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:

 

þ Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1, 2014 to December 31, 2014.

 

 

 


Section 1 Conflict Minerals Disclosure

 

Item 1.01 Conflict Minerals Disclosure and Report

With respect to the reporting period from January 1, 2014 to December 31, 2014, 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 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: June 1, 2015

  /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, 2014

This Conflict Minerals Report (this “Report” or “CMR”) for Intevac, Inc. (the “Company”) covers the reporting period from January 1, 2014 to December 31, 2014, 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 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 2014 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
200Lean ® , technology upgrades and spare parts. Hard disk drive manufacturing equipment
MATRIX™PVD, ENERGi™ Solar manufacturing equipment
VERTEX™PVD Display cover panel coating 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 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 3TG that is reasonably designed to determine whether any of the 3TG 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 would survey direct suppliers of raw materials and components that contain Conflict Minerals. 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.

RCOI for the 2014 Reporting Year

For 2014, we conducted a supply chain survey with our direct suppliers to obtain country of origin information for the necessary conflict minerals in our products using the template developed by the Electronic Industry Citizenship Coalition (“EICC”) and Global e-Sustainability Initiative (“GeSI”) (the Conflict Minerals Reporting Template or “CMRT”). That CMRT requests direct suppliers to identify the smelters and refiners and countries of origin of the Conflict Minerals in products they supply to Intevac. We 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 Responsible Gold Programme and the Responsible Jewellery Council’s Chain-of-Custody Certification program, which designations provide country of origin information on the Conflict Minerals sourced by such facilities. We documented country of origin information for the smelters and refiners identified by the supply-chain survey as provided from multiple sources including the supply-chain survey and independent third party audit programs.

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, Sierra Leone, South Africa, Thailand, United States and Zimbabwe
Tin Belgium, Bolivia, Brazil, Burundi, Canada, Chile, China, DRC-Congo, Germany, Indonesia, Japan, Kazakhstan, Malaysia, Mexico, Nigeria, Peru, Philippines, Poland, Russian Federation, Rwanda, Singapore, Taiwan, Thailand, United States and Vietnam
Tungsten Australia, Austria, Bolivia, Canada, China, Germany, Indonesia, Japan, Peru, Portugal, Russian Federation, Spain, Thailand, United States and Vietnam
Gold Argentina, Australia, Belgium, Bolivia, Brazil, Canada, Chile, China, Germany, Ghana, Guinea, Hong Kong, Indonesia, Italy, Japan, Kazakhstan, Republic of Korea, Kyrgyzstan, Laos, Mali, Mexico, Mongolia, Mozambique, Namibia, Papua New Guinea, Peru, Philippines, Russian Federation, Saudi Arabia, Singapore, South Africa, Spain, Suriname, Sweden, Switzerland, Taiwan, Tajikistan, Thailand, Turkey, United Arab Emirates, United Kingdom, United States and Uzbekistan

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 Vice President of Operations. We assembled a conflict minerals project team with representatives from engineering, procurement 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 utilized 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 is now in the process of including provisions related to gathering 3TG information in our supply contracts to encourage greater cooperation by the companies in our supply chain.

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 intranet to retain information relevant to our conflict minerals compliance process electronically.

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. As the first step in our good faith RCOI, we worked to identify suppliers that we believed were potentially providing materials and components that contain 3TG. Our engineers and procurement group reviewed our parts inventory records and active suppliers and identified 28 direct suppliers in our Thin-film Equipment business and 27 direct suppliers in our Photonics business who supply components to us containing 3TG. These suppliers represent approximately 35% of our total 2014 direct product-related sourcing expenditures. We rely on these suppliers to provide us with information about the source of 3TG 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. For those suppliers subject to the reporting requirement we obtained and read their 2013 CMR filed with Form SD.

Below is a summary of the responses received to our survey.

 

Survey Response Thin-film Equipment Photonics
   (# of suppliers)     Percent     (# of suppliers)     Percent    

CMRT complete

16     57%     20     74%    

CMRT incomplete – declaration statement only    

10     36%     6     22%    

No Response

2     7%     1     4%    
  28     100%     27     100%    

Design and Implement a Strategy and Respond to Risks

The conflict minerals project team undertook the following due diligence measures in 2014:

 

    Updated and revised our Conflict Minerals Policy;


    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 contractual obligations from suppliers, 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 Conflict Minerals and location or mine of origin;

 

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

 

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

 

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

 

    Reviewed the smelters and refiners identified by direct suppliers in the CMRT against information provided by CFSI, OECD and the U.S. Department of Commerce 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 CFSI in April 2015); and

 

    Compared the gold smelters and refiners against the lists of entities that have received a conflict free designation on the London Bullion Market Association’s Responsible Gold Programme and the Responsible Jewellery Council’s Chain-of-Custody Certification program.

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 2015, 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 2014, Intevac identified 269 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 269 smelters and refiners, 166 have been verified as conflict-free, and an additional 37 have begun the audit process.

 

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

Tantalum

39 of 41 (95%)

Tin

51 of 83 (61%)

Tungsten

32 of 36 (89%)

Gold

81 of 109 (74%)

Total

203 of 269 (75%)


The number of smelters and refiners in Intevac’s supply chain as of December 31, 2014 that are verified as conflict-free or in the audit process is more than double the comparable number for the prior year.

 

Status of identified

smelters and refiners

2014 2013

Verified conflict-free

166 72

Participating in an audit process

37 10

Not participating

66 133

Total

269 215

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

In the course of our RCOI and due diligence we discovered that certain suppliers provided us with components containing 3TG sourced from the Covered Countries.

Conghua Tantalum and Niobium Smeltry, Duoluoshan, F&X Electro-Materials Ltd., Global Advanced Metals Boyertown, H.C. Starck Co., Ltd., H.C. Starck GmbH Goslar, H.C. Starck GmbH Laufenburg, H.C. Starck Smelting GmbH & Co.KG, Ningxia Orient Tantalum Industry Co., Ltd., Ulba and Zhuzhou Cement Carbide are CFSP compliant smelters that source from conflict-free mines for Tantalum from the Covered Countries.

Malaysia Smelting Corporation (MSC) and Thaisarco are CFSP compliant smelters that source from conflict-free mines for Tin from the Covered Countries.

Xiamen Tungsten (H.C.) Co., Ltd. is a CFSP compliant smelter that sources from conflict-free mines for Tungsten from the Covered Countries.

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 2014. Based on the information obtained pursuant to the good faith RCOI and due diligence processes described above, for 2014, we do not have sufficient information with respect to the 3TG to determine the country of origin of all of the 3TG we use to manufacture our products and thus are unable to determine whether any of the 3TG originated in the Covered Countries and, if so, whether the 3TG were from recycled or scrap sources, financed conflict in the Covered Countries or did not finance conflict in the Covered Countries.

Despite our efforts to follow up with our suppliers, we did not receive responses from all surveyed suppliers, and the surveyed suppliers who responded showed varying degrees of cooperation with our inquiries. In addition, we encountered the following challenges in obtaining and analyzing the responses we received:

 

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

 

    We have a varied supplier base with differing levels of resources and sophistication, and many of our suppliers are not themselves subject to Rule 13p-1 of the Exchange Act;

 

    The information our suppliers provided was often incomplete and required significant follow-up;

 

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

 

    None of our suppliers were able to represent to us that the 3TG from the smelters they listed had actually been included in components they supplied to Intevac;

 

    Certain suppliers were unable or unwilling to specify the smelters or refiners used for materials and components supplied to us; and


    Our ability to influence cooperation from certain suppliers was limited.

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

Efforts to Determine Mine Location

As previously noted, 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. Consequently identifying with certainty, the smelters, refiners and recyclers and the source of the 3TG they process is an extraordinary challenge. In 2014, the primary focus of our due diligence on the source and chain of custody of the necessary 3TG 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 3TG 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 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 improved from 69% in 2013 to 95% in 2014. 52 surveyed suppliers completed declaration statements in 2014 compared to 24 suppliers in 2013. And 36 surveyed suppliers completed the CMRT providing smelter information in 2014 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 2015 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;

 

    Include provisions related to gathering 3TG information in our supply contracts to encourage greater cooperation by the companies in our supply chain;

 

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


    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.

Independent Private Sector Audit

An audit was not required for calendar year 2014.


Appendix A

 

Metal    Smelter or Refiner Name    Smelter Country    Smelter
Identification
   CSFI (a)     

Gold

  

Advanced Chemical Company

   UNITED STATES    CID000015      

Gold

  

Aida Chemical Industries Co., Ltd.

   JAPAN    CID000019    COMPLIANT   

Gold

  

Allgemeine Gold & Silberscheideanstalt

   GERMANY    CID000035    COMPLIANT    (b), (c)

Gold

  

Almalyk Mining and Metallurgical Complex (AMMC)

   UZBEKISTAN    CID000041       (b)

Gold

  

AngloGold Ashanti Mineração Ltda.

   BRAZIL    CID000058    COMPLIANT    (b)

Gold

  

Argor-Heraeus SA

   SWITZERLAND    CID000077    COMPLIANT    (b), (c)

Gold

  

Asahi Pretec Corporation

   JAPAN    CID000082    COMPLIANT    (b)

Gold

  

Asaka Riken Co., Ltd.

   JAPAN    CID000090    ACTIVE   

Gold

  

Atasay Kuyumculuk Sanayi Ve Ticaret A.S.

   TURKEY    CID000103    COMPLIANT    (b)

Gold

  

Aurubis AG

   GERMANY    CID000113    COMPLIANT    (b)

Gold

  

Bangko Sentral ng Pilipinas

   PHILIPPINES    CID000128       (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

  

Xstrata Canada Corporation

   CANADA    CID000185    COMPLIANT   

Gold

  

Cendres & Métaux SA

   SWITZERLAND    CID000189    ACTIVE   

Gold

  

Yunnan Copper Industry Co., Ltd.

   CHINA    CID000197      

Gold

  

Chimet S.p.A.

   ITALY    CID000233    COMPLIANT    (b)

Gold

  

China National Gold Group Corporation

   CHINA    CID000242      

Gold

  

Chugai Mining

   JAPAN    CID000264      

Gold

  

Colt Refining

   UNITED STATES    CID000288      

Gold

  

Daejin Indus Co., Ltd.

   KOREA, REPUBLIC OF    CID000328      

Gold

  

Daye Non-Ferrous Metals Mining Ltd.

   CHINA    CID000343      

Gold

  

Do Sung Corporation

   KOREA, REPUBLIC OF    CID000359      

Gold

  

Doduco

   GERMANY    CID000362    ACTIVE   

Gold

  

Dowa

   JAPAN    CID000401    COMPLIANT   

Gold

  

Eco-System Recycling Co., Ltd.

   JAPAN    CID000425    COMPLIANT   

Gold

  

FSE Novosibirsk Refinery

   RUSSIAN FEDERATION    CID000493      

Gold

  

Gansu Seemine Material Hi-Tech Co., Ltd.

   CHINA    CID000522      

Gold

  

Hangzhou Fuchunjiang Smelting Co., Ltd.

   CHINA    CID000671      

Gold

  

Heimerle + Meule GmbH

   GERMANY    CID000694    COMPLIANT    (b)

Gold

  

Heraeus Ltd. Hong Kong

   HONG KONG    CID000707    COMPLIANT    (b)

Gold

  

Heraeus Precious Metals GmbH & Co. KG

   GERMANY    CID000711    COMPLIANT    (b)

Gold

  

Hunan Chenzhou Mining Group Co., Ltd.

   CHINA    CID000767      

Gold

  

Hwasung CJ Co., Ltd.

   KOREA, REPUBLIC OF    CID000778      

Gold

  

Inner Mongolia Qiankun Gold and Silver Refinery Share Co.

   CHINA    CID000801       (b)

Gold

  

Ishifuku Metal Industry Co., Ltd.

   JAPAN    CID000807    COMPLIANT    (b)

Gold

  

Istanbul Gold Refinery

   TURKEY    CID000814    COMPLIANT    (b)

Gold

  

Japan Mint

   JAPAN    CID000823    COMPLIANT    (b)

Gold

  

Jiangxi Copper Company Limited

   CHINA    CID000855       (b)

Gold

  

Johnson Matthey Inc.

   UNITED STATES    CID000920    COMPLIANT   

Gold

  

Johnson Matthey Ltd.

   CANADA    CID000924    COMPLIANT   

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

  

Kazzinc Ltd.

   KAZAKHSTAN    CID000957    COMPLIANT    (b)

Gold

  

Kennecott Utah Copper LLC

   UNITED STATES    CID000969    COMPLIANT    (b)

Gold

  

Kojima Chemicals Co., Ltd.

   JAPAN    CID000981    COMPLIANT   

Gold

  

Korea Metal Co., Ltd.

   KOREA, REPUBLIC OF    CID000988      

Gold

  

Kyrgyzaltyn JSC

   KYRGYZSTAN    CID001029       (b)

Gold

  

L’ azurde Company For Jewelry

   SAUDI ARABIA    CID001032    COMPLIANT    (b)

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 Metal Smelt Co., Ltd.

   CHINA    CID001093      

Gold

  

Materion

   UNITED STATES    CID001113    COMPLIANT   

Gold

  

Matsuda Sangyo Co., Ltd.

   JAPAN    CID001119    COMPLIANT    (b)

Gold

  

Metalor Technologies (Hong Kong) Ltd.

   HONG KONG    CID001149    COMPLIANT    (b)

Gold

  

Metalor Technologies (Singapore) Pte Ltd.

   SINGAPORE    CID001152    COMPLIANT    (b)

Gold

  

Metalor Technologies SA

   SWITZERLAND    CID001153    COMPLIANT    (b), (c)

Gold

  

Metalor USA Refining Corporation

   UNITED STATES    CID001157    COMPLIANT    (b)

Gold

  

Met-Mex Peñoles, S.A.

   MEXICO    CID001161    COMPLIANT   

Gold

  

Mitsubishi Materials Corporation

   JAPAN    CID001188    COMPLIANT    (b)

Gold

  

Mitsui Mining and Smelting Co., Ltd.

   JAPAN    CID001193    COMPLIANT    (b)

Gold

  

Moscow Special Alloys Processing Plant

   RUSSIAN FEDERATION    CID001204      

Gold

  

Nadir Metal Rafineri San. Ve Tic. A.S.

   TURKEY    CID001220    COMPLIANT    (b)

Gold

  

Navoi Mining and Metallurgical Combinat

   UZBEKISTAN    CID001236       (b)

Gold

  

Nihon Material Co., Ltd.

   JAPAN    CID001259    COMPLIANT    (b)

Gold

  

Ohio Precious Metals LLC.

   UNITED STATES    CID001322    COMPLIANT    (b)

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 SA

   SWITZERLAND    CID001352    COMPLIANT    (b), (c)


Metal    Smelter or Refiner Name    Smelter Country    Smelter
Identification
   CSFI (a)     

Gold

  

Penglai Penggang Gold Industry Co., Ltd.

   CHINA    CID001362      

Gold

  

Prioksky Plant of Non-Ferrous Metals

   RUSSIAN FEDERATION    CID001386       (b)

Gold

  

PT Aneka Tambang (Persero) Tbk

   INDONESIA    CID001397    COMPLIANT    (b)

Gold

  

PX Précinox SA

   SWITZERLAND    CID001498    COMPLIANT    (c)

Gold

  

Rand Refinery (Pty) Ltd.

   SOUTH AFRICA    CID001512    COMPLIANT    (b), (c)

Gold

  

Royal Canadian Mint

   CANADA    CID001534    COMPLIANT    (b)

Gold

  

Sabin Metal Corp.

   UNITED STATES    CID001546      

Gold

  

Samduck Precious Metals

   KOREA, REPUBLIC OF    CID001555      

Gold

  

SAMWON METALS Corp.

   KOREA, REPUBLIC OF    CID001562      

Gold

  

Schone Edelmetaal

   NETHERLANDS    CID001573    COMPLIANT    (b)

Gold

  

SEMPSA Joyeria Plateria SA

   SPAIN    CID001585    COMPLIANT    (b)

Gold

  

Shandong Zhaojin Gold & Silver Refinery Co., Ltd.

   CHINA    CID001622    COMPLIANT    (b)

Gold

  

Sichuan Tianze Precious Metals Co., Ltd.

   CHINA    CID001736    COMPLIANT    (b)

Gold

  

So Accurate Group, Inc.

   UNITED STATES    CID001754      

Gold

  

SOE Shyolkovsky Factory of Secondary Precious Metals

   RUSSIAN FEDERATION    CID001756    ACTIVE    (b)

Gold

  

Solar Applied Materials Technology Corp.

   TAIWAN    CID001761    COMPLIANT    (b)

Gold

  

Sumitomo Metal Mining Co., Ltd.

   JAPAN    CID001798    COMPLIANT    (b)

Gold

  

Tanaka Kikinzoku Kogyo K.K.

   JAPAN    CID001875    COMPLIANT    (b)

Gold

  

The Great Wall Gold and Silver Refinery of China

   CHINA    CID001909      

Gold

  

The Refinery of Shandong Gold Mining Co., Ltd.

   CHINA    CID001916    COMPLIANT    (b)

Gold

  

Tokuriki Tokyo Melters Assayers

   JAPAN    CID001938    COMPLIANT    (b)

Gold

  

Tongling Nonferrous Metals Group Co., Ltd.

   CHINA    CID001947      

Gold

  

Torecom

   KOREA, REPUBLIC OF    CID001955    ACTIVE   

Gold

  

Umicore Brasil Ltda.

   BRAZIL    CID001977    COMPLIANT    (b)

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 SA

   SWITZERLAND    CID002003    COMPLIANT    (b), (c)

Gold

  

Western Australian Mint trading as The Perth Mint

   AUSTRALIA    CID002030    COMPLIANT    (b)

Gold

  

Yamamoto Precious Metal Co., Ltd.

   JAPAN    CID002100    COMPLIANT   

Gold

  

Yokohama Metal Co., Ltd.

   JAPAN    CID002129    ACTIVE   

Gold

  

Zhongyuan Gold Smelter of Zhongjin Gold Corporation

   CHINA    CID002224    COMPLIANT    (b)

Gold

  

Zijin Mining Group Co., Ltd.

   CHINA    CID002243    COMPLIANT    (b)

Gold

  

Guangdong Jinding Gold Limited

   CHINA    CID002312      

Gold

  

Umicore Precious Metals Thailand

   THAILAND    CID002314    COMPLIANT   

Gold

  

Republic Metals Corporation

   UNITED STATES    CID002510    COMPLIANT    (b)

Tantalum

  

Changsha South Tantalum Niobium Co., Ltd.

   CHINA    CID000211    COMPLIANT   

Tantalum

  

Conghua Tantalum and Niobium Smeltry

   CHINA    CID000291    COMPLIANT    (d)

Tantalum

  

Douluoshan Sapphire Rare Metal Co., Ltd.

   CHINA    CID000410    COMPLIANT    (d)

Tantalum

  

Exotech Inc.

   UNITED STATES    CID000456    COMPLIANT   

Tantalum

  

F&X Electro-Materials Ltd.

   CHINA    CID000460    COMPLIANT    (d)

Tantalum

  

Guangdong Zhiyuan New Material Co., Ltd.

   CHINA    CID000616    COMPLIANT   

Tantalum

  

Hi-Temp

   UNITED STATES    CID000731    COMPLIANT   

Tantalum

  

JiuJiang JinXin Nonferrous Metals Co., Ltd.

   CHINA    CID000914    COMPLIANT   

Tantalum

  

JiuJiang Tambre Co., Ltd.

   CHINA    CID000917    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    (d)

Tantalum

  

QuantumClean

   UNITED STATES    CID001508    COMPLIANT   

Tantalum

  

RFH Tantalum Smeltry Co., Ltd.

   CHINA    CID001522    COMPLIANT   

Tantalum

  

Shanghai Jiangxi Metals Co., Ltd.

   CHINA    CID001634      

Tantalum

  

Solikamsk Metal Works

   RUSSIAN FEDERATION    CID001769    COMPLIANT   

Tantalum

  

Taki Chemicals

   JAPAN    CID001869    COMPLIANT   

Tantalum

  

Tantalite Resources

   SOUTH AFRICA    CID001879      

Tantalum

  

Telex

   UNITED STATES    CID001891    COMPLIANT   

Tantalum

  

Ulba

   KAZAKHSTAN    CID001969    COMPLIANT    (d)

Tantalum

  

Zhuzhou Cement Carbide

   CHINA    CID002232    COMPLIANT    (d)

Tantalum

  

Yichun Jin Yang Rare Metal Co., Ltd.

   CHINA    CID002307    COMPLIANT   

Tantalum

  

Hengyang King Xing Lifeng New Materials Co., Ltd.

   CHINA    CID002492    COMPLIANT   

Tantalum

  

Guizhou Zhenhua Xinyun Technology Ltd., Kaili branch

   CHINA    CID002501    COMPLIANT   

Tantalum

  

KEMET Blue Metals

   MEXICO    CID002539    COMPLIANT   

Tantalum

  

Plansee SE Liezen

   AUSTRIA    CID002540    COMPLIANT   

Tantalum

  

H.C. Starck Co., Ltd.

   THAILAND    CID002544    COMPLIANT    (d)     

Tantalum

  

H.C. Starck GmbH

   GERMANY    CID002545    COMPLIANT    (d)

Tantalum

  

H.C. Starck GmbH Laufenburg

   GERMANY    CID002546    COMPLIANT    (d)

Tantalum

  

H.C. Starck Hermsdorf GmbH

   GERMANY    CID002547    COMPLIANT    (d)

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    (d)

Tantalum

  

Plansee SE Reutte

   AUSTRIA    CID002556    COMPLIANT   

Tantalum

  

Global Advanced Metals Boyertown

   UNITED STATES    CID002557    COMPLIANT    (d)


Metal    Smelter or Refiner Name    Smelter Country    Smelter
Identification
   CSFI (a)       

Tantalum

  

Global Advanced Metals Aizu

   JAPAN    CID002558      COMPLIANT      

Tantalum

  

Kemet Blue Powder

   UNITED STATES    CID002568      COMPLIANT      

Tin

  

Alpha

   UNITED STATES    CID000292      COMPLIANT      

Tin

  

China Rare Metal Materials Company

   CHINA    CID000244      COMPLIANT      

Tin

  

CNMC (Guangxi) PGMA Co., Ltd.

   CHINA    CID000278      

Tin

  

Cooper Santa

   BRAZIL    CID000295      COMPLIANT      

Tin

  

CV Gita Pesona

   INDONESIA    CID000306      

Tin

  

CV JusTindo

   INDONESIA    CID000307      ACTIVE      

Tin

  

CV Makmur Jaya

   INDONESIA    CID000308      

Tin

  

CV Nurjanah

   INDONESIA    CID000309      ACTIVE      

Tin

  

CV Serumpun Sebalai

   INDONESIA    CID000313      

Tin

  

CV United Smelting

   INDONESIA    CID000315      COMPLIANT      

Tin

  

Dowa

   JAPAN    CID000402      COMPLIANT      

Tin

  

EM Vinto

   BOLIVIA    CID000438      COMPLIANT      

Tin

  

Estanho de Rondônia S.A.

   BRAZIL    CID000448      

Tin

  

Fenix Metals

   POLAND    CID000468      ACTIVE      

Tin

  

Geiju Non-Ferrous Metal Processing Co. Ltd.

   CHINA    CID000538      COMPLIANT      

Tin

  

Gejiu Zi-Li

   CHINA    CID000555      

Tin

  

Huichang Jinshunda Tin Co. Ltd.

   CHINA    CID000760      

Tin

  

Jiangxi Nanshan

   CHINA    CID000864      

Tin

  

Gejiu Kai Meng Industry and Trade LLC

   CHINA    CID000942      

Tin

  

Linwu Xianggui Smelter Co.

   CHINA    CID001063      

Tin

  

China Tin Group Co., Ltd.

   CHINA    CID001070      ACTIVE      

Tin

  

Malaysia Smelting Corporation (MSC)

   MALAYSIA    CID001105      COMPLIANT       (d)

Tin

  

Metallo Chimique

   BELGIUM    CID001143      COMPLIANT      

Tin

  

Mineração Taboca S.A.

   BRAZIL    CID001173      COMPLIANT      

Tin

  

Minsur

   PERU    CID001182      COMPLIANT      

Tin

  

Mistubishi Materials Corporation

   JAPAN    CID001191      COMPLIANT      

Tin

  

Novosibirsk Integrated Tin Works

   RUSSIAN FEDERATION    CID001305      

Tin

  

O.M. Manufacturing (Thailand) Co., Ltd.

   THAILAND    CID001314      ACTIVE      

Tin

  

OMSA

   BOLIVIA    CID001337      COMPLIANT      

Tin

  

PT Alam Lestari Kencana

   INDONESIA    CID001393      

Tin

  

PT Artha Cipta Langgeng

   INDONESIA    CID001399      COMPLIANT      

Tin

  

PT Babel Inti Perkasa

   INDONESIA    CID001402      COMPLIANT      

Tin

  

PT Babel Surya Alam Lestari

   INDONESIA    CID001406      

Tin

  

PT Bangka Kudai Tin

   INDONESIA    CID001409      

Tin

  

PT Bangka Putra Karya

   INDONESIA    CID001412      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      ACTIVE      

Tin

  

PT Bukit Timah

   INDONESIA    CID001428      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 HP Metals Indonesia

   INDONESIA    CID001445      

Tin

  

PT Karimun Mining

   INDONESIA    CID001448      ACTIVE      

Tin

  

PT Koba Tin

   INDONESIA    CID001449      

Tin

  

PT Mitra Stania Prima

   INDONESIA    CID001453      COMPLIANT      

Tin

  

PT Panca Mega Persada

   INDONESIA    CID001457      COMPLIANT      

Tin

  

PT Prima Timah Utama

   INDONESIA    CID001458      COMPLIANT      

Tin

  

PT Refined Banka Tin

   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      

Tin

  

PT Sumber Jaya Indah

   INDONESIA    CID001471      ACTIVE      

Tin

  

PT Supra Sukses Trinusa

   INDONESIA    CID001476      

Tin

  

PT Tambang Timah

   INDONESIA    CID001477      COMPLIANT      

Tin

  

PT Timah

   INDONESIA    CID001482      COMPLIANT      

Tin

  

PT Pelat Timah Nusantara Tbk

   INDONESIA    CID001486      

Tin

  

PT Tinindo Inter Nusa

   INDONESIA    CID001490      COMPLIANT      

Tin

  

PT Tommy Utama

   INDONESIA    CID001493      

Tin

  

PT Yinchendo Mining Industry

   INDONESIA    CID001494      

Tin

  

RUI DA HUNG

   TAIWAN    CID001539      ACTIVE      

Tin

  

Soft Metais, Ltda.

   BRAZIL    CID001758      ACTIVE      

Tin

  

Thaisarco

   THAILAND    CID001898      COMPLIANT       (d)     

Tin

  

VQB Mineral and Trading Group JSC

   VIET NAM    CID002015      ACTIVE      

Tin

  

White Solder Metalurgia e Mineração Ltda.

   BRAZIL    CID002036      COMPLIANT      

Tin

  

Yunnan Chengfeng

   CHINA    CID002158      ACTIVE      

Tin

  

Yunnan Tin Group (Holding) Company Limited

   CHINA    CID002180      COMPLIANT      

Tin

  

Magnu’s Minerais Metais e Ligas Ltda.

   BRAZIL    CID002468      COMPLIANT      

Tin

  

PT Singkep Times Utama

   INDONESIA    CID002476      

Tin

  

PT WAHANA PERKIT JAYA

   INDONESIA    CID002479      COMPLIANT      

Tin

  

Melt Metais e Ligas S.A.

   BRAZIL    CID002500      COMPLIANT      

Tin

  

PT ATD Makmur Mandiri Jaya

   INDONESIA    CID002503      COMPLIANT      


Metal    Smelter or Refiner Name    Smelter Country    Smelter
Identification
   CSFI (a)     

Tin

  

O.M. Manufacturing Philippines, Inc.

   PHILIPPINES    CID002517    ACTIVE   

Tin

  

PT Inti Stania Prima

   INDONESIA    CID002530    ACTIVE   

Tin

  

Electroloy Metal Pte

   SINGAPORE         

Tin

  

Amalgamet Inc.

   PERU         

Tin

  

China Tin Group Co., Ltd. Laibin Smelting Factory

   CHINA         

Tin

  

CSC Pure Technologies

   RUSSIAN FEDERATION         

Tin

  

Dongguan Qiandao Tin Co., Ltd.

   CHINA         

Tin

  

Foshan Nanhai Songgang Hongyang Tin Industry Co., Ltd.

   CHINA         

Tin

  

Heraeus Materials Singapore Pte Ltd.

   SINGAPORE         

Tin

  

Hongqiao Metals (Kunshan) Co., Ltd.

   CHINA         

Tungsten

  

A.L.M.T. Corp.

   JAPAN    CID000004    ACTIVE   

Tungsten

  

ATI Metalworking Products

   UNITED STATES    CID000105    CATEGORY A   

Tungsten

  

Guangdong Xianglu Tungsten Co., Ltd.

   CHINA    CID000218    ACTIVE   

Tungsten

  

Chongyi Zhangyuan Tungsten Co., Ltd.

   CHINA    CID000258    ACTIVE   

Tungsten

  

Dayu Weiliang Tungsten Co., Ltd.

   CHINA    CID000345    CATEGORY A   

Tungsten

  

Fujian Jinxin Tungsten Co., Ltd.

   CHINA    CID000499    COMPLIANT   

Tungsten

  

Global Tungsten & Powders Corp.

   UNITED STATES    CID000568    COMPLIANT   

Tungsten

  

Hunan Chenzhou Mining Group Co.

   CHINA    CID000766    ACTIVE   

Tungsten

  

Hunan Chun-Chang Nonferrous Smelting & Concentrating Co., Ltd.

   CHINA    CID000769    COMPLIANT   

Tungsten

  

Japan New Metals Co. Ltd.

   JAPAN    CID000825    COMPLIANT   

Tungsten

  

Ganzhou Nonferrous Metals Smelting Co Ltd.

   CHINA    CID000868    ACTIVE   

Tungsten

  

Ganzhou Huaxing Tungsten Products Co. Ltd.

   CHINA    CID000875    COMPLIANT   

Tungsten

  

Kennametal Fallon

   UNITED STATES    CID000966    CATEGORY A   

Tungsten

  

Tejing (Vietnam) Tungsten Co., Ltd.

   VIET NAM    CID001889    CATEGORY A   

Tungsten

  

Vietnam Youngsun Tungsten Industry Co., Ltd.

   VIET NAM    CID002011    COMPLIANT   

Tungsten

  

Wolfram Bergbau und Hütten AG

   AUSTRIA    CID002044    COMPLIANT   

Tungsten

  

Wolfram Company CJSC

   RUSSIAN FEDERATION    CID002047    CATEGORY A   

Tungsten

  

Xiamen Tungsten Co., Ltd.

   CHINA    CID002082    COMPLIANT    (d)     

Tungsten

  

Xinhai Rendan Shaoguan Tungsten Co., Ltd.

   CHINA    CID002095    ACTIVE   

Tungsten

  

Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.

   CHINA    CID002313      

Tungsten

  

Ganzhou Jiangwu Ferrotungsten Co., Ltd.

   CHINA    CID002315    COMPLIANT   

Tungsten

  

Jiangxi Yaosheng Tungsten Co., Ltd.

   CHINA    CID002316    ACTIVE   

Tungsten

  

Jiangxi Tungsten Industry Co., Ltd.

   CHINA    CID002317    CATEGORY A   

Tungsten

  

Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.

   CHINA    CID002318    CATEGORY A   

Tungsten

  

Malipo Haiyu Tungsten Co., Ltd.

   CHINA    CID002319    COMPLIANT   

Tungsten

  

Xiamen Tungsten (H.C.) Co., Ltd.

   CHINA    CID002320    COMPLIANT   

Tungsten

  

Jiangxi Gan Bei Tungsten Co., Ltd.

   CHINA    CID002321    COMPLIANT   

Tungsten

  

Jiangxi Richsea New Materials Co., Ltd.

   CHINA    CID002493      

Tungsten

  

Ganzhou Seadragon W & Mo Co., Ltd.

   CHINA    CID002494    COMPLIANT   

Tungsten

  

Chenzhou Diamond Tungsten Products Co., Ltd.

   CHINA    CID002513    COMPLIANT   

Tungsten

  

Dayu Jincheng Tungsten Industry Co., Ltd.

   CHINA    CID002518    CATEGORY A   

Tungsten

  

H.C. Starck GmbH

   GERMANY    CID002541    ACTIVE   

Tungsten

  

H.C. Starck GmbH

   GERMANY    CID002542    ACTIVE   

Tungsten

  

Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC

   VIET NAM    CID002543    ACTIVE   

Tungsten

  

H.C. Starck GmbH

   RUSSIAN FEDERATION         

Tungsten

  

Voss Metals Company, Inc.

   UNITED STATES         

Notes:

(a) As of April 30, 2015, 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 30, 2015, the smelter or refiner participates in the London Bullion Market Association’s Responsible Gold Programme and has been certified conflict free.
(c) As of April 30, 2015, the smelter or refiner participates in the Responsible Jewellery Council’s Chain-of-Custody Certification Program and has been certified conflict free.
(d) Sources minerals from conflict-free mines in the Covered Countries.