UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
__________________________
FORM SD
SPECIALIZED DISCLOSURE REPORT
__________________________
Fluidigm Corporation
(Exact name of registrant as specified in its charter)
__________________________
Delaware | 001-34180 | 77-0513190 | ||||||||||||
(State or other jurisdiction of incorporation or organization) | (Commission File Number) | (IRS Employer Identification No.) | ||||||||||||
2 Tower Place, Suite 2000, South San Francisco, California 94080
(Address of principal executive offices) (Zip Code)
Nicholas Khadder
Senior Vice President, General Counsel, and Secretary
(650) 266-6000
(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, 2019. | ||||
Section 1 - Conflict Minerals Disclosure
Item 1.01 Conflict Minerals Disclosure and Report
For the reporting period from January 1, 2019 to December 31, 2019, Fluidigm Corporation (the “Company”) evaluated its current products and determined that certain “conflict minerals,” as defined in Section 1, Item 1.01(d)(3) of Form SD, are necessary to the functionality or production of products manufactured by the Company, which are referred to in this Form SD as “necessary conflict minerals.” Accordingly, the Company conducted a reasonable country of origin inquiry to determine whether during 2019 its necessary conflict minerals originated in the Democratic Republic of the Congo or certain adjoining countries, which are referred to in this Form SD collectively as the “covered countries.” The Company then conducted due diligence designed to conform to the Organisation for Economic Co-operation and Development, or OECD, Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas in order to determine whether any of the Company’s necessary conflict minerals originated from any of the covered countries during 2019 and whether these conflict minerals benefitted, directly or indirectly, armed groups in any of the covered countries.
Conflict Minerals Disclosure
In accordance with Rule 13p-1 promulgated under the Securities Exchange Act of 1934, as amended, and this Specialized Disclosure Report on Form SD, the Company is filing a Conflict Minerals Report, which is attached as Exhibit 1.01 hereto. A copy of this Form SD and the Conflict Minerals Report are publicly available at http://investors.fluidigm.com/financial-information/sec-filings.
Item 1.02 Exhibit
In accordance with Rule 13p-1, and this Form SD, the Company is filing its Conflict Minerals Report, which is attached as Exhibit 1.01 to this Form SD.
Section 2 Exhibits
Item 2.01 Exhibits
The following exhibit is filed as part of this Form SD.
Exhibit No. | Description | |||||||
| 1.01 | ||||||||
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the duly authorized undersigned.
FLUIDIGM CORPORATION | ||||||||||||||
(Registrant) | ||||||||||||||
By: | /s/ Nicholas Khadder | May 28, 2020 | ||||||||||||
Nicholas Khadder | (Date) | |||||||||||||
Senior Vice President, General Counsel, and Secretary | ||||||||||||||
Exhibit 1.01
Fluidigm Corporation
Conflict Minerals Report
For The Reporting Period from January 1, 2019 to December 31, 2019
Cautionary Note Concerning Forward-Looking Statements: This Conflict Minerals Report contains forward-looking statements within the meaning of federal securities laws. These forward-looking statements include statements concerning Fluidigm’s objectives for its conflict minerals policy and compliance initiatives and actions it intends to take relating to conflict minerals. Forward-looking statements involve substantial risks and uncertainties that could cause actual results to differ materially from currently anticipated results. When considering forward-looking statements, you should consider, among other factors, the risk factors described in the reports and other filings that Fluidigm files with the United States Securities and Exchange Commission, including Fluidigm’s Annual Report on Form 10-K for the year ended December 31, 2019 and its subsequent Quarterly Reports on Form 10-Q. The risk factors included in these filings are not exhaustive, and risks that are not identified therein could materially affect whether Fluidigm realizes the results anticipated or implied by any forward-looking statements contained in this Conflict Minerals Report. Except as required by law, Fluidigm disclaims any obligation to update these forward-looking statements, whether as a result of new information, future events, or otherwise.
Introduction
This Conflict Minerals Report (this “Report”) for Fluidigm Corporation (“Fluidigm” or “we” or “our”) covers the reporting period from January 1, 2019 to December 31, 2019 and is presented in accordance with Rule 13p-1 promulgated under the Securities Exchange Act of 1934, as amended (“Rule 13p-1”). This Report is filed as Exhibit 1.01 to our Specialized Disclosure Report on Form SD (the “Form SD”). A copy of this Report and the Form SD are publicly available on our website at http://investors.fluidigm.com/financial-information/sec-filings. Information contained on, or that can be accessed through, our website, does not constitute part of this Report and inclusion of our website address in this Report is an inactive textual reference only.
In 2010, the United States enacted the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Act”). Section 1502 of the Act relates to conflict minerals and requires companies subject to the Act to file a Form SD annually with the United States Securities and Exchange Commission (“SEC”) to disclose whether the minerals specified in Rule 13p-1 and their derivatives, limited to tungsten, tantalum, tin, and gold (referred to as the “3TG minerals”), used in their products benefitted, directly or indirectly, armed groups in the Democratic Republic of the Congo and adjoining countries (collectively, the “Covered Countries”). This Report, which is an exhibit to our Form SD, describes the design and implementation of our conflict minerals due diligence measures undertaken, including a description of how these measures were designed to determine, to our knowledge, the source mines, countries of origin, and processing facilities for 3TG minerals contained in components used in our products.
Fluidigm Background and Covered Products
We create, manufacture, and market innovative technologies and life science tools, including preparatory and analytical instruments for Mass Cytometry, PCR, Library Prep, Single Cell Genomics, Laser Capture Microdissection ("LCM"), and consumables, including IFCs, assays, and reagents. Our focus is on the most pressing needs in translational and clinical research, including cancer, immunology and immunotherapy. We use proprietary CyTOF®, microfluidics, and LCM technologies to develop innovative end-to-end solutions that have the flexibility required to meet the needs of translational research and the robustness to support high-impact clinical research studies. We sell our instruments to leading academic research institutions, translational research and medicine centers, cancer centers, clinical research laboratories, and biopharmaceutical, biotechnology and plant and animal research companies. Our microfluidic systems, instrumentation, and IFCs for commercial sale, as well as for internal research and development purposes, are manufactured at our facility in Singapore. Our proteomics analytical instruments, assays and reagents for commercial sale, as well as for internal research and development purposes, are manufactured at our facility in Canada. We also manufacture reagents at our facility in California and our LCM instruments in Florida.
We have determined that one or more of the 3TG minerals may be necessary to the functionality or production of certain products we manufactured, or contracted to manufacture, as applicable, during 2019, including our C1™, Juno™, Access Array™, Biomark™ HD, EP1™, Helios™, Hyperion™ Imaging, and AccuLift™ Laser Capture Microdissection systems. As a result, all of our marketed systems and IFCs are considered “covered products” for purposes of this Report.
Our supply chain with respect to the covered products is complex, and there are many third parties in the supply chain between the original source of the 3TG minerals and the manufacture of the covered products. We do not purchase raw ore or
1
unrefined 3TG minerals directly and make no purchases in the Covered Countries. As a result and as described more fully below, we rely on our suppliers to provide information on the origin of the conflict minerals contained in our products.
Fluidigm Reasonable Country of Origin Inquiry
In accordance with Rule 13p-1 and Form SD, we determined that one or more of the 3TG minerals may be necessary to the functionality or production of our systems and IFCs and that such 3TG minerals are incorporated into our products during the manufacturing process. Accordingly, we undertook a reasonable country of origin inquiry (“RCOI”). This good faith RCOI was reasonably designed to determine whether any of the 3TG minerals incorporated into our products originated in the Covered Countries.
Our RCOI consisted principally of submitting the conflict minerals reporting template (the “RMI Template”) prepared by the Responsible Minerals Initiative (“RMI”), formerly the Conflict-Free Sourcing Initiative (CFSI), an initiative of the Responsible Business Alliance and Global e-Sustainability Initiative, to suppliers of components for our products that are considered necessary to the functionality or production of our products and for which any 3TG minerals or their derivatives may be included (“first tier suppliers”). We reviewed all responses for completeness, reasonableness, and consistency, and we followed up for corrections and clarifications as we determined appropriate. However, we have seen a decrease in responsiveness for compliance requests, as compared to prior years, which we believe is likely attributable to the impact of the current COVID-19 pandemic.
Fluidigm’s Due Diligence Process
Our due diligence measures were designed to conform, in all material respects, with the framework in the Organisation for Economic Co-operation and Development (“OECD”) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (the “OECD Framework”). The objectives of our diligence initiative were to determine, to the best of our ability, whether any of the 3TG minerals are incorporated into our products; whether any such 3TG minerals incorporated into our products were necessary for the functionality and/or production of our products; the source and chain of custody of the 3TG minerals necessary for the functionality and/or production of our products; and whether any such 3TG minerals originated in the Covered Countries. In the event that 3TG minerals from the Covered Countries which benefit armed groups are found in our supply chain, we will take appropriate actions in a timely manner to resolve the situation.
Due diligence measures that we implemented included, but were not limited, to the following:
1.Establishment of Internal Management Systems
a.Conflict Minerals Policy. In 2013, we adopted a written policy relating to the use of conflict minerals in our supply chain. We have communicated this written policy to each of our first tier suppliers. A copy of Fluidigm’s Conflict Minerals Policy is publicly available at http://investors.fluidigm.com/social-responsibility.
b.Internal Management to Support Supply Chain Due Diligence. Fluidigm’s legal department has been charged with the management of our conflict minerals program, working in collaboration with members from our operations team in Singapore, Canada, and the United States.
c.Controls and Transparency. As described above, we undertook a RCOI with respect to conflict minerals in our supply chain by providing the RMI Template to each of our first tier suppliers to gather information about their use of 3TG minerals, the smelters and refiners in their supply chain that are included in our products, and the countries of origin for 3TG minerals used in our products. We reviewed all responses for completeness, reasonableness, and consistency. We followed up for corrections and clarifications as we determined appropriate.
d.Supplier Engagement. We continue to engage actively with our first tier suppliers to strengthen our relationship with them. We have communicated to our suppliers our commitment to source conflict minerals in a manner that does not, directly or indirectly, benefit armed groups in the Covered Countries. We will consider alternative arrangements for our supply needs if our suppliers are unable to cooperate in our due diligence efforts. In particular, as part of our supplier qualification process, we generally request conflict minerals information from each new supplier of potentially applicable products.
e.Grievance Mechanism. Our code of conduct includes procedures for reporting violations of our policies, including our Conflict Minerals Policy. We provide mechanisms for anonymous reporting of violations or concerns about the conduct of our business, including the implementation and enforcement of our Conflict Minerals Policy.
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2.Identification and Assessment of Risks in the Supply Chain
As discussed above, we identified our first tier suppliers and relied on them to provide the necessary information about the use of 3TG minerals in the products we purchase and incorporate into the manufacture of our systems and IFCs, and the source of such 3TG minerals. Similarly, our first tier suppliers rely on information provided by their suppliers to provide information regarding the country of origin of 3TG minerals included in our products.
3.Designing and Implementing a Strategy to Respond to Identified Risks
We have developed a formal risk management plan through which our conflict minerals program is managed and monitored. As part of this risk management plan, where applicable, we will review circumstances in which certain suppliers are unable to provide us with complete or reliable responses to the RMI Template including, without limitation, considering whether to continue such contract or relationship or find a replacement supplier.
4.Carrying Out Independent Third-Party Audit of Supply Chain Due Diligence at Identified Points in the Supply Chain
We do not have a direct relationship with any smelters or refiners in our supply chain. As a result, we do not and cannot conduct any audits directly. Instead, we support the development and implementation of independent third party audits of smelters such as the Responsible Minerals Assurance Program (“RMAP”) by encouraging our suppliers to purchase materials from audited, conflict-free smelters and determining whether the smelters that were used to process these minerals were validated as conflict-free by the RMAP.
5.Reporting on Supply Chain Due Diligence
We publicly filed the Form SD and this Report with the SEC. A copy of this Report and the Form SD are publicly available at http://investors.fluidigm.com/financial-information/sec-filings. This Report includes information about the RCOI methodology utilized by the Company, the design of our due diligence process in conformance with the OECD Framework, the list of known smelters and refiners utilized in our supply chain identified in our due diligence process, and a description of our products that incorporate 3TG minerals necessary to the functionality or production of such products.
Smelters and Refiners in Fluidigm’s Supply Chain
We adopted RMI’s industry approach to trace back the origin of 3TG minerals by identifying smelters, refineries, or recyclers and scrap supplier sources. We have leveraged industry initiatives such as the RMAP, which is a voluntary initiative in which an independent third party audits smelters and refiners to determine if all of the minerals processed by the smelter or refiner originated from conflict free sources. Participation in the RMAP provides us with verified information about the sourcing activities of the smelters and refiners in our supply chain.
As discussed above, we submitted the RMI Template to our first tier suppliers. Most of the responses received from our first tier suppliers provided information at company/division levels, rather than specific product/part number levels. As a result, we were unable to determine whether or to what extent any of the 3TG minerals reported as used by these first tier suppliers were contained specifically in components supplied to us. We also were unable to validate whether the smelters or refiners reported by such first tier suppliers are actually in our supply chain. Accordingly, based on information that was provided by our first tier suppliers or that was otherwise obtained through our due diligence process, we are unable to determine and describe all facilities used to process the 3TG minerals contained in our covered products.
Based on the information that was provided by our suppliers and otherwise obtained through the due diligence process, we believe that, to the extent reasonably determinable, the facilities that were used to process the 3TG minerals contained in the covered products included the smelters and refiners listed in Annex A attached hereto. This table excludes facilities that are not listed in the RMI Smelter Reference List as of May 22, 2020. An indication of “Conformant” in the far right column of the table indicates that the smelter or refinery has received a “conflict free” designation from an independent third party audit program or is presently undergoing a re-audit to maintain its “conflict free” designation. An indication of “In Process” in the far right column of the table indicates that the smelter or refinery has not yet received a “conflict free” designation, but is undergoing an audit process that will determine such status. An indication of “Unknown” in the far right column of the table indicates that the smelter or refinery was not included in the RMI compliant or active lists and thus the facility’s designation is undeterminable.
Because the RMI Smelter Reference List generally did not indicate individual countries of origin of the conflict minerals processed by smelters and refiners, we were not able to determine the countries of origin of the 3TG minerals processed by the listed smelters and refiners with greater specificity. Furthermore, as stated earlier, submission of these smelters by our first-tier suppliers does not guarantee that these smelters or refiners are present in the Company’s supply chain as our first tier suppliers were generally only able to provide company-level RMI Templates and were not able to provide product-level RMI Templates
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directly linking those smelters or refiners to such covered products. Therefore, based on our due diligence efforts, we do not have sufficient information to conclusively determine the countries of origin of the 3TG minerals contained in the covered products.
Additional Risk Factors
The statements above are based on the RCOI process and due diligence performed in good faith by Fluidigm. These statements are based on the infrastructure and information available at the time. A number of factors could introduce errors or otherwise affect our 3TG mineral status. These factors include, but are not limited to, gaps in supplier data; gaps in smelter data; errors or omissions by suppliers; errors or omissions by smelters; all instances of 3TG minerals necessary to the functionality or manufacturing of our products not yet having been identified; gaps in supplier education and knowledge; timeliness of data; public information not discovered during a reasonable search; errors in public data; language barriers and translation; supplier and smelter unfamiliarity with the protocols for identifying and sourcing potential 3TG minerals; oversight or errors in conflict free smelter audits; Covered Countries sourced materials being declared secondary materials; companies going out of business in 2019; certification programs being not equally advanced for all industry segments and metals; and smuggling of 3TG minerals from the Covered Countries to other countries; and the effects of COVID-19 and similar pandemics.
Future Steps
We have communicated our expectations to our first tier suppliers regarding our commitment to sourcing minerals for our products in a manner that does not, directly or indirectly, finance or benefit armed groups in the DRC or adjoining countries. We expect to continue our engagement with our relevant suppliers over the next year to build their knowledge and capacity so they are able to provide us with more complete and accurate information on the source and chain of custody of the 3TG included in components and parts purchased by us and incorporated into our products. We also plan to continue to investigate other minerals of concern, including cobalt, and other global regions of high risk.
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Annex A
2020 Facility and Country List
Metal | Facility Name | Country | Conformance Status | ||||||||
Gold | 8853 S.p.A. | Italy | Conformant | ||||||||
| Gold | Abington Reldan Metals, LLC | United States | Unknown | ||||||||
Gold | Advanced Chemical Company | United States | Conformant | ||||||||
| Gold | African Gold Refinery | Uganda | Unknown | ||||||||
| Gold | AGR Mathey | Australia | Unknown | ||||||||
Gold | Aida Chemical Industries Co., Ltd. | Japan | Conformant | ||||||||
Gold | Al Etihad Gold Refinery DMCC | United Arab Emirates | Conformant | ||||||||
Gold | Allgemeine Gold-und Silberscheideanstalt A.G. | Germany | Conformant | ||||||||
Gold | Almalyk Mining and Metallurgical Complex (AMMC) | Uzbekistan | Conformant | ||||||||
| Gold | Amagasaki Factory, Hyogo Prefecture, Japan | Japan | Unknown | ||||||||
Gold | AngloGold Ashanti Corrego do Sitio Mineracao | Brazil | Conformant | ||||||||
Gold | Argor-Heraeus S.A. | Switzerland | Conformant | ||||||||
Gold | Asahi Refining Canada Ltd. | Canada | Conformant | ||||||||
Gold | Asahi Refining USA Inc. | United States | Conformant | ||||||||
Gold | Asaka Riken Co., Ltd. | Japan | Conformant | ||||||||
Gold | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | Turkey | Unknown | ||||||||
Gold | AU Traders and Refiners | South Africa | Conformant | ||||||||
Gold | Aurubis AG | Germany | Conformant | ||||||||
Gold | Bangalore Refinery | India | Conformant | ||||||||
Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | Philippines | Conformant | ||||||||
Gold | Boliden AB | Sweden | Conformant | ||||||||
Gold | C. Hafner GmbH + Co. KG | Germany | Conformant | ||||||||
Gold | Caridad | Mexico | Unknown | ||||||||
Gold | CCR Refinery - Glencore Canada Corporation | Canada | Conformant | ||||||||
Gold | Cendres + Metaux S.A. | Switzerland | Conformant | ||||||||
| Gold | CGR Metalloys Pvt Ltd. | India | Unknown | ||||||||
Gold | Chimet S.p.A. | Italy | Conformant | ||||||||
| Gold | China Henan Zhongyuan Gold Smelter | China | Unknown | ||||||||
| Gold | China's Shandong Gold Mining Co., Ltd | China | Unknown | ||||||||
Gold | Chugai Mining | Japan | Conformant | ||||||||
Gold | Daye Non-Ferrous Metals Mining Ltd. | China | Unknown | ||||||||
| Gold | Degussa Sonne / Mond Goldhandel GmbH | Germany | Unknown | ||||||||
| Gold | Dijllah Gold Refinery FZC | United Arab Emirates | Unknown | ||||||||
| Gold | Do Sung Corporation | Korea, Republic of | Unknown | ||||||||
Gold | DODUCO Contacts and Refining GmbH | Germany | Conformant | ||||||||
Gold | Dowa | Japan | Conformant | ||||||||
Gold | DS PRETECH Co., Ltd. | Korea, Republic of | Conformant | ||||||||
Gold | Eco-System Recycling Co., Ltd. East Plant | Japan | Conformant | ||||||||
| Gold | Eco-System Recycling Co., Ltd. North Plant | Japan | Conformant | ||||||||
| Gold | Eco-System Recycling Co., Ltd. West Plant | Japan | Conformant | ||||||||
Gold | Emirates Gold DMCC | United Arab Emirates | Conformant | ||||||||
Gold | Federal State Unitary Enterprise Moscow Special Processing Plant (FSUE MZSS) | Russian Federation | Unknown | ||||||||
5
Metal | Facility Name | Country | Conformance Status | ||||||||
Gold | Fidelity Printers and Refiners Ltd. | Zimbabwe | Unknown | ||||||||
Gold | FSE Novosibirsk Refinery | Russian Federation | Unknown | ||||||||
| Gold | Fujairah Gold FZC | United Arab Emirates | Unknown | ||||||||
| Gold | Fujian Zijin mining stock company gold smelter | China | Unknown | ||||||||
Gold | GCC Gujrat Gold Centre Pvt. Ltd. | India | Unknown | ||||||||
Gold | Geib Refining Corporation | United States | Conformant | ||||||||
Gold | Great Wall Precious Metals Co., Ltd. of CBPM | China | Unknown | ||||||||
| Gold | Guangdong Jinding Gold Limited | China | Unknown | ||||||||
Gold | Guoda Safina High-Tech Environmental Refinery Co., Ltd. | China | Unknown | ||||||||
Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. | China | Unknown | ||||||||
Gold | HeeSung Metal Ltd. | Korea, Republic of | Unknown | ||||||||
Gold | Heimerle + Meule GmbH | Germany | Conformant | ||||||||
Gold | Heraeus Metals Hong Kong Ltd. | China | Conformant | ||||||||
Gold | Heraeus Precious Metals GmbH & Co. KG | Germany | Conformant | ||||||||
Gold | Hunan Chenzhou Mining Co., Ltd. | China | Unknown | ||||||||
Gold | Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd. | China | Unknown | ||||||||
Gold | HwaSeong CJ CO., LTD. | Korea, Republic of | Unknown | ||||||||
Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | China | Conformant | ||||||||
Gold | International Precious Metal Refiners | United Arab Emirates | Unknown | ||||||||
Gold | Ishifuku Metal Industry Co., Ltd. | Japan | Conformant | ||||||||
Gold | Istanbul Gold Refinery | Turkey | Conformant | ||||||||
Gold | Italpreziosi | Italy | Conformant | ||||||||
Gold | Japan Mint | Japan | Conformant | ||||||||
Gold | JCC | China | Unknown | ||||||||
Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | Russian Federation | Unknown | ||||||||
Gold | JSC Uralelectromed | Russian Federation | Conformant | ||||||||
Gold | JX Nippon Mining & Metals Co., Ltd. | Japan | Conformant | ||||||||
Gold | Kaloti Precious Metals | United Arab Emirates | Unknown | ||||||||
Gold | Kazakhmys Smelting LLC | Kazakhstan | Unknown | ||||||||
Gold | Kazzinc | Kazakhstan | Conformant | ||||||||
Gold | Kennecott Utah Copper LLC | United States | Conformant | ||||||||
Gold | KGHM Polska Miedz Spolka Akcyjna | Poland | Conformant | ||||||||
Gold | Kojima Chemicals Co., Ltd. | Japan | Conformant | ||||||||
Gold | Korea Zinc Co., Ltd. | Korea, Republic of | Conformant | ||||||||
Gold | Kyrgyzaltyn JSC | Kyrgyzstan | Conformant | ||||||||
Gold | Kyshtym Copper-Electrolytic Plant ZAO | Russian Federation | Unknown | ||||||||
Gold | L'azurde Company For Jewelry | Saudi Arabia | Unknown | ||||||||
Gold | Lingbao Gold Co., Ltd. | China | Unknown | ||||||||
Gold | Lingbao Jinyuan Tonghui Refinery Co., Ltd. | China | Unknown | ||||||||
Gold | L'Orfebre S.A. | Andorra | Conformant | ||||||||
Gold | LS-NIKKO Copper Inc. | Korea, Republic of | Conformant | ||||||||
Gold | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | China | Unknown | ||||||||
Gold | Marsam Metals | Brazil | Conformant | ||||||||
Gold | Materion | United States | Conformant | ||||||||
Gold | Matsuda Sangyo Co., Ltd. | Japan | Conformant | ||||||||
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Metal | Facility Name | Country | Conformance Status | ||||||||
Gold | MEM(Sumitomo Group) | Japan | Unknown | ||||||||
Gold | Metal?rgica Met-Mex Pe?oles, S.A. de C.V | Mexico | Unknown | ||||||||
Gold | Metallurgie Hoboken Overpelt | Belgium | Unknown | ||||||||
Gold | Metalor Switzerland | Switzerland | Unknown | ||||||||
Gold | Metalor Technologies (Hong Kong) Ltd. | China | Conformant | ||||||||
Gold | Metalor Technologies (Singapore) Pte., Ltd. | Singapore | Conformant | ||||||||
Gold | Metalor Technologies (Suzhou) Ltd. | China | Conformant | ||||||||
Gold | Metalor USA Refining Corporation | United States | Conformant | ||||||||
Gold | Mitsubishi Materials Corporation | Japan | Conformant | ||||||||
Gold | Mitsui Mining and Smelting Co., Ltd. | Japan | Conformant | ||||||||
Gold | MMTC-PAMP India Pvt., Ltd. | India | Conformant | ||||||||
Gold | Modeltech Sdn Bhd | Malaysia | Unknown | ||||||||
Gold | Morris and Watson | New Zealand | Unknown | ||||||||
Gold | Nadir Metal Rafineri San. Ve Tic. A.S. | Turkey | Conformant | ||||||||
Gold | Navoi Mining and Metallurgical Combinat | Uzbekistan | Unknown | ||||||||
Gold | NH Recytech Company | Korea, Republic of | Unknown | ||||||||
Gold | Nihon Material Co., Ltd. | Japan | Conformant | ||||||||
Gold | Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH | Austria | Conformant | ||||||||
Gold | Ohura Precious Metal Industry Co., Ltd. | Japan | Conformant | ||||||||
Gold | OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) | Russian Federation | Conformant | ||||||||
Gold | PAMP S.A. | Switzerland | Conformant | ||||||||
Gold | Pease & Curren | United States | Unknown | ||||||||
Gold | Penglai Penggang Gold Industry Co., Ltd. | China | Unknown | ||||||||
Gold | Planta Recuperadora de Metales SpA | Chile | Conformant | ||||||||
Gold | Prioksky Plant of Non-Ferrous Metals | Russian Federation | Conformant | ||||||||
Gold | PT Aneka Tambang (Persero) Tbk | Indonesia | Conformant | ||||||||
Gold | PX Precinox S.A. | Switzerland | Conformant | ||||||||
Gold | QG Refining, LLC | United States | Unknown | ||||||||
Gold | Rand Refinery (Pty) Ltd. | South Africa | Conformant | ||||||||
Gold | Refinery of Seemine Gold Co., Ltd. | China | Unknown | ||||||||
Gold | REMONDIS PMR B.V. | Netherlands | Conformant | ||||||||
Gold | Royal Canadian Mint | Canada | Conformant | ||||||||
Gold | SAAMP | France | Conformant | ||||||||
Gold | Sabin Metal Corp. | United States | Unknown | ||||||||
Gold | Safimet S.p.A | Italy | Conformant | ||||||||
Gold | SAFINA A.S. | Czechia | In Process | ||||||||
Gold | Sai Refinery | India | Unknown | ||||||||
Gold | Samduck Precious Metals | Korea, Republic of | Conformant | ||||||||
Gold | Samwon Metals Corp. | Korea, Republic of | Unknown | ||||||||
Gold | SAXONIA Edelmetalle GmbH | Germany | Conformant | ||||||||
Gold | SEMPSA Joyeria Plateria S.A. | Spain | Conformant | ||||||||
Gold | Shandong Humon Smelting Co., Ltd. | China | Unknown | ||||||||
Gold | Shandong Tarzan Bio-Gold Industry Co., Ltd. | China | Unknown | ||||||||
Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | China | Conformant | ||||||||
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Metal | Facility Name | Country | Conformance Status | ||||||||
Gold | Shonan Plant Tanaka Kikinzoku | Japan | Unknown | ||||||||
Gold | Shyolkovsky | Russian Federation | Unknown | ||||||||
Gold | Sichuan Tianze Precious Metals Co., Ltd. | China | Conformant | ||||||||
Gold | Singway Technology Co., Ltd. | Taiwan, Province of China | Conformant | ||||||||
Gold | Solar Applied Materials Technology Corp. | Taiwan, Province of China | Conformant | ||||||||
Gold | Sovereign Metals | India | Unknown | ||||||||
Gold | State Research Institute Center for Physical Sciences and Technology | Lithuania | Unknown | ||||||||
Gold | Sudan Gold Refinery | Sudan | Unknown | ||||||||
Gold | SungEel HiMetal Co., Ltd. | Korea, Republic of | Conformant | ||||||||
Gold | T.C.A S.p.A | Italy | Conformant | ||||||||
Gold | Tokuriki Honten Co., Ltd. | Japan | Conformant | ||||||||
Gold | Tongling Nonferrous Metals Group Co., Ltd. | China | Unknown | ||||||||
Gold | Tony Goetz NV | Belgium | Unknown | ||||||||
Gold | TOO Tau-Ken-Altyn | Kazakhstan | Conformant | ||||||||
Gold | Torecom | Korea, Republic of | Conformant | ||||||||
Gold | Umicore Brasil Ltda. | Brazil | Conformant | ||||||||
Gold | Umicore Precious Metals Thailand | Thailand | Conformant | ||||||||
Gold | United Precious Metal Refining, Inc. | United States | Conformant | ||||||||
Gold | Valcambi S.A. | Switzerland | Conformant | ||||||||
Gold | WIELAND Edelmetalle GmbH | Germany | Conformant | ||||||||
Gold | Yamakin Co., Ltd. | Japan | Conformant | ||||||||
Gold | Yokohama Metal Co., Ltd. | Japan | Conformant | ||||||||
Gold | Yunnan Copper Industry Co., Ltd. | China | Unknown | ||||||||
Tantalum | Asaka Riken Co., Ltd. | Japan | Conformant | ||||||||
Tantalum | Changsha South Tantalum Niobium Co., Ltd. | China | Conformant | ||||||||
Tantalum | CP Metals Inc. | United States | Conformant | ||||||||
Tantalum | D Block Metals, LLC | United States | Conformant | ||||||||
Tantalum | Exotech Inc. | United States | Conformant | ||||||||
Tantalum | F&X Electro-Materials Ltd. | China | Conformant | ||||||||
Tantalum | FIR Metals & Resource Ltd. | China | Conformant | ||||||||
Tantalum | Global Advanced Metals Aizu | Japan | Conformant | ||||||||
Tantalum | Global Advanced Metals Boyertown | United States | Conformant | ||||||||
Tantalum | Guangdong Zhiyuan New Material Co., Ltd. | China | Conformant | ||||||||
Tantalum | H.C. Starck Co., Ltd. | Thailand | Conformant | ||||||||
Tantalum | H.C. Starck Hermsdorf GmbH | Germany | Conformant | ||||||||
Tantalum | H.C. Starck Inc. | United States | Conformant | ||||||||
Tantalum | H.C. Starck Ltd. | Japan | Conformant | ||||||||
Tantalum | H.C. Starck Smelting GmbH & Co. KG | Germany | Conformant | ||||||||
Tantalum | H.C. Starck Tantalum and Niobium GmbH | Germany | Conformant | ||||||||
Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | China | Conformant | ||||||||
Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | China | Conformant | ||||||||
Tantalum | Jiangxi Tuohong New Raw Material | China | Conformant | ||||||||
Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | China | Conformant | ||||||||
Tantalum | Jiujiang Tanbre Co., Ltd. | China | Conformant | ||||||||
8
Metal | Facility Name | Country | Conformance Status | ||||||||
Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | China | Conformant | ||||||||
Tantalum | KEMET Blue Metals | Mexico | Conformant | ||||||||
Tantalum | KEMET Blue Powder | United States | Conformant | ||||||||
Tantalum | LSM Brasil S.A. | Brazil | Conformant | ||||||||
Tantalum | Metallurgical Products India Pvt., Ltd. | India | Conformant | ||||||||
Tantalum | Mineracao Taboca S.A. | Brazil | Conformant | ||||||||
Tantalum | Mitsui Mining and Smelting Co., Ltd. | Japan | Conformant | ||||||||
Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | China | Conformant | ||||||||
Tantalum | NPM Silmet AS | Estonia | Conformant | ||||||||
Tantalum | PRG Dooel | North Macedonia, Republic of | Conformant | ||||||||
Tantalum | QuantumClean | United States | Conformant | ||||||||
Tantalum | Resind Industria e Comercio Ltda. | Brazil | Conformant | ||||||||
Tantalum | RFH | China | Unknown | ||||||||
Tantalum | Solikamsk Magnesium Works OAO | Russian Federation | Conformant | ||||||||
Tantalum | Taki Chemical Co., Ltd. | Japan | Conformant | ||||||||
Tantalum | Telex Metals | United States | Conformant | ||||||||
Tantalum | Ulba Metallurgical Plant JSC | Kazakhstan | Conformant | ||||||||
Tantalum | XinXing HaoRong Electronic Material Co., Ltd. | China | Conformant | ||||||||
Tin | Alpha | United States | Conformant | ||||||||
Tin | An Vinh Joint Stock Mineral Processing Company | Viet Nam | Unknown | ||||||||
Tin | Brand RBT | Indonesia | Unknown | ||||||||
Tin | Chengfeng Metals Co Pte Ltd | China | Unknown | ||||||||
Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | China | Conformant | ||||||||
Tin | Chifeng Dajingzi Tin Industry Co., Ltd. | China | Conformant | ||||||||
Tin | China Tin Group Co., Ltd. | China | Conformant | ||||||||
Tin | China Yunnan Tin Co Ltd. | China | Unknown | ||||||||
Tin | CV Ayi Jaya | Indonesia | Conformant | ||||||||
Tin | CV Dua Sekawan | Indonesia | Conformant | ||||||||
Tin | CV Gita Pesona | Indonesia | Conformant | ||||||||
Tin | CV United Smelting | Indonesia | Conformant | ||||||||
Tin | CV Venus Inti Perkasa | Indonesia | Conformant | ||||||||
Tin | Dongguan CiEXPO Environmental Engineering Co., Ltd. | China | Unknown | ||||||||
Tin | Dowa | Japan | Conformant | ||||||||
Tin | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | Viet Nam | Unknown | ||||||||
Tin | EM Vinto | Bolivia | Conformant | ||||||||
Tin | Estanho de Rondonia S.A. | Brazil | Unknown | ||||||||
Tin | Fenix Metals | Poland | Conformant | ||||||||
Tin | Funsur Smelter | Peru | Unknown | ||||||||
Tin | Gejiu City Fuxiang Industry and Trade Co., Ltd. | China | Unknown | ||||||||
Tin | Gejiu Fengming Metallurgy Chemical Plant | China | Conformant | ||||||||
Tin | Gejiu Kai Meng Industry and Trade LLC | China | Conformant | ||||||||
Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. | China | Conformant | ||||||||
Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | China | Conformant | ||||||||
Tin | Gejiu Zili Mining And Metallurgy Co., Ltd. | China | Conformant | ||||||||
9
Metal | Facility Name | Country | Conformance Status | ||||||||
Tin | Guangdong Hanhe Non-Ferrous Metal Co., Ltd. | China | Conformant | ||||||||
Tin | Guanyang Guida Nonferrous Metal Smelting Plant | China | Conformant | ||||||||
Tin | HuiChang Hill Tin Industry Co., Ltd. | China | Conformant | ||||||||
Tin | Huichang Jinshunda Tin Co., Ltd. | China | Conformant | ||||||||
Tin | INDONESIAN STATE TIN CORPORATION MENTOK SMELTER | Indonesia | Unknown | ||||||||
Tin | Jiangxi New Nanshan Technology Ltd. | China | Conformant | ||||||||
Tin | Kundur Smelter | Indonesia | Unknown | ||||||||
Tin | Ma'anshan Weitai Tin Co., Ltd. | China | Conformant | ||||||||
Tin | Magnu's Minerais Metais e Ligas Ltda. | Brazil | Conformant | ||||||||
Tin | Malaysia Smelting Corporation (MSC) | Malaysia | Conformant | ||||||||
Tin | Melt Metais e Ligas S.A. | Brazil | Conformant | ||||||||
Tin | Metallic Resources, Inc. | United States | Conformant | ||||||||
Tin | Metallo Belgium N.V. | Belgium | Conformant | ||||||||
Tin | Metallo Spain S.L.U. | Spain | Conformant | ||||||||
Tin | Mineracao Taboca S.A. | Brazil | Conformant | ||||||||
Tin | Mitsubishi Materials Corporation | Japan | Conformant | ||||||||
Tin | Modeltech Sdn Bhd | Malaysia | Unknown | ||||||||
Tin | Nghe Tinh Non-Ferrous Metals Joint Stock Company | Viet Nam | Unknown | ||||||||
Tin | O.M. Manufacturing (Thailand) Co., Ltd. | Thailand | Conformant | ||||||||
Tin | O.M. Manufacturing Philippines, Inc. | Philippines | Conformant | ||||||||
Tin | Operaciones Metalurgicas S.A. | Bolivia | Conformant | ||||||||
Tin | Pongpipat Company Limited | Myanmar | Unknown | ||||||||
Tin | Precious Minerals and Smelting Limited | India | In Process | ||||||||
Tin | PT Artha Cipta Langgeng | Indonesia | Conformant | ||||||||
Tin | PT ATD Makmur Mandiri Jaya | Indonesia | Conformant | ||||||||
Tin | PT Babel Inti Perkasa | Indonesia | Conformant | ||||||||
Tin | PT Babel Surya Alam Lestari | Indonesia | Conformant | ||||||||
Tin | PT Bangka Prima Tin | Indonesia | Conformant | ||||||||
Tin | PT Bangka Serumpun | Indonesia | Conformant | ||||||||
Tin | PT Bangka Tin Industry | Indonesia | Conformant | ||||||||
Tin | PT Belitung Industri Sejahtera | Indonesia | Conformant | ||||||||
Tin | PT Inti Stania Prima | Indonesia | Conformant | ||||||||
Tin | PT Karimun Mining | Indonesia | Conformant | ||||||||
Tin | PT Kijang Jaya Mandiri | Indonesia | Conformant | ||||||||
Tin | PT Lautan Harmonis Sejahtera | Indonesia | Conformant | ||||||||
Tin | PT Menara Cipta Mulia | Indonesia | Conformant | ||||||||
Tin | PT Mitra Stania Prima | Indonesia | Conformant | ||||||||
Tin | PT Panca Mega Persada | Indonesia | Conformant | ||||||||
Tin | PT Prima Timah Utama | Indonesia | Conformant | ||||||||
Tin | PT Rajawali Rimba Perkasa | Indonesia | Conformant | ||||||||
Tin | PT Sariwiguna Binasentosa | Indonesia | Conformant | ||||||||
Tin | PT Stanindo Inti Perkasa | Indonesia | Conformant | ||||||||
Tin | PT Sukses Inti Makmur | Indonesia | Conformant | ||||||||
Tin | PT Sumber Jaya Indah | Indonesia | Conformant | ||||||||
Tin | PT Tinindo Inter Nusa | Indonesia | Conformant | ||||||||
10
Metal | Facility Name | Country | Conformance Status | ||||||||
Tin | PT Tirus Putra Mandiri | Indonesia | Conformant | ||||||||
Tin | PT Tommy Utama | Indonesia | Conformant | ||||||||
Tin | Resind Industria e Comercio Ltda. | Brazil | Conformant | ||||||||
Tin | Rui Da Hung | Taiwan, Province of China | Conformant | ||||||||
Tin | Soft Metais Ltda. | Brazil | Conformant | ||||||||
Tin | Super Ligas | Brazil | Unknown | ||||||||
Tin | Thai Nguyen Mining and Metallurgy Co., Ltd. | Viet Nam | Conformant | ||||||||
Tin | Thaisarco | Thailand | Conformant | ||||||||
Tin | Tin Technology & Refining | United States | Conformant | ||||||||
Tin | Tuyen Quang Non-Ferrous Metals Joint Stock Company | Viet Nam | Unknown | ||||||||
Tin | White Solder Metalurgia e Mineracao Ltda. | Brazil | Conformant | ||||||||
Tin | Yunnan Yunfan Non-ferrous Metals Co., Ltd. | China | Conformant | ||||||||
Tungsten | A.L.M.T. Corp. | Japan | Conformant | ||||||||
Tungsten | ACL Metais Eireli | Brazil | Conformant | ||||||||
Tungsten | Albasteel Industria e Comercio de Ligas Para Fundicao Ltd. | Brazil | In Process | ||||||||
Tungsten | Asia Tungsten Products Vietnam Ltd. | Viet Nam | Conformant | ||||||||
Tungsten | ATI Metalworking Products | United States | Unknown | ||||||||
Tungsten | Chaozhou Xianglu Tungsten Industry Co., Ltd. | China | Unknown | ||||||||
Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd. | China | Conformant | ||||||||
Tungsten | China Molybdenum Co., Ltd. | China | Unknown | ||||||||
Tungsten | China National Non Ferrous | China | Unknown | ||||||||
Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | China | Conformant | ||||||||
Tungsten | CNMC (Guangxi) PGMA Co., Ltd. | China | Unknown | ||||||||
Tungsten | Fujian Ganmin RareMetal Co., Ltd. | China | Conformant | ||||||||
Tungsten | Fujian Jinxin Tungsten Co., Ltd. | China | Conformant | ||||||||
Tungsten | Ganzhou Haichuang Tungsten Co., Ltd. | China | Conformant | ||||||||
Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | China | Conformant | ||||||||
Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | China | Conformant | ||||||||
Tungsten | Global Tungsten & Powders Corp. | United States | Conformant | ||||||||
Tungsten | H.C. Starck Smelting GmbH & Co. KG | Germany | Conformant | ||||||||
Tungsten | H.C. Starck Tungsten GmbH | Germany | Conformant | ||||||||
Tungsten | Human Chun-Chang non-ferrous Smelting & Concentrating Co., Ltd. | China | Unknown | ||||||||
Tungsten | Hunan Chenzhou Mining Co., Ltd. | China | Conformant | ||||||||
Tungsten | Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji | China | Conformant | ||||||||
Tungsten | Hunan Litian Tungsten Industry Co., Ltd. | China | Conformant | ||||||||
Tungsten | Hydrometallurg, JSC | Russian Federation | Conformant | ||||||||
Tungsten | Japan New Metals Co., Ltd. | Japan | Conformant | ||||||||
Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | China | Conformant | ||||||||
Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | China | Conformant | ||||||||
Tungsten | Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. | China | Unknown | ||||||||
Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | China | Conformant | ||||||||
Tungsten | Jiangxi Xianglu Tungsten Co., Ltd. | China | In Process | ||||||||
Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | China | Conformant | ||||||||
Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. | China | Conformant | ||||||||
11
Metal | Facility Name | Country | Conformance Status | ||||||||
Tungsten | JSC "Kirovgrad Hard Alloys Plant" | Russian Federation | In Process | ||||||||
Tungsten | Kennametal Fallon | United States | Conformant | ||||||||
Tungsten | KGETS Co., Ltd. | Korea, Republic of | Conformant | ||||||||
Tungsten | Lianyou Metals Co., Ltd. | Taiwan, Province of China | Conformant | ||||||||
Tungsten | Malipo Haiyu Tungsten Co., Ltd. | China | Conformant | ||||||||
Tungsten | Masan Tungsten Chemical LLC (MTC) | Viet Nam | Conformant | ||||||||
Tungsten | Moliren Ltd. | Russian Federation | Conformant | ||||||||
Tungsten | Niagara Refining LLC | United States | Conformant | ||||||||
Tungsten | Philippine Chuangxin Industrial Co., Inc. | Philippines | Conformant | ||||||||
Tungsten | Shaoguan Xinhai Rendan Tungsten Industry Co. Ltd | China | Unknown | ||||||||
Tungsten | Tejing (Vietnam) Tungsten Co., Ltd. | Viet Nam | Conformant | ||||||||
Tungsten | Unecha Refractory metals plant | Russian Federation | Conformant | ||||||||
Tungsten | Wolfram Bergbau und Hutten AG | Austria | Conformant | ||||||||
Tungsten | Woltech Korea Co., Ltd. | Korea, Republic of | Conformant | ||||||||
Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | China | Conformant | ||||||||
Tungsten | Xiamen Tungsten Co., Ltd. | China | Conformant | ||||||||
Tungsten | Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. | China | Conformant | ||||||||
12