UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

FORM SD

S PECIALIZED D ISCLOSURE R EPORT

Juniper Networks, Inc.
(Exact name of registrant as specified in its charter)

 
					
Delaware	 	001-34501	 	77-0422528	
(State or other jurisdiction of
incorporation or organization)	 	(Commission
File Number)	 	(IRS Employer
Identification No.)	

1133 Innovation Way,
Sunnyvale, California	 	94089	
(Address of principal executive offices)	 	(Zip Code)	
Brian M. Martin (408) 745-2000
(Name and telephone number, including area code, of the
person to contact in connection with this report.)

Check the appropriate box to indicate the rule pursuant to which this form is being filed, and provide the period to which the information in this form applies:
 
☒	Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2016.	

 

Section 1 – Conflict Minerals Disclosure
 
Item 1.01	Conflict Minerals Disclosure and Report	
With respect to the reporting period from January 1, 2016 to December 31, 2016, Juniper Networks, Inc. (the “Company”) has determined that (i) tin, tantalum, tungsten, and gold, collectively known as the 3TGs, are necessary to the functionality or production of products that the Company has manufactured or contracted to manufacture, and (ii) based upon a reasonable country of origin inquiry, the Company has reason to believe that a portion of its necessary 3TGs originated or may have originated in the Democratic Republic of the Congo or an adjoining country (as defined in Section 1, Item 1.01(d)(1) of Form SD) and has reason to believe that those minerals may not be from recycled or scrap sources.
Conflict Minerals Disclosure
In accordance with Rule 13p-1 promulgated under the Securities Exchange Act of 1934, as amended (“Rule 13p-1”), and this Specialized Disclosure Report on Form SD (this “Form”), the Company has filed a Conflict Minerals Report, which is attached as Exhibit 1.01. A copy of this Form and the Conflict Minerals Report are publicly available at http://www.juniper.net/us/en/company/corporate-responsibility/ .
 
Item 1.02	Exhibit	
The Conflict Minerals Report described in Item 1.01 is filed as Exhibit 1.01 to this Form SD.
Section 2 – Exhibits
 
Item 2.01	Exhibits	

Exhibit
No.	  	Description	
		
Exhibit 1.01	  	Conflict Minerals Report for the calendar year ended December 31, 2016.	

SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the duly authorized undersigned.

Juniper Networks, Inc.
(Registrant)	
				
By:	  	/s/ Brian M. Martin	 		 	Date: May 31, 2017	
Name:	  	Brian M. Martin	 		 		
Title:	  	Senior Vice President,
General Counsel and Secretary	 		 		

EXHIBIT INDEX

Exhibit
No.	  	Description	
		
Exhibit 1.01	  	Conflict Minerals Report for the calendar year ended December 31, 2016.	

Exhibit 1.01
Juniper Networks, Inc.
Conflict Minerals Report For The Year Ended December 31, 2016
This Conflict Minerals Report (this “Report”) for Juniper Networks, Inc. (the “Company”, “Juniper”, “our” or “we”) covers the reporting period from January 1, 2016 to December 31, 2016, 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 Section 13(p) 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 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
At Juniper, we design, develop, and sell products and services for high-performance networks, to enable customers to build scalable, reliable, secure and cost-effective networks for their businesses, while achieving agility, efficiency and value through automation.
Product Overview
The Company sells high-performance routing, switching, and security networking products and service offerings to global service providers, cloud providers, national governments, research and public sector organizations and other enterprises who view the network as critical to their success.
Supply Chain Overview
Juniper manufacturing and operations manage relationships with our global supply chain, which include 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 heavily 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 Conflict-Free Sourcing Initiative (“CFSI”) and the CFSI’s predecessor. The CFSI is a recognized industry coalition focused on addressing and advancing the responsible sourcing of 3TG in the supply chain. Through the CFSI, Juniper has been actively engaged, and continues to work, with industry peers in an effort to ensure that implementation of our reasonable country of origin inquiry (“RCOI”) and due diligence processes are aligned with and complementary to the industry approaches. The primary objective of this alignment is 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 CFSI’s Conflict-Free Smelter Program (“CFSP”). The CFSP is a voluntary initiative in which an independent third party audits smelter procurement and processing activities and determines if the smelter has provided sufficient documentation to demonstrate with reasonable confidence that the 3TG it processes originates from conflict-free sources. As it is a standardized protocol, we, along with other leading participants in the electronics industry, rely on the CFSP or equivalent industry-wide programs for audits of 3TG smelters and refiners.
Juniper also publicly declared support for, and commitment to, the principles of the Responsible Raw Materials Initiative (“RRMI”) and is a member of the Sensing and Prioritization sub-team. The RRMI is a working group, co-sponsored by the Electronic Industry Citizenship Coalition (“EICC”) and the CFSI, to identify and prioritize the salient social and environmental impacts of extraction and processing of raw material in the international supply chain. The RRMI seeks to advance select initiatives to drive meaningful improvement in the mining sector.
We do not seek to 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 3TG were necessary to the functionality or production of products that we manufactured or contracted to be manufactured during the 2016 calendar year. We determined that only certain of our products were in-scope of this compliance program, based on the criteria that they contain or may contain one or more of the 3TGs.
Our in-scope products consisted of our routing, switching and security hardware 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, 2016, filed with the SEC on February 24, 2017.
The products covered by this report, and the other information contained herein, do not include the hardware products from the BTI and Aurrion acquisitions, which are excluded under the transition exemption in this rule.
Reasonable Country of Origin Inquiry
RCOI Overview
Juniper was required to undertake a RCOI with respect to the 3TG in its in-scope products that is reasonably designed to determine whether any of the 3TG originated in any of the Covered Countries and 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”), or those direct suppliers that, according to the Heritage 2016 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 2016.
To determine whether necessary 3TG in our products originated in Covered Countries, we retained Assent Compliance (“Assent”), our third party service provider, to assist us in surveying our Surveyed Suppliers. The Company utilized the then latest revision of the EICC-GeSI Conflict Minerals Reporting Template (“CMRT”) to conduct a survey through Assent’s platform of all Surveyed Suppliers.
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 in their platform. Both Juniper and Assent contacted Surveyed Suppliers that were unresponsive in completing a CMRT. As an improvement to our program for 2016, we included automated data validation on all submitted CMRTs, which we believe increases the accuracy of submissions and helps to identify contradictory answers in the CMRT.
All submitted CMRTs were accepted and classified as valid or invalid, and Surveyed Suppliers that submitted an invalid CMRT were contacted and requested to resubmit a valid and complete form. Data validation was based on completion of questions in the CMRT and on an analysis of internal consistency among responses in the CMRT.
RCOI Results
Our RCOI identified 311 known smelters and refiners that may have been in our 2016 supply chain. Based on Juniper’s RCOI, we concluded that 127 of these smelters and refiners sourced 3TG entirely from outside of the Covered Countries, including from recycled or scrap sources. We determined that 23 of the identified smelters and refiners sourced 3TG in whole or in part from within the Covered Countries, but all 23 of these smelters and refiners were designated as “compliant” by the CFSP. Juniper’s conclusions concerning the origin of 3TG are based on information provided by the CFSI to its members.
For 2016, 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. However, Juniper could 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 2016. 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 Organisation for Economic Co-operation and Development (“OECD”) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (Third Edition) (the “Guidance”) and 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 of 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 established and committed to a company statement that explains the importance of the conflict minerals issue and our responsibility for addressing conflict minerals in our 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 , and is periodically reviewed by our internal conflict minerals operations team, and approved by certain senior management at Juniper. It is also integrated into our Juniper Business Partner Code of Conduct ( http://www.juniper.net/assets/us/en/local/pdf/additional-resources/business-partner-code-of-conduct.pdf ).	
 
 	•	 	Governance structure to support due diligence activities : Juniper has established a conflict minerals governance structure that includes certain senior management at Juniper and a conflict minerals operations team comprised of individuals from Supply Chain Operations; Environmental, Health, Safety and Security; Engineering; Investor Relations; Finance; Internal Audit; Sales; Legal; Compliance; and Corporate Communications. Our conflict minerals operations team, under the leadership and purview of Juniper’s executive champions, guides the development, implementation and maintenance of Juniper’s conflict minerals program. Executive champions establish the goals of the conflict minerals operations team, receive updates on the status of the program, and evaluate whether Juniper should suspend, disengage or take other action with a supplier who is non-responsive to Juniper’s request for information or knowingly sources minerals that are found to finance or benefit armed groups.	
 
 	•	 	Control systems and transparency : Juniper expects all of our suppliers to exercise due diligence on the ethical source and chain of custody of any 3TGs used in the production of the products 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, including by providing training and through our Business Partner Code of Conduct.	
 
 	•	 	Supplier engagement : We engage with suppliers directly to request that they complete a valid CMRT for the products that they supply to us. Juniper has developed an internal procedure that includes steps of supplier engagement and escalation such as in-person meetings, 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, which require suppliers to exercise due diligence on the source of 3TG and make this information available to Juniper upon request. For 2016, we launched new education and training resources for our suppliers. To accomplish this, we utilized Assent’s Learning Management System and provided all in-scope suppliers access to their Conflict Minerals training course. This training is tracked and evaluated based on completion. Additionally, training was provided to selected suppliers who reported smelters or refiners of concern.	
 
 	•	 	Grievance mechanism s: 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 the Juniper’s codes of conduct, and may do so through email to integrity@juniper.net , by phone to the toll free Juniper Integrity Hotline at +1 888 475-8388, online at www.juniper.ethicspoint.com , or directly to Juniper’s Chief Compliance Officer. Reports can be made anonymously and will be kept confidential to the fullest extent practicable and allowed by law.	
 
 	•	 	Records maintenance : Juniper has adopted a policy to retain relevant documentation for a period of 5 years. We implemented a document retention policy through Assent to retain conflict minerals related documents, including supplier responses to CMRTs. We store the information and findings from this process in a database that can be audited by internal or external parties.	
Step 2: Identify and Assess Risk in the Supply Chain
We have identified and assessed 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, such as claiming to have identified all smelters without having surveyed all relevant suppliers. Risks are identified automatically in Assent’s platform based on criteria established for supplier responses in the system. These risks are addressed by Assent Compliance Supply Chain staff and members of our conflict minerals operations team who contact the supplier, gather pertinent data, and perform an assessment of the supplier’s conflict minerals status.
If additional follow up were required, a representative of the conflict minerals team would contact the supplier directly. A list of non-compliant smelters and suppliers is presented to our executive champions to develop a plan to encourage compliance in future years.
The primary risk we identified with respect to the reporting period related to the nature of the responses received. 61% of the responses received provided data at a company or divisional level or were unable to specify the smelters or refiners that processed the 3TG in the components supplied to Juniper. Additionally, 61% of the responding suppliers indicated that they received information regarding their supply chains from fewer than 75% of their suppliers and, therefore, they could not provide a comprehensive list of all smelters or refiners in their supply chains.

Assent compared the smelters and refiners identified by the Surveyed Suppliers to the list of smelters and refiners maintained by the CFSI and, if a supplier indicated that the facility was “compliant”, confirmed that the name was listed as such by the CFSI. The results of this validation are described above in the section titled “RCOI Results”. Most of the Surveyed Suppliers provided company-level CMRTs (meaning that the CMRTs pertained to the 3TG in all of their products, not just the 3TG in the products sold to Juniper). We have not been able to determine whether the smelters and refiners listed in company-level responses were used to produce the 3TG in our in-scope products.
Each smelter or refiner is assigned a risk level based on three scoring criteria:
 
 	•	 	Geographic proximity to the DRC and Covered Countries;	
 
 	•	 	CFSP audit status;	
 
 	•	 	Known or plausible evidence of unethical or conflict sourcing.	
Based on these criteria, if certain high risk facilities are reported on a CMRT, risk mitigation activities are initiated, and the Surveyed Supplier is instructed to undertake their own risk mitigation actions, from submission of a product-specific CMRT through removal of high risk facilities from their supply chain.
As per the Guidance, risk mitigation will depend on the supplier’s specific context. Suppliers are given clear performance objectives within reasonable timeframes with the ultimate goal of progressive elimination of these risks from the supply chain. This is communicated to all suppliers who report one or more high risk smelter or refiner.
Additionally, suppliers are evaluated on program strength (further assisting in identifying risk in the supply chain). Evaluating and tracking the strength of the program meets the Guidance and can assist in making key risk mitigation decisions as the program progresses. The criteria used to evaluate the strength of the program are:
 
 	•	 	Do you have a policy in place that includes DRC conflict-free sourcing?	
 
 	•	 	Have you implemented due diligence measures for conflict-free sourcing?	
 
 	•	 	Do you verify due diligence information received from your suppliers?	
 
 	•	 	Does your verification process include corrective action management?	
When suppliers meet or exceed these criteria, they are deemed to have a “strong” program, otherwise their program is deemed to be “weak”. Currently, 10% of the Surveyed Suppliers that responded to our survey have been identified as having a “weak” program. Juniper provides suppliers with “weak” programs further guidance and education.
Step 3: Designing and Implementing a Strategy to Respond to Identified Risks
We address any risks identified through the process described in Step 2 on a case-by-case basis. For example, we may request that a supplier provide a product-level CMRT. For suppliers who do not respond to Assent’s outreach, Juniper’s conflict minerals and supply chain operations teams may contact those suppliers directly. A supplier could also be requested to remove a particular smelter or refiner from our supply chain or to take other corrective action on a prescribed time frame. We may also provide a supplier with further guidance on the Rule, the Guidance, and/or our compliance expectations.
We address smelter and refiner-related risks, and seek to exercise leverage over smelters and refiners to become compliant, through our participation in the CFSI.
The results and findings of our due diligence are shared with the executive champions for Juniper’s conflict minerals program, as well as with the Audit Committee of our Board of Directors. Senior management and Audit Committee recommendations for changes to the program are considered for subsequent years.
Step 4: Carrying Out Independent Third-Party Audit of Supply Chain Due Diligence at Identified Points in the Supply Chain
Juniper has supported independent third-party audits conducted by the CFSP through our financial support for the CFSI and as a member of the CFSI’s Smelter Engagement Team (“SET”) for China. Not all CFSI members are involved with the SET. However, Juniper has actively supported the SET’s goal of increasing smelter and refiner participation in the audit program by (i) making a financial contribution to the Initial Audit Fund and (ii) actively engaging our suppliers in order to identify the direct customers of certain smelters on the SET’s priority list of smelters based in China.

Step 5: Reporting on Supply Chain Due Diligence
The Form and this Report are filed annually with the SEC, and a copy of this Report and the Form are made publicly available on our website at http://www.juniper.net/us/en/company/corporate-responsibility/ .
Future Steps to Mitigate Risk
For 2017, we intend to continue to focus on collaborating with industry participants through our membership in the CFSI and the RRMI to improve the systems of transparency and control in our supply chain, which we believe will further mitigate the risk that 3TG contained in our products will benefit armed groups in the Covered Countries.
In addition, as part of our ongoing efforts, we intend to take the following steps for 2017 to improve due diligence efforts:
 
 	•	 	work with relevant first-tier suppliers to enhance the completeness and accuracy of information on the source and chain of custody of 3TG in their supply chain;	
 
 	•	 	help suppliers who provided invalid or incomplete CMRTs to strengthen their 3TG reporting programs;	
 
 	•	 	engage with suppliers who reported smelters of concern and build their knowledge to remove such smelters from their supply chain;	
 
 	•	 	refine further our process for conducting supplier follow-up in conjunction with Assent to more effectively resolve invalid survey responses from suppliers;	
 
 	•	 	engage suppliers that failed to provide a CMRT and evaluate remedial actions for non-responsive suppliers; and	
 
 	•	 	provide additional training within our internal supply chain teams on our conflict minerals compliance program.	
Due Diligence Results
Survey Results
For the 2016 reporting year, Juniper received CMRTs from 93% of the Surveyed Suppliers. In 2016, we surveyed 16 additional suppliers compared to the 2015 reporting period. All final CMRT submissions were reviewed to ensure no inaccuracies or gaps in the data submitted. Seven percent of those suppliers who submitted a CMRT were unable to correct the inaccuracies or gaps in the data and as such are still listed as invalid submissions.
Smelters and Refiners Potentially in Juniper’s Supply Chain
Based on our RCOI and due diligence, we identified 311 known smelters and refiners of 3TG that may be in our supply chain. See Appendix A below for a list of these smelters and refiners, along with their compliance status. Appendix A does not include the names of entities received through our due diligence process that, as of April 1, 2017, were not listed on the CFSI’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 CFSP compliance status is provided below:
 
 	•	 	74% (100) of known Gold smelters or refiners that may be in our supply chain are listed as compliant (93) or active (7).	
 
 	•	 	96% (45) of known Tantalum smelters or refiners that may be in our supply chain are listed as compliant.	
 
 	•	 	87% (72) of known Tin smelters or refiners that may be in our supply chain are listed as compliant (67) or active (5).	
 
 	•	 	89% (40) of known Tungsten smelters or refiners that may be in our supply chain are listed as compliant.	
The number of identified smelters and refiners for 2016 increased from 301 to 311 as compared to 2015, an increase of 3%.
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, 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 some suppliers did not identify all smelters or refiners in their supply chain, and because not all suppliers responded 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 from a Covered Country and 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 compliant smelters and refiners listed in the table in Appendix A may have included the countries in the categories listed below. The listed countries of origin are derived from information made available by the CFSI to its members. Except for the DRC, the CFSI does not indicate individual countries of origin of the 3TG processed by compliant smelters and refiners. Instead, the CFSI indicates country of origin by category. 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: Australia, Austria, Benin, Bolivia, Brazil, Burkina Faso, Cambodia, Canada, Chile, China, Colombia, Ecuador, Eritrea, Ethiopia, France, Ghana, Guatemala, Guinea, Guyana, Honduras, India, Indonesia, , Japan, Laos, Madagascar, Malaysia, Mali, Mexico, Mongolia, Myanmar, Namibia, Nicaragua, Nigeria, Panama, Peru, Portugal, Russia, Senegal, Sierra Leone, Spain, , Thailand, Togo, United States of America, Uzbekistan, Vietnam, and Zimbabwe.
L2 – Countries that are known or plausible countries for smuggling, export out of region or transit of materials containing 3TG: Mozambique and South Africa.
L3 – The DRC and its nine adjoining countries: Angola, Burundi, Central African Republic, Republic of Congo, Rwanda, South Sudan, Uganda, United Republic of Tanzania and Zambia.
Alternatively, or in addition, some of the compliant smelters and refiners did source or may have sourced from recycled or scrap sources.
Because the CFSI generally does not indicate individual countries of origin of the 3TG processed by compliant smelters and refiners, Juniper was not able to determine the countries of origin of the 3TG processed by the listed compliant smelters and refiners with greater specificity. In addition, for some of the listed compliant smelters and refiners, origin information is not disclosed by the CFSI. Juniper did not determine the countries of origin of the 3TG processed by other smelters and refiners listed in the table.
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 CFSI 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 CFSP; 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 Quarterly Report on Form 10-Q and in other reports we file with the Securities and Exchange Commission. 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 all known smelters or refiners that have been declared by our suppliers through their CMRT. This list includes the Metal, Standard Smelter Name, Smelter Facility Location, Smelter ID, and CFSI audit status. As indicated above, this list has been created based on 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 their suppliers or for other reasons. Finally, the smelters and refiners reflected in Appendix A likely do not include all of the smelters and refiners in Juniper’s supply chain, since some suppliers did not identify all smelters or refiners in their supply chain, and because not all suppliers responded to Juniper’s inquiries.
 
*	CFSI Audit Status is effective as of April 1, 2017. For purposes of this table, “Compliant” denotes that the smelter or refiner participates in and has been listed as “compliant” by the CFSP and “Active” denotes that the smelter or refiner is “active” in the CFSP process by agreeing to participate in the CFSP, but that the audit process has not yet been completed. For Tungsten smelters or refiners, the “Active” category also captures members of the Tungsten Industry – Conflict Minerals Council (“TI-CMC”) that have committed to complete a CFSP validation audit within two years of TI-CMC membership issuance. Smelter or refiner status reflected in the table is based solely on information made publicly available by CFSI, without independent verification by Juniper.	

Metal	  	Standard Smelter Name	  	Smelter Facility Location	  	Smelter ID	  	CFSI Audit
Status*	
Gold	  	Abington Reldan Metals, LLC	  	UNITED STATES	  	CID002708	  	Active	
Gold	  	Advanced Chemical Company	  	UNITED STATES	  	CID000015	  	Compliant	
Gold	  	Aida Chemical Industries Co., Ltd.	  	JAPAN	  	CID000019	  	Compliant	
Gold	  	Al Etihad Gold Refinery DMCC	  	UNITED ARAB EMIRATES	  	CID002560	  	Compliant	
Gold	  	Allgemeine Gold-und Silberscheideanstalt A.G.	  	GERMANY	  	CID000035	  	Compliant	
Gold	  	Almalyk Mining and Metallurgical Complex (AMMC)	  	UZBEKISTAN	  	CID000041	  	Compliant	
Gold	  	AngloGold Ashanti Córrego do Sítio Mineração	  	BRAZIL	  	CID000058	  	Compliant	
Gold	  	Argor-Heraeus S.A.	  	SWITZERLAND	  	CID000077	  	Compliant	
Gold	  	Asahi Pretec Corp.	  	JAPAN	  	CID000082	  	Compliant	
Gold	  	Asahi Refining Canada Ltd.	  	CANADA	  	CID000924	  	Compliant	
Gold	  	Asahi Refining USA Inc.	  	UNITED STATES	  	CID000920	  	Compliant	
Gold	  	Asaka Riken Co., Ltd.	  	JAPAN	  	CID000090	  	Compliant	
Gold	  	Atasay Kuyumculuk Sanayi Ve Ticaret A.S.	  	TURKEY	  	CID000103	  	Not Enrolled	
Gold	  	AU Traders and Refiners	  	SOUTH AFRICA	  	CID002850	  	Compliant	
Gold	  	AURA-II	  	UNITED STATES	  	CID002851	  	Not Enrolled	
Gold	  	Aurubis AG	  	GERMANY	  	CID000113	  	Compliant	
Gold	  	Bangalore Refinery	  	INDIA	  	CID002863	  	Active	
Gold	  	Bangko Sentral ng Pilipinas (Central Bank of the Philippines)	  	PHILIPPINES	  	CID000128	  	Compliant	
Gold	  	Boliden AB	  	SWEDEN	  	CID000157	  	Compliant	
Gold	  	C. Hafner GmbH + Co. KG	  	GERMANY	  	CID000176	  	Compliant	
Gold	  	Caridad	  	MEXICO	  	CID000180	  	Not Enrolled	
Gold	  	CCR Refinery - Glencore Canada Corporation	  	CANADA	  	CID000185	  	Compliant	
Gold	  	Cendres + Métaux S.A.	  	SWITZERLAND	  	CID000189	  	Active	
Gold	  	Chimet S.p.A.	  	ITALY	  	CID000233	  	Compliant	
Gold	  	Chugai Mining	  	JAPAN	  	CID000264	  	Not Enrolled	
Gold	  	Daejin Indus Co., Ltd.	  	KOREA, REPUBLIC OF	  	CID000328	  	Compliant	
Gold	  	Daye Non-Ferrous Metals Mining Ltd.	  	CHINA	  	CID000343	  	Not Enrolled	
Gold	  	DODUCO GmbH	  	GERMANY	  	CID000362	  	Compliant	
Gold	  	Dowa	  	JAPAN	  	CID000401	  	Compliant	
Gold	  	DSC (Do Sung Corporation)	  	KOREA, REPUBLIC OF	  	CID000359	  	Compliant	
Gold	  	Eco-System Recycling Co., Ltd.	  	JAPAN	  	CID000425	  	Compliant	
Gold	  	Elemetal Refining, LLC	  	UNITED STATES	  	CID001322	  	Compliant	
Gold	  	Emirates Gold DMCC	  	UNITED ARAB EMIRATES	  	CID002561	  	Compliant	
Gold	  	Fidelity Printers and Refiners Ltd.	  	ZIMBABWE	  	CID002515	  	Not Enrolled	
Gold	  	Gansu Seemine Material Hi-Tech Co., Ltd.	  	CHINA	  	CID000522	  	Not Enrolled	
Gold	  	Geib Refining Corporation	  	UNITED STATES	  	CID002459	  	Active	

									
Gold	  	Great Wall Precious Metals Co., Ltd. of CBPM	  	CHINA	  	CID001909	  	Not Enrolled	
Gold	  	Guangdong Jinding Gold Limited	  	CHINA	  	CID002312	  	Not Enrolled	
Gold	  	Gujarat Gold Centre	  	INDIA	  	CID002852	  	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	  	Heimerle + Meule GmbH	  	GERMANY	  	CID000694	  	Compliant	
Gold	  	Heraeus Ltd. Hong Kong	  	CHINA	  	CID000707	  	Compliant	
Gold	  	Heraeus Precious Metals GmbH & Co. KG	  	GERMANY	  	CID000711	  	Compliant	
Gold	  	Hunan Chenzhou Mining Co., Ltd.	  	CHINA	  	CID000767	  	Not Enrolled	
Gold	  	Hwasung CJ Co., Ltd.	  	KOREA, REPUBLIC OF	  	CID000778	  	Not Enrolled	
Gold	  	Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.	  	CHINA	  	CID000801	  	Compliant	
Gold	  	Ishifuku Metal Industry Co., Ltd.	  	JAPAN	  	CID000807	  	Compliant	
Gold	  	Istanbul Gold Refinery	  	TURKEY	  	CID000814	  	Compliant	
Gold	  	Japan Mint	  	JAPAN	  	CID000823	  	Compliant	
Gold	  	Jiangxi Copper Co., Ltd.	  	CHINA	  	CID000855	  	Compliant	
Gold	  	JSC Ekaterinburg Non-Ferrous Metal Processing Plant	  	RUSSIAN FEDERATION	  	CID000927	  	Compliant	
Gold	  	JSC Uralelectromed	  	RUSSIAN FEDERATION	  	CID000929	  	Compliant	
Gold	  	JX Nippon Mining & Metals Co., Ltd.	  	JAPAN	  	CID000937	  	Compliant	
Gold	  	Kaloti Precious Metals	  	UNITED ARAB EMIRATES	  	CID002563	  	Not Enrolled	
Gold	  	Kazakhmys Smelting LLC	  	KAZAKHSTAN	  	CID000956	  	Not Enrolled	
Gold	  	Kazzinc	  	KAZAKHSTAN	  	CID000957	  	Compliant	
Gold	  	Kennecott Utah Copper LLC	  	UNITED STATES	  	CID000969	  	Compliant	
Gold	  	KGHM Polska Miedź Spółka Akcyjna	  	POLAND	  	CID002511	  	Active	
Gold	  	Kojima Chemicals Co., Ltd.	  	JAPAN	  	CID000981	  	Compliant	
Gold	  	Korea Zinc Co., Ltd.	  	KOREA, REPUBLIC OF	  	CID002605	  	Compliant	
Gold	  	Kyrgyzaltyn JSC	  	KYRGYZSTAN	  	CID001029	  	Compliant	
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	  	LS-NIKKO Copper Inc.	  	KOREA, REPUBLIC OF	  	CID001078	  	Compliant	
Gold	  	Luoyang Zijin Yinhui Gold Refinery Co., Ltd.	  	CHINA	  	CID001093	  	Not Enrolled	
Gold	  	Materion	  	UNITED STATES	  	CID001113	  	Compliant	
Gold	  	Matsuda Sangyo Co., Ltd.	  	JAPAN	  	CID001119	  	Compliant	
Gold	  	Metalor Technologies (Hong Kong) Ltd.	  	CHINA	  	CID001149	  	Compliant	
Gold	  	Metalor Technologies (Singapore) Pte., Ltd.	  	SINGAPORE	  	CID001152	  	Compliant	
Gold	  	Metalor Technologies (Suzhou) Ltd.	  	CHINA	  	CID001147	  	Compliant	
Gold	  	Metalor Technologies S.A.	  	SWITZERLAND	  	CID001153	  	Compliant	
Gold	  	Metalor USA Refining Corporation	  	UNITED STATES	  	CID001157	  	Compliant	
Gold	  	Metalúrgica Met-Mex Peñoles S.A. De C.V.	  	MEXICO	  	CID001161	  	Compliant	
Gold	  	Mitsubishi Materials Corporation	  	JAPAN	  	CID001188	  	Compliant	
Gold	  	Mitsui Mining and Smelting Co., Ltd.	  	JAPAN	  	CID001193	  	Compliant	
Gold	  	MMTC-PAMP India Pvt., Ltd.	  	INDIA	  	CID002509	  	Compliant	
Gold	  	Modeltech Sdn Bhd	  	MALAYSIA	  	CID002857	  	Not Enrolled	
Gold	  	Morris and Watson	  	NEW ZEALAND	  	CID002282	  	Not Enrolled	
Gold	  	Moscow Special Alloys Processing Plant	  	RUSSIAN FEDERATION	  	CID001204	  	Compliant	
Gold	  	Nadir Metal Rafineri San. Ve Tic. A.Ş.	  	TURKEY	  	CID001220	  	Compliant	
Gold	  	Navoi Mining and Metallurgical Combinat	  	UZBEKISTAN	  	CID001236	  	Active	
Gold	  	Nihon Material Co., Ltd.	  	JAPAN	  	CID001259	  	Compliant	
Gold	  	Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH	  	AUSTRIA	  	CID002779	  	Compliant	
Gold	  	Ohura Precious Metal Industry Co., Ltd.	  	JAPAN	  	CID001325	  	Compliant	
Gold	  	OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)	  	RUSSIAN FEDERATION	  	CID001326	  	Compliant	
Gold	  	OJSC Novosibirsk Refinery	  	RUSSIAN FEDERATION	  	CID000493	  	Compliant	
Gold	  	PAMP S.A.	  	SWITZERLAND	  	CID001352	  	Compliant	
Gold	  	Penglai Penggang Gold Industry Co., Ltd.	  	CHINA	  	CID001362	  	Not Enrolled	
Gold	  	Prioksky Plant of Non-Ferrous Metals	  	RUSSIAN FEDERATION	  	CID001386	  	Compliant	
Gold	  	PT Aneka Tambang (Persero) Tbk	  	INDONESIA	  	CID001397	  	Compliant	
Gold	  	PX Précinox S.A.	  	SWITZERLAND	  	CID001498	  	Compliant	
Gold	  	Rand Refinery (Pty) Ltd.	  	SOUTH AFRICA	  	CID001512	  	Compliant	
Gold	  	Remondis Argentia B.V.	  	NETHERLANDS	  	CID002582	  	Not Enrolled	
Gold	  	Republic Metals Corporation	  	UNITED STATES	  	CID002510	  	Compliant	

									
Gold	  	Royal Canadian Mint	  	CANADA	  	CID001534	  	Compliant	
Gold	  	SAAMP	  	FRANCE	  	CID002761	  	Not Enrolled	
Gold	  	Sabin Metal Corp.	  	UNITED STATES	  	CID001546	  	Not Enrolled	
Gold	  	SAFINA A.S.	  	CZECH REPUBLIC	  	CID002290	  	Not Enrolled	
Gold	  	Sai Refinery	  	INDIA	  	CID002853	  	Not Enrolled	
Gold	  	Samduck Precious Metals	  	KOREA, REPUBLIC OF	  	CID001555	  	Compliant	
Gold	  	SAMWON Metals Corp.	  	KOREA, REPUBLIC OF	  	CID001562	  	Not Enrolled	
Gold	  	SAXONIA Edelmetalle GmbH	  	GERMANY	  	CID002777	  	Compliant	
Gold	  	Schone Edelmetaal B.V.	  	NETHERLANDS	  	CID001573	  	Compliant	
Gold	  	SEMPSA Joyería Platería S.A.	  	SPAIN	  	CID001585	  	Compliant	
Gold	  	Shandong Tiancheng Biological Gold Industrial Co., Ltd.	  	CHINA	  	CID001619	  	Not Enrolled	
Gold	  	Shandong Zhaojin Gold & Silver Refinery Co., Ltd.	  	CHINA	  	CID001622	  	Compliant	
Gold	  	Sichuan Tianze Precious Metals Co., Ltd.	  	CHINA	  	CID001736	  	Compliant	
Gold	  	Singway Technology Co., Ltd.	  	TAIWAN	  	CID002516	  	Compliant	
Gold	  	So Accurate Group, Inc.	  	UNITED STATES	  	CID001754	  	Not Enrolled	
Gold	  	SOE Shyolkovsky Factory of Secondary Precious Metals	  	RUSSIAN FEDERATION	  	CID001756	  	Compliant	
Gold	  	Solar Applied Materials Technology Corp.	  	TAIWAN	  	CID001761	  	Compliant	
Gold	  	Sudan Gold Refinery	  	SUDAN	  	CID002567	  	Not Enrolled	
Gold	  	Sumitomo Metal Mining Co., Ltd.	  	JAPAN	  	CID001798	  	Compliant	
Gold	  	T.C.A S.p.A	  	ITALY	  	CID002580	  	Compliant	
Gold	  	Tanaka Kikinzoku Kogyo K.K.	  	JAPAN	  	CID001875	  	Compliant	
Gold	  	The Refinery of Shandong Gold Mining Co., Ltd.	  	CHINA	  	CID001916	  	Compliant	
Gold	  	Tokuriki Honten Co., Ltd.	  	JAPAN	  	CID001938	  	Compliant	
Gold	  	Tongling Nonferrous Metals Group Co., Ltd.	  	CHINA	  	CID001947	  	Not Enrolled	
Gold	  	Tony Goetz NV	  	BELGIUM	  	CID002587	  	Active	
Gold	  	TOO Tau-Ken-Altyn	  	KAZAKHSTAN	  	CID002615	  	Not Enrolled	
Gold	  	Torecom	  	KOREA, REPUBLIC OF	  	CID001955	  	Compliant	
Gold	  	Umicore Brasil Ltda.	  	BRAZIL	  	CID001977	  	Compliant	
Gold	  	Umicore Precious Metals Thailand	  	THAILAND	  	CID002314	  	Compliant	
Gold	  	Umicore S.A. Business Unit Precious Metals Refining	  	BELGIUM	  	CID001980	  	Compliant	
Gold	  	United Precious Metal Refining, Inc.	  	UNITED STATES	  	CID001993	  	Compliant	
Gold	  	Universal Precious Metals Refining Zambia	  	ZAMBIA	  	CID002854	  	Not Enrolled	
Gold	  	Valcambi S.A.	  	SWITZERLAND	  	CID002003	  	Compliant	
Gold	  	Western Australian Mint trading as The Perth Mint	  	AUSTRALIA	  	CID002030	  	Compliant	
Gold	  	WIELAND Edelmetalle GmbH	  	GERMANY	  	CID002778	  	Compliant	
Gold	  	Yamamoto Precious Metal Co., Ltd.	  	JAPAN	  	CID002100	  	Compliant	
Gold	  	Yokohama Metal Co., Ltd.	  	JAPAN	  	CID002129	  	Compliant	
Gold	  	Yunnan Copper Industry Co., Ltd.	  	CHINA	  	CID000197	  	Not Enrolled	
Gold	  	Zhongyuan Gold Smelter of Zhongjin Gold Corporation	  	CHINA	  	CID002224	  	Compliant	
Gold	  	Zijin Mining Group Co., Ltd. Gold Refinery	  	CHINA	  	CID002243	  	Compliant	
Tantalum	  	Changsha South Tantalum Niobium Co., Ltd.	  	CHINA	  	CID000211	  	Compliant	
Tantalum	  	Conghua Tantalum and Niobium Smeltry	  	CHINA	  	CID000291	  	Compliant	
Tantalum	  	D Block Metals, LLC	  	UNITED STATES	  	CID002504	  	Compliant	
Tantalum	  	Duoluoshan	  	CHINA	  	CID000410	  	Compliant	
Tantalum	  	Exotech Inc.	  	UNITED STATES	  	CID000456	  	Compliant	
Tantalum	  	F&X Electro-Materials Ltd.	  	CHINA	  	CID000460	  	Compliant	
Tantalum	  	FIR Metals & Resource Ltd.	  	CHINA	  	CID002505	  	Compliant	
Tantalum	  	Global Advanced Metals Aizu	  	JAPAN	  	CID002558	  	Compliant	
Tantalum	  	Global Advanced Metals Boyertown	  	UNITED STATES	  	CID002557	  	Compliant	
Tantalum	  	Guangdong Zhiyuan New Material Co., Ltd.	  	CHINA	  	CID000616	  	Compliant	
Tantalum	  	H.C. Starck Co., Ltd.	  	THAILAND	  	CID002544	  	Compliant	
Tantalum	  	H.C. Starck GmbH Goslar	  	GERMANY	  	CID002545	  	Compliant	
Tantalum	  	H.C. Starck GmbH Laufenburg	  	GERMANY	  	CID002546	  	Not Enrolled	
Tantalum	  	H.C. Starck Hermsdorf GmbH	  	GERMANY	  	CID002547	  	Compliant	
Tantalum	  	H.C. Starck Inc.	  	UNITED STATES	  	CID002548	  	Compliant	
Tantalum	  	H.C. Starck Ltd.	  	JAPAN	  	CID002549	  	Compliant	
Tantalum	  	H.C. Starck Smelting GmbH & Co. KG	  	GERMANY	  	CID002550	  	Compliant	
Tantalum	  	Hengyang King Xing Lifeng New Materials Co., Ltd.	  	CHINA	  	CID002492	  	Compliant	

									
Tantalum	  	Hi-Temp Specialty Metals, Inc.	  	UNITED STATES	  	CID000731	  	Compliant	
Tantalum	  	Jiangxi Dinghai Tantalum & Niobium Co., Ltd.	  	CHINA	  	CID002512	  	Compliant	
Tantalum	  	Jiangxi Tuohong New Raw Material	  	CHINA	  	CID002842	  	Compliant	
Tantalum	  	JiuJiang JinXin Nonferrous Metals Co., Ltd.	  	CHINA	  	CID000914	  	Compliant	
Tantalum	  	Jiujiang Tanbre Co., Ltd.	  	CHINA	  	CID000917	  	Compliant	
Tantalum	  	Jiujiang Zhongao Tantalum & Niobium Co., Ltd.	  	CHINA	  	CID002506	  	Compliant	
Tantalum	  	KEMET Blue Metals	  	MEXICO	  	CID002539	  	Compliant	
Tantalum	  	KEMET Blue Powder	  	UNITED STATES	  	CID002568	  	Compliant	
Tantalum	  	King-Tan Tantalum Industry Ltd.	  	CHINA	  	CID000973	  	Compliant	
Tantalum	  	LSM Brasil S.A.	  	BRAZIL	  	CID001076	  	Compliant	
Tantalum	  	Metallurgical Products India Pvt., Ltd.	  	INDIA	  	CID001163	  	Compliant	
Tantalum	  	Mineração Taboca S.A.	  	BRAZIL	  	CID001175	  	Compliant	
Tantalum	  	Mitsui Mining & Smelting	  	JAPAN	  	CID001192	  	Compliant	
Tantalum	  	Molycorp Silmet A.S.	  	ESTONIA	  	CID001200	  	Compliant	
Tantalum	  	Ningxia Orient Tantalum Industry Co., Ltd.	  	CHINA	  	CID001277	  	Compliant	
Tantalum	  	Plansee SE Liezen	  	AUSTRIA	  	CID002540	  	Not Enrolled	
Tantalum	  	Plansee SE Reutte	  	AUSTRIA	  	CID002556	  	Compliant	
Tantalum	  	Power Resources Ltd.	  	MACEDONIA	  	CID002847	  	Compliant	
Tantalum	  	QuantumClean	  	UNITED STATES	  	CID001508	  	Compliant	
Tantalum	  	Resind Indústria e Comércio Ltda.	  	BRAZIL	  	CID002707	  	Compliant	
Tantalum	  	RFH Tantalum Smeltry Co., Ltd.	  	CHINA	  	CID001522	  	Compliant	
Tantalum	  	Solikamsk Magnesium Works OAO	  	RUSSIAN FEDERATION	  	CID001769	  	Compliant	
Tantalum	  	Taki Chemicals	  	JAPAN	  	CID001869	  	Compliant	
Tantalum	  	Telex Metals	  	UNITED STATES	  	CID001891	  	Compliant	
Tantalum	  	Tranzact, Inc.	  	UNITED STATES	  	CID002571	  	Compliant	
Tantalum	  	Ulba Metallurgical Plant JSC	  	KAZAKHSTAN	  	CID001969	  	Compliant	
Tantalum	  	XinXing HaoRong Electronic Material Co., Ltd.	  	CHINA	  	CID002508	  	Compliant	
Tantalum	  	Yichun Jin Yang Rare Metal Co., Ltd.	  	CHINA	  	CID002307	  	Compliant	
Tantalum	  	Zhuzhou Cemented Carbide Group Co., Ltd.	  	CHINA	  	CID002232	  	Compliant	
Tin	  	Alpha	  	UNITED STATES	  	CID000292	  	Compliant	
Tin	  	An Thai Minerals Co., Ltd.	  	VIETNAM	  	CID002825	  	Not Enrolled	
Tin	  	An Vinh Joint Stock Mineral Processing Company	  	VIETNAM	  	CID002703	  	Not Enrolled	
Tin	  	Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.	  	CHINA	  	CID000228	  	Compliant	
Tin	  	China Tin Group Co., Ltd.	  	CHINA	  	CID001070	  	Compliant	
Tin	  	CNMC (Guangxi) PGMA Co., Ltd.	  	CHINA	  	CID000278	  	Not Enrolled	
Tin	  	Cooperativa Metalurgica de Rondônia Ltda.	  	BRAZIL	  	CID000295	  	Compliant	
Tin	  	CV Ayi Jaya	  	INDONESIA	  	CID002570	  	Compliant	
Tin	  	CV Dua Sekawan	  	INDONESIA	  	CID002592	  	Compliant	
Tin	  	CV Gita Pesona	  	INDONESIA	  	CID000306	  	Compliant	
Tin	  	CV Serumpun Sebalai	  	INDONESIA	  	CID000313	  	Compliant	
Tin	  	CV Tiga Sekawan	  	INDONESIA	  	CID002593	  	Compliant	
Tin	  	CV United Smelting	  	INDONESIA	  	CID000315	  	Compliant	
Tin	  	CV Venus Inti Perkasa	  	INDONESIA	  	CID002455	  	Compliant	
Tin	  	Dowa	  	JAPAN	  	CID000402	  	Compliant	
Tin	  	Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company	  	VIETNAM	  	CID002572	  	Active	
Tin	  	Elmet S.L.U.	  	SPAIN	  	CID002774	  	Compliant	
Tin	  	EM Vinto	  	BOLIVIA	  	CID000438	  	Compliant	
Tin	  	Estanho de Rondônia S.A.	  	BRAZIL	  	CID000448	  	Not Enrolled	
Tin	  	Fenix Metals	  	POLAND	  	CID000468	  	Compliant	
Tin	  	Gejiu Fengming Metallurgy Chemical Plant	  	CHINA	  	CID002848	  	Compliant	
Tin	  	Gejiu Jinye Mineral Company	  	CHINA	  	CID002859	  	Compliant	
Tin	  	Gejiu Kai Meng Industry and Trade LLC	  	CHINA	  	CID000942	  	Active	
Tin	  	Gejiu Non-Ferrous Metal Processing Co., Ltd.	  	CHINA	  	CID000538	  	Compliant	
Tin	  	Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.	  	CHINA	  	CID001908	  	Active	
Tin	  	Gejiu Zili Mining And Metallurgy Co., Ltd.	  	CHINA	  	CID000555	  	Not Enrolled	
Tin	  	Guanyang Guida Nonferrous Metal Smelting Plant	  	CHINA	  	CID002849	  	Compliant	
Tin	  	HuiChang Hill Tin Industry Co., Ltd.	  	CHINA	  	CID002844	  	Compliant	
Tin	  	Huichang Jinshunda Tin Co., Ltd.	  	CHINA	  	CID000760	  	Not Enrolled	
Tin	  	Jiangxi Ketai Advanced Material Co., Ltd.	  	CHINA	  	CID000244	  	Compliant	

									
Tin	  	Magnu’s Minerais Metais e Ligas Ltda.	  	BRAZIL	  	CID002468	  	Compliant	
Tin	  	Malaysia Smelting Corporation (MSC)	  	MALAYSIA	  	CID001105	  	Compliant	
Tin	  	Melt Metais e Ligas S.A.	  	BRAZIL	  	CID002500	  	Compliant	
Tin	  	Metallic Resources, Inc.	  	UNITED STATES	  	CID001142	  	Compliant	
Tin	  	Metallo-Chimique N.V.	  	BELGIUM	  	CID002773	  	Compliant	
Tin	  	Mineração Taboca S.A.	  	BRAZIL	  	CID001173	  	Compliant	
Tin	  	Minsur	  	PERU	  	CID001182	  	Compliant	
Tin	  	Mitsubishi Materials Corporation	  	JAPAN	  	CID001191	  	Compliant	
Tin	  	Modeltech Sdn Bhd	  	MALAYSIA	  	CID002858	  	Not Enrolled	
Tin	  	Nankang Nanshan Tin Manufactory Co., Ltd.	  	CHINA	  	CID001231	  	Active	
Tin	  	Nghe Tinh Non-Ferrous Metals Joint Stock Company	  	VIETNAM	  	CID002573	  	Not Enrolled	
Tin	  	O.M. Manufacturing (Thailand) Co., Ltd.	  	THAILAND	  	CID001314	  	Compliant	
Tin	  	O.M. Manufacturing Philippines, Inc.	  	PHILIPPINES	  	CID002517	  	Compliant	
Tin	  	Operaciones Metalurgical S.A.	  	BOLIVIA	  	CID001337	  	Compliant	
Tin	  	Phoenix Metal Ltd.	  	RWANDA	  	CID002507	  	Not Enrolled	
Tin	  	PT Aries Kencana Sejahtera	  	INDONESIA	  	CID000309	  	Compliant	
Tin	  	PT Artha Cipta Langgeng	  	INDONESIA	  	CID001399	  	Compliant	
Tin	  	PT ATD Makmur Mandiri Jaya	  	INDONESIA	  	CID002503	  	Compliant	
Tin	  	PT Babel Inti Perkasa	  	INDONESIA	  	CID001402	  	Compliant	
Tin	  	PT Bangka Prima Tin	  	INDONESIA	  	CID002776	  	Compliant	
Tin	  	PT Bangka Tin Industry	  	INDONESIA	  	CID001419	  	Compliant	
Tin	  	PT Belitung Industri Sejahtera	  	INDONESIA	  	CID001421	  	Compliant	
Tin	  	PT Bukit Timah	  	INDONESIA	  	CID001428	  	Compliant	
Tin	  	PT Cipta Persada Mulia	  	INDONESIA	  	CID002696	  	Compliant	
Tin	  	PT DS Jaya Abadi	  	INDONESIA	  	CID001434	  	Compliant	
Tin	  	PT Eunindo Usaha Mandiri	  	INDONESIA	  	CID001438	  	Compliant	
Tin	  	PT Inti Stania Prima	  	INDONESIA	  	CID002530	  	Compliant	
Tin	  	PT Justindo	  	INDONESIA	  	CID000307	  	Not Enrolled	
Tin	  	PT Karimun Mining	  	INDONESIA	  	CID001448	  	Compliant	
Tin	  	PT Kijang Jaya Mandiri	  	INDONESIA	  	CID002829	  	Compliant	
Tin	  	PT Mitra Stania Prima	  	INDONESIA	  	CID001453	  	Compliant	
Tin	  	PT O.M. Indonesia	  	INDONESIA	  	CID002757	  	Compliant	
Tin	  	PT Panca Mega Persada	  	INDONESIA	  	CID001457	  	Compliant	
Tin	  	PT Prima Timah Utama	  	INDONESIA	  	CID001458	  	Compliant	
Tin	  	PT Refined Bangka Tin	  	INDONESIA	  	CID001460	  	Compliant	
Tin	  	PT Sariwiguna Binasentosa	  	INDONESIA	  	CID001463	  	Compliant	
Tin	  	PT Stanindo Inti Perkasa	  	INDONESIA	  	CID001468	  	Compliant	
Tin	  	PT Sukses Inti Makmur	  	INDONESIA	  	CID002816	  	Compliant	
Tin	  	PT Sumber Jaya Indah	  	INDONESIA	  	CID001471	  	Compliant	
Tin	  	PT Timah (Persero) Tbk Kundur	  	INDONESIA	  	CID001477	  	Compliant	
Tin	  	PT Timah (Persero) Tbk Mentok	  	INDONESIA	  	CID001482	  	Compliant	
Tin	  	PT Tinindo Inter Nusa	  	INDONESIA	  	CID001490	  	Compliant	
Tin	  	PT Tommy Utama	  	INDONESIA	  	CID001493	  	Compliant	
Tin	  	PT Wahana Perkit Jaya	  	INDONESIA	  	CID002479	  	Compliant	
Tin	  	Resind Indústria e Comércio Ltda.	  	BRAZIL	  	CID002706	  	Compliant	
Tin	  	Rui Da Hung	  	TAIWAN	  	CID001539	  	Compliant	
Tin	  	Soft Metais Ltda.	  	BRAZIL	  	CID001758	  	Compliant	
Tin	  	Thaisarco	  	THAILAND	  	CID001898	  	Compliant	
Tin	  	Tuyen Quang Non-Ferrous Metals Joint Stock Company	  	VIETNAM	  	CID002574	  	Not Enrolled	
Tin	  	VQB Mineral and Trading Group JSC	  	VIETNAM	  	CID002015	  	Compliant	
Tin	  	White Solder Metalurgia e Mineração Ltda.	  	BRAZIL	  	CID002036	  	Compliant	
Tin	  	Yunnan Chengfeng Non-ferrous Metals Co., Ltd.	  	CHINA	  	CID002158	  	Active	
Tin	  	Yunnan Tin Company Limited	  	CHINA	  	CID002180	  	Compliant	
Tungsten	  	A.L.M.T. TUNGSTEN Corp.	  	JAPAN	  	CID000004	  	Compliant	
Tungsten	  	ACL Metais Eireli	  	BRAZIL	  	CID002833	  	Not Enrolled	
Tungsten	  	Asia Tungsten Products Vietnam Ltd.	  	VIETNAM	  	CID002502	  	Compliant	
Tungsten	  	Chenzhou Diamond Tungsten Products Co., Ltd.	  	CHINA	  	CID002513	  	Compliant	
Tungsten	  	Chongyi Zhangyuan Tungsten Co., Ltd.	  	CHINA	  	CID000258	  	Compliant	
Tungsten	  	Dayu Weiliang Tungsten Co., Ltd.	  	CHINA	  	CID000345	  	Not Enrolled	
Tungsten	  	Fujian Jinxin Tungsten Co., Ltd.	  	CHINA	  	CID000499	  	Compliant	
Tungsten	  	Ganzhou Huaxing Tungsten Products Co., Ltd.	  	CHINA	  	CID000875	  	Compliant	

									
Tungsten	  	Ganzhou Jiangwu Ferrotungsten Co., Ltd.	  	CHINA	  	CID002315	  	Compliant	
Tungsten	  	Ganzhou Seadragon W & Mo Co., Ltd.	  	CHINA	  	CID002494	  	Compliant	
Tungsten	  	Ganzhou Yatai Tungsten Co., Ltd.	  	CHINA	  	CID002536	  	Not Enrolled	
Tungsten	  	Global Tungsten & Powders Corp.	  	UNITED STATES	  	CID000568	  	Compliant	
Tungsten	  	Guangdong Xianglu Tungsten Co., Ltd.	  	CHINA	  	CID000218	  	Compliant	
Tungsten	  	H.C. Starck GmbH	  	GERMANY	  	CID002541	  	Compliant	
Tungsten	  	H.C. Starck Smelting GmbH & Co.KG	  	GERMANY	  	CID002542	  	Compliant	
Tungsten	  	Hunan Chenzhou Mining Co., Ltd.	  	CHINA	  	CID000766	  	Compliant	
Tungsten	  	Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji	  	CHINA	  	CID002579	  	Compliant	
Tungsten	  	Hunan Chunchang Nonferrous Metals Co., Ltd.	  	CHINA	  	CID000769	  	Compliant	
Tungsten	  	Hydrometallurg, JSC	  	RUSSIAN FEDERATION	  	CID002649	  	Compliant	
Tungsten	  	Japan New Metals Co., Ltd.	  	JAPAN	  	CID000825	  	Compliant	
Tungsten	  	Jiangwu H.C. Starck Tungsten Products Co., Ltd.	  	CHINA	  	CID002551	  	Compliant	
Tungsten	  	Jiangxi Dayu Longxintai Tungsten Co., Ltd.	  	CHINA	  	CID002647	  	Not Enrolled	
Tungsten	  	Jiangxi Gan Bei Tungsten Co., Ltd.	  	CHINA	  	CID002321	  	Compliant	
Tungsten	  	Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.	  	CHINA	  	CID002313	  	Not Enrolled	
Tungsten	  	Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.	  	CHINA	  	CID002318	  	Compliant	
Tungsten	  	Jiangxi Xinsheng Tungsten Industry Co., Ltd.	  	CHINA	  	CID002317	  	Compliant	
Tungsten	  	Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.	  	CHINA	  	CID002535	  	Compliant	
Tungsten	  	Jiangxi Yaosheng Tungsten Co., Ltd.	  	CHINA	  	CID002316	  	Compliant	
Tungsten	  	Kennametal Fallon	  	UNITED STATES	  	CID000966	  	Compliant	
Tungsten	  	Kennametal Huntsville	  	UNITED STATES	  	CID000105	  	Compliant	
Tungsten	  	Malipo Haiyu Tungsten Co., Ltd.	  	CHINA	  	CID002319	  	Compliant	
Tungsten	  	Moliren Ltd	  	RUSSIAN FEDERATION	  	CID002845	  	Compliant	
Tungsten	  	Niagara Refining LLC	  	UNITED STATES	  	CID002589	  	Compliant	
Tungsten	  	Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC	  	VIETNAM	  	CID002543	  	Compliant	
Tungsten	  	Philippine Chuangxin Industrial Co., Inc.	  	PHILIPPINES	  	CID002827	  	Compliant	
Tungsten	  	South-East Nonferrous Metal Company Limited of Hengyang City	  	CHINA	  	CID002815	  	Compliant	
Tungsten	  	Tejing (Vietnam) Tungsten Co., Ltd.	  	VIETNAM	  	CID001889	  	Compliant	
Tungsten	  	Unecha Refractory metals plant	  	RUSSIAN FEDERATION	  	CID002724	  	Compliant	
Tungsten	  	Vietnam Youngsun Tungsten Industry Co., Ltd.	  	VIETNAM	  	CID002011	  	Compliant	
Tungsten	  	Wolfram Bergbau und Hütten AG	  	AUSTRIA	  	CID002044	  	Compliant	
Tungsten	  	Woltech Korea Co., Ltd.	  	KOREA, REPUBLIC OF	  	CID002843	  	Compliant	
Tungsten	  	Xiamen Tungsten (H.C.) Co., Ltd.	  	CHINA	  	CID002320	  	Compliant	
Tungsten	  	Xiamen Tungsten Co., Ltd.	  	CHINA	  	CID002082	  	Compliant	
Tungsten	  	Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.	  	CHINA	  	CID002830	  	Compliant	
Tungsten	  	Xinhai Rendan Shaoguan Tungsten Co., Ltd.	  	CHINA	  	CID002095	  	Compliant