0001564590-17-010228.txt : 20170510 0001564590-17-010228.hdr.sgml : 20170510 20170510160521 ACCESSION NUMBER: 0001564590-17-010228 CONFORMED SUBMISSION TYPE: SD PUBLIC DOCUMENT COUNT: 2 13p-1 1.01 20161231 1.02 20161231 FILED AS OF DATE: 20170510 DATE AS OF CHANGE: 20170510 FILER: COMPANY DATA: COMPANY CONFORMED NAME: BIOLASE, INC CENTRAL INDEX KEY: 0000811240 STANDARD INDUSTRIAL CLASSIFICATION: DENTAL EQUIPMENT & SUPPLIES [3843] IRS NUMBER: 870442441 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SD SEC ACT: 1934 Act SEC FILE NUMBER: 001-36385 FILM NUMBER: 17830209 BUSINESS ADDRESS: STREET 1: 4 CROMWELL CITY: IRVINE STATE: CA ZIP: 92618 BUSINESS PHONE: 949-361-1200 MAIL ADDRESS: STREET 1: 4 CROMWELL CITY: IRVINE STATE: CA ZIP: 92618 FORMER COMPANY: FORMER CONFORMED NAME: BIOLASE TECHNOLOGY INC DATE OF NAME CHANGE: 19941117 FORMER COMPANY: FORMER CONFORMED NAME: LASER MEDICAL TECHNOLOGY INC DATE OF NAME CHANGE: 19941117 FORMER COMPANY: FORMER CONFORMED NAME: LASER ENDO TECHNIC CORP DATE OF NAME CHANGE: 19920708 SD 1 biol-sd.htm FORM SD biol-sd.htm

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM SD

SPECIALIZED DISCLOSURE REPORT

 

BIOLASE, INC.

(Exact name of registrant as specified in its charter)

 

 

Delaware

001-36385

87-0442441

(State or other jurisdiction

(Commission File Number)

(I.R.S. Employer

of incorporation or organization)

 

Identification No.)

 

4 Cromwell

Irvine, California 92618

(Address of Principal Executive Offices, including zip code)

(949) 361-1200

(Registrant’s Telephone Number, Including Area Code)

 

Harold C. Flynn, Jr

 

(888) 424-6527

(Name and telephone number, including area code, of the person to contact in connection with this report.)

 

Check the appropriate box to indicate the rule pursuant to which this form is being filed, and provide the period to which the information in this form applies:

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

 

 

 


Company Overview

BIOLASE, Inc. (“BIOLASE” and, together with its consolidated subsidiaries, the “Company”), incorporated in Delaware in 1987, is a medical device company that develops, manufactures, markets, and sells laser systems in dentistry and medicine and also markets, sells, and distributes dental imaging equipment, including cone beam digital x-rays and three-dimensional CAD/CAM intra-oral scanners.  Our products advance the practice of dentistry and medicine for patients and health care professionals.

The Company offer two categories of laser system products: Waterlase (all-tissue) systems and Diode (soft tissue) systems. Our flagship brand, Waterlase, uses a patented combination of water and laser energy to perform most procedures currently performed using drills, scalpels, and other traditional dental instruments for cutting soft and hard tissue. The Company also offer our Diode laser systems to perform soft tissue, pain therapy, and cosmetic procedures, including teeth whitening.

 

Section 1—Conflict Minerals Disclosure

Item 1.01 Conflict Minerals Disclosure and Report

This Form SD for Biolase, Inc. is provided in accordance with Rule 13p-1 under the Securities Exchange Act of 1934 (“Rule 13p-1”) for the reporting period from January 1, 2016 to December 31, 2016.

Companies subject to Rule 13p-1 are required to perform certain procedures and to disclose information about the use of conflict minerals which include coltan, cassiterite, gold, wolframite, or their derivatives, which are limited to tungsten, tantalum, tin, and gold ("3TG") that are deemed to be necessary to the functionality or production of a product manufactured or contract to manufacture.

In accordance with Rule 13p-1, the Company has conducted an evaluation and inquired of its entire known component and outsourced manufacturing supply chain, which consisted of 159 suppliers, as to whether 3TG was contained in their products and concluded that certain products manufactured, or contracted to be manufactured, by the Company contain 3TG.  Accordingly, the Company, in good faith, conducted a Reasonable Country of Origin Inquiry (“RCOI”) of suppliers providing components and parts deemed necessary for the functionality of the products to determine whether the products we manufacture are “conflict free,” that is, that they either do not contain conflict minerals from the Democratic Republic of the Congo or an adjoining country (“Covered Countries”) or originate from recycled or scrap materials.  During this inquiry process, the Company identified 29 suppliers “in-scope” and requested they complete the Conflict Free Sourcing Initiative (“CFSI”) Conflict Minerals Reporting Template (the “CFSI Template”) to verify the presence of 3TG and to determine the facilities processing those minerals.

Upon analyzing the information gathered through this supply chain survey, the Company concluded that 3TG contained in its products could originate in the Covered Countries or were not exclusively from recycled or scrap materials. As such, the Company conducted due diligence in accordance with the Organization for Economic Co-operation and Development (“OECD”) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas including the Supplement on Tin, Tantalum and Tungsten, as well as those portions of the OECD Supplement on Gold applicable to downstream companies (collectively “OECD guidance”).

 

There is significant overlap between our RCOI efforts and our due diligence measures performed. The description of the Company’s due diligence is in the Conflict Minerals Report (“CMR”) filed as exhibit 1.01 of this Form SD and is incorporated herein by reference.  The Company’s CMR was not subject to an independent private sector audit as allowed under Rule 13p-1.

Due to the Company’s use of necessary 3TG in the manufacture of its laser products, management has adopted a Conflict Minerals Policy (“CMP”), which can be found at www.biolase.com under “Investors” in “Corporate Governance.”

Item 1.02 Exhibit

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

 

Section 2 – Exhibits

Item 2.01 Exhibits

1.01        Conflict Minerals Report for Biolase, Inc. for the calendar year ended December 31, 2016.


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 undersigned thereunto duly authorized.

Date: May 10, 2017

 

BIOLASE, INC.,

a Delaware Corporation

(registrant)

 

 

 

 

 

By:

 

/s/ HAROLD C. FLYNN, JR.

 

 

 

Harold C. Flynn, Jr.

 

 

 

President and Chief Executive Officer

 

 

 

(Principal Executive Officer, Principal Financial Officer and Principal Accounting Officer)

 

 

EX-1.01 2 biol-ex101_31.htm EX-1.01 biol-ex101_31.htm

Exhibit 1.01

BIOLASE, Inc

Conflict Minerals Report

For the year ended December 31, 2016

Introduction

This Conflict Minerals Report (“CMR”) for Biolase, Inc. (the “Company”, “we”, or “our”) for the calendar year ended December 31, 2016 was prepared in accordance with Rule 13p-1 of the Securities Exchange Act of 1934 (“Rule 13p-1”). Terms used and not defined in this report have the meanings ascribed in Form SD as adopted by the Securities and Exchange Commission (“SEC”) pursuant to the Rule.

Rule 13p-1 was adopted by the Securities and Exchange Commission (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 (the “Dodd-Frank Act”). 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. For the purposes of this assessment, conflict minerals are defined as Tantalum, Tin, Tungsten, and Gold (“3TG”). These requirements apply to registrants, regardless of the geographic origin of the conflict minerals and whether or not they fund armed conflict.  

The Company’s CMR for the calendar year ended December 31, 2016 was not subject to an independent private sector audit.

Design and Execution of Due Diligence

As part of the RCOI described in Form SD, the Company performed a supplier survey using the Conflict Free Sourcing Initiative (“CFSI”) Conflict Minerals Reporting Template (the “CFSI Template”) for the year ending December 31, 2016. All suppliers providing components used in our products were included in the survey utilized for both RCOI and Due Diligence. The information obtained in the survey indicated that there was reason to believe that a portion of the 3TG used in our products may have originated in the Covered Countries and were not exclusively from scrap or recycled sources, triggering the due diligence steps described in the following sections.

The Company designed and implemented the majority of our due diligence measures prior to the current reporting year 2016. These measures were continued during 2016 and are described herein. They are designed to conform, in all material respects, to the framework in The Organization for Economic Co-operation and Development (“OECD”) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas including the Supplement on Tin, Tantalum and Tungsten, as well as those portions of the OECD Supplement on Gold applicable to downstream companies (collectively the “OECD Guidance”). In accordance with the five step OECD Guidance, our measures are designed to determine, to the best of our ability, the source and chain of custody of the 3TG materials necessary for the functionality and/or production of our products, to ascertain if the materials originated in one of the Covered Countries, and if so, whether armed groups directly or indirectly benefited as a result.

1: Establish company management systems

The Company undertook the following measures to establish management systems to address compliance with Rule 13p-1:

  

 

The Company has established a Conflict Minerals Policy (“CMP”) that has been posted on its website at: www.biolase.com under “Investors” in “Corporate Governance.” The Company also has a Supplier Survey/Certification Form and a Supplier Code of Conduct. The Supplier Code of Conduct includes a mechanism for escalating any issues and concerns.

 

 

 

The Company has established a management system for complying with the applicable rules. The management system includes the development of a Conflict Minerals Task Force led by our Chief Financial Officer and a team of subject matter experts from relevant functions including, purchasing, quality assurance, manufacturing, and finance.

 

 

 

The Company has inserted a clause on conflict minerals in all new supplier certification forms, as well as revising existing supplier certification forms for in-scope suppliers to include the clause. The clause requires each supplier to use its best endeavors to determine the origin of conflict minerals through the use of OECD guidance.

 

 

The Company has established its due diligence compliance process and set forth documentation and record maintenance mechanism to ensure the retaining of relevant documentation in a structured electronic database.

 

 

The Company has also created internal follow-up processes (including e-mail communication and direct contact by telephone) to identify and escalate any identified issues associated with non-responsive or problematic responses to its RCOI.


 

 

The Company establishes and maintains long term relationships with the majority of its suppliers to improve due diligence performance.

2: Identify and assess risks in the supply chain

The Company took the following measures to identify risks in our supply chain:

 

 

Conducted a supplier survey of all suppliers providing products or components within scope of Rule 13p-1, necessary for the functionality of the Company’s products and likely to contain 3TG. The survey was based on the Electronics Industry Citizenship Coalition (“EICC”) and the Global eSustainability Initiative (“GeSI”) Conflict Minerals Reporting Template created by the Electronics Industry Citizenship Coalition (“EICC”) and the Global eSustainability Initiative (“GeSI”) as a common means for the collection of sourcing information related to necessary conflict minerals in our products. The survey also included information to inform the suppliers of the Company’s Conflict Minerals Rule reporting obligations as well as the assistance required from our supply chain, and the resulting expectations for the sourcing of conflict minerals.

 

 

 

Suppliers of in-scope products are required to complete the CFSI Conflict Minerals Reporting Template (the “CFSI Template”) on an annual basis. The CFSI Template was developed to facilitate disclosure and communication of information regarding Smelters or Refiners (“SORs”) that provide material to a company’s supply chain. It includes questions regarding a company’s conflict-free policy, engagement with its direct suppliers, and a listing of the SORs the Company and its suppliers use. In addition, the CFSI Template contains questions about the origin of conflict minerals included in suppliers’ products, as well as supplier due diligence.

 

 

 

Reviewed and assessed survey responses. Followed up with suppliers whose responses were incomplete or appeared to report inconsistent information.

 

 

 

When a supplier response stated that conflict minerals were sourced from the Covered Countries and identified the SORs involved, the Company compared the identified SORs to the CFSI’s Conflict Free Smelter Program list to identify those validated by an independent third-party audit under the Conflict Free Smelter Program and those not validated.  

 

3: Design and implement a strategy to respond to identified risks

The Company designed and implemented strategies to respond to identified risks, including the following:

 

 

Developed a Risk Management Plan, which includes a training program to ensure suppliers understand the Company’s expectations as it relates to 3TG.

 

 

 

When applicable, the Company will work with suppliers who are sourcing from non-Conflict Free SORs to facilitate a transition to using Conflict Free SORs within a reasonable time frame. The time frame will be dependent on the criticality of the specific part and the availability of alternative suppliers.

 

 

 

Sent follow-up communications to suppliers that provided incomplete or inconsistent survey responses. Requested suppliers submitting letters of conflict “status” to complete our survey to collect additional relevant information.

 

 

 

Suppliers who received one of these follow-up communications were directed to our Policy Statement, as well as conflict minerals training and education materials. Suppliers were asked to review the materials and provide updated information in a timely manner.

 

 

 

Suppliers who did not respond to our initial survey were sent escalation communications requesting that they respond to the survey and provide the requested information. Several unresponsive suppliers were engaged directly by our sourcing personnel to advise them to complete our requested survey to the best of their ability.

 

4: Carry out independent third-party audit of Smelter or Refiner due diligence practices

The Company is a downstream consumer of the necessary conflict minerals in our products and are many steps removed from SORs who provide minerals and ores. Our due diligence efforts rely on cross-industry initiatives to implement validation of Covered Countries conflict free SORs as outlined in OECD Guidance for downstream companies. As such, the Company does not perform or direct audits of SORs within the supply chain, rather it relied on the results of audits conducted by Conflict-Free Smelter Program to determine SORs due diligence practices.

5: Report annually on supply chain due diligence

In accordance with the Rule 13p-1, our Form SD, along with a copy of this CMR constitute the Company’s annual report on our Conflict Minerals Due Diligence.  These have been filed with the SEC and are available on our website at ww.biolase.com under “Investors” in “SEC Filings.”

 


Due Diligence Results

For the calendar year ended December 31, 2016, the Company surveyed its entire known component and outsourced manufacturing supply chain, which consisted of 159 suppliers, with a 99% response rate.  Of those suppliers, 133 reported that conflict minerals are not intentionally added to their products, are not necessary to the production of their products or are not contained in the finished products that they manufacture or contract to manufacture. With respect to the remaining 26 suppliers within the scope of the RCOI, the large majority provided data at a company, division or product category level, including 15 suppliers that identified as conflict free using the CFSI Template, 9 suppliers that were uncertain as to the country of origin of conflict minerals in their supply chain and/or were unable to specify the SORs that processed conflict minerals in materials or components supplied to us, and two suppliers that stated they sourced 3TG from the Covered Countries, from other than scrap or recycled sources, and named SORs who have not yet completed a Conflict Free Smelter Program or cross recognized audit validating a conflict free process. Two suppliers within the scope of the RCOI did not respond.

With respect to the 9 suppliers who were uncertain of the country of origin or the two suppliers who sourced conflict minerals from the Covered Countries, from other than scrap or recycled sources, and identified the SORs involved, all such responses provided data at a company level. As a result, we were not able to determine whether the specific conflict minerals from such suppliers that were sourced from the Covered Countries were included in components or materials we obtained from the suppliers and used in our products.

During due diligence, the Company noted 346 companies identified by CFSI as known SORs, which are potentially included in our supply chain.  Of the identified SORs, 186 are compliant with CFSI’s Conflict Free Smelter Program list and considered to be conflict free and another 53 have committed to undergo a Conflict Free Smelter Program audit or are participating in one of the cross-recognized certifications programs. With respect to the other 107, CFSI has not provided an opinion as whether or not the minerals procured from these SORs originate from the Covered Countries. Refer to Table I for a listing of all identified SORs potentially in our supply chain, along with facility locations, and the conflict free status.

Based on the results of the due diligence measures described above, the Company has been unable to determine with 100% certainty the country of origin of the necessary conflict minerals, the mine or location of origin of the necessary conflict minerals in our products, or the facilities used to process the necessary conflict minerals in our products.  Due to this the Company has not been found to be ‘DRC conflict free’.

 

Continuous Improvement Efforts to Mitigate Risk

The Company expects to take the following steps, among others, to improve our due diligence measures and to further mitigate the risk that necessary conflict minerals contained in our products may finance or benefit armed groups in the Covered Countries:

 

 

Continue to educate our direct suppliers about our reporting obligations related to conflict minerals, and continue to provide our direct suppliers with educational materials and website links that they may provide to their own suppliers.

 

 

Encourage our direct suppliers to implement responsible sourcing and ask them to encourage SORs to become certified as conflict-free.

 

 

When the complexity of our data collection process requires it, evaluate new systems for the collection and management of conflict minerals reporting data.

 



Table I. Smelters or Refiners List

List and status of SORs are as of May 2, 2017 and status data is from CFSI. The list includes 346 recognized SORs that are either known to obtain at least some minerals from the Covered Countries or are SORs where the source of the minerals was not disclosed and could not be determined. It does not include those SORs that source only from outside the Covered Countries as determined through RCOI, or process only recycled or scrap materials. “Country” refers to the location of the facility, not the source of minerals.  The smelter location was not used for RCOI, since it does not necessarily determine the source of the ore, although location near abundant mineral resources can be an indicator of mineral sourcing.  The general geographical breakdown of all the reported smelters is as follows.

 

Region

Number

Asia

220

Europe

45

North America

36

Russia and Central Asia

19

South America

19

Middle East

3

Africa

3

Australasia

1

 

Status is defined as:

 

Compliant: Smelters or Refiners that have been audited and are compliant with the Conflict-Free Smelter Program or cross recognized assessment protocols.

 

Not Validated:  Legitimate Smelters or Refiners who have not yet completed a Conflict Free Smelter Program or cross recognized audit validating a conflict free process.

 

Active: Smelters and Refiners that have committed to undergo a Conflict Free Smelter Program audit.

 

CFSI Smelter ID

Smelter Name

Country

Conflict Free Status

CID000090

Asaka Riken Co Ltd

JAPAN

Compliant

CID000004

A.L.M.T. TUNGSTEN Corp.

JAPAN

Compliant

CID000015

Advanced Chemical Company

UNITED STATES

Active

CID000019

Aida Chemical Industries Co. Ltd.

JAPAN

Active

CID000028

Aktyubinsk Copper Company TOO

KAZAKHSTAN

Not Validated

CID000035

Allgemeine Gold-und Silberscheideanstalt A.G.

GERMANY

Compliant

CID000041

Almalyk Mining and Metallurgical Complex (AMMC)

UZBEKISTAN

Active

CID000058

AngloGold Ashanti Córrego do Sítio Minerção

BRAZIL

Compliant

CID000077

Argor-Heraeus SA

SWITZERLAND

Compliant

CID000082

Asahi Pretec Corporation

JAPAN

Compliant

CID000090

Asaka Riken Co Ltd

JAPAN

Compliant

CID000103

Atasay Kuyumculuk Sanayi Ve Ticaret A.S.

TURKEY

Not Validated

CID000105

Kennametal Huntsville

UNITED STATES

Compliant

CID000113

Aurubis AG

GERMANY

Active

CID000128

Bangko Sentral ng Pilipinas (Central Bank of the Philippines)

PHILIPPINES

Active

CID000141

Bauer Walser AG

GERMANY

Not Validated

CID000157

Boliden AB

SWEDEN

Active

CID000176

C. Hafner GmbH + Co. KG

GERMANY

Compliant

CID000180

Caridad

MEXICO

Not Validated

CID000185

CCR Refinery – Glencore Canada Corporation

CANADA

Compliant

CID000189

Cendres + Métaux SA

SWITZERLAND

Not Validated

CID000197

Yunnan Copper Industry Co., Ltd.

CHINA

Not Validated

CID000211

Changsha South Tantalum Niobium Co., Ltd.

CHINA

Compliant

CID000218

Guangdong Xianglu Tungsten Co., Ltd.

CHINA

Compliant

CID000228

Chenzhou Yunxiang Mining and Metallurgy Company Limited

CHINA

Compliant


CID000233

Chimet S.p.A.

ITALY

Compliant

CID000242

China National Gold Group Corporation

CHINA

Not Validated

CID000244

China Rare Metal Materials Company

CHINA

Compliant

CID000258

Chongyi Zhangyuan Tungsten Co Ltd

CHINA

Compliant

CID000264

Chugai Mining

JAPAN

Not Validated

CID000278

CNMC (Guangxi) PGMA Co., Ltd.

CHINA

Not Validated

CID000288

Colt Refining

UNITED STATES

Not Validated

CID000291

Conghua Tantalum and Niobium Smeltry

CHINA

Compliant

CID000292

Alpha

UNITED STATES

Compliant

CID000295

Cooperativa Metalurgica de Rondônia Ltda.

BRAZIL

Compliant

CID000306

CV Gita Pesona

INDONESIA

Compliant

CID000307

CV JusTindo

INDONESIA

Not Validated

CID000308

CV Makmur Jaya

INDONESIA

Not Validated

CID000309

PT Aries Kencana Sejahtera

INDONESIA

Compliant

CID000313

CV Serumpun Sebalai

INDONESIA

Compliant

CID000315

CV United Smelting

INDONESIA

Compliant

CID000328

Daejin Indus Co. Ltd

KOREA, REPUBLIC OF

Compliant

CID000333

DaeryongENC

KOREA, REPUBLIC OF

Not Validated

CID000343

Daye Non-Ferrous Metals Mining Ltd.

CHINA

Not Validated

CID000345

Dayu Weiliang Tungsten Co., Ltd.

CHINA

Not Validated

CID000359

DSC (Do Sung Corporation)

KOREA, REPUBLIC OF

Compliant

CID000362

DODUCO GmbH

GERMANY

Active

CID000401

Dowa

JAPAN

Compliant

CID000402

Dowa

JAPAN

Compliant

CID000410

Duoluoshan

CHINA

Compliant

CID000425

Eco-System Recycling Co., Ltd.

JAPAN

Compliant

CID000438

EM Vinto

BOLIVIA (PLURINATIONAL STATE OF)

Compliant

CID000448

Estanho de Rondônia S.A.

BRAZIL

Not Validated

CID000456

Exotech Inc.

UNITED STATES

Compliant

CID000460

F&X Electro-Materials Ltd.

CHINA

Compliant

CID000466

Feinhütte Halsbrücke GmbH

GERMANY

Not Validated

CID000468

Fenix Metals

POLAND

Active

CID000493

OJSC Novosibirsk Refinery

RUSSIAN FEDERATION

Active

CID000499

Fujian Jinxin Tungsten Co., Ltd.

CHINA

Compliant

CID000522

Gansu Seemine Material Hi-Tech Co., Ltd.

CHINA

Not Validated

CID000538

Gejiu Non-Ferrous Metal Processing Co., Ltd.

CHINA

Compliant

CID000555

Gejiu Non-Ferrous Metal Processing Co., Ltd.

CHINA

Not Validated

CID000564

Global Advanced Metals

UNITED STATES

Not Validated

CID000568

Global Tungsten & Powders Corp.

UNITED STATES

Compliant

CID000616

Guangdong Zhiyuan New Material Co., Ltd.

CHINA

Active

CID000651

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

CHINA

Not Validated

CID000654

H.C. Starck Group

GERMANY

Not Validated

CID000671

Hangzhou Fuchunjiang Smelting Co., Ltd.

CHINA

Not Validated

CID000683

HC Starck GmbH

GERMANY

Not Validated

CID000694

Heimerle + Meule GmbH

GERMANY

Compliant

CID000707

Heraeus Ltd. Hong Kong

CHINA

Compliant

CID000711

Heraeus Precious Metals GmbH & Co. KG

GERMANY

Compliant

CID000731

Hi-Temp

UNITED STATES

Compliant

CID000760

Huichang Jinshunda Tin Co., Ltd.

CHINA

Not Validated

CID000766

Hunan Chenzhou Mining Co., Ltd.

CHINA

Compliant

CID000767

Hunan Chenzhou Mining Group Co., Ltd.

CHINA

Not Validated

CID000769

Hunan Chun-Chang Nonferrous Smelting & Concentrating Co., Ltd.

CHINA

Compliant

CID000778

Hwasung CJ Co., Ltd.

KOREA, REPUBLIC OF

Not Validated

CID000801

Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited

CHINA

Compliant

CID000801

Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited

CHINA

Compliant

CID000801

Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited

CHINA

Compliant

CID000807

Ishifuku Metal Industry Co., Ltd.

JAPAN

Compliant

CID000814

Istanbul Gold Refinery

TURKEY

Compliant

CID000823

Japan Mint

JAPAN

Active


CID000825

Japan New Metals Co Ltd

JAPAN

Compliant

CID000855

Jiangxi Copper Company Limited

CHINA

Compliant

CID000864

Jiangxi Nanshan

CHINA

Not Validated

CID000868

Ganzhou Non-ferrous Metals Smelting Co., Ltd.

CHINA

Not Validated

CID000875

Ganzhou Huaxing Tungsten Products Co., Ltd.

CHINA

Compliant

CID000914

JiuJiang JinXin Nonferrous Metals Co., Ltd.

CHINA

Compliant

CID000917

Jiujiang Tanbre Co., Ltd.

CHINA

Compliant

CID000920

Johnson Matthey Inc

UNITED STATES

Active

CID000924

Asahi Refining Canada Limited

CANADA

Active

CID000927

JSC Ekaterinburg Non-Ferrous Metal Processing Plant

RUSSIAN FEDERATION

Compliant

CID000929

JSC Uralelectromed

RUSSIAN FEDERATION

Active

CID000937

JX Nippon Mining & Metals Co., Ltd.

JAPAN

Compliant

CID000942

Kai Unita Trade Limited Liability Company

CHINA

Not Validated

CID000956

Kazakhmys Smelting LLC

KAZAKHSTAN

Not Validated

CID000957

Kazzinc

KAZAKHSTAN

Compliant

CID000963

Kemet Blue Powder

UNITED STATES

Not Validated

CID000966

Kennametal Fallon

UNITED STATES

Compliant

CID000969

Kennecott Utah Copper LLC

UNITED STATES

Active

CID000973

King-Tan Tantalum Industry Ltd.

CHINA

Compliant

CID000981

Kojima Chemicals Co., Ltd

JAPAN

Active

CID000988

Korea Metal Co., Ltd.

KOREA, REPUBLIC OF

Not Validated

CID001029

Kyrgyzaltyn JSC

KYRGYZSTAN

Compliant

CID001032

L' azurde Company For Jewelry

SAUDI ARABIA

Not Validated

CID001056

Lingbao Gold Company Limited

CHINA

Not Validated

CID001058

Lingbao Jinyuan Tonghui Refinery Co., Ltd.

CHINA

Not Validated

CID001063

Linwu Xianggui Ore Smelting Co., Ltd.

CHINA

Not Validated

CID001070

China Tin Group Co., Ltd.

CHINA

Active

CID001076

LSM Brasil S.A.

BRAZIL

Compliant

CID001078

LS-NIKKO Copper Inc.

KOREA, REPUBLIC OF

Active

CID001093

Luoyang Zijin Yinhui Gold Refinery Co., Ltd.

CHINA

Not Validated

CID001105

Malaysia Smelting Corporation (MSC)

MALAYSIA

Active

CID001113

Materion

UNITED STATES

Active

CID001119

Matsuda Sangyo Co., Ltd.

JAPAN

Compliant

CID001136

Metahub Industries Sdn. Bhd.

MALAYSIA

Not Validated

CID001137

OMSA

BOLIVIA

Not Validated

CID001142

Metallic Resources, Inc.

UNITED STATES

Active

CID001143

Metallo Chimique

BELGIUM

Not Validated

CID001147

Metalor Technologies (Suzhou) Ltd.

CHINA

Compliant

CID001149

Metalor Technologies (Hong Kong) Ltd

HONG KONG

Compliant

CID001152

Metalor Technologies (Singapore) Pte. Ltd.

SINGAPORE

Compliant

CID001153

Metalor Technologies S.A.

SWITZERLAND

Compliant

CID001157

Metalor USA Refining Corporation

UNITED STATES

Compliant

CID001161

METALÚRGICA MET-MEX PEÑOLES, S.A. DE C.V

MEXICO

Active

CID001163

Metallurgical Products India (Pvt.) Ltd.

INDIA

Active

CID001173

Mineração Taboca S.A.

BRAZIL

Compliant

CID001175

Mineração Taboca S.A.

BRAZIL

Compliant

CID001179

CHINA

CHINA

Not Validated

CID001182

Minsur

PERU

Compliant

CID001188

Mitsubishi Materials Corporation

JAPAN

Compliant

CID001191

Mitsubishi Materials Corporation

JAPAN

Compliant

CID001192

Mitsui Mining & Smelting

JAPAN

Compliant

CID001193

Mitsui Mining and Smelting Co., Ltd.

JAPAN

Active

CID001200

Molycorp Silmet A.S.

ESTONIA

Compliant

CID001204

Moscow Special Alloys Processing Plant

RUSSIAN FEDERATION

Compliant

CID001220

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

TURKEY

Compliant

CID001231

Nankang Nanshan Tin Manufactory Co., Ltd.

CHINA

Not Validated

CID001236

Navoi Mining and Metallurgical Combinat

UZBEKISTAN

Not Validated

CID001259

Nihon Material Co. LTD

JAPAN

Active

CID001277

Ningxia Orient Tantalum Industry Co., Ltd.

CHINA

Compliant

CID001305

Novosibirsk Integrated Tin Works

RUSSIAN FEDERATION

Not Validated


CID001314

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

THAILAND

Compliant

CID001322

Ohio Precious Metals, LLC

UNITED STATES

Not Validated

CID001325

Ohura Precious Metal Industry Co., Ltd.

JAPAN

Compliant

CID001326

OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)

RUSSIAN FEDERATION

Compliant

CID001328

OJSC Kolyma Refinery

RUSSIAN FEDERATION

Not Validated

CID001337

Operaciones Metalurgical S.A.

BOLIVIA

Compliant

CID001352

PAMP SA

SWITZERLAND

Compliant

CID001362

Penglai Penggang Gold Industry Co., Ltd.

CHINA

Not Validated

CID001368

Plansee

AUSTRIA

Not Validated

CID001386

Prioksky Plant of Non-Ferrous Metals

RUSSIAN FEDERATION

Active

CID001393

PT Alam Lestari Kencana

INDONESIA

Not Validated

CID001397

PT Aneka Tambang (Persero) Tbk

INDONESIA

Compliant

CID001399

PT Artha Cipta Langgeng

INDONESIA

Compliant

CID001402

PT Babel Inti Perkasa

INDONESIA

Compliant

CID001406

PT Babel Surya Alam Lestari

INDONESIA

Not Validated

CID001409

PT Bangka Kudai Tin

INDONESIA

Not Validated

CID001412

PT Bangka Putra Karya

INDONESIA

Not Validated

CID001416

PT Bangka Timah Utama Sejahtera

INDONESIA

Not Validated

CID001419

PT Bangka Tin Industry

INDONESIA

Compliant

CID001428

PT Bukit Timah

INDONESIA

Compliant

CID001434

PT DS Jaya Abadi

INDONESIA

Compliant

CID001438

PT Eunindo Usaha Mandiri

INDONESIA

Compliant

CID001442

PT Fang Di MulTindo

INDONESIA

Not Validated

CID001445

PT HP Metals Indonesia

INDONESIA

Not Validated

CID001448

PT Karimun Mining

INDONESIA

Compliant

CID001449

PT Koba Tin

INDONESIA

Not Validated

CID001453

PT Mitra Stania Prima

INDONESIA

Compliant

CID001457

PT Panca Mega Persada

INDONESIA

Active

CID001458

PT Prima Timah Utama

INDONESIA

Compliant

CID001460

PT Refined Bangka Tin

INDONESIA

Compliant

CID001463

PT Sariwiguna Binasentosa

INDONESIA

Compliant

CID001466

PT Seirama Tin Investment

INDONESIA

Not Validated

CID001468

PT Stanindo Inti Perkasa

INDONESIA

Compliant

CID001471

PT Sumber Jaya Indah

INDONESIA

Compliant

CID001476

PT Supra Sukses Trinusa

INDONESIA

Not Validated

CID001477

PT Timah (Persero) Tbk Kundur

INDONESIA

Compliant

CID001482

PT Timah (Persero) Tbk Mentok

INDONESIA

Compliant

CID001486

PT Pelat Timah Nusantara Tbk

INDONESIA

Not Validated

CID001490

PT Tinindo Inter Nusa

INDONESIA

Compliant

CID001493

PT Tommy Utama

INDONESIA

Compliant

CID001494

PT Yinchendo Mining Industry

INDONESIA

Not Validated

CID001498

PX Précinox SA

SWITZERLAND

Compliant

CID001508

QuantumClean

SWITZERLAND

Active

CID001512

Rand Refinery (Pty) Ltd.

SOUTH AFRICA

Active

CID001522

RFH Tantalum Smeltry Co., Ltd

SOUTH AFRICA

Compliant

CID001534

Royal Canadian Mint

CANADA

Compliant

CID001539

Rui Da Hung

CANADA

Compliant

CID001546

Sabin Metal Corp.

UNITED STATES

Not Validated

CID001555

Samduck Precious Metals

UNITED STATES

Active

CID001562

SAMWON Metals Corp.

SOUTH KOREA

Not Validated

CID001573

Schone Edelmetaal

KOREA, REPUBLIC OF

Compliant

CID001585

SEMPSA Joyería Platería S.A.

SPAIN

Compliant

CID001619

Shandong Tiancheng Biological Gold Industrial Co., Ltd.

SPAIN

Not Validated

CID001622

Shandong Zhaojin Gold & Silver Refinery Co., Ltd.

CHINA

Compliant

CID001634

Shanghai Jiangxi Metals Co. Ltd

CHINA

Not Validated

CID001736

Sichuan Tianze Precious Metals Co., Ltd.

CHINA

Compliant

CID001754

So Accurate Group, Inc.

CHINA

Not Validated

CID001756

SOE Shyolkovsky Factory of Secondary Precious Metals

RUSSIAN FEDERATION

Active

CID001758

Soft Metais, Ltda.

RUSSIAN FEDERATION

Compliant


CID001761

Solar Applied Materials Technology Corp.

TAIWAN

Compliant

CID001769

Solikamsk Magnesium Works OAO

TAIWAN

Compliant

CID001798

Sumitomo Metal Mining Co., Ltd.

JAPAN

Compliant

CID001869

Taki Chemicals

JAPAN

Compliant

CID001875

Tanaka Kikinzoku Kogyo K.K.

JAPAN

Compliant

CID001879

Tantalite Resources

JAPAN

Not Validated

CID001889

Tejing (Vietnam) Tungsten Co., Ltd.

VIET NAM

Active

CID001891

Telex

VIET NAM

Compliant

CID001898

Thaisarco

THAILAND

Compliant

CID001908

Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.

THAILAND

Not Validated

CID001909

Great Wall Precious Metals Co., Ltd. of CBPM

CHINA

Not Validated

CID001916

The Refinery of Shandong Gold Mining Co. Ltd

CHINA

Compliant

CID001938

Tokuriki Honten Co., Ltd.

JAPAN

Compliant

CID001947

Tongling nonferrous Metals Group Co.,Ltd

JAPAN

Not Validated

CID001955

Torecom

SOUTH KOREA

Active

CID001969

Ulba Metallurgical Plant JSC

KOREA, REPUBLIC OF

Active

CID001977

Umicore Brasil Ltda.

BRAZIL

Compliant

CID001980

Umicore SA Business Unit Precious Metals Refining

BRAZIL

Compliant

CID001993

United Precious Metal Refining, Inc.

UNITED STATES

Active

CID002003

Valcambi SA

UNITED STATES

Compliant

CID002011

Vietnam Youngsun Tungsten Industry Co., Ltd.

VIET NAM

Compliant

CID002015

VQB Mineral and Trading Group JSC

VIETNAM

Active

CID002030

Western Australian Mint trading as The Perth Mint

VIET NAM

Compliant

CID002036

White Solder Metalurgia e Mineração Ltda.

BRAZIL

Compliant

CID002044

Wolfram Bergbau und Hütten AG

BRAZIL

Compliant

CID002047

Wolfram Company CJSC

RUSSIAN FEDERATION

Not Validated

CID002082

Xiamen Tungsten Co., Ltd.

RUSSIAN FEDERATION

Active

CID002095

Xinhai Rendan Shaoguan Tungsten Co., Ltd.

CHINA

Compliant

CID002100

YAMAMOTO PRECIOUS METAL CO., LTD.

CHINA

Compliant

CID002129

Yokohama Metal Co., Ltd.

JAPAN

Compliant

CID002158

Yunnan Chengfeng Non-ferrous Metals Co., Ltd.

JAPAN

Not Validated

CID002180

Yunnan Tin Company Limited

CHINA

Compliant

CID002180

Yunnan Tin Company, Ltd.

CHINA

Compliant

CID002224

Zhongyuan Gold Smelter of Zhongjin Gold Corporation

CHINA

Compliant

CID002232

Zhuzhou Cemented Carbide

CHINA

Compliant

CID002236

Zhuzhou Cemented Carbide Group Co Ltd

CHINA

Not Validated

CID002243

Zijin Mining Group Co., Ltd. Gold Refinery

CHINA

Active

CID002282

Morris and Watson

CHINA

Not Validated

CID002287

INDONESIA

CHINA

Not Validated

CID002307

Yichun Jin Yang Rare Metal Co., Ltd

NEW ZEALAND

Compliant

CID002312

Guangdong Jinding Gold Limited

CHINA

Not Validated

CID002313

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

CHINA

Not Validated

CID002314

Umicore Precious Metals Thailand

THAILAND

Compliant

CID002315

Ganzhou Jiangwu Ferrotungsten Co., Ltd.

CHINA

Active

CID002316

Jiangxi Yaosheng Tungsten Co., Ltd.

CHINA

Compliant

CID002317

Jiangxi Xinsheng Tungsten Industry Co., Ltd.

CHINA

Compliant

CID002318

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

CHINA

Compliant

CID002319

Malipo Haiyu Tungsten Co., Ltd.

CHINA

Active

CID002320

Xiamen Tungsten (H.C.) Co., Ltd.

CHINA

Active

CID002321

Jiangxi Gan Bei Tungsten Co., Ltd.

CHINA

Compliant

CID002455

CV Venus Inti Perkasa

INDONESIA

Compliant

CID002459

Geib Refining Corporation

INDONESIA

Compliant

CID002468

Magnu's Minerais Metais e Ligas Ltda.

INDONESIA

Compliant

CID002475

INDONESIA

BRAZIL

Not Validated

CID002476

INDONESIA

BRAZIL

Not Validated

CID002478

PT Tirus Putra Mandiri

INDONESIA

Not Validated

CID002479

PT Wahana Perkit Jaya

INDONESIA

Not Validated

CID002492

Hengyang King Xing Lifeng New Materials Co., Ltd.

INDONESIA

Active

CID002493

Jiangxi Richsea New Materials Co., Ltd.

CHINA

Not Validated

CID002494

Ganzhou Seadragon W & Mo Co., Ltd.

CHINA

Active


CID002500

Melt Metais e Ligas S/A

CHINA

Compliant

CID002501

Guizhou Zhenhua Xinyun Technology Ltd., Kaili branch

CHINA

Not Validated

CID002502

Asia Tungsten Products Vietnam Ltd.

CHINA

Compliant

CID002503

PT ATD Makmur Mandiri Jaya

CHINA

Compliant

CID002504

D Block Metals, LLC

INDONESIA

Active

CID002505

FIR Metals & Resource Ltd.

INDONESIA

Compliant

CID002506

Jiujiang Zhongao Tantalum & Niobium Co., Ltd.

CHINA

Compliant

CID002507

Phoenix Metal Ltd.

CHINA

Not Validated

CID002508

XinXing HaoRong Electronic Material Co., Ltd.

CHINA

Compliant

CID002509

MMTC-PAMP India Pvt., Ltd.

INDIA

Compliant

CID002510

Republic Metals Corporation

CHINA

Compliant

CID002511

KGHM Polska Miedź Spółka Akcyjna

UNITED STATES

Not Validated

CID002512

Jiangxi Dinghai Tantalum & Niobium Co., Ltd.

UNITED STATES

Active

CID002513

Chenzhou Diamond Tungsten Products Co., Ltd.

CHINA

Compliant

CID002515

Fidelity Printers and Refiners Ltd.

CHINA

Not Validated

CID002516

Singway Technology Co., Ltd.

ZIMBABWE

Compliant

CID002517

O.M. Manufacturing Philippines, Inc.

PHILIPPINES

Compliant

CID002518

Dayu Jincheng Tungsten Industry Co., Ltd.

CHINA

Not Validated

CID002530

PT Inti Stania Prima

PHILIPPINES

Compliant

CID002531

Ganxian Shirui New Material Co., Ltd.

CHINA

Not Validated

CID002532

Pobedit, JSC

INDONESIA

Not Validated

CID002535

Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.

CHINA

Compliant

CID002536

Ganzhou Yatai Tungsten Co., Ltd.

CHINA

Not Validated

CID002538

Sanher Tungsten Vietnam Co., Ltd.

CHINA

Not Validated

CID002539

KEMET Blue Metals

CHINA

Compliant

CID002540

Plansee SE Liezen

AUSTRIA

Not Validated

CID002541

H.C. Starck GmbH

AUSTRIA

Compliant

CID002542

H.C. Starck Smelting GmbH & Co.KG

GERMANY

Compliant

CID002543

Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC

GERMANY

Compliant

CID002544

H.C. Starck Co., Ltd.

THAILAND

Compliant

CID002545

H.C. Starck GmbH Goslar

THAILAND

Compliant

CID002546

H.C. Starck GmbH Laufenburg

GERMANY

Not Validated

CID002547

H.C. Starck Hermsdorf GmbH

GERMANY

Compliant

CID002548

H.C. Starck Inc.

UNITED STATES

Compliant

CID002549

H.C. Starck Ltd.

UNITED STATES

Compliant

CID002550

H.C. Starck Smelting GmbH & Co.KG

GERMANY

Compliant

CID002551

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

GERMANY

Compliant

CID002556

Plansee SE Reutte

AUSTRIA

Not Validated

CID002557

Global Advanced Metals Boyertown

AUSTRIA

Compliant

CID002558

Global Advanced Metals Aizu

JAPAN

Compliant

CID002560

Al Etihad Gold Refinery DMCC

JAPAN

Compliant

CID002561

Emirates Gold DMCC

JAPAN

Compliant

CID002563

Kaloti Precious Metals

UNITED ARAB EMIRATES

Not Validated

CID002567

Sudan Gold Refinery

UNITED ARAB EMIRATES

Not Validated

CID002568

KEMET Blue Powder

UNITED STATES

Compliant

CID002570

CV Ayi Jaya

INDONESIA

Compliant

CID002571

Tranzact, Inc.

UNITED STATES

Active

CID002572

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

VIETNAM

Not Validated

CID002573

Nghe Tinh Non-Ferrous Metals Joint Stock Company

UNITED STATES

Not Validated

CID002574

Tuyen Quang Non-Ferrous Metals Joint Stock Company

VIETNAM

Not Validated

CID002578

Hunan Chuangda Vanadium Tungsten Co., Ltd. Yanglin

VIET NAM

Not Validated

CID002579

Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji

CHINA

Compliant

CID002580

T.C.A S.p.A

CHINA

Compliant

CID002589

Niagara Refining LLC

UNITED STATES

Compliant

CID002590

E.S.R. Electronics

ITALY

Not Validated

CID002592

CV Dua Sekawan

UNITED STATES

Active

CID002593

CV Tiga Sekawan

UNITED STATES

Active

CID002605

Korea Zinc Co. Ltd.

SOUTH KOREA

Compliant

CID002649

Hydrometallurg, JSC

RUSSIAN FEDERATION

Compliant


CID002696

PT Cipta Persada Mulia

KOREA, REPUBLIC OF

Not Validated

CID002703

An Vinh Joint Stock Mineral Processing Company

VIETNAM

Not Validated

CID002705

Avon Specialty Metals Ltd

INDONESIA

Not Validated

CID002706

Resind Indústria e Comércio Ltda.

VIET NAM

Compliant

CID002707

Resind Indústria e Comércio Ltda.

UNITED KINGDOM

Compliant

CID002761

SAAMP

BRAZIL

Not Validated

CID002773

Metallo-Chimique N.V.

BRAZIL

Active

CID002774

Elmet S.L.U. (Metallo Group)

BELGIUM

Active

CID002776

PT Bangka Prima Tin

BELGIUM

Compliant

CID002777

SAXONIA Edelmetalle GmbH

GERMANY

Active

CID002778

WIELAND Edelmetalle GmbH

INDONESIA

Active

CID002779

Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH

GERMANY

Compliant

CID002815

South-East Nonferrous Metal Company Limited of Hengyang City

GERMANY

Compliant

CID002816

PT Sukses Inti Makmur

AUSTRIA

Compliant

CID002825

An Thai Minerals Company Limited

INDONESIA

Not Validated

CID002829

PT Kijang Jaya Mandiri

INDONESIA

Compliant

CID002830

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

INDONESIA

Compliant

CID002833

ACL Metais Eireli

VIET NAM

Not Validated

CID002842

Jiangxi Tuohong New Raw Material

VIET NAM

Compliant

CID002843

Woltech Korea Co., Ltd.

INDONESIA

Compliant

CID002844

HuiChang Hill Tin Industry Co., Ltd.

CHINA

Active

CID002845

Moliren Ltd

BRAZIL

Compliant

CID002848

Gejiu Fengming Metalurgy Chemical Plant

CHINA

Compliant

CID002849

Guanyang Guida Nonferrous Metal Smelting Plant

KOREA, REPUBLIC OF

Compliant