UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM SD
Specialized Disclosure Report
PLANAR SYSTEMS, INC.
(Exact name of registrant as specified in its charter)
| Oregon | 000-23018 | 93-0835396 | ||
| (State or other jurisdiction of Incorporation or organization) |
(Commission File Number) |
(IRS Employer Identification No.) |
| 1195 NW Compton Dr., Beaverton, Oregon | 97006 | |
| (Address of principal executive offices) | (zip code) |
Registrant’s telephone number, including area code: (503) 748-1100
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:
| x | Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2014. |
| Section 1 | Conflict Minerals Disclosure |
| Item 1.01 | Conflict Minerals Disclosure and Report |
A copy of Planar System Inc.’s Conflict Minerals Report is filed as Exhibit 1.01 hereto and is publicly available at www.planar.com/about/green/minerals
| Item 1.02 | Exhibit |
The Conflict Minerals report required by Item 1.01 is filed as Exhibit 1.01 to this Form SD
| Section 2 | Exhibits |
| Item 2.01 | Exhibits |
| 1.01 | Conflict Minerals Report as required by Items 1.01 and 1.02 of this Form |
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.
PLANAR SYSTEMS, INC.
(Registrant)
| /s/ Gerald K. Perkel |
Date: May 29, 2015 | |||
| Gerald K. Perkel | ||||
| President, Chief Executive Officer, and Director |
Exhibit 1.01
Conflict Minerals Report of Planar Systems, Inc.
In Accordance with Rule 13p-1 under the Securities Exchange Act of 1934
Introduction
This is the Conflict Minerals Report (“Report”) for Planar Systems, Inc. (“Planar,” “we,” “us” or “our”), filed with the United States Securities and Exchange Commission (“SEC”) pursuant to Rule 13p-1 under the Securities Exchange Act of 1934 (“Rule13p-1”) for the calendar year ended December 31, 2014 (“2014”). Rule 13p-1 was adopted by the SEC to implement reporting and disclosure requirements related to conflict minerals as directed by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. Rule 13p-1 imposes certain reporting obligations on SEC registrants whose manufactured products contain conflict minerals that are necessary to the functionality or production of their products. “Conflict minerals” are tin, tantalum, tungsten, and gold for the purposes of this assessment. “Covered Countries” are the Democratic Republic of the Congo or any adjoining country.
About Planar
Planar is a global leader in display and digital signage technology, providing premier solutions for the world’s most demanding environments. Retailers, educational institutions, government agencies, businesses, utilities and energy firms, and home theater enthusiasts all depend on Planar to provide superior performance when image experience is of the highest importance. Planar video walls, large format liquid crystal displays, interactive touch screen monitors, and many other solutions are used by the world’s leading organizations in applications ranging from digital signage to simulation and from interactive kiosks to large-scale data visualization. The Company has a global reach with sales offices in North America, Europe, and Asia and manufacturing facilities in the United States and France.
Initial Inquiry and Applicable Products
Planar evaluated the products it manufactured or contracted to manufacture during 2014 that contained conflict minerals that were necessary to the functionality or production of the product within the meaning of Rule 13p-1 (“Applicable 3TG Products”). Based on the evaluation, Planar determined that the following product categories may involve Applicable 3TG Products: Tiled LCD, Signage Monitors, Rear-Projection Cube Displays, Custom Commercial and Industrial Displays, and High-End Home Displays. We then undertook a reasonable country to origin inquiry, as described in Rule 13p-1, to determine the source of the relevant conflict minerals in our Applicable 3TG Products. Based on that inquiry, Planar was unable to determine that it had no reason to believe that some of the conflict minerals may have originated in a Covered Country or were not from recycled or scrap sources. Accordingly, Planar undertook the due diligence measures described in this Report.
Overview of Planar’s Due Diligence and Conflict Free Minerals Program
Planar follows the guidelines set forth by the Organization for Economic Co-operation and Development’s Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas: Second Edition (OECD 2013), an internationally recognized due diligence framework.
1. Establish strong company management systems.
Planar has established a Conflict Free Minerals Policy which states that “Planar will not knowingly procure material supplies and components that contain minerals that directly or indirectly finance or benefit armed groups in the Democratic Republic of Congo (DRC) or an adjoining country.” We urge our suppliers to support this policy in their own procurement guidelines and provide us with accurate country of origin information.
The policy also requires Planar to:
| • | Comply fully with SEC rules. |
| • | Conduct a reasonable country of origin inquiry to document the origins of the conflict minerals used in our products. |
| • | Establish reasonable objectives and targets with a goal of ascertaining and minimizing Planar’s risk with a goal of continuous improvement for our Conflict Free Minerals Program, develop a means to measure objectives and targets. Planar will also review, revise and report these measures, and overall program updates, on an annual basis. |
| • | Empower all employees, suppliers, vendors and contractors to take ownership in complying with the Conflict Free Minerals Policy and to escalate risks in the supply chain to management’s attention. |
| • | Effectively communicate to all employees this Conflict Free Minerals Policy and our Conflict Free Minerals Program. |
Planar created a position for and hired a Compliance Specialist to lead our Conflict Minerals Team in support of our Conflict Free Minerals Policy. The role of the Compliance Specialist is to:
| • | Facilitate compliance with all international, federal, state and local regulatory requirements for our products; |
| • | Provide technical as well as regulatory guidance and support services to the company and our customers; |
| • | Assist with the communication and coordination of Planar’s Regulatory Affairs programs, procedures and objectives throughout the organization, including the executive management team; and |
| • | Continuously evaluate our regulatory performance and implementation of our regulatory affairs programs. |
Our Compliance Specialist coordinated with consultants and referenced the resources of industry groups to filter the smelters list and remove brokerages, misidentified smelter locations, and confirm the information provided on submitted CMRTs, among other things.
2. Identify and assess risk in the supply chain.
Planar does not source conflict minerals in its Applicable 3TG Products and has little influence over its upstream suppliers, including the indirect suppliers that purchase the conflict minerals. Planar’s Conflict Free Minerals Program includes a system for identifying and assessing risk in our supply chain, and tracking results. We use our management system to determine which direct suppliers provide us with Applicable 3TG Products. We use the EICC-GeSI Conflict Mineral Reporting Template (“CMRT”) to survey these suppliers, and we evaluate their responses for completeness, logic, degree of smelter or refiner identification, and evidence of their due diligence practices. We review the CMRTs to identify smelters and refiners complaint with the Conflict Free Smelter Initiative’s (“CFSI”) Conflict-Free Smelter Program (“CFSP”). We also compare the smelters and refiners identified in the CMRTs to lists of facilities produced by sources such as the CFSI, the Tungsten Industry-Conflict Minerals Council (“TICMC”), the London Bullion Market Association’s (“LBMA”) and the Department of Commerce’s report on world-wide processing facilities.
Planar worked with direct suppliers to clarify CMRT responses that were identified as containing incomplete or potentially inaccurate information or we otherwise believed raised a red flag. Suppliers or identified smelters that were not responsive to enquiries seeking clarification were notified by the appropriate Planar Supply Chain manger that their continued lack of cooperation would jeopardize their future standing as an approved supplier. Planar conducted a document review of available public information on the smelters and refiners identified in the CMRTs. We attempted to engage directly with a smelter and refiner in our supply chain:
| • | If we could not verify the identified facility as a smelter or refiner based on the CFSI, TICMC, LBMA or Department of Commerce lists; or |
| • | If a smelter or refiner was not participating in the CFSP or LBMA’s Responsible Gold Guidance Program (“Responsible Gold Guidance Program”). |
Planar believes two independent third-party audit programs, the CFSP and the Responsible Gold Guidance Program, are sufficient to identify smelters and refiners that do not process conflict minerals that directly or indirectly finance or benefit armed groups. Therefore, Planar did not implement due diligence measures on identified smelters and refiners that were participating in one of those programs and/or had received a “complaint” designation.
If we verified the facility was operational, we requested country of origin information on the applicable conflict minerals processed at the facility. Planar also provided to non-participating facilities information on CFSP or Responsible Gold Guidance Program.
3. Design and implement a strategy to respond to identified risks.
Planar surveyed a targeted list of approximately 130 direct suppliers, using the CMRT. Through the process described above, we identified 759 potential smelter and refiners reported to be in our supply chain at some point during 2014. Of the 759 potential processing facilities reported to be in our supply chain, 200 were compliant or participating in the audit processes of the CFSP or Responsible Gold Guidance Program. Planar reviewed industry processing facility lists and engaged with each of the remaining 559 facilities that had publically available contact information, and requested country of origin data for applicable conflict minerals. Through this document review and company engagement, Planar determined that 464 facilities had been misidentified, did not engage in smelting or refining of conflict minerals [or were no longer operational]. Of the remaining 95 facilities, 20% reported that they either did not source from Covered Countries or only processed 100% scrap or recycled material. No processing facility that responded identified sourcing conflict minerals from any Covered Country. Despite multiple communication attempts, 80% of the 95 facilities did not respond with country of origin information. We could not verify over 40 facilities as operational smelters and refiners by document review alone. Planar does not have the resources or the power to cause non-reporting processing facilities to provide the mine or location of the origin of their conflict minerals.
Smelters that continue to be unresponsive to inquiries seeking clarification will be identified and escalated back thru the supply chain to the attention of Planar’s direct supplier. The direct supplier will be notified by the appropriate Planar Supply Chain manger that the continued lack of cooperation exhibited by their upstream supply chain smelter would jeopardize their future standing as an approved supplier.
The processing facilities we identified in our process with respect to Applicable 3TG Products are attached in Annex 1.1
See Risk Mitigation and Future Due Diligence Measures below for more information concerning our risk management plans.
4. Carry out independent third-party audit of supply chain due diligence at identified points in the supply chain.
Planar does not have the resources or expertise to audit the processing facilities in our supply chain. We use various resources described above to better understand risks and verify information. Planar also provides more information to our suppliers and to processing facilities to encourage them to participate in the CFSP or Responsible Gold Guidance Program. We intend to carry out any audit of our due diligence program required by Rule 13p-1.
| 1 | Form SD requires: (1) description of applicable products, (2) the facility used to process the conflict mineral, if known, (3) the country of origin of the conflict mineral, if known, and (4) efforts to determine the mine or location of origin with the greatest possible specificity. |
5. Report on supply chain due diligence.
We have filed this Conflict Mineral Report with the SEC, and it is publically available on our website. Planar also reported the findings of the supply chain risk assessment to senior management of the company.
Risk Mitigation and Future Due Diligence Measures
For 2014, Planar was able to increase its supplier response rate by 16% over the prior year. The quality of data received also improved as we have increased suppliers’ exposure to Planar’s reporting requirements and expectations. For 2013, Planar’s suppliers reported over 400 alleged smelter and refiners that were not participating in the CFSP. Due to limited resources, we had limited engagement and risk identification with these companies. In 2014, after we established better vetting processes and increased our smelter and refiner outreach efforts, Planar identified less than 100 supplier reported smelters and refiners that were not participating in the CFSP. We expect this number to shrink as public data improves and communication efforts highlight misidentified smelters and refiners and those that are no longer operational. Planar’s due diligence and risk management measures continue to improve as our conflict minerals program grows and develops.
Planar will continue to improve its due diligence measures and Conflict Free Minerals Program by taking the following steps:
| • | Engage with reported smelters and refiners to gather country of origin information and encourage their participation in CFSP, Responsible Gold Guidance Program or comparable programs. |
| • | Work with our suppliers to provide complete and accurate information on the smelters and refiners of conflict minerals in our supply chain. This includes providing the smelters and refiners with information that will help them understand our requirements and expectations. |
| • | Use previously gathered due diligence information to track direct supplier performance. |
| • | Continue to develop and implement risk management plans in order to improve our response rates and data quality year over year. |
| • | Encourage further improvement in traceability programs by engagement with industry groups and third-party programs. |
| • | Improve our supplier selection process to include the conflict minerals reporting requirements. |
| Metal | Standard Name | Location | 3rd Party Compliance Status | Mineral Country of Origin | ||||
| Tungsten | A.L.M.T. Corp. | JAPAN | CFSP Active; | Unknown | ||||
| Gold | Aida Chemical Industries Co. Ltd. | JAPAN | CFSP Active; | Japan, China | ||||
| Gold | Allgemeine Gold-und Silberscheideanstalt A.G. | GERMANY | CFSP Certified; | Unknown | ||||
| Gold | Almalyk Mining and Metallurgical Complex (AMMC) | UZBEKISTAN | LBMA Audited | Uzbekistan | ||||
| Tin | Alpha | UNITED STATES | CFSP Certified; | Unknown | ||||
| Gold | AngloGold Ashanti Córrego do Sítio Minerção | BRAZIL | CFSP Certified; | Brazil, USA, Australia, Ghana, DRC, Tanzania, South Africa | ||||
| Gold | Argor-Heraeus SA | SWITZERLAND | CFSP Certified; | Unknown | ||||
| Gold | Asahi Pretec Corporation | JAPAN | CFSP Certified; | Unknown | ||||
| Gold | Asaka Riken Co Ltd | JAPAN | CFSP Active; | Unknown | ||||
| Gold | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | TURKEY | CFSP Certified; | Unknown | ||||
| Gold | Aurubis AG | GERMANY | CFSP Certified; | Chile, Bulgaria, Argentina, Brazil, Canada, Peru, Scrap and Recycled material | ||||
| Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | PHILIPPINES | LBMA Audited | Philipines, other sources | ||||
| Gold | Bauer Walser AG | GERMANY | CFSI List; | Unknown | ||||
| Tungsten | Beijing Tian-Long Tungsten & Molybdenum Co., Ltd. | CHINA | No | Unknown | ||||
| Gold | Boliden AB | SWEDEN | CFSP Certified; | Sweden, Finland, Ireland | ||||
| Gold | C. Hafner GmbH + Co. KG | GERMANY | CFSP Certified; | Scrap/Recycled | ||||
| Gold | Caridad | MEXICO | CFSI List; | Mexico | ||||
| Gold | CCR Refinery – Glencore Canada Corporation | CANADA | CFSP Certified; | Australia, Philipines, Peru, Argentina | ||||
| Gold | Cendres + Métaux SA | SWITZERLAND | CFSP Active; | Unknown | ||||
| Tantalum | Changsha South Tantalum Niobium Co., Ltd. | CHINA | CFSP Certified; | Unknown | ||||
| Tin | Chen-Jung Metal & Material Co., Ltd. | CHINA | No | Unknown | ||||
| Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd. | CHINA | CFSP Active; | China | ||||
| Gold | Chimet S.p.A. | ITALY | CFSP Certified; | Scrap/Recycled | ||||
| Tin | China Minmetals Corporation | CHINA | No | Peru | ||||
| Tungsten | China Minmetals Nonferrous Metals Co Ltd | CHINA | No | China | ||||
| Gold | China National Gold Group Corporation | CHINA | CFSI List; | Unknown | ||||
| Gold | China Nonferrous Gold Limited (CNG) (formerly Kryso Resources Corporation Limited) | CHINA | No | Unknown | ||||
| Tin | China Rare Metal Materials Company | CHINA | CFSP Active; | Unknown | ||||
| Tin | China Tin Group Co., Ltd. | CHINA | CFSP Active; | Unknown | ||||
| Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | CHINA | CFSP Active; | Unknown | ||||
| Gold | Chugai Mining | JAPAN | CFSI List; | Scrap/Recycled | ||||
| Tin | CNMC (Guangxi) PGMA Co. Ltd. | CHINA | CFSI List; | Tajikistan, Kyrghizstan, Unsure of additional facilities | ||||
| Gold | Colt Refining | UNITED STATES | CFSI List; | Scrap/Recycled | ||||
| Tantalum | Conghua Tantalum and Niobium Smeltry | CHINA | CFSP Certified; | Unknown | ||||
| Tin | Cooper Santa | BRAZIL | CFSP Active; | Brazil | ||||
| Tin | Cooperativa Dos Fundidores De Cassiterita Da Amazônia Ltda | BRAZIL | No | Unknown | ||||
| Tin | CV Gita Pesona | INDONESIA | CFSP Active; | Unknown | ||||
| Tin | CV Prima Timah Utama | INDONESIA | CFSI List; | Unknown | ||||
| Tin | CV Serumpun Sebalai | INDONESIA | CFSP Active; | Unknown | ||||
| Tin | CV United Smelting | INDONESIA | CFSP Certified; | Unknown | ||||
| Gold | Daejin Indus Co. Ltd | KOREA, REPUBLIC OF | CFSI List; | Unknown | ||||
| Gold | Daye Non-Ferrous Metals Mining Ltd. | CHINA | CFSI List; | China |
| Tungsten | Dayu Weiliang Tungsten Co., Ltd. | CHINA | CFSP Active; | China | ||||
| Tin | Dede Kimya | ISTANBUL | No | Unknown | ||||
| Gold | Do Sung Corporation | KOREA, REPUBLIC OF | CFSI List; | Unknown | ||||
| Gold | Doduco GmbH | GERMANY | CFSI List; | Scrap/Recycled | ||||
| Tin | Dongguan Qiandao Tin Co., Ltd | CHINA | No | Unknown | ||||
| Gold | Dowa | JAPAN | CFSP Certified; | Unknown | ||||
| Tantalum | Duoluoshan | CHINA | CFSP Certified; | Unknown | ||||
| Gold | Eco-System Recycling Co., Ltd. | JAPAN | CFSP Certified; | Scrap/Recycled | ||||
| Tin | Elmet S.A. de C.V. | BRAZIL | No | Unknown | ||||
| Tin | EM Vinto | BOLIVIA | CFSP Active; | Unknown | ||||
| Gold | ESG Edelmetall-Handel GmbH & Co. KG | GERMANY | No | Unknown | ||||
| Tin | Estanho de Rondônia S.A. | BRAZIL | CFSI List; | BRAZIL | ||||
| Tin | Eximetal S.A. | ARGENTINA | No | Unknown | ||||
| Tantalum | Exotech Inc. | UNITED STATES | CFSP Certified; | Scrap/Recycled | ||||
| Tantalum | F&X Electro-Materials Ltd. | CHINA | CFSP Certified; | Unknown | ||||
| Tin | Feinhütte Halsbrücke GmbH | GERMANY | No | Unknown | ||||
| Tin | Fenix Metals | POLAND | CFSP Active; | Scrap/Recycled | ||||
| Gold | FSE Novosibirsk Refinery (OJSC) | RUSSIAN FEDERATION | LBMA Audited | Unknown | ||||
| Tungsten | Fujian Jinxin Tungsten Co., Ltd. | CHINA | CFSP Active; | China | ||||
| Tin | Fundipar Indústria e Comércio de Metais | BRAZIL | No | Unknown | ||||
| Tungsten | Ganxian Shirui New Material Company | CHINA | No | Unknown | ||||
| Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. | CHINA | CFSP Certified; | China | ||||
| Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | CHINA | CFSP Certified; | Unknown | ||||
| Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | CHINA | CFSP Certified; | China | ||||
| Tin | Gejiu Non-Ferrous Metal Processing Co. Ltd. | CHINA | CFSP Certified; | Unknown | ||||
| Tin | Gejiu Yunxi Group Corp. | CHINA | No | Unknown | ||||
| Tin | Gejiu Zi-Li | CHINA | CFSI List; | Unknown | ||||
| Tantalum | Global Advanced Metals Aizu | UNITED STATES | CFSP Certified; | Unknown | ||||
| Tantalum | Global Advanced Metals Boyertown | UNITED STATES | CFSP Certified; | Unknown | ||||
| Tungsten | Global Tungsten & Powders Corp. | UNITED STATES | CFSP Certified; | Unknown | ||||
| Tin | Grant Manufacturing & Alloying | UNITED STATES | No | Unknown | ||||
| Gold | Guangdong Jinding Gold Limited | CHINA | CFSI List; | Unknown | ||||
| Gold | Guangdong Mingfa Precious Metal Co., Ltd. | CHINA | No | Unknown | ||||
| Tungsten | Guangdong Rising Nonferrous Metal Co., Ltd. | CHINA | No | Unknown | ||||
| Tungsten | Guangdong Xianglu Tungsten Co., Ltd | CHINA | CFSP Active; | China | ||||
| Tantalum | Guangdong Zhiyuan New Material Co., Ltd. | CHINA | CFSP Certified; | Unknown | ||||
| Tin | Guangxi Nonferrous Metal Group Co Ltd | CHINA | No | Unknown | ||||
| Tantalum | H.C. Starck Co., Ltd. | THAILAND | CFSP Certified; | Unknown | ||||
| Tantalum | H.C. Starck GmbH | GERMANY | CFSP Active; | Unknown | ||||
| Tantalum | H.C. Starck GmbH Goslar | GERMANY | CFSP Certified; | Unknown | ||||
| Tantalum | H.C. Starck GmbH Laufenburg | GERMANY | CFSP Certified; | Unknown | ||||
| Tantalum | H.C. Starck Inc | UNITED STATES | CFSP Certified; | Unknown | ||||
| Tantalum | H.C. Starck Inc. | UNITED STATES | CFSP Certified; | Unknown | ||||
| Tantalum | H.C. Starck Smelting GmbH & Co.KG | GERMANY | CFSP Certified; | Unknown | ||||
| Gold | Heimerle + Meule GmbH | GERMANY | CFSP Certified; | Unknown | ||||
| Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | CHINA | CFSP Certified; | Unknown |
| Gold | Heraeus Ltd. Hong Kong | HONG KONG | CFSP Certified; | Unknown | ||||
| Gold | Heraeus Precious Metals GmbH & Co. KG | GERMANY | CFSP Certified; | Unknown | ||||
| Tantalum | Hi-Temp | UNITED STATES | CFSP Certified; | Unknown | ||||
| Tin | Huichang Jinshunda Tin Co. Ltd | CHINA | CFSI List; | Unknown | ||||
| Gold | Hunan Chenzhou Mining Group Co., Ltd. | CHINA | CFSI List; | Unknown | ||||
| Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd. | CHINA | CFSP Certified; | Unknown | ||||
| Gold | Hutti Gold Mines Limited | INDIA | No | India | ||||
| Gold | Hwasung CJ Co. Ltd | KOREA, REPUBLIC OF | CFSI List; | Unknown | ||||
| Tin | Hyundai-Steel | KOREA, REPUBLIC OF | No | Unknown | ||||
| Tin | IBFL IND Brasileira de Ferroligas Ltda | BRAZIL | No | Unknown | ||||
| Tin | INBRA IND E COM DE METAIS LTDA | BRAZIL | No | Unknown | ||||
| Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited | CHINA | LBMA Audited | Unknown | ||||
| Tungsten | International Metalworking Companies (IMC) & TaeguTec? | KOREA, REPUBLIC OF | No | Unknown | ||||
| Gold | Ishifuku Metal Industry Co., Ltd. | JAPAN | CFSP Certified; | Unknown | ||||
| Gold | Istanbul Gold Refinery | TURKEY | CFSP Certified; | Unknown | ||||
| Tungsten | Izawa Metal Co., Ltd | JAPAN | No | Unknown | ||||
| Gold | Japan Mint | JAPAN | CFSP Certified; | Unknown | ||||
| Tungsten | Japan New Metals Co., Ltd. | JAPAN | CFSP Certified; | Unknown | ||||
| Tungsten | Jiangsu Hetian Technological Material Co.,Ltd | CHINA | No | China | ||||
| Gold | Jiangxi Copper Company Limited | CHINA | LBMA Audited | China | ||||
| Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | CHINA | CFSP Active; | China | ||||
| Tungsten | Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd. | CHINA | CFSI List; | Unknown | ||||
| Tin | Jiangxi Nanshan | CHINA | CFSI List; | Unknown | ||||
| Tungsten | Jiangxi Rare Metals Tungsten Holding Group., LTD (JXTC) | CHINA | CFSP Active; | China | ||||
| Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. | CHINA | CFSP Active; | Unknown | ||||
| Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | CHINA | CFSP Certified; | Unknown | ||||
| Tantalum | Jiujiang Tanbre Co., Ltd. | CHINA | CFSP Certified; | Unknown | ||||
| Gold | Johnson Matthey Inc | UNITED STATES | CFSP Certified; | Unknown | ||||
| Gold | Johnson Matthey Ltd | CANADA | CFSP Certified; | Unknown | ||||
| Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | RUSSIAN FEDERATION | CFSP Certified; | Unknown | ||||
| Gold | JSC Uralelectromed | RUSSIAN FEDERATION | LBMA Audited | Unknown | ||||
| Gold | JX Nippon Mining & Metals Co., Ltd. | JAPAN | CFSP Certified; | Unknown | ||||
| Gold | Kanfort Industrial (HK) Limited | CHINA | No | Unknown | ||||
| Gold | KAZ Minerals PLC | KAZAKHSTAN | No | Unknown | ||||
| Gold | Kazzinc Inc. | KAZAKHSTAN | CFSP Certified; | Unknown | ||||
| Tantalum | KEMET Blue Metals | MEXICO | CFSP Certified; | Unknown | ||||
| Tantalum | Kemet Blue Powder | UNITED STATES | CFSP Certified; | Unknown | ||||
| Tungsten | Kennametal Fallon | UNITED STATES | CFSP Active; | Unknown | ||||
| Tungsten | Kennametal Huntsville | UNITED STATES | CFSP Active; | Unknown | ||||
| Gold | Kennecott Utah Copper LLC | UNITED STATES | CFSP Certified; | Unknown | ||||
| Tantalum | King-Tan Tantalum Industry Ltd | CHINA | CFSP Active; | Unknown | ||||
| Gold | Kojima Chemicals Co., Ltd | JAPAN | CFSP Certified; | Unknown | ||||
| Gold | Korea Metal Co. Ltd | KOREA, REPUBLIC OF | CFSI List; | Unknown | ||||
| Tin | KOVOHUTE PRIBRAM NASTUPNICKA, A.S. | CZECH REPUBLIC | No | Unknown | ||||
| Gold | Kyrgyzaltyn JSC | KYRGYZSTAN | LBMA Audited | Unknown | ||||
| Gold | L’ azurde Company For Jewelry | SAUDI ARABIA | CFSP Certified; | Unknown |
| Tin | L. Possehl & Co. mbH | GERMANY | No | Unknown | ||||
| Gold | Lingbao Jinyuan Tonghui Refinery Co. Ltd. | CHINA | CFSI List; | Unknown | ||||
| Tin | Linwu Xianggui Smelter Co | CHINA | CFSI List; | Unknown | ||||
| Tantalum | LSM Brasil S.A. | BRAZIL | CFSP Certified; | Unknown | ||||
| Gold | LS-NIKKO Copper Inc. | KOREA, REPUBLIC OF | CFSP Certified; | Unknown | ||||
| Gold | Ltd. Gold trading company | CHINA | No | Unknown | ||||
| Gold | Luoyang Zijin Yinhui Metal Smelt Co Ltd | CHINA | CFSI List; | Unknown | ||||
| Tin | Magnu’s Minerais Metais e Ligas LTDA | BRAZIL | CFSP Certified; | Brazil | ||||
| Tin | Malaysia Smelting Corporation (MSC) | MALAYSIA | CFSP Certified; | Unknown | ||||
| Tin | Malaysian Aluminium & Alloys (M) Sdn Bhd | MALAYSIA | No | Unknown | ||||
| Tungsten | Malipo Haiyu Tungsten Co., Ltd. (Xiamen Tungsten Co., Ltd) | CHINA | CFSP Certified; | Unknown | ||||
| Tin | Marco Metales de México, S. De R.L. De C.V. | BOLIVIA | No | Unknown | ||||
| Gold | Materion | UNITED STATES | CFSP Certified; | Unknown | ||||
| Gold | Matsuda Sangyo Co., Ltd. | JAPAN | CFSP Certified; | Unknown | ||||
| Tin | Matsuo Handa Co., Ltd. | JAPAN | No | Unknown | ||||
| Tin | Matsushima Metals Co., Ltd. | JAPAN | No | Unknown | ||||
| Tin | Mecomsa, S.A. de C.V. | PERU | No | Unknown | ||||
| Tin | Melt Metais e Ligas S/A | BRAZIL | CFSP Certified; | Unknown | ||||
| Tin | Metahub Industries Sdn. Bhd. | MALAYSIA | No | Scrap/Recycled | ||||
| Tantalum | Metaldo Co., Ltd. | JAPAN | No | Scrap/Recycled | ||||
| Tin | Metallo Chimique | BELGIUM | CFSP Certified; | Unknown | ||||
| Tantalum | Metallurgical Products India (Pvt.) Ltd. | INDIA | CFSP Certified; | Unknown | ||||
| Gold | Metalor Technologies (Hong Kong) Ltd | HONG KONG | CFSP Certified; | Unknown | ||||
| Gold | Metalor Technologies (Singapore) Pte. Ltd. | SINGAPORE | CFSP Certified; | Unknown | ||||
| Gold | Metalor Technologies (Suzhou) Co., Ltd. | CHINA | CFSP Certified; | Unknown | ||||
| Gold | Metalor Technologies SA | SWITZERLAND | CFSP Certified; | Unknown | ||||
| Gold | Metalor USA Refining Corporation | UNITED STATES | CFSP Certified; | Unknown | ||||
| Gold | METALÚRGICA MET-MEX PEÑOLES, S.A. DE C.V | MEXICO | CFSP Certified; | Mexico | ||||
| Tin | Metropolitan Alloys Corp | UNITED STATES | No | Unknown | ||||
| Tin | Mineração Taboca S.A. | BRAZIL | CFSP Certified; | Brazil | ||||
| Tin | Minsur | PERU | CFSP Certified; | Peru | ||||
| Gold | Mitsubishi Materials Corporation | JAPAN | CFSP Certified; | Unknown | ||||
| Tantalum | Mitsui Mining & Smelting | JAPAN | CFSP Certified; | Unknown | ||||
| Gold | Mitsui Mining and Smelting Co., Ltd. | JAPAN | CFSP Certified; | Unknown | ||||
| Tantalum | Molycorp Silmet A.S. | ESTONIA | CFSP Certified; | Unknown | ||||
| Gold | Morris and Watson Ltd | NEW ZEALAND | No | Unknown | ||||
| Gold | Moscow Special Alloys Processing Plant | RUSSIAN FEDERATION | LBMA Audited | Unknown | ||||
| Gold | Nadir Metal Rafineri San. Ve Tic. A.?. | TURKEY | CFSP Certified; | Unknown | ||||
| Gold | Nadir Metal Rafineri San. Ve Tic. A.Ş. | TURKEY | CFSP Certified; | Unknown | ||||
| Gold | Navoi Mining and Metallurgical Combinat | UZBEKISTAN | LBMA Audited | Unknown | ||||
| Tin | Ney Metals & Alloys | UNITED STATES | No | Peru | ||||
| Tin | Nghe Tinh Non-Ferrous Metals Joint Stock Company | VIETNAM | CFSP Active; | Unknown | ||||
| Gold | Nihon Material Co. LTD | JAPAN | CFSP Certified; | Unknown | ||||
| Tin | Ningbo Jintian copper (Group ) Company Limited | CHINA | No | Unknown | ||||
| Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | CHINA | CFSP Certified; | Unknown | ||||
| Tungsten | Nippon Tungsten Co., Ltd. | JAPAN | No | Unknown |
| Tin | Norteña de Metales, SA | SPAIN | No | Unknown | ||||
| Tin | O.M. Manufacturing (Thailand) Co., Ltd. | THAILAND | CFSP Active; | Unknown | ||||
| Tin | O.M. Manufacturing Philippines, Inc. | PHILIPPINES | CFSP Active; | Unknown | ||||
| Tin | OAO Novosibirsk Integrated Tin Works | RUSSIAN FEDERATION | CFSI List; | Unknown | ||||
| Gold | Ohio Precious Metals LLC. | UNITED STATES | CFSP Certified; | Unknown | ||||
| Gold | Ohio Precious Metals, LLC | UNITED STATES | CFSP Certified; | Unknown | ||||
| Gold | Ohura Precious Metal Industry Co., Ltd | JAPAN | CFSP Certified; | Unknown | ||||
| Gold | OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastvetmet) | RUSSIAN FEDERATION | CFSP Certified; | Unknown | ||||
| Gold | OJSC Kolyma Refinery | RUSSIAN FEDERATION | LBMA Audited | Unknown | ||||
| Gold | OJSC Krastvetmett | RUSSIAN FEDERATION | CFSP Certified; | Unknown | ||||
| Tin | OMSA | BOLIVIA | CFSP Certified; | Unknown | ||||
| Gold | PAMP SA | SWITZERLAND | CFSP Certified; | Will not disclose | ||||
| Tin | PENINSULAR DE LATÓN SA | SPAIN | No | Unknown | ||||
| Tin | Perusahaan Sadur Timah Malaysia (Perstima) Berhad | MALAYSIA | No | Unknown | ||||
| Gold | PHILIPPINE ASSOCIATED SMELTING AND REFINING CORPORATION | PHILIPPINES | No | Unknown | ||||
| Tantalum | Plansee | AUSTRIA | CFSP Certified; | Unknown | ||||
| Tantalum | Plansee SE Liezen | AUSTRIA | CFSP Certified; | Unknown | ||||
| Tantalum | Plansee SE Reutte | AUSTRIA | CFSP Certified; | Unknown | ||||
| Gold | Prioksky Plant of Non-Ferrous Metals | RUSSIAN FEDERATION | LBMA Audited | Unknown | ||||
| Tin | Productos Minerales del Norte S.A. de C.V. | BOLIVIA | No | Unknown | ||||
| Gold | PT Aneka Tambang (Persero) Tbk | INDONESIA | CFSP Certified; | Indonesia | ||||
| Tin | PT Artha Cipta Langgeng | INDONESIA | CFSP Active; | Unknown | ||||
| Tin | PT Babel Inti Perkasa | INDONESIA | CFSP Certified; | Indonesia | ||||
| Tin | PT Bangka Kudai Tin | INDONESIA | CFSP Active; | Unknown | ||||
| Tin | PT Bangka Putra Karya | INDONESIA | CFSP Certified; | Unknown | ||||
| Tin | PT Bangka Putra Karya | INDONESIA | CFSP Certified; | Unknown | ||||
| Tin | PT Bangka Timah Utama Sejahtera | INDONESIA | CFSP Active; | Unknown | ||||
| Tin | PT Bangka Tin Industry | INDONESIA | CFSP Certified; | Unknown | ||||
| Tin | PT Belitung Industri Sejahtera | INDONESIA | CFSP Active; | Unknown | ||||
| Tin | PT Bellitin Makmur Lestari | INDONESIA | CFSP Active; | Unknown | ||||
| Tin | PT Bukit Timah | INDONESIA | CFSP Certified; | Indonesia | ||||
| Tin | PT DS Jaya Abadi | INDONESIA | CFSP Certified; | Unknown | ||||
| Tin | PT Eunindo Usaha Mandiri | INDONESIA | CFSP Certified; | Indonesia | ||||
| Tin | Pt Inti Stania Prima | INDONESIA | CFSP Active; | Unknown | ||||
| Tin | PT Karimun Mining | INDONESIA | CFSP Active; | Unknown | ||||
| Tin | PT Koba Tin | INDONESIA | CFSI List; | Indonesia | ||||
| Tin | PT Mitra Stania Prima | INDONESIA | CFSP Active; | Unknown | ||||
| Tin | PT Panca Mega Persada | INDONESIA | CFSP Active; | Unknown | ||||
| Tin | PT Prima Timah Utama | INDONESIA | CFSP Certified; | Unknown | ||||
| Tin | PT REFINED BANGKA TIN | INDONESIA | CFSP Certified; | Unknown | ||||
| Tin | PT Sariwiguna Binasentosa | INDONESIA | CFSP Certified; | Unknown | ||||
| Tin | PT Stanindo Inti Perkasa | INDONESIA | CFSP Certified; | Unknown | ||||
| Tin | PT Tambang Timah | INDONESIA | CFSP Certified; | Unknown | ||||
| Tin | PT Timah (Persero), Tbk | INDONESIA | CFSP Certified; | Unknown | ||||
| Tin | PT Tinindo Inter Nusa | INDONESIA | CFSP Active; | Unknown | ||||
| Gold | PX Précinox SA | SWITZERLAND | CFSP Certified; | Unknown |
| Tantalum | QuantumClean | UNITED STATES | CFSP Certified; | Unknown | ||||
| Gold | Rand Refinery (Pty) Ltd | SOUTH AFRICA | CFSP Certified; | Unknown | ||||
| Tantalum | REMELT SOURCES, INC. | UNITED STATES | No | China | ||||
| Tantalum | RFH Tantalum Smeltry Co., Ltd | CHINA | CFSP Certified; | Scrap/Recycled | ||||
| Gold | Royal Canadian Mint | CANADA | CFSP Certified; | Unknown | ||||
| Tin | Rui Da Hung | TAIWAN | CFSP Active; | Unknown | ||||
| Gold | Sabin Metal Corp. | UNITED STATES | CFSP Active; | Unknown | ||||
| Gold | Samduck Precious Metals | KOREA, REPUBLIC OF | CFSI List; | Unknown | ||||
| Gold | SAMWON METALS Corp. | KOREA, REPUBLIC OF | CFSP Certified; | Unknown | ||||
| Gold | Schöne Edelmetaal B.V. | NETHERLANDS | CFSP Certified; | Unknown | ||||
| Gold | SEMPSA Joyeria Plateria SA | SPAIN | CFSP Certified; | Unknown | ||||
| Gold | SEMPSA Joyería Platería SA | SPAIN | CFSP Certified; | Unknown | ||||
| Gold | Shandong Tiancheng Biological Gold Industrial Co. Ltd. | CHINA | No | Unknown | ||||
| Gold | Shandong Zhaojin Gold & Silver Refinery Co. Ltd | CHINA | CFSP Certified; | Unknown | ||||
| Tantalum | Shanghai Jiangxi Metals Co. Ltd | CHINA | CFSI List; | China | ||||
| Tin | Shaoxing Tianlong Tin Materials Co., Ltd (Damno Tin Materials Co., Ltd) | CHINA | No | Unknown | ||||
| Tin | SHENZHEN BOSHIDA SODERING TININDUUSTRIAL CO,LTD | CHINA | No | Unknown | ||||
| Tin | Shenzhen City Thai Industrial CO., LTD. | CHINA | No | Unknown | ||||
| Gold | Sichuan Tianze Precious Metals Co., Ltd. | CHINA | CFSP Active; | Unknown | ||||
| Tin | SIP Resources | INDONESIA | No | Unknown | ||||
| Gold | So Accurate Group, Inc. | UNITED STATES | CFSI List; | Scrap/Recycled | ||||
| Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | RUSSIAN FEDERATION | CFSP Active; | Unknown | ||||
| Tin | Soft Metais, Ltda. | BRAZIL | CFSP Active; | Unknown | ||||
| Gold | Solar Applied Materials Technology Corp. | TAIWAN | CFSP Certified; | Unknown | ||||
| Tin | Solderindo | INDONESIA | No | Unknown | ||||
| Tantalum | Solikamsk Magnesium Works OAO | RUSSIAN FEDERATION | CFSP Certified; | Unknown | ||||
| Tin | STANCHEM Sp. j. | INDONESIA | No | Unknown | ||||
| Gold | Sumitomo Metal Mining Co., Ltd. | JAPAN | CFSP Certified; | Japan, USA | ||||
| Tantalum | Taki Chemical | JAPAN | CFSP Certified; | Unknown | ||||
| Gold | Tanaka Kikinzoku Kogyo K.K. | JAPAN | CFSP Certified; | Japan | ||||
| Tungsten | Tejing (Vietnam) Tungsten Co., Ltd. | VIETNAM | CFSP Active; | Burma, Cambodia, Thailand, Australia, USA | ||||
| Tantalum | Telex | UNITED STATES | CFSP Certified; | Scrap/Recycled | ||||
| Tin | Thaisarco | THAILAND | CFSP Certified; | Unknown | ||||
| Gold | The Great Wall Gold and Silver Refinery of China | CHINA | LBMA Audited | Unknown | ||||
| Gold | The Refinery of Shandong Gold Mining Co. Ltd | CHINA | CFSP Certified; | Unknown | ||||
| Gold | Tokuriki Honten Co., Ltd | JAPAN | CFSP Certified; | Japan | ||||
| Gold | Tongling nonferrous Metals Group Co.,Ltd | CHINA | CFSI List; | Unknown | ||||
| Gold | Torecom | KOREA, REPUBLIC OF | CFSI List; | Scrap/Recycled | ||||
| Tantalum | Ulba | KAZAKHSTAN | CFSP Certified; | Unknown | ||||
| Gold | Umicore Brasil Ltda | BRAZIL | CFSP Certified; | Unknown | ||||
| Gold | Umicore Precious Metals Thailand | THAILAND | CFSP Certified; | Unknown | ||||
| Gold | Umicore SA Business Unit Precious Metals Refining | BELGIUM | CFSP Certified; | Unknown | ||||
| Tin | UNIFORCE METAL INDUSTRIAL CORP. | TAIWAN | No | Unknown | ||||
| Gold | United Precious Metal Refining, Inc. | UNITED STATES | CFSP Certified; | Scrap/Recycled | ||||
| Gold | Valcambi SA | SWITZERLAND | CFSP Certified; | Unknown | ||||
| Tungsten | Vietnam Youngsun Tungsten Industry Co., Ltd. | VIETNAM | CFSP Active; | Vietnam |
| Tungsten | Voss Metals Company, Inc. | UNITED STATES | No | Scrap/Recycled | ||||
| Tin | VQB Mineral and Trading Group JSC | VIETNAM | CFSP Active; | Unknown | ||||
| Gold | WENZHOU YIHUA COMMUNICATED CONNECTOR CO., LTD | CHINA | No | Unknown | ||||
| Gold | Western Australian Mint trading as The Perth Mint | AUSTRALIA | CFSP Certified; | Unknown | ||||
| Gold | Western Australian Mint trading as The Perth Mint | AUSTRALIA | CFSP Certified; | Unknown | ||||
| Tungsten | Western Metal Materials Co.,ltd | CHINA | No | Unknown | ||||
| Tin | White Solder Metalurgia e Mineração Ltda. | BRAZIL | CFSP Certified; | Brazil | ||||
| Tungsten | Winner Tungsten Products Co., LTD. | CHINA | No | Unknown | ||||
| Tungsten | Wolfram Bergbau und Hütten AG | AUSTRIA | CFSP Active; | Unknown | ||||
| Tungsten | Wolfram Company CJSC | RUSSIAN FEDERATION | CFSP Active; | Russia | ||||
| Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. (Xiamen Tungsten Co., Ltd.) | CHINA | CFSP Certified; | Unknown | ||||
| Tungsten | Xiamen Tungsten Co., Ltd. | CHINA | CFSP Certified; | Unknown | ||||
| Tungsten | Xinhai Rendan Shaoguan Tungsten Co., Ltd. | CHINA | CFSP Active; | Unknown | ||||
| Gold | YAMAMOTO PRECIOUS METAL CO., LTD. | JAPAN | CFSP Active; | Unknown | ||||
| Tantalum | Yichun Jin Yang Rare Metal Co., Ltd | CHINA | CFSP Certified; | Unknown | ||||
| Gold | Yokohama Metal Co., Ltd. | JAPAN | CFSP Active; | Scrap/Recycled | ||||
| Tin | Yunnan Chengfeng Non-ferrous Metals Co.,Ltd. | CHINA | CFSP Active; | Unknown | ||||
| Gold | Yunnan Copper Industry Co Ltd | CHINA | CFSI List; | Australia, Chile, Laos, Unsure of additional facilities | ||||
| Tin | Yunnan Tin Company, Ltd. | CHINA | CFSP Certified; | Unknown | ||||
| Gold | Zhongkuang Gold Industry Co., Ltd. | CHINA | No | Unknown | ||||
| Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | CHINA | LBMA Audited; | Unknown | ||||
| Tantalum | Zhuzhou Cement Carbide | CHINA | CFSP Certified; | China | ||||
| Gold | Zijin Mining Group Co. Ltd | CHINA | LBMA Audited; | DRC, China, Kyrgyzstan, Tadjikistan |