Lam Research Corporation
LAM RESEARCH CORP (Form: SD, Received: 05/31/2017 16:15:15)


UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM SD
SPECIALIZED DISCLOSURE REPORT

LAM RESEARCH CORPORATION
(Exact name of registrant as specified in its charter)
 
 
Delaware
 
0-12933
 
94-2634797
(State or Other Jurisdiction
of Incorporation)
 
(Commission
File Number)
 
(IRS Employer
Identification Number)
4650 Cushing Parkway
Fremont, California 94538
(Address of principal executive offices, including zip code)
Douglas R. Bettinger
Executive Vice President and Chief Financial Officer
(510) 572-0200
(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

Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2016.






Item 1.01     Conflict Minerals Disclosure and Report

Conflict Minerals Disclosure

Lam Research Corporation (the “Company”) conducted in good faith a reasonable country of origin inquiry regarding the conflict minerals (as defined in Form SD) that are necessary to the functionality or production of products that the Company manufactured or contracted to have manufactured in calendar year 2016 (the “Covered Minerals”). The inquiry was reasonably designed to determine if the Covered Minerals originated in the Democratic Republic of the Congo or an adjoining country or are from recycled or scrap sources.

The Company has determined that it is required to file, and has filed, a Conflict Minerals Report as Exhibit 1.01 to this Form SD. The Conflict Minerals Report is also publicly available at http://investor.lamresearch.com/sec.cfm . The content on any web site referred to in this Form SD is not incorporated by reference into this Form SD unless expressly noted.

Item 1.02.      Exhibit.

The Company’s Conflict Mineral Report is included as Exhibit 1.01 to this report.

Section 2 - Exhibits

Item 2.01.      Exhibits.

Exhibit Number
Description
1.01
Conflict Minerals Report of Lam Research Corporation.




2




SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the Company has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
Date:
May 31, 2017
 
LAM RESEARCH CORPORATION
 
 
 
(Registrant)
 
                                                                   By:
 
/s/ Sarah A. O'Dowd
 
 
 
Sarah A. O'Dowd

 
 
 
Senior Vice President, Chief Legal Officer and Secretary
 
 
 
 
 


3



EXHIBIT INDEX
Exhibit No.
Description
1.01
Conflict Minerals Report of Lam Research Corporation.


4



Exhibit 1.01

LAM RESEARCH CORPORATION
CONFLICT MINERALS REPORT
For the reporting period from January 1, 2016 through December 31, 2016
This Conflict Minerals Report (this “Report”) of Lam Research Corporation (including its consolidated subsidiaries, the “Company”, “Lam”, “we” or “our”) has been prepared pursuant to Rule 13p-1 and Form SD promulgated under the Securities Exchange Act of 1934, for the reporting period January 1, 2016 through December 31, 2016 (the “Reporting Period”).
Rule 13p-1, through Form SD, requires the disclosure of certain information if a company manufactures or contracts to manufacture products for which certain “Subject Minerals” (as defined below) are necessary to the functionality or production of such products. “Subject Minerals” are defined herein as: (i)(a) columbite-tantalite (or coltan), (b) cassiterite, (c) gold and (d) wolframite, or their derivatives, which are currently limited to tantalum, tin and tungsten; or (ii) any other mineral or its derivatives determined by the U.S. Secretary of State to be financing conflict in the Democratic Republic of the Congo (“DRC”) or a country that shares an internationally recognized border with the DRC (collectively, the “Covered Countries”).
Our operations may at times manufacture, or contract to manufacture, products for which Subject Minerals are necessary to the functionality or production of those products (collectively, our “products” and, individually, a “product”). As required by Form SD, we have conducted a good faith reasonable country of origin inquiry regarding the Subject Minerals included in our products manufactured or contracted to be manufactured during the Reporting Period (collectively, our “in-scope products” and, individually, an “in-scope product”), to determine whether any of such Subject Minerals originated in the Covered Countries and/or whether any of such Subject Minerals may be from recycled or scrap sources. Where applicable, we have conducted additional due diligence regarding the sources of the Subject Minerals contained in our in-scope products. The results of our reasonable country of origin inquiry regarding the Subject Minerals contained in our in-scope products, as well as our additional due diligence regarding the sources of such Subject Minerals, are contained in this Report.

I.      Product Overview
The following Lam products are within the scope of Rule 13p-1 and Form SD.
1. Etch Products
A series of wafer fabrication products that selectively remove materials from the wafer to create features and patterns of a device:
a.
Kiyo® product family
b.
Versys® Metal product family
c.
Flex™ product family
d.
Syndion® product family

2. Deposition Products
A series of high-productivity thin film deposition systems that form a device’s sub-microscopic layers of conducting (metal) or insulating (dielectric) materials:
a.
SABRE® product family
b.
ALTUS® product family
c.
VECTOR® product family
d.
SPEED® product family
e.
SOLA® product family

3. Clean Products
A series of single-wafer wet and plasma-based wafer cleaning products that remove particles and residues from the wafer surface before and after adjacent processes:
a.
DV-Prime®





b.
Da Vinci®
c.
SP Series
d.
Coronus® product family
e.
EOS®

4. Legacy Products
Multiple series of refurbished and newly built previous-generation products from Lam, as the original equipment manufacturer (“OEM”), for applications that do not require the most advanced wafer processing capability.

II.
Reasonable Country of Origin Inquiry (“RCOI”)
During the Reporting Period, we took the following measures, based on the Organisation for Economic Cooperation and Development’s (“OECD”) due diligence framework, to determine the source and chain of custody for the Subject Minerals contained in our in-scope products.
To determine whether Subject Minerals included in our in-scope products originated in Covered Countries, we retained Assent Compliance (“Assent”), a third party service provider, to assist us in reviewing our supply chain. We provided to Assent a list composed of those direct-spend suppliers with which we spent at least $10,000 during the Reporting Period and which we believed could provide materials containing Subject Minerals (collectively, the “Covered Suppliers”). We determined it was impractical to exclude from this list all irrelevant suppliers because we could not reasonably determine in all cases the presence or absence of Subject Minerals in all materials supplied for inclusion in our in-scope products.
We used the Conflict Minerals Reporting Template (“CMRT”), a resource provided by the Conflict-Free Sourcing Initiative (the “CFSI”), to conduct a survey of the Covered Suppliers. We requested that such suppliers complete version 4.10 or higher of the CMRT and return it to Assent. Responses to the CMRT allowed for some elimination of irrelevant suppliers, based on responses indicating that the Subject Minerals used by such suppliers are not necessary to the functionality or production of their products. We also periodically reviewed the Covered Supplier list to ensure that irrelevant or “out of scope” suppliers were removed from the survey process based on the most current information available.
Assent requested that all Covered Suppliers complete a CMRT and made available training and educational resources to guide suppliers on best practices and the use of the CMRT. Assent monitored and tracked all communications for future reporting and transparency. All Covered Suppliers that were unresponsive to the initial request were contacted a minimum of three times to encourage them to submit a valid and complete CMRT.
Assent subjected all submitted CMRTs to automated data validation in order to identify in accurate submissions and contradictory answers. Covered Suppliers were contacted regarding invalid forms and encouraged to resubmit a valid form. As of April 20, 2017, there were 23 invalid supplier submissions that had not been corrected.

Based upon the measures described above, we were unable to determine whether our in-scope products contain Subject Minerals originating in the Covered Countries. As a result, we exercised due diligence on the source and chain of custody of Subject Minerals in our supply chain as described in Part III below.
III.
Due Diligence and Risk Mitigation
Our due diligence process, which significantly overlaps our RCOI process described above, is based on the OECD’s due diligence guidance. In addition to the RCOI, we have done the following since the start of 2016 to determine the mine or location of origin for the Subject Minerals contained in our in-scope products:
1.      Company Management Systems
a.      Conflict Minerals Policy Statement
We have adopted and communicated to suppliers and to the public a Conflict Minerals Policy Statement. A copy of the Policy Statement is publicly available at http://www.lamresearch.com/company/corporate-social-responsibility/supply-chain . The content on any web site referred to in this Report is not incorporated by reference into this Report unless expressly noted.





b.
Maintain Appropriate Organizational Structure to Support Due Diligence
We have established an organizational structure to support our due diligence process that includes processes for handling requests for information, escalations to management regarding issues or problems, surveying of suppliers, and documentation of any responses and red flags associated therewith.
Our due diligence process is carried out by individuals in our supply chain organization, who are supported by an inter-disciplinary support team comprised of members of the legal department, finance, engineering, customer account teams and environmental health and safety departments to help address any questions associated with the reasonable country of origin inquiry and/or due diligence process. We also use a third-party service provider, Assent Compliance, to assist with evaluating supply chain information regarding Subject Minerals and in the development and implementation of due diligence steps. In addition, we have provided reports and briefings on the requirements of Rule 13p-1 to Company management.
c.
System of Controls and Transparency
We survey Covered Suppliers using the CMRT, as described in Part II above, in order to identify the source and chain of custody for the Subject Minerals contained in our in-scope products. We employ automated tool hosted by Assent in order to validate submitted CMRTs. Records relating to our conflict minerals program, including supplier responses to CMRTs, are retained for at least five years, in accordance with our record retention policies.
d.      Supplier Engagement
We expect our suppliers to have policies in place to reasonably assure that any Subject Minerals used in the production of the products sold to us are DRC conflict-free. This means that the products do not contain Subject Minerals that directly or indirectly finance or benefit armed groups that are perpetrators of serious human rights abuses in the Covered Countries.
We continue to include a standard provision in the terms and conditions of our purchase orders requiring our suppliers to promptly provide accurate, complete and timely information and documentation to assist us as we may request to comply with Rule 13p-1 and Form SD. This includes disclosing whether any of the suppliers’ deliverables contain Subject Minerals and, if so, providing such information as we may request to allow us to determine whether such Subject Minerals are DRC conflict free (as such term is defined in Form SD). We have also incorporated similar requirements into relevant commonly-used supplier contract templates to further strengthen supplier engagement in the due diligence process.
This year, we made available to Covered Suppliers access to training and educational resources to guide them on best practices and the use of the CMRT, including access to Assent’s Conflict Minerals training course. This training was tracked and evaluated based on completion. All suppliers are encouraged to complete all modules within this course.
e.      Grievance Mechanism
Our employees, contractors and consultants may report suspected violations of our policies, including our Conflict Minerals Policy Statement, using our Ethics Helpline. Suppliers and others outside of the Company may contact our supply chain organization to communicate with us, including to report grievances.
2.      Identify and Assess Risks in the Supply Chain
Our survey of Covered Suppliers using the CMRT, as described in Part II above, is designed to identify the source and chain of custody for the Subject Minerals contained in our in-scope products. The responses of Covered Suppliers to these surveys are then used to identify risks in our supply chain.
Assent analyzed survey responses provided by Covered Suppliers, contacted Covered Suppliers for additional information, and gathered other pertinent data, in order to identify and assess risks. These risk assessments are reviewed with members of our supply chain organization.
Many Covered Suppliers indicated that they received information regarding their supply chains from fewer than 75% of their suppliers and, therefore, could not provide a comprehensive list of all smelters or refiners in their supply chains.  

Responses provided by Covered Suppliers using the CMRT included the names of facilities identified by those suppliers as smelters or refiners.  Assent compared these facilities with the list of smelters and refiners maintained by the CFSI and, if a supplier indicated that the facility was certified as “conflict-free,” confirmed that the facility had been given that designation by the CFSI. Assent assigns each CFSI-recognized smelter or refiner a relative risk designation based on several





factors, including geographic proximity to the DRC and Covered Countries, and whether a smelter or refiner has committed to a third party audit.

In addition, Covered Suppliers were evaluated by Assent on the strength of their programs based on criteria including:
Whether the supplier has a policy in place that includes DRC conflict-free sourcing;
Whether the supplier has implemented due diligence measures for conflict-free sourcing;
Whether the supplier verifies due diligence information received from its suppliers; and
Whether the supplier’s verification process includes corrective action management.

Suppliers who Assent determines do not meet or exceed these criteria are expected to receive educational material from Assent on how to improve their conflict minerals programs.

3.      Design and Implement Strategy to Respond to Identified Risks
a.      Devise and Implement Risk Management Plan
Our risk management plan to respond to any situations which might arise involving Subject Minerals contained in our in-scope products being identified as sourced from the Covered Countries includes: carrying out the due diligence described in this Report; understanding the products impacted by any supplied materials identified as containing Subject Minerals; understanding the extent of our reliance on such materials; undertaking additional due diligence and risk mitigation to respond to identified risks; and communicating to our suppliers that any Subject Minerals should be sourced responsibly wherever possible.
When Assent determined that, according to its criteria, a smelter or refiner reported on a CMRT by one of our Covered Suppliers potentially posed a risk, risk mitigation activities are initiated. Assent responded to CMRT submissions identifying any such smelter or refiner with instructions to the supplier to take risk mitigation actions. As per the OECD Due Diligence Guidance, the appropriate risk mitigation depends on the supplier’s specific position in the supply chain. Suppliers are given clear performance objectives within reasonable timeframes with the goal of reducing these potential risks from the supply chain.
In addition, Suppliers identifying smelters or refiners deemed by Assent to potentially pose a risk were requested to submit a product-specific CMRT, to allow us to better identify any connection between such a smelter or refiner and the products being supplied to us.
b.
Reporting of Findings to Management
We apprise members of senior management of the results of the RCOI and due diligence process to allow for any appropriate feedback and guidance.
4.
Independent Third-Party Audit of Smelter’s / Refiner’s Due Diligence Practices
We rely on third party audits of smelters and refiners such as those carried out through the CFSI’s Conflict-Free Smelter Program (“CFSP”). To the extent that other audited supplier certifications are provided to the Company, the Company may consider reliance on a case-by-case basis.
5.      Report Annually on Supply Chain Due Diligence
This Report and our prior annual Conflict Minerals Reports for calendar years 2013, 2014 and 2015 are publicly available at http://investor.lamresearch.com/sec.cfm .
IV.
Results of Due Diligence
Based solely on information that was provided by the Covered Suppliers (as described above), as of April 20, 2017, we have validated as CFSI-recognized 313 of the potential smelters or refiners identified by Covered Suppliers. These potential smelters or refiners are listed in the table set forth in Appendix A to this Report. By CFSI-recognized, we mean that the entities have been confirmed by Assent to be properly classified as smelters or refiners using the “Smelter Reference List” maintained by the CFSI. Of the 313 CFSI-recognized smelters and refiners identified by the Covered Suppliers, 246 have been identified by the CFSI as “compliant” with the CFSP’s third-party audit protocol, and another 12 have been identified by the CFSI as “active”, meaning they have agreed to undergo or are currently undergoing a third-party audit and are progressing through the audit and/or post-audit corrective action process.





The majority of the survey responses we received from the Covered Suppliers provided smelter and refiner data only at a company or divisional level, and did not identify the specific smelters or refiners providing Subject Materials contained in products being sold to Lam, nor did they identify the country or countries or origin. Because of the lack of product-level responses, our list of potential smelters and refiners in Appendix A may contain more smelters and refiners than those that actually processed the Subject Minerals contained in products supplied to us. In addition, we do not have adequate information to be able to determine the specific countries of origin of the Subject Minerals processed by those smelters and refiners. Therefore, for the Reporting Period, we were unable to determine whether or not Subject Minerals in our in-scope products originated from the smelters and refiners listed in Appendix A, nor were we able to determine the countries of origin of those Subject Minerals.
As our engagement with the supply chain for our products evolves and matures, this list of potential smelters and refiners may change to reflect improvements in the quality of information provided to us.
V.      Continuous Improvement
In order to improve our due diligence, we currently intend to make available to Covered Suppliers information and training resources regarding responsible sourcing of Subject Minerals.

Forward-Looking Statement Disclaimer
Statements made in this Report that are not of historical fact are forward-looking statements and are subject to the safe harbor provisions of the Private Securities Litigation Reform Act of 1995. Such forward-looking statements relate to, but are not limited to, those regarding the Company’s expected future supplier due diligence, engagement and risk mitigation efforts, and development of related due diligence and risk mitigation processes. Some factors that may affect these forward-looking statements include: statutory and regulatory changes and judicial developments relating to conflict minerals disclosure; changes in our supply chain, components and parts, or products; and industry developments relating to supply chain diligence, risk mitigation, disclosure and other practices. These forward-looking statements are based on current expectations and are subject to uncertainties and changes in condition, significance, value and effect as well as other risks, including those detailed in documents filed by us with the Securities and Exchange Commission. These uncertainties and changes could cause actual results to vary from expectations. The Company undertakes no obligation to update the information or statements made in this Report.





Appendix A:
Potential Smelter and Refiner List
Metal
 Name of Smelter or Refiner
 Smelter ID
Facility Location
 CFSI Audit Status
Gold
Abington Reldan Metals, LLC
CID002708
United States
Active
Gold
Advanced Chemical Company
CID000015
United States
Compliant
Gold
Aida Chemical Industries Co., Ltd.
CID000019
Japan
Compliant
Gold
Al Etihad Gold Refinery DMCC
CID002560
United Arab Emirates
Compliant
Gold
Allgemeine Gold-und Silberscheideanstalt A.G.
CID000035
Germany
Compliant
Gold
Almalyk Mining and Metallurgical Complex (AMMC)
CID000041
Uzbekistan
Compliant
Gold
AngloGold Ashanti Córrego do Sítio Mineração
CID000058
Brazil
Compliant
Gold
Argor-Heraeus S.A.
CID000077
Switzerland
Compliant
Gold
Asahi Pretec Corp.
CID000082
Japan
Compliant
Gold
Asahi Refining Canada Ltd.
CID000924
Canada
Compliant
Gold
Asahi Refining USA Inc.
CID000920
United States
Compliant
Gold
Asaka Riken Co., Ltd.
CID000090
Japan
Compliant
Gold
Atasay Kuyumculuk Sanayi Ve Ticaret A.S.
CID000103
Turkey
Not Enrolled
Gold
AU Traders and Refiners
CID002850
South Africa
Compliant
Gold
AURA-II
CID002851
United States
Not Enrolled
Gold
Aurubis AG
CID000113
Germany
Compliant
Gold
Bangalore Refinery
CID002863
India
Active
Gold
Bangko Sentral ng Pilipinas (Central Bank of the Philippines)
CID000128
Philippines
Compliant
Gold
Boliden AB
CID000157
Sweden
Compliant
Gold
C. Hafner GmbH + Co. KG
CID000176
Germany
Compliant
Gold
Caridad
CID000180
Mexico
Not Enrolled
Gold
CCR Refinery - Glencore Canada Corporation
CID000185
Canada
Compliant
Gold
Cendres + Métaux S.A.
CID000189
Switzerland
Active
Gold
Chimet S.p.A.
CID000233
Italy
Compliant
Gold
Chugai Mining
CID000264
Japan
Not Enrolled
Gold
Daejin Indus Co., Ltd.
CID000328
Korea, Republic Of
Compliant
Gold
Daye Non-Ferrous Metals Mining Ltd.
CID000343
China
Not Enrolled
Gold
Degussa Sonne / Mond Goldhandel GmbH
CID002867
Germany
Not Enrolled
Gold
DODUCO GmbH
CID000362
Germany
Compliant
Gold
Dowa
CID000401
Japan
Compliant
Gold
DSC (Do Sung Corporation)
CID000359
Korea, Republic Of
Compliant
Gold
Eco-System Recycling Co., Ltd.
CID000425
Japan
Compliant
Gold
Elemetal Refining, LLC
CID001322
United States
Compliant
Gold
Emirates Gold DMCC
CID002561
United Arab Emirates
Compliant
Gold
Fidelity Printers and Refiners Ltd.
CID002515
Zimbabwe
Not Enrolled
Gold
Gansu Seemine Material Hi-Tech Co., Ltd.
CID000522
China
Not Enrolled
Gold
Geib Refining Corporation
CID002459
United States
Active
Gold
Great Wall Precious Metals Co., Ltd. of CBPM
CID001909
China
Not Enrolled
Gold
Guangdong Jinding Gold Limited
CID002312
China
Not Enrolled
Gold
Gujarat Gold Centre
CID002852
India
Not Enrolled





Gold
Guoda Safina High-Tech Environmental Refinery Co., Ltd.
CID000651
China
Not Enrolled
Gold
Hangzhou Fuchunjiang Smelting Co., Ltd.
CID000671
China
Not Enrolled
Gold
Heimerle + Meule GmbH
CID000694
Germany
Compliant
Gold
Heraeus Ltd. Hong Kong
CID000707
China
Compliant
Gold
Heraeus Precious Metals GmbH & Co. KG
CID000711
Germany
Compliant
Gold
Hunan Chenzhou Mining Co., Ltd.
CID000767
China
Not Enrolled
Gold
Hwasung CJ Co., Ltd.
CID000778
Korea, Republic Of
Not Enrolled
Gold
Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.
CID000801
China
Compliant
Gold
Ishifuku Metal Industry Co., Ltd.
CID000807
Japan
Compliant
Gold
Istanbul Gold Refinery
CID000814
Turkey
Compliant
Gold
Japan Mint
CID000823
Japan
Compliant
Gold
Jiangxi Copper Co., Ltd.
CID000855
China
Compliant
Gold
JSC Ekaterinburg Non-Ferrous Metal Processing Plant
CID000927
Russian Federation
Compliant
Gold
JSC Uralelectromed
CID000929
Russian Federation
Compliant
Gold
JX Nippon Mining & Metals Co., Ltd.
CID000937
Japan
Compliant
Gold
Kaloti Precious Metals
CID002563
United Arab Emirates
Not Enrolled
Gold
Kazakhmys Smelting LLC
CID000956
Kazakhstan
Not Enrolled
Gold
Kazzinc
CID000957
Kazakhstan
Compliant
Gold
Kennecott Utah Copper LLC
CID000969
United States
Compliant
Gold
KGHM Polska MiedŸ Spó³ka Akcyjna
CID002511
Poland
Active
Gold
Kojima Chemicals Co., Ltd.
CID000981
Japan
Compliant
Gold
Korea Zinc Co., Ltd.
CID002605
Korea, Republic Of
Compliant
Gold
Kyrgyzaltyn JSC
CID001029
Kyrgyzstan
Compliant
Gold
L'azurde Company For Jewelry
CID001032
Saudi Arabia
Not Enrolled
Gold
Lingbao Gold Co., Ltd.
CID001056
China
Not Enrolled
Gold
Lingbao Jinyuan Tonghui Refinery Co., Ltd.
CID001058
China
Not Enrolled
Gold
LS-NIKKO Copper Inc.
CID001078
Korea, Republic Of
Compliant
Gold
Luoyang Zijin Yinhui Gold Refinery Co., Ltd.
CID001093
China
Not Enrolled
Gold
Materion
CID001113
United States
Compliant
Gold
Matsuda Sangyo Co., Ltd.
CID001119
Japan
Compliant
Gold
Metalor Technologies (Hong Kong) Ltd.
CID001149
China
Compliant
Gold
Metalor Technologies (Singapore) Pte., Ltd.
CID001152
Singapore
Compliant
Gold
Metalor Technologies (Suzhou) Ltd.
CID001147
China
Compliant
Gold
Metalor Technologies S.A.
CID001153
Switzerland
Compliant
Gold
Metalor USA Refining Corporation
CID001157
United States
Compliant
Gold
Metalúrgica Met-Mex Peñoles S.A. De C.V.
CID001161
Mexico
Compliant
Gold
Mitsubishi Materials Corporation
CID001188
Japan
Compliant
Gold
Mitsui Mining and Smelting Co., Ltd.
CID001193
Japan
Compliant
Gold
MMTC-PAMP India Pvt., Ltd.
CID002509
India
Compliant
Gold
Modeltech Sdn Bhd
CID002857
Malaysia
Not Enrolled
Gold
Morris and Watson
CID002282
New Zealand
Not Enrolled
Gold
Moscow Special Alloys Processing Plant
CID001204
Russian Federation
Compliant
Gold
Nadir Metal Rafineri San. Ve Tic. A.ª.
CID001220
Turkey
Compliant





Gold
Navoi Mining and Metallurgical Combinat
CID001236
Uzbekistan
Active
Gold
Nihon Material Co., Ltd.
CID001259
Japan
Compliant
Gold
Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH
CID002779
Austria
Compliant
Gold
Ohura Precious Metal Industry Co., Ltd.
CID001325
Japan
Compliant
Gold
OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)
CID001326
Russian Federation
Compliant
Gold
OJSC Novosibirsk Refinery
CID000493
Russian Federation
Compliant
Gold
PAMP S.A.
CID001352
Switzerland
Compliant
Gold
Penglai Penggang Gold Industry Co., Ltd.
CID001362
China
Not Enrolled
Gold
Prioksky Plant of Non-Ferrous Metals
CID001386
Russian Federation
Compliant
Gold
PT Aneka Tambang (Persero) Tbk
CID001397
Indonesia
Compliant
Gold
PX Précinox S.A.
CID001498
Switzerland
Compliant
Gold
Rand Refinery (Pty) Ltd.
CID001512
South Africa
Compliant
Gold
Remondis Argentia B.V.
CID002582
Netherlands
Not Enrolled
Gold
Republic Metals Corporation
CID002510
United States
Compliant
Gold
Royal Canadian Mint
CID001534
Canada
Compliant
Gold
SAAMP
CID002761
France
Not Enrolled
Gold
Sabin Metal Corp.
CID001546
United States
Not Enrolled
Gold
SAFINA A.S.
CID002290
Czech Republic
Not Enrolled
Gold
Sai Refinery
CID002853
India
Not Enrolled
Gold
Samduck Precious Metals
CID001555
Korea, Republic Of
Compliant
Gold
SAMWON Metals Corp.
CID001562
Korea, Republic Of
Not Enrolled
Gold
SAXONIA Edelmetalle GmbH
CID002777
Germany
Compliant
Gold
Schone Edelmetaal B.V.
CID001573
Netherlands
Compliant
Gold
SEMPSA Joyería Platería S.A.
CID001585
Spain
Compliant
Gold
Shandong Tiancheng Biological Gold Industrial Co., Ltd.
CID001619
China
Not Enrolled
Gold
Shandong Zhaojin Gold & Silver Refinery Co., Ltd.
CID001622
China
Compliant
Gold
Sichuan Tianze Precious Metals Co., Ltd.
CID001736
China
Compliant
Gold
Singway Technology Co., Ltd.
CID002516
Taiwan
Compliant
Gold
So Accurate Group, Inc.
CID001754
United States
Not Enrolled
Gold
SOE Shyolkovsky Factory of Secondary Precious Metals
CID001756
Russian Federation
Compliant
Gold
Solar Applied Materials Technology Corp.
CID001761
Taiwan
Compliant
Gold
Sudan Gold Refinery
CID002567
Sudan
Not Enrolled
Gold
Sumitomo Metal Mining Co., Ltd.
CID001798
Japan
Compliant
Gold
T.C.A S.p.A
CID002580
Italy
Compliant
Gold
Tanaka Kikinzoku Kogyo K.K.
CID001875
Japan
Compliant
Gold
The Refinery of Shandong Gold Mining Co., Ltd.
CID001916
China
Compliant
Gold
Tokuriki Honten Co., Ltd.
CID001938
Japan
Compliant
Gold
Tongling Nonferrous Metals Group Co., Ltd.
CID001947
China
Not Enrolled
Gold
Tony Goetz NV
CID002587
Belgium
Active
Gold
TOO Tau-Ken-Altyn
CID002615
Kazakhstan
Not Enrolled
Gold
Torecom
CID001955
Korea, Republic Of
Compliant
Gold
Umicore Brasil Ltda.
CID001977
Brazil
Compliant





Gold
Umicore Precious Metals Thailand
CID002314
Thailand
Compliant
Gold
Umicore S.A. Business Unit Precious Metals Refining
CID001980
Belgium
Compliant
Gold
United Precious Metal Refining, Inc.
CID001993
United States
Compliant
Gold
Universal Precious Metals Refining Zambia
CID002854
Zambia
Not Enrolled
Gold
Valcambi S.A.
CID002003
Switzerland
Compliant
Gold
Western Australian Mint trading as The Perth Mint
CID002030
Australia
Compliant
Gold
WIELAND Edelmetalle GmbH
CID002778
Germany
Compliant
Gold
Yamamoto Precious Metal Co., Ltd.
CID002100
Japan
Compliant
Gold
Yokohama Metal Co., Ltd.
CID002129
Japan
Compliant
Gold
Yunnan Copper Industry Co., Ltd.
CID000197
China
Not Enrolled
Gold
Zhongyuan Gold Smelter of Zhongjin Gold Corporation
CID002224
China
Compliant
Gold
Zijin Mining Group Co., Ltd. Gold Refinery
CID002243
China
Compliant
Tantalum
Changsha South Tantalum Niobium Co., Ltd.
CID000211
China
Compliant
Tantalum
Conghua Tantalum and Niobium Smeltry
CID000291
China
Compliant
Tantalum
D Block Metals, LLC
CID002504
United States
Compliant
Tantalum
Duoluoshan
CID000410
China
Compliant
Tantalum
Exotech Inc.
CID000456
United States
Compliant
Tantalum
F&X Electro-Materials Ltd.
CID000460
China
Compliant
Tantalum
FIR Metals & Resource Ltd.
CID002505
China
Compliant
Tantalum
Global Advanced Metals Aizu
CID002558
Japan
Compliant
Tantalum
Global Advanced Metals Boyertown
CID002557
United States
Compliant
Tantalum
Guangdong Zhiyuan New Material Co., Ltd.
CID000616
China
Compliant
Tantalum
H.C. Starck Co., Ltd.
CID002544
Thailand
Compliant
Tantalum
H.C. Starck GmbH Goslar
CID002545
Germany
Compliant
Tantalum
H.C. Starck GmbH Laufenburg
CID002546
Germany
Not Enrolled
Tantalum
H.C. Starck Hermsdorf GmbH
CID002547
Germany
Compliant
Tantalum
H.C. Starck Inc.
CID002548
United States
Compliant
Tantalum
H.C. Starck Ltd.
CID002549
Japan
Compliant
Tantalum
H.C. Starck Smelting GmbH & Co. KG
CID002550
Germany
Compliant
Tantalum
Hengyang King Xing Lifeng New Materials Co., Ltd.
CID002492
China
Compliant
Tantalum
Hi-Temp Specialty Metals, Inc.
CID000731
United States
Compliant
Tantalum
Jiangxi Dinghai Tantalum & Niobium Co., Ltd.
CID002512
China
Compliant
Tantalum
Jiangxi Tuohong New Raw Material
CID002842
China
Compliant
Tantalum
JiuJiang JinXin Nonferrous Metals Co., Ltd.
CID000914
China
Compliant
Tantalum
Jiujiang Tanbre Co., Ltd.
CID000917
China
Compliant
Tantalum
Jiujiang Zhongao Tantalum & Niobium Co., Ltd.
CID002506
China
Compliant
Tantalum
KEMET Blue Metals
CID002539
Mexico
Compliant
Tantalum
KEMET Blue Powder
CID002568
United States
Compliant
Tantalum
King-Tan Tantalum Industry Ltd.
CID000973
China
Compliant
Tantalum
LSM Brasil S.A.
CID001076
Brazil
Compliant
Tantalum
Metallurgical Products India Pvt., Ltd.
CID001163
India
Compliant
Tantalum
Mineração Taboca S.A.
CID001175
Brazil
Compliant
Tantalum
Mitsui Mining & Smelting
CID001192
Japan
Compliant
Tantalum
Molycorp Silmet A.S.
CID001200
Estonia
Compliant
Tantalum
Ningxia Orient Tantalum Industry Co., Ltd.
CID001277
China
Compliant
Tantalum
Plansee SE Liezen
CID002540
Austria
Not Enrolled
Tantalum
Plansee SE Reutte
CID002556
Austria
Compliant





Tantalum
Power Resources Ltd.
CID002847
Macedonia
Compliant
Tantalum
QuantumClean
CID001508
United States
Compliant
Tantalum
Resind Indústria e Comércio Ltda.
CID002707
Brazil
Compliant
Tantalum
RFH Tantalum Smeltry Co., Ltd.
CID001522
China
Compliant
Tantalum
Solikamsk Magnesium Works OAO
CID001769
Russian Federation
Compliant
Tantalum
Taki Chemicals
CID001869
Japan
Compliant
Tantalum
Telex Metals
CID001891
United States
Compliant
Tantalum
Tranzact, Inc.
CID002571
United States
Compliant
Tantalum
Ulba Metallurgical Plant JSC
CID001969
Kazakhstan
Compliant
Tantalum
XinXing HaoRong Electronic Material Co., Ltd.
CID002508
China
Compliant
Tantalum
Yichun Jin Yang Rare Metal Co., Ltd.
CID002307
China
Compliant
Tantalum
Zhuzhou Cemented Carbide Group Co., Ltd.
CID002232
China
Compliant
Tin
Alpha
CID000292
United States
Compliant
Tin
An Thai Minerals Co., Ltd.
CID002825
Viet Nam
Not Enrolled
Tin
An Vinh Joint Stock Mineral Processing Company
CID002703
Viet Nam
Not Enrolled
Tin
Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.
CID000228
China
Compliant
Tin
China Tin Group Co., Ltd.
CID001070
China
Compliant
Tin
CNMC (Guangxi) PGMA Co., Ltd.
CID000278
China
Not Enrolled
Tin
Cooperativa Metalurgica de Rondônia Ltda.
CID000295
Brazil
Compliant
Tin
CV Ayi Jaya
CID002570
Indonesia
Compliant
Tin
CV Dua Sekawan
CID002592
Indonesia
Compliant
Tin
CV Gita Pesona
CID000306
Indonesia
Compliant
Tin
CV Serumpun Sebalai
CID000313
Indonesia
Compliant
Tin
CV Tiga Sekawan
CID002593
Indonesia
Compliant
Tin
CV United Smelting
CID000315
Indonesia
Compliant
Tin
CV Venus Inti Perkasa
CID002455
Indonesia
Compliant
Tin
Dowa
CID000402
Japan
Compliant
Tin
Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company
CID002572
Viet Nam
Active
Tin
Elmet S.L.U.
CID002774
Spain
Compliant
Tin
EM Vinto
CID000438
Bolivia
Compliant
Tin
Estanho de Rondônia S.A.
CID000448
Brazil
Not Enrolled
Tin
Fenix Metals
CID000468
Poland
Compliant
Tin
Gejiu Fengming Metallurgy Chemical Plant
CID002848
China
Compliant
Tin
Gejiu Jinye Mineral Company
CID002859
China
Compliant
Tin
Gejiu Kai Meng Industry and Trade LLC
CID000942
China
Active
Tin
Gejiu Non-Ferrous Metal Processing Co., Ltd.
CID000538
China
Compliant
Tin
Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.
CID001908
China
Active
Tin
Gejiu Zili Mining And Metallurgy Co., Ltd.
CID000555
China
Not Enrolled
Tin
Guanyang Guida Nonferrous Metal Smelting Plant
CID002849
China
Compliant
Tin
HuiChang Hill Tin Industry Co., Ltd.
CID002844
China
Compliant
Tin
Huichang Jinshunda Tin Co., Ltd.
CID000760
China
Not Enrolled
Tin
Jiangxi Ketai Advanced Material Co., Ltd.
CID000244
China
Compliant
Tin
Magnu's Minerais Metais e Ligas Ltda.
CID002468
Brazil
Compliant
Tin
Malaysia Smelting Corporation (MSC)
CID001105
Malaysia
Compliant
Tin
Melt Metais e Ligas S.A.
CID002500
Brazil
Compliant
Tin
Metallic Resources, Inc.
CID001142
United States
Compliant





Tin
Metallo-Chimique N.V.
CID002773
Belgium
Compliant
Tin
Mineração Taboca S.A.
CID001173
Brazil
Compliant
Tin
Minsur
CID001182
Peru
Compliant
Tin
Mitsubishi Materials Corporation
CID001191
Japan
Compliant
Tin
Modeltech Sdn Bhd
CID002858
Malaysia
Not Enrolled
Tin
Nankang Nanshan Tin Manufactory Co., Ltd.
CID001231
China
Active
Tin
Nghe Tinh Non-Ferrous Metals Joint Stock Company
CID002573
Viet Nam
Not Enrolled
Tin
O.M. Manufacturing (Thailand) Co., Ltd.
CID001314
Thailand
Compliant
Tin
O.M. Manufacturing Philippines, Inc.
CID002517
Philippines
Compliant
Tin
Operaciones Metalurgical S.A.
CID001337
Bolivia
Compliant
Tin
Phoenix Metal Ltd.
CID002507
Rwanda
Not Enrolled
Tin
PT Aries Kencana Sejahtera
CID000309
Indonesia
Compliant
Tin
PT Artha Cipta Langgeng
CID001399
Indonesia
Compliant
Tin
PT ATD Makmur Mandiri Jaya
CID002503
Indonesia
Compliant
Tin
PT Babel Inti Perkasa
CID001402
Indonesia
Compliant
Tin
PT Bangka Prima Tin
CID002776
Indonesia
Compliant
Tin
PT Bangka Tin Industry
CID001419
Indonesia
Compliant
Tin
PT Belitung Industri Sejahtera
CID001421
Indonesia
Compliant
Tin
PT Bukit Timah
CID001428
Indonesia
Compliant
Tin
PT Cipta Persada Mulia
CID002696
Indonesia
Compliant
Tin
PT DS Jaya Abadi
CID001434
Indonesia
Compliant
Tin
PT Eunindo Usaha Mandiri
CID001438
Indonesia
Compliant
Tin
PT Inti Stania Prima
CID002530
Indonesia
Compliant
Tin
PT Justindo
CID000307
Indonesia
Not Enrolled
Tin
PT Karimun Mining
CID001448
Indonesia
Compliant
Tin
PT Kijang Jaya Mandiri
CID002829
Indonesia
Compliant
Tin
PT Lautan Harmonis Sejahtera
CID002870
Indonesia
Compliant
Tin
PT Mitra Stania Prima
CID001453
Indonesia
Compliant
Tin
PT O.M. Indonesia
CID002757
Indonesia
Compliant
Tin
PT Panca Mega Persada
CID001457
Indonesia
Compliant
Tin
PT Prima Timah Utama
CID001458
Indonesia
Compliant
Tin
PT Refined Bangka Tin
CID001460
Indonesia
Compliant
Tin
PT Sariwiguna Binasentosa
CID001463
Indonesia
Compliant
Tin
PT Stanindo Inti Perkasa
CID001468
Indonesia
Compliant
Tin
PT Sukses Inti Makmur
CID002816
Indonesia
Compliant
Tin
PT Sumber Jaya Indah
CID001471
Indonesia
Compliant
Tin
PT Timah (Persero) Tbk Kundur
CID001477
Indonesia
Compliant
Tin
PT Timah (Persero) Tbk Mentok
CID001482
Indonesia
Compliant
Tin
PT Tinindo Inter Nusa
CID001490
Indonesia
Compliant
Tin
PT Tommy Utama
CID001493
Indonesia
Compliant
Tin
PT Wahana Perkit Jaya
CID002479
Indonesia
Compliant
Tin
Resind Indústria e Comércio Ltda.
CID002706
Brazil
Compliant
Tin
Rui Da Hung
CID001539
Taiwan
Compliant
Tin
Soft Metais Ltda.
CID001758
Brazil
Compliant
Tin
Thaisarco
CID001898
Thailand
Compliant
Tin
Tuyen Quang Non-Ferrous Metals Joint Stock Company
CID002574
Viet Nam
Not Enrolled
Tin
VQB Mineral and Trading Group JSC
CID002015
Viet Nam
Compliant
Tin
White Solder Metalurgia e Mineração Ltda.
CID002036
Brazil
Compliant





Tin
Yunnan Chengfeng Non-ferrous Metals Co., Ltd.
CID002158
China
Active
Tin
Yunnan Tin Company Limited
CID002180
China
Compliant
Tungsten
A.L.M.T. TUNGSTEN Corp.
CID000004
Japan
Compliant
Tungsten
ACL Metais Eireli
CID002833
Brazil
Not Enrolled
Tungsten
Asia Tungsten Products Vietnam Ltd.
CID002502
Viet Nam
Compliant
Tungsten
Chenzhou Diamond Tungsten Products Co., Ltd.
CID002513
China
Compliant
Tungsten
Chongyi Zhangyuan Tungsten Co., Ltd.
CID000258
China
Compliant
Tungsten
Dayu Weiliang Tungsten Co., Ltd.
CID000345
China
Not Enrolled
Tungsten
Fujian Jinxin Tungsten Co., Ltd.
CID000499
China
Compliant
Tungsten
Ganzhou Huaxing Tungsten Products Co., Ltd.
CID000875
China
Compliant
Tungsten
Ganzhou Jiangwu Ferrotungsten Co., Ltd.
CID002315
China
Compliant
Tungsten
Ganzhou Seadragon W & Mo Co., Ltd.
CID002494
China
Compliant
Tungsten
Ganzhou Yatai Tungsten Co., Ltd.
CID002536
China
Not Enrolled
Tungsten
Global Tungsten & Powders Corp.
CID000568
United States
Compliant
Tungsten
Guangdong Xianglu Tungsten Co., Ltd.
CID000218
China
Compliant
Tungsten
H.C. Starck GmbH
CID002541
Germany
Compliant
Tungsten
H.C. Starck Smelting GmbH & Co.KG
CID002542
Germany
Compliant
Tungsten
Hunan Chenzhou Mining Co., Ltd.
CID000766
China
Compliant
Tungsten
Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji
CID002579
China
Compliant
Tungsten
Hunan Chunchang Nonferrous Metals Co., Ltd.
CID000769
China
Compliant
Tungsten
Hydrometallurg, JSC
CID002649
Russian Federation
Compliant
Tungsten
Japan New Metals Co., Ltd.
CID000825
Japan
Compliant
Tungsten
Jiangwu H.C. Starck Tungsten Products Co., Ltd.
CID002551
China
Compliant
Tungsten
Jiangxi Dayu Longxintai Tungsten Co., Ltd.
CID002647
China
Not Enrolled
Tungsten
Jiangxi Gan Bei Tungsten Co., Ltd.
CID002321
China
Compliant
Tungsten
Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.
CID002313
China
Not Enrolled
Tungsten
Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.
CID002318
China
Compliant
Tungsten
Jiangxi Xinsheng Tungsten Industry Co., Ltd.
CID002317
China
Compliant
Tungsten
Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.
CID002535
China
Compliant
Tungsten
Jiangxi Yaosheng Tungsten Co., Ltd.
CID002316
China
Compliant
Tungsten
Kennametal Fallon
CID000966
United States
Compliant
Tungsten
Kennametal Huntsville
CID000105
United States
Compliant
Tungsten
Malipo Haiyu Tungsten Co., Ltd.
CID002319
China
Compliant
Tungsten
Moliren Ltd
CID002845
Russian Federation
Compliant
Tungsten
Niagara Refining LLC
CID002589
United States
Compliant
Tungsten
Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC
CID002543
Viet Nam
Compliant
Tungsten
Philippine Chuangxin Industrial Co., Inc.
CID002827
Philippines
Compliant
Tungsten
South-East Nonferrous Metal Company Limited of Hengyang City
CID002815
China
Compliant
Tungsten
Tejing (Vietnam) Tungsten Co., Ltd.
CID001889
Viet Nam
Compliant
Tungsten
Unecha Refractory metals plant
CID002724
Russian Federation
Compliant
Tungsten
Vietnam Youngsun Tungsten Industry Co., Ltd.
CID002011
Viet Nam
Compliant
Tungsten
Wolfram Bergbau und Hütten AG
CID002044
Austria
Compliant
Tungsten
Woltech Korea Co., Ltd.
CID002843
Korea, Republic Of
Compliant





Tungsten
Xiamen Tungsten (H.C.) Co., Ltd.
CID002320
China
Compliant
Tungsten
Xiamen Tungsten Co., Ltd.
CID002082
China
Compliant
Tungsten
Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.
CID002830
China
Compliant
Tungsten
Xinhai Rendan Shaoguan Tungsten Co., Ltd.
CID002095
China
Compliant