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, 2017. |
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 No. |
Description | |
| 1.01 | Conflict Minerals Report as required by Items 1.01 and 1.02 of this Form. | |
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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. (Registrant) |
||||||
| By: | /s/ Daniel Durn |
Date: May 28, 2018 | ||||
| Daniel Durn | ||||||
| Senior Vice President, Chief Financial Officer | ||||||
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EXHIBIT INDEX
| Exhibit No. |
Description | |
| 1.01 | Conflict Minerals Report | |
4
EXHIBIT 1.01
APPLIED MATERIALS, INC.
CONFLICT MINERALS REPORT
FOR YEAR ENDED DECEMBER 31, 2017
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, 2017 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, Applied Global Services and Display & Adjacent Markets.
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 2017 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 epitaxy, deposition, etch, ion implantation, rapid thermal processing, chemical mechanical planarization, metrology, inspection, review and wafer packaging. Most of these are single-wafer systems
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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™, VeritySEM® and Aera4™ Mask Inspection 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.
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 processing 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 2017 originated in the Democratic Republic of the Congo or an adjoining country (collectively, the “DRC”) or were from recycled or scrap sources. 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 2017, 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
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eighty percent of the Company’s actual total expenditures to all direct suppliers for fiscal year 2017.1 All of the 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 20% 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.
The table below summarizes certain information pertaining to smelters identified by Surveyed Suppliers. The Responsible Materials Initiative (“RMI”), formerly the Conflict-Free Sourcing Initiative, of which Applied is a member, was founded by the Responsible Business Alliance (“RBA”), formerly the Electronics Industry Citizenship Coalition (“EICC”), and the Global eSustainability Initiative. Under the RMI, “Conformant” smelters are those smelters that are conformant with the Responsible Minerals Assurance Process (“RMAP”) assessment protocols. “Active” smelters and refiners are participants in the RMAP who have agreed in writing to undergo a third party audit or are participating in one of the cross-recognized certification programs, signed an “Agreement for the Exchange of Confidential Information” and submitted a due diligence checklist. The classification of smelters considered Conformant or Active is current as of May 14, 2018.
|
Number of RMI “Conformant” smelters (none in the DRC) |
253 | |||
| Number of RMI “Active” smelters (none in the DRC) |
10 | |||
| Number for which further information is needed to determine RMI status (“unclassified smelters”) |
1,233 | * | ||
| Number of smelters reported to be located in the DRC that are not rated “Conformant” or “Active” (per RMI, “legitimate smelter”) |
1 | |||
| Number of non-DRC countries in which unclassified smelters were reported to be located |
48 |
| * | Actual number may be lower as data may include distributors or other entities improperly classified as smelters or other inaccuracies. |
As a result of its due diligence, Applied found evidence of potential sourcing from one smelter in the DRC (CID002854 - Universal Precious Metals Refining Zambia). This gold smelter was previously rated “Conformant” under the Conflict-Free Sourcing Initiative program, but because the smelter did not allow a re-audit they are currently listed as a DRC “legitimate” smelter (a confirmed smelter in the DRC that does not meet the definition of “Conformant” or “Active”). Applied found no evidence that minerals from this smelter were incorporated into its Covered Products.
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 are either (a) RMI Conformant or (b) RMI Active. Since the majority of the Surveyed Suppliers reported smelter information at the company level and not at the product level, and they did not identify the specific smelter that processed conflict minerals contained in a particular Part, 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. However, as an improvement over prior years, a growing number of Surveyed Suppliers submitted product specific Conflict Minerals Reporting Templates (“Templates”) (representing approximately 19% of Applied’s Surveyed Suppliers).
| 1 | Applied’s fiscal year ends on the last Sunday in October. |
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For the significant majority of smelters reported by the Surveyed Suppliers, there is inadequate information available to assess the source of the conflict minerals they process. Therefore, for Covered Products manufactured in 2017, 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.
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 RBA, RMI 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 RMI’s Responsible Minerals Assurance Process (“RMAP”).
To collect information on the conflict minerals that may be in Covered Products manufactured in 2017, Applied used the Conflict Minerals Reporting Template (the “Template”) developed by the RMI. 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. As noted above, this year approximately 19% of the Surveyed Suppliers submitted data at a Part number 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 RMI of Conformant and Active smelters.
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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 2016 and 2015 (compared to 83% in 2013 and 99% in 2014).
Our due diligence efforts grew during calendar year 2017: we increased the number of Surveyed Suppliers by 35% (we went from targeting 120 suppliers in 2016 to targeting 162 suppliers in 2017).
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 continue to use MetricStream, a technology platform that offers a conflict minerals management solution to enable effective compliance with conflict minerals reporting requirements, and other means to verify and improve the accuracy of information obtained from suppliers. Going forward the Company intends to broaden its outreach to suppliers to determine whether the products they supply to Applied contain conflict minerals by increasing the number of direct suppliers it targets by 10% (which will include over 80% of its 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 RMI, 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 RMAP.
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, 2018, and Applied undertakes no obligation to update any such statements.
***
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Appendix A
Section 1: Smelters/refiners that are CFSI Conformant
| Metal |
Smelter / Refiner Name |
Country |
Smelter ID | |||
| Gold | Advanced Chemical Company | UNITED STATES OF AMERICA | CID000015 | |||
| Gold | Aida Chemical Industries Co., Ltd. | JAPAN | CID000019 | |||
| Gold | Allgemeine Gold-und Silberscheideanstalt A.G. | GERMANY | CID000035 | |||
| Gold | Almalyk Mining and Metallurgical Complex (AMMC) | UZBEKISTAN | CID000041 | |||
| Gold | AngloGold Ashanti Corrego do Sitio Mineracao | BRAZIL | CID000058 | |||
| Gold | Argor-Heraeus S.A. | SWITZERLAND | CID000077 | |||
| Gold | Asahi Pretec Corp. | JAPAN | CID000082 | |||
| Gold | Asaka Riken Co., Ltd. | JAPAN | CID000090 | |||
| Gold | Aurubis AG | GERMANY | CID000113 | |||
| Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | PHILIPPINES | CID000128 | |||
| Gold | Boliden AB | SWEDEN | CID000157 | |||
| Gold | C. Hafner GmbH + Co. KG | GERMANY | CID000176 | |||
| Gold | CCR Refinery - Glencore Canada Corporation | CANADA | CID000185 | |||
| Gold | Cendres + Metaux S.A. | SWITZERLAND | CID000189 | |||
| Gold | Chimet S.p.A. | ITALY | CID000233 | |||
| Gold | Daejin Indus Co., Ltd. | KOREA, REPUBLIC OF | CID000328 | |||
| Gold | DSC (Do Sung Corporation) | KOREA, REPUBLIC OF | CID000359 | |||
| Gold | DODUCO Contacts and Refining GmbH | GERMANY | CID000362 | |||
| Gold | Dowa | JAPAN | CID000401 | |||
| Gold | Eco-System Recycling Co., Ltd. | JAPAN | CID000425 | |||
| Gold | OJSC Novosibirsk Refinery | RUSSIAN FEDERATION | CID000493 | |||
| Gold | HeeSung Metal Ltd. | KOREA, REPUBLIC OF | CID000689 | |||
| Gold | Heimerle + Meule GmbH | GERMANY | CID000694 | |||
| Gold | Heraeus Metals Hong Kong Ltd. | CHINA | CID000707 | |||
| Gold | Heraeus Precious Metals GmbH & Co. KG | GERMANY | CID000711 | |||
| Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | CHINA | CID000801 | |||
| Gold | Ishifuku Metal Industry Co., Ltd. | JAPAN | CID000807 | |||
| Gold | Istanbul Gold Refinery | TURKEY | CID000814 | |||
| Gold | Japan Mint | JAPAN | CID000823 | |||
| Gold | Jiangxi Copper Co., Ltd. | CHINA | CID000855 | |||
| Gold | Asahi Refining USA Inc. | UNITED STATES OF AMERICA | CID000920 | |||
| Gold | Asahi Refining Canada Ltd. | CANADA | CID000924 |
6
| Metal |
Smelter / Refiner Name |
Country |
Smelter ID | |||
| 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 | KAZAKHSTAN | CID000957 | |||
| Gold | Kennecott Utah Copper LLC | UNITED STATES OF AMERICA | CID000969 | |||
| Gold | Kojima Chemicals Co., Ltd. | JAPAN | CID000981 | |||
| Gold | Kyrgyzaltyn JSC | KYRGYZSTAN | CID001029 | |||
| Gold | LS-NIKKO Copper Inc. | KOREA, REPUBLIC OF | CID001078 | |||
| Gold | Materion | UNITED STATES OF AMERICA | CID001113 | |||
| Gold | Matsuda Sangyo Co., Ltd. | JAPAN | CID001119 | |||
| Gold | Metalor Technologies (Suzhou) Ltd. | CHINA | CID001147 | |||
| Gold | Metalor Technologies (Hong Kong) Ltd. | CHINA | CID001149 | |||
| Gold | Metalor Technologies (Singapore) Pte., Ltd. | SINGAPORE | CID001152 | |||
| Gold | Metalor Technologies S.A. | SWITZERLAND | CID001153 | |||
| Gold | Metalor USA Refining Corporation | UNITED STATES OF AMERICA | CID001157 | |||
| Gold | Metalurgica Met-Mex Penoles S.A. De C.V. | MEXICO | CID001161 | |||
| Gold | Mitsubishi Materials Corporation | JAPAN | CID001188 | |||
| Gold | Mitsui Mining and Smelting Co., Ltd. | JAPAN | CID001193 | |||
| Gold | Moscow Special Alloys Processing Plant | RUSSIAN FEDERATION | CID001204 | |||
| Gold | Nadir Metal Rafineri San. Ve Tic. A.S. | TURKEY | CID001220 | |||
| Gold | Nihon Material Co., Ltd. | JAPAN | CID001259 | |||
| Gold | Ohura Precious Metal Industry Co., Ltd. | JAPAN | CID001325 | |||
| Gold | OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet) | RUSSIAN FEDERATION | CID001326 | |||
| Gold | PAMP S.A. | SWITZERLAND | CID001352 | |||
| Gold | Prioksky Plant of Non-Ferrous Metals | RUSSIAN FEDERATION | CID001386 | |||
| Gold | PT Aneka Tambang (Persero) Tbk | INDONESIA | CID001397 | |||
| Gold | PX Precinox S.A. | SWITZERLAND | CID001498 | |||
| Gold | Rand Refinery (Pty) Ltd. | SOUTH AFRICA | CID001512 | |||
| Gold | Royal Canadian Mint | CANADA | CID001534 | |||
| Gold | SAFINA A.S. | CZECH REPUBLIC | CID002290 | |||
| Gold | Samduck Precious Metals | KOREA, REPUBLIC OF | CID001555 | |||
| Gold | SEMPSA Joyeria Plateria S.A. | SPAIN | CID001585 | |||
| Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | CHINA | CID001622 |
7
| Metal |
Smelter / Refiner Name |
Country |
Smelter ID | |||
| Gold | Sichuan Tianze Precious Metals Co., Ltd. | CHINA | CID001736 | |||
| Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | RUSSIAN FEDERATION | CID001756 | |||
| Gold | Solar Applied Materials Technology Corp. | TAIWAN, PROVINCE OF CHINA | CID001761 | |||
| Gold | Sumitomo Metal Mining Co., Ltd. | JAPAN | CID001798 | |||
| Gold | Tanaka Kikinzoku Kogyo K.K. | JAPAN | CID001875 | |||
| Gold | The Refinery of Shandong Gold Mining Co., Ltd. | CHINA | CID001916 | |||
| Gold | Tokuriki Honten Co., Ltd. | JAPAN | CID001938 | |||
| Gold | Torecom | KOREA, REPUBLIC OF | CID001955 | |||
| Gold | Umicore Brasil Ltda. | BRAZIL | CID001977 | |||
| Gold | Umicore S.A. Business Unit Precious Metals Refining | BELGIUM | CID001980 | |||
| Gold | United Precious Metal Refining, Inc. | UNITED STATES OF AMERICA | CID001993 | |||
| Gold | Valcambi S.A. | SWITZERLAND | CID002003 | |||
| Gold | Western Australian Mint (T/a The Perth Mint) | AUSTRALIA | CID002030 | |||
| Gold | Yamakin Co., Ltd. | JAPAN | CID002100 | |||
| Gold | Yokohama Metal Co., Ltd. | JAPAN | CID002129 | |||
| Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | CHINA | CID002224 | |||
| Gold | Gold Refinery of Zijin Mining Group Co., Ltd. | CHINA | CID002243 | |||
| Gold | Umicore Precious Metals Thailand | THAILAND | CID002314 | |||
| Gold | Geib Refining Corporation | UNITED STATES OF AMERICA | CID002459 | |||
| Gold | MMTC-PAMP India Pvt., Ltd. | INDIA | CID002509 | |||
| Gold | Republic Metals Corporation | UNITED STATES OF AMERICA | CID002510 | |||
| Gold | Singway Technology Co., Ltd. | TAIWAN, PROVINCE OF CHINA | CID002516 | |||
| Gold | Al Etihad Gold LLC | UNITED ARAB EMIRATES | CID002560 | |||
| Gold | Emirates Gold DMCC | UNITED ARAB EMIRATES | CID002561 | |||
| Gold | T.C.A S.p.A | ITALY | CID002580 | |||
| Gold | Korea Zinc Co., Ltd. | KOREA, REPUBLIC OF | CID002605 | |||
| Gold | Marsam Metals | BRAZIL | CID002606 | |||
| Gold | SAAMP | FRANCE | CID002761 | |||
| Gold | Italpreziosi | ITALY | CID002765 | |||
| Gold | SAXONIA Edelmetalle GmbH | GERMANY | CID002777 | |||
| Gold | WIELAND Edelmetalle GmbH | GERMANY | CID002778 | |||
| Gold | Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH | AUSTRIA | CID002779 | |||
| Gold | AU Traders and Refiners | SOUTH AFRICA | CID002850 |
8
| Metal |
Smelter / Refiner Name |
Country |
Smelter ID | |||
| Gold | SungEel HiMetal Co., Ltd. | KOREA, REPUBLIC OF | CID002918 | |||
| Gold | Planta Recuperadora de Metales SpA | CHILE | CID002919 | |||
| Gold | Safimet S.p.A | ITALY | CID002973 | |||
| Tantalum | Asaka Riken Co., Ltd. | JAPAN | CID000092 | |||
| Tantalum | Changsha South Tantalum Niobium Co., Ltd. | CHINA | CID000211 | |||
| Tantalum | Guangdong Rising Rare Metals-EO Materials Ltd. | CHINA | CID000291 | |||
| Tantalum | Exotech Inc. | UNITED STATES OF AMERICA | CID000456 | |||
| Tantalum | F&X Electro-Materials Ltd. | CHINA | CID000460 | |||
| Tantalum | Guangdong Zhiyuan New Material Co., Ltd. | CHINA | CID000616 | |||
| Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | CHINA | CID000914 | |||
| Tantalum | Jiujiang Nonferrous Metals Smelting Company Limited | CHINA | CID000917 | |||
| Tantalum | LSM Brasil S.A. | BRAZIL | CID001076 | |||
| Tantalum | Metallurgical Products India Pvt., Ltd. | INDIA | CID001163 | |||
| Tantalum | Mineracao Taboca S.A. | BRAZIL | CID001175 | |||
| Tantalum | Mitsui Mining and Smelting Co., Ltd. | JAPAN | CID001192 | |||
| Tantalum | NPM Silmet AS | ESTONIA | CID001200 | |||
| Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | CHINA | CID001277 | |||
| Tantalum | QuantumClean | UNITED STATES OF AMERICA | CID001508 | |||
| Tantalum | RFH Tantalum Smeltery Co., Ltd./Yanling Jincheng Tantalum & Niobium Co., Ltd. | CHINA | CID001522 | |||
| Tantalum | Solikamsk Magnesium Works OAO | RUSSIAN FEDERATION | CID001769 | |||
| Tantalum | Taki Chemical Co., Ltd. | JAPAN | CID001869 | |||
| Tantalum | Telex Metals | UNITED STATES OF AMERICA | CID001891 | |||
| Tantalum | Ulba Metallurgical Plant JSC | KAZAKHSTAN | CID001969 | |||
| Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | CHINA | CID002492 | |||
| Tantalum | D Block Metals, LLC | UNITED STATES OF AMERICA | CID002504 | |||
| Tantalum | FIR Metals & Resource Ltd. | CHINA | CID002505 | |||
| Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | CHINA | CID002506 | |||
| Tantalum | XinXing HaoRong Electronic Material Co., Ltd. | CHINA | CID002508 | |||
9
| Metal |
Smelter / Refiner Name |
Country |
Smelter ID | |||
| Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | CHINA | CID002512 | |||
| Tantalum | KEMET Blue Metals | MEXICO | CID002539 | |||
| Tantalum | H.C. Starck Co., Ltd. | THAILAND | CID002544 | |||
| Tantalum | H.C. Starck Tantalum and Niobium GmbH | GERMANY | CID002545 | |||
| Tantalum | H.C. Starck Hermsdorf GmbH | GERMANY | CID002547 | |||
| Tantalum | H.C. Starck Inc. | UNITED STATES OF AMERICA | CID002548 | |||
| Tantalum | H.C. Starck Ltd. | JAPAN | CID002549 | |||
| Tantalum | H.C. Starck Smelting GmbH & Co. KG | GERMANY | CID002550 | |||
| Tantalum | Global Advanced Metals Boyertown | UNITED STATES OF AMERICA | CID002557 | |||
| Tantalum | Global Advanced Metals Aizu | JAPAN | CID002558 | |||
| Tantalum | KEMET Blue Powder | UNITED STATES OF AMERICA | CID002568 | |||
| Tantalum | Resind Industria e Comercio Ltda. | BRAZIL | CID002707 | |||
| Tantalum | Jiangxi Tuohong New Raw Material | CHINA | CID002842 | |||
| Tantalum | Power Resources Ltd. | MACEDONIA, THE FORMER YUGOSLAV REPUBLIC OF | CID002847 | |||
| Tantalum | Jiujiang Janny New Material Co., Ltd. | CHINA | CID003191 | |||
| Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | CHINA | CID000228 | |||
| Tin | Jiangxi Ketai Advanced Material Co., Ltd. | CHINA | CID000244 | |||
| Tin | Alpha | UNITED STATES OF AMERICA | CID000292 | |||
| Tin | CV Gita Pesona | INDONESIA | CID000306 | |||
| Tin | PT Aries Kencana Sejahtera | INDONESIA | CID000309 | |||
| Tin | CV Serumpun Sebalai | INDONESIA | CID000313 | |||
| Tin | CV United Smelting | INDONESIA | CID000315 | |||
| Tin | Dowa | JAPAN | CID000402 | |||
| Tin | EM Vinto | BOLIVIA (PLURINATIONAL STATE OF) | CID000438 | |||
| Tin | Fenix Metals | POLAND | CID000468 | |||
| Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. | CHINA | CID000538 | |||
| Tin | Huichang Jinshunda Tin Co., Ltd. | CHINA | CID000760 | |||
| Tin | Gejiu Kai Meng Industry and Trade LLC | CHINA | CID000942 | |||
| Tin | China Tin Group Co., Ltd. | CHINA | CID001070 | |||
| Tin | Malaysia Smelting Corporation (MSC) | MALAYSIA | CID001105 | |||
| Tin | Metallic Resources, Inc. | UNITED STATES OF AMERICA | CID001142 | |||
| Tin | Mineracao Taboca S.A. | BRAZIL | CID001173 | |||
10
| Metal |
Smelter / Refiner Name |
Country | Smelter ID | |||
| Tin | Minsur | PERU | CID001182 | |||
| Tin | Mitsubishi Materials Corporation | JAPAN | CID001191 | |||
| Tin | Nankang Nanshan Tin Manufactory Co., Ltd. | CHINA | CID001231 | |||
| Tin | O.M. Manufacturing (Thailand) Co., Ltd. | THAILAND | CID001314 | |||
| Tin | Operaciones Metalurgical S.A. | BOLIVIA (PLURINATIONAL STATE OF) |
CID001337 | |||
| Tin | PT Artha Cipta Langgeng | INDONESIA | CID001399 | |||
| Tin | PT Babel Inti Perkasa | INDONESIA | CID001402 | |||
| Tin | PT Bangka Tin Industry | INDONESIA | CID001419 | |||
| Tin | PT Belitung Industri Sejahtera | INDONESIA | CID001421 | |||
| Tin | PT Bukit Timah | INDONESIA | CID001428 | |||
| Tin | PT DS Jaya Abadi | INDONESIA | CID001434 | |||
| Tin | PT Eunindo Usaha Mandiri | INDONESIA | CID001438 | |||
| Tin | PT Karimun Mining | INDONESIA | CID001448 | |||
| Tin | PT Mitra Stania Prima | INDONESIA | CID001453 | |||
| Tin | PT Panca Mega Persada | INDONESIA | CID001457 | |||
| Tin | PT Prima Timah Utama | INDONESIA | CID001458 | |||
| Tin | PT Refined Bangka Tin | INDONESIA | CID001460 | |||
| Tin | PT Sariwiguna Binasentosa | INDONESIA | CID001463 | |||
| Tin | PT Stanindo Inti Perkasa | INDONESIA | CID001468 | |||
| Tin | PT Sumber Jaya Indah | INDONESIA | CID001471 | |||
| Tin | PT Timah (Persero) Tbk Kundur | INDONESIA | CID001477 | |||
| Tin | PT Timah (Persero) Tbk Mentok | INDONESIA | CID001482 | |||
| Tin | PT Tinindo Inter Nusa | INDONESIA | CID001490 | |||
| Tin | PT Tommy Utama | INDONESIA | CID001493 | |||
| Tin | Rui Da Hung | TAIWAN, PROVINCE OF CHINA | CID001539 | |||
| Tin | Soft Metais Ltda. | BRAZIL | CID001758 | |||
| Tin | Thaisarco | THAILAND | CID001898 | |||
| Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | CHINA | CID001908 | |||
| Tin | White Solder Metalurgia e Mineracao Ltda. | BRAZIL | CID002036 | |||
| Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | CHINA | CID002158 | |||
| Tin | Yunnan Tin Company Limited | CHINA | CID002180 | |||
| Tin | CV Venus Inti Perkasa | INDONESIA | CID002455 | |||
| Tin | Magnu’s Minerais Metais e Ligas Ltda. | BRAZIL | CID002468 | |||
| Tin | Melt Metais e Ligas S.A. | BRAZIL | CID002500 | |||
| Tin | PT ATD Makmur Mandiri Jaya | INDONESIA | CID002503 |
11
| Metal |
Smelter / Refiner Name |
Country | Smelter ID | |||
| Tin | O.M. Manufacturing Philippines, Inc. | PHILIPPINES | CID002517 | |||
| Tin | PT Inti Stania Prima | INDONESIA | CID002530 | |||
| Tin | CV Ayi Jaya | INDONESIA | CID002570 | |||
| Tin | CV Dua Sekawan | INDONESIA | CID002592 | |||
| Tin | CV Tiga Sekawan | INDONESIA | CID002593 | |||
| Tin | Resind Industria e Comercio Ltda. | BRAZIL | CID002706 | |||
| Tin | Metallo Belgium N.V. | BELGIUM | CID002773 | |||
| Tin | Metallo Spain S.L.U. | SPAIN | CID002774 | |||
| Tin | PT Bangka Prima Tin | INDONESIA | CID002776 | |||
| Tin | PT Sukses Inti Makmur | INDONESIA | CID002816 | |||
| Tin | PT Kijang Jaya Mandiri | INDONESIA | CID002829 | |||
| Tin | PT Menara Cipta Mulia | INDONESIA | CID002835 | |||
| Tin | HuiChang Hill Tin Industry Co., Ltd. | CHINA | CID002844 | |||
| Tin | Gejiu Fengming Metallurgy Chemical Plant | CHINA | CID002848 | |||
| Tin | Guanyang Guida Nonferrous Metal Smelting Plant | CHINA | CID002849 | |||
| Tin | Gejiu Jinye Mineral Company | CHINA | CID002859 | |||
| Tin | PT Lautan Harmonis Sejahtera | INDONESIA | CID002870 | |||
| Tin | Guangdong Hanhe Non-Ferrous Metal Co., Ltd. | CHINA | CID003116 | |||
| Tin | Chifeng Dajingzi Tin Industry Co., Ltd. | CHINA | CID003190 | |||
| Tin | PT Bangka Serumpun | INDONESIA | CID003205 | |||
| Tungsten | A.L.M.T. TUNGSTEN Corp. | JAPAN | CID000004 | |||
| Tungsten | Kennametal Huntsville | UNITED STATES OF AMERICA | CID000105 | |||
| Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | CHINA | CID000218 | |||
| Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | CHINA | CID000258 | |||
| Tungsten | Fujian Jinxin Tungsten Co., Ltd. | CHINA | CID000499 | |||
| Tungsten | Global Tungsten & Powders Corp. | UNITED STATES OF AMERICA | CID000568 | |||
| Tungsten | Hunan Chenzhou Mining Co., Ltd. | CHINA | CID000766 | |||
| Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd. | CHINA | CID000769 | |||
| Tungsten | Japan New Metals Co., Ltd. | JAPAN | CID000825 | |||
| Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. | CHINA | CID000875 | |||
| Tungsten | Kennametal Fallon | UNITED STATES OF AMERICA | CID000966 | |||
| Tungsten | Tejing (Vietnam) Tungsten Co., Ltd. | VIET NAM | CID001889 | |||
12
| Metal |
Smelter / Refiner Name |
Country |
Smelter ID | |||
| Tungsten | Vietnam Youngsun Tungsten Industry Co., Ltd. | VIET NAM | CID002011 | |||
| Tungsten | Wolfram Bergbau und Hutten AG | AUSTRIA | CID002044 | |||
| Tungsten | Xiamen Tungsten Co., Ltd. | CHINA | CID002082 | |||
| Tungsten | Xinhai Rendan Shaoguan Tungsten Co., Ltd. | CHINA | CID002095 | |||
| Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | CHINA | CID002315 | |||
| Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. | CHINA | CID002316 | |||
| Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | CHINA | CID002317 | |||
| Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | CHINA | CID002318 | |||
| Tungsten | Malipo Haiyu Tungsten Co., Ltd. | CHINA | CID002319 | |||
| Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | CHINA | CID002320 | |||
| Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | CHINA | CID002321 | |||
| Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | CHINA | CID002494 | |||
| Tungsten | Asia Tungsten Products Vietnam Ltd. | VIET NAM | CID002502 | |||
| Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd. | CHINA | CID002513 | |||
| Tungsten | H.C. Starck Tungsten GmbH | GERMANY | CID002541 | |||
| Tungsten | H.C. Starck Smelting GmbH & Co. KG | GERMANY | CID002542 | |||
| Tungsten | Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC | VIET NAM | CID002543 | |||
| Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | CHINA | CID002551 | |||
| Tungsten | Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji | CHINA | CID002579 | |||
| Tungsten | Niagara Refining LLC | UNITED STATES OF AMERICA | CID002589 | |||
| Tungsten | Hydrometallurg, JSC | RUSSIAN FEDERATION | CID002649 | |||
| Tungsten | Unecha Refractory metals plant | RUSSIAN FEDERATION | CID002724 | |||
| Tungsten | South-East Nonferrous Metal Company Limited of Hengyang City | CHINA | CID002815 | |||
| Tungsten | Philippine Chuangxin Industrial Co., Inc. | PHILIPPINES | CID002827 | |||
| Tungsten | Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. | CHINA | CID002830 | |||
| Tungsten | ACL Metais Eireli | BRAZIL | CID002833 | |||
| Tungsten | Woltech Korea Co., Ltd. | KOREA, REPUBLIC OF | CID002843 | |||
| Tungsten | Moliren Ltd. | RUSSIAN FEDERATION | CID002845 |
13
Section 2: Smelters/refiners that are CFSI Active
| Metal |
Smelter / Refiner Name |
Country |
Smelter ID | |||
| Gold |
KGHM Polska Miedz Spolka Akcyjna |
POLAND |
CID002511 | |||
| Gold |
Remondis Argentia B.V. |
NETHERLANDS |
CID002582 | |||
| Gold |
L’Orfebre S.A. |
ANDORRA |
CID002762 | |||
| Gold |
Modeltech Sdn Bhd |
MALAYSIA |
CID002857 | |||
| Gold |
Bangalore Refinery |
INDIA |
CID002863 | |||
| Gold |
NH Recytech Company |
KOREA, REPUBLIC OF |
CID003189 | |||
| Gold |
DS PRETECH Co., Ltd. |
KOREA, REPUBLIC OF |
CID003195 | |||
| Tin |
PT Babel Surya Alam Lestari |
INDONESIA |
CID001406 | |||
| Tin |
Modeltech Sdn Bhd |
MALAYSIA |
CID002858 | |||
| Tungsten |
Ganzhou Haichuang Tungsten Co., Ltd. |
CHINA |
CID002645 | |||
14