EX-1.01 2 d934512dex101.htm EX-1.01 EX-1.01

EXHIBIT 1.01

APPLIED MATERIALS, INC.

CONFLICT MINERALS REPORT

FOR YEAR ENDED DECEMBER 31, 2014

This is the Conflict Minerals Report of Applied Materials, Inc., including its subsidiaries (collectively, “Applied” or the “Company”), prepared in accordance with Rule 13p-1 under the Securities Exchange Act of 1934. Terms used in this report have the meaning specified in Rule 13p-l and/or Form SD issued by the Securities and Exchange Commission, except as otherwise expressly defined herein. Form SD defines “conflict minerals” as cassiterite, columbite-tantalite (coltan) and wolframite (and their derivatives, tin, tantalum and tungsten, respectively), and gold, regardless of the geographic origin of the minerals and whether or not they fund armed conflict. This report pertains to products manufactured from January 1 through December 31, 2014 for which any conflict minerals are necessary to the functionality or production of the product, as described further below.

Company Overview

Applied provides manufacturing equipment and services (including spare parts) to the global semiconductor, flat panel display, solar and related industries, and reports these products under four segments: the Silicon Systems Group, Display, Energy and Environmental Solutions, and Applied Global Services.

Applied does not directly purchase raw ore or unrefined conflict minerals, nor does it have a direct relationship with any mines of origin or with any smelters or refiners (collectively, “smelters”) that process these minerals. Rather, Applied is a downstream company with an extensive and complex supply chain from which it purchases parts, components and assemblies (collectively, “Parts”). The Company’s manufacturing activities consist primarily of the assembly, testing and integration of various proprietary and commercial Parts that are used to manufacture systems. Applied has a distributed manufacturing model under which manufacturing and supply chain activities are conducted at its facilities, or those of contract manufacturers, located in various countries. Applied’s equipment products, due to their size and complexity, generally consist of thousands of Parts sourced from a multitude of suppliers. Applied relies on its direct suppliers to provide information on the origin of any conflict minerals contained in Parts they sell to the Company, including the source of conflict minerals they obtain from lower tier suppliers and smelters.

Products Covered by this Report

Tantalum, tin, tungsten and gold are metals commonly used in the electronics and related industries due to physical properties that make them well-suited for a variety of applications, such as in cables, printed circuit boards, power supplies, capacitors, solder alloys and certain plastics. As a result, all or substantially all of Applied’s equipment products, and many of its spare parts products, manufactured in 2014 include components for which one or more conflict minerals are necessary to the functionality or production of the product and are therefore considered “Covered Products” for purposes of this report. The following is a general description of Covered Products by reporting segment.

Silicon Systems Group. The Silicon Systems Group provides equipment used by integrated device manufacturers and foundries to fabricate memory, logic and other types of semiconductor chips, which may entail more than 500 steps involving multiple processes to complete the manufacturing cycle. These systems perform various processes used in chip fabrication, including atomic layer deposition (ALD), chemical mechanical planarization (CMP), chemical vapor deposition (CVD), electrochemical deposition

 

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(ECD), etch, ion implantation, mask-making, metrology and inspection, physical vapor deposition (PVD), rapid thermal processing (RTP), and others. Most of these are single-wafer systems with multiple process chambers attached to one of eight basic platforms: the Endura®, Centura®, Producer®, CentrisTM, Reflexion®, Raider®, VIISta® and Vantage® platforms.

Display. This segment encompasses equipment for manufacturing liquid crystal displays (LCDs), organic light-emitting diodes (OLEDs) and other display technologies for televisions, personal computers, tablets, smartphones and other consumer-oriented products, including its line of Applied AKT®-PECVD systems. The latest generation (Gen-10) systems can process large-size substrates that enable the production of up to six 65-inch LCD TV screens per substrate. Applied is extending its core LCD technology to provide equipment that enables more advanced displays based on newer materials, for example the AKT-PiVot™ PVD system for metal oxide, while the AKT-NEW ARISTO™ system is used for manufacturing the color filter of LCD panels. This segment also includes electron beam array testing (EBT) systems to assure display quality, including the Gen-10 AKT-90K EBT product.

Energy and Environmental Solutions. The Energy and Environmental Solutions segment includes systems for fabricating wafer-based crystalline silicon (c-Si) cells and modules, as well as high-throughput, roll-to-roll vacuum web coating systems. Solar PV fabrication systems include cell-manufacturing, wafer manufacturing and ion implantation systems designed to increase the conversion efficiency and yields of crystalline silicon solar PVs and help reduce the cost-per-watt of solar generated electricity. The high-throughput roll-to-roll coating systems, such as the Applied SmartWeb® system, enable the deposition of a range of films on flexible substrates for flexible electronics, packaging and other applications.

Applied Global Services. This segment encompasses spare parts (along with a range of other service products) to enhance the performance of Applied Materials semiconductor, display and solar tools at customer sites and to improve customers’ operating efficiency, optimize their operating costs, and lessen the environmental impact of their factories. The segment also offers new and remanufactured 200mm legacy semiconductor equipment.

Applied’s Conflict Minerals Compliance Program and Findings

Applied conducted in good faith a reasonable country of origin inquiry (“RCOI”) that it believes was reasonably designed to determine whether any of the necessary conflict minerals in its Covered Products manufactured in 2014 originated in the Democratic Republic of the Congo or an adjoining country (collectively, the “DRC”) or were from recycled or scrap sources. Applied discovered almost no evidence of sourcing from the DRC—the sole DRC smelter identified by an Applied supplier is located in Rwanda and is CFSI “Compliant,” as defined further below. Based on its RCOI, Applied determined it had insufficient information to conclude either (i) that all of its necessary conflict minerals originated outside the DRC or from CFSI “Compliant” sources within the DRC, or (ii) that all of its necessary conflict minerals came from recycled or scrap sources.

Applied therefore undertook further due diligence on the source and chain of custody of necessary conflict minerals contained in its Covered Products. Its due diligence approach was designed to conform in all material respects with the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas: Second Edition and the related Supplements (“OECD Guidance”).

For calendar year 2014 Applied identified the top direct (or first-tier) suppliers in terms of total spend, as well as other suppliers considered reasonably likely to provide Parts containing conflict minerals, to arrive at a target list of suppliers to be contacted (the “Surveyed Suppliers”). These Surveyed Suppliers

 

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represent over two-thirds of the Company’s actual total expenditures to all direct suppliers for fiscal year 2014.1 Of the Surveyed Suppliers who responded, 37% reported they did not provide Parts containing conflict minerals. Sixty-three percent of the Surveyed Suppliers reported they provided one or more Parts containing conflict minerals; 98% percent of these suppliers provided smelter names, or in some cases further information such as country location. Of the Surveyed Suppliers who reported Parts containing conflict minerals, 89% declared that at least some minerals originated from recycled or scrap sources, although with few exceptions, none were traced to a particular Part.

The below table summarizes certain information pertaining to smelters identified by Surveyed Suppliers. As defined by the Conflict-Free Sourcing Initiative (“CFSI”), “Compliant” smelters are those smelters that have undergone a third party audit, have systems in place to assure sourcing of only DRC conflict free materials, and are therefore identified as compliant with CFSI’s Conflict-Free Smelter Program. “Active” smelters are those that have agreed in writing to produce information and are actively progressing towards a third party audit. The CFSI, of which Applied is a member, was founded by the Electronics Industry Citizenship Coalition (“EICC”) and the Global eSustainability Initiative. The classification of smelters as Compliant or Active is as of April 3, 2015.

 

Number of CFSI “Compliant” smelters

   268   

Number of CFSI “Active” smelters

   44   

Number for which further information is needed to determine CFSI status (“unclassified smelters”)

   3,898 * 

Number of unclassified smelters reported to be located in the DRC

   0   

Number of non-DRC countries in which unclassified smelters were reported to be located

   67   

 

* Actual number may be lower as data may include distributors or other entities improperly classified as smelters or other inaccuracies.

Attached as Appendix A is a list of the smelters identified by the Surveyed Suppliers as the facilities that process conflict minerals necessary to their products and that either are (a) CFSI Compliant or (b) CFSI Active. Since the majority of the Surveyed Suppliers reported smelter information at the company level and not at the product level, we do not know with certainty that the smelters reported, including those listed in Appendix A, processed minerals that were used in the Parts we purchased.

Applied did not discover any evidence of sourcing from the DRC as a result of its due diligence, except in one case, in which one supplier reported that its Parts may include minerals processed by a smelter located in Rwanda that is CFSI Compliant. The majority of Applied’s Surveyed Suppliers did not identify the specific smelter that processed conflict minerals contained in a particular Part. In addition, for the significant majority of smelters reported by these Suppliers, there is inadequate information available to assess the source of the conflict minerals they process. Therefore, for Covered Products manufactured in 2014, Applied concluded in good faith that it lacks sufficient information to trace the chain of custody of any conflict minerals contained in its Covered Products up through the supply chain to a specific smelter or, in turn, to a country or mine of origin.

Applied’s Due Diligence Process

Applied’s due diligence approach on the source and chain of custody of its necessary conflict minerals was designed to conform in all material respects with the OECD Guidance. The OECD Guidance is an internationally-recognized due diligence framework consisting of a multi-step, risk-based process,

 

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Applied’s fiscal year ends on the last Sunday in October.

 

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certain aspects of which differ depending in part on the position of a company in the supply chain. Applied is a “downstream” company, which refers to supply chain participants from the smelter to the retailer, in contrast to those “upstream,” that is, from the mine to the smelter.

As a downstream provider of finished products, Applied does not have direct relationships with smelters and does not perform or specify audits of such entities upstream in its supply chain. Through its membership and participation in the EICC, CFSI and related working groups, Applied believes that seeking reliable information about smelters in its supply chain from its direct suppliers represents a reasonable and cost-effective step to determine the mines or other locations of origin of conflict minerals in its products.

Risk Identification and Assessment

In light of the complexity of its supply chain, Applied used a risk-based approach in designing the scope of its RCOI and due diligence process. As previously noted, the Company identified its top direct (or first-tier) suppliers in terms of total spend, as well as other suppliers considered reasonably likely to provide Parts containing conflict minerals, to arrive at the target list of Surveyed Suppliers. Applied also relied on information obtained through multi-industry-wide, smelter-certification resources, such as the CFSI Conflict-Free Smelter Program.

To collect information on the conflict minerals that may be in Covered Products manufactured in 2014, Applied used the Conflict Minerals Reporting Template (the “Template”) developed by the CFSI. Applied contacted the Surveyed Suppliers and requested them to complete and return the Template with respect to Parts they supply to the Company. The Template was designed to facilitate a supplier’s disclosure of information regarding conflict minerals contained in the supplier’s products, including the country of origin and the name and location of the smelters that process the conflict minerals.

Applied received wholly or partially completed Templates from 99% of its Surveyed Suppliers. The majority of the responding Surveyed Suppliers provided data at a company or “user defined” level, rather than at a Part number level, a permitted option under the Template. Those suppliers who reported at a user defined level reported data at the business division level. Applied reviewed responses against its criteria to determine which required further engagement, such as those with incomplete, untimely or inconsistent information, and made further inquiries of those suppliers. In addition, Applied checked the smelters identified by the Surveyed Suppliers against the lists published by CFSI of Compliant and Active smelters.

Applied was not required to, and it did not, obtain an independent private sector audit of its due diligence approach.

Risk Mitigation Strategy and Future Due Diligence

As part of its risk management strategy, Applied’s designated senior management received information regarding the Surveyed Suppliers’ responses, including those who failed to respond adequately to the Company’s requests for information. Through support of senior management, increased training and supplier outreach, our supplier responsiveness rate increased in comparison with calendar year 2013 from 83% to 99%.

Applied intends to continue to expand its supplier outreach effort through training and additional communications; to enhance its process to identify suppliers who fail to provide a completed Template or do not provide complete and accurate smelter information; and to focus on efforts to verify and improve the accuracy of information obtained from suppliers through the use of software solutions and other means. We also intend to improve our ability to link the smelter information our suppliers provide to specific

 

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products they supply to Applied. Applied further has undertaken to report relevant smelter information it obtains to CFSI, and to encourage its suppliers to reach out (or to encourage their own suppliers to reach out) to upstream smelters that provide them with conflict minerals and request that such smelters obtain a “conflict-free” designation from an industry program such as the Conflict-Free Smelter Program.

Forward-Looking Statement Disclaimer

This report includes forward-looking statements, including but not limited those regarding Applied’s expected future supplier diligence and engagement efforts and development of related processes. These statements and their underlying assumptions are subject to known and unknown risks and uncertainties that could cause actual results to differ materially from current expectations, including but not limited to: regulatory changes and judicial developments relating to conflict minerals disclosure; changes in our supply chain, components and parts, or products; industry developments relating to supply chain diligence, disclosure and other practices; and other risks described in our most recent Form 10-Q and other SEC filings. Forward-looking statements are based on estimates, projections and assumptions as of May 28, 2015, and Applied undertakes no obligation to update any such statements.

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Appendix A

Section 1: Smelters/refiners that are CFSI Compliant

 

Metal

   

Smelter / Refiner Name

   

Country

   

Smelter ID

Gold    Advanced Chemical Company    UNITED STATES    CID000015
Gold    Aida Chemical Industries Co. Ltd.    JAPAN    CID000019
Gold    Aktyubinsk Copper Company TOO    RUSSIAN FEDERATION    CID000028
Gold    Allgemeine Gold-und Silberscheideanstalt A.G.    GERMANY    CID000035
Gold    Almalyk Mining and Metallurgical Complex (AMMC)    UZBEKISTAN    CID000041
Gold    AngloGold Ashanti Córrego do Sítio Minerção    BRAZIL    CID000058
Gold    Argor-Heraeus SA    SWITZERLAND    CID000077
Gold    Asahi Pretec Corporation    JAPAN    CID000082
Gold    Atasay Kuyumculuk Sanayi Ve Ticaret A.S.    TURKEY    CID000103
Gold    Aurubis AG    GERMANY    CID000113
Gold    Bangko Sentral ng Pilipinas (Central Bank of the Philippines)    PHILIPPINES    CID000128
Gold    Bauer Walser AG    GERMANY    CID000141
Gold    Boliden AB    SWEDEN    CID000157
Gold    C. Hafner GmbH + Co. KG    GERMANY    CID000176
Gold    Caridad    MEXICO    CID000180
Gold    Cendres + Métaux SA    SWITZERLAND    CID000189
Gold    Chimet S.p.A.    ITALY    CID000233
Gold    China National Gold Group Corporation    CHINA    CID000242
Gold    Chugai Mining    JAPAN    CID000264

 

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Gold Colt Refining UNITED STATES CID000288
Gold Daejin Indus Co. Ltd KOREA, REPUBLIC OF CID000328
Gold Daye Non-Ferrous Metals Mining Ltd. CHINA CID000343
Gold Do Sung Corporation KOREA, REPUBLIC OF CID000359
Gold Doduco GERMANY CID000362
Gold Dowa JAPAN CID000401
Gold Eco-System Recycling Co., Ltd. JAPAN CID000425
Gold Fidelity Printers and Refiners Ltd. ZIMBABWE CID002515
Gold FSE Novosibirsk Refinery RUSSIAN FEDERATION CID000493
Gold Gansu Seemine Material Hi-Tech Co Ltd CHINA CID000522
Gold Guangdong Jinding Gold Limited CHINA CID002312
Gold Hangzhou Fuchunjiang Smelting Co., Ltd. CHINA CID000671
Gold Heimerle + Meule GmbH GERMANY CID000694
Gold Heraeus Ltd. Hong Kong HONG KONG CID000707
Gold Heraeus Precious Metals GmbH & Co. KG GERMANY CID000711
Gold Hunan Chenzhou Mining Group Co., Ltd. CHINA CID000767
Gold Hwasung CJ Co. Ltd KOREA, REPUBLIC OF CID000778
Gold Ishifuku Metal Industry Co., Ltd. JAPAN CID000807
Gold Istanbul Gold Refinery TURKEY CID000814
Gold Japan Mint JAPAN CID000823
Gold Jiangxi Copper Company Limited CHINA CID000855
Gold Johnson Matthey Inc UNITED STATES CID000920
Gold Johnson Matthey Ltd CANADA CID000924

 

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Gold JSC Ekaterinburg Non-Ferrous Metal Processing Plant RUSSIAN FEDERATION CID000927
Gold JSC Uralelectromed RUSSIAN FEDERATION CID000929
Gold JX Nippon Mining & Metals Co., Ltd. JAPAN CID000937
Gold Kazzinc Ltd KAZAKHSTAN CID000957
Gold Kennecott Utah Copper LLC UNITED STATES CID000969
Gold KGHM Polska Miedz Spólka Akcyjna POLAND CID002511
Gold Kojima Chemicals Co., Ltd JAPAN CID000981
Gold Korea Metal Co. Ltd KOREA, REPUBLIC OF CID000988
Gold Kyrgyzaltyn JSC KYRGYZSTAN CID001029
Gold L’ azurde Company For Jewelry SAUDI ARABIA CID001032
Gold Lingbao Gold Company Limited CHINA CID001056
Gold Lingbao Jinyuan Tonghui Refinery Co. Ltd. CHINA CID001058
Gold LS-NIKKO Copper Inc. KOREA, REPUBLIC OF CID001078
Gold Luoyang Zijin Yinhui Metal Smelt Co Ltd CHINA CID001093
Gold Materion UNITED STATES CID001113
Gold Matsuda Sangyo Co., Ltd. JAPAN CID001119
Gold Met-Mex Peñoles, S.A. MEXICO CID001161
Gold Metalor Technologies (Hong Kong) Ltd HONG KONG CID001149
Gold Metalor Technologies (Singapore) Pte. Ltd. SINGAPORE CID001152
Gold Metalor Technologies SA SWITZERLAND CID001153
Gold Metalor USA Refining Corporation UNITED STATES CID001157
Gold Mitsubishi Materials Corporation JAPAN CID001188
Gold Mitsui Mining and Smelting Co., Ltd. JAPAN CID001193

 

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Gold MMTC-PAMP India Pvt. Ltd INDIA CID002509
Gold Moscow Special Alloys Processing Plant RUSSIAN FEDERATION CID001204
Gold Nadir Metal Rafineri San. Ve Tic. A.Ş. TURKEY CID001220
Gold Navoi Mining and Metallurgical Combinat UZBEKISTAN CID001236
Gold Nihon Material Co. LTD JAPAN CID001259
Gold Ohio Precious Metals, LLC UNITED STATES CID001322
Gold Ohura Precious Metal Industry Co., Ltd JAPAN CID001325
Gold OJSC Kolyma Refinery RUSSIAN FEDERATION CID001328
Gold OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastvetmet) RUSSIAN FEDERATION CID001326
Gold PAMP SA SWITZERLAND CID001352
Gold Penglai Penggang Gold Industry Co Ltd CHINA CID001362
Gold Prioksky Plant of Non-Ferrous Metals RUSSIAN FEDERATION CID001386
Gold PT Aneka Tambang (Persero) Tbk INDONESIA CID001397
Gold PX Précinox SA SWITZERLAND CID001498
Gold Rand Refinery (Pty) Ltd SOUTH AFRICA CID001512
Gold Republic Metals Corporation UNITED STATES CID002510
Gold Royal Canadian Mint CANADA CID001534
Gold Sabin Metal Corp. UNITED STATES CID001546
Gold Samduck Precious Metals KOREA, REPUBLIC OF CID001555
Gold SAMWON METALS Corp. KOREA, REPUBLIC OF CID001562
Gold Schone Edelmetaal NETHERLANDS CID001573

 

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Gold SEMPSA Joyería Platería SA SPAIN CID001585
Gold Shandong Zhaojin Gold & Silver Refinery Co. Ltd CHINA CID001622
Gold Sichuan Tianze Precious Metals Co., Ltd CHINA CID001736
Gold Singway Technology Co., Ltd. TAIWAN CID002516
Gold So Accurate Group, Inc. UNITED STATES CID001754
Gold SOE Shyolkovsky Factory of Secondary Precious Metals RUSSIAN FEDERATION CID001756
Gold Solar Applied Materials Technology Corp. TAIWAN CID001761
Gold Sumitomo Metal Mining Co., Ltd. JAPAN CID001798
Gold Tanaka Kikinzoku Kogyo K.K. JAPAN CID001875
Gold The Great Wall Gold and Silver Refinery of China CHINA CID001909
Gold The Refinery of Shandong Gold Mining Co. Ltd CHINA CID001916
Gold Tokuriki Honten Co., Ltd JAPAN CID001938
Gold Tongling nonferrous Metals Group Co.,Ltd CHINA CID001947
Gold Torecom KOREA, REPUBLIC OF CID001955
Gold Umicore Brasil Ltda BRAZIL CID001977
Gold Umicore Precious Metals Thailand THAILAND CID002314
Gold Umicore SA Business Unit Precious Metals Refining BELGIUM CID001980
Gold United Precious Metal Refining, Inc. UNITED STATES CID001993
Gold Valcambi SA SWITZERLAND CID002003
Gold Western Australian Mint trading as The Perth Mint AUSTRALIA CID002030
Gold CCR Refinery – Glencore Canada Corporation CANADA CID000185

 

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Gold YAMAMOTO PRECIOUS METAL CO., LTD. JAPAN CID002100
Gold Yokohama Metal Co Ltd JAPAN CID002129
Gold Yunnan Copper Industry Co Ltd CHINA CID000197
Gold Zhongyuan Gold Smelter of Zhongjin Gold Corporation CHINA CID002224
Gold Zijin Mining Group Co. Ltd CHINA CID002243
Tin China Rare Metal Materials Company CHINA CID000244
Tin CNMC (Guangxi) PGMA Co. Ltd. CHINA CID000278
Tin Alpha UNITED STATES CID000292
Tin Cooper Santa BRAZIL CID000295
Tin CV Gita Pesona INDONESIA CID000306
Tin CV JusTindo INDONESIA CID000307
Tin CV Makmur Jaya INDONESIA CID000308
Tin CV Nurjanah INDONESIA CID000309
Tin PT Prima Timah Utama INDONESIA CID001458
Tin CV Serumpun Sebalai INDONESIA CID000313
Tin CV United Smelting INDONESIA CID000315
Tin CV Venus Inti Perkasa INDONESIA CID002455
Tin EM Vinto BOLIVIA CID000438
Tin Estanho de Rondônia S.A. BRAZIL CID000448
Tin Fenix Metals POLAND CID000468
Tin Gejiu Non-Ferrous Metal Processing Co. Ltd. CHINA CID000538
Tin Gejiu Zi-Li CHINA CID000555
Tin Huichang Jinshunda Tin Co. Ltd CHINA CID000760
Tin Jiangxi Nanshan CHINA CID000864

 

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Tin Gejiu Kai Meng Industry and Trade LLC CHINA CID000942
Tin Linwu Xianggui Smelter Co CHINA CID001063
Tin China Tin Group Co., Ltd. CHINA CID001070
Tin Magnu’s Minerais Metais e Ligas LTDA BRAZIL CID002468
Tin Malaysia Smelting Corporation (MSC) MALAYSIA CID001105
Tin Melt Metais e Ligas S/A BRAZIL CID002500
Tin Metallo Chimique BELGIUM CID001143
Tin Mineração Taboca S.A. BRAZIL CID001173
Tin Minsur PERU CID001182
Tin Mitsubishi Materials Corporation JAPAN CID001191
Tin Novosibirsk Integrated Tin Works RUSSIAN FEDERATION CID001305
Tin O.M. Manufacturing (Thailand) Co., Ltd. THAILAND CID001314
Tin O.M. Manufacturing Philippines, Inc. PHILIPPINES CID002517
Tin OMSA BOLIVIA CID001337
Tin PT Alam Lestari Kencana INDONESIA CID001393
Tin PT Artha Cipta Langgeng INDONESIA CID001399
Tin PT ATD Makmur Mandiri Jaya INDONESIA CID002503
Tin PT Babel Inti Perkasa INDONESIA CID001402
Tin PT Babel Surya Alam Lestari INDONESIA CID001406
Tin PT Bangka Putra Karya INDONESIA CID001412
Tin PT Bangka Tin Industry INDONESIA CID001419
Tin PT Belitung Industri Sejahtera INDONESIA CID001421
Tin PT BilliTin Makmur Lestari INDONESIA CID001424
Tin PT Bukit Timah INDONESIA CID001428
Tin PT Donna Kembara Jaya INDONESIA CID002473

 

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Tin PT DS Jaya Abadi INDONESIA CID001434
Tin PT Eunindo Usaha Mandiri INDONESIA CID001438
Tin PT Fang Di MulTindo INDONESIA CID001442
Tin PT HP Metals Indonesia INDONESIA CID001445
Tin PT Inti Stania Prima INDONESIA CID002530
Tin PT Karimun Mining INDONESIA CID001448
Tin PT Mitra Stania Prima INDONESIA CID001453
Tin PT Panca Mega Persada INDONESIA CID001457
Tin PT Pelat Timah Nusantara Tbk INDONESIA CID001486
Tin PT Rajwa International INDONESIA CID002475
Tin PT REFINED BANGKA TIN INDONESIA CID001460
Tin PT Sariwiguna Binasentosa INDONESIA CID001463
Tin PT Seirama Tin investment INDONESIA CID001466
Tin PT Singkep Times Utama INDONESIA CID002476
Tin PT Stanindo Inti Perkasa INDONESIA CID001468
Tin PT Sumber Jaya Indah INDONESIA CID001471
Tin PT Supra Sukses Trinusa INDONESIA CID001476
Tin PT Tambang Timah INDONESIA CID001477
Tin PT Timah (Persero), Tbk INDONESIA CID001482
Tin PT Tinindo Inter Nusa INDONESIA CID001490
Tin PT Tirus Putra Mandiri INDONESIA CID002478
Tin PT Tommy Utama INDONESIA CID001493
Tin PT Wahana Perkit Jaya INDONESIA CID002479
Tin PT Yinchendo Mining Industry INDONESIA CID001494
Tin Rui Da Hung TAIWAN CID001539

 

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Tin Soft Metais, Ltda. BRAZIL CID001758
Tin Thaisarco THAILAND CID001898
Tin White Solder Metalurgia e Mineração Ltda. BRAZIL CID002036
Tin Yunnan Chengfeng Non-ferrous Metals Co.,Ltd. CHINA CID002158
Tin Yunnan Tin Company, Ltd. CHINA CID002180
Tungsten A.L.M.T. Corp. JAPAN CID000004
Tungsten Chenzhou Diamond Tungsten Products Co., Ltd. CHINA CID002513
Tungsten Chongyi Zhangyuan Tungsten Co., Ltd. CHINA CID000258
Tungsten Dayu Jincheng Tungsten Industry Co., Ltd. CHINA CID002518
Tungsten Dayu Weiliang Tungsten Co., Ltd. CHINA CID000345
Tungsten Fujian Jinxin Tungsten Co., Ltd. CHINA CID000499
Tungsten Ganxian Shirui New Material Co., Ltd. CHINA CID002531
Tungsten Ganzhou Huaxing Tungsten Products Co., Ltd. CHINA CID000875
Tungsten Ganzhou Jiangwu Ferrotungsten Co., Ltd. CHINA CID002315
Tungsten Ganzhou Non-ferrous Metals Smelting Co., Ltd. CHINA CID000868
Tungsten Ganzhou Seadragon W & Mo Co., Ltd. CHINA CID002494
Tungsten Ganzhou Yatai Tungsten Co., Ltd. CHINA CID002536
Tungsten Global Tungsten & Powders Corp. UNITED STATES CID000568
Tungsten Guangdong Xianglu Tungsten Co., Ltd. CHINA CID000218
Tungsten H.C. Starck Smelting GmbH & Co.KG GERMANY CID002542
Tungsten Hunan Chenzhou Mining Group Co., Ltd. CHINA CID000766
Tungsten Hunan Chunchang Nonferrous Metals Co., Ltd. CHINA CID000769

 

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Tungsten Japan New Metals Co., Ltd. JAPAN CID000825
Tungsten Jiangwu H.C. Starck Tungsten Products Co., Ltd. CHINA CID002551
Tungsten Jiangxi Gan Bei Tungsten Co., Ltd. CHINA CID002321
Tungsten Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd. CHINA CID002313
Tungsten Jiangxi Richsea New Materials Co., Ltd. CHINA CID002493
Tungsten Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. CHINA CID002318
Tungsten Jiangxi Xinsheng Tungsten Industry Co., Ltd. CHINA CID002317
Tungsten Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd. CHINA CID002535
Tungsten Jiangxi Yaosheng Tungsten Co., Ltd. CHINA CID002316
Tungsten Kennametal Fallon UNITED STATES CID000966
Tungsten Kennametal Huntsville UNITED STATES CID000105
Tungsten Malipo Haiyu Tungsten Co., Ltd. CHINA CID002319
Tungsten Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC VIET NAM CID002543
Tungsten Tejing (Vietnam) Tungsten Co., Ltd. VIET NAM CID001889
Tungsten Vietnam Youngsun Tungsten Industry Co., Ltd VIET NAM CID002011
Tungsten Wolfram Bergbau und Hütten AG AUSTRIA CID002044
Tungsten Wolfram Company CJSC RUSSIAN FEDERATION CID002047
Tungsten Xiamen Tungsten (H.C.) Co., Ltd. CHINA CID002320
Tungsten Xiamen Tungsten Co., Ltd. CHINA CID002082
Tungsten Xinhai Rendan Shaoguan Tungsten Co., Ltd. CHINA CID002095
Tantalum Changsha South Tantalum Niobium Co., Ltd. CHINA CID000211

 

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Tantalum Conghua Tantalum and Niobium Smeltry CHINA CID000291
Tantalum D Block Metals, LLC UNITED STATES CID002504
Tantalum Duoluoshan CHINA CID000410
Tantalum Exotech Inc. UNITED STATES CID000456
Tantalum F&X Electro-Materials Ltd. CHINA CID000460
Tantalum FIR Metals & Resource Co., Ltd. CHINA CID002505
Tantalum Global Advanced Metals Aizu JAPAN CID002558
Tantalum Global Advanced Metals Boyertown UNITED STATES CID002557
Tantalum Guangdong Zhiyuan New Material Co., Ltd. CHINA CID000616
Tantalum Guizhou Zhenhua Xinyun Technology Ltd., Kaili branch CHINA CID002501
Tantalum H.C. Starck Co., Ltd. THAILAND CID002544
Tantalum H.C. Starck GmbH Goslar GERMANY CID002545
Tantalum H.C. Starck GmbH Laufenburg GERMANY CID002546
Tantalum H.C. Starck Hermsdorf GmbH GERMANY CID002547
Tantalum H.C. Starck Inc. UNITED STATES CID002548
Tantalum H.C. Starck Ltd. JAPAN CID002549
Tantalum H.C. Starck Smelting GmbH & Co.KG GERMANY CID002550
Tantalum Hengyang King Xing Lifeng New Materials Co., Ltd. CHINA CID002492
Tantalum Hi-Temp UNITED STATES CID000731
Tantalum Jiangxi Dinghai Tantalum & Niobium Co., LTD CHINA CID002512
Tantalum JiuJiang JinXin Nonferrous Metals Co., Ltd. CHINA CID000914
Tantalum Jiujiang Tanbre Co., Ltd. CHINA CID000917
Tantalum KEMET Blue Metals MEXICO CID002539

 

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Tantalum KEMET Blue Powder UNITED STATES CID002568
Tantalum King-Tan Tantalum Industry Ltd CHINA CID000973
Tantalum LSM Brasil S.A. BRAZIL CID001076
Tantalum Metallurgical Products India (Pvt.) Ltd. INDIA CID001163
Tantalum Mineração Taboca S.A. BRAZIL CID001175
Tantalum Mitsui Mining & Smelting JAPAN CID001192
Tantalum Molycorp Silmet A.S. ESTONIA CID001200
Tantalum Ningxia Orient Tantalum Industry Co., Ltd. CHINA CID001277
Tantalum Phoenix Metal Ltd RWANDA CID002507
Tantalum Plansee SE Liezen AUSTRIA CID002540
Tantalum Plansee SE Reutte AUSTRIA CID002556
Tantalum QuantumClean UNITED STATES CID001508
Tantalum RFH Tantalum Smeltry Co., Ltd CHINA CID001522
Tantalum Shanghai Jiangxi Metals Co. Ltd CHINA CID001634
Tantalum Solikamsk Magnesium Works OAO RUSSIAN FEDERATION CID001769
Tantalum Taki Chemicals JAPAN CID001869
Tantalum Telex UNITED STATES CID001891
Tantalum Ulba KAZAKHSTAN CID001969
Tantalum XinXing HaoRong Electronic Material CO.,LTD CHINA CID002508
Tantalum Yichun Jin Yang Rare Metal Co., Ltd CHINA CID002307
Tantalum Zhuzhou Cement Carbide CHINA CID002232

 

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Section 2: Smelters/refiners that are CFSI Active

 

Metal

   

Smelter / Refiner Name

   

Country

   

SmelterID

GOLD    Asaka Riken Co Ltd    JAPAN    CID000090
GOLD    Cendres + Metaux SA    SWITZERLAND    CID000189
GOLD    Doduco    GERMANY    CID000362
GOLD    SOE Shyolkovsky Factory of Secondary Precious Metals    RUSSIA    CID001756
GOLD    Torecom    SOUTH KOREA    CID001955
GOLD    Yamamoto Precision Metals    JAPAN    CID002100
GOLD    Yokohama Metal Co Ltd    JAPAN    CID002129
TIN    China Tin Group Co., Ltd.    CHINA    CID001070
TIN    CV Gita Pesona    INDONESIA    CID000306
TIN    CV JusTindo    INDONESIA    CID000307
TIN    CV Murjanah    INDONESIA    CID000309
TIN    Fenix Metals    POLAND    CID000468
TIN    O.M. Manufacturing (Thailand) Co., Ltd.    THAILAND    CID001314
TIN    O.M. Manufacturing Philippines, Inc.    PHILIPPINES    CID002517
TIN    PT Artha Cipta Langgeng    INDONESIA    CID001399
TIN    PT BilliTin Makmur Lestari    INDONESIA    CID001424
TIN    PT Inti Stania Prima    INDONESIA    CID002530
TIN    PT Karimun Mining    INDONESIA    CID001448
TIN    PT Sumber Jaya Indah    INDONESIA    CID001471
TIN    Rui Da Hung    TAIWAN    CID001539
TIN    Soft Metais, Ltda.    BRAZIL    CID001758
TIN    Yunnan Chengfeng Non-ferrous Metals Co.,Ltd.    CHINA    CID002158
TUNGSTEN    A.L.M.T Corp.    JAPAN    CID000004
TUNGSTEN    Chaozhou Xianglu Tungsten Industry Co Ltd    CHINA    CID000218
TUNGSTEN    Chenzhou Diamond Tungsten Products Co., Ltd.    CHINA    CID002513
TUNGSTEN    Chongyi Zhangyuan Tungsten Co Ltd    CHINA    CID000258
TUNGSTEN    Dayu Jincheng Tungsten Industry Co., Ltd.    CHINA    CID002518
TUNGSTEN    Dayu Weiliang Tungsten Co., Ltd.    CHINA    CID000345
TUNGSTEN    Fujian Jinxin Tungsten Co., Ltd.    CHINA    CID000499
TUNGSTEN    Ganzhou Non-ferrous Metals Smelting Co., Ltd.    CHINA    CID000868
TUNGSTEN    Ganzhou Yatai Tungsten Co., Ltd.    CHINA    CID002536
TUNGSTEN    H.C. Starck GmbH    GERMANY    CID002541
TUNGSTEN    H.C. Starck Smelting GmbH & Co.KG    GERMANY    CID002542
TUNGSTEN    Hunan Chenzhou Mining Group Co    CHINA    CID000766
TUNGSTEN    Jiangwu H.C. Starck Tungsten Products Co., Ltd.    CHINA    CID002551
TUNGSTEN    Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.    CHINA    CID002318
TUNGSTEN    Jiangxi Xinsheng Tungsten Industry Co., Ltd.    CHINA    CID002317

 

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TUNGSTEN Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd. CHINA CID002535
TUNGSTEN Jiangxi Yaosheng Tungsten Co., Ltd. CHINA CID002316
TUNGSTEN Kennametal Fallon UNITED STATES CID000966
TUNGSTEN Kennametal Huntsville UNITED STATES CID000105
TUNGSTEN Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC VIET NAM CID002543
TUNGSTEN Wolfram Company CJSC RUSSIA CID002047
TUNGSTEN Xinhai Rendan Shaoguan Tungsten Co., Ltd. CHINA CID002095

 

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