ViaSat, Inc.
VIASAT INC (Form: SD, Received: 05/30/2017 16:09:04)

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

 

FORM SD

 

 

Specialized Disclosure Report

 

 

ViaSat, Inc.

(Exact Name of Registrant as Specified in its Charter)

 

 

 

Delaware   000-21767   33-0174996

(State or Other Jurisdiction

of Incorporation)

 

(Commission

File No.)

 

(I.R.S. Employer

Identification No.)

6155 El Camino Real

Carlsbad, California 92009

(Address of Principal Executive Offices, Including Zip Code)

Paul G. Castor

(760) 476-2200

(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, 2016

 

 

 


Section 1 – Conflict Minerals Disclosure

Item 1.01 Conflict Minerals Disclosure and Report

CONFLICT MINERALS DISCLOSURE

ViaSat, Inc. is filing a Conflict Minerals Report for the calendar year ended December 31, 2016, which is attached hereto as Exhibit 1.01 and is publicly available in the Financial Information section of its website at investors.viasat.com under the heading “SEC Filings.”

Item 1.02 Exhibit

Item 2.01 of this Form SD is incorporated by reference into this Item 1.02.

Section 2 – Exhibits

Item 2.01 Exhibits

 

Exhibit
Number

  

Description of Exhibit

1.01    Conflict Minerals Report


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 undersigned thereunto duly authorized.

 

    VIASAT, INC.
Date: May 30, 2017     By   /s/ Shawn Duffy
      Shawn Duffy
      Senior Vice President and Chief Financial Officer

EXHIBIT 1.01

VIASAT, INC.

CONFLICT MINERALS REPORT

Reporting Period:

January 1, 2016 - December 31, 2016

This Conflict Minerals Report (this “Report”) of ViaSat, Inc. for calendar year 2016 has been prepared pursuant to Rule 13p-1 under the Securities Exchange Act of 1934, as amended (the “Rule”). The Rule imposes certain reporting obligations on every registrant having conflict minerals that are necessary to the functionality or production of a product manufactured by the registrant or contracted by the registrant to be manufactured. Please refer to the Rule, Special Disclosure Report on Form SD (“Form SD”) and the 1934 Act Release No. 34-67716 (August 22, 2012) for definitions of the terms used in this Report, unless otherwise defined herein. This Report does not address any conflict minerals that were “outside the supply chain” prior to January 31, 2013, as any such conflict minerals are exempted under the Rule and Form SD. References in this Report to “ViaSat,” “we,” “us” and “our” mean ViaSat, Inc. and its consolidated subsidiaries.

A. Overview

ViaSat is an innovator in broadband technologies and services. Our end-to-end platform of high-capacity Ka-band satellites, ground infrastructure and user terminals enables us to provide cost-effective, high-speed, high-quality broadband solutions to enterprises, consumers and government users around the globe, whether on the ground, on the move or in flight. In addition, we develop and provide advanced wireless communications systems, secure networking systems and cybersecurity and information assurance products and services.

We manufacture or contract to manufacture a variety of advanced satellite-based and wireless products, systems and solutions. We have determined that the Rule applies to our business because necessary conflict minerals are contained in our products.

Therefore, in accordance with the Rule and Form SD, we have conducted, in good faith, a reasonable country of origin inquiry (“RCOI”) with our suppliers that was reasonably designed to determine whether any conflict minerals in our products originated in the Democratic Republic of Congo (“DRC”) or an adjoining country (collectively, “Covered Countries”) or are from recycled or scrap sources. Based on our RCOI, we had reason to believe that, in calendar year 2016, necessary conflict minerals contained in our products may have originated in the Covered Countries, and had reason to believe that such necessary conflict minerals may not be from recycled or scrap sources. Therefore, given the possibility that necessary conflict minerals in our products may have originated from Covered Countries and may not be from recycled or scrap sources, we have conducted due diligence on the source and chain of custody of those conflict minerals.

B. Design of Conflict Minerals Program

We designed our conflict minerals program to conform in all material respects with the internationally recognized due diligence framework developed by The Organisation for Economic Co-operation and Development (“OECD”). See OECD (2013), OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas: Second Edition, OECD Publishing, available at http://www.oecd.org/corporate/mne/GuidanceEdition2.pdf and the related Supplements for gold, tin, tantalum and tungsten (collectively, the “OECD Guidance”).

Our conflict minerals program has been designed to address each of the five steps in the OECD Guidance due diligence framework as they relate to our position as a “downstream” purchaser in the conflict minerals supply chain, namely:

 

  establish strong company management systems regarding conflict minerals;

 

  identify and assess risks in our supply chain;

 

  design and implement a strategy to respond to identified risks in our supply chain;

 

  utilize independent third-party audits of smelters and refiners; and

 

  report publicly on our supply chain due diligence.

Because we are a downstream supplier, we are many steps removed from the mining of conflict minerals. The components and materials contained in our products are supplied by a large number of suppliers, through multiple tiers of distribution. Once minerals are in the supply chain, determining the smelter or the origin of minerals is a challenging process, and we are realistic about the limitations on what we can identify and control.

 

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Consistent with these limitations, the OECD Guidance acknowledges that the requirements for compliance should reflect a company’s position in the supply chain. In particular, the OECD Guidance states that the implementation of due diligence should be tailored to a company’s activities and relationships and that the nature and extent of due diligence may vary based on a company’s size, products, relationships with suppliers and other factors. Due to practical difficulties associated with supply chain complexities, the OECD Guidance advises that downstream companies exercise due diligence primarily by establishing controls over their immediate suppliers. The Electronic Industry Citizenship Coalition and The Global e-Sustainability Initiative (the “EICC/GeSI”) Conflict-Free Sourcing Initiative guidance on implementing the OECD Guidance further recommends that, in conducting due diligence, downstream companies identify relevant or highest priority “tier-1” (direct) suppliers and focus their due diligence efforts on those priority suppliers first. Suggested factors for prioritizing tier-1 suppliers include annual spend.

Company Management Systems

We have established an internal conflict minerals program to manage risks in our supply chain through policies and procedures that are designed to help us understand whether the minerals in our products contribute to the ongoing conflict in the DRC. As part of our program, we have established and maintain company management systems that involve multiple levels of our organization.

ViaSat’s Statement on Conflict Minerals (which is publicly available on our website at www.viasat.com/legal/legal-statements ) reflects our commitment to respect human rights through our responsible sourcing practices, as well as our commitment to avoid practices that may contribute to human rights abuses.

Our conflict minerals steering committee oversees the design and execution of our conflict minerals program. Members of our steering committee include senior executives from our finance, legal, operations, engineering and supply chain departments. The steering committee’s responsibilities include reviewing and approving our Statement on Conflict Minerals, the design of our conflict minerals program and the results of our RCOI and due diligence measures. Our steering committee meets as required throughout each calendar year to review and discuss our conflict minerals program, and is briefed as to the status and findings of the supply chain due diligence we conduct each year.

Our conflict minerals program is managed by a cross-functional compliance team, comprised of representatives from our contracts, supply chain, engineering, quality, finance and legal groups. This compliance team reports directly to our conflict minerals steering committee.

In addition to the company management systems described above, we have also implemented the following company management controls:

 

  we provide our Statement on Conflict Minerals to all of our “tier-1” (direct) suppliers that supply relevant components and materials to us (referred to in this Report as our “Tier-1 Suppliers”) and communicate to them our expectations as to our supply chain and the responsible sourcing of conflict minerals;

 

  we have adopted internal procedures with respect to conflict minerals into our quality management system (QMS);

 

  we have put in place a grievance mechanism regarding our conflict minerals program;

 

  we have established and maintain a central repository of information to facilitate analysis and identification of supplier responses received from our supply chain due diligence; and

 

  we have incorporated provisions on conflict minerals as part of our standard terms and conditions for purchase orders.

We also support the establishment of industry forums to share and communicate information and develop policies on conflict minerals. In 2014, we became a member of the Conflict-Free Sourcing Initiative (“CFSI”), an organization committed to the responsible sourcing of conflict minerals, and we continue to be a supportive member of the organization.

Identification and Assessment of Supply Chain Risk

We have developed and implemented a risk management plan to identify and assess risks in our supply chain. To identify and assess these risks, we identify all of our Tier-1 Suppliers and conduct an annual supply chain survey of our Tier-1 Suppliers using the EICC/GeSI Conflict Minerals Reporting Template (the “EICC/GeSI Form”). We have elected to use the EICC/GeSI Form to elicit supply chain information from our suppliers because (1) it provides information critical to our due diligence efforts, and (2) it is a commonly used tool across many industries, thus easing the burden on our suppliers.

 

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To maximize the effectiveness of our due diligence measures, we concentrate our due diligence efforts primarily on those Tier-1 Suppliers representing a substantial majority of our total annual expenditure on relevant components and materials (referred to in this Report as our “Priority Suppliers”).

In reviewing the diligence data we receive (whether from completed EICC/GeSI Forms, responses to our inquiries or otherwise), we apply evaluation processes to assess the reasonableness of the data and to check for the presence of “red flags.” We consider red flags to be obvious indications or circumstances that indicate the supplier disclosure may be inaccurate or improper and thus, may not be reliable. Factors we take into account in identifying and assessing supplier risk include:

 

  the failure of a supplier to respond to our inquiries;

 

  statements by a supplier that no conflict minerals are used in its products;

 

  inadequacies and inconsistencies in, or incompleteness of, a supplier’s responses;

 

  suppliers that indicate conflict minerals in their products may be sourced from Covered Countries; and

 

  a supplier’s lack of sophistication, including unfamiliarity with the Rule.

In addition, we use the EICC/GeSI Form to identify conflict minerals processing facilities when reported in our supply chain by our Priority Suppliers. We obtain and validate information (where available) on the country of origin and mine location of conflict minerals processed at the identified facilities by relying on the information received through the CFSI’s third party audit program: the Conflict-Free Smelter Program (“CFSP”), which offers third-party audits of smelters and refiners to certify that the minerals they process originate from conflict-free sources.

Designing and Implementing a Strategy to Respond to Risk

We have developed processes to assess and respond to the risks identified in our supply chain ranging from continued procurement with corrective action letter requests to disengagement at the discretion of management. Our cross-functional compliance team manages the due diligence of our supply chain, and monitors, tracks and evaluates supplier responses to our due diligence efforts. Members of our cross-functional compliance team meet periodically to review the status and results of our due diligence measures and to discuss any actual or potential risks and red flags identified during diligence. Members of our cross-functional compliance team also monitor and track the measures we take to mitigate risks, and report on risk management to our steering committee. In addition, we support the development of due diligence practices through participation in CFSI working groups.

Independent Third-Party Audits of Smelters and Refiners

We do not have direct relationships with any smelters or refiners and accordingly do not directly audit any smelters or refiners in our supply chain. Instead, we rely on the third-party audits of smelters and refiners conducted as part of the CFSP. The CFSP uses independent private sector auditors to audit the source, including the mines of origin, and the chain of custody of the conflict minerals used by smelters and refiners that agree to participate in the program. The smelters and refiners that are found by the CFSP to be “compliant” are those for which the independent auditor has verified that the smelter and/or refiner does not process conflict minerals that have originated from mines in the Covered Countries that directly or indirectly financed or benefited armed groups. We also rely on the publicly available results of the CFSP third-party audits to validate the responsible sourcing practices of processing facilities in our supply chain. We support independent third-party audits of processing facilities through our CFSI membership.

Public Reporting on our Supply Chain Due Diligence

We publish our Form SDs and Conflict Mineral Reports (including this Report) in the Financial Information section of our website at investors.viasat.com under the heading “SEC Filings,” and our Statement on Conflict Minerals is publicly available on our website at www.viasat.com/legal/legal-statments . Information found on or accessed through ViaSat’s website is not considered part of this Report and is not incorporated by reference herein. We also publicly file our Form SDs (which include our Conflict Minerals Reports) with the Securities and Exchange Commission.

 

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C. Due Diligence Measures Performed

Set forth below is a description of the measures we performed to exercise due diligence on the source and chain of custody of the necessary conflict minerals contained in our products for calendar year 2016.

To determine whether necessary conflict minerals in our products in calendar year 2016 originated in Covered Countries, we assembled a comprehensive list of suppliers that provide goods and services directly to us. From this list, we identified over 800 Tier-1 Suppliers. We contacted each of these Tier-1 Suppliers individually, provided them with a link to our Statement on Conflict Minerals and a copy of the EICC/GeSI Form, and requested the return of the completed EICC/GeSI Form to us. Follow-up requests were sent to all Tier-1 Suppliers who did not respond. To maximize the effectiveness of our due diligence measures, we concentrate our due diligence efforts primarily on Priority Suppliers. We used our manufacturing data system to identify Priority Suppliers, and took additional measures to maximize the response rate from Priority Suppliers. We received responses from a majority of our Tier-1 Suppliers and nearly all of our Priority Suppliers.

We electronically aggregated and reviewed the data from all of the responses we received from our Tier-1 Suppliers by utilizing a conflict minerals data management tool that we designed to track communications with Tier-1 Suppliers, automate the identification of quality issues (e.g. incomplete EICC/GeSI Forms, inconsistent responses and red flags based on criteria defined internally) and aggregate EICC/GeSI Forms responses for analysis and reporting. We applied our evaluation processes to data received to assess the reasonableness of the data and to check for the presence of “red flags.” Where red flags were identified, we undertook further analysis of the information provided on the EICC/GeSI Form in order to assess any actual or potential risks to our supply chain and develop a recommended course of action. Where supplier responses indicated a need to conduct further due diligence, we conducted additional analysis or requested more detailed information, as appropriate.

We determine if the processing facilities reported to us by our Priority Suppliers adhere to responsible sourcing practices by verifying whether they are included on the list of CFSP-compliant processing facilities. We communicated red flags identified in the EICC/GeSI Forms responses through corrective action letter requests with our Priority Suppliers who answered that reported processing facilities are known to source conflict minerals from the Covered Countries. Members of our cross-functional compliance team met periodically to review the results from our due diligence efforts for calendar year 2016, and presented their findings to our steering committee.

We provide funding to non-profit and industry initiatives that support the responsible sourcing of conflict minerals through our CFSI membership.

D. Product Description

Products Containing Necessary Conflict Minerals

We have determined that substantially all of the products we manufacture or contract to manufacture contain conflict minerals necessary to the functionality or production of such products.

Facilities Used to Process, and Country of Origin of, the Necessary Conflict Minerals in our Products

Based on the information provided by our Tier-1 Suppliers and information made available by CFSI and the CFSP, we believe that the facilities that have been used to process conflict minerals in our products in calendar year 2016 may include the smelters and refiners listed in Annex I . As discussed above, we are a downstream supplier, many steps removed from the mining of conflict minerals, and accordingly rely on the information provided to us by our Tier-1 Suppliers (who are themselves generally multiple tiers downstream) to determine the country of origin of, or the facilities used to process, the conflict minerals contained in our products.

Of the 267 smelters and refiners identified as potentially being in our supply chain:

 

    242 smelters and refiners were identified as “CFSP-compliant,” meaning that the processing facility has been audited and certified as compliant with CFSP audit protocols (including processing facilities currently undergoing re-audit);

 

    24 smelters and refiners were identified as “CFSP-active,” meaning that the processing facility is actively pursuing CFSP certification in that they have either committed to undergo a CFSP audit or are participating in one of the cross-recognized certification programs; and

 

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    one processing facility was non-participating, meaning that it met the definition of a smelter or refiner under the CFSP audit protocols but does not participate in the CFSP.

Not all of these facilities may have processed conflict minerals in our products. Much of the smelter and refiner information provided by our Tier-1 Suppliers was provided at a “company” level (meaning that they reported all of the smelters and refiners that may have processed the conflict minerals contained in all of their products, not just those pertaining to the products sold to us). They may also have reported to us smelters and refiners that were not in our supply chain due to over-inclusiveness in the information received from their own suppliers or for other reasons. Therefore, the list of processing facilities disclosed in Annex I may over-represent the number of processing facilities that process the conflict minerals contained in our products.

Efforts to Determine Mine or Location of Origin

We have determined that our due diligence efforts, including requesting our Tier-1 Suppliers to complete the EICC/GeSI Form and reviewing the CFSP status of identified smelters and refiners, represent our reasonable best efforts to determine the mines or locations of origin of the conflict minerals in our supply chain.

E. Future Steps to Mitigate Risk

Our conflict minerals program is aimed at the continuous improvement of our understanding of our supply chain and risk reduction over time. We intend to continue to take steps to improve our due diligence processes and to minimize the risk that our necessary conflict minerals benefit armed groups. Due diligence is an ongoing, proactive and reactive process, and we are continuing to work with our suppliers to identify and prevent or mitigate risks of adverse impacts associated with conflict minerals.

The primary risks we identified in calendar year 2016 continue to be related to inconsistencies or inadequacies in, or the incompleteness of, suppliers’ responses to the EICC/GeSI Forms, the inability of our suppliers to confirm whether or not minerals used in their parts and components were sourced from Covered Countries, and the associated difficulties in identifying the smelters and refiners in our supply chain. With respect to necessary conflict minerals contained in our products with respect to calendar year 2017, we expect to continue to engage with our suppliers to clearly communicate our expectations with regard to conflict minerals sourcing and to educate them on the importance of conflict minerals supply chain diligence. In particular, we continue to encourage our suppliers to work with their own immediate suppliers to improve the transparency, accuracy, validity, reliability and completeness of conflict minerals sourcing information (particularly with regard to information provided regarding smelters and refiners used to process conflict minerals and mine or location of origin and country of origin information), and to minimize the risk that our necessary conflict minerals benefit armed groups in the Covered Countries. As our Tier-1 Suppliers continue to report smelters and refiners that we believe are not operational or that may have been misidentified as smelters or refiners, we continue to work with our suppliers to re-validate, improve and refine reported information. We strive to use only Priority Suppliers that source from CFSP-compliant processing facilities in our supply chain to the maximum extent practicable. In addition, we may consider improving automated solutions to help us analyze conflict minerals information received from our suppliers more efficiently. We also intend to continue to encourage suppliers to source conflict minerals from smelters or refiners that have been identified as “compliant” by the CFSP.

Certain of the matters discussed in this Report, including in particular, future steps to mitigate risks that the conflict minerals contained in our products could benefit armed groups in the Covered Countries, include forward-looking statements. Readers of this document are cautioned that our forward-looking statements are not guarantees of our future actions, which may differ materially from the expectations expressed in the forward-looking statements. We disclaim any obligation to update publicly any forward-looking statements, whether in response to new information, future events or otherwise, except as required by applicable law.

 

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Annex I

List of Smelters and Refiners Reported in ViaSat’s Supply Chain in 2016

 

Conflict Mineral    Name of Smelter or Refiner    Country Location of Smelter
or Refiner

Gold

   Abington Reldan Metals, LLC (**)    U.S.A.

Gold

   Planta Recuperadora de Metales SpA (**)    Chile

Gold

   Al Etihad Gold Refinery DMCC (**)    United Arab Emirates

Gold

   Bangalore Refinery (**)    India

Gold

   Cendres + Métaux S.A. (**)    Switzerland

Gold

   Daejin Indus Co., Ltd. (**)    South Korea

Gold

   Geib Refining Corporation (**)    U.S.A.

Gold

   KGHM Polska Miedź Spółka Akcyjna (**)    Poland

Gold

   Korea Zinc Co., Ltd. (**)    South Korea

Gold

   Metalor Technologies (Suzhou) Ltd. (**)    China

Gold

   Modeltech Sdn Bhd (**)    Malaysia

Gold

   Navoi Mining and Metallurgical Combinat (**)    Uzbekistan

Gold

   SungEel HiTech (**)    South Korea

Gold

   Advanced Chemical Company (*)    U.S.A.

Gold

   Aida Chemical Industries Co., Ltd. (*)    Japan

Gold

   Allgemeine Gold-und Silberscheideanstalt A.G. (*)    Germany

Gold

   Almalyk Mining and Metallurgical Complex (AMMC) (*)    Uzbekistan

Gold

   AngloGold Ashanti Córrego do Sítio Mineração (*)    Brazil

Gold

   Argor-Heraeus S.A. (*)    Switzerland

Gold

   Asahi Pretec Corp. (*)    Japan

Gold

   Asahi Refining Canada Ltd. (*)    Canada

Gold

   Asahi Refining USA Inc. (*)    U.S.A.

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

   Chimet S.p.A. (*)    Italy

Gold

   DODUCO GmbH (*)    Germany

Gold

   Dowa (*)    Japan

Gold

   DSC (Do Sung Corporation) (*)    South Korea

Gold

   Eco-System Recycling Co., Ltd. (*)    Japan

Gold

   Elemetal Refining, LLC (*)    U.S.A.

Gold

   Emirates Gold DMCC (*)    United Arab Emirates

Gold

   Heimerle + Meule GmbH (*)    Germany

Gold

   Heraeus Precious Metals GmbH & Co. KG (*)    Germany

 

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Gold

   Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. (*)    China

Gold

   Ishifuku Metal Industry Co., Ltd. (*)    Japan

Gold

   Istanbul Gold Refinery (*)    Turkey

Gold

   Japan Mint (*)    Japan

Gold

   Jiangxi Copper Co., Ltd. (*)    China

Gold

   JSC Ekaterinburg Non-Ferrous Metal Processing Plant (*)    Russia

Gold

   JSC Uralelectromed (*)    Russia

Gold

   JX Nippon Mining & Metals Co., Ltd. (*)    Japan

Gold

   Kazzinc (*)    Kazakhstan

Gold

   Kennecott Utah Copper LLC (*)    U.S.A.

Gold

   Kojima Chemicals Co., Ltd. (*)    Japan

Gold

   Kyrgyzaltyn JSC (*)    Kyrgyzstan

Gold

   LS-NIKKO Copper Inc. (*)    South Korea

Gold

   Materion (*)    U.S.A.

Gold

   Matsuda Sangyo Co., Ltd. (*)    Japan

Gold

   Metalor Technologies (Hong Kong) Ltd. (*)    China

Gold

   Metalor Technologies (Singapore) Pte., Ltd. (*)    Singapore

Gold

   Metalor USA Refining Corporation (*)    U.S.A.

Gold

   Metalúrgica Met-Mex Peñoles 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 (*)    Russia

Gold

   Nadir Metal Rafineri San. Ve Tic. A.Ş. (*)    Turkey

Gold

   Nihon Material Co., Ltd. (*)    Japan

Gold

   Ögussa Österreichische 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) (*)    Russia

Gold

   OJSC Novosibirsk Refinery (*)    Russia

Gold

   PAMP S.A. (*)    Switzerland

Gold

   Prioksky Plant of Non-Ferrous Metals (*)    Russia

Gold

   PT Aneka Tambang (Persero) Tbk (*)    Indonesia

Gold

   PX Précinox S.A. (*)    Switzerland

Gold

   Rand Refinery (Pty) Ltd. (*)    South Africa

Gold

   Republic Metals Corporation (*)    U.S.A.

Gold

   Royal Canadian Mint (*)    Canada

Gold

   Samduck Precious Metals (*)    South Korea

Gold

   SAXONIA Edelmetalle GmbH (*)    Germany

Gold

   Schone Edelmetaal B.V. (*)    Netherlands

Gold

   SEMPSA Joyería Platería 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

 

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Gold

   SOE Shyolkovsky Factory of Secondary Precious Metals (*)    Russia

Gold

   Solar Applied Materials Technology Corp. (*)    Taiwan

Gold

   Sumitomo Metal Mining Co., Ltd. (*)    Japan

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 (*)    South 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. (*)    U.S.A.

Gold

   Valcambi S.A. (*)    Switzerland

Gold

   Western Australian Mint trading as The Perth Mint (*)    Australia

Gold

   WIELAND Edelmetalle GmbH (*)    Germany

Gold

   Yamamoto Precious Metal Co., Ltd. (*)    Japan

Gold

   Yokohama Metal Co., Ltd. (*)    Japan

Gold

   Zhongyuan Gold Smelter of Zhongjin Gold Corporation (*)    China

Gold

   Zijin Mining Group Co., Ltd. Gold Refinery (*)    China

Gold

   Heraeus Ltd. Hong Kong (*)    China

Gold

   Metalor Technologies S.A. (*)    Switzerland

Tantalum

   Changsha South Tantalum Niobium Co., Ltd. (*)    China

Tantalum

   Conghua Tantalum and Niobium Smeltry (*)    China

Tantalum

   D Block Metals, LLC (*)    U.S.A.

Tantalum

   Duoluoshan (*)    China

Tantalum

   Exotech Inc. (*)    U.S.A.

Tantalum

   F&X Electro-Materials Ltd. (*)    China

Tantalum

   FIR Metals & Resource Ltd. (*)    China

Tantalum

   Global Advanced Metals Aizu (*)    Japan

Tantalum

   Global Advanced Metals Boyertown (*)    U.S.A.

Tantalum

   Guangdong Zhiyuan New Material Co., Ltd. (*)    China

Tantalum

   H.C. Starck Co., Ltd. (*)    Thailand

Tantalum

   H.C. Starck GmbH Goslar (*)    Germany

Tantalum

   H.C. Starck GmbH Laufenburg (*)    Germany

Tantalum

   H.C. Starck Hermsdorf GmbH (*)    Germany

Tantalum

   H.C. Starck Inc. (*)    U.S.A.

Tantalum

   H.C. Starck Ltd. (*)    Japan

Tantalum

   H.C. Starck Smelting GmbH & Co. KG (*)    Germany

Tantalum

   Hengyang King Xing Lifeng New Materials Co., Ltd. (*)    China

Tantalum

   Hi-Temp Specialty Metals, Inc. (*)    U.S.A.

Tantalum

   Jiangxi Dinghai Tantalum & Niobium Co., Ltd. (*)    China

Tantalum

   Jiangxi Tuohong New Raw Material (*)    China

Tantalum

   JiuJiang JinXin Nonferrous Metals Co., Ltd. (*)    China

 

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Tantalum

   Jiujiang Tanbre Co., Ltd. (*)    China

Tantalum

   Jiujiang Zhongao Tantalum & Niobium Co., Ltd. (*)    China

Tantalum

   KEMET Blue Metals (*)    Mexico

Tantalum

   KEMET Blue Powder (*)    U.S.A.

Tantalum

   King-Tan Tantalum Industry Ltd. (*)    China

Tantalum

   LSM Brasil S.A. (*)    Brazil

Tantalum

   Metallurgical Products India Pvt., Ltd. (*)    India

Tantalum

   Mineração Taboca S.A. (*)    Brazil

Tantalum

   Mitsui Mining and Smelting Co., Ltd. (*)    Japan

Tantalum

   Molycorp Silmet A.S.    Estonia

Tantalum

   Ningxia Orient Tantalum Industry Co., Ltd. (*)    China

Tantalum

   Plansee SE Liezen (*)    Austria

Tantalum

   Plansee SE Reutte (*)    Austria

Tantalum

   Power Resources Ltd. (*)    Macedonia

Tantalum

   QuantumClean (*)    U.S.A.

Tantalum

   Resind Indústria e Comércio Ltda. (*)    Brazil

Tantalum

   RFH Tantalum Smeltry Co., Ltd. (*)    China

Tantalum

   Solikamsk Magnesium Works OAO (*)    Russia

Tantalum

   Taki Chemical Co., Ltd. (*)    Japan

Tantalum

   Telex Metals (*)    U.S.A.

Tantalum

   Tranzact, Inc. (*)    U.S.A.

Tantalum

   Ulba Metallurgical Plant JSC (*)    Kazakhstan

Tantalum

   XinXing HaoRong Electronic Material Co., Ltd. (*)    China

Tantalum

   Yichun Jin Yang Rare Metal Co., Ltd. (*)    China

Tantalum

   Zhuzhou Cemented Carbide Group 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

   Gejiu Fengming Metallurgy Chemical Plant (**)    China

Tin

   Gejiu Jinye Mineral Company (**)    China

Tin

   Gejiu Kai Meng Industry and Trade LLC (**)    China

Tin

   Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. (**)    China

Tin

   Modeltech Sdn Bhd (**)    Malaysia

Tin

   Nankang Nanshan Tin Manufactory Co., Ltd. (**)    China

Tin

   PT Karimun Mining (**)    Indonesia

Tin

   PT O.M. Indonesia (**)    Indonesia

Tin

   Yunnan Chengfeng Non-ferrous Metals Co., Ltd. (**)    China

Tin

   Alpha (*)    U.S.A.

Tin

   Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. (*)    China

Tin

   China Tin Group Co., Ltd. (*)    China

Tin

   Cooperativa Metalurgica de Rondônia Ltda. (*)    Brazil

Tin

   CV Ayi Jaya (*)    Indonesia

Tin

   CV Dua Sekawan (*)    Indonesia

Tin

   CV Gita Pesona (*)    Indonesia

 

9


Tin

   CV Serumpun Sebalai (*)    Indonesia

Tin

   CV Tiga Sekawan (*)    Indonesia

Tin

   CV United Smelting (*)    Indonesia

Tin

   Dowa (*)    Japan

Tin

   Elmet S.L.U. (*)    Spain

Tin

   EM Vinto (*)    Bolivia

Tin

   Fenix Metals (*)    Poland

Tin

   Gejiu Non-Ferrous Metal Processing Co., Ltd. (*)    China

Tin

   Guanyang Guida Nonferrous Metal Smelting Plant (*)    China

Tin

   HuiChang Hill Tin Industry Co., Ltd. (*)    China

Tin

   Jiangxi Ketai Advanced Material Co., Ltd. (*)    China

Tin

   Malaysia Smelting Corporation (MSC) (*)    Malaysia

Tin

   Metallic Resources, Inc. (*)    U.S.A.

Tin

   Metallo-Chimique N.V. (*)    Belgium

Tin

   Mineração Taboca S.A. (*)    Brazil

Tin

   Minsur (*)    Peru

Tin

   Mitsubishi Materials Corporation (*)    Japan

Tin

   O.M. Manufacturing (Thailand) Co., Ltd. (*)    Thailand

Tin

   Operaciones Metalurgical S.A. (*)    Bolivia

Tin

   PT Aries Kencana Sejahtera (*)    Indonesia

Tin

   PT Artha Cipta Langgeng (*)    Indonesia

Tin

   PT Babel Inti Perkasa (*)    Indonesia

Tin

   PT Bangka Prima Tin (*)    Indonesia

Tin

   PT Bangka Tin Industry (*)    Indonesia

Tin

   PT Belitung Industri Sejahtera (*)    Indonesia

Tin

   PT Bukit Timah (*)    Indonesia

Tin

   PT Cipta Persada Mulia (*)    Indonesia

Tin

   PT DS Jaya Abadi (*)    Indonesia

Tin

   PT Eunindo Usaha Mandiri (*)    Indonesia

Tin

   PT Justindo (*)    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 Panca Mega Persada (*)    Indonesia

Tin

   PT Prima Timah Utama (*)    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 (Persero) Tbk Kundur (*)    Indonesia

Tin

   PT Timah (Persero) Tbk Mentok (*)    Indonesia

 

10


Tin

   PT Tinindo Inter Nusa (*)    Indonesia

Tin

   PT Tommy Utama (*)    Indonesia

Tin

   Resind Indústria e Comércio Ltda. (*)    Brazil

Tin

   Rui Da Hung (*)    Taiwan

Tin

   Soft Metais Ltda. (*)    Brazil

Tin

   Thaisarco (*)    Thailand

Tin

   VQB Mineral and Trading Group JSC (*)    Vietnam

Tin

   White Solder Metalurgia e Mineração Ltda. (*)    Brazil

Tin

   Yunnan Tin Company Limited (*)    China

Tin

   O.M. Manufacturing Philippines, Inc. (*)    Philippines

Tin

   PT Wahana Perkit Jaya (*)    Indonesia

Tin

   CV Venus Inti Perkasa (*)    Indonesia

Tin

   Magnu’s Minerais Metais e Ligas Ltda. (*)    Brazil

Tin

   Melt Metais e Ligas S.A. (*)    Brazil

Tin

   PT ATD Makmur Mandiri Jaya (*)    Indonesia

Tin

   PT Inti Stania Prima (*)    Indonesia

Tungsten

   A.L.M.T. TUNGSTEN Corp. (*)    Japan

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 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. (*)    U.S.A.

Tungsten

   Guangdong Xianglu Tungsten Co., Ltd. (*)    China

Tungsten

   H.C. Starck GmbH (*)    Germany

Tungsten

   H.C. Starck Smelting GmbH & Co.KG (*)    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 (*)    Russia

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 Xiushui Xianggan Nonferrous Metals Co., Ltd. (*)    China

Tungsten

   Jiangxi Yaosheng Tungsten Co., Ltd. (*)    China

Tungsten

   Kennametal Fallon (*)    U.S.A.

Tungsten

   Kennametal Huntsville (*)    U.S.A.

Tungsten

   Malipo Haiyu Tungsten Co., Ltd. (*)    China

Tungsten

   Moliren Ltd (*)    Russia

 

11


Tungsten

   Niagara Refining LLC (*)    U.S.A.

Tungsten

   Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC (*)    Vietnam

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 (*)    Russia

Tungsten

   Vietnam Youngsun Tungsten Industry Co., Ltd. (*)    Vietnam

Tungsten

   Wolfram Bergbau und Hütten AG (*)    Austria

Tungsten

   Woltech Korea Co., Ltd. (*)    South 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

Tungsten

   Ganzhou Yatai Tungsten Co., Ltd.    China

* Smelters or refiners that have been identified by the CFSP as “compliant.”

** Smelters or refiners that have been identified by the CFSP as “active.”

 

12