MKS Instruments SD Conflict minerals disclosure | MKSI 27 May 21

Exhibit 1.01

MKS INSTRUMENTS, INC.

Conflict Minerals Report

For the Year Ended December 31, 2020

Special Note Regarding Forward-Looking Statements

This report contains “forward-looking statements” within the meaning of the Private Securities Litigation Reform Act of 1995, Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Securities Exchange Act of 1934, as amended (Exchange Act). These forward-looking statements reflect management’s current opinions and are subject to certain risks and uncertainties that could cause actual results to differ materially from those stated. MKS assumes no obligation to update this information. Risks and uncertainties include, but are not limited to, those discussed in the section entitled “Risk Factors” found in the Company’s most recent Annual Report on Form 10-K and any subsequent Quarterly Reports on Form 10-Q, as filed with the Securities and Exchange Commission (SEC).

Summary of the Conflict Minerals Rule

This report for the year ended December 31, 2020 is included to comply with Rule 13p-1 under the Exchange Act (the Conflict Minerals Rule), which 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 (Dodd-Frank Act). The Conflict Minerals Rule imposes certain reporting obligations on a company that files reports with the SEC under Sections 13(a) and 15(d) of the Exchange Act (a public company), whose manufactured products contain Conflict Minerals which are necessary to the functionality or production of its products. Conflict minerals are defined as gold, columbite-tantalite (coltan), cassiterite and wolframite, including their derivatives, tantalum, tin and tungsten (Conflict Minerals).

If a public company cannot establish that the Conflict Minerals originated from sources other than the Democratic Republic of the Congo or an adjoining country (the Covered Countries), or from recycled and scrap sources, it must submit a Form SD which describes the reasonable country of origin inquiry completed.

If a public company has reason to believe that any of the Conflict Minerals in its supply chain may have originated in the Covered Countries, or if it is unable to determine the country of origin of those Conflict Minerals, then that company must exercise due diligence on the Conflict Minerals’ source and chain of custody. The company must annually submit a report to the SEC that includes a description of those due diligence measures (Conflict Minerals Report).

1.	Company Overview

This report has been prepared by management of MKS Instruments, Inc. (herein referred to as “MKS,” the “Company,” “we,” “us,” or “our”). The information includes the activities of MKS and all of its subsidiaries.

Founded in 1961, MKS is a global provider of instruments, systems, subsystems and process control solutions that measure, monitor, deliver, analyze, power and control critical parameters of advanced manufacturing processes to improve process performance and productivity for its customers. MKS’ products are derived from its core competencies in pressure measurement and control, flow measurement and control, gas and vapor delivery, gas composition analysis, electronic control technology, reactive gas generation and delivery, power generation and delivery, vacuum technology, lasers, photonics, optics, precision motion control, vibration control and laser-based manufacturing systems solutions. MKS also provides services relating to the maintenance and repair of its products, installation services and training. The Company’s primary served markets include semiconductor, industrial technologies, life and health sciences, and research and defense. MKS employs approximately 5,400 individuals.

MKS has three reportable segments—the Vacuum & Analysis segment, the Light & Motion segment and the Equipment & Solutions segment. The Vacuum & Analysis segment provides a broad range of instruments, components and subsystems, which are derived from MKS’ core competencies in pressure measurement and control, flow measurement and control, gas and vapor delivery, gas composition analysis, electronic control technology, reactive gas generation and delivery, power generation and delivery and vacuum technology. The Light & Motion segment provides a broad range of instruments, components and subsystems, which are derived from MKS’ core competencies in lasers, photonics, optics, precision motion control and vibration control. The Equipment & Solutions segment provides a range of products including laser-based systems for printed circuit board (PCB) manufacturing, which include flexible interconnect PCB processing systems and high-density interconnect solutions for rigid PCB manufacturing and substrate processing and multi-layer ceramic capacitor test systems.

MKS’ product portfolio includes more than 23,000 products. MKS’ products are used in diverse markets, applications and processes. Our primary served markets include semiconductor, industrial technologies, life and health sciences, and research and defense. A significant portion of our sales is derived from products sold to semiconductor capital equipment manufacturers and semiconductor device manufacturers. Our products are used in the major semiconductor processing steps, such as depositing thin films of material onto silicon wafer substrates, etching, cleaning, lithography, metrology and inspection. In addition to semiconductor manufacturing, our products are used in the industrial technologies, life and health sciences, and research and defense markets. The industrial technologies market encompasses a wide range of diverse applications, such as flexible and rigid PCB processing/fabrication, glass coating, laser marking, measurement and scribing, natural gas and oil production, environmental monitoring and electronic thin films. Electronic thin films are a primary component of numerous electronic products, including flat panel displays, light emitting diodes, solar cells and data storage media. Our products in the life and health sciences market are used in a diverse array of applications, including bioimaging, medical instrument sterilization, medical device manufacturing, analytical, diagnostic, and surgical instrumentation, consumable medical supply manufacturing and pharmaceutical production. In addition, our products in the research and defense market are sold to government, university and industrial laboratories for applications involving research and development in materials science, physical chemistry, photonics, optics and electronics materials. Our products are also sold for monitoring and defense applications, including surveillance, imaging and infrastructure protection.

Except for certain metal product lines (e.g. fittings, flanges, lenses, certain mirrors, tubing, etc.), virtually all of the products MKS manufactures or contracts to manufacture include tin, gold, tantalum and/or tungsten. As a result, Conflict Minerals are found in almost all of our products.

Supply Chain

With such an extensive product portfolio, our supply chain is highly complex. In 2020, MKS and its subsidiaries purchased supplies from over 3,300 suppliers across the world. In addition to dealing with a very large number of suppliers, MKS deals with multiple tiers of suppliers. We are many steps removed from the mining of Conflict Minerals and the smelting and refining of raw ores. We do not buy raw ore or unrefined Conflict Minerals or make purchases from the Covered Countries. We also do not buy directly from smelters or refiners. The smelters and refiners are in the best position in our supply chain to know the origin of the ores. For these reasons, the process of mapping our end-to-end supply chain is extremely onerous.

In order to comply with the Conflict Minerals Rule, we rely on our direct suppliers to provide information on the origin of the Conflict Minerals contained in components and materials supplied to us, including sources of Conflict Minerals that are supplied to them from lower tier suppliers. Our outreach efforts for the past eight years are summarized below:

•

For 2013, we believed a reasonable approach was to conduct a survey of the suppliers who represented the majority of our expenditures in that year. We sent a survey to 514 of our direct suppliers representing in excess of 77% of our 2013 expenditures.

•

For 2014, we expanded our supplier outreach efforts by contacting 957 of our direct suppliers representing in excess of 80% of our 2014 expenditures.

•

In 2015, we expanded our supplier outreach efforts again, contacting over 1,400 of our direct suppliers and many more manufacturers represented by distributors, representing over 99% of our 2015 expenditures.

•

In 2016, we contacted over 3,500 of our direct suppliers representing 99% of our 2016 expenditures.

•

In 2017, we contacted over 3,400 of our direct suppliers representing 99.5% of our 2017 expenditures.

•

In 2018, we contacted over 3,800 of our direct suppliers representing 99.8% of our 2018 expenditures.

•

In 2019, we engaged a third-party service provider, Source Intelligence, to contact over 4,400 of our direct suppliers representing 100% of our 2019 expenditures.

•

In 2020, we developed a more robust system to track our suppliers, resulting in the elimination of a significant number of duplicate and non-inventory suppliers from our total supplier count. We reengaged Source Intelligence to contact over 3,300 of our direct suppliers representing 100% of our 2020 expenditures. We received responses from 63% of our suppliers, a 9% increase compared to 2019.

•

Each year we, or our third-party service provider, then followed up with electronic reminders and telephone calls to request suppliers complete the surveys.

Despite having conducted a good faith reasonable country of origin inquiry, we are unable to determine the origin of all of the Conflict Minerals in our products. Due to the complexity of our broad product portfolio and supply chain, it will take additional time for many of our suppliers to verify the origin of the Conflict Minerals in the products they supply to us. We continue to engage with each of these suppliers and they in turn continue to engage with their suppliers. We hope that with additional time, these outreach efforts will result in greater transparency into our supply chain. In addition, Source Intelligence confirmed that certain Conflict Minerals in our products likely originated in the Covered Countries. For these reasons, we are required under the Conflict Minerals Rule to submit to the SEC a Conflict Minerals Report as an exhibit to Form SD. This report must include:

•

a description of the measures we took to exercise due diligence on the Conflict Minerals’ source and chain of custody,

•

a description of the products manufactured or contracted to be manufactured that are not “DRC conflict free” (i.e. products containing minerals that finance armed groups in the Covered Countries),

•

the facilities used to process the Conflict Minerals,

•

the country of origin of the Conflict Minerals, and

•

the efforts to determine the mine or location of origin.

In accordance with The Organisation for Economic Co-operation and Development (OECD) Guidance and the Conflict Minerals Rule, this report is available on our website http://www.mksinst.com/docs/ur/MKS-ConflictMineralsReport.pdf

Conflict Minerals Policy

We adopted the following Conflict Minerals Policy:

MKS Conflict Minerals Policy

In 2012, the U.S. Securities and Exchange Commission (the “SEC”) issued its final rule under Section 1502 of the 2010 Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Conflict Minerals Rule”) imposing new disclosure and related supply chain due diligence requirements for public companies regarding their use of “Conflict Minerals” in products they manufacture or contract to manufacture. The goal of this new rule is to curb the violent conflict and human rights abuses in the Democratic Republic of the Congo (“DRC”)¹ and adjoining countries that are being financed in part by the exploitation and trade of Conflict Minerals from that region.

The Conflict Minerals Rule defines “Conflict Minerals” as cassiterite (tin), columbite-tantalite (tantalum), wolframite (tungsten), their respective derivatives and gold (commonly referred to as the “3Ts&G”). MKS, being a global provider of instruments, systems, subsystems and process control solutions that measure, monitor, deliver, analyze, power and control critical parameters of advanced manufacturing processes to improve process performance and productivity for its customers, uses certain of these Conflict Minerals in the manufacturing of its products. MKS is committed to identifying any of its suppliers who source Conflict Minerals from the DRC region from conflict sources. We expect our suppliers to partner with us in this endeavor regardless of whether they are subject to the new Conflict Minerals Rule by providing us with all necessary declarations. We also expect our suppliers to pass this requirement on to their supply chain if they do not source directly from smelters, to determine the source of the Conflict Minerals. The process of mapping our end-to-end supply chain is onerous because MKS deals with multiple tiers and a very large number of suppliers. However, MKS is committed to this effort and should MKS discover at any time that any of its suppliers are sourcing materials from the DRC region from conflict sources, MKS will work with the supplier to end this practice and if the supplier refuses, MKS will work diligently to identify and partner with an alternative supplier.

If you have any questions regarding MKS’ Policy on Conflict Minerals, please contact us at conflictminerals_customer@mksinst.com.

Our policy is publicly available on our website at http://www.mksinst.com/docs/ur/MKS-ConflictMinerals-Stmt.pdf

1	Conflict Minerals procured from the following “covered countries” are the focus of the Rule: the DRC, Angola, Burundi, the Central African Republic, the Republic of the Congo, Rwanda, South Sudan, Tanzania, Uganda, and Zambia

2.	Due Diligence Process

2.1

Design of Due Diligence

Our due diligence process has been designed to conform generally with the framework in the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (OECD Guidance) and the related Supplements for gold and for tin, tantalum and tungsten.

Our due diligence process includes:

•

the adoption of a Conflict Minerals Policy,

•

the establishment of a cross-functional team for complying with the Conflict Minerals Rule,

•

engagement of suppliers,

•

due diligence compliance process and measurement,

•

extensive record keeping and

•

continued follow-up communication with suppliers.

2.2

Management Systems

As described above, MKS has adopted a company policy which is posted on our website at http://www.mksinst.com/docs/ur/MKS-ConflictMinerals-Stmt.pdf

Internal Team

MKS has established a cross-functional team led by our Global Supply Chain Manager, who has over fifteen years of experience in chemical and supplier management. The team is responsible for implementing our Conflict Minerals compliance strategy. Senior management is briefed about the results of our due diligence efforts.

Supplier Engagement

With respect to the OECD requirement to strengthen engagement with suppliers, we have established, where practicable, long-term relationships with our numerous suppliers. We have communicated to our suppliers our expectations with respect to the Conflict Minerals Rule. In addition, we have incorporated our expectations with respect to our Conflict Mineral Policy and reporting obligation into the terms and conditions of our supplier contracts.

Maintain Records

We have developed an internal system for documenting the implementation, management and monitoring of our Conflict Minerals Program.

2.3

Identify and Assess Risk in the Supply Chain

Because of our size, the complexity of our products, and the depth and breadth of our supply chain, it is difficult to identify suppliers upstream from our direct suppliers. In 2020, through our third-party service provider, Source Intelligence, we reached out to over 3,300 of our direct suppliers representing 100% of our supplier spend. We rely on these suppliers, whose components contain Conflict Minerals, to provide us with information about the source of Conflict Minerals contained in the components supplied to us. Our direct suppliers are similarly reliant upon information provided by their suppliers. Many of our direct suppliers and distributors either: (i) provided names of smelters or refiners that could not be verified using the Responsible Minerals Assurance Process Conformant Smelters & Refiners Lists, (ii) did not respond to our survey despite follow-up requests, (iii) responded to our survey with incomplete or inconsistent information, or (iv) responded to our survey with a form letter informing us that they would not be completing the survey due to a variety of reasons, including, but not limited to: (a) lack of resources, (b) the fact that only de minimis amounts of Conflict Minerals were contained in their products, and/or (c) the supplier was not itself subject to the Conflict Minerals Rule. In general, follow-up requests to these suppliers did not produce additional information unless we had leverage with a particular supplier due to the amount of our spend with such supplier. More time is still needed to determine all of the smelters/refiners used in our supply chain. MKS plans to continue its efforts to identify all of the Conflict Minerals’ smelters/refiners used in our supply chain through a combination of annual supplier surveys and direct follow-up supplier engagement.

2.4

Design and Implement a Strategy to Respond to Risks

MKS has a risk management plan through which the Conflict Minerals program is implemented, managed and monitored. Updates to this risk assessment are provided to senior management.

As part of our risk management plan, to ensure suppliers understand our expectations, in addition to the Conflict Minerals Policy that we published on our website, we incorporated our expectations with respect to our Conflict Mineral Policy into the terms and conditions of our supplier contracts. Through our third-party service provider, Source Intelligence, we also distributed a Conflict Minerals reporting instruction letter and survey to our worldwide suppliers who represent 100% of our 2020 supplier spend and both Source Intelligence and MKS held individual follow-up calls with and/or sent emails to those suppliers whose survey responses were incomplete, unclear or seemed erroneous based on our knowledge of the materials we purchase from that supplier.

As described in our Conflict Minerals Policy, we will work with any of our suppliers whom we have reason to believe is supplying us with Conflict Minerals from sources that may support conflict in the DRC or any adjoining country to end this practice and if the supplier refuses, we will work diligently to identify and partner with an alternative supplier of Conflict Minerals that does not support such conflict.

2.5

Carry out Independent Third-Party Audit of Supply Chain Due Diligence at Identified Points in the Supply Chain

We do not have a direct relationship with Conflict Minerals smelters and refiners and do not perform or direct audits of these entities within our supply chain. We rely on audits performed by industry groups like the Responsible Business Alliance’s Responsible Minerals Initiative.

2.6

Report on Supply Chain Due Diligence

This report is available on our website at http://www.mksinst.com/docs/ur/MKS-ConflictMineralsReport.pdf

3.	Due Diligence Results

Request Information

We conducted a survey of those suppliers described above using the EICC/GeSI template, known as the Conflict Minerals Reporting Template (the template). The template was developed to facilitate disclosure and communication of information regarding smelters that provide material to a company’s supply chain. It includes questions regarding a company’s Conflict Minerals policy, engagement with its direct suppliers, and a listing of the smelters the company and its suppliers use. In addition, the template contains questions about the origin of Conflict Minerals included in their products.

Survey Responses

Through our third-party service provider, Source Intelligence, we received responses from approximately 63% of the suppliers surveyed, representing 92% of our supplier spend surveyed. We reviewed the responses against criteria developed to determine which required further engagement with our suppliers. The vast majority of our suppliers provided data at a company level (vs. a product level). In many of the responses received, (i) the responses were incomplete and/or contained inconsistencies within the data reported in the template and (ii) the identities of the smelters or refiners were not known. We continue to engage directly with these suppliers to provide revised or missing information. We are therefore not yet in a position to verify that all of the smelters or refiners in our supply chain are certified as conflict-free by the Responsible Business Alliance.

Efforts to Determine Mine or Location of Origin

In our supplier survey, we requested our suppliers to identify the smelter or refiner used in their respective supply chain. We have determined that seeking information about Conflict Minerals’ smelters and refiners in our supply chain represents the most reasonable effort we can make to determine the mines or locations of origin of the Conflict Minerals in our supply chain. Based on the information provided by MKS suppliers in 2020, Exhibit A includes 331 smelters and refiners used in our supply chain that were identified by Responsible Minerals Initiative as “Conformant,” “Active,” or “Known.” “Conformant” smelters and refiners are those smelters and refiners that have undergone a third-party audit, have systems in place to assure sourcing of only DRC conflict free materials, and are therefore identified as “Conformant” with Responsible Minerals Alliance’s Process Assessment Program. “Active” smelters are those that have agreed in writing to produce information and are actively progressing towards a third-party audit. “Known” smelters and refiners are known to Responsible Minerals Initiative but not currently classified as “Conformant” or “Active.” Additionally, MKS received responses from suppliers that included 566 smelters and refiners that have yet to be verified as

smelters or refiners by the Responsible Minerals Initiative. Although we did receive more reliable smelter and refiner information for 2020 as compared to 2019, we know this list is incomplete as several of our suppliers either did not return a completed survey or returned an incomplete survey which did not include smelter or refiner names. We expect that with more time, more upstream suppliers will be in a better position to identify relevant smelters and refiners and will in turn pass that information further down the supply chain so that this list will be more complete.

To date, we have been informed that two of the smelters identified by our suppliers are located in Covered Countries but with further due diligence, we confirmed that both are on the Responsible Minerals Assurance Process Known Smelters & Refiners Lists. We are not aware of any other instance where we have reason to believe any of our suppliers are supplying us with Conflict Minerals from a source that may support conflict in the DRC or any adjoining country.

4. Steps to be Taken Going Forward

We intend to take the following steps in 2021 to expand and improve the due diligence conducted with respect to our supply chain:

Continue to identify and implement changes to improve the process used to collect survey responses from our very large number of direct suppliers.

Continue to remind our suppliers of their obligations and our expectations with respect to Conflict Minerals reporting at our supplier conferences.

Continue to engage with suppliers to attempt to increase the response rate and improve the content of the supplier survey responses.

If any of our suppliers are found to be supplying us with Conflict Minerals from sources that support conflict in the Covered Countries, to work with the supplier to end this practice and if the supplier refuses, to work diligently to identify and partner with an alternative supplier.

EXHIBIT A

Metal

Smelter Reference List

Smelter Name

Smelter Country

Smelter

Identification

Source of
Smelter
Identification
Number

Smelter

Status

Gold

8853 S.p.A.

ITALY

CID002763

RMI

Conformant

Gold

Abington Reldan Metals, LLC

UNITED STATES OF AMERICA

CID002708

RMI

Known

Gold

Advanced Chemical Company

UNITED STATES OF AMERICA

CID000015

RMI

Conformant

Gold

African Gold Refinery

UGANDA

CID003185

RMI

Known

Gold

Aida Chemical Industries Co., Ltd.

JAPAN

CID000019

RMI

Conformant

Gold

Al Etihad Gold Refinery DMCC

UNITED ARAB EMIRATES

CID002560

RMI

Conformant

Gold

Alexy Metals

UNITED STATES OF AMERICA

CID003500

RMI

Active

Gold

Allgemeine Gold-und Silberscheideanstalt A.G.

GERMANY

CID000035

RMI

Conformant

Gold

Almalyk Mining and Metallurgical Complex (AMMC)

UZBEKISTAN

CID000041

RMI

Conformant

Gold

AngloGold Ashanti Corrego do Sitio Mineracao

BRAZIL

CID000058

RMI

Conformant

Gold

Argor-Heraeus S.A.

SWITZERLAND

CID000077

RMI

Conformant

Gold

Asahi Pretec Corp.

JAPAN

CID000082

RMI

Conformant

Gold

Asahi Refining Canada Ltd.

CANADA

CID000924

RMI

Conformant

Gold

Asahi Refining USA Inc.

UNITED STATES OF AMERICA

CID000920

RMI

Conformant

Gold

Asaka Riken Co., Ltd.

JAPAN

CID000090

RMI

Conformant

Gold

Atasay Kuyumculuk Sanayi Ve Ticaret A.S.

TURKEY

CID000103

RMI

Known

Gold

AU Traders and Refiners

SOUTH AFRICA

CID002850

RMI

Conformant

Gold

Augmont Enterprises Private Limited

INDIA

CID003461

RMI

Active

Gold

Aurubis AG

GERMANY

CID000113

RMI

Conformant

Gold

Bangalore Refinery

INDIA

CID002863

RMI

Conformant

Gold

Bangko Sentral ng Pilipinas (Central Bank of the Philippines)

PHILIPPINES

CID000128

RMI

Conformant

Gold

Boliden AB

SWEDEN

CID000157

RMI

Conformant

Gold

C. Hafner GmbH + Co. KG

GERMANY

CID000176

RMI

Conformant

Gold

C.I Metales Procesados Industriales SAS

COLOMBIA

CID003421

RMI

Active

Metal

Smelter Reference List

Smelter Name

Smelter Country

Smelter

Identification

Source of
Smelter
Identification
Number

Smelter

Status

Gold

Caridad

MEXICO

CID000180

RMI

Known

Gold

CCR Refinery - Glencore Canada Corporation

CANADA

CID000185

RMI

Conformant

Gold

Cendres + Metaux S.A.

SWITZERLAND

CID000189

RMI

Conformant

Gold

CGR Metalloys Pvt Ltd.

INDIA

CID003382

RMI

Known

Gold

Chimet S.p.A.

ITALY

CID000233

RMI

Conformant

Gold

Chugai Mining

JAPAN

CID000264

RMI

Conformant

Gold

Daye Non-Ferrous Metals Mining Ltd.

CHINA

CID000343

RMI

Known

Gold

Degussa Sonne / Mond Goldhandel GmbH

GERMANY

CID002867

RMI

Known

Gold

Dijllah Gold Refinery FZC

UNITED ARAB EMIRATES

CID003348

RMI

Known

Gold

DODUCO Contacts and Refining GmbH

GERMANY

CID000362

RMI

Conformant

Gold

Dowa

JAPAN

CID000401

RMI

Conformant

Gold

DSC (Do Sung Corporation)

KOREA, REPUBLIC OF

CID000359

RMI

Conformant

Gold

Eco-System Recycling Co., Ltd. East Plant

JAPAN

CID000425

RMI

Conformant

Gold

Eco-System Recycling Co., Ltd. North Plant

JAPAN

CID003424

RMI

Conformant

Gold

Eco-System Recycling Co., Ltd. West Plant

JAPAN

CID003425

RMI

Conformant

Gold

Emerald Jewel Industry India Limited (Unit 1)

INDIA

CID003487

RMI

Known

Gold

Emerald Jewel Industry India Limited (Unit 2)

INDIA

CID003488

RMI

Known

Gold

Emerald Jewel Industry India Limited (Unit 3)

INDIA

CID003489

RMI

Known

Gold

Emerald Jewel Industry India Limited (Unit 4)

INDIA

CID003490

RMI

Known

Gold

Emirates Gold DMCC

UNITED ARAB EMIRATES

CID002561

RMI

Conformant

Gold

Fidelity Printers and Refiners Ltd.

ZIMBABWE

CID002515

RMI

Known

Gold

Fujairah Gold FZC

UNITED ARAB EMIRATES

CID002584

RMI

Known

Gold

GCC Gujrat Gold Centre Pvt. Ltd.

INDIA

CID002852

RMI

Known

Gold

Geib Refining Corporation

UNITED STATES OF AMERICA

CID002459

RMI

Conformant

Gold

Gold Coast Refinery

GHANA

CID003186

RMI

Known

Metal

Smelter Reference List

Smelter Name

Smelter Country

Smelter

Identification

Source of
Smelter
Identification
Number

Smelter

Status

Gold

Gold Refinery of Zijin Mining Group Co., Ltd.

CHINA

CID002243

RMI

Conformant

Gold

Great Wall Precious Metals Co., Ltd. of CBPM

CHINA

CID001909

RMI

Known

Gold

Guangdong Jinding Gold Limited

CHINA

CID002312

RMI

Known

Gold

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

CHINA

CID000651

RMI

Known

Gold

Hangzhou Fuchunjiang Smelting Co., Ltd.

CHINA

CID000671

RMI

Known

Gold

Heimerle + Meule GmbH

GERMANY

CID000694

RMI

Conformant

Gold

Heraeus Germany GmbH Co. KG

Heraeus Precious Metals GmbH & Co. KG

GERMANY

CID000711

RMI

Active

Gold

Heraeus Metals Hong Kong Ltd.

CHINA

CID000707

RMI

Conformant

Gold

Hunan Chenzhou Mining Co., Ltd.

CHINA

CID000767

RMI

Known

Gold

Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd.

CHINA

CID000773

RMI

Known

Gold

HwaSeong CJ CO., LTD.

KOREA, REPUBLIC OF

CID000778

RMI

Known

Gold

Industrial Refining Company

Tony Goetz NV

BELGIUM

CID002587

RMI

Known

Gold

Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.

CHINA

CID000801

RMI

Conformant

Gold

International Precious Metal Refiners

UNITED ARAB EMIRATES

CID002562

RMI

Active

Gold

Ishifuku Metal Industry Co., Ltd.

JAPAN

CID000807

RMI

Conformant

Gold

Istanbul Gold Refinery

TURKEY

CID000814

RMI

Conformant

Gold

Italpreziosi

ITALY

CID002765

RMI

Conformant

Gold

JALAN & Company

INDIA

CID002893

RMI

Known

Gold

Japan Mint

JAPAN

CID000823

RMI

Conformant

Gold

Jiangxi Copper Co., Ltd.

CHINA

CID000855

RMI

Conformant

Gold

JSC Ekaterinburg Non-Ferrous Metal Processing Plant

RUSSIAN FEDERATION

CID000927

RMI

Known

Gold

JSC Novosibirsk Refinery

OJSC Novosibirsk Refinery

RUSSIAN FEDERATION

CID000493

RMI

Conformant

Gold

JSC Uralelectromed

RUSSIAN FEDERATION

CID000929

RMI

Conformant

Metal

Smelter Reference List

Smelter Name

Smelter Country

Smelter

Identification

Source of
Smelter
Identification
Number

Smelter

Status

Gold

JX Nippon Mining & Metals Co., Ltd.

JAPAN

CID000937

RMI

Conformant

Gold

K.A. Rasmussen

NORWAY

CID003497

RMI

Known

Gold

Kaloti Precious Metals

UNITED ARAB EMIRATES

CID002563

RMI

Known

Gold

Kazakhmys Smelting LLC

KAZAKHSTAN

CID000956

RMI

Known

Gold

Kazzinc

KAZAKHSTAN

CID000957

RMI

Conformant

Gold

Kennecott Utah Copper LLC

UNITED STATES OF AMERICA

CID000969

RMI

Conformant

Gold

KGHM Polska Miedz Spolka Akcyjna

POLAND

CID002511

RMI

Conformant

Gold

Kojima Chemicals Co., Ltd.

JAPAN

CID000981

RMI

Conformant

Gold

Korea Zinc Co., Ltd.

KOREA, REPUBLIC OF

CID002605

RMI

Conformant

Gold

Kundan Care Products Ltd.

INDIA

CID003463

RMI

Known

Gold

Kyrgyzaltyn JSC

KYRGYZSTAN

CID001029

RMI

Conformant

Gold

Kyshtym Copper-Electrolytic Plant ZAO

RUSSIAN FEDERATION

CID002865

RMI

Known

Gold

L’azurde Company For Jewelry

SAUDI ARABIA

CID001032

RMI

Known

Gold

Lingbao Gold Co., Ltd.

CHINA

CID001056

RMI

Known

Gold

Lingbao Jinyuan Tonghui Refinery Co., Ltd.

CHINA

CID001058

RMI

Known

Gold

L’Orfebre S.A.

ANDORRA

CID002762

RMI

Conformant

Gold

LS-NIKKO Copper Inc.

KOREA, REPUBLIC OF

CID001078

RMI

Conformant

Gold

LT Metal Ltd.

KOREA, REPUBLIC OF

CID000689

RMI

Conformant

Gold

Luoyang Zijin Yinhui Gold Refinery Co., Ltd.

CHINA

CID001093

RMI

Known

Gold

Marsam Metals

BRAZIL

CID002606

RMI

Conformant

Gold

Materion

UNITED STATES OF AMERICA

CID001113

RMI

Conformant

Gold

Matsuda Sangyo Co., Ltd.

JAPAN

CID001119

RMI

Conformant

Gold

MD Overseas

INDIA

CID003548

RMI

Known

Gold

Metal Concentrators SA (Pty) Ltd.

SOUTH AFRICA

CID003575

RMI

Conformant

Gold

Metallix Refining Inc.

UNITED STATES OF AMERICA

CID003557

RMI

Active

Gold

Metalor Technologies (Hong Kong) Ltd.

CHINA

CID001149

RMI

Conformant

Gold

Metalor Technologies (Singapore) Pte., Ltd.

SINGAPORE

CID001152

RMI

Conformant

Metal

Smelter Reference List

Smelter Name

Smelter Country

Smelter

Identification

Source of
Smelter
Identification
Number

Smelter

Status

Gold

Metalor Technologies (Suzhou) Ltd.

CHINA

CID001147

RMI

Conformant

Gold

Metalor Technologies S.A.

SWITZERLAND

CID001153

RMI

Conformant

Gold

Metalor USA Refining Corporation

UNITED STATES OF AMERICA

CID001157

RMI

Conformant

Gold

Metalurgica Met-Mex Penoles S.A. De C.V.

MEXICO

CID001161

RMI

Conformant

Gold

Mitsubishi Materials Corporation

JAPAN

CID001188

RMI

Conformant

Gold

Mitsui Mining and Smelting Co., Ltd.

JAPAN

CID001193

RMI

Conformant

Gold

MMTC-PAMP India Pvt., Ltd.

INDIA

CID002509

RMI

Conformant

Gold

Modeltech Sdn Bhd

MALAYSIA

CID002857

RMI

Known

Gold

Morris and Watson

NEW ZEALAND

CID002282

RMI

Known

Gold

Moscow Special Alloys Processing Plant

RUSSIAN FEDERATION

CID001204

RMI

Conformant

Gold

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

TURKEY

CID001220

RMI

Conformant

Gold

Navoi Mining and Metallurgical Combinat

UZBEKISTAN

CID001236

RMI

Conformant

Gold

NH Recytech Company

KOREA, REPUBLIC OF

CID003189

RMI

Known

Gold

Nihon Material Co., Ltd.

JAPAN

CID001259

RMI

Conformant

Gold

Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH

AUSTRIA

CID002779

RMI

Conformant

Gold

Ohura Precious Metal Industry Co., Ltd.

JAPAN

CID001325

RMI

Conformant

Gold

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

RUSSIAN FEDERATION

CID001326

RMI

Conformant

Gold

PAMP S.A.

SWITZERLAND

CID001352

RMI

Conformant

Gold

Pease & Curren

UNITED STATES OF AMERICA

CID002872

RMI

Known

Gold

Penglai Penggang Gold Industry Co., Ltd.

CHINA

CID001362

RMI

Known

Gold

Planta Recuperadora de Metales SpA

CHILE

CID002919

RMI

Conformant

Metal

Smelter Reference List

Smelter Name

Smelter Country

Smelter

Identification

Source of
Smelter
Identification
Number

Smelter

Status

Gold

Prioksky Plant of Non-Ferrous Metals

RUSSIAN FEDERATION

CID001386

RMI

Conformant

Gold

PT Aneka Tambang (Persero) Tbk

INDONESIA

CID001397

RMI

Conformant

Gold

PX Precinox S.A.

SWITZERLAND

CID001498

RMI

Conformant

Gold

QG Refining, LLC

UNITED STATES OF AMERICA

CID003324

RMI

Known

Gold

Rand Refinery (Pty) Ltd.

SOUTH AFRICA

CID001512

RMI

Conformant

Gold

Refinery of Seemine Gold Co., Ltd.

CHINA

CID000522

RMI

Known

Gold

REMONDIS PMR B.V.

NETHERLANDS

CID002582

RMI

Conformant

Gold

Royal Canadian Mint

CANADA

CID001534

RMI

Conformant

Gold

SAAMP

FRANCE

CID002761

RMI

Conformant

Gold

Sabin Metal Corp.

UNITED STATES OF AMERICA

CID001546

RMI

Known

Gold

Safimet S.p.A

ITALY

CID002973

RMI

Conformant

Gold

SAFINA A.S.

CZECHIA

CID002290

RMI

Conformant

Gold

Sai Refinery

INDIA

CID002853

RMI

Known

Gold

Samduck Precious Metals

KOREA, REPUBLIC OF

CID001555

RMI

Conformant

Gold

Samwon Metals Corp.

SAMWON METALS Corp.

KOREA, REPUBLIC OF

CID001562

RMI

Known

Gold

Sancus ZFS (L’Orfebre, SA)

COLOMBIA

CID003529

RMI

Known

Gold

SAXONIA Edelmetalle GmbH

GERMANY

CID002777

RMI

Conformant

Gold

Sellem Industries Ltd.

MAURITANIA

CID003540

RMI

Known

Gold

SEMPSA Joyeria Plateria S.A.

SPAIN

CID001585

RMI

Conformant

Gold

Shandong Gold Smelting Co., Ltd.

The Refinery of Shandong Gold Mining Co., Ltd.

CHINA

CID001916

RMI

Conformant

Gold

Shandong Humon Smelting Co., Ltd.

CHINA

CID002525

RMI

Known

Gold

Shandong Tiancheng Biological Gold Industrial Co., Ltd.

CHINA

CID001619

RMI

Known

Gold

Shandong Zhaojin Gold & Silver Refinery Co., Ltd.

CHINA

CID001622

RMI

Conformant

Gold

Shenzhen Zhonghenglong Real Industry Co., Ltd.

CHINA

CID002527

RMI

Known

Gold

Shirpur Gold Refinery Ltd.

INDIA

CID002588

RMI

Known

Metal

Smelter Reference List

Smelter Name

Smelter Country

Smelter

Identification

Source of
Smelter
Identification
Number

Smelter

Status

Gold

Sichuan Tianze Precious Metals Co., Ltd.

CHINA

CID001736

RMI

Conformant

Gold

Singway Technology Co., Ltd.

TAIWAN, PROVINCE OF CHINA

CID002516

RMI

Conformant

Gold

SOE Shyolkovsky Factory of Secondary Precious Metals

RUSSIAN FEDERATION

CID001756

RMI

Conformant

Gold

Solar Applied Materials Technology Corp.

TAIWAN, PROVINCE OF CHINA

CID001761

RMI

Conformant

Gold

Sovereign Metals

INDIA

CID003383

RMI

Known

Gold

State Research Institute Center for Physical Sciences and Technology

LITHUANIA

CID003153

RMI

Known

Gold

Sudan Gold Refinery

SUDAN

CID002567

RMI

Known

Gold

Sumitomo Metal Mining Co., Ltd.

JAPAN

CID001798

RMI

Conformant

Gold

SungEel HiMetal Co., Ltd.

KOREA, REPUBLIC OF

CID002918

RMI

Conformant

Gold

T.C.A S.p.A

ITALY

CID002580

RMI

Conformant

Gold

Tanaka Kikinzoku Kogyo K.K.

JAPAN

CID001875

RMI

Conformant

Gold

Tokuriki Honten Co., Ltd.

JAPAN

CID001938

RMI

Conformant

Gold

Tongling Nonferrous Metals Group Co., Ltd.

CHINA

CID001947

RMI

Known

Gold

TOO Tau-Ken-Altyn

KAZAKHSTAN

CID002615

RMI

Conformant

Gold

Torecom

KOREA, REPUBLIC OF

CID001955

RMI

Conformant

Gold

TSK Pretech

DS PRETECH Co., Ltd.

KOREA, REPUBLIC OF

CID003195

RMI

Conformant

Gold

Umicore Precious Metals Thailand

THAILAND

CID002314

RMI

Conformant

Gold

Umicore S.A. Business Unit Precious Metals Refining

BELGIUM

CID001980

RMI

Conformant

Gold

United Precious Metal Refining, Inc.

UNITED STATES OF AMERICA

CID001993

RMI

Conformant

Gold

Valcambi S.A.

SWITZERLAND

CID002003

RMI

Conformant

Gold

Value Trading

BELGIUM

CID003617

RMI

Known

Gold

Western Australian Mint (T/a The Perth Mint)

AUSTRALIA

CID002030

RMI

Conformant

Gold

WIELAND Edelmetalle GmbH

GERMANY

CID002778

RMI

Conformant

Gold

Yamakin Co., Ltd.

JAPAN

CID002100

RMI

Conformant

Metal

Smelter Reference List

Smelter Name

Smelter Country

Smelter

Identification

Source of
Smelter
Identification
Number

Smelter

Status

Gold

Yokohama Metal Co., Ltd.

JAPAN

CID002129

RMI

Conformant

Gold

Yunnan Copper Industry Co., Ltd.

CHINA

CID000197

RMI

Known

Gold

Zhongyuan Gold Smelter of Zhongjin Gold Corporation

CHINA

CID002224

RMI

Conformant

Tantalum

Asaka Riken Co., Ltd.

JAPAN

CID000092

RMI

Conformant

Tantalum

Changsha South Tantalum Niobium Co., Ltd.

CHINA

CID000211

RMI

Conformant

Tantalum

D Block Metals, LLC

UNITED STATES OF AMERICA

CID002504

RMI

Conformant

Tantalum

Exotech Inc.

UNITED STATES OF AMERICA

CID000456

RMI

Conformant

Tantalum

F&X Electro-Materials Ltd.

CHINA

CID000460

RMI

Conformant

Tantalum

FIR Metals & Resource Ltd.

CHINA

CID002505

RMI

Conformant

Tantalum

Global Advanced Metals Aizu

JAPAN

CID002558

RMI

Conformant

Tantalum

Global Advanced Metals Boyertown

UNITED STATES OF AMERICA

CID002557

RMI

Conformant

Tantalum

H.C. Starck Hermsdorf GmbH

GERMANY

CID002547

RMI

Conformant

Tantalum

H.C. Starck Inc.

UNITED STATES OF AMERICA

CID002548

RMI

Conformant

Tantalum

Hengyang King Xing Lifeng New Materials Co., Ltd.

CHINA

CID002492

RMI

Conformant

Tantalum

Jiangxi Dinghai Tantalum & Niobium Co., Ltd.

CHINA

CID002512

RMI

Conformant

Tantalum

Jiangxi Tuohong New Raw Material

CHINA

CID002842

RMI

Conformant

Tantalum

JiuJiang JinXin Nonferrous Metals Co., Ltd.

CHINA

CID000914

RMI

Conformant

Tantalum

Jiujiang Tanbre Co., Ltd.

CHINA

CID000917

RMI

Conformant

Tantalum

Jiujiang Zhongao Tantalum & Niobium Co., Ltd.

CHINA

CID002506

RMI

Conformant

Tantalum

KEMET de Mexico

KEMET Blue Metals

MEXICO

CID002539

RMI

Conformant

Tantalum

LSM Brasil S.A.

BRAZIL

CID001076

RMI

Conformant

Tantalum

Meta Materials

NORTH MACEDONIA, REPUBLIC OF

CID002847

RMI

Conformant

Tantalum

Metallurgical Products India Pvt., Ltd.

INDIA

CID001163

RMI

Conformant

Tantalum

Mineracao Taboca S.A.

BRAZIL

CID001175

RMI

Conformant

Metal

Smelter Reference List

Smelter Name

Smelter Country

Smelter

Identification

Source of
Smelter
Identification
Number

Smelter

Status

Tantalum

Mitsui Mining and Smelting Co., Ltd.

JAPAN

CID001192

RMI

Conformant

Tantalum

Ningxia Orient Tantalum Industry Co., Ltd.

CHINA

CID001277

RMI

Conformant

Tantalum

NPM Silmet AS

ESTONIA

CID001200

RMI

Conformant

Tantalum

QuantumClean

UNITED STATES OF AMERICA

CID001508

RMI

Conformant

Tantalum

Resind Industria e Comercio Ltda.

BRAZIL

CID002707

RMI

Conformant

Tantalum

Solikamsk Magnesium Works OAO

RUSSIAN FEDERATION

CID001769

RMI

Conformant

Tantalum

Taki Chemical Co., Ltd.

JAPAN

CID001869

RMI

Conformant

Tantalum

TANIOBIS Co., Ltd.

THAILAND

CID002544

RMI

Conformant

Tantalum

TANIOBIS GmbH

GERMANY

CID002545

RMI

Conformant

Tantalum

TANIOBIS Japan Co., Ltd.

JAPAN

CID002549

RMI

Conformant

Tantalum

TANIOBIS Smelting GmbH & Co. KG

GERMANY

CID002550

RMI

Conformant

Tantalum

Telex Metals

UNITED STATES OF AMERICA

CID001891

RMI

Conformant

Tantalum

Ulba Metallurgical Plant JSC

KAZAKHSTAN

CID001969

RMI

Conformant

Tantalum

XIMEI RESOURCES (GUANGDONG) LIMITED

Guangdong Zhiyuan New Material Co., Ltd.

CHINA

CID000616

RMI

Conformant

Tantalum

XinXing HaoRong Electronic Material Co., Ltd.

XinXing Haorong Electronic Material Co., Ltd.

CHINA

CID002508

RMI

Conformant

Tantalum

Yanling Jincheng Tantalum & Niobium Co., Ltd.

CHINA

CID001522

RMI

Conformant

Tin

Alpha

UNITED STATES OF AMERICA

CID000292

RMI

Conformant

Tin

An Vinh Joint Stock Mineral Processing Company

VIET NAM

CID002703

RMI

Known

Tin

Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.

CHINA

CID000228

RMI

Conformant

Tin

Chifeng Dajingzi Tin Industry Co., Ltd.

CHINA

CID003190

RMI

Conformant

Tin

China Tin Group Co., Ltd.

CHINA

CID001070

RMI

Conformant

Metal

Smelter Reference List

Smelter Name

Smelter Country

Smelter

Identification

Source of
Smelter
Identification
Number

Smelter

Status

Tin

CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda

BRAZIL

CID003486

RMI

Active

Tin

CRM Synergies

SPAIN

CID003524

RMI

Active

Tin

CV Ayi Jaya

INDONESIA

CID002570

RMI

Active

Tin

CV Venus Inti Perkasa

INDONESIA

CID002455

RMI

Active

Tin

Dongguan CiEXPO Environmental Engineering Co., Ltd.

CHINA

CID003356

RMI

Known

Tin

Dowa

JAPAN

CID000402

RMI

Conformant

Tin

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

VIET NAM

CID002572

RMI

Known

Tin

EM Vinto

BOLIVIA (PLURINATIONAL STATE OF)

CID000438

RMI

Conformant

Tin

Estanho de Rondonia S.A.

BRAZIL

CID000448

RMI

Active

Tin

Fenix Metals

POLAND

CID000468

RMI

Conformant

Tin

Gejiu City Fuxiang Industry and Trade Co., Ltd.

CHINA

CID003410

RMI

Known

Tin

Gejiu Fengming Metallurgy Chemical Plant

CHINA

CID002848

RMI

Conformant

Tin

Gejiu Kai Meng Industry and Trade LLC

CHINA

CID000942

RMI

Conformant

Tin

Gejiu Non-Ferrous Metal Processing Co., Ltd.

CHINA

CID000538

RMI

Conformant

Tin

Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.

CHINA

CID001908

RMI

Conformant

Tin

Gejiu Zili Mining And Metallurgy Co., Ltd.

CHINA

CID000555

RMI

Conformant

Tin

Guangdong Hanhe Non-Ferrous Metal Co., Ltd.

CHINA

CID003116

RMI

Conformant

Tin

HuiChang Hill Tin Industry Co., Ltd.

CHINA

CID002844

RMI

Conformant

Tin

Jiangxi New Nanshan Technology Ltd.

CHINA

CID001231

RMI

Conformant

Tin

Luna Smelter, Ltd.

RWANDA

CID003387

RMI

Conformant

Tin

Ma’anshan Weitai Tin Co., Ltd.

CHINA

CID003379

RMI

Conformant

Tin

Magnu’s Minerais Metais e Ligas Ltda.

BRAZIL

CID002468

RMI

Conformant

Metal

Smelter Reference List

Smelter Name

Smelter Country

Smelter

Identification

Source of
Smelter
Identification
Number

Smelter

Status

Tin

Malaysia Smelting Corporation (MSC)

MALAYSIA

CID001105

RMI

Conformant

Tin

Melt Metais e Ligas S.A.

BRAZIL

CID002500

RMI

Conformant

Tin

Metallic Resources, Inc.

UNITED STATES OF AMERICA

CID001142

RMI

Conformant

Tin

Metallo Belgium N.V.

BELGIUM

CID002773

RMI

Conformant

Tin

Metallo Spain S.L.U.

SPAIN

CID002774

RMI

Conformant

Tin

Mineracao Taboca S.A.

BRAZIL

CID001173

RMI

Conformant

Tin

Minsur

PERU

CID001182

RMI

Conformant

Tin

Mitsubishi Materials Corporation

JAPAN

CID001191

RMI

Conformant

Tin

Modeltech Sdn Bhd

MALAYSIA

CID002858

RMI

Known

Tin

Nghe Tinh Non-Ferrous Metals Joint Stock Company

VIET NAM

CID002573

RMI

Known

Tin

Novosibirsk Processing Plant Ltd.

RUSSIAN FEDERATION

CID001305

RMI

Active

Tin

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

THAILAND

CID001314

RMI

Conformant

Tin

O.M. Manufacturing Philippines, Inc.

PHILIPPINES

CID002517

RMI

Conformant

Tin

Operaciones Metalurgicas S.A.

BOLIVIA (PLURINATIONAL STATE OF)

CID001337

RMI

Conformant

Tin

Pongpipat Company Limited

MYANMAR

CID003208

RMI

Known

Tin

Precious Minerals and Smelting Limited

INDIA

CID003409

RMI

Known

Tin

PT Aries Kencana Sejahtera

INDONESIA

CID000309

RMI

Active

Tin

PT Artha Cipta Langgeng

INDONESIA

CID001399

RMI

Conformant

Tin

PT ATD Makmur Mandiri Jaya

INDONESIA

CID002503

RMI

Conformant

Tin

PT Babel Surya Alam Lestari

INDONESIA

CID001406

RMI

Conformant

Tin

PT Bangka Serumpun

INDONESIA

CID003205

RMI

Conformant

Tin

PT Lautan Harmonis Sejahtera

INDONESIA

CID002870

RMI

Active

Tin

PT Menara Cipta Mulia

INDONESIA

CID002835

RMI

Conformant

Tin

PT Mitra Stania Prima

INDONESIA

CID001453

RMI

Conformant

Metal

Smelter Reference List

Smelter Name

Smelter Country

Smelter

Identification

Source of
Smelter
Identification
Number

Smelter

Status

Tin

PT Mitra Sukses Globalindo

INDONESIA

CID003449

RMI

Known

Tin

PT Prima Timah Utama

INDONESIA

CID001458

RMI

Conformant

Tin

PT Rajawali Rimba Perkasa

INDONESIA

CID003381

RMI

Conformant

Tin

PT Rajehan Ariq

INDONESIA

CID002593

RMI

Conformant

Tin

PT Refined Bangka Tin

INDONESIA

CID001460

RMI

Conformant

Tin

PT Stanindo Inti Perkasa

INDONESIA

CID001468

RMI

Conformant

Tin

PT Timah Nusantara

INDONESIA

CID001486

RMI

Active

Tin

PT Timah Tbk Kundur

INDONESIA

CID001477

RMI

Conformant

Tin

PT Timah Tbk Mentok

INDONESIA

CID001482

RMI

Conformant

Tin

PT Tinindo Inter Nusa

INDONESIA

CID001490

RMI

Conformant

Tin

Resind Industria e Comercio Ltda.

BRAZIL

CID002706

RMI

Conformant

Tin

Rui Da Hung

TAIWAN, PROVINCE OF CHINA

CID001539

RMI

Conformant

Tin

Soft Metais Ltda.

BRAZIL

CID001758

RMI

Conformant

Tin

Super Ligas

BRAZIL

CID002756

RMI

Active

Tin

Thai Nguyen Mining and Metallurgy Co., Ltd.

VIET NAM

CID002834

RMI

Conformant

Tin

Thaisarco

THAILAND

CID001898

RMI

Conformant

Tin

Tin Technology & Refining

UNITED STATES OF AMERICA

CID003325

RMI

Conformant

Tin

Tuyen Quang Non-Ferrous Metals Joint Stock Company

VIET NAM

CID002574

RMI

Known

Tin

VQB Mineral and Trading Group JSC

VIET NAM

CID002015

RMI

Known

Tin

White Solder Metalurgia e Mineracao Ltda.

BRAZIL

CID002036

RMI

Conformant

Tin

Yunnan Chengfeng Non-ferrous Metals Co., Ltd.

CHINA

CID002158

RMI

Conformant

Tin

Yunnan Tin Company Limited

CHINA

CID002180

RMI

Conformant

Tin

Yunnan Yunfan Non-ferrous Metals Co., Ltd.

CHINA

CID003397

RMI

Conformant

Tungsten

A.L.M.T. Corp.

A.L.M.T. TUNGSTEN Corp.

JAPAN

CID000004

RMI

Conformant

Tungsten

ACL Metais Eireli

BRAZIL

CID002833

RMI

Conformant

Metal

Smelter Reference List

Smelter Name

Smelter Country

Smelter

Identification

Source of
Smelter
Identification
Number

Smelter

Status

Tungsten

Albasteel Industria e Comercio de Ligas Para Fundicao Ltd.

BRAZIL

CID003427

RMI

Active

Tungsten

Artek LLC

RUSSIAN FEDERATION

CID003553

RMI

Active

Tungsten

Asia Tungsten Products Vietnam Ltd.

VIET NAM

CID002502

RMI

Conformant

Tungsten

Chenzhou Diamond Tungsten Products Co., Ltd.

CHINA

CID002513

RMI

Conformant

Tungsten

China Molybdenum Tungsten Co., Ltd.

China Molybdenum Co., Ltd.

CHINA

CID002641

RMI

Conformant

Tungsten

Chongyi Zhangyuan Tungsten Co., Ltd.

CHINA

CID000258

RMI

Conformant

Tungsten

CNMC (Guangxi) PGMA Co., Ltd.

CHINA

CID000281

RMI

Known

Tungsten

Cronimet Brasil Ltda

BRAZIL

CID003468

RMI

Active

Tungsten

Fujian Ganmin RareMetal Co., Ltd.

CHINA

CID003401

RMI

Conformant

Tungsten

Ganzhou Haichuang Tungsten Co., Ltd.

CHINA

CID002645

RMI

Conformant

Tungsten

Ganzhou Huaxing Tungsten Products Co., Ltd.

CHINA

CID000875

RMI

Conformant

Tungsten

Ganzhou Jiangwu Ferrotungsten Co., Ltd.

CHINA

CID002315

RMI

Conformant

Tungsten

Ganzhou Seadragon W & Mo Co., Ltd.

CHINA

CID002494

RMI

Conformant

Tungsten

GEM Co., Ltd.

CHINA

CID003417

RMI

Active

Tungsten

Global Tungsten & Powders Corp.

UNITED STATES OF AMERICA

CID000568

RMI

Conformant

Tungsten

Guangdong Xianglu Tungsten Co., Ltd.

CHINA

CID000218

RMI

Conformant

Tungsten

H.C. Starck Tungsten GmbH

GERMANY

CID002541

RMI

Conformant

Tungsten

Hunan Chenzhou Mining Co., Ltd.

CHINA

CID000766

RMI

Conformant

Tungsten

Hunan Chunchang Nonferrous Metals Co., Ltd.

CHINA

CID000769

RMI

Conformant

Tungsten

Hunan Litian Tungsten Industry Co., Ltd.

CHINA

CID003182

RMI

Conformant

Tungsten

Hydrometallurg, JSC

RUSSIAN FEDERATION

CID002649

RMI

Conformant

Tungsten

Japan New Metals Co., Ltd.

JAPAN

CID000825

RMI

Conformant

Metal

Smelter Reference List

Smelter Name

Smelter Country

Smelter

Identification

Source of
Smelter
Identification
Number

Smelter

Status

Tungsten

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

CHINA

CID002551

RMI

Conformant

Tungsten

Jiangxi Gan Bei Tungsten Co., Ltd.

CHINA

CID002321

RMI

Conformant

Tungsten

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

CHINA

CID002313

RMI

Known

Tungsten

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

CHINA

CID002318

RMI

Conformant

Tungsten

Jiangxi Xinsheng Tungsten Industry Co., Ltd.

CHINA

CID002317

RMI

Conformant

Tungsten

Jiangxi Yaosheng Tungsten Co., Ltd.

CHINA

CID002316

RMI

Conformant

Tungsten

JSC “Kirovgrad Hard Alloys Plant”

RUSSIAN FEDERATION

CID003408

RMI

Active

Tungsten

Kennametal Fallon

UNITED STATES OF AMERICA

CID000966

RMI

Conformant

Tungsten

Kennametal Huntsville

UNITED STATES OF AMERICA

CID000105

RMI

Conformant

Tungsten

KGETS Co., Ltd.

KGETS CO., LTD.

KOREA, REPUBLIC OF

CID003388

RMI

Conformant

Tungsten

Lianyou Metals Co., Ltd.

TAIWAN, PROVINCE OF CHINA

CID003407

RMI

Conformant

Tungsten

Malipo Haiyu Tungsten Co., Ltd.

CHINA

CID002319

RMI

Conformant

Tungsten

Masan High-Tech Materials

Masan Tungsten Chemical LLC (MTC)

VIET NAM

CID002543

RMI

Conformant

Tungsten

Moliren Ltd.

RUSSIAN FEDERATION

CID002845

RMI

Conformant

Tungsten

Niagara Refining LLC

UNITED STATES OF AMERICA

CID002589

RMI

Conformant

Tungsten

NPP Tyazhmetprom LLC

RUSSIAN FEDERATION

CID003416

RMI

Active

Tungsten

Philippine Chuangxin Industrial Co., Inc.

PHILIPPINES

CID002827

RMI

Conformant

Tungsten

TANIOBIS Smelting GmbH & Co. KG

GERMANY

CID002542

RMI

Conformant

Tungsten

Unecha Refractory metals plant

Unecha Refractory Metals Plant

RUSSIAN FEDERATION

CID002724

RMI

Conformant

Tungsten

Wolfram Bergbau und Hutten AG

AUSTRIA

CID002044

RMI

Conformant

Tungsten

Woltech Korea Co., Ltd.

KOREA, REPUBLIC OF

CID002843

RMI

Conformant

Tungsten

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

CHINA

CID002320

RMI

Conformant

Tungsten

Xiamen Tungsten Co., Ltd.

CHINA

CID002082

RMI

Conformant

Tungsten

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

CHINA

CID002830

RMI

Conformant

MKS Instruments (MKSI) SDConflict minerals disclosure