SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

 

FORM SD

 

 

Specialized Disclosure Report

 

 

INTEVAC, INC.

(Exact name of Registrant as specified in its charter)

 

 

 

State of Delaware   0-26946   94-3125814

(State or other jurisdiction

of incorporation or organization)

  (Commission File Number)  

(IRS Employer

Identification Number)

3560 Bassett Street

Santa Clara, CA 95054

(Address of principal executive offices and zip code)

Jeffrey Andreson

(408) 986-9888

(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:

 

þ Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2013.

 

 

 


Section 1 Conflict Minerals Disclosure

 

Item 1.01 Conflict Minerals Disclosure and Report

With respect to the reporting period from January 1, 2013 to December 31, 2013, Intevac Inc. (the “Company” (i) has determined that “conflict minerals” (as defined in Section 1, Item 1.01(d)(3) for Form SD) are necessary to the functionality or production of products that the Company has manufactured and contracted to manufacture, (ii) has performed, in good faith, a reasonable country of origin inquiry (“RCOI”) regarding those the minerals that is designed to determine whether any of the conflict minerals originated in the Democratic Republic of the Congo or any adjoining country or an adjoining country, as defined by paragraph (d)(1) of Item 1.01 of the Form SD, or are from recycled or scrap sources, as defined by paragraph (d)(6) of Item 1.01 of the Form SD and (iii) based on its RCOI, the Company has performed due diligence procedures as described further in the Conflict Minerals Report filed herewith.

 

Item 1.02 Exhibit

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 From SD (this “Form”), the Company has filed a Conflict Minerals Report, which is attached as Exhibit 1.02 to this Form. A copy of this Form and the Conflict Minerals Report are publically available at www.intevac.com .

 

Section 2 Exhibit

 

Item 2.01 Exhibit

 

Exhibit
Number

  

Description

Exhibit 1.02    Conflict Minerals Report as required by Items 1.01 and 1.02 of this Form.


SIGNATURE

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 undersigned hereunto duly authorized.

 

           INTEVAC, INC.
Date: June 2, 2014   

  /s/ JEFFREY ANDRESON

   Jeffrey Andreson
   Executive Vice President, Finance and Administration,
   Chief Financial Officer, Treasurer and Secretary


EXHIBIT INDEX

 

Exhibit
Number

  

Description

Exhibit 1.02    Conflict Minerals Report as required by Items 1.01 and 1.02 of this Form.

Exhibit 1.02

Conflict Minerals Report

For the Year Ended December 31, 2013

This Conflict Minerals Report (this “Report”) for Intevac, Inc. (the “Company”) covers the reporting period from January 1, 2013 to December 31, 2013, 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 Stated enacted the Dodd-Frank “Wall Street Reform and Consumer Protection Act (the “Act”). Section 1502 of the Act specifically related to conflict minerals and required 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 to disclose whether certain specified conflict minerals (as discussed below) used in their products directly or indirectly benefitted armed groups in the Democratic Republic of the Congo and adjoining counties (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 2013 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. Our products covered by this Report are described below. For purposes of this Report, the term “conflict minerals” means columbite-tantalite (coltan), cassiterite, gold, wolframite, or their derivatives, which are limited to tantalum, tin and tungsten.

 

Product   Description

Hard disk drive equipment: 200Lean ® , AccuLuber™,

technology upgrades and spare parts.

  Hard disk drive manufacturing equipment
ENERGi™   Solar manufacturing equipment

LIVAR ® cameras, EBAPS ® sensors, MicroVista ®

cameras

 

Photonics military products – night vision cameras and

rifle sights

IPort™ and NightPort™   Photonics military products – head mounted displays

Reasonable Country of Origin Inquiry Process

In accordance with Rule 13p-1 and Form SD, Intevac determined that conflict minerals 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 conflict minerals in Intevac’s products originated from the Covered Countries, and would survey direct suppliers of raw materials and components that contain columbite-tantalite (coltan), cassiterite, gold, wolframite, or their derivatives, which are limited to tantalum, tin and tungsten. Our RCOI primarily consisted of submitting letters of inquiry to our suppliers of raw materials, components and subassemblies. Responses were reviewed for completeness and consistency and we routinely followed up with our suppliers for corrections and clarifications as needed.

Due Diligence Process

Design of Due Diligence

In accordance with the rules, Intevac undertook due diligence on the source and chain of custody of the necessary conflict minerals used by its Equipment and Photonics business units in their products. In conducting its due diligence, Intevac implemented the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (OECD 2011) (“OECD Framework”), an internationally recognized due diligence framework.


Management Systems

Internal Team

We assembled a conflict minerals project team with representatives from Engineering, Procurement and Finance at both of our business units, Equipment and Photonics, to develop and execute our conflict minerals program.

Control Systems

As a company in both the hard disk drive and solar manufacturing equipment business and the photonics military product business, Intevac is several levels removed from the actual mining of conflict minerals. Intevac’s Equipment and Photonics business units do not make purchases of raw ore or unrefined conflict minerals and make no purchases in the Covered Countries. We utilized resources available from industry-wide initiatives to obtain sourcing information related to upstream actors in the supply chain, including the Electronics Industry Citizenship Coalition (“EICC”)—Global eSustainability Initiative (“GeSI”) and the Conflict-Free Smelter Program (“CFSP”).

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 minimize the use of conflict minerals that finance or benefit armed groups.

Supplier Engagement

We have started the process of including provisions related to gathering conflict minerals information in our supply contracts to encourage greater cooperation by the companies in our supply chain. We strongly encourage our suppliers to participate in the EICC/GeSI and to complete the EICC/GeSI conflict minerals reporting template but do not require them to do so.

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 1-800-826-6762.

Records Maintenance

We have retained all relevant documentation from our RCOI and due diligence.

Identify and Assess Risk in the Supply Chain

Because of our size, the complexity of our products, and the depth, breadth, and constant evolution of our supply chain, it is difficult to identify actors upstream from our direct suppliers. We identified 23 direct suppliers in our Equipment business and 12 direct suppliers in our Photonics business who supply components to us containing conflict minerals. We rely on these suppliers to provide us with information about the source of conflict minerals in the components supplied to us. Our direct suppliers are similarly reliant upon information provided by their suppliers. Several of our suppliers are SEC registrants and subject to the conflict minerals reporting requirement.

Design and Implement a Strategy and Respond to Risks

Our engineers identified 43 unique part numbers in the Equipment business unit which are used in our hard disk drive and solar manufacturing products that contain gold, tantalum, tin and/or tungsten. Our procurement group determined that the 43 unique Equipment part numbers were sourced from 23 suppliers. Of the 23 suppliers surveyed, 5 participated in the EICC/GeSI and remitted completed EICC/GeSI conflict minerals reporting templates


of which 1 was conflict free. Of the remaining 18 suppliers surveyed, 5 responded that they were conflict free, 6 responded that they were in process of performing their assessment and 7 did not respond. We reviewed the supplier responses for completeness, reasonableness and acceptability and followed up with our suppliers for corrections and clarifications as needed.

Our engineers identified 138 unique part numbers in the Photonics business unit which are used in our night vision camera, rifle sight and head mounted display products that contain gold, tantalum, tin and/or tungsten. Our procurement group determined that the 138 unique Photonics part numbers were sourced from 12 suppliers. Of the 12 suppliers surveyed, 3 participated in the EICC/GeSI and remitted completed EICC/GeSI conflict minerals reporting templates. Of the remaining 9 suppliers surveyed, 1 responded that they were conflict free, 4 responded that they were in process of performing their assessment and 4 did not respond. We reviewed the supplier responses for completeness, reasonableness and acceptability and followed up with our suppliers for corrections and clarifications as needed.

 

Determination    Equipment Business Unit    Photonics Business Unit
       (# of suppliers)    Percent    (# of suppliers)    Percent

Conflict Free

   5    22%    1    8%

EICC/GeSI – Conflict Free

   1    4%    0    0%

EICC/GeSI

   4    17%    3    25%

Assessment in Process

   6    27%    4    33%

No Response

   7    30%    4    34%
     23    100%    12    100%

None of the responses we received indicated that the suppliers sourced conflict minerals from the Covered Countries. For those suppliers that included smelter information in their survey responses we compared the smelter ID, if provided, to the list of smelters that were validated as conflict-free in the CFSP. None of our suppliers were able to represent to us that the conflict minerals from the smelters they listed had actually been included in components they supplied to Intevac.

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 conflict minerals and we do not have a direct relationship with smelters and refiners and do not perform direct audits of these entities within our supply chain.

Reporting on Supply Chain Due Diligence

As noted above, in 2014, we filed this Form and this Report with the SEC and a copy of this Report and the Form are publicly available at http://investor.intevac.com/sec.cfm.

Findings and Conclusion

Primarily due to incomplete responses and non-responses provided by the surveyed suppliers, we have concluded that our products are DRC Conflict Undeterminable for calendar year 2013. We are not aware of any product that contains conflict minerals from the DRC that benefited armed groups. The table below lists the smelter information provided by our suppliers:

 

Smelter Counts    Count    Percent

Total Smelters Reported

   215     

Total Smelters IDs Reported

   206    96%

CFSP Conflict Free Smelters

   72    33%

CFSP Active Smelters

   10    5%


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

Efforts to Determine Mine Location

As previously noted, Intevac is several levels removed from the actual mining of conflict minerals and we do not have a direct relationship with smelters and refiners and do not perform direct audits of these entities within our supply chain. Consequently identifying with certainty, the smelters, refiners and recyclers and the source of the conflict minerals they process is an extraordinary challenge. In 2013, the primary focus of our due diligence on the source and chain of custody of the necessary conflict minerals in our supply chain was on the collection and assessment of data gathered, consolidated and provided by our direct suppliers. As a downstream supplier, we base our due diligence program on current industry guidance and practices for implementing the OECD Framework, which leads us to investigate the smelters and refiners in our supply chain, and to compare these to independently verified lists (such as the CFSP list.) Intevac’s primary means of determining country of origin of conflict minerals necessary to the functionality and production of our products was by conducting a supply-chain survey with our direct suppliers. We expect to gather the necessary information to determine mine location through CFSP audits.

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 conflict minerals 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 EICC/GeSI conflict minerals reporting template. Since the end of 2013, we have asked each non-responsive supplier to explain why they did not respond to our request for information. We believe that the quantity and quality of information related to sourcing and traceability of materials in the supply chain will continue to improve in the years to come. We have started the process of including provisions related to gathering conflict minerals information in our supply contracts to encourage greater cooperation by the companies in our supply chain.

Independent Private Sector Audit

An audit was not required for calendar year 2013.


Appendix A

 

Mineral   Smelter Name   Refiner Country   ID #   CFSI
(*)
Gold   Aida Chemical Industries Co. Ltd.   JAPAN   1JPN072  
Gold   AGR Matthey   AUSTRALIA   1AUS046  
Gold   Allgemeine Gold- und Silberscheideanstalt A.G.   GERMANY   1DEU001   C
Gold   Almalyk Mining and Metallurgical Complex (AMMC)   UZBEKISTAN   1UZB002  
Gold   AngloGold Ashanti Mineração Ltda   BRAZIL   1BRA003   C
Gold   Argor-Heraeus SA   SWITZERLAND   1CHE004   C
Gold   Asahi Pretec Corporation   JAPAN   1JPN005  
Gold   Asaka Riken Co. Ltd.   JAPAN   1JPN073  
Gold   Atasay Kuyumculuk Sanayi Ve Ticaret A.S.   TURKEY   1TUR006  
Gold   Aurubis AG   GERMANY   1DEU007  
Gold   Bangko Sentral ng Pilipinas (Central Bank of the Philippines)   PHILIPPINES   1PHL008  
Gold   Boliden AB   SWEDEN   1SWE009   A
Gold   Caridad   MEXICO   1MEX010  
Gold   Cendres & Métaux SA   SWITZERLAND   1CHE011   A
Gold   Central Bank of the DPR of Korea   KOREA, REPUBLIC OF   1KOR012  
Gold   Chimet SpA   ITALY   1ITA013   C
Gold   Chugai Mining   JAPAN   1JPN078  
Gold   Codelco   CHILE   1CHL014  
Gold   Daejin Indus Co. Ltd.   KOREA, REPUBLIC OF   1KOR082  
Gold   DaeryongENC   KOREA, REPUBLIC OF   1KOR083  
Gold   Do Sung Corporation   KOREA, REPUBLIC OF   1KOR084  
Gold   Dowa   JAPAN   1JPN015   C
Gold   FSE Novosibirsk Refinery   RUSSIAN FEDERATION   1RUS016  
Gold   Heimerle + Meule GmbH   GERMANY   1DEU017   C
Gold   Heraeus Ltd Hong Kong   HONG KONG   1HKG019   C
Gold   Heraeus Precious Metals GmbH & Co. KG   GERMANY   1DEU018   C
Gold   Hwasung CJ Co. Ltd.   KOREA, REPUBLIC OF   1KOR085  
Gold   Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited   CHINA   1CHN020  
Gold   Ishifuku Metal Industry Co., Ltd.   JAPAN   1JPN021   C
Gold   Istanbul Gold Refinery   TURKEY   1TUR069   C
Gold   Japan Mint   JAPAN   1JPN022  
Gold   Jiangxi Copper Company Limited   CHINA   1CHN023  
Gold   Johnson Matthey Inc.   UNITED STATES   1USA025   C
Gold   Johnson Matthey Limited   CANADA   1CAN024   C
Gold   JSC Ekaterinburg Non-Ferrous Metal Processing Plant   RUSSIAN FEDERATION   1RUS026  
Gold   JSC Uralectromed   RUSSIAN FEDERATION   1RUS027  
Gold   JX Nippon Mining & Metals Co., Ltd.   JAPAN   1JPN028   C
Gold   Kazzinc Ltd.   KAZAKHSTAN   1KAZ029  
Gold   Kojima Chemicals Co. Ltd.   JAPAN   1JPN074   C
Gold   Korea Metal Co. Ltd.   KOREA, REPUBLIC OF   1KOR086  
Gold   Kyrgyzaltyn JSC   KYRGYZSTAN   1KGZ030  
Gold   L’ azurde Company For Jewelry   SAUDI ARABIA   1SAU031  
Gold   La Caridad   MEXICO   1MEX010  
Gold   LS-Nikko Copper Inc.   KOREA, REPUBLIC OF   1KOR032   C
Gold   Materion   UNITED STATES   1USA033   C
Gold   Matsuda Sangyo Co. Ltd.   JAPAN   1JPN034   C
Gold   Metalor Technologies (Hong Kong) Ltd.   HONG KONG   1HKG036   C
Gold   Metalor Technologies SA   SWITZERLAND   1CHE035   C


Mineral   Smelter Name   Refiner Country   ID #   CFSI
Gold   Metalor USA Refining Corporation   UNITED STATES   1USA037   C
Gold   Met-Mex Peñoles, S.A.   MEXICO   1MEX038  
Gold   Mitsubishi Materials Corporation   JAPAN   1JPN039   C
Gold   Mitsui Mining and Smelting Co., Ltd.   JAPAN   1JPN040   C
Gold   Moscow Special Alloys Processing Plant   RUSSIAN FEDERATION   1RUS041  
Gold   Nadir Metal Rafineri San. Ve Tic. A.Ş.   TURKEY   1TUR070  
Gold   Navoi Mining and Metallurgical Combinat   UZBEKISTAN   1UZB042  
Gold   Nihon Material Co. LTD.   JAPAN   1JPN071   C
Gold   Ohio Precious Metals LLC.   UNITED STATES   1USA043   C
Gold   OJSC Gulidov Krasnoyarsk Non-Ferrous Metals Plant   RUSSIAN FEDERATION   1RUS044  
Gold   OJSC Kolyma Refinery   RUSSIAN FEDERATION   1RUS067  
Gold   PAMP SA   SWITZERLAND   1CHE045   C
Gold   Pan Pacific Copper Co. LTD.   JAPAN   1JPN080  
Gold   Perth Mint (Western Australia Mint)   AUSTRALIA   1AUS046   C
Gold   Prioksky Plant of Non-Ferrous Metals   RUSSIAN FEDERATION   1RUS047  
Gold   PT Aneka Tambang (Persero) Tbk   INDONESIA   1IDN048  
Gold   PX Précinox SA   SWITZERLAND   1CHE068  
Gold   Rand Refinery (Pty) Ltd.   SOUTH AFRICA   1ZAF049   C
Gold   Royal Canadian Mint   CANADA   1CAN050   C
Gold   Sabin Metal Corp.   UNITED STATES   1USA075  
Gold   SAMWON METALS Corp.   KOREA, REPUBLIC OF   1KOR087  
Gold   Schone Edelmetaal   NETHERLANDS   1NLD051  
Gold   SEMPSA Joyeria Plateria SA   SPAIN   1ESP052   C
Gold   Shandong Zhaojin Gold & Silver Refinery Co. Ltd   CHINA   1CHN054  
Gold   SOE Shyolkovsky Factory of Secondary Precious Metals   RUSSIAN FEDERATION   1RUS055  
Gold   Solar Applied Materials Technology Corp.   TAIWAN   1TWN056   C
Gold   Sumitomo Metal Mining Co. Ltd.   JAPAN   1JPN057   C
Gold   Suzhou Xingrui Noble   CHINA   1CHN079  
Gold   Tanaka Kikinzoku Kogyo K.K.   JAPAN   1JPN058   C
Gold   The Great Wall Gold and Silver Refinery of China   CHINA   1CHN059  
Gold   The Refinery of Shandong Gold Mining Co. Ltd.   CHINA   1CHN053  
Gold   Tokuriki Honten Co. Ltd.   JAPAN   1JPN060   C
Gold   Tokuriki Tokyo Melters Assayers   JAPAN    
Gold   Torecom   KOREA, REPUBLIC OF   1KOR081  
Gold   Toyo Smelter & Refinery   JAPAN    
Gold   Umicore Brasil Ltda   BRAZIL   1BRA061  
Gold   Umicore SA Business Unit Precious Metals Refining   BELGIUM   1BEL062   C
Gold   United Precious Metal Refining, Inc.   UNITED STATES   1USA076   C
Gold   Valcambi SA   SWITZERLAND   1CHE063   C
Gold   W.C. Heraeus GmbH   GERMANY    
Gold   Xstrata Canada Corporation   CANADA   1CAN064  
Gold   Yokohama Metal Co Ltd.   JAPAN   1JPN077  
Gold   Zhongyuan Gold Smelter of Zhongjin Gold Corporation   CHINA   1CHN065  
Gold   Zijin Mining Group Co. Ltd.   CHINA   1CHN066  
Tantalum   Cabot Supermetals   UNITED STATES    
Tantalum   Conghua Tantalum and Niobium Smeltry   CHINA   3CHN019   C
Tantalum   Duoluoshan   CHINA   3CHN001   C
Tantalum   Exotech Inc.   UNITED STATES   3USA002   C
Tantalum   F&X   CHINA   3CHN003   C


Mineral   Smelter Name   Refiner Country   ID #   CFSI
Tantalum   Gannon & Scott   UNITED STATES   3USA004  
Tantalum   Global Advanced Metals   UNITED STATES   3USA005   C
Tantalum   H.C. Starck GmbH   GERMANY   3DEU006   C
Tantalum   Hi-Temp   UNITED STATES   3USA016   C
Tantalum   JiuJiang JinXin Nonferrous Metals Co. Ltd.   CHINA   3CHN020   C
Tantalum   JiuJiang Tambre Co. Ltd.   CHINA   3CHN007   C
Tantalum   Kemet Blue Powder   UNITED STATES   3USA010   C
Tantalum   King-Tan Tantalum Industry Ltd.   CHINA   3CHN026  
Tantalum   LMS Brasil S.A.   BRAZIL   3BRA021   C
Tantalum   Mitsui Mining & Smelting   JAPAN   3JPN008   C
Tantalum   Molycorp Silmet   ESTONIA   3EST025   C
Tantalum   Ningxia Orient Tantalum Industry Co., Ltd.   CHINA   3CHN009   C
Tantalum   Plansee   AUSTRIA   3AUT011   C
Tantalum   QuantumClean   UNITED STATES   3USA022   C
Tantalum   RFH   CHINA   3CHN017   C
Tantalum   Solikamsk Metal Works   RUSSIAN FEDERATION   3RUS012   C
Tantalum   Taki Chemicals   JAPAN   3JPN023   C
Tantalum   Tantalite Resources   SOUTH AFRICA   3ZAF024   C
Tantalum   Telex   UNITED STATES   3USA018   C
Tantalum   Ulba   KAZAKHSTAN   3KAZ014   C
Tantalum   Zhuzhou Cement Carbide   CHINA   3CHN015   C
Tin   Alpha Metals   UNITED STATES   2USA001   C
Tin   CNMC (Guangxi) PGMA Co. Ltd.   CHINA   2CHN050  
Tin   Chengfeng Metals Co Pte Ltd.   CHINA    
Tin   China Minmetals   CHINA   2CHN051  
Tin   Cookson   UNITED STATES   2USA001  
Tin   Cooper Santa   BRAZIL   2BRA063   A
Tin   CV DS Jaya Abadi   INDONESIA    
Tin   CV Duta Putra Bangka   INDONESIA   2IDN003  
Tin   CV Gita Pesona   INDONESIA   2IDN056  
Tin   CV JusTindo   INDONESIA   2IDN004  
Tin   CV Makmur Jaya   INDONESIA   2IDN005  
Tin   CV Nurjanah   INDONESIA   2IDN006  
Tin   CV Prima Timah Utama   INDONESIA   2IDN007  
Tin   CV Serumpun Sebalai   INDONESIA   2IDN008  
Tin   CV United Smelting   INDONESIA   2IDN009   A
Tin   EM Vinto   BOLIVIA   2BOL010  
Tin   Fenix Metals   POLAND   2POL064  
Tin   Funsur Smelter   PERU   2PER019  
Tin   Geiju Non-Ferrous Metal Processing Co. Ltd.   CHINA   2CHN012   C
Tin   Gejiu Zi-Li   CHINA   2CHN011  
Tin   Gold Bell Group   CHINA   2CHN013  
Tin   Huichang Jinshunda Tin Co. Ltd.   CHINA   2CHN052  
Tin   Jiangxi Nanshan   CHINA   2CHN014  
Tin   Kai Unita Trade Limited Liability Company   CHINA   2CHN053  
Tin   Linwu Xianggui Smelter Co.   CHINA   2CHN055  
Tin   Liuzhou China Tin   CHINA   2CHN015  
Tin   Malaysia Smelting Corporation (MSC)   MALAYSIA   2MYS016   C
Tin   Metallo Chimique   BELGIUM   2BEL017  
Tin   Mineração Taboca S.A.   BRAZIL   2BRA018   C


Mineral   Smelter Name   Refiner Country   ID #   CFSI
Tin   Minmetals Ganzhou Tin Co. Ltd.   CHINA   2CHN051  
Tin   Minsur   PERU   2PER019   C
Tin   Mitsubishi Materials Corporation   JAPAN   2JPN020   C
Tin   Novosibirsk Integrated Tin Works   RUSSIAN FEDERATION   2RUS021  
Tin   OMSA   BOLIVIA   2BOL022   C
Tin   PT Alam Lestari Kencana   INDONESIA   2IDN023  
Tin   PT Artha Cipta Langgeng   INDONESIA   2IDN024  
Tin   PT Babel Inti Perkasa   INDONESIA   2IDN025  
Tin   PT Babel Surya Alam Lestari   INDONESIA   2IDN026  
Tin   PT Bangka Kudai Tin   INDONESIA   2IDN027  
Tin   PT Bangka Putra Karya   INDONESIA   2IDN028   A
Tin   PT Bangka Timah Utama Sejahtera   INDONESIA   2IDN029  
Tin   PT Bangka Tin Industry   INDONESIA   2IDN058   A
Tin   PT Belitung Industri Sejahtera   INDONESIA   2IDN030  
Tin   PT BilliTin Makmur Lestari   INDONESIA   2IDN031  
Tin   PT Bukit Timah   INDONESIA   2IDN032   C
Tin   PT DS Jaya Abadi   INDONESIA   2IDN059  
Tin   PT Eunindo Usaha Mandiri   INDONESIA   2IDN033   A
Tin   PT Fang Di MulTindo   INDONESIA   2IDN034  
Tin   PT HP Metals Indonesia   INDONESIA   2IDN035  
Tin   PT Karimun Mining   INDONESIA   2IDN062  
Tin   PT Koba Tin   INDONESIA   2IDN036  
Tin   PT Mitra Stania Prima   INDONESIA   2IDN037  
Tin   PT Panca Mega   INDONESIA   2IDN060  
Tin   PT Refined Banka Tin   INDONESIA   2IDN038   A
Tin   PT Sariwiguna Binasentosa   INDONESIA   2IDN039  
Tin   PT Seirama Tin investment   INDONESIA   2IDN061  
Tin   PT Stanindo Inti Perkasa   INDONESIA   2IDN040   A
Tin   PT Sumber Jaya Indah   INDONESIA   2IDN041  
Tin   PT Tambang Timah   INDONESIA   2IDN049   C
Tin   PT Timah   INDONESIA   2IDN042   C
Tin   PT Timah Nusantara   INDONESIA   2IDN043  
Tin   PT Tinindo Inter Nusa   INDONESIA   2IDN044  
Tin   PT Tommy Utama   INDONESIA   2IDN057  
Tin   PT Yinchendo Mining Industry   INDONESIA   2IDN045  
Tin   Taboca   BRAZIL   2BRA018  
Tin   Thailand Smelting and Refining Co. LTD.   THAILAND   2THA046  
Tin   Thaisarco   THAILAND   2THA046   C
Tin   White Solder Metalurgia   BRAZIL   2BRA054   C
Tin   Yunnan Chengfeng   CHINA   2CHN047   A
Tin   Yunnan Tin Company Limited   CHINA   2CHN048   C
Tin   Yuntinic Resources Inc.   CHINA    
Tungsten   A.L.M.T. Corp.   JAPAN   4JPN020  
Tungsten   ATI Tungsten Materials   UNITED STATES   4USA001  
Tungsten   Chaozhou Xianglu Tungsten Industry Co Ltd.   CHINA   4CHN002  
Tungsten   China Minmetals Nonferrous Metals Co Ltd.   CHINA   4CHN003  
Tungsten   Chongyi Zhangyuan Tungsten Co Ltd.   CHINA   4CHN004  
Tungsten   Dayu Weiliang Tungsten Co., Ltd.   CHINA   4CHN021  
Tungsten   Fujian Jinxin Tungsten Co., Ltd.   CHINA   4CHN022  
Tungsten   Ganzhou Grand Sea W & Mo Group Co Ltd.   CHINA   4CHN016  


Mineral   Smelter Name   Refiner Country   ID #   CFSI
Tungsten   Ganzhou Huaxing Tungsten Products Co. LTD.   CHINA   4CHN016  
Tungsten   Ganzhou Nonferrous Metals Smelting Co Ltd.   CHINA    
Tungsten   Global Tungsten & Powders Corp.   UNITED STATES   4USA007  
Tungsten   HC Starck GmbH   GERMANY   4DEU008  
Tungsten   Hunan Chenzhou Mining Group Co.   CHINA   4CHN018  
Tungsten   Hunan Chun-Chang Nonferrous Smelting & Concentrating Co., Ltd.   CHINA   4CHN023  
Tungsten   Japan New Metals Co. Ltd.   JAPAN   4JPN017  
Tungsten   Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.   CHINA   4CHN024  
Tungsten   Jiangxi Rare Earth & Rare Metals Tungsten Group Corp   CHINA   4CHN009  
Tungsten   Jiangxi Tungsten Industry Group Co. Ltd.   CHINA   4CHN010  
Tungsten   Kennametal Inc.   UNITED STATES   4USA026  
Tungsten   Sichuan Metals & Materials Imp & Exp Co.   CHINA    
Tungsten   Tejing (Vietnam) Tungsten Co. Ltd.   VIETNAM   4VNM019  
Tungsten   Wolfram Bergbau und Hütten AG   AUSTRIA   4AUT012  
Tungsten   Wolfram Company CJSC   RUSSIAN FEDERATION   4RUS013  
Tungsten   Xiamen Tungsten Co. Ltd.   CHINA   4CHN014  
Tungsten   Xinhai Rendan Shaoguan Tungsten Co., Ltd.   CHINA   4CHN025  
Tungsten   Zhuzhou Cemented Carbide Group Co. Ltd.   CHINA   4CHN015  

Notes:

* As of April 30, 2014, this column indicates whether the known smelter or refiner participates in the CFSP as a smelter that sources conflict minerals in a manner that does not finance or benefit armed groups in the Covered Countries. For purposes of this column, “C” denotes that the smelter participates in the CFSP and has been certified and audited by the CFSI and “A” denotes that the smelter has agreed to participate in the CFSP, but that the audit process has not yet been completed.