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:
| ☒ | Rule 13p-1 under the Securities and Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2016. |
SECTION 1 – CONFLICT MINERALS DISCLOSURE
| Item 1.01: | Conflict Minerals Disclosure and Report |
Applied Materials, Inc. has filed a Conflict Minerals Report as an exhibit to this report on Form SD and has also posted the report on its publicly available Company website at http://www.appliedmaterials.com/company/corporate-responsibility/sustainability.
| Item 1.02: | Exhibit |
A Conflict Minerals Report is attached as Exhibit 1.01 to this report.
SECTION 2 – EXHIBITS
| Item 2.01: | Exhibits |
| Exhibit |
Description | |
| 1.01 | Conflict Minerals Report as required by Items 1.01 and 1.02 of this Form. | |
2
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. (Registrant) |
||||||
| By: |
/s/ Robert J. Halliday |
Date: May 26, 2017 | ||||
| Robert J. Halliday | ||||||
| Senior Vice President, Chief Financial Officer | ||||||
3
EXHIBIT INDEX
| Exhibit |
Description | |
| 1.01 | Conflict Minerals Report | |
4
EXHIBIT 1.01
APPLIED MATERIALS, INC.
CONFLICT MINERALS REPORT
FOR YEAR ENDED DECEMBER 31, 2016
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, 2016 for which any conflict minerals are necessary to the functionality or production of the product, as described further below.
Company Overview
A global company with a broad set of capabilities in materials engineering, Applied provides manufacturing equipment, services (including spare parts) and software to the global semiconductor, display, solar photovoltaic (PV) and related industries, and reports these products under three segments: Semiconductor Systems, Display & Adjacent Markets 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 2016 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.
Semiconductor Systems. Applied’s Semiconductor Systems segment develops, manufactures and sells a wide range of manufacturing equipment used to fabricate semiconductor chips, also referred to as integrated circuits (ICs). The Semiconductor Systems segment includes semiconductor capital equipment for deposition, etch, ion implantation, rapid thermal processing, chemical mechanical planarization, metrology and inspection, and wafer packaging. Most of these are single-wafer systems with multiple process chambers attached to one of nine basic platforms: the Endura®, Centris®, Centura®, OlympiaTM, Producer®, Reflexion®, Raider®, VIISta® and Vantage® platforms. Applied’s metrology and inspection tools, which include the PROVision™, UVision®, SEMVision™ and VeritySEM® systems, are used to locate, measure and analyze critical defects and features on the wafer during various stages of the fabrication processes. The majority of Applied’s new equipment sales are to leading integrated device manufacturers and foundries worldwide.
1
Display and Adjacent Markets. This segment is comprised of products for manufacturing liquid crystal displays (LCDs), organic light-emitting diodes (OLEDs), and other display technologies for TVs, personal computers (PCs), tablets, smart phones and other consumer-oriented devices as well as equipment for flexible substrates. While similarities exist between the technologies utilized in semiconductor and display fabrication, the most significant differences are in the size and composition of the substrate. Substrates used to manufacture display panels and other devices are typically glass, although newer flexible materials are entering the market. The Display and Adjacent Markets segment offers a variety of products and technologies, including: the AKT® Electron Beam Array Test system for array test, AKT® PECVD systems for CVD, AKT® Aristo™ and PiVot™ systems for PVD, and AKT® TFE systems for thin-film encapsulation. It also includes flexible coating systems that utilize physical vapor deposition, thermal evaporation, chemical vapor deposition and e-beam technology to deposit thin layers of metal onto flexible substrates for packaging, flexible electronics and security industries. These systems include TopBeam™, TopMet™ and SmartWeb®.
Applied Global Services. This segment provides integrated solutions to optimize equipment and fab performance and productivity, including spares, upgrades, services, remanufactured earlier generation equipment and factory automation software for semiconductor, display and other products.
Other Products. Applied’s Baccini® systems are used for fabricating crystalline-silicon (c-Si) solar PV cells.
Applied’s Conflict Mineral’s 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 2016 originated in the Democratic Republic of the Congo or an adjoining country (collectively, the “DRC”) or were from recycled or scrap sources. Applied discovered no evidence of sourcing from the DRC. However, 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 2016, Applied identified the top direct (or first-tier) suppliers in terms of total spend, suppliers who during the past three years were part of the top direct suppliers by spend, as well as suppliers considered reasonably likely to provide Parts containing conflict minerals based upon the commodity (e.g., suppliers of sputtering targets and suppliers of gold plating) to arrive at a target list of suppliers to be contacted (the “Surveyed Suppliers”). These Surveyed Suppliers represent approximately eighty percent of the Company’s actual total expenditures to all direct suppliers for fiscal year 2016.1 All Surveyed Suppliers responded, and 39% reported they did not provide Parts containing conflict minerals. Of the Surveyed Suppliers who reported they provided one or more Parts containing conflict minerals, all provided smelter names, or in some cases further information such as country location of the smelters. Approximately 68% of Surveyed Suppliers who reported Parts containing conflicts minerals declared that at least some minerals originated from recycled or scrap sources, although with few exceptions, none were traced to a particular Part.
| 1 | Applied’s fiscal year ends on the last Sunday in October. |
2
The table below summarizes certain information pertaining to smelters identified by Surveyed Suppliers. The Conflict-Free Sourcing Initiative (“CFSI”), of which Applied is a member, was founded by the Electronics Industry Citizenship Coalition (“EICC”) and the Global eSustainability Initiative. Under the 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 classification of smelters considered Compliant or Active is current as of March 15, 2017.
| Number of CFSI “Compliant” smelters (none in the DRC)
|
237
| |
| Number of CFSI “Active” smelters (none in the DRC)
|
19
| |
| Number for which further information is needed to determine CFSI status (“unclassified smelters”)
|
1,506*
| |
| 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
|
52
|
| * | 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 or refiners 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 each smelter or refiner listed in Appendix A processed minerals that were used in the Parts we purchased.
Applied did not discover any evidence of sourcing from smelters in the DRC as a result of its due diligence. 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 2016, 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, 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.
3
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 approach 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 suppliers in terms of total spend, suppliers who previously were among the top direct 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 2016, 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 all 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 targeted suppliers who failed to respond adequately to the Company’s request for information. Our sustained supplier outreach efforts enabled us to achieve a 100% response rate from the Surveyed Suppliers, consistent with our results in 2015 (compared to 83% in 2013 and 99% in 2014).
In addition, Applied engaged MetricStream to assist with its supplier outreach effort, including but not limited to data verification, reasonable country of origin inquiry and due diligence process. MetricStream is recognized technology platform that offers a conflict minerals management solution and a full range of services to enable effective compliance with conflict minerals reporting requirements.
4
Applied intends to continue to enhance its process to identify suppliers who fail to provide a completed Template or do not provide complete and accurate smelter information; to improve its ability to identify suppliers reasonably likely to provide Parts containing conflict minerals; and to focus on efforts to verify and improve the accuracy of information obtained from suppliers through the use of MetricStream, software solutions and other means. Going forward the Company intends to broaden its outreach to suppliers to determine whether the products they supply to Applied contain conflict minerals by targeting its top 80% direct suppliers in terms of total spend, as well as direct suppliers outside that group who previously were included among the Surveyed Suppliers, and to continue efforts to identify suppliers that are considered reasonably likely to provide Parts containing conflict minerals. In addition, Applied intends to improve its ability to link the smelter information its suppliers report to specific products they supply to Applied by requiring suppliers to provide product level Templates for tantalum target, gold plating and special process parts. In support of this effort, Applied intends to continue its conflict minerals training initiatives for suppliers. 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 require 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 26, 2017, and Applied undertakes no obligation to update any such statements.
***
5
Appendix A
Section 1: Smelters/refiners that are CFSI Compliant
| Metal | Smelter / Refiner Name | Country | Smelter ID | |||
| Gold |
Samduck Precious Metals | KOREA (REPUBLIC OF) | CID001555 | |||
| Gold |
Eco-System Recycling Co., Ltd. | JAPAN | CID000425 | |||
| Gold |
Metalor Technologies S.A. | SWITZERLAND | CID001153 | |||
| Gold |
Elemetal Refining, LLC | UNITED STATES OF AMERICA | CID001322 | |||
| Gold |
PT Aneka Tambang (Persero) Tbk | INDONESIA | CID001397 | |||
| Gold |
CCR Refinery - Glencore Canada Corporation | CANADA | CID000185 | |||
| Gold |
Zijin Mining Group Co., Ltd. Gold Refinery | CHINA | CID002243 | |||
| Gold |
Tokuriki Honten Co., Ltd. | JAPAN | CID001938 | |||
| Gold |
Sichuan Tianze Precious Metals Co., Ltd. | CHINA | CID001736 | |||
| Gold |
Emirates Gold DMCC | UNITED ARAB EMIRATES | CID002561 | |||
| Gold |
Singway Technology Co., Ltd. | TAIWAN, PROVINCE OF CHINA | CID002516 | |||
| Gold |
Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | CHINA | CID001622 | |||
| Gold |
Umicore S.A. Business Unit Precious Metals Refining | BELGIUM | CID001980 | |||
| Gold |
Moscow Special Alloys Processing Plant | RUSSIAN FEDERATION | CID001204 | |||
| Gold |
Yokohama Metal Co., Ltd. | JAPAN | CID002129 | |||
| Gold |
DODUCO GmbH | GERMANY | CID000362 | |||
| Gold |
Japan Mint | JAPAN | CID000823 |
6
| Metal | Smelter / Refiner Name | Country | Smelter ID | |||
| Gold |
Metalor Technologies (Singapore) Pte., Ltd. | SINGAPORE | CID001152 | |||
| Gold |
Solar Applied Materials Technology Corp. | TAIWAN, PROVINCE OF CHINA | CID001761 | |||
| Gold |
Heraeus Precious Metals GmbH & Co. KG | GERMANY | CID000711 | |||
| Gold |
Schone Edelmetaal B.V. | NETHERLANDS | CID001573 | |||
| Gold |
PX Précinox S.A. | SWITZERLAND | CID001498 | |||
| Gold |
Asahi Pretec Corp. | JAPAN | CID000082 | |||
| Gold |
Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH | AUSTRIA | CID002779 | |||
| Gold |
The Refinery of Shandong Gold Mining Co., Ltd. | CHINA | CID001916 | |||
| Gold |
OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet) | RUSSIAN FEDERATION | CID001326 | |||
| Gold |
Chimet S.p.A. | ITALY | CID000233 | |||
| Gold |
Heimerle + Meule GmbH | GERMANY | CID000694 | |||
| Gold |
Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | CHINA | CID000801 | |||
| Gold |
Metalor USA Refining Corporation | UNITED STATES OF AMERICA | CID001157 | |||
| Gold |
Umicore Precious Metals Thailand | THAILAND | CID002314 | |||
| Gold |
Materion | UNITED STATES OF AMERICA | CID001113 | |||
| Gold |
Prioksky Plant of Non-Ferrous Metals | RUSSIAN FEDERATION | CID001386 |
7
| Metal | Smelter / Refiner Name | Country | Smelter ID | |||
| Gold |
Kojima Chemicals Co., Ltd. | JAPAN | CID000981 | |||
| Gold |
AU Traders and Refiners | SOUTH AFRICA | CID002850 | |||
| Gold |
Umicore Brasil Ltda. | BRAZIL | CID001977 | |||
| Gold |
Boliden AB | SWEDEN | CID000157 | |||
| Gold |
Mitsubishi Materials Corporation | JAPAN | CID001188 | |||
| Gold |
Tanaka Kikinzoku Kogyo K.K. | JAPAN | CID001875 | |||
| Gold |
Valcambi S.A. | SWITZERLAND | CID002003 | |||
| Gold |
C. Hafner GmbH + Co. KG | GERMANY | CID000176 | |||
| Gold |
LS-NIKKO Copper Inc. | KOREA (REPUBLIC OF) | CID001078 | |||
| Gold |
Sumitomo Metal Mining Co., Ltd. | JAPAN | CID001798 | |||
| Gold |
WIELAND Edelmetalle GmbH | GERMANY | CID002778 | |||
| Gold |
Yamamoto Precious Metal Co., Ltd. | JAPAN | CID002100 | |||
| Gold |
SAXONIA Edelmetalle GmbH | GERMANY | CID002777 | |||
| Gold |
Korea Zinc Co., Ltd. | KOREA (REPUBLIC OF) | CID002605 | |||
| Gold |
Torecom | KOREA (REPUBLIC OF) | CID001955 | |||
| Gold |
Rand Refinery (Pty) Ltd. | SOUTH AFRICA | CID001512 | |||
| Gold |
Advanced Chemical Company | UNITED STATES OF AMERICA | CID000015 | |||
| Gold |
Argor-Heraeus S.A. | SWITZERLAND | CID000077 | |||
| Gold |
Metalor Technologies (Hong Kong) Ltd. | CHINA | CID001149 | |||
| Gold |
Kyrgyzaltyn JSC | KYRGYZSTAN | CID001029 | |||
| Gold |
Jiangxi Copper Co., Ltd. | CHINA | CID000855 | |||
| Gold |
Nihon Material Co., Ltd. | JAPAN | CID001259 | |||
| Gold |
JX Nippon Mining & Metals Co., Ltd. | JAPAN | CID000937 |
8
| Metal | Smelter / Refiner Name | Country | Smelter ID | |||
| Gold |
Almalyk Mining and Metallurgical Complex (AMMC) | UZBEKISTAN | CID000041 | |||
| Gold |
JSC Ekaterinburg Non-Ferrous Metal Processing Plant | RUSSIAN FEDERATION | CID000927 | |||
| Gold |
Allgemeine Gold-und Silberscheideanstalt A.G. | GERMANY | CID000035 | |||
| Gold |
Western Australian Mint trading as The Perth Mint | AUSTRALIA | CID002030 | |||
| Gold |
JSC Uralelectromed | RUSSIAN FEDERATION | CID000929 | |||
| Gold |
United Precious Metal Refining, Inc. | UNITED STATES OF AMERICA | CID001993 | |||
| Gold |
Republic Metals Corporation | UNITED STATES OF AMERICA | CID002510 | |||
| Gold |
PAMP S.A. | SWITZERLAND | CID001352 | |||
| Gold |
Kazzinc | KAZAKHSTAN | CID000957 | |||
| Gold |
Zhongyuan Gold Smelter of Zhongjin Gold Corporation | CHINA | CID002224 | |||
| Gold |
Aurubis AG | GERMANY | CID000113 | |||
| Gold |
T.C.A S.p.A | ITALY | CID002580 | |||
| Gold |
SEMPSA Joyería Platería S.A. | SPAIN | CID001585 | |||
| Gold |
Nadir Metal Rafineri San. Ve Tic. A.Ş. | TURKEY | CID001220 | |||
| Gold |
Ishifuku Metal Industry Co., Ltd. | JAPAN | CID000807 | |||
| Gold |
Matsuda Sangyo Co., Ltd. | JAPAN | CID001119 | |||
| Gold |
MMTC-PAMP India Pvt., Ltd. | INDIA | CID002509 | |||
| Gold |
Aida Chemical Industries Co., Ltd. | JAPAN | CID000019 | |||
| Gold |
Istanbul Gold Refinery | TURKEY | CID000814 |
9
| Metal | Smelter / Refiner Name | Country | Smelter ID | |||
| Gold |
Heraeus Ltd. Hong Kong | CHINA | CID000707 | |||
| Gold |
Metalúrgica Met-Mex Peñoles S.A. De C.V. | MEXICO | CID001161 | |||
| Gold |
Mitsui Mining and Smelting Co., Ltd. | JAPAN | CID001193 | |||
| Gold |
Asaka Riken Co., Ltd. | JAPAN | CID000090 | |||
| Gold |
Kennecott Utah Copper LLC | UNITED STATES OF AMERICA | CID000969 | |||
| Gold |
Asahi Refining USA Inc. | UNITED STATES OF AMERICA | CID000920 | |||
| Gold |
Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | PHILIPPINES | CID000128 | |||
| Gold |
OJSC Novosibirsk Refinery | RUSSIAN FEDERATION | CID000493 | |||
| Gold |
Ohura Precious Metal Industry Co., Ltd. | JAPAN | CID001325 | |||
| Gold |
Asahi Refining Canada Ltd. | CANADA | CID000924 | |||
| Gold |
Royal Canadian Mint | CANADA | CID001534 | |||
| Gold |
DSC (Do Sung Corporation) | KOREA (REPUBLIC OF) | CID000359 | |||
| Gold |
AngloGold Ashanti Córrego do Sítio Mineração | BRAZIL | CID000058 | |||
| Gold |
SOE Shyolkovsky Factory of Secondary Precious Metals | RUSSIAN FEDERATION | CID001756 | |||
| Tantalum |
Exotech Inc. | UNITED STATES OF AMERICA | CID000456 | |||
| Tantalum |
Molycorp Silmet A.S. | ESTONIA | CID001200 | |||
| Tantalum |
Hi-Temp Specialty Metals, Inc. | UNITED STATES OF AMERICA | CID000731 | |||
| Tantalum |
Hengyang King Xing Lifeng New Materials Co., Ltd. | CHINA | CID002492 |
10
| Metal | Smelter / Refiner Name | Country | Smelter ID | |||
| Tantalum |
Plansee SE Liezen | AUSTRIA | CID002540 | |||
| Tantalum |
Changsha South Tantalum Niobium Co., Ltd. | CHINA | CID000211 | |||
| Tantalum |
XinXing HaoRong Electronic Material Co., Ltd. | CHINA | CID002508 | |||
| Tantalum |
D Block Metals, LLC | UNITED STATES OF AMERICA | CID002504 | |||
| Tantalum |
Ningxia Orient Tantalum Industry Co., Ltd. | CHINA | CID001277 | |||
| Tantalum |
Jiujiang Tanbre Co., Ltd. | CHINA | CID000917 | |||
| Tantalum |
Telex Metals | UNITED STATES OF AMERICA | CID001891 | |||
| Tantalum |
Global Advanced Metals Boyertown | UNITED STATES OF AMERICA | CID002557 | |||
| Tantalum |
Power Resources Ltd. | MACEDONIA (THE FORMER YUGOSLAV REPUBLIC OF) | CID002847 | |||
| Tantalum |
Jiangxi Tuohong New Raw Material | CHINA | CID002842 | |||
| Tantalum |
Mineração Taboca S.A. | BRAZIL | CID001175 | |||
| Tantalum |
Duoluoshan | CHINA | CID000410 | |||
| Tantalum |
Global Advanced Metals Aizu | JAPAN | CID002558 | |||
| Tantalum |
Guangdong Zhiyuan New Material Co., Ltd. | CHINA | CID000616 | |||
| Tantalum |
H.C. Starck Smelting GmbH & Co. KG | GERMANY | CID002550 | |||
| Tantalum |
QuantumClean | UNITED STATES OF AMERICA | CID001508 | |||
| Tantalum |
Solikamsk Magnesium Works OAO | RUSSIAN FEDERATION | CID001769 | |||
| Tantalum |
Mitsui Mining and Smelting Co., Ltd. | JAPAN | CID001192 | |||
| Tantalum |
Zhuzhou Cemented Carbide Group Co., Ltd. | CHINA | CID002232 | |||
| Tantalum |
JiuJiang JinXin Nonferrous Metals Co., Ltd. | CHINA | CID000914 |
11
| Metal | Smelter / Refiner Name | Country | Smelter ID | |||
| Tantalum |
Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | CHINA | CID002512 | |||
| Tantalum |
Yichun Jin Yang Rare Metal Co., Ltd. | CHINA | CID002307 | |||
| Tantalum |
KEMET Blue Powder | UNITED STATES OF AMERICA | CID002568 | |||
| Tantalum |
H.C. Starck Ltd. | JAPAN | CID002549 | |||
| Tantalum |
Metallurgical Products India Pvt., Ltd. | INDIA | CID001163 | |||
| Tantalum |
H.C. Starck Hermsdorf GmbH | GERMANY | CID002547 | |||
| Tantalum |
H.C. Starck Inc. | UNITED STATES OF AMERICA | CID002548 | |||
| Tantalum |
Conghua Tantalum and Niobium Smeltry | CHINA | CID000291 | |||
| Tantalum |
Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | CHINA | CID002506 | |||
| Tantalum |
Taki Chemical Co., Ltd. | JAPAN | CID001869 | |||
| Tantalum |
King-Tan Tantalum Industry Ltd. | CHINA | CID000973 | |||
| Tantalum |
H.C. Starck GmbH Goslar | GERMANY | CID002545 | |||
| Tantalum |
RFH Tantalum Smeltry Co., Ltd. | CHINA | CID001522 | |||
| Tantalum |
FIR Metals & Resource Ltd. | CHINA | CID002505 | |||
| Tantalum |
F&X Electro-Materials Ltd. | CHINA | CID000460 | |||
| Tantalum |
LSM Brasil S.A. | BRAZIL | CID001076 | |||
| Tantalum |
Ulba Metallurgical Plant JSC | KAZAKHSTAN | CID001969 | |||
| Tantalum |
Plansee SE Reutte | AUSTRIA | CID002556 | |||
| Tantalum |
KEMET Blue Metals | MEXICO | CID002539 | |||
| Tantalum |
H.C. Starck Co., Ltd. | THAILAND | CID002544 | |||
| Tantalum |
Tranzact, Inc. | UNITED STATES OF AMERICA | CID002571 | |||
| Tin |
PT Sariwiguna Binasentosa | INDONESIA | CID001463 |
12
| Metal | Smelter / Refiner Name | Country | Smelter ID | |||
| Tin |
Melt Metais e Ligas S.A. | BRAZIL | CID002500 | |||
| Tin |
PT Cipta Persada Mulia | INDONESIA | CID002696 | |||
| Tin |
Dowa | JAPAN | CID000402 | |||
| Tin |
Metallo-Chimique N.V. | BELGIUM | CID002773 | |||
| Tin |
EM Vinto | BOLIVIA (PLURINATIONAL STATE OF) | CID000438 | |||
| Tin |
PT Timah (Persero) Tbk Kundur | INDONESIA | CID001477 | |||
| Tin |
PT Karimun Mining | INDONESIA | CID001448 | |||
| Tin |
Metallic Resources, Inc. | UNITED STATES OF AMERICA | CID001142 | |||
| Tin |
Alpha | UNITED STATES OF AMERICA | CID000292 | |||
| Tin |
Gejiu Non-Ferrous Metal Processing Co., Ltd. | CHINA | CID000538 | |||
| Tin |
PT Bangka Tin Industry | INDONESIA | CID001419 | |||
| Tin |
O.M. Manufacturing (Thailand) Co., Ltd. | THAILAND | CID001314 | |||
| Tin |
White Solder Metalurgia e Mineração Ltda. | BRAZIL | CID002036 | |||
| Tin |
PT Bangka Prima Tin | INDONESIA | CID002776 | |||
| Tin |
PT Timah (Persero) Tbk Mentok | INDONESIA | CID001482 | |||
| Tin |
PT Belitung Industri Sejahtera | INDONESIA | CID001421 | |||
| Tin |
PT Sukses Inti Makmur | INDONESIA | CID002816 | |||
| Tin |
PT Prima Timah Utama | INDONESIA | CID001458 | |||
| Tin |
CV Tiga Sekawan | INDONESIA | CID002593 | |||
| Tin |
PT Sumber Jaya Indah | INDONESIA | CID001471 | |||
| Tin |
PT Bukit Timah | INDONESIA | CID001428 | |||
| Tin |
Soft Metais Ltda. | BRAZIL | CID001758 | |||
| Tin |
Guanyang Guida Nonferrous Metal Smelting Plant | CHINA | CID002849 |
13
| Metal | Smelter / Refiner Name | Country | Smelter ID | |||
| Tin |
Resind Indústria e Comércio Ltda. | BRAZIL | CID002706 | |||
| Tin |
PT Kijang Jaya Mandiri | INDONESIA | CID002829 | |||
| Tin |
Elmet S.L.U. | SPAIN | CID002774 | |||
| Tin |
Rui Da Hung | TAIWAN, PROVINCE OF CHINA | CID001539 | |||
| Tin |
PT Tommy Utama | INDONESIA | CID001493 | |||
| Tin |
CV Ayi Jaya | INDONESIA | CID002570 | |||
| Tin |
PT Inti Stania Prima | INDONESIA | CID002530 | |||
| Tin |
China Tin Group Co., Ltd. | CHINA | CID001070 | |||
| Tin |
Yunnan Tin Company Limited | CHINA | CID002180 | |||
| Tin |
PT DS Jaya Abadi | INDONESIA | CID001434 | |||
| Tin |
PT Stanindo Inti Perkasa | INDONESIA | CID001468 | |||
| Tin |
PT Eunindo Usaha Mandiri | INDONESIA | CID001438 | |||
| Tin |
Minsur | PERU | CID001182 | |||
| Tin |
PT Wahana Perkit Jaya | INDONESIA | CID002479 | |||
| Tin |
CV Dua Sekawan | INDONESIA | CID002592 | |||
| Tin |
CV United Smelting | INDONESIA | CID000315 | |||
| Tin |
CV Gita Pesona | INDONESIA | CID000306 | |||
| Tin |
CV Venus Inti Perkasa | INDONESIA | CID002455 | |||
| Tin |
Jiangxi Ketai Advanced Material Co., Ltd. | CHINA | CID000244 | |||
| Tin |
PT Babel Inti Perkasa | INDONESIA | CID001402 | |||
| Tin |
Thaisarco | THAILAND | CID001898 | |||
| Tin |
PT Artha Cipta Langgeng | INDONESIA | CID001399 | |||
| Tin |
PT Refined Bangka Tin | INDONESIA | CID001460 | |||
| Tin |
CV Serumpun Sebalai | INDONESIA | CID000313 | |||
| Tin |
Operaciones Metalurgical S.A. | BOLIVIA (PLURINATIONAL STATE OF) | CID001337 |
14
| Metal | Smelter / Refiner Name | Country | Smelter ID | |||
| Tin |
Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | CHINA | CID000228 | |||
| Tin |
O.M. Manufacturing Philippines, Inc. | PHILIPPINES | CID002517 | |||
| Tin |
PT Panca Mega Persada | INDONESIA | CID001457 | |||
| Tin |
PT Aries Kencana Sejahtera | INDONESIA | CID000309 | |||
| Tin |
PT Mitra Stania Prima | INDONESIA | CID001453 | |||
| Tin |
PT ATD Makmur Mandiri Jaya | INDONESIA | CID002503 | |||
| Tin |
PT Tinindo Inter Nusa | INDONESIA | CID001490 | |||
| Tin |
Fenix Metals | POLAND | CID000468 | |||
| Tin |
VQB Mineral and Trading Group JSC | VIET NAM | CID002015 | |||
| Tin |
Cooperativa Metalurgica de Rondônia Ltda. | BRAZIL | CID000295 | |||
| Tin |
Malaysia Smelting Corporation (MSC) | MALAYSIA | CID001105 | |||
| Tin |
HuiChang Hill Tin Industry Co., Ltd. | CHINA | CID002844 | |||
| Tin |
Magnu’s Minerais Metais e Ligas Ltda. | BRAZIL | CID002468 | |||
| Tin |
Mineração Taboca S.A. | BRAZIL | CID001173 | |||
| Tungsten |
Chongyi Zhangyuan Tungsten Co., Ltd. | CHINA | CID000258 | |||
| Tungsten |
Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd. | CHINA | CID002535 | |||
| Tungsten |
Tejing (Vietnam) Tungsten Co., Ltd. | VIET NAM | CID001889 | |||
| Tungsten |
A.L.M.T. TUNGSTEN Corp. | JAPAN | CID000004 |
15
| Metal | Smelter / Refiner Name | Country | Smelter ID | |||
| Tungsten |
Xiamen Tungsten Co., Ltd. | CHINA | CID002082 | |||
| Tungsten |
Jiangwu H.C. Starck Tungsten Products Co., Ltd. | CHINA | CID002551 | |||
| Tungsten |
Niagara Refining LLC | UNITED STATES OF AMERICA | CID002589 | |||
| Tungsten |
Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC | VIET NAM | CID002543 | |||
| Tungsten |
Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji | CHINA | CID002579 | |||
| Tungsten |
Vietnam Youngsun Tungsten Industry Co., Ltd. | VIET NAM | CID002011 | |||
| Tungsten |
Jiangxi Yaosheng Tungsten Co., Ltd. | CHINA | CID002316 | |||
| Tungsten |
H.C. Starck GmbH | GERMANY | CID002541 | |||
| Tungsten |
Global Tungsten & Powders Corp. | UNITED STATES OF AMERICA | CID000568 | |||
| Tungsten |
Japan New Metals Co., Ltd. | JAPAN | CID000825 | |||
| Tungsten |
South-East Nonferrous Metal Company Limited of Hengyang City | CHINA | CID002815 | |||
| Tungsten |
Wolfram Bergbau und Hütten AG | AUSTRIA | CID002044 | |||
| Tungsten |
Fujian Jinxin Tungsten Co., Ltd. | CHINA | CID000499 | |||
| Tungsten |
Xiamen Tungsten (H.C.) Co., Ltd. | CHINA | CID002320 | |||
| Tungsten |
Chenzhou Diamond Tungsten Products Co., Ltd. | CHINA | CID002513 | |||
| Tungsten |
Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | CHINA | CID002318 |
16
| Metal | Smelter / Refiner Name | Country | Smelter ID | |||
| Tungsten |
H.C. Starck Smelting GmbH & Co.KG | GERMANY | CID002542 | |||
| Tungsten |
Ganzhou Seadragon W & Mo Co., Ltd. | CHINA | CID002494 | |||
| Tungsten |
Philippine Chuangxin Industrial Co., Inc. | PHILIPPINES | CID002827 | |||
| Tungsten |
Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. | CHINA | CID002830 | |||
| Tungsten |
Malipo Haiyu Tungsten Co., Ltd. | CHINA | CID002319 | |||
| Tungsten |
Moliren Ltd | RUSSIAN FEDERATION | CID002845 | |||
| Tungsten |
Ganzhou Jiangwu Ferrotungsten Co., Ltd. | CHINA | CID002315 | |||
| Tungsten |
Ganzhou Huaxing Tungsten Products Co., Ltd. | CHINA | CID000875 | |||
| Tungsten |
Hunan Chunchang Nonferrous Metals Co., Ltd. | CHINA | CID000769 | |||
| Tungsten |
Jiangxi Xinsheng Tungsten Industry Co., Ltd. | CHINA | CID002317 | |||
| Tungsten |
Hydrometallurg, JSC | RUSSIAN FEDERATION | CID002649 | |||
| Tungsten |
Woltech Korea Co., Ltd. | KOREA (REPUBLIC OF) | CID002843 | |||
| Tungsten |
Kennametal Fallon | UNITED STATES OF AMERICA | CID000966 | |||
| Tungsten |
Xinhai Rendan Shaoguan Tungsten Co., Ltd. | CHINA | CID002095 | |||
| Tungsten |
Asia Tungsten Products Vietnam Ltd. | VIET NAM | CID002502 | |||
| Tungsten |
Kennametal Huntsville | UNITED STATES OF AMERICA | CID000105 | |||
| Tungsten |
Guangdong Xianglu Tungsten Co., Ltd. | CHINA | CID000218 |
17
| Metal | Smelter / Refiner Name | Country | Smelter ID | |||
| Tungsten |
Jiangxi Gan Bei Tungsten Co., Ltd. | CHINA | CID002321 | |||
| Tungsten |
Unecha Refractory metals plant | RUSSIAN FEDERATION | CID002724 | |||
| Tungsten |
Hunan Chenzhou Mining Co., Ltd. | CHINA | CID000766 |
Section 2: Smelters/refiners that are CFSI Active
| Metal |
Smelter / Refiner Name | Country | Smelter ID | |||
| Gold |
Abington Reldan Metals, LLC | UNITED STATES OF AMERICA | CID002708 | |||
| Gold |
Bangalore Refinery | INDIA | CID002863 | |||
| Gold |
Cendres + Métaux S.A. | SWITZERLAND | CID000189 | |||
| Gold |
Cendres + Métaux S.A. | SWITZERLAND | CID000189 | |||
| Gold |
KGHM Polska Miedź Spółka Akcyjna | POLAND | CID002511 | |||
| Gold |
Modeltech Sdn Bhd | MALAYSIA | CID002857 | |||
| Gold |
Navoi Mining and Metallurgical Combinat | UZBEKISTAN | CID001236 | |||
| Gold |
Tony Goetz NV | BELGIUM | CID002587 | |||
| Tin |
Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | CHINA | CID002158 | |||
| Tin |
Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | VIET NAM | CID002572 | |||
| Tin |
Gejiu Kai Meng Industry and Trade LLC | CHINA | CID000942 | |||
| Tin |
Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | CHINA | CID001908 | |||
| Tin |
Huichang Jinshunda Tin Co., Ltd. | CHINA | CID000760 | |||
| Tin |
Huichang Jinshunda Tin Co., Ltd. | CHINA | CID000760 | |||
| Tin |
Gejiu Kai Meng Industry and Trade LLC | CHINA | CID000942 | |||
| Tin |
Modeltech Sdn Bhd | MALAYSIA | CID002858 | |||
| Tin |
Nankang Nanshan Tin Manufactory Co., Ltd. | CHINA | CID001231 | |||
|
Metal |
Smelter / Refiner Name | Country | Smelter ID | |||
| Tin |
Nankang Nanshan Tin Manufactory Co., Ltd. | CHINA | CID001231 | |||
| Tin |
Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | CHINA | CID002158 | |||
18