0001193125-23-152931 SD 2 13p-1 1.01 20221231 1.02 20221231 20230524 20230524 INTEVAC INC 0001001902 3559 943125814 DE 1231 SD 34 000-26946 23954203 3560 BASSETT STREET SANTA CLARA CA 95054 4089869888 3560 BASSETT STREET SANTA CLARA CA 95054 SD 1 d506161dsd.htm SD SD

 

 

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)

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:

 

Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1, 2022 to December 31, 2022.


Section 1

Conflict Minerals Disclosure

 

Item 1.01

Conflict Minerals Disclosure and Report

With respect to the reporting period from January 1, 2022 to December 31, 2022, 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 24, 2023

 

 /s/ JAMES MONIZ

 

 James Moniz

 

 Executive Vice President, Finance and Administration,

 

 Chief Financial Officer, Secretary and Treasurer

EX-1.01 2 d506161dex101.htm EX-1.01 EX-1.01

Exhibit 1.01

Conflict Minerals Report

For the Year Ended December 31, 2022

This Conflict Minerals Report (this “Report” or “CMR”) for Intevac, Inc. (the “Company”) covers the reporting period from January 1, 2022 to December 31, 2022, 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 2022 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 2022 Reporting Year

For 2022, 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 2022, 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), Ethiopia, Madagascar, Mozambique, Nigeria and Rwanda

Tin

  

Australia, Bolivia, Brazil, Burundi, China, DRC- Congo (Kinshasa), Indonesia, Laos, Malaysia, Mexico, Mongolia, Myanmar, Niger, Nigeria, Peru, Portugal, Russian Federation, Rwanda, Thailand, Uganda and Vietnam

Tungsten

  

Australia, Austria, Bolivia, Brazil, Burundi, Canada, China, DRC- Congo (Kinshasa), Mongolia, Myanmar, Peru, Portugal, Russian Federation, Rwanda, Spain, Thailand, Uganda and United States

Gold

  

Argentina, Armenia, Australia, Bolivia, Brazil, Burundi, Canada, Chile, China, Colombia, Congo (Brazzaville), DRC- Congo (Kinshasa), Ecuador, Egypt, Ethiopia, Finland, France, Ghana, Guinea, Guyana, India, Indonesia, Italy, Ivory Coast, Japan, Kazakhstan, Korea, Republic of Kyrgyzstan, Laos, Madagascar, Malaysia, Mali, Mexico, Mongolia, Mozambique, Myanmar, Namibia, New Zealand, Niger, Nigeria, Papua New Guinea, Peru, Philippines, Poland, Russian Federation, Rwanda, Saudi Arabia, Sierra Leone, Slovakia, South Africa, Spain, Suriname, Sweden, Taiwan, Tajikistan, Tanzania, Thailand, Turkey, United Kingdom, United States, Uzbekistan, Vietnam, 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 71 suppliers of components containing 3TG in our TFE business. These suppliers represent approximately 21% of Company’s total 2022 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 a 92% 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 2022:

 

   

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 71 direct and sub-tier suppliers of materials, parts, components or products containing necessary 3TG in 2022, compared to 73 surveyed direct and sub-tier suppliers in 2021, and compared to 89 surveyed direct and sub-tier suppliers in 2020;

 

   

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 2023);

 

   

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;

 

   

For SORs in our supply chain that did not participate in an audit process in 2022, 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; and

 

   

For SORs 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 RMI 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, 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 2022, 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 2022, Intevac identified 225 SORs as potential sources of 3TG that were reported to be in its supply chain at some point during the year. Of those 225 SORs, 168 have been verified as conflict-free as determined through third party verification by the RMAP, LBMA or RJC, and an additional 3 have begun the audit process.

 

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

Tantalum

   28 of 29 (97%)

Tin

   42 of 58 (72%)

Tungsten

   26 of 28 (93%)

Gold

   75 of 110 (68%)

Total

   171 of 225 (76%)

The number of known SORs in Intevac’s supply chain as of December 31, 2022, December 31, 2021 and December 31, 2020 is as follows.

 

       
Status of identified SORs *  

2022

 

2021

 

2020

Verified conflict-free

  168   178   246

Participating in an audit process

  3   6   22

Not participating

  54   42   72

Total

  225   226   340

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 8 “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, 2023.

 

Tantalum SORs   Tin SORs   Tungsten SORs   Gold SORs   Total “Unknown” SORs

1

  3   2   2   8

The number of known SORs in Intevac’s supply chain as of December 31, 2022 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

  18   18   Brazil, China, Germany, Japan, Kazakhstan, Mexico, Thailand and United States   Burundi, DRC- Congo (Kinshasa) and Rwanda

Tin

  12   9   Belgium, Bolivia, Brazil, Indonesia, Malaysia, Thailand and Vietnam   Burundi, DRC- Congo (Kinshasa), Rwanda and Uganda

Tungsten

  10   9   China, Germany, Japan, Russian Federation and Vietnam   Burundi, DRC- Congo (Kinshasa), Rwanda and Uganda

Gold

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

Total

  49   43        

 

*

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 2022, 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 2022, 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 92% in 2022, 93% in 2021, and 87% in 2020.

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 2023 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 2022.


Appendix A

 

Metal   SOR Name   SOR Country  

SOR

Identification

  RMI (a)    

Gold

 

Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH

 

Austria

 

CID002779

 

Conformant

 

(a), (c)

Gold

 

Advanced Chemical Company

 

United States

 

CID000015

 

Conformant

 

(a)

Gold

 

Aida Chemical Industries Co., Ltd.

 

Japan

 

CID000019

 

Conformant

 

(a)

Gold

 

Allgemeine Gold-und Silberscheideanstalt A.G.

 

Germany

 

CID000035

 

Conformant

 

(a), (b), (c)

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

 

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

 

Conformant

 

(b)

Gold

 

DSC (Do Sung Corporation)

 

Republic of Korea

 

CID000359

 

Conformant

 

(a)

Gold

 

Dowa

 

Japan

 

CID000401

 

Conformant

 

(a)

Gold

 

Eco-System Recycling Co., Ltd. East Plant

 

Japan

 

CID000425

 

Conformant

 

(a)

Gold

 

Fidelity Printers and Refiners Ltd.

 

Zimbabwe

 

CID002515

   

Gold

 

Refinery of Seemine Gold Co., Ltd.

 

China

 

CID000522

   

Gold

 

Geib Refining Corporation

 

United States

 

CID002459

 

Conformant

 

(a)

Gold

 

Guangdong Jinding Gold Limited

 

China

 

CID002312

   

Gold

 

Hangzhou Fuchunjiang Smelting Co., Ltd.

 

China

 

CID000671

   

Gold

 

Heimerle + Meule GmbH

 

Germany

 

CID000694

 

Conformant

 

(a), (b)

Gold

 

Heraeus Metals Hong Kong Ltd.

 

China

 

CID000707

 

Conformant

 

(a), (b), (c)

Gold

 

Heraeus Precious Metals GmbH & Co. KG

 

Germany

 

CID000711

 

Conformant

 

(a)

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

 

Asahi Refining USA Inc.

 

United States

 

CID000920

 

Conformant

 

(a), (b)

Gold

 

JSC Ekaterinburg Non-Ferrous Metal Processing Plant

 

Russian Federation

 

CID000927

   

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

 

Metalurgica Met-Mex Penoles S.A. De C.V.

 

Mexico

 

CID001161

 

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

 

Mitsubishi Materials Corporation

 

Japan

 

CID001188

 

Conformant

 

(a), (b)

Gold

 

Mitsui Mining and Smelting Co., Ltd.

 

Japan

 

CID001193

 

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

 

Ohura Precious Metal Industry Co., Ltd.

 

Japan

 

CID001325

 

Conformant

 

(a)

Gold

 

OJSC Novosibirsk Refinery

 

Russian Federation

 

CID000493

   

Gold

 

OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)

 

Russian Federation

 

CID001326

   

Gold

 

PAMP S.A.

 

Switzerland

 

CID001352

 

Conformant

 

(a), (b)

Gold

 

Penglai Penggang Gold Industry Co., Ltd.

 

China

 

CID001362

   

Gold

 

Prioksky Plant of Non-Ferrous Metals

 

Russian Federation

 

CID001386

   


Metal   SOR Name   SOR Country   SOR
Identification
  RMI (a)    

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

 

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 Tiancheng Biological Gold Industrial Co., Ltd.

 

China

 

CID001619

   

Gold

 

Shandong Zhaojin Gold & Silver Refinery Co., Ltd.

 

China

 

CID001622

 

Conformant

 

(a)

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

 

Great Wall Precious Metals Co., Ltd. of CBPM

 

China

 

CID001909

 

Conformant

 

(b)

Gold

 

Shandong Gold Smelting Co., Ltd.

 

China

 

CID001916

 

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

 

Guoda Safina High-Tech Environmental Refinery Co., Ltd.

 

China

 

CID000651

   

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)

Gold

 

Gold Refinery of Zijin Mining Group Co., Ltd.

 

China

 

CID002243

 

Conformant

 

(a), (b)

Gold

 

Asahi Refining Canada Ltd.

 

Canada

 

CID000924

 

Conformant

 

(a), (b)

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

 

Ximei Resources Holding Limited

 

China

 

CID000616

 

Conformant

 

(a)

Tantalum

 

Taniobis Co., Ltd.

 

Thailand

 

CID002544

 

Conformant

 

(a)

Tantalum

 

Taniobis GmbH

 

Germany

 

CID002545

 

Conformant

 

(a)

Tantalum

 

H.C. Starck Inc.

 

United States

 

CID002548

 

Conformant

 

(a)

Tantalum

 

Taniobis Japan Co., Ltd.

 

Japan

 

CID002549

 

Conformant

 

(a)

Tantalum

 

Taniobis Smelting GmbH & Co. KG

 

Germany

 

CID002550

 

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

 

AMG Brasil

 

Brazil

 

CID001076

 

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

 

NPM Silmet AS

 

Estonia

 

CID001200

 

Conformant

 

(a)

Tantalum

 

Ningxia Orient Tantalum Industry Co., Ltd.

 

China

 

CID001277

 

Conformant

 

(a)

Tantalum

 

QuantumClean

 

United States

 

CID001508

 

Conformant

 

(a)

Tantalum

 

Yanling Jincheng Tantalum & Niobium Co., Ltd.

 

China

 

CID001522

 

Conformant

 

(a)

Tantalum

 

Solikamsk Magnesium Works OAO

 

Russian Federation

 

CID001769

   

Tantalum

 

Telex Metals

 

United States

 

CID001891

 

Conformant

 

(a)

Tantalum

 

Ulba Metallurgical Plant JSC

 

Kazakhstan

 

CID001969

 

Conformant

 

(a)

Tantalum

 

XinXing Haorong Electronic Material Co., Ltd.

 

China

 

CID002508

 

Conformant

 

(a)

Tantalum

 

Taki Chemical Co., Ltd.

 

Japan

 

CID001869

 

Conformant

 

(a)

Tin

 

Alpha

 

United States

 

CID000292

 

Conformant

 

(a)

Tin

 

An Vinh Joint Stock Mineral Processing Company

 

Vietnam

 

CID002703

   

Tin

 

China Tin Group Co., Ltd.

 

China

 

CID001070

 

Conformant

 

(a)

Tin

 

CV Ayi Jaya

 

Indonesia

 

CID002570

 

Conformant

 

(a)

Tin

 

PT Premium Tin Indonesia

 

Indonesia

 

CID000313

 

Conformant

 

(a)

Tin

 

CV Venus Inti Perkasa

 

Indonesia

 

CID002455

 

Conformant

 

(a)

Tin

 

Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy JSC

 

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)

Tin

 

Gejiu Kai Meng Industry and Trade LLC

 

China

 

CID000942

   


Metal   SOR Name   SOR Country   SOR
Identification
  RMI (a)    

Tin

 

Gejiu Non-Ferrous Metal Processing Co., Ltd.

 

China

 

CID000538

 

Conformant

 

(a)

Tin

 

Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.

 

China

 

CID001908

   

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

 

Metallo Belgium N.V.

 

Belgium

 

CID002773

 

Conformant

 

(a)

Tin

 

Mineracao Taboca S.A.

 

Brazil

 

CID001173

 

Conformant

 

(a)

Tin

 

Minsur

 

Peru

 

CID001182

 

Conformant

 

(a)

Tin

 

Mitsubishi Materials Corporation

 

Japan

 

CID001191

 

Conformant

 

(a)

Tin

 

Jiangxi New Nanshan Technology Ltd.

 

China

 

CID001231

 

Conformant

 

(a)

Tin

 

Nghe Tinh Non-Ferrous Metals Joint Stock Company

 

Vietnam

 

CID002573

   

Tin

 

Novosibirsk Processing Plant Ltd.

 

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 Timah Nusantara

 

Indonesia

 

CID001486

 

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 Mentok

 

Indonesia

 

CID001482

 

Conformant

 

(a)

Tin

 

PT Timah Tbk Kundur

 

Indonesia

 

CID001477

 

Conformant

 

(a)

Tin

 

PT Tinindo Inter Nusa

 

Indonesia

 

CID001490

   

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

 

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)

Tin

 

Yunnan Tin Company Limited

 

China

 

CID002180

 

Conformant

 

(a)

Tin

 

Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.

 

China

 

CID000228

 

Conformant

 

(a)

Tin

 

Gejiu Zili Mining And Metallurgy Co., Ltd.

 

China

 

CID000555

   

Tungsten

 

A.L.M.T. TUNGSTEN Corp.

 

Japan

 

CID000004

 

Conformant

 

(a)

Tungsten

 

Asia Tungsten Products Vietnam Ltd.

 

Vietnam

 

CID002502

 

Conformant

 

(a)

Tungsten

 

Chenzhou Diamond Tungsten Products Co., Ltd.

 

China

 

CID002513

 

Conformant

 

(a)

Tungsten

 

Chongyi Zhangyuan Tungsten Co., Ltd.

 

China

 

CID000258

 

Conformant

 

(a)

Tungsten

 

Ganzhou Huaxing Tungsten Products Co., Ltd.

 

China

 

CID000875

 

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 Corp.

 

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 Chunchang Nonferrous Metals Co., Ltd.

 

China

 

CID000769

 

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

 

Niagara Refining LLC

 

United States

 

CID002589

 

Conformant

 

(a)

Tungsten

 

Masan High-Tech Materials

 

Vietnam

 

CID002543

 

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, 2023, 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, 2023, the smelter or refiner participates in the LBMA’s Responsible Gold Programme and has been certified conflict free.

  (c)

As of April 30, 2023, the smelter or refiner participates in the RJC’s Chain-of-Custody Certification Program and has been certified conflict free.