Exhibit 1.01

Conflict Minerals Report

For the Year Ended December 31, 2023

This Conflict Minerals Report (this “Report” or “CMR”) for Intevac, Inc. (the “Company”) covers the reporting period from January 1, 2023 to December 31, 2023, and is presented in accordance with Rule 13p-1 promulgated under the Securities Exchange Act or 1934, as amended (“Rule 13p-1”).

This Report is filed as Exhibit 1.01 to the Company’s Specialized Disclosure Report on Form SD (the “Form”), and a copy of this Report and the Form are publicly available at www.intevac.com.

Introduction

In 2010, the United States enacted the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Act”). Section 1502 of the Act is specifically related to conflict minerals and requires the United States Securities and Exchange Commission (“SEC”) to promulgate regulations requiring companies covered under the Act to annually file a Specialized Disclosure Report on Form SD with the SEC disclosing whether certain specified conflict minerals (as defined below) used in their products directly or indirectly benefitted armed groups in the Democratic Republic of the Congo and adjoining countries (collectively, the “Covered Countries”). This Report, which is an exhibit to the Form, describes the design of Intevac’s conflict minerals due diligence measures and provides an account of how these measures were implemented in 2023 to determine, to our knowledge, the source mines, the county of origin and the facilities used to process the conflict minerals used in our products. For purposes of this Report, “Conflict Minerals” are defined as cassiterite, columbite-tantalite (coltan), gold, wolframite, or their derivatives, which is limited to tin, tantalum, tungsten, and gold (“3TG”).

Our products covered by this Report are listed in the table below.

 

Product		Description
Thin-film Equipment (“TFE”) Products:
200Lean®, technology upgrades and spare parts.		Hard disk drive manufacturing equipment

Reasonable Country of Origin Inquiry Process

In accordance with Rule 13p-1 and Form SD, Intevac determined that 3TG are necessary to the functionality or production of our products, and are incorporated into our products during the manufacturing process. Accordingly, Intevac was required to undertake a reasonable country of origin inquiry (“RCOI”) with respect to conflict minerals that is reasonably designed to determine whether any of the Conflict Minerals originated in the Covered Countries. In designing our RCOI, Intevac employed a combination of measures to determine whether the 3TG in Intevac’s products originated from the Covered Countries, and surveyed direct and certain sub-tier suppliers of raw materials and components that contain 3TG.

RCOI for the 2023 Reporting Year

For 2023, Intevac conducted a supply-chain survey with its direct suppliers and certain sub-tier suppliers, which are primarily related to the Company’s printed circuit board and cable assembly suppliers. The survey was conducted by using the Conflict Mineral Report Template or “CMRT,” developed by the Responsible Minerals Initiative (“RMI”). The CMRT requests suppliers to identify the smelter or refiners (“SORs”) and countries of origin of the 3TG in products they supply to Intevac. In 2023, Intevac contracted with a third party, Source Intelligence, to directly support the project team’s efforts to comply with the requirements of the Act. Source Intelligence is a global leader for supply chain compliance solutions and assists the project team by providing supplier data collection and analysis services. With the assistance of Source Intelligence, we summarized the country of origin information as provided on the CMRTs for the SORs identified by the supply-chain survey.

With the assistance of Source Intelligence, we also compared the SORs identified in the surveys against the lists of facilities which have received a “conflict free” designation by the Responsible Minerals Assurance Process (“RMAP”) or other independent third party audit programs such as the London Bullion Market Association’s (“LBMA”) Responsible Gold Programme and the Responsible Jewellery Council’s (“RJC”) Chain-of-Custody Certification program.

There is significant overlap between our RCOI efforts and our due diligence measures performed. Our due diligence measures performed are discussed further in this Report.

Below is a summary of the country of origin information collected as a result of our RCOI efforts.

 

Conflict Mineral		Countries of origin and other sources may include the following
Tantalum		Australia, Brazil, Burundi, Canada, China, DRC- Congo (Kinshasa), Madagascar, Mozambique and Rwanda
Tin		Australia, Bolivia, Brazil, China, DRC- Congo (Kinshasa), Indonesia, Laos, Malaysia, Myanmar, Nigeria, Peru, Portugal, Russian Federation, Rwanda, Thailand, Uganda and Vietnam
Tungsten		Austria, Brazil, Canada, China, DRC- Congo (Kinshasa), Peru, Portugal, Russian Federation, Rwanda, Thailand and United States
Gold		Australia, Bolivia, Brazil, Canada, Chile, China, Congo (Brazzaville), DRC- Congo (Kinshasa), Finland, Indonesia, Italy, Ivory Coast, Japan, Kazakhstan, Kyrgyzstan, Mexico, Mozambique, Peru, Philippines, Russian Federation, Rwanda, Saudi Arabia, Sierra Leone, South Africa, Spain, Taiwan, Thailand, Turkey, United Kingdom, United States, Uzbekistan, Zambia and Zimbabwe

Due Diligence Process

Design of Due Diligence

In accordance with Rule 13p-1 and the Form, Intevac undertook due diligence on the source and chain of custody of the necessary 3TG used in Intevac Thin-film Equipment (“TFE”) products. In conducting its due diligence, Intevac implemented the Organisation for Economic Co-operation and Development (“OECD”) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (the “OECD Guidance”), an internationally recognized due diligence framework.

Management Systems

Internal Team

The Company’s Conflict Minerals Program is overseen by the Company’s Vice President of Operations. We assembled a conflict minerals project team with representatives from engineering, procurement and finance from our TFE business unit to develop and execute our conflict minerals program. The results of due diligence and compliance processes were addressed by the conflict minerals project team as necessary.

Control Systems

As a manufacturer, Intevac is several levels removed from the actual mining of 3TG. Intevac does not make purchases of raw ore or unrefined 3TG and does not make any direct purchases in the Covered Countries. We used resources available from industry-wide initiatives to obtain sourcing information related to upstream actors in the supply chain, including the RMI.

To establish a system of controls and transparency over the 3TG supply chain, we incorporated into our supplier due diligence procedures a requirement for suppliers to provide information regarding the SORs in their supply chain utilizing the CMRT. We used this information to make the RCOI conclusion in this CMR.

As we typically do not have a direct relationship with 3TG SORs, we rely on our surveyed suppliers to provide us with up-to-date and accurate SOR sourcing information. Our adoption and utilization of the industry standard RMI templates, tools and auditing program aids us in establishing consistency and transparency throughout our supply chain.

Controls include, but are not limited to, our Code of Business Conduct and Ethics which outlines expected behaviors for all Intevac employees and our Conflict Minerals Policy which outlines our commitment to the goal of neither, directly or indirectly, financing or benefitting armed groups in the DRC by purchasing or selling products containing Conflict Minerals.

Supplier Engagement

Intevac includes requirements related to gathering 3TG information in our purchase order terms and conditions for suppliers to encourage greater cooperation by the companies in our supply chain.

We periodically communicate our expectations to our direct suppliers concerning performance, transparency, reporting requirements, and sourcing of materials and components containing 3TG and continue to engage with them to improve the completeness and accuracy of information provided to us.

Grievance Mechanism

Intevac has multiple grievance mechanisms whereby employees and suppliers can report violations of Intevac’s policies including contacting the Company’s Compliance Hotline at 1-855-289-1577.

Records Maintenance

Intevac maintains all relevant documentation from its RCOI survey and from the due diligence process. Supplier information was collected, stored and evaluated using an online platform provided by Source Intelligence.

Identify and Assess Risk in the Supply Chain

Intevac’s Engineering and Procurement groups reviewed Company inventory records for parts/components and active suppliers. Intevac identified 84 suppliers of components containing 3TG in our TFE business. These suppliers represent approximately 19% of Company’s total 2023 direct product-related sourcing expenditures. We rely on these suppliers to provide us with information through the CMRT surveys about the source of 3TG in the components supplied to us. These suppliers are similarly reliant upon information provided by their suppliers.

We obtained an 81% response rate for our CMRT surveys.

Design and Implement a Strategy and Respond to Risks

The Conflict Minerals Project Team undertook the following due diligence measures in 2023:

 

•

Maintained a company grievance mechanism that is available internally and externally to report concerns, including those related to conflict minerals;

 

•

Established the expectation, including through our Conflict Minerals Policy, requesting that suppliers obtain information from their supply chains regarding entities that process necessary conflict minerals and provide that information to us using the CMRT;

 

•

Conducted an internal business review that identified 84 direct and sub-tier suppliers of materials, parts, components or products containing necessary 3TG in 2023, compared to 71 surveyed direct and sub-tier suppliers in 2022, and compared to 73 surveyed direct and sub-tier suppliers in 2021;

 

•

With the assistance of Source Intelligence, sent reminder letters to surveyed suppliers that did not provide a completed CMRT;

 

•

With the assistance of Source Intelligence, reviewed submitted CMRTs and sent follow up questions to surveyed suppliers whose CMRT did not meet our expectations;

 

•

With the assistance of Source Intelligence, reviewed the SORs identified by suppliers in the CMRT against information provided by the RMI to identify the entities;

 

•

With the assistance of Source Intelligence, compared the SORs against the lists of entities that have received a conflict free designation for tantalum, tin, tungsten or gold on the Conflict Free Smelter List (provided by the RMI in April 2024);

 

•

With the assistance of Source Intelligence, compared the gold SORs against the lists of entities that have received a conflict free designation on the LBMA’s Responsible Gold Programme and the RJC’s Chain-of-Custody Certification program; and

 

•

For SORs in our supply chain that did not participate in an audit process in 2023, we performed a risk assessment on the likelihood that the facility was sourcing from the Covered Countries, considering various sources of information, including proximity to the DRC and source mine location information obtained from the CMRTs or reported by the facilities on their websites.

Carry Out Independent Third Party Audit of Supply Chain Due Diligence at Identified Points in the Supply Chain

As noted above, Intevac is several levels removed from the actual mining of 3TG, does not have a direct relationship with SORs, and does not perform direct audits of these entities within its supply chain. However, for SORs in our supply chain that did not participate in an audit process in 2023, Intevac performed a risk assessment on the likelihood that the facility was sourcing from the Covered Countries, and analyzed data that included the SOR’s proximity to the DRC and the source mine location obtained from either the CMRTs or reported by the facilities on their websites.

Reporting on Supply Chain Due Diligence

In 2023, Intevac filed this Form and this Report with the SEC and a copy of this Report and the Form are publicly available at https://ir.intevac.com/websites/intevac/English/3100/us-sec-filings.html.

Findings

The tables below list the SOR information provided by our suppliers:

For calendar year 2023, Intevac identified 224 SORs as potential sources of 3TG that were reported to be in its supply chain at some point during the year. Of those 224 SORs, 169 have been verified as conflict-free as determined through third party verification by the RMAP, LBMA or RJC, and an additional 2 have begun the audit process.

 

SORs verified as conflict-free or in the audit process *
Tantalum			29 of 30	(97%)
Tin			45 of 57	(79%)
Tungsten			24 of 27	(89%)
Gold			73 of 110	(66%)
Total			171 of 224	(76%)

The number of known SORs in Intevac’s supply chain as of December 31, 2023, December 31, 2022 and December 31, 2021 is as follows.

 

Status of identified SORs *		2023				2022				2021
Verified conflict-free			169				168				178
Participating in an audit process			2				3				6
Not participating			53				54				42
Total			224				225				226

See Appendix A for the list of names of the known SORs and the country where the facilities are located.

In addition, a total of 66 “unknown” SORs were identified. SORs are listed as unknown if they are not currently identified on the RMI and/or other lists available to Intevac as of April 30, 2024.

 

Tantalum SORs		Tin SORs		Tungsten SORs		Gold SORs		Total “Unknown” SORs
4		37		4		21		66

The number of known SORs in Intevac’s supply chain as of December 31, 2023 that are determined to source 3TG from the Covered Countries are as follows:

 

Mineral		Number of SORs *		Number of Certified SORs		Identified SOR Locations		Identified Material Origin
Tantalum		19		19		Brazil, China, Germany, Japan, Kazakhstan, Mexico, Thailand and United States		Burundi, DRC- Congo (Kinshasa) and Rwanda
Tin		11		10		Belgium, Bolivia, Brazil, Indonesia, Malaysia, Thailand and Vietnam		DRC- Congo (Kinshasa), Rwanda and Uganda
Tungsten		9		8		China, Germany, Japan, Russian Federation and Vietnam		DRC- Congo (Kinshasa) and Rwanda
Gold		9		7		Canada, China, Japan, Republic of Korea, Russian Federation, South Africa and Uzbekistan		Congo (Brazzaville), DRC- Congo (Kinshasa), Rwanda and Zambia
Total		48		44

 

*

Not all the facilities in the tables above or those identified in Appendix A processed materials that were used in Intevac’s products. Many suppliers reported information at the “company” level (meaning that they reported all of the SORs that processed 3TG in all of their products, not just those pertaining to the products sold to Intevac).

Conclusion

Based on the information obtained pursuant to the good faith RCOI and due diligence processes described above, for 2023, we do not have sufficient information with respect to the 3TG to determine the country of origin of all of the 3TG we use to manufacture our products and thus are unable to determine whether any of the 3TG originated in the Covered Countries and, if so, whether the 3TG were from recycled or scrap sources, financed conflict in the Covered Countries or did not finance conflict in the Covered Countries. Due to the complexity of our products and supply chain, it will take time for many of our suppliers to verify the origin of all of the minerals and at a product level specific to the materials and components used in our products. Using our supply chain due diligence processes, we hope to further develop transparency into our supply chain.

Despite our efforts to follow up with our suppliers, we did not receive responses from all surveyed suppliers. In addition, we encountered the following challenges in obtaining and analyzing the responses we received:

 

•

We are dependent on information received from our direct suppliers to conduct our good faith RCOI process;

 

•

Many suppliers provided responses at a company or divisional level, and not at a product level specific to the materials and components we use in our products;

 

•

None of our suppliers confirmed that the 3TG from any disclosed SORs was integrated into components/parts supplied to Intevac;

 

•

Certain suppliers were unable or unwilling to specify the SORs used for materials and components supplied to Intevac; and

 

•

Certain of the SORs reported to Intevac are “unknown.”

As a result, we have not been able to identify all of the SORs from which our suppliers sourced 3TG.

Efforts to Determine Mine Location

For 2023, our efforts to determine the mines of origin were limited to information obtained from the CMRTs or reported by the facilities on their websites. Source Intelligence attempts to contact the SOR to gain more information about their sourcing practices, including countries of origin and transfer, and whether there are any internal due diligence procedures in place or other processes the SOR takes to track the chain-of-custody on the source of its mineral ores. Relevant information to review includes: whether the SOR has a documented, effective and communicated conflict-free policy, an accounting system to support a mass balance of materials processed, and traceability documentation. Internet research is also performed to determine whether there are any outside sources of information regarding the SOR’s sourcing practices. Up to three contact attempts are made by Source Intelligence to SORs to gather information on mine country of origin and sourcing practices.

Conflict Minerals Policy

Our Conflict Minerals Policy is available at: www.intevac.com. We are committed to minimizing the use of conflict minerals that finance or benefit armed groups. We actively engage with our suppliers to promote responsible sourcing practices and encourage our suppliers to seek conflict-free sources for 3TG used in our products.

Steps to Improve Due Diligence and Mitigate Risk

We will continue to work to increase the response rate of our suppliers and encourage them to complete the CMRT. Our survey response rate was 81% in 2023, 92% in 2022, and 93% in 2021.

We recognize that we have ongoing obligations under the reporting requirements of Rule 13p-1 and our Conflict Minerals Policy, and will seek to take additional steps in 2024 to continue and improve our good faith RCOI and due diligence processes. We expect to take the following steps, among others, to improve our due diligence measures and to further mitigate the risk that the 3TG contained in our products are financing conflict in the Covered Countries:

 

•

Provide continuing education to members of our supply chain management function and our other employees who are involved with 3TG on both the supplier and customer sides of our business;

 

•

Continue to engage with our direct suppliers to improve the completeness and accuracy of information provided to us;

 

•

Continue to clearly communicate expectations to our direct suppliers concerning performance, transparency and sourcing of materials and components containing 3TG;

 

•

Continue educating our direct suppliers about our reporting obligations imposed by Form SD and the SEC regarding Conflict Minerals;

 

•

Continue to compare the list of SORs identified through our good faith RCOI and related due diligence processes to the evolving lists of SORs who have been designated as “conflict free” through independent “conflict free” SOR validation programs: and

 

•

Continue to request that our direct suppliers encourage facilities they have identified in their supply chains to join the RMI and participate in an audit.

Independent Private Sector Audit

An audit was not required for calendar year 2023.

Appendix A

 

Metal		SOR Name		SOR Country		SOR Identification		RMI (a)
Gold		Advanced Chemical Company		United States		CID000015		Conformant		(a)
Gold		Agosi AG		Germany		CID000035		Conformant		(a), (b), (c)
Gold		Aida Chemical Industries Co., Ltd.		Japan		CID000019		Conformant		(a)
Gold		Almalyk Mining and Metallurgical Complex (AMMC)		Uzbekistan		CID000041		Conformant		(a), (b)
Gold		AngloGold Ashanti Corrego do Sitio Mineracao		Brazil		CID000058		Conformant		(a), (b)
Gold		Argor-Heraeus S.A.		Switzerland		CID000077		Conformant		(a), (b)
Gold		Asahi Pretec Corp.		Japan		CID000082		Conformant		(a), (b)
Gold		Asahi Refining Canada Ltd.		Canada		CID000924		Conformant		(a), (b)
Gold		Asahi Refining USA Inc.		United States		CID000920		Conformant		(a), (b)
Gold		Asaka Riken Co., Ltd.		Japan		CID000090		Conformant		(a)
Gold		Atasay Kuyumculuk Sanayi Ve Ticaret A.S.		Turkey		CID000103
Gold		Aurubis AG		Germany		CID000113		Conformant		(a), (b)
Gold		Bangko Sentral ng Pilipinas (Central Bank of the Philippines)		Philippines		CID000128		Conformant		(a), (b)
Gold		Boliden AB		Sweden		CID000157		Conformant		(a), (b)
Gold		C. Hafner GmbH + Co. KG		Germany		CID000176		Conformant		(a), (b), (c)
Gold		Caridad		Mexico		CID000180
Gold		CCR Refinery - Glencore Canada Corporation		Canada		CID000185		Conformant		(a), (b)
Gold		Cendres + Metaux S.A.		Switzerland		CID000189
Gold		Chimet S.p.A.		Italy		CID000233		Conformant		(a), (b)
Gold		Chugai Mining		Japan		CID000264		Conformant		(a)
Gold		Daye Non-Ferrous Metals Mining Ltd.		China		CID000343
Gold		Dowa		Japan		CID000401		Conformant		(a)
Gold		Do Sung Corporation		Republic of Korea		CID000359		Conformant		(a)
Gold		Eco-System Recycling Co., Ltd. East Plant		Japan		CID000425		Conformant		(a)
Gold		Fidelity Printers and Refiners Ltd.		Zimbabwe		CID002515
Gold		Geib Refining Corporation		United States		CID002459
Gold		Gold Refinery of Zijin Mining Group Co., Ltd.		China		CID002243		Conformant		(a), (b)
Gold		Great Wall Precious Metals Co., Ltd. of CBPM		China		CID001909		Conformant		(b)
Gold		Guangdong Jinding Gold Limited		China		CID002312
Gold		Guoda Safina High-Tech Environmental Refinery Co., Ltd.		China		CID000651
Gold		Hangzhou Fuchunjiang Smelting Co., Ltd.		China		CID000671
Gold		Heimerle + Meule GmbH		Germany		CID000694		Conformant		(a), (b)
Gold		Heraeus Germany GmbH Co. KG		Germany		CID000711		Conformant		(a)
Gold		Heraeus Metals Hong Kong Ltd.		China		CID000707		Conformant		(a), (b), (c)
Gold		Hunan Chenzhou Mining Co., Ltd.		China		CID000767
Gold		HwaSeong CJ Co., Ltd.		Republic of Korea		CID000778
Gold		Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.		China		CID000801		Conformant		(a), (b)
Gold		Ishifuku Metal Industry Co., Ltd.		Japan		CID000807		Conformant		(a), (b)
Gold		Istanbul Gold Refinery		Turkey		CID000814		Conformant		(a), (b)
Gold		Japan Mint		Japan		CID000823		Conformant		(a), (b)
Gold		Jiangxi Copper Co., Ltd.		China		CID000855		Conformant		(a), (b)
Gold		JSC Ekaterinburg Non-Ferrous Metal Processing Plant		Russian Federation		CID000927
Gold		JSC Novosibirsk Refinery		Russian Federation		CID000493
Gold		JSC Uralelectromed		Russian Federation		CID000929
Gold		JX Nippon Mining & Metals Co., Ltd.		Japan		CID000937		Conformant		(a), (b)
Gold		Kazakhmys Smelting LLC		Kazakhstan		CID000956
Gold		Kazzinc		Kazakhstan		CID000957		Conformant		(a), (b)
Gold		Kennecott Utah Copper LLC		United States		CID000969		Conformant		(a), (b)
Gold		KGHM Polska Miedz Spolka Akcyjna		Poland		CID002511		Conformant		(a)
Gold		Kojima Chemicals Co., Ltd.		Japan		CID000981		Conformant		(a)
Gold		Kyrgyzaltyn JSC		Kyrgyzstan		CID001029
Gold		L’azurde Company For Jewelry		Saudi Arabia		CID001032
Gold		Lingbao Gold Co., Ltd.		China		CID001056
Gold		Lingbao Jinyuan Tonghui Refinery Co., Ltd.		China		CID001058
Gold		LS-NIKKO Copper Inc.		Republic of Korea		CID001078		Conformant		(a), (b)
Gold		Luoyang Zijin Yinhui Gold Refinery Co., Ltd.		China		CID001093
Gold		Materion		United States		CID001113		Conformant		(a)
Gold		Matsuda Sangyo Co., Ltd.		Japan		CID001119		Conformant		(a), (b)
Gold		Metalor Technologies (Hong Kong) Ltd.		China		CID001149		Conformant		(a), (b), (c)
Gold		Metalor Technologies (Singapore) Pte., Ltd.		Singapore		CID001152		Conformant		(a), (b), (c)
Gold		Metalor Technologies (Suzhou) Ltd.		China		CID001147		Conformant		(a), (c)
Gold		Metalor Technologies S.A.		Switzerland		CID001153		Conformant		(a), (b), (c)
Gold		Metalor USA Refining Corporation		United States		CID001157		Conformant		(a), (b), (c)
Gold		Metalurgica Met-Mex Penoles S.A. De C.V.		Mexico		CID001161		Conformant		(a), (b)
Gold		Mitsubishi Materials Corporation		Japan		CID001188		Conformant		(a), (b)
Gold		Mitsui Mining and Smelting Co., Ltd.		Japan		CID001193		Conformant		(a), (b)
Gold		MKS PAMP SA		Switzerland		CID001352		Conformant		(a), (b)
Gold		MMTC-PAMP India Pvt., Ltd.		India		CID002509		Conformant		(a), (b)
Gold		Morris and Watson		New Zealand		CID002282
Gold		Moscow Special Alloys Processing Plant		Russian Federation		CID001204
Gold		Nadir Metal Rafineri San. Ve Tic. A.S.		Turkey		CID001220		Conformant		(a), (b)
Gold		Navoi Mining and Metallurgical Combinat		Uzbekistan		CID001236		Conformant		(a)
Gold		Nihon Material Co., Ltd.		Japan		CID001259		Conformant		(a), (b)
Gold		Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH		Austria		CID002779		Conformant		(a), (c)
Gold		Ohura Precious Metal Industry Co., Ltd.		Japan		CID001325		Conformant		(a)

Metal		SOR Name		SOR Country		SOR Identification		RMI (a)
Gold		OJSC The Gulidov Krasnoyarsk Non-Ferrous Metals Plant		Russian Federation		CID001326
Gold		Penglai Penggang Gold Industry Co., Ltd.		China		CID001362
Gold		Prioksky Plant of Non-Ferrous Metals		Russian Federation		CID001386
Gold		PT Aneka Tambang (Persero) Tbk		Indonesia		CID001397		Conformant		(a), (b)
Gold		PX Precinox S.A.		Switzerland		CID001498		Conformant		(a), (b)
Gold		Rand Refinery (Pty) Ltd.		South Africa		CID001512		Conformant		(a), (b)
Gold		Refinery of Seemine Gold Co., Ltd.		China		CID000522
Gold		Royal Canadian Mint		Canada		CID001534		Conformant		(a), (b)
Gold		Sabin Metal Corp.		United States		CID001546
Gold		Safimet S.p.A		Italy		CID002973
Gold		Samduck Precious Metals		Republic of Korea		CID001555
Gold		SAMWON METALS Corp.		Republic of Korea		CID001562
Gold		SEMPSA Joyeria Plateria S.A.		Spain		CID001585		Conformant		(a), (b)
Gold		Shandong Gold Smelting Co., Ltd.		China		CID001916		Conformant		(a), (b)
Gold		Shandong Tiancheng Biological Gold Industrial Co., Ltd.		China		CID001619
Gold		Shandong Zhaojin Gold & Silver Refinery Co., Ltd.		China		CID001622		Conformant		(a), (b)
Gold		Singway Technology Co., Ltd.		Taiwan		CID002516
Gold		SOE Shyolkovsky Factory of Secondary Precious Metals		Russian Federation		CID001756
Gold		Solar Applied Materials Technology Corp.		Taiwan		CID001761		Conformant		(a), (b)
Gold		Sumitomo Metal Mining Co., Ltd.		Japan		CID001798		Conformant		(a), (b)
Gold		Super Dragon Technology Co., Ltd.		Taiwan		CID001810
Gold		T.C.A S.p.A		Italy		CID002580		Conformant		(a), (b)
Gold		Tanaka Kikinzoku Kogyo K.K.		Japan		CID001875		Conformant		(a), (b)
Gold		Tokuriki Honten Co., Ltd.		Japan		CID001938		Conformant		(a), (b)
Gold		Tongling Nonferrous Metals Group Co., Ltd.		China		CID001947
Gold		Torecom		Republic of Korea		CID001955		Conformant		(a)
Gold		Umicore Precious Metals Thailand		Thailand		CID002314
Gold		Umicore S.A. Business Unit Precious Metals Refining		Belgium		CID001980		Conformant		(a), (b)
Gold		United Precious Metal Refining, Inc.		United States		CID001993		Conformant		(a)
Gold		Valcambi S.A.		Switzerland		CID002003		Conformant		(a), (b), (c)
Gold		Western Australian Mint (T/a The Perth Mint)		Australia		CID002030		Conformant		(a), (b)
Gold		Yamakin Co., Ltd.		Japan		CID002100		Conformant		(a)
Gold		Yokohama Metal Co., Ltd.		Japan		CID002129		Conformant		(a)
Gold		Yunnan Copper Industry Co., Ltd.		China		CID000197
Gold		Zhongyuan Gold Smelter of Zhongjin Gold Corporation		China		CID002224		Conformant		(a), (b)
Tantalum		AMG Brasil		Brazil		CID001076		Conformant		(a)
Tantalum		Changsha South Tantalum Niobium Co., Ltd.		China		CID000211		Conformant		(a)
Tantalum		F&X Electro-Materials Ltd.		China		CID000460		Conformant		(a)
Tantalum		FIR Metals & Resource Ltd.		China		CID002505		Conformant		(a)
Tantalum		Global Advanced Metals Aizu		Japan		CID002558		Conformant		(a)
Tantalum		Global Advanced Metals Boyertown		United States		CID002557		Conformant		(a)
Tantalum		Guangdong Rising Rare Metals-EO Materials Ltd.		China		CID000291		Conformant		(a)
Tantalum		Hengyang King Xing Lifeng New Materials Co., Ltd.		China		CID002492		Conformant		(a)
Tantalum		JiuJiang JinXin Nonferrous Metals Co., Ltd.		China		CID000914		Conformant		(a)
Tantalum		Jiujiang Tanbre Co., Ltd.		China		CID000917		Conformant		(a)
Tantalum		Jiujiang Zhongao Tantalum & Niobium Co., Ltd.		China		CID002506		Conformant		(a)
Tantalum		KEMET de Mexico		Mexico		CID002539		Conformant		(a)
Tantalum		Materion Newton Inc.		United States		CID002548		Conformant		(a)
Tantalum		Metallurgical Products India Pvt., Ltd.		India		CID001163		Conformant		(a)
Tantalum		Mineracao Taboca S.A.		Brazil		CID001175		Conformant		(a)
Tantalum		Mitsui Mining and Smelting Co., Ltd.		Japan		CID001192		Conformant		(a)
Tantalum		Molycorp Silmet A.S.		Estonia		CID001200		Conformant		(a)
Tantalum		Ningxia Orient Tantalum Industry Co., Ltd.		China		CID001277		Conformant		(a)
Tantalum		QuantumClean		United States		CID001508		Conformant		(a)
Tantalum		Solikamsk Magnesium Works OAO		Russian Federation		CID001769
Tantalum		Taki Chemical Co., Ltd.		Japan		CID001869		Conformant		(a)
Tantalum		TANIOBIS Co., Ltd.		Thailand		CID002544		Conformant		(a)
Tantalum		TANIOBIS GmbH		Germany		CID002545		Conformant		(a)
Tantalum		TANIOBIS Japan Co., Ltd.		Japan		CID002549		Conformant		(a)
Tantalum		TANIOBIS Smelting GmbH & Co. KG		Germany		CID002550		Conformant		(a)
Tantalum		Telex Metals		United States		CID001891		Conformant		(a)
Tantalum		Ulba Metallurgical Plant JSC		Kazakhstan		CID001969		Conformant		(a)
Tantalum		XIMEI RESOURCES (GUANGDONG) LIMITED		China		CID000616		Conformant		(a)
Tantalum		XinXing Haorong Electronic Material Co., Ltd.		China		CID002508		Conformant		(a)
Tantalum		Yanling Jincheng Tantalum & Niobium Co., Ltd.		China		CID001522		Conformant		(a)
Tin		Alpha		United States		CID000292		Conformant		(a)
Tin		An Vinh Joint Stock Mineral Processing Company		Vietnam		CID002703
Tin		Aurubis Beerse		Belgium		CID002773		Conformant		(a)
Tin		Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.		China		CID000228		Conformant		(a)
Tin		China Tin Group Co., Ltd.		China		CID001070		Conformant		(a)
Tin		CV Ayi Jaya		Indonesia		CID002570		Conformant		(a)
Tin		CV Venus Inti Perkasa		Indonesia		CID002455		Conformant		(a)
Tin		Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy		Vietnam		CID002572
Tin		EM Vinto		Bolivia		CID000438		Conformant		(a)
Tin		Estanho de Rondonia S.A.		Brazil		CID000448		Conformant		(a)
Tin		Fenix Metals		Poland		CID000468		Conformant		(a)

Metal		SOR Name		SOR Country		SOR Identification		RMI (a)
Tin		Gejiu Kai Meng Industry and Trade LLC		China		CID000942
Tin		Gejiu Non-Ferrous Metal Processing Co., Ltd.		China		CID000538		Conformant		(a)
Tin		Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.		China		CID001908
Tin		Gejiu Zili Mining And Metallurgy Co., Ltd.		China		CID000555
Tin		Jiangxi New Nanshan Technology Ltd.		China		CID001231		Conformant		(a)
Tin		Magnu’s Minerais Metais e Ligas Ltda.		Brazil		CID002468		Conformant		(a)
Tin		Malaysia Smelting Corporation (MSC)		Malaysia		CID001105		Conformant		(a)
Tin		Melt Metais e Ligas S.A.		Brazil		CID002500
Tin		Mineracao Taboca S.A.		Brazil		CID001173		Conformant		(a)
Tin		Minsur		Peru		CID001182		Conformant		(a)
Tin		Mitsubishi Materials Corporation		Japan		CID001191		Conformant		(a)
Tin		Nghe Tinh Non-Ferrous Metals Joint Stock Company		Vietnam		CID002573
Tin		Novosibirsk Tin Combine		Russian Federation		CID001305
Tin		O.M. Manufacturing (Thailand) Co., Ltd.		Thailand		CID001314		Conformant		(a)
Tin		O.M. Manufacturing Philippines, Inc.		Philippines		CID002517		Conformant		(a)
Tin		Operaciones Metalurgicas S.A.		Bolivia		CID001337		Conformant		(a)
Tin		PT Aries Kencana Sejahtera		Indonesia		CID000309		Conformant		(a)
Tin		PT Artha Cipta Langgeng		Indonesia		CID001399		Conformant		(a)
Tin		PT ATD Makmur Mandiri Jaya		Indonesia		CID002503		Conformant		(a)
Tin		PT Babel Inti Perkasa		Indonesia		CID001402		Conformant		(a)
Tin		PT Babel Surya Alam Lestari		Indonesia		CID001406		Conformant		(a)
Tin		PT Bangka Prima Tin		Indonesia		CID002776		Conformant		(a)
Tin		PT Bangka Tin Industry		Indonesia		CID001419		Conformant		(a)
Tin		PT Belitung Industri Sejahtera		Indonesia		CID001421		Conformant		(a)
Tin		PT Bukit Timah		Indonesia		CID001428		Conformant		(a)
Tin		PT Cipta Persada Mulia		Indonesia		CID002696		Conformant		(a)
Tin		PT Mitra Stania Prima		Indonesia		CID001453		Conformant		(a)
Tin		PT Panca Mega Persada		Indonesia		CID001457
Tin		PT Premium Tin Indonesia		Indonesia		CID000313		Conformant		(a)
Tin		PT Prima Timah Utama		Indonesia		CID001458		Conformant		(a)
Tin		PT Refined Bangka Tin		Indonesia		CID001460		Conformant		(a)
Tin		PT Sariwiguna Binasentosa		Indonesia		CID001463		Conformant		(a)
Tin		PT Stanindo Inti Perkasa		Indonesia		CID001468		Conformant		(a)
Tin		PT Sukses Inti Makmur		Indonesia		CID002816		Conformant		(a)
Tin		PT Timah Tbk Kundur		Indonesia		CID001477		Conformant		(a)
Tin		PT Timah Tbk Mentok		Indonesia		CID001482		Conformant		(a)
Tin		PT Tinindo Inter Nusa		Indonesia		CID001490		Conformant		(a)
Tin		PT Tirus Putra Mandiri		Indonesia		CID002478
Tin		PT Tommy Utama		Indonesia		CID001493		Conformant		(a)
Tin		Rui Da Hung		Taiwan		CID001539		Conformant		(a)
Tin		Thaisarco		Thailand		CID001898		Conformant		(a)
Tin		Tin Smelting Branch of Yunnan Tin Co., Ltd.		China		CID002180		Conformant		(a)
Tin		Tuyen Quang Non-Ferrous Metals Joint Stock Company		Vietnam		CID002574
Tin		VQB Mineral and Trading Group JSC		Vietnam		CID002015
Tin		White Solder Metalurgia e Mineracao Ltda.		Brazil		CID002036		Conformant		(a)
Tin		Yunnan Chengfeng Non-ferrous Metals Co., Ltd.		China		CID002158		Conformant		(a)
Tungsten		A.L.M.T. TUNGSTEN Corp.		Japan		CID000004		Conformant		(a)
Tungsten		Asia Tungsten Products Vietnam Ltd.		Vietnam		CID002502		Conformant		(a)
Tungsten		Chongyi Zhangyuan Tungsten Co., Ltd.		China		CID000258		Conformant		(a)
Tungsten		Ganzhou Jiangwu Ferrotungsten Co., Ltd.		China		CID002315		Conformant		(a)
Tungsten		Ganzhou Seadragon W & Mo Co., Ltd.		China		CID002494		Conformant		(a)
Tungsten		Global Tungsten & Powders LLC		United States		CID000568		Conformant		(a)
Tungsten		Guangdong Xianglu Tungsten Co., Ltd.		China		CID000218		Conformant		(a)
Tungsten		H.C. Starck Tungsten GmbH		Germany		CID002541		Conformant		(a)
Tungsten		Hunan Chenzhou Mining Co., Ltd.		China		CID000766		Conformant		(a)
Tungsten		Hunan Jintai New Material Co., Ltd.		China		CID000769
Tungsten		Hunan Shizhuyuan Nonferrous Metals Co., Ltd. Chenzhou Tungsten		China		CID002513		Conformant		(a)
Tungsten		Hydrometallurg, JSC		Russian Federation		CID002649
Tungsten		Japan New Metals Co., Ltd.		Japan		CID000825		Conformant		(a)
Tungsten		Jiangwu H.C. Starck Tungsten Products Co., Ltd.		China		CID002551		Conformant		(a)
Tungsten		Jiangxi Gan Bei Tungsten Co., Ltd.		China		CID002321		Conformant		(a)
Tungsten		Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.		China		CID002313
Tungsten		Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.		China		CID002318		Conformant		(a)
Tungsten		Jiangxi Xinsheng Tungsten Industry Co., Ltd.		China		CID002317		Conformant		(a)
Tungsten		Jiangxi Yaosheng Tungsten Co., Ltd.		China		CID002316		Conformant		(a)
Tungsten		Kennametal Fallon		United States		CID000966		Conformant		(a)
Tungsten		Kennametal Huntsville		United States		CID000105		Conformant		(a)
Tungsten		Malipo Haiyu Tungsten Co., Ltd.		China		CID002319		Conformant		(a)
Tungsten		Masan High-Tech Materials		Vietnam		CID002543		Conformant		(a)
Tungsten		Niagara Refining LLC		United States		CID002589		Conformant		(a)
Tungsten		Wolfram Bergbau und Hutten AG		Austria		CID002044		Conformant		(a)
Tungsten		Xiamen Tungsten (H.C.) Co., Ltd.		China		CID002320		Conformant		(a)
Tungsten		Xiamen Tungsten Co., Ltd.		China		CID002082		Conformant		(a)

Notes:

 

(a)

As of April 30, 2024, this column indicates whether the known SOR participates in the RMAP as a SOR that sources conflict minerals in a manner that does not finance or benefit armed groups in the Covered Countries. For purposes of this column, “Conformant” denotes that the SOR participates in the RMAP and has been certified conflict free and audited by the RMI, and “Active” denotes that the smelter has agreed to participate in the RMAP, but that the audit process has not yet been completed.

(b)	As of April 30, 2024, the smelter or refiner participates in the LBMA’s Responsible Gold Programme and has been certified conflict free.

(c)	As of April 30, 2024, the smelter or refiner participates in the RJC’s Chain-of-Custody Certification Program and has been certified conflict free.