Exhibit 1.01
Conflict Minerals Report of MRV Communications, Inc.
In Accordance with Rule 13p-1 under the Securities Exchange Act of 1934
Introduction
MRV Communications, Inc., also referred to as “MRV”, “we”, “our”, and “us” is a provider of innovative network solutions for service providers, data center operators and enterprises.
This Conflict Minerals Report (“CMR”) for the year ended December 31, 2016 is presented to comply with Rule 13p-1 under the Securities Exchange Act of 1934 (the “Rule”). The Rule imposes certain reporting obligations on U.S. Securities and Exchange Commission (“SEC”) issuers whose manufactured products contain certain minerals which are necessary to the functionality or production of their products. These minerals are cassiterite, columbite-tantalite (coltan), gold, wolframite, and their derivatives, which are limited to tin, tantalum and tungsten (“3TG” or “Conflict Minerals”). The Rule focuses on 3TG emanating from the Democratic Republic of the Congo (“DRC”) region and nine adjoining countries (together, the “Covered Countries”). If an issuer has reason to believe that any of the Conflict Minerals in their supply chain may have originated in the Covered Countries, or if they are unable to determine the country of origin of those Conflict Minerals, then the issuer must exercise due diligence on the Conflict Minerals’ source and chain of custody and submit a CMR to the SEC that includes a description of those due diligence measures.
This CMR relates to the process undertaken for MRV products that were manufactured, or contracted to be manufactured, during calendar year 2016 and that contain Conflict Minerals.
Executive Summary
MRV performed a Reasonable Country of Origin Inquiry (RCOI) on suppliers believed to provide MRV with materials or components containing 3TGs necessary to the manufacturing of MRV’s products. MRV’s suppliers identified 319 valid smelters and refineries (“smelters”). Of these 319 smelters, MRV identified 37 as sourcing (or there was a reason to believe they may be sourcing) from the Covered Countries. MRV’s due diligence review indicated that 33 of these smelters have been audited and recognized as conflict free by the Conflict Free Smelter Program (“CFSP”). The remaining 4 smelters were subject to MRV’s risk mitigation process according to the Organisation for Economic Co-operation and Development (OECD) Due Diligence Guidance for Responsible Supply Chain of Minerals from Conflict-Affected and High Risk Areas (OECD Due Diligence Guidance).
Company Management Systems
MRV established strong management systems according to Step 1 of the OECD Due Diligence Guidance. MRV’s systems included
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| • | Step 1A - Adopt, and clearly communicate to suppliers and the public, a company policy for the supply chain of minerals originating from conflict-affected and high-risk areas. |
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| • | Implemented a conflict minerals policy |
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| • | Policy made publicly available |
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| • | http://mrv.com/company/quality-regulatory-compliance/ |
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| • | Policy communicated directly to suppliers as part of RCOI process |
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| • | Step 1B - Structure internal management to support supply chain due diligence |
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| • | Maintained an internal cross functional team to support supply chain due diligence |
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| • | Appointed a member of the senior staff with the necessary competence, knowledge, and experience to oversee supply chain due diligence |
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| • | Applied the resources necessary to support the operation and monitoring of these processes including internal resources and external consulting support. |
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| • | Step 1C - Establish a system of transparency, information collection and control over the supply chain |
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| • | Implemented a process to collect required supplier and smelter RCOI and due diligence data. Full details on the supply chain data gathering are included in the RCOI and due diligence sections of this Report. |
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| • | Step 1D - Strengthen company engagement with suppliers |
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| • | Directly engaged suppliers during RCOI process. |
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| • | Reviewed supplier responses as part of RCOI process. |
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| • | Added conflict minerals compliance to new supplier contracts and MRV’s supplier code of conduct. |
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| • | Implemented a plan to improve the quantity and quality of supplier and smelter responses year over year. |
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| • | Step 1E - Establish a company and/or mine level grievance mechanism. |
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| • | Recognized the CFSP’s three audit protocols for gold, tin/tantalum, and tungsten as valid sources of smelter or mine level grievances. |
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| • | MRV’s ethics violations reporting system allows employees to voice confidentially without any fear of retribution, any concerns with the violations of the MRV’s conflict minerals policy |
Reasonable Country of Origin Inquiry (RCOI)
MRV designed its RCOI process in accordance with Step 2A and 2B of the OECD Due Diligence Guidance. MRV’s RCOI process involved two stages:
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| • | Stage 1 - Supplier RCOI (Step 2A of the OECD Due Diligence Guidance) |
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| • | Stage 2 - Smelter RCOI (Step 2B of the OECD Due Diligence Guidance) |
Supplier RCOI
MRV designed its supplier RCOI process to identify, to the best of MRV’s efforts, the smelters in MRV’s supply chain in accordance with Step 2A of the OECD Due Diligence Guidance. MRV’s supplier RCOI process for the 2016 reporting period included the following -
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| • | Developing a list of suppliers providing 3TG containing components to MRV |
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| • | Contacting each supplier and requesting the industry standard Conflict Minerals Reporting Template (“CMRT”) including smelter information. |
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| • | Reviewing supplier responses for accuracy and completeness. |
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| • | Amalgamating supplier provided smelters into a single unique list of smelters meeting the definition of a smelter under one of three industry recognized audit protocols. |
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| • | Reviewing the final smelter list (and compared it to industry peers) to determine if MRV identified reasonably all of the smelters in their supply chain. |
For the 2016 reporting period, MRV’s RCOI process was executed by Claigan Environmental Inc. (“Claigan”).
MRV’s suppliers identified 319 smelters in their supply chain. The specific list of smelters is included in the Smelter and Refineries section at the end of this report.
Smelter RCOI
Due to the overlap between supplier RCOI and smelter due diligence, the smelter RCOI process is summarized in the due diligence section of this report.
Due Diligence
MRV’s Due Diligence Process was designed in accordance with the applicable sections of Steps 2, 3, and 4 of the OECD Due Diligence Guidance.
Smelter RCOI and Due Diligence
MRV’s smelter RCOI and due diligence process were designed to
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| • | Identify the scope of the risk assessment of the mineral supply chain (OECD Step 2B). |
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| • | Assess whether the smelters/refiners have carried out all elements of due diligence for responsible supply chains of minerals from conflict-affected and high-risk areas (OECD Step 2C). |
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| • | Where necessary, carry out, including through participation in industry-driven programs, joint spot checks at the mineral smelter/refiner’s own facilities (OECD Step 2D). |
MRV’s smelter RCOI and Due Diligence Process included the following -
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| • | For each smelter identified in MRV’s supply chain |
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| • | MRV attempted direct engagement with the smelter to determine whether or not the smelter sources from the DRC or surrounding countries |
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| • | For smelters that declared directly (e.g. email correspondence, publicly available conflict minerals policy, or information available on their website) or through their relevant industry association that they did not source from the DRC or surrounding countries, and were not recognized as conflict free by the CFSP, MRV reviewed publicly available information to determine if there was any contrary evidence to the smelter’s declaration. The sources reviewed included |
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| • | Public internet search (Google) of the facility in combination with each of the Covered Countries |
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| • | Review of specific NGO publications. NGO publications reviewed included |
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| • | Southern Africa Resource Watch |
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| • | The most recent UN Group of Experts report on the DRC |
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| • | For smelters that did not respond to direct engagement, MRV reviewed publicly available sources to determine if there was any reason to believe that the smelter may have sourced from the Covered Countries during the reporting period. |
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| • | MRV reviewed the same sources as those used to compare against smelter sourcing declarations. |
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| • | For high risk smelters (smelters that are sourcing from or there is reason to believe they may be sourcing from the Covered Countries), MRV requires the smelter be audited and recognized as conflict free by the CFSP. |
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| • | For high risk smelters that have not been audited and recognized as conflict free by the CFSP, MRV communicates the risk to a designated member of senior management (OECD Step 3A) and conducts risk mitigation on the smelter according to OECD Step 3B. |
For the 2016 reporting period, MRV’s smelter RCOI and Due Diligence process was executed by Claigan Environmental Inc. (Claigan).
MRV’s suppliers identified 319 smelters. MRV identified 37 smelters that source, or there is a reason to believe they may source, from the Covered Countries.
MRV determined that 33 of these 37 smelters have been audited and recognized as conflict free by the CFSP. MRV conducted risk mitigation on the remaining 4 smelters.
Risk Mitigation
MRV conducted risk mitigation on 4 smelters that were not recognized as conflict free by the CFSP. MRV’s risk mitigation was designed in accordance with Step 3B of the OECD Due Diligence Guidance and was reported to the Vice President of Operations, in accordance with Step 3A of the OECD Due Diligence Guidance. MRV’s risk mitigation process included the following -
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| • | Additional due diligence to determine if there was any reason to believe the smelter directly or indirectly finance or benefit armed groups in the DRC or adjoining countries. |
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| • | Verifying with internal stakeholders and relevant suppliers whether 3TGs from the specific smelter were actually in MRV’s supply chain in the 2016 reporting period. |
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| • | Direct engagement with the high risk smelter to verify risk and to encourage the smelter to become conflict free. |
Risk mitigation was required for 4 smelters verified by suppliers likely to be in MRV’s supply chain. MRV is currently working with its suppliers to mitigate identified risks.
Improvement Plan
MRV is taking and will continue to take the following steps to improve the due diligence conducted to further mitigate risk that the necessary conflict minerals in MRV’s products could directly or indirectly benefit or finance armed groups in the Covered Countries:
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| a. | Including a conflict minerals clause in all new and renewing supplier contracts. |
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| b. | Continuing to drive our suppliers to obtain current, accurate, and complete information about the smelters in their supply chain. |
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| c. | Engaging smelters sourcing from the Covered Countries to be audited and certified to a protocol recognized by the CFSP. |
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| d. | Follow up in 2017 on smelters requiring risk mitigation, but not removal from MRV’s supply chain. |
Smelters and Refineries
Below are the smelters reported to MRV as likely in MRV’s supply chain in the 2016 reporting period.
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| Subject Metal | Facility Name of Smelter of Refiner |
| Gold | Abington Reldan Metals, LLC |
| Gold | Advanced Chemical Company |
| Gold | Aida Chemical Industries Co., Ltd. |
| Gold | Al Etihad Gold Refinery DMCC |
| Gold | Allgemeine Gold-und Silberscheideanstalt A.G. |
| Gold | Almalyk Mining and Metallurgical Complex (AMMC) |
| Gold | AngloGold Ashanti Córrego do Sítio Mineração |
| Gold | Argor-Heraeus S.A. |
| Gold | Asahi Pretec Corp. |
| Gold | Asahi Refining Canada Ltd. |
| Gold | Asahi Refining USA Inc. |
| Gold | Asaka Riken Co., Ltd. |
| Gold | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. |
| Gold | AU Traders and Refiners |
| Gold | Aurubis AG |
| Gold | Bangalore Refinery |
| Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) |
| Gold | Boliden AB |
| Gold | C. Hafner GmbH + Co. KG |
| Gold | Caridad |
| Gold | CCR Refinery - Glencore Canada Corporation |
| Gold | Cendres + Métaux S.A. |
| Gold | Chimet S.p.A. |
| Gold | Chugai Mining |
| Gold | Daejin Indus Co., Ltd. |
| Gold | Daye Non-Ferrous Metals Mining Ltd. |
| Gold | Degussa Sonne / Mond Goldhandel GmbH |
| Gold | DODUCO GmbH |
| Gold | Dowa |
| Gold | DSC (Do Sung Corporation) |
| Gold | Eco-System Recycling Co., Ltd. |
| Gold | Elemetal Refining, LLC |
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| Gold | Emirates Gold DMCC |
| Gold | Fidelity Printers and Refiners Ltd. |
| Gold | Gansu Seemine Material Hi-Tech Co., Ltd. |
| Gold | Geib Refining Corporation |
| Gold | Great Wall Precious Metals Co., Ltd. of CBPM |
| Gold | Guangdong Jinding Gold Limited |
| Gold | Gujarat Gold Centre |
| Gold | Guoda Safina High-Tech Environmental Refinery Co., Ltd. |
| Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. |
| Gold | Heimerle + Meule GmbH |
| Gold | Henan Yuguang Gold & Lead Co., Ltd. |
| Gold | Heraeus Ltd. Hong Kong |
| Gold | Heraeus Precious Metals GmbH & Co. KG |
| Gold | Hunan Chenzhou Mining Co., Ltd. |
| Gold | HwaSeong CJ Co., Ltd. |
| Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. |
| Gold | Ishifuku Metal Industry Co., Ltd. |
| Gold | Istanbul Gold Refinery |
| Gold | Japan Mint |
| Gold | Jiangxi Copper Co., Ltd. |
| Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant |
| Gold | JSC Uralelectromed |
| Gold | JX Nippon Mining & Metals Co., Ltd. |
| Gold | Kaloti Precious Metals |
| Gold | Kazakhmys Smelting LLC |
| Gold | Kazzinc |
| Gold | Kennecott Utah Copper LLC |
| Gold | KGHM Polska MiedŸ Spó³ka Akcyjna |
| Gold | Kojima Chemicals Co., Ltd. |
| Gold | Korea Zinc Co., Ltd. |
| Gold | Kyrgyzaltyn JSC |
| Gold | Kyshtym Copper-Electrolytic Plant ZAO |
| Gold | L'azurde Company For Jewelry |
| Gold | L'Orfebre S.A. |
| Gold | Lingbao Gold Co., Ltd. |
| Gold | Lingbao Jinyuan Tonghui Refinery Co., Ltd. |
| Gold | LS-NIKKO Copper Inc. |
| Gold | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. |
| Gold | Materion |
| Gold | Matsuda Sangyo Co., Ltd. |
| Gold | Metalor Technologies (Hong Kong) Ltd. |
| Gold | Metalor Technologies (Singapore) Pte., Ltd. |
| Gold | Metalor Technologies (Suzhou) Ltd. |
| Gold | Metalor Technologies S.A. |
| Gold | Metalor USA Refining Corporation |
| Gold | Metalúrgica Met-Mex Peñoles S.A. De C.V. |
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| Gold | Mitsubishi Materials Corporation |
| Gold | Mitsui Mining and Smelting Co., Ltd. |
| Gold | MMTC-PAMP India Pvt., Ltd. |
| Gold | Modeltech Sdn Bhd |
| Gold | Morris and Watson |
| Gold | Morris and Watson Gold Coast |
| Gold | Moscow Special Alloys Processing Plant |
| Gold | Nadir Metal Rafineri San. Ve Tic. A.ª. |
| Gold | Navoi Mining and Metallurgical Combinat |
| Gold | Nihon Material Co., Ltd. |
| Gold | Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH |
| Gold | Ohura Precious Metal Industry Co., Ltd. |
| Gold | OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) |
| Gold | OJSC Novosibirsk Refinery |
| Gold | PAMP S.A. |
| Gold | Pease & Curren |
| Gold | Penglai Penggang Gold Industry Co., Ltd. |
| Gold | Prioksky Plant of Non-Ferrous Metals |
| Gold | PT Aneka Tambang (Persero) Tbk |
| Gold | PX Précinox S.A. |
| Gold | Rand Refinery (Pty) Ltd. |
| Gold | Remondis Argentia B.V. |
| Gold | Republic Metals Corporation |
| Gold | Royal Canadian Mint |
| Gold | SAAMP |
| Gold | Sabin Metal Corp. |
| Gold | SAFINA A.S. |
| Gold | Sai Refinery |
| Gold | Samduck Precious Metals |
| Gold | SAMWON Metals Corp. |
| Gold | SAXONIA Edelmetalle GmbH |
| Gold | Schone Edelmetaal B.V. |
| Gold | SEMPSA Joyería Platería S.A. |
| Gold | Shandong Humon Smelting Co., Ltd. |
| Gold | Shandong Tiancheng Biological Gold Industrial Co., Ltd. |
| Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. |
| Gold | Shenzhen Zhonghenglong Real Industry Co., Ltd. |
| Gold | Sichuan Tianze Precious Metals Co., Ltd. |
| Gold | Singway Technology Co., Ltd. |
| Gold | So Accurate Group, Inc. |
| Gold | SOE Shyolkovsky Factory of Secondary Precious Metals |
| Gold | Solar Applied Materials Technology Corp. |
| Gold | Sudan Gold Refinery |
| Gold | Sumitomo Metal Mining Co., Ltd. |
| Gold | SungEel HiTech |
| Gold | Super Dragon Technology Co., Ltd. |
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| Gold | T.C.A S.p.A |
| Gold | Tanaka Kikinzoku Kogyo K.K. |
| Gold | The Refinery of Shandong Gold Mining Co., Ltd. |
| Gold | Tokuriki Honten Co., Ltd. |
| Gold | Tongling Nonferrous Metals Group Co., Ltd. |
| Gold | Tony Goetz NV |
| Gold | TOO Tau-Ken-Altyn |
| Gold | Torecom |
| Gold | Umicore Brasil Ltda. |
| Gold | Umicore Precious Metals Thailand |
| Gold | Umicore S.A. Business Unit Precious Metals Refining |
| Gold | United Precious Metal Refining, Inc. |
| Gold | Universal Precious Metals Refining Zambia |
| Gold | Valcambi S.A. |
| Gold | Western Australian Mint trading as The Perth Mint |
| Gold | WIELAND Edelmetalle GmbH |
| Gold | Yamamoto Precious Metal Co., Ltd. |
| Gold | Yokohama Metal Co., Ltd. |
| Gold | Yunnan Copper Industry Co., Ltd. |
| Gold | Zhongkuang Gold Industry Co., Ltd. |
| Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation |
| Gold | Zijin Mining Group Co., Ltd. Gold Refinery |
| Tantalum | Changsha South Tantalum Niobium Co., Ltd. |
| Tantalum | Conghua Tantalum and Niobium Smeltry |
| Tantalum | D Block Metals, LLC |
| Tantalum | Duoluoshan |
| Tantalum | Exotech Inc. |
| Tantalum | F&X Electro-Materials Ltd. |
| Tantalum | FIR Metals & Resource Ltd. |
| Tantalum | Global Advanced Metals Aizu |
| Tantalum | Global Advanced Metals Boyertown |
| Tantalum | Guangdong Zhiyuan New Material Co., Ltd. |
| Tantalum | H.C. Starck Co., Ltd. |
| Tantalum | H.C. Starck Hermsdorf GmbH |
| Tantalum | H.C. Starck Inc. |
| Tantalum | H.C. Starck Ltd. |
| Tantalum | H.C. Starck Smelting GmbH & Co. KG |
| Tantalum | H.C. Starck Tantalum and Niobium GmbH |
| Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. |
| Tantalum | Hi-Temp Specialty Metals, Inc. |
| Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. |
| Tantalum | Jiangxi Tuohong New Raw Material |
| Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. |
| Tantalum | Jiujiang Tanbre Co., Ltd. |
| Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. |
| Tantalum | KEMET Blue Metals |
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| Tantalum | KEMET Blue Powder |
| Tantalum | King-Tan Tantalum Industry Ltd. |
| Tantalum | LSM Brasil S.A. |
| Tantalum | Metallurgical Products India Pvt., Ltd. |
| Tantalum | Mineração Taboca S.A. |
| Tantalum | Mitsui Mining & Smelting |
| Tantalum | Molycorp Silmet A.S. |
| Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. |
| Tantalum | Power Resources Ltd. |
| Tantalum | QuantumClean |
| Tantalum | Resind Indústria e Comércio Ltda. |
| Tantalum | RFH Tantalum Smeltry Co., Ltd. |
| Tantalum | Solikamsk Magnesium Works OAO |
| Tantalum | Taki Chemicals |
| Tantalum | Telex Metals |
| Tantalum | Tranzact, Inc. |
| Tantalum | Ulba Metallurgical Plant JSC |
| Tantalum | XinXing HaoRong Electronic Material Co., Ltd. |
| Tantalum | Yichun Jin Yang Rare Metal Co., Ltd. |
| Tantalum | Zhuzhou Cemented Carbide Group Co., Ltd. |
| Tin | Alpha |
| Tin | An Thai Minerals Co., Ltd. |
| Tin | An Vinh Joint Stock Mineral Processing Company |
| Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. |
| Tin | China Tin Group Co., Ltd. |
| Tin | CNMC (Guangxi) PGMA Co., Ltd. |
| Tin | Cooperativa Metalurgica de Rondônia Ltda. |
| Tin | CV Ayi Jaya |
| Tin | CV Dua Sekawan |
| Tin | CV Gita Pesona |
| Tin | CV Serumpun Sebalai |
| Tin | CV Tiga Sekawan |
| Tin | CV United Smelting |
| Tin | CV Venus Inti Perkasa |
| Tin | Dowa |
| Tin | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company |
| Tin | Elmet S.L.U. |
| Tin | EM Vinto |
| Tin | Estanho de Rondônia S.A. |
| Tin | Fenix Metals |
| Tin | Gejiu Jinye Mineral Company |
| Tin | Gejiu Kai Meng Industry and Trade LLC |
| Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. |
| Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. |
| Tin | Gejiu Zili Mining And Metallurgy Co., Ltd. |
| Tin | HuiChang Hill Tin Industry Co., Ltd. |
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| Tin | Huichang Jinshunda Tin Co., Ltd. |
| Tin | Jiangxi Ketai Advanced Material Co., Ltd. |
| Tin | Magnu's Minerais Metais e Ligas Ltda. |
| Tin | Malaysia Smelting Corporation (MSC) |
| Tin | Melt Metais e Ligas S.A. |
| Tin | Metallic Resources, Inc. |
| Tin | Metallo-Chimique N.V. |
| Tin | Mineração Taboca S.A. |
| Tin | Minsur |
| Tin | Mitsubishi Materials Corporation |
| Tin | Modeltech Sdn Bhd |
| Tin | Nankang Nanshan Tin Manufactory Co., Ltd. |
| Tin | Nghe Tinh Non-Ferrous Metals Joint Stock Company |
| Tin | O.M. Manufacturing (Thailand) Co., Ltd. |
| Tin | O.M. Manufacturing Philippines, Inc. |
| Tin | Operaciones Metalurgical S.A. |
| Tin | PT Aries Kencana Sejahtera |
| Tin | PT Artha Cipta Langgeng |
| Tin | PT ATD Makmur Mandiri Jaya |
| Tin | PT Babel Inti Perkasa |
| Tin | PT Bangka Prima Tin |
| Tin | PT Bangka Tin Industry |
| Tin | PT Belitung Industri Sejahtera |
| Tin | PT Bukit Timah |
| Tin | PT Cipta Persada Mulia |
| Tin | PT DS Jaya Abadi |
| Tin | PT Eunindo Usaha Mandiri |
| Tin | PT Inti Stania Prima |
| Tin | PT JusTindo |
| Tin | PT Karimun Mining |
| Tin | PT Kijang Jaya Mandiri |
| Tin | PT Lautan Harmonis Sejahtera |
| Tin | PT Menara Cipta Mulia |
| Tin | PT Mitra Stania Prima |
| Tin | PT O.M. Indonesia |
| Tin | PT Panca Mega Persada |
| Tin | PT Prima Timah Utama |
| Tin | PT Refined Bangka Tin |
| Tin | PT Sariwiguna Binasentosa |
| Tin | PT Sukses Inti Makmur |
| Tin | PT Sumber Jaya Indah |
| Tin | PT Timah (Persero) Tbk Kundur |
| Tin | PT Timah (Persero) Tbk Mentok |
| Tin | PT Tinindo Inter Nusa |
| Tin | PT Tommy Utama |
| Tin | Resind Indústria e Comércio Ltda. |
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| Tin | Rui Da Hung |
| Tin | Soft Metais Ltda. |
| Tin | Super Ligas |
| Tin | Thaisarco |
| Tin | Tuyen Quang Non-Ferrous Metals Joint Stock Company |
| Tin | VQB Mineral and Trading Group JSC |
| Tin | White Solder Metalurgia e Mineração Ltda. |
| Tin | Xianghualing Tin Industry Co., Ltd. |
| Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. |
| Tin | Yunnan Tin Company Limited |
| Tungsten | A.L.M.T. TUNGSTEN Corp. |
| Tungsten | ACL Metais Eireli |
| Tungsten | Asia Tungsten Products Vietnam Ltd. |
| Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd. |
| Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. |
| Tungsten | Fujian Jinxin Tungsten Co., Ltd. |
| Tungsten | Ganzhou Haichuang Tungsten Industry Co., Ltd. |
| Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. |
| Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. |
| Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. |
| Tungsten | Ganzhou Yatai Tungsten Co., Ltd. |
| Tungsten | Global Tungsten & Powders Corp. |
| Tungsten | Guangdong Xianglu Tungsten Co., Ltd. |
| Tungsten | H.C. Starck GmbH |
| Tungsten | H.C. Starck Smelting GmbH & Co.KG |
| Tungsten | Hunan Chenzhou Mining Co., Ltd. |
| Tungsten | Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji |
| Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd. |
| Tungsten | Hydrometallurg, JSC |
| Tungsten | Japan New Metals Co., Ltd. |
| Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. |
| Tungsten | Jiangxi Dayu Longxintai Tungsten Co., Ltd. |
| Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. |
| Tungsten | Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. |
| Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. |
| Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. |
| Tungsten | Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd. |
| Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. |
| Tungsten | Kennametal Fallon |
| Tungsten | Kennametal Huntsville |
| Tungsten | Luoyang Mudu Tungsten & Molybdenum Technology Co., Ltd |
| Tungsten | Malipo Haiyu Tungsten Co., Ltd. |
| Tungsten | Moliren Ltd |
| Tungsten | Niagara Refining LLC |
| Tungsten | Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC |
| Tungsten | Philippine Chuangxin Industrial Co., Inc. |
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| Tungsten | South-East Nonferrous Metal Company Limited of Hengyang City |
| Tungsten | Tejing (Vietnam) Tungsten Co., Ltd. |
| Tungsten | Unecha Refractory Metals Plant |
| Tungsten | Vietnam Youngsun Tungsten Industry Co., Ltd. |
| Tungsten | Wolfram Bergbau und Hütten AG |
| Tungsten | Woltech Korea Co., Ltd. |
| Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. |
| Tungsten | Xiamen Tungsten Co., Ltd. |
| Tungsten | Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. |
| Tungsten | Xinhai Rendan Shaoguan Tungsten Co., Ltd. |
Thirty-seven of the smelters above declared to be sourcing or there was reason to believe are sourcing from the Covered Countries. Under the SEC Final Rule, the requirement is to identify whether or not a smelter is sourcing from the Covered Countries; there is no requirement to identify the specific covered country by the smelter. Given the limitation on the specificity of the smelters’ disclosures, the identified Covered Countries are The Democratic Republic of the Congo, Rwanda, Burundi, and Tanzania.
