0001104659-17-035724.txt : 20170526 0001104659-17-035724.hdr.sgml : 20170526 20170526164544 ACCESSION NUMBER: 0001104659-17-035724 CONFORMED SUBMISSION TYPE: SD PUBLIC DOCUMENT COUNT: 2 13p-1 1.01 20161231 1.02 20161231 FILED AS OF DATE: 20170526 DATE AS OF CHANGE: 20170526 FILER: COMPANY DATA: COMPANY CONFORMED NAME: BRUKER CORP CENTRAL INDEX KEY: 0001109354 STANDARD INDUSTRIAL CLASSIFICATION: LABORATORY ANALYTICAL INSTRUMENTS [3826] IRS NUMBER: 043110160 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SD SEC ACT: 1934 Act SEC FILE NUMBER: 000-30833 FILM NUMBER: 17874591 BUSINESS ADDRESS: STREET 1: 40 MANNING RD CITY: BILLERICA STATE: MA ZIP: 01821 BUSINESS PHONE: 978663-3660 MAIL ADDRESS: STREET 1: 40 MANNING RD CITY: BILLERICA STATE: MA ZIP: 01821 FORMER COMPANY: FORMER CONFORMED NAME: BRUKER BIOSCIENCES CORP DATE OF NAME CHANGE: 20030721 FORMER COMPANY: FORMER CONFORMED NAME: BRUKER DALTONICS INC DATE OF NAME CHANGE: 20000315 SD 1 a17-14195_1sd.htm SD

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

Form SD

 

Specialized Disclosure Report

 

BRUKER CORPORATION

(Exact name of registrant as specified in its charter)

 

DELAWARE

 

000-30833

 

04-3110160

(State or Other Jurisdiction of
Incorporation)

 

(Commission File Number)

 

(IRS Employer Identification

Number)

 

40 Manning Road, Billerica, MA 01821

(Address of principal executive offices) (Zip Code)

 

Anthony L. Mattacchione                                (978) 663-3660

(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:

 

xRule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2016.

 

 

 



 

Section 1 — Conflict Minerals Disclosure

 

Item 1.01 Conflict Minerals Disclosure and Report

 

Pursuant to Rule 13p-1 (“Rule 13p-1”) promulgated under the Securities Exchange Act of 1934, as amended, Bruker Corporation (the “Company”) has filed this Specialized Disclosure Report (“Form SD”) for the reporting period January 1, 2016 to December 31, 2016.

 

A description of the measures the Company undertook to exercise due diligence on the source and chain of custody of conflict minerals contained in its Products is provided in the Conflict Minerals Report attached hereto as Exhibit 1.01. A copy of the Company’s Conflict Minerals Report is publicly available at www.bruker.com.

 

Item 1.02 Exhibits

 

As specified in Section 2, Item 2.01 of this Form SD, the Company is hereby filing its Conflict Minerals Report as Exhibit 1.01 to this Form SD.

 

Section 2 — Exhibits

 

Item 2.01 Exhibits

 

The following exhibit is filed as part of this report:

 

Exhibit 1.01 — Conflict Minerals Report of Bruker Corporation

 

2



 

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the duly authorized undersigned.

 

Bruker Corporation

 

 

 

 

 

By:

/s/ ANTHONY L. MATTACCHIONE

Date: May 26, 2017

 

Anthony L. Mattacchione

 

 

Chief Financial Officer and Senior Vice President

 

 

(Principal Financial Officer)

 

 

3



 

Exhibit Index

 

Exhibit No.

 

Description

1.01

 

Conflict Minerals Report of Bruker Corporation.

 

4


EX-1.01 2 a17-14195_1ex1d01.htm EX-1.01

Exhibit 1.01

 

Bruker Corporation

Conflict Minerals Report

For the Year Ended December 31, 2016

 

Introduction

 

This Conflict Minerals Report (“Report”) of Bruker Corporation and its consolidated subsidiaries (“Bruker,” “we,” “us,” “our” or the “Company”) for the year ended December 31, 2016 has been prepared pursuant to Rule 13p-1 (the “Rule”) promulgated under the Securities Exchange Act of 1934, as amended. The Rule requires disclosure of certain information by a company that manufactures, or contracts to manufacture, products that contain minerals specified in the Rule as “conflict minerals” that are necessary to the functionality or production of those products. For purposes of the Rule, “conflict minerals” include gold, columbite-tantalite (coltan), cassiterite, and wolframite and their derivatives, which are limited to tantalum, tin and tungsten. During the year ended December 31, 2016, we manufactured, or contracted to manufacture, certain products described below for which conflict minerals are necessary to their functionality or production.

 

We have adopted a Conflict Minerals Policy, which is publicly available at www.bruker.com under “About Us” in “Investors/Corporate Governance/Conduct”. This Report describes our due diligence measures on the source and chain of custody of conflict minerals necessary to the products we manufactured, or contracted to manufacture during 2016, our efforts to determine the mine or location of origin of the necessary conflict minerals, and, to the extent known to us, the facilities used to process the conflict minerals.

 

Products Covered by this Report

 

Bruker, together with its consolidated subsidiaries, is a developer, manufacturer and distributor of high-performance scientific instruments and analytical and diagnostic solutions that enable our customers to explore life and materials at microscopic, molecular and cellular levels. Many of our products are used to detect, measure and visualize structural characteristics of chemical, biological and industrial material samples. Our products address the rapidly evolving needs of a diverse array of customers in life science research, pharmaceuticals, biotechnology, applied markets, cell biology, clinical research, microbiology, in-vitro diagnostics, nanotechnology and materials science research.

 

These products, which we collectively refer to in this Report as the “Products,” include the following: magnetic resonance systems; preclinical imaging systems; mass spectrometry, infrared and Raman molecular spectroscopy, and chromatography instruments; portable analytical and bioanalytical detection systems and related products; X-ray imaging and analytical systems and devices; atomic force microscopy, stylus and optical metrology, fluorescence optical microscopy, and electron microscope devices; and high and low temperature superconducting materials and superconductivity enabled tools and devices.

 

Reasonable Country of Origin Inquiry

 

We conducted a good faith reasonable country of origin inquiry (“RCOI”) regarding the conflict minerals necessary to our Products’ functionality or production. As the initial step in our RCOI process, we reviewed parts and materials used in the manufacturing of our products to identify those that may include conflict minerals. Those parts and materials identified that may include conflict minerals necessary to the functionality or production of the relevant product were then linked to the direct supplier, or suppliers, from which we purchased the applicable parts or materials. Our RCOI was reasonably designed to determine whether such conflict minerals originated in the Democratic Republic of the Congo,

 



 

Angola, Burundi, Central African Republic, the Republic of the Congo, Rwanda, South Sudan, Tanzania, Uganda, or Zambia (collectively, the “Covered Countries”) or came from scrap or recycled sources.

 

Our supply chain with respect to the Products is complex, and we do not purchase conflict minerals directly from mines, smelters or refiners.  We purchase parts and materials directly, or contract with others to manufacture parts, from a large number of suppliers. In most cases, there are multiple layers of third parties in the supply chain between us and the ultimate upstream source of the conflict minerals. Due to the breadth and depth of our supply chain, we focused on engagement with direct suppliers that accounted for approximately 80% of our purchases of parts and materials where conflict minerals may be included. We requested our direct suppliers to provide information regarding the source and chain of custody of conflict minerals included in the Products, including smelter and country of origin information. To provide this information, our direct suppliers inquired with their suppliers to attempt to identify the ultimate source and country of origin of the conflict minerals included in the Products. We received responses from approximately 80% of those direct suppliers from whom we requested information. The percentage of suppliers that completed the requested survey, as compared to some other form of response, represented a small decrease from the 2015 reporting year.

 

Given the complexity of this multi-tiered process, many of our direct suppliers have been unable to identify, verify, and report to us the origin of conflict minerals contained in the Products manufactured in 2016. Based on our RCOI, we do not have sufficient information to conclusively determine all the countries of origin of the Conflict Minerals in the Products.  However, based on the information provided by our suppliers, we have reason to believe that some of the Conflict Minerals contained in the Products may have originated from Covered Countries and may not be from recycled or scrap sources.

 

Due Diligence Design and Process

 

Our due diligence process was designed to materially conform with the Organisation for Economic Co-operation and Development’s Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, including the Supplement on Tin, Tantalum and Tungsten and the Supplement on Gold (“OECD Framework”), an internationally recognized due diligence framework.

 

Our due diligence process in 2016 included the following:

 

Step 1 — Establish strong company management systems

 

·                  We have a Conflict Minerals Policy, which is available on the Company’s website at www.bruker.com under “About Us” in “Investors/Corporate Governance/Conduct”.

 

·                  We have an internal team sponsored by our senior management. The internal team includes representation from corporate finance and the Company’s operating divisions on a cross-functional basis, including purchasing, manufacturing, quality management and research and development. The internal team’s responsibilities include developing and executing the Company’s due diligence process.

 

·                  We utilized a third-party vendor to provide guidance and feedback as needed related to our RCOI procedures and due diligence process.

 

·                  We maintained a central electronic repository to store relevant documentation created or obtained during the due diligence process.

 



 

·                  We used a process document summarizing our RCOI and Due Diligence process as a guide to help in completing our procedures.

 

Step 2 — Identify and assess risks in the supply chain

 

·                  We conducted a survey of suppliers determined to be in-scope for RCOI in the 2016 reporting year, using the Conflict Minerals Reporting Template (“CFSI Reporting Template”) developed by the Conflict-Free Sourcing Initiative (“CFSI”) .

 

·                  We reviewed the surveys, and any other documentation, received from suppliers to validate if parts or materials provided to us include conflict minerals, and if so, to attempt to identify the smelter and country of origin. We reviewed responses for completeness and reliability based on a defined set of red flags criteria developed to help facilitate the review.

 

·                  We compared the smelter information provided by suppliers against the standard smelter list in the CFSI Reporting Template.  For those smelters included in the CFSI Reporting Template, we reviewed whether they are currently Conflict Free Smelter Program (“CFSP”) Compliant or Active.

 

Step 3 — Design and implement a strategy to respond to identified risks

 

·                  We used escalation procedures in an effort to obtain responses from all suppliers to which a survey was sent.

 

·                  We classified red flags identified into categories based on the process document noted above, with follow-up procedures performed based on the red flag category.  The follow-up procedures included sending a communication to the supplier to either request additional information or validate certain information provided, or performing additional internal review procedures.

 

·                  We held periodic status updates with the internal team to discuss survey response results.

 

·                  We briefed senior management on the status of our compliance obligations and due diligence efforts on a periodic basis.

 

Step 4 — Carry out independent third-party audit of smelter/refiner’s due diligence practices

 

·                  We do not have a direct relationship with the smelters and refiners used to process the conflict minerals necessary to the Products and do not perform audits of those smelters and refiners. We rely on industry efforts, such as the CFSI, to influence smelters and refineries to become certified as part of CFSI’s
Conflict Free Smelter Program.

 

Step 5 — Report annually on supply chain due diligence

 

·                  We have filed publicly a Form SD, which includes, as needed, a Conflict Minerals Report on an annual basis. This Report is available on the Company’s website at www.bruker.com under “About Us” in “Investors/ Corporate Governance/Conduct”.

 



 

Due Diligence Results

 

We received responses from approximately 80% of those direct suppliers from whom we requested information. The responses identified potential smelters around the world from which our direct suppliers directly or indirectly source conflict minerals. In the majority of cases, the responses from direct suppliers noted that not all smelters had been identified and did not completely list all the smelters used in their supply chain. In addition, most survey responses were provided on a company-wide basis and did not differentiate as to parts and materials sold to us. Of the potential smelters provided in the responses, 338 were included in the standard smelter listing with the CFSI Reporting Template. As of May 4, 2017, 244 of the 338 smelters, or 72%, were verified as CFSP Compliant according to information published by CFSI, with an additional 13 verified as an Active smelter. See Exhibit A for a listing of the standard smelters provided from responses received, including smelters verified as CFSP Compliant or Active as of May 4, 2017.

 

As noted above, our supply chain is complex and contains many layers for which many of our direct suppliers have been unable to identify, verify and report to us the origin of conflict minerals. For 2016, based on survey responses from our suppliers, we did not find that any of the necessary conflict minerals contained in the Products directly or indirectly financed or benefitted armed groups in the Covered Countries. However, we did not have sufficient information to conclude that any of our products were “DRC conflict free.”

 

Future Due Diligence Considerations

 

We intend to incorporate the following measures, among others, to further develop our due diligence program and to mitigate any risk that the necessary conflict minerals in our products could benefit armed groups in the Covered Countries. Development of the due diligence program is expected to include:

 

·                  Re-examining our scoping approach to ensure we have surveyed a significant amount of our supplier spend where conflict minerals may be included.

 

·                  Continuing to engage with our suppliers to increase the survey response rate and to improve the accuracy and completeness of the information provided to us on the survey responses.

 

·                  To the extent any products or materials are reasonably determined to not be conflict free, encouraging our suppliers to implement responsible sourcing practices and obtain their products from smelters and refiners recognized as conflict free by a recognized program such as the CFSI Conflict Free Smelter Program.

 



 

Exhibit A — Smelter Listing (1)

 

Mineral

 

Smelter

 

Facility Location

Gold

 

Abington Reldan Metals, LLC

 

United States

Gold

 

Advanced Chemical Company*

 

United States

Gold

 

Aida Chemical Industries Co., Ltd.*

 

Japan

Gold

 

Al Etihad Gold Refinery DMCC*

 

United Arab Emirates

Gold

 

Allgemeine Gold-und Silberscheideanstalt A.G.*

 

Germany

Gold

 

Almalyk Mining and Metallurgical Complex (AMMC)*

 

Uzbekistan

Gold

 

AngloGold Ashanti Córrego do Sítio Mineração*

 

Brazil

Gold

 

Argor-Heraeus S.A.*

 

Switzerland

Gold

 

Asahi Pretec Corp.*

 

Japan

Gold

 

Asahi Refining Canada Ltd.*

 

Canada

Gold

 

Asahi Refining USA Inc.*

 

United States

Gold

 

Asaka Riken Co., Ltd.*

 

Japan

Gold

 

Atasay Kuyumculuk Sanayi Ve Ticaret A.S.

 

Turkey

Gold

 

AU Traders and Refiners*

 

South Africa

Gold

 

AURA-II

 

United States

Gold

 

Aurubis AG*

 

Germany

Gold

 

Bangalore Refinery**

 

India

Gold

 

Bangko Sentral ng Pilipinas (Central Bank of the Philippines)*

 

Philippines

Gold

 

Boliden AB*

 

Sweden

Gold

 

C. Hafner GmbH + Co. KG*

 

Germany

Gold

 

Caridad

 

Mexico

Gold

 

CCR Refinery - Glencore Canada Corporation*

 

Canada

Gold

 

Cendres + Métaux S.A.**

 

Switzerland

Gold

 

Chimet S.p.A.*

 

Italy

Gold

 

Chugai Mining

 

Japan

Gold

 

Daejin Indus Co., Ltd.*

 

Korea, Republic Of

Gold

 

Daye Non-Ferrous Metals Mining Ltd.

 

China

Gold

 

Degussa Sonne / Mond Goldhandel GmbH

 

Germany

Gold

 

DODUCO GmbH*

 

Germany

Gold

 

Dowa*

 

Japan

Gold

 

DSC (Do Sung Corporation)*

 

Korea, Republic Of

Gold

 

Eco-System Recycling Co., Ltd.*

 

Japan

Gold

 

Elemetal Refining, LLC

 

United States

Gold

 

Emirates Gold DMCC*

 

United Arab Emirates

Gold

 

Faggi Enrico S.p.A.

 

Italy

Gold

 

Fidelity Printers and Refiners Ltd.

 

Zimbabwe

Gold

 

Gansu Seemine Material Hi-Tech Co., Ltd.

 

China

Gold

 

Geib Refining Corporation*

 

United States

Gold

 

Great Wall Precious Metals Co., Ltd. of CBPM

 

China

Gold

 

Guangdong Jinding Gold Limited

 

China

Gold

 

Gujarat Gold Centre

 

India

Gold

 

Guoda Safina High-Tech Environmental Refinery Co., Ltd.

 

China

Gold

 

Hangzhou Fuchunjiang Smelting Co., Ltd.

 

China

 



 

Mineral

 

Smelter

 

Facility Location

Gold

 

Heimerle + Meule GmbH*

 

Germany

Gold

 

Heraeus Ltd. Hong Kong*

 

China

Gold

 

Heraeus Precious Metals GmbH & Co. KG*

 

Germany

Gold

 

Hunan Chenzhou Mining Co., Ltd.

 

China

Gold

 

HwaSeong CJ Co., Ltd.

 

Korea, Republic Of

Gold

 

Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.*

 

China

Gold

 

Ishifuku Metal Industry Co., Ltd.*

 

Japan

Gold

 

Istanbul Gold Refinery*

 

Turkey

Gold

 

Japan Mint*

 

Japan

Gold

 

Jiangxi Copper Co., Ltd.*

 

China

Gold

 

JSC Ekaterinburg Non-Ferrous Metal Processing Plant*

 

Russian Federation

Gold

 

JSC Uralelectromed*

 

Russian Federation

Gold

 

JX Nippon Mining & Metals Co., Ltd.*

 

Japan

Gold

 

Kaloti Precious Metals

 

United Arab Emirates

Gold

 

Kazakhmys Smelting LLC

 

Kazakhstan

Gold

 

Kazzinc*

 

Kazakhstan

Gold

 

Kennecott Utah Copper LLC*

 

United States

Gold

 

KGHM Polska Miedź Spółka Akcyjna

 

Poland

Gold

 

Kojima Chemicals Co., Ltd.*

 

Japan

Gold

 

Korea Metal Co., Ltd.

 

Korea, Republic Of

Gold

 

Korea Zinc Co., Ltd.*

 

Korea, Republic Of

Gold

 

Kyrgyzaltyn JSC*

 

Kyrgyzstan

Gold

 

Kyshtym Copper-Electrolytic Plant ZAO

 

Russian Federation

Gold

 

L’azurde Company For Jewelry

 

Saudi Arabia

Gold

 

Lingbao Gold Co., Ltd.

 

China

Gold

 

Lingbao Jinyuan Tonghui Refinery Co., Ltd.

 

China

Gold

 

L’Orfebre S.A.

 

Andorra

Gold

 

LS-NIKKO Copper Inc.*

 

Korea, Republic Of

Gold

 

Luoyang Zijin Yinhui Gold Refinery Co., Ltd.

 

China

Gold

 

Materion*

 

United States

Gold

 

Matsuda Sangyo Co., Ltd.*

 

Japan

Gold

 

Metalor Technologies (Hong Kong) Ltd.*

 

China

Gold

 

Metalor Technologies (Singapore) Pte., Ltd.*

 

Singapore

Gold

 

Metalor Technologies (Suzhou) Ltd.*

 

China

Gold

 

Metalor Technologies S.A.*

 

Switzerland

Gold

 

Metalor USA Refining Corporation*

 

United States

Gold

 

Metalúrgica Met-Mex Peñoles S.A. De C.V.*

 

Mexico

Gold

 

Mitsubishi Materials Corporation*

 

Japan

Gold

 

Mitsui Mining and Smelting Co., Ltd.*

 

Japan

Gold

 

MMTC-PAMP India Pvt., Ltd.*

 

India

Gold

 

Modeltech Sdn Bhd**

 

Malaysia

Gold

 

Morris and Watson

 

New Zealand

Gold

 

Morris and Watson Gold Coast

 

Australia

Gold

 

Moscow Special Alloys Processing Plant*

 

Russian Federation

Gold

 

Nadir Metal Rafineri San. Ve Tic. A.Ş.*

 

Turkey

 



 

Mineral

 

Smelter

 

Facility Location

Gold

 

Navoi Mining and Metallurgical Combinat**

 

Uzbekistan

Gold

 

Nihon Material Co., Ltd.*

 

Japan

Gold

 

Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH*

 

Austria

Gold

 

Ohura Precious Metal Industry Co., Ltd.*

 

Japan

Gold

 

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

 

Russian Federation

Gold

 

OJSC Novosibirsk Refinery*

 

Russian Federation

Gold

 

PAMP S.A.*

 

Switzerland

Gold

 

Pease & Curren

 

United States

Gold

 

Penglai Penggang Gold Industry Co., Ltd.

 

China

Gold

 

Prioksky Plant of Non-Ferrous Metals*

 

Russian Federation

Gold

 

PT Aneka Tambang (Persero) Tbk*

 

Indonesia

Gold

 

PX Précinox S.A.*

 

Switzerland

Gold

 

Rand Refinery (Pty) Ltd.*

 

South Africa

Gold

 

Remondis Argentia B.V.

 

Netherlands

Gold

 

Republic Metals Corporation*

 

United States

Gold

 

Royal Canadian Mint*

 

Canada

Gold

 

SAAMP

 

France

Gold

 

Sabin Metal Corp.

 

United States

Gold

 

SAFINA A.S.**

 

Czech Republic

Gold

 

Sai Refinery

 

India

Gold

 

Samduck Precious Metals*

 

Korea, Republic Of

Gold

 

SAMWON Metals Corp.

 

Korea, Republic Of

Gold

 

SAXONIA Edelmetalle GmbH*

 

Germany

Gold

 

Schone Edelmetaal B.V.*

 

Netherlands

Gold

 

SEMPSA Joyería Platería S.A.*

 

Spain

Gold

 

Shandong Tiancheng Biological Gold Industrial Co., Ltd.

 

China

Gold

 

Shandong Zhaojin Gold & Silver Refinery Co., Ltd.*

 

China

Gold

 

Sichuan Tianze Precious Metals Co., Ltd.*

 

China

Gold

 

Singway Technology Co., Ltd.*

 

Taiwan

Gold

 

So Accurate Group, Inc.

 

United States

Gold

 

SOE Shyolkovsky Factory of Secondary Precious Metals*

 

Russian Federation

Gold

 

Solar Applied Materials Technology Corp.*

 

Taiwan

Gold

 

Sudan Gold Refinery

 

Sudan

Gold

 

Sumitomo Metal Mining Co., Ltd.*

 

Japan

Gold

 

SungEel HiTech*

 

Korea, Republic Of

Gold

 

T.C.A S.p.A*

 

Italy

Gold

 

Tanaka Kikinzoku Kogyo K.K.*

 

Japan

Gold

 

The Refinery of Shandong Gold Mining Co., Ltd.*

 

China

Gold

 

Tokuriki Honten Co., Ltd.*

 

Japan

Gold

 

Tongling Nonferrous Metals Group Co., Ltd.

 

China

Gold

 

Tony Goetz NV**

 

Belgium

Gold

 

TOO Tau-Ken-Altyn

 

Kazakhstan

Gold

 

Torecom*

 

Korea, Republic Of

Gold

 

Umicore Brasil Ltda.*

 

Brazil

Gold

 

Umicore Precious Metals Thailand*

 

Thailand

 



 

Mineral

 

Smelter

 

Facility Location

Gold

 

Umicore S.A. Business Unit Precious Metals Refining*

 

Belgium

Gold

 

United Precious Metal Refining, Inc.*

 

United States

Gold

 

Universal Precious Metals Refining Zambia

 

Zambia

Gold

 

Valcambi S.A.*

 

Switzerland

Gold

 

Western Australian Mint trading as The Perth Mint*

 

Australia

Gold

 

WIELAND Edelmetalle GmbH*

 

Germany

Gold

 

Yamamoto Precious Metal Co., Ltd.*

 

Japan

Gold

 

Yokohama Metal Co., Ltd.*

 

Japan

Gold

 

Yunnan Copper Industry Co., Ltd.

 

China

Gold

 

Zhongyuan Gold Smelter of Zhongjin Gold Corporation*

 

China

Gold

 

Zijin Mining Group Co., Ltd. Gold Refinery*

 

China

Tantalum

 

Changsha South Tantalum Niobium Co., Ltd.*

 

China

Tantalum

 

Conghua Tantalum and Niobium Smeltry*

 

China

Tantalum

 

D Block Metals, LLC*

 

United States

Tantalum

 

Duoluoshan*

 

China

Tantalum

 

E.S.R. Electronics

 

United States

Tantalum

 

Exotech Inc.*

 

United States

Tantalum

 

F&X Electro-Materials Ltd.*

 

China

Tantalum

 

FIR Metals & Resource Ltd.*

 

China

Tantalum

 

Global Advanced Metals Aizu*

 

Japan

Tantalum

 

Global Advanced Metals Boyertown*

 

United States

Tantalum

 

Guangdong Zhiyuan New Material Co., Ltd.*

 

China

Tantalum

 

H.C. Starck Co., Ltd.*

 

Thailand

Tantalum

 

H.C. Starck GmbH Goslar*

 

Germany

Tantalum

 

H.C. Starck GmbH Laufenburg

 

Germany

Tantalum

 

H.C. Starck Hermsdorf GmbH*

 

Germany

Tantalum

 

H.C. Starck Inc.*

 

United States

Tantalum

 

H.C. Starck Ltd.*

 

Japan

Tantalum

 

H.C. Starck Smelting GmbH & Co. KG*

 

Germany

Tantalum

 

Hengyang King Xing Lifeng New Materials Co., Ltd.*

 

China

Tantalum

 

Hi-Temp Specialty Metals, Inc.*

 

United States

Tantalum

 

Jiangxi Dinghai Tantalum & Niobium Co., Ltd.*

 

China

Tantalum

 

Jiangxi Tuohong New Raw Material*

 

China

Tantalum

 

JiuJiang JinXin Nonferrous Metals Co., Ltd.*

 

China

Tantalum

 

Jiujiang Tanbre Co., Ltd.*

 

China

Tantalum

 

Jiujiang Zhongao Tantalum & Niobium Co., Ltd.*

 

China

Tantalum

 

KEMET Blue Metals*

 

Mexico

Tantalum

 

KEMET Blue Powder*

 

United States

Tantalum

 

King-Tan Tantalum Industry Ltd.*

 

China

Tantalum

 

LSM Brasil S.A.*

 

Brazil

Tantalum

 

Metallurgical Products India Pvt., Ltd.*

 

India

Tantalum

 

Mineração Taboca S.A.*

 

Brazil

Tantalum

 

Mitsui Mining & Smelting*

 

Japan

Tantalum

 

Molycorp Silmet A.S.*

 

Estonia

Tantalum

 

Ningxia Orient Tantalum Industry Co., Ltd.*

 

China

 



 

Mineral

 

Smelter

 

Facility Location

Tantalum

 

Plansee SE Liezen

 

Austria

Tantalum

 

Plansee SE Reutte

 

Austria

Tantalum

 

Power Resources Ltd.*

 

Macedonia

Tantalum

 

QuantumClean*

 

United States

Tantalum

 

Resind Indústria e Comércio Ltda.*

 

Brazil

Tantalum

 

RFH Tantalum Smeltry Co., Ltd.*

 

China

Tantalum

 

Solikamsk Magnesium Works OAO*

 

Russian Federation

Tantalum

 

Taki Chemical Co., Ltd.*

 

Japan

Tantalum

 

Telex Metals*

 

United States

Tantalum

 

Tranzact, Inc.

 

United States

Tantalum

 

Ulba Metallurgical Plant JSC*

 

Kazakhstan

Tantalum

 

XinXing HaoRong Electronic Material Co., Ltd.*

 

China

Tantalum

 

Yichun Jin Yang Rare Metal Co., Ltd.*

 

China

Tantalum

 

Zhuzhou Cemented Carbide*

 

China

Tin

 

Alpha*

 

United States

Tin

 

An Thai Minerals Co., Ltd.

 

Vietnam

Tin

 

An Vinh Joint Stock Mineral Processing Company

 

Vietnam

Tin

 

Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.*

 

China

Tin

 

China Tin Group Co., Ltd.*

 

China

Tin

 

CNMC (Guangxi) PGMA Co., Ltd.

 

China

Tin

 

Cooperativa Metalurgica de Rondônia Ltda.*

 

Brazil

Tin

 

CV Ayi Jaya*

 

Indonesia

Tin

 

CV Dua Sekawan*

 

Indonesia

Tin

 

CV Gita Pesona*

 

Indonesia

Tin

 

CV Serumpun Sebalai*

 

Indonesia

Tin

 

CV Tiga Sekawan*

 

Indonesia

Tin

 

CV United Smelting*

 

Indonesia

Tin

 

CV Venus Inti Perkasa*

 

Indonesia

Tin

 

Dowa*

 

Japan

Tin

 

Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company**

 

Vietnam

Tin

 

Elmet S.L.U.*

 

Sudan

Tin

 

EM Vinto*

 

Bolivia

Tin

 

Estanho de Rondônia S.A.

 

Brazil

Tin

 

Feinhütte Halsbrücke GmbH

 

Germany

Tin

 

Fenix Metals*

 

Poland

Tin

 

Gejiu Fengming Metallurgy Chemical Plant*

 

China

Tin

 

Gejiu Jinye Mineral Company*

 

China

Tin

 

Gejiu Kai Meng Industry and Trade LLC**

 

China

Tin

 

Gejiu Non-Ferrous Metal Processing Co., Ltd.*

 

China

Tin

 

Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.**

 

China

Tin

 

Gejiu Zili Mining And Metallurgy Co., Ltd.

 

China

Tin

 

Guanyang Guida Nonferrous Metal Smelting Plant*

 

China

Tin

 

HuiChang Hill Tin Industry Co., Ltd.*

 

China

Tin

 

Huichang Jinshunda Tin Co., Ltd.**

 

China

Tin

 

Jiangxi Ketai Advanced Material Co., Ltd.*

 

China

 



 

Mineral

 

Smelter

 

Facility Location

Tin

 

Linwu Xianggui Ore Smelting Co., Ltd.

 

China

Tin

 

Magnu’s Minerais Metais e Ligas Ltda.*

 

Brazil

Tin

 

Malaysia Smelting Corporation (MSC)*

 

Malaysia

Tin

 

Melt Metais e Ligas S.A.*

 

Brazil

Tin

 

Metallic Resources, Inc.*

 

United States

Tin

 

Metallo-Chimique N.V.*

 

Belgium

Tin

 

Mineração Taboca S.A.*

 

Brazil

Tin

 

Minsur*

 

Peru

Tin

 

Mitsubishi Materials Corporation*

 

Japan

Tin

 

Modeltech Sdn Bhd**

 

Malaysia

Tin

 

Nankang Nanshan Tin Manufactory Co., Ltd.**

 

China

Tin

 

Nghe Tinh Non-Ferrous Metals Joint Stock Company

 

Vietnam

Tin

 

O.M. Manufacturing (Thailand) Co., Ltd.*

 

Thailand

Tin

 

O.M. Manufacturing Philippines, Inc.*

 

Philippines

Tin

 

Operaciones Metalurgical S.A.*

 

Bolivia

Tin

 

Phoenix Metal Ltd.

 

Rwanda

Tin

 

PT Alam Lestari Kencana

 

Indonesia

Tin

 

PT Aries Kencana Sejahtera*

 

Indonesia

Tin

 

PT Artha Cipta Langgeng*

 

Indonesia

Tin

 

PT ATD Makmur Mandiri Jaya*

 

Indonesia

Tin

 

PT Babel Inti Perkasa*

 

Indonesia

Tin

 

PT Bangka Kudai Tin

 

Indonesia

Tin

 

PT Bangka Prima Tin*

 

Indonesia

Tin

 

PT Bangka Timah Utama Sejahtera

 

Indonesia

Tin

 

PT Bangka Tin Industry*

 

Indonesia

Tin

 

PT Belitung Industri Sejahtera*

 

Indonesia

Tin

 

PT BilliTin Makmur Lestari

 

Indonesia

Tin

 

PT Bukit Timah*

 

Indonesia

Tin

 

PT Cipta Persada Mulia

 

Indonesia

Tin

 

PT DS Jaya Abadi*

 

Indonesia

Tin

 

PT Eunindo Usaha Mandiri*

 

Indonesia

Tin

 

PT Fang Di MulTindo

 

Indonesia

Tin

 

PT Inti Stania Prima*

 

Indonesia

Tin

 

PT Justindo

 

Indonesia

Tin

 

PT Karimun Mining*

 

Indonesia

Tin

 

PT Kijang Jaya Mandiri*

 

Indonesia

Tin

 

PT Lautan Harmonis Sejahtera*

 

Indonesia

Tin

 

PT Menara Cipta Mulia*

 

Indonesia

Tin

 

PT Mitra Stania Prima*

 

Indonesia

Tin

 

PT O.M. Indonesia*

 

Indonesia

Tin

 

PT Panca Mega Persada*

 

Indonesia

Tin

 

PT Pelat Timah Nusantara Tbk

 

Indonesia

Tin

 

PT Prima Timah Utama*

 

Indonesia

Tin

 

PT Refined Bangka Tin*

 

Indonesia

Tin

 

PT Sariwiguna Binasentosa*

 

Indonesia

 



 

Mineral

 

Smelter

 

Facility Location

Tin

 

PT Seirama Tin Investment

 

Indonesia

Tin

 

PT Stanindo Inti Perkasa*

 

Indonesia

Tin

 

PT Sukses Inti Makmur*

 

Indonesia

Tin

 

PT Sumber Jaya Indah*

 

Indonesia

Tin

 

PT Timah (Persero) Tbk Kundur*

 

Indonesia

Tin

 

PT Timah (Persero) Tbk Mentok*

 

Indonesia

Tin

 

PT Tinindo Inter Nusa*

 

Indonesia

Tin

 

PT Tirus Putra Mandiri

 

Indonesia

Tin

 

PT Tommy Utama*

 

Indonesia

Tin

 

PT Wahana Perkit Jaya

 

Indonesia

Tin

 

Resind Indústria e Comércio Ltda.*

 

Brazil

Tin

 

Rui Da Hung*

 

Taiwan

Tin

 

Soft Metais Ltda.*

 

Brazil

Tin

 

Thaisarco*

 

Thailand

Tin

 

Tuyen Quang Non-Ferrous Metals Joint Stock Company

 

Vietnam

Tin

 

VQB Mineral and Trading Group JSC*

 

Vietnam

Tin

 

White Solder Metalurgia e Mineração Ltda.*

 

Brazil

Tin

 

Yunnan Chengfeng Non-ferrous Metals Co., Ltd.**

 

China

Tin

 

Yunnan Tin Company Limited*

 

China

Tungsten

 

A.L.M.T. TUNGSTEN Corp.*

 

Japan

Tungsten

 

ACL Metais Eireli**

 

Brazil

Tungsten

 

Asia Tungsten Products Vietnam Ltd.*

 

Vietnam

Tungsten

 

Chenzhou Diamond Tungsten Products Co., Ltd.*

 

China

Tungsten

 

Chongyi Zhangyuan Tungsten Co., Ltd.*

 

China

Tungsten

 

Dayu Jincheng Tungsten Industry Co., Ltd.

 

China

Tungsten

 

Dayu Weiliang Tungsten Co., Ltd.

 

China

Tungsten

 

Fujian Jinxin Tungsten Co., Ltd.*

 

China

Tungsten

 

Ganxian Shirui New Material Co., Ltd.

 

China

Tungsten

 

Ganzhou Huaxing Tungsten Products Co., Ltd.*

 

China

Tungsten

 

Ganzhou Jiangwu Ferrotungsten Co., Ltd.*

 

China

Tungsten

 

Ganzhou Non-ferrous Metals Smelting Co., Ltd.

 

China

Tungsten

 

Ganzhou Seadragon W & Mo Co., Ltd.*

 

China

Tungsten

 

Ganzhou Yatai Tungsten Co., Ltd.

 

China

Tungsten

 

Global Tungsten & Powders Corp.*

 

United States

Tungsten

 

Guangdong Xianglu Tungsten Co., Ltd.*

 

China

Tungsten

 

H.C. Starck GmbH*

 

Germany

Tungsten

 

H.C. Starck Smelting GmbH & Co. KG*

 

Germany

Tungsten

 

Hunan Chenzhou Mining Co., Ltd.*

 

China

Tungsten

 

Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji*

 

China

Tungsten

 

Hunan Chuangda Vanadium Tungsten Co., Ltd. Yanglin

 

China

Tungsten

 

Hunan Chunchang Nonferrous Metals Co., Ltd.*

 

China

Tungsten

 

Hydrometallurg, JSC*

 

Russian Federation

Tungsten

 

Japan New Metals Co., Ltd.*

 

Japan

Tungsten

 

Jiangwu H.C. Starck Tungsten Products Co., Ltd.*

 

China

Tungsten

 

Jiangxi Dayu Longxintai Tungsten Co., Ltd.

 

China

 



 

Mineral

 

Smelter

 

Facility Location

Tungsten

 

Jiangxi Gan Bei Tungsten Co., Ltd.*

 

China

Tungsten

 

Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.

 

China

Tungsten

 

Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.*

 

China

Tungsten

 

Jiangxi Xinsheng Tungsten Industry Co., Ltd.*

 

China

Tungsten

 

Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.*

 

China

Tungsten

 

Jiangxi Yaosheng Tungsten Co., Ltd.*

 

China

Tungsten

 

Kennametal Fallon*

 

United States

Tungsten

 

Kennametal Huntsville*

 

United States

Tungsten

 

Malipo Haiyu Tungsten Co., Ltd.*

 

China

Tungsten

 

Moliren Ltd*

 

Russian Federation

Tungsten

 

Niagara Refining LLC*

 

United States

Tungsten

 

Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC*

 

Vietnam

Tungsten

 

Philippine Chuangxin Industrial Co., Inc.*

 

Philippines

Tungsten

 

Pobedit, JSC

 

Russian Federation

Tungsten

 

Sanher Tungsten Vietnam Co., Ltd.

 

Vietnam

Tungsten

 

South-East Nonferrous Metal Company Limited of Hengyang City*

 

China

Tungsten

 

Tejing (Vietnam) Tungsten Co., Ltd.*

 

Vietnam

Tungsten

 

Unecha Refractory metals plant*

 

Russian Federation

Tungsten

 

Vietnam Youngsun Tungsten Industry Co., Ltd.*

 

Vietnam

Tungsten

 

Wolfram Bergbau und Hütten AG*

 

Austria

Tungsten

 

Woltech Korea Co., Ltd.*

 

Korea, Republic Of

Tungsten

 

Xiamen Tungsten (H.C.) Co., Ltd.*

 

China

Tungsten

 

Xiamen Tungsten Co., Ltd.*

 

China

Tungsten

 

Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.*

 

China

Tungsten

 

Xinhai Rendan Shaoguan Tungsten Co., Ltd.*

 

China

 


(1)         As noted in the Due Diligence Results section of this report, most survey responses from direct suppliers were provided on a company-wide basis and did not differentiate as to parts and materials sold to us. In addition, many of the responses noted that not all smelters had been identified and did not completely list all the smelters used in their supply chain.

 

*                 Verified as a Compliant smelter as of May 4, 2017, meaning the smelter is listed as compliant with the CFSP assessment protocols, including through mutual recognition, or is listed as “Re-audit in process” by the CFSI.

 

**          Verified as an Active Smelter as of May 4, 2017, a CFSI designation meaning that the smelter is listed as having submitted a signed Agreement for the Exchange of Confidential Information and Auditee Agreement contracts to the CFSP.