Exhibit 1.01
Introduction
Azenta Life Sciences, also referred to as “Azenta”, “we”, “our”, and “us” is a leading provider of life science solutions worldwide. Azenta provides a full suite of reliable cold chain sample management solutions and genomic services across areas such as drug development, clinical research and advanced cell therapies for the industry's top pharmaceutical, biotech, academic and healthcare institutions globally. On February 1, 2022, Azenta completed the sale of its Semiconductor Automation business. As a result, this Conflict Minerals Report (“CMR”) for the year ended December 31, 2021 includes products manufactured in Azenta’s Semiconductor Automation business.
This CMR 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 Azenta products that were manufactured, or contracted to be manufactured, during calendar year 2021 and that contain Conflict Minerals.
Executive Summary
Azenta performed a Reasonable Country of Origin Inquiry (RCOI) on suppliers believed to provide Azenta with materials or components containing 3TGs necessary to the manufacturing of Azenta’s products. Azenta’s suppliers identified 345 valid smelters and refineries (“smelters”). Of these 345 smelters, Azenta identified 46 as sourcing (or there was a reason to believe they may be sourcing) from the Covered Countries. Azenta’s due diligence review indicated that 35 of these smelters have been audited and are conformant to the Reasonable Minerals Assurance Process (“RMAP”). The remaining 11 smelters were subject to Azenta’s risk mitigation process according to the OECD Due Diligence Guidance for Responsible Supply Chain of Minerals from Conflict-Affected and High-Risk Areas (OECD Due Diligence Guidance).
Company Management Systems
Azenta established strong management systems according to Step 1 of the OECD Due Diligence Guidance. Azenta’s systems included:
| • | 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. |
| • | Implemented a conflict minerals policy |
| • | Policy made publicly available |
| • | https://investors.azenta.com/corporate-governance. |
| • | Policy communicated directly to suppliers as part of RCOI process |
| • | Step 1B - Structure internal management to support supply chain due diligence |
| • | Maintained an internal cross functional team to support supply chain due diligence |
| • | Appointed a member of the senior staff with the necessary competence, knowledge, and experience to oversee supply chain due diligence |
| • | Applied the resources necessary to support the operation and monitoring of these processes including internal resources and external consulting support. |
| • | Step 1C - Establish a system of transparency, information collection and control over the supply chain |
| • | 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. |
| • | Step 1D - Strengthen company engagement with suppliers |
| • | Directly engaged suppliers during RCOI process. |
| • | Reviewed supplier responses as part of RCOI process. |
| • | Added conflict minerals compliance to new supplier contracts and Azenta’s supplier code of conduct. |
| • | Implemented a plan to improve the quantity and quality of supplier and smelter responses year over year. |
| • | Step 1E - Establish a company and/or mine level grievance mechanism. |
| • | Recognized the RMAP’s three audit protocols for gold, tin/tantalum, and tungsten as valid sources of smelter or mine level grievances. |
| • | Azenta’s ethics violations reporting system allows employees to voice confidentially without any fear of retribution, any concerns with the violations of the Azenta’s conflict minerals policy |
Reasonable Country of Origin Inquiry (RCOI)
Azenta designed its RCOI process in accordance with Step 2A and 2B of the OECD Due Diligence Guidance. Azenta’s RCOI process involved two stages:
| • | Stage 1 - Supplier RCOI (Step 2A of the OECD Due Diligence Guidance) |
| • | Stage 2 - Smelter RCOI (Step 2B of the OECD Due Diligence Guidance) |
Supplier RCOI
Azenta designed its supplier RCOI process to identify, to the best of Azenta’s efforts, the smelters in Azenta’s supply chain in accordance with Step 2A of the OECD Due Diligence Guidance. Azenta’s supplier RCOI process for the 2021 reporting period included the following
| • | Developing a list of suppliers providing 3TG containing components to Azenta. |
| • | Contacting each supplier and requesting the industry standard Conflict Minerals Reporting Template (“CMRT”) including smelter information. |
| • | Reviewing supplier responses for accuracy and completeness. |
| • | 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. |
| • | Reviewing the final smelter list (and compared it to industry peers) to determine if Azenta identified reasonably all of the smelters in their supply chain. |
For the 2021 reporting period, Azenta’s RCOI process was executed by Claigan Environmental Inc. (“Claigan”).
Azenta’s suppliers identified 345 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
Azenta’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
Azenta’s smelter RCOI and due diligence process were designed to
| • | Identify the scope of the risk assessment of the mineral supply chain (OECD Step 2B). |
| • | 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). |
| • | 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). |
Azenta’s smelter RCOI and Due Diligence Process included the following -
| • | For each smelter identified in Azenta’s supply chain |
| • | Azenta attempted direct engagement with the smelter to determine whether or not the smelter sources from the DRC or surrounding countries |
| • | 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 conformant to the RMAP, Azenta reviewed publicly available information to determine if there was any contrary evidence to the smelter’s declaration. The sources reviewed included |
| • | Public internet search (Google) of the facility in combination with each of the Covered Countries |
| • | Review of specific NGO publications. NGO publications reviewed included |
| • | Enough Project |
| • | Global Witness |
| • | Southern Africa Resource Watch |
| • | Radio Okapi |
| • | The most recent UN Group of Experts report on the DRC |
| • | For smelters that did not respond to direct engagement, Azenta 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. |
| • | Azenta reviewed the same sources as those used to compare against smelter sourcing declarations. |
| • | For high risk smelters (smelters that are sourcing from or there is reason to believe they may be sourcing from the Covered Countries) and are not conformant to the RMAP, Azenta 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 2021 reporting period, Azenta’s smelter RCOI and Due Diligence process was executed by Claigan Environmental Inc. (Claigan).
Azenta’s suppliers identified 345 smelters. Azenta identified 46 smelters that source, or there is a reason to believe they may source, from the Covered Countries. Azenta determined that 35 of these 46 smelters have been audited and are conformant to the RMAP. Azenta conducted risk mitigation on the remaining 11 smelters.
Risk Mitigation
Azenta conducted risk mitigation on 11 smelters that were not conformant to the RMAP. Azenta’s risk mitigation was designed in accordance with Step 3B of the OECD Due Diligence Guidance and was reported to the Vice President and General Counsel, in accordance with Step 3A of the OECD Due Diligence Guidance. Azenta’s risk mitigation process included the following -
| • | Additional due diligence to determine if there was any reason to believe the applicable smelter directly or indirectly finance or benefit armed groups in the DRC or adjoining countries. |
| • | Verifying with internal stakeholders and relevant suppliers whether 3TGs from the applicable smelter were actually in Azenta’s supply chain in the 2021 reporting period. |
| • | Direct engagement with the high-risk smelter to verify risk and to encourage the smelter to become conflict free. |
Risk mitigation was required for 11 smelters verified by suppliers likely to be in Azenta’s supply chain.
Gold Refinery – United Arab Emirates (Four in UAE)
Azenta does not currently have reason to believe that these four smelters benefited or financed the armed groups in the covered countries during the reporting period. Azenta is continuing to work with its suppliers who source from these smelters to adequately address the removal of these smelters from its supply chain.
Gold Refinery – Belgium (Two in Belgium)
Azenta does not currently have reason to believe that these two smelters benefited or financed the armed groups in the covered countries during the reporting period. Azenta is continuing to
work with its suppliers who source from these smelters to adequately address the removal of this smelter from its supply chain.
Gold Refinery – Sudan
Azenta does not currently have reason to believe that this smelter benefited or financed the armed groups in the covered countries during the reporting period. Azenta is continuing to work with its suppliers who source from this smelter to adequately address the removal of this smelter from its supply chain.
Gold Refinery – Uganda
Reports published in 2017 and 2018 allege that this refinery is linked to gold smuggled from the DRC. While the smelter denied these allegations and claimed to seek 3rd party confirmation of their sourcing practices, they have yet to appear on the RMAP Active list. Azenta is continuing to work with its suppliers who source from this smelter to adequately address the removal of this smelter from its supply chain.
Gold Refinery - Zimbabwe
Azenta does not currently have reason to believe that this smelter benefited or financed the armed groups in the covered countries during the reporting period. Azenta is continuing to work with its suppliers who source from this smelter to adequately address the removal of this smelter from its supply chain.
Gold Refinery – India (Two in India)
Azenta does not currently have reason to believe that these two smelters benefited or financed the armed groups in the covered countries during the reporting period. Azenta is continuing to work with its suppliers who source from this smelter to adequately address the removal of these smelters from its supply chain.
Improvement Plan
Azenta 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 Azenta’s products could directly or indirectly benefit or finance armed groups in the Covered Countries:
| a. | Including a conflict minerals clause in all new and renewing supplier contracts. |
| b. | Continuing to drive our suppliers to obtain current, accurate, and complete information about the smelters in their supply chain. |
| c. | Engaging smelters sourcing from the Covered Countries to be audited and certified to a protocol recognized by the RMAP. |
| d. | Follow up in 2022 on smelters requiring risk mitigation, but not removal from Azenta’s supply chain. |
Smelters and Refineries
Below are the smelters reported to Azenta’s as likely in Azenta’s supply chain in the 2021 reporting period.
Metal | Smelter | CID |
| | |
Gold | 8853 S.p.A. | CID002763 |
Gold | Abington Reldan Metals, LLC | CID002708 |
Gold | Advanced Chemical Company | CID000015 |
Gold | African Gold Refinery | CID003185 |
Gold | Aida Chemical Industries Co., Ltd. | CID000019 |
Gold | Al Etihad Gold Refinery DMCC | CID002560 |
Gold | Alexy Metals | CID003500 |
Gold | Allgemeine Gold-und Silberscheideanstalt A.G. | CID000035 |
Gold | Almalyk Mining and Metallurgical Complex (AMMC) | CID000041 |
Gold | AngloGold Ashanti Córrego do Sítio Mineração | CID000058 |
Gold | Argor-Heraeus S.A. | CID000077 |
Gold | Asahi Pretec Corp. | CID000082 |
Gold | Asahi Refining Canada Ltd. | CID000924 |
Gold | Asahi Refining USA Inc. | CID000920 |
Gold | Asaka Riken Co., Ltd. | CID000090 |
Gold | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | CID000103 |
Gold | AU Traders and Refiners | CID002850 |
Gold | Augmont Enterprises Private Limited | CID003461 |
Gold | Aurubis AG | CID000113 |
Gold | Bangalore Refinery | CID002863 |
Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | CID000128 |
Gold | Boliden AB | CID000157 |
Gold | C. Hafner GmbH + Co. KG | CID000176 |
Gold | C.I Metales Procesados Industriales SAS | CID003421 |
Gold | Caridad | CID000180 |
Gold | CCR Refinery - Glencore Canada Corporation | CID000185 |
Gold | Cendres + Métaux S.A. | CID000189 |
Gold | CGR Metalloys Pvt Ltd. | CID003382 |
Gold | Chimet S.p.A. | CID000233 |
Gold | Chugai Mining | CID000264 |
Gold | Daye Non-Ferrous Metals Mining Ltd. | CID000343 |
Gold | Degussa Sonne / Mond Goldhandel GmbH | CID002867 |
Gold | Dijllah Gold Refinery FZC | CID003348 |
Gold | DODUCO Contacts and Refining GmbH | CID000362 |
Gold | Dowa | CID000401 |
Gold | DSC (Do Sung Corporation) | CID000359 |
Gold | Eco-System Recycling Co., Ltd. East Plant | CID000425 |
Gold | Eco-System Recycling Co., Ltd. North Plant | CID003424 |
Gold | Eco-System Recycling Co., Ltd. West Plant | CID003425 |
Gold | Emerald Jewel Industry India Limited (Unit 1) | CID003487 |
Gold | Emerald Jewel Industry India Limited (Unit 2) | CID003488 |
Gold | Emerald Jewel Industry India Limited (Unit 3) | CID003489 |
Gold | Emerald Jewel Industry India Limited (Unit 4) | CID003490 |
Gold | Emirates Gold DMCC | CID002561 |
Gold | Fidelity Printers and Refiners Ltd. | CID002515 |
Gold | Fujairah Gold FZC | CID002584 |
Gold | GCC Gujrat Gold Centre Pvt. Ltd. | CID002852 |
Gold | Geib Refining Corporation | CID002459 |
Gold | Gold Coast Refinery | CID003186 |
Gold | Gold Refinery of Zijin Mining Group Co., Ltd. | CID002243 |
Gold | Great Wall Precious Metals Co., Ltd. of CBPM | CID001909 |
Gold | Guangdong Jinding Gold Limited | CID002312 |
Gold | Guoda Safina High-Tech Environmental Refinery Co., Ltd. | CID000651 |
Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. | CID000671 |
Gold | Heimerle + Meule GmbH | CID000694 |
Gold | Henan Yuguang Gold & Lead Co., Ltd. | CID002519 |
Gold | Heraeus Germany GmbH Co. KG | CID000711 |
Gold | Heraeus Metals Hong Kong Ltd. | CID000707 |
Gold | Hunan Chenzhou Mining Co., Ltd. | CID000767 |
Gold | Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd. | CID000773 |
Gold | HwaSeong CJ Co., Ltd. | CID000778 |
Gold | Industrial Refining Company | CID002587 |
Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | CID000801 |
Gold | International Precious Metal Refiners | CID002562 |
Gold | Ishifuku Metal Industry Co., Ltd. | CID000807 |
Gold | Istanbul Gold Refinery | CID000814 |
Gold | Italpreziosi | CID002765 |
Gold | JALAN & Company | CID002893 |
Gold | Japan Mint | CID000823 |
Gold | Jiangxi Copper Co., Ltd. | CID000855 |
Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | CID000927 |
Gold | JSC Novosibirsk Refinery | CID000493 |
Gold | JSC Uralelectromed | CID000929 |
Gold | JX Nippon Mining & Metals Co., Ltd. | CID000937 |
Gold | K.A. Rasmussen | CID003497 |
Gold | Kaloti Precious Metals | CID002563 |
Gold | Kazakhmys Smelting LLC | CID000956 |
Gold | Kazzinc | CID000957 |
Gold | Kennecott Utah Copper LLC | CID000969 |
Gold | KGHM Polska Miedź Spółka Akcyjna | CID002511 |
Gold | Kojima Chemicals Co., Ltd. | CID000981 |
Gold | Korea Zinc Co., Ltd. | CID002605 |
Gold | Kundan Care Products Ltd. | CID003463 |
Gold | Kyrgyzaltyn JSC | CID001029 |
Gold | Kyshtym Copper-Electrolytic Plant ZAO | CID002865 |
Gold | L'azurde Company For Jewelry | CID001032 |
Gold | L'Orfebre S.A. | CID002762 |
Gold | Lingbao Gold Co., Ltd. | CID001056 |
Gold | Lingbao Jinyuan Tonghui Refinery Co., Ltd. | CID001058 |
Gold | LS-NIKKO Copper Inc. | CID001078 |
Gold | LT Metal Ltd. | CID000689 |
Gold | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | CID001093 |
Gold | Marsam Metals | CID002606 |
Gold | Materion | CID001113 |
Gold | Matsuda Sangyo Co., Ltd. | CID001119 |
Gold | MD Overseas | CID003548 |
Gold | Metal Concentrators SA (Pty) Ltd. | CID003575 |
Gold | Metallix Refining Inc. | CID003557 |
Gold | Metalor Technologies (Hong Kong) Ltd. | CID001149 |
Gold | Metalor Technologies (Singapore) Pte., Ltd. | CID001152 |
Gold | Metalor Technologies (Suzhou) Ltd. | CID001147 |
Gold | Metalor Technologies S.A. | CID001153 |
Gold | Metalor USA Refining Corporation | CID001157 |
Gold | Metalúrgica Met-Mex Peñoles S.A. De C.V. | CID001161 |
Gold | Mitsubishi Materials Corporation | CID001188 |
Gold | Mitsui Mining and Smelting Co., Ltd. | CID001193 |
Gold | MMTC-PAMP India Pvt., Ltd. | CID002509 |
Gold | Modeltech Sdn Bhd | CID002857 |
Gold | Morris and Watson | CID002282 |
Gold | Moscow Special Alloys Processing Plant | CID001204 |
Gold | Nadir Metal Rafineri San. Ve Tic. A.Ş. | CID001220 |
Gold | Navoi Mining and Metallurgical Combinat | CID001236 |
Gold | NH Recytech Company | CID003189 |
Gold | Nihon Material Co., Ltd. | CID001259 |
Gold | Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH | CID002779 |
Gold | Ohura Precious Metal Industry Co., Ltd. | CID001325 |
Gold | OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) | CID001326 |
Gold | PAMP S.A. | CID001352 |
Gold | Pease & Curren | CID002872 |
Gold | Penglai Penggang Gold Industry Co., Ltd. | CID001362 |
Gold | Planta Recuperadora de Metales SpA | CID002919 |
Gold | Prioksky Plant of Non-Ferrous Metals | CID001386 |
Gold | PT Aneka Tambang (Persero) Tbk | CID001397 |
Gold | PX Précinox S.A. | CID001498 |
Gold | QG Refining, LLC | CID003324 |
Gold | Rand Refinery (Pty) Ltd. | CID001512 |
Gold | Refinery of Seemine Gold Co., Ltd. | CID000522 |
Gold | REMONDIS PMR B.V. | CID002582 |
Gold | Royal Canadian Mint | CID001534 |
Gold | SAAMP | CID002761 |
Gold | Sabin Metal Corp. | CID001546 |
Gold | Safimet S.p.A | CID002973 |
Gold | SAFINA A.S. | CID002290 |
Gold | Sai Refinery | CID002853 |
Gold | Samduck Precious Metals | CID001555 |
Gold | SAMWON Metals Corp. | CID001562 |
Gold | Sancus ZFS (L’Orfebre, SA) | CID003529 |
Gold | SAXONIA Edelmetalle GmbH | CID002777 |
Gold | Sellem Industries Ltd. | CID003540 |
Gold | SEMPSA Joyería Platería S.A. | CID001585 |
Gold | Shandong Gold Smelting Co., Ltd. | CID001916 |
Gold | Shandong Humon Smelting Co., Ltd. | CID002525 |
Gold | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | CID001619 |
Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | CID001622 |
Gold | Shenzhen Zhonghenglong Real Industry Co., Ltd. | CID002527 |
Gold | Shirpur Gold Refinery Ltd. | CID002588 |
Gold | Sichuan Tianze Precious Metals Co., Ltd. | CID001736 |
Gold | Singway Technology Co., Ltd. | CID002516 |
Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | CID001756 |
Gold | Solar Applied Materials Technology Corp. | CID001761 |
Gold | Sovereign Metals | CID003383 |
Gold | State Research Institute Center for Physical Sciences and Technology | CID003153 |
Gold | Sudan Gold Refinery | CID002567 |
Gold | Sumitomo Metal Mining Co., Ltd. | CID001798 |
Gold | SungEel HiMetal Co., Ltd. | CID002918 |
Gold | Super Dragon Technology Co., Ltd. | CID001810 |
Gold | T.C.A S.p.A | CID002580 |
Gold | Tanaka Kikinzoku Kogyo K.K. | CID001875 |
Gold | Tokuriki Honten Co., Ltd. | CID001938 |
Gold | Tongling Nonferrous Metals Group Co., Ltd. | CID001947 |
Gold | TOO Tau-Ken-Altyn | CID002615 |
Gold | Torecom | CID001955 |
Gold | Umicore Precious Metals Thailand | CID002314 |
Gold | Umicore S.A. Business Unit Precious Metals Refining | CID001980 |
Gold | United Precious Metal Refining, Inc. | CID001993 |
Gold | Valcambi S.A. | CID002003 |
Gold | Value Trading | CID003617 |
Gold | WEEEREFINING | CID003615 |
Gold | Western Australian Mint (T/a The Perth Mint) | CID002030 |
Gold | WIELAND Edelmetalle GmbH | CID002778 |
Gold | Yamakin Co., Ltd. | CID002100 |
Gold | Yokohama Metal Co., Ltd. | CID002129 |
Gold | Yunnan Copper Industry Co., Ltd. | CID000197 |
Gold | Zhongkuang Gold Industry Co., Ltd. | CID002214 |
Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | CID002224 |
Tantalum | Asaka Riken Co., Ltd. | CID000092 |
Tantalum | Changsha South Tantalum Niobium Co., Ltd. | CID000211 |
Tantalum | D Block Metals, LLC | CID002504 |
Tantalum | Exotech Inc. | CID000456 |
Tantalum | F&X Electro-Materials Ltd. | CID000460 |
Tantalum | FIR Metals & Resource Ltd. | CID002505 |
Tantalum | Global Advanced Metals Aizu | CID002558 |
Tantalum | Global Advanced Metals Boyertown | CID002557 |
Tantalum | H.C. Starck Hermsdorf GmbH | CID002547 |
Tantalum | H.C. Starck Inc. | CID002548 |
Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | CID002492 |
Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | CID002512 |
Tantalum | Jiangxi Tuohong New Raw Material | CID002842 |
Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | CID000914 |
Tantalum | Jiujiang Tanbre Co., Ltd. | CID000917 |
Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | CID002506 |
Tantalum | KEMET de Mexico | CID002539 |
Tantalum | LSM Brasil S.A. | CID001076 |
Tantalum | Meta Materials | CID002847 |
Tantalum | Metallurgical Products India Pvt., Ltd. | CID001163 |
Tantalum | Mineração Taboca S.A. | CID001175 |
Tantalum | Mitsui Mining & Smelting | CID001192 |
Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | CID001277 |
Tantalum | NPM Silmet AS | CID001200 |
Tantalum | QuantumClean | CID001508 |
Tantalum | Resind Indústria e Comércio Ltda. | CID002707 |
Tantalum | Solikamsk Magnesium Works OAO | CID001769 |
Tantalum | Taki Chemical Co., Ltd. | CID001869 |
Tantalum | TANIOBIS Co., Ltd. | CID002544 |
Tantalum | TANIOBIS GmbH | CID002545 |
Tantalum | TANIOBIS Japan Co., Ltd. | CID002549 |
Tantalum | TANIOBIS Smelting GmbH & Co. KG | CID002550 |
Tantalum | Telex Metals | CID001891 |
Tantalum | Ulba Metallurgical Plant JSC | CID001969 |
Tantalum | XIMEI RESOURCES (GUANGDONG) LIMITED | CID000616 |
Tantalum | XinXing HaoRong Electronic Material Co., Ltd. | CID002508 |
Tantalum | Yancheng Jinye New Material Technology Co., Ltd. | CID003583 |
Tantalum | Yanling Jincheng Tantalum & Niobium Co., Ltd. | CID001522 |
Tin | Alpha | CID000292 |
Tin | An Vinh Joint Stock Mineral Processing Company | CID002703 |
Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | CID000228 |
Tin | Chifeng Dajingzi Tin Industry Co., Ltd. | CID003190 |
Tin | China Tin Group Co., Ltd. | CID001070 |
Tin | CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda | CID003486 |
Tin | CRM Synergies | CID003524 |
Tin | CV Ayi Jaya | CID002570 |
Tin | CV Venus Inti Perkasa | CID002455 |
Tin | Dongguan CiEXPO Environmental Engineering Co., Ltd. | CID003356 |
Tin | Dowa | CID000402 |
Tin | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | CID002572 |
Tin | EM Vinto | CID000438 |
Tin | Estanho de Rondônia S.A. | CID000448 |
Tin | Fabrica Auricchio Industria e Comercio Ltda. | CID003582 |
Tin | Fenix Metals | CID000468 |
Tin | Gejiu City Fuxiang Industry and Trade Co., Ltd. | CID003410 |
Tin | Gejiu Kai Meng Industry and Trade LLC | CID000942 |
Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. | CID000538 |
Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | CID001908 |
Tin | Gejiu Zili Mining And Metallurgy Co., Ltd. | CID000555 |
Tin | Guangdong Hanhe Non-Ferrous Metal Co., Ltd. | CID003116 |
Tin | HuiChang Hill Tin Industry Co., Ltd. | CID002844 |
Tin | Jiangxi New Nanshan Technology Ltd. | CID001231 |
Tin | Luna Smelter, Ltd. | CID003387 |
Tin | Ma'anshan Weitai Tin Co., Ltd. | CID003379 |
Tin | Magnu's Minerais Metais e Ligas Ltda. | CID002468 |
Tin | Malaysia Smelting Corporation (MSC) | CID001105 |
Tin | Melt Metais e Ligas S.A. | CID002500 |
Tin | Metallic Resources, Inc. | CID001142 |
Tin | Metallo Belgium N.V. | CID002773 |
Tin | Metallo Spain S.L.U. | CID002774 |
Tin | Mineração Taboca S.A. | CID001173 |
Tin | Minsur | CID001182 |
Tin | Mitsubishi Materials Corporation | CID001191 |
Tin | Modeltech Sdn Bhd | CID002858 |
Tin | Nghe Tinh Non-Ferrous Metals Joint Stock Company | CID002573 |
Tin | Novosibirsk Processing Plant Ltd. | CID001305 |
Tin | O.M. Manufacturing (Thailand) Co., Ltd. | CID001314 |
Tin | O.M. Manufacturing Philippines, Inc. | CID002517 |
Tin | Operaciones Metalúrgicas S.A. | CID001337 |
Tin | Pongpipat Company Limited | CID003208 |
Tin | Precious Minerals and Smelting Limited | CID003409 |
Tin | PT Aries Kencana Sejahtera | CID000309 |
Tin | PT Artha Cipta Langgeng | CID001399 |
Tin | PT ATD Makmur Mandiri Jaya | CID002503 |
Tin | PT Babel Inti Perkasa | CID001402 |
Tin | PT Babel Surya Alam Lestari | CID001406 |
Tin | PT Bangka Serumpun | CID003205 |
Tin | PT Belitung Industri Sejahtera | CID001421 |
Tin | PT Bukit Timah | CID001428 |
Tin | PT Cipta Persada Mulia | CID002696 |
Tin | PT Lautan Harmonis Sejahtera | CID002870 |
Tin | PT Masbro Alam Stania | CID003380 |
Tin | PT Menara Cipta Mulia | CID002835 |
Tin | PT Mitra Stania Prima | CID001453 |
Tin | PT Mitra Sukses Globalindo | CID003449 |
Tin | PT Panca Mega Persada | CID001457 |
Tin | PT Prima Timah Utama | CID001458 |
Tin | PT Rajawali Rimba Perkasa | CID003381 |
Tin | PT Rajehan Ariq | CID002593 |
Tin | PT Refined Bangka Tin | CID001460 |
Tin | PT Sariwiguna Binasentosa | CID001463 |
Tin | PT Stanindo Inti Perkasa | CID001468 |
Tin | PT Sukses Inti Makmur | CID002816 |
Tin | PT Timah Nusantara | CID001486 |
Tin | PT Timah Tbk Kundur | CID001477 |
Tin | PT Timah Tbk Mentok | CID001482 |
Tin | PT Tinindo Inter Nusa | CID001490 |
Tin | Resind Indústria e Comércio Ltda. | CID002706 |
Tin | Rui Da Hung | CID001539 |
Tin | Soft Metais Ltda. | CID001758 |
Tin | Super Ligas | CID002756 |
Tin | Thai Nguyen Mining and Metallurgy Co., Ltd. | CID002834 |
Tin | Thaisarco | CID001898 |
Tin | Tin Technology & Refining | CID003325 |
Tin | Tuyen Quang Non-Ferrous Metals Joint Stock Company | CID002574 |
Tin | VQB Mineral and Trading Group JSC | CID002015 |
Tin | White Solder Metalurgia e Mineração Ltda. | CID002036 |
Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | CID002158 |
Tin | Yunnan Tin Company Limited | CID002180 |
Tin | Yunnan Yunfan Non-ferrous Metals Co., Ltd. | CID003397 |
Tungsten | A.L.M.T. Corp. | CID000004 |
Tungsten | ACL Metais Eireli | CID002833 |
Tungsten | Albasteel Industria e Comercio de Ligas Para Fundicao Ltd. | CID003427 |
Tungsten | Artek LLC | CID003553 |
Tungsten | Asia Tungsten Products Vietnam Ltd. | CID002502 |
Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd. | CID002513 |
Tungsten | China Molybdenum Co., Ltd. | CID002641 |
Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | CID000258 |
Tungsten | CNMC (Guangxi) PGMA Co., Ltd. | CID000281 |
Tungsten | Cronimet Brasil Ltda | CID003468 |
Tungsten | Fujian Ganmin RareMetal Co., Ltd. | CID003401 |
Tungsten | Fujian Xinlu Tungsten | CID003609 |
Tungsten | Ganzhou Haichuang Tungsten Co., Ltd. | CID002645 |
Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. | CID000875 |
Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | CID002315 |
Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | CID002494 |
Tungsten | GEM Co., Ltd. | CID003417 |
Tungsten | Global Tungsten & Powders Corp. | CID000568 |
Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | CID000218 |
Tungsten | H.C. Starck Tungsten GmbH | CID002541 |
Tungsten | Hunan Chenzhou Mining Co., Ltd. | CID000766 |
Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd. | CID000769 |
Tungsten | Hydrometallurg, JSC | CID002649 |
Tungsten | Japan New Metals Co., Ltd. | CID000825 |
Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | CID002551 |
Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | CID002321 |
Tungsten | Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. | CID002313 |
Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | CID002318 |
Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | CID002317 |
Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. | CID002316 |
Tungsten | JSC "Kirovgrad Hard Alloys Plant" | CID003408 |
Tungsten | Kennametal Fallon | CID000966 |
Tungsten | Kennametal Huntsville | CID000105 |
Tungsten | KGETS Co., Ltd. | CID003388 |
Tungsten | Lianyou Metals Co., Ltd. | CID003407 |
Tungsten | Malipo Haiyu Tungsten Co., Ltd. | CID002319 |
Tungsten | Masan High-Tech Materials | CID002543 |
Tungsten | Moliren Ltd. | CID002845 |
Tungsten | Niagara Refining LLC | CID002589 |
Tungsten | NPP Tyazhmetprom LLC | CID003416 |
Tungsten | OOO “Technolom” 1 | CID003614 |
Tungsten | OOO “Technolom” 2 | CID003612 |
Tungsten | Philippine Chuangxin Industrial Co., Inc. | CID002827 |
Tungsten | TANIOBIS Smelting GmbH & Co. KG | CID002542 |
Tungsten | Unecha Refractory Metals Plant | CID002724 |
Tungsten | Wolfram Bergbau und Hütten AG | CID002044 |
Tungsten | Woltech Korea Co., Ltd. | CID002843 |
Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | CID002320 |
Tungsten | Xiamen Tungsten Co., Ltd. | CID002082 |
Tungsten | Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. | CID002830 |
Forty-six 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, Uganda, and Tanzania.
