Exhibit 1.01
LAM RESEARCH CORPORATION
CONFLICT MINERALS REPORT
For the reporting period from January 1, 2017 through December 31, 2017
This Conflict Minerals Report (this “Report”) of Lam Research Corporation (including its consolidated subsidiaries, the “Company”, “Lam”, “we” or “our”) has been prepared pursuant to Rule 13p-1 and Form SD promulgated under the Securities Exchange Act of 1934, for the reporting period January 1, 2017 through December 31, 2017 (the “Reporting Period”).
Rule 13p-1, through Form SD, requires the disclosure of certain information if a company manufactures or contracts to manufacture products for which certain “Subject Minerals” (as defined below) are necessary to the functionality or production of such products. “Subject Minerals” are defined herein as: (i)(a) columbite-tantalite (or coltan), (b) cassiterite, (c) gold and (d) wolframite, or their derivatives, which are currently limited to tantalum, tin and tungsten; or (ii) any other mineral or its derivatives determined by the U.S. Secretary of State to be financing conflict in the Democratic Republic of the Congo (“DRC”) or a country that shares an internationally recognized border with the DRC (collectively, the “Covered Countries”).
Our operations may at times manufacture, or contract to manufacture, products for which Subject Minerals are necessary to the functionality or production of those products (collectively, our “products” and, individually, a “product”). As required by Form SD, we have conducted a good faith reasonable country of origin inquiry regarding the Subject Minerals included in our products manufactured or contracted to be manufactured during the Reporting Period (collectively, our “in-scope products” and, individually, an “in-scope product”), to determine whether any of such Subject Minerals originated in the Covered Countries and/or whether any of such Subject Minerals may be from recycled or scrap sources. Where applicable, we have conducted additional due diligence regarding the sources of the Subject Minerals contained in our in-scope products. The results of our reasonable country of origin inquiry regarding the Subject Minerals contained in our in-scope products, as well as our additional due diligence regarding the sources of such Subject Minerals, are contained in this Report.
I. Product Overview
The following Lam products are within the scope of Rule 13p-1 and Form SD.
1. Etch Products
A series of wafer fabrication products that selectively remove materials from the wafer to create features and patterns of a device:
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| b. | Versys® Metal product family |
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| d. | Syndion® product family |
2. Deposition Products
A series of high-productivity thin film deposition systems that form a device’s sub-microscopic layers of conducting (metal) or insulating (dielectric) materials:
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| f. | Striker® product family |
3. Clean Products
A series of single-wafer wet and plasma-based wafer cleaning products that remove particles and residues from the wafer surface before and after adjacent processes:
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| d. | Coronus® product family |
4. Legacy Products
Multiple series of refurbished and newly built previous-generation products from Lam, as the original equipment manufacturer (“OEM”), for applications that do not require the most advanced wafer processing capability.
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| II. | Reasonable Country of Origin Inquiry (“RCOI”) |
During the Reporting Period, we took the following measures, based on the Organisation for Economic Cooperation and Development’s (“OECD”) due diligence framework, to determine the source and chain of custody for the Subject Minerals contained in our in-scope products.
To determine whether Subject Minerals included in our in-scope products originated in Covered Countries, we retained Assent Compliance (“Assent”), a third party service provider, to assist us in reviewing our supply chain. We provided to Assent a list composed of 400 suppliers that comprised approximately 90% of our direct-spend suppliers during the Reporting Period and which we believed could provide materials containing Subject Minerals (collectively, the "Covered Suppliers"). We determined it was impractical to exclude from this list all irrelevant suppliers because we could not reasonably determine in all cases the presence or absence of Subject Minerals in all materials supplied for inclusion in our in-scope products.
We used the Conflict Minerals Reporting Template (“CMRT”), a resource provided by the Responsible Minerals Initiative (the “RMI”), to conduct a survey of the Covered Suppliers. We requested that such suppliers complete version 5.0 or higher of the CMRT and return it to Assent. Responses to the CMRT allowed for some elimination of irrelevant suppliers, based on responses indicating that the Subject Minerals used by such suppliers are not necessary to the functionality or production of their products. We also periodically reviewed the Covered Supplier list to ensure that irrelevant or “out of scope” suppliers were removed from the survey process based on the most current information available.
Assent requested that all Covered Suppliers complete a CMRT and made available training and educational resources to guide suppliers on best practices and the use of the CMRT. Assent monitored and tracked all communications for future reporting and transparency. All Covered Suppliers that were unresponsive to the initial request were contacted a minimum of five times to encourage them to submit a valid and complete CMRT.
Assent subjected all submitted CMRTs to an automated data validation in order to identify in accurate submissions and contradictory answers. Covered Suppliers were contacted regarding invalid forms and encouraged to resubmit a valid form. As of April 30, 2018, there were 12 invalid supplier submissions that had not been corrected.
Based upon the measures described above, we were unable to determine whether our in-scope products contain Subject Minerals originating in the Covered Countries. As a result, we exercised due diligence on the source and chain of custody of Subject Minerals in our supply chain as described in Part III below.
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| III. | Due Diligence and Risk Mitigation |
Our due diligence process, which significantly overlaps our RCOI process described above, is based on the OECD’s due diligence guidance. In addition to the RCOI, we have done the following since the start of 2017 to determine the mine or location of origin for the Subject Minerals contained in our in-scope products:
1. Company Management Systems
a. Conflict Minerals Policy Statement
We have adopted and communicated to suppliers and to the public a Conflict Minerals Policy Statement. A copy of the Policy Statement is publicly available at http://www.lamresearch.com/company/corporate-social-responsibility/supply-chain. The content on any web site referred to in this Report is not incorporated by reference into this Report unless expressly noted.
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| b. | Maintain Appropriate Organizational Structure to Support Due Diligence |
We have established an organizational structure to support our due diligence process that includes processes for handling requests for information, escalations to management regarding issues or problems, surveying of suppliers, and documentation of any responses and red flags associated therewith.
Our due diligence process is carried out by individuals in our supply chain organization, who are supported by an inter-disciplinary support team comprised of members of the legal department, finance, engineering, customer account teams and environmental health and safety departments to help address any questions associated with the reasonable country of origin inquiry and/or due diligence process. We also use a third-party service provider, Assent Compliance, to assist with evaluating supply chain information regarding Subject Minerals and in the development and implementation of due diligence steps. In addition, we have provided reports and briefings on the requirements of Rule 13p-1 to Company management.
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| c. | System of Controls and Transparency |
We survey Covered Suppliers using the CMRT, as described in Part II above, in order to identify the source and chain of custody for the Subject Minerals contained in our in-scope products. We employ an automated tool hosted by Assent in order to validate submitted CMRTs. Records relating to our conflict minerals program, including supplier responses to CMRTs, are retained for at least ten years, in accordance with our record retention policies.
d. Supplier Engagement
We expect our suppliers to have policies in place to reasonably assure that any Subject Minerals used in the production of the products sold to us are DRC conflict-free. This means that the products do not contain Subject Minerals that directly or indirectly finance or benefit armed groups that are perpetrators of serious human rights abuses in the Covered Countries.
We continue to include a standard provision in the terms and conditions of our purchase orders requiring our suppliers to promptly provide accurate, complete and timely information and documentation to assist us as we may request to comply with Rule 13p-1 and Form SD. This includes disclosing whether any of the suppliers’ deliverables contain Subject Minerals and, if so, providing such information as we may request to allow us to determine whether such Subject Minerals are DRC conflict free (as such term is defined in Form SD). We have also incorporated similar requirements into relevant commonly-used supplier contract templates to further strengthen supplier engagement in the due diligence process.
This year, we again made available to Covered Suppliers access to training and educational resources to guide them on best practices and the use of the CMRT, including access to Assent’s Conflict Minerals training course. This training was tracked and evaluated based on completion. All suppliers are encouraged to complete all modules within this course.
e. Grievance Mechanism
Our employees, contractors and consultants may report suspected violations of our policies, including our Conflict Minerals Policy Statement, using our Ethics Helpline. Suppliers and others outside of the Company may contact our supply chain organization to communicate with us, including to report grievances.
2. Identify and Assess Risks in the Supply Chain
Our survey of Covered Suppliers using the CMRT, as described in Part II above, is designed to identify the source and chain of custody for the Subject Minerals contained in our in-scope products. The responses of Covered Suppliers to these surveys are then used to identify risks in our supply chain.
Assent analyzed survey responses provided by Covered Suppliers, contacted Covered Suppliers for additional information, and gathered other pertinent data, in order to identify and assess risks. These risk assessments are reviewed with members of our supply chain organization.
Many Covered Suppliers indicated that they received information regarding their supply chains from fewer than 75% of their suppliers and, therefore, could not provide a comprehensive list of all smelters or refiners in their supply chains.
Responses provided by Covered Suppliers using the CMRT included the names of facilities identified by those suppliers as smelters or refiners. Assent compared these facilities with 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 facility had been given that designation by the RMI. Assent assigns each RMI-recognized smelter or refiner a relative risk designation based on several
factors, including geographic proximity to the DRC and Covered Countries, and whether a smelter or refiner has committed to a third-party audit.
In addition, Covered Suppliers were evaluated by Assent on the strength of their programs based on criteria including:
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| • | Whether the supplier has a policy in place that includes DRC conflict-free sourcing; |
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| • | Whether the supplier has implemented due diligence measures for conflict-free sourcing; |
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| • | Whether the supplier verifies due diligence information received from its suppliers against the Company’s expectations; and |
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| • | Whether the supplier’s verification process includes corrective action management. |
Suppliers who Assent determines do not meet or exceed these criteria are expected to receive educational material from Assent on how to improve their conflict minerals programs.
3. Design and Implement Strategy to Respond to Identified Risks
a. Devise and Implement Risk Management Plan
Our risk management plan to respond to any situations which might arise involving Subject Minerals contained in our in-scope products being identified as sourced from the Covered Countries includes: carrying out the due diligence described in this Report; understanding the products impacted by any supplied materials identified as containing Subject Minerals; understanding the extent of our reliance on such materials; undertaking additional due diligence and risk mitigation to respond to identified risks; and communicating to our suppliers that any Subject Minerals should be sourced responsibly wherever possible.
When Assent determined that, according to its criteria, a smelter or refiner reported on a CMRT by one of our Covered Suppliers potentially posed a risk, risk mitigation activities were initiated. Assent responded to CMRT submissions identifying any such smelter or refiner with instructions to the supplier to take risk mitigation actions. As per the OECD Due Diligence Guidance, the appropriate risk mitigation depends on the supplier’s specific position in the supply chain. Suppliers are given clear performance objectives within reasonable timeframes with the goal of reducing these potential risks from the supply chain.
In addition, Suppliers identifying smelters or refiners deemed by Assent to potentially pose a risk were requested to submit a product-specific CMRT, to allow us to better identify any connection between such a smelter or refiner and the products being supplied to us.
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| b. | Reporting of Findings to Management |
We apprise members of senior management of the results of the RCOI and due diligence process to allow for any appropriate feedback and guidance.
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| 4. | Independent Third-Party Audit of Smelter’s / Refiner’s Due Diligence Practices |
We rely on third party audits of smelters and refiners such as those carried out through the RMI’s Responsible Minerals Assurance Program (RMAP). To the extent that other audited supplier certifications are provided to the Company, the Company may consider reliance on a case-by-case basis.
5. Report Annually on Supply Chain Due Diligence
This Report and our prior annual Conflict Minerals Reports prior calendar years are publicly available at http://investor.lamresearch.com/sec.cfm.
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| IV. | Results of Due Diligence |
Based solely on information that was provided by the Covered Suppliers (as described above), as of April 30, 2018, we have validated as RMI-recognized 321 of the potential smelters or refiners identified by Covered Suppliers. These potential smelters or refiners are listed in the table set forth in Appendix A to this Report. By RMI-recognized, we mean that the entities have been confirmed by Assent to be properly classified as smelters or refiners using the “Smelter Reference List” maintained by the RMI. Of the 321 RMI-recognized smelters and refiners identified by the Covered Suppliers, 257 have been identified by the RMI as “compliant” with the RMAPs third-party audit protocol, and another 11 have been identified by the RMI as
“active”, meaning they have agreed to undergo or are currently undergoing a third-party audit and are progressing through the audit and/or post-audit corrective action process.
The majority of the survey responses we received from the Covered Suppliers provided smelter and refiner data only at a company or divisional level, and did not identify the specific smelters or refiners providing Subject Materials contained in products being sold to Lam, nor did they identify the country or countries or origin. Because of the lack of product-level responses, our list of potential smelters and refiners in Appendix A may contain more smelters and refiners than those that actually processed the Subject Minerals contained in products supplied to us. In addition, we do not have adequate information to be able to determine the specific countries of origin of the Subject Minerals processed by those smelters and refiners. Therefore, for the Reporting Period, we were unable to determine whether or not Subject Minerals in our in-scope products originated from the smelters and refiners listed in Appendix A, nor were we able to determine the countries of origin of those Subject Minerals.
As our engagement with the supply chain for our products evolves and matures, this list of potential smelters and refiners may change to reflect improvements in the quality of information provided to us.
V. Continuous Improvement
In order to improve our due diligence, we currently make available to Covered Suppliers information and training resources regarding responsible sourcing of Subject Minerals.
Forward-Looking Statement Disclaimer
Statements made in this Report that are not of historical fact are forward-looking statements and are subject to the safe harbor provisions of the Private Securities Litigation Reform Act of 1995. Such forward-looking statements relate to, but are not limited to, those regarding the Company’s expected future supplier due diligence, engagement and risk mitigation efforts, and development of related due diligence and risk mitigation processes. Some factors that may affect these forward-looking statements include: statutory and regulatory changes and judicial developments relating to conflict minerals disclosure; changes in our supply chain, components and parts, or products; and industry developments relating to supply chain diligence, risk mitigation, disclosure and other practices. These forward-looking statements are based on current expectations and are subject to uncertainties and changes in condition, significance, value and effect as well as other risks, including those detailed in documents filed by us with the Securities and Exchange Commission. These uncertainties and changes could cause actual results to vary from expectations. The Company undertakes no obligation to update the information or statements made in this Report.
Appendix A:
Potential Smelter and Refiner List
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| Metal | Standard Smelter Name | Smelter ID | RMI Audit Status |
| Gold | Abington Reldan Metals, LLC | CID002708 | Not Enrolled |
| Gold | Advanced Chemical Company | CID000015 | Conformant |
| Gold | African Gold Refinery | CID003185 | Not Enrolled |
| 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 Córrego do Sítio Mineração | 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 Enrolled |
| Gold | AU Traders and Refiners | CID002850 | Conformant |
| Gold | Aurubis AG | CID000113 | Conformant |
| Gold | Bangalore Refinery | CID002863 | Active |
| Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | CID000128 | Conformant |
| Gold | Boliden AB | CID000157 | Conformant |
| Gold | C. Hafner GmbH + Co. KG | CID000176 | Conformant |
| Gold | Caridad | CID000180 | Not Enrolled |
| Gold | CCR Refinery - Glencore Canada Corporation | CID000185 | Conformant |
| Gold | Cendres + Métaux S.A. | CID000189 | Conformant |
| Gold | Chimet S.p.A. | CID000233 | Conformant |
| Gold | Chugai Mining | CID000264 | Not Enrolled |
| Gold | Daejin Indus Co., Ltd. | CID000328 | Conformant |
| Gold | Daye Non-Ferrous Metals Mining Ltd. | CID000343 | Not Enrolled |
| Gold | Degussa Sonne / Mond Goldhandel GmbH | CID002867 | Not Enrolled |
| Gold | DODUCO Contacts and Refining GmbH | CID000362 | Conformant |
| Gold | Dowa | CID000401 | Conformant |
| Gold | DS PRETECH Co., Ltd. | CID003195 | Active |
| Gold | DSC (Do Sung Corporation) | CID000359 | Conformant |
| Gold | Eco-System Recycling Co., Ltd. | CID000425 | Conformant |
| Gold | Elemetal Refining, LLC | CID001322 | Not Enrolled |
| Gold | Emirates Gold DMCC | CID002561 | Conformant |
| Gold | Fidelity Printers and Refiners Ltd. | CID002515 | Not Enrolled |
| Gold | GCC Gujrat Gold Centre Pvt. Ltd. | CID002852 | Not Enrolled |
| 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 Enrolled |
| Gold | Guangdong Jinding Gold Limited | CID002312 | Not Enrolled |
| Gold | Guoda Safina High-Tech Environmental Refinery Co., Ltd. | CID000651 | Not Enrolled |
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| Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. | CID000671 | Not Enrolled |
| Gold | HeeSung | CID000689 | Conformant |
| Gold | Heimerle + Meule GmbH | CID000694 | Conformant |
| Gold | Heraeus Metals Hong Kong Ltd. | CID000707 | Conformant |
| Gold | Heraeus Precious Metals GmbH & Co. KG | CID000711 | Conformant |
| Gold | Hunan Chenzhou Mining Co., Ltd. | CID000767 | Not Enrolled |
| Gold | Hwasung CJ Co., Ltd. | CID000778 | Not Enrolled |
| 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 Enrolled |
| Gold | Kazakhmys Smelting LLC | CID000956 | Not Enrolled |
| Gold | Kazzinc | CID000957 | Conformant |
| Gold | Kennecott Utah Copper LLC | CID000969 | Conformant |
| Gold | KGHM Polska Miedz Spolka Akcyjna | CID002511 | 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 Enrolled |
| Gold | L'azurde Company For Jewelry | CID001032 | Not Enrolled |
| Gold | Lingbao Gold Co., Ltd. | CID001056 | Not Enrolled |
| Gold | Lingbao Jinyuan Tonghui Refinery Co., Ltd. | CID001058 | Not Enrolled |
| Gold | L'Orfebre S.A. | CID002762 | Active |
| Gold | LS-NIKKO Copper Inc. | CID001078 | Conformant |
| Gold | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | CID001093 | Not Enrolled |
| 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 | Metalúrgica Met-Mex Peñoles 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 | Active |
| Gold | Morris and Watson | CID002282 | Not Enrolled |
| Gold | Morris and Watson Gold Coast | CID002866 | Not Enrolled |
| Gold | Moscow Special Alloys Processing Plant | CID001204 | Conformant |
| Gold | Nadir Metal Rafineri San. Ve Tic. A.ª. | CID001220 | Conformant |
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| Gold | Navoi Mining and Metallurgical Combinat | CID001236 | Not Enrolled |
| Gold | NH Recytech Company | CID003189 | Active |
| Gold | Nihon Material Co., Ltd. | CID001259 | Conformant |
| Gold | Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH | CID002779 | Conformant |
| Gold | Ohura Precious Metal Industry Co., Ltd. | CID001325 | Conformant |
| Gold | OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) | CID001326 | Conformant |
| Gold | OJSC Novosibirsk Refinery | CID000493 | Conformant |
| Gold | PAMP S.A. | CID001352 | Conformant |
| Gold | Pease & Curren | CID002872 | Not Enrolled |
| Gold | Penglai Penggang Gold Industry Co., Ltd. | CID001362 | Not Enrolled |
| 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 Précinox S.A. | CID001498 | Conformant |
| Gold | Rand Refinery (Pty) Ltd. | CID001512 | Conformant |
| Gold | Refinery of Seemine Gold Co., Ltd. | CID000522 | Not Enrolled |
| Gold | Remondis Argentia B.V. | CID002582 | Active |
| Gold | Republic Metals Corporation | CID002510 | Conformant |
| Gold | Royal Canadian Mint | CID001534 | Conformant |
| Gold | SAAMP | CID002761 | Conformant |
| Gold | Sabin Metal Corp. | CID001546 | Not Enrolled |
| Gold | Safimet S.p.A | CID002973 | Conformant |
| Gold | SAFINA A.S. | CID002290 | Active |
| Gold | Sai Refinery | CID002853 | Not Enrolled |
| Gold | Samduck Precious Metals | CID001555 | Conformant |
| Gold | SAMWON Metals Corp. | CID001562 | Not Enrolled |
| Gold | SAXONIA Edelmetalle GmbH | CID002777 | Conformant |
| Gold | Schone Edelmetaal B.V. | CID001573 | Conformant |
| Gold | SEMPSA Joyería Platería S.A. | CID001585 | Conformant |
| Gold | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | CID001619 | Not Enrolled |
| Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | CID001622 | Conformant |
| Gold | Sichuan Tianze Precious Metals Co., Ltd. | CID001736 | Conformant |
| Gold | Singway Technology Co., Ltd. | CID002516 | Conformant |
| Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | CID001756 | Conformant |
| Gold | Solar Applied Materials Technology Corp. | CID001761 | Conformant |
| Gold | State Research Institute Center for Physical Sciences and Technology | CID003153 | Not Enrolled |
| Gold | Sudan Gold Refinery | CID002567 | Not Enrolled |
| Gold | Sumitomo Metal Mining Co., Ltd. | CID001798 | Conformant |
| Gold | SungEel HiTech | 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 Enrolled |
| Gold | Tony Goetz NV | CID002587 | Not Enrolled |
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| | | |
| Gold | TOO Tau-Ken-Altyn | CID002615 | Not Enrolled |
| 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 Enrolled |
| Gold | Valcambi S.A. | CID002003 | Conformant |
| Gold | Western Australian Mint trading as The Perth Mint | CID002030 | Conformant |
| Gold | WIELAND Edelmetalle GmbH | CID002778 | Conformant |
| Gold | Yamamoto Precious Metal Co., Ltd. | CID002100 | Conformant |
| Gold | Yokohama Metal Co., Ltd. | CID002129 | Conformant |
| Gold | Yunnan Copper Industry Co., Ltd. | CID000197 | Not Enrolled |
| 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 Enrolled |
| 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 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 | Conformant |
| Tantalum | LSM Brasil S.A. | CID001076 | Conformant |
| Tantalum | Metallurgical Products India Pvt., Ltd. | CID001163 | Conformant |
| Tantalum | Mineracao Taboca S.A. | CID001175 | Conformant |
| Tantalum | Mitsui Mining and Smelting Co., Ltd. | CID001192 | Conformant |
| Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | CID001277 | Conformant |
|
| | | |
| Tantalum | NPM Silmet AS | CID001200 | Conformant |
| Tantalum | Power Resources Ltd. | CID002847 | Conformant |
| Tantalum | QuantumClean | CID001508 | Conformant |
| Tantalum | Resind Industria e Comercio Ltda. | CID002707 | Conformant |
| Tantalum | RFH Tantalum Smeltry Co., Ltd. | CID001522 | Conformant |
| Tantalum | Solikamsk Magnesium Works OAO | CID001769 | Conformant |
| Tantalum | Taki Chemicals | 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 Enrolled |
| Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | CID000228 | Conformant |
| Tin | Chifeng Dajingzi Tin Industry Co., Ltd. | CID003190 | Active |
| Tin | China Tin Group Co., Ltd. | CID001070 | Conformant |
| Tin | CNMC (Guangxi) PGMA Co., Ltd. | CID000278 | Not Enrolled |
| Tin | CV Ayi Jaya | CID002570 | Conformant |
| Tin | CV Dua Sekawan | CID002592 | Conformant |
| Tin | CV Gita Pesona | CID000306 | Conformant |
| Tin | CV Tiga Sekawan | 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 Enrolled |
| Tin | EM Vinto | CID000438 | Conformant |
| Tin | Estanho de Rondônia S.A. | CID000448 | Not Enrolled |
| 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 Enrolled |
| Tin | Guangdong Hanhe Non-ferrous Metal Limited Company | CID003116 | Conformant |
| Tin | Guanyang Guida Nonferrous Metal Smelting Plant | CID002849 | Conformant |
| Tin | HuiChang Hill Tin Industry Co., Ltd. | CID002844 | Conformant |
| Tin | Huichang Jinshunda Tin Co., Ltd. | CID000760 | Conformant |
| Tin | Jiangxi Ketai Advanced Material Co., Ltd. | CID000244 | Conformant |
| Tin | Jiangxi New Nanshan Technology Ltd. | CID001231 | 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 | Active |
| Tin | Nghe Tinh Non-Ferrous Metals Joint Stock Company | CID002573 | Not Enrolled |
| 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 | Pongpipat Company Limited | CID003208 | Not Enrolled |
| 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 Serumpun | CID003205 | Conformant |
| Tin | PT Bangka Tin Industry | CID001419 | Conformant |
| Tin | PT Belitung Industri Sejahtera | CID001421 | Conformant |
| Tin | PT Bukit Timah | CID001428 | Conformant |
| 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 O.M. Indonesia | CID002757 | Conformant |
| Tin | PT Panca Mega Persada | CID001457 | Conformant |
| Tin | PT Premium Tin Indonesia | CID000313 | 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 | Soft Metais Ltda. | CID001758 | Conformant |
| Tin | Super Ligas | CID002756 | Not Enrolled |
| Tin | Thaisarco | CID001898 | Conformant |
| Tin | Tuyen Quang Non-Ferrous Metals Joint Stock Company | CID002574 | Not Enrolled |
| Tin | White Solder Metalurgia e Mineração 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 Co., Ltd. | CID002645 | 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 Enrolled |
| 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 | Conformant |
| 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 Enrolled |
| Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | CID002321 | Conformant |
| Tungsten | Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. | CID002313 | Not Enrolled |
| 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 | 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 Hütten 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 |
