SD

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM SD

SPECIALIZED DISCLOSURE REPORT

 

 

MKS Instruments, Inc.

(Exact name of the registrant as specified in its charter)

 

 

 

Massachusetts   000-23621   04-2277512
(State or other jurisdiction of
incorporation or organization)
 

(Commission

File Number)

 

(IRS Employer

Identification No.)

2 Tech Drive, Suite 201, Andover, Massachusetts   01810
(Address of principle executive offices)   (Zip code)

Kathleen F. Burke (978) 645-5574

(Name and telephone number, including area code, of the person to contact in connection with this report.)

 

 

Check the appropriate box to indicate the rule pursuant to which this form is being filed, and provide the period to which the information in this form applies:

 

Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2021.

 

 

 


Section 1 – Conflict Minerals Disclosure

Item 1.01 – Conflict Minerals Disclosure and Report

Conflict Minerals Disclosure

MKS Instruments, Inc. (“MKS” or the “Company”) has determined that gold, columbite-tantalite (coltan), cassiterite and wolframite, including their derivatives, tantalum, tin and tungsten (“Conflict Minerals”), are necessary to the functionality or production of products manufactured or contracted to be manufactured by MKS.

MKS conducted in good faith a country of origin inquiry regarding Conflict Minerals in its products which was reasonably designed to determine if any of the Conflict Minerals originated in the Democratic Republic of the Congo or an adjoining country (“Covered Countries”), or from recycled or scrap sources.

MKS has determined that it is required to file, and has filed, a Conflict Minerals Report describing its reasonable country of origin inquiry and due diligence efforts on the source and chain of custody of the Conflict Minerals in its products. The Conflict Minerals Report is provided as Exhibit 1.01 to this Form SD and is publicly available on MKS’ website at http://www.mksinst.com/docs/ur/MKS-ConflictMineralsReport.pdf.

Item 1.02 – Exhibit

MKS’ Conflict Minerals Report for the calendar year ended December 31, 2021 is filed as Exhibit 1.01 to this Form SD.

Section 2 – Exhibits

Item 2.01 – Exhibits


Exhibit

Number

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


SIGNATURES

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.

 

MKS INSTRUMENTS, INC.      

/s/ Kathleen F. Burke

      May 26, 2022
Kathleen F. Burke      
Senior Vice President, General Counsel & Secretary      
EX-1.01

Exhibit 1.01

MKS INSTRUMENTS, INC.

Conflict Minerals Report

For the Year Ended December 31, 2021

Special Note Regarding Forward-Looking Statements

This report contains “forward-looking statements” within the meaning of the Private Securities Litigation Reform Act of 1995, Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Securities Exchange Act of 1934, as amended (Exchange Act). These forward-looking statements reflect management’s current opinions and are subject to certain risks and uncertainties that could cause actual results to differ materially from those stated. MKS assumes no obligation to update this information. Risks and uncertainties include, but are not limited to, those discussed in the section entitled “Risk Factors” found in the Company’s most recent Annual Report on Form 10-K and any subsequent Quarterly Reports on Form 10-Q, as filed with the Securities and Exchange Commission (SEC).

Summary of the Conflict Minerals Rule

This report for the year ended December 31, 2021 is included to comply with Rule 13p-1 under the Exchange Act (the Conflict Minerals Rule), which was adopted by the SEC to implement reporting and disclosure requirements related to Conflict Minerals as directed by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (Dodd-Frank Act). The Conflict Minerals Rule imposes certain reporting obligations on a company that files reports with the SEC under Sections 13(a) and 15(d) of the Exchange Act (a public company), whose manufactured products contain Conflict Minerals which are necessary to the functionality or production of its products. Conflict minerals are defined as gold, columbite-tantalite (coltan), cassiterite and wolframite, including their derivatives, tantalum, tin and tungsten (Conflict Minerals).

If a public company cannot establish that the Conflict Minerals originated from sources other than the Democratic Republic of the Congo or an adjoining country (the Covered Countries), or from recycled and scrap sources, it must submit a Form SD which describes the reasonable country of origin inquiry completed.

If a public company has reason to believe that any of the Conflict Minerals in its supply chain may have originated in the Covered Countries, or if it is unable to determine the country of origin of those Conflict Minerals, then that company must exercise due diligence on the Conflict Minerals’ source and chain of custody. The company must annually submit a report to the SEC that includes a description of those due diligence measures (Conflict Minerals Report).

 

1.

Company Overview

This report has been prepared by management of MKS Instruments, Inc. (herein referred to as “MKS,” the “Company,” “we,” “us,” or “our”). The information includes the activities of MKS and all of its subsidiaries, except, in accordance with SEC rules, products manufactured by Photon Control Inc. (“Photon Control”), which we acquired in July 2021, have been excluded.

Founded in 1961, MKS is a global provider of instruments, systems, subsystems and process control solutions that measure, monitor, deliver, analyze, power and control critical parameters of advanced manufacturing processes to improve process performance and productivity for its customers. MKS’ products are derived from its core competencies in pressure measurement and control, flow measurement and control, gas and vapor delivery, gas composition analysis, electronic control technology, reactive gas generation and delivery, power generation and delivery, vacuum technology, temperature sensing, lasers, photonics, optics, precision motion control, vibration control and laser-based manufacturing systems solutions. MKS also provides services relating to the maintenance and repair of its products, installation services and training. The Company primarily serves the semiconductor, advanced electronics and specialty industrial markets. MKS employs approximately 6,000 individuals.

MKS has three reportable segments—the Vacuum Solutions Division (“VSD”) segment, the Photonics Solutions Division (“PSD”) segment and the Equipment Solutions Division (“ESD”) segment. The VSD segment provides a broad range of instruments, components and subsystems, which are derived from MKS’ core competencies in pressure measurement and control, flow measurement and control, gas and vapor delivery, gas composition analysis, electronic control technology, reactive gas generation and delivery, power generation and delivery and vacuum technology. The PSD segment provides a broad range of instruments, components and subsystems, which are derived from MKS’ core competencies in lasers, photonics, optics, temperature sensing, precision motion control and vibration control. The ESD segment provides a range of laser-based systems and test products, including laser-based systems for printed circuit board (PCB) manufacturing, which includes flexible interconnect PCB processing systems and high-density interconnect solutions for rigid PCB manufacturing and substrate processing, and multi-layer ceramic capacitor test systems.

 

1


MKS’ product portfolio includes more than 30,000 products. MKS’ products are used in diverse markets, applications and processes. We primarily serve the semiconductor, advanced electronics and specialty industrial markets. Our semiconductor market primarily relates to products used in major semiconductor processing steps, such as depositing thin films of material onto silicon wafer substrates, etching, cleaning, lithography, metrology and inspection. A significant portion of our sales is anticipated to continue to be derived from products sold to semiconductor capital equipment manufacturers and semiconductor device manufacturers. Our advanced electronics market primarily relates to sales of products for PCB manufacturing, solar, display and electronic component applications. These applications include flexible and rigid PCB processing/fabrication, glass coating and electronic thin films. Electronic thin films are a primary component of numerous electronic products, including flat panel displays, light emitting diodes, solar cells and data storage media. Our specialty industrial market primarily relates to sales of products for industrial, life and health sciences and research and defense applications. Industrial technologies encompasses a wide range of diverse applications, such as laser marking, measurement and scribing, natural gas and oil production and environmental monitoring. Our products for life and health sciences are used in a diverse array of applications, including bioimaging, medical instrument sterilization, medical device manufacturing, analytical, diagnostic and surgical instrumentation, consumable medical supply manufacturing and pharmaceutical production. In addition, our products for research and defense are sold to government, university and industrial laboratories for applications involving research and development in materials science, physical chemistry, photonics, optics and electronics materials. Our products are also sold for monitoring and defense applications, including surveillance, imaging and infrastructure protection.

Except for certain metal product lines (e.g. fittings, flanges, lenses, certain mirrors, tubing, etc.), virtually all of the products MKS manufactures or contracts to manufacture include tin, gold, tantalum and/or tungsten. As a result, Conflict Minerals are found in almost all of our products.

Supply Chain

With such an extensive product portfolio, our supply chain is highly complex. In 2021, MKS and its subsidiaries purchased supplies from over 2,700 suppliers across the world. In addition to dealing with a very large number of suppliers, MKS deals with multiple tiers of suppliers. We are many steps removed from the mining of Conflict Minerals and the smelting and refining of raw ores. We do not buy raw ore or unrefined Conflict Minerals or make purchases from the Covered Countries. We also do not buy directly from smelters or refiners. The smelters and refiners are in the best position in our supply chain to know the origin of the ores. For these reasons, the process of mapping our end-to-end supply chain is extremely onerous.

In order to comply with the Conflict Minerals Rule, we rely on our direct suppliers to provide information on the origin of the Conflict Minerals contained in components and materials supplied to us, including sources of Conflict Minerals that are supplied to them from lower tier suppliers. Our outreach efforts for the past nine years are summarized below:

 

   

For 2013, we believed a reasonable approach was to conduct a survey of the suppliers who represented the majority of our expenditures in that year. We sent a survey to 514 of our direct suppliers representing in excess of 77% of our 2013 expenditures.

 

   

For 2014, we expanded our supplier outreach efforts by contacting 957 of our direct suppliers representing in excess of 80% of our 2014 expenditures.

 

   

In 2015, we expanded our supplier outreach efforts again, contacting over 1,400 of our direct suppliers and many more manufacturers represented by distributors, representing over 99% of our 2015 expenditures.

 

   

In 2016, we contacted over 3,500 of our direct suppliers representing 99% of our 2016 expenditures.

 

   

In 2017, we contacted over 3,400 of our direct suppliers representing 99.5% of our 2017 expenditures.

 

   

In 2018, we contacted over 3,800 of our direct suppliers representing 99.8% of our 2018 expenditures.

 

   

In 2019, we engaged a third-party service provider, Source Intelligence, to contact over 4,400 of our direct suppliers representing 100% of our 2019 expenditures.

 

   

In 2020, we developed a more robust system to track our suppliers, resulting in the elimination of a significant number of duplicate and non-inventory suppliers from our total supplier count. We reengaged Source Intelligence to contact over 3,300 of our direct suppliers representing 100% of our 2020 expenditures. We received responses from 63% of our suppliers, a 9% increase compared to 2019.

 

2


   

In 2021, we improved the categorization of our spend data, resulting in the elimination of additional non-inventory suppliers. We reengaged Source Intelligence to contact over 2,700 of our direct suppliers representing 100% of our 2021 expenditures. We received responses from 69% of our suppliers, a 6% increase compared to 2020.

 

   

Each year we, or our third-party service provider, then followed up with electronic reminders and telephone calls to request suppliers complete the surveys.

Despite having conducted a good faith reasonable country of origin inquiry, we are unable to determine the origin of all of the Conflict Minerals in our products. Due to the complexity of our broad product portfolio and supply chain, it will take additional time for many of our suppliers to verify the origin of the Conflict Minerals in the products they supply to us. We continue to engage with each of these suppliers and they in turn continue to engage with their suppliers. We hope that with additional time, these outreach efforts will result in greater transparency into our supply chain. In addition, Source Intelligence confirmed that certain Conflict Minerals in our products likely originated in the Covered Countries. For these reasons, we are required under the Conflict Minerals Rule to submit to the SEC a Conflict Minerals Report as an exhibit to Form SD. This report must include:

 

   

a description of the measures we took to exercise due diligence on the Conflict Minerals’ source and chain of custody,

 

   

a description of the products manufactured or contracted to be manufactured that are not “DRC conflict free” (i.e. products containing minerals that finance armed groups in the Covered Countries),

 

   

the facilities used to process the Conflict Minerals,

 

   

the country of origin of the Conflict Minerals, and

 

   

the efforts to determine the mine or location of origin.

In accordance with The Organisation for Economic Co-operation and Development (OECD) Guidance and the Conflict Minerals Rule, this report is available on our website http://www.mksinst.com/docs/ur/MKS-ConflictMineralsReport.pdf

Conflict Minerals Policy

We adopted the following Conflict Minerals Policy:

MKS Conflict Minerals Policy

In 2012, the U.S. Securities and Exchange Commission (the “SEC”) issued its final rule under Section 1502 of the 2010 Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Conflict Minerals Rule”) imposing new disclosure and related supply chain due diligence requirements for public companies regarding their use of “Conflict Minerals” in products they manufacture or contract to manufacture. The goal of this new rule is to curb the violent conflict and human rights abuses in the Democratic Republic of the Congo (“DRC”)1 and adjoining countries that are being financed in part by the exploitation and trade of Conflict Minerals from that region.

The Conflict Minerals Rule defines “Conflict Minerals” as cassiterite (tin), columbite-tantalite (tantalum), wolframite (tungsten), their respective derivatives and gold (commonly referred to as the “3Ts&G”). MKS, being a global provider of instruments, systems, subsystems and process control solutions that measure, monitor, deliver, analyze, power and control critical parameters of advanced manufacturing processes to improve process performance and productivity for its customers, uses certain of these Conflict Minerals in the manufacturing of its products. MKS is committed to identifying any of its suppliers who source Conflict Minerals from the DRC region from conflict sources. We expect our suppliers to partner with us in this endeavor regardless of whether they are subject to the new Conflict Minerals Rule by providing us with all necessary declarations. We also expect our suppliers to pass this requirement on to their supply chain if they do not source directly from smelters, to determine the source of the Conflict Minerals. The process of mapping our end-to-end supply chain is onerous because MKS deals with multiple tiers and a very large number of suppliers. However, MKS is committed to this effort and should MKS discover at any time that any of its suppliers are sourcing materials from the DRC region from conflict sources, MKS will work with the supplier to end this practice and if the supplier refuses, MKS will work diligently to identify and partner with an alternative supplier.

If you have any questions regarding MKS’ Policy on Conflict Minerals, please contact us at conflictminerals_customer@mksinst.com.

Our policy is publicly available on our website at http://www.mksinst.com/docs/ur/MKS-ConflictMinerals-Stmt.pdf

 

1

Conflict Minerals procured from the following “covered countries” are the focus of the Rule: the DRC, Angola, Burundi, the Central African Republic, the Republic of the Congo, Rwanda, South Sudan, Tanzania, Uganda, and Zambia

 

3


2.

Due Diligence Process

 

2.1

Design of Due Diligence

Our due diligence process has been designed to conform generally with the framework in the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (OECD Guidance) and the related Supplements for gold and for tin, tantalum and tungsten.

Our due diligence process includes:

 

   

the adoption of a Conflict Minerals Policy,

 

   

the establishment of a cross-functional team for complying with the Conflict Minerals Rule,

 

   

engagement of suppliers,

 

   

due diligence compliance process and measurement,

 

   

extensive record keeping and

 

   

continued follow-up communication with suppliers.

 

2.2

Management Systems

As described above, MKS has adopted a company policy which is posted on our website at http://www.mksinst.com/docs/ur/MKS-ConflictMinerals-Stmt.pdf

Internal Team

MKS has established a cross-functional team led by our Global Supply Chain Manager, who has over fifteen years of experience in chemical and supplier management. The team is responsible for implementing our Conflict Minerals compliance strategy. Senior management is briefed about the results of our due diligence efforts.

Supplier Engagement

With respect to the OECD requirement to strengthen engagement with suppliers, we have established, where practicable, long-term relationships with our numerous suppliers. We have communicated to our suppliers our expectations with respect to the Conflict Minerals Rule. In addition, we have incorporated our expectations with respect to our Conflict Mineral Policy and reporting obligation into the terms and conditions of our supplier contracts.

Maintain Records

We have developed an internal system for documenting the implementation, management and monitoring of our Conflict Minerals Program.

 

2.3

Identify and Assess Risk in the Supply Chain

Because of our size, the complexity of our products, and the depth and breadth of our supply chain, it is difficult to identify suppliers upstream from our direct suppliers. In 2021, through our third-party service provider, Source Intelligence, we reached out to over 2,700 of our direct suppliers representing 100% of our supplier spend. We rely on these suppliers, whose components contain Conflict Minerals, to provide us with information about the source of Conflict Minerals contained in the components supplied to us. Our direct suppliers are similarly reliant upon information provided by their suppliers. Many of our direct suppliers and distributors either: (i) provided names of smelters or refiners that could not be verified using the Responsible Minerals Assurance Process Conformant Smelters & Refiners Lists, (ii) did not respond to our survey despite follow-up requests, (iii) responded to our survey with incomplete or inconsistent information, or (iv) responded to our survey with a form letter informing us that they would not be completing the survey due to a variety of reasons, including, but not limited to: (a) lack of resources, (b) the fact that only de minimis amounts of Conflict Minerals were contained in their products, and/or (c) the supplier was not itself subject to the Conflict Minerals Rule. In general, follow-up requests to these suppliers did not produce additional information unless we had leverage with a particular supplier due to the amount of our spend with such supplier. More time is still needed to determine all of the smelters/refiners used in our supply chain. MKS plans to continue its efforts to identify all of the Conflict Minerals’ smelters/refiners used in our supply chain through a combination of annual supplier surveys and direct follow-up supplier engagement.

 

4


2.4

Design and Implement a Strategy to Respond to Risks

MKS has a risk management plan through which the Conflict Minerals program is implemented, managed and monitored. Updates to this risk assessment are provided to senior management.

As part of our risk management plan, to ensure suppliers understand our expectations, in addition to the Conflict Minerals Policy that we publish on our website, we incorporate our expectations with respect to our Conflict Mineral Policy into the terms and conditions of our supplier contracts. Through our third-party service provider, Source Intelligence, we also distributed a Conflict Minerals reporting instruction letter and survey to our worldwide suppliers who represent 100% of our 2021 supplier spend and both Source Intelligence and MKS held individual follow-up calls with and/or sent emails to those suppliers whose survey responses were incomplete, unclear or seemed erroneous based on our knowledge of the materials we purchase from that supplier.

As described in our Conflict Minerals Policy, we will work with any of our suppliers whom we have reason to believe is supplying us with Conflict Minerals from sources that may support conflict in the DRC or any adjoining country to end this practice and if the supplier refuses, we will work diligently to identify and partner with an alternative supplier of Conflict Minerals that does not support such conflict.

 

2.5

Carry out Independent Third-Party Audit of Supply Chain Due Diligence at Identified Points in the Supply Chain

We do not have a direct relationship with Conflict Minerals smelters and refiners and do not perform or direct audits of these entities within our supply chain. We rely on audits performed by industry groups like the Responsible Business Alliance’s Responsible Minerals Initiative.

 

2.6

Report on Supply Chain Due Diligence

This report is available on our website at http://www.mksinst.com/docs/ur/MKS-ConflictMineralsReport.pdf

 

3.

Due Diligence Results

Request Information

We conducted a survey of those suppliers described above using the EICC/GeSI template, known as the Conflict Minerals Reporting Template (the template). The template was developed to facilitate disclosure and communication of information regarding smelters that provide material to a company’s supply chain. It includes questions regarding a company’s Conflict Minerals policy, engagement with its direct suppliers, and a listing of the smelters the company and its suppliers use. In addition, the template contains questions about the origin of Conflict Minerals included in their products.

Survey Responses

Through our third-party service provider, Source Intelligence, we received responses from approximately 69% of the suppliers surveyed, representing 91% of our supplier spend surveyed. We reviewed the responses against criteria developed to determine which required further engagement with our suppliers. The vast majority of our suppliers provided data at a company level (vs. a product level). In many of the responses received, (i) the responses were incomplete and/or contained inconsistencies within the data reported in the template and (ii) the identities of the smelters or refiners were not known. We continue to engage directly with these suppliers to provide revised or missing information. We are therefore not yet in a position to verify that all of the smelters or refiners in our supply chain are certified as conflict-free by the Responsible Business Alliance.

Efforts to Determine Mine or Location of Origin

In our supplier survey, we requested our suppliers to identify the smelter or refiner used in their respective supply chain. We have determined that seeking information about Conflict Minerals’ smelters and refiners in our supply chain represents the most reasonable effort we can make to determine the mines or locations of origin of the Conflict Minerals in our supply chain. Based on the information provided by MKS suppliers in 2021, Exhibit A includes 341 smelters and refiners used in our supply chain that were identified by Responsible Minerals Initiative as “Conformant,” “Active,” or “Known.” “Conformant” smelters and refiners are those smelters and refiners 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 “Conformant” with Responsible Minerals Alliance’s Process Assessment Program. “Active” smelters are those that have agreed in writing to produce information and are actively progressing towards a third-party audit. “Known” smelters and refiners are known to Responsible Minerals Initiative but not currently classified as “Conformant” or “Active.” Although we did receive more reliable smelter and refiner information for 2021 as compared to 2020, we know this list is incomplete as several of our suppliers either did not return a completed survey or returned an incomplete survey which did not include smelter or refiner names. We expect that with more time, more upstream suppliers will be in a better position to identify relevant smelters and refiners and will in turn pass that information further down the supply chain so that this list will be more complete.

 

5


To date, we have been informed that two of the smelters identified by our suppliers are located in Covered Countries but with further due diligence, we confirmed that both are on the Responsible Minerals Assurance Process Known Smelters & Refiners Lists. We are not aware of any other instance where we have reason to believe any of our suppliers are supplying us with Conflict Minerals from a source that may support conflict in the DRC or any adjoining country.

 

4.

Steps to be Taken Going Forward

We intend to take the following steps in 2022 to expand and improve the due diligence conducted with respect to our supply chain:

 

  a.

Integrate the suppliers of Photon Control, which we acquired in July 2021, into our Conflict Minerals program.

 

  b.

Continue to identify and implement changes to improve the process used to collect survey responses from our very large number of direct suppliers.

 

  c.

Continue to remind our suppliers of their obligations and our expectations with respect to Conflict Minerals reporting at our supplier conferences.

 

  d.

Continue to engage with suppliers to attempt to increase the response rate and improve the content of the supplier survey responses.

 

  e.

If any of our suppliers are found to be supplying us with Conflict Minerals from sources that support conflict in the Covered Countries, to work with the supplier to end this practice and if the supplier refuses, to work diligently to identify and partner with an alternative supplier.

 

6


EXHIBIT A

 

Metal

  

Smelter Reference List

  

Smelter Name

  

Smelter Country

  

Smelter
Identification

  

Source of
Smelter
Identification
Number

  

Smelter
Status

Gold    Advanced Chemical Company    Advanced Chemical Company    United States    CID000015    RMI    Conformant
Gold    Aida Chemical Industries Co., Ltd.    Aida Chemical Industries Co., Ltd.    Japan    CID000019    RMI    Conformant
Gold    Allgemeine Gold-und Silberscheideanstalt A.G.    Allgemeine Gold-und Silberscheideanstalt A.G.    Germany    CID000035    RMI    Conformant
Gold    Almalyk Mining and Metallurgical Complex (AMMC)    Almalyk Mining and Metallurgical Complex (AMMC)    Uzbekistan    CID000041    RMI    Conformant
Gold    AngloGold Ashanti Corrego do Sitio Mineracao    AngloGold Ashanti Corrego do Sitio Mineracao    Brazil    CID000058    RMI    Conformant
Gold    Argor-Heraeus S.A.    Argor-Heraeus S.A.    Switzerland    CID000077    RMI    Conformant
Gold    Asahi Pretec Corp.    Asahi Pretec Corp.    Japan    CID000082    RMI    Conformant
Gold    Asaka Riken Co., Ltd.    Asaka Riken Co., Ltd.    Japan    CID000090    RMI    Conformant
Gold    Atasay Kuyumculuk Sanayi Ve Ticaret A.S.    Atasay Kuyumculuk Sanayi Ve Ticaret A.S.    Turkey    CID000103    RMI    Known
Gold    Aurubis AG    Aurubis AG    Germany    CID000113    RMI    Conformant
Gold    Bangko Sentral ng Pilipinas (Central Bank of the Philippines)    Bangko Sentral ng Pilipinas (Central Bank of the Philippines)    Philippines    CID000128    RMI    Conformant
Gold    Boliden AB    Boliden AB    Sweden    CID000157    RMI    Conformant
Gold    C. Hafner GmbH + Co. KG    C. Hafner GmbH + Co. KG    Germany    CID000176    RMI    Conformant
Gold    Caridad    Caridad    Mexico    CID000180    RMI    Known
Gold    CCR Refinery - Glencore Canada Corporation    CCR Refinery - Glencore Canada Corporation    Canada    CID000185    RMI    Conformant
Gold    Cendres + Metaux S.A.    Cendres + Metaux S.A.    Switzerland    CID000189    RMI    Conformant
Gold    Yunnan Copper Industry Co., Ltd.    Yunnan Copper Industry Co., Ltd.    China    CID000197    RMI    Known
Gold    Chimet S.p.A.    Chimet S.p.A.    Italy    CID000233    RMI    Conformant
Gold    Chugai Mining    Chugai Mining    Japan    CID000264    RMI    Conformant
Gold    Daye Non-Ferrous Metals Mining Ltd.    Daye Non-Ferrous Metals Mining Ltd.    China    CID000343    RMI    Known
Gold    DSC (Do Sung Corporation)    DSC (Do Sung Corporation)    Korea, Republic of    CID000359    RMI    Conformant
Gold    DODUCO Contacts and Refining GmbH    DODUCO Contacts and Refining GmbH    Germany    CID000362    RMI    Conformant
Gold    Dowa    Dowa    Japan    CID000401    RMI    Conformant
Gold    Eco-System Recycling Co., Ltd. East Plant    Eco-System Recycling Co., Ltd. East Plant    Japan    CID000425    RMI    Conformant


Metal

  

Smelter Reference List

  

Smelter Name

  

Smelter Country

  

Smelter
Identification

  

Source of
Smelter
Identification
Number

  

Smelter
Status

Gold    OJSC Novosibirsk Refinery    OJSC Novosibirsk Refinery    Russian Federation    CID000493    RMI    Known
Gold    Refinery of Seemine Gold Co., Ltd.    Refinery of Seemine Gold Co., Ltd.    China    CID000522    RMI    Known
Gold    Guoda Safina High-Tech Environmental Refinery Co., Ltd.    Guoda Safina High-Tech Environmental Refinery Co., Ltd.    China    CID000651    RMI    Known
Gold    Hangzhou Fuchunjiang Smelting Co., Ltd.    Hangzhou Fuchunjiang Smelting Co., Ltd.    China    CID000671    RMI    Known
Gold    LT Metal Ltd.    LT Metal Ltd.    Korea, Republic of    CID000689    RMI    Conformant
Gold    Heimerle + Meule GmbH    Heimerle + Meule GmbH    Germany    CID000694    RMI    Conformant
Gold    Heraeus Metals Hong Kong Ltd.    Heraeus Metals Hong Kong Ltd.    China    CID000707    RMI    Conformant
Gold    Heraeus Precious Metals GmbH & Co. KG    Heraeus Precious Metals GmbH & Co. KG    Germany    CID000711    RMI    Conformant
Gold    Hunan Chenzhou Mining Co., Ltd.    Hunan Chenzhou Mining Co., Ltd.    China    CID000767    RMI    Known
Gold    Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd.    Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd.    China    CID000773    RMI    Known
Gold    HwaSeong CJ CO., LTD.    HwaSeong CJ CO., LTD.    Korea, Republic of    CID000778    RMI    Known
Gold    Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.    Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.    China    CID000801    RMI    Conformant
Gold    Ishifuku Metal Industry Co., Ltd.    Ishifuku Metal Industry Co., Ltd.    Japan    CID000807    RMI    Conformant
Gold    Istanbul Gold Refinery    Istanbul Gold Refinery    Turkey    CID000814    RMI    Conformant
Gold    Japan Mint    Japan Mint    Japan    CID000823    RMI    Conformant
Gold    Jiangxi Copper Co., Ltd.    Jiangxi Copper Co., Ltd.    China    CID000855    RMI    Conformant
Gold    Asahi Refining USA Inc.    Asahi Refining USA Inc.    United States    CID000920    RMI    Conformant
Gold    Asahi Refining Canada Ltd.    Asahi Refining Canada Ltd.    Canada    CID000924    RMI    Conformant
Gold    JSC Ekaterinburg Non-Ferrous Metal Processing Plant    JSC Ekaterinburg Non-Ferrous Metal Processing Plant    Russian Federation    CID000927    RMI    Known
Gold    JSC Uralelectromed    JSC Uralelectromed    Russian Federation    CID000929    RMI    Known
Gold    JX Nippon Mining & Metals Co., Ltd.    JX Nippon Mining & Metals Co., Ltd.    Japan    CID000937    RMI    Conformant
Gold    Kazakhmys Smelting LLC    Kazakhmys Smelting LLC    Kazakhstan    CID000956    RMI    Known
Gold    Kazzinc    Kazzinc    Kazakhstan    CID000957    RMI    Conformant
Gold    Kennecott Utah Copper LLC    Kennecott Utah Copper LLC    United States    CID000969    RMI    Conformant
Gold    Kojima Chemicals Co., Ltd.    Kojima Chemicals Co., Ltd.    Japan    CID000981    RMI    Conformant


Metal

  

Smelter Reference List

  

Smelter Name

  

Smelter Country

  

Smelter
Identification

  

Source of
Smelter
Identification
Number

  

Smelter
Status

Gold    Kyrgyzaltyn JSC    Kyrgyzaltyn JSC    Kyrgyzstan    CID001029    RMI    Known
Gold    L’azurde Company For Jewelry    L’azurde Company For Jewelry    Saudi Arabia    CID001032    RMI    Known
Gold    Lingbao Gold Co., Ltd.    Lingbao Gold Co., Ltd.    China    CID001056    RMI    Known
Gold    Lingbao Jinyuan Tonghui Refinery Co., Ltd.    Lingbao Jinyuan Tonghui Refinery Co., Ltd.    China    CID001058    RMI    Known
Gold    LS-NIKKO Copper Inc.    LS-NIKKO Copper Inc.    Korea, Republic of    CID001078    RMI    Conformant
Gold    Luoyang Zijin Yinhui Gold Refinery Co., Ltd.    Luoyang Zijin Yinhui Gold Refinery Co., Ltd.    China    CID001093    RMI    Known
Gold    Materion    Materion    United States    CID001113    RMI    Conformant
Gold    Matsuda Sangyo Co., Ltd.    Matsuda Sangyo Co., Ltd.    Japan    CID001119    RMI    Conformant
Gold    Metalor Technologies (Suzhou) Ltd.    Metalor Technologies (Suzhou) Ltd.    China    CID001147    RMI    Conformant
Gold    Metalor Technologies (Hong Kong) Ltd.    Metalor Technologies (Hong Kong) Ltd.    China    CID001149    RMI    Conformant
Gold    Metalor Technologies (Singapore) Pte., Ltd.    Metalor Technologies (Singapore) Pte., Ltd.    Singapore    CID001152    RMI    Conformant
Gold    Metalor Technologies S.A.    Metalor Technologies S.A.    Switzerland    CID001153    RMI    Conformant
Gold    Metalor USA Refining Corporation    Metalor USA Refining Corporation    United States    CID001157    RMI    Conformant
Gold    Metalurgica Met-Mex Penoles S.A. De C.V.    Metalurgica Met-Mex Penoles S.A. De C.V.    Mexico    CID001161    RMI    Conformant
Gold    Mitsubishi Materials Corporation    Mitsubishi Materials Corporation    Japan    CID001188    RMI    Conformant
Gold    Mitsui Mining and Smelting Co., Ltd.    Mitsui Mining and Smelting Co., Ltd.    Japan    CID001193    RMI    Conformant
Gold    Moscow Special Alloys Processing Plant    Moscow Special Alloys Processing Plant    Russian Federation    CID001204    RMI    Known
Gold    Nadir Metal Rafineri San. Ve Tic. A.S.    Nadir Metal Rafineri San. Ve Tic. A.S.    Turkey    CID001220    RMI    Conformant
Gold    Navoi Mining and Metallurgical Combinat    Navoi Mining and Metallurgical Combinat    Uzbekistan    CID001236    RMI    Conformant
Gold    Nihon Material Co., Ltd.    Nihon Material Co., Ltd.    Japan    CID001259    RMI    Conformant
Gold    Ohura Precious Metal Industry Co., Ltd.    Ohura Precious Metal Industry Co., Ltd.    Japan    CID001325    RMI    Conformant


Metal

  

Smelter Reference List

  

Smelter Name

  

Smelter Country

  

Smelter
Identification

  

Source of
Smelter
Identification
Number

  

Smelter
Status

Gold    OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)    OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)    Russian Federation    CID001326    RMI    Known
Gold    PAMP S.A.    PAMP S.A.    Switzerland    CID001352    RMI    Conformant
Gold    Penglai Penggang Gold Industry Co., Ltd.    Penglai Penggang Gold Industry Co., Ltd.    China    CID001362    RMI    Known
Gold    Prioksky Plant of Non-Ferrous Metals    Prioksky Plant of Non-Ferrous Metals    Russian Federation    CID001386    RMI    Known
Gold    PT Aneka Tambang (Persero) Tbk    PT Aneka Tambang (Persero) Tbk    Indonesia    CID001397    RMI    Conformant
Gold    PX Precinox S.A.    PX Precinox S.A.    Switzerland    CID001498    RMI    Conformant
Gold    Rand Refinery (Pty) Ltd.    Rand Refinery (Pty) Ltd.    South Africa    CID001512    RMI    Conformant
Gold    Royal Canadian Mint    Royal Canadian Mint    Canada    CID001534    RMI    Conformant
Gold    Sabin Metal Corp.    Sabin Metal Corp.    United States    CID001546    RMI    Known
Gold    Samduck Precious Metals    Samduck Precious Metals    Korea, Republic of    CID001555    RMI    Conformant
Gold    SAMWON METALS Corp.    SAMWON METALS Corp.    Korea, Republic of    CID001562    RMI    Known
Gold    SEMPSA Joyeria Plateria S.A.    SEMPSA Joyeria Plateria S.A.    Spain    CID001585    RMI    Conformant
Gold    Shandong Tiancheng Biological Gold Industrial Co., Ltd.    Shandong Tiancheng Biological Gold Industrial Co., Ltd.    China    CID001619    RMI    Known
Gold    Shandong Zhaojin Gold & Silver Refinery Co., Ltd.    Shandong Zhaojin Gold & Silver Refinery Co., Ltd.    China    CID001622    RMI    Conformant
Gold    Sichuan Tianze Precious Metals Co., Ltd.    Sichuan Tianze Precious Metals Co., Ltd.    China    CID001736    RMI    Conformant
Gold    SOE Shyolkovsky Factory of Secondary Precious Metals    SOE Shyolkovsky Factory of Secondary Precious Metals    Russian Federation    CID001756    RMI    Known
Gold    Solar Applied Materials Technology Corp.    Solar Applied Materials Technology Corp.    Taiwan    CID001761    RMI    Conformant
Gold    Sumitomo Metal Mining Co., Ltd.    Sumitomo Metal Mining Co., Ltd.    Japan    CID001798    RMI    Conformant
Gold    Super Dragon Technology Co., Ltd.    Super Dragon Technology Co., Ltd.    Taiwan    CID001810    RMI    Known
Gold    Tanaka Kikinzoku Kogyo K.K.    Tanaka Kikinzoku Kogyo K.K.    Japan    CID001875    RMI    Conformant
Gold    Great Wall Precious Metals Co., Ltd. of CBPM    Great Wall Precious Metals Co., Ltd. of CBPM    China    CID001909    RMI    Known
Gold    Shandong Gold Smelting Co., Ltd.    Shandong Gold Smelting Co., Ltd.    China    CID001916    RMI    Conformant
Gold    Tokuriki Honten Co., Ltd.    Tokuriki Honten Co., Ltd.    Japan    CID001938    RMI    Conformant


Metal

  

Smelter Reference List

  

Smelter Name

  

Smelter Country

  

Smelter
Identification

  

Source of
Smelter
Identification
Number

  

Smelter
Status

Gold    Tongling Nonferrous Metals Group Co., Ltd.    Tongling Nonferrous Metals Group Co., Ltd.    China    CID001947    RMI    Known
Gold    Torecom    Torecom    Korea, Republic of    CID001955    RMI    Conformant
Gold    Umicore S.A. Business Unit Precious Metals Refining    Umicore S.A. Business Unit Precious Metals Refining    Belgium    CID001980    RMI    Conformant
Gold    United Precious Metal Refining, Inc.    United Precious Metal Refining, Inc.    United States    CID001993    RMI    Conformant
Gold    Valcambi S.A.    Valcambi S.A.    Switzerland    CID002003    RMI    Conformant
Gold    Western Australian Mint (T/a The Perth Mint)    Western Australian Mint (T/a The Perth Mint)    Australia    CID002030    RMI    Conformant
Gold    Yamakin Co., Ltd.    Yamakin Co., Ltd.    Japan    CID002100    RMI    Conformant
Gold    Yokohama Metal Co., Ltd.    Yokohama Metal Co., Ltd.    Japan    CID002129    RMI    Conformant
Gold    Zhongyuan Gold Smelter of Zhongjin Gold Corporation    Zhongyuan Gold Smelter of Zhongjin Gold Corporation    China    CID002224    RMI    Conformant
Gold    Gold Refinery of Zijin Mining Group Co., Ltd.    Gold Refinery of Zijin Mining Group Co., Ltd.    China    CID002243    RMI    Conformant
Gold    Morris and Watson    Morris and Watson    New Zealand    CID002282    RMI    Known
Gold    SAFINA A.S.    SAFINA A.S.    Czech Republic    CID002290    RMI    Conformant
Gold    Guangdong Jinding Gold Limited    Guangdong Jinding Gold Limited    China    CID002312    RMI    Known
Gold    Umicore Precious Metals Thailand    Umicore Precious Metals Thailand    Thailand    CID002314    RMI    Conformant
Gold    Geib Refining Corporation    Geib Refining Corporation    United States    CID002459    RMI    Conformant
Gold    MMTC-PAMP India Pvt., Ltd.    MMTC-PAMP India Pvt., Ltd.    India    CID002509    RMI    Conformant
Gold    KGHM Polska Miedz Spolka Akcyjna    KGHM Polska Miedz Spolka Akcyjna    Poland    CID002511    RMI    Conformant
Gold    Fidelity Printers and Refiners Ltd.    Fidelity Printers and Refiners Ltd.    Zimbabwe    CID002515    RMI    Known
Gold    Singway Technology Co., Ltd.    Singway Technology Co., Ltd.    Taiwan    CID002516    RMI    Conformant
Gold    Shandong Humon Smelting Co., Ltd.    Shandong Humon Smelting Co., Ltd.    China    CID002525    RMI    Known
Gold    Shenzhen Zhonghenglong Real Industry Co., Ltd.    Shenzhen Zhonghenglong Real Industry Co., Ltd.    China    CID002527    RMI    Known
Gold    Al Etihad Gold Refinery DMCC    Al Etihad Gold Refinery DMCC    United Arab Emirates    CID002560    RMI    Conformant
Gold    Emirates Gold DMCC    Emirates Gold DMCC    United Arab Emirates    CID002561    RMI    Conformant
Gold    International Precious Metal Refiners    International Precious Metal Refiners    United Arab Emirates    CID002562    RMI    Known


Metal

  

Smelter Reference List

  

Smelter Name

  

Smelter Country

  

Smelter
Identification

  

Source of
Smelter
Identification
Number

  

Smelter
Status

Gold    Kaloti Precious Metals    Kaloti Precious Metals    United Arab Emirates    CID002563    RMI    Known
Gold    Sudan Gold Refinery    Sudan Gold Refinery    Sudan    CID002567    RMI    Known
Gold    T.C.A S.p.A    T.C.A S.p.A    Italy    CID002580    RMI    Conformant
Gold    REMONDIS PMR B.V.    REMONDIS PMR B.V.    Netherlands    CID002582    RMI    Conformant
Gold    Fujairah Gold FZC    Fujairah Gold FZC    United Arab Emirates    CID002584    RMI    Known
Gold    Industrial Refining Company    Industrial Refining Company    Belgium    CID002587    RMI    Known
Gold    Shirpur Gold Refinery Ltd.    Shirpur Gold Refinery Ltd.    India    CID002588    RMI    Known
Gold    Korea Zinc Co., Ltd.    Korea Zinc Co., Ltd.    Korea, Republic of    CID002605    RMI    Conformant
Gold    Marsam Metals    Marsam Metals    Brazil    CID002606    RMI    Conformant
Gold    TOO Tau-Ken-Altyn    TOO Tau-Ken-Altyn    Kazakhstan    CID002615    RMI    Conformant
Gold    Abington Reldan Metals, LLC    Abington Reldan Metals, LLC    United States    CID002708    RMI    Active
Gold    SAAMP    SAAMP    France    CID002761    RMI    Conformant
Gold    L’Orfebre S.A.    L’Orfebre S.A.    Andorra    CID002762    RMI    Conformant
Gold    8853 S.p.A.    8853 S.p.A.    Italy    CID002763    RMI    Conformant
Gold    Italpreziosi    Italpreziosi    Italy    CID002765    RMI    Conformant
Gold    SAXONIA Edelmetalle GmbH    SAXONIA Edelmetalle GmbH    Germany    CID002777    RMI    Known
Gold    WIELAND Edelmetalle GmbH    WIELAND Edelmetalle GmbH    Germany    CID002778    RMI    Conformant
Gold    Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH    Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH    Austria    CID002779    RMI    Conformant
Gold    AU Traders and Refiners    AU Traders and Refiners    South Africa    CID002850    RMI    Known
Gold    GCC Gujrat Gold Centre Pvt. Ltd.    GCC Gujrat Gold Centre Pvt. Ltd.    India    CID002852    RMI    Active
Gold    Sai Refinery    Sai Refinery    India    CID002853    RMI    Known
Gold    Modeltech Sdn Bhd    Modeltech Sdn Bhd    Malaysia    CID002857    RMI    Known
Gold    Bangalore Refinery    Bangalore Refinery    India    CID002863    RMI    Conformant
Gold    Kyshtym Copper-Electrolytic Plant ZAO    Kyshtym Copper-Electrolytic Plant ZAO    Russian Federation    CID002865    RMI    Known
Gold    Degussa Sonne / Mond Goldhandel GmbH    Degussa Sonne / Mond Goldhandel GmbH    Germany    CID002867    RMI    Known
Gold    Pease & Curren    Pease & Curren    United States    CID002872    RMI    Known
Gold    JALAN & Company    JALAN & Company    India    CID002893    RMI    Known
Gold    SungEel HiMetal Co., Ltd.    SungEel HiMetal Co., Ltd.    Korea, Republic of    CID002918    RMI    Conformant
Gold    Planta Recuperadora de Metales SpA    Planta Recuperadora de Metales SpA    Chile    CID002919    RMI    Conformant
Gold    Safimet S.p.A    Safimet S.p.A    Italy    CID002973    RMI    Conformant


Metal

  

Smelter Reference List

  

Smelter Name

  

Smelter Country

  

Smelter
Identification

  

Source of
Smelter
Identification
Number

  

Smelter
Status

Gold    State Research Institute Center for Physical Sciences and Technology    State Research Institute Center for Physical Sciences and Technology    Lithuania    CID003153    RMI    Known
Gold    African Gold Refinery    African Gold Refinery    Uganda    CID003185    RMI    Known
Gold    Gold Coast Refinery    Gold Coast Refinery    Ghana    CID003186    RMI    Known
Gold    NH Recytech Company    NH Recytech Company    Korea, Republic of    CID003189    RMI    Conformant
Gold    QG Refining, LLC    QG Refining, LLC    United States    CID003324    RMI    Known
Gold    Dijllah Gold Refinery FZC    Dijllah Gold Refinery FZC    United Arab Emirates    CID003348    RMI    Known
Gold    CGR Metalloys Pvt Ltd.    CGR Metalloys Pvt Ltd.    India    CID003382    RMI    Known
Gold    Sovereign Metals    Sovereign Metals    India    CID003383    RMI    Known
Gold    C.I Metales Procesados Industriales SAS    C.I Metales Procesados Industriales SAS    Colombia    CID003421    RMI    Active
Gold    Eco-System Recycling Co., Ltd. North Plant    Eco-System Recycling Co., Ltd. North Plant    Japan    CID003424    RMI    Conformant
Gold    Eco-System Recycling Co., Ltd. West Plant    Eco-System Recycling Co., Ltd. West Plant    Japan    CID003425    RMI    Conformant
Gold    Augmont Enterprises Private Limited    Augmont Enterprises Private Limited    India    CID003461    RMI    Active
Gold    Kundan Care Products Ltd.    Kundan Care Products Ltd.    India    CID003463    RMI    Known
Gold    Emerald Jewel Industry India Limited (Unit 1)    Emerald Jewel Industry India Limited (Unit 1)    India    CID003487    RMI    Known
Gold    Emerald Jewel Industry India Limited (Unit 2)    Emerald Jewel Industry India Limited (Unit 2)    India    CID003488    RMI    Known
Gold    Emerald Jewel Industry India Limited (Unit 3)    Emerald Jewel Industry India Limited (Unit 3)    India    CID003489    RMI    Known
Gold    Emerald Jewel Industry India Limited (Unit 4)    Emerald Jewel Industry India Limited (Unit 4)    India    CID003490    RMI    Known
Gold    K.A. Rasmussen    K.A. Rasmussen    Norway    CID003497    RMI    Known
Gold    Alexy Metals    Alexy Metals    United States    CID003500    RMI    Active
Gold    Sancus ZFS (L’Orfebre, SA)    Sancus ZFS (L’Orfebre, SA)    Colombia    CID003529    RMI    Active
Gold    Sellem Industries Ltd.    Sellem Industries Ltd.    Mauritania    CID003540    RMI    Known
Gold    MD Overseas    MD Overseas    India    CID003548    RMI    Known
Gold    Metallix Refining Inc.    Metallix Refining Inc.    United States    CID003557    RMI    Known
Gold    Metal Concentrators SA (Pty) Ltd.    Metal Concentrators SA (Pty) Ltd.    South Africa    CID003575    RMI    Conformant
Gold    WEEEREFINING    WEEEREFINING    France    CID003615    RMI    Active
Gold    Value Trading    Value Trading    Belgium    CID003617    RMI    Known


Metal

  

Smelter Reference List

  

Smelter Name

  

Smelter Country

  

Smelter
Identification

  

Source of
Smelter
Identification
Number

  

Smelter
Status

Tantalum    Changsha South Tantalum Niobium Co., Ltd.    Changsha South Tantalum Niobium Co., Ltd.    China    CID000211    RMI    Conformant
Tantalum    Guangdong Rising Rare Metals-EO Materials Ltd.    Guangdong Rising Rare Metals-EO Materials Ltd.    China    CID000291    RMI    Conformant
Tantalum    Exotech Inc.    Exotech Inc.    United States    CID000456    RMI    Known
Tantalum    F&X Electro-Materials Ltd.    F&X Electro-Materials Ltd.    China    CID000460    RMI    Conformant
Tantalum    XIMEI RESOURCES (GUANGDONG) LIMITED    XIMEI RESOURCES (GUANGDONG) LIMITED    China    CID000616    RMI    Conformant
Tantalum    JiuJiang JinXin Nonferrous Metals Co., Ltd.    JiuJiang JinXin Nonferrous Metals Co., Ltd.    China    CID000914    RMI    Conformant
Tantalum    Jiujiang Tanbre Co., Ltd.    Jiujiang Tanbre Co., Ltd.    China    CID000917    RMI    Conformant
Tantalum    AMG Brasil    AMG Brasil    Brazil    CID001076    RMI    Conformant
Tantalum    Metallurgical Products India Pvt., Ltd.    Metallurgical Products India Pvt., Ltd.    India    CID001163    RMI    Conformant
Tantalum    Mineracao Taboca S.A.    Mineracao Taboca S.A.    Brazil    CID001175    RMI    Conformant
Tantalum    Mitsui Mining and Smelting Co., Ltd.    Mitsui Mining and Smelting Co., Ltd.    Japan    CID001192    RMI    Conformant
Tantalum    NPM Silmet AS    NPM Silmet AS    Estonia    CID001200    RMI    Conformant
Tantalum    Ningxia Orient Tantalum Industry Co., Ltd.    Ningxia Orient Tantalum Industry Co., Ltd.    China    CID001277    RMI    Conformant
Tantalum    QuantumClean    QuantumClean    United States    CID001508    RMI    Conformant
Tantalum    Yanling Jincheng Tantalum & Niobium Co., Ltd.    Yanling Jincheng Tantalum & Niobium Co., Ltd.    China    CID001522    RMI    Conformant
Tantalum    Solikamsk Magnesium Works OAO    Solikamsk Magnesium Works OAO    Russian Federation    CID001769    RMI    Conformant
Tantalum    Taki Chemical Co., Ltd.    Taki Chemical Co., Ltd.    Japan    CID001869    RMI    Conformant
Tantalum    Telex Metals    Telex Metals    United States    CID001891    RMI    Conformant
Tantalum    Ulba Metallurgical Plant JSC    Ulba Metallurgical Plant JSC    Kazakhstan    CID001969    RMI    Conformant
Tantalum    Hengyang King Xing Lifeng New Materials Co., Ltd.    Hengyang King Xing Lifeng New Materials Co., Ltd.    China    CID002492    RMI    Conformant
Tantalum    D Block Metals, LLC    D Block Metals, LLC    United States    CID002504    RMI    Conformant
Tantalum    FIR Metals & Resource Ltd.    FIR Metals & Resource Ltd.    China    CID002505    RMI    Conformant
Tantalum    Jiujiang Zhongao Tantalum & Niobium Co., Ltd.    Jiujiang Zhongao Tantalum & Niobium Co., Ltd.    China    CID002506    RMI    Conformant
Tantalum    XinXing Haorong Electronic Material Co., Ltd.    XinXing Haorong Electronic Material Co., Ltd.    China    CID002508    RMI    Conformant


Metal

  

Smelter Reference List

  

Smelter Name

  

Smelter Country

  

Smelter
Identification

  

Source of
Smelter
Identification
Number

  

Smelter
Status

Tantalum    Jiangxi Dinghai Tantalum & Niobium Co., Ltd.    Jiangxi Dinghai Tantalum & Niobium Co., Ltd.    China    CID002512    RMI    Conformant
Tantalum    KEMET de Mexico    KEMET de Mexico    Mexico    CID002539    RMI    Conformant
Tantalum    TANIOBIS Co., Ltd.    TANIOBIS Co., Ltd.    Thailand    CID002544    RMI    Conformant
Tantalum    TANIOBIS GmbH    TANIOBIS GmbH    Germany    CID002545    RMI    Conformant
Tantalum    H.C. Starck Hermsdorf GmbH    H.C. Starck Hermsdorf GmbH    Germany    CID002547    RMI    Conformant
Tantalum    H.C. Starck Inc.    H.C. Starck Inc.    United States    CID002548    RMI    Conformant
Tantalum    TANIOBIS Japan Co., Ltd.    TANIOBIS Japan Co., Ltd.    Japan    CID002549    RMI    Conformant
Tantalum    TANIOBIS Smelting GmbH & Co. KG    TANIOBIS Smelting GmbH & Co. KG    Germany    CID002550    RMI    Conformant
Tantalum    Global Advanced Metals Boyertown    Global Advanced Metals Boyertown    United States    CID002557    RMI    Conformant
Tantalum    Global Advanced Metals Aizu    Global Advanced Metals Aizu    Japan    CID002558    RMI    Conformant
Tantalum    Resind Industria e Comercio Ltda.    Resind Industria e Comercio Ltda.    Brazil    CID002707    RMI    Conformant
Tantalum    Jiangxi Tuohong New Raw Material    Jiangxi Tuohong New Raw Material    China    CID002842    RMI    Conformant
Tantalum    RFH Yancheng Jinye New Material Technology Co., Ltd.    RFH Yancheng Jinye New Material Technology Co., Ltd.    China    CID003583    RMI    Conformant
Tin    Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.    Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.    China    CID000228    RMI    Conformant
Tin    Alpha    Alpha    United States    CID000292    RMI    Conformant
Tin    PT Aries Kencana Sejahtera    PT Aries Kencana Sejahtera    Indonesia    CID000309    RMI    Active
Tin    Dowa    Dowa    Japan    CID000402    RMI    Conformant
Tin    EM Vinto    EM Vinto    Bolivia    CID000438    RMI    Conformant
Tin    Estanho de Rondonia S.A.    Estanho de Rondonia S.A.    Brazil    CID000448    RMI    Conformant
Tin    Fenix Metals    Fenix Metals    Poland    CID000468    RMI    Conformant
Tin    Gejiu Non-Ferrous Metal Processing Co., Ltd.    Gejiu Non-Ferrous Metal Processing Co., Ltd.    China    CID000538    RMI    Conformant
Tin    Gejiu Zili Mining And Metallurgy Co., Ltd.    Gejiu Zili Mining And Metallurgy Co., Ltd.    China    CID000555    RMI    Conformant
Tin    Gejiu Kai Meng Industry and Trade LLC    Gejiu Kai Meng Industry and Trade LLC    China    CID000942    RMI    Known
Tin    China Tin Group Co., Ltd.    China Tin Group Co., Ltd.    China    CID001070    RMI    Conformant
Tin    Malaysia Smelting Corporation (MSC)    Malaysia Smelting Corporation (MSC)    Malaysia    CID001105    RMI    Conformant
Tin    Metallic Resources, Inc.    Metallic Resources, Inc.    United States    CID001142    RMI    Conformant
Tin    Mineracao Taboca S.A.    Mineracao Taboca S.A.    Brazil    CID001173    RMI    Conformant


Metal

  

Smelter Reference List

  

Smelter Name

  

Smelter Country

  

Smelter
Identification

  

Source of
Smelter
Identification
Number

  

Smelter
Status

Tin    Minsur    Minsur    Peru    CID001182    RMI    Conformant
Tin    Mitsubishi Materials Corporation    Mitsubishi Materials Corporation    Japan    CID001191    RMI    Conformant
Tin    Jiangxi New Nanshan Technology Ltd.    Jiangxi New Nanshan Technology Ltd.    China    CID001231    RMI    Conformant
Tin    Novosibirsk Processing Plant Ltd.    Novosibirsk Processing Plant Ltd.    Russian Federation    CID001305    RMI    Conformant
Tin    O.M. Manufacturing (Thailand) Co., Ltd.    O.M. Manufacturing (Thailand) Co., Ltd.    Thailand    CID001314    RMI    Conformant
Tin    Operaciones Metalurgicas S.A.    Operaciones Metalurgicas S.A.    Bolivia    CID001337    RMI    Conformant
Tin    PT Artha Cipta Langgeng    PT Artha Cipta Langgeng    Indonesia    CID001399    RMI    Conformant
Tin    PT Babel Inti Perkasa    PT Babel Inti Perkasa    Indonesia    CID001402    RMI    Conformant
Tin    PT Babel Surya Alam Lestari    PT Babel Surya Alam Lestari    Indonesia    CID001406    RMI    Conformant
Tin    PT Belitung Industri Sejahtera    PT Belitung Industri Sejahtera    Indonesia    CID001421    RMI    Known
Tin    PT Bukit Timah    PT Bukit Timah    Indonesia    CID001428    RMI    Conformant
Tin    PT Mitra Stania Prima    PT Mitra Stania Prima    Indonesia    CID001453    RMI    Conformant
Tin    PT Panca Mega Persada    PT Panca Mega Persada    Indonesia    CID001457    RMI    Known
Tin    PT Prima Timah Utama    PT Prima Timah Utama    Indonesia    CID001458    RMI    Conformant
Tin    PT Refined Bangka Tin    PT Refined Bangka Tin    Indonesia    CID001460    RMI    Conformant
Tin    PT Sariwiguna Binasentosa    PT Sariwiguna Binasentosa    Indonesia    CID001463    RMI    Conformant
Tin    PT Stanindo Inti Perkasa    PT Stanindo Inti Perkasa    Indonesia    CID001468    RMI    Conformant
Tin    PT Timah Tbk Kundur    PT Timah Tbk Kundur    Indonesia    CID001477    RMI    Conformant
Tin    PT Timah Tbk Mentok    PT Timah Tbk Mentok    Indonesia    CID001482    RMI    Conformant
Tin    PT Timah Nusantara    PT Timah Nusantara    Indonesia    CID001486    RMI    Active
Tin    PT Tinindo Inter Nusa    PT Tinindo Inter Nusa    Indonesia    CID001490    RMI    Conformant
Tin    PT Tommy Utama    PT Tommy Utama    Indonesia    CID001493    RMI    Known
Tin    Rui Da Hung    Rui Da Hung    Taiwan    CID001539    RMI    Conformant
Tin    Soft Metais Ltda.    Soft Metais Ltda.    Brazil    CID001758    RMI    Conformant
Tin    Thaisarco    Thaisarco    Thailand    CID001898    RMI    Conformant
Tin    Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.    Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.    China    CID001908    RMI    Conformant
Tin    VQB Mineral and Trading Group JSC    VQB Mineral and Trading Group JSC    Viet Nam    CID002015    RMI    Known


Metal

  

Smelter Reference List

  

Smelter Name

  

Smelter Country

  

Smelter
Identification

  

Source of
Smelter
Identification
Number

  

Smelter
Status

Tin    White Solder Metalurgia e Mineracao Ltda.    White Solder Metalurgia e Mineracao Ltda.    Brazil    CID002036    RMI    Conformant
Tin    Yunnan Chengfeng Non-ferrous Metals Co., Ltd.    Yunnan Chengfeng Non-ferrous Metals Co., Ltd.    China    CID002158    RMI    Conformant
Tin    Yunnan Tin Company Limited    Yunnan Tin Company Limited    China    CID002180    RMI    Conformant
Tin    CV Venus Inti Perkasa    CV Venus Inti Perkasa    Indonesia    CID002455    RMI    Active
Tin    Magnu’s Minerais Metais e Ligas Ltda.    Magnu’s Minerais Metais e Ligas Ltda.    Brazil    CID002468    RMI    Conformant
Tin    PT Tirus Putra Mandiri    PT Tirus Putra Mandiri    Indonesia    CID002478    RMI    Known
Tin    Melt Metais e Ligas S.A.    Melt Metais e Ligas S.A.    Brazil    CID002500    RMI    Known
Tin    PT ATD Makmur Mandiri Jaya    PT ATD Makmur Mandiri Jaya    Indonesia    CID002503    RMI    Conformant
Tin    O.M. Manufacturing Philippines, Inc.    O.M. Manufacturing Philippines, Inc.    Philippines    CID002517    RMI    Conformant
Tin    Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company    Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company    Viet Nam    CID002572    RMI    Known
Tin    Nghe Tinh Non-Ferrous Metals Joint Stock Company    Nghe Tinh Non-Ferrous Metals Joint Stock Company    Viet Nam    CID002573    RMI    Known
Tin    Tuyen Quang Non-Ferrous Metals Joint Stock Company    Tuyen Quang Non-Ferrous Metals Joint Stock Company    Viet Nam    CID002574    RMI    Known
Tin    PT Cipta Persada Mulia    PT Cipta Persada Mulia    Indonesia    CID002696    RMI    Conformant
Tin    An Vinh Joint Stock Mineral Processing Company    An Vinh Joint Stock Mineral Processing Company    Viet Nam    CID002703    RMI    Known
Tin    Resind Industria e Comercio Ltda.    Resind Industria e Comercio Ltda.    Brazil    CID002706    RMI    Conformant
Tin    Super Ligas    Super Ligas    Brazil    CID002756    RMI    Active
Tin    Metallo Belgium N.V.    Metallo Belgium N.V.    Belgium    CID002773    RMI    Conformant
Tin    Metallo Spain S.L.U.    Metallo Spain S.L.U.    Spain    CID002774    RMI    Conformant
Tin    PT Sukses Inti Makmur    PT Sukses Inti Makmur    Indonesia    CID002816    RMI    Active
Tin    Thai Nguyen Mining and Metallurgy Co., Ltd.    Thai Nguyen Mining and Metallurgy Co., Ltd.    Viet Nam    CID002834    RMI    Conformant
Tin    PT Menara Cipta Mulia    PT Menara Cipta Mulia    Indonesia    CID002835    RMI    Conformant


Metal

  

Smelter Reference List

  

Smelter Name

  

Smelter Country

  

Smelter
Identification

  

Source of
Smelter
Identification
Number

  

Smelter
Status

Tin    HuiChang Hill Tin Industry Co., Ltd.    HuiChang Hill Tin Industry Co., Ltd.    China    CID002844    RMI    Conformant
Tin    Modeltech Sdn Bhd    Modeltech Sdn Bhd    Malaysia    CID002858    RMI    Known
Tin    Guangdong Hanhe Non-Ferrous Metal Co., Ltd.    Guangdong Hanhe Non-Ferrous Metal Co., Ltd.    China    CID003116    RMI    Conformant
Tin    Chifeng Dajingzi Tin Industry Co., Ltd.    Chifeng Dajingzi Tin Industry Co., Ltd.    China    CID003190    RMI    Conformant
Tin    PT Bangka Serumpun    PT Bangka Serumpun    Indonesia    CID003205    RMI    Conformant
Tin    Pongpipat Company Limited    Pongpipat Company Limited    Myanmar    CID003208    RMI    Known
Tin    Tin Technology & Refining    Tin Technology & Refining    United States    CID003325    RMI    Conformant
Tin    Dongguan CiEXPO Environmental Engineering Co., Ltd.    Dongguan CiEXPO Environmental Engineering Co., Ltd.    China    CID003356    RMI    Known
Tin    Ma’anshan Weitai Tin Co., Ltd.    Ma’anshan Weitai Tin Co., Ltd.    China    CID003379    RMI    Conformant
Tin    PT Masbro Alam Stania    PT Masbro Alam Stania    Indonesia    CID003380    RMI    Known
Tin    PT Rajawali Rimba Perkasa    PT Rajawali Rimba Perkasa    Indonesia    CID003381    RMI    Conformant
Tin    Luna Smelter, Ltd.    Luna Smelter, Ltd.    Rwanda    CID003387    RMI    Conformant
Tin    Yunnan Yunfan Non-ferrous Metals Co., Ltd.    Yunnan Yunfan Non-ferrous Metals Co., Ltd.    China    CID003397    RMI    Known
Tin    Precious Minerals and Smelting Limited    Precious Minerals and Smelting Limited    India    CID003409    RMI    Known
Tin    Gejiu City Fuxiang Industry and Trade Co., Ltd.    Gejiu City Fuxiang Industry and Trade Co., Ltd.    China    CID003410    RMI    Known
Tin    PT Mitra Sukses Globalindo    PT Mitra Sukses Globalindo    Indonesia    CID003449    RMI    Active
Tin    CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda    CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda    Brazil    CID003486    RMI    Active
Tin    CRM Synergies    CRM Synergies    Spain    CID003524    RMI    Conformant
Tin    Fabrica Auricchio Industria e Comercio Ltda.    Fabrica Auricchio Industria e Comercio Ltda.    Brazil    CID003582    RMI    Conformant
Tungsten    A.L.M.T. TUNGSTEN Corp.    A.L.M.T. TUNGSTEN Corp.    Japan    CID000004    RMI    Conformant
Tungsten    Kennametal Huntsville    Kennametal Huntsville    United States    CID000105    RMI    Conformant
Tungsten    Guangdong Xianglu Tungsten Co., Ltd.    Guangdong Xianglu Tungsten Co., Ltd.    China    CID000218    RMI    Conformant
Tungsten    Chongyi Zhangyuan Tungsten Co., Ltd.    Chongyi Zhangyuan Tungsten Co., Ltd.    China    CID000258    RMI    Conformant


Metal

  

Smelter Reference List

  

Smelter Name

  

Smelter Country

  

Smelter
Identification

  

Source of
Smelter
Identification
Number

  

Smelter
Status

Tungsten    CNMC (Guangxi) PGMA Co., Ltd.    CNMC (Guangxi) PGMA Co., Ltd.    China    CID000281    RMI    Known
Tungsten    Global Tungsten & Powders Corp.    Global Tungsten & Powders Corp.    United States    CID000568    RMI    Conformant
Tungsten    Hunan Chenzhou Mining Co., Ltd.    Hunan Chenzhou Mining Co., Ltd.    China    CID000766    RMI    Conformant
Tungsten    Hunan Chunchang Nonferrous Metals Co., Ltd.    Hunan Chunchang Nonferrous Metals Co., Ltd.    China    CID000769    RMI    Conformant
Tungsten    Japan New Metals Co., Ltd.    Japan New Metals Co., Ltd.    Japan    CID000825    RMI    Conformant
Tungsten    Ganzhou Huaxing Tungsten Products Co., Ltd.    Ganzhou Huaxing Tungsten Products Co., Ltd.    China    CID000875    RMI    Conformant
Tungsten    Kennametal Fallon    Kennametal Fallon    United States    CID000966    RMI    Conformant
Tungsten    Wolfram Bergbau und Hutten AG    Wolfram Bergbau und Hutten AG    Austria    CID002044    RMI    Conformant
Tungsten    Xiamen Tungsten Co., Ltd.    Xiamen Tungsten Co., Ltd.    China    CID002082    RMI    Conformant
Tungsten    Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.    Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.    China    CID002313    RMI    Known
Tungsten    Ganzhou Jiangwu Ferrotungsten Co., Ltd.    Ganzhou Jiangwu Ferrotungsten Co., Ltd.    China    CID002315    RMI    Conformant
Tungsten    Jiangxi Yaosheng Tungsten Co., Ltd.    Jiangxi Yaosheng Tungsten Co., Ltd.    China    CID002316    RMI    Conformant
Tungsten    Jiangxi Xinsheng Tungsten Industry Co., Ltd.    Jiangxi Xinsheng Tungsten Industry Co., Ltd.    China    CID002317    RMI    Conformant
Tungsten    Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.    Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.    China    CID002318    RMI    Conformant
Tungsten    Malipo Haiyu Tungsten Co., Ltd.    Malipo Haiyu Tungsten Co., Ltd.    China    CID002319    RMI    Conformant
Tungsten    Xiamen Tungsten (H.C.) Co., Ltd.    Xiamen Tungsten (H.C.) Co., Ltd.    China    CID002320    RMI    Conformant
Tungsten    Jiangxi Gan Bei Tungsten Co., Ltd.    Jiangxi Gan Bei Tungsten Co., Ltd.    China    CID002321    RMI    Conformant
Tungsten    Ganzhou Seadragon W & Mo Co., Ltd.    Ganzhou Seadragon W & Mo Co., Ltd.    China    CID002494    RMI    Conformant
Tungsten    Asia Tungsten Products Vietnam Ltd.    Asia Tungsten Products Vietnam Ltd.    Viet Nam    CID002502    RMI    Conformant
Tungsten    Chenzhou Diamond Tungsten Products Co., Ltd.    Chenzhou Diamond Tungsten Products Co., Ltd.    China    CID002513    RMI    Conformant
Tungsten    H.C. Starck Tungsten GmbH    H.C. Starck Tungsten GmbH    Germany    CID002541    RMI    Conformant
Tungsten    TANIOBIS Smelting GmbH & Co. KG    TANIOBIS Smelting GmbH & Co. KG    Germany    CID002542    RMI    Conformant
Tungsten    Masan High-Tech Materials    Masan High-Tech Materials    Viet Nam    CID002543    RMI    Conformant


Metal

  

Smelter Reference List

  

Smelter Name

  

Smelter Country

  

Smelter
Identification

  

Source of
Smelter
Identification
Number

  

Smelter
Status

Tungsten    Jiangwu H.C. Starck Tungsten Products Co., Ltd.    Jiangwu H.C. Starck Tungsten Products Co., Ltd.    China    CID002551    RMI    Conformant
Tungsten    Niagara Refining LLC    Niagara Refining LLC    United States    CID002589    RMI    Conformant
Tungsten    China Molybdenum Co., Ltd.    China Molybdenum Co., Ltd.    China    CID002641    RMI    Conformant
Tungsten    Ganzhou Haichuang Tungsten Co., Ltd.    Ganzhou Haichuang Tungsten Co., Ltd.    China    CID002645    RMI    Conformant
Tungsten    Hydrometallurg, JSC    Hydrometallurg, JSC    Russian Federation    CID002649    RMI    Conformant
Tungsten    Unecha Refractory Metals Plant    Unecha Refractory Metals Plant    Russian Federation    CID002724    RMI    Conformant
Tungsten    Philippine Chuangxin Industrial Co., Inc.    Philippine Chuangxin Industrial Co., Inc.    Philippines    CID002827    RMI    Conformant
Tungsten    Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.    Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.    China    CID002830    RMI    Conformant
Tungsten    ACL Metais Eireli    ACL Metais Eireli    Brazil    CID002833    RMI    Conformant
Tungsten    Moliren Ltd.    Moliren Ltd.    Russian Federation    CID002845    RMI    Conformant
Tungsten    KGETS CO., LTD.    KGETS CO., LTD.    Korea, Republic of    CID003388    RMI    Conformant
Tungsten    Fujian Ganmin RareMetal Co., Ltd.    Fujian Ganmin RareMetal Co., Ltd.    China    CID003401    RMI    Conformant
Tungsten    Lianyou Metals Co., Ltd.    Lianyou Metals Co., Ltd.    Taiwan    CID003407    RMI    Conformant
Tungsten    JSC “Kirovgrad Hard Alloys Plant”    JSC “Kirovgrad Hard Alloys Plant”    Russian Federation    CID003408    RMI    Conformant
Tungsten    NPP Tyazhmetprom LLC    NPP Tyazhmetprom LLC    Russian Federation    CID003416    RMI    Active
Tungsten    Jingmen Dewei GEM Tungsten Resources Recycling Co., Ltd.    Jingmen Dewei GEM Tungsten Resources Recycling Co., Ltd.    China    CID003417    RMI    Conformant
Tungsten    Albasteel Industria e Comercio de Ligas Para Fundicao Ltd.    Albasteel Industria e Comercio de Ligas Para Fundicao Ltd.    Brazil    CID003427    RMI    Active
Tungsten    Cronimet Brasil Ltda    Cronimet Brasil Ltda    Brazil    CID003468    RMI    Conformant
Tungsten    Artek LLC    Artek LLC    Russian Federation    CID003553    RMI    Known
Tungsten    Fujian Xinlu Tungsten    Fujian Xinlu Tungsten    China    CID003609    RMI    Conformant
Tungsten    OOO “Technolom” 2    OOO “Technolom” 2    Russian Federation    CID003612    RMI    Active
Tungsten    OOO “Technolom” 1    OOO “Technolom” 1    Russian Federation    CID003614    RMI    Active
Tungsten    LLC Vostok    LLC Vostok    Russian Federation    CID003643    RMI    Known