UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM SD
Specialized Disclosure Report
Applied Materials, Inc.
(Exact name of registrant as specified in its charter)
| Delaware | 000-06920 | 94-1655526 | ||
| (State or other jurisdiction of incorporation) |
(Commission File Number) |
(I.R.S. Employer Identification No.) |
| 3050 Bowers Avenue P.O. Box 58039 Santa Clara, CA |
95052-8039 | |
| (Address of principal executive offices) | (Zip Code) |
Thomas F. Larkins Esq.
Applied Materials, Inc.
(408) 727-5555
(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:
| x | Rule 13p-1 under the Securities and Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2014. |
Section 1 – Conflict Minerals Disclosure
| Item 1.01 | Conflict Minerals Disclosure and Report |
A copy of the Conflict Minerals Report of Applied Materials, Inc. for calendar year 2014 is filed as Exhibit 1.01 to this Form SD and is publicly available at www.appliedmaterials.com/company/corporate-responsibility/sustainability.
The content of any website referred to in this Form SD, including any exhibit hereto, is included for general information only and is not incorporated by reference herein.
| Item 1.02 | Exhibit |
The Conflict Minerals Report required by Item 1.01 is filed as Exhibit 1.01 to this Form SD.
Section 2 – Exhibits
| Item 2.01 | Exhibits |
| Exhibit 1.01 | Conflict Minerals Report |
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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 duly authorized undersigned.
| APPLIED MATERIALS, INC. | ||||||
| By: | /s/ Robert J. Halliday |
Date: May 28, 2015 | ||||
| Robert J. Halliday | ||||||
| Senior Vice President, Chief Financial Officer | ||||||
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EXHIBIT INDEX
| Exhibit |
Description | |
| 1.01 | Conflict Minerals Report | |
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EXHIBIT 1.01
APPLIED MATERIALS, INC.
CONFLICT MINERALS REPORT
FOR YEAR ENDED DECEMBER 31, 2014
This is the Conflict Minerals Report of Applied Materials, Inc., including its subsidiaries (collectively, “Applied” or the “Company”), prepared in accordance with Rule 13p-1 under the Securities Exchange Act of 1934. Terms used in this report have the meaning specified in Rule 13p-l and/or Form SD issued by the Securities and Exchange Commission, except as otherwise expressly defined herein. Form SD defines “conflict minerals” as cassiterite, columbite-tantalite (coltan) and wolframite (and their derivatives, tin, tantalum and tungsten, respectively), and gold, regardless of the geographic origin of the minerals and whether or not they fund armed conflict. This report pertains to products manufactured from January 1 through December 31, 2014 for which any conflict minerals are necessary to the functionality or production of the product, as described further below.
Company Overview
Applied provides manufacturing equipment and services (including spare parts) to the global semiconductor, flat panel display, solar and related industries, and reports these products under four segments: the Silicon Systems Group, Display, Energy and Environmental Solutions, and Applied Global Services.
Applied does not directly purchase raw ore or unrefined conflict minerals, nor does it have a direct relationship with any mines of origin or with any smelters or refiners (collectively, “smelters”) that process these minerals. Rather, Applied is a downstream company with an extensive and complex supply chain from which it purchases parts, components and assemblies (collectively, “Parts”). The Company’s manufacturing activities consist primarily of the assembly, testing and integration of various proprietary and commercial Parts that are used to manufacture systems. Applied has a distributed manufacturing model under which manufacturing and supply chain activities are conducted at its facilities, or those of contract manufacturers, located in various countries. Applied’s equipment products, due to their size and complexity, generally consist of thousands of Parts sourced from a multitude of suppliers. Applied relies on its direct suppliers to provide information on the origin of any conflict minerals contained in Parts they sell to the Company, including the source of conflict minerals they obtain from lower tier suppliers and smelters.
Products Covered by this Report
Tantalum, tin, tungsten and gold are metals commonly used in the electronics and related industries due to physical properties that make them well-suited for a variety of applications, such as in cables, printed circuit boards, power supplies, capacitors, solder alloys and certain plastics. As a result, all or substantially all of Applied’s equipment products, and many of its spare parts products, manufactured in 2014 include components for which one or more conflict minerals are necessary to the functionality or production of the product and are therefore considered “Covered Products” for purposes of this report. The following is a general description of Covered Products by reporting segment.
Silicon Systems Group. The Silicon Systems Group provides equipment used by integrated device manufacturers and foundries to fabricate memory, logic and other types of semiconductor chips, which may entail more than 500 steps involving multiple processes to complete the manufacturing cycle. These systems perform various processes used in chip fabrication, including atomic layer deposition (ALD), chemical mechanical planarization (CMP), chemical vapor deposition (CVD), electrochemical deposition
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(ECD), etch, ion implantation, mask-making, metrology and inspection, physical vapor deposition (PVD), rapid thermal processing (RTP), and others. Most of these are single-wafer systems with multiple process chambers attached to one of eight basic platforms: the Endura®, Centura®, Producer®, CentrisTM, Reflexion®, Raider®, VIISta® and Vantage® platforms.
Display. This segment encompasses equipment for manufacturing liquid crystal displays (LCDs), organic light-emitting diodes (OLEDs) and other display technologies for televisions, personal computers, tablets, smartphones and other consumer-oriented products, including its line of Applied AKT®-PECVD systems. The latest generation (Gen-10) systems can process large-size substrates that enable the production of up to six 65-inch LCD TV screens per substrate. Applied is extending its core LCD technology to provide equipment that enables more advanced displays based on newer materials, for example the AKT-PiVot™ PVD system for metal oxide, while the AKT-NEW ARISTO™ system is used for manufacturing the color filter of LCD panels. This segment also includes electron beam array testing (EBT) systems to assure display quality, including the Gen-10 AKT-90K EBT product.
Energy and Environmental Solutions. The Energy and Environmental Solutions segment includes systems for fabricating wafer-based crystalline silicon (c-Si) cells and modules, as well as high-throughput, roll-to-roll vacuum web coating systems. Solar PV fabrication systems include cell-manufacturing, wafer manufacturing and ion implantation systems designed to increase the conversion efficiency and yields of crystalline silicon solar PVs and help reduce the cost-per-watt of solar generated electricity. The high-throughput roll-to-roll coating systems, such as the Applied SmartWeb® system, enable the deposition of a range of films on flexible substrates for flexible electronics, packaging and other applications.
Applied Global Services. This segment encompasses spare parts (along with a range of other service products) to enhance the performance of Applied Materials semiconductor, display and solar tools at customer sites and to improve customers’ operating efficiency, optimize their operating costs, and lessen the environmental impact of their factories. The segment also offers new and remanufactured 200mm legacy semiconductor equipment.
Applied’s Conflict Minerals Compliance Program and Findings
Applied conducted in good faith a reasonable country of origin inquiry (“RCOI”) that it believes was reasonably designed to determine whether any of the necessary conflict minerals in its Covered Products manufactured in 2014 originated in the Democratic Republic of the Congo or an adjoining country (collectively, the “DRC”) or were from recycled or scrap sources. Applied discovered almost no evidence of sourcing from the DRC—the sole DRC smelter identified by an Applied supplier is located in Rwanda and is CFSI “Compliant,” as defined further below. Based on its RCOI, Applied determined it had insufficient information to conclude either (i) that all of its necessary conflict minerals originated outside the DRC or from CFSI “Compliant” sources within the DRC, or (ii) that all of its necessary conflict minerals came from recycled or scrap sources.
Applied therefore undertook further due diligence on the source and chain of custody of necessary conflict minerals contained in its Covered Products. Its due diligence approach was designed to conform in all material respects with the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas: Second Edition and the related Supplements (“OECD Guidance”).
For calendar year 2014 Applied identified the top direct (or first-tier) suppliers in terms of total spend, as well as other suppliers considered reasonably likely to provide Parts containing conflict minerals, to arrive at a target list of suppliers to be contacted (the “Surveyed Suppliers”). These Surveyed Suppliers
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represent over two-thirds of the Company’s actual total expenditures to all direct suppliers for fiscal year 2014.1 Of the Surveyed Suppliers who responded, 37% reported they did not provide Parts containing conflict minerals. Sixty-three percent of the Surveyed Suppliers reported they provided one or more Parts containing conflict minerals; 98% percent of these suppliers provided smelter names, or in some cases further information such as country location. Of the Surveyed Suppliers who reported Parts containing conflict minerals, 89% declared that at least some minerals originated from recycled or scrap sources, although with few exceptions, none were traced to a particular Part.
The below table summarizes certain information pertaining to smelters identified by Surveyed Suppliers. As defined by the Conflict-Free Sourcing Initiative (“CFSI”), “Compliant” smelters are those smelters that have undergone a third party audit, have systems in place to assure sourcing of only DRC conflict free materials, and are therefore identified as compliant with CFSI’s Conflict-Free Smelter Program. “Active” smelters are those that have agreed in writing to produce information and are actively progressing towards a third party audit. The CFSI, of which Applied is a member, was founded by the Electronics Industry Citizenship Coalition (“EICC”) and the Global eSustainability Initiative. The classification of smelters as Compliant or Active is as of April 3, 2015.
| Number of CFSI “Compliant” smelters |
268 | |||
| Number of CFSI “Active” smelters |
44 | |||
| Number for which further information is needed to determine CFSI status (“unclassified smelters”) |
3,898 | * | ||
| Number of unclassified smelters reported to be located in the DRC |
0 | |||
| Number of non-DRC countries in which unclassified smelters were reported to be located |
67 |
| * | Actual number may be lower as data may include distributors or other entities improperly classified as smelters or other inaccuracies. |
Attached as Appendix A is a list of the smelters identified by the Surveyed Suppliers as the facilities that process conflict minerals necessary to their products and that either are (a) CFSI Compliant or (b) CFSI Active. Since the majority of the Surveyed Suppliers reported smelter information at the company level and not at the product level, we do not know with certainty that the smelters reported, including those listed in Appendix A, processed minerals that were used in the Parts we purchased.
Applied did not discover any evidence of sourcing from the DRC as a result of its due diligence, except in one case, in which one supplier reported that its Parts may include minerals processed by a smelter located in Rwanda that is CFSI Compliant. The majority of Applied’s Surveyed Suppliers did not identify the specific smelter that processed conflict minerals contained in a particular Part. In addition, for the significant majority of smelters reported by these Suppliers, there is inadequate information available to assess the source of the conflict minerals they process. Therefore, for Covered Products manufactured in 2014, Applied concluded in good faith that it lacks sufficient information to trace the chain of custody of any conflict minerals contained in its Covered Products up through the supply chain to a specific smelter or, in turn, to a country or mine of origin.
Applied’s Due Diligence Process
Applied’s due diligence approach on the source and chain of custody of its necessary conflict minerals was designed to conform in all material respects with the OECD Guidance. The OECD Guidance is an internationally-recognized due diligence framework consisting of a multi-step, risk-based process,
| 1 | Applied’s fiscal year ends on the last Sunday in October. |
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certain aspects of which differ depending in part on the position of a company in the supply chain. Applied is a “downstream” company, which refers to supply chain participants from the smelter to the retailer, in contrast to those “upstream,” that is, from the mine to the smelter.
As a downstream provider of finished products, Applied does not have direct relationships with smelters and does not perform or specify audits of such entities upstream in its supply chain. Through its membership and participation in the EICC, CFSI and related working groups, Applied believes that seeking reliable information about smelters in its supply chain from its direct suppliers represents a reasonable and cost-effective step to determine the mines or other locations of origin of conflict minerals in its products.
Risk Identification and Assessment
In light of the complexity of its supply chain, Applied used a risk-based approach in designing the scope of its RCOI and due diligence process. As previously noted, the Company identified its top direct (or first-tier) suppliers in terms of total spend, as well as other suppliers considered reasonably likely to provide Parts containing conflict minerals, to arrive at the target list of Surveyed Suppliers. Applied also relied on information obtained through multi-industry-wide, smelter-certification resources, such as the CFSI Conflict-Free Smelter Program.
To collect information on the conflict minerals that may be in Covered Products manufactured in 2014, Applied used the Conflict Minerals Reporting Template (the “Template”) developed by the CFSI. Applied contacted the Surveyed Suppliers and requested them to complete and return the Template with respect to Parts they supply to the Company. The Template was designed to facilitate a supplier’s disclosure of information regarding conflict minerals contained in the supplier’s products, including the country of origin and the name and location of the smelters that process the conflict minerals.
Applied received wholly or partially completed Templates from 99% of its Surveyed Suppliers. The majority of the responding Surveyed Suppliers provided data at a company or “user defined” level, rather than at a Part number level, a permitted option under the Template. Those suppliers who reported at a user defined level reported data at the business division level. Applied reviewed responses against its criteria to determine which required further engagement, such as those with incomplete, untimely or inconsistent information, and made further inquiries of those suppliers. In addition, Applied checked the smelters identified by the Surveyed Suppliers against the lists published by CFSI of Compliant and Active smelters.
Applied was not required to, and it did not, obtain an independent private sector audit of its due diligence approach.
Risk Mitigation Strategy and Future Due Diligence
As part of its risk management strategy, Applied’s designated senior management received information regarding the Surveyed Suppliers’ responses, including those who failed to respond adequately to the Company’s requests for information. Through support of senior management, increased training and supplier outreach, our supplier responsiveness rate increased in comparison with calendar year 2013 from 83% to 99%.
Applied intends to continue to expand its supplier outreach effort through training and additional communications; to enhance its process to identify suppliers who fail to provide a completed Template or do not provide complete and accurate smelter information; and to focus on efforts to verify and improve the accuracy of information obtained from suppliers through the use of software solutions and other means. We also intend to improve our ability to link the smelter information our suppliers provide to specific
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products they supply to Applied. Applied further has undertaken to report relevant smelter information it obtains to CFSI, and to encourage its suppliers to reach out (or to encourage their own suppliers to reach out) to upstream smelters that provide them with conflict minerals and request that such smelters obtain a “conflict-free” designation from an industry program such as the Conflict-Free Smelter Program.
Forward-Looking Statement Disclaimer
This report includes forward-looking statements, including but not limited those regarding Applied’s expected future supplier diligence and engagement efforts and development of related processes. These statements and their underlying assumptions are subject to known and unknown risks and uncertainties that could cause actual results to differ materially from current expectations, including but not limited to: regulatory changes and judicial developments relating to conflict minerals disclosure; changes in our supply chain, components and parts, or products; industry developments relating to supply chain diligence, disclosure and other practices; and other risks described in our most recent Form 10-Q and other SEC filings. Forward-looking statements are based on estimates, projections and assumptions as of May 28, 2015, and Applied undertakes no obligation to update any such statements.
***
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Appendix A
Section 1: Smelters/refiners that are CFSI Compliant
| Metal |
Smelter / Refiner Name |
Country |
Smelter ID | |||
| Gold | Advanced Chemical Company | UNITED STATES | CID000015 | |||
| Gold | Aida Chemical Industries Co. Ltd. | JAPAN | CID000019 | |||
| Gold | Aktyubinsk Copper Company TOO | RUSSIAN FEDERATION | CID000028 | |||
| Gold | Allgemeine Gold-und Silberscheideanstalt A.G. | GERMANY | CID000035 | |||
| Gold | Almalyk Mining and Metallurgical Complex (AMMC) | UZBEKISTAN | CID000041 | |||
| Gold | AngloGold Ashanti Córrego do Sítio Minerção | BRAZIL | CID000058 | |||
| Gold | Argor-Heraeus SA | SWITZERLAND | CID000077 | |||
| Gold | Asahi Pretec Corporation | JAPAN | CID000082 | |||
| Gold | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | TURKEY | CID000103 | |||
| Gold | Aurubis AG | GERMANY | CID000113 | |||
| Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | PHILIPPINES | CID000128 | |||
| Gold | Bauer Walser AG | GERMANY | CID000141 | |||
| Gold | Boliden AB | SWEDEN | CID000157 | |||
| Gold | C. Hafner GmbH + Co. KG | GERMANY | CID000176 | |||
| Gold | Caridad | MEXICO | CID000180 | |||
| Gold | Cendres + Métaux SA | SWITZERLAND | CID000189 | |||
| Gold | Chimet S.p.A. | ITALY | CID000233 | |||
| Gold | China National Gold Group Corporation | CHINA | CID000242 | |||
| Gold | Chugai Mining | JAPAN | CID000264 |
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| Gold | Colt Refining | UNITED STATES | CID000288 | |||
| Gold | Daejin Indus Co. Ltd | KOREA, REPUBLIC OF | CID000328 | |||
| Gold | Daye Non-Ferrous Metals Mining Ltd. | CHINA | CID000343 | |||
| Gold | Do Sung Corporation | KOREA, REPUBLIC OF | CID000359 | |||
| Gold | Doduco | GERMANY | CID000362 | |||
| Gold | Dowa | JAPAN | CID000401 | |||
| Gold | Eco-System Recycling Co., Ltd. | JAPAN | CID000425 | |||
| Gold | Fidelity Printers and Refiners Ltd. | ZIMBABWE | CID002515 | |||
| Gold | FSE Novosibirsk Refinery | RUSSIAN FEDERATION | CID000493 | |||
| Gold | Gansu Seemine Material Hi-Tech Co Ltd | CHINA | CID000522 | |||
| Gold | Guangdong Jinding Gold Limited | CHINA | CID002312 | |||
| Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. | CHINA | CID000671 | |||
| Gold | Heimerle + Meule GmbH | GERMANY | CID000694 | |||
| Gold | Heraeus Ltd. Hong Kong | HONG KONG | CID000707 | |||
| Gold | Heraeus Precious Metals GmbH & Co. KG | GERMANY | CID000711 | |||
| Gold | Hunan Chenzhou Mining Group Co., Ltd. | CHINA | CID000767 | |||
| Gold | Hwasung CJ Co. Ltd | KOREA, REPUBLIC OF | CID000778 | |||
| Gold | Ishifuku Metal Industry Co., Ltd. | JAPAN | CID000807 | |||
| Gold | Istanbul Gold Refinery | TURKEY | CID000814 | |||
| Gold | Japan Mint | JAPAN | CID000823 | |||
| Gold | Jiangxi Copper Company Limited | CHINA | CID000855 | |||
| Gold | Johnson Matthey Inc | UNITED STATES | CID000920 | |||
| Gold | Johnson Matthey Ltd | CANADA | CID000924 |
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| 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 | |||
| Gold | Kazzinc Ltd | KAZAKHSTAN | CID000957 | |||
| Gold | Kennecott Utah Copper LLC | UNITED STATES | CID000969 | |||
| Gold | KGHM Polska Miedz Spólka Akcyjna | POLAND | CID002511 | |||
| Gold | Kojima Chemicals Co., Ltd | JAPAN | CID000981 | |||
| Gold | Korea Metal Co. Ltd | KOREA, REPUBLIC OF | CID000988 | |||
| Gold | Kyrgyzaltyn JSC | KYRGYZSTAN | CID001029 | |||
| Gold | L’ azurde Company For Jewelry | SAUDI ARABIA | CID001032 | |||
| Gold | Lingbao Gold Company Limited | CHINA | CID001056 | |||
| Gold | Lingbao Jinyuan Tonghui Refinery Co. Ltd. | CHINA | CID001058 | |||
| Gold | LS-NIKKO Copper Inc. | KOREA, REPUBLIC OF | CID001078 | |||
| Gold | Luoyang Zijin Yinhui Metal Smelt Co Ltd | CHINA | CID001093 | |||
| Gold | Materion | UNITED STATES | CID001113 | |||
| Gold | Matsuda Sangyo Co., Ltd. | JAPAN | CID001119 | |||
| Gold | Met-Mex Peñoles, S.A. | MEXICO | CID001161 | |||
| Gold | Metalor Technologies (Hong Kong) Ltd | HONG KONG | CID001149 | |||
| Gold | Metalor Technologies (Singapore) Pte. Ltd. | SINGAPORE | CID001152 | |||
| Gold | Metalor Technologies SA | SWITZERLAND | CID001153 | |||
| Gold | Metalor USA Refining Corporation | UNITED STATES | CID001157 | |||
| Gold | Mitsubishi Materials Corporation | JAPAN | CID001188 | |||
| Gold | Mitsui Mining and Smelting Co., Ltd. | JAPAN | CID001193 |
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| Gold | MMTC-PAMP India Pvt. Ltd | INDIA | CID002509 | |||
| Gold | Moscow Special Alloys Processing Plant | RUSSIAN FEDERATION | CID001204 | |||
| Gold | Nadir Metal Rafineri San. Ve Tic. A.Ş. | TURKEY | CID001220 | |||
| Gold | Navoi Mining and Metallurgical Combinat | UZBEKISTAN | CID001236 | |||
| Gold | Nihon Material Co. LTD | JAPAN | CID001259 | |||
| Gold | Ohio Precious Metals, LLC | UNITED STATES | CID001322 | |||
| Gold | Ohura Precious Metal Industry Co., Ltd | JAPAN | CID001325 | |||
| Gold | OJSC Kolyma Refinery | RUSSIAN FEDERATION | CID001328 | |||
| Gold | OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastvetmet) | RUSSIAN FEDERATION | CID001326 | |||
| Gold | PAMP SA | SWITZERLAND | CID001352 | |||
| Gold | Penglai Penggang Gold Industry Co Ltd | CHINA | CID001362 | |||
| Gold | Prioksky Plant of Non-Ferrous Metals | RUSSIAN FEDERATION | CID001386 | |||
| Gold | PT Aneka Tambang (Persero) Tbk | INDONESIA | CID001397 | |||
| Gold | PX Précinox SA | SWITZERLAND | CID001498 | |||
| Gold | Rand Refinery (Pty) Ltd | SOUTH AFRICA | CID001512 | |||
| Gold | Republic Metals Corporation | UNITED STATES | CID002510 | |||
| Gold | Royal Canadian Mint | CANADA | CID001534 | |||
| Gold | Sabin Metal Corp. | UNITED STATES | CID001546 | |||
| Gold | Samduck Precious Metals | KOREA, REPUBLIC OF | CID001555 | |||
| Gold | SAMWON METALS Corp. | KOREA, REPUBLIC OF | CID001562 | |||
| Gold | Schone Edelmetaal | NETHERLANDS | CID001573 |
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| Gold | SEMPSA Joyería Platería SA | SPAIN | CID001585 | |||
| Gold | Shandong Zhaojin Gold & Silver Refinery Co. Ltd | CHINA | CID001622 | |||
| Gold | Sichuan Tianze Precious Metals Co., Ltd | CHINA | CID001736 | |||
| Gold | Singway Technology Co., Ltd. | TAIWAN | CID002516 | |||
| Gold | So Accurate Group, Inc. | UNITED STATES | CID001754 | |||
| Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | RUSSIAN FEDERATION | CID001756 | |||
| Gold | Solar Applied Materials Technology Corp. | TAIWAN | CID001761 | |||
| Gold | Sumitomo Metal Mining Co., Ltd. | JAPAN | CID001798 | |||
| Gold | Tanaka Kikinzoku Kogyo K.K. | JAPAN | CID001875 | |||
| Gold | The Great Wall Gold and Silver Refinery of China | CHINA | CID001909 | |||
| Gold | The Refinery of Shandong Gold Mining Co. Ltd | CHINA | CID001916 | |||
| Gold | Tokuriki Honten Co., Ltd | JAPAN | CID001938 | |||
| Gold | Tongling nonferrous Metals Group Co.,Ltd | CHINA | CID001947 | |||
| Gold | Torecom | KOREA, REPUBLIC OF | CID001955 | |||
| Gold | Umicore Brasil Ltda | BRAZIL | CID001977 | |||
| Gold | Umicore Precious Metals Thailand | THAILAND | CID002314 | |||
| Gold | Umicore SA Business Unit Precious Metals Refining | BELGIUM | CID001980 | |||
| Gold | United Precious Metal Refining, Inc. | UNITED STATES | CID001993 | |||
| Gold | Valcambi SA | SWITZERLAND | CID002003 | |||
| Gold | Western Australian Mint trading as The Perth Mint | AUSTRALIA | CID002030 | |||
| Gold | CCR Refinery – Glencore Canada Corporation | CANADA | CID000185 |
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| Gold | YAMAMOTO PRECIOUS METAL CO., LTD. | JAPAN | CID002100 | |||
| Gold | Yokohama Metal Co Ltd | JAPAN | CID002129 | |||
| Gold | Yunnan Copper Industry Co Ltd | CHINA | CID000197 | |||
| Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | CHINA | CID002224 | |||
| Gold | Zijin Mining Group Co. Ltd | CHINA | CID002243 | |||
| Tin | China Rare Metal Materials Company | CHINA | CID000244 | |||
| Tin | CNMC (Guangxi) PGMA Co. Ltd. | CHINA | CID000278 | |||
| Tin | Alpha | UNITED STATES | CID000292 | |||
| Tin | Cooper Santa | BRAZIL | CID000295 | |||
| Tin | CV Gita Pesona | INDONESIA | CID000306 | |||
| Tin | CV JusTindo | INDONESIA | CID000307 | |||
| Tin | CV Makmur Jaya | INDONESIA | CID000308 | |||
| Tin | CV Nurjanah | INDONESIA | CID000309 | |||
| Tin | PT Prima Timah Utama | INDONESIA | CID001458 | |||
| Tin | CV Serumpun Sebalai | INDONESIA | CID000313 | |||
| Tin | CV United Smelting | INDONESIA | CID000315 | |||
| Tin | CV Venus Inti Perkasa | INDONESIA | CID002455 | |||
| Tin | EM Vinto | BOLIVIA | CID000438 | |||
| Tin | Estanho de Rondônia S.A. | BRAZIL | CID000448 | |||
| Tin | Fenix Metals | POLAND | CID000468 | |||
| Tin | Gejiu Non-Ferrous Metal Processing Co. Ltd. | CHINA | CID000538 | |||
| Tin | Gejiu Zi-Li | CHINA | CID000555 | |||
| Tin | Huichang Jinshunda Tin Co. Ltd | CHINA | CID000760 | |||
| Tin | Jiangxi Nanshan | CHINA | CID000864 |
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| Tin | Gejiu Kai Meng Industry and Trade LLC | CHINA | CID000942 | |||
| Tin | Linwu Xianggui Smelter Co | CHINA | CID001063 | |||
| Tin | China Tin Group Co., Ltd. | CHINA | CID001070 | |||
| Tin | Magnu’s Minerais Metais e Ligas LTDA | BRAZIL | CID002468 | |||
| Tin | Malaysia Smelting Corporation (MSC) | MALAYSIA | CID001105 | |||
| Tin | Melt Metais e Ligas S/A | BRAZIL | CID002500 | |||
| Tin | Metallo Chimique | BELGIUM | CID001143 | |||
| Tin | Mineração Taboca S.A. | BRAZIL | CID001173 | |||
| Tin | Minsur | PERU | CID001182 | |||
| Tin | Mitsubishi Materials Corporation | JAPAN | CID001191 | |||
| Tin | Novosibirsk Integrated Tin Works | RUSSIAN FEDERATION | CID001305 | |||
| Tin | O.M. Manufacturing (Thailand) Co., Ltd. | THAILAND | CID001314 | |||
| Tin | O.M. Manufacturing Philippines, Inc. | PHILIPPINES | CID002517 | |||
| Tin | OMSA | BOLIVIA | CID001337 | |||
| Tin | PT Alam Lestari Kencana | INDONESIA | CID001393 | |||
| Tin | PT Artha Cipta Langgeng | INDONESIA | CID001399 | |||
| Tin | PT ATD Makmur Mandiri Jaya | INDONESIA | CID002503 | |||
| Tin | PT Babel Inti Perkasa | INDONESIA | CID001402 | |||
| Tin | PT Babel Surya Alam Lestari | INDONESIA | CID001406 | |||
| Tin | PT Bangka Putra Karya | INDONESIA | CID001412 | |||
| Tin | PT Bangka Tin Industry | INDONESIA | CID001419 | |||
| Tin | PT Belitung Industri Sejahtera | INDONESIA | CID001421 | |||
| Tin | PT BilliTin Makmur Lestari | INDONESIA | CID001424 | |||
| Tin | PT Bukit Timah | INDONESIA | CID001428 | |||
| Tin | PT Donna Kembara Jaya | INDONESIA | CID002473 |
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| Tin | PT DS Jaya Abadi | INDONESIA | CID001434 | |||
| Tin | PT Eunindo Usaha Mandiri | INDONESIA | CID001438 | |||
| Tin | PT Fang Di MulTindo | INDONESIA | CID001442 | |||
| Tin | PT HP Metals Indonesia | INDONESIA | CID001445 | |||
| Tin | PT Inti Stania Prima | INDONESIA | CID002530 | |||
| Tin | PT Karimun Mining | INDONESIA | CID001448 | |||
| Tin | PT Mitra Stania Prima | INDONESIA | CID001453 | |||
| Tin | PT Panca Mega Persada | INDONESIA | CID001457 | |||
| Tin | PT Pelat Timah Nusantara Tbk | INDONESIA | CID001486 | |||
| Tin | PT Rajwa International | INDONESIA | CID002475 | |||
| Tin | PT REFINED BANGKA TIN | INDONESIA | CID001460 | |||
| Tin | PT Sariwiguna Binasentosa | INDONESIA | CID001463 | |||
| Tin | PT Seirama Tin investment | INDONESIA | CID001466 | |||
| Tin | PT Singkep Times Utama | INDONESIA | CID002476 | |||
| Tin | PT Stanindo Inti Perkasa | INDONESIA | CID001468 | |||
| Tin | PT Sumber Jaya Indah | INDONESIA | CID001471 | |||
| Tin | PT Supra Sukses Trinusa | INDONESIA | CID001476 | |||
| Tin | PT Tambang Timah | INDONESIA | CID001477 | |||
| Tin | PT Timah (Persero), Tbk | INDONESIA | CID001482 | |||
| Tin | PT Tinindo Inter Nusa | INDONESIA | CID001490 | |||
| Tin | PT Tirus Putra Mandiri | INDONESIA | CID002478 | |||
| Tin | PT Tommy Utama | INDONESIA | CID001493 | |||
| Tin | PT Wahana Perkit Jaya | INDONESIA | CID002479 | |||
| Tin | PT Yinchendo Mining Industry | INDONESIA | CID001494 | |||
| Tin | Rui Da Hung | TAIWAN | CID001539 |
13
| Tin | Soft Metais, Ltda. | BRAZIL | CID001758 | |||
| Tin | Thaisarco | THAILAND | CID001898 | |||
| Tin | White Solder Metalurgia e Mineração Ltda. | BRAZIL | CID002036 | |||
| Tin | Yunnan Chengfeng Non-ferrous Metals Co.,Ltd. | CHINA | CID002158 | |||
| Tin | Yunnan Tin Company, Ltd. | CHINA | CID002180 | |||
| Tungsten | A.L.M.T. Corp. | JAPAN | CID000004 | |||
| Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd. | CHINA | CID002513 | |||
| Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | CHINA | CID000258 | |||
| Tungsten | Dayu Jincheng Tungsten Industry Co., Ltd. | CHINA | CID002518 | |||
| Tungsten | Dayu Weiliang Tungsten Co., Ltd. | CHINA | CID000345 | |||
| Tungsten | Fujian Jinxin Tungsten Co., Ltd. | CHINA | CID000499 | |||
| Tungsten | Ganxian Shirui New Material Co., Ltd. | CHINA | CID002531 | |||
| Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. | CHINA | CID000875 | |||
| Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | CHINA | CID002315 | |||
| Tungsten | Ganzhou Non-ferrous Metals Smelting Co., Ltd. | CHINA | CID000868 | |||
| Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | CHINA | CID002494 | |||
| Tungsten | Ganzhou Yatai Tungsten Co., Ltd. | CHINA | CID002536 | |||
| Tungsten | Global Tungsten & Powders Corp. | UNITED STATES | CID000568 | |||
| Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | CHINA | CID000218 | |||
| Tungsten | H.C. Starck Smelting GmbH & Co.KG | GERMANY | CID002542 | |||
| Tungsten | Hunan Chenzhou Mining Group Co., Ltd. | CHINA | CID000766 | |||
| Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd. | CHINA | CID000769 |
14
| Tungsten | Japan New Metals Co., Ltd. | JAPAN | CID000825 | |||
| Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | CHINA | CID002551 | |||
| Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | CHINA | CID002321 | |||
| Tungsten | Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd. | CHINA | CID002313 | |||
| Tungsten | Jiangxi Richsea New Materials Co., Ltd. | CHINA | CID002493 | |||
| Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | CHINA | CID002318 | |||
| Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | CHINA | CID002317 | |||
| Tungsten | Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd. | CHINA | CID002535 | |||
| Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. | CHINA | CID002316 | |||
| Tungsten | Kennametal Fallon | UNITED STATES | CID000966 | |||
| Tungsten | Kennametal Huntsville | UNITED STATES | CID000105 | |||
| Tungsten | Malipo Haiyu Tungsten Co., Ltd. | CHINA | CID002319 | |||
| Tungsten | Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC | VIET NAM | CID002543 | |||
| Tungsten | Tejing (Vietnam) Tungsten Co., Ltd. | VIET NAM | CID001889 | |||
| Tungsten | Vietnam Youngsun Tungsten Industry Co., Ltd | VIET NAM | CID002011 | |||
| Tungsten | Wolfram Bergbau und Hütten AG | AUSTRIA | CID002044 | |||
| Tungsten | Wolfram Company CJSC | RUSSIAN FEDERATION | CID002047 | |||
| Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | CHINA | CID002320 | |||
| Tungsten | Xiamen Tungsten Co., Ltd. | CHINA | CID002082 | |||
| Tungsten | Xinhai Rendan Shaoguan Tungsten Co., Ltd. | CHINA | CID002095 | |||
| Tantalum | Changsha South Tantalum Niobium Co., Ltd. | CHINA | CID000211 |
15
| Tantalum | Conghua Tantalum and Niobium Smeltry | CHINA | CID000291 | |||
| Tantalum | D Block Metals, LLC | UNITED STATES | CID002504 | |||
| Tantalum | Duoluoshan | CHINA | CID000410 | |||
| Tantalum | Exotech Inc. | UNITED STATES | CID000456 | |||
| Tantalum | F&X Electro-Materials Ltd. | CHINA | CID000460 | |||
| Tantalum | FIR Metals & Resource Co., Ltd. | CHINA | CID002505 | |||
| Tantalum | Global Advanced Metals Aizu | JAPAN | CID002558 | |||
| Tantalum | Global Advanced Metals Boyertown | UNITED STATES | CID002557 | |||
| Tantalum | Guangdong Zhiyuan New Material Co., Ltd. | CHINA | CID000616 | |||
| Tantalum | Guizhou Zhenhua Xinyun Technology Ltd., Kaili branch | CHINA | CID002501 | |||
| Tantalum | H.C. Starck Co., Ltd. | THAILAND | CID002544 | |||
| Tantalum | H.C. Starck GmbH Goslar | GERMANY | CID002545 | |||
| Tantalum | H.C. Starck GmbH Laufenburg | GERMANY | CID002546 | |||
| Tantalum | H.C. Starck Hermsdorf GmbH | GERMANY | CID002547 | |||
| Tantalum | H.C. Starck Inc. | UNITED STATES | CID002548 | |||
| Tantalum | H.C. Starck Ltd. | JAPAN | CID002549 | |||
| Tantalum | H.C. Starck Smelting GmbH & Co.KG | GERMANY | CID002550 | |||
| Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | CHINA | CID002492 | |||
| Tantalum | Hi-Temp | UNITED STATES | CID000731 | |||
| Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., LTD | CHINA | CID002512 | |||
| Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | CHINA | CID000914 | |||
| Tantalum | Jiujiang Tanbre Co., Ltd. | CHINA | CID000917 | |||
| Tantalum | KEMET Blue Metals | MEXICO | CID002539 |
16
| Tantalum | KEMET Blue Powder | UNITED STATES | CID002568 | |||
| Tantalum | King-Tan Tantalum Industry Ltd | CHINA | CID000973 | |||
| Tantalum | LSM Brasil S.A. | BRAZIL | CID001076 | |||
| Tantalum | Metallurgical Products India (Pvt.) Ltd. | INDIA | CID001163 | |||
| Tantalum | Mineração Taboca S.A. | BRAZIL | CID001175 | |||
| Tantalum | Mitsui Mining & Smelting | JAPAN | CID001192 | |||
| Tantalum | Molycorp Silmet A.S. | ESTONIA | CID001200 | |||
| Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | CHINA | CID001277 | |||
| Tantalum | Phoenix Metal Ltd | RWANDA | CID002507 | |||
| Tantalum | Plansee SE Liezen | AUSTRIA | CID002540 | |||
| Tantalum | Plansee SE Reutte | AUSTRIA | CID002556 | |||
| Tantalum | QuantumClean | UNITED STATES | CID001508 | |||
| Tantalum | RFH Tantalum Smeltry Co., Ltd | CHINA | CID001522 | |||
| Tantalum | Shanghai Jiangxi Metals Co. Ltd | CHINA | CID001634 | |||
| Tantalum | Solikamsk Magnesium Works OAO | RUSSIAN FEDERATION | CID001769 | |||
| Tantalum | Taki Chemicals | JAPAN | CID001869 | |||
| Tantalum | Telex | UNITED STATES | CID001891 | |||
| Tantalum | Ulba | KAZAKHSTAN | CID001969 | |||
| Tantalum | XinXing HaoRong Electronic Material CO.,LTD | CHINA | CID002508 | |||
| Tantalum | Yichun Jin Yang Rare Metal Co., Ltd | CHINA | CID002307 | |||
| Tantalum | Zhuzhou Cement Carbide | CHINA | CID002232 |
17
Section 2: Smelters/refiners that are CFSI Active
| Metal |
Smelter / Refiner Name |
Country |
SmelterID | |||
| GOLD | Asaka Riken Co Ltd | JAPAN | CID000090 | |||
| GOLD | Cendres + Metaux SA | SWITZERLAND | CID000189 | |||
| GOLD | Doduco | GERMANY | CID000362 | |||
| GOLD | SOE Shyolkovsky Factory of Secondary Precious Metals | RUSSIA | CID001756 | |||
| GOLD | Torecom | SOUTH KOREA | CID001955 | |||
| GOLD | Yamamoto Precision Metals | JAPAN | CID002100 | |||
| GOLD | Yokohama Metal Co Ltd | JAPAN | CID002129 | |||
| TIN | China Tin Group Co., Ltd. | CHINA | CID001070 | |||
| TIN | CV Gita Pesona | INDONESIA | CID000306 | |||
| TIN | CV JusTindo | INDONESIA | CID000307 | |||
| TIN | CV Murjanah | INDONESIA | CID000309 | |||
| TIN | Fenix Metals | POLAND | CID000468 | |||
| TIN | O.M. Manufacturing (Thailand) Co., Ltd. | THAILAND | CID001314 | |||
| TIN | O.M. Manufacturing Philippines, Inc. | PHILIPPINES | CID002517 | |||
| TIN | PT Artha Cipta Langgeng | INDONESIA | CID001399 | |||
| TIN | PT BilliTin Makmur Lestari | INDONESIA | CID001424 | |||
| TIN | PT Inti Stania Prima | INDONESIA | CID002530 | |||
| TIN | PT Karimun Mining | INDONESIA | CID001448 | |||
| TIN | PT Sumber Jaya Indah | INDONESIA | CID001471 | |||
| TIN | Rui Da Hung | TAIWAN | CID001539 | |||
| TIN | Soft Metais, Ltda. | BRAZIL | CID001758 | |||
| TIN | Yunnan Chengfeng Non-ferrous Metals Co.,Ltd. | CHINA | CID002158 | |||
| TUNGSTEN | A.L.M.T Corp. | JAPAN | CID000004 | |||
| TUNGSTEN | Chaozhou Xianglu Tungsten Industry Co Ltd | CHINA | CID000218 | |||
| TUNGSTEN | Chenzhou Diamond Tungsten Products Co., Ltd. | CHINA | CID002513 | |||
| TUNGSTEN | Chongyi Zhangyuan Tungsten Co Ltd | CHINA | CID000258 | |||
| TUNGSTEN | Dayu Jincheng Tungsten Industry Co., Ltd. | CHINA | CID002518 | |||
| TUNGSTEN | Dayu Weiliang Tungsten Co., Ltd. | CHINA | CID000345 | |||
| TUNGSTEN | Fujian Jinxin Tungsten Co., Ltd. | CHINA | CID000499 | |||
| TUNGSTEN | Ganzhou Non-ferrous Metals Smelting Co., Ltd. | CHINA | CID000868 | |||
| TUNGSTEN | Ganzhou Yatai Tungsten Co., Ltd. | CHINA | CID002536 | |||
| TUNGSTEN | H.C. Starck GmbH | GERMANY | CID002541 | |||
| TUNGSTEN | H.C. Starck Smelting GmbH & Co.KG | GERMANY | CID002542 | |||
| TUNGSTEN | Hunan Chenzhou Mining Group Co | CHINA | CID000766 | |||
| TUNGSTEN | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | CHINA | CID002551 | |||
| TUNGSTEN | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | CHINA | CID002318 | |||
| TUNGSTEN | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | CHINA | CID002317 |
18
| TUNGSTEN | Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd. | CHINA | CID002535 | |||
| TUNGSTEN | Jiangxi Yaosheng Tungsten Co., Ltd. | CHINA | CID002316 | |||
| TUNGSTEN | Kennametal Fallon | UNITED STATES | CID000966 | |||
| TUNGSTEN | Kennametal Huntsville | UNITED STATES | CID000105 | |||
| TUNGSTEN | Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC | VIET NAM | CID002543 | |||
| TUNGSTEN | Wolfram Company CJSC | RUSSIA | CID002047 | |||
| TUNGSTEN | Xinhai Rendan Shaoguan Tungsten Co., Ltd. | CHINA | CID002095 |
19