Document

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM SD
Specialized Disclosure Report
KLA CORPORATION
(Exact name of registrant as specified in its charter)
Delaware000-0999204-2564110
(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:
xRule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2019.





Section 1 - Conflict Minerals Disclosure
Item 1.01Conflict Minerals Disclosure and Report
A copy of the Conflict Minerals Report of KLA Corporation (the “Company”) for the reporting period from January 1, 2019 to December 31, 2019 is filed as Exhibit 1.01 to this Specialized Disclosure Report on Form SD and is publicly available at http://ir.kla.com/financial-information/sec-filings.
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 1.02Exhibit
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

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 CORPORATION
Date: May 21, 2020  By: 
/s/ Virendra A. Kirloskar
  Name: Virendra A. Kirloskar
  Title: Senior Vice President and
Chief Accounting Officer


Document

Exhibit 1.01
KLA Corporation
Conflict Minerals Report for the
Reporting Period from January 1, 2019 to December 31, 2019

Introduction
This Conflict Minerals Report for KLA Corporation (“KLA”, “Company”, “we,” or “our”) for the reporting period from January 1, 2019 to December 31, 2019 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 2019
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, printed circuit board (PCB), flat panel display (FPD) and general materials research. In addition, SPTS Technologies, a KLA company, designs, manufactures, sells, and supports etch, physical vapor deposition (PVD), chemical vapor deposition (CVD) and molecular vapor deposition (MVD) capital equipment, providing advanced wafer processing technologies and solutions for the semiconductor and microelectronics industry.
        Wafer Inspection Systems
29xx Series (broadband plasma optical patterned wafer defect inspection systems)
39xx Series (super resolution broadband plasma optical patterned wafer defect inspection systems)
8 Series (high productivity defect inspection systems)
CIRCL (all-surface patterned wafer defect inspection, metrology and review cluster systems)
Puma9xxx Series (laser scanning patterned wafer defect inspection systems)
Surfscan® SPx Series (unpatterned wafer defect inspection systems)
Voyager® (laser scanning patterned wafer defect inspection system)

        Wafer Defect Review and Classification Systems
eDR7xxx (electron-beam wafer defect review and classification system)
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        Reticle Inspection Systems
FlashScan® Series (reticle blank defect inspection systems)
Teron 6xx Series (reticle defect inspection systems for mask shop applications)
Teron SL6xx Series (reticle defect inspection systems for IC fab applications)
X5.x Series (reticle defect inspection systems for IC fab applications
        Wafer Metrology Systems
Aleris® Series (optical film metrology systems)
Archer Series (imaging-based overlay metrology systems)
ATL Series (scatterometry-based overlay metrology systems)
CAPRES CIPTech Series (magnetic metrology systems)
CAPRES microHALL Series (electrical material metrology systems)
CAPRES micro RSP Series (electrical material metrology systems)
Filmetrics F-Series (film metrology)
LMS IPRO Series (reticle pattern registration metrology systems)
MicroSense Series (magnetic metrology systems)
MicroSense (substrate dimensional wafer metrology systems)
MicroSense (capacitive sensors for accurate position measurement)
OmniMap® RS-200 (sheet resistance mapping system)
PWG Series (patterned wafer geometry and nanotopography metrology systems)
SpectraShape Series (optical critical dimension (CD) and shape metrology systems)
SpectraFilm Series (optical film metrology systems)
Therma-Probe® Series (ion implant and anneal metrology systems)
WaferSight Series (bare wafer geometry and nanotopography metrology systems)
        In Situ Process Monitoring
SensArray® products (wireless and wired sensor wafers and reticles that capture the process environment on production wafers and reticles)
        Packaging Manufacturing Inspection and Metrology Systems
CIRCL-AP (all-surface wafer defect inspection, metrology and review cluster systems)
ICOS F16x Series (die sorting and inspection system)
ICOS T3/T7/T8 Series (packaged IC inspection and metrology systems)
Kronos Series (high productivity patterned wafer inspection system)
MV9xxx Series (packaged IC inspection and metrology systems)
Zeta 5xx/6xx (advanced packaging metrology systems)
        LED, Power Device, Compound Semiconductor and MEMS Manufacturing
8 Series (high productivity patterned wafer inspection systems)
Candela® 8720 (substrate and epi wafer inspection)
Candela® CS920 (power device inspection system for SiC substrates and epi layers)
Candela® 8520 (power device inspection system for SiC substrates and epi layers)
Candela® CS20R (dual wafer inspection system)
WI-2280 (multi-substrate defect inspection and metrology system)
ZetaScan Series (defect inspection for large and irregularly shaped substrates)
        Surface Metrology Tools
Alpha-Step® Series (stylus profilers)
Filmetrics Profilm3D (optical profilers)
HRP® Series (stylus profilers)
MicroXAM Series (optical profilers)
Nanomechanical testers
P-Series (stylus profilers)
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Zeta Series (optical profilers)
Data Storage Media/Head Manufacturing
Candela® 71xx / 63xx (metrology and inspection for substrate and media)
Data Computation and Analytics
5D Analyzer® (patterning and process data analysis)
FabVision® (substrate manufacturing data management)
Klarity® (defect data analysis and management)
LithoSuite (Lithography Data Analytics System)
PlasmaSuite (Plasma Data Analytics System)
ProDATA (process window analysis)
PROLITH (virtual patterning)
RDC (reticle data analysis and management)
Printed Circuit Board Manufacturing
Nuvogo ™ DI Series including Nuvogo™ Fine series (direct imaging for patterning)
Paragon™ Ultra Series 300/200 (patterning laser direct imaging for ICS and AP applications)
Orbotech Diamond™ Series (direct imaging for Solder Mask)
Ultra Dimension™ AOI Series (automated optical inspection)
Fusion™ AOI Series including Ultra Fusion™ and Fusion™ (automated optical inspection)
Precise™ 800 AOS Solution (automated optical shaping)
PerFix™ AOS Series including Ultra PerFix™ and PerFix™ (automated optical shaping)
Sprint™ Inkjet Printer Series (inkjet / additive printing)
Emerald™ 160 Series (UV laser drilling solutions for ICS)
LP™ 9 Series (ultra-fast laser plotting)
Orbotech Smart Factory™ (industry 4.0 conformant solution including DDV Pro, Dashboard Pro, Yield Advisor, 2D Metrology)
Orbotech CAM & Engineering Software Solutions (integrated software products that automate the entire pre-production process for PCB manufacturing)
Flat Panel Display Manufacturing
Orbotech Quantum™ series (automated optical inspection for flexible OLED and LCD displays)
FPI-6000 (automated optical inspection)
Array Checker™ series (electrical testing)
Accelon (electrical testing)
Orbotech Prism™ (repair for high-end TV displays and flexible OLED displays)
Array Saver (repair)
Orbotech OASIS (AI-driven software for yield enhancement)
SPTS Technologies – Advanced Wafer Processing Technologies for Semiconductor and Microelectronic Device manufacturers.
Omega® Series Etch Systems (plasma etch)
Mosaic™ System (plasma dicing)
Primaxx® Series HF Vapor Release Etch
Xactix® Series XeF2 Release Etch
Sigma® Series Deposition Systems (metal deposition)
Molecular Vapor Deposition (MVD®) Series Systems
Delta™ PECVD (plasma enhanced chemical vapor deposition)
fxP® / c2L / LPX Series Wafer Handling Platforms
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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.
1.Establish strong company management systems:
a.Publicly communicate our conflict minerals sourcing policy on our corporate website. Please see Section D of our Product Regulatory Compliance Guidelines under Supply Chain Product Compliance at https://www.kla.com/company/supplier. 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.
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.
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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.
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.
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 “conformant” 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.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
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about the related smelters and refiners. We used the RMI information to identify legitimate smelters and refiners and smelters and refiners that were either conformant 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 conformant 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-conformant 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-conformant smelters and refiners may include Afghanistan, Albania, Angola, Argentina, Armenia, Australia, Austria, Belarus, Belgium, Bermuda, Bolivia, Brazil, Bulgaria, Burundi, Cambodia, Canada, Central African Republic, Chile, China, Czech Republic, Djibouti, Dominican Republic, DRC or an adjoining country (Covered Countries), Ecuador, Egypt, England, Estonia, Ethiopia, Finland, France, Germany, Ghana, Guinea, Guyana, Hungary, India, Indonesia, Ireland, Israel, Italy, Ivory Coast, Japan, Kazakhstan, Kenya, Kyrgyzstan, Laos, Liberia, Lithuania, Luxembourg, Madagascar, Malaysia, Mali, Mauritania, Mexico, Mongolia, Morocco, Mozambique, Namibia, Netherlands, New Zealand, Niger, Nigeria, Papua New Guinea, Peru, Philippines, Poland, Portugal, Republic Of Korea, Russia, Rwanda, Saudi Arabia, Sierra Leone, Singapore, Slovakia, Slovenia, South Africa, Spain, Suri, Suriname, Sweden, Switzerland, Tanzania, Thailand, Turkey, Uganda, United Arab Emirates, United Kingdom, United States of America, Uzbekistan, Viet Nam, 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 conformant or not conformant with the RMAP; (b) identifying a greater percentage of smelters and refiners over that obtained in previous reporting periods; and (c) improving the training and resources made available to our suppliers via web-based access through our third-party; 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.
Kaloti Precious Metals - CID002563
Tony Goetz NV - CID002587
These two smelters were identified by our process as high risk smelters of concern due to not being listed as conformant by RMI and other factors such as their proximity to the Covered Countries, lack of a conflict minerals process and/or their alleged
6


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 conflict minerals 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) improve our review of non-verified smelters and refiners; (b) work with suppliers to improve the accuracy and completeness of their responses; (c) continue our inclusion of new suppliers identified from new acquisitions; 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 conformant 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 conformant by the RMAP does not necessarily mean that they were conformant for the whole reporting period and that some conformant 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, 2019, 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.


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Appendix A
Section 1.Smelters or refiners that are conformant with the RMI RMAP assessment as of March 31, 2020.
MetalSmelter NameSmelter IDSmelter Country
Gold8853 S.p.A.CID002763ITALY
GoldAdvanced Chemical CompanyCID000015UNITED STATES OF AMERICA
GoldAida Chemical Industries Co., Ltd.CID000019JAPAN
GoldAl Etihad Gold Refinery DMCCCID002560UNITED ARAB EMIRATES
GoldAllgemeine Gold-und Silberscheideanstalt A.G.CID000035GERMANY
GoldAlmalyk Mining and Metallurgical Complex (AMMC)CID000041UZBEKISTAN
GoldAngloGold Ashanti Corrego do Sitio MineracaoCID000058BRAZIL
GoldArgor-Heraeus S.A.CID000077SWITZERLAND
GoldAsahi Pretec Corp.CID000082JAPAN
GoldAsahi Refining Canada Ltd.CID000924CANADA
GoldAsahi Refining USA Inc.CID000920UNITED STATES OF AMERICA
GoldAsaka Riken Co., Ltd.CID000090JAPAN
GoldAU Traders and RefinersCID002850SOUTH AFRICA
GoldAurubis AGCID000113GERMANY
GoldBangalore RefineryCID002863INDIA
GoldBangko Sentral ng Pilipinas (Central Bank of the Philippines)CID000128PHILIPPINES
GoldBoliden ABCID000157SWEDEN
GoldC. Hafner GmbH + Co. KGCID000176GERMANY
GoldCCR Refinery - Glencore Canada CorporationCID000185CANADA
GoldCendres + Metaux S.A.CID000189SWITZERLAND
GoldChimet S.p.A.CID000233ITALY
GoldChugai MiningCID000264JAPAN
GoldDODUCO Contacts and Refining GmbHCID000362GERMANY
GoldDowaCID000401JAPAN
GoldDS PRETECH Co., Ltd.CID003195KOREA, REPUBLIC OF
GoldDSC (Do Sung Corporation)CID000359KOREA, REPUBLIC OF
GoldEco-System Recycling Co., Ltd. East PlantCID000425JAPAN
GoldEco-System Recycling Co., Ltd. North PlantCID003424JAPAN
GoldEco-System Recycling Co., Ltd. West PlantCID003425JAPAN
GoldEmirates Gold DMCCCID002561UNITED ARAB EMIRATES
GoldGeib Refining CorporationCID002459UNITED STATES OF AMERICA
GoldGold Refinery of Zijin Mining Group Co., Ltd.CID002243CHINA
GoldHeimerle + Meule GmbHCID000694GERMANY
GoldHeraeus Metals Hong Kong Ltd.CID000707CHINA
GoldHeraeus Precious Metals GmbH & Co. KGCID000711GERMANY
GoldInner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.CID000801CHINA
GoldIshifuku Metal Industry Co., Ltd.CID000807JAPAN
GoldIstanbul Gold RefineryCID000814TURKEY
GoldItalpreziosiCID002765ITALY
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MetalSmelter NameSmelter IDSmelter Country
GoldJapan MintCID000823JAPAN
GoldJiangxi Copper Co., Ltd.CID000855CHINA
GoldJSC UralelectromedCID000929RUSSIAN FEDERATION
GoldJX Nippon Mining & Metals Co., Ltd.CID000937JAPAN
GoldKazzincCID000957KAZAKHSTAN
GoldKennecott Utah Copper LLCCID000969UNITED STATES OF AMERICA
GoldKGHM Polska Miedz Spolka AkcyjnaCID002511POLAND
GoldKojima Chemicals Co., Ltd.CID000981JAPAN
GoldKorea Zinc Co., Ltd.CID002605KOREA, REPUBLIC OF
GoldKyrgyzaltyn JSCCID001029KYRGYZSTAN
GoldL'Orfebre S.A.CID002762ANDORRA
GoldLS-NIKKO Copper Inc.CID001078KOREA, REPUBLIC OF
GoldLT Metal Ltd.CID000689KOREA, REPUBLIC OF
GoldMarsam MetalsCID002606BRAZIL
GoldMaterionCID001113UNITED STATES OF AMERICA
GoldMatsuda Sangyo Co., Ltd.CID001119JAPAN
GoldMetalor Technologies (Hong Kong) Ltd.CID001149CHINA
GoldMetalor Technologies (Singapore) Pte., Ltd.CID001152SINGAPORE
GoldMetalor Technologies (Suzhou) Ltd.CID001147CHINA
GoldMetalor Technologies S.A.CID001153SWITZERLAND
GoldMetalor USA Refining CorporationCID001157UNITED STATES OF AMERICA
GoldMetalurgica Met-Mex Penoles S.A. De C.V.CID001161MEXICO
GoldMitsubishi Materials CorporationCID001188JAPAN
GoldMitsui Mining and Smelting Co., Ltd.CID001193JAPAN
GoldMMTC-PAMP India Pvt., Ltd.CID002509INDIA
GoldMoscow Special Alloys Processing PlantCID001204RUSSIAN FEDERATION
GoldNadir Metal Rafineri San. Ve Tic. A.S.CID001220TURKEY
GoldNihon Material Co., Ltd.CID001259JAPAN
GoldOgussa Osterreichische Gold- und Silber-Scheideanstalt GmbHCID002779AUSTRIA
GoldOhura Precious Metal Industry Co., Ltd.CID001325JAPAN
GoldOJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)CID001326RUSSIAN FEDERATION
GoldOJSC Novosibirsk RefineryCID000493RUSSIAN FEDERATION
GoldPAMP S.A.CID001352SWITZERLAND
GoldPlanta Recuperadora de Metales SpACID002919CHILE
GoldPrioksky Plant of Non-Ferrous MetalsCID001386RUSSIAN FEDERATION
GoldPT Aneka Tambang (Persero) TbkCID001397INDONESIA
GoldPX Precinox S.A.CID001498SWITZERLAND
GoldRand Refinery (Pty) Ltd.CID001512SOUTH AFRICA
GoldREMONDIS PMR B.V.CID002582NETHERLANDS
GoldRoyal Canadian MintCID001534CANADA
GoldSAAMPCID002761FRANCE
GoldSafimet S.p.ACID002973ITALY
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MetalSmelter NameSmelter IDSmelter Country
GoldSamduck Precious MetalsCID001555KOREA, REPUBLIC OF
GoldSAXONIA Edelmetalle GmbHCID002777GERMANY
GoldSEMPSA Joyeria Plateria S.A.CID001585SPAIN
GoldShandong Zhaojin Gold & Silver Refinery Co., Ltd.CID001622CHINA
GoldSichuan Tianze Precious Metals Co., Ltd.CID001736CHINA
GoldSingway Technology Co., Ltd.CID002516TAIWAN, PROVINCE OF CHINA
GoldSOE Shyolkovsky Factory of Secondary Precious MetalsCID001756RUSSIAN FEDERATION
GoldSolar Applied Materials Technology Corp.CID001761TAIWAN, PROVINCE OF CHINA
GoldSumitomo Metal Mining Co., Ltd.CID001798JAPAN
GoldSungEel HiMetal Co., Ltd.CID002918KOREA, REPUBLIC OF
GoldT.C.A S.p.ACID002580ITALY
GoldTanaka Kikinzoku Kogyo K.K.CID001875JAPAN
GoldThe Refinery of Shandong Gold Mining Co., Ltd.CID001916CHINA
GoldTokuriki Honten Co., Ltd.CID001938JAPAN
GoldTOO Tau-Ken-AltynCID002615KAZAKHSTAN
GoldTorecomCID001955KOREA, REPUBLIC OF
GoldUmicore Brasil Ltda.CID001977BRAZIL
GoldUmicore Precious Metals ThailandCID002314THAILAND
GoldUmicore S.A. Business Unit Precious Metals RefiningCID001980BELGIUM
GoldUnited Precious Metal Refining, Inc.CID001993UNITED STATES OF AMERICA
GoldValcambi S.A.CID002003SWITZERLAND
GoldWestern Australian Mint (T/a The Perth Mint)CID002030AUSTRALIA
GoldWIELAND Edelmetalle GmbHCID002778GERMANY
GoldYamakin Co., Ltd.CID002100JAPAN
GoldYokohama Metal Co., Ltd.CID002129JAPAN
GoldZhongyuan Gold Smelter of Zhongjin Gold CorporationCID002224CHINA
TantalumAsaka Riken Co., Ltd.CID000092JAPAN
TantalumChangsha South Tantalum Niobium Co., Ltd.CID000211CHINA
TantalumD Block Metals, LLCCID002504UNITED STATES OF AMERICA
TantalumExotech Inc.CID000456UNITED STATES OF AMERICA
TantalumF&X Electro-Materials Ltd.CID000460CHINA
TantalumFIR Metals & Resource Ltd.CID002505CHINA
TantalumGlobal Advanced Metals AizuCID002558JAPAN
TantalumGlobal Advanced Metals BoyertownCID002557UNITED STATES OF AMERICA
TantalumGuangdong Zhiyuan New Material Co., Ltd.CID000616CHINA
TantalumH.C. Starck Co., Ltd.CID002544THAILAND
TantalumH.C. Starck Hermsdorf GmbHCID002547GERMANY
TantalumH.C. Starck Inc.CID002548UNITED STATES OF AMERICA
TantalumH.C. Starck Ltd.CID002549JAPAN
TantalumH.C. Starck Smelting GmbH & Co. KGCID002550GERMANY
TantalumH.C. Starck Tantalum and Niobium GmbHCID002545GERMANY
TantalumHengyang King Xing Lifeng New Materials Co., Ltd.CID002492CHINA
TantalumJiangxi Dinghai Tantalum & Niobium Co., Ltd.CID002512CHINA
TantalumJiangxi Tuohong New Raw MaterialCID002842CHINA
10


MetalSmelter NameSmelter IDSmelter Country
TantalumJiuJiang JinXin Nonferrous Metals Co., Ltd.CID000914CHINA
TantalumJiujiang Tanbre Co., Ltd.CID000917CHINA
TantalumJiujiang Zhongao Tantalum & Niobium Co., Ltd.CID002506CHINA
TantalumKEMET Blue MetalsCID002539MEXICO
TantalumLSM Brasil S.A.CID001076BRAZIL
TantalumMetallurgical Products India Pvt., Ltd.CID001163INDIA
TantalumMineracao Taboca S.A.CID001175BRAZIL
TantalumMitsui Mining and Smelting Co., Ltd.CID001192JAPAN
TantalumNingxia Orient Tantalum Industry Co., Ltd.CID001277CHINA
TantalumNPM Silmet ASCID001200ESTONIA
TantalumPRG DooelCID002847NORTH MACEDONIA, REPUBLIC OF
TantalumQuantumCleanCID001508UNITED STATES OF AMERICA
TantalumResind Industria e Comercio Ltda.CID002707BRAZIL
TantalumSolikamsk Magnesium Works OAOCID001769RUSSIAN FEDERATION
TantalumTaki Chemical Co., Ltd.CID001869JAPAN
TantalumTelex MetalsCID001891UNITED STATES OF AMERICA
TantalumUlba Metallurgical Plant JSCCID001969KAZAKHSTAN
TantalumXinXing HaoRong Electronic Material Co., Ltd.CID002508CHINA
TantalumYanling Jincheng Tantalum & Niobium Co., Ltd.CID001522CHINA
TinAlphaCID000292UNITED STATES OF AMERICA
TinChenzhou Yunxiang Mining and Metallurgy Co., Ltd.CID000228CHINA
TinChifeng Dajingzi Tin Industry Co., Ltd.CID003190CHINA
TinChina Tin Group Co., Ltd.CID001070CHINA
TinDowaCID000402JAPAN
TinEM VintoCID000438BOLIVIA (PLURINATIONAL STATE OF)
TinFenix MetalsCID000468POLAND
TinGejiu Kai Meng Industry and Trade LLCCID000942CHINA
TinGejiu Non-Ferrous Metal Processing Co., Ltd.CID000538CHINA
TinGejiu Yunxin Nonferrous Electrolysis Co., Ltd.CID001908CHINA
TinGejiu Zili Mining And Metallurgy Co., Ltd.CID000555CHINA
TinGuangdong Hanhe Non-Ferrous Metal Co., Ltd.CID003116CHINA
TinGuanyang Guida Nonferrous Metal Smelting PlantCID002849CHINA
TinHuiChang Hill Tin Industry Co., Ltd.CID002844CHINA
TinHuichang Jinshunda Tin Co., Ltd.CID000760CHINA
TinJiangxi New Nanshan Technology Ltd.CID001231CHINA
TinLuna Smelter, Ltd.CID003387RWANDA
TinMa'anshan Weitai Tin Co., Ltd.CID003379CHINA
TinMagnu's Minerais Metais e Ligas Ltda.CID002468BRAZIL
TinMalaysia Smelting Corporation (MSC)CID001105MALAYSIA
TinMelt Metais e Ligas S.A.CID002500BRAZIL
TinMetallic Resources, Inc.CID001142UNITED STATES OF AMERICA
TinMetallo Belgium N.V.CID002773BELGIUM
11


MetalSmelter NameSmelter IDSmelter Country
TinMetallo Spain S.L.U.CID002774SPAIN
TinMineracao Taboca S.A.CID001173BRAZIL
TinMinsurCID001182PERU
TinMitsubishi Materials CorporationCID001191JAPAN
TinO.M. Manufacturing (Thailand) Co., Ltd.CID001314THAILAND
TinO.M. Manufacturing Philippines, Inc.CID002517PHILIPPINES
TinOperaciones Metalurgicas S.A.CID001337BOLIVIA (PLURINATIONAL STATE OF)
TinPT Artha Cipta LanggengCID001399INDONESIA
TinPT ATD Makmur Mandiri JayaCID002503INDONESIA
TinPT Menara Cipta MuliaCID002835INDONESIA
TinPT Mitra Stania PrimaCID001453INDONESIA
TinPT Refined Bangka TinCID001460INDONESIA
TinPT Timah Tbk KundurCID001477INDONESIA
TinPT Timah Tbk MentokCID001482INDONESIA
TinResind Industria e Comercio Ltda.CID002706BRAZIL
TinRui Da HungCID001539TAIWAN, PROVINCE OF CHINA
TinSoft Metais Ltda.CID001758BRAZIL
TinThai Nguyen Mining and Metallurgy Co., Ltd.CID002834VIET NAM
TinThaisarcoCID001898THAILAND
TinTin Technology & RefiningCID003325UNITED STATES OF AMERICA
TinWhite Solder Metalurgia e Mineracao Ltda.CID002036BRAZIL
TinYunnan Chengfeng Non-ferrous Metals Co., Ltd.CID002158CHINA
TinYunnan Tin Company LimitedCID002180CHINA
TinYunnan Yunfan Non-ferrous Metals Co., Ltd.CID003397CHINA
TungstenA.L.M.T. Corp.CID000004JAPAN
TungstenACL Metais EireliCID002833BRAZIL
TungstenAsia Tungsten Products Vietnam Ltd.CID002502VIET NAM
TungstenChenzhou Diamond Tungsten Products Co., Ltd.CID002513CHINA
TungstenChongyi Zhangyuan Tungsten Co., Ltd.CID000258CHINA
TungstenFujian Ganmin RareMetal Co., Ltd.CID003401CHINA
TungstenFujian Jinxin Tungsten Co., Ltd.CID000499CHINA
TungstenGanzhou Haichuang Tungsten Co., Ltd.CID002645CHINA
TungstenGanzhou Huaxing Tungsten Products Co., Ltd.CID000875CHINA
TungstenGanzhou Jiangwu Ferrotungsten Co., Ltd.CID002315CHINA
TungstenGanzhou Seadragon W & Mo Co., Ltd.CID002494CHINA
TungstenGlobal Tungsten & Powders Corp.CID000568UNITED STATES OF AMERICA
TungstenGuangdong Xianglu Tungsten Co., Ltd.CID000218CHINA
TungstenH.C. Starck Smelting GmbH & Co. KGCID002542GERMANY
TungstenH.C. Starck Tungsten GmbHCID002541GERMANY
TungstenHunan Chenzhou Mining Co., Ltd.CID000766CHINA
TungstenHunan Chuangda Vanadium Tungsten Co., Ltd. WujiCID002579CHINA
TungstenHunan Chunchang Nonferrous Metals Co., Ltd.CID000769CHINA
12


MetalSmelter NameSmelter IDSmelter Country
TungstenHunan Litian Tungsten Industry Co., Ltd.CID003182CHINA
TungstenHydrometallurg, JSCCID002649RUSSIAN FEDERATION
TungstenJapan New Metals Co., Ltd.CID000825JAPAN
TungstenJiangwu H.C. Starck Tungsten Products Co., Ltd.CID002551CHINA
TungstenJiangxi Gan Bei Tungsten Co., Ltd.CID002321CHINA
TungstenJiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.CID002318CHINA
TungstenJiangxi Xinsheng Tungsten Industry Co., Ltd.CID002317CHINA
TungstenJiangxi Yaosheng Tungsten Co., Ltd.CID002316CHINA
TungstenKennametal FallonCID000966UNITED STATES OF AMERICA
TungstenKennametal HuntsvilleCID000105UNITED STATES OF AMERICA
TungstenKGETS Co., Ltd.CID003388KOREA, REPUBLIC OF
TungstenLianyou Metals Co., Ltd.CID003407TAIWAN, PROVINCE OF CHINA
TungstenMalipo Haiyu Tungsten Co., Ltd.CID002319CHINA
TungstenMasan Tungsten Chemical LLC (MTC)CID002543VIET NAM
TungstenMoliren Ltd.CID002845RUSSIAN FEDERATION
TungstenNiagara Refining LLCCID002589UNITED STATES OF AMERICA
TungstenPhilippine Chuangxin Industrial Co., Inc.CID002827PHILIPPINES
TungstenTejing (Vietnam) Tungsten Co., Ltd.CID001889VIET NAM
TungstenUnecha Refractory metals plantCID002724RUSSIAN FEDERATION
TungstenWolfram Bergbau und Hutten AGCID002044AUSTRIA
TungstenWoltech Korea Co., Ltd.CID002843KOREA, REPUBLIC OF
TungstenXiamen Tungsten (H.C.) Co., Ltd.CID002320CHINA
TungstenXiamen Tungsten Co., Ltd.CID002082CHINA
TungstenXinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.CID002830CHINA
TungstenXinhai Rendan Shaoguan Tungsten Co., Ltd.CID002095CHINA

13



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, 2020.
MetalSmelter NameSmelter IDSmelter Country
GoldAfrican Gold RefineryCID003185UGANDA
GoldCGR Metalloys Pvt Ltd.CID003382INDIA
GoldDaye Non-Ferrous Metals Mining Ltd.CID000343CHINA
GoldDegussa Sonne / Mond Goldhandel GmbHCID002867GERMANY
GoldDijllah Gold Refinery FZCCID003348UNITED ARAB EMIRATES
GoldFujairah Gold FZCCID002584UNITED ARAB EMIRATES
GoldGCC Gujrat Gold Centre Pvt. Ltd.CID002852INDIA
GoldGold Coast RefineryCID003186GHANA
GoldGreat Wall Precious Metals Co., Ltd. of CBPMCID001909CHINA
GoldGuangdong Jinding Gold LimitedCID002312CHINA
GoldGuoda Safina High-Tech Environmental Refinery Co., Ltd.CID000651CHINA
GoldHangzhou Fuchunjiang Smelting Co., Ltd.CID000671CHINA
GoldHunan Chenzhou Mining Co., Ltd.CID000767CHINA
GoldHunan Guiyang yinxing Nonferrous Smelting Co., Ltd.CID000773CHINA
GoldInternational Precious Metal RefinersCID002562UNITED ARAB EMIRATES
GoldJALAN & CompanyCID002893INDIA
GoldKazakhmys Smelting LLCCID000956KAZAKHSTAN
GoldKundan Care Products Ltd.CID003463INDIA
GoldKyshtym Copper-Electrolytic Plant ZAOCID002865RUSSIAN FEDERATION
GoldLingbao Gold Co., Ltd.CID001056CHINA
GoldLingbao Jinyuan Tonghui Refinery Co., Ltd.CID001058CHINA
GoldLuoyang Zijin Yinhui Gold Refinery Co., Ltd.CID001093CHINA
GoldNavoi Mining and Metallurgical CombinatCID001236UZBEKISTAN
GoldPease & CurrenCID002872UNITED STATES OF AMERICA
GoldPenglai Penggang Gold Industry Co., Ltd.CID001362CHINA
GoldQG Refining, LLCCID003324UNITED STATES OF AMERICA
GoldRefinery of Seemine Gold Co., Ltd.CID000522CHINA
GoldSabin Metal Corp.CID001546UNITED STATES OF AMERICA
GoldSAFINA A.S.CID002290CZECH REPUBLIC
GoldSai RefineryCID002853INDIA
GoldShandong Humon Smelting Co., Ltd.CID002525CHINA
GoldShandong Tiancheng Biological Gold Industrial Co., Ltd.CID001619CHINA
GoldShirpur Gold Refinery Ltd.CID002588INDIA
GoldSovereign MetalsCID003383INDIA
GoldState Research Institute Center for Physical Sciences and TechnologyCID003153LITHUANIA
GoldSudan Gold RefineryCID002567SUDAN
GoldTongling Nonferrous Metals Group Co., Ltd.CID001947CHINA
GoldYunnan Copper Industry Co., Ltd.CID000197CHINA
TantalumCP Metals Inc.CID003402UNITED STATES OF AMERICA
TinAn Vinh Joint Stock Mineral Processing CompanyCID002703VIET NAM
TinEstanho de Rondonia S.A.CID000448BRAZIL
TinGejiu City Fuxiang Industry and Trade Co., Ltd.CID003410CHINA
TinNghe Tinh Non-Ferrous Metals Joint Stock CompanyCID002573VIET NAM
TinPrecious Minerals and Smelting LimitedCID003409INDIA
14


MetalSmelter NameSmelter IDSmelter Country
TinSuper LigasCID002756BRAZIL
TinTuyen Quang Non-Ferrous Metals Joint Stock CompanyCID002574VIET NAM
TungstenAlbasteel Industria e Comercio de Ligas Para Fundicao Ltd.CID003427BRAZIL
TungstenChina Molybdenum Co., Ltd.CID002641CHINA
TungstenCNMC (Guangxi) PGMA Co., Ltd.CID000281CHINA
TungstenCP Metals Inc.CID003448UNITED STATES OF AMERICA
TungstenGEM Co., Ltd.CID003417CHINA
TungstenJiangxi Xianglu Tungsten Co., Ltd.CID002647CHINA
TungstenJSC "Kirovgrad Hard Alloys Plant"CID003408RUSSIAN FEDERATION
TungstenNPP Tyazhmetprom LLCCID003416RUSSIAN FEDERATION
15