Document


UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

 
FORM SD
 
 
Specialized Disclosure Report
 
KLA-TENCOR CORPORATION
(Exact name of registrant as specified in its charter)
 
 
 
Delaware
000-09992
04-2564110
(State or other jurisdiction of incorporation)
(Commission File Number)
(I.R.S. Employer Identification No.)
 
One Technology Drive, Milpitas, California
95035
(Address of principal executive offices)
(Zip Code)
 
 
 
Scott Bostic (408) 875-8050
(Name and telephone number, including area code, of the person to contact in connection with this report)

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








Section 1 - Conflict Minerals Disclosure
Item 1.01
Conflict Minerals Disclosure and Report
A copy of the Conflict Minerals Report of KLA-Tencor Corporation (the “Company”) for the reporting period from January 1, 2017 to December 31, 2017 is filed as Exhibit 1.01 to this Specialized Disclosure Report on Form SD and is publicly available at http://ir.kla-tencor.com/.
The content of any website referred to in this Form SD is included for general information only and is not incorporated by reference into this Form SD or the attached Conflict Minerals Report.
Item 1.02
Exhibit
In accordance with Rule 13p-1 under the Securities Exchange Act of 1934, as amended (the “Exchange Act”), and this Form SD, the Company has filed a Conflict Minerals Report, which is attached as Exhibit 1.01 to this Form SD.
The information in Items 1.01 and 1.02 of this Specialized Disclosure Report on Form SD and the exhibit attached hereto shall not be deemed incorporated by reference in any filing by the Company under the Securities Act of 1933, as amended, or the Exchange Act, regardless of any general incorporation language in such filing.
Section 2 - Exhibits
Item 2.01 Exhibits
The following exhibit is filed herewith:
Exhibit No.
 
Description
 
 
1.01
 


SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the duly authorized undersigned.
 
 
 
 
 
 
 
 
 
 
 
KLA-TENCOR CORPORATION
 
 
 
 
Date: May 22, 2018
 
 
 
By:
 
/s/ VIRENDRA A. KIRLOSKAR
 
 
 
 
Name:
 
Virendra A. Kirloskar
 
 
 
 
Title:
 
Senior Vice President and
Chief Accounting Officer




Exhibit


Exhibit 1.01
KLA-Tencor Corporation
Conflict Minerals Report for the
Reporting Period from January 1, 2017 to December 31, 2017

Introduction
This Conflict Minerals Report for KLA-Tencor Corporation (“Company,” “we,” or “our”) for the reporting period from January 1, 2017 to December 31, 2017 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 materials 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-Tencor is committed to complying with the Rule. KLA-Tencor 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
KLA-Tencor is engaged primarily in the design, manufacture and marketing of process control and yield management solutions for the semiconductor and related nanoelectronics industries. KLA-Tencor’s inspection and metrology products and related offerings can be broadly categorized as supporting customers in the following groups: chip manufacturing; wafer manufacturing; reticle manufacturing; advanced packaging; LED, power device, compound semiconductor manufacturing and Microelectromechanical Systems (“MEMS”) manufacturing; and data storage media/head manufacturing.
Wafer Inspection Systems

39xx Series (super resolution broadband plasma optical patterned wafer defect inspection system)
29xx Series (broadband plasma optical patterned wafer defect inspection system)
PumaSeries (laser scanning patterned wafer defect inspection system)
8 Series (high productivity defect inspection system)
CIRCL (all-surface patterned wafer defect inspection, metrology and review cluster system)
Surfscan® SPx Series (unpatterned wafer defect inspection system)
 
Defect Review and Classification Systems

eDR7280 (electron-beam wafer defect review and classification system)

1



Reticle Inspection Systems

Teron SL6xx Series (reticle defect inspection systems for IC fab applications)
Teron 6xx Series (reticle defect inspection systems for mask shop applications)
FlashScan® Series (reticle blank defect inspection systems)
Metrology Systems

LMS IPRO Series (reticle pattern registration metrology systems)
Crossbow Series (scatterometry-based overlay metrology systems)
Archer Series (imaging-based overlay metrology systems)
WaferSight Series (wafer geometry and nanotopography metrology systems)
SpectraShape Series (optical critical dimension (CD) and shape metrology systems)
SpectraFilm Series (film metrology systems)
Aleris® Series (film metrology systems)
Therma-Probe® Series (ion implant metrology systems)
RS-200 (sheet resistance mapping systems)
In-situ Process Monitoring

SensArray® sensor wafers (wireless and wired temperature monitoring wafers that capture the effect of the process environment on production wafers)
Advanced Packaging Inspection and Metrology Systems

CIRCL-AP (all-surface wafer defect inspection, metrology and review cluster system)
8 Series AP (high productivity patterned wafer inspection systems)
ICOS® T830 (IC component inspection systems)
ICOS® T3/T7 Series (IC component inspection systems)
LED, Power Device, Compound Semiconductor and MEMS Manufacturing

Candela® 8720 (substrate and epi wafer inspection)
Candela® CS920 (power device inspection system for SiC substrates and epi layers)
Candela® CS20 (inspection system for HBLED and RF devices etc.)
WI-2280 (multi-substrate defect inspection and metrology system)
Data Storage Media/Head Manufacturing

Candela® 71xx / 63xx (metrology and inspection for substrate and media)
Surface Metrology

HRP® Series (stylus profilers)
P-Series (stylus profilers)
Alpha-Step® Series (stylus profilers)
MicroXAM Series (optical profilers)
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-Tencor products contain conflict minerals that are necessary to the products’ functionality.



2



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.
1.
Establish strong company management systems:
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 www.kla-tencor.com/company/supply-chain-product-regulatory-compliance.html. 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-Tencor’s Specialized Disclosure Report on Form SD.
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.
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”).
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.
e.
Incorporate supply chain regulatory compliance requirements into our standard template for supplier contracts so that suppliers comply with our policy on conflict minerals.
f.
Retain records in accordance with our internal record retention policy.
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.
2.
Identify and assess risks in our supply chain:
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.
b.
Contact the suppliers of components that potentially contain conflict minerals and use the Template to capture the suppliers’ responses.

3



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.
d.
Contact the suppliers that did not respond to the Template request and request their responses.
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.
3.
Design and Implement a strategy to respond to identified risks:
a.
Verify smelters and refiners identified in response to the Template against the RMI list provided as part of our membership in the RMI.
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.
c.
Implement required action plans and report results to Senior Management.
4.
Independent third party audits of smelters and refiners sourcing:
a.
Participate in the RMI and rely upon the results reported by RMI regarding audits of smelters and refiners.
b.
Provide to RMI the smelters and refiners identified by our suppliers that are not on the RMI list.
5.
Report on supply chain due diligence:
a.
Report to the SEC annually our supply chain due diligence on a Form SD and conflict minerals report.
b.
Publicly communicate our Form SD and conflict minerals report on our website at http://ir.kla-tencor.com/sec.cfm.
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.

4



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 Australia, Austria, Bolivia, Brazil, Burundi, Cambodia, Canada, Chile, China, Colombia, DRC, Ecuador, Ethiopia, France, Guatemala, Guinea, Guyana, Honduras, India, Indonesia, Japan, Laos, Madagascar, Malaysia, Mexico, Mongolia, Mozambique, Myanmar, Namibia, Nicaragua, Nigeria, Panama, Peru, Portugal, Russia, Rwanda, Sierra Leone, Spain, Thailand, Uganda, United States of America, Uzbekistan, Vietnam and 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 two smelters of concern regarding conflict minerals issues that were reported by certain suppliers.
Universal Precious Metals Refining Zambia - CID002854
Sudan Gold Refinery - CID002567
These two smelters were identified by our third-party system as high risk smelters 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 abuses. 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, 2017, 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.


5



Appendix A
Section 1.
Smelters or refiners that are compliant with the CFSI CSFP assessment as of March 31, 2018.
Metal
Smelter Name
Smelter ID
Smelter Country
Gold
Advanced Chemical Company
CID000015
UNITED STATES OF AMERICA
Gold
Aida Chemical Industries Co., Ltd.
CID000019
JAPAN
Gold
Al Etihad Gold LLC
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
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
Gold
Japan Mint
CID000823
JAPAN
Gold
Jiangxi Copper Co., Ltd.
CID000855
CHINA
Gold
JSC Ekaterinburg Non-Ferrous Metal Processing Plant
CID000927
RUSSIAN FEDERATION

6



Metal
Smelter Name
Smelter ID
Smelter Country
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
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
Republic Metals Corporation
CID002510
UNITED STATES OF AMERICA
Gold
Royal Canadian Mint
CID001534
CANADA
Gold
SAAMP
CID002761
FRANCE
Gold
Safimet S.p.A
CID002973
ITALY
Gold
Samduck Precious Metals
CID001555
KOREA (REPUBLIC OF)
Gold
SAXONIA Edelmetalle GmbH
CID002777
GERMANY
Gold
Schone Edelmetaal B.V.
CID001573
NETHERLANDS

7



Metal
Smelter Name
Smelter ID
Smelter Country
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
Tantalum
H.C. Starck Smelting GmbH & Co. KG
CID002550
GERMANY
Tantalum
H.C. Starck Tantalum and Niobium GmbH
CID002545
GERMANY

8



Metal
Smelter Name
Smelter ID
Smelter Country
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
Tantalum
Yichun Jin Yang Rare Metal Co., Ltd.
CID002307
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
Tin
Gejiu Jinye Mineral Company
CID002859
CHINA

9



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 Hill Tin Industry Co., Ltd.
CID002844
CHINA
Tin
Huichang Jinshunda Tin Co., Ltd.
CID000760
CHINA
Tin
Jiangxi Ketai Advanced Material Co., Ltd.
CID000244
CHINA
Tin
Jiangxi New Nanshan Technology Ltd.
CID001231
CHINA
Tin
Magnus 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
O.M. Manufacturing (Thailand) Co., Ltd.
CID001314
THAILAND
Tin
O.M. Manufacturing Philippines, Inc.
CID002517
PHILIPPINES
Tin
Operaciones Metalurgical 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 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 Eunindo Usaha Mandiri
CID001438
INDONESIA
Tin
PT Inti Stania Prima
CID002530
INDONESIA
Tin
PT Karimun Mining
CID001448
INDONESIA
Tin
PT Kijang Jaya Mandiri
CID002829
INDONESIA
Tin
PT Lautan Harmonis Sejahtera
CID002870
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

10



Metal
Smelter Name
Smelter ID
Smelter Country
Tin
PT Refined Bangka Tin
CID001460
INDONESIA
Tin
PT Sariwiguna Binasentosa
CID001463
INDONESIA
Tin
PT Stanindo Inti Perkasa
CID001468
INDONESIA
Tin
PT Sukses Inti Makmur
CID002816
INDONESIA
Tin
PT Sumber Jaya Indah
CID001471
INDONESIA
Tin
PT Timah (Persero) Tbk Kundur
CID001477
INDONESIA
Tin
PT Timah (Persero) Tbk Mentok
CID001482
INDONESIA
Tin
PT Tinindo Inter Nusa
CID001490
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
Thaisarco
CID001898
THAILAND
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. TUNGSTEN Corp.
CID000004
JAPAN
Tungsten
ACL Metais Eireli
CID002833
BRAZIL
Tungsten
Asia Tungsten Products Vietnam Ltd.
CID002502
VIETNAM
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 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 Xiushui Xianggan Nonferrous Metals Co., Ltd.
CID002535
CHINA
Tungsten
Jiangxi Yaosheng Tungsten Co., Ltd.
CID002316
CHINA
Tungsten
Kennametal Fallon
CID000966
UNITED STATES OF AMERICA

11



Metal
Smelter Name
Smelter ID
Smelter Country
Tungsten
Kennametal Huntsville
CID000105
UNITED STATES OF AMERICA
Tungsten
Malipo Haiyu Tungsten Co., Ltd.
CID002319
CHINA
Tungsten
Moliren Ltd.
CID002845
RUSSIAN FEDERATION
Tungsten
Niagara Refining LLC
CID002589
UNITED STATES OF AMERICA
Tungsten
Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC
CID002543
VIETNAM
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
Vietnam Youngsun Tungsten Industry Co., Ltd.
CID002011
VIETNAM
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

12



Section 2.
Smelters or refiners that have been verified by CFSI as smelters or refiners and are active in or in communication with or require outreach to participate in the CFSI CFSP process as of March 31, 2018.
Metal
Smelter Name
Smelter ID
Smelter Country
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
DS PRETECH Co., Ltd.
CID003195
KOREA (REPUBLIC OF)
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
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
L'Orfebre S.A.
CID002762
ANDORRA
Gold
Luoyang Zijin Yinhui Gold Refinery Co., Ltd.
CID001093
CHINA
Gold
Modeltech Sdn Bhd
CID002857
MALAYSIA
Gold
Navoi Mining and Metallurgical Combinat
CID001236
UZBEKISTAN
Gold
Pease & Curren
CID002872
UNITED STATES OF AMERICA
Gold
Penglai Penggang Gold Industry Co., Ltd.
CID001362
CHINA
Gold
Refinery of Seemine Gold Co., Ltd.
CID000522
CHINA
Gold
Remondis Argentia B.V.
CID002582
NETHERLANDS
Gold
Sabin Metal Corp.
CID001546
UNITED STATES OF AMERICA
Gold
SAFINA A.S.
CID002290
CZECH REPUBLIC
Gold
Sai Refinery
CID002853
INDIA
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
Estanho de Rondonia S.A.
CID000448
BRAZIL
Tin
Gejiu Zili Mining And Metallurgy Co., Ltd.
CID000555
CHINA
Tin
Modeltech Sdn Bhd
CID002858
MALAYSIA
Tin
Nghe Tinh Non-Ferrous Metals Joint Stock Company
CID002573
VIETNAM
Tin
Pongpipat Company Limited
CID003208
MYANMAR
Tin
PT HANJAYA PERKASA METALS
CID002287
INDONESIA
Tin
Super Ligas
CID002756
BRAZIL
Tin
Tuyen Quang Non-Ferrous Metals Joint Stock Company
CID002574
VIETNAM
Tungsten
Ganzhou Haichuang Tungsten Co., Ltd.
CID002645
CHINA
Tungsten
Jiangxi Dayu Longxintai Tungsten Co., Ltd.
CID002647
CHINA

13