SD

 

 

UNITED STATES

SECURITIES EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM SD

Specialized Disclosure Report

 

 

Broadcom Inc.

(Exact name of registrant as specified in its charter)

 

 

 

Delaware   001-38449   35-2617337

(State or other jurisdiction of

incorporation or organization)

 

(Commission

File Number)

 

(IRS Employer

Identification No.)

1320 Ridder Park Drive

San Jose, California

  95131
(Address of principal executive offices)   (Zip code)

Mark Brazeal, Chief Legal Officer (408) 433-8000

(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:

 

Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2018.

 

 

 


Section 1. – Conflict Minerals Disclosure

 

Item 1.01

Conflict Minerals Disclosure and Report

Conflict Minerals Disclosure

A copy of the Conflict Mineral Report of Broadcom Limited for the reporting period January 1, 2018 to December 31, 2018 is provided as Exhibit 1.01 hereto and is publicly available at https://www.broadcom.com/company/citizenship/environment.

 

Item 1.02

Exhibit

The Conflict Minerals Report required by Item 1.01 is filed as Exhibit 1.01 to this Form.

Section 2. – Exhibits

 

Item 2.01

Exhibits

Exhibit 1.01 - Conflict Minerals Report, as required by Items 1.01 and 1.02 of this Form.


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.

 

BROADCOM INC.
By:  

/s/ Hock E. Tan

  Name:   Hock E. Tan
  Title:   President and Chief Executive Officer

Date: May 21, 2019

EX-1.01

Exhibit 1.01

Broadcom Inc.

Conflict Minerals Report

For The Calendar Year Ended December 31, 2018

This Conflict Minerals Report (this “Report”) of Broadcom Inc. for the calendar year ended December 31, 2018 (the “Reporting Period”) is filed in accordance with Rule 13p-1 under the Securities Exchange Act of 1934, as amended (the “Rule”) and pursuant to the Company’s Specialized Disclosure Report on Form SD (“Form SD”) for the Reporting Period filed with the Securities and Exchange Commission (the “SEC”). The Rule imposes certain reporting and disclosure obligations on SEC registrants for which cassiterite, columbite- tantalite, gold, wolframite, or their derivatives, which are limited to tin, tantalum and tungsten (“conflict minerals”) are necessary to the functionality or production of a product manufactured, or contracted to be manufactured, by the registrant.

On April 4, 2018, Broadcom Inc., a Delaware corporation, became the parent company of the Broadcom group and is the successor to Broadcom Limited for SEC reporting purposes. On April 5, 2018, Broadcom Limited converted to a private company limited by shares incorporated under the laws of the Republic of Singapore and changed its legal name from “Broadcom Limited” to “Broadcom Pte. Ltd.” References in this Report to “Broadcom,” “the Company,” “we,” “our,” or “us” refer to Broadcom Inc. and its subsidiaries, on a consolidated basis, unless otherwise indicated or the context otherwise requires.

Company and Product Overview

Broadcom is a global technology leader that designs, develops and supplies a broad range of semiconductor and infrastructure software solutions. Broadcom has a history of innovation and offers thousands of products that are used in end products such as enterprise and data center networking, home connectivity, set-top boxes, broadband access, telecommunication equipment, smartphones and base stations, data center servers and storage systems, factory automation, power generation and alternative energy systems, and electronic displays. Broadcom’s infrastructure software solutions enable customers to plan, develop, automate, manage and secure applications across mobile, cloud, distributed and mainframe platforms.

Design of Conflict Minerals Program

Broadcom’s due diligence framework with regards to conflict minerals, which is summarized below, conforms with the Organization for Economic Co-operation and Development (“OECD”) Guidance for Responsible Supply Chains for Minerals from Conflict-Affected and High Risk Areas, and the Supplements on Tin, Tantalum and Tungsten and on Gold.

Step 1-    Establish strong company management systems

 

   

Adopt a Conflict Mineral Policy and make it publicly available on our website. (https://www.broadcom.com/company/citizenship/environment)

 

   

Establish an internal conflict minerals team led by our Global Quality organization to implement our Conflict Minerals Policy, which reports program activities to executive management on a regular basis.

 

   

Establish a public email address (conflict.minerals@broadcom.com) for general inquiries.

 

   

Establish a grievance mechanism to enable employees, suppliers and stakeholders to report any concerns and violations.

 

   

Maintain records relating to our conflict minerals program.

 

   

Utilize the Conflict Minerals Reporting Template (“CMRT”), a standardized reporting template developed by the Responsible Minerals Initiative (“RMI”) to identify smelters and refiners (“SORs”) that process the necessary conflict minerals contained in our products.

 

1


Step 2-    Identify and assess risks in the supply chain

 

   

Survey our supply chain using the CMRT, requesting identified direct suppliers to identify SORs and country of origin of the conflict minerals.

 

   

Contact suppliers who returned CMRT with trigger items to follow up based on internally defined criteria.

 

   

Compare our final SORs list against the list of facilities maintained by the Responsible Minerals Assurance Process (“RMAP”) to identify which SORs are certified “conflict-free” (“conformant”) or active.

Step 3-    Design and implement a strategy to respond to identified risks

 

   

Devise a risk management plan to respond to identified risk in the event that Broadcom’s due diligence process identifies smelters in the supply chain to be sourcing or processing conflict minerals from the Democratic Republic of Congo or adjoining countries (together, the “DRC”), and are not RMAP conformant.

 

   

Perform risk mitigation efforts by encouraging suppliers to purchase materials from SORs validated as “conflict-free” by an independent auditor to demonstrate conformance with the RMAP assessment protocols and implement due diligence measures for conflict-free sourcing.

 

   

Contact SORs who are not RMAP conformant or active, whose email contact information is available from RMI, to participate in an independent third-party audit program to demonstrate conformance with the RMAP assessment protocols.

 

   

Provide status reports including information on the source and chain of custody of conflict minerals in our supply chain to our senior management regularly.

Step 4-    Independent third-party audit of SOR’s due diligence practices

 

   

Broadcom supports the development of a range of tools and resources including the RMAP, the CMRT, Reasonable Country of Origin Inquiry data and a range of guidance documents on conflict minerals sourcing through our membership with RMI.

 

   

As Broadcom does not source directly from conflict minerals processing facilities, we rely on RMAP to coordinate independent third-party audits on SORs.

Step 5-    Report annually on supply chain due diligence

 

   

In accordance with the Rule, Broadcom files a Form SD and a conflict minerals report with SEC on an annual basis. This Report is also available on our website (https://www.broadcom.com/company/citizenship/environment).

Description of Due Diligence Measures Performed

 

   

Sent our policy to suppliers to communicate Broadcom’s goal, expectations to cooperate in providing due diligence information, encouraged suppliers to purchase materials from SORs validated as “conflict-free” by an independent auditor demonstrated conformant to RMAP assessment protocols and requested that suppliers return a completed CMRT.

 

   

Contacted suppliers who returned the CMRT with trigger items to follow up based on internally defined criteria.

 

   

Compared our final SORs list (compiled based on information received from suppliers) against the list of facilities maintained by RMAP to identify which SORs are RMAP conformant or active.

 

2


   

Performed outreach via email to SORs who are not RMAP conformant or active, whose email contact information is available from RMI, by sending RMI’s standard smelter engagement letter inviting them to commence their participation in an independent third-party audit program to demonstrate their compliance with the RMAP assessment protocols.

 

   

Provided status reports including information on the source and chain of custody of conflict minerals in our supply chain to our senior management regularly, at least once a quarter.

Results of Our Due Diligence Measures

Broadcom uses tin, tantalum, tungsten and gold (“3TG”) in the design and manufacture of many of its products and is therefore a “downstream” company in the conflict minerals supply chain. Due to the nature of our supply chain, we do not typically have a direct relationship with 3TG SORs. Our manufacturing operations employ a wide variety of semiconductors, electromechanical components and raw materials that are also supplied by other downstream companies in the supply chain. Our due diligence process involves seeking data from our relevant suppliers, and these suppliers seeking similar information from their supply chain in order to identify the sources for the necessary conflict minerals. We rely on the good faith efforts of our supply chain to provide us with reasonable data. We also depend largely on information collected and provided by RMI obtained through their independent third-party audit programs. We achieved a response rate of 99% for our supply chain survey.

Many of our suppliers sourced 3TG from a variety of upstream sources and provided information to us on an aggregated, company-wide level. Due to the fungible nature of these materials, we understand that these suppliers were unable to trace the 3TG that they source into the products provided to any particular customers (including Broadcom). As a result, our list of SORs may contain more facilities than are actually used in our supply chain. In addition, our list of SORs may not include all the SORs in our supply chain as our suppliers were unable to identify the SORs of some of the conflict minerals.

We compare SORs declared by our suppliers against the list of facilities that are certified “conflict free” by the RMAP and obtain countries of origin information (when available) from RMI. We have identified 308 SORs determined to be legitimate processing facilities by the RMI, of which 260 have been validated as RMAP conformant, 5 are listed as “Active” as they are at various stages of the audit cycle in the RMAP, and the remaining 43 have no known participation in the RMAP. However, we were unable to ascertain the country of origin and/or chain of custody of all necessary conflict minerals because, for this reporting period, many SORs facilities had not yet received a “conflict free” designation.

As reported to us by our relevant suppliers, we have included a list of SORs determined to be legitimate processing facilities by the RMI and the locations of these facilities in Tables 1, 2 and 3.

As previously noted, because of the nature of our supply chain, we do not typically have any direct relationship with 3TG SORs. Therefore, as noted above, we contributed to the improvement of SOR diligence practices by working through our supply chain and through our membership with RMI.

Ongoing Improvement Efforts

For the next reporting period, we intend to continue taking steps to further mitigate the risk that conflict minerals that are necessary to the functionality or production of our products finance or benefit armed groups in the DRC.

These steps include:

 

  a.

work with relevant suppliers to update their conflict minerals reporting template using the latest CMRT, and verify the identified smelters with the latest RMI’s updated RMI list;

 

3


  b.

continue to refine our conflict minerals program to improve our reasonable due diligence measures in our effort to determine the source and chain of custody of conflict minerals;

 

  c.

continue to work with suppliers and others on industry-wide solutions to enable products that are DRC conflict free; and

 

  d.

when required by the Rule, obtain an independent private sector audit for the Report.

 

4


Tables of Our Conflict Minerals Processing Smelters or Refiners

Set forth in the tables below are lists of the 308 SORs facilities identified by our suppliers as possibly being used to process their necessary conflict. RMAP status set forth in the lists below are based on information provided by RMI as of 13th February 2019. Our efforts to determine the mine or location of origin of our necessary conflict minerals are set forth above in “Description of Due Diligence Measures Performed” and “Results of Our Due Diligence Measures”.

Table 1: RMAP conformant smelters and refiners

 

Metal

  

Smelter or Refiner Name

  

Country Location

Gold    Advanced Chemical Company    United States of America
Gold    Aida Chemical Industries Co., Ltd.    Japan
Gold    Al Etihad Gold Refinery DMCC    United Arab Emirates
Gold    Allgemeine Gold-und Silberscheideanstalt A.G.    Germany
Gold    Almalyk Mining and Metallurgical Complex (AMMC)    Uzbekistan
Gold    AngloGold Ashanti Corrego do Sitio Mineracao    Brazil
Gold    Argor-Heraeus S.A.    Switzerland
Gold    Asahi Pretec Corp.    Japan
Gold    Asahi Refining Canada Ltd.    Canada
Gold    Asahi Refining USA Inc.    United States of America
Gold    Asaka Riken Co., Ltd.    Japan
Gold    AU Traders and Refiners    South Africa
Gold    Aurubis AG    Germany
Gold    Bangko Sentral ng Pilipinas (Central Bank of the Philippines)    Philippines
Gold    Boliden AB    Sweden
Gold    C. Hafner GmbH + Co. KG    Germany
Gold    CCR Refinery - Glencore Canada Corporation    Canada
Gold    Cendres + Metaux S.A.    Switzerland
Gold    Chimet S.p.A.    Italy
Gold    Daejin Indus Co., Ltd.    Republic of Korea
Gold    DODUCO Contacts and Refining GmbH    Germany
Gold    Dowa    Japan
Gold    DSC (Do Sung Corporation)    Republic of Korea
Gold    Eco-System Recycling Co., Ltd.    Japan
Gold    Emirates Gold DMCC    United Arab Emirates
Gold    Geib Refining Corporation    United States of America
Gold    Gold Refinery of Zijin Mining Group Co., Ltd.    China
Gold    HeeSung Metal Ltd.    Republic of Korea
Gold    Heimerle + Meule GmbH    Germany
Gold    Heraeus Metals Hong Kong Ltd.    China
Gold    Heraeus Precious Metals GmbH & Co. KG    Germany
Gold    Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.    China
Gold    Ishifuku Metal Industry Co., Ltd.    Japan

 

5


Gold    Istanbul Gold Refinery    Turkey
Gold    Italpreziosi    Italy
Gold    Japan Mint    Japan
Gold    Jiangxi Copper Co., Ltd.    China
Gold    JSC Uralelectromed    Russian Federation
Gold    JX Nippon Mining & Metals Co., Ltd.    Japan
Gold    Kazzinc    Kazakhstan
Gold    Kennecott Utah Copper LLC    United States of America
Gold    Kojima Chemicals Co., Ltd.    Japan
Gold    Korea Zinc Co., Ltd.    Republic of Korea
Gold    Kyrgyzaltyn JSC    Kyrgyzstan
Gold    L’Orfebre S.A.    Andorra
Gold    LS-NIKKO Copper Inc.    Republic of Korea
Gold    Marsam Metals    Brazil
Gold    Materion    United States of America
Gold    Matsuda Sangyo Co., Ltd.    Japan
Gold    Metalor Technologies (Hong Kong) Ltd.    China
Gold    Metalor Technologies (Singapore) Pte., Ltd.    Singapore
Gold    Metalor Technologies (Suzhou) Ltd.    China
Gold    Metalor Technologies S.A.    Switzerland
Gold    Metalor USA Refining Corporation    United States of America
Gold    Metalurgica Met-Mex Penoles S.A. De C.V.    Mexico
Gold    Mitsubishi Materials Corporation    Japan
Gold    Mitsui Mining and Smelting Co., Ltd.    Japan
Gold    MMTC-PAMP India Pvt., Ltd.    India
Gold    Moscow Special Alloys Processing Plant    Russian Federation
Gold    Nadir Metal Rafineri San. Ve Tic. A.S.    Turkey
Gold    Nihon Material Co., Ltd.    Japan
Gold    Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH    Austria
Gold    Ohura Precious Metal Industry Co., Ltd.    Japan
Gold    OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)    Russian Federation
Gold    OJSC Novosibirsk Refinery    Russian Federation
Gold    PAMP S.A.    Switzerland
Gold    Planta Recuperadora de Metales SpA    Chile
Gold    Prioksky Plant of Non-Ferrous Metals    Russian Federation
Gold    PT Aneka Tambang (Persero) Tbk    Indonesia
Gold    PX Precinox S.A.    Switzerland
Gold    Rand Refinery (Pty) Ltd.    South Africa
Gold    REMONDIS PMR B.V.    Netherlands
Gold    Republic Metals Corporation*    United States of America
Gold    Royal Canadian Mint    Canada
Gold    SAAMP    France
Gold    Safimet S.p.A    Italy
Gold    Samduck Precious Metals    Republic of Korea

 

6


Gold    SAXONIA Edelmetalle GmbH    Germany
Gold    SEMPSA Joyeria Plateria S.A.    Spain
Gold    Shandong Zhaojin Gold & Silver Refinery Co., Ltd.    China
Gold    Sichuan Tianze Precious Metals Co., Ltd.    China
Gold    Singway Technology Co., Ltd.    Taiwan
Gold    SOE Shyolkovsky Factory of Secondary Precious Metals    Russian Federation
Gold    Solar Applied Materials Technology Corp.    Taiwan
Gold    Sumitomo Metal Mining Co., Ltd.    Japan
Gold    SungEel HiMetal Co., Ltd.    Republic of Korea
Gold    T.C.A S.p.A    Italy
Gold    Tanaka Kikinzoku Kogyo K.K.    Japan
Gold    The Refinery of Shandong Gold Mining Co., Ltd    China
Gold    Tokuriki Honten Co., Ltd.    Japan
Gold    Torecom    Republic of Korea
Gold    Umicore Brasil Ltda.    Brazil
Gold    Umicore Precious Metals Thailand    Thailand
Gold    Umicore S.A. Business Unit Precious Metals Refining    Belgium
Gold    United Precious Metal Refining, Inc.    United States of America
Gold    Valcambi S.A.    Switzerland
Gold    Western Australian Mint (T/a The Perth Mint)    Australia
Gold    WIELAND Edelmetalle GmbH    Germany
Gold    Yamakin Co., Ltd.    Japan
Gold    Yokohama Metal Co., Ltd.    Japan
Gold    Zhongyuan Gold Smelter of Zhongjin Gold Corporation    China
Tantalum    Asaka Riken Co., Ltd.    Japan
Tantalum    Changsha South Tantalum Niobium Co., Ltd.    China
Tantalum    D Block Metals, LLC    United States of America
Tantalum    Exotech Inc.    United States of America
Tantalum    F&X Electro-Materials Ltd.    China
Tantalum    FIR Metals & Resource Ltd.    China
Tantalum    Global Advanced Metals Aizu    Japan
Tantalum    Global Advanced Metals Boyertown    United States of America
Tantalum    Guangdong Rising Rare Metals-EO Materials Ltd.    China
Tantalum    Guangdong Zhiyuan New Material Co., Ltd.    China
Tantalum    H.C. Starck Co., Ltd.    Thailand
Tantalum    H.C. Starck Hermsdorf GmbH    Germany
Tantalum    H.C. Starck Inc.    United States of America
Tantalum    H.C. Starck Ltd.    Japan
Tantalum    H.C. Starck Smelting GmbH & Co. KG    Germany
Tantalum    H.C. Starck Tantalum and Niobium GmbH    Germany
Tantalum    Hengyang King Xing Lifeng New Materials Co., Ltd.    China
Tantalum    Jiangxi Dinghai Tantalum & Niobium Co., Ltd.    China
Tantalum    Jiangxi Tuohong New Raw Material    China
Tantalum    Jiujiang Janny New Material Co., Ltd.    China
Tantalum    JiuJiang JinXin Nonferrous Metals Co., Ltd.    China

 

7


Tantalum    Jiujiang Tanbre Co., Ltd.    China
Tantalum    Jiujiang Zhongao Tantalum & Niobium Co., Ltd.    China
Tantalum    KEMET Blue Metals    Mexico
Tantalum    KEMET Blue Powder    United States of America
Tantalum    King-Tan Tantalum Industry Ltd.*    China
Tantalum    LSM Brasil S.A.    Brazil
Tantalum    Metallurgical Products India Pvt., Ltd.    India
Tantalum    Mineracao Taboca S.A.    Brazil
Tantalum    Mitsui Mining and Smelting Co., Ltd.    Japan
Tantalum    Ningxia Orient Tantalum Industry Co., Ltd.    China
Tantalum    NPM Silmet AS    Estonia
Tantalum    Power Resources Ltd.    Macedonia (The Former Yugoslav Republic of)
Tantalum    QuantumClean    United States of America
Tantalum    Resind Industria e Comercio Ltda.    Brazil
Tantalum    RFH Tantalum Smeltery Co., Ltd./Yanling Jincheng Tantalum & Niobium Co., Ltd.    China
Tantalum    Solikamsk Magnesium Works OAO    Russian Federation
Tantalum    Taki Chemical Co., Ltd.    Japan
Tantalum    Telex Metals    United States of America
Tantalum    Ulba Metallurgical Plant JSC    Kazakhstan
Tantalum    XinXing HaoRong Electronic Material Co., Ltd.    China
Tantalum    Yichun Jin Yang Rare Metal Co., Ltd.*    China
Tin    Alpha    United States of America
Tin    Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.    China
Tin    Chifeng Dajingzi Tin Industry Co., Ltd.    China
Tin    China Tin Group Co., Ltd.    China
Tin    CV Ayi Jaya    Indonesia
Tin    CV Dua Sekawan    Indonesia
Tin    CV Gita Pesona    Indonesia
Tin    CV United Smelting    Indonesia
Tin    CV Venus Inti Perkasa    Indonesia
Tin    Dowa    Japan
Tin    EM Vinto    Plurinational State of Bolivia
Tin    Fenix Metals    Poland
Tin    Gejiu Fengming Metallurgy Chemical Plant    China
Tin    Gejiu Jinye Mineral Company*    China
Tin    Gejiu Kai Meng Industry and Trade LLC    China
Tin    Gejiu Non-Ferrous Metal Processing Co., Ltd.    China
Tin    Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.    China
Tin    Guangdong Hanhe Non-Ferrous Metal Co., Ltd.    China
Tin    Guanyang Guida Nonferrous Metal Smelting Plant    China
Tin    HuiChang Hill Tin Industry Co., Ltd.    China
Tin    Huichang Jinshunda Tin Co., Ltd.    China

 

8


Tin    Jiangxi Ketai Advanced Material Co., Ltd.*    China
Tin    Jiangxi New Nanshan Technology Ltd.    China
Tin    Magnu’s Minerais Metais e Ligas Ltda.    Brazil
Tin    Malaysia Smelting Corporation (MSC)    Malaysia
Tin    Melt Metais e Ligas S.A.    Brazil
Tin    Metallic Resources, Inc.    United States of America
Tin    Metallo Belgium N.V.    Belgium
Tin    Metallo Spain S.L.U.    Spain
Tin    Mineracao Taboca S.A.    Brazil
Tin    Minsur    Peru
Tin    Mitsubishi Materials Corporation    Japan
Tin    Modeltech Sdn Bhd    Malaysia
Tin    O.M. Manufacturing (Thailand) Co., Ltd.    Thailand
Tin    O.M. Manufacturing Philippines, Inc.    Philippines
Tin    Operaciones Metalurgicas S.A.    Plurinational State of Bolivia
Tin    PT Aries Kencana Sejahtera    Indonesia
Tin    PT Artha Cipta Langgeng    Indonesia
Tin    PT ATD Makmur Mandiri Jaya    Indonesia
Tin    PT Babel Inti Perkasa    Indonesia
Tin    PT Babel Surya Alam Lestari    Indonesia
Tin    PT Bangka Prima Tin    Indonesia
Tin    PT Bangka Serumpun    Indonesia
Tin    PT Bangka Tin Industry    Indonesia
Tin    PT Belitung Industri Sejahtera    Indonesia
Tin    PT Bukit Timah    Indonesia
Tin    PT DS Jaya Abadi    Indonesia
Tin    PT Eunindo Usaha Mandiri*    Indonesia
Tin    PT Inti Stania Prima    Indonesia
Tin    PT Karimun Mining    Indonesia
Tin    PT Kijang Jaya Mandiri    Indonesia
Tin    PT Lautan Harmonis Sejahtera    Indonesia
Tin    PT Menara Cipta Mulia    Indonesia
Tin    PT Mitra Stania Prima    Indonesia
Tin    PT O.M. Indonesia*    Indonesia
Tin    PT Panca Mega Persada    Indonesia
Tin    PT Premium Tin Indonesia    Indonesia
Tin    PT Prima Timah Utama    Indonesia
Tin    PT Rajehan Ariq    Indonesia
Tin    PT Refined Bangka Tin    Indonesia
Tin    PT Sariwiguna Binasentosa    Indonesia
Tin    PT Stanindo Inti Perkasa    Indonesia
Tin    PT Sukses Inti Makmur    Indonesia
Tin    PT Sumber Jaya Indah    Indonesia
Tin    PT Timah Tbk Kundur    Indonesia
Tin    PT Timah Tbk Mentok    Indonesia

 

9


Tin    PT Tinindo Inter Nusa    Indonesia
Tin    PT Tirus Putra Mandiri    Indonesia
Tin    PT Tommy Utama    Indonesia
Tin    Resind Industria e Comercio Ltda.    Brazil
Tin    Rui Da Hung    Taiwan
Tin    Soft Metais Ltda.    Brazil
Tin    Thaisarco    Thailand
Tin    White Solder Metalurgia e Mineracao Ltda.    Brazil
Tin    Yunnan Chengfeng Non-ferrous Metals Co., Ltd.    China
Tin    Yunnan Tin Company Limited    China
Tungsten    A.L.M.T. Corp.    Japan
Tungsten    ACL Metais Eireli    Brazil
Tungsten    Asia Tungsten Products Vietnam Ltd.*    Vietnam
Tungsten    Chenzhou Diamond Tungsten Products Co., Ltd.    China
Tungsten    Chongyi Zhangyuan Tungsten Co., Ltd.    China
Tungsten    Fujian Jinxin Tungsten Co., Ltd.    China
Tungsten    Ganzhou Haichuang Tungsten Co., Ltd.    China
Tungsten    Ganzhou Huaxing Tungsten Products Co., Ltd.    China
Tungsten    Ganzhou Jiangwu Ferrotungsten Co., Ltd.    China
Tungsten    Ganzhou Seadragon W & Mo Co., Ltd.    China
Tungsten    Global Tungsten & Powders Corp.    United States of America
Tungsten    Guangdong Xianglu Tungsten Co., Ltd.    China
Tungsten    H.C. Starck Smelting GmbH & Co.KG    Germany
Tungsten    H.C. Starck Tungsten GmbH    Germany
Tungsten    Hunan Chenzhou Mining Co., Ltd.    China
Tungsten    Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji    China
Tungsten    Hunan Chunchang Nonferrous Metals Co., Ltd.    China
Tungsten    Hydrometallurg, JSC    Russian Federation
Tungsten    Japan New Metals Co., Ltd.    Japan
Tungsten    Jiangwu H.C. Starck Tungsten Products Co., Ltd.    China
Tungsten    Jiangxi Gan Bei Tungsten Co., Ltd.    China
Tungsten    Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.    China
Tungsten    Jiangxi Xinsheng Tungsten Industry Co., Ltd.    China
Tungsten    Jiangxi Yaosheng Tungsten Co., Ltd.    China
Tungsten    Kennametal Fallon    United States of America
Tungsten    Kennametal Huntsville    United States of America
Tungsten    Malipo Haiyu Tungsten Co., Ltd.    China
Tungsten    Masan Tungsten Chemical LLC (MTC)    Vietnam
Tungsten    Moliren Ltd    Russian Federation
Tungsten    Niagara Refining LLC    United States of America
Tungsten    Philippine Chuangxin Industrial Co., Inc.    Philippines
Tungsten    South-East Nonferrous Metal Company Limited of Hengyang City    China
Tungsten    Tejing (Vietnam) Tungsten Co., Ltd.    Vietnam
Tungsten    Unecha Refractory metals plant    Russian Federation

 

10


Tungsten    Vietnam Youngsun Tungsten Industry Co., Ltd.*    Vietnam
Tungsten    Wolfram Bergbau und Hutten AG    Austria
Tungsten    Woltech Korea Co., Ltd.    Republic of Korea
Tungsten    Xiamen Tungsten (H.C.) Co., Ltd.    China
Tungsten    Xiamen Tungsten Co., Ltd.    China
Tungsten    Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.    China
Tungsten    Xinhai Rendan Shaoguan Tungsten Co., Ltd.    China

 

*:  Denotes a conformant smelter or refiner reported to have ceased operation in the reporting year.

 

Table 2: Smelters and refiners not on RMAP conformant list but actively working with RMAP (Active)

 

Metal

  

Smelter or Refiner Name

  

Country Location

Gold    Bangalore Refinery    India
Gold    Chugai Mining    Japan
Gold    KGHM Polska Miedz Spolka Akcyjna    Poland
Tin    Gejiu Zili Mining And Metallurgy Co., Ltd.    China
Tungsten    Hunan Litian Tungsten Industry Co., Ltd.    China

 

Table 3: Smelters and refiners not on RMAP conformant list

 

Metal

  

Smelter or Refiner Name

  

Country Location

Gold    Abington Reldan Metals, LLC    United States of America
Gold    Atasay Kuyumculuk Sanayi Ve Ticaret A.S.    Turkey
Gold    Caridad    Mexico
Gold    Daye Non-Ferrous Metals Mining Ltd.    China
Gold    Degussa Sonne / Mond Goldhandel GmbH    Germany
Gold    GCC Gujrat Gold Centre Pvt. Ltd.    India
Gold    Great Wall Precious Metals Co., Ltd. of CBPM    China
Gold    Guangdong Jinding Gold Limited    China
Gold    Guoda Safina High-Tech Environmental Refinery Co., Ltd.    China
Gold    Hangzhou Fuchunjiang Smelting Co., Ltd.    China
Gold    Hunan Chenzhou Mining Co., Ltd.    China
Gold    HwaSeong CJ CO., LTD.    Republic of Korea
Gold    JSC Ekaterinburg Non-Ferrous Metal Processing Plant    Russian Federation
Gold    Kazakhmys Smelting LLC    Kazakhstan
Gold    Kyshtym Copper-Electrolytic Plant ZAO    Russian Federation
Gold    L’azurde Company For Jewelry    Saudi Arabia
Gold    Lingbao Gold Co., Ltd.    China
Gold    Lingbao Jinyuan Tonghui Refinery Co., Ltd.    China
Gold    Luoyang Zijin Yinhui Gold Refinery Co., Ltd.    China
Gold    Modeltech Sdn Bhd    Malaysia
Gold    Morris and Watson    New Zealand
Gold    Morris and Watson Gold Coast    Australia

 

11


Gold    Navoi Mining and Metallurgical Combinat    Uzbekistan
Gold    Pease & Curren    United States of America
Gold    Penglai Penggang Gold Industry Co., Ltd.    China
Gold    Refinery of Seemine Gold Co., Ltd.    China
Gold    Sabin Metal Corp.    United States of America
Gold    Sai Refinery    India
Gold    Samwon Metals Corp.    Republic of Korea
Gold    Shandong Tiancheng Biological Gold Industrial Co., Ltd.    China
Gold    State Research Institute Center for Physical Sciences and Technology    Lithuania
Gold    Tongling Nonferrous Metals Group Co., Ltd.    China
Gold    TOO Tau-Ken-Altyn    Kazakhstan
Gold    Yunnan Copper Industry Co., Ltd.    China
Tin    An Vinh Joint Stock Mineral Processing Company    Vietnam
Tin    Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company    Vietnam
Tin    Estanho de Rondonia S.A.    Brazil
Tin    Nghe Tinh Non-Ferrous Metals Joint Stock Company    Vietnam
Tin    Pongpipat Company Limited    Myanmar
Tin    Super Ligas    Brazil
Tin    Tuyen Quang Non-Ferrous Metals Joint Stock Company    Vietnam
Tungsten    Jiangxi Dayu Longxintai Tungsten Co., Ltd.    China
Tungsten    Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.    China

:  Denotes a smelter that was removed from our supply chain in the reporting year.

 

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