technologies segment manufactures ceramic substrates and filter products for emissions control in mobile and stationary applications around the world.
The Specialty Materials segment manufactures products that provide more than 150 material formulations for glass, glass ceramics and fluoride crystals to meet demand for unique customer needs. Consequently, this segment operates in a wide variety of commercial and industrial markets that include display optics and components, semiconductor optics components, aerospace and defense, astronomy, ophthalmic products, telecommunications components and cover glass that is optimized for portable display devices and televisions.
Corning’s Life Sciences segment is a leading developer, manufacturer and global supplier of scientific laboratory products, including general labware and equipment, as well as specialty surfaces, media and reagents, that are used for cell culture research, bioprocessing, genomics, drug discovery, microbiology and chemistry.
All other segments at Corning that do not meet the quantitative threshold for separate reporting have been grouped as “All Other” in our financial reporting documentation. This group is primarily comprised of the results of the pharmaceutical technologies business and new product lines and development projects, as well as certain corporate investments.
| 3. | Supply Chain Overview |
Corning maintains complex and diverse supply chains across its reported segments, involving thousands of suppliers to the Company. We rely on our direct suppliers to provide information on the origin of the 3TG contained in components and materials supplied to us – including sources of 3TG that are supplied to them from lower tier suppliers. Contracts with our suppliers are frequently in force for three years or more and we cannot unilaterally impose new contract terms and flow-down requirements. Corning has worked over the past several years to incorporate a clause to relevant agreements that requires suppliers to provide information about the source of conflict minerals and smelters. Based upon these contractual requirements and our supplier relationships, we are working with selected suppliers to ensure they provide us the 3TG sourcing information required.
Based upon technical knowledge regarding our products, as well as the results of the prior supplier surveys regarding conflict minerals, relevant personnel in each of our reported segments identified the suppliers to survey regarding whether the components or materials supplied to Corning by such suppliers contain 3TG. We relied upon these suppliers, approximately 164 in total, to provide us with information about whether the components or materials supplied to Corning contain 3TG; and if so, the source of such 3TG. Our direct suppliers are similarly reliant upon information provided by their suppliers, or in the case of distributors from whom we purchase components or materials, reliant upon the manufacturers of such items. Many of our larger suppliers are also SEC registrants and subject to the Rule.
| 4. | Reasonable Country of Origin Inquiry (RCOI) and RCOI Conclusion |
| 4.1 | Requests for Information |
We surveyed those suppliers described above using version 5.0 or higher of the conflict minerals reporting template developed by the Electronic Industry Citizenship Coalition® (EICC®) and The Globale-Sustainability Initiative (GeSI), known as the Responsible Minerals Initiative (“RMI”) Reporting Template (or the “CMRT”). The CMRT was developed to facilitate disclosure and communication of information regarding smelters that provide material to a company’s supply chain. It includes questions regarding a company’s conflict-free policy, engagement with its direct suppliers, and a listing of the smelters the company and its suppliers use. In addition, the CMRT contains questions about the origin of conflict minerals included in their products, as well as supplier due diligence. Written instructions and recorded training illustrating the use of the tool are available on Responsible Business Alliance’s website. The CMRT is being used by many companies in their due diligence processes related to 3TG.
To determine whether any 3TG necessary to our products originated in the Covered Countries, we retained a third-party service provider, Assent Compliance (“Assent”) to assist us in surveying our supply chain. During our supplier survey, we contacted suppliers via the Assent Compliance Manager (“ACM”), a SaaS platform provided by Assent that enables its users to complete and track supplier communications as well as allows suppliers to upload completed CMRTs directly to the platform for assessment and management. The use of the CMRT allowed for some elimination of irrelevant suppliers. Specifically, question one of the CMRT asks suppliers whether any 3TGs are necessary to the functionality or production of their products. We also reviewed the supplier list to ensure that irrelevant or “out of scope” suppliers were removed from the survey process (e.g., the removal of suppliers who provided only packaging to Corning).
Assent requested that allin-scope suppliers complete a CMRT and included training and education to guide suppliers on best practices and the use of the template. Assent monitored and tracked all communications in the ACM for future reporting and transparency. Corning directly contacted suppliers that were unresponsive to Assent’s communications during the diligence process and requested that such suppliers complete and submit the CMRT to Assent.
| 4.2 | Survey Responses |
Where the CMRT responses included the names of entities listed by our suppliers as smelters or refiners, we consulted the RMI publicly-available information to determine whether such entities had been identified as certified Conflict-Free. In some cases, the CMRT responses did not provide smelter information; this was one of the items that we typically requested infollow-up communications with suppliers. Ultimately, some suppliers were unable to provide us with smelter information because they were engaged in their own efforts to obtain that information from their suppliers.
Through Assent’s platform automated data validation was performed 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 logical sequencing and required correlations between the CMRT questions (for example, if a supplier does not report having received information from 100% of its 3TG sources, it cannot logically offer definitive statements in response to certain other questions).
All submitted CMRTs are first accepted and then classified as valid or invalid so that their data is still retained. Suppliers are contacted in regard to invalid forms and are encouraged to resubmit a valid form. As of May 22, 2019, there were seven (7) invalid supplier submissions in Corning’s supplier survey that could not be corrected.
Many of the responses we received provided data at a company or divisional level or, as described above, were unable to specify with certainty all of the smelters or refiners used for components supplied to Corning. In some instances, we engaged infollow-up communications with suppliers to request that they provide a CMRT response specific to the components or materials supplied to Corning; however, in many cases, the suppliers were unable to do so because they were unable to obtain detailed information from their own suppliers.
| 4.3 | RCOI Conclusion |
Based upon the results of our RCOI, we were able to determine that no 3TGs are contained in the products sold by Corning’s Environmental Technologies segment. In Corning’s Display Technologies segment, our RCOI determined that while tin is contained in the products sold by this segment, the tin is not sourced from the Covered Countries. For Corning’s Optical Communications, Specialty Materials, and Life Sciences segments, we were unable to conclusively determine whether the 3TG in the products for such segments originated in the Covered Countries because of the incomplete information received from our supply chain.
Based on RCOI responses we have received from certain suppliers, we believe that certain of the 3TG contained in the products for our Optical Communications, Specialty Materials, and/or Life Sciences segments may have originated in the Democratic Republic of the Congo or an adjoining country (the Covered Countries). Thus, we are required under the Rule to conduct due diligence on the source and chain of custody of those minerals and submit to the SEC a Conflict Minerals Report as an Exhibit to Form SD.
| 5. | Due Diligence Program |
| 5.1 | Design of Due Diligence |
Our due diligence measures have been designed to conform, in all material respects, with the framework in The Organization for EconomicCo-operation and Development (OECD) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, Second Edition, 2013 (OECD Guidance) and the related Supplements for gold and for tin, tantalum and tungsten. The Guidance identifies five steps for due diligence that should be implemented and provides guidance as to how to achieve each step. We developed our due diligence process to address each of these five steps, namely:
| 1. | Establishing strong company management systems regarding conflict minerals; |
| 2. | Identifying and assessing risks in our supply chain; |
| 3. | Designing and implementing a strategy to respond to identified risks in our supply chain; |
| 4. | Utilizing independent third-party audits of supply chain diligence; and |
| 5. | Publicly reporting on our supply chain due diligence |
We are a downstream supplier, many steps removed from the mining of 3TGs. A large number of suppliers, through multiple tiers of distribution, supply the components and materials integrated into our products. Furthermore, we do not purchase raw ore or unrefined conflict minerals or make purchases from the Covered Countries directly. The origin of the conflict minerals cannot be determined with any certainty once the raw ores are smelted, refined and converted to ingots, bullion or other conflict mineral containing derivatives. The smelters and refiners consolidate raw ore and represent the best actors in the total supply chain to possess knowledge of the origin of the ores they procure.
| 5.2 | Establish Strong Company Management Systems |
5.2.1 Conflict Minerals Policy
We have adopted the following revised conflict minerals policy, effective March 2019:
Background on Conflict Minerals
Conflict minerals refer to the mineral precursors of the metals tantalum, tin, tungsten, and gold (3TG), which are found in small amounts in virtually all electronic products. Revenue from mining these minerals in the Democratic Republic of Congo (DRC) and nine neighboring countries has been linked to funding for groups engaged in extreme violence and human rights atrocities.
Pursuant to the Dodd–Frank Wall Street Reform and Consumer Protection Act, public companies in the US that make products for which 3TG metals (tantalum, tin, tungsten & gold) are necessary to the functionality or production of that product are required to assess their supply chains and report on the source of these materials. Corning Incorporated (“Corning”) is a public company, and therefore is committed to complying with this law.
Corning Incorporated’s Corporate Position on Conflict Minerals
At Corning, corporate social responsibility is a proactive commitment to preserving the trust of our stakeholders. The commitment contributes to sustainable economic and environmental development through all our business activities – how we operate, what we sell, how we give, and how we support our people, the communities in which we operate, and society at large. Any connection between the materials used in Corning products and armed violence or human rights abuses is unacceptable.
Corporate social responsibility is intrinsic to Corning’s heritage and it is integral to how we build value and trust in our company. It is also a demonstration of how we live our Values which represent the unchanging moral and ethical compass that guides everything we do. More information about Sustainability at Corning can be found here.
The 3TG supply chain is complex, typically including many stages between Corning and the smelters that purchase and process the ore into metals. The greatest risk of conflict minerals entering our supply chain is through these smelters’ ore purchasing practices. We require our suppliers to source 3TG for Corning products only from smelters that comply with the Responsible Minerals Initiative ‘s (RMI, formerly the Conflict Free Sourcing Initiative) Responsible Minerals Assurance Process (RMAP, formerly the Conflict-Free Smelter Program), which requires a third-party sourcing audit. To monitor 3TG suppliers’ performance, we assess their responses to the RMI’s Conflict Minerals Reporting Template, and request corrective action where needed, including the removal from our supply chain of smelters that pose a risk.
More information about the Responsible Minerals Initiative can be found here. Our due diligence measures implemented as part of our conflict minerals program have been designed to conform, in all material respects, with the framework in The Organization for EconomicCo-operation and Development (OECD) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas.
Corning requires our suppliers to comply with our requests to provide complete and accurate Conflict Minerals Reporting Templates, and to perform further due diligence as required about the source of any conflict minerals in their products which are provided to us in order to ensure alignment throughout the supply chain. Failure to provide this information to Corning when requested may result in removal from active status as a Corning supplier.
Our conflict minerals policy is publicly available on our website at the following link:http://www.corning.com/worldwide/en/sustainability/processes/supply-chain-social-responsibility/social/conflict-minerals-policy.html.
5.2.2 Internal Team
Corning has established a management system for conflict minerals. Our management system includes a steering team sponsored by the Senior Vice President, Global Supply Management as well as executive-level representatives from the company’s finance and legal functions. Reporting to the steering team is a core working team, which is led by our Global Supply Management organization. This core team, which includes subject matter experts from relevant functions such as finance, legal, and global supply management, is responsible for implementing our conflict minerals compliance strategy. Senior management is briefed about the results of our due diligence efforts on an annual basis. Corning also uses a third-party service provider, Assent Compliance or “Assent”, to assist us with evaluating supply chain information regarding 3TGs, identifying potential risks, and in the development and implementation of additional due diligence steps that we will undertake with suppliers regarding conflict minerals.
5.2.3 Control Systems
As we do not typically have a direct relationship with 3TG smelters and refiners, we have relied upon industry-wide initiatives to disclose upstream actors in the supply chain. Specifically, as part of our due diligence efforts we have utilized the smelter information provided by the Responsible Minerals Initiative.
In addition, with the assistance of personnel from Corning’s accounting, compliance and reporting function, we previously developed a detailed risk control matrix through which Corning’s conflict minerals program can be evaluated and monitored.
5.2.4 Supplier Engagement
With respect to the OECD requirement to strengthen engagement with suppliers, we have added a conflict minerals clause to our purchase order terms and conditions and relevant contract templates in order to communicate to suppliers our expectations and requirements regarding the sourcing of and disclosure of conflict minerals. We also include our Supplier Code of Conduct in our supplier contracts, which contains Corning’s expectations for suppliers with respect to humane labor conditions, health and safety, and environmental factors, among others. A copy of our Supplier Code of Conduct is available athttp://www.corning.com/worldwide/en/sustainability/articles/processes/supply-chain-management/supplier-code-of-conduct.html.
5.2.5 Grievance Mechanism
Corning’s Supplier Code of Conduct, referenced in 5.2.4 above, instructs suppliers that questions or concerns may be submitted to Corning’s third-party telephone and web hotline service. This hotline is also described in Corning’s Code of Conduct, as referenced above. These phone or web services can be used to make an anonymous report and are available on a 24/7 basis.
5.2.6 Maintain Records
Corning has an existing document retention policy which governs the retention of documentation relevant to our due diligence efforts. We also implemented a document retention policy through Assent to retain conflict minerals related documents, including supplier responses to CMRTs. Assent stores all of the information and findings from this process in a database that can be audited by internal or external parties.
| 5.3 | Identify and Assess Risks in the Supply Chain |
Because of our size, the complexity of our products, and the depth and breadth of our supply chain, it is difficult to identify actors upstream from our direct suppliers. One method for identifying risks in our supply chain is through automatic checks in the ACM system based on criteria established by Assent for supplier responses as outlined above.
In accordance with OECD Guidelines, it is important to understand risk levels associated with conflict minerals in the supply chain. Smelters or refiners not being certifiedDRC-Conflict Free pose a significant risk to the supply chain. Certain of the responses provided by our suppliers via the CMRT included the names of facilities listed by the suppliers as smelters or refiners. We do not typically have a direct relationship with 3TG smelters and refiners and do not perform or direct audits of these entities within our supply chain. Assent compared these facilities listed in the responses to the list of smelters and refiners maintained by the RMI and, if a supplier indicated that the facility was certified as “Conflict-Free,” confirmed that the name was listed by RMI. As of May 22, 2019, of the 320 legitimate smelter and refiners identified by our suppliers, we have validated 257 smelters or refiners as Responsible Minerals Assurance Process (“RMAP”) conformant. Due to the provision of a mix of company-level, product-level and user defined CMRTs, we cannot definitively determine the connection of any smelters or refiners listed in them to ourin-scope products.
Each facility that meets the RMI definition of a smelter or refiner of a 3TG mineral is assessed according to red flag indicators defined in the OECD Guidance. Assent determines the level of risk that each smelter poses to the supply chain by identifying the following red flags:
| • | Geographic proximity to the DRC and Covered Countries; |
| • | Responsible Minerals Assurance Process (RMAP) audit status; |
| • | Credible evidence of unethical or conflict sourcing |
| • | Known mineral source country of origin; |
| • | Peer Assessments conducted by credible third-party sources. |
Based on these criteria the following facilities have been identified as being of highest concern to the supply chain:
| • | Tony Goetz NV - CID002587 |
| • | Kaloti Precious Metals - CID002563 |
| • | African Gold Refinery Limited (AGR) - CID003185 |
| • | Universal Precious Metals Refining Zambia - CID002854 |
| • | Fidelity Printers and Refiners - CID002515 |
| • | Sudan Gold Refinery - CID002567 |
As part of our risk management plan under the OECD Guidance, when these facilities were reported on a CMRT by one of the suppliers we surveyed, risk mitigation activities were initiated. Through our third-party vendor, Assent Compliance, submissions that included any of the above facilities immediately produced 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 Corning, and escalating up to removal of these high-risk smelters from their supply chain.
As per the OECD Guidance, risk mitigation will depend on the supplier’s specific context. Suppliers are given clear performance objectives within reasonable timeframes with the ultimate goal of progressive elimination of these red flags from the supply chain. In addition, suppliers are guided to the Assent University learning platform to engage in educational materials on mitigating the risk of smelters or refiners on the supply chain.
Additionally, suppliers are evaluated on program strength (further assisting in identifying risk in the supply chain). Evaluating and tracking the strength of the program meets the OECD Due Diligence Guidelines and can assist in making key risk mitigation decisions as the program progresses. The criteria used to evaluate the strength of the program are based on these four questions in the CMRT:
A. Have you established a conflict minerals sourcing policy?
E. Have you implemented due diligence measures for conflict-free sourcing?
G. Do you review due diligence information received from your suppliers against your company’s expectations?
H. Does your review process include corrective action management?
When suppliers meet or exceed those criteria (Yes to at least A, E, G, H), they are deemed to have a strong program. When suppliers do not meet those criteria, they are deemed to have a weak program. At this time, 16 of our responsive suppliers have been identified as having a weak program.
| 5.4 | Design and Implement a Strategy to Respond to Risks |
As described in our conflict minerals policy, we intend to engage with any of our suppliers whom we have reason to believe are supplying us with 3TG from sources that may support conflict in the DRC or any adjoining country to appropriately address the situation, which may include establishing an alternative source of 3TG that does not support such conflict, as provided in the OECD guidance. The result and timing will depend upon factors such as the criticality of the specific part and the availability of alternate suppliers.
As of the date of this filing, we have found no instances where it was necessary to terminate a contract or find a replacement supplier due to 3TG sourced from the Covered Countries.
| 5.5 | Carry out Independent Third-Party Audit of Supply Chain Due Diligence at Identified Points in the Supply Chain |
Corning does not have a direct relationship with 3TG smelters and refiners, nor do we perform direct audits of these entities within our supply chain. However, we do rely upon the industry (e.g., EICC and RMI) efforts to influence smelters and refiners to get audited and certified through the RMI’s Responsible Minerals Assurance Process.
| 5.6 | Report on Supply Chain Due Diligence |
In addition to this report, see our website athttp://www.corning.com/worldwide/en/about-us/suppliers.html for further information about Corning’s commercial relationships with and expectations of its suppliers.
5.6.1 Due Diligence Process
Corning conducted a survey of its relevant suppliers (as described above) using the template originally developed jointly by the Electronic Industry Citizenship Coalition® (EICC®) and The Globale-Sustainability Initiative (GeSI), known as the Responsible Minerals Initiative Reporting Template (the “CMRT”). The CMRT was developed to facilitate disclosure and communication of information regarding smelters that provide material to a company’s supply chain. It includes questions regarding a company’s conflict-free policy, engagement with its direct suppliers, and a listing of the smelters the company and its suppliers use. In addition, the CMRT contains questions about the origin of conflict minerals included in their products, as well as supplier due diligence. Written instructions and recorded training illustrating the use of the tool is available on RMI’s website and via the website of Assent Compliance, our third-party provider.
5.6.2 Survey Responses
Corning surveyed approximately 164 suppliers based upon the likelihood that such suppliers supplied materials or components to Corning that contained one or more 3TG, and we received responses from 87% of the suppliers we surveyed. A total of 26 suppliers indicated in their survey responses that they sourced 3TG from the Covered Countries, but those 3TG were “conflict free.” Twenty-four (24) of the suppliers surveyed stated that the 3TG they sourced came from outside of the Covered Countries, and 20 suppliers reported as “undeterminable” in regard to sourcing 3TGs from the Covered Countries.
5.6.3 Efforts to Determine Country of Origin of Mine or 3TG
We have determined that seeking information about 3TG smelters and refiners in our supply chain through the use of the CMRT with our relevant suppliers represents the most reasonable effort we are able to make to determine the mines or locations of origin of the 3TG in our supply chain.
5.6.4 Efforts to Identify Smelters or Refiners
Because of the incomplete information provided to us by our suppliers in response to our surveys, or the receipt of company-level responses that do not provide information specific to materials or components supplied to Corning, in many cases the smelters and refiners we have identified to date cannot be tied to specific Corning products. However, in certain instances, our suppliers did provide CMRTs specific to the products supplied to Corning. We have reported all legitimate smelter or refiner information included in the CMRTs we received on Appendix A to this report, recognizing as stated above that not all such smelters or refiners can definitively be tied to Corning products. Of the 320 legitimate smelters identified on the CMRTs we received, as of May 22, 2019, 257 were identified as RMAP Conformant and five were actively working toward a “conflict free” designation. As noted, our list of processing smelters and refiners disclosed in Appendix A may contain more facilities than those that processed the conflict minerals actually contained in our products.
5.6.5 Countries of Origin
Appendix B includes an aggregated list of the countries of origin from which the reported facilities collectively source conflict minerals, based on information provided by suppliers and the RMI. As mentioned in the above section, many responses were provided at the company level, therefore, Appendix B may contain more countries than those that the conflict minerals used in our products are sourced from.
| 6. | Steps to be taken to mitigate risk |
We have taken and/or intend to continue to take the following steps to improve the due diligence conducted to further mitigate any risk that the necessary conflict minerals in our products could benefit armed groups in the DRC or adjoining countries:
| A. | Include a conflict minerals flow-down clause in relevant new or renewed supplier contracts. |
| B. | Include a step to our new supplier enrollment process to directly identify new suppliers who could potentially supply Corning with products or materials containing 3TG. |
| C. | Partner with a third-party company, Assent Compliance, which specializes in conducting conflict minerals compliance programs, to improve the accuracy and efficiency of our supplier survey and reporting process. |
| D. | Engage with suppliers to attempt to increase the response rate and improve the content of the supplier survey responses. |
| E. | Engage any of our suppliers found to be supplying us with 3TG from sources that support conflict in the DRC or any adjoining country to address the situation, which will include establishing an alternative source of 3TG that does not support such conflict, with timing depending on factors such as the criticality of the specific part and the availability of alternate suppliers. |
FORWARD-LOOKING STATEMENTS
The statements in this Quarterly Report on Form10-Q, in reports subsequently filed by Corning with the Securities and Exchange Commission (“SEC”) on Forms8-K, and related comments by management that are not historical facts or information and contain words such as “will,” “believe,” “anticipate,” “expect,” “intend,” “plan,” “seek,” “see,” “would,” and “target” and similar expressions are forward-looking statements. Such statements relate to future events that by their nature address matters that are, to different degrees, uncertain. These forward-looking statements relate to, among other things, the company’s future operating performance, the company’s share of new and existing markets, the company’s revenue and earnings growth rates, the company’s ability to innovate and commercialize new products, and the company’s implementation of cost-reduction initiatives and measures to improve pricing, including the optimization of the company’s manufacturing capacity.
Appendix A
RMI Smelter List1
Metal | Standard Smelter Name | Smelter Facility Location | Smelter ID | RMI Audit Status | Conflict Free? | Source from | ||||||
| Gold | 8853 S.p.A. | ITALY | CID002763 | Conformant | Yes | Unknown | ||||||
| Gold | Abington Reldan Metals, LLC | UNITED STATES | CID002708 | Non Conformant | Unknown | Unknown | ||||||
| Gold | Advanced Chemical Company | UNITED STATES | CID000015 | Conformant | Yes | Unknown | ||||||
| Gold | African Gold Refinery | UGANDA | CID003185 | Not Enrolled | Unknown | Unknown | ||||||
| Gold | Aida Chemical Industries Co., Ltd. | JAPAN | CID000019 | Conformant | Yes | No | ||||||
| Gold | Al Etihad Gold LLC | UNITED ARAB EMIRATES | CID002560 | Conformant | Yes | Yes | ||||||
| Gold | AllgemeineGold-und Silberscheideanstalt A.G. | GERMANY | CID000035 | Conformant | Yes | Unknown | ||||||
| Gold | Almalyk Mining and Metallurgical Complex (AMMC) | UZBEKISTAN | CID000041 | Conformant | Yes | Unknown | ||||||
| Gold | AngloGold Ashanti Córrego do Sítio Mineração | BRAZIL | CID000058 | Conformant | Yes | Unknown | ||||||
| Gold | Argor-Heraeus S.A. | SWITZERLAND | CID000077 | Conformant | Yes | Unknown | ||||||
| Gold | Asahi Pretec Corp. | JAPAN | CID000082 | Conformant | Yes | Unknown | ||||||
| Gold | Asahi Refining Canada Ltd. | CANADA | CID000924 | Conformant | Yes | Unknown | ||||||
| Gold | Asahi Refining USA Inc. | UNITED STATES | CID000920 | Conformant | Yes | Unknown | ||||||
| Gold | Asaka Riken Co., Ltd. | JAPAN | CID000090 | Conformant | Yes | No | ||||||
| Gold | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | TURKEY | CID000103 | Not Enrolled | Unknown | Unknown | ||||||
| Gold | AU Traders and Refiners | SOUTH AFRICA | CID002850 | Conformant | Yes | Unknown | ||||||
| Gold | Aurubis AG | GERMANY | CID000113 | Conformant | Yes | Unknown | ||||||
| Gold | Bangalore Refinery | INDIA | CID002863 | Conformant | Yes | Unknown | ||||||
| Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | PHILIPPINES | CID000128 | Conformant | Yes | Unknown | ||||||
| Gold | Boliden AB | SWEDEN | CID000157 | Conformant | Yes | Unknown | ||||||
| Gold | C. Hafner GmbH + Co. KG | GERMANY | CID000176 | Conformant | Yes | Unknown | ||||||
| Gold | Caridad | MEXICO | CID000180 | Not Enrolled | Unknown | Unknown | ||||||
| Gold | CCR Refinery—Glencore Canada Corporation | CANADA | CID000185 | Conformant | Yes | Unknown | ||||||
| 1 | This Exhibit contains all legitimate smelter or refiner information we received on the CMRTs provided by our suppliers in response to our survey requests. Because these CMRTs in some instances contained incomplete information, or were not specific to the products supplied to Corning, many of these smelters and refiners cannot be tied to specific Corning products. |
Metal | Standard Smelter Name | Smelter Facility Location | Smelter ID | RMI Audit Status | Conflict Free? | Source from | ||||||
| Gold | Cendres + Métaux S.A. | SWITZERLAND | CID000189 | Conformant | Yes | Unknown | ||||||
| Gold | Chimet S.p.A. | ITALY | CID000233 | Conformant | Yes | Unknown | ||||||
| Gold | Chugai Mining | JAPAN | CID000264 | Active | Unknown | Unknown | ||||||
| Gold | Daejin Indus Co., Ltd. | KOREA, REPUBLIC OF | CID000328 | Conformant | Yes | Unknown | ||||||
| Gold | DayeNon-Ferrous Metals Mining Ltd. | CHINA | CID000343 | Not Enrolled | Unknown | Unknown | ||||||
| Gold | Degussa Sonne / Mond Goldhandel GmbH | GERMANY | CID002867 | Not Enrolled | Unknown | Unknown | ||||||
| Gold | Dijllah Gold Refinery FZC | UNITED ARAB EMIRATES | CID003348 | Not Enrolled | Unknown | Unknown | ||||||
| Gold | DODUCO Contacts and Refining GmbH | GERMANY | CID000362 | Conformant | Yes | No | ||||||
| Gold | Dowa | JAPAN | CID000401 | Conformant | Yes | No | ||||||
| Gold | DS PRETECH Co., Ltd. | KOREA, REPUBLIC OF | CID003195 | Conformant | Yes | Unknown | ||||||
| Gold | DSC (Do Sung Corporation) | KOREA, REPUBLIC OF | CID000359 | Conformant | Yes | Unknown | ||||||
| Gold | Eco-System Recycling Co., Ltd. | JAPAN | CID000425 | Conformant | Yes | No | ||||||
| Gold | Emirates Gold DMCC | UNITED ARAB EMIRATES | CID002561 | Conformant | Yes | Yes | ||||||
| Gold | Fidelity Printers and Refiners Ltd. | ZIMBABWE | CID002515 | Not Enrolled | Unknown | Unknown | ||||||
| Gold | Fujairah Gold FZE | UNITED ARAB EMIRATES | CID002584 | Not Enrolled | Unknown | Unknown | ||||||
| Gold | GCC Gujrat Gold Centre Pvt. Ltd. | INDIA | CID002852 | Not Enrolled | Unknown | Unknown | ||||||
| Gold | Geib Refining Corporation | UNITED STATES | CID002459 | Conformant | Yes | Unknown | ||||||
| Gold | Gold Refinery of Zijin Mining Group Co., Ltd. | CHINA | CID002243 | Conformant | Yes | Unknown | ||||||
| Gold | Great Wall Precious Metals Co., Ltd. of CBPM | CHINA | CID001909 | Not Enrolled | Unknown | Unknown | ||||||
| Gold | Guangdong Jinding Gold Limited | CHINA | CID002312 | Not Enrolled | Unknown | Unknown | ||||||
| Gold | Guoda Safina High-Tech Environmental Refinery Co., Ltd. | CHINA | CID000651 | Not Enrolled | Unknown | Unknown | ||||||
| Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. | CHINA | CID000671 | Not Enrolled | Unknown | Unknown | ||||||
| Gold | HeeSung | KOREA, REPUBLIC OF | CID000689 | Conformant | Yes | Unknown | ||||||
| Gold | Heimerle + Meule GmbH | GERMANY | CID000694 | Conformant | Yes | Unknown | ||||||
| Gold | Heraeus Metals Hong Kong Ltd. | CHINA | CID000707 | Conformant | Yes | Unknown | ||||||
| Gold | Heraeus Precious Metals GmbH & Co. KG | GERMANY | CID000711 | Conformant | Yes | Unknown | ||||||
| Gold | Hunan Chenzhou Mining Co., Ltd. | CHINA | CID000767 | Not Enrolled | Unknown | Unknown | ||||||
| Gold | Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd. | CHINA | CID000773 | Not Enrolled | Unknown | Unknown | ||||||
| Gold | Hwasung CJ Co., Ltd. | KOREA, REPUBLIC OF | CID000778 | Not Enrolled | Unknown | Unknown | ||||||
| Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | CHINA | CID000801 | Conformant | Yes | Unknown | ||||||
Metal | Standard Smelter Name | Smelter Facility Location | Smelter ID | RMI Audit | Conflict Free? | Source from | ||||||
| Gold | International Precious Metal Refiners | UNITED ARAB EMIRATES | CID002562 | Not Enrolled | Unknown | Unknown | ||||||
| Gold | Ishifuku Metal Industry Co., Ltd. | JAPAN | CID000807 | Conformant | Yes | Unknown | ||||||
| Gold | Istanbul Gold Refinery | TURKEY | CID000814 | Conformant | Yes | Unknown | ||||||
| Gold | Italpreziosi | ITALY | CID002765 | Conformant | Yes | Unknown | ||||||
| Gold | Japan Mint | JAPAN | CID000823 | Conformant | Yes | Unknown | ||||||
| Gold | Jiangxi Copper Co., Ltd. | CHINA | CID000855 | Conformant | Yes | Unknown | ||||||
| Gold | JSC EkaterinburgNon-Ferrous Metal Processing Plant | RUSSIAN FEDERATION | CID000927 | Not Enrolled | Unknown | Unknown | ||||||
| Gold | JSC Uralelectromed | RUSSIAN FEDERATION | CID000929 | Conformant | Yes | Unknown | ||||||
| Gold | JX Nippon Mining & Metals Co., Ltd. | JAPAN | CID000937 | Conformant | Yes | Unknown | ||||||
| Gold | Kaloti Precious Metals | UNITED ARAB EMIRATES | CID002563 | Not Enrolled | Unknown | Unknown | ||||||
| Gold | Kazakhmys Smelting LLC | KAZAKHSTAN | CID000956 | Not Enrolled | Unknown | Unknown | ||||||
| Gold | Kazzinc | KAZAKHSTAN | CID000957 | Conformant | Yes | Unknown | ||||||
| Gold | Kennecott Utah Copper LLC | UNITED STATES | CID000969 | Conformant | Yes | Unknown | ||||||
| Gold | KGHM Polska Miedz Spolka Akcyjna | POLAND | CID002511 | Active | Unknown | Unknown | ||||||
| Gold | Kojima Chemicals Co., Ltd. | JAPAN | CID000981 | Conformant | Yes | No | ||||||
| Gold | Korea Zinc Co., Ltd. | KOREA, REPUBLIC OF | CID002605 | Conformant | Yes | Unknown | ||||||
| Gold | Kyrgyzaltyn JSC | KYRGYZSTAN | CID001029 | Conformant | Yes | Unknown | ||||||
| Gold | Kyshtym Copper-Electrolytic Plant ZAO | RUSSIAN FEDERATION | CID002865 | Not Enrolled | Unknown | Unknown | ||||||
| Gold | L’azurde Company For Jewelry | SAUDI ARABIA | CID001032 | Not Enrolled | Unknown | Unknown | ||||||
| Gold | Lingbao Gold Co., Ltd. | CHINA | CID001056 | Not Enrolled | Unknown | Unknown | ||||||
| Gold | Lingbao Jinyuan Tonghui Refinery Co., Ltd. | CHINA | CID001058 | Not Enrolled | Unknown | Unknown | ||||||
| Gold | L’Orfebre S.A. | ANDORRA | CID002762 | Conformant | Yes | Yes | ||||||
| Gold | LS-NIKKO Copper Inc. | KOREA, REPUBLIC OF | CID001078 | Conformant | Yes | Unknown | ||||||
| Gold | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | CHINA | CID001093 | Not Enrolled | Unknown | Unknown | ||||||
| Gold | Marsam Metals | BRAZIL | CID002606 | Conformant | Yes | Unknown | ||||||
| Gold | Materion | UNITED STATES | CID001113 | Conformant | Yes | No | ||||||
| Gold | Matsuda Sangyo Co., Ltd. | JAPAN | CID001119 | Conformant | Yes | Unknown | ||||||
| Gold | Metalor Technologies (Hong Kong) Ltd. | CHINA | CID001149 | Conformant | Yes | Unknown | ||||||
| Gold | Metalor Technologies (Singapore) Pte., Ltd. | SINGAPORE | CID001152 | Conformant | Yes | Unknown | ||||||
| Gold | Metalor Technologies (Suzhou) Ltd. | CHINA | CID001147 | Conformant | Yes | Unknown | ||||||
Metal | Standard Smelter Name | Smelter Facility Location | Smelter ID | RMI Audit | Conflict Free? | Source from | ||||||
| Gold | Metalor Technologies S.A. | SWITZERLAND | CID001153 | Conformant | Yes | Unknown | ||||||
| Gold | Metalor USA Refining Corporation | UNITED STATES | CID001157 | Conformant | Yes | Unknown | ||||||
| Gold | MetalúrgicaMet-Mex Peñoles S.A. De C.V. | MEXICO | CID001161 | Conformant | Yes | Unknown | ||||||
| Gold | Mitsubishi Materials Corporation | JAPAN | CID001188 | Conformant | Yes | Unknown | ||||||
| Gold | Mitsui Mining and Smelting Co., Ltd. | JAPAN | CID001193 | Conformant | Yes | Unknown | ||||||
| Gold | MMTC-PAMP India Pvt., Ltd. | INDIA | CID002509 | Conformant | Yes | Unknown | ||||||
| Gold | Modeltech Sdn Bhd | MALAYSIA | CID002857 | Non Conformant | Unknown | Unknown | ||||||
| Gold | Morris and Watson | NEW ZEALAND | CID002282 | Not Enrolled | Unknown | Unknown | ||||||
| Gold | Morris and Watson Gold Coast | AUSTRALIA | CID002866 | Not Enrolled | Unknown | Unknown | ||||||
| Gold | Moscow Special Alloys Processing Plant | RUSSIAN FEDERATION | CID001204 | Conformant | Yes | Unknown | ||||||
| Gold | Nadir Metal Rafineri San. Ve Tic. A.Ş. | TURKEY | CID001220 | Conformant | Yes | Unknown | ||||||
| Gold | Navoi Mining and Metallurgical Combinat | UZBEKISTAN | CID001236 | Not Enrolled | Unknown | Unknown | ||||||
| Gold | NH Recytech Company | KOREA, REPUBLIC OF | CID003189 | Active | Unknown | Unknown | ||||||
| Gold | Nihon Material Co., Ltd. | JAPAN | CID001259 | Conformant | Yes | Unknown | ||||||
| Gold | Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH | AUSTRIA | CID002779 | Conformant | Yes | Unknown | ||||||
| Gold | Ohura Precious Metal Industry Co., Ltd. | JAPAN | CID001325 | Conformant | Yes | No | ||||||
| Gold | OJSC “The Gulidov KrasnoyarskNon-Ferrous Metals Plant” (OJSC Krastsvetmet) | RUSSIAN FEDERATION | CID001326 | Conformant | Yes | Unknown | ||||||
| Gold | OJSC Novosibirsk Refinery | RUSSIAN FEDERATION | CID000493 | Conformant | Yes | Unknown | ||||||
| Gold | PAMP S.A. | SWITZERLAND | CID001352 | Conformant | Yes | Unknown | ||||||
| Gold | Pease & Curren | UNITED STATES | CID002872 | Not Enrolled | Unknown | Unknown | ||||||
| Gold | Penglai Penggang Gold Industry Co., Ltd. | CHINA | CID001362 | Not Enrolled | Unknown | Unknown | ||||||
| Gold | Planta Recuperadora de Metales SpA | CHILE | CID002919 | Conformant | Yes | Unknown | ||||||
| Gold | Prioksky Plant ofNon-Ferrous Metals | RUSSIAN FEDERATION | CID001386 | Conformant | Yes | Unknown | ||||||
| Gold | PT Aneka Tambang (Persero) Tbk | INDONESIA | CID001397 | Conformant | Yes | Unknown | ||||||
| Gold | PX Précinox S.A. | SWITZERLAND | CID001498 | Conformant | Yes | Unknown | ||||||
| Gold | QG Refining, LLC | UNITED STATES OF AMERICA | CID003324 | Not Enrolled | Unknown | Unknown | ||||||
| Gold | Rand Refinery (Pty) Ltd. | SOUTH AFRICA | CID001512 | Conformant | Yes | Unknown | ||||||
| Gold | Refinery of Seemine Gold Co., Ltd. | CHINA | CID000522 | Not Enrolled | Unknown | Unknown | ||||||
Metal | Standard Smelter Name | Smelter Facility Location | Smelter ID | RMI Audit | Conflict Free? | Source from | ||||||
| Gold | Remondis Argentia B.V. | NETHERLANDS | CID002582 | Conformant | Yes | Unknown | ||||||
| Gold | Republic Metals Corporation | UNITED STATES | CID002510 | Conformant | Yes | Unknown | ||||||
| Gold | Royal Canadian Mint | CANADA | CID001534 | Conformant | Yes | Unknown | ||||||
| Gold | SAAMP | FRANCE | CID002761 | Conformant | Yes | Unknown | ||||||
| Gold | Sabin Metal Corp. | UNITED STATES | CID001546 | Not Enrolled | Unknown | Unknown | ||||||
| Gold | Safimet S.p.A | Italy | CID002973 | Conformant | Yes | Unknown | ||||||
| Gold | SAFINA A.S. | CZECH REPUBLIC | CID002290 | Not Enrolled | Unknown | Unknown | ||||||
| Gold | Sai Refinery | INDIA | CID002853 | Not Enrolled | Unknown | Unknown | ||||||
| Gold | Samduck Precious Metals | KOREA, REPUBLIC OF | CID001555 | Non Conformant | Unknown | Unknown | ||||||
| Gold | SAMWON Metals Corp. | KOREA, REPUBLIC OF | CID001562 | Not Enrolled | Unknown | Unknown | ||||||
| Gold | SAXONIA Edelmetalle GmbH | GERMANY | CID002777 | Conformant | Yes | Unknown | ||||||
| Gold | SEMPSA Joyería Platería S.A. | SPAIN | CID001585 | Conformant | Yes | Unknown | ||||||
| Gold | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | CHINA | CID001619 | Not Enrolled | Unknown | Unknown | ||||||
| Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | CHINA | CID001622 | Conformant | Yes | Unknown | ||||||
| Gold | Shangdong Humon Smelting Co., Ltd. | CHINA | CID002525 | Not Enrolled | Unknown | Unknown | ||||||
| Gold | Sichuan Tianze Precious Metals Co., Ltd. | CHINA | CID001736 | Conformant | Yes | Unknown | ||||||
| Gold | Singway Technology Co., Ltd. | TAIWAN | CID002516 | Conformant | Yes | No | ||||||
| Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | RUSSIAN FEDERATION | CID001756 | Conformant | Yes | Unknown | ||||||
| Gold | Solar Applied Materials Technology Corp. | TAIWAN | CID001761 | Conformant | Yes | Unknown | ||||||
| Gold | State Research Institute Center for Physical Sciences and Technology | LITHUANIA | CID003153 | Not Enrolled | Unknown | Unknown | ||||||
| Gold | Sudan Gold Refinery | SUDAN | CID002567 | Not Enrolled | Unknown | Unknown | ||||||
| Gold | Sumitomo Metal Mining Co., Ltd. | JAPAN | CID001798 | Conformant | Yes | Unknown | ||||||
| Gold | SungEel HiTech | KOREA, REPUBLIC OF | CID002918 | Conformant | Yes | Unknown | ||||||
| Gold | T.C.A S.p.A | ITALY | CID002580 | Conformant | Yes | Unknown | ||||||
| Gold | Tanaka Kikinzoku Kogyo K.K. | JAPAN | CID001875 | Conformant | Yes | Unknown | ||||||
| Gold | The Refinery of Shandong Gold Mining Co., Ltd. | CHINA | CID001916 | Conformant | Yes | Unknown | ||||||
| Gold | Tokuriki Honten Co., Ltd. | JAPAN | CID001938 | Conformant | Yes | Unknown | ||||||
| Gold | Tongling Nonferrous Metals Group Co., Ltd. | CHINA | CID001947 | Not Enrolled | Unknown | Unknown | ||||||
| Gold | Tony Goetz NV | BELGIUM | CID002587 | Non Conformant | Unknown | Unknown | ||||||
Metal | Standard Smelter Name | Smelter Facility Location | Smelter ID | RMI Audit | Conflict Free? | Source from | ||||||
| Gold | TOOTau-Ken-Altyn | KAZAKHSTAN | CID002615 | Not Enrolled | Unknown | Unknown | ||||||
| Gold | Torecom | KOREA, REPUBLIC OF | CID001955 | Conformant | Yes | Unknown | ||||||
| Gold | Umicore Brasil Ltda. | BRAZIL | CID001977 | Conformant | Yes | Unknown | ||||||
| Gold | Umicore Precious Metals Thailand | THAILAND | CID002314 | Conformant | Yes | Unknown | ||||||
| Gold | Umicore S.A. Business Unit Precious Metals Refining | BELGIUM | CID001980 | Conformant | Yes | Unknown | ||||||
| Gold | United Precious Metal Refining, Inc. | UNITED STATES | CID001993 | Conformant | Yes | No | ||||||
| Gold | Universal Precious Metals Refining Zambia | ZAMBIA | CID002854 | Not Enrolled | Unknown | Unknown | ||||||
| Gold | Valcambi S.A. | SWITZERLAND | CID002003 | Conformant | Yes | Unknown | ||||||
| Gold | Western Australian Mint trading as The Perth Mint | AUSTRALIA | CID002030 | Conformant | Yes | Unknown | ||||||
| Gold | WIELAND Edelmetalle GmbH | GERMANY | CID002778 | Conformant | Yes | Unknown | ||||||
| Gold | Yamamoto Precious Metal Co., Ltd. | JAPAN | CID002100 | Conformant | Yes | No | ||||||
| Gold | Yokohama Metal Co., Ltd. | JAPAN | CID002129 | Conformant | Yes | No | ||||||
| Gold | Yunnan Copper Industry Co., Ltd. | CHINA | CID000197 | Not Enrolled | Unknown | Unknown | ||||||
| Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | CHINA | CID002224 | Conformant | Yes | Unknown | ||||||
| Tantalum | Asaka Riken Co., Ltd. | JAPAN | CID000092 | Conformant | Yes | Unknown | ||||||
| Tantalum | Changsha South Tantalum Niobium Co., Ltd. | CHINA | CID000211 | Conformant | Yes | No | ||||||
| Tantalum | D Block Metals, LLC | UNITED STATES | CID002504 | Conformant | Yes | No | ||||||
| Tantalum | Exotech Inc. | UNITED STATES | CID000456 | Conformant | Yes | No | ||||||
| Tantalum | F&X Electro-Materials Ltd. | CHINA | CID000460 | Conformant | Yes | Yes | ||||||
| Tantalum | FIR Metals & Resource Ltd. | CHINA | CID002505 | Conformant | Yes | No | ||||||
| Tantalum | Global Advanced Metals Aizu | JAPAN | CID002558 | Conformant | Yes | No | ||||||
| Tantalum | Global Advanced Metals Boyertown | UNITED STATES | CID002557 | Conformant | Yes | Yes | ||||||
| Tantalum | Guangdong Rising RareMetals-EO Materials Ltd. | CHINA | CID000291 | Conformant | Yes | Yes | ||||||
| Tantalum | Guangdong Zhiyuan New Material Co., Ltd. | CHINA | CID000616 | Conformant | Yes | Yes | ||||||
| Tantalum | H.C. Starck Co., Ltd. | THAILAND | CID002544 | Conformant | Yes | No | ||||||
| Tantalum | H.C. Starck Hermsdorf GmbH | GERMANY | CID002547 | Conformant | Yes | No | ||||||
| Tantalum | H.C. Starck Inc. | UNITED STATES | CID002548 | Conformant | Yes | No | ||||||
| Tantalum | H.C. Starck Ltd. | JAPAN | CID002549 | Conformant | Yes | No | ||||||
| Tantalum | H.C. Starck Smelting GmbH & Co. KG | GERMANY | CID002550 | Conformant | Yes | Yes | ||||||
| Tantalum | H.C. Starck Tantalum and Niobium GmbH | GERMANY | CID002545 | Conformant | Yes | Yes | ||||||
| Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | CHINA | CID002492 | Conformant | Yes | No | ||||||
Metal | Standard Smelter Name | Smelter Facility Location | Smelter ID | RMI Audit | Conflict Free? | Source from | ||||||
| Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | CHINA | CID002512 | Conformant | Yes | No | ||||||
| Tantalum | Jiangxi Tuohong New Raw Material | CHINA | CID002842 | Conformant | Yes | Unknown | ||||||
| Tantalum | Jiujiang Janny New Material Co., Ltd. | CHINA | CID003191 | Conformant | Yes | Unknown | ||||||
| Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | CHINA | CID000914 | Conformant | Yes | Yes | ||||||
| Tantalum | Jiujiang Tanbre Co., Ltd. | CHINA | CID000917 | Conformant | Yes | Yes | ||||||
| Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | CHINA | CID002506 | Conformant | Yes | No | ||||||
| Tantalum | KEMET Blue Metals | MEXICO | CID002539 | Conformant | Yes | No | ||||||
| Tantalum | KEMET Blue Powder | UNITED STATES | CID002568 | Conformant | Yes | No | ||||||
| Tantalum | LSM Brasil S.A. | BRAZIL | CID001076 | Conformant | Yes | No | ||||||
| Tantalum | Metallurgical Products India Pvt., Ltd. | INDIA | CID001163 | Conformant | Yes | Yes | ||||||
| Tantalum | Mineracao Taboca S.A. | BRAZIL | CID001175 | Conformant | Yes | No | ||||||
| Tantalum | Mitsui Mining and Smelting Co., Ltd. | JAPAN | CID001192 | Conformant | Yes | Yes | ||||||
| Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | CHINA | CID001277 | Conformant | Yes | Yes | ||||||
| Tantalum | NPM Silmet AS | ESTONIA | CID001200 | Conformant | Yes | No | ||||||
| Tantalum | Power Resources Ltd. | MACEDONIA | CID002847 | Conformant | Yes | Yes | ||||||
| Tantalum | QuantumClean | UNITED STATES | CID001508 | Conformant | Yes | No | ||||||
| Tantalum | Resind Industria e Comercio Ltda. | BRAZIL | CID002707 | Conformant | Yes | No | ||||||
| Tantalum | RFH Tantalum Smeltry Co., Ltd. | CHINA | CID001522 | Conformant | Yes | No | ||||||
| Tantalum | Solikamsk Magnesium Works OAO | RUSSIAN FEDERATION | CID001769 | Conformant | Yes | No | ||||||
| Tantalum | Taki Chemicals | JAPAN | CID001869 | Conformant | Yes | Yes | ||||||
| Tantalum | Telex Metals | UNITED STATES | CID001891 | Conformant | Yes | No | ||||||
| Tantalum | Ulba Metallurgical Plant JSC | KAZAKHSTAN | CID001969 | Conformant | Yes | Yes | ||||||
| Tantalum | XinXing HaoRong Electronic Material Co., Ltd. | CHINA | CID002508 | Conformant | Yes | No | ||||||
| Tin | Alpha | UNITED STATES | CID000292 | Conformant | Yes | No | ||||||
| Tin | An Vinh Joint Stock Mineral Processing Company | VIET NAM | CID002703 | Not Enrolled | Unknown | Unknown | ||||||
| Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | CHINA | CID000228 | Conformant | Yes | Unknown | ||||||
| Tin | Chifeng Dajingzi Tin Industry Co., Ltd. | CHINA | CID003190 | Conformant | Yes | Unknown | ||||||
| Tin | China Tin Group Co., Ltd. | CHINA | CID001070 | Conformant | Yes | No | ||||||
| Tin | CV Ayi Jaya | INDONESIA | CID002570 | Conformant | Yes | Unknown | ||||||
| Tin | CV Dua Sekawan | INDONESIA | CID002592 | Conformant | Yes | Unknown | ||||||
| Tin | CV Gita Pesona | INDONESIA | CID000306 | Conformant | Yes | No | ||||||
Metal | Standard Smelter Name | Smelter Facility Location | Smelter ID | RMI Audit | Conflict Free? | Source from | ||||||
| Tin | CV Tiga Sekawan | INDONESIA | CID002593 | Conformant | Yes | Unknown | ||||||
| Tin | CV United Smelting | INDONESIA | CID000315 | Conformant | Yes | No | ||||||
| Tin | CV Venus Inti Perkasa | INDONESIA | CID002455 | Conformant | Yes | No | ||||||
| Tin | Dongguan CiEXPO Environmental Engineering Co., Ltd. | CHINA | CID003356 | Active | Unknown | Unknown | ||||||
| Tin | Dowa | JAPAN | CID000402 | Conformant | Yes | No | ||||||
| Tin | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | VIET NAM | CID002572 | Non Conformant | Unknown | Unknown | ||||||
| Tin | EM Vinto | BOLIVIA | CID000438 | Conformant | Yes | No | ||||||
| Tin | Estanho de Rondônia S.A. | BRAZIL | CID000448 | Not Enrolled | Unknown | Unknown | ||||||
| Tin | Fenix Metals | POLAND | CID000468 | Conformant | Yes | No | ||||||
| Tin | Gejiu Fengming Metallurgy Chemical Plant | CHINA | CID002848 | Conformant | Yes | Unknown | ||||||
| Tin | Gejiu Kai Meng Industry and Trade LLC | CHINA | CID000942 | Conformant | Yes | Unknown | ||||||
| Tin | GejiuNon-Ferrous Metal Processing Co., Ltd. | CHINA | CID000538 | Conformant | Yes | No | ||||||
| Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | CHINA | CID001908 | Conformant | Yes | Unknown | ||||||
| Tin | Gejiu Zili Mining And Metallurgy Co., Ltd. | CHINA | CID000555 | Conformant | Yes | Unknown | ||||||
| Tin | Guangdong HanheNon-ferrous Metal Limited Company | CHINA | CID003116 | Conformant | Yes | Unknown | ||||||
| Tin | Guanyang Guida Nonferrous Metal Smelting Plant | CHINA | CID002849 | Conformant | Yes | Unknown | ||||||
| Tin | HuiChang Hill Tin Industry Co., Ltd. | CHINA | CID002844 | Conformant | Yes | Unknown | ||||||
| Tin | Huichang Jinshunda Tin Co., Ltd. | CHINA | CID000760 | Conformant | Yes | Unknown | ||||||
| Tin | Jiangxi New Nanshan Technology Ltd. | CHINA | CID001231 | Conformant | Yes | Unknown | ||||||
| Tin | Magnu’s Minerais Metais e Ligas Ltda. | BRAZIL | CID002468 | Conformant | Yes | No | ||||||
| Tin | Malaysia Smelting Corporation (MSC) | MALAYSIA | CID001105 | Conformant | Yes | Yes | ||||||
| Tin | Melt Metais e Ligas S.A. | BRAZIL | CID002500 | Conformant | Yes | No | ||||||
| Tin | Metallic Resources, Inc. | UNITED STATES | CID001142 | Conformant | Yes | No | ||||||
| Tin | Metallo Belgium N.V. | BELGIUM | CID002773 | Conformant | Yes | No | ||||||
| Tin | Metallo Spain S.L.U. | SPAIN | CID002774 | Conformant | Yes | No | ||||||
| Tin | Mineracao Taboca S.A. | BRAZIL | CID001173 | Conformant | Yes | No | ||||||
| Tin | Minsur | PERU | CID001182 | Conformant | Yes | No | ||||||
| Tin | Mitsubishi Materials Corporation | JAPAN | CID001191 | Conformant | Yes | No | ||||||
Metal | Standard Smelter Name | Smelter Facility Location | Smelter ID | RMI Audit | Conflict Free? | Source from | ||||||
| Tin | Modeltech Sdn Bhd | MALAYSIA | CID002858 | Conformant | Yes | Unknown | ||||||
| Tin | Nghe TinhNon-Ferrous Metals Joint Stock Company | VIET NAM | CID002573 | Not Enrolled | Unknown | Unknown | ||||||
| Tin | O.M. Manufacturing (Thailand) Co., Ltd. | THAILAND | CID001314 | Conformant | Yes | No | ||||||
| Tin | O.M. Manufacturing Philippines, Inc. | PHILIPPINES | CID002517 | Conformant | Yes | No | ||||||
| Tin | Operaciones Metalurgical S.A. | BOLIVIA | CID001337 | Conformant | Yes | No | ||||||
| Tin | Pongpipat Company Limited | MYANMAR | CID003208 | Not Enrolled | Unknown | Unknown | ||||||
| Tin | PT Aries Kencana Sejahtera | INDONESIA | CID000309 | Conformant | Yes | No | ||||||
| Tin | PT Artha Cipta Langgeng | INDONESIA | CID001399 | Conformant | Yes | No | ||||||
| Tin | PT ATD Makmur Mandiri Jaya | INDONESIA | CID002503 | Conformant | Yes | No | ||||||
| Tin | PT Babel Inti Perkasa | INDONESIA | CID001402 | Conformant | Yes | No | ||||||
| Tin | PT Babel Surya Alam Lestari | INDONESIA | CID001406 | Conformant | Yes | Unknown | ||||||
| Tin | PT Bangka Prima Tin | INDONESIA | CID002776 | Conformant | Yes | No | ||||||
| Tin | PT Bangka Serumpun | INDONESIA | CID003205 | Conformant | Yes | Unknown | ||||||
| Tin | PT Bangka Tin Industry | INDONESIA | CID001419 | Conformant | Yes | No | ||||||
| Tin | PT Belitung Industri Sejahtera | INDONESIA | CID001421 | Conformant | Yes | No | ||||||
| Tin | PT Bukit Timah | INDONESIA | CID001428 | Conformant | Yes | No | ||||||
| Tin | PT DS Jaya Abadi | INDONESIA | CID001434 | Conformant | Yes | No | ||||||
| Tin | PT Inti Stania Prima | INDONESIA | CID002530 | Conformant | Yes | No | ||||||
| Tin | PT Kijang Jaya Mandiri | INDONESIA | CID002829 | Conformant | Yes | Unknown | ||||||
| Tin | PT Menara Cipta Mulia | INDONESIA | CID002835 | Conformant | Yes | Unknown | ||||||
| Tin | PT Mitra Stania Prima | INDONESIA | CID001453 | Conformant | Yes | No | ||||||
| Tin | PT Panca Mega Persada | INDONESIA | CID001457 | Conformant | Yes | No | ||||||
| Tin | PT Premium Tin Indonesia | INDONESIA | CID000313 | Conformant | Yes | No | ||||||
| Tin | PT Prima Timah Utama | INDONESIA | CID001458 | Conformant | Yes | No | ||||||
| Tin | PT Rajawali Rimba Perkasa | INDONESIA | CID003381 | Conformant | Yes | Unknown | ||||||
| Tin | PT Refined Bangka Tin | INDONESIA | CID001460 | Conformant | Yes | No | ||||||
| Tin | PT Sariwiguna Binasentosa | INDONESIA | CID001463 | Conformant | Yes | No | ||||||
| Tin | PT Stanindo Inti Perkasa | INDONESIA | CID001468 | Conformant | Yes | No | ||||||
| Tin | PT Sukses Inti Makmur | INDONESIA | CID002816 | Conformant | Yes | No | ||||||
| Tin | PT Sumber Jaya Indah | INDONESIA | CID001471 | Conformant | Yes | No | ||||||
| Tin | PT Timah (Persero) Tbk Kundur | INDONESIA | CID001477 | Conformant | Yes | No | ||||||
| Tin | PT Timah (Persero) Tbk Mentok | INDONESIA | CID001482 | Conformant | Yes | No | ||||||
| Tin | PT Tinindo Inter Nusa | INDONESIA | CID001490 | Conformant | Yes | No | ||||||
Metal | Standard Smelter Name | Smelter Facility Location | Smelter ID | RMI Audit | Conflict Free? | Source from | ||||||
| Tin | PT Tirus Putra Mandiri | INDONESIA | CID002478 | Conformant | Yes | Unknown | ||||||
| Tin | PT Tommy Utama | INDONESIA | CID001493 | Conformant | Yes | Unknown | ||||||
| Tin | Resind Industria e Comercio Ltda. | BRAZIL | CID002706 | Conformant | Yes | No | ||||||
| Tin | Rui Da Hung | TAIWAN | CID001539 | Conformant | Yes | No | ||||||
| Tin | Soft Metais Ltda. | BRAZIL | CID001758 | Conformant | Yes | No | ||||||
| Tin | Super Ligas | Brazil | CID002756 | Not Enrolled | Unknown | Unknown | ||||||
| Tin | Thai Nguyen Mining and Metallurgy Co., Ltd. | VIET NAM | CID002834 | Conformant | Yes | Unknown | ||||||
| Tin | Thaisarco | THAILAND | CID001898 | Conformant | Yes | Yes | ||||||
| Tin | Tin Technology & Refining | UNITED STATES OF AMERICA | CID003325 | Conformant | Yes | Unknown | ||||||
| Tin | Tuyen QuangNon-Ferrous Metals Joint Stock Company | VIET NAM | CID002574 | Not Enrolled | Unknown | Unknown | ||||||
| Tin | White Solder Metalurgia e Mineração Ltda. | BRAZIL | CID002036 | Conformant | Yes | No | ||||||
| Tin | Yunnan ChengfengNon-ferrous Metals Co., Ltd. | CHINA | CID002158 | Conformant | Yes | Unknown | ||||||
| Tin | Yunnan Tin Company Limited | CHINA | CID002180 | Conformant | Yes | No | ||||||
| Tungsten | A.L.M.T. TUNGSTEN Corp. | JAPAN | CID000004 | Conformant | Yes | No | ||||||
| Tungsten | ACL Metais Eireli | BRAZIL | CID002833 | Conformant | Yes | Unknown | ||||||
| Tungsten | Asia Tungsten Products Vietnam Ltd. | VIET NAM | CID002502 | Conformant | Yes | Unknown | ||||||
| Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd. | CHINA | CID002513 | Conformant | Yes | No | ||||||
| Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | CHINA | CID000258 | Conformant | Yes | No | ||||||
| Tungsten | Fujian Jinxin Tungsten Co., Ltd. | CHINA | CID000499 | Conformant | Yes | No | ||||||
| Tungsten | Ganzhou Haichuang Tungsten Co., Ltd. | CHINA | CID002645 | Conformant | Yes | Unknown | ||||||
| Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. | CHINA | CID000875 | Conformant | Yes | No | ||||||
| Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | CHINA | CID002315 | Conformant | Yes | No | ||||||
| Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | CHINA | CID002494 | Conformant | Yes | No | ||||||
| Tungsten | Ganzhou Yatai Tungsten Co., Ltd. | CHINA | CID002536 | Non Conformant | Unknown | Unknown | ||||||
| Tungsten | Global Tungsten & Powders Corp. | UNITED STATES | CID000568 | Conformant | Yes | Yes | ||||||
| Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | CHINA | CID000218 | Conformant | Yes | No | ||||||
| Tungsten | H.C. Starck Smelting GmbH & Co.KG | GERMANY | CID002542 | Conformant | Yes | No | ||||||
| Tungsten | H.C. Starck Tungsten GmbH | GERMANY | CID002541 | Conformant | Yes | No | ||||||
| Tungsten | Hunan Chenzhou Mining Co., Ltd. | CHINA | CID000766 | Conformant | Yes | No | ||||||
| Tungsten | Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji | CHINA | CID002579 | Conformant | Yes | Unknown | ||||||
Metal | Standard Smelter Name | Smelter Facility Location | Smelter ID | RMI Audit | Conflict Free? | Source from | ||||||
| Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd. | CHINA | CID000769 | Conformant | Yes | No | ||||||
| Tungsten | Hunan Litian Tungsten Industry Co., Ltd. | CHINA | CID003182 | Active | Unknown | Unknown | ||||||
| Tungsten | Hydrometallurg, JSC | RUSSIAN FEDERATION | CID002649 | Conformant | Yes | No | ||||||
| Tungsten | Japan New Metals Co., Ltd. | JAPAN | CID000825 | Conformant | Yes | No | ||||||
| Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | CHINA | CID002551 | Conformant | Yes | No | ||||||
| Tungsten | Jiangxi Dayu Longxintai Tungsten Co., Ltd. | CHINA | CID002647 | Not Enrolled | Unknown | Unknown | ||||||
| Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | CHINA | CID002321 | Conformant | Yes | No | ||||||
| Tungsten | Jiangxi Minmetals Gao’anNon-ferrous Metals Co., Ltd. | CHINA | CID002313 | Not Enrolled | Unknown | Unknown | ||||||
| Tungsten | Jiangxi TongguNon-ferrous Metallurgical & Chemical Co., Ltd. | CHINA | CID002318 | Conformant | Yes | No | ||||||
| Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | CHINA | CID002317 | Conformant | Yes | No | ||||||
| Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. | CHINA | CID002316 | Conformant | Yes | Unknown | ||||||
| Tungsten | Kennametal Fallon | UNITED STATES | CID000966 | Conformant | Yes | No | ||||||
| Tungsten | Kennametal Huntsville | UNITED STATES | CID000105 | Conformant | Yes | No | ||||||
| Tungsten | Malipo Haiyu Tungsten Co., Ltd. | CHINA | CID002319 | Conformant | Yes | No | ||||||
| Tungsten | Moliren Ltd | RUSSIAN FEDERATION | CID002845 | Conformant | Yes | Unknown | ||||||
| Tungsten | Niagara Refining LLC | UNITED STATES | CID002589 | Conformant | Yes | Yes | ||||||
| Tungsten | Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC | VIET NAM | CID002543 | Conformant | Yes | Yes | ||||||
| Tungsten | Philippine Chuangxin Industrial Co., Inc. | PHILIPPINES | CID002827 | Conformant | Yes | Unknown | ||||||
| Tungsten | South-East Nonferrous Metal Company Limited of Hengyang City | CHINA | CID002815 | Conformant | Yes | Unknown | ||||||
| Tungsten | Tejing (Vietnam) Tungsten Co., Ltd. | VIET NAM | CID001889 | Conformant | Yes | No | ||||||
| Tungsten | Unecha Refractory metals plant | RUSSIAN FEDERATION | CID002724 | Conformant | Yes | Unknown | ||||||
| Tungsten | Wolfram Bergbau und Hütten AG | AUSTRIA | CID002044 | Conformant | Yes | Yes | ||||||
| Tungsten | Woltech Korea Co., Ltd. | KOREA, REPUBLIC OF | CID002843 | Conformant | Yes | Unknown | ||||||
| Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | CHINA | CID002320 | Conformant | Yes | Yes | ||||||
| Tungsten | Xiamen Tungsten Co., Ltd. | CHINA | CID002082 | Conformant | Yes | No | ||||||
| Tungsten | Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. | CHINA | CID002830 | Conformant | Yes | Unknown | ||||||
| Tungsten | Xinhai Rendan Shaoguan Tungsten Co., Ltd. | CHINA | CID002095 | Conformant | Yes | No | ||||||
Appendix B
Country of Origin Information
This list of potential countries of origin is populated based on publicly available information, our RCOI and due diligence. It is important to note that this is also based on company level responses and therefore, it is not certain which of these countries of origin can be specifically linked to our products.
Argentina, Australia, Austria, Benin, Bolivia (Plurinational State of), Brazil, Burkina Faso, Burundi, Cambodia, Canada, Chile, China, Colombia, Congo, Democratic Republic of the, Ecuador, Eritrea, Ethiopia, France, Germany, Ghana, Guatemala, Guinea, Guyana, Honduras, India, Indonesia, Japan, Kazakhstan, Laos, Madagascar, Malaysia, Mali, Mexico, Mongolia, Mozambique, Myanmar, Namibia, Nicaragua, Nigeria, Panama, Peru, Portugal, Russian Federation, Rwanda, Senegal, Sierra Leone, South Africa, Spain, Thailand, Togo, Uganda, United Kingdom of Great Britain and Northern Ireland, United States of America, Uzbekistan, Viet Nam, Zimbabwe.
