0001193125-21-176902 SD 2 13p-1 1.01 20201231 1.02 20201231 20210528 20210528 INTEVAC INC 0001001902 3559 943125814 DE 1231 SD 34 000-26946 21980012 3560 BASSETT STREET SANTA CLARA CA 95054 4089869888 3560 BASSETT STREET SANTA CLARA CA 95054 SD 1 d86532dsd.htm SD SD

 

 

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, 2020 to December 31, 2020.


Section 1

Conflict Minerals Disclosure

 

Item 1.01

Conflict Minerals Disclosure and Report

With respect to the reporting period from January 1, 2020 to December 31, 2020, Intevac Inc. (the “Company”) (i) has determined that “conflict minerals” (as defined in Section 1, Item 1.01(d)(3) for Form SD) are necessary to the functionality or production of products that the Company has manufactured and contracted to manufacture, (ii) has performed, in good faith, a reasonable country of origin inquiry (“RCOI”) regarding the minerals that is designed to determine whether any of the conflict minerals originated in the Democratic Republic of the Congo or any adjoining country, as defined by paragraph (d)(1) of Item 1.01 of the Form SD, or are from recycled or scrap sources, as defined by paragraph (d)(6) of Item 1.01 of the Form SD and (iii) based on its RCOI, the Company has performed due diligence procedures as described further in the Conflict Minerals Report filed as Exhibit 1.01 hereto.

 

Item 1.02

Exhibit

Conflict Minerals Disclosure

In accordance with Rule 13p-1 promulgated under the Securities Exchange Act of 1934, as amended (“Rule 13p-1”), and this Specialized Disclosure Report on From SD (this “Form”), the Company has filed a Conflict Minerals Report, which is attached as Exhibit 1.01 to this Form. A copy of this Form and the Conflict Minerals Report are publically available at www.intevac.com.

 

Section 2

Exhibits

 

Item 2.01

Exhibits

 

Exhibit

Number

  

Description

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


SIGNATURE

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

  INTEVAC, INC.

Date: May 28, 2021

 

/s/ JAMES MONIZ

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

 


EXHIBIT INDEX

 

Exhibit

Number

  

Description

Exhibit 1.01    Conflict Minerals Report as required by Items 1.01 and 1.02 of this Form.
EX-1.01 2 d86532dex101.htm EX-1.01 EX-1.01

Exhibit 1.01

Conflict Minerals Report

For the Year Ended December 31, 2020

This Conflict Minerals Report (this “Report” or “CMR”) for Intevac, Inc. (the “Company”) covers the reporting period from January 1, 2020 to December 31, 2020, 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 counties (collectively, the “Covered Countries”). This Report, which is an exhibit to the Form, describes the design of Intevac’s conflict minerals due diligence measures and provides an account of how these measures were implemented in 2020 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

INTEVAC ENERGi®

 

Solar manufacturing equipment

INTEVAC VERTEX®

 

Display cover panel coating equipment

Photonics Products:

LIVAR® cameras, EBAPS® sensors, MicroVista® cameras

 

Photonics military products – night vision cameras

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 2020 Reporting Year

For 2020, 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 2020, 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 Viet Nam

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, Viet Nam, 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”) and Photonics products. In conducting its due diligence, Intevac implemented the Organisation for Economic Co-operation and Development (“OECD”) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (Third Edition, OECD 2016) and the related Supplements (collectively, the “OECD Guidance”), an internationally recognized due diligence framework.

Management Systems

Internal Team

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

Control Systems

As a manufacturer, Intevac is several levels removed from the actual mining of 3TG. Intevac’s TFE and Photonics business units do not make purchases of raw ore or unrefined 3TG and make no 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 1-800-826-6762.

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 89 suppliers of components containing 3TG in our TFE business and 12 suppliers of components containing 3TG in our Photonics business. These suppliers represent approximately 18% of Company’s total 2020 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 87% 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 2020:

 

   

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 89 direct and sub-tier suppliers of materials, parts, components or products containing necessary 3TG in 2020, compared to 130 surveyed direct and sub-tier suppliers in 2019, and compared to 122 surveyed direct and sub-tier suppliers in 2018;

 

   

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 2021);

 

   

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 2020, 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;

 

   

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 2020, 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 2021, 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 2020, Intevac identified 340 SORs as potential sources of 3TG that were reported to be in its supply chain at some point during the year. Of those 340 SORs, 246 have been verified as conflict-free as determined through third party verification by the RMAP, LBMA or RJC, and an additional 22 have begun the audit process.

 

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

Tantalum

   38 of 38 (100%)

Tin

   67 of 78 (86%)

Tungsten

   47 of 52 (90%)

Gold

   116 of 172 (67%)

Total

   268 of 340 (79%)

The number of known SORs in Intevac’s supply chain as of December 31, 2020, December 31, 2019 and December 31, 2018 is as follows.

 

       
Status of identified SORs *  

2020

 

2019

 

2018

Verified conflict-free

  246   234   255

Participating in an audit process

  22   7   5

Not participating

  72   62   57

Total

  340   303   317

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 46 “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, 2021.

 

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

3

  22   2   19   46

The number of known SORs in Intevac’s supply chain as of December 31, 2020 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

  20   20   Brazil, China, Germany, Japan, Kazakhstan, Mexico, Thailand, United States   Burundi, DRC- Congo (Kinshasa), Rwanda

Tin

  11   10   Belgium, Bolivia, Brazil, Malaysia, Thailand, Viet Nam   Burundi, DRC- Congo (Kinshasa), Rwanda, Uganda

Tungsten

  10   10   China, Germany, Japan, Russian Federation   Burundi, DRC- Congo (Kinshasa), Rwanda

Gold

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

Total

  50   49        

 

*

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 2020, 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;

 

   

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 2020, 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 SORs 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 87% in 2020, 83% in 2019, and 92% in 2018.

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 2021 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 2020.


Appendix A

 

Metal   SOR Name   SOR Country  

SOR

Identification

  RMI (a)    

Gold

 

8853 S.p.A.

 

Italy

 

CID002763

 

Conformant

 

(a)

Gold

 

Abington Reldan Metals, LLC

 

United States

 

CID002708

   

Gold

 

Advanced Chemical Company

 

United States

 

CID000015

 

Conformant

 

(a)

Gold

 

African Gold Refinery

 

Uganda

 

CID003185

   

Gold

 

Aida Chemical Industries Co., Ltd.

 

Japan

 

CID000019

 

Conformant

 

(a)

Gold

 

Al Etihad Gold Refinery DMCC

 

United Arab Emirates

 

CID002560

 

Conformant

 

(a)

Gold

 

Alexy Metals

 

United States

 

CID003500

   

(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

 

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

 

AU Traders and Refiners

 

South Africa

 

CID002850

 

Conformant

 

(a), (c)

Gold

 

Augmont Enterprises Private Limited

 

India

 

CID003461

   

(a)

Gold

 

Aurubis AG

 

Germany

 

CID000113

 

Conformant

 

(a), (b)

Gold

 

Bangalore Refinery

 

India

 

CID002863

 

Conformant

 

(a)

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

 

C.I Metales Procesados Industriales SAS

 

Colombia

 

CID003421

 

Conformant

 

(a)

Gold

 

Caridad

 

Mexico

 

CID000180

   

Gold

 

CCR Refinery—Glencore Canada Corporation

 

Canada

 

CID000185

 

Conformant

 

(a), (b)

Gold

 

Cendres + Metaux S.A.

 

Switzerland

 

CID000189

 

Conformant

 

(a)

Gold

 

CGR Metalloys Pvt Ltd.

 

India

 

CID003382

   

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

 

Degussa Sonne / Mond Goldhandel GmbH

 

Germany

 

CID002867

   

Gold

 

Dijllah Gold Refinery FZC

 

United Arab Emirates

 

CID003348

   

Gold

 

DODUCO Contacts and Refining GmbH

 

Germany

 

CID000362

 

Conformant

 

(a)

Gold

 

Dowa

 

Japan

 

CID000401

 

Conformant

 

(a)

Gold

 

DS PRETECH Co., Ltd.

 

Korea, Republic of

 

CID003195

 

Conformant

 

(a)

Gold

 

DSC (Do Sung Corporation)

 

Korea, Republic of

 

CID000359

 

Conformant

 

(a)

Gold

 

Eco-System Recycling Co., Ltd. East Plant

 

Japan

 

CID000425

 

Conformant

 

(a)

Gold

 

Eco-System Recycling Co., Ltd. North Plant

 

Japan

 

CID003424

 

Conformant

 

(a)

Gold

 

Eco-System Recycling Co., Ltd. West Plant

 

Japan

 

CID003425

 

Conformant

 

(a)

Gold

 

Emerald Jewel Industry India Limited (Unit 1)

 

India

 

CID003487

   

Gold

 

Emerald Jewel Industry India Limited (Unit 2)

 

India

 

CID003488

   

Gold

 

Emerald Jewel Industry India Limited (Unit 3)

 

India

 

CID003489

   

Gold

 

Emerald Jewel Industry India Limited (Unit 4)

 

India

 

CID003490

   

Gold

 

Emirates Gold DMCC

 

United Arab Emirates

 

CID002561

 

Conformant

 

(a)

Gold

 

Fidelity Printers and Refiners Ltd.

 

Zimbabwe

 

CID002515

   

Gold

 

Fujairah Gold FZC

 

United Arab Emirates

 

CID002584

   

Gold

 

GCC Gujrat Gold Centre Pvt. Ltd.

 

India

 

CID002852

   

Gold

 

Geib Refining Corporation

 

United States

 

CID002459

 

Conformant

 

(a)

Gold

 

Gold Coast Refinery

 

Ghana

 

CID003186

   

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 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

 

Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd.

 

China

 

CID000773

   

Gold

 

HwaSeong CJ CO., LTD.

 

Korea, Republic of

 

CID000778

   

Gold

 

Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.

 

China

 

CID000801

 

Conformant

 

(a), (b)

Gold

 

International Precious Metal Refiners

 

United Arab Emirates

 

CID002562

 

Conformant

 

(a)

Gold

 

Ishifuku Metal Industry Co., Ltd.

 

Japan

 

CID000807

 

Conformant

 

(a), (b)

Gold

 

Istanbul Gold Refinery

 

Turkey

 

CID000814

 

Conformant

 

(a), (b)

Gold

 

Italpreziosi

 

Italy

 

CID002765

 

Conformant

 

(a), (c)

Gold

 

JALAN & Company

 

India

 

CID002893

   

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 Uralelectromed

 

Russian Federation

 

CID000929

 

Conformant

 

(a), (b)

Gold

 

JX Nippon Mining & Metals Co., Ltd.

 

Japan

 

CID000937

 

Conformant

 

(a), (b)

Gold

 

K.A. Rasmussen

 

Norway

 

CID003497

   

Gold

 

Kaloti Precious Metals

 

United Arab Emirates

 

CID002563

   


Metal   SOR Name   SOR Country  

SOR

Identification

  RMI (a)    

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

 

Korea Zinc Co., Ltd.

 

Korea, Republic of

 

CID002605

 

Conformant

 

(a)

Gold

 

Kundan Care Products Ltd.

 

India

 

CID003463

   

Gold

 

Kyrgyzaltyn JSC

 

Kyrgyzstan

 

CID001029

 

Conformant

 

(a), (b)

Gold

 

Kyshtym Copper-Electrolytic Plant ZAO

 

Russian Federation

 

CID002865

   

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

 

L’Orfebre S.A.

 

Andorra

 

CID002762

 

Conformant

 

(a)

Gold

 

LS-NIKKO Copper Inc.

 

Korea, Republic of

 

CID001078

 

Conformant

 

(a), (b)

Gold

 

LT Metal Ltd.

 

Korea, Republic of

 

CID000689

 

Conformant

 

(a)

Gold

 

Luoyang Zijin Yinhui Gold Refinery Co., Ltd.

 

China

 

CID001093

   

Gold

 

Marsam Metals

 

Brazil

 

CID002606

 

Conformant

 

(a)

Gold

 

Materion

 

United States

 

CID001113

 

Conformant

 

(a)

Gold

 

Matsuda Sangyo Co., Ltd.

 

Japan

 

CID001119

 

Conformant

 

(a), (b)

Gold

 

MD Overseas

 

India

 

CID003548

   

Gold

 

Metal Concentrators SA (Pty) Ltd.

 

South Africa

 

CID003575

 

Conformant

 

(a)

Gold

 

Metallix Refining Inc.

 

United States

 

CID003557

 

Conformant

 

(a)

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

 

MMTC-PAMP India Pvt., Ltd.

 

India

 

CID002509

 

Conformant

 

(a), (b)

Gold

 

Modeltech Sdn Bhd

 

Malaysia

 

CID002857

   

Gold

 

Morris and Watson

 

New Zealand

 

CID002282

   

Gold

 

Moscow Special Alloys Processing Plant

 

Russian Federation

 

CID001204

 

Conformant

 

(a), (b)

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

 

NH Recytech Company

 

Korea, Republic of

 

CID003189

   

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)

Gold

 

OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant”

 

Russian Federation

 

CID001326

 

Conformant

 

(a), (b)

Gold

 

OJSC Novosibirsk Refinery

 

Russian Federation

 

CID000493

 

Conformant

 

(a), (b)

Gold

 

PAMP S.A.

 

Switzerland

 

CID001352

 

Conformant

 

(a), (b)

Gold

 

Pease & Curren

 

United States

 

CID002872

   

Gold

 

Penglai Penggang Gold Industry Co., Ltd.

 

China

 

CID001362

   

Gold

 

Planta Recuperadora de Metales SpA

 

Chile

 

CID002919

 

Conformant

 

(a)

Gold

 

Prioksky Plant of Non-Ferrous Metals

 

Russian Federation

 

CID001386

 

Conformant

 

(a), (b)

Gold

 

PT Aneka Tambang (Persero) Tbk

 

Indonesia

 

CID001397

 

Conformant

 

(a), (b)

Gold

 

PX Precinox S.A.

 

Switzerland

 

CID001498

 

Conformant

 

(a), (b)

Gold

 

QG Refining, LLC

 

United States

 

CID003324

   

Gold

 

Rand Refinery (Pty) Ltd.

 

South Africa

 

CID001512

 

Conformant

 

(a), (b)

Gold

 

Refinery of Seemine Gold Co., Ltd.

 

China

 

CID000522

   

Gold

 

REMONDIS PMR B.V.

 

Netherlands

 

CID002582

 

Conformant

 

(a)

Gold

 

Royal Canadian Mint

 

Canada

 

CID001534

 

Conformant

 

(a), (b)

Gold

 

SAAMP

 

France

 

CID002761

 

Conformant

 

(a), (c)

Gold

 

Sabin Metal Corp.

 

United States

 

CID001546

   

Gold

 

Safimet S.p.A

 

Italy

 

CID002973

 

Conformant

 

(a)

Gold

 

SAFINA A.S.

 

Czech Republic

 

CID002290

 

Conformant

 

(a)

Gold

 

Sai Refinery

 

India

 

CID002853

   

Gold

 

Samduck Precious Metals

 

Korea, Republic of

 

CID001555

 

Conformant

 

(a)

Gold

 

SAMWON METALS Corp.

 

Korea, Republic of

 

CID001562

   

Gold

 

Sancus ZFS (L’Orfebre, SA)

 

Colombia

 

CID003529

   

Gold

 

SAXONIA Edelmetalle GmbH

 

Germany

 

CID002777

 

Conformant

 

(a)

Gold

 

Sellem Industries Ltd.

 

Mauritania

 

CID003540

   

Gold

 

SEMPSA Joyeria Plateria S.A.

 

Spain

 

CID001585

 

Conformant

 

(a), (b)

Gold

 

Shandong Humon Smelting Co., Ltd.

 

China

 

CID002525

   

Gold

 

Shandong Tiancheng Biological Gold Industrial Co., Ltd.

 

China

 

CID001619

   

Gold

 

Shandong Zhaojin Gold & Silver Refinery Co., Ltd.

 

China

 

CID001622

 

Conformant

 

(a), (b)

Gold

 

Shenzhen Zhonghenglong Real Industry Co., Ltd.

 

China

 

CID002527

   

Gold

 

Shirpur Gold Refinery Ltd.

 

India

 

CID002588

   

Gold

 

Sichuan Tianze Precious Metals Co., Ltd.

 

China

 

CID001736

 

Conformant

 

(a), (b)

Gold

 

Singway Technology Co., Ltd.

 

Taiwan

 

CID002516

 

Conformant

 

(a)

Gold

 

SOE Shyolkovsky Factory of Secondary Precious Metals

 

Russian Federation

 

CID001756

 

Conformant

 

(a), (b)

Gold

 

Solar Applied Materials Technology Corp.

 

Taiwan

 

CID001761

 

Conformant

 

(a), (b)

Gold

 

Sovereign Metals

 

India

 

CID003383

   


Metal   SOR Name   SOR Country  

SOR

Identification

  RMI (a)    

Gold

 

State Research Institute Center for Physical Sciences and Technology

 

Lithuania

 

CID003153

   

Gold

 

Sudan Gold Refinery

 

Sudan

 

CID002567

   

Gold

 

Sumitomo Metal Mining Co., Ltd.

 

Japan

 

CID001798

 

Conformant

 

(a), (b)

Gold

 

SungEel HiMetal Co., Ltd.

 

Korea, Republic of

 

CID002918

 

Conformant

 

(a)

Gold

 

T.C.A S.p.A

 

Italy

 

CID002580

 

Conformant

 

(a), (b)

Gold

 

Tanaka Kikinzoku Kogyo K.K.

 

Japan

 

CID001875

 

Conformant

 

(a), (b)

Gold

 

The Refinery of Shandong Gold Mining 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

 

Tony Goetz NV

 

Belgium

 

CID002587

   

Gold

 

TOO Tau-Ken-Altyn

 

Kazakhstan

 

CID002615

 

Conformant

 

(a)

Gold

 

Torecom

 

Korea, Republic of

 

CID001955

 

Conformant

 

(a)

Gold

 

Umicore Brasil Ltda.

 

Brazil

 

CID001977

   

Gold

 

Umicore Precious Metals Thailand

 

Thailand

 

CID002314

 

Conformant

 

(a), (c)

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

 

WIELAND Edelmetalle GmbH

 

Germany

 

CID002778

 

Conformant

 

(a)

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

 

Asaka Riken Co., Ltd.

 

Japan

 

CID000092

 

Conformant

 

(a)

Tantalum

 

Changsha South Tantalum Niobium Co., Ltd.

 

China

 

CID000211

 

Conformant

 

(a)

Tantalum

 

D Block Metals, LLC

 

United States

 

CID002504

 

Conformant

 

(a)

Tantalum

 

Exotech Inc.

 

United States

 

CID000456

 

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

 

Guangdong Zhiyuan New Material Co., Ltd.

 

China

 

CID000616

 

Conformant

 

(a)

Tantalum

 

H.C. Starck Hermsdorf GmbH

 

Germany

 

CID002547

 

Conformant

 

(a)

Tantalum

 

H.C. Starck Inc.

 

United States

 

CID002548

 

Conformant

 

(a)

Tantalum

 

Hengyang King Xing Lifeng New Materials Co., Ltd.

 

China

 

CID002492

 

Conformant

 

(a)

Tantalum

 

Jiangxi Dinghai Tantalum & Niobium Co., Ltd.

 

China

 

CID002512

 

Conformant

 

(a)

Tantalum

 

Jiangxi Tuohong New Raw Material

 

China

 

CID002842

 

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 Blue Metals

 

Mexico

 

CID002539

 

Conformant

 

(a)

Tantalum

 

LSM Brasil S.A.

 

Brazil

 

CID001076

 

Conformant

 

(a)

Tantalum

 

Meta Materials

 

Macedonia

 

CID002847

 

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

 

Ningxia Orient Tantalum Industry Co., Ltd.

 

China

 

CID001277

 

Conformant

 

(a)

Tantalum

 

NPM Silmet AS

 

Estonia

 

CID001200

 

Conformant

 

(a)

Tantalum

 

QuantumClean

 

United States

 

CID001508

 

Conformant

 

(a)

Tantalum

 

Resind Industria e Comercio Ltda.

 

Brazil

 

CID002707

 

Conformant

 

(a)

Tantalum

 

Solikamsk Magnesium Works OAO

 

Russian Federation

 

CID001769

 

Conformant

 

(a)

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

 

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

 

Viet Nam

 

CID002703

   

Tin

 

Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.

 

China

 

CID000228

 

Conformant

 

(a)

Tin

 

Chifeng Dajingzi Tin Industry Co., Ltd.

 

China

 

CID003190

 

Conformant

 

(a)

Tin

 

China Tin Group Co., Ltd.

 

China

 

CID001070

 

Conformant

 

(a)

Tin

 

CRM Fundicao De Metais E Comercio De Equip. Eletr. Do Brasil Ltda

 

Brazil

 

CID003486

 

Conformant

 

(a)

Tin

 

CRM Synergies

 

Spain

 

CID003524

 

Conformant

 

(a)

Tin

 

CV Ayi Jaya

 

Indonesia

 

CID002570

 

Conformant

 

(a)

Tin

 

CV Venus Inti Perkasa

 

Indonesia

 

CID002455

 

Conformant

 

(a)

Tin

 

Dongguan CiEXPO Environmental Engineering Co., Ltd.

 

China

 

CID003356

   

Tin

 

Dowa

 

Japan

 

CID000402

 

Conformant

 

(a)

Tin

 

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

 

Viet Nam

 

CID002572

   

Tin

 

EM Vinto

 

Bolivia

 

CID000438

 

Conformant

 

(a)

Tin

 

Estanho de Rondonia S.A.

 

Brazil

 

CID000448

 

Conformant

 

(a)


Metal   SOR Name   SOR Country  

SOR

Identification

  RMI (a)    
Tin   Fenix Metals   Poland   CID000468   Conformant   (a)
Tin   Gejiu City Fuxiang Industry and Trade Co., Ltd.   China   CID003410    
Tin   Gejiu Fengming Metallurgy Chemical Plant   China   CID002848   Conformant   (a)
Tin   Gejiu Kai Meng Industry and Trade LLC   China   CID000942   Conformant   (a)
Tin   Gejiu Non-Ferrous Metal Processing Co., Ltd.   China   CID000538   Conformant   (a)
Tin   Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.   China   CID001908   Conformant   (a)
Tin   Gejiu Zili Mining And Metallurgy Co., Ltd.   China   CID000555   Conformant   (a)
Tin   Guangdong Hanhe Non-Ferrous Metal Co., Ltd.   China   CID003116   Conformant   (a)
Tin   Guanyang Guida Nonferrous Metal Smelting Plant   China   CID002849   Conformant   (a)
Tin   HuiChang Hill Tin Industry Co., Ltd.   China   CID002844   Conformant   (a)
Tin   Huichang Jinshunda Tin Co., Ltd.   China   CID000760   Conformant   (a)
Tin   Jiangxi New Nanshan Technology Ltd.   China   CID001231   Conformant   (a)
Tin   Luna Smelter, Ltd.   Rwanda   CID003387   Conformant   (a)
Tin   Ma’anshan Weitai Tin Co., Ltd.   China   CID003379   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   Conformant   (a)
Tin   Metallic Resources, Inc.   United States   CID001142   Conformant   (a)
Tin   Metallo Belgium N.V.   Belgium   CID002773   Conformant   (a)
Tin   Metallo Spain S.L.U.   Spain   CID002774   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   Modeltech Sdn Bhd   Malaysia   CID002858    
Tin   Nghe Tinh Non-Ferrous Metals Joint Stock Company   Viet Nam   CID002573    
Tin   Novosibirsk Processing Plant Ltd.   Russian Federation   CID001305   Conformant   (a)
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   Pongpipat Company Limited   Myanmar   CID003208    
Tin   Precious Minerals and Smelting Limited   India   CID003409    
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 Serumpun   Indonesia   CID003205   Conformant   (a)
Tin   PT Bukit Timah   Indonesia   CID001428   Conformant   (a)
Tin   PT Lautan Harmonis Sejahtera   Indonesia   CID002870   Conformant   (a)
Tin   PT Menara Cipta Mulia   Indonesia   CID002835   Conformant   (a)
Tin   PT Mitra Stania Prima   Indonesia   CID001453   Conformant   (a)
Tin   PT Mitra Sukses Globalindo   Indonesia   CID003449    
Tin   PT Prima Timah Utama   Indonesia   CID001458   Conformant   (a)
Tin   PT Rajawali Rimba Perkasa   Indonesia   CID003381   Conformant   (a)
Tin   PT Rajehan Ariq   Indonesia   CID002593   Conformant   (a)
Tin   PT Refined Bangka Tin   Indonesia   CID001460   Conformant   (a)
Tin   PT Stanindo Inti Perkasa   Indonesia   CID001468   Conformant   (a)
Tin   PT Timah Nusantara   Indonesia   CID001486   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   Resind Industria e Comercio Ltda.   Brazil   CID002706   Conformant   (a)
Tin   Rui Da Hung   Taiwan   CID001539   Conformant   (a)
Tin   Soft Metais Ltda.   Brazil   CID001758   Conformant   (a)
Tin   Super Ligas   Brazil   CID002756   Conformant   (a)
Tin   Thai Nguyen Mining and Metallurgy Co., Ltd.   Viet Nam   CID002834   Conformant   (a)
Tin   Thaisarco   Thailand   CID001898   Conformant   (a)
Tin   Tin Technology & Refining   United States   CID003325   Conformant   (a)
Tin   Tuyen Quang Non-Ferrous Metals Joint Stock Company   Viet Nam   CID002574    
Tin   VQB Mineral and Trading Group JSC   Viet Nam   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   Yunnan Yunfan Non-ferrous Metals Co., Ltd.   China   CID003397   Conformant   (a)
Tungsten   A.L.M.T. TUNGSTEN Corp.   Japan   CID000004   Conformant   (a)
Tungsten   ACL Metais Eireli   Brazil   CID002833   Conformant   (a)
Tungsten   Albasteel Industria e Comercio de Ligas Para Fundicao Ltd.   Brazil   CID003427   Conformant   (a)
Tungsten   Artek LLC   Russian Federation   CID003553   Conformant   (a)
Tungsten   Asia Tungsten Products Vietnam Ltd.   Viet Nam   CID002502   Conformant   (a)
Tungsten   Chenzhou Diamond Tungsten Products Co., Ltd.   China   CID002513   Conformant   (a)
Tungsten   China Molybdenum Co., Ltd.   China   CID002641   Conformant   (a)
Tungsten   Chongyi Zhangyuan Tungsten Co., Ltd.   China   CID000258   Conformant   (a)
Tungsten   CNMC (Guangxi) PGMA Co., Ltd.   China   CID000281    
Tungsten   Cronimet Brasil Ltda   Brazil   CID003468   Conformant   (a)
Tungsten   Fujian Ganmin RareMetal Co., Ltd.   China   CID003401   Conformant   (a)


Metal   SOR Name   SOR Country  

SOR

Identification

  RMI (a)    

Tungsten

 

Fujian Jinxin Tungsten Co., Ltd.

 

China

 

CID000499

   

Tungsten

 

Ganzhou Haichuang Tungsten Co., Ltd.

 

China

 

CID002645

 

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

 

GEM Co., Ltd.

 

China

 

CID003417

   

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 Chuangda Vanadium Tungsten Co., Ltd. Wuji

 

China

 

CID002579

 

Conformant

 

(a)

Tungsten

 

Hunan Chunchang Nonferrous Metals Co., Ltd.

 

China

 

CID000769

 

Conformant

 

(a)

Tungsten

 

Hunan Litian Tungsten Industry Co., Ltd.

 

China

 

CID003182

 

Conformant

 

(a)

Tungsten

 

Hydrometallurg, JSC

 

Russian Federation

 

CID002649

 

Conformant

 

(a)

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

 

JSC “Kirovgrad Hard Alloys Plant”

 

Russian Federation

 

CID003408

 

Conformant

 

(a)

Tungsten

 

Kennametal Fallon

 

United States

 

CID000966

 

Conformant

 

(a)

Tungsten

 

Kennametal Huntsville

 

United States

 

CID000105

 

Conformant

 

(a)

Tungsten

 

KGETS CO., LTD.

 

Korea, Republic of

 

CID003388

 

Conformant

 

(a)

Tungsten

 

Lianyou Metals Co., Ltd.

 

Taiwan

 

CID003407

 

Conformant

 

(a)

Tungsten

 

Malipo Haiyu Tungsten Co., Ltd.

 

China

 

CID002319

 

Conformant

 

(a)

Tungsten

 

Masan Tungsten Chemical LLC (MTC)

 

Viet Nam

 

CID002543

 

Conformant

 

(a)

Tungsten

 

Moliren Ltd.

 

Russian Federation

 

CID002845

 

Conformant

 

(a)

Tungsten

 

Niagara Refining LLC

 

United States

 

CID002589

 

Conformant

 

(a)

Tungsten

 

NPP Tyazhmetprom LLC

 

Russian Federation

 

CID003416

 

Conformant

 

(a)

Tungsten

 

Philippine Chuangxin Industrial Co., Inc.

 

Philippines

 

CID002827

 

Conformant

 

(a)

Tungsten

 

TANIOBIS Smelting GmbH & Co. KG

 

Germany

 

CID002542

 

Conformant

 

(a)

Tungsten

 

Tejing (Vietnam) Tungsten Co., Ltd.

 

Viet Nam

 

CID001889

 

Conformant

 

(a)

Tungsten

 

Unecha Refractory Metals Plant

 

Russian Federation

 

CID002724

 

Conformant

 

(a)

Tungsten

 

Wolfram Bergbau und Hutten AG

 

Austria

 

CID002044

 

Conformant

 

(a)

Tungsten

 

Woltech Korea Co., Ltd.

 

Korea, Republic of

 

CID002843

 

Conformant

 

(a)

Tungsten

 

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

 

China

 

CID002320

 

Conformant

 

(a)

Tungsten

 

Xiamen Tungsten Co., Ltd.

 

China

 

CID002082

 

Conformant

 

(a)

Tungsten

 

Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.

 

China

 

CID002830

 

Conformant

 

(a)

Tungsten

 

Xinhai Rendan Shaoguan Tungsten Co., Ltd.

 

China

 

CID002095

   

Notes:

 

  (a)

As of April 30, 2021, 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, 2021, the smelter or refiner participates in the LBMA’s Responsible Gold Programme and has been certified conflict free.

  (c)

As of April 30, 2021, the smelter or refiner participates in the RJC’s Chain-of-Custody Certification Program and has been certified conflict free.