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)

James Moniz

(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:

 

x Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1, 2015 to December 31, 2015.

 

 

 


Section 1 Conflict Minerals Disclosure

 

Item 1.01 Conflict Minerals Disclosure and Report

With respect to the reporting period from January 1, 2015 to December 31, 2015, 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 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, 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 as Exhibit 1.01 hereto.

 

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 1.01 to this Form. A copy of this Form and the Conflict Minerals Report are publically available at www.intevac.com .

 

Section 2 Exhibits

 

Item 2.01 Exhibits

 

Exhibit

Number

  

Description

Exhibit 1.01    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: May 31, 2016    

/s/ JAMES MONIZ

    James Moniz
    Executive Vice President, Finance and Administration,
    Chief Financial Officer, Treasurer and Secretary


EXHIBIT INDEX

 

Exhibit

Number

  

Description

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

Exhibit 1.01

Conflict Minerals Report

For the Year Ended December 31, 2015

This Conflict Minerals Report (this “Report” or “CMR”) for Intevac, Inc. (the “Company”) covers the reporting period from January 1, 2015 to December 31, 2015, 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 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 defined 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 2015 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 Products:

200Lean ® , technology upgrades and spare parts.

   Hard disk drive manufacturing equipment

MATRIX™PVD, ENERGi™

   Solar manufacturing equipment

VERTEX™PVD

   Display cover panel coating equipment
Photonics Products:

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 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 suppliers of raw materials and components that contain 3TG. For 2015, we expanded our Conflict Minerals Program and conducted a second phase which included surveying certain sub-tier suppliers to the Company’s printed circuit board assembly and cable assembly suppliers.

RCOI for the 2015 Reporting Year

For 2015, we conducted a supply-chain survey with our direct suppliers and certain sub-tier suppliers to obtain country of origin information for the necessary 3TG in our products using the template developed by the Electronic Industry Citizenship Coalition (“EICC”) and Global e-Sustainability Initiative (“GeSI”) (the Conflict Mineral Report Template or “CMRT”). The CMRT requests suppliers to identify the smelters and refiners and countries of origin of the 3TG in products they supply to Intevac. We summarized the country of origin information as provided on the CMRTs for the smelters and refiners identified by the supply-chain survey.


We also compared the smelters and refiners identified in the surveys against the lists of facilities which have received a “conflict free” designation by the Conflict-Free Smelter Program (“CFSP”) or other independent third party audit program 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    Austria, Brazil, Burundi, Chile, China, DRC-Congo, Estonia, Ethiopia, Germany, India, Japan, Kazakhstan, Malaysia, Mexico, Mozambique, Niger, Nigeria, Peru, Russian Federation, Rwanda, Thailand and United States
Tin    Australia, Belgium, Bolivia, Brazil, Burundi, Canada, Chile, China, DRC-Congo, Germany, Indonesia, Japan, Kazakhstan, Malaysia, Mexico, Nigeria, Peru, Philippines, Poland, Russian Federation, Rwanda, Taiwan, Thailand, United States and Vietnam
Tungsten    Australia, Austria, Bolivia, Brazil, Canada, China, Germany, Japan, Republic of Korea, Peru, Philippines, Portugal, Russian Federation, Spain, Thailand, United States and Vietnam
Gold    Argentina, Australia, Austria, Belgium, Brazil, Canada, Chile, China, France, Germany, Ghana, Guinea, Hong Kong, India, Indonesia, Italy, Japan, Kazakhstan, Republic of Korea, Kyrgyzstan, Laos, Malaysia, Mali, Mexico, Mongolia, Mozambique, Namibia, Netherlands, New Zealand, Papua New Guinea, Peru, Philippines, Poland, Russian Federation, Saudi Arabia, Singapore, South Africa, Spain, Sweden, Switzerland, Taiwan, Tajikistan, Thailand, Turkey, United Arab Emirates, United Kingdom, United States, Uzbekistan 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 and Photonics 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 (Second Edition, OECD 2013) and the related Supplements (collectively, the “OECD Guidance”), an internationally recognized due diligence framework.

Management Systems

Internal Team

Our Conflict Minerals Program is overseen by our Senior Vice President of Operations. We assembled a conflict minerals project team with representatives from engineering, procurement, environmental health & safety and finance from both of our business units, Thin-film Equipment and Photonics, 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’s Thin-film Equipment and Photonics business units do not make purchases of raw ore or unrefined 3TG and make no 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 EICC-GeSI and the CFSP.


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 smelters or refineries 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 smelters and refineries, we rely on our surveyed suppliers to provide us with up-to-date and accurate smelter and refinery sourcing information. Our adoption and utilization of the industry standard CFSI 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 minimize the use of 3TG that finance or benefit armed groups.

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 1-800-826-6762.

Records Maintenance

We have retained all relevant documentation from our RCOI and due diligence. We established a conflict minerals library on the Company’s network to retain information relevant to our conflict minerals compliance process electronically.

Identify and Assess Risk in the Supply Chain

Our engineers and procurement group reviewed our parts inventory records and active suppliers and identified 61 direct suppliers in our Thin-film Equipment business and 26 direct suppliers in our Photonics business who supply components to us containing 3TG. These suppliers represent approximately 56% of our total 2015 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. Our direct suppliers are similarly reliant upon information provided by their suppliers.

For 2015, we expanded our Conflict Minerals Program and conducted a second phase which included surveying 192 sub-tier suppliers to the Company’s printed circuit board assembly and cable assembly suppliers. These sub-tier suppliers were identified by reviewing the bills of materials of outsourced assemblies that are manufactured for us by contract manufacturers.

We obtained a 95% 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 2015:

 

    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, that suppliers would obtain information from their supply chains regarding entities that process necessary conflict minerals and provide that information to us using the CMRT, which includes questions regarding the smelter, refiner, recycler or scrap processor of necessary 3TG and location or mine of origin;

 

    Conducted an internal business review that identified 87 direct suppliers of materials, parts, components or products containing necessary 3TG in 2015 compared to 55 surveyed suppliers in 2014 and compared to 35 surveyed suppliers in 2013;

 

    Conducted a second phase which included surveying 192 sub-tier suppliers to the Company’s printed circuit board assembly and cable assembly suppliers;

 

    Sent reminder letters to surveyed suppliers that did not provide a completed CMRT;

 

    Reviewed submitted CMRTs and sent follow up questions to surveyed suppliers whose CMRT did not meet our expectations;

 

    Reviewed the smelters and refiners identified by suppliers in the CMRT against information provided by the CFSI to identify the entities;

 

    Compared the smelters and refiners 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 CFSI in April 2016);

 

    Compared the gold smelters and refiners 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;

 

    For smelters and refiners in our supply chain that did not participate in an audit process in 2015, 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;

 

    We read information published by non-government organizations such as the International Tin Supply Chain Initiative (iTSCi) and the Enough Project; and

 

    For smelters and refiners in our supply chain that we considered to be of high risk, we notified our suppliers that reported those specific facilities in their CMRT to either encourage or require those facilities to participate in a CFSP audit or transition sourcing away from the unvalidated facilities.

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 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 2016, 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

The table below lists the smelter information provided by our suppliers:

For calendar year 2015, Intevac identified 321 smelters and refiners as potential sources of 3TG that were reported to be in its supply chain at some point during the year. Of those 321 smelters and refiners, 219 have been verified as conflict-free as determined through third party verification by the CFSI, LBMA or RJC, and an additional 51 have begun the audit process.

 

Smelters and refiners verified as conflict-free or in the audit process

 

Tantalum

     49 of 49 (100 %) 

Tin

     77 of 91 (85 %) 

Tungsten

     47 of 50 (94 %) 

Gold

     97 of 131 (74 %) 
  

 

 

 

Total

     270 of 321 (84 %) 
  

 

 

 

The number of smelters and refiners in Intevac’s supply chain as of December 31, 2015 that are verified as conflict-free or in the audit process increased over the prior year.

 

Status of identified

smelters and refiners

   2015      2014      2013  

Verified conflict-free

     219         166         72   

Participating in an audit process

     51         37         10   

Not participating

     51         66         133   
  

 

 

    

 

 

    

 

 

 

Total

     321         269         215   
  

 

 

    

 

 

    

 

 

 

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

Efforts to Determine Mine Location

For 2015, our efforts to determine the mines of origin were limited to information obtained from the CMRTs or reported by the facilities on their websites.

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 95% in both 2015 and 2014 and 69% in 2013. 266 surveyed suppliers completed declaration statements in 2015 compared to 52 suppliers in 2014 and compared to 24 suppliers in 2013. And 229 surveyed suppliers completed the CMRT providing smelter information in 2015 compared to 36 suppliers in 2014 and compared to 8 suppliers in 2013. 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 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 2016 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;


    Evaluate new systems for the collection and management of Conflict Minerals reporting data;

 

    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 smelters identified through our good faith RCOI and related due diligence processes to the evolving lists of smelters who have been designated as “conflict free” through independent “conflict free” smelter validation programs; and

 

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

Independent Private Sector Audit

An audit was not required for calendar year 2015.


Appendix A

 

Metal    Smelter or Refiner Name   Smelter Country   

Smelter

Identification

  CSFI (a)    
Gold    Accurate Refining Group   UNITED STATES    CID001754    
Gold    Advanced Chemical Company   UNITED STATES    CID000015   Active  
Gold    AGR Mathey   AUSTRALIA    CID002030   Compliant   (b)
Gold    Aida Chemical Industries Co., Ltd.   JAPAN    CID000019   Compliant  
Gold    Aktyubinsk Copper Company TOO   KAZAKHSTAN    CID000028    
Gold    Al Etihad Gold Refinery DMCC   UNITED ARAB EMIRATES    CID002560     (f)
Gold    Allgemeine Gold-und Silberscheideanstalt A.G.   GERMANY    CID000035   Compliant   (b), (c)
Gold    Almalyk Mining and Metallurgical Complex (AMMC)   UZBEKISTAN    CID000041   Active   (b)
Gold    Amagasaki Factory, Hyogo Prefecture, Japan   JAPAN    CID000082   Compliant   (b)
Gold    AngloGold Ashanti Córrego do Sítio Mineração   BRAZIL    CID000058   Compliant   (b)
Gold    Anhui Tongling Nonferrous Metal Mining Co., Ltd.   CHINA    CID001947     (g)
Gold    Argor-Heraeus S.A.   SWITZERLAND    CID000077   Compliant   (b), (c), (f)
Gold    Asahi Refining Canada Limited   CANADA    CID000924   Compliant  
Gold    Asahi Refining USA Inc.   UNITED STATES    CID000920   Compliant  
Gold    Asaka Riken Co., Ltd.   JAPAN    CID000090   Compliant  
Gold    ATAkulche   TURKEY    CID000103   Compliant   (b)
Gold    Aurubis AG   GERMANY    CID000113   Compliant   (b)
Gold    Bangko Sentral ng Pilipinas (Central Bank of the Philippines)   PHILIPPINES    CID000128   Compliant   (b)
Gold    Bauer Walser AG   GERMANY    CID000141    
Gold    Boliden AB   SWEDEN    CID000157   Compliant   (b)
Gold    C. Hafner GmbH + Co. KG   GERMANY    CID000176   Compliant   (b), (c)
Gold    Caridad   MEXICO    CID000180    
Gold    CCR Refinery - Glencore Canada Corporation   CANADA    CID000185   Compliant   (g)
Gold    Cendres + Métaux S.A.   SWITZERLAND    CID000189   Active  
Gold    CHALCO Yunnan Copper Co. Ltd.   CHINA    CID000197     (g)
Gold    Chimet S.p.A.   ITALY    CID000233   Compliant   (b)
Gold    China’s Shandong Gold Mining Co., Ltd.   CHINA    CID001916   Compliant   (b)
Gold    Chugai Mining   JAPAN    CID000264    
Gold    Daejin Indus Co., Ltd.   KOREA, REPUBLIC OF    CID000328   Active  
Gold    Daye Non-Ferrous Metals Mining Ltd.   CHINA    CID000343    
Gold    Do Sung Corporation   KOREA, REPUBLIC OF    CID000359   Active  
Gold    Doduco GmbH   GERMANY    CID000362   Compliant  
Gold    Dowa   JAPAN    CID000401   Compliant  
Gold    Eco-System Recycling Co., Ltd.   JAPAN    CID000425   Compliant  
Gold    Elemetal Refining, LLC   UNITED STATES    CID001322   Compliant   (b)
Gold    Emirates Gold DMCC   UNITED ARAB EMIRATES    CID002561   Compliant   (f)
Gold    Faggi Enrico S.p.A.   ITALY    CID002355   Active  
Gold    Fidelity Printers and Refiners Ltd.   ZIMBABWE    CID002515    
Gold    FSE Novosibirsk Refinery   RUSSIAN FEDERATION    CID000493   Compliant  
Gold    Gansu Seemine Material Hi-Tech Co., Ltd.   CHINA    CID000522    
Gold    Geib Refining Corporation   UNITED STATES    CID002459   Active  
Gold    Great Wall Precious Metals Co,. Ltd.   CHINA    CID001909     (b)
Gold    Guangdong Gaoyao Co.   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   Compliant   (b)
Gold    Heraeus Ltd. Hong Kong   CHINA    CID000707   Compliant   (b), (f)
Gold    Heraeus Precious Metals GmbH & Co. KG   GERMANY    CID000711   Compliant   (b)
Gold    Hunan Chenzhou Mining Co., Ltd.   CHINA    CID000767    
Gold    Hwasung CJ Co., Ltd.   KOREA, REPUBLIC OF    CID000778    
Gold    Inner Mongolia Qiankun Gold and Silver Refinery Co., Ltd.   CHINA    CID000801   Compliant   (b)
Gold    Ishifuku Metal Industry Co., Ltd.   JAPAN    CID000807   Compliant   (b)
Gold    Istanbul Gold Refinery   TURKEY    CID000814   Compliant   (b), (f)
Gold    Japan Mint   JAPAN    CID000823   Compliant   (b)
Gold    Jiangxi Copper Company Limited   CHINA    CID000855   Compliant   (b)
Gold    JSC Ekaterinburg Non-Ferrous Metal Processing Plant   RUSSIAN FEDERATION    CID000927   Compliant   (b)
Gold    JSC Uralelectromed   RUSSIAN FEDERATION    CID000929   Compliant   (b)
Gold    JX Nippon Mining & Metals Co., Ltd.   JAPAN    CID000937   Compliant   (b)
Gold    Kaloti Precious Metals   UNITED ARAB EMIRATES    CID002563    
Gold    Kazakhmys Smelting LLC   KAZAKHSTAN    CID000956    
Gold    Kazzinc   KAZAKHSTAN    CID000957   Compliant   (b)
Gold    Kennecott Utah Copper LLC   UNITED STATES    CID000969   Compliant   (b)
Gold    KGHM Polska Miedź Spółka Akcyjna   POLAND    CID002511   Active  
Gold    Kojima Chemicals Co., Ltd.   JAPAN    CID000981   Compliant  
Gold    Korea Metal Co., Ltd.   KOREA, REPUBLIC OF    CID000988    
Gold    Korea Zinc Co. Ltd.   KOREA, REPUBLIC OF    CID002605   Active  
Gold    Kyrgyzaltyn JSC   KYRGYZSTAN    CID001029     (b), (f)
Gold    L’ azurde Company For Jewelry   SAUDI ARABIA    CID001032   Compliant   (b), (f)
Gold    Lingbao Gold Company Limited   CHINA    CID001056    
Gold    Lingbao Jinyuan Tonghui Refinery Co., Ltd.   CHINA    CID001058    
Gold    LS-NIKKO Copper Inc.   KOREA, REPUBLIC OF    CID001078   Compliant   (b)
Gold    Luoyang Zijin Yinhui Gold Refinery Co., Ltd.   CHINA    CID001093    
Gold    Materion   UNITED STATES    CID001113   Compliant  
Gold    Matsuda Sangyo Co., Ltd.   JAPAN    CID001119   Compliant   (b)
Gold    Metahub Industries Sdn. Bhd.   MALAYSIA    CID002821    


Metal    Smelter or Refiner Name   Smelter Country   

Smelter

Identification

  CSFI (a)    
Gold    Metalor Switzerland   SWITZERLAND    CID001153   Compliant   (b), (c)
Gold    Metalor Technologies (Hong Kong) Ltd.   CHINA    CID001149   Compliant   (b)
Gold    Metalor Technologies (Singapore) Pte, Ltd.   SINGAPORE    CID001152   Compliant   (b)
Gold    Metalor Technologies (Suzhou) Ltd.   CHINA    CID001147   Active  
Gold    Metalor USA Refining Corporation   UNITED STATES    CID001157   Compliant   (b)
Gold    METALÚRGICA MET-MEX PEÑOLES, S.A. DE C.V.   MEXICO    CID001161   Compliant  
Gold    Mitsubishi Materials Corporation   JAPAN    CID001188   Compliant   (b)
Gold    Mitsui Kinzoku Co., Ltd.   JAPAN    CID001193   Compliant   (b), (e)
Gold    MMTC-PAMP India Pvt., Ltd.   INDIA    CID002509   Compliant  
Gold    Morris and Watson   NEW ZEALAND    CID002282    
Gold    Moscow Special Alloys Processing Plant   RUSSIAN FEDERATION    CID001204   Compliant  
Gold    Nadir Metal Rafineri San. Ve Tic. A.Ş.   TURKEY    CID001220   Compliant   (b), (f)
Gold    Navoi Mining and Metallurgical Combinat   UZBEKISTAN    CID001236   Active   (b)
Gold    Nihon Material Co., Ltd.   JAPAN    CID001259   Compliant   (b)
Gold    Ögussa Österreichische Gold- und Silber-Scheideanstalt   AUSTRIA    CID002779   Compliant  
Gold    Ohura Precious Metal Industry Co., Ltd.   JAPAN    CID001325   Compliant  
Gold    OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant”   RUSSIAN FEDERATION    CID001326   Compliant   (b)
Gold    OJSC Kolyma Refinery   RUSSIAN FEDERATION    CID001328     (b)
Gold    PAMP S.A.   SWITZERLAND    CID001352   Compliant   (b), (c), (f)
Gold    Penglai Pegang Gold Industry Co., Ltd.   CHINA    CID001362    
Gold    Prioksky Plant of Non-Ferrous Metals   RUSSIAN FEDERATION    CID001386   Compliant   (b)
Gold    PT Aneka Tambang (Persero) Tbk   INDONESIA    CID001397   Compliant   (b)
Gold    PX Précinox S.A.   SWITZERLAND    CID001498   Compliant   (c)
Gold    Rand Refinery (Pty) Ltd.   SOUTH AFRICA    CID001512   Compliant   (b), (c), (f), (g)
Gold    Republic Metals Corporation   UNITED STATES    CID002510   Compliant   (b)
Gold    Royal Canadian Mint   CANADA    CID001534   Compliant   (b)
Gold    SAAMP   FRANCE    CID002761     (c)
Gold    Sabin Metal Corp.   UNITED STATES    CID001546    
Gold    Samdok Metal   KOREA, REPUBLIC OF    CID001555   Active  
Gold    SAMWON Metals Corp.   KOREA, REPUBLIC OF    CID001562    
Gold    SAXONIA Edelmetalle GmbH   GERMANY    CID002777   Active  
Gold    Schone Edelmetaal B.V.   NETHERLANDS    CID001573   Compliant   (b)
Gold    SEMPSA Joyería Platería S.A.   SPAIN    CID001585   Compliant   (b)
Gold    Shandong Tarzan Bio-Gold Industry Co., Ltd.   CHINA    CID001619    
Gold    Shandong Zhaojin Gold & Silver Refinery Co., Ltd.   CHINA    CID001622   Compliant   (b)
Gold    Shonan Plant Tanaka Kikinzoku   JAPAN    CID001875   Compliant   (b)
Gold    Sichuan Tianze Precious Metals Co., Ltd.   CHINA    CID001736   Compliant   (b)
Gold    Singway Technology Co., Ltd.   TAIWAN    CID002516   Compliant  
Gold    SOE Shyolkovsky Factory of Secondary Precious Metals   RUSSIAN FEDERATION    CID001756   Compliant   (b)
Gold    Solartech   TAIWAN    CID001761   Compliant   (b)
Gold    Sudan Gold Refinery   SUDAN    CID002567     (g)
Gold    Sumitomo Metal Mining Co., Ltd.   JAPAN    CID001798   Compliant   (b)
Gold    T.C.A S.p.A   ITALY    CID002580   Compliant  
Gold    Tokuriki Honten Co., Ltd.   JAPAN    CID001938   Compliant   (b)
Gold    Tony Goetz N.V.   BELGIUM    CID002587    
Gold    Torecom   KOREA, REPUBLIC OF    CID001955   Active  
Gold    Umicore Brasil Ltda.   BRAZIL    CID001977   Compliant   (b)
Gold    Umicore Precious Metals Thailand   THAILAND    CID002314   Compliant  
Gold    Umicore SA Business Unit Precious Metals Refining   BELGIUM    CID001980   Compliant   (b)
Gold    United Precious Metal Refining, Inc.   UNITED STATES    CID001993   Compliant   (c)
Gold    Valcambi S.A.   SWITZERLAND    CID002003   Compliant   (b), (c), (f)
Gold    WIELAND Edelmetalle GmbH   GERMANY    CID002778   Active  
Gold    Yamamoto Precious Metal Co., Ltd.   JAPAN    CID002100   Compliant  
Gold    Yokohama Metal Co., Ltd.   JAPAN    CID002129   Compliant  
Gold    Zhongyuan Gold Smelter of Zhongjin Gold Corporation   CHINA    CID002224   Compliant   (b)
Gold    Zijin Mining Group Co., Ltd. Gold Refinery   CHINA    CID002243   Compliant   (b)
Tantalum    Avon Specialty Metals Ltd.   UNITED KINGDOM    CID002705   Active  
Tantalum    Changsha South Tantalum Niobium Co., Ltd.   CHINA    CID000211   Compliant  
Tantalum    Conghua Tantalum and Niobium Smeltry   CHINA    CID000291   Compliant   (e), (g)
Tantalum    D Block Metals, LLC   UNITED STATES    CID002504   Compliant  
Tantalum    Douluoshan Sapphire Rare Metal Co., Ltd.   CHINA    CID000410   Compliant   (e), (g)
Tantalum    E.S.R. Electronics   UNITED STATES    CID002590   Active  
Tantalum    Exotech Inc.   UNITED STATES    CID000456   Compliant  
Tantalum    F & X Electro-Materials Ltd.   CHINA    CID000460   Compliant   (e)
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   (e)
Tantalum    Guizhou Zhenhua Xinyun Technology Ltd.   CHINA    CID002501   Compliant  
Tantalum    H.C. Starck Co., Ltd.   THAILAND    CID002544   Compliant   (e), (g)
Tantalum    H.C. Starck GmbH Goslar   GERMANY    CID002545   Compliant   (e), (g)
Tantalum    H.C. Starck GmbH Laufenburg   GERMANY    CID002546   Compliant   (e), (g)
Tantalum    H.C. Starck Hermsdorf GmbH   GERMANY    CID002547   Compliant   (e), (g)
Tantalum    H.C. Starck Inc.   UNITED STATES    CID002548   Compliant   (g)
Tantalum    H.C. Starck Ltd.   JAPAN    CID002549   Compliant   (g)
Tantalum    H.C. Starck Smelting GmbH & Co. KG   GERMANY    CID002550   Compliant   (e)


Metal    Smelter or Refiner Name   Smelter Country   

Smelter

Identification

  CSFI (a)    
Tantalum    Hengyang King Xing Lifeng New Materials Co., Ltd.   CHINA    CID002492   Compliant  
Tantalum    Hi-Temp Specialty Metals, Inc.   UNITED STATES    CID000731   Compliant   (g)
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   (e)
Tantalum    Jiujiang Tanbre Co., Ltd.   CHINA    CID000917   Compliant   (e), (g)
Tantalum    Jiujiang Zhongao Tantalum & Niobium Co., Ltd.   CHINA    CID002506   Compliant   (e)
Tantalum    KEMET Blue Metals   MEXICO    CID002539   Compliant   (e), (g)
Tantalum    KEMET Blue Powder   UNITED STATES    CID002568   Compliant   (e), (g)
Tantalum    King-Tan Tantalum Industry Ltd.   CHINA    CID000973   Compliant  
Tantalum    LSM Brasil S.A.   BRAZIL    CID001076   Compliant  
Tantalum    Metallurgical Products India Pvt. Ltd. (MPIL)   INDIA    CID001163   Compliant  
Tantalum    Mineração Taboca S.A.   BRAZIL    CID001175   Compliant  
Tantalum    Mitsui Mining & Smelting   JAPAN    CID001192   Compliant   (e)
Tantalum    Molycorp Silmet A.S.   ESTONIA    CID001200   Compliant   (e)
Tantalum    Ningxia Orient Tantalum Industry Co., Ltd.   CHINA    CID001277   Compliant   (g)
Tantalum    Plansee SE Liezen   AUSTRIA    CID002540   Compliant  
Tantalum    Plansee SE Reutte   AUSTRIA    CID002556   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   RUSSIAN FEDERATION    CID001769   Compliant  
Tantalum    Taki Chemicals   JAPAN    CID001869   Compliant   (e)
Tantalum    Telex Metals   UNITED STATES    CID001891   Compliant  
Tantalum    Tranzact, Inc.   UNITED STATES    CID002571   Compliant  
Tantalum    Ulba Metallurgical Plant JSC   KAZAKHSTAN    CID001969   Compliant   (e), (g)
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   CHINA    CID002232   Compliant  
Tin    Alent PLC   UNITED STATES    CID000292   Compliant  
Tin    An Thai Minerals Company Limited   VIETNAM    CID002825   Active  
Tin    An Vinh Joint Stock Mineral Processing Company   VIETNAM    CID002703   Active  
Tin    Chengfeng Metals Co Pte Ltd.   CHINA    CID002158   Active  
Tin    Chenzhou Yun Xiang Mining LLC   CHINA    CID000228   Active  
Tin    China Rare Metal Material Co., Ltd.   CHINA    CID000244   Compliant  
Tin    China Tin (Hechi)   CHINA    CID001070   Compliant   (g)
Tin    China Yunnan Tin Co Ltd.   CHINA    CID002180   Compliant  
Tin    CNMC (Guangxi) PGMA Co., Ltd.   CHINA    CID000278    
Tin    Cooperativa Metalurgica de Rondônia Ltda.   BRAZIL    CID000295   Compliant  
Tin    CV Ayi Jaya   INDONESIA    CID002570   Compliant  
Tin    CV Dua Sekawan   INDONESIA    CID002592   Active  
Tin    CV Gita Pesona   INDONESIA    CID000306   Compliant  
Tin    CV Justindo   INDONESIA    CID000307   Compliant  
Tin    CV Nurjanah   INDONESIA    CID000309   Compliant  
Tin    CV Serumpun Sebalai   INDONESIA    CID000313   Compliant  
Tin    CV Tiga Sekawan   INDONESIA    CID002593   Active  
Tin    CV United Smelting   INDONESIA    CID000315   Compliant   (g)
Tin    CV Venus Inti Perkasa   INDONESIA    CID002455   Compliant  
Tin    Dowa   JAPAN    CID000402   Compliant  
Tin    Electro-Mechanical Facility of the Cao Bang Minerals JSC   VIETNAM    CID002572   Active  
Tin    Elmet S.L.U. (Metallo Group)   SPAIN    CID002774   Compliant  
Tin    EM Vinto   BOLIVIA    CID000438   Compliant   (g)
Tin    Estanho de Rondônia S.A.   BRAZIL    CID000448    
Tin    Feinhütte Halsbrücke GmbH   GERMANY    CID000466   Active  
Tin    Fenix Metals   POLAND    CID000468   Compliant  
Tin    Gejiu Fengming Metalurgy Chemical Plant   CHINA    CID002848   Active  
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 Zi-Li   CHINA    CID000555    
Tin    Guanyang Guida Nonferrous Metal Smelting Plant   CHINA    CID002849   Active  
Tin    HuiChang Hill Tin Industry Co., Ltd.   CHINA    CID002844   Active  
Tin    Huichang Jinshunda Tin Co., Ltd.   CHINA    CID000760    
Tin    Indonesian State Tin Corporation Mentok Smelter   INDONESIA    CID001482   Compliant   (g)
Tin    Jiangxi Nanshan   CHINA    CID001231    
Tin    Linwu Xianggui Ore Smelting Co., Ltd.   CHINA    CID001063    
Tin    Magnu’s Minerais Metais e Ligas Ltda.   BRAZIL    CID002468   Compliant  
Tin    Malaysia Smelting Corporation (MSC)   MALAYSIA    CID001105   Compliant   (e), (g)
Tin    Melt Metais e Ligas S.A.   BRAZIL    CID002500   Compliant  
Tin    Metahub Industries Sdn. Bhd.   MALAYSIA    CID001136    
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   (g)
Tin    Mitsubishi Materials Corporation   JAPAN    CID001191   Compliant  
Tin    Nghe Tinh Non-Ferrous Metals Joint Stock Company   VIETNAM    CID002573   Active  


Metal    Smelter or Refiner Name   Smelter Country   

Smelter

Identification

  CSFI (a)    
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   (g)
Tin    Phoenix Metal Ltd.   RWANDA    CID002507   Active   (e), (g)
Tin    PT Alam Lestari Kencana   INDONESIA    CID001393    
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 Kudai Tin   INDONESIA    CID001409    
Tin    PT Bangka Prima Tin   INDONESIA    CID002776   Compliant  
Tin    PT Bangka Timah Utama Sejahtera   INDONESIA    CID001416    
Tin    PT Bangka Tin Industry   INDONESIA    CID001419   Compliant  
Tin    PT Belitung Industri Sejahtera   INDONESIA    CID001421   Compliant  
Tin    PT BilliTin Makmur Lestari   INDONESIA    CID001424   Compliant  
Tin    PT Bukit Timah   INDONESIA    CID001428   Compliant   (g)
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 Fang Di MulTindo   INDONESIA    CID001442    
Tin    PT Inti Stania Prima   INDONESIA    CID002530   Compliant  
Tin    PT Karimun Mining   INDONESIA    CID001448   Active  
Tin    PT Kijang Jaya Mandiri   INDONESIA    CID002829   Active  
Tin    PT Mitra Stania Prima   INDONESIA    CID001453   Compliant  
Tin    PT Panca Mega Persada   INDONESIA    CID001457   Compliant  
Tin    PT Pelat Timah Nusantara Tbk   INDONESIA    CID001486     (g)
Tin    PT Prima Timah Utama   INDONESIA    CID001458   Compliant  
Tin    PT Refined Bangka Tin (ceased operations in 2016)   INDONESIA    CID001460   Compliant  
Tin    PT Sariwiguna Binasentosa   INDONESIA    CID001463   Compliant  
Tin    PT Seirama Tin Investment   INDONESIA    CID001466    
Tin    PT Stanindo Inti Perkasa   INDONESIA    CID001468   Compliant   (g)
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 Tinindo Inter Nusa   INDONESIA    CID001490   Compliant  
Tin    PT Tirus Putra Mandiri   INDONESIA    CID002478    
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    Thai Solder Industry Corp., Ltd.   THAILAND    CID001898   Compliant   (g)
Tin    Tuyen Quang Non-Ferrous Metals Joint Stock Company   VIETNAM    CID002574   Active  
Tin    VQB Mineral and Trading Group JSC   VIETNAM    CID002015   Compliant  
Tin    White Solder Metalurgia e Mineração Ltda.   BRAZIL    CID002036   Compliant  
Tungsten    A.L.M.T. TUNGSTEN Corp.   JAPAN    CID000004   Compliant   (d)
Tungsten    ACL Metais Eireli   BRAZIL    CID002833   Active  
Tungsten    Asia Tungsten Products Vietnam Ltd.   VIETNAM    CID002502   Compliant  
Tungsten    ATI Metalworking Products   UNITED STATES    CID000105   Compliant   (d)
Tungsten    Chaozhou Xianglu Tungsten Industry Co., Ltd.   CHINA    CID000218   Compliant  
Tungsten    Chenzhou Diamond Tungsten Products Co., Ltd.   CHINA    CID002513   Compliant   (d)
Tungsten    China National Non Ferrous   CHINA    CID000875   Compliant   (d)
Tungsten    Chongyi Zhangyuan Tungsten Co., Ltd.   CHINA    CID000258   Compliant   (d)
Tungsten    Dayu Jincheng Tungsten Industry Co., Ltd.   CHINA    CID002518   Category A   (d)
Tungsten    Dayu Weiliang Tungsten Co., Ltd.   CHINA    CID000345   Category A   (d)
Tungsten    Fujian Jinxin Tungsten Co., Ltd.   CHINA    CID000499   Compliant   (d)
Tungsten    Ganxian Shirui New Material Co., Ltd.   CHINA    CID002531    
Tungsten    Ganzhou Jiangwu Ferrotungsten Co., Ltd.   CHINA    CID002315   Compliant  
Tungsten    Ganzhou Non-ferrous Metals Smelting Co., Ltd.   CHINA    CID000868   Category A   (d)
Tungsten    Ganzhou Seadragon W & Mo Co., Ltd.   CHINA    CID002494   Compliant   (d)
Tungsten    Ganzhou Yatai Tungsten Co., Ltd.   CHINA    CID002536   Compliant  
Tungsten    Global Tungsten & Powders Corp.   UNITED STATES    CID000568   Compliant   (d)
Tungsten    H.C. Starck GmbH   GERMANY    CID002541   Compliant   (d), (g)
Tungsten    H.C. Starck Smelting GmbH & Co.KG   GERMANY    CID002542   Compliant   (d)
Tungsten    Hunan Chenzhou Mining Co., Ltd.   CHINA    CID000766   Compliant   (d)
Tungsten    Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji   CHINA    CID002579   Compliant   (d)
Tungsten    Hunan Chuangda Vanadium Tungsten Co., Ltd. Yanglin   CHINA    CID002578   Category A   (d)
Tungsten    Hunan Chunchang Nonferrous Metals Co., Ltd.   CHINA    CID000769   Compliant   (d)
Tungsten    Hydrometallurg, JSC   RUSSIAN FEDERATION    CID002649   Compliant   (d)
Tungsten    Japan New Metals Co., Ltd.   JAPAN    CID000825   Compliant   (d)
Tungsten    Jiangwu H.C. Starck Tungsten Products Co., Ltd.   CHINA    CID002551   Active   (d)
Tungsten    Jiangxi Dayu Longxintai Tungsten Co., Ltd.   CHINA    CID002647   Active  
Tungsten    Jiangxi Gan Bei Tungsten Co., Ltd.   CHINA    CID002321   Compliant   (d)
Tungsten    Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.   CHINA    CID002313    
Tungsten    Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.   CHINA    CID002318   Active   (d)
Tungsten    Jiangxi Xinsheng Tungsten Industry Co., Ltd.   CHINA    CID002317   Active   (d)
Tungsten    Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.   CHINA    CID002535   Compliant   (d)


Metal    Smelter or Refiner Name   Smelter Country   

Smelter

Identification

  CSFI (a)    
Tungsten    Jiangxi Yaosheng Tungsten Co., Ltd.   CHINA    CID002316   Active   (d)
Tungsten    Kennametal Fallon   UNITED STATES    CID000966   Active   (d)
Tungsten    Malipo Haiyu Tungsten Co., Ltd.   CHINA    CID002319   Compliant   (d)
Tungsten    Moliren Ltd.   RUSSIAN FEDERATION    CID002845   Active  
Tungsten    Niagara Refining LLC   UNITED STATES    CID002589   Compliant   (d)
Tungsten    Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC   VIETNAM    CID002543   Compliant   (d)
Tungsten    Philippine Chuangin Industrial Co., Inc.   PHILIPPINES    CID002827   Compliant   (d)
Tungsten    Pobedit, JSC   RUSSIAN FEDERATION    CID002532   Category A   (d)
Tungsten    Sanher Tungsten Vietnam Co., Ltd.   VIETNAM    CID002538    
Tungsten    Shaoguan Xinhai Rendan Tungsten Industry Co. Ltd.   CHINA    CID002095   Compliant   (d)
Tungsten    South-East Nonferrous Metal Company Limited of Hengyang City   CHINA    CID002815   Active   (d)
Tungsten    Tejing (Vietnam) Tungsten Co., Ltd.   VIETNAM    CID001889   Compliant   (d)
Tungsten    Vietnam Youngsun Tungsten Industry Co., Ltd.   VIETNAM    CID002011   Compliant   (d)
Tungsten    Wolfram Bergbau und Hütten AG   AUSTRIA    CID002044   Compliant   (d), (e)
Tungsten    Woltech Korea Co., Ltd.   KOREA, REPUBLIC OF    CID002843   Active   (d)
Tungsten    Xiamen H.C.   CHINA    CID002320   Compliant   (d), (e), (g)
Tungsten    Xiamen Tungsten Co., Ltd.   CHINA    CID002082   Compliant   (d), (e), (g)
Tungsten    Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.   CHINA    CID002830   Active   (d)

Notes:

 

(a) As of April 15, 2016, 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, “Compliant” denotes that the smelter participates in the CFSP and has been certified conflict free and audited by the CFSI, CATEGORY A” denotes that the smelter has committed to complete a CFSP validation audit within two (2) years of membership issuance and “Active” denotes that the smelter has agreed to participate in the CFSP, but that the audit process has not yet been completed.
(b) As of April 15, 2016, the smelter or refiner participates in the LBMA’s Responsible Gold Programme and has been certified conflict free.
(c) As of April 15, 2016, the smelter or refiner participates in the RJC’s Chain-of-Custody Certification Program and has been certified conflict free.
(d) As of April 15, 2016, the smelter or refiner is a member of the TI-CMC.
(e) As of April 15, 2016, the smelter or refiner received a risk assessment of “Acceptable” by iTSCi.
(f) As of April 15, 2016, the smelter or refiner is an active Dubai Good Delivery Gold Member.
(g) Reported to Intevac by Intevac suppliers on the CMRT as having sourced minerals from mines in the Covered Countries.