Exhibit 1.01
KLA-Tencor Corporation
Conflict Minerals Report for the
Reporting Period from January 1, 2018 to December 31, 2018
Introduction
This Conflict Minerals Report for KLA-Tencor Corporation (“KLA”, “Company”, “we,” or “our”) for the reporting period from January 1, 2018 to December 31, 2018 is presented to comply with Rule 13p-1 under the Securities Exchange Act of 1934 (the “Rule”). The Rule was adopted by the Securities and Exchange Commission (the “SEC”) to implement reporting and disclosure requirements related to conflict minerals (as that term is defined below) as directed by the Dodd-Frank Wall Street Reform and Consumer Protection Act. The Rule imposes certain reporting obligations on each U.S. publicly traded company whose manufactured products contain columbite-tantalite, cassiterite, wolframite (or their derivatives tantalum, tin and tungsten, respectively), or gold (collectively referred to as “conflict minerals,” regardless of their geographic origin and whether or not they fund armed conflict in the Democratic Republic of Congo or adjoining countries (collectively, the “Covered Countries”)) that are necessary to the functionality or production of the company’s products. In summary, the Rule requires each of these U.S. publicly traded companies to conduct a reasonable inquiry with respect to the sourcing of the conflict minerals that such company uses in its products and file a description of the inquiry performed and the results of such inquiry. If a company determines or has reason to believe that these conflict minerals may have originated or did originate from the Covered Countries, and were not or may not be derived from scrap or recycled sources, the Rule requires such company to exercise due diligence on the source and chain of custody of the conflict minerals, including making an effort to determine whether trade in these minerals directly or indirectly finances or benefits armed groups in the Covered Countries, and to provide a Conflict Minerals Report as an exhibit to its Form SD.
KLA is committed to complying with the Rule. KLA does not have a direct relationship with conflict minerals smelters or refiners. Accordingly, with respect to the classification and certification of smelters and refiners, we have relied upon the activities, conclusions and reporting from the RMI Responsible Business Alliance Responsible Minerals Initiative (“RMI”) and Responsible Minerals Assurance Process (“RMAP”).
Company Business and Products for 2018
KLA is engaged primarily in the design, manufacture and marketing of process control and yield management solutions for the semiconductor and related nanoelectronics industries. We provide advanced process control solutions for manufacturing; wafers and reticles, integrated circuits, packaging, light emitting diodes (“LED”), power devices, compound semiconductor devices, microelectromechanical systems, data storage products, and general materials research.
Wafer Inspection Systems
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| • | 39xx Series (super resolution broadband plasma optical patterned wafer defect inspection systems) |
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| • | 29xx Series (broadband plasma optical patterned wafer defect inspection systems) |
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| • | Voyager™ 1015 (laser scanning patterned wafer defect inspection system) |
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| • | Puma™ Series (laser scanning patterned wafer defect inspection systems) |
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| • | 8 Series (high productivity defect inspection systems) |
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| • | CIRCL™ (all-surface patterned wafer defect inspection, metrology and review cluster systems) |
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| • | Surfscan® SPx Series (unpatterned wafer defect inspection systems) |
Defect Review and Classification Systems
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| • | eDR7280™ (electron-beam wafer defect review and classification system) |
Reticle Inspection Systems
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| • | Teron™ SL6xx Series (reticle defect inspection systems for IC fab applications) |
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| • | Teron™ 6xx Series (reticle defect inspection systems for mask shop applications) |
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| • | FlashScan® Series (reticle blank defect inspection systems) |
Metrology Systems
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| • | LMS IPRO Series (reticle pattern registration metrology systems) |
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| • | ATL™ Series (scatterometry-based overlay metrology systems) |
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| • | Archer™ Series (imaging-based overlay metrology systems) |
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| • | WaferSight™ Series (bare wafer geometry and nanotopography metrology systems) |
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| • | PWG™ Series (patterned wafer geometry and nanotopography metrology systems) |
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| • | SpectraShape™ Series (optical critical dimension (CD) and shape metrology systems) |
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| • | SpectraFilm™ Series (film metrology systems) |
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| • | Aleris® Series (film metrology systems) |
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| • | Therma-Probe® Series (ion implant metrology systems) |
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| • | OmniMap® RS-200 (sheet resistance mapping system) |
In-situ Process Monitoring
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| • | SensArray® products (wireless and wired sensor wafers and reticles that capture the effect of the process environment on production wafers) |
Advanced Packaging Inspection and Metrology Systems
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| • | CIRCL™-AP (all-surface wafer defect inspection, metrology and review cluster systems) |
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| • | Kronos™ 1080 (high productivity patterned wafer inspection system) |
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| • | ICOS® F160 (die sorting and inspection system) |
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| • | ICOS® T890 (packaged IC inspection and metrology system) |
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| • | ICOS® T3/T7 Series (packaged IC inspection and metrology systems) |
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| • | MV9xxx™ Series (packaged IC inspection and metrology systems) |
LED, Power Device, Compound Semiconductor and MEMS Manufacturing
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| • | 8 Series (high productivity patterned wafer inspection systems) |
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| • | Candela® 8720 (substrate and epi wafer inspection) |
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| • | Candela® CS920 (power device inspection system for SiC substrates and epi layers) |
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| • | Candela® CS20 (inspection system for HBLED and RF devices etc.) |
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| • | WI-2280 (multi-substrate defect inspection and metrology system) |
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| • | ZetaScan Series (defect inspection for large and irregularly shaped substrates) |
Data Storage Media/Head Manufacturing
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| • | Candela® 71xx / 63xx (metrology and inspection for substrate and media) |
Surface Metrology
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| • | HRP® Series (stylus profilers) |
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| • | P-Series (stylus profilers) |
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| • | Alpha-Step® Series (stylus profilers) |
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| • | MicroXAM Series (optical profilers) |
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| • | Zeta Series (optical profilers) |
Metals included in the definition of “conflict minerals” are generally used throughout electronic components for purposes necessary to their functionality. Therefore, we believe that KLA products contain conflict minerals that are necessary to the products’ functionality.
Reasonable Country of Origin Inquiry
We conducted a reasonable country of origin inquiry on the conflict minerals that are necessary to the functionality or production of our products that we manufactured, or contracted to manufacture, during the reporting period.
We have worked with certain third-party service providers to contact the suppliers of components that potentially contain conflict minerals. We made reasonable efforts to determine the country of origin of the necessary conflict minerals used in the components these suppliers supplied to us for use in the products that we manufactured, or contracted to manufacture, during the reporting period. We have required these suppliers to provide conflict minerals use and sourcing information in the form of the RMI Conflict Minerals Reporting Template (the “Template”). Some suppliers provided responses with information for their company as a whole rather than the specific components that we purchase from them (referred to as the “declaration scope” within the Template). In those instances, the exact mapping of a supplier’s sourcing statements to our specific components was less certain. For example, if a supplier that manufactured many different components had produced only one component that contained necessary conflict minerals that were not found to be conflict-free, this would tend to also be the supplier’s conclusion at their company level, even if the vast majority of their other products were otherwise conflict-free.
Pursuant to the Rule, we undertook due diligence on the source and chain of custody of the necessary conflict minerals in our products that we had reason to believe, based on our suppliers’ responses, may have originated from the Covered Countries and may not have come from scrap or recycled sources.
Design of Conflict Minerals Program
We designed our conflict minerals program to be in conformance 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 Third Edition and related Supplements on Tin, Tantalum and Tungsten and on Gold (collectively, the “OECD Guidance”). Summarized below are the design components of our conflict minerals program as they relate to the five-step framework set forth in the OECD Guidance.
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| 1. | Establish strong company management systems: |
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| a. | Publicly communicate our conflict minerals sourcing policy on our corporate website. Please see Section D of our Supply Chain Product Regulatory Compliance page at https://www.kla-tencor.com/company#regulatorycompliance. The content of any website referred to in this Conflict Minerals Report is included for general information only and is not incorporated by reference in this Conflict Minerals Report or in KLA’s Specialized Disclosure Report on Form SD. |
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| b. | Operate an internal management conflict minerals team led by our Corporate Procurement organization and supported by a cross-departmental team consisting of representatives of a number of internal groups, including Corporate Product Regulatory Compliance, Finance, Legal, Information Technology and Global Operations, as well as third-party service providers. |
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| c. | Hold regular meetings of our internal conflict minerals team and provide summaries of the status of the conflict minerals program to the Chief Financial Officer, Chief Accounting Officer, Chief Legal Officer, Senior Vice President of Global Operations and Head of Procurement (“Senior Management”). |
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| d. | Establish a system of controls and transparency over the mineral supply chain through the use of a third-party system and use recognized due diligence tools created by the RMI in the evaluation of supplier responses regarding smelters and refiners of necessary conflict minerals that may be used in our products. |
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| e. | Incorporate supply chain regulatory compliance requirements into our standard template for supplier contracts so that suppliers comply with our policy on conflict minerals. |
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| f. | Retain records in accordance with our internal record retention policy. |
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| g. | Establish a hotline and website for use by employees, as well as third parties such as suppliers and customers, to report actual or suspected wrongdoing or other grievances and answer questions about business conduct, including reports or questions regarding our use of conflict minerals. The hotline and website are both operated by an independent third party, which provides tools to enable individuals to submit reports in a number of different languages and, where permitted by law, on an anonymous basis. |
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| 2. | Identify and assess risks in our supply chain: |
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| a. | Identify the suppliers that provide components that potentially incorporate conflict minerals that are necessary to the functionality or production of our products that we manufactured, or contracted to manufacture. |
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| b. | Contact the suppliers of components that potentially contain conflict minerals and use the Template to capture the suppliers’ responses. |
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| c. | Use reasonable efforts to determine the country of origin of the necessary conflict minerals used in the components our suppliers provided to us that are incorporated into the products that we manufactured, or contracted to manufacture, during the reporting period. |
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| d. | Contact the suppliers that did not respond to the Template request and request their responses. |
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| e. | Conduct due diligence on the source and chain of custody of the necessary conflict minerals in our products that we had reason to believe may have originated from the Covered Countries and may not have come from scrap or recycled sources. Compare responses provided against the list of smelters and refiners that have received a “compliant” designation from the RMAP. Document the country of origin information for the smelters and refiners identified by the supply chain responses using RMI data. |
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| 3. | Design and Implement a strategy to respond to identified risks: |
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| a. | Verify smelters and refiners identified in response to the Template against the RMI list provided as part of our membership in the RMI. |
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| b. | Report our findings to our internal management conflict minerals team, outlining the information gathered and the actual and potential identified risks and any required action plans. The action plans will vary depending on the results of our due diligence efforts and the risks identified in any particular year. |
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| c. | Implement required action plans and report results to Senior Management. |
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| 4. | Independent third party audits of smelters and refiners sourcing: |
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| a. | Participate in the RMI and rely upon the results reported by RMI regarding audits of smelters and refiners. |
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| b. | Provide to RMI the smelters and refiners identified by our suppliers that are not on the RMI list. |
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| 5. | Report on supply chain due diligence: |
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| a. | Report to the SEC annually our supply chain due diligence on a Form SD and conflict minerals report. |
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| b. | Publicly communicate our Form SD and conflict minerals report on our website at http://ir.kla-tencor.com/financial-information/sec-filings. |
Due Diligence Performed
Our due diligence process consists of the systematic review and analysis of the responses that were provided to us by our suppliers, as well as communication and follow-up with our suppliers based on the results of our review, in an effort to identify the source and chain of custody of the conflict minerals necessary to our products. We initially screened supplier survey responses for completeness, accuracy and internal consistency. Where suppliers provided information that was incomplete or appeared incorrect, we sought additional data from such suppliers to clarify or correct the originally provided information. We compared the information provided by the suppliers’ responses to the Template against our applicable internal component descriptions to confirm consistency between the various data sources regarding the presence of conflict minerals. In the case of conflict minerals that may have originated in the Covered Countries, we reviewed the data contained in the applicable responses to the Template against RMI data to make a determination about the country of origin of the conflict minerals or about the related smelters and refiners. We used the RMI information to identify legitimate smelters and refiners and smelters and refiners that were either compliant to, or active in, or in communication with the RMAP. We reported our findings to our internal management conflict minerals team in monthly management review meetings outlining the information gathered and the actual and potential identified risks and any required action plans and actions taken against those plans.
Facilities Used to Process Necessary Conflict Minerals
Appendix A is a list of the entities that were identified by our suppliers as the smelters or refiners that process the necessary conflict minerals in the suppliers’ products that either (a) are compliant with the RMI RMAP assessment (Section 1 of Appendix A) or (b) have been verified by RMI as smelters or refiners that are active in or are in communication with or require outreach to participate in the RMAP process assessment (Section 2 of Appendix A).
Since some of the declarations we received from our suppliers were at a company level (and not a component-specific level), we do not know with certainty that each smelter listed on Appendix A actually processed conflict minerals that were used in components we purchased. We also received responses from suppliers listing smelters or refiners that have not yet been verified as smelters or refiners by RMI. Additionally, we received responses that indicated that some conflict minerals were obtained from scrap or recycled sources.
Country of Origin of the Necessary Conflict Minerals
We compared the facilities used to process the necessary conflict minerals as identified by our suppliers against the country of origin information provided by the RMI for RMAP-compliant smelters and refiners and determined we have reason to believe that some of our necessary conflict minerals may have originated in the Covered Countries. The countries of origin of the necessary conflict minerals that may be in our products and are listed in the RMI for RMAP-compliant smelters and refiners may include Argentina, Armenia, Armenia, Australia, Austria, Azerbaijan, Bahamas, Barbados, Belarus, Belgium, Benin, Bolivia, Bolivia (Plurinational State of), Bosnia and Herzegovina, Botswana, Brazil, Bulgaria, Burkina Faso, Burundi, Cambodia, Cameroon, Canada, Caymen Islands, Chile, China, Colombia, Congo, Democratic Republic of the, Croatia, Curacao (Dutch Antilles), Cyprus, Czech Republic, Denmark, Dominican Republic, Ecuador, Egypt, El Salvador, Eritrea, Estonia, Ethiopia, Fiji, Finland, France, Gabon, Gambia, The, Georgia, Germany, Ghana, Greece, Guatemala, Guinea, Guyana, Honduras, Hong Kong, Hungary, Iceland, India, Indonesia, Iran, Ireland, Israel, Italy, Ivory Coast, Japan, Jordan, Kazakhstan , Kenya, Korea, Republic of, Kosovo, Kuwait, Kyrgyzstan, Laos, Latvia, Lebanon, Liberia, Libya, Liechtenstein, Lithuania, Luxembourg, Macau, Madagascar, Malaysia, Mali, Malta, Mauritania, Mauritius, Mexico, Mongolia, Morocco, Mozambique, Myanmar, Namibia, Netherlands, New Caledonia, New Zealand, Nicaragua, Niger, Nigeria, Norway, Pakistan, Panama, Papua New Guinea, Peru, Philippines, Philippines, Poland, Portugal, Puerto Rico, Romania, Russian Federation, Rwanda, San Marino, Saudi Arabia, Senegal, Serbia, Sierra Leone, Singapore, Slovakia, Slovenia, Solomon Islands, South Africa, Spain, Suriname, Swaziland, Sweden, Switzerland, Taiwan, Tajikistan, Tanzania, Thailand, Togo, Trinidad and Tobago, Tunisia, Turkey, Uganda, Ukraine, United Arab Emirates, United Kingdom of Great Britain and Northern Ireland, United States of America, Uruguay, Uzbekistan, Vatican City, Venezuela, Vietnam, Yemen, Zambia, Zimbabwe.
Risk Mitigation/Improvements
The activities described above were intended to examine and mitigate the risk that our necessary conflict minerals benefited armed groups in the Covered Countries.
We made improvements over the previous reporting period by (a) continuing our membership in the RMI to obtain updated details regarding mines utilized by smelters compliant or not compliant with the RMAP; (b) identifying a greater percentage of smelters and refiners over that obtained in previous reporting periods; and (c) improving target supplier response rates to the Template and (d) improving the identification of high risk smelters of concern, assessing the supplier relationship and encouraging the supplier to take appropriate actions to find alternate acceptable sources of supply.
Through our due diligence we have identified three smelters of concern regarding conflict minerals issues that were reported by certain suppliers.
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| • | African Gold Refinery - CID0023185 |
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| • | Fujairah Gold FZ - CID002584 |
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| • | Sudan Gold Refinery - CID002567 |
These three smelters were identified by our process as high risk smelters of concern due to not being listed as compliant by RMI and other factors such as their proximity to the Covered Countries, lack of a conflict minerals process and/or their alleged ties to human rights issues. In these cases, we have asked our suppliers to request that these smelters pursue certification with RMI or be removed from our supply chain. We do not source directly from these smelters of concern and because the conflict minerals information from many of these suppliers is presented as company-level responses (and not a component-specific level), it is uncertain that 3TG from these smelters are in our supply chain. Should these smelters decline to participate in an audit and our supplier refuses to remove these smelters from our supply chain, we will evaluate our relationship with that supplier and may explore alternatives.
We intend to take the following steps to further enhance our due diligence in future years: (a) investigate further details regarding mines utilized by smelters compliant with RMAP; (b) improve our review of non-verified smelters and refiners; (c) work with suppliers to improve the accuracy and completeness of their responses; and (d) drive the sourcing of conflict free components in our design and engineering programs.
Forward-Looking Statements: Statements in this Conflict Minerals Report other than historical facts, such as statements regarding our intentions to investigate further details regarding mines utilized by smelters compliant with RMAP, improve our review of non-verified smelter and refiner names, work with our suppliers to improve the accuracy and completeness of their responses; and drive the sourcing of conflict free components in our design and engineering programs, are forward-looking statements, and are subject to the Safe Harbor provisions created by the Private Securities Litigation Reform Act of 1995. These forward-looking statements are based on current information and expectations, and involve a number of risks and uncertainties. Actual results may differ materially from those projected in such statements due to various factors, including but not limited to: our ability to use alternate suppliers, the inaccuracy of the information reported to us by our direct suppliers or industry information used by us; and the risk that smelters or refiners may not participate in the RMAP and that smelters listed as compliant by the RMAP does not necessarily mean that they were compliant for the whole reporting period and that some compliant statuses may have expired and that those smelters may/may not be in the process of a re-audit. For other factors that may cause actual results to differ materially from those projected and anticipated in forward-looking statements in this Conflict Minerals Report, please refer to the Company’s Annual Report on Form 10-K for the year ended June 30, 2018, subsequently filed Quarterly Reports on Form 10-Q and other filings with the SEC (including, but not limited to, the risk factors described therein). The Company assumes no obligation to, and does not currently intend to, update these forward-looking statements, except as required by law.
Appendix A
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| Section 1. | Smelters or refiners that are compliant with the RMI RMAP assessment as of March 31, 2019. |
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| Metal | Smelter Name | Smelter ID | Smelter Country |
| Gold | 8853 S.p.A. | CID002763 | ITALY |
| Gold | Advanced Chemical Company | CID000015 | UNITED STATES OF AMERICA |
| Gold | Aida Chemical Industries Co., Ltd. | CID000019 | JAPAN |
| Gold | Al Etihad Gold Refinery DMCC | CID002560 | UNITED ARAB EMIRATES |
| Gold | Allgemeine Gold-und Silberscheideanstalt A.G. | CID000035 | GERMANY |
| Gold | Almalyk Mining and Metallurgical Complex (AMMC) | CID000041 | UZBEKISTAN |
| Gold | AngloGold Ashanti Corrego do Sitio Mineracao | CID000058 | BRAZIL |
| Gold | Argor-Heraeus S.A. | CID000077 | SWITZERLAND |
| Gold | Asahi Pretec Corp. | CID000082 | JAPAN |
| Gold | Asahi Refining Canada Ltd. | CID000924 | CANADA |
| Gold | Asahi Refining USA Inc. | CID000920 | UNITED STATES OF AMERICA |
| Gold | Asaka Riken Co., Ltd. | CID000090 | JAPAN |
| Gold | AU Traders and Refiners | CID002850 | SOUTH AFRICA |
| Gold | Aurubis AG | CID000113 | GERMANY |
| Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | CID000128 | PHILIPPINES |
| Gold | Boliden AB | CID000157 | SWEDEN |
| Gold | C. Hafner GmbH + Co. KG | CID000176 | GERMANY |
| Gold | CCR Refinery - Glencore Canada Corporation | CID000185 | CANADA |
| Gold | Cendres + Metaux S.A. | CID000189 | SWITZERLAND |
| Gold | Chimet S.p.A. | CID000233 | ITALY |
| Gold | Daejin Indus Co., Ltd. | CID000328 | KOREA, REPUBLIC OF |
| Gold | DODUCO Contacts and Refining GmbH | CID000362 | GERMANY |
| Gold | Dowa | CID000401 | JAPAN |
| Gold | DS PRETECH Co., Ltd. | CID003195 | KOREA, REPUBLIC OF |
| Gold | DSC (Do Sung Corporation) | CID000359 | KOREA, REPUBLIC OF |
| Gold | Eco-System Recycling Co., Ltd. | CID000425 | JAPAN |
| Gold | Emirates Gold DMCC | CID002561 | UNITED ARAB EMIRATES |
| Gold | Geib Refining Corporation | CID002459 | UNITED STATES OF AMERICA |
| Gold | Gold Refinery of Zijin Mining Group Co., Ltd. | CID002243 | CHINA |
| Gold | HeeSung Metal Ltd. | CID000689 | KOREA, REPUBLIC OF |
| Gold | Heimerle + Meule GmbH | CID000694 | GERMANY |
| Gold | Heraeus Metals Hong Kong Ltd. | CID000707 | CHINA |
| Gold | Heraeus Precious Metals GmbH & Co. KG | CID000711 | GERMANY |
| Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | CID000801 | CHINA |
| Gold | Ishifuku Metal Industry Co., Ltd. | CID000807 | JAPAN |
| Gold | Istanbul Gold Refinery | CID000814 | TURKEY |
| Gold | Italpreziosi | CID002765 | ITALY |
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| Metal | Smelter Name | Smelter ID | Smelter Country |
| Gold | Japan Mint | CID000823 | JAPAN |
| Gold | Jiangxi Copper Co., Ltd. | CID000855 | CHINA |
| Gold | JSC Uralelectromed | CID000929 | RUSSIAN FEDERATION |
| Gold | JX Nippon Mining & Metals Co., Ltd. | CID000937 | JAPAN |
| Gold | Kazzinc | CID000957 | KAZAKHSTAN |
| Gold | Kennecott Utah Copper LLC | CID000969 | UNITED STATES OF AMERICA |
| Gold | Kojima Chemicals Co., Ltd. | CID000981 | JAPAN |
| Gold | Korea Zinc Co., Ltd. | CID002605 | KOREA, REPUBLIC OF |
| Gold | Kyrgyzaltyn JSC | CID001029 | KYRGYZSTAN |
| Gold | L'Orfebre S.A. | CID002762 | ANDORRA |
| Gold | LS-NIKKO Copper Inc. | CID001078 | KOREA, REPUBLIC OF |
| Gold | Marsam Metals | CID002606 | BRAZIL |
| Gold | Materion | CID001113 | UNITED STATES OF AMERICA |
| Gold | Matsuda Sangyo Co., Ltd. | CID001119 | JAPAN |
| Gold | Metalor Technologies (Hong Kong) Ltd. | CID001149 | CHINA |
| Gold | Metalor Technologies (Singapore) Pte., Ltd. | CID001152 | SINGAPORE |
| Gold | Metalor Technologies (Suzhou) Ltd. | CID001147 | CHINA |
| Gold | Metalor Technologies S.A. | CID001153 | SWITZERLAND |
| Gold | Metalor USA Refining Corporation | CID001157 | UNITED STATES OF AMERICA |
| Gold | Metalurgica Met-Mex Penoles S.A. De C.V. | CID001161 | MEXICO |
| Gold | Mitsubishi Materials Corporation | CID001188 | JAPAN |
| Gold | Mitsui Mining and Smelting Co., Ltd. | CID001193 | JAPAN |
| Gold | MMTC-PAMP India Pvt., Ltd. | CID002509 | INDIA |
| Gold | Moscow Special Alloys Processing Plant | CID001204 | RUSSIAN FEDERATION |
| Gold | Nadir Metal Rafineri San. Ve Tic. A.S. | CID001220 | TURKEY |
| Gold | Nihon Material Co., Ltd. | CID001259 | JAPAN |
| Gold | Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH | CID002779 | AUSTRIA |
| Gold | Ohura Precious Metal Industry Co., Ltd. | CID001325 | JAPAN |
| Gold | OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet) | CID001326 | RUSSIAN FEDERATION |
| Gold | OJSC Novosibirsk Refinery | CID000493 | RUSSIAN FEDERATION |
| Gold | PAMP S.A. | CID001352 | SWITZERLAND |
| Gold | Planta Recuperadora de Metales SpA | CID002919 | CHILE |
| Gold | Prioksky Plant of Non-Ferrous Metals | CID001386 | RUSSIAN FEDERATION |
| Gold | PT Aneka Tambang (Persero) Tbk | CID001397 | INDONESIA |
| Gold | PX Precinox S.A. | CID001498 | SWITZERLAND |
| Gold | Rand Refinery (Pty) Ltd. | CID001512 | SOUTH AFRICA |
| Gold | REMONDIS PMR B.V. | CID002582 | NETHERLANDS |
| Gold | Royal Canadian Mint | CID001534 | CANADA |
| Gold | SAAMP | CID002761 | FRANCE |
| Gold | Safimet S.p.A | CID002973 | ITALY |
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| Metal | Smelter Name | Smelter ID | Smelter Country |
| Gold | Samduck Precious Metals | CID001555 | KOREA, REPUBLIC OF |
| Gold | SAXONIA Edelmetalle GmbH | CID002777 | GERMANY |
| Gold | SEMPSA Joyeria Plateria S.A. | CID001585 | SPAIN |
| Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | CID001622 | CHINA |
| Gold | Sichuan Tianze Precious Metals Co., Ltd. | CID001736 | CHINA |
| Gold | Singway Technology Co., Ltd. | CID002516 | TAIWAN, PROVINCE OF CHINA |
| Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | CID001756 | RUSSIAN FEDERATION |
| Gold | Solar Applied Materials Technology Corp. | CID001761 | TAIWAN, PROVINCE OF CHINA |
| Gold | Sumitomo Metal Mining Co., Ltd. | CID001798 | JAPAN |
| Gold | SungEel HiMetal Co., Ltd. | CID002918 | KOREA, REPUBLIC OF |
| Gold | T.C.A S.p.A | CID002580 | ITALY |
| Gold | Tanaka Kikinzoku Kogyo K.K. | CID001875 | JAPAN |
| Gold | The Refinery of Shandong Gold Mining Co., Ltd. | CID001916 | CHINA |
| Gold | Tokuriki Honten Co., Ltd. | CID001938 | JAPAN |
| Gold | Torecom | CID001955 | KOREA, REPUBLIC OF |
| Gold | Umicore Brasil Ltda. | CID001977 | BRAZIL |
| Gold | Umicore Precious Metals Thailand | CID002314 | THAILAND |
| Gold | Umicore S.A. Business Unit Precious Metals Refining | CID001980 | BELGIUM |
| Gold | United Precious Metal Refining, Inc. | CID001993 | UNITED STATES OF AMERICA |
| Gold | Valcambi S.A. | CID002003 | SWITZERLAND |
| Gold | Western Australian Mint (T/a The Perth Mint) | CID002030 | AUSTRALIA |
| Gold | WIELAND Edelmetalle GmbH | CID002778 | GERMANY |
| Gold | Yamakin Co., Ltd. | CID002100 | JAPAN |
| Gold | Yokohama Metal Co., Ltd. | CID002129 | JAPAN |
| Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | CID002224 | CHINA |
| Tantalum | Asaka Riken Co., Ltd. | CID000092 | JAPAN |
| Tantalum | Changsha South Tantalum Niobium Co., Ltd. | CID000211 | CHINA |
| Tantalum | D Block Metals, LLC | CID002504 | UNITED STATES OF AMERICA |
| Tantalum | Exotech Inc. | CID000456 | UNITED STATES OF AMERICA |
| Tantalum | F&X Electro-Materials Ltd. | CID000460 | CHINA |
| Tantalum | FIR Metals & Resource Ltd. | CID002505 | CHINA |
| Tantalum | Global Advanced Metals Aizu | CID002558 | JAPAN |
| Tantalum | Global Advanced Metals Boyertown | CID002557 | UNITED STATES OF AMERICA |
| Tantalum | Guangdong Rising Rare Metals-EO Materials Ltd. | CID000291 | CHINA |
| Tantalum | Guangdong Zhiyuan New Material Co., Ltd. | CID000616 | CHINA |
| Tantalum | H.C. Starck Co., Ltd. | CID002544 | THAILAND |
| Tantalum | H.C. Starck Hermsdorf GmbH | CID002547 | GERMANY |
| Tantalum | H.C. Starck Inc. | CID002548 | UNITED STATES OF AMERICA |
| Tantalum | H.C. Starck Ltd. | CID002549 | JAPAN |
|
| | | |
| Metal | Smelter Name | Smelter ID | Smelter Country |
| Tantalum | H.C. Starck Smelting GmbH & Co. KG | CID002550 | GERMANY |
| Tantalum | H.C. Starck Tantalum and Niobium GmbH | CID002545 | GERMANY |
| Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | CID002492 | CHINA |
| Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | CID002512 | CHINA |
| Tantalum | Jiangxi Tuohong New Raw Material | CID002842 | CHINA |
| Tantalum | Jiujiang Janny New Material Co., Ltd. | CID003191 | CHINA |
| Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | CID000914 | CHINA |
| Tantalum | Jiujiang Tanbre Co., Ltd. | CID000917 | CHINA |
| Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | CID002506 | CHINA |
| Tantalum | KEMET Blue Metals | CID002539 | MEXICO |
| Tantalum | KEMET Blue Powder | CID002568 | UNITED STATES OF AMERICA |
| Tantalum | LSM Brasil S.A. | CID001076 | BRAZIL |
| Tantalum | Metallurgical Products India Pvt., Ltd. | CID001163 | INDIA |
| Tantalum | Mineracao Taboca S.A. | CID001175 | BRAZIL |
| Tantalum | Mitsui Mining and Smelting Co., Ltd. | CID001192 | JAPAN |
| Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | CID001277 | CHINA |
| Tantalum | NPM Silmet AS | CID001200 | ESTONIA |
| Tantalum | Power Resources Ltd. | CID002847 | MACEDONIA, THE FORMER YUGOSLAV REPUBLIC OF |
| Tantalum | QuantumClean | CID001508 | UNITED STATES OF AMERICA |
| Tantalum | Resind Industria e Comercio Ltda. | CID002707 | BRAZIL |
| Tantalum | RFH Tantalum Smeltery Co., Ltd./Yanling Jincheng Tantalum & Niobium Co., Ltd. | CID001522 | CHINA |
| Tantalum | Solikamsk Magnesium Works OAO | CID001769 | RUSSIAN FEDERATION |
| Tantalum | Taki Chemical Co., Ltd. | CID001869 | JAPAN |
| Tantalum | Telex Metals | CID001891 | UNITED STATES OF AMERICA |
| Tantalum | Ulba Metallurgical Plant JSC | CID001969 | KAZAKHSTAN |
| Tantalum | XinXing HaoRong Electronic Material Co., Ltd. | CID002508 | CHINA |
| Tin | Alpha | CID000292 | UNITED STATES OF AMERICA |
| Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | CID000228 | CHINA |
| Tin | Chifeng Dajingzi Tin Industry Co., Ltd. | CID003190 | CHINA |
| Tin | China Tin Group Co., Ltd. | CID001070 | CHINA |
| Tin | CV Ayi Jaya | CID002570 | INDONESIA |
| Tin | CV Dua Sekawan | CID002592 | INDONESIA |
| Tin | CV Gita Pesona | CID000306 | INDONESIA |
| Tin | CV United Smelting | CID000315 | INDONESIA |
| Tin | CV Venus Inti Perkasa | CID002455 | INDONESIA |
| Tin | Dowa | CID000402 | JAPAN |
| Tin | EM Vinto | CID000438 | BOLIVIA (PLURINATIONAL STATE OF) |
| Tin | Fenix Metals | CID000468 | POLAND |
| Tin | Gejiu Fengming Metallurgy Chemical Plant | CID002848 | CHINA |
|
| | | |
| Metal | Smelter Name | Smelter ID | Smelter Country |
| Tin | Gejiu Kai Meng Industry and Trade LLC | CID000942 | CHINA |
| Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. | CID000538 | CHINA |
| Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | CID001908 | CHINA |
| Tin | Guangdong Hanhe Non-Ferrous Metal Co., Ltd. | CID003116 | CHINA |
| Tin | Guanyang Guida Nonferrous Metal Smelting Plant | CID002849 | CHINA |
| Tin | Huichang Jinshunda Tin Co., Ltd. | CID000760 | CHINA |
| Tin | Jiangxi New Nanshan Technology Ltd. | CID001231 | CHINA |
| Tin | Magnu’s Minerais Metais e Ligas Ltda. | CID002468 | BRAZIL |
| Tin | Malaysia Smelting Corporation (MSC) | CID001105 | MALAYSIA |
| Tin | Melt Metais e Ligas S.A. | CID002500 | BRAZIL |
| Tin | Metallic Resources, Inc. | CID001142 | UNITED STATES OF AMERICA |
| Tin | Metallo-Belgium N.V. | CID002773 | BELGIUM |
| Tin | Metallo Spain S.L.U. | CID002774 | SPAIN |
| Tin | Mineracao Taboca S.A. | CID001173 | BRAZIL |
| Tin | Minsur | CID001182 | PERU |
| Tin | Mitsubishi Materials Corporation | CID001191 | JAPAN |
| Tin | Modeltech Sdn Bhd | CID002858 | MALAYSIA |
| Tin | O.M. Manufacturing (Thailand) Co., Ltd. | CID001314 | THAILAND |
| Tin | O.M. Manufacturing Philippines, Inc. | CID002517 | PHILIPPINES |
| Tin | Operaciones Metalurgicas S.A. | CID001337 | BOLIVIA (PLURINATIONAL STATE OF) |
| Tin | PT Aries Kencana Sejahtera | CID000309 | INDONESIA |
| Tin | PT Artha Cipta Langgeng | CID001399 | INDONESIA |
| Tin | PT ATD Makmur Mandiri Jaya | CID002503 | INDONESIA |
| Tin | PT Babel Inti Perkasa | CID001402 | INDONESIA |
| Tin | PT Babel Surya Alam Lestari | CID001406 | INDONESIA |
| Tin | PT Bangka Prima Tin | CID002776 | INDONESIA |
| Tin | PT Bangka Serumpun | CID003205 | INDONESIA |
| Tin | PT Bangka Tin Industry | CID001419 | INDONESIA |
| Tin | PT Belitung Industri Sejahtera | CID001421 | INDONESIA |
| Tin | PT Bukit Timah | CID001428 | INDONESIA |
| Tin | PT DS Jaya Abadi | CID001434 | INDONESIA |
| Tin | PT Inti Stania Prima | CID002530 | INDONESIA |
| Tin | PT Karimun Mining | CID001448 | INDONESIA |
| Tin | PT Kijang Jaya Mandiri | CID002829 | INDONESIA |
| Tin | PT Menara Cipta Mulia | CID002835 | INDONESIA |
| Tin | PT Mitra Stania Prima | CID001453 | INDONESIA |
| Tin | PT Panca Mega Persada | CID001457 | INDONESIA |
| Tin | PT Premium Tin Indonesia | CID000313 | INDONESIA |
| Tin | PT Prima Timah Utama | CID001458 | INDONESIA |
| Tin | PT Rajehan Ariq | CID002593 | INDONESIA |
| Tin | PT Refined Bangka Tin | CID001460 | INDONESIA |
| Tin | PT Sariwiguna Binasentosa | CID001463 | INDONESIA |
|
| | | |
| Metal | Smelter Name | Smelter ID | Smelter Country |
| Tin | PT Stanindo Inti Perkasa | CID001468 | INDONESIA |
| Tin | PT Sukses Inti Makmur | CID002816 | INDONESIA |
| Tin | PT Sumber Jaya Indah | CID001471 | INDONESIA |
| Tin | PT Timah Tbk Kundur | CID001477 | INDONESIA |
| Tin | PT Timah Tbk Mentok | CID001482 | INDONESIA |
| Tin | PT Tinindo Inter Nusa | CID001490 | INDONESIA |
| Tin | PT Tirus Putra Mandiri | CID002478 | INDONESIA |
| Tin | PT Tommy Utama | CID001493 | INDONESIA |
| Tin | Resind Industria e Comercio Ltda. | CID002706 | BRAZIL |
| Tin | Rui Da Hung | CID001539 | TAIWAN, PROVINCE OF CHINA |
| Tin | Soft Metais Ltda. | CID001758 | BRAZIL |
| Tin | Thai Nguyen Mining and Metallurgy Co., Ltd. | CID002834 | VIETNAM |
| Tin | Thaisarco | CID001898 | THAILAND |
| Tin | Tin Technology & Refining | CID003325 | UNITED STATES OF AMERICA |
| Tin | White Solder Metalurgia e Mineracao Ltda. | CID002036 | BRAZIL |
| Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | CID002158 | CHINA |
| Tin | Yunnan Tin Company Limited | CID002180 | CHINA |
| Tungsten | A.L.M.T. Corp. | CID000004 | JAPAN |
| Tungsten | ACL Metais Eireli | CID002833 | BRAZIL |
| Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd. | CID002513 | CHINA |
| Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | CID000258 | CHINA |
| Tungsten | Fujian Jinxin Tungsten Co., Ltd. | CID000499 | CHINA |
| Tungsten | Ganzhou Haichuang Tungsten Co., Ltd. | CID002645 | CHINA |
| Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. | CID000875 | CHINA |
| Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | CID002315 | CHINA |
| Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | CID002494 | CHINA |
| Tungsten | Global Tungsten & Powders Corp. | CID000568 | UNITED STATES OF AMERICA |
| Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | CID000218 | CHINA |
| Tungsten | H.C. Starck Smelting GmbH & Co. KG | CID002542 | GERMANY |
| Tungsten | H.C. Starck Tungsten GmbH | CID002541 | GERMANY |
| Tungsten | Hunan Chenzhou Mining Co., Ltd. | CID000766 | CHINA |
| Tungsten | Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji | CID002579 | CHINA |
| Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd. | CID000769 | CHINA |
| Tungsten | Hydrometallurg, JSC | CID002649 | RUSSIAN FEDERATION |
| Tungsten | Japan New Metals Co., Ltd. | CID000825 | JAPAN |
| Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | CID002551 | CHINA |
| Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | CID002321 | CHINA |
| Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | CID002318 | CHINA |
| Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | CID002317 | CHINA |
| Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. | CID002316 | CHINA |
| Tungsten | Kennametal Fallon | CID000966 | UNITED STATES OF AMERICA |
|
| | | |
| Metal | Smelter Name | Smelter ID | Smelter Country |
| Tungsten | Kennametal Huntsville | CID000105 | UNITED STATES OF AMERICA |
| Tungsten | KGETS Co., Ltd. | CID003388 | KOREA, REPUBLIC OF |
| Tungsten | Malipo Haiyu Tungsten Co., Ltd. | CID002319 | CHINA |
| Tungsten | Masan Tungsten Chemical LLC (MTC) | CID002543 | VIETNAM |
| Tungsten | Moliren Ltd. | CID002845 | RUSSIAN FEDERATION |
| Tungsten | Niagara Refining LLC | CID002589 | UNITED STATES OF AMERICA |
| Tungsten | Philippine Chuangxin Industrial Co., Inc. | CID002827 | PHILIPPINES |
| Tungsten | South-East Nonferrous Metal Company Limited of Hengyang City | CID002815 | CHINA |
| Tungsten | Tejing (Vietnam) Tungsten Co., Ltd. | CID001889 | VIETNAM |
| Tungsten | Unecha Refractory metals plant | CID002724 | RUSSIAN FEDERATION |
| Tungsten | Wolfram Bergbau und Hutten AG | CID002044 | AUSTRIA |
| Tungsten | Woltech Korea Co., Ltd. | CID002843 | KOREA, REPUBLIC OF |
| Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | CID002320 | CHINA |
| Tungsten | Xiamen Tungsten Co., Ltd. | CID002082 | CHINA |
| Tungsten | Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. | CID002830 | CHINA |
| Tungsten | Xinhai Rendan Shaoguan Tungsten Co., Ltd. | CID002095 | CHINA |
|
| |
| Section 2. | Smelters or refiners that have been verified by RMI as smelters or refiners and are active in or in communication with or require outreach to participate in the RMI RMAP process as of March 31, 2019. |
|
| | | |
| Metal | Smelter Name | Smelter ID | Smelter Country |
| Gold | African Gold Refinery | CID003185 | UGANDA |
| Gold | Bangalore Refinery | CID002863 | INDIA |
| Gold | Chugai Mining | CID000264 | JAPAN |
| Gold | Daye Non-Ferrous Metals Mining Ltd. | CID000343 | CHINA |
| Gold | Degussa Sonne / Mond Goldhandel GmbH | CID002867 | GERMANY |
| Gold | Dijllah Gold Refinery FZC | CID003348 | UNITED ARAB EMIRATES |
| Gold | Fujairah Gold FZC | CID002584 | UNITED ARAB EMIRATES |
| Gold | GCC Gujrat Gold Centre Pvt. Ltd. | CID002852 | INDIA |
| Gold | Great Wall Precious Metals Co., Ltd. of CBPM | CID001909 | CHINA |
| Gold | Guangdong Jinding Gold Limited | CID002312 | CHINA |
| Gold | Guoda Safina High-Tech Environmental Refinery Co., Ltd. | CID000651 | CHINA |
| Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. | CID000671 | CHINA |
| Gold | Hunan Chenzhou Mining Co., Ltd. | CID000767 | CHINA |
| Gold | Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd. | CID000773 | CHINA |
| Gold | International Precious Metal Refiners | CID002562 | UNITED ARAB EMIRATES |
| Gold | Kazakhmys Smelting LLC | CID000956 | KAZAKHSTAN |
| Gold | KGHM Polska Miedz Spolka Akcyjna | CID002511 | POLAND |
| Gold | Kyshtym Copper-Electrolytic Plant ZAO | CID002865 | RUSSIAN FEDERATION |
| Gold | Lingbao Gold Co., Ltd. | CID001056 | CHINA |
| Gold | Lingbao Jinyuan Tonghui Refinery Co., Ltd. | CID001058 | CHINA |
| Gold | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | CID001093 | CHINA |
| Gold | Navoi Mining and Metallurgical Combinat | CID001236 | UZBEKISTAN |
| Gold | NH Recytech Company | CID003189 | KOREA, REPUBLIC OF |
| Gold | Pease & Curren | CID002872 | UNITED STATES OF AMERICA |
| Gold | Penglai Penggang Gold Industry Co., Ltd. | CID001362 | CHINA |
| Gold | QG Refining, LLC | CID003324 | UNITED STATES OF AMERICA |
| Gold | Refinery of Seemine Gold Co., Ltd. | CID000522 | CHINA |
| Gold | Sabin Metal Corp. | CID001546 | UNITED STATES OF AMERICA |
| Gold | Sai Refinery | CID002853 | INDIA |
| Gold | Shandong Humon Smelting Co., Ltd. | CID002525 | CHINA |
| Gold | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | CID001619 | CHINA |
| Gold | State Research Institute Center for Physical Sciences and Technology | CID003153 | LITHUANIA |
| Gold | Sudan Gold Refinery | CID002567 | SUDAN |
| Gold | Tongling Nonferrous Metals Group Co., Ltd. | CID001947 | CHINA |
| Gold | TOO Tau-Ken-Altyn | CID002615 | KAZAKHSTAN |
| Gold | Yunnan Copper Industry Co., Ltd. | CID000197 | CHINA |
| Tin | An Vinh Joint Stock Mineral Processing Company | CID002703 | VIETNAM |
| Tin | Dongguan CiEXPO Environmental Engineering Co., Ltd. | CID003356 | CHINA |
| Tin | Estanho de Rondonia S.A. | CID000448 | BRAZIL |
| Tin | Gejiu Zili Mining And Metallurgy Co., Ltd. | CID000555 | CHINA |
| Tin | Nghe Tinh Non-Ferrous Metals Joint Stock Company | CID002573 | VIETNAM |
| Tin | Pongpipat Company Limited | CID003208 | MYANMAR |
| Tin | PT HANJAYA PERKASA METALS | CID002287 | INDONESIA |
|
| | | |
| Metal | Smelter Name | Smelter ID | Smelter Country |
| Tin | PT Rajawali Rimba Perkasa | CID003381 | INDONESIA |
| Tin | Super Ligas | CID002756 | BRAZIL |
| Tin | Tuyen Quang Non-Ferrous Metals Joint Stock Company | CID002574 | VIETNAM |
| Tungsten | Hunan Litian Tungsten Industry Co., Ltd. | CID003182 | CHINA |
| Tungsten | Jiangxi Dayu Longxintai Tungsten Co., Ltd. | CID002647 | CHINA |
