EX-1.01 2 d731480dex101.htm EX-1.01 EX-1.01

Exhibit 1.01

Juniper Networks, Inc.

Conflict Minerals Report For The Year Ended December 31, 2018

This Conflict Minerals Report (this “Report”) for Juniper Networks, Inc. (the “Company”, “Juniper”, “our” or “we”) covers the reporting period from January 1, 2018 to December 31, 2018, and is presented in accordance with Rule 13p-1 promulgated under the Securities Exchange Act of 1934, as amended, and Form SD (collectively, the “Rule”). The Rule imposes certain reporting obligations on U.S. Securities and Exchange Commission (“SEC”) registrants whose manufactured products contain conflict minerals that are necessary to the functionality or production of their products. The term “conflict minerals” is defined in the Rule as (A) cassiterite, columbite-tantalite (coltan), gold, wolframite, and their derivatives, tin, tantalum, tungsten, and gold (“3TG”); or (B) any other mineral or its derivatives determined by the Secretary of State to be financing conflict in the Democratic Republic of the Congo (“DRC”) or any adjoining country that shares an internationally recognized border with the DRC (collectively, the “Covered Countries”). The adjoining countries include: the Republic of the Congo, the Central African Republic, South Sudan, Rwanda, Uganda, Zambia, Burundi, Tanzania and Angola.

Throughout this Report, whenever a reference is made to any document, third-party material or website (including Juniper’s website), such reference does not incorporate information from such document, material or website into this Report, unless expressly incorporated by reference herein.

Overview

Company Overview

Juniper designs, develops and sells products and services for high-performance networks to enable customers to build scalable, secure and cost-effective networks for their businesses, while achieving agility and improved operating efficiency through automation.

Product Overview

The Company sells high-performance routing, switching, and security networking products to customers within its verticals: Cloud, Service Provider, and Enterprise.

Supply Chain Overview

Juniper manufacturing and operations manage relationships with our global supply chain, which includes our contract manufacturers, original design manufacturers, components suppliers, warehousing and logistics. Our contract manufacturers and original design manufacturers in all locations are responsible for all phases of manufacturing, from prototypes to full production and assist with activities such as material procurement. Given our downstream position in the supply chain, such that we do not have any direct relationships with the smelters or refiners in our supply chain, we rely on our first-tier suppliers to provide information about the sources of 3TG used in our products.

Industry Alignment Overview

Since 2011, Juniper has supported the development of industry tools and programs that provide a common means to report or collect due diligence information on the source and chain of custody of 3TG through our membership in the Responsible Minerals Initiative (the “RMI”). The RMI is a recognized industry coalition focused on addressing and advancing the responsible sourcing of 3TG in the supply chain. Through the RMI and its workgroups, the Due Diligence Practices Team, Sensing and Prioritization Team, Smelter Engagement Team and Blockchain Team, Juniper has been actively engaged and continues to work with industry peers in an effort to ensure that our reasonable country of origin inquiry (“RCOI”) and due diligence processes are aligned with industry approaches. The primary objective of this alignment is to help ensure that the 3TG in our in-scope products are sourced responsibly.

Through our participation in the RMI, we seek to maximize the efficiency and effectiveness of our efforts to identify 3TG smelters and refiners in our supply chain and to encourage their participation in the RMI’s Responsible Minerals Assurance Process (the “RMAP”). The RMAP is a voluntary initiative in which an independent third-party validates smelter and refiner due diligence management systems, in line with the Organisation for Economic Cooperation and Development (“OECD”) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, Third Edition (the “Guidance”). As it is a standardized protocol, we, along with other leading participants in the electronics industry, rely on the RMAP or equivalent industry-wide programs for audits of 3TG smelters and refiners.

Additionally, through the RMI and its workgroups, Juniper monitors the social, health and safety, and human rights impacts of the industry’s efforts to promote responsible sourcing in the Covered Countries and uses that information to inform our compliance program.

In order to avoid negative impact on the livelihoods of those in the mining communities in the Covered Countries, we do not embargo the sourcing of 3TG from the Covered Countries and encourage our suppliers to continue to responsibly source 3TG from the Covered Countries.


Products Covered by this Report

The Company determined that 3TGs were necessary to the functionality or production of products that we manufactured or contracted to be manufactured during the 2018 calendar year. We determined that only our routing, switching, and security hardware products that are being manufactured were in-scope of the Rule, based on the criteria that they contain components which may contain one or more of the 3TGs that are necessary to the functionality or production of the products.

For further information concerning our products, see the subheading “Products, Services and Technology” in “Item 1. Business” of our Annual Report on Form 10-K for the year ended December 31, 2018, filed with the SEC on February 22, 2019.

Reasonable Country of Origin Inquiry

RCOI Overview and Process

Juniper was required to undertake a RCOI with respect to the necessary 3TG in its in-scope products that is reasonably designed to determine whether any of the necessary 3TG originated in any of the Covered Countries and whether they were not from recycled or scrap resources. Based on our RCOI design, we surveyed suppliers that provide physical components that become part of our end products or provide manufacturing services for our end products (collectively, “direct suppliers”), including those direct suppliers that, according to the Heritage 2017 Index of Economic Freedom, operate in countries considered unfree. For the reporting period covered by this Report, the direct suppliers surveyed (the “Surveyed Suppliers”) represented an aggregate of 99% of our total direct materials expenditures in 2018.

To determine whether necessary 3TG in our products originated in the Covered Countries, we retained Assent Compliance (“Assent”), our third-party service provider, to assist us in surveying our Surveyed Suppliers and provide an analysis of the resulting data. We utilized the then latest revision of the RMI’s Conflict Minerals Reporting Template (“CMRT”) to conduct a survey of all Surveyed Suppliers through Assent’s platform. Some of our other compliance activities described in this Report were performed on our behalf by Assent.

We requested that all Surveyed Suppliers complete a CMRT, and we provided training and educational materials to assist such suppliers on best practices and the completion of the CMRT. The training program was intended to help ensure the quality and completeness of the CMRTs received from the Surveyed Suppliers. Assent monitored and tracked all communications via its data management platform. Both Juniper and Assent contacted Surveyed Suppliers that were initially unresponsive in completing a CMRT.

Automated data validation was performed on all submitted CMRTs. This helped to identify contradictory answers in CMRTs, informed our follow-up with Surveyed Suppliers and we believe ultimately increased the accuracy of submissions. Data validation was based on completion of questions in the CMRT and on an analysis of internal consistency among responses in the CMRT. Following the data validation process, CMRTs were accepted and classified as valid or invalid. Surveyed Suppliers that submitted an invalid CMRT, where contradictory or incomplete information was provided, were contacted and requested to resubmit a valid and complete form.

As of May 7, 2019, 96% of the Surveyed Suppliers, representing approximately 98% of our total direct material expenditures in 2018, submitted a CMRT.

RCOI Results

Our RCOI identified 317 known smelters and refiners that appear on the lists maintained by the RMI that may have been in our 2018 supply chain. Based on Juniper’s RCOI, we concluded that 107 of these smelters and refiners sourced 3TG entirely from outside of the Covered Countries, including from recycled or scrap sources. We determined that 24 of the identified smelters and refiners sourced 3TG in whole or in part from within the Covered Countries, but all 24 of these smelters and refiners were designated as “Conformant” by the RMAP (as defined on Appendix A). Juniper’s conclusions concerning the origin of 3TG are based on information provided by the RMI to its members.

For the 2018 reporting period, Juniper was unable to determine the origin of at least a portion of the necessary 3TG in its in-scope products. None of the necessary 3TG contained in its in-scope products were determined to directly or indirectly finance or benefit armed groups in a Covered Country, and Juniper has never identified an instance of 3TG in its in-scope products financing or benefitting armed groups in a Covered Country. However, Juniper did not conclude that any of its in-scope products were “DRC conflict-free.”

Based on the results of our RCOI, we conducted due diligence for 2018. These due diligence efforts are discussed below.

Due Diligence

Design of Due Diligence Program

We designed our due diligence measures to conform, in all material respects, with the framework in the Guidance, including the related Supplements for gold and tin, tantalum, and tungsten. The Guidance identifies five steps for due diligence that should be implemented and provides guidance as to how to achieve each step. We developed our due diligence process to address each of these five steps.


A description of certain activities undertaken by Juniper with respect to each of the due diligence-related steps of the Guidance is provided below.

Step 1: Establish Strong Company Management Systems

We have established management systems that conform to Step 1 of the Guidance and that include the following elements:

Conflict Minerals Policy: Juniper has published and communicated to our suppliers a company policy stating our commitment to responsible sourcing of 3TG and our ongoing effort with suppliers to achieve a conflict-free supply chain. This policy can be viewed on our website at https://www.juniper.net/us/en/company/citizenship-sustainability/supply-chain/#tab=dtabs-4. The policy is periodically reviewed by our internal conflict minerals operations team and has been approved by Juniper’s conflict minerals executive champions, the Corporate Vice President of Supply Chain Operations and the Senior Vice President, General Counsel. It is also integrated into our Juniper Business Partner Code of Conduct (https://www.juniper.net/assets/us/en/local/pdf/additional-resources/business-partner-code-of-conduct.pdf), which requires suppliers to exercise due diligence on the source of 3TG and make this information available to Juniper upon request.

Through the Conflict Minerals Policy, Juniper demonstrates our commitment to proactive elimination of 3TG from sources that could support conflict from products and the supply chain, as well as our commitment to continue to source 3TG from Conformant smelters and refiners within the Covered Countries.

Governance structure to support due diligence activities: Juniper has established a conflict minerals governance structure that includes senior managerial responsibility for the program. Senior management with responsibility for the program and the conflict minerals operations team are comprised of individuals from Supply Chain Operations; Environmental, Health, Safety and Security; Engineering; Investor Relations; Finance; Internal Audit; Sales; Legal; Government Affairs; Compliance; and Corporate Communications. Our conflict minerals operations team, under the leadership and purview of Juniper’s executive champions (Corporate Vice President of Supply Chain Operations and Senior Vice President, General Counsel), guides the development, implementation, and maintenance of Juniper’s conflict minerals program. Executive champions establish the goals of the conflict minerals operations team, receive regular updates on the status of the program and approve any significant changes to the program.

Juniper also uses a third-party service provider to assist us with collecting and evaluating supply chain information regarding 3TGs, identifying potential risks, and in the development and implementation of additional due diligence steps with suppliers in regard to conflict minerals. We also utilize specialist outside counsel to advise on aspects of our 3TG compliance program.

Juniper also is engaged in multi-stakeholder initiatives to address responsible sourcing of 3TG. Juniper is a member of the RMI and also participates in its Smelter Engagement Team. Through its membership in the RMI, Juniper utilizes the RMI for public policy engagement relating to the responsible sourcing of 3TG and to advance initiatives to reduce the use of raw materials that may support conflict.

Control systems and transparency: Juniper expects all of our suppliers to exercise due diligence on the source and chain of custody of any 3TGs used in the production of the in-scope products, materials, or components sold to Juniper. These expectations are communicated to our suppliers through the supplier onboarding process and business reviews. Juniper seeks to strengthen our relationship with our suppliers by providing training and through our Business Partner Code of Conduct. If suppliers do not follow Juniper’s policies or meet Juniper’s performance expectations, we may escalate the matter, among other compliance and quality matters, in the quarterly supplier business review process and take the non-compliance into account in supplier performance scorecards. Supplier non-compliance and poor performance on scorecards may result in a determination to suspend, disengage or take other corrective actions with respect to the supplier.

We have taken steps to strengthen our due diligence efforts over time. In 2018, Juniper implemented improvements that were documented as future steps to mitigate risk in last year’s Conflict Minerals Report. Juniper implemented corporate social responsibility criteria in the direct supplier onboarding process to identify potential labor, environmental, health and safety, and ethics risks, including those associated with responsible minerals sourcing. Additionally, Juniper strengthened the supplier scorecard by adding three new metrics to assess a supplier’s compliance with Juniper’s conflict minerals requirements. The objectives for these enhancements are to provide more transparency in our expectations and evaluations, promote more granular responsible sourcing discussions with our suppliers, and drive initiatives that will support Juniper’s goal of responsible minerals sourcing and a conflict-free supply chain, including supplier due diligence in accordance with the Guidance and sourcing from Conformant smelters.

Supplier engagement: We engage with suppliers to request that they complete a valid CMRT for the in-scope products that they supply to us. Juniper has adopted engagement procedures that include steps of supplier engagement and escalation such as in-person meetings, business reviews, outreach conducted by commodity managers, sharing of best practices and training resources, and identification of corrective actions. When entering into or renewing supplier master purchase agreements, we include our Business Partner Code of Conduct. We provide education and training resources for our suppliers through Assent’s Learning Management System, Assent University, and provide all in-scope suppliers access to Assent’s conflict minerals training courses. This training is tracked and evaluated based on completion. Additional training is provided to selected suppliers who report smelters or refiners of potential concern.

Suppliers who do not comply with Juniper’s conflict minerals policy, meet Juniper’s performance expectations or, if found to be the case, source minerals that finance or benefit armed groups are escalated to Juniper’s Corporate Vice President of Supply Chain Operations for evaluation of whether Juniper should suspend, disengage, or take other action with the supplier.


Grievance mechanisms: Employees, customers, partners, and suppliers are encouraged to immediately alert Juniper to any events of questionable, fraudulent, or illegal nature that are, or may be, in violation of Juniper’s codes of conduct, including any events relating to the source of 3TG in products supplied by our in-scope suppliers. Information may be submitted through email to integrity@juniper.net, by phone to the toll-free Juniper Integrity Hotline at +1-855-410-5445, online at integrity.juniper.net (https://app.convercent.com/en-us/LandingPage/1f4c50fe-2706-e411-9dec-80c16e20c34c), or directly to Juniper’s Chief Compliance Officer. Information can be submitted anonymously and will be kept confidential to the fullest extent practicable and allowed by law.

Records maintenance: Juniper has implemented a document retention policy to retain 3TG-related documents for a period of five years, including supplier responses to CMRTs. We store the information and findings from this process in an electronic database that can be audited by internal or external parties.

Step 2: Identify and Assess Risk in the Supply Chain

We identify and assess risk in our supply chain in conformance with Step 2 of the Guidance. Our compliance steps include surveying our supply chain using the CMRT, aggregating and analyzing the responses, and following up with suppliers for clarification or with requests for further information when their responses trigger specified quality control flags.

The primary risk we identified with respect to the 2018 reporting period related to the nature of the responses received. 61% of the responses received provided data at a company level or did not specify the smelters or refiners that processed the 3TG in the products, materials or components supplied to Juniper. Additionally, 54% of the Surveyed Suppliers indicated that they received information regarding their supply chains from less than 75% of their suppliers and, therefore, they may not have provided a comprehensive list of all smelters and refiners in their supply chains.

Among other things, as part of our due diligence, we compared the smelters and refiners listed in the CMRTs received to the list of smelters and refiners maintained by the RMI. See Appendix A below for a list of these smelters and refiners furnished to us on CMRTs, along with their compliance status.

Each smelter or refiner is assigned a risk of high, medium, or low based on five factors, including: (1) its geographic proximity to the Covered Countries; (2) known mineral source country of origin; (3) its RMAP audit status; (4) credible evidence of unethical or conflict sourcing; and (5) finally, peer assessments conducted by third-party sources believed to be credible by Assent. In addition to the risk mitigation steps described below, suppliers that identify smelters or refiners that are categorized as high risk are requested to submit a product-level CMRT and are directed to educational resources on Assent’s website. If the supplier is not able to provide a product-level CMRT or confirm the high-risk smelter or refiner is not in Juniper’s supply chain, Juniper requests that the supplier provide a corrective action plan.

Additionally, suppliers’ CMRT responses are used to evaluate their program strength. The criteria used to evaluate the strength of the program include whether the supplier (1) has a conflict minerals sourcing policy, (2) has implemented 3TG due diligence measures, (3) reviews due diligence information received from suppliers against the expectations set forth in its policy and (4) has a corrective action process. Suppliers that meet or exceed these criteria (answer “Yes” to all four criteria) are deemed to have a “strong” program; otherwise their program is deemed to be “weak”. For 2018, 17% of the Surveyed Suppliers that completed a CMRT were identified as having a “weak” program. In addition to the risk mitigation steps discussed below, if a supplier’s program is deemed to be weak, it is provided with further guidance and education through Assent’s learning tools.

Identifying and assessing the three risks of (1) information relevance, accuracy and comprehensiveness, (2) geographic proximity and (3) program strength are intended to help us to address Step 2 of the Guidance.

Step 3: Designing and Implementing a Strategy to Respond to Identified Risks

The results of our due diligence are shared with the executive champions (Corporate Vice President of Supply Chain Operations and Senior Vice President, General Counsel), as well as with the Audit Committee of our Board of Directors, which, among other responsibilities, has oversight of risk management and financial reporting and compliance.

We address any risks identified through the process described in Step 2 on a case-by-case basis. For suppliers who do not respond to Assent’s outreach, Juniper’s conflict minerals and supply chain operations teams contact those suppliers directly, requesting that they submit a CMRT. Other actions contemplated by our corrective action framework include, depending upon the particular circumstances, requesting a product-level CMRT and that the supplier take corrective action to ensure that any high-risk smelters or refiners are not in Juniper’s supply chain. We may also provide a supplier with further guidance and education on the Rule, the Guidance, and/or our compliance expectations.

Through our participation in the RMI and its Smelter Engagement Team, we also address smelter- and refiner-related risks and seek to exercise leverage over smelters and refiners to become Conformant. We provide the RMI with Juniper’s lists of smelters and refiners that are not Conformant or Active and those entities disclosed by suppliers that are not listed as known smelters or refiners by the RMI, in order to assist the RMI with prioritizing (1) outreach to those known smelters and refiners that are not participating in the RMAP and (2) research of those commonly reported entities that are not identified as a smelter or a refiner.


Step 4: Carrying Out Independent Third-Party Audit of Supply Chain Due Diligence at Identified Points in the Supply Chain

We are a downstream supplier, many steps removed from the mining or processing of 3TG. Juniper does not purchase raw ore or refined 3TG, including from the Covered Countries.

Juniper supports independent third-party audits conducted by the RMAP through our financial support for the RMI. The RMAP is described earlier in this Report.

Juniper also actively supports the goal of increasing smelter and refiner participation in the RMAP through our participation in the RMI and its Smelter Engagement Team. We provide the RMI with Juniper’s lists of smelters and refiners that were reported by our suppliers who are not Conformant or Active in order to assist the RMI with prioritizing outreach to those known smelters and refiners to encourage them to participate in the RMAP.

Step 5: Reporting on Supply Chain Due Diligence

A Form SD and this Report are filed annually with the SEC, and a copy of this Report and the Form SD are made publicly available on our website at http://www.juniper.net/us/en/company/corporate-responsibility/.

Future Steps to Mitigate Risk

For 2019, we intend to continue to focus on collaborating with industry participants, through our membership in the RMI, to improve the systems of transparency and control in 3TG supply chains, which we believe mitigates the risk that 3TG contained in our in-scope products will finance or benefit armed groups in the Covered Countries.

In addition, as part of our ongoing efforts to mitigate the risk that the 3TG contained in our in-scope products finance or benefit armed groups in the Covered Countries, we intend to continue the following efforts for 2019:

 

   

Request that suppliers complete CMRTs on a product-specific basis, to enable us to determine which smelters and refiners actually process 3TG contained in our products.

 

   

Encourage our suppliers that have not already done so to implement due diligence procedures, through targeted outreach that provides guidance and resources to improve program strength and increase rate of response from their own suppliers.

 

   

Encourage our suppliers to source only from Conformant smelters and refiners by (1) awarding higher supplier Compliance, Risk and Sustainability scores to those who only utilize Conformant smelters and refiners and (2) continuing to request facilities that are not listed as Conformant by the RMI to obtain an independent third-party audit. Supplier’s Compliance, Risk and Sustainability score is considered when identifying candidates for the Supplier of the Year award.

 

   

Measure the overall performance improvement of the supply chain by tracking supplier performance against selected metrics, including data quality and completeness and the percentage of reported smelters and refiners that are Conformant, with the goal of identifying areas for further improvement and engagement with suppliers, the RMI and Assent.

 

   

Assess opportunities to integrate additional risk data into our risk assessment process, such as through use of tools provided by the RMI, to further improve our risk assessment process.

 

   

Assess opportunities to meaningfully advance the missions of organizations supporting on-the-ground projects that assist companies in sourcing transparently and responsibly from the DRC or that support artisanal and small-scale mining communities by improving market access and providing economic infrastructure development.

Due Diligence Results

Survey Results

For the 2018 reporting year, Juniper received CMRTs from 96% of the Surveyed Suppliers. Though Juniper and Assent conducted outreach to request corrections to invalid data, three percent of the Surveyed Suppliers who submitted a CMRT did not correct the inaccuracies or gaps in the CMRT. Those CMRTs were therefore treated as invalid submissions.

Smelters and Refiners Potentially in Juniper’s Supply Chain

Based on our RCOI and due diligence, we identified 317 known smelters and refiners of 3TGs that may be in our supply chain in 2018, as compared to 321 in 2017. See Appendix A below for a list of these smelters and refiners, along with their Conformance status. Appendix A does not include the names of entities received through our due diligence process that, as of May 7, 2019, were not listed on the RMI’s list of known smelters and refiners.

A summary of the known smelters and refiners for each 3TG that may be in our supply chain and their RMAP Conformance status is provided below:

70% (106) of the known gold refiners that may be in our supply chain are listed as Conformant (102) or Active (4) (as defined on Appendix A).

100% (40) of the known tantalum smelters that may be in our supply chain are listed as Conformant.


90% (74) of the known tin smelters that may be in our supply chain are listed as Conformant (72) or Active (2).

93% (41) of the known tungsten smelters that may be in our supply chain are listed as Conformant (40) or Active (1).

Not all of the smelters and refiners listed on the CMRTs that we received may have processed the necessary 3TG contained in Juniper’s in-scope products, since, as noted earlier in this Report, many of the Surveyed Suppliers reported their CMRT at a “company-level”. In addition, Surveyed Suppliers may have also reported smelters and refiners that were not in Juniper’s supply chain due to over-inclusiveness of the information received from their suppliers or for other reasons. Finally, the smelters and refiners reflected in Appendix A may not include all of the smelters and refiners in Juniper’s supply chain, since 54% of the Surveyed Suppliers indicated that they received information regarding their supply chains from less than 75% of their suppliers, and therefore the Surveyed Suppliers may not have identified all smelters and refiners in their supply chains, and because 4% of the Surveyed Suppliers did not respond to Juniper’s inquiries.

As of the date of this Report and for the reporting period covered by this Report, we have not identified a supplier, smelter or refiner that we have reason to believe is sourcing 3TG contained in our in-scope products that is directly or indirectly financing or benefiting an armed group. However, we have not determined that any of our products are “DRC conflict-free.”

Country of Origin Information and Efforts to Determine Mine Location

The identified countries of origin of the 3TG processed by the Conformant smelters and refiners listed in the table in Appendix A may have included the countries in the categories listed below, as well as other countries. The listed countries of origin are derived from information made available by the RMI to its members. Except for the DRC, the RMI does not indicate individual countries of origin of the 3TG processed by Conformant smelters and refiners. Instead, the RMI indicates country of origin by category: L1, L2, and L3. The categories are based on sourcing risk, as indicated below.

L1—Countries that are not identified as conflict regions or plausible areas of smuggling or export of 3TG from the Covered Countries. Countries of origin include: Argentina, Armenia, Australia, Austria, Azerbaijan, Benin, Bolivia, Botswana, Brazil, Burkina Faso, Canada, Chile, China, Colombia, Cyprus, Dominican Republic, Ecuador, Egypt, Eritrea, Ethiopia, Finland, Georgia, Ghana, Guatemala, Guinea, Guyana, Honduras, India, Indonesia, Ivory Coast, Kazakhstan, Kyrgyzstan, Laos, Lebanon, Madagascar, Malaysia, Mali, Mauritania, Mauritius, Mexico, Mongolia, Morocco, Myanmar, Namibia, Nicaragua, Niger, Nigeria, Papua New Guinea, Peru, Philippines, Portugal, Puerto Rico, Russian Federation, Saudi Arabia, Senegal, Sierra Leone, Slovakia, Solomon Islands, Spain, Suriname, Swaziland, Sweden, Taiwan, Thailand, Togo, Turkey, United Kingdom of Great Britain and Northern Ireland, United States of America, Uruguay, Uzbekistan, Venezuela and Zimbabwe.

L2—Countries that are known or plausible countries for smuggling, export out of region or transit of materials containing 3TG. Countries of origin include: Kenya, Mozambique and South Africa.

L3—The DRC and its nine adjoining countries. Countries of origin include: Burundi, Democratic Republic of the Congo, Rwanda, Tanzania, Uganda and Zambia.

Alternatively, or in addition, some of the Conformant smelters and refiners did source or may have sourced from recycled or scrap sources.

Because the RMI generally does not indicate individual countries of origin of the 3TG processed by Conformant smelters and refiners, Juniper was not able to determine the countries of origin of the 3TG processed by the listed Conformant smelters and refiners with greater specificity. In addition, for some of the listed Conformant smelters and refiners, origin information is not disclosed by the RMI. Juniper did not determine the countries of origin of the 3TG processed by other smelters and refiners listed on Appendix A.

Juniper endeavored to determine the mine or location of origin of the necessary 3TG contained in its in-scope products by conducting a supply-chain survey with suppliers using the CMRT and through the information made available by the RMI to its members, as well as the other measures described in this Report.

Forward-Looking Disclaimer

This Report, including the section entitled “Future Steps to Mitigate Risk”, contains forward-looking statements within the meaning of the Private Securities Litigation Reform Act of 1995 regarding our business, products and 3TG compliance efforts, including steps we intend to take to mitigate the risk that the 3TGs in our products benefit armed groups, and the industry’s 3TG-related compliance efforts. Words such as “expects,” “anticipates,” “targets,” “goals,” “projects,” “would,” “could,” “intends,” “plans,” “believes,” “seeks,” “estimates,” variations of such words, and similar expressions are intended to identify such forward-looking statements. Forward-looking statements by their nature address matters that are, to different degrees, uncertain, and these forward-looking statements are only predictions and are subject to risks, uncertainties, and assumptions that are difficult to predict. While forward-looking statements in this Report are based on reasonable expectations of our management at the time that they are made, you should not rely on them. Forward-looking statements are inherently subject to risks and uncertainties and actual results and outcomes may differ materially from the results and outcomes discussed in or anticipated by the forward-looking statements. Factors that could cause or contribute to such differences in results and outcomes include, without limitation, the risk that information reported to us by our direct suppliers or industry information used by us may be inaccurate; the risk that smelters or refiners may not participate in the RMAP; political and regulatory developments, whether in the Covered Countries, the United States or elsewhere; as well as risks discussed under the heading “Risk Factors” in our most recent Annual Report on 10-K or subsequent Quarterly Report on Form 10-Q and in other reports we file with the SEC. Readers are urged not to place undue reliance on these forward-looking statements, which speak only as of the date of this Report. We undertake no obligation to revise or update any forward-looking statements in order to reflect any event or circumstance that may arise after the date of this Report.


Appendix A

Smelters and Refiners List

The below table lists the known smelters or refiners that were identified by the Surveyed Suppliers through their CMRTs and that are, as of May 7, 2019, listed on the RMI’s list of known smelters and refiners. This list includes the Metal, Standard Smelter Name, Smelter Facility Location, Smelter ID, and RMI Audit Status. As indicated in the Report to which this Appendix is attached, this list has been created based on Surveyed Supplier responses. Not all of the smelters and refiners listed on CMRTs that we received may have processed the necessary 3TG contained in Juniper’s in-scope products, since many of the Surveyed Suppliers reported their CMRT at a “company-level”. In addition, this list may include reported smelters and refiners that were not in Juniper’s supply chain due to over-inclusiveness of the information received from Surveyed Suppliers or for other reasons. The smelters and refiners listed below may not include all of the smelters and refiners in Juniper’s supply chain, since 54% of the Surveyed Suppliers indicated that they received information regarding their supply chains from less than 75% of their suppliers and therefore the Surveyed Suppliers may not have identified all smelters or refiners in their supply chain, and because 4% of Surveyed Suppliers did not respond to Juniper’s inquiries. To address these gaps, Juniper intends to implement the actions discussed in the “Future Steps to Mitigate Risk” section.

 

*

RMI Audit Status is as of May 7, 2019. For purposes of this table, “Conformant” denotes that the smelter or refiner participates in and has been listed as “conformant” by the RMAP, including those indicated as “re-audit in progress,” and “Active” denotes that the smelter or refiner is a participant in the RMAP and has committed to undergo an RMAP assessment. “Not Enrolled” means that the smelter or refiner is listed on the Smelter Look-up tab of the CMRT but is not Conformant or Active. Smelter and refiner status reflected in this Appendix is based solely on information made publicly available by the RMI, without independent verification by Juniper.

 

Metal

  

Standard Smelter Name

 

Smelter Facility Location

 

Smelter ID

  

RMI Audit Status*

Gold    Advanced Chemical Company   UNITED STATES   CID000015    Conformant
Gold    Aida Chemical Industries Co., Ltd.   JAPAN   CID000019    Conformant
Gold    Allgemeine Gold-und Silberscheideanstalt A.G.   GERMANY   CID000035    Conformant
Gold    Almalyk Mining and Metallurgical Complex (AMMC)   UZBEKISTAN   CID000041    Conformant
Gold    AngloGold Ashanti Córrego do Sítio Mineração   BRAZIL   CID000058    Conformant
Gold    Argor-Heraeus S.A.   SWITZERLAND   CID000077    Conformant
Gold    Asahi Pretec Corp.   JAPAN   CID000082    Conformant
Gold    Asaka Riken Co., Ltd.   JAPAN   CID000090    Conformant
Gold    Aurubis AG   GERMANY   CID000113    Conformant
Gold    Bangko Sentral ng Pilipinas (Central Bank of the Philippines)   PHILIPPINES   CID000128    Conformant
Gold    Boliden AB   SWEDEN   CID000157    Conformant
Gold    C. Hafner GmbH + Co. KG   GERMANY   CID000176    Conformant
Gold    CCR Refinery—Glencore Canada Corporation   CANADA   CID000185    Conformant
Gold    Cendres + Métaux S.A.   SWITZERLAND   CID000189    Conformant
Gold    Chimet S.p.A.   ITALY   CID000233    Conformant
Gold    Daejin Indus Co., Ltd.   KOREA, REPUBLIC OF   CID000328    Conformant
Gold    DSC (Do Sung Corporation)   KOREA, REPUBLIC OF   CID000359    Conformant
Gold    DODUCO Contacts and Refining GmbH   GERMANY   CID000362    Conformant
Gold    Dowa   JAPAN   CID000401    Conformant
Gold    Eco-System Recycling Co., Ltd.   JAPAN   CID000425    Conformant
Gold    OJSC Novosibirsk Refinery   RUSSIAN FEDERATION   CID000493    Conformant
Gold    HeeSung   KOREA, REPUBLIC OF   CID000689    Conformant
Gold    Heimerle + Meule GmbH   GERMANY   CID000694    Conformant
Gold    Heraeus Metals Hong Kong Ltd.   CHINA   CID000707    Conformant
Gold    Heraeus Precious Metals GmbH & Co. KG   GERMANY   CID000711    Conformant


Gold    Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.   CHINA   CID000801    Conformant
Gold    Ishifuku Metal Industry Co., Ltd.   JAPAN   CID000807    Conformant
Gold    Istanbul Gold Refinery   TURKEY   CID000814    Conformant
Gold    Japan Mint   JAPAN   CID000823    Conformant
Gold    Jiangxi Copper Co., Ltd.   CHINA   CID000855    Conformant
Gold    Asahi Refining USA Inc.   UNITED STATES   CID000920    Conformant
Gold    Asahi Refining Canada Ltd.   CANADA   CID000924    Conformant
Gold    JSC Uralelectromed   RUSSIAN FEDERATION   CID000929    Conformant
Gold    JX Nippon Mining & Metals Co., Ltd.   JAPAN   CID000937    Conformant
Gold    Kazzinc   KAZAKHSTAN   CID000957    Conformant
Gold    Kennecott Utah Copper LLC   UNITED STATES   CID000969    Conformant
Gold    Kojima Chemicals Co., Ltd.   JAPAN   CID000981    Conformant
Gold    Kyrgyzaltyn JSC   KYRGYZSTAN   CID001029    Conformant
Gold    LS-NIKKO Copper Inc.   KOREA, REPUBLIC OF   CID001078    Conformant
Gold    Materion   UNITED STATES   CID001113    Conformant
Gold    Matsuda Sangyo Co., Ltd.   JAPAN   CID001119    Conformant
Gold    Metalor Technologies (Suzhou) Ltd.   CHINA   CID001147    Conformant
Gold    Metalor Technologies (Hong Kong) Ltd.   CHINA   CID001149    Conformant
Gold    Metalor Technologies (Singapore) Pte., Ltd.   SINGAPORE   CID001152    Conformant
Gold    Metalor Technologies S.A.   SWITZERLAND   CID001153    Conformant
Gold    Metalor USA Refining Corporation   UNITED STATES   CID001157    Conformant
Gold    Metalúrgica Met-Mex Peñoles S.A. De C.V.   MEXICO   CID001161    Conformant
Gold    Mitsubishi Materials Corporation   JAPAN   CID001188    Conformant
Gold    Mitsui Mining and Smelting Co., Ltd.   JAPAN   CID001193    Conformant
Gold    Moscow Special Alloys Processing Plant   RUSSIAN FEDERATION   CID001204    Conformant
Gold    Nadir Metal Rafineri San. Ve Tic. A.Ş.   TURKEY   CID001220    Conformant
Gold    Nihon Material Co., Ltd.   JAPAN   CID001259    Conformant
Gold    Ohura Precious Metal Industry Co., Ltd.   JAPAN   CID001325    Conformant
Gold    OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)   RUSSIAN FEDERATION   CID001326    Conformant
Gold    PAMP S.A.   SWITZERLAND   CID001352    Conformant
Gold    Prioksky Plant of Non-Ferrous Metals   RUSSIAN FEDERATION   CID001386    Conformant
Gold    PT Aneka Tambang (Persero) Tbk   INDONESIA   CID001397    Conformant
Gold    PX Précinox S.A.   SWITZERLAND   CID001498    Conformant
Gold    Rand Refinery (Pty) Ltd.   SOUTH AFRICA   CID001512    Conformant
Gold    Royal Canadian Mint   CANADA   CID001534    Conformant
Gold    SEMPSA Joyería Platería S.A.   SPAIN   CID001585    Conformant
Gold    Shandong Zhaojin Gold & Silver Refinery Co., Ltd.   CHINA   CID001622    Conformant
Gold    Sichuan Tianze Precious Metals Co., Ltd.   CHINA   CID001736    Conformant
Gold    SOE Shyolkovsky Factory of Secondary Precious Metals   RUSSIAN FEDERATION   CID001756    Conformant
Gold    Solar Applied Materials Technology Corp.   TAIWAN   CID001761    Conformant
Gold    Sumitomo Metal Mining Co., Ltd.   JAPAN   CID001798    Conformant


Gold    Tanaka Kikinzoku Kogyo K.K.   JAPAN   CID001875    Conformant
Gold    The Refinery of Shandong Gold Mining Co., Ltd.   CHINA   CID001916    Conformant
Gold    Tokuriki Honten Co., Ltd.   JAPAN   CID001938    Conformant
Gold    Torecom   KOREA, REPUBLIC OF   CID001955    Conformant
Gold    Umicore Brasil Ltda.   BRAZIL   CID001977    Conformant
Gold    Umicore S.A. Business Unit Precious Metals Refining   BELGIUM   CID001980    Conformant
Gold    United Precious Metal Refining, Inc.   UNITED STATES   CID001993    Conformant
Gold    Valcambi S.A.   SWITZERLAND   CID002003    Conformant
Gold    Western Australian Mint trading as The Perth Mint   AUSTRALIA   CID002030    Conformant
Gold    Yamamoto Precious Metal Co., Ltd.   JAPAN   CID002100    Conformant
Gold    Yokohama Metal Co., Ltd.   JAPAN   CID002129    Conformant
Gold    Zhongyuan Gold Smelter of Zhongjin Gold Corporation   CHINA   CID002224    Conformant
Gold    Gold Refinery of Zijin Mining Group Co., Ltd.   CHINA   CID002243    Conformant
Gold    Umicore Precious Metals Thailand   THAILAND   CID002314    Conformant
Gold    Geib Refining Corporation   UNITED STATES   CID002459    Conformant
Gold    MMTC-PAMP India Pvt., Ltd.   INDIA   CID002509    Conformant
Gold    Republic Metals Corporation   UNITED STATES   CID002510    Conformant
Gold    Singway Technology Co., Ltd.   TAIWAN   CID002516    Conformant
Gold    Al Etihad Gold LLC   UNITED ARAB EMIRATES   CID002560    Conformant
Gold    Emirates Gold DMCC   UNITED ARAB EMIRATES   CID002561    Conformant
Gold    T.C.A S.p.A   ITALY   CID002580    Conformant
Gold    Remondis Argentia B.V.   NETHERLANDS   CID002582    Conformant
Gold    Korea Zinc Co., Ltd.   KOREA, REPUBLIC OF   CID002605    Conformant
Gold    Marsam Metals   BRAZIL   CID002606    Conformant
Gold    SAAMP   FRANCE   CID002761    Conformant
Gold    L’Orfebre S.A.   ANDORRA   CID002762    Conformant
Gold    8853 S.p.A.   ITALY   CID002763    Conformant
Gold    Italpreziosi   ITALY   CID002765    Conformant
Gold    SAXONIA Edelmetalle GmbH   GERMANY   CID002777    Conformant
Gold    WIELAND Edelmetalle GmbH   GERMANY   CID002778    Conformant
Gold    Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH   AUSTRIA   CID002779    Conformant
Gold    AU Traders and Refiners   SOUTH AFRICA   CID002850    Conformant
Gold    SungEel HiTech   KOREA, REPUBLIC OF   CID002918    Conformant
Gold    Planta Recuperadora de Metales SpA   CHILE   CID002919    Conformant
Gold    Safimet S.p.A   ITALY   CID002973    Conformant
Gold    DS PRETECH Co., Ltd.   KOREA, REPUBLIC OF   CID003195    Conformant
Gold    Chugai Mining   JAPAN   CID000264    Active
Gold    KGHM Polska Miedz Spolka Akcyjna   POLAND   CID002511    Active
Gold    Bangalore Refinery   INDIA   CID002863    Active
Gold    NH Recytech Company   KOREA, REPUBLIC OF   CID003189    Active


Gold    Atasay Kuyumculuk Sanayi Ve Ticaret A.S.   TURKEY   CID000103    Not Enrolled
Gold    Caridad   MEXICO   CID000180    Not Enrolled
Gold    Yunnan Copper Industry Co., Ltd.   CHINA   CID000197    Not Enrolled
Gold    Daye Non-Ferrous Metals Mining Ltd.   CHINA   CID000343    Not Enrolled
Gold    Refinery of Seemine Gold Co., Ltd.   CHINA   CID000522    Not Enrolled
Gold    Guoda Safina High-Tech Environmental Refinery Co., Ltd.   CHINA   CID000651    Not Enrolled
Gold    Hangzhou Fuchunjiang Smelting Co., Ltd.   CHINA   CID000671    Not Enrolled
Gold    Hunan Chenzhou Mining Co., Ltd.   CHINA   CID000767    Not Enrolled
Gold    Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd.   CHINA   CID000773    Not Enrolled
Gold    Hwasung CJ Co., Ltd.   KOREA, REPUBLIC OF   CID000778    Not Enrolled
Gold    JSC Ekaterinburg Non-Ferrous Metal Processing Plant   RUSSIAN FEDERATION   CID000927    Not Enrolled
Gold    Kazakhmys Smelting LLC   KAZAKHSTAN   CID000956    Not Enrolled
Gold    L’azurde Company For Jewelry   SAUDI ARABIA   CID001032    Not Enrolled
Gold    Lingbao Gold Co., Ltd.   CHINA   CID001056    Not Enrolled
Gold    Lingbao Jinyuan Tonghui Refinery Co., Ltd.   CHINA   CID001058    Not Enrolled
Gold    Luoyang Zijin Yinhui Gold Refinery Co., Ltd.   CHINA   CID001093    Not Enrolled
Gold    Navoi Mining and Metallurgical Combinat   UZBEKISTAN   CID001236    Not Enrolled
Gold    Penglai Penggang Gold Industry Co., Ltd.   CHINA   CID001362    Not Enrolled
Gold    Sabin Metal Corp.   UNITED STATES   CID001546    Not Enrolled
Gold    Samduck Precious Metals   KOREA, REPUBLIC OF   CID001555    Not Enrolled
Gold    SAMWON Metals Corp.   KOREA, REPUBLIC OF   CID001562    Not Enrolled
Gold    Shandong Tiancheng Biological Gold Industrial Co., Ltd.   CHINA   CID001619    Not Enrolled
Gold    Great Wall Precious Metals Co., Ltd. of CBPM   CHINA   CID001909    Not Enrolled
Gold    Tongling Nonferrous Metals Group Co., Ltd.   CHINA   CID001947    Not Enrolled
Gold    Morris and Watson   NEW ZEALAND   CID002282    Not Enrolled
Gold    SAFINA A.S.   CZECH REPUBLIC   CID002290    Not Enrolled
Gold    Guangdong Jinding Gold Limited   CHINA   CID002312    Not Enrolled
Gold    Fidelity Printers and Refiners Ltd.   ZIMBABWE   CID002515    Not Enrolled
Gold    Shangdong Humon Smelting Co., Ltd.   CHINA   CID002525    Not Enrolled
Gold    Kaloti Precious Metals   UNITED ARAB EMIRATES   CID002563    Not Enrolled
Gold    Sudan Gold Refinery   SUDAN   CID002567    Not Enrolled
Gold    Tony Goetz NV   BELGIUM   CID002587    Not Enrolled
Gold    TOO Tau-Ken-Altyn   KAZAKHSTAN   CID002615    Not Enrolled
Gold    Abington Reldan Metals, LLC   UNITED STATES   CID002708    Not Enrolled
Gold    GCC Gujrat Gold Centre Pvt. Ltd.   INDIA   CID002852    Not Enrolled
Gold    Sai Refinery   INDIA   CID002853    Not Enrolled
Gold    Universal Precious Metals Refining Zambia   ZAMBIA   CID002854    Not Enrolled
Gold    Modeltech Sdn Bhd   MALAYSIA   CID002857    Not Enrolled
Gold    Kyshtym Copper-Electrolytic Plant ZAO   RUSSIAN FEDERATION   CID002865    Not Enrolled
Gold    Morris and Watson Gold Coast   AUSTRALIA   CID002866    Not Enrolled
Gold    Degussa Sonne / Mond Goldhandel GmbH   GERMANY   CID002867    Not Enrolled


Gold    Pease & Curren   UNITED STATES   CID002872    Not Enrolled
Gold    State Research Institute Center for Physical Sciences and Technology   LITHUANIA   CID003153    Not Enrolled
Gold    African Gold Refinery   UGANDA   CID003185    Not Enrolled
Gold    QG Refining, LLC   UNITED STATES OF AMERICA   CID003324    Not Enrolled
Tantalum    Asaka Riken Co., Ltd.   JAPAN   CID000092    Conformant
Tantalum    Changsha South Tantalum Niobium Co., Ltd.   CHINA   CID000211    Conformant
Tantalum    Guangdong Rising Rare Metals-EO Materials Ltd.   CHINA   CID000291    Conformant
Tantalum    Exotech Inc.   UNITED STATES   CID000456    Conformant
Tantalum    F&X Electro-Materials Ltd.   CHINA   CID000460    Conformant
Tantalum    Guangdong Zhiyuan New Material Co., Ltd.   CHINA   CID000616    Conformant
Tantalum    JiuJiang JinXin Nonferrous Metals Co., Ltd.   CHINA   CID000914    Conformant
Tantalum    Jiujiang Tanbre Co., Ltd.   CHINA   CID000917    Conformant
Tantalum    LSM Brasil S.A.   BRAZIL   CID001076    Conformant
Tantalum    Metallurgical Products India Pvt., Ltd.   INDIA   CID001163    Conformant
Tantalum    Mineracao Taboca S.A.   BRAZIL   CID001175    Conformant
Tantalum    Mitsui Mining and Smelting Co., Ltd.   JAPAN   CID001192    Conformant
Tantalum    NPM Silmet AS   ESTONIA   CID001200    Conformant
Tantalum    Ningxia Orient Tantalum Industry Co., Ltd.   CHINA   CID001277    Conformant
Tantalum    QuantumClean   UNITED STATES   CID001508    Conformant
Tantalum    RFH Tantalum Smeltry Co., Ltd.   CHINA   CID001522    Conformant
Tantalum    Solikamsk Magnesium Works OAO   RUSSIAN FEDERATION   CID001769    Conformant
Tantalum    Taki Chemicals   JAPAN   CID001869    Conformant
Tantalum    Telex Metals   UNITED STATES   CID001891    Conformant
Tantalum    Ulba Metallurgical Plant JSC   KAZAKHSTAN   CID001969    Conformant
Tantalum    Hengyang King Xing Lifeng New Materials Co., Ltd.   CHINA   CID002492    Conformant
Tantalum    D Block Metals, LLC   UNITED STATES   CID002504    Conformant
Tantalum    FIR Metals & Resource Ltd.   CHINA   CID002505    Conformant
Tantalum    Jiujiang Zhongao Tantalum & Niobium Co., Ltd.   CHINA   CID002506    Conformant
Tantalum    XinXing HaoRong Electronic Material Co., Ltd.   CHINA   CID002508    Conformant
Tantalum    Jiangxi Dinghai Tantalum & Niobium Co., Ltd.   CHINA   CID002512    Conformant
Tantalum    KEMET Blue Metals   MEXICO   CID002539    Conformant
Tantalum    H.C. Starck Co., Ltd.   THAILAND   CID002544    Conformant
Tantalum    H.C. Starck Tantalum and Niobium GmbH   GERMANY   CID002545    Conformant
Tantalum    H.C. Starck Hermsdorf GmbH   GERMANY   CID002547    Conformant
Tantalum    H.C. Starck Inc.   UNITED STATES   CID002548    Conformant
Tantalum    H.C. Starck Ltd.   JAPAN   CID002549    Conformant
Tantalum    H.C. Starck Smelting GmbH & Co. KG   GERMANY   CID002550    Conformant
Tantalum    Global Advanced Metals Boyertown   UNITED STATES   CID002557    Conformant
Tantalum    Global Advanced Metals Aizu   JAPAN   CID002558    Conformant
Tantalum    KEMET Blue Powder   UNITED STATES   CID002568    Conformant
Tantalum    Resind Industria e Comercio Ltda.   BRAZIL   CID002707    Conformant


Tantalum    Jiangxi Tuohong New Raw Material   CHINA   CID002842    Conformant
Tantalum    Power Resources Ltd.   MACEDONIA   CID002847    Conformant
Tantalum    Jiujiang Janny New Material Co., Ltd.   CHINA   CID003191    Conformant
Tin    Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.   CHINA   CID000228    Conformant
Tin    Alpha   UNITED STATES   CID000292    Conformant
Tin    CV Gita Pesona   INDONESIA   CID000306    Conformant
Tin    PT Aries Kencana Sejahtera   INDONESIA   CID000309    Conformant
Tin    PT Premium Tin Indonesia   INDONESIA   CID000313    Conformant
Tin    CV United Smelting   INDONESIA   CID000315    Conformant
Tin    Dowa   JAPAN   CID000402    Conformant
Tin    EM Vinto   BOLIVIA   CID000438    Conformant
Tin    Fenix Metals   POLAND   CID000468    Conformant
Tin    Gejiu Non-Ferrous Metal Processing Co., Ltd.   CHINA   CID000538    Conformant
Tin    Gejiu Zili Mining And Metallurgy Co., Ltd.   CHINA   CID000555    Conformant
Tin    Huichang Jinshunda Tin Co., Ltd.   CHINA   CID000760    Conformant
Tin    Gejiu Kai Meng Industry and Trade LLC   CHINA   CID000942    Conformant
Tin    China Tin Group Co., Ltd.   CHINA   CID001070    Conformant
Tin    Malaysia Smelting Corporation (MSC)   MALAYSIA   CID001105    Conformant
Tin    Metallic Resources, Inc.   UNITED STATES   CID001142    Conformant
Tin    Mineracao Taboca S.A.   BRAZIL   CID001173    Conformant
Tin    Minsur   PERU   CID001182    Conformant
Tin    Mitsubishi Materials Corporation   JAPAN   CID001191    Conformant
Tin    Jiangxi New Nanshan Technology Ltd.   CHINA   CID001231    Conformant
Tin    O.M. Manufacturing (Thailand) Co., Ltd.   THAILAND   CID001314    Conformant
Tin    Operaciones Metalurgical S.A.   BOLIVIA   CID001337    Conformant
Tin    PT Artha Cipta Langgeng   INDONESIA   CID001399    Conformant
Tin    PT Babel Inti Perkasa   INDONESIA   CID001402    Conformant
Tin    PT Babel Surya Alam Lestari   INDONESIA   CID001406    Conformant
Tin    PT Bangka Tin Industry   INDONESIA   CID001419    Conformant
Tin    PT Belitung Industri Sejahtera   INDONESIA   CID001421    Conformant
Tin    PT Bukit Timah   INDONESIA   CID001428    Conformant
Tin    PT DS Jaya Abadi   INDONESIA   CID001434    Conformant
Tin    PT Karimun Mining   INDONESIA   CID001448    Conformant
Tin    PT Mitra Stania Prima   INDONESIA   CID001453    Conformant
Tin    PT Panca Mega Persada   INDONESIA   CID001457    Conformant
Tin    PT Prima Timah Utama   INDONESIA   CID001458    Conformant
Tin    PT Refined Bangka Tin   INDONESIA   CID001460    Conformant
Tin    PT Sariwiguna Binasentosa   INDONESIA   CID001463    Conformant
Tin    PT Stanindo Inti Perkasa   INDONESIA   CID001468    Conformant
Tin    PT Sumber Jaya Indah   INDONESIA   CID001471    Conformant
Tin    PT Timah (Persero) Tbk Kundur   INDONESIA   CID001477    Conformant


Tin    PT Timah (Persero) Tbk Mentok   INDONESIA   CID001482    Conformant
Tin    PT Tinindo Inter Nusa   INDONESIA   CID001490    Conformant
Tin    PT Tommy Utama   INDONESIA   CID001493    Conformant
Tin    Rui Da Hung   TAIWAN   CID001539    Conformant
Tin    Soft Metais Ltda.   BRAZIL   CID001758    Conformant
Tin    Thaisarco   THAILAND   CID001898    Conformant
Tin    Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.   CHINA   CID001908    Conformant
Tin    White Solder Metalurgia e Mineração Ltda.   BRAZIL   CID002036    Conformant
Tin    Yunnan Chengfeng Non-ferrous Metals Co., Ltd.   CHINA   CID002158    Conformant
Tin    Yunnan Tin Company Limited   CHINA   CID002180    Conformant
Tin    CV Venus Inti Perkasa   INDONESIA   CID002455    Conformant
Tin    Magnu’s Minerais Metais e Ligas Ltda.   BRAZIL   CID002468    Conformant
Tin    PT Tirus Putra Mandiri   INDONESIA   CID002478    Conformant
Tin    Melt Metais e Ligas S.A.   BRAZIL   CID002500    Conformant
Tin    PT ATD Makmur Mandiri Jaya   INDONESIA   CID002503    Conformant
Tin    O.M. Manufacturing Philippines, Inc.   PHILIPPINES   CID002517    Conformant
Tin    PT Inti Stania Prima   INDONESIA   CID002530    Conformant
Tin    CV Ayi Jaya   INDONESIA   CID002570    Conformant
Tin    CV Dua Sekawan   INDONESIA   CID002592    Conformant
Tin    CV Tiga Sekawan   INDONESIA   CID002593    Conformant
Tin    Resind Industria e Comercio Ltda.   BRAZIL   CID002706    Conformant
Tin    Metallo Belgium N.V.   BELGIUM   CID002773    Conformant
Tin    Metallo Spain S.L.U.   SPAIN   CID002774    Conformant
Tin    PT Bangka Prima Tin   INDONESIA   CID002776    Conformant
Tin    PT Sukses Inti Makmur   INDONESIA   CID002816    Conformant
Tin    PT Kijang Jaya Mandiri   INDONESIA   CID002829    Conformant
Tin    PT Menara Cipta Mulia   INDONESIA   CID002835    Conformant
Tin    Gejiu Fengming Metallurgy Chemical Plant   CHINA   CID002848    Conformant
Tin    Guanyang Guida Nonferrous Metal Smelting Plant   CHINA   CID002849    Conformant
Tin    Modeltech Sdn Bhd   MALAYSIA   CID002858    Conformant
Tin    Guangdong Hanhe Non-ferrous Metal Limited Company   CHINA   CID003116    Conformant
Tin    Chifeng Dajingzi Tin Industry Co., Ltd.   CHINA   CID003190    Conformant
Tin    PT Bangka Serumpun   INDONESIA   CID003205    Conformant
Tin    Tin Technology & Refining   UNITED STATES OF AMERICA   CID003325    Conformant
Tin    Dongguan CiEXPO Environmental Engineering Co., Ltd.   CHINA   CID003356    Active
Tin    PT Rajawali Rimba Perkasa   INDONESIA   CID003381    Active
Tin    Estanho de Rondônia S.A.   BRAZIL   CID000448    Not Enrolled
Tin    Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company   VIETNAM   CID002572    Not Enrolled
Tin    Nghe Tinh Non-Ferrous Metals Joint Stock Company   VIETNAM   CID002573    Not Enrolled
Tin    Tuyen Quang Non-Ferrous Metals Joint Stock Company   VIETNAM   CID002574    Not Enrolled
Tin    An Vinh Joint Stock Mineral Processing Company   VIETNAM   CID002703    Not Enrolled


Tin    Super Ligas   BRAZIL   CID002756    Not Enrolled
Tin    HuiChang Hill Tin Industry Co., Ltd.   CHINA   CID002844    Not Enrolled
Tin    Pongpipat Company Limited   MYANMAR   CID003208    Not Enrolled
Tungsten    A.L.M.T. TUNGSTEN Corp.   JAPAN   CID000004    Conformant
Tungsten    Kennametal Huntsville   UNITED STATES   CID000105    Conformant
Tungsten    Guangdong Xianglu Tungsten Co., Ltd.   CHINA   CID000218    Conformant
Tungsten    Chongyi Zhangyuan Tungsten Co., Ltd.   CHINA   CID000258    Conformant
Tungsten    Fujian Jinxin Tungsten Co., Ltd.   CHINA   CID000499    Conformant
Tungsten    Global Tungsten & Powders Corp.   UNITED STATES   CID000568    Conformant
Tungsten    Hunan Chenzhou Mining Co., Ltd.   CHINA   CID000766    Conformant
Tungsten    Hunan Chunchang Nonferrous Metals Co., Ltd.   CHINA   CID000769    Conformant
Tungsten    Japan New Metals Co., Ltd.   JAPAN   CID000825    Conformant
Tungsten    Ganzhou Huaxing Tungsten Products Co., Ltd.   CHINA   CID000875    Conformant
Tungsten    Kennametal Fallon   UNITED STATES   CID000966    Conformant
Tungsten    Tejing (Vietnam) Tungsten Co., Ltd.   VIETNAM   CID001889    Conformant
Tungsten    Wolfram Bergbau und Hütten AG   AUSTRIA   CID002044    Conformant
Tungsten    Xiamen Tungsten Co., Ltd.   CHINA   CID002082    Conformant
Tungsten    Xinhai Rendan Shaoguan Tungsten Co., Ltd.   CHINA   CID002095    Conformant
Tungsten    Ganzhou Jiangwu Ferrotungsten Co., Ltd.   CHINA   CID002315    Conformant
Tungsten    Jiangxi Yaosheng Tungsten Co., Ltd.   CHINA   CID002316    Conformant
Tungsten    Jiangxi Xinsheng Tungsten Industry Co., Ltd.   CHINA   CID002317    Conformant
Tungsten    Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.   CHINA   CID002318    Conformant
Tungsten    Malipo Haiyu Tungsten Co., Ltd.   CHINA   CID002319    Conformant
Tungsten    Xiamen Tungsten (H.C.) Co., Ltd.   CHINA   CID002320    Conformant
Tungsten    Jiangxi Gan Bei Tungsten Co., Ltd.   CHINA   CID002321    Conformant
Tungsten    Ganzhou Seadragon W & Mo Co., Ltd.   CHINA   CID002494    Conformant
Tungsten    Asia Tungsten Products Vietnam Ltd.   VIETNAM   CID002502    Conformant
Tungsten    Chenzhou Diamond Tungsten Products Co., Ltd.   CHINA   CID002513    Conformant
Tungsten    H.C. Starck Tungsten GmbH   GERMANY   CID002541    Conformant
Tungsten    H.C. Starck Smelting GmbH & Co.KG   GERMANY   CID002542    Conformant
Tungsten    Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC   VIETNAM   CID002543    Conformant
Tungsten    Jiangwu H.C. Starck Tungsten Products Co., Ltd.   CHINA   CID002551    Conformant
Tungsten    Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji   CHINA   CID002579    Conformant
Tungsten    Niagara Refining LLC   UNITED STATES   CID002589    Conformant
Tungsten    Ganzhou Haichuang Tungsten Co., Ltd.   CHINA   CID002645    Conformant
Tungsten    Hydrometallurg, JSC   RUSSIAN FEDERATION   CID002649    Conformant
Tungsten    Unecha Refractory metals plant   RUSSIAN FEDERATION   CID002724    Conformant
Tungsten    South-East Nonferrous Metal Company Limited of Hengyang City   CHINA   CID002815    Conformant
Tungsten    Philippine Chuangxin Industrial Co., Inc.   PHILIPPINES   CID002827    Conformant
Tungsten    Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.   CHINA   CID002830    Conformant
Tungsten    ACL Metais Eireli   BRAZIL   CID002833    Conformant


Tungsten    Woltech Korea Co., Ltd.   KOREA, REPUBLIC OF   CID002843    Conformant
Tungsten    Moliren Ltd   RUSSIAN FEDERATION   CID002845    Conformant
Tungsten    Hunan Litian Tungsten Industry Co., Ltd.   CHINA   CID003182    Active
Tungsten    Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.   CHINA   CID002313    Not Enrolled
Tungsten    Ganzhou Yatai Tungsten Co., Ltd.   CHINA   CID002536    Not Enrolled
Tungsten    Jiangxi Dayu Longxintai Tungsten Co., Ltd.   CHINA   CID002647    Not Enrolled