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 |
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 | ||
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. |