INTEVAC INC (Form: SD, Received: 05/31/2017 16:08:22)










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, 2016 to December 31, 2016.




Section 1 Conflict Minerals Disclosure


Item 1.01 Conflict Minerals Disclosure and Report

With respect to the reporting period from January 1, 2016 to December 31, 2016, 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 31, 2017    



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, 2016

This Conflict Minerals Report (this “Report” or “CMR”) for Intevac, Inc. (the “Company”) covers the reporting period from January 1, 2016 to December 31, 2016, 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 2016 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 ENERG i

  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 2016 Reporting Year

For 2016, 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 Electronic Industry Citizenship Coalition (“EICC”) and Global e-Sustainability Initiative (“GeSI”) (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 2016, 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 Conflict-Free Smelter Program (“CFSP”) 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, Rwanda and Tanzania


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


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


Argentina, Armenia, Australia, Bermuda, Bolivia, Brazil, Burundi, Canada, Chile, China, Colombia, Congo (Brazzaville), DRC-Congo (Kinshasa), Ecuador, Egypt, Ethiopia, Finland, France, Ghana, Guinea, Guyana, India, Indonesia, Italy, 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 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 EICC-GeSI and the CFSP.

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 CFSI 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. 166 suppliers of components containing 3TG in our Thin-film Equipment business and 20 suppliers of components containing 3TG in our Photonics business were identified. These suppliers represent approximately 52% of our total 2016 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 91% 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 2016:


    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 186 direct and sub-tier suppliers of materials, parts, components or products containing necessary 3TG 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 CFSI 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 CFSI in April 2017);


    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 2016, 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 CFSP 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 2016, 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 2017, 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 2016, Intevac identified 324 SORs as potential sources of 3TG that were reported to be in its supply chain at some point during the year. Of those 324 SORs, 243 have been verified as conflict-free as determined through third party verification by the CFSI, LBMA or RJC, and an additional 14 have begun the audit process.


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


  39 of 39 (100%)


  72 of 89 (81%)


  39 of 47 (83%)


  107 of 149 (72%)


  257 of 324 (79%)

The number of known SORs in Intevac’s supply chain as of December 31, 2016 that are verified as conflict-free increased sequentially year over year.


        Status of identified SORs *    2016    2015    2014    2013

Verified conflict-free

   243    219    166    72

Participating in an audit process

   14    51    37    10

Not participating

   67    51    66    133
  Total    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 254 “unknown” SORs were identified. SORs are listed as unknown if they are not currently identified on the CFSI and/or other lists available to Intevac as of April 28, 2017.


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


   112    14    107    254

The number of known SORs in Intevac’s supply chain as of December 31, 2016 that are determined to source 3TG from the Covered Countries are as follows:





Number of SORs *




Number of Certified





Identified SOR





Identified Material


Tantalum   24   24  

Brazil, China, Germany,

Japan, Kazakhstan, Mexico,

Thailand, United States


Burundi, DRC-Congo

(Kinshasa), Rwanda

Tin   20   19  

Belgium, Bolivia, Brazil,

China, Indonesia, Malaysia,

Peru, Thailand, Viet Nam


Burundi, DRC-Congo (Kinshasa), Rwanda,


Tungsten   11   11  

China, Germany, Japan,

Russian Federation, Viet



Burundi, DRC-Congo (Kinshasa), Rwanda,


Gold   13   9  

Belgium, Canada, China,

Japan, Korea, Republic of,

Russian Federation, South

Africa, Sudan, United Arab

Emirates, Uzbekistan,



Burundi, Congo

(Brazzaville), DRC-Congo (Kinshasa), Rwanda,

Tanzania, Zambia

  Total   68   63        


* Not all the facilities in the tables above or those identified in Exhibit 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 2016, 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 2016, 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 91% in 2016, 95% in both 2015 and 2014 and 69% in 2013. 169 surveyed suppliers completed declaration statements in 2016, compared to 266 surveyed 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 2017 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 CFSP and participate in an audit.

Independent Private Sector Audit

An audit was not required for calendar year 2016.

Appendix A



SOR Name

     SOR Country   



   CSFI (a)     
Gold    Abington Reldan Metals, LLC    United States    CID002708    Active    (a)
Gold    Advanced Chemical Company    United States    CID000015    Compliant    (a)
Gold    Aida Chemical Industries Co., Ltd.    Japan    CID000019    Compliant    (a)
Gold    Al Etihad Gold    United Arab Emirates    CID002560    Compliant    (a)
Gold    Allgemeine Gold-und Silberscheideanstalt A.G.    Germany    CID000035    Compliant    (a), (b), ©
Gold    Almalyk Mining and Metallurgical Complex (AMMC)    Uzbekistan    CID000041    Compliant    (a), (b)
Gold    AngloGold Ashanti    Brazil    CID000058    Compliant    (a), (b)
Gold    Argor-Heraeus SA    Switzerland    CID000077    Compliant    (a), (b), ©
Gold    Asahi Pretec Corporation    Japan    CID000082    Compliant    (a), (b)
Gold    Asahi Refining Canada Limited    Canada    CID000924    Compliant    (a), (b)
Gold    Asahi Refining USA Inc.    United States    CID000920    Compliant    (a), (b)
Gold    Asaka Riken Co., Ltd.    Japan    CID000090    Compliant    (a)
Gold    Atasay Kuyumculuk Sanayi Ve Ticaret A.S.    Turkey    CID000103      
Gold    AU Traders and Refiners    South Africa    CID002850    Compliant    (a), ©
Gold    Aurubis AG    Germany    CID000113    Compliant    (a), (b)
Gold    Bangalore Refinery    India    CID002863    Active    (a)
Gold    Bangko Sentral ng Pilipinas (Central Bank of the Philippines)    Philippines    CID000128    Compliant    (a), (b)
Gold    Boliden AB    Sweden    CID000157    Compliant    (a), (b)
Gold    C. Hafner GmbH + Co. KG    Germany    CID000176    Compliant    (a), (b), ©
Gold    Caridad    Mexico    CID000180      
Gold    CCR Refinery - Glencore Canada Corporation    Canada    CID000185    Compliant    (a), (b)
Gold    Cendres + Métaux SA    Switzerland    CID000189    Active    (a)
Gold    Changcheng Gold & Silver Refining Factory    China         
Gold    Chimet S.p.A.    Italy    CID000233    Compliant    (a), (b)
Gold    China Gold International Resources Corp. Ltd    China         
Gold    Chugai Mining    Japan    CID000264      
Gold    Daejin Indus Co., Ltd.    Korea, Republic of    CID000328    Compliant    (a)
Gold    Daye Non-Ferrous Metals Mining Ltd.    China    CID000343    Compliant    (b)
Gold    Degussa Sonne / Mond Goldhandel GmbH    Germany    CID002867      
Gold    DODUCO GmbH    Germany    CID000362    Compliant    (a)
Gold    Dowa    Japan    CID000401    Compliant    (a)
Gold    DSC (Do Sung Corporation)    Korea, Republic of    CID000359    Compliant    (a)
Gold    Eco-System Recycling Co., Ltd.    Japan    CID000425    Compliant    (a)
Gold    Emirates Gold DMCC    United Arab Emirates    CID002561    Compliant    (a)
Gold    Fidelity Printers and Refiners Ltd.    Zimbabwe    CID002515      
Gold    Gannon & Scott    United States         
Gold    Gansu Seemine Material Hi-Tech Co Ltd    China    CID000522      
Gold    Geib Refining Corporation    United States    CID002459    Compliant    (a)
Gold    Gold Refinery of Zijin Mining Group Co., Ltd    China    CID002243    Compliant    (a), (b)
Gold    Great Wall Precious Metals Co., Ltd. of CBPM    China    CID001909    Compliant    (b)
Gold    Guangdong Jinding Gold Limited    China    CID002312      
Gold    Gujarat Gold Centre    India    CID002852      
Gold    Guoda Safina High-Tech Environmental Refinery Co., Ltd.    China    CID000651      
Gold    Hangzhou Fuchunjiang Smelting Co., Ltd.    China    CID000671      
Gold    Heimerle + Meule GmbH    Germany    CID000694    Compliant    (a), (b)
Gold    Henan Yuguang Gold & Lead Co., Ltd.    China         
Gold    Heraeus Metals Hong Kong Ltd    China    CID000707    Compliant    (a), (b), ©
Gold    Heraeus Precious Metals GmbH & Co. KG    Germany    CID000711    Compliant    (a), (b)
Gold    HOMESTAKE MINING COMPANY    Canada         
Gold    Hunan Chenzhou Mining Co., Ltd.    China    CID000767      
Gold    HwaSeong CJ Co. Ltd    Korea, Republic of    CID000778      
Gold    Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.    China    CID000801    Compliant    (a), (b)
Gold    Ishifuku Metal Industry Co., Ltd.    Japan    CID000807    Compliant    (a), (b)
Gold    Istanbul Gold Refinery    Turkey    CID000814    Compliant    (a), (b)
Gold    Italpreziosi S.p.A.    Italy       Compliant    ©
Gold    Japan Mint    Japan    CID000823    Compliant    (a), (b)
Gold    Jiangxi Copper Company Limited    China    CID000855    Compliant    (a), (b)
Gold    Jinlong Copper Co., Ltd.    China         
Gold    Johnson Matthey Chemicals Ltd.    United Kingdom         
Gold    JSC Ekaterinburg Non-Ferrous Metal Processing Plant    Russian Federation    CID000927    Compliant    (a), (b)
Gold    JSC Uralelectromed    Russian Federation    CID000929    Compliant    (a), (b)
Gold    JX Nippon Mining & Metals Co., Ltd.    Japan    CID000937    Compliant    (a), (b)
Gold    Kaloti Precious Metals    United Arab Emirates    CID002563      
Gold    Kazzinc    Kazakhstan    CID000957    Compliant    (a), (b)
Gold    Kennecott Utah Copper LLC    United States    CID000969    Compliant    (a), (b), ©
Gold    KGHM Polska Miedź Spółka Akcyjna    Poland    CID002511    Active    (a)
Gold    Kojima Chemicals Co., Ltd.    Japan    CID000981    Compliant    (a)
Gold    Korea Zinc Co., Ltd.    Korea, Republic of    CID002605    Compliant    (a)
Gold    Kyrgyzaltyn JSC    Kyrgyzstan    CID001029    Compliant    (a), (b)
Gold    L’azurde Company For Jewelry    Saudi Arabia    CID001032      
Gold    Lingbao Gold Company Ltd.    China    CID001056      
Gold    Lingbao Jinyuan Mining Co., Ltd.    China         
Gold    Lingbao Jinyuan Tonghui Refinery Co. Ltd.    China    CID001058      
Gold    L’Orfebre S.A.    Andorra    CID002762      
Gold    LS-NIKKO Copper Inc.    Korea, Republic of    CID001078    Compliant    (a), (b)


SOR Name

     SOR Country   



   CSFI (a)     
Gold    Luoyang Zijin Yinhui Gold Refinery Co., Ltd.    China    CID001093      
Gold    Materion    United States    CID001113    Compliant    (a)
Gold    Matsuda Sangyo Co., Ltd.    Japan    CID001119    Compliant    (a), (b)
Gold    Metalor Technologies (Hong Kong) Ltd.    China    CID001149    Compliant    (a), (b), ©
Gold    Metalor Technologies (Singapore) Pte., Ltd.    Singapore    CID001152    Compliant    (a), (b), ©
Gold    Metalor Technologies (Suzhou) Co Ltd    China    CID001147    Compliant    (a), ©
Gold    Metalor Technologies SA    Switzerland    CID001153    Compliant    (a), (b), ©
Gold    Metalor USA Refining Corporation    United States    CID001157    Compliant    (a), (b), ©
Gold    METALÚRGICA MET-MEX PEÑOLES, S.A. DE C.V    Mexico    CID001161    Compliant    (a), (b)
Gold    Minsur    Peru         
Gold    Mitsubishi Materials Corporation    Japan    CID001188    Compliant    (a), (b)
Gold    Mitsui Mining and Smelting Co., Ltd.    Japan    CID001193    Compliant    (a), (b)
Gold    MMTC-PAMP India Pvt., Ltd.    India    CID002509    Compliant    (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    Compliant    (a), (b)
Gold    Nadir Metal Rafineri San. Ve Tic. A.Ş.    Turkey    CID001220    Compliant    (a), (b)
Gold    Navoi Mining and Metallurgical Combinat    Uzbekistan    CID001236    Compliant    (a), (b)
Gold    Nihon Material Co., Ltd.    Japan    CID001259    Compliant    (a), (b)
Gold    Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH    Austria    CID002779    Compliant    (a), ©
Gold    Ohura Precious Metal Industry Co., Ltd.    Japan    CID001325    Compliant    (a)
Gold    OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant”    Russian Federation    CID001326    Compliant    (a), (b)
Gold    OJSC Novosibirsk Refinery    Russian Federation    CID000493    Compliant    (a), (b)
Gold    PAMP S.A.    Switzerland    CID001352    Compliant    (a), (b), ©
Gold    Pease & Curren    United States    CID002872      
Gold    Penglai Penggang Gold Industry Co Ltd    China    CID001362      
Gold    Philippine Associated Smelting and Refining Corporation    Philippines         
Gold    Prioksky Plant of Non-Ferrous Metals    Russian Federation    CID001386    Compliant    (a), (b)
Gold    PT Aneka Tambang (Persero) Tbk    Indonesia    CID001397    Compliant    (a), (b)
Gold    PX Precinox SA    Switzerland    CID001498    Compliant    (a), (b), ©
Gold    Rand Refinery (Pty) Ltd.    South Africa    CID001512    Compliant    (a), (b)
Gold    Remondis Argentia B.V.    Netherlands    CID002582      
Gold    Republic Metals Corporation    United States    CID002510    Compliant    (a), (b), ©
Gold    Rio Tinto Group    United Kingdom       Compliant    ©
Gold    Royal Canadian Mint    Canada    CID001534    Compliant    (a), (b)
Gold    SAAMP    France    CID002761    Compliant    ©
Gold    Sabin Metal Corp.    United States    CID001546      
Gold    SAFINA A.S.    Czech Republic    CID002290    Active    (a)
Gold    Sai Refinery    India    CID002853      
Gold    Samduck Precious Metals    Korea, Republic of    CID001555    Compliant    (a)
Gold    SAMWON METALS Corp.    Korea, Republic of    CID001562      
Gold    SAXONIA Edelmetalle GmbH    Germany    CID002777    Compliant    (a)
Gold    Schone Edelmetaal B.V.    Netherlands    CID001573    Compliant    (a), (b)
Gold    SEMPSA Joyería Platería SA    Spain    CID001585    Compliant    (a), (b)
Gold    Shandong Tiancheng Biological Gold Industrial Co., Ltd.    China    CID001619      
Gold    Shandong Zhaojin Gold & Silver Refinery Co., Ltd.    China    CID001622    Compliant    (a), (b)
Gold    Sichuan Tianze Precious Metals Co., Ltd.    China    CID001736    Compliant    (a), (b)
Gold    Singway Technology Co., Ltd.    Taiwan    CID002516    Compliant    (a)
Gold    So Accurate Group, Inc.    United States    CID001754      
Gold    SOE Shyolkovsky Factory of Secondary Precious Metals    Russian Federation    CID001756    Compliant    (a), (b)
Gold    Solar Applied Materials Technology Corp.    Taiwan    CID001761    Compliant    (a), (b)
Gold    Sudan Gold Refinery    Sudan    CID002567      
Gold    Sumitomo Metal Mining Co., Ltd.    Japan    CID001798    Compliant    (a), (b)
Gold    Sungeel Hitech Co., Ltd.    Korea, Republic of    CID002918    Active    (a)
Gold    T.C.A S.p.A    Italy    CID002580    Compliant    (a), (b)
Gold    Tanaka Kikinzoku Kogyo K.K.    Japan    CID001875    Compliant    (a), (b)
Gold    The Refinery of Shandong Gold Mining Co., Ltd.    China    CID001916    Compliant    (a), (b)
Gold    Tokuriki Honten Co., Ltd.    Japan    CID001938    Compliant    (a), (b)
Gold    TongLing Nonferrous Metals Group Holdings Co., Ltd.    China    CID001947      
Gold    Tony Goetz NV    Belgium    CID002587    Active    (a)
Gold    Torecom    Korea, Republic of    CID001955    Compliant    (a)
Gold    Umicore Brasil Ltda.    Brazil    CID001977    Compliant    (a), (b)
Gold    Umicore Precious Metals Thailand    Thailand    CID002314    Compliant    (a), ©
Gold    Umicore SA Business Unit Precious Metals Refining    Belgium    CID001980    Compliant    (a), (b)
Gold    United Precious Metal Refining, Inc.    United States    CID001993    Compliant    (a), ©
Gold    Universal Precious Metals Refining Zambia    Zambia    CID002854      
Gold    Valcambi SA    Switzerland    CID002003    Compliant    (a), (b), ©
Gold    Western Australian Mint trading as The Perth Mint    Australia    CID002030    Compliant    (a), (b)
Gold    WIELAND Edelmetalle GmbH    Germany    CID002778    Compliant    (a)
Gold    Yamamoto Precious Metal Co., Ltd.    Japan    CID002100    Compliant    (a)
Gold    Yokohama Metal Co., Ltd.    Japan    CID002129    Compliant    (a)
Gold    Yunnan Copper Industry Co Ltd    China    CID000197      
Gold    Zhongyuan Gold Smelter of Zhongjin Gold Corporation    China    CID002224    Compliant    (a), (b)


SOR Name

     SOR Country   



   CSFI (a)     
Tantalum   Changsha South Tantalum Niobium Co., Ltd.    China    CID000211    Compliant    (a)
Tantalum   Conghua Tantalum and Niobium Smeltry    China    CID000291    Compliant    (a)
Tantalum   D Block Metals, LLC    United States    CID002504    Compliant    (a)
Tantalum   Duoluoshan    China    CID000410    Compliant    (a)
Tantalum   F&X Electro-Materials Ltd.    China    CID000460    Compliant    (a)
Tantalum   FIR Metals & Resource Ltd.    China    CID002505    Compliant    (a)
Tantalum   Global Advanced Metals Aizu    Japan    CID002558    Compliant    (a)
Tantalum   Global Advanced Metals Boyertown    United States    CID002557    Compliant    (a)
Tantalum   Guangdong Zhiyuan New Material Co., Ltd.    China    CID000616    Compliant    (a)
Tantalum   H.C. Starck Co., Ltd.    Thailand    CID002544    Compliant    (a)
Tantalum   H.C. Starck Hermsdorf GmbH    Germany    CID002547    Compliant    (a)
Tantalum   H.C. Starck Inc.    United States    CID002548    Compliant    (a)
Tantalum   H.C. Starck Ltd.    Japan    CID002549    Compliant    (a)
Tantalum   H.C. Starck Tantalum and Niobium GmbH    Germany    CID002545    Compliant    (a)
Tantalum   Hengyang King Xing Lifeng New Materials Co., Ltd.    China    CID002492    Compliant    (a)
Tantalum   Hi-Temp Specialty Metals, Inc.    United States    CID000731    Compliant    (a)
Tantalum   Jiangxi Dinghai Tantalum & Niobium Co., Ltd.    China    CID002512    Compliant    (a)
Tantalum   Jiangxi Tuohong New Raw Material    China    CID002842    Compliant    (a)
Tantalum   JiuJiang JinXin Nonferrous Metals Co., Ltd.    China    CID000914    Compliant    (a)
Tantalum   Jiujiang Nonferrous Metals Smelting Company Limited    China    CID000917    Compliant    (a)
Tantalum   Jiujiang Zhongao Tantalum & Niobium Co., Ltd.    China    CID002506    Compliant    (a)
Tantalum   KEMET Blue Metals    Mexico    CID002539    Compliant    (a)
Tantalum   Kemet Blue Powder    United States    CID002568    Compliant    (a)
Tantalum   King-Tan Tantalum Industry Ltd.    China    CID000973    Compliant    (a)
Tantalum   LSM Brasil S.A.    Brazil    CID001076    Compliant    (a)
Tantalum   Metallurgical Products India Pvt., Ltd.    India    CID001163    Compliant    (a)
Tantalum   Ningxia Orient Tantalum Industry Co., Ltd.    China    CID001277    Compliant    (a)
Tantalum   NPM Silmet AS    Estonia    CID001200    Compliant    (a)
Tantalum   Power Resources Ltd.    Macedonia    CID002847    Compliant    (a)
Tantalum   QuantumClean    United States    CID001508    Compliant    (a)
Tantalum   RFH Tantalum Smeltry Co., Ltd.    China    CID001522    Compliant    (a)
Tantalum   Solikamsk Magnesium Works OAO    Russian Federation    CID001769    Compliant    (a)
Tantalum   Taki Chemical Co., Ltd.    Japan    CID001869    Compliant    (a)
Tantalum   Telex Metals    United States    CID001891    Compliant    (a)
Tantalum   Tranzact, Inc.    United States    CID002571    Compliant    (a)
Tantalum   Ulba Metallurgical Plant JSC    Kazakhstan    CID001969    Compliant    (a)
Tantalum   XinXing Haorong Electronic Material Co., Ltd.    China    CID002508    Compliant    (a)
Tantalum   Yichun Jin Yang Rare Metal Co., Ltd.    China    CID002307    Compliant    (a)
Tantalum   Zhuzhou Cemented Carbide Group Co., Ltd.    China    CID002232    Compliant    (a)
Tin   5NPLUS    Canada         
Tin   Alpha    United States    CID000292    Compliant    (a)
Tin   An Thai Minerals Company Limited    Viet Nam    CID002825      
Tin   An Vinh Joint Stock Mineral Processing Company    Viet Nam    CID002703      
Tin   Aoki Laboratories Ltd.    United States         
Tin   Chenzhou Yunxiang Mining and Metallurgy Company Limited    China    CID000228    Compliant    (a)
Tin   China Tin Group Co., Ltd.    China    CID001070    Compliant    (a)
Tin   CNMC (Guangxi) PGMA Co. Ltd.    China    CID000278      
Tin   Complejo Metalurgico Vinto S.A.    Bolivia         
Tin   Cooperativa Metalurgica de Rondônia Ltda.    Brazil    CID000295    Compliant    (a)
Tin   CV Ayi Jaya    Indonesia    CID002570    Compliant    (a)
Tin   CV Dua Sekawan    Indonesia    CID002592    Compliant    (a)
Tin   CV Gita Pesona    Indonesia    CID000306    Compliant    (a)
Tin   CV Serumpun Sebalai    Indonesia    CID000313    Compliant    (a)
Tin   CV Tiga Sekawan    Indonesia    CID002593    Compliant    (a)
Tin   CV United Smelting    Indonesia    CID000315    Compliant    (a)
Tin   CV Venus Inti Perkasa    Indonesia    CID002455    Compliant    (a)
Tin   Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy    Viet Nam    CID002572    Active    (a)
Tin   Elmet S.A. de C.V.    Mexico         
Tin   Elmet S.L.U.    Spain    CID002774    Compliant    (a)
Tin   EM Vinto    Bolivia    CID000438    Compliant    (a)
Tin   Estanho de Rondônia S.A.    Brazil    CID000448      
Tin   Fenix Metals    Poland    CID000468    Compliant    (a)
Tin   Gejiu Fengming Metallurgy Chemical Plant    China    CID002848    Compliant    (a)
Tin   Gejiu Jinye Mineral Company    China    CID002859    Compliant    (a)
Tin   Gejiu Kai Meng Industry and Trade LLC    China    CID000942    Active    (a)
Tin   Gejiu Non-Ferrous Metal Processing Co., Ltd.    China    CID000538    Compliant    (a)
Tin   Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.    China    CID001908    Active    (a)
Tin   Gejiu Zili Mining And Metallurgy Co., Ltd.    China    CID000555      
Tin   Guanyang Guida Nonferrous Metal Smelting Plant    China    CID002849    Compliant    (a)
Tin   HuiChang Hill Tin Industry Co., Ltd.    China    CID002844    Compliant    (a)
Tin   Huichang Jinshunda Tin Co. Ltd    China    CID000760    Active    (a)
Tin   Jean Goldschmidt International SA    Belgium         
Tin   Jiangxi Ketai Advanced Material Co., Ltd.    China    CID000244    Compliant    (a)
Tin   Magnu’s Minerais Metais e Ligas Ltda.    Brazil    CID002468    Compliant    (a)
Tin   Malaysia Smelting Corporation (MSC)    Malaysia    CID001105    Compliant    (a)


SOR Name

     SOR Country   



   CSFI (a)     
Tin   Melt Metais e Ligas S.A.    Brazil    CID002500    Compliant    (a)
Tin   Metallic Resources, Inc.    United States    CID001142    Compliant    (a)
Tin   Metallo-Chimique N.V.    Belgium    CID001143    Compliant    (a)
Tin   Mineração Taboca S.A.    Brazil    CID001173    Compliant    (a)
Tin   Nankang Nanshan Tin Co., Ltd.    China    CID001231    Active    (a)
Tin   Nghe Tinh Non-Ferrous Metals Joint Stock Company    Viet Nam    CID002573      
Tin   Northern Smelter    Australia         
Tin   O.M. Manufacturing (Thailand) Co., Ltd.    Thailand    CID001314    Compliant    (a)
Tin   O.M. Manufacturing Philippines, Inc.    Philippines    CID002517    Compliant    (a)
Tin   Operaciones Metalurgical S.A.    Bolivia    CID001337    Compliant    (a)
Tin   PT Aries Kencana Sejahtera    Indonesia    CID000309    Compliant    (a)
Tin   PT Artha Cipta Langgeng    Indonesia    CID001399    Compliant    (a)
Tin   PT ATD Makmur Mandiri Jaya    Indonesia    CID002503    Compliant    (a)
Tin   PT Babel Inti Perkasa    Indonesia    CID001402    Compliant    (a)
Tin   PT Bangka Prima Tin    Indonesia    CID002776    Compliant    (a)
Tin   PT Bangka Tin Industry    Indonesia    CID001419    Compliant    (a)
Tin   PT Belitung Industri Sejahtera    Indonesia    CID001421    Compliant    (a)
Tin   PT Bukit Timah    Indonesia    CID001428    Compliant    (a)
Tin   PT Cipta Persada Mulia    Indonesia    CID002696    Compliant    (a)
Tin   PT DS Jaya Abadi    Indonesia    CID001434    Compliant    (a)
Tin   PT Eunindo Usaha Mandiri    Indonesia    CID001438    Compliant    (a)
Tin   PT Inti Stania Prima    Indonesia    CID002530    Compliant    (a)
Tin   PT Justindo    Indonesia    CID000307      
Tin   PT Karimun Mining    Indonesia    CID001448    Compliant    (a)
Tin   PT Kijang Jaya Mandiri    Indonesia    CID002829    Compliant    (a)
Tin   PT Lautan Harmonis Sejahtera    Indonesia    CID002870    Compliant    (a)
Tin   PT Menara Cipta Mulia    Indonesia    CID002835    Compliant    (a)
Tin   PT Mitra Stania Prima    Indonesia    CID001453    Compliant    (a)
Tin   PT O.M. Indonesia    Indonesia    CID002757    Compliant    (a)
Tin   PT Panca Mega Persada    Indonesia    CID001457    Compliant    (a)
Tin   PT Prima Timah Utama    Indonesia    CID001458    Compliant    (a)
Tin   PT Refined Bangka Tin    Indonesia    CID001460    Compliant    (a)
Tin   PT Sariwiguna Binasentosa    Indonesia    CID001463    Compliant    (a)
Tin   PT Stanindo Inti Perkasa    Indonesia    CID001468    Compliant    (a)
Tin   PT Sukses Inti Makmur    Indonesia    CID002816    Compliant    (a)
Tin   PT Sumber Jaya Indah    Indonesia    CID001471    Compliant    (a)
Tin   PT Timah (Persero) Tbk Kundur    Indonesia    CID001477    Compliant    (a)
Tin   PT Timah (Persero) Tbk Mentok    Indonesia    CID001482    Compliant    (a)
Tin   PT Tinindo Inter Nusa    Indonesia    CID001490    Compliant    (a)
Tin   PT Tirus Putra Mandiri    Indonesia    CID002478      
Tin   PT Tommy Utama    Indonesia    CID001493    Compliant    (a)
Tin   PT WAHANA PERKIT JAYA    Indonesia    CID002479    Compliant    (a)
Tin   Resind Indústria e Comércio Ltda.    Brazil    CID002706    Compliant    (a)
Tin   Rui Da Hung    Taiwan    CID001539    Compliant    (a)
Tin   Shangrao Xuri Smelting Factory    China         
Tin   Soft Metais Ltda.    Brazil    CID001758    Compliant    (a)
Tin   Thaisarco    Thailand    CID001898    Compliant    (a)
Tin   Tuyen Quang Non-Ferrous Metals Joint Stock Company    Viet Nam    CID002574      
Tin   VQB Mineral and Trading Group JSC    Viet Nam    CID002015    Compliant    (a)
Tin   White Solder Metalurgia e Mineração Ltda.    Brazil    CID002036    Compliant    (a)
Tin   Yunnan Chengfeng Non-ferrous Metals Co.,Ltd.    China    CID002158    Active    (a)
Tin   Yunnan Tin Group (Holding) Company Limited    China    CID002180    Compliant    (a)
Tin   Yuntinic Chemical GmbH    Germany         
Tungsten   A.L.M.T. Corp.    Japan    CID000004    Compliant    (a)
Tungsten   ACL Metais Eireli    Brazil    CID002833      
Tungsten   Asia Tungsten Products Vietnam Ltd.    Viet Nam    CID002502    Compliant    (a)
Tungsten   Buffalo Tungsten    United States         
Tungsten   Chenzhou Diamond Tungsten Products Co., Ltd.    China    CID002513    Compliant    (a)
Tungsten   Chongyi Zhangyuan Tungsten Co., Ltd.    China    CID000258    Compliant    (a)
Tungsten   Exotech Inc.    United States         
Tungsten   Fujian Jinxin Tungsten Co., Ltd.    China    CID000499    Compliant    (a)
Tungsten   Ganzhou Haichuang Tungsten Industry Co., Ltd.    China         
Tungsten   Ganzhou Huaxing Tungsten Products Co., Ltd.    China    CID000875    Compliant    (a)
Tungsten   Ganzhou Jiangwu Ferrotungsten Co., Ltd.    China    CID002315    Compliant    (a)
Tungsten   Ganzhou Seadragon W & Mo Co., Ltd.    China    CID002494    Compliant    (a)
Tungsten   Ganzhou Yatai Tungsten Co., Ltd.    China    CID002536      
Tungsten   Global Tungsten & Powders Corp.    United States    CID000568    Compliant    (a)
Tungsten   Guangdong Xianglu Tungsten Co., Ltd.    China    CID000218    Compliant    (a)
Tungsten   H.C. Starck Smelting GmbH & Co. KG    Germany    CID002542    Compliant    (a)
Tungsten   H.C. Starck Tungsten GmbH    Germany    CID002541    Compliant    (a)
Tungsten   Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji    China    CID002579    Compliant    (a)
Tungsten   Hunan Chunchang Nonferrous Metals Co., Ltd.    China    CID000769    Compliant    (a)
Tungsten   Hydrometallurg, JSC    Russian Federation    CID002649    Compliant    (a)
Tungsten   Japan New Metals Co., Ltd.    Japan    CID000825    Compliant    (a)
Tungsten   Jiangwu H.C. Starck Tungsten Products Co., Ltd.    China    CID002551    Compliant    (a)


SOR Name

    SOR Country   



   CSFI (a)     
Tungsten   Jiangxi Dayu Longxintai Tungsten Co., Ltd.   China    CID002647      
Tungsten   Jiangxi Gan Bei Tungsten Co., Ltd.   China    CID002321    Compliant    (a)
Tungsten   Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.   China    CID002313      
Tungsten   Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.   China    CID002318    Compliant    (a)
Tungsten   Jiangxi Xinsheng Tungsten Industry Co., Ltd.   China    CID002317    Compliant    (a)
Tungsten   Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.   China    CID002535    Compliant    (a)
Tungsten   Jiangxi Yaosheng Tungsten Co., Ltd.   China    CID002316    Compliant    (a)
Tungsten   Kennametal Fallon   United States    CID000966    Compliant    (a)
Tungsten   Kennametal Huntsville   United States    CID000105    Compliant    (a)
Tungsten   Malipo Haiyu Tungsten Co., Ltd.   China    CID002319    Compliant    (a)
Tungsten   Moliren Ltd   Russian Federation    CID002845    Compliant    (a)
Tungsten   Niagara Refining LLC   United States    CID002589    Compliant    (a)
Tungsten   Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC   Viet Nam    CID002543    Compliant    (a)
Tungsten   Philippine Chuangxin Industrial Co., Inc.   Philippines    CID002827    Compliant    (a)
Tungsten   South-East Nonferrous Metal Company Limited of Hengyang City   China    CID002815    Compliant    (a)
Tungsten   TaeguTec Ltd.   Korea, Republic of         
Tungsten   Tejing (Vietnam) Tungsten Co., Ltd.   Viet Nam    CID001889    Compliant    (a)
Tungsten   Unecha Refractory Metals Plant   Russian Federation    CID002724    Compliant    (a)
Tungsten   Vietnam Youngsun Tungsten Industry Co., Ltd.   Viet Nam    CID002011    Compliant    (a)
Tungsten   Wolfram Bergbau und Hütten AG   Austria    CID002044    Compliant    (a)
Tungsten   Woltech Korea Co., Ltd.   Korea, Republic of    CID002843    Compliant    (a)
Tungsten   Xiamen Tungsten (H.C.) Co., Ltd.   China    CID002320    Compliant    (a)
Tungsten   Xiamen Tungsten Co., Ltd.   China    CID002082    Compliant    (a)
Tungsten   Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.   China    CID002830    Compliant    (a)
Tungsten   Xinhai Rendan Shaoguan Tungsten Co., Ltd.   China    CID002095    Compliant    (a)


(a) As of April 28, 2017, this column indicates whether the known SOR participates in the CFSP 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, “Compliant” denotes that the SOR participates in the CFSP and has been certified conflict free and audited by the CFSI, and “Active” denotes that the smelter has agreed to participate in the CFSP, but that the audit process has not yet been completed.
(b) As of April 28, 2017, the smelter or refiner participates in the LBMA’s Responsible Gold Programme and has been certified conflict free.
(c) As of April 28, 2017, the smelter or refiner participates in the RJC’s Chain-of-Custody Certification Program and has been certified conflict free.