SD

 

 

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 or organization)

  (Commission
File Number)
 

(IRS Employer

Identification No.)

3050 Bowers Avenue

P.O. Box 58039 Santa Clara, CA

  95052-8039
(Address of principal executive offices)   (Zip Code)

Christina Y. Lai Esq.

Corporate Secretary

(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, 2019.

 

 

 


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.

 

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/ Daniel Durn       Date: May 27, 2020
  Daniel Durn      
  Senior Vice President, Chief Financial Officer      

 

3

EX-1.01

EXHIBIT 1.01

APPLIED MATERIALS, INC.

CONFLICT MINERALS REPORT

FOR YEAR ENDED DECEMBER 31, 2019

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, 2019 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 and software to the semiconductor, display, solar photovoltaic (PV) and related industries, and reports these products under three segments: Semiconductor Systems, Applied Global Services, and Display and Adjacent Markets.

Applied Materials is committed to the responsible sourcing of materials used in our products and requires its direct suppliers to reasonably ensure products they sell to Applied do not contain conflict minerals unless these originated outside the Democratic Republic of the Congo or an adjoining country (collectively, the “DRC”) or from RMI “Conformant” sources within the DRC, as further defined below. 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.

As detailed in this report, our approach to verifying the source and chain of custody of conflict minerals in our supply chain is 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: Third Edition and the related Supplements (“OECD Guidance”).

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 2019 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.

 

1


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 used for many steps of the chip making process including the transfer of patterns into device structures, transistor and interconnect fabrication, metrology, inspection and review, and packaging technologies for connecting finished IC die. The company’s platforms that perform these functions include: the Centris®, Centura®, Endura®, NokotaTM, OlympiaTM, Producer®, Raider®, Reflexion®, Vantage® and VIISta® platforms. Applied’s metrology and inspection systems, which include the PROVision, SEMVision, UVision®, 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, monitors, laptops, personal computers (PCs), electronic 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 2019 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 sources within the DRC deemed “Conformant” by the Responsible Minerals Initiative (“RMI”), 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: Third Edition and the related Supplements (“OECD Guidance”). In 2019, the Company retained Assent Compliance (“Assent”), a third-party service provider, to assist Applied in conducting outreach to suppliers and evaluating the suppliers’ responses.

 

2


For calendar year 2019, Applied identified the top direct (or first-tier) suppliers in terms of total spend, suppliers who during the past five 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 85 % of the Company’s actual total expenditures to all direct suppliers for fiscal year 2019.1 Approximately ninety-eight percent (98%) of the Surveyed Suppliers responded, and 53% reported they did not provide Parts containing conflict minerals. Of the Surveyed Suppliers who reported they provided one or more Parts containing conflict minerals, 95% provided smelter names, or in some cases further information such as country location of the smelters. Approximately 2% 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 Minerals 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 04, 2020.

 

Number of RMI “Conformant” smelters (one in the DRC)

     235  

Number of RMI “Active” smelters (none in the DRC)

     7  

Number for which further information is needed to determine RMI status (“unclassified smelters”)

     58  

Number of smelters reported to be located in the DRC that are not rated “Conformant” or “Active” (per RMI, “legitimate smelter”)

     2  

Number of non-DRC countries in which unclassified smelters were reported to be located

     22  

 

*

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 two gold smelters in the DRC (CID003185—African Gold Refinery and CID002567—Sudan Gold Refinery). These two smelters have not been assessed by the RMI. Information about these smelters was provided to Applied by five Surveyed Suppliers as “product-level” responses, but was insufficient to tie gold from one or more of these smelters to products supplied to Applied, and therefore, it is uncertain whether these smelters are part of Applied’s supply chain. Applied found no direct evidence that minerals from these two smelters were incorporated into its Covered Products. The Company has instructed the affected Surveyed Suppliers to remove these two smelters from their supply chains and to require their relevant sub-tier suppliers to request the smelters to join the RMAP (and Assent Compliance, on behalf of Applied, has also sent such a letter to these smelters). Applied intends to follow up with the affected Surveyed Suppliers to ensure they comply with our requests.

 

1 

Applied’s fiscal year ends on the last Sunday in October.

 

3


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”) (41 of the 255 Surveyed Suppliers who responded to our due diligence request).

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 2019, 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.

Company Management System

Applied established a cross-functional Conflict Minerals Compliance Team, which is responsible for implementing the Company’s Conflict Minerals program and briefing senior management about the results of these due diligence efforts. As noted above, Applied uses Assent to assist with evaluating supply chain information regarding conflict minerals, identifying potential risks and developing appropriate mitigation strategies. In addition, Applied leverages Assent’s Managed Services and works with dedicated program specialists to support and improve Applied’s Conflict Minerals program.

The Company expects its suppliers to have programs and procedures in place to ensure that any conflict minerals used in the production of products sold to Applied conform to the requirements of the RMI. This means that products must not contain conflict minerals that directly or indirectly finance or benefit armed groups in the DRC. In addition, as a member of the RBA, Applied requires its suppliers to conform to the RBA Code of Conduct, which includes requirements pertaining to the responsible sourcing of conflict minerals. Such requirements, along with a requirement that suppliers provide completed Conflict Minerals Reporting Templates at Applied’s request, also are being incorporated into supplier contracts. If Applied learns that a Surveyed Supplier does not meet the Company’s requirements, Applied pursues appropriate corrective action.

 

4


Violations or grievances related to conflict minerals can be reported at the industry level to the RMI at http://www.responsiblemineralsinitiative.org/.

Applied retains relevant documentation for a period of five years, including Templates completed by the Surveyed Suppliers.

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 RMAP.

To collect information on the conflict minerals that may be in Covered Products manufactured in 2019, Applied used the Conflict Minerals Reporting Template (the “Template”) developed by the RMI. 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. Using the Assent Compliance Manager (“ACM”), a software-as-a-service platform provided by Assent, Applied contacted the Surveyed Suppliers and requested them to complete the Template with respect to Parts they supplied to Applied and to upload their completed Templates directly to the platform for validation, assessment and management. The ACM provides functionality that meets the OECD Guidance process expectations by evaluating the quality of each supplier response to increase the accuracy of submissions.

Risks at the supplier level may include non-responsive suppliers, incomplete Templates or Templates that are submitted at the company level and are not directly relevant to products manufactured by Applied. Applied received wholly or partially completed Templates from approximately 98% 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, approximately 16% of the Surveyed Suppliers submitted data at a Part number level.

Applied worked with Assent to assess the status of smelters and refiners identified in the supply chain by the Surveyed Suppliers who listed mineral processing facilities in their Templates. Each identified smelter or refiner of a conflict mineral is assessed according to red-flag indicators defined in the OECD Guidance. These factors include geographic proximity to the DRC, known mineral source country of origin, RMAP audit status, credible evidence of unethical or conflict sourcing and peer assessments conducted by credible third-party sources. Such smelters are labeled smelters of concern. Applied then used Assent’s findings to determine which Surveyed Suppliers required further engagement, such as those who reported “red-flag smelters” or who provided incomplete, untimely or inconsistent information, and made further inquiries of those suppliers.

Applied was not required to, and it did not, obtain an independent private sector audit of its due diligence approach.

 

5


Risk Mitigation Strategy and Future Due Diligence

Risk mitigation activities included asking Surveyed Suppliers to provide product specific Templates. If applicable, Surveyed Suppliers were given clear performance objectives to accomplish the ultimate goal of eliminating smelters of concern from Applied’s supply chain.

Our due diligence efforts grew during calendar year 2019: we increased the number of Surveyed Suppliers by approximately 42% in comparison to the prior year:

 

Report Year

   Number of Surveyed Suppliers      Response Rate  

2013

     84        83

2014

     72        99

2015

     83        100

2016

     120        100

2017

     162        100

2018

     183        100

2019

     260        98 %* 

 

*

Of the 260 Surveyed Suppliers, 256 provided a Template; three of the remaining four Surveyed Suppliers stated that shelter-in-place orders in connection with the Covid-19 pandemic were hindering their efforts at gathering the requested information, and the other Surveyed Supplier is new to our program.

Applied intends to improve its ability to identify suppliers reasonably likely to provide Parts containing conflict minerals as well as 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 and continuing to work with Assent Compliance to improve the quality of data submitted by the 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. To this end, Assent, on behalf of Applied, will continue to communicate directly with smelters reported by the Surveyed Suppliers who have not yet been deemed conformant with the RMAP to request sourcing information and encourage the smelters to engage with the RMI 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, 2020, and Applied undertakes no obligation to update any such statements.

 

6


Appendix A

Section 1: Smelters/refiners that are RMI Conformant (to be updated after supplier campaign ends)

 

Metal

  

Standard Smelter Name

  

Smelter Facility Location

  

Smelter ID

Gold    8853 S.p.A.    ITALY    CID002763
Gold    Advanced Chemical Company    UNITED STATES OF AMERICA    CID000015
Gold    Aida Chemical Industries Co., Ltd.    JAPAN    CID000019
Gold    Al Etihad Gold Refinery DMCC    UNITED ARAB EMIRATES    CID002560
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    Asahi Refining Canada Ltd.    CANADA    CID000924
Gold    Asahi Refining USA Inc.    UNITED STATES OF AMERICA    CID000920
Gold    Asaka Riken Co., Ltd.    JAPAN    CID000090
Gold    AU Traders and Refiners    SOUTH AFRICA    CID002850
Gold    Aurubis AG    GERMANY    CID000113
Gold    Bangalore Refinery    INDIA    CID002863
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

 

7


Gold

  

Chugai Mining

  

JAPAN

  

CID000264

Gold

  

DODUCO Contacts and Refining GmbH

  

GERMANY

  

CID000362

Gold

  

Dowa

  

JAPAN

  

CID000401

Gold

  

DS PRETECH Co., Ltd.

  

KOREA, REPUBLIC OF

  

CID003195

Gold

  

DSC (Do Sung Corporation)

  

KOREA, REPUBLIC OF

  

CID000359

Gold

  

Eco-System Recycling Co., Ltd. East Plant

  

JAPAN

  

CID000425

Gold

  

Eco-System Recycling Co., Ltd. North Plant

  

JAPAN

  

CID003424

Gold

  

Eco-System Recycling Co., Ltd. West Plant

  

JAPAN

  

CID003425

Gold

  

Emirates Gold DMCC

  

UNITED ARAB EMIRATES

  

CID002561

Gold

  

Geib Refining Corporation

  

UNITED STATES OF AMERICA

  

CID002459

Gold

  

Gold Refinery of Zijin Mining Group Co., Ltd.

  

CHINA

  

CID002243

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

  

Italpreziosi

  

ITALY

  

CID002765

Gold

  

Japan Mint

  

JAPAN

  

CID000823

Gold

  

Jiangxi Copper Co., Ltd.

  

CHINA

  

CID000855

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

 

8


Gold

  

KGHM Polska Miedz Spolka Akcyjna

  

POLAND

  

CID002511

Gold

  

Kojima Chemicals Co., Ltd.

  

JAPAN

  

CID000981

Gold

  

Korea Zinc Co., Ltd.

  

KOREA, REPUBLIC OF

  

CID002605

Gold

  

Kyrgyzaltyn JSC

  

KYRGYZSTAN

  

CID001029

Gold

  

L’Orfebre S.A.

  

ANDORRA

  

CID002762

Gold

  

LS-NIKKO Copper Inc.

  

KOREA, REPUBLIC OF

  

CID001078

Gold

  

LT Metal Ltd.

  

KOREA, REPUBLIC OF

  

CID000689

Gold

  

Marsam Metals

  

BRAZIL

  

CID002606

Gold

  

Materion

  

UNITED STATES OF AMERICA

  

CID001113

Gold

  

Matsuda Sangyo Co., Ltd.

  

JAPAN

  

CID001119

Gold

  

Metalor Technologies (Hong Kong) Ltd.

  

CHINA

  

CID001149

Gold

  

Metalor Technologies (Singapore) Pte., Ltd.

  

SINGAPORE

  

CID001152

Gold

  

Metalor Technologies (Suzhou) Ltd.

  

CHINA

  

CID001147

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

  

MMTC-PAMP India Pvt., Ltd.

  

INDIA

  

CID002509

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

  

Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH

  

AUSTRIA

  

CID002779

Gold

  

Ohura Precious Metal Industry Co., Ltd.

  

JAPAN

  

CID001325

 

9


Gold

  

OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)

  

RUSSIAN FEDERATION

  

CID001326

Gold

  

OJSC Novosibirsk Refinery

  

RUSSIAN FEDERATION

  

CID000493

Gold

  

PAMP S.A.

  

SWITZERLAND

  

CID001352

Gold

  

Planta Recuperadora de Metales SpA

  

CHILE

  

CID002919

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

  

REMONDIS PMR B.V.

  

NETHERLANDS

  

CID002582

Gold

  

Royal Canadian Mint

  

CANADA

  

CID001534

Gold

  

SAAMP

  

FRANCE

  

CID002761

Gold

  

Safimet S.p.A

  

ITALY

  

CID002973

Gold

  

SAFINA A.S.

  

CZECH REPUBLIC

  

CID002290

Gold

  

Samduck Precious Metals

  

KOREA, REPUBLIC OF

  

CID001555

Gold

  

SAXONIA Edelmetalle GmbH

  

GERMANY

  

CID002777

Gold

  

SEMPSA Joyeria Plateria S.A.

  

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, PROVINCE OF CHINA

  

CID002516

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

  

SungEel HiMetal Co., Ltd.

  

KOREA, REPUBLIC OF

  

CID002918

Gold

  

T.C.A S.p.A

  

ITALY

  

CID002580

 

10


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

  

TOO Tau-Ken-Altyn

  

KAZAKHSTAN

  

CID002615

Gold

  

Torecom

  

KOREA, REPUBLIC OF

  

CID001955

Gold

  

Umicore Brasil Ltda.

  

BRAZIL

  

CID001977

Gold

  

Umicore Precious Metals Thailand

  

THAILAND

  

CID002314

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

  

WIELAND Edelmetalle GmbH

  

GERMANY

  

CID002778

Gold

  

Yamakin Co., Ltd.

  

JAPAN

  

CID002100

Gold

  

Yokohama Metal Co., Ltd.

  

JAPAN

  

CID002129

Gold

  

Zhongyuan Gold Smelter of Zhongjin Gold Corporation

  

CHINA

  

CID002224

Tantalum

  

Asaka Riken Co., Ltd.

  

JAPAN

  

CID000092

Tantalum

  

Changsha South Tantalum Niobium Co., Ltd.

  

CHINA

  

CID000211

Tantalum

  

CP Metals Inc.

  

UNITED STATES OF AMERICA

  

CID003402

Tantalum

  

D Block Metals, LLC

  

UNITED STATES OF AMERICA

  

CID002504

Tantalum

  

Exotech Inc.

  

UNITED STATES OF AMERICA

  

CID000456

Tantalum

  

F&X Electro-Materials Ltd.

  

CHINA

  

CID000460

Tantalum

  

FIR Metals & Resource Ltd.

  

CHINA

  

CID002505

Tantalum

  

Global Advanced Metals Aizu

  

JAPAN

  

CID002558

 

11


Tantalum

  

Global Advanced Metals Boyertown

  

UNITED STATES OF AMERICA

  

CID002557

Tantalum

  

Guangdong Zhiyuan New Material Co., Ltd.

  

CHINA

  

CID000616

Tantalum

  

H.C. Starck Co., Ltd.

  

THAILAND

  

CID002544

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

  

H.C. Starck Tantalum and Niobium GmbH

  

GERMANY

  

CID002545

Tantalum

  

Hengyang King Xing Lifeng New Materials Co., Ltd.

  

CHINA

  

CID002492

Tantalum

  

Jiangxi Dinghai Tantalum & Niobium Co., Ltd.

  

CHINA

  

CID002512

Tantalum

  

Jiangxi Tuohong New Raw Material

  

CHINA

  

CID002842

Tantalum

  

JiuJiang JinXin Nonferrous Metals Co., Ltd.

  

CHINA

  

CID000914

Tantalum

  

Jiujiang Tanbre Co., Ltd.

  

CHINA

  

CID000917

Tantalum

  

Jiujiang Zhongao Tantalum & Niobium Co., Ltd.

  

CHINA

  

CID002506

Tantalum

  

KEMET Blue Metals

  

MEXICO

  

CID002539

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

  

Ningxia Orient Tantalum Industry Co., Ltd.

  

CHINA

  

CID001277

Tantalum

  

NPM Silmet AS

  

ESTONIA

  

CID001200

Tantalum

  

PRG Dooel

  

NORTH MACEDONIA, REPUBLIC OF

  

CID002847

Tantalum

  

QuantumClean

  

UNITED STATES OF AMERICA

  

CID001508

Tantalum

  

Resind Industria e Comercio Ltda.

  

BRAZIL

  

CID002707

 

12


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

  

XinXing HaoRong Electronic Material Co., Ltd.

  

CHINA

  

CID002508

Tantalum

  

Yanling Jincheng Tantalum & Niobium Co., Ltd.

  

CHINA

  

CID001522

Tin

  

Alpha

  

UNITED STATES OF AMERICA

  

CID000292

Tin

  

Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.

  

CHINA

  

CID000228

Tin

  

Chifeng Dajingzi Tin Industry Co., Ltd.

  

CHINA

  

CID003190

Tin

  

China Tin Group Co., Ltd.

  

CHINA

  

CID001070

Tin

  

Dowa

  

JAPAN

  

CID000402

Tin

  

EM Vinto

  

BOLIVIA (PLURINATIONAL STATE OF)

  

CID000438

Tin

  

Fenix Metals

  

POLAND

  

CID000468

Tin

  

Gejiu Kai Meng Industry and Trade LLC

  

CHINA

  

CID000942

Tin

  

Gejiu Non-Ferrous Metal Processing Co., Ltd.

  

CHINA

  

CID000538

Tin

  

Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.

  

CHINA

  

CID001908

Tin

  

Gejiu Zili Mining And Metallurgy Co., Ltd.

  

CHINA

  

CID000555

Tin

  

Guangdong Hanhe Non-Ferrous Metal Co., Ltd.

  

CHINA

  

CID003116

Tin

  

Guanyang Guida Nonferrous Metal Smelting Plant

  

CHINA

  

CID002849

Tin

  

HuiChang Hill Tin Industry Co., Ltd.

  

CHINA

  

CID002844

Tin

  

Huichang Jinshunda Tin Co., Ltd.

  

CHINA

  

CID000760

Tin

  

Jiangxi New Nanshan Technology Ltd.

  

CHINA

  

CID001231

Tin

  

Luna Smelter, Ltd.

  

RWANDA

  

CID003387

 

13


Tin    Ma’anshan Weitai Tin Co., Ltd.    CHINA    CID003379
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    Metallic Resources, Inc.    UNITED STATES OF AMERICA    CID001142
Tin    Metallo Belgium N.V.    BELGIUM    CID002773
Tin    Metallo Spain S.L.U.    SPAIN    CID002774
Tin    Mineracao Taboca S.A.    BRAZIL    CID001173
Tin    Minsur    PERU    CID001182
Tin    Mitsubishi Materials Corporation    JAPAN    CID001191
Tin    O.M. Manufacturing (Thailand) Co., Ltd.    THAILAND    CID001314
Tin    O.M. Manufacturing Philippines, Inc.    PHILIPPINES    CID002517
Tin    Operaciones Metalurgicas S.A.    BOLIVIA (PLURINATIONAL STATE OF)    CID001337
Tin    Precious Minerals and Smelting Limited    INDIA    CID003409
Tin    PT Artha Cipta Langgeng    INDONESIA    CID001399
Tin    PT ATD Makmur Mandiri Jaya    INDONESIA    CID002503
Tin    PT Menara Cipta Mulia    INDONESIA    CID002835
Tin    PT Mitra Stania Prima    INDONESIA    CID001453
Tin    PT Refined Bangka Tin    INDONESIA    CID001460
Tin    PT Timah Tbk Kundur    INDONESIA    CID001477
Tin    PT Timah Tbk Mentok    INDONESIA    CID001482
Tin    Resind Industria e Comercio Ltda.    BRAZIL    CID002706
Tin    Rui Da Hung    TAIWAN, PROVINCE OF CHINA    CID001539
Tin    Soft Metais Ltda.    BRAZIL    CID001758

 

14


Tin    Thai Nguyen Mining and Metallurgy Co., Ltd.    VIET NAM    CID002834
Tin    Thaisarco    THAILAND    CID001898
Tin    Tin Technology & Refining    UNITED STATES OF AMERICA    CID003325
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    Yunnan Yunfan Non-ferrous Metals Co., Ltd.    CHINA    CID003397
Tungsten    A.L.M.T. Corp.    JAPAN    CID000004
Tungsten    ACL Metais Eireli    BRAZIL    CID002833
Tungsten    Albasteel Industria e Comercio de Ligas Para Fundicao Ltd.    BRAZIL    CID003427
Tungsten    Asia Tungsten Products Vietnam Ltd.    VIET NAM    CID002502
Tungsten    Chenzhou Diamond Tungsten Products Co., Ltd.    CHINA    CID002513
Tungsten    Chongyi Zhangyuan Tungsten Co., Ltd.    CHINA    CID000258
Tungsten    CP Metals Inc.    UNITED STATES OF AMERICA    CID003448
Tungsten    Fujian Ganmin RareMetal Co., Ltd.    CHINA    CID003401
Tungsten    Fujian Jinxin Tungsten Co., Ltd.    CHINA    CID000499
Tungsten    Ganzhou Haichuang Tungsten Co., Ltd.    CHINA    CID002645
Tungsten    Ganzhou Huaxing Tungsten Products Co., Ltd.    CHINA    CID000875
Tungsten    Ganzhou Jiangwu Ferrotungsten Co., Ltd.    CHINA    CID002315
Tungsten    Ganzhou Seadragon W & Mo Co., Ltd.    CHINA    CID002494
Tungsten    Global Tungsten & Powders Corp.    UNITED STATES OF AMERICA    CID000568
Tungsten    Guangdong Xianglu Tungsten Co., Ltd.    CHINA    CID000218
Tungsten    H.C. Starck Smelting GmbH & Co. KG    GERMANY    CID002542

 

15


Tungsten    H.C. Starck Tungsten GmbH    GERMANY    CID002541
Tungsten    Hunan Chenzhou Mining Co., Ltd.    CHINA    CID000766
Tungsten    Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji    CHINA    CID002579
Tungsten    Hunan Chunchang Nonferrous Metals Co., Ltd.    CHINA    CID000769
Tungsten    Hunan Litian Tungsten Industry Co., Ltd.    CHINA    CID003182
Tungsten    Hydrometallurg, JSC    RUSSIAN FEDERATION    CID002649
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 Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.    CHINA    CID002318
Tungsten    Jiangxi Xianglu Tungsten Co., Ltd.    CHINA    CID002647
Tungsten    Jiangxi Xinsheng Tungsten Industry Co., Ltd.    CHINA    CID002317
Tungsten    Jiangxi Yaosheng Tungsten Co., Ltd.    CHINA    CID002316
Tungsten    JSC “Kirovgrad Hard Alloys Plant”    RUSSIAN FEDERATION    CID003408
Tungsten    Kennametal Fallon    UNITED STATES OF AMERICA    CID000966
Tungsten    Kennametal Huntsville    UNITED STATES OF AMERICA    CID000105
Tungsten    KGETS Co., Ltd.    KOREA, REPUBLIC OF    CID003388
Tungsten    Lianyou Metals Co., Ltd.    TAIWAN, PROVINCE OF CHINA    CID003407
Tungsten    Malipo Haiyu Tungsten Co., Ltd.    CHINA    CID002319
Tungsten    Masan Tungsten Chemical LLC (MTC)    VIET NAM    CID002543
Tungsten    Moliren Ltd.    RUSSIAN FEDERATION    CID002845
Tungsten    Niagara Refining LLC    UNITED STATES OF AMERICA    CID002589
Tungsten    NPP Tyazhmetprom LLC    RUSSIAN FEDERATION    CID003416
Tungsten    Philippine Chuangxin Industrial Co., Inc.    PHILIPPINES    CID002827

 

16


Tungsten    Tejing (Vietnam) Tungsten Co., Ltd.    VIET NAM    CID001889
Tungsten    Unecha Refractory metals plant    RUSSIAN FEDERATION    CID002724
Tungsten    Wolfram Bergbau und Hutten AG    AUSTRIA    CID002044
Tungsten    Woltech Korea Co., Ltd.    KOREA, REPUBLIC OF    CID002843
Tungsten    Xiamen Tungsten (H.C.) Co., Ltd.    CHINA    CID002320
Tungsten    Xiamen Tungsten Co., Ltd.    CHINA    CID002082
Tungsten    Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.    CHINA    CID002830
Tungsten    Xinhai Rendan Shaoguan Tungsten Co., Ltd.    CHINA    CID002095

 

17


Section 2: Smelters/refiners that are RMI Active

 

Metal

  

Smelter / Refiner Name

  

Country

  

Smelter ID

Gold    Bangalore Refinery    INDIA    CID002863
Gold    KGHM Polska Miedz Spolka Akcyjna    POLAND    CID002511
Gold    Chugai Mining    JAPAN    CID000264
Gold    NH Recytech Company    KOREA, REPUBLIC OF    CID003189
Tungsten    Hunan Litian Tungsten Industry Co., Ltd.    CHINA    CID003182

 

18