Specialized Disclosure Report




(Exact name of Registrant as specified in its charter)




State of Delaware   0-26946   94-3125814

(State or other jurisdiction

of incorporation or organization)



File Number)


(IRS Employer

Identification Number)

3560 Bassett Street

Santa Clara, CA 95054

(Address of principal executive offices and zip code)

James Moniz

(408) 986-9888

(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, 2017 to December 31, 2017.




Section 1 Conflict Minerals Disclosure


Item 1.01 Conflict Minerals Disclosure and Report

With respect to the reporting period from January 1, 2017 to December 31, 2017, Intevac Inc. (the “Company”) (i) has determined that “conflict minerals” (as defined in Section 1, Item 1.01(d)(3) for Form SD) are necessary to the functionality or production of products that the Company has manufactured and contracted to manufacture, (ii) has performed, in good faith, a reasonable country of origin inquiry (“RCOI”) regarding the minerals that is designed to determine whether any of the conflict minerals originated in the Democratic Republic of the Congo or any adjoining country, as defined by paragraph (d)(1) of Item 1.01 of the Form SD, or are from recycled or scrap sources, as defined by paragraph (d)(6) of Item 1.01 of the Form SD and (iii) based on its RCOI, the Company has performed due diligence procedures as described further in the Conflict Minerals Report filed as Exhibit 1.01 hereto.


Item 1.02 Exhibit

Conflict Minerals Disclosure

In accordance with Rule 13p-1 promulgated under the Securities Exchange Act of 1934, as amended (“Rule 13p-1”), and this Specialized Disclosure Report on From SD (this “Form”), the Company has filed a Conflict Minerals Report, which is attached as Exhibit 1.01 to this Form. A copy of this Form and the Conflict Minerals Report are publically available at


Section 2 Exhibits


Item 2.01 Exhibits






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


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 undersigned hereunto duly authorized.




Date: May 18, 2018    



James Moniz


Executive Vice President, Finance and Administration,


Chief Financial Officer and Treasurer






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

Exhibit 1.01

Conflict Minerals Report

For the Year Ended December 31, 2017

This Conflict Minerals Report (this “Report” or “CMR”) for Intevac, Inc. (the “Company”) covers the reporting period from January 1, 2017 to December 31, 2017, and is presented in accordance with Rule 13p-1 promulgated under the Securities Exchange Act or 1934, as amended (“Rule 13p-1”).

This Report is filed as Exhibit 1.01 to the Company’s Specialized Disclosure Report on Form SD (the “Form”), and a copy of this Report and the Form are publicly available at


In 2010, the United States enacted the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Act”). Section 1502 of the Act is specifically related to conflict minerals and required the United States Securities and Exchange Commission (“SEC”) to promulgate regulations requiring companies covered under the Act to annually file a Specialized Disclosure Report on Form SD with the SEC to disclose whether certain specified conflict minerals (as defined below) used in their products directly or indirectly benefitted armed groups in the Democratic Republic of the Congo and adjoining counties (collectively, the “Covered Countries”). This Report, which is an exhibit to the Form, describes the design of Intevac’s conflict minerals due diligence measures and provides an account of how these measures were implemented in 2017 to determine, to our knowledge, the source mines, the county of origin and the facilities used to process the conflict minerals used in our products. For purposes of this Report, “Conflict Minerals” are defined as cassiterite, columbite-tantalite (coltan), gold, wolframite, or their derivatives, which is limited to tin, tantalum, tungsten, and gold (“3TG”).

Our products covered by this Report are listed in the table below.


Product   Description
Thin-film Equipment Products:

200Lean®, technology upgrades and spare parts.

  Hard disk drive manufacturing equipment

INTEVAC MATRIX® (PVD and Implant) and ENERGi®

  Solar manufacturing equipment


  Display cover panel coating equipment
Photonics Products:

LIVAR® cameras, EBAPS® sensors, MicroVista® cameras

  Photonics military products – night vision cameras

IPort® and NightPort®

  Photonics military products – head mounted displays

Reasonable Country of Origin Inquiry Process

In accordance with Rule 13p-1 and Form SD, Intevac determined that 3TG are necessary to the functionality or production of our products, and are incorporated into our products during the manufacturing process. Accordingly, Intevac was required to undertake a reasonable country of origin inquiry (“RCOI”) with respect to conflict minerals that is reasonably designed to determine whether any of the Conflict Minerals originated in the Covered Countries. In designing our RCOI, Intevac employed a combination of measures to determine whether the 3TG in Intevac’s products originated from the Covered Countries, and surveyed direct and certain sub-tier suppliers of raw materials and components that contain 3TG.

RCOI for the 2017 Reporting Year

For 2017, we conducted a supply-chain survey with our direct suppliers and certain sub-tier suppliers primarily related to the Company’s printed circuit board and cable assembly suppliers to obtain country of origin information for the necessary 3TG in our products using the template developed by the Responsible Minerals Initiative (“RMI”) (the Conflict Mineral Report Template or “CMRT”). The CMRT requests suppliers to identify the smelter or

refiners (“SORs”) and countries of origin of the 3TG in products they supply to Intevac. In 2017, Intevac contracted with a third party, Source Intelligence, to directly support the project team’s efforts to comply with the requirements of the Act. Source Intelligence is a global leader for supply chain compliance solutions and assists the project team by providing supplier data collection and analysis services. With the assistance of Source Intelligence, we summarized the country of origin information as provided on the CMRTs for the SORs identified by the supply-chain survey.

With the assistance of Source Intelligence, we also compared the SORs identified in the surveys against the lists of facilities which have received a “conflict free” designation by the Responsible Minerals Assurance Process (“RMAP”) or other independent third party audit programs such as the London Bullion Market Association’s (“LBMA”) Responsible Gold Programme and the Responsible Jewellery Council’s (“RJC”) Chain-of-Custody Certification program.

There is significant overlap between our RCOI efforts and our due diligence measures performed. Our due diligence measures performed are discussed further in this Report.

Below is a summary of the country of origin information collected as a result of our RCOI efforts.


Conflict Mineral    Countries of origin and other sources may include the following

Australia, Brazil, Burundi, Canada, China, DRC-Congo (Kinshasa), Ethiopia, Madagascar, Mozambique, Nigeria and Rwanda


Australia, Bolivia, Brazil, Burundi, China, DRC-Congo (Kinshasa), Indonesia, Laos, Malaysia, Mexico, Mongolia, Myanmar, Niger, Nigeria, Peru, Portugal, Russian Federation, Rwanda, Thailand, Uganda and Viet Nam


Australia, Austria, Bolivia, Brazil, Burundi, Canada, China, DRC-Congo (Kinshasa), Mongolia, Myanmar, Peru, Portugal, Russian Federation, Rwanda, Spain, Thailand, Uganda and United States


Argentina, Armenia, Australia, Bolivia, Brazil, Burundi, Canada, Chile, China, Colombia, Congo (Brazzaville), DRC-Congo (Kinshasa), Ecuador, Egypt, Ethiopia, Finland, France, Ghana, Guinea, Guyana, India, Indonesia, Italy, Ivory Coast, Japan, Kazakhstan, Korea, Republic of, Kyrgyzstan, Laos, Madagascar, Malaysia, Mali, Mexico, Mongolia, Mozambique, Myanmar, Namibia, New Zealand, Niger, Nigeria, Papua New Guinea, Peru, Philippines, Poland, Russian Federation, Rwanda, Saudi Arabia, Sierra Leone, Slovakia, South Africa, Spain, Suriname, Sweden, Taiwan, Tajikistan, Tanzania, Thailand, Turkey, United Kingdom, United States, Uzbekistan, Viet Nam, Zambia and Zimbabwe

Due Diligence Process

Design of Due Diligence

In accordance with Rule 13p-1 and the Form, Intevac undertook due diligence on the source and chain of custody of the necessary 3TG used in Intevac Thin-film Equipment and Photonics products. In conducting its due diligence, Intevac implemented the Organisation for Economic Co-operation and Development (“OECD”) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (Third Edition, OECD 2016) and the related Supplements (collectively, the “OECD Guidance”), an internationally recognized due diligence framework.

Management Systems

Internal Team

Our Conflict Minerals Program is overseen by our Executive Vice President and General Manager of our Photonics division who was formerly our Senior Vice President of Operations. We assembled a conflict minerals project team with representatives from engineering, procurement, environmental health & safety and finance from both of our business units, Thin-film Equipment and Photonics, to develop and execute our conflict minerals program. The results of due diligence and compliance processes were addressed by the conflict minerals project team as necessary.

Control Systems

As a manufacturer, Intevac is several levels removed from the actual mining of 3TG. Intevac’s Thin-film Equipment and Photonics business units do not make purchases of raw ore or unrefined 3TG and make no direct purchases in the Covered Countries. We used resources available from industry-wide initiatives to obtain sourcing information related to upstream actors in the supply chain, including the RMI.

To establish a system of controls and transparency over the 3TG supply chain, we incorporated into our supplier due diligence procedures a requirement for suppliers to provide information regarding the SORs in their supply chain utilizing the CMRT. We used this information to make the RCOI conclusion in this CMR.

As we typically do not have a direct relationship with 3TG SORs, we rely on our surveyed suppliers to provide us with up-to-date and accurate SOR sourcing information. Our adoption and utilization of the industry standard RMI templates, tools and auditing program aids us in establishing consistency and transparency throughout our supply chain.

Controls include, but are not limited to, our Code of Business Conduct and Ethics which outlines expected behaviors for all Intevac employees and our Conflict Minerals Policy which outlines our commitment to the goal of neither, directly or indirectly, financing or benefitting armed groups in the DRC by purchasing or selling products containing Conflict Minerals.

Supplier Engagement

Intevac includes requirements related to gathering 3TG information in our purchase order terms and conditions for suppliers to encourage greater cooperation by the companies in our supply chain.

We periodically communicate our expectations to our direct suppliers concerning performance, transparency, reporting requirements, and sourcing of materials and components containing 3TG and continue to engage with them to improve the completeness and accuracy of information provided to us.

Grievance Mechanism

Intevac has multiple grievance mechanisms whereby employees and suppliers can report violations of Intevac’s policies including contacting the Company’s Compliance Hotline at 1-800-826-6762.

Records Maintenance

We have retained all relevant documentation from our RCOI and due diligence. As mentioned above, we engaged Source Intelligence, a third-party service provider, to assist with our due diligence process. Supplier information was collected, stored and evaluated using an online platform provided by Source Intelligence.

Identify and Assess Risk in the Supply Chain

Our engineers and procurement group reviewed our parts inventory records and active suppliers. 111 suppliers of components containing 3TG in our Thin-film Equipment business and 23 suppliers of components containing 3TG in our Photonics business were identified. These suppliers represent approximately 46% of our total 2017 direct product-related sourcing expenditures. We rely on these suppliers to provide us with information through the CMRT surveys about the source of 3TG in the components supplied to us. These suppliers are similarly reliant upon information provided by their suppliers.

We obtained a 96% response rate for our CMRT surveys.

Design and Implement a Strategy and Respond to Risks

The conflict minerals project team undertook the following due diligence measures in 2017:


    Maintained a company grievance mechanism that is available internally and externally to report concerns, including those related to conflict minerals;


    Established the expectation, including through our Conflict Minerals Policy, that suppliers would obtain information from their supply chains regarding entities that process necessary conflict minerals and provide that information to us using the CMRT, which includes questions regarding the SOR, recycler or scrap processor of necessary 3TG and location or mine of origin;


    Conducted an internal business review that identified 134 direct and sub-tier suppliers of materials, parts, components or products containing necessary 3TG in 2017, compared to 186 surveyed direct and sub-tier suppliers in 2016, compared to 279 surveyed direct and sub-tier suppliers in 2015, compared to 55 surveyed suppliers in 2014 and compared to 35 surveyed suppliers in 2013;


    With the assistance of Source Intelligence, sent reminder letters to surveyed suppliers that did not provide a completed CMRT;


    With the assistance of Source Intelligence, reviewed submitted CMRTs and sent follow up questions to surveyed suppliers whose CMRT did not meet our expectations;


    With the assistance of Source Intelligence, reviewed the SORs identified by suppliers in the CMRT against information provided by the RMI to identify the entities;


    With the assistance of Source Intelligence, compared the SORs against the lists of entities that have received a conflict free designation for tantalum, tin, tungsten or gold on the Conflict Free Smelter List (provided by the RMI in April 2018);


    With the assistance of Source Intelligence, compared the gold SORs against the lists of entities that have received a conflict free designation on the LBMA’s Responsible Gold Programme and the RJC’s Chain-of-Custody Certification program;


    For SORs in our supply chain that did not participate in an audit process in 2017, we performed a risk assessment on the likelihood that the facility was sourcing from the Covered Countries considering various sources of information including proximity to the DRC and source mine location information obtained from the CMRTs or reported by the facilities on their websites;


    For SORs in our supply chain that we considered to be of high risk, we notified our suppliers that reported those specific facilities in their CMRT to either encourage or require those facilities to participate in a RMI audit or transition sourcing away from the unvalidated facilities.

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

As noted above, Intevac is several levels removed from the actual mining of 3TG and we do not have a direct relationship with SORs and do not perform direct audits of these entities within our supply chain. However, as stated above, for SORs in our supply chain that did not participate in an audit process in 2017, we performed a risk assessment on the likelihood that the facility was sourcing from the Covered Countries considering various sources of information including proximity to the DRC and source mine location information obtained from the CMRTs or reported by the facilities on their websites.

Reporting on Supply Chain Due Diligence

As noted above, in 2018, we filed this Form and this Report with the SEC and a copy of this Report and the Form are publicly available at


The tables below list the SOR information provided by our suppliers:

For calendar year 2017, Intevac identified 309 SORs as potential sources of 3TG that were reported to be in its supply chain at some point during the year. Of those 309 SORs, 246 have been verified as conflict-free as determined through third party verification by the RMAP, LBMA or RJC, and an additional 10 have begun the audit process.


SORs verified as conflict-free or in the audit process *


  36 of 37 (97%)


  71 of 80 (89%)


  42 of 46 (91%)


  107 of 146 (73%)


  256 of 309 (83%)

The number of known SORs in Intevac’s supply chain as of December 31, 2017 that are verified as conflict-free increased sequentially year over year.


Status of identified SORs *    2017    2016    2015    2014    2013

Verified conflict-free

   246    243    219    166    72

Participating in an audit process

   10    14    51    37    10

Not participating

   53    67    51    66    133
Total    309    324    321    269    215

See Appendix A for the list of names of the known SORs and the country where the facilities are located.

In addition, a total of 203 “unknown” SORs were identified. SORs are listed as unknown if they are not currently identified on the RMI and/or other lists available to Intevac as of April 27, 2018.


Tantalum SORs    Tin SORs    Tungsten SORs    Gold SORs    Total “Unknown” SORs


   96    18    68    203

The number of known SORs in Intevac’s supply chain as of December 31, 2017 that are determined to source 3TG from the Covered Countries are as follows:



  Number of SORs *   Number of Certified 
  Identified SOR
  Identified Material
Tantalum   12   11   Brazil, China, Germany, Japan, United States   Burundi, DRC-Congo (Kinshasa), Rwanda
Tin   13   13   Belgium, Bolivia, Brazil, China, Indonesia   Burundi, DRC-Congo (Kinshasa), Rwanda, Uganda
Tungsten   10   10   China, Germany, Japan, Russian Federation, Viet Nam   Burundi, DRC-Congo (Kinshasa), Rwanda, Uganda
Gold   10   9   Canada, China, Japan, Korea, Republic of, Russian Federation, South Africa, United States, Uzbekistan   Burundi, Congo (Brazzaville), DRC-Congo (Kinshasa), Rwanda, Tanzania, Zambia
Total   45   43        


* Not all the facilities in the tables above or those identified in Appendix A processed materials that were used in Intevac’s products. Many suppliers reported information at the “company” level (meaning that they reported all of the SORs that processed 3TG in all of their products, not just those pertaining to the products sold to Intevac).


Based on the information obtained pursuant to the good faith RCOI and due diligence processes described above, for 2017, we do not have sufficient information with respect to the 3TG to determine the country of origin of all of the 3TG we use to manufacture our products and thus are unable to determine whether any of the 3TG originated in the Covered Countries and, if so, whether the 3TG were from recycled or scrap sources, financed conflict in the Covered Countries or did not finance conflict in the Covered Countries. Due to the complexity of our products and supply chain, it will take time for many of our suppliers to verify the origin of all of the minerals and at a product level specific to the materials and components used in our products. Using our supply chain due diligence processes, we hope to further develop transparency into our supply chain.

Despite our efforts to follow up with our suppliers, we did not receive responses from all surveyed suppliers. In addition, we encountered the following challenges in obtaining and analyzing the responses we received:


    We are dependent on information received from our direct suppliers to conduct our good faith RCOI process;


    Many suppliers provided responses at a company or divisional level, and not at a product level specific to the materials and components we use in our products;


    None of our suppliers were able to represent to us that the 3TG from the SORs they listed had actually been included in components they supplied to Intevac;


    Certain suppliers were unable or unwilling to specify the SORs used for materials and components supplied to us;


    Certain of the SORs reported to us are “unknown”; and

As a result, we have not been able to identify all of the SORs from which our suppliers sourced 3TG.

Efforts to Determine Mine Location

For 2017, our efforts to determine the mines of origin were limited to information obtained from the CMRTs or reported by the facilities on their websites. Source Intelligence attempts to contact the SOR to gain more information about their sourcing practices, including countries of origin and transfer, and whether there are any internal due diligence procedures in place or other processes the SORs takes to track the chain-of-custody on the source of its mineral ores. Relevant information to review includes: whether the SOR has a documented, effective and communicated conflict-free policy, an accounting system to support a mass balance of materials processed, and traceability documentation. Internet research is also performed to determine whether there are any outside sources of information regarding the SOR’s sourcing practices. Up to three contact attempts are made by Source Intelligence to SORs to gather information on mine country of origin and sourcing practices.

Conflict Minerals Policy

Our Conflict Minerals Policy is available at: We are committed to minimizing the use of conflict minerals that finance or benefit armed groups. We actively engage with our suppliers to promote responsible sourcing practices and encourage our suppliers to seek conflict-free sources for 3TG used in our products.

Steps to Improve Due Diligence and Mitigate Risk

We will continue to work to increase the response rate of our suppliers and encourage them to complete the CMRT. Our survey response rate was 96% in 2017, 91% in 2016, 95% in both 2015 and 2014 and 69% in 2013. 128 surveyed suppliers completed declaration statements in 2017, compared to 169 suppliers in 2016, compared to 266 suppliers in 2015, compared to 52 suppliers in 2014 and compared to 24 suppliers in 2013. We believe that the quantity and quality of information related to sourcing and traceability of materials in the supply chain will continue to improve in the years to come.

We recognize that we have ongoing obligations under the reporting requirements of Rule 13p-1 and our Conflict Minerals Policy, and will seek to take additional steps in 2018 to continue and improve our good faith RCOI and due diligence processes. We expect to take the following steps, among others, to improve our due diligence measures and to further mitigate the risk that the 3TG contained in our products are financing conflict in the Covered Countries:


    Provide continuing education to members of our supply chain management function and our other employees who are involved with 3TG on both the supplier and customer sides of our business;


    Continue to engage with our direct suppliers to improve the completeness and accuracy of information provided to us;


    Continue to clearly communicate expectations to our direct suppliers concerning performance, transparency and sourcing of materials and components containing 3TG;


    Continue educating our direct suppliers about our reporting obligations imposed by Form SD and the SEC regarding Conflict Minerals;


    Continue to compare the list of SORs identified through our good faith RCOI and related due diligence processes to the evolving lists of SORs who have been designated as “conflict free” through independent “conflict free” SOR validation programs: and


    Continue to request that our direct suppliers encourage facilities they have identified in their supply chains to join the RMI and participate in an audit.

Independent Private Sector Audit

An audit was not required for calendar year 2017.

Appendix A



SOR Name

  SOR Country   



   RMI (a)     
Gold    Abington Reldan Metals, LLC   United States    CID002708      
Gold    Advanced Chemical Company   United States    CID000015    Conformant    (a)
Gold    African Gold Refinery   Uganda    CID003185      
Gold    Aida Chemical Industries Co., Ltd.   Japan    CID000019    Conformant    (a)
Gold    Al Etihad Gold LLC   United Arab Emirates    CID002560    Conformant    (a)
Gold    Allgemeine Gold-und Silberscheideanstalt A.G.   Germany    CID000035    Conformant    (a), (b), (c)
Gold    Almalyk Mining and Metallurgical Complex (AMMC)   Uzbekistan    CID000041    Conformant    (a), (b)
Gold    AngloGold Ashanti Corrego do Sitio Mineracao   Brazil    CID000058    Conformant    (a), (b)
Gold    Argor-Heraeus S.A.   Switzerland    CID000077    Conformant    (a), (b)
Gold    Asahi Pretec Corp.   Japan    CID000082    Conformant    (a), (b)
Gold    Asahi Refining Canada Ltd.   Canada    CID000924    Conformant    (a), (b)
Gold    Asahi Refining USA Inc.   United States    CID000920    Conformant    (a), (b)
Gold    Asaka Riken Co., Ltd.   Japan    CID000090    Conformant    (a)
Gold    Atasay Kuyumculuk Sanayi Ve Ticaret A.S.   Turkey    CID000103      
Gold    AU Traders and Refiners   South Africa    CID002850    Conformant    (a), (c)
Gold    Aurubis A.G.   Germany    CID000113    Conformant    (a), (b)
Gold    Bangalore Refinery   India    CID002863    Active    (a)
Gold    Bangko Sentral ng Pilipinas (Central Bank of the Philippines)   Philippines    CID000128    Conformant    (a), (b)
Gold    Boliden AB   Sweden    CID000157    Conformant    (a), (b)
Gold    C. Hafner GmbH + Co. KG   Germany    CID000176    Conformant    (a), (b), (c)
Gold    Caridad   Mexico    CID000180      
Gold    CCR Refinery—Glencore Canada Corporation   Canada    CID000185    Conformant    (a), (b)
Gold    Cendres + Metaux S.A.   Switzerland    CID000189    Conformant    (a)
Gold    Chimet S.p.A.   Italy    CID000233    Conformant    (a), (b)
Gold    Chugai Mining   Japan    CID000264      
Gold    Daejin Indus Co., Ltd.   Korea, Republic of    CID000328    Conformant    (a)
Gold    Daye Non-Ferrous Metals Mining Ltd.   China    CID000343      
Gold    Degussa Sonne / Mond Goldhandel GmbH   Germany    CID002867      
Gold    DODUCO Contacts and Refining GmbH   Germany    CID000362    Conformant    (a)
Gold    Dowa   Japan    CID000401    Conformant    (a)
Gold    DS PRETECH Co., Ltd.   Korea, Republic of    CID003195    Active    (a)
Gold    DSC (Do Sung Corporation)   Korea, Republic of    CID000359    Conformant    (a)
Gold    Eco-System Recycling Co., Ltd.   Japan    CID000425    Conformant    (a)
Gold    Elemetal Refining, LLC   United States    CID001322      
Gold    Emirates Gold DMCC   United Arab Emirates    CID002561    Conformant    (a), (b)
Gold    Fidelity Printers and Refiners Ltd.   Zimbabwe    CID002515      
Gold    GCC Gujrat Gold Centre Pvt. Ltd.   India    CID002852      
Gold    Geib Refining Corporation   United States    CID002459    Conformant    (a)
Gold    Gold Refinery of Zijin Mining Group Co., Ltd.   China    CID002243    Conformant    (a), (b)
Gold    Great Wall Precious Metals Co., Ltd. of CBPM   China    CID001909      
Gold    Guangdong Jinding Gold Limited   China    CID002312      
Gold    Guoda Safina High-Tech Environmental Refinery Co., Ltd.   China    CID000651      
Gold    Hangzhou Fuchunjiang Smelting Co., Ltd.   China    CID000671      
Gold    HeeSung Metal Ltd.   Korea, Republic of    CID000689    Conformant    (a)
Gold    Heimerle + Meule GmbH   Germany    CID000694    Conformant    (a), (b)
Gold    Heraeus Metals Hong Kong Ltd.   China    CID000707    Conformant    (a), (b), (c)
Gold    Heraeus Precious Metals GmbH & Co. KG   Germany    CID000711    Conformant    (a), (b)
Gold    HwaSeong CJ Co., Ltd.   Korea, Republic of    CID000778      
Gold    Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.   China    CID000801    Conformant    (a), (b)
Gold    Ishifuku Metal Industry Co., Ltd.   Japan    CID000807    Conformant    (a), (b)
Gold    Istanbul Gold Refinery   Turkey    CID000814    Conformant    (a), (b)
Gold    Italpreziosi   Italy    CID002765    Conformant    (a), (c)
Gold    Japan Mint   Japan    CID000823    Conformant    (a), (b)
Gold    Jiangxi Copper Co., Ltd.   China    CID000855    Conformant    (a), (b)
Gold    JSC Ekaterinburg Non-Ferrous Metal Processing Plant   Russian Federation    CID000927    Conformant    (a), (b)
Gold    JSC Uralelectromed   Russian Federation    CID000929    Conformant    (a), (b)
Gold    JX Nippon Mining & Metals Co., Ltd.   Japan    CID000937    Conformant    (a), (b)
Gold    Kaloti Precious Metals   United Arab Emirates    CID002563      
Gold    Kazakhmys Smelting LLC   Kazakhstan    CID000956      
Gold    Kazzinc   Kazakhstan    CID000957    Conformant    (a), (b)
Gold    Kennecott Utah Copper LLC   United States    CID000969    Conformant    (a), (b)
Gold    KGHM Polska Miedz Spolka Akcyjna   Poland    CID002511    Active    (a)
Gold    Kojima Chemicals Co., Ltd.   Japan    CID000981    Conformant    (a)
Gold    Korea Zinc Co., Ltd.   Korea, Republic of    CID002605    Conformant    (a)
Gold    Kyrgyzaltyn JSC   Kyrgyzstan    CID001029    Conformant    (a), (b)
Gold    Kyshtym Copper-Electrolytic Plant ZAO   Russian Federation    CID002865      
Gold    L’azurde Company For Jewelry   Saudi Arabia    CID001032      
Gold    Lingbao Gold Co., Ltd.   China    CID001056      
Gold    Lingbao Jinyuan Tonghui Refinery Co., Ltd.   China    CID001058      
Gold    L’Orfebre S.A.   Andorra    CID002762    Active    (a)
Gold    LS-NIKKO Copper Inc.   Korea, Republic of    CID001078    Conformant    (a), (b)
Gold    Luoyang Zijin Yinhui Gold Refinery Co., Ltd.   China    CID001093      
Gold    Marsam Metals   Brazil    CID002606    Conformant    (a)
Gold    Materion   United States    CID001113    Conformant    (a)


SOR Name

  SOR Country   



   RMI (a)     
Gold    Matsuda Sangyo Co., Ltd.   Japan    CID001119    Conformant    (a), (b)
Gold    Metalor Technologies (Hong Kong) Ltd.   China    CID001149    Conformant    (a), (b), (c)
Gold    Metalor Technologies (Singapore) Pte., Ltd.   Singapore    CID001152    Conformant    (a), (b), (c)
Gold    Metalor Technologies (Suzhou) Ltd.   China    CID001147    Conformant    (a), (c)
Gold    Metalor Technologies S.A.   Switzerland    CID001153    Conformant    (a), (b), (c)
Gold    Metalor USA Refining Corporation   United States    CID001157    Conformant    (a), (b), (c)
Gold    Metalurgica Met-Mex Penoles S.A. De C.V.   Mexico    CID001161    Conformant    (a), (b)
Gold    Mitsubishi Materials Corporation   Japan    CID001188    Conformant    (a), (b)
Gold    MMTC-PAMP India Pvt., Ltd.   India    CID002509    Conformant    (a), (b)
Gold    Modeltech Sdn Bhd   Malaysia    CID002857    Active    (a)
Gold    Morris and Watson   New Zealand    CID002282      
Gold    Morris and Watson Gold Coast   Australia    CID002866      
Gold    Moscow Special Alloys Processing Plant   Russian Federation    CID001204    Conformant    (a), (b)
Gold    Nadir Metal Rafineri San. Ve Tic. A.S.   Turkey    CID001220    Conformant    (a), (b)
Gold    Navoi Mining and Metallurgical Combinat   Uzbekistan    CID001236      
Gold    NH Recytech Company   Korea, Republic of    CID003189    Active    (a)
Gold    Nihon Material Co., Ltd.   Japan    CID001259    Conformant    (a), (b)
Gold    Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH   Austria    CID002779    Conformant    (a), (c)
Gold    Ohura Precious Metal Industry Co., Ltd.   Japan    CID001325    Conformant    (a)
Gold    OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant”   Russian Federation    CID001326    Conformant    (a), (b)
Gold    OJSC Novosibirsk Refinery   Russian Federation    CID000493    Conformant    (a), (b)
Gold    PAMP S.A.   Switzerland    CID001352    Conformant    (a), (b)
Gold    Pease & Curren   United States    CID002872      
Gold    Penglai Penggang Gold Industry Co., Ltd.   China    CID001362      
Gold    Planta Recuperadora de Metales SpA   Chile    CID002919    Conformant    (a)
Gold    Prioksky Plant of Non-Ferrous Metals   Russian Federation    CID001386    Conformant    (a), (b)
Gold    PT Aneka Tambang (Persero) Tbk   Indonesia    CID001397    Conformant    (a), (b)
Gold    PX Precinox S.A.   Switzerland    CID001498    Conformant    (a), (b)
Gold    Rand Refinery (Pty) Ltd.   South Africa    CID001512    Conformant    (a), (b)
Gold    Refinery of Seemine Gold Co., Ltd.   China    CID000522      
Gold    Remondis Argentia B.V.   Netherlands    CID002582    Active    (a)
Gold    Republic Metals Corporation   United States    CID002510    Conformant    (a), (b)
Gold    Royal Canadian Mint   Canada    CID001534    Conformant    (a), (b)
Gold    SAAMP   France    CID002761    Conformant    (a), (c)
Gold    Sabin Metal Corp.   United States    CID001546      
Gold    Safimet S.p.A   Italy    CID002973    Conformant    (a)
Gold    SAFINA A.S.   Czech Republic    CID002290    Active    (a)
Gold    Sai Refinery   India    CID002853      
Gold    Samduck Precious Metals   Korea, Republic of    CID001555    Conformant    (a)
Gold    SAMWON METALS Corp.   Korea, Republic of    CID001562      
Gold    SAXONIA Edelmetalle GmbH   Germany    CID002777    Conformant    (a)
Gold    SEMPSA Joyeria Plateria S.A.   Spain    CID001585    Conformant    (a), (b)
Gold    Shandong Tiancheng Biological Gold Industrial Co., Ltd.   China    CID001619      
Gold    Shandong Zhaojin Gold & Silver Refinery Co., Ltd.   China    CID001622    Conformant    (a), (b)
Gold    Sichuan Tianze Precious Metals Co., Ltd.   China    CID001736    Conformant    (a), (b)
Gold    Singway Technology Co., Ltd.   Taiwan    CID002516    Conformant    (a)
Gold    SOE Shyolkovsky Factory of Secondary Precious Metals   Russian Federation    CID001756    Conformant    (a), (b)
Gold    Solar Applied Materials Technology Corp.   Taiwan    CID001761    Conformant    (a), (b)
Gold    State Research Institute Center for Physical Sciences and Technology   Lithuania    CID003153      
Gold    Sudan Gold Refinery   Sudan    CID002567      
Gold    Sumitomo Metal Mining Co., Ltd.   Japan    CID001798    Conformant    (a), (b)
Gold    SungEel HiMetal Co., Ltd.   Korea, Republic of    CID002918    Conformant    (a)
Gold    T.C.A S.p.A   Italy    CID002580    Conformant    (a), (b)
Gold    Tanaka Kikinzoku Kogyo K.K.   Japan    CID001875    Conformant    (a), (b)
Gold    The Refinery of Shandong Gold Mining Co., Ltd.   China    CID001916    Conformant    (a), (b)
Gold    Tokuriki Honten Co., Ltd.   Japan    CID001938    Conformant    (a), (b)
Gold    Tongling Nonferrous Metals Group Co., Ltd.   China    CID001947      
Gold    Tony Goetz NV   Belgium    CID002587      
Gold    TOO Tau-Ken-Altyn   Kazakhstan    CID002615      
Gold    Torecom   Korea, Republic of    CID001955    Conformant    (a)
Gold    Umicore Brasil Ltda.   Brazil    CID001977    Conformant    (a), (b)
Gold    Umicore Precious Metals Thailand   Thailand    CID002314    Conformant    (a), (c)
Gold    Umicore S.A. Business Unit Precious Metals Refining   Belgium    CID001980    Conformant    (a), (b)
Gold    United Precious Metal Refining, Inc.   United States    CID001993    Conformant    (a)
Gold    Universal Precious Metals Refining Zambia   Zambia    CID002854      
Gold    Valcambi S.A.   Switzerland    CID002003    Conformant    (a), (b), (c)
Gold    Western Australian Mint trading as The Perth Mint   Australia    CID002030    Conformant    (a), (b)
Gold    WIELAND Edelmetalle GmbH   Germany    CID002778    Conformant    (a)
Gold    Yamakin Co., Ltd.   Japan    CID002100    Conformant    (a)
Gold    Yokohama Metal Co., Ltd.   Japan    CID002129    Conformant    (a)
Gold    Yunnan Copper Industry Co., Ltd.   China    CID000197      
Gold    Zhongyuan Gold Smelter of Zhongjin Gold Corporation   China    CID002224    Conformant    (a), (b)
Tantalum    Changsha South Tantalum Niobium Co., Ltd.   China    CID000211    Conformant    (a)
Tantalum    D Block Metals, LLC   United States    CID002504    Conformant    (a)










SOR Name

  SOR Country   



   RMI (a)     
Tantalum    Exotech Inc.   United States    CID000456    Conformant    (a)
Tantalum    F&X Electro-Materials Ltd.   China    CID000460    Conformant    (a)
Tantalum    FIR Metals & Resource Ltd.   China    CID002505    Conformant    (a)
Tantalum    Global Advanced Metals Aizu   Japan    CID002558    Conformant    (a)
Tantalum    Global Advanced Metals Boyertown   United States    CID002557    Conformant    (a)
Tantalum    Guangdong Rising Rare Metals-EO Materials Ltd.   China    CID000291    Conformant    (a)
Tantalum    Guangdong Zhiyuan New Material Co., Ltd.   China    CID000616    Conformant    (a)
Tantalum    H.C. Starck Co., Ltd.   Thailand    CID002544    Conformant    (a)
Tantalum    H.C. Starck Hermsdorf GmbH   Germany    CID002547    Conformant    (a)
Tantalum    H.C. Starck Inc.   United States    CID002548    Conformant    (a)
Tantalum    H.C. Starck Ltd.   Japan    CID002549    Conformant    (a)
Tantalum    H.C. Starck Tantalum and Niobium GmbH   Germany    CID002545    Conformant    (a)
Tantalum    Hengyang King Xing Lifeng New Materials Co., Ltd.   China    CID002492    Conformant    (a)
Tantalum    Jiangxi Dinghai Tantalum & Niobium Co., Ltd.   China    CID002512    Conformant    (a)
Tantalum    Jiangxi Tuohong New Raw Material   China    CID002842    Conformant    (a)
Tantalum    Jiujiang Janny New Material Co., Ltd.   China    CID003191    Conformant    (a)
Tantalum    JiuJiang JinXin Nonferrous Metals Co., Ltd.   China    CID000914    Conformant    (a)
Tantalum    Jiujiang Nonferrous Metals Smelting Company Limited   China    CID000917    Conformant    (a)
Tantalum    Jiujiang Zhongao Tantalum & Niobium Co., Ltd.   China    CID002506    Conformant    (a)
Tantalum    KEMET Blue Metals   Mexico    CID002539    Conformant    (a)
Tantalum    Kemet Blue Powder   United States    CID002568    Conformant    (a)
Tantalum    LSM Brasil S.A.   Brazil    CID001076    Conformant    (a)
Tantalum    Metallurgical Products India Pvt., Ltd.   India    CID001163    Conformant    (a)
Tantalum    Mitsui Mining and Smelting Co., Ltd.   Japan    CID001192    Conformant    (a)
Tantalum    Ningxia Orient Tantalum Industry Co., Ltd.   China    CID001277    Conformant    (a)
Tantalum    NPM Silmet AS   Estonia    CID001200    Conformant    (a)
Tantalum    Power Resources Ltd.   Macedonia, Republic of    CID002847    Conformant    (a)
Tantalum    QuantumClean   United States    CID001508    Conformant    (a)
Tantalum    RFH Tantalum Smeltery Co., Ltd.   China    CID001522    Conformant    (a)
Tantalum    Solikamsk Magnesium Works OAO   Russian Federation    CID001769    Conformant    (a)
Tantalum    Taki Chemical Co., Ltd.   Japan    CID001869    Conformant    (a)
Tantalum    Telex Metals   United States    CID001891    Conformant    (a)
Tantalum    Ulba Metallurgical Plant JSC   Kazakhstan    CID001969    Conformant    (a)
Tantalum    XinXing Haorong Electronic Material Co., Ltd.   China    CID002508    Conformant    (a)
Tin    Alpha   United States    CID000292    Conformant    (a)
Tin    An Vinh Joint Stock Mineral Processing Company   Viet Nam    CID002703      
Tin    Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.   China    CID000228    Conformant    (a)
Tin    Chifeng Dajingzi Tin Industry Co., Ltd.   China    CID003190    Conformant    (a)
Tin    China Tin Group Co., Ltd.   China    CID001070    Conformant    (a)
Tin    CNMC (Guangxi) PGMA Co., Ltd.   China    CID000278      
Tin    CV Ayi Jaya   Indonesia    CID002570    Conformant    (a)
Tin    CV Dua Sekawan   Indonesia    CID002592    Conformant    (a)
Tin    CV Gita Pesona   Indonesia    CID000306    Conformant    (a)
Tin    CV United Smelting   Indonesia    CID000315    Conformant    (a)
Tin    CV Venus Inti Perkasa   Indonesia    CID002455    Conformant    (a)
Tin    Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy JSC   Viet Nam    CID002572      
Tin    EM Vinto   Bolivia    CID000438    Conformant    (a)
Tin    Estanho de Rondonia S.A.   Brazil    CID000448      
Tin    Fenix Metals   Poland    CID000468    Conformant    (a)
Tin    Gejiu Fengming Metallurgy Chemical Plant   China    CID002848    Conformant    (a)
Tin    Gejiu Jinye Mineral Company   China    CID002859    Conformant    (a)
Tin    Gejiu Kai Meng Industry and Trade LLC   China    CID000942    Conformant    (a)
Tin    Gejiu Non-Ferrous Metal Processing Co., Ltd.   China    CID000538    Conformant    (a)
Tin    Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.   China    CID001908    Conformant    (a)
Tin    Gejiu Zili Mining And Metallurgy Co., Ltd.   China    CID000555      
Tin    Guangdong Hanhe Non-Ferrous Metal Co., Ltd.   China    CID003116    Conformant    (a)
Tin    Guanyang Guida Nonferrous Metal Smelting Plant   China    CID002849    Conformant    (a)
Tin    HuiChang Hill Tin Industry Co., Ltd.   China    CID002844    Conformant    (a)
Tin    Huichang Jinshunda Tin Co., Ltd.   China    CID000760    Conformant    (a)
Tin    Jiangxi Ketai Advanced Material Co., Ltd.   China    CID000244    Conformant    (a)
Tin    Jiangxi New Nanshan Technology Ltd.   China    CID001231    Conformant    (a)
Tin    Magnu’s Minerais Metais e Ligas Ltda.   Brazil    CID002468    Conformant    (a)
Tin    Malaysia Smelting Corporation (MSC)   Malaysia    CID001105    Conformant    (a)
Tin    Melt Metais e Ligas S.A.   Brazil    CID002500    Conformant    (a)
Tin    Metallic Resources, Inc.   United States    CID001142    Conformant    (a)
Tin    Metallo Belgium N.V.   Belgium    CID002773    Conformant    (a)
Tin    Metallo Spain S.L.U.   Spain    CID002774    Conformant    (a)
Tin    Mineracao Taboca S.A.   Brazil    CID001173    Conformant    (a)
Tin    Minsur   Peru    CID001182    Conformant    (a)
Tin    Nghe Tinh Non-Ferrous Metals Joint Stock Company   Viet Nam    CID002573      
Tin    O.M. Manufacturing (Thailand) Co., Ltd.   Thailand    CID001314    Conformant    (a)
Tin    O.M. Manufacturing Philippines, Inc.   Philippines    CID002517    Conformant    (a)
Tin    Operaciones Metalurgical S.A.   Bolivia    CID001337    Conformant    (a)
Tin    Pongpipat Company Limited   Myanmar    CID003208      



PT Aries Kencana Sejahtera










SOR Name

  SOR Country   



   RMI (a)     
Tin    PT Artha Cipta Langgeng   Indonesia    CID001399    Conformant    (a)
Tin    PT ATD Makmur Mandiri Jaya   Indonesia    CID002503    Conformant    (a)
Tin    PT Babel Inti Perkasa   Indonesia    CID001402    Conformant    (a)
Tin    PT Babel Surya Alam Lestari   Indonesia    CID001406    Active    (a)
Tin    PT Bangka Prima Tin   Indonesia    CID002776    Conformant    (a)
Tin    PT Bangka Serumpun   Indonesia    CID003205    Conformant    (a)
Tin    PT Bangka Tin Industry   Indonesia    CID001419    Conformant    (a)
Tin    PT Belitung Industri Sejahtera   Indonesia    CID001421    Conformant    (a)
Tin    PT Bukit Timah   Indonesia    CID001428    Conformant    (a)
Tin    PT DS Jaya Abadi   Indonesia    CID001434    Conformant    (a)
Tin    PT Eunindo Usaha Mandiri   Indonesia    CID001438    Conformant    (a)
Tin    PT Inti Stania Prima   Indonesia    CID002530    Conformant    (a)
Tin    PT Karimun Mining   Indonesia    CID001448    Conformant    (a)
Tin    PT Kijang Jaya Mandiri   Indonesia    CID002829    Conformant    (a)
Tin    PT Lautan Harmonis Sejahtera   Indonesia    CID002870    Conformant    (a)
Tin    PT Menara Cipta Mulia   Indonesia    CID002835    Conformant    (a)
Tin    PT Mitra Stania Prima   Indonesia    CID001453    Conformant    (a)
Tin    PT Panca Mega Persada   Indonesia    CID001457    Conformant    (a)
Tin    PT Premium Tin Indonesia   Indonesia    CID000313    Conformant    (a)
Tin    PT Prima Timah Utama   Indonesia    CID001458    Conformant    (a)
Tin    PT Rajehan Ariq   Indonesia    CID002593    Conformant    (a)
Tin    PT Refined Bangka Tin   Indonesia    CID001460    Conformant    (a)
Tin    PT Sariwiguna Binasentosa   Indonesia    CID001463    Conformant    (a)
Tin    PT Stanindo Inti Perkasa   Indonesia    CID001468    Conformant    (a)
Tin    PT Sukses Inti Makmur   Indonesia    CID002816    Conformant    (a)
Tin    PT Sumber Jaya Indah   Indonesia    CID001471    Conformant    (a)
Tin    PT Timah (Persero) Tbk Kundur   Indonesia    CID001477    Conformant    (a)
Tin    PT Timah (Persero) Tbk Mentok   Indonesia    CID001482    Conformant    (a)
Tin    PT Tinindo Inter Nusa   Indonesia    CID001490    Conformant    (a)
Tin    PT Tommy Utama   Indonesia    CID001493    Conformant    (a)
Tin    Resind Industria e Comercio Ltda.   Brazil    CID002706    Conformant    (a)
Tin    Rui Da Hung   Taiwan    CID001539    Conformant    (a)
Tin    Soft Metais Ltda.   Brazil    CID001758    Conformant    (a)
Tin    Super Ligas   Brazil    CID002756      
Tin    Thaisarco   Thailand    CID001898    Conformant    (a)
Tin    Tuyen Quang Non-Ferrous Metals Joint Stock Company   Viet Nam    CID002574      
Tin    White Solder Metalurgia e Mineracao Ltda.   Brazil    CID002036    Conformant    (a)
Tin    Yunnan Chengfeng Non-ferrous Metals Co., Ltd.   China    CID002158    Conformant    (a)
Tin    Yunnan Tin Company Limited   China    CID002180    Conformant    (a)
Tungsten    A.L.M.T. TUNGSTEN Corp.   Japan    CID000004    Conformant    (a)
Tungsten    ACL Metais Eireli   Brazil    CID002833    Conformant    (a)
Tungsten    Asia Tungsten Products Vietnam Ltd.   Viet Nam    CID002502    Conformant    (a)
Tungsten    Chenzhou Diamond Tungsten Products Co., Ltd.   China    CID002513    Conformant    (a)
Tungsten    Chongyi Zhangyuan Tungsten Co., Ltd.   China    CID000258    Conformant    (a)
Tungsten    Fujian Jinxin Tungsten Co., Ltd.   China    CID000499    Conformant    (a)
Tungsten    Ganzhou Haichuang Tungsten Industry Co., Ltd.   China    CID002645    Active    (a)
Tungsten    Ganzhou Huaxing Tungsten Products Co., Ltd.   China    CID000875    Conformant    (a)
Tungsten    Ganzhou Jiangwu Ferrotungsten Co., Ltd.   China    CID002315    Conformant    (a)
Tungsten    Ganzhou Seadragon W & Mo Co., Ltd.   China    CID002494    Conformant    (a)
Tungsten    Ganzhou Yatai Tungsten Co., Ltd.   China    CID002536      
Tungsten    Global Tungsten & Powders Corp.   United States    CID000568    Conformant    (a)
Tungsten    Guangdong Xianglu Tungsten Co., Ltd.   China    CID000218    Conformant    (a)
Tungsten    H.C. Starck Smelting GmbH & Co. KG   Germany    CID002542    Conformant    (a)
Tungsten    H.C. Starck Tungsten GmbH   Germany    CID002541    Conformant    (a)
Tungsten    Hunan Chenzhou Mining Co., Ltd.   China    CID000766    Conformant    (a)
Tungsten    Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji   China    CID002579    Conformant    (a)
Tungsten    Hunan Chunchang Nonferrous Metals Co., Ltd.   China    CID000769    Conformant    (a)
Tungsten    Hunan Litian Tungsten Industry Co., Ltd.   China    CID003182      
Tungsten    Hydrometallurg, JSC   Russian Federation    CID002649    Conformant    (a)
Tungsten    Japan New Metals Co., Ltd.   Japan    CID000825    Conformant    (a)
Tungsten    Jiangwu H.C. Starck Tungsten Products Co., Ltd.   China    CID002551    Conformant    (a)
Tungsten    Jiangxi Dayu Longxintai Tungsten Co., Ltd.   China    CID002647      
Tungsten    Jiangxi Gan Bei Tungsten Co., Ltd.   China    CID002321    Conformant    (a)
Tungsten    Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.   China    CID002313      
Tungsten    Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.   China    CID002318    Conformant    (a)
Tungsten    Jiangxi Xinsheng Tungsten Industry Co., Ltd.   China    CID002317    Conformant    (a)
Tungsten    Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.   China    CID002535    Conformant    (a)
Tungsten    Jiangxi Yaosheng Tungsten Co., Ltd.   China    CID002316    Conformant    (a)
Tungsten    Kennametal Fallon   United States    CID000966    Conformant    (a)
Tungsten    Kennametal Huntsville   United States    CID000105    Conformant    (a)
Tungsten    Malipo Haiyu Tungsten Co., Ltd.   China    CID002319    Conformant    (a)
Tungsten    Moliren Ltd.   Russian Federation    CID002845    Conformant    (a)
Tungsten    Niagara Refining LLC   United States    CID002589    Conformant    (a)
Tungsten    Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC   Viet Nam    CID002543    Conformant    (a)



Philippine Chuangxin Industrial Co., Inc.











South-East Nonferrous Metal Company Limited of Hengyang City










SOR Name

  SOR Country   



   RMI (a)     
Tungsten    Tejing (Vietnam) Tungsten Co., Ltd.   Viet Nam    CID001889    Conformant    (a)
Tungsten    Unecha Refractory Metals Plant   Russian Federation    CID002724    Conformant    (a)
Tungsten    Vietnam Youngsun Tungsten Industry Co., Ltd.   Viet Nam    CID002011    Conformant    (a)
Tungsten    Wolfram Bergbau und Hutten AG   Austria    CID002044    Conformant    (a)
Tungsten    Woltech Korea Co., Ltd.   Korea, Republic of    CID002843    Conformant    (a)
Tungsten    Xiamen Tungsten (H.C.) Co., Ltd.   China    CID002320    Conformant    (a)
Tungsten    Xiamen Tungsten Co., Ltd.   China    CID002082    Conformant    (a)
Tungsten    Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.   China    CID002830    Conformant    (a)
Tungsten    Xinhai Rendan Shaoguan Tungsten Co., Ltd.   China    CID002095    Conformant    (a)


(a) As of April 27, 2018, this column indicates whether the known SOR participates in the RMAP as a SOR that sources conflict minerals in a manner that does not finance or benefit armed groups in the Covered Countries. For purposes of this column, “Conformant” denotes that the SOR participates in the RMAP and has been certified conflict free and audited by the RMI, and “Active” denotes that the smelter has agreed to participate in the RMAP, but that the audit process has not yet been completed.
(b) As of April 27, 2018, the smelter or refiner participates in the LBMA’s Responsible Gold Programme and has been certified conflict free.
(c) As of April 27, 2018, the smelter or refiner participates in the RJC’s Chain-of-Custody Certification Program and has been certified conflict free.