UNITED STATES

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)

 

 

Kevin Soulsby

(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:

 

Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1, 2023 to December 31, 2023.

 

 

 


Section 1

Conflict Minerals Disclosure

 

Item 1.01

Conflict Minerals Disclosure and Report

With respect to the reporting period from January 1, 2023 to December 31, 2023, 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 Form 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 publicly 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 17, 2024      

/s/ KEVIN SOULSBY

     

Kevin Soulsby

     

Interim Chief Financial Officer, Secretary and Treasurer

Exhibit 1.01

Conflict Minerals Report

For the Year Ended December 31, 2023

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

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

Introduction

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

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

 

Product

  

Description

Thin-film Equipment (“TFE”) Products:

200Lean®, technology upgrades and spare parts.

   Hard disk drive manufacturing equipment

Reasonable Country of Origin Inquiry Process

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

RCOI for the 2023 Reporting Year

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

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

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


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

 

Conflict Mineral

  

Countries of origin and other sources may include the following

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

Due Diligence Process

Design of Due Diligence

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

Management Systems

Internal Team

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

Control Systems

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

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

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

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

Supplier Engagement

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

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

Grievance Mechanism

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


Records Maintenance

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

Identify and Assess Risk in the Supply Chain

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

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

Design and Implement a Strategy and Respond to Risks

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

 

   

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

 

   

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

 

   

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

 

   

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

 

   

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

 

   

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

 

   

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

 

   

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

 

   

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

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

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

Reporting on Supply Chain Due Diligence

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


Findings

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

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

 

SORs verified as conflict-free or in the audit process *  

Tantalum

     29 of 30  (97%) 

Tin

     45 of 57  (79%) 

Tungsten

     24 of 27  (89%) 

Gold

     73 of 110  (66%) 

Total

     171 of 224  (76%) 

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

 

Status of identified SORs *

   2023      2022      2021  

Verified conflict-free

     169        168        178  

Participating in an audit process

     2        3        6  

Not participating

     53        54        42  

Total

     224        225        226  

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

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

 

Tantalum SORs

 

Tin SORs

 

Tungsten SORs

 

Gold SORs

 

Total “Unknown” SORs

4

  37   4   21   66


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

 

Mineral

  

Number of SORs *

  

Number of Certified SORs

  

Identified SOR Locations

  

Identified Material Origin

Tantalum

   19    19    Brazil, China, Germany, Japan, Kazakhstan, Mexico, Thailand and United States    Burundi, DRC- Congo (Kinshasa) and Rwanda

Tin

   11    10    Belgium, Bolivia, Brazil, Indonesia, Malaysia, Thailand and Vietnam    DRC- Congo (Kinshasa), Rwanda and Uganda

Tungsten

   9    8    China, Germany, Japan, Russian Federation and Vietnam    DRC- Congo (Kinshasa) and Rwanda

Gold

   9    7    Canada, China, Japan, Republic of Korea, Russian Federation, South Africa and Uzbekistan    Congo (Brazzaville), DRC- Congo (Kinshasa), Rwanda and Zambia

Total

   48    44      

 

*

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

Conclusion

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

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

 

   

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

 

   

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

 

   

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

 

   

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

 

   

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

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

Efforts to Determine Mine Location

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


Conflict Minerals Policy

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

Steps to Improve Due Diligence and Mitigate Risk

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

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

 

   

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

 

   

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

 

   

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

 

   

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

 

   

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

 

   

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

Independent Private Sector Audit

An audit was not required for calendar year 2023.


Appendix A

 

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


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


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


Notes:

 

(a)

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

(b)

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

(c)

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