UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM SD
Specialized Disclosure Report
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INTEL CORPORATION
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(Exact name of the registrant as specified in its charter)
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Delaware
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000-06217
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94-1672743
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(State or other jurisdiction of incorporation)
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(Commission File Number)
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(IRS Employer Identification No.)
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2200 Mission College Boulevard, Santa Clara, California
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95054-1549
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(Address of principal executive offices)
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(Zip code)
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Cary I. Klafter
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(408) 765-8080
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(Name and telephone number, including area code, of the person to contact in connection with this report.)
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Introduction
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In 2008, we established the Electronic Industry Citizenship Coalition (“EICC”) and Global e-Sustainability Initiative (“GeSI”) Extractives Working Group and co-chaired this working group through 2013. At Intel, an internal team was established with the goal of establishing conflict free supply chains.
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In 2009, we engaged with the non-governmental organization “The Enough Project” to consider steps to be taken to establish a conflict free supply chain. As part of the initial efforts of the Intel team, we conducted our first conflict minerals supply chain survey and undertook our first smelter visit that year.
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Since 2009, we visited over 85 smelters and refiners in 21 countries with the goal of providing education on conflict minerals, collecting country of origin and chain of custody information regarding the necessary conflict minerals in our supply chain, and encouraging participation in the Conflict-Free Smelter Program (“CFSP”), an initiative organized by the EICC and GeSI.
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In 2010, we first visited the DRC to conduct on-the-ground reviews of the conflict minerals trade in the region. Our second visit to the DRC took place in 2013.
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In 2010, we developed the first version of our conflict minerals sourcing policy, entitled “Socially Responsible Sourcing Statement”.
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In 2010 and 2011, under our leadership and with the collaboration of EICC and GeSI member companies and other industry groups, the Conflict-Free Smelter Program released the audit protocols for tantalum, tin, tungsten and gold smelters.
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In 2011, we supported in-region mining efforts by participating in the “Solutions for Hope” pilot to obtain tantalum from conflict free sources in the DRC and in the Public-Private Alliance for Responsible Minerals Trade.
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In 2012, we demonstrated our commitment to continuing action by signing a multi-stakeholder statement called the “Challenge to the Conflict Mineral Rule”.
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In 2012, to continue to drive responsible sourcing programs forward, we co-founded a Smelter Incentive Program which helped pay for smelter audits, reducing the direct financial burden to smelters and refiners to help encourage their early participation. In 2013, we also donated funds directly to the Conflict Free Sourcing Initiative to continue to fund smelter and refiner audits.
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In 2012, we achieved our goal of manufacturing microprocessors with tantalum sourced from conflict free supply chains.
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In 2013, we accomplished our goal of manufacturing microprocessors that are DRC conflict free.
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In 2014, we are continuing our work to establish conflict free supply chains for these conflict minerals.
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Exercise due diligence with relevant suppliers consistent with the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas and encourage our suppliers to do likewise with their suppliers.
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Provide, and expect our suppliers to cooperate in providing, due diligence information to confirm the tantalum, tin, tungsten and gold in our supply chain are conflict free.
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Collaborate with our suppliers and others on industry-wide solutions to enable products that are DRC conflict free.
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Commit to transparency in the implementation of this policy by making available reports on our progress to relevant stakeholders and the public.
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a)
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Intel has manufactured and contracted to manufacture products as to which conflict minerals are necessary to the functionality or production of our products.
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b)
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Based on a reasonable country of origin inquiry (“RCOI”), Intel knows or has reason to believe that a portion of its necessary conflict minerals originated or may have originated in the Covered Countries and knows or has reason to believe that those necessary conflict minerals may not be solely from recycled or scrap sources.
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Conflict Mineral
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Countries of origin and other sources may include the following
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Tantalum
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Australia, Brazil, Burundi, Canada, China, DRC, Egypt, Estonia, Ethiopia, Germany, India, Japan, Kazakhstan, Malaysia, Mozambique, Niger, Nigeria, Russian Federation, Rwanda, South Africa, Thailand, United States, Zimbabwe and recycled or scrap sources
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Tin
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Australia, Belgium, Bolivia, Brazil, Canada, China, DRC, India, Indonesia, Japan, Malaysia, Mexico, Peru, Philippines, Russian Federation, Rwanda, Thailand, United States and recycled or scrap sources
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Tungsten
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Australia, Austria, Bolivia, Brazil, Burundi, Cambodia, Canada, China, Colombia, Germany, Indonesia, Japan, Mexico, Nigeria, Peru, Portugal, Russian Federation, Rwanda, South Africa, Spain, Thailand, United States, Vietnam and recycled or scrap sources
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Gold
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Argentina, Armenia, Australia, Bolivia, Brazil, Bulgaria, Canada, Chile, China, Colombia,
Ecuador, Egypt, Eritrea, Ethiopia, Fiji, Finland, Georgia, Germany, Ghana, Guatemala,
Honduras, Hong Kong, Indonesia, Japan, Kazakhstan, Republic of Korea, Lao People's Democratic Republic, Malaysia, Mali, Mexico, Mongolia, New Zealand, Nicaragua, Panama, Papua New Guinea, Peru, Philippines, Russian Federation, Saudi Arabia, Singapore, Solomon Islands, Somalia, South Africa, South Sudan, Suriname, Switzerland, Taiwan, United Republic of Tanzania, Thailand, Turkey, United Kingdom, United States, Uruguay, Uzbekistan, Venezuela and recycled or scrap sources
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Item 1.02
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Exhibit
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SECTION 2 – EXHIBITS
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Item 2.01
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Exhibits
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Exhibit 1.02 – Conflict Minerals Report as required by Items 1.01 and 1.02 of this Form.
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SIGNATURES
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INTEL CORPORATION
(Registrant)
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By:
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/s/ Brian M. Krzanich
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May 22, 2014
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Brian M. Krzanich
Chief Executive Officer
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(Date)
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1.
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Establish strong company management systems:
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Operate an internal “Conflict Minerals” team led by our Global Sourcing and Procurement organization to implement our Conflict Minerals Sourcing Policy, which policy is set forth in our Form SD. Regularly review such implementation efforts with our Chief Executive Officer (“CEO”) and senior management of our Technology and Manufacturing Group (“TMG”).
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Implement a supply chain system of controls and transparency through the use of due diligence tools created by the Conflict-Free Sourcing Initiative (“CFSI”) which includes the Conflict Minerals Reporting Template (“CMRT”), a supply chain survey designed to identify the smelters and refiners that process the necessary conflict minerals contained in our products.
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Incorporate requirements related to conflict minerals in our standard template for supplier contracts and specifications so that current and future suppliers are obligated to comply with our policies on conflict minerals, including participation in a supply chain survey and related due diligence activities.
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Maintain records relating to our conflict minerals program in accordance with our record retention guidelines.
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Enable employees, suppliers and other stakeholders to report any concerns relating to our conflict minerals program through our online corporate responsibility reporting and grievance mechanism.
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2.
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Identify and assess risks in our supply chain:
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Identify direct suppliers that supply products to Intel that may contain conflict minerals.
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Conduct a supply chain survey using the CMRT, requesting direct suppliers to identify smelters and refiners and country of origin of the conflict minerals in products they supply to Intel.
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Contact direct suppliers that do not respond to the supply chain survey by a specified date, requesting their responses.
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Compare smelters and refiners identified by the supply chain survey against the list of facilities that have received a “conflict free” designation from the Conflict Free Smelter Program (“CFSP”) or other independent third party audit program, which designations provide country of origin and due diligence information on the conflict minerals sourced by such facilities.
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Document country of origin information for the smelters and refiners identified by the supply chain survey as provided from multiple sources including the supply chain survey, the CFSI and directly from smelters and refiners that Intel contacts.
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3.
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Design and implement a strategy to respond to identified risks:
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Design and adopt a risk management plan that includes due diligence reviews of suppliers, smelters and refiners that may be sourcing or processing conflict minerals from the Covered Countries which may not be from recycled or scrap sources. Our due diligence measures are significantly based on multi-industry due diligence initiatives to evaluate the procurement practices of the smelters and refiners that process and provide those conflict minerals to our supply chain.
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Implement a risk mitigation response plan to monitor and track suppliers, smelters and refiners identified as not meeting the requirements set forth in our Conflict Minerals Sourcing Policy or contractual requirements to determine their progress in meeting those requirements.
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Perform risk mitigation efforts to bring suppliers into conformity with our Conflict Minerals Sourcing Policy and contractual requirements, which efforts may include working with direct suppliers to consider an alternative source for the necessary conflict minerals.
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Contact selected smelter and refiner facilities that have not received a “conflict free” designation from an independent third party audit program to encourage their participation in such a program and request country of origin and chain of custody information.
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Provide progress reports to our CEO and TMG senior management summarizing our risk mitigation efforts.
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As required by the Rule, obtain an independent private sector audit of this Report.
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4.
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Support the development and implementation of independent third party audits of smelters’ and refiners’ sourcing:
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Support development and implementation of due diligence practices and tools such as the CMRT through our membership, participation and leadership within the CFSI and CFSI sub-teams.
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Support development and implementation of the CFSP by writing the CFSP audit protocol and procedures in conjunction with CFSI member companies and other industry groups.
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5.
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Report on supply chain due diligence:
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Publicly communicate our Conflict Minerals Sourcing Policy on our company website at www.intel.com/conflictfree.
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Report annually on our supply chain due diligence activities in our white paper titled “Intel’s Efforts to Achieve a ‘Conflict-Free’ Supply Chain” and Corporate Social Responsibility Report available on our company website at www.intel.com/conflictfree.
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Designed and adopted a risk management plan that includes due diligence reviews of suppliers, smelters and refiners which we identified may be sourcing or processing conflict minerals from the Covered Countries which may not be from recycled or scrap sources.
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Contacted direct suppliers on responses to supply chain surveys that we identified contained incomplete or potentially inaccurate information to seek additional clarifying information.
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Compared smelters and refiners identified by the supply chain survey against the list of facilities that have received a “conflict free” designation from the CFSP or other independent third party audit program.
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Implemented a risk mitigation response plan to monitor and track suppliers, smelters and refiners identified as not meeting the requirements set forth in our Conflict Minerals Sourcing Policy or contractual requirements to determine their progress in meeting those requirements.
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Performed risk mitigation efforts with suppliers we identified to be not in conformity with our Conflict Minerals Sourcing Policy and contractual requirements by working with them to bring them into compliance.
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Contacted smelters and refiners that had not received a “conflict free” designation to encourage their participation in the CFSP or other independent third party audit program.
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In 2013, visited 29 smelter and refiner facilities to review their country of origin and chain of custody information.
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Provided monthly progress reports to TMG senior management that summarized the status of smelters and refiners subject to our due diligence efforts.
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As required by the Rule, obtained an independent private sector audit of this Report, which is set forth as Exhibit A to this Report.
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“Client Microprocessors and Chipsets”: Desktop and mobile microprocessors and chipsets that are solely manufactured by Intel, which are comprised of the following: Celeron®, Pentium®, Intel® Core i3™, Intel® Core™ i5, Intel® Core™ i7, Intel® Quark™, and Intel® Atom processors (except Intel Atom processors for servers, storage and communications).
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“All Other”: All other Intel® products that may contain necessary conflict minerals that we manufactured or contracted to manufacture, which products are comprised of the following:
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o
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Server: Enterprise branded microprocessors, chipsets, motherboards, server and micro-server systems which contain components manufactured by Intel and other components purchased by Intel including Intel® Xeon Phi™, Intel® Xeon®, Itanium® and Intel Atom processors for servers and storage.
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o
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Mobile: Wireless platforms including Intel® mobile phone platforms and mobile communications platforms such as Intel® XMM™ slim modems.
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Networking: Ethernet network adapters, controllers and wireless products which enable the computers and networks to exchange data including Thunderbolt™ technology, Intel® Centrino® technology, Intel® WiMAX and Intel® WiFi products.
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o
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Boards and Other Components: Desktop printed circuit boards and other components including Intel® Desktop Boards, Intel® Galileo boards and Intel® NUC (next unit of computing).
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o
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Storage and Other: Memory products including Intel® Solid-State Drives (Intel® SSDs) and Intel Atom processors for storage and communications.
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Metal
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Smelter or Refiner Facility Name†
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Gold
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Aida Chemical Industries Co. Ltd.
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Gold
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Allgemeine Gold-und Silberscheideanstalt A.G. *
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Gold
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Almalyk Mining and Metallurgical Complex (AMMC)
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Gold
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AngloGold Ashanti Córrego do Sítio Minerção *
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Gold
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Argor-Heraeus SA *
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Gold
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Asahi Pretec Corporation *
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Gold
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Asaka Riken Co Ltd
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Gold
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Aurubis AG
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Gold
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Bangko Sentral ng Pilipinas (Central Bank of the Philippines)
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Gold
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Boliden AB
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Gold
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Caridad
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Gold
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CCR Refinery – Glencore Canada Corporation *
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Gold
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Cendres + Métaux SA
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Gold
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Chimet S.p.A. *
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Gold
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Dowa *
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Gold
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FSE Novosibirsk Refinery
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Gold
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Heimerle + Meule GmbH *
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Gold
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Heraeus Ltd. Hong Kong *
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Gold
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Heraeus Precious Metals GmbH & Co. KG *
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Gold
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Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited
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Gold
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Ishifuku Metal Industry Co., Ltd. *
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Gold
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Japan Mint
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Gold
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Jiangxi Copper Company Limited
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Gold
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Johnson Matthey Inc *
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Gold
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Johnson Matthey Ltd *
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Gold
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JSC Ekaterinburg Non-Ferrous Metal Processing Plant
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Gold
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JSC Uralectromed
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Gold
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JX Nippon Mining & Metals Co., Ltd. *
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Gold
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Kazzinc Ltd
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Gold
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Kennecott Utah Copper LLC *
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Gold
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Kojima Chemicals Co., Ltd *
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Gold
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Kyrgyzaltyn JSC
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Gold
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LS-NIKKO Copper Inc. *
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Gold
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Materion *
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Gold
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Matsuda Sangyo Co., Ltd. *
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Gold
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Metalor Technologies (Hong Kong) Ltd *
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Gold
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Metalor Technologies SA *
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Gold
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Metalor USA Refining Corporation *
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Gold
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Met-Mex Peñoles, S.A.
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Gold
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Mitsubishi Materials Corporation *
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Gold
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Mitsui Mining and Smelting Co., Ltd. *
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Gold
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Moscow Special Alloys Processing Plant
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Gold
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Navoi Mining and Metallurgical Combinat
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Gold
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Nihon Material Co. LTD *
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Gold
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Ohio Precious Metals, LLC *
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Gold
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OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastvetmet)
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Gold
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OJSC Kolyma Refinery
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Gold
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PAMP SA *
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Gold
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Prioksky Plant of Non-Ferrous Metals
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Gold
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PT Aneka Tambang (Persero) Tbk
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Gold
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PX Précinox SA
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Gold
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Rand Refinery (Pty) Ltd *
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Gold
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Royal Canadian Mint *
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Gold
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Sabin Metal Corp.
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Gold
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Schone Edelmetaal
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Gold
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SEMPSA Joyería Platería SA *
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Gold
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Shandong Zhaojin Gold & Silver Refinery Co. Ltd
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Gold
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SOE Shyolkovsky Factory of Secondary Precious Metals
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Gold
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Solar Applied Materials Technology Corp. *
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Gold
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Sumitomo Metal Mining Co., Ltd. *
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Gold
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Tanaka Kikinzoku Kogyo K.K. *
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Gold
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The Great Wall Gold and Silver Refinery of China
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Gold
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The Refinery of Shandong Gold Mining Co. Ltd
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Gold
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Tokuriki Honten Co., Ltd *
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Gold
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Umicore Brasil Ltda *
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Gold
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Umicore SA Business Unit Precious Metals Refining *
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Metal
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Smelter or Refiner Facility Name†
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Gold
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United Precious Metal Refining, Inc. *
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Gold
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Valcambi SA
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Gold
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Western Australian Mint trading as The Perth Mint *
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Gold
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Yokohama Metal Co Ltd
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Gold
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Zhongyuan Gold Smelter of Zhongjin Gold Corporation
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Gold
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Zijin Mining Group Co. Ltd
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Tantalum
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Conghua Tantalum and Niobium Smeltry *
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Tantalum
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Duoluoshan *
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Tantalum
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Exotech Inc. *
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Tantalum
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F&X Electro-Materials Ltd. *
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Tantalum
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Global Advanced Metals
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Tantalum
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H.C. Starck Group *
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Tantalum
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Hi-Temp *
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Tantalum
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JiuJiang JinXin Nonferrous Metals Co., Ltd. *
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Tantalum
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Jiujiang Tanbre Co., Ltd. *
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Tantalum
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Kemet Blue Powder *
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Tantalum
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Metallurgical Products India (Pvt.) Ltd. *
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Tantalum
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Mitsui Mining & Smelting *
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Tantalum
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Ningxia Orient Tantalum Industry Co., Ltd. *
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Tantalum
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Plansee *
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Tantalum
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RFH Tantalum Smeltry Co., Ltd *
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Tantalum
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Solikamsk Magnesium Works *
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Tantalum
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Taki Chemicals *
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Tantalum
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Tantalite Resources *
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Tantalum
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Telex *
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Tantalum
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Ulba *
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Tantalum
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Zhuzhou Cement Carbide *
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Tin
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Alpha *
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Tin
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China Tin Group Co., Ltd.
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Tin
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CNMC (Guangxi) PGMA Co. Ltd.
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Tin
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Cooper Santa
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Tin
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CV Serumpun Sebalai
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Tin
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CV United Smelting
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Tin
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EM Vinto
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Tin
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Fenix Metals
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Tin
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Gejiu Non-Ferrous Metal Processing Co. Ltd. *
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Tin
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Gejiu Zi-Li
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Tin
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Huichang Jinshunda Tin Co. Ltd
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Tin
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Jiangxi Nanshan
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Tin
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Kai Unita Trade Limited Liability Company
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Tin
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Linwu Xianggui Smelter Co
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Tin
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Malaysia Smelting Corporation (MSC) *
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Tin
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Metallo Chimique
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Tin
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Mineração Taboca S.A. *
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Tin
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Minmetals Ganzhou Tin Co. Ltd.
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Tin
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Minsur *
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Tin
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Mitsubishi Materials Corporation
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Tin
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Novosibirsk Integrated Tin Works
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Tin
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O.M. Manufacturing (Thailand) Co., Ltd.
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Tin
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OMSA *
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Tin
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PT Artha Cipta Langgeng
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Tin
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PT Babel Inti Perkasa
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Tin
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PT Bangka Putra Karya
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Tin
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PT Belitung Industri Sejahtera
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Tin
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PT Bukit Timah *
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Tin
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PT DS Jaya Abadi
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Tin
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PT Eunindo Usaha Mandiri
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Tin
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PT Mitra Stania Prima
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Tin
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PT Prima Timah Utama
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Tin
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PT Refined Bangka Tin
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Tin
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PT Sariwiguna Binasentosa
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Tin
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PT Stanindo Inti Perkasa
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Tin
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PT Tambang Timah *
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Tin
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PT Timah *
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Tin
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PT Tinindo Inter Nusa
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Tin
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Rui Da Hung
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Tin
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Soft Metais, Ltda.
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Tin
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Thaisarco *
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Tin
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White Solder Metalurgia e Mineração Ltda. *
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Tin
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Yunnan Chengfeng Non-ferrous Metals Co.,Ltd.
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Metal
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Smelter or Refiner Facility Name†
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Tin
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Yunnan Tin Company, Ltd. *
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Tungsten
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A.L.M.T. Corp.
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Tungsten
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China Minmetals Nonferrous Metals Co., Ltd.
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Tungsten
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Chongyi Zhangyuan Tungsten Co., Ltd.
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Tungsten
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Dayu Weiliang Tungsten Co., Ltd.
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Tungsten
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Fujian Jinxin Tungsten Co., Ltd.
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Tungsten
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Ganzhou Grand Sea W & Mo Group Co., Ltd.
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Tungsten
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Ganzhou Huaxing Tungsten Products Co., Ltd.
|
Tungsten
|
Ganzhou Non-ferrous Metals Smelting Co., Ltd.
|
Tungsten
|
Global Tungsten & Powders Corp. *
|
Tungsten
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Guangdong Xianglu Tungsten Co., Ltd.
|
Tungsten
|
H.C. Starck Group
|
Tungsten
|
Hunan Chenzhou Mining Group Co., Ltd.
|
Tungsten
|
Hunan Chunchang Nonferrous Metals Co., Ltd.
|
Tungsten
|
Japan New Metals Co., Ltd.
|
Tungsten
|
Kennametal Inc.
|
Tungsten
|
Tejing (Vietnam) Tungsten Co., Ltd.
|
Tungsten
|
Wolfram Bergbau und Hütten AG
|
Tungsten
|
Wolfram Company CJSC
|
Tungsten
|
Xiamen Tungsten (H.C.) Co., Ltd.
|
Tungsten
|
Xiamen Tungsten Co., Ltd.
|
Tungsten
|
Zhuzhou Cemented Carbide Group Co., Ltd.
|
Countries of origin of the conflict minerals these facilities process are believed to include:
Argentina, Armenia, Australia, Austria, Belgium, Bolivia, Brazil, Bulgaria, Burundi, Cambodia, Canada, Chile, China, Colombia, DRC, Ecuador, Egypt, Eritrea, Estonia, Ethiopia, Fiji, Finland, Georgia, Germany, Ghana, Guatemala, Honduras, Hong Kong, India, Indonesia, Japan, Kazakhstan, Republic of Korea, Laos People’s Democratic Republic, Malaysia, Mali, Mexico, Mongolia, Mozambique, New Zealand, Nicaragua, Niger, Nigeria, Panama, Papua New Guinea, Peru, Philippines, Portugal, Russian Federation, Rwanda, Saudi Arabia, Singapore, Solomon Islands, Somalia, South Africa, Spain, South Sudan, Suriname, Switzerland, Taiwan, United Republic of Tanzania, Thailand, Turkey, United Kingdom, United States, Uruguay, Uzbekistan, Venezuela, Vietnam, Zimbabwe
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|
†
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Smelter and refiner facility names as reported by the CFSI as of May 15, 2014.
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*
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Denotes smelters and refiners which have received a “conflict free” designation from an independent third party audit program as of May 15, 2014.
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►
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The consistency of the due diligence measures that the Company performed with either the design of the Company’s due diligence framework or the OECD Due Diligence Guidance
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►
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The completeness of the Company’s description of the due diligence measures performed
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►
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The suitability of the design or operating effectiveness of the Company’s due diligence process
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►
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Whether a third party can determine from the Conflict Minerals Report if the due diligence measures the Company performed are consistent with the OECD Due Diligence Guidance
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►
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The Company’s reasonable country of origin inquiry (RCOI), including the suitability of the design of the RCOI, its operating effectiveness, or the results thereof
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►
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The Company’s conclusions about the source or chain of custody of its conflict minerals, those products subject to due diligence, or the DRC Conflict Free status of its products
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