EX-1.01 2 exhibit10112312017.htm EXHIBIT 1.01 Exhibit




Exhibit 1.01

Conflict Minerals Report of A10 Networks, Inc.
in Accordance with Rule 13p-1 under the Securities Exchange Act of 1934

This Conflict Minerals Report of A10 Networks, Inc. (the “Company”, “us”, “our” or “we”) for calendar year 2017 is provided in accordance with Rule 13p-1 (“Rule 13p-1”) under the Securities Exchange Act of 1934 (the “1934 Act”), the instructions to Form SD, and the Public Statement on the Effect of the Recent Court of Appeals Decision on the Conflict Minerals Rule issued by the Director of the Division of Corporation Finance of the Securities and Exchange Commission on April 29, 2014 (the “SEC Statement”). The Company notes the Updated Statement on the Effect of the Court of Appeals Decision on the Conflict Minerals Rule issued by the SEC Division of Corporation Finance on April 7, 2017. Please refer to Rule 13p-1, Form SD and the 1934 Act Release No. 34-67716 for definitions to the terms used in this Report, unless otherwise defined herein.

This Report outlines the steps we undertook in accordance with Rule 13p-1, Form SD, and the SEC Statement in connection with the existence of Conflict Minerals in products we manufacture or contract to manufacture. Our diligence measures were designed to adhere, in all material respects, with the nationally recognized due diligence framework in the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas and the related Supplement on Tin, Tantalum and Tungsten and the Gold Supplement (Second Edition OECD 2013) (the “OECD Framework”).

Introduction

We are a provider of secure application solutions with intelligent management and automation. We are committed to securing customers’ applications across multi-cloud networks, which includes on-premise, private and public clouds and cloud-native deployments. Our portfolio of software and hardware solutions enables customers to secure their applications, users and infrastructure from internet, web and network threats at scale. We offer our customers solutions that enable enterprises, service providers, Web giants, gaming companies and government organizations to accelerate, secure and optimize the performance of their data center applications and networks. We currently offer a comprehensive portfolio of application delivery and security solutions. The portfolio features application delivery controllers (ADC) to optimize and secure network and application performance; a carrier-grade network address translation (CGN) solution that helps service providers preserve IPv4 address investments while transitioning to IPv6-based networks; Threat Protection System (TPS), the industry’s most powerful distributed-denial-of-service (DDoS) protection and mitigation solution; a SSL decryption solution for inspecting encrypted traffic (SSLi); and convergent firewall (CFW) appliances for protecting data centers, service provider networks and mobile infrastructures. We deliver these solutions via software, on optimized hardware appliances or as virtual appliances with our Thunder product line. For modern microservices and container-based environments, the A10 Lightning portfolio provides cloud-native application traffic management, security and analytics in public, private and hybrid clouds.

We outsource the manufacturing of our hardware products to original design manufacturers. These companies manufacture, assemble and test our hardware products using design specifications, quality assurance programs and standards that we establish. The component parts incorporated into our products are sourced either by our manufacturing partners or directly by us.

Our position in the supply chain is as a remote downstream purchaser and supplier, several levels removed from the actual mining of the Conflict Minerals. We do not directly make purchases of raw ore or unrefined Conflict Minerals from the Covered Countries and we do not directly source any products or components from the Covered Countries. In light of our remote position in the supply chain, we must rely upon our suppliers (and their multiple sub-suppliers and intermediaries) for information on and verification of the chain of custody of Conflict Minerals contained in our products.

Enumerated paragraphs set out below conform to the Instructions set forth in Item 1.01(c) of Form SD.
 
(1)    Due Diligence

After conducting a “reasonable country of origin inquiry” (“RCOI”) in accordance with the instructions to Item 1.01 of Form SD (and as disclosed in our Report on Form SD for the year ended December 31, 2017), the Company was unable to conclude, without further diligence, that none of the Conflict Minerals in its products, that were not






sourced from recycled or scrap materials, did not originate in the Covered Countries.

(i)    Conformity with OECD Framework. In accordance with Rule 13p-1, we designed our Conflict Mineral Compliance Program to conform, in all material respects, with the five-step process outlined in the OECD Framework. In addition, our diligence measures relied upon information and templates obtained from the Electronic Industry Citizenship Coalition and Global e-Sustainability (“EICC/GeSI”) Initiative with the smelters and refiners of Conflict Minerals. The five-step process identified within the OECD Framework includes: (1) establishing strong company management systems; (2) identifying and assessing supply chain risk; (3) designing and implementing a risk response strategy; (4) third party auditing of our due diligence practices; and (5) reporting annually on supply chain due diligence. This Conflict Minerals Report outlines the measures taken by us in accordance with the OECD Framework during the reporting period.

(1) Established Strong Company Management Systems

We established an interdepartmental committee (the “Committee”) to develop the Company’s assessment and compliance process, with oversight from senior management (including members of the Company’s Legal, Finance and Global Supply Chain departments).
•
Through the Committee, we identified and educated relevant internal departments or personnel affected, including in Sourcing, Legal and Compliance, Finance/Internal Audit, and Supplier Relations.
•
We adopted a Supply Chain Policy (the “Policy”) relating to responsible sourcing.
•
Through our Supplier Relations personnel, communicated with our suppliers and prospective suppliers via direct correspondence and telephone calls to inform them of (i) our Policy, and (ii) our intent to continue to work with them as reasonably practicable given our supply chain position and market leverage for increased understanding of the use of Conflict Minerals within our supply chain and to obtain wherever possible their commitment to facilitate our compliance with applicable law.
•
Confirmed that purchase order terms and conditions should be conformed where practicable to the Policy, recognizing that many of our suppliers demand terms and conditions and use standard forms with respect to which we have no leverage or ability to alter.
•
Established a process to evaluate the chain of custody of Conflict Minerals within our supply chain, including:
◦
Analyzing our existing product offerings annually for scoping within the context of the Rule.
◦
Developing an internal process to evaluate new products as developed to minimize the introduction of Conflict Minerals into our supply chain where possible.
•
Implemented a feedback mechanism through the Company’s Supplier Relations team to work with suppliers.

(2) Identified and Assessed Supply Chain Risk through Due Diligence

Step 1
Our Supplier Relations team reviewed our product offerings to determine which suppliers provide the Company with manufactured or contracted to be manufactured products. We determined that 9 suppliers were relevant to this process.

Step 2
Our Supplier Relations team then determined which manufactured & contracted to be manufactured products may contain Conflict Minerals that are “necessary to the functionality or production” of the product.

Step 3
Under the Committee’s direction, our Supplier Relations staff conducted a due diligence assessment of relevant product suppliers in accordance with the following:

•
We designed and implemented a due diligence program for supplier outreach and engagement that involved (i) developing a contact list of relevant suppliers and (ii) communicating with them to obtain information on the chain of custody and source of origin of Conflict Minerals in supplied products. Our due diligence consisted of providing each supplier with the EICC/GeSI Conflict Minerals Reporting Template (the “Template”) to obtain the necessary information and certifications from our suppliers. For certain suppliers that found the Template unwieldy, we provided a custom form where necessary to elicit the same information. We received responses from 9 of our suppliers for the reporting period.

Step 4
Our Supplier Relations team, with guidance from the Committee, analyzed the results of the Supplier survey forms that were returned to us. We reviewed the survey responses from each supplier to determine whether






the data provided was complete or whether further follow-up was required. Follow-up was conducted by phone calls and emails, as necessary. Our staff compared the smelters and refiners identified by the suppliers on the survey forms with the EICC/GeSI Conflict Free Smelter Initiative (“CFSI”) list of conflict-free smelters and refiners as well as with the Department of Commerce list of “World-Wide Conflict Mineral Processing Facilities” issued in September 2014 (the “DOC Smelter List”). The results of that comparison are set forth on Appendix A to this Conflict Mineral Report.

(3) Developed and Implemented a Risk Response Strategy

In analyzing the results from our supply chain diligence, we recognized that certain risks exist in our supply chain that require further follow-up and mitigation efforts. We have established the following plan for risk mitigation, which we review periodically for relevance and effectiveness.

Year 1 (Calendar Year 2014)    
•
Conduct base line analysis of responses from first-tier suppliers.
•
Compare the smelters and refiners identified in the supply chain survey against the list of smelter facilities which have been identified as “conflict free” by programs such as CSFI for tantalum, tin, tungsten and gold, and otherwise identified on the DOC List.
•
Identify gaps in the data collection and high-risk suppliers, and continue to follow-up with suppliers as practicable.

Year 2+ (Calendar Year 2015)    
•
Communicate survey results to our suppliers of relevant products.
•
Continue efforts in supplier education and outreach, including additional diligence with suppliers providing incomplete data.
•
Add third-party reporting customer requests to supplier survey.
•
Follow-up on remediation efforts to obtain complete and accurate chain of custody information where possible to identify smelters/refiners of origin.

Year 3 (Calendar Year 2016)
•
Develop and implement a progressive performance improvement plan for suppliers on an as-needed basis.

(4) Third Party Audit of Due Diligence Practices

This Report has not been subject to an independent private sector audit in accordance with the SEC Statement.

(5) Report Annually on Supply Chain Due Diligence

The Company's Form SD and Conflict Mineral Report for calendar year 2017, together with our Supply Chain Policy Statement, are posted on our website at: http://investors.a10networks.com/docs.aspx?iid=4433033.

(ii)    Independent Third Party Audit.

This Report has not been subject to an independent private sector audit in accordance with the SEC Statement.

(iii)    Summary of Diligence Results; Risk Mitigation Efforts

Tracing materials back to their mine of origin is a complex aspect of responsible sourcing in our supply chain. Our position as a remote downstream purchaser and supplier requires us to depend substantially on the cooperation of our suppliers and their numerous sub-suppliers, many of which are not subject to SEC reporting requirements and with whom we have limited leverage due to our size, market position and available resources. As a result, we expect it may take us several years before we are able to identify all smelters and refiners in our supply chain.
In conducting our diligence, we have adopted methodology outlined by the CFSI’s joint industry programs and outreach initiatives and have encouraged our suppliers to conform with the standards set forth in the OECD






Framework and report to us using the Template or, where appropriate, our custom-designed form. We conducted follow-up calls and correspondence with suppliers where information was incomplete, unreliable or unverifiable. We identified 322     smelters and refiners of Conflict Minerals in our supply chain, and the related countries of origin, as set forth on Appendix A.
We are continuing our efforts to determine the smelters and refiners used by our supply chain and to verify the most reasonable known mine of origin information available. Through this effort, we have made a reasonable determination of certain of the mines or locations of origin of certain of the Conflict Minerals in our supply chain as indicated on Appendix A. We have also requested that all of our suppliers support the industry-wide initiative by adopting policies and procedures consistent with the EICC/GeSI sourcing initiative and by working to align their sources with the lists of conflict-free sourced metals.
The CFSI program audits smelters and refineries to ensure that all certified smelters and refineries only use the ores that are conflict-free from the Covered Countries. The DOC List is more expansive and includes “verified” smelters and refiners, which may or may not be certified as conflict-free. Of the suppliers we surveyed, 100% fully responded to our due diligence survey. We are continuing to compile the names of smelters and refineries identified by those vendors who did respond and are working to verify the information provided. Certain of our vendors indicated that not all of their smelters and refineries have been certified as conflict-free and we are continuing our diligence to this verify this information.
(iv)     See disclosure under paragraph (ii) above.

(v)     Not applicable.

(vi)    Not applicable.

(2)    Product Description

The Company’s relevant product categories for products containing tin, tungsten, tantalum and gold, other than those sourced from scrap or recycled materials, are as follows:

•
AX Series
•
Thunder Series

The Company’s efforts to determine the smelters, refiners, mines and locations of origin of the Conflict Minerals in its products is described above under paragraphs (i) and (iii).

Conclusion

Due to the breadth and scope of the Company’s product categories, the resulting complexity of its supply chain, and the human and financial resources available to the Company, the Company acknowledges that the process of successfully tracing all of the Conflict Minerals used in its manufactured or contracted to manufacture products to their country of origin will take additional time and resources, likely several years. Moving forward, the Company will continue to implement commercially reasonable processes to improve the quantity and quality of supplier responses, verify supplier responses provided, and evaluate new product lines as developed to eliminate the introduction of Conflict Minerals into the supply chain where practicable.

The success of A10 Networks, Inc. in making determinations about the presence and source of Conflict Minerals in its products depends upon various factors including, but not limited to, the respective due diligence efforts of its suppliers and their supply chain and their respective willingness, whether public or private entities, to disclose such information to the Company, and the ability of the involved entities in making their determinations in accordance with nationally or internationally recognized standards, including the OECD Framework and other initiatives or guidance that may develop over time. The failure to obtain reliable information from any level of our supply chain could have a material impact on our future ability to report on the presence of Conflict Minerals with any degree of certainty. There can be no assurance that our suppliers will continue to cooperate with diligence inquiries and requests for certifications or provide documentation or other evidence that we consider reliable or provided to us within a time frame sufficient to allow us to make our own assessment following appropriate further diligence measures, if any.

The information provided in this Conflict Mineral Report speaks only as of its date. Subsequent events, including the inability






or unwillingness of participants in our supply chain to comply with our Policy or provide complete and accurate information requested, may affect our future determinations under Rule 13p-1.







APPENDIX A

List of Smelters and Refiners in Our Supply Chain
Metal
Smelter Name
Smelter Country
Smelter Identification
CFSI
DOC
Tungsten
A.L.M.T. TUNGSTEN Corp.
JAPAN
CID000004
Audited
 
Gold
Abington Reldan Metals, LLC
UNITED STATES
CID002708
 
 
Tungsten
ACL Metais Eireli
BRAZIL
CID002833
Audited
 
Gold
Advanced Chemical Company
UNITED STATES
CID000015
Audited
 
Gold
Aida Chemical Industries Co., Ltd.
JAPAN
CID000019
Audited
 
Gold
Al Etihad Gold LLC
UNITED ARAB EMIRATES
CID002560
Audited
 
Gold
Allgemeine Gold-und Silberscheideanstalt A.G.
GERMANY
CID000035
Audited
 
Gold
Almalyk Mining and Metallurgical Complex (AMMC)
UZBEKISTAN
CID000041
Audited
 
Tin
Alpha
UNITED STATES
CID000292
Audited
 
Tin
An Thai Minerals Co., Ltd.
VIET NAM
CID002825
 
 
Tin
An Vinh Joint Stock Mineral Processing Company
VIET NAM
CID002703
 
 
Gold
AngloGold Ashanti Corrego do Sitio Mineracao
BRAZIL
CID000058
Audited
 
Gold
Argor-Heraeus S.A.
SWITZERLAND
CID000077
Audited
 
Gold
Asahi Pretec Corp.
JAPAN
CID000082
Audited
 
Gold
Asahi Refining Canada Ltd.
CANADA
CID000924
Audited
 
Gold
Asahi Refining USA Inc.
UNITED STATES
CID000920
Audited
 
Gold
Asaka Riken Co., Ltd.
JAPAN
CID000090
Audited
 
Tantalum
Asaka Riken Co., Ltd.
JAPAN
CID000092
Audited
 
Tungsten
Asia Tungsten Products Vietnam Ltd.
VIET NAM
CID002502
Audited
 
Gold
Atasay Kuyumculuk Sanayi Ve Ticaret A.S.
TURKEY
CID000103
 
 
Gold
AU Traders and Refiners
SOUTH AFRICA
CID002850
Audited
 
Gold
Aurubis AG
GERMANY
CID000113
Audited
 
Gold
Bangalore Refinery
INDIA
CID002863
 
Verified
Gold
Bangko Sentral ng Pilipinas (Central Bank of the Philippines)
PHILIPPINES
CID000128
Audited
 
Gold
Boliden AB
SWEDEN
CID000157
Audited
 
Gold
C. Hafner GmbH + Co. KG
GERMANY
CID000176
Audited
 
Gold
Caridad
MEXICO
CID000180
 
 
Gold
CCR Refinery - Glencore Canada Corporation
CANADA
CID000185
Audited
 
Gold
Cendres + Métaux S.A.
SWITZERLAND
CID000189
Audited
 
Tantalum
Changsha South Tantalum Niobium Co., Ltd.
CHINA
CID000211
Audited
 
Tungsten
Chenzhou Diamond Tungsten Products Co., Ltd.
CHINA
CID002513
Audited
 
Tin
Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.
CHINA
CID000228
Audited
 
Gold
Chimet S.p.A.
ITALY
CID000233
Audited
 
Tin
China Tin Group Co., Ltd.
CHINA
CID001070
Audited
 
Tungsten
Chongyi Zhangyuan Tungsten Co., Ltd.
CHINA
CID000258
Audited
 
Gold
Chugai Mining
JAPAN
CID000264
 
 
Tin
CNMC (Guangxi) PGMA Co., Ltd.
CHINA
CID000278
 
 






Metal
Smelter Name
Smelter Country
Smelter Identification
CFSI
DOC
Tin
Cooperativa Metalurgica de Rondonia Ltda.
BRAZIL
CID000295
 
 
Tin
CV Ayi Jaya
INDONESIA
CID002570
Audited
 
Tin
CV Dua Sekawan
INDONESIA
CID002592
Audited
 
Tin
CV Gita Pesona
INDONESIA
CID000306
Audited
 
Tin
CV Serumpun Sebalai
INDONESIA
CID000313
Audited
 
Tin
CV Tiga Sekawan
INDONESIA
CID002593
Audited
 
Tin
CV United Smelting
INDONESIA
CID000315
Audited
 
Tin
CV Venus Inti Perkasa
INDONESIA
CID002455
Audited
 
Tantalum
D Block Metals, LLC
UNITED STATES
CID002504
Audited
 
Gold
Daejin Indus Co., Ltd.
KOREA, REPUBLIC OF
CID000328
Audited
 
Gold
Daye Non-Ferrous Metals Mining Ltd.
CHINA
CID000343
 
 
Gold
Degussa Sonne / Mond Goldhandel GmbH
GERMANY
CID002867
 
 
Gold
DODUCO Contacts and Refining GmbH
GERMANY
CID000362
Audited
 
Gold
Dowa
JAPAN
CID000401
Audited
 
Tin
Dowa
JAPAN
CID000402
Audited
 
Gold
DSC (Do Sung Corporation)
KOREA, REPUBLIC OF
CID000359
Audited
 
Tantalum
Duoluoshan
CHINA
CID000410
 
 
Gold
Eco-System Recycling Co., Ltd.
JAPAN
CID000425
Audited
 
Tin
Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company
VIET NAM
CID002572
 
 
Gold
Elemetal Refining, LLC
UNITED STATES
CID001322
 
 
Tin
EM Vinto
BOLIVIA (PLURINATIONAL STATE OF)
CID000438
Audited
 
Gold
Emirates Gold DMCC
UNITED ARAB EMIRATES
CID002561
Audited
 
Tin
Estanho de Rondonia S.A.
BRAZIL
CID000448
 
 
Tantalum
Exotech Inc.
UNITED STATES
CID000456
Audited
 
Tantalum
F&X Electro-Materials Ltd.
CHINA
CID000460
Audited
 
Tin
Fenix Metals
POLAND
CID000468
Audited
 
Tantalum
FIR Metals & Resource Ltd.
CHINA
CID002505
Audited
 
Tungsten
Fujian Jinxin Tungsten Co., Ltd.
CHINA
CID000499
Audited
 
Tungsten
Ganzhou Haichuang Tungsten Co., Ltd.
CHINA
CID002645
 
Verified
Tungsten
Ganzhou Huaxing Tungsten Products Co., Ltd.
CHINA
CID000875
Audited
 
Tungsten
Ganzhou Jiangwu Ferrotungsten Co., Ltd.
CHINA
CID002315
Audited
 
Tungsten
Ganzhou Seadragon W & Mo Co., Ltd.
CHINA
CID002494
Audited
 
Tungsten
Ganzhou Yatai Tungsten Co., Ltd.
CHINA
CID002536
 
 
Gold
GCC Gujrat Gold Centre Pvt. Ltd.
INDIA
CID002852
 
 
Gold
Geib Refining Corporation
UNITED STATES
CID002459
Audited
 
Tin
Gejiu Fengming Metallurgy Chemical Plant
CHINA
CID002848
Audited
 
Tin
Gejiu Jinye Mineral Company
CHINA
CID002859
Audited
 
Tin
Gejiu Kai Meng Industry and Trade LLC
CHINA
CID000942
Audited
 
Tin
Gejiu Non-Ferrous Metal Processing Co., Ltd.
CHINA
CID000538
Audited
 
Tin
Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.
CHINA
CID001908
Audited
 






Metal
Smelter Name
Smelter Country
Smelter Identification
CFSI
DOC
Tin
Gejiu Zili Mining And Metallurgy Co., Ltd.
CHINA
CID000555
 
 
Tantalum
Global Advanced Metals Aizu
JAPAN
CID002558
Audited
 
Tantalum
Global Advanced Metals Boyertown
UNITED STATES
CID002557
Audited
 
Tungsten
Global Tungsten & Powders Corp.
UNITED STATES
CID000568
Audited
 
Gold
Gold Refinery of Zijin Mining Group Co., Ltd.
CHINA
CID002243
Audited
 
Gold
Great Wall Precious Metals Co., Ltd. of CBPM
CHINA
CID001909
 
 
Tin
Guangdong Hanhe Non-Ferrous Metal Co., Ltd.
CHINA
CID003116
Audited
 
Gold
Guangdong Jinding Gold Limited
CHINA
CID002312
 
 
Tantalum
Guangdong Rising Rare Metals-EO Materials Ltd.
CHINA
CID000291
Audited
 
Tungsten
Guangdong Xianglu Tungsten Co., Ltd.
CHINA
CID000218
Audited
 
Tantalum
Guangdong Zhiyuan New Material Co., Ltd.
CHINA
CID000616
Audited
 
Tin
Guanyang Guida Nonferrous Metal Smelting Plant
CHINA
CID002849
Audited
 
Gold
Guoda Safina High-Tech Environmental Refinery Co., Ltd.
CHINA
CID000651
 
 
Tantalum
H.C. Starck Co., Ltd.
THAILAND
CID002544
Audited
 
Tantalum
H.C. Starck GmbH Laufenburg
GERMANY
CID002546
 
 
Tantalum
H.C. Starck Hermsdorf GmbH
GERMANY
CID002547
Audited
 
Tantalum
H.C. Starck Inc.
UNITED STATES
CID002548
Audited
 
Tantalum
H.C. Starck Ltd.
JAPAN
CID002549
Audited
 
Tungsten
H.C. Starck Smelting GmbH & Co. KG
GERMANY
CID002542
Audited
 
Tantalum
H.C. Starck Smelting GmbH & Co. KG
GERMANY
CID002550
Audited
 
Tantalum
H.C. Starck Tantalum and Niobium GmbH
GERMANY
CID002545
Audited
 
Tungsten
H.C. Starck Tungsten GmbH
GERMANY
CID002541
Audited
 
Gold
Hangzhou Fuchunjiang Smelting Co., Ltd.
CHINA
CID000671
 
 
Gold
HeeSung Metal Ltd.
KOREA, REPUBLIC OF
CID000689
Audited
 
Gold
Heimerle + Meule GmbH
GERMANY
CID000694
Audited
 
Tantalum
Hengyang King Xing Lifeng New Materials Co., Ltd.
CHINA
CID002492
Audited
 
Gold
Heraeus Metals Hong Kong Ltd.
CHINA
CID000707
Audited
 
Gold
Heraeus Precious Metals GmbH & Co. KG
GERMANY
CID000711
Audited
 
Tantalum
Hi-Temp Specialty Metals, Inc.
UNITED STATES
CID000731
 
 
Tin
HuiChang Hill Tin Industry Co., Ltd.
CHINA
CID002844
Audited
 
Tin
Huichang Jinshunda Tin Co., Ltd.
CHINA
CID000760
Audited
 
Tungsten
Hunan Chenzhou Mining Co., Ltd.
CHINA
CID000766
Audited
 
Gold
Hunan Chenzhou Mining Co., Ltd.
CHINA
CID000767
 
 
Tungsten
Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji
CHINA
CID002579
Audited
 
Tungsten
Hunan Chunchang Nonferrous Metals Co., Ltd.
CHINA
CID000769
Audited
 
Tungsten
Hunan Litian Tungsten Industry Co., Ltd.
CHINA
CID003182
 
Verified
Gold
HwaSeong CJ CO., LTD.
KOREA, REPUBLIC OF
CID000778
 
 
Tungsten
Hydrometallurg, JSC
RUSSIAN FEDERATION
CID002649
Audited
 






Metal
Smelter Name
Smelter Country
Smelter Identification
CFSI
DOC
Gold
Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.
CHINA
CID000801
Audited
 
Gold
Ishifuku Metal Industry Co., Ltd.
JAPAN
CID000807
Audited
 
Gold
Istanbul Gold Refinery
TURKEY
CID000814
Audited
 
Gold
Italpreziosi
ITALY
CID002765
Audited
 
Gold
Japan Mint
JAPAN
CID000823
Audited
 
Tungsten
Japan New Metals Co., Ltd.
JAPAN
CID000825
Audited
 
Tungsten
Jiangwu H.C. Starck Tungsten Products Co., Ltd.
CHINA
CID002551
Audited
 
Gold
Jiangxi Copper Co., Ltd.
CHINA
CID000855
Audited
 
Tungsten
Jiangxi Dayu Longxintai Tungsten Co., Ltd.
CHINA
CID002647
 
 
Tantalum
Jiangxi Dinghai Tantalum & Niobium Co., Ltd.
CHINA
CID002512
Audited
 
Tungsten
Jiangxi Gan Bei Tungsten Co., Ltd.
CHINA
CID002321
Audited
 
Tin
Jiangxi Ketai Advanced Material Co., Ltd.
CHINA
CID000244
Audited
 
Tungsten
Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.
CHINA
CID002313
 
 
Tungsten
Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.
CHINA
CID002318
Audited
 
Tantalum
Jiangxi Tuohong New Raw Material
CHINA
CID002842
Audited
 
Tungsten
Jiangxi Xinsheng Tungsten Industry Co., Ltd.
CHINA
CID002317
Audited
 
Tungsten
Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.
CHINA
CID002535
Audited
 
Tungsten
Jiangxi Yaosheng Tungsten Co., Ltd.
CHINA
CID002316
Audited
 
Tantalum
JiuJiang JinXin Nonferrous Metals Co., Ltd.
CHINA
CID000914
Audited
 
Tantalum
Jiujiang Nonferrous Metals Smelting Company Limited
CHINA
CID000917
Audited
 
Tantalum
Jiujiang Zhongao Tantalum & Niobium Co., Ltd.
CHINA
CID002506
Audited
 
Gold
JSC Ekaterinburg Non-Ferrous Metal Processing Plant
RUSSIAN FEDERATION
CID000927
Audited
 
Gold
JSC Uralelectromed
RUSSIAN FEDERATION
CID000929
Audited
 
Gold
JX Nippon Mining & Metals Co., Ltd.
JAPAN
CID000937
Audited
 
Gold
Kaloti Precious Metals
UNITED ARAB EMIRATES
CID002563
 
 
Gold
Kazakhmys Smelting LLC
KAZAKHSTAN
CID000956
 
 
Gold
Kazzinc
KAZAKHSTAN
CID000957
Audited
 
Tantalum
KEMET Blue Metals
MEXICO
CID002539
Audited
 
Tantalum
KEMET Blue Powder
UNITED STATES
CID002568
Audited
 
Tungsten
Kennametal Fallon
UNITED STATES
CID000966
Audited
 
Tungsten
Kennametal Huntsville
UNITED STATES
CID000105
Audited
 
Gold
Kennecott Utah Copper LLC
UNITED STATES
CID000969
Audited
 
Gold
KGHM Polska Miedz Spolka Akcyjna
POLAND
CID002511
 
Verified
Tantalum
King-Tan Tantalum Industry Ltd.
CHINA
CID000973
 
 
Gold
Kojima Chemicals Co., Ltd.
JAPAN
CID000981
Audited
 
Gold
Korea Zinc Co., Ltd.
KOREA, REPUBLIC OF
CID002605
Audited
 
Gold
Kyrgyzaltyn JSC
KYRGYZSTAN
CID001029
Audited
 
Gold
Kyshtym Copper-Electrolytic Plant ZAO
RUSSIAN FEDERATION
CID002865
 
 






Metal
Smelter Name
Smelter Country
Smelter Identification
CFSI
DOC
Gold
L'azurde Company For Jewelry
SAUDI ARABIA
CID001032
 
 
Gold
Lingbao Gold Co., Ltd.
CHINA
CID001056
 
 
Gold
Lingbao Jinyuan Tonghui Refinery Co., Ltd.
CHINA
CID001058
 
 
Gold
L'Orfebre S.A.
ANDORRA
CID002762
 
Verified
Tantalum
LSM Brasil S.A.
BRAZIL
CID001076
Audited
 
Gold
LS-NIKKO Copper Inc.
KOREA, REPUBLIC OF
CID001078
Audited
 
Gold
Luoyang Zijin Yinhui Gold Refinery Co., Ltd.
CHINA
CID001093
 
 
Tin
Magnu's Minerais Metais e Ligas Ltda.
BRAZIL
CID002468
Audited
 
Tin
Malaysia Smelting Corporation (MSC)
MALAYSIA
CID001105
Audited
 
Tungsten
Malipo Haiyu Tungsten Co., Ltd.
CHINA
CID002319
Audited
 
Gold
Marsam Metals
BRAZIL
CID002606
Audited
 
Gold
Materion
UNITED STATES
CID001113
Audited
 
Gold
Matsuda Sangyo Co., Ltd.
JAPAN
CID001119
Audited
 
Tin
Melt Metais e Ligas S.A.
BRAZIL
CID002500
Audited
 
Tin
Metallic Resources, Inc.
UNITED STATES
CID001142
Audited
 
Tin
Metallo Belgium N.V.
BELGIUM
CID002773
Audited
 
Tin
Metallo Spain S.L.U.
SPAIN
CID002774
Audited
 
Tantalum
Metallurgical Products India Pvt., Ltd.
INDIA
CID001163
Audited
 
Gold
Metalor Technologies (Hong Kong) Ltd.
CHINA
CID001149
Audited
 
Gold
Metalor Technologies (Singapore) Pte., Ltd.
SINGAPORE
CID001152
Audited
 
Gold
Metalor Technologies (Suzhou) Ltd.
CHINA
CID001147
Audited
 
Gold
Metalor Technologies S.A.
SWITZERLAND
CID001153
Audited
 
Gold
Metalor USA Refining Corporation
UNITED STATES
CID001157
Audited
 
Gold
Metalurgica Met-Mex Penoles S.A. De C.V.
MEXICO
CID001161
Audited
 
Tin
Mineracao Taboca S.A.
BRAZIL
CID001173
Audited
 
Tantalum
Mineracao Taboca S.A.
BRAZIL
CID001175
Audited
 
Tin
Minsur
PERU
CID001182
Audited
 
Gold
Mitsubishi Materials Corporation
JAPAN
CID001188
Audited
 
Tin
Mitsubishi Materials Corporation
JAPAN
CID001191
Audited
 
Tantalum
Mitsui Mining and Smelting Co., Ltd.
JAPAN
CID001192
Audited
 
Gold
Mitsui Mining and Smelting Co., Ltd.
JAPAN
CID001193
Audited
 
Gold
MMTC-PAMP India Pvt., Ltd.
INDIA
CID002509
Audited
 
Gold
Modeltech Sdn Bhd
MALAYSIA
CID002857
 
Verified
Tin
Modeltech Sdn Bhd
MALAYSIA
CID002858
 
Verified
Tungsten
Moliren Ltd.
RUSSIAN FEDERATION
CID002845
Audited
 
Gold
Morris and Watson
NEW ZEALAND
CID002282
 
 
Gold
Morris and Watson Gold Coast
AUSTRALIA
CID002866
 
 
Gold
Moscow Special Alloys Processing Plant
RUSSIAN FEDERATION
CID001204
Audited
 
Gold
Nadir Metal Rafineri San. Ve Tic. A.S.
TURKEY
CID001220
Audited
 
Tin
Nankang Nanshan Tin Manufactory Co., Ltd.
CHINA
CID001231
Audited
 
Gold
Navoi Mining and Metallurgical Combinat
UZBEKISTAN
CID001236
 
 
Tin
Nghe Tinh Non-Ferrous Metals Joint Stock Company
VIET NAM
CID002573
 
 
Tungsten
Niagara Refining LLC
UNITED STATES
CID002589
Audited
 
Gold
Nihon Material Co., Ltd.
JAPAN
CID001259
Audited
 






Metal
Smelter Name
Smelter Country
Smelter Identification
CFSI
DOC
Tantalum
Ningxia Orient Tantalum Industry Co., Ltd.
CHINA
CID001277
Audited
 
Tantalum
NPM Silmet AS
ESTONIA
CID001200
Audited
 
Tungsten
Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC
VIET NAM
CID002543
Audited
 
Tin
O.M. Manufacturing (Thailand) Co., Ltd.
THAILAND
CID001314
Audited
 
Tin
O.M. Manufacturing Philippines, Inc.
PHILIPPINES
CID002517
Audited
 
Gold
Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH
AUSTRIA
CID002779
Audited
 
Gold
Ohura Precious Metal Industry Co., Ltd.
JAPAN
CID001325
Audited
 
Gold
OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)
RUSSIAN FEDERATION
CID001326
Audited
 
Gold
OJSC Novosibirsk Refinery
RUSSIAN FEDERATION
CID000493
Audited
 
Tin
Operaciones Metalurgical S.A.
BOLIVIA (PLURINATIONAL STATE OF)
CID001337
Audited
 
Gold
PAMP S.A.
SWITZERLAND
CID001352
Audited
 
Gold
Pease & Curren
UNITED STATES
CID002872
 
 
Gold
Penglai Penggang Gold Industry Co., Ltd.
CHINA
CID001362
 
 
Tungsten
Philippine Chuangxin Industrial Co., Inc.
PHILIPPINES
CID002827
Audited
 
Tantalum
Plansee SE Liezen
AUSTRIA
CID002540
 
 
Tantalum
Plansee SE Reutte
AUSTRIA
CID002556
 
 
Gold
Planta Recuperadora de Metales SpA
CHILE
CID002919
Audited
 
Tantalum
Power Resources Ltd.
MACEDONIA, THE FORMER YUGOSLAV REPUBLIC OF
CID002847
Audited
 
Gold
Prioksky Plant of Non-Ferrous Metals
RUSSIAN FEDERATION
CID001386
Audited
 
Gold
PT Aneka Tambang (Persero) Tbk
INDONESIA
CID001397
Audited
 
Tin
PT Aries Kencana Sejahtera
INDONESIA
CID000309
Audited
 
Tin
PT Artha Cipta Langgeng
INDONESIA
CID001399
Audited
 
Tin
PT ATD Makmur Mandiri Jaya
INDONESIA
CID002503
Audited
 
Tin
PT Babel Inti Perkasa
INDONESIA
CID001402
Audited
 
Tin
PT Bangka Prima Tin
INDONESIA
CID002776
Audited
 
Tin
PT Bangka Tin Industry
INDONESIA
CID001419
Audited
 
Tin
PT Belitung Industri Sejahtera
INDONESIA
CID001421
Audited
 
Tin
PT Bukit Timah
INDONESIA
CID001428
Audited
 
Tin
PT Cipta Persada Mulia
INDONESIA
CID002696
 
 
Tin
PT DS Jaya Abadi
INDONESIA
CID001434
Audited
 
Tin
PT Eunindo Usaha Mandiri
INDONESIA
CID001438
Audited
 
Tin
PT Inti Stania Prima
INDONESIA
CID002530
Audited
 
Tin
PT Karimun Mining
INDONESIA
CID001448
Audited
 
Tin
PT Kijang Jaya Mandiri
INDONESIA
CID002829
Audited
 
Tin
PT Lautan Harmonis Sejahtera
INDONESIA
CID002870
Audited
 
Tin
PT Menara Cipta Mulia
INDONESIA
CID002835
Audited
 
Tin
PT Mitra Stania Prima
INDONESIA
CID001453
Audited
 
Tin
PT O.M. Indonesia
INDONESIA
CID002757
 
 
Tin
PT Panca Mega Persada
INDONESIA
CID001457
Audited
 
Tin
PT Prima Timah Utama
INDONESIA
CID001458
Audited
 






Metal
Smelter Name
Smelter Country
Smelter Identification
CFSI
DOC
Tin
PT Refined Bangka Tin
INDONESIA
CID001460
Audited
 
Tin
PT Sariwiguna Binasentosa
INDONESIA
CID001463
Audited
 
Tin
PT Stanindo Inti Perkasa
INDONESIA
CID001468
Audited
 
Tin
PT Sukses Inti Makmur
INDONESIA
CID002816
Audited
 
Tin
PT Sumber Jaya Indah
INDONESIA
CID001471
Audited
 
Tin
PT Timah (Persero) Tbk Kundur
INDONESIA
CID001477
Audited
 
Tin
PT Timah (Persero) Tbk Mentok
INDONESIA
CID001482
Audited
 
Tin
PT Tinindo Inter Nusa
INDONESIA
CID001490
Audited
 
Tin
PT Tommy Utama
INDONESIA
CID001493
Audited
 
Tin
PT Wahana Perkit Jaya
INDONESIA
CID002479
 
 
Gold
PX Precinox S.A.
SWITZERLAND
CID001498
Audited
 
Tantalum
QuantumClean
UNITED STATES
CID001508
Audited
 
Gold
Rand Refinery (Pty) Ltd.
SOUTH AFRICA
CID001512
Audited
 
Gold
Refinery of Seemine Gold Co., Ltd.
CHINA
CID000522
 
 
Gold
Remondis Argentia B.V.
NETHERLANDS
CID002582
 
Verified
Gold
Republic Metals Corporation
UNITED STATES
CID002510
Audited
 
Tin
Resind Industria e Comercio Ltda.
BRAZIL
CID002706
Audited
 
Tantalum
Resind Industria e Comercio Ltda.
BRAZIL
CID002707
Audited
 
Tantalum
RFH Tantalum Smeltery Co., Ltd./Yanling Jincheng Tantalum & Niobium Co., Ltd.
CHINA
CID001522
Audited
 
Gold
Royal Canadian Mint
CANADA
CID001534
Audited
 
Tin
Rui Da Hung
TAIWAN, PROVINCE OF CHINA
CID001539
Audited
 
Gold
SAAMP
FRANCE
CID002761
Audited
 
Gold
Sabin Metal Corp.
UNITED STATES
CID001546
 
 
Gold
Safimet S.p.A
ITALY
CID002973
Audited
 
Gold
SAFINA A.S.
CZECH REPUBLIC
CID002290
 
Verified
Gold
Sai Refinery
INDIA
CID002853
 
 
Gold
Samduck Precious Metals
KOREA, REPUBLIC OF
CID001555
Audited
 
Gold
SAMWON Metals Corp.
KOREA, REPUBLIC OF
CID001562
 
 
Gold
SAXONIA Edelmetalle GmbH
GERMANY
CID002777
Audited
 
Gold
Schone Edelmetaal B.V.
NETHERLANDS
CID001573
Audited
 
Gold
SEMPSA Joyeria Plateria S.A.
SPAIN
CID001585
Audited
 
Gold
Shandong Tiancheng Biological Gold Industrial Co., Ltd.
CHINA
CID001619
 
 
Gold
Shandong Zhaojin Gold & Silver Refinery Co., Ltd.
CHINA
CID001622
Audited
 
Gold
Sichuan Tianze Precious Metals Co., Ltd.
CHINA
CID001736
Audited
 
Gold
Singway Technology Co., Ltd.
TAIWAN, PROVINCE OF CHINA
CID002516
Audited
 
Gold
So Accurate Group, Inc.
UNITED STATES
CID001754
 
 
Gold
SOE Shyolkovsky Factory of Secondary Precious Metals
RUSSIAN FEDERATION
CID001756
Audited
 
Tin
Soft Metais Ltda.
BRAZIL
CID001758
Audited
 
Gold
Solar Applied Materials Technology Corp.
TAIWAN, PROVINCE OF CHINA
CID001761
Audited
 
Tantalum
Solikamsk Magnesium Works OAO
RUSSIAN FEDERATION
CID001769
Audited
 
Tungsten
South-East Nonferrous Metal Company Limited of Hengyang City
CHINA
CID002815
Audited
 






Metal
Smelter Name
Smelter Country
Smelter Identification
CFSI
DOC
Gold
State Research Institute Center for Physical Sciences and Technology
LITHUANIA
CID003153
 
 
Gold
Sumitomo Metal Mining Co., Ltd.
JAPAN
CID001798
Audited
 
Gold
SungEel HiTech
KOREA, REPUBLIC OF
CID002918
Audited
 
Tin
Super Ligas
BRAZIL
CID002756
 
 
Gold
T.C.A S.p.A
ITALY
CID002580
Audited
 
Tantalum
Taki Chemical Co., Ltd.
JAPAN
CID001869
Audited
 
Gold
Tanaka Kikinzoku Kogyo K.K.
JAPAN
CID001875
Audited
 
Tungsten
Tejing (Vietnam) Tungsten Co., Ltd.
VIET NAM
CID001889
Audited
 
Tantalum
Telex Metals
UNITED STATES
CID001891
Audited
 
Tin
Thaisarco
THAILAND
CID001898
Audited
 
Gold
The Refinery of Shandong Gold Mining Co., Ltd.
CHINA
CID001916
Audited
 
Gold
Tokuriki Honten Co., Ltd.
JAPAN
CID001938
Audited
 
Gold
Tongling Nonferrous Metals Group Co., Ltd.
CHINA
CID001947
 
 
Gold
Tony Goetz NV
BELGIUM
CID002587
 
 
Gold
TOO Tau-Ken-Altyn
KAZAKHSTAN
CID002615
 
 
Gold
Torecom
KOREA, REPUBLIC OF
CID001955
Audited
 
Tin
Tuyen Quang Non-Ferrous Metals Joint Stock Company
VIET NAM
CID002574
 
 
Tantalum
Ulba Metallurgical Plant JSC
KAZAKHSTAN
CID001969
Audited
 
Gold
Umicore Brasil Ltda.
BRAZIL
CID001977
Audited
 
Gold
Umicore Precious Metals Thailand
THAILAND
CID002314
Audited
 
Gold
Umicore S.A. Business Unit Precious Metals Refining
BELGIUM
CID001980
Audited
 
Tungsten
Unecha Refractory metals plant
RUSSIAN FEDERATION
CID002724
Audited
 
Gold
United Precious Metal Refining, Inc.
UNITED STATES
CID001993
Audited
 
Gold
Valcambi S.A.
SWITZERLAND
CID002003
Audited
 
Tungsten
Vietnam Youngsun Tungsten Industry Co., Ltd.
VIET NAM
CID002011
Audited
 
Tin
VQB Mineral and Trading Group JSC
VIET NAM
CID002015
 
 
Gold
Western Australian Mint (T/a The Perth Mint)
AUSTRALIA
CID002030
Audited
 
Tin
White Solder Metalurgia e Mineracao Ltda.
BRAZIL
CID002036
Audited
 
Gold
WIELAND Edelmetalle GmbH
GERMANY
CID002778
Audited
 
Tungsten
Wolfram Bergbau und Hutten AG
AUSTRIA
CID002044
Audited
 
Tungsten
Woltech Korea Co., Ltd.
KOREA, REPUBLIC OF
CID002843
Audited
 
Tungsten
Xiamen Tungsten (H.C.) Co., Ltd.
CHINA
CID002320
Audited
 
Tungsten
Xiamen Tungsten Co., Ltd.
CHINA
CID002082
Audited
 
Tungsten
Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.
CHINA
CID002830
Audited
 
Tungsten
Xinhai Rendan Shaoguan Tungsten Co., Ltd.
CHINA
CID002095
Audited
 
Tantalum
XinXing HaoRong Electronic Material Co., Ltd.
CHINA
CID002508
Audited
 
Gold
Yamakin Co., Ltd.
JAPAN
CID002100
Audited
 
Tantalum
Yichun Jin Yang Rare Metal Co., Ltd.
CHINA
CID002307
Audited
 
Gold
Yokohama Metal Co., Ltd.
JAPAN
CID002129
Audited
 
Tin
Yunnan Chengfeng Non-ferrous Metals Co., Ltd.
CHINA
CID002158
Audited
 






Metal
Smelter Name
Smelter Country
Smelter Identification
CFSI
DOC
Gold
Yunnan Copper Industry Co., Ltd.
CHINA
CID000197
 
 
Tin
Yunnan Tin Company Limited
CHINA
CID002180
Audited
 
Gold
Zhongyuan Gold Smelter of Zhongjin Gold Corporation
CHINA
CID002224
Audited
 
Tantalum
Zhuzhou Cemented Carbide Group Co., Ltd.
CHINA
CID002232
 
 

*
“Audited” means in accordance with and as reported by the CFSI; “Verified” means confirmed as a known processing facility on the DOC List.