SD

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM SD

 

 

Specialized Disclosure Report

 

 

COMMSCOPE HOLDING COMPANY, INC.

(Exact name of registrant as specified in its charter)

 

 

 

Delaware   001-36146   27-4332098

(State or Other Jurisdiction

of Incorporation)

 

Commission File

Number

 

(IRS Employer

Identification No.)

1100 CommScope Place, SE

Hickory, North Carolina 28602

(Addresses of principal executive offices)

Mark A. Olson

Executive Vice President and Chief Financial Officer

(828) 324-2200

(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:

 

x Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2015.

 

 

 


Section 1 - Conflict Minerals Disclosure

 

Item 1.01 Conflict Minerals Disclosure and Report

Conflict Minerals Disclosure

In accordance with Rule 13p-1 under the Securities Exchange Act of 1934 (“Rule 13p-1”), CommScope Holding Company, Inc. has filed this Specialized Disclosure Report (“Form SD”) and Conflict Minerals Report for the year ended December 31, 2015. Both reports are publicly available at http://www.commscope.com/Docs/Corporate-Responsibility/Philosophy/2015_SEC_Filings.pdf

 

Item 1.02 Exhibit

A copy of our Conflict Minerals Report for the year ended December 31, 2015 is filed as Exhibit 1.01 hereto.

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 caused this report to be signed on its behalf by the undersigned, hereunto duly authorized.

 

    COMMSCOPE HOLDING COMPANY, INC.
Date: May 27, 2016     By:  

/s/ Mark A. Olson

      Mark A. Olson
      Executive Vice President and Chief Financial Officer


EXHIBIT INDEX

 

Exhibit

No.

   Description
1.01    Conflict Minerals Report for the Year Ended December 31, 2015.
EX-1.01

Exhibit 1.01

Conflict Minerals Report of CommScope Holding Company, Inc.

For the Year Ended December 31, 2015

Pursuant to Rule 13P-1 Under The Securities Exchange Act of 1934

CommScope Holding Company presents this Conflict Minerals Report for the year ended December 31, 2015 pursuant to Rule 13p-1 under the Securities Exchange Act of 1934 and associated guidance issued by the Securities and Exchange Commission. Unless otherwise specified or unless the context otherwise requires, references to “CommScope,” “we,” “us” or “our” refer to CommScope Holding Company, Inc. and its consolidated subsidiaries.

Overview of our Conflict Minerals Program

CommScope Holding Company, Inc. is a leading global provider of infrastructure solutions for communication networks. In 2014, our leaders defined a sustainability philosophy on corporate responsibility that embraces our core company values. As part of our values to respect people and our planet, we expect our suppliers to conduct their worldwide operations in a socially and environmentally responsible manner and source raw materials only from reputable organizations pursuant to our Conflict Minerals Policy and following the Organisation for Economic Cooperation and Development (“OECD”) due diligence framework. The Policy is available on our website at http://www.commscope.com/About-Us/Corporate-Responsibility-and-Sustainability/Philosophy/Document-Library/.

On August 28, 2015, CommScope completed the acquisition of TE Connectivity’s Broadband Network Solutions (“BNS”) business, a leader in fiber optic connectivity for wireline and wireless networks. The operations of the BNS business are included in this Conflict Minerals Report from the date of the acquisition.

CommScope Products

Conflict minerals in the form of tin, tantalum, tungsten and gold (collectively, “3TG”) were necessary to the functionality or production of the following categories of products we manufactured or contracted to have manufactured during 2015.

 

    Broadband Products – Radio frequency (RF) and optical network products

 

    Enterprise Products – Data center and intelligent building products

 

    Wireless Products – Distributed coverage and capacity, outdoor macro cell site, small cell and backhaul products

 

    BNS Products – Fiber optic connectivity products for wireline and wireless networks

Reasonable Country of Origin Inquiry

We conducted a reasonable country of origin inquiry (“RCOI”) to determine whether any of the necessary conflict minerals in our 2015 products originated in the Democratic Republic of the Congo and the adjoining countries (the “Covered Countries”), or were conflict minerals from recycled or scrap sources. The term “conflict minerals” comes from section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act and the Conflict Minerals Rule, 17 CFR Parts 240 and 249b and is defined as columbite-tantalite, also known as coltan (from which tantalum is derived); cassiterite (tin); gold; wolframite (tungsten); or their derivatives; or any other mineral or its derivatives determined by the U.S. Secretary of State to be financing conflict in the Democratic Republic of the Congo or an adjoining country. To make the RCOI determination, we engaged our suppliers to identify the smelters and refiners (“facilities”) of necessary conflict minerals that may have been contained in our products (“Potential 3TG Facilities”). We determined which of the Potential 3TG Facilities are recognized by the Conflict Free Sourcing Initiative (“CFSI”) to be processors of conflict minerals (“Potential 3TG Facilities”), and reviewed available information on the sourcing of conflict minerals by Potential 3TG Facilities.

Our RCOI included:

 

    Identification of direct suppliers from our Enterprise Resource Planning software to be considered for inclusion in a Conflict Mineral survey. These suppliers provided materials, parts, components and salable products to us in 2015.

 

    Risk assessments by our conflict minerals team, based on the knowledge of supplier parts, as to the probability of the supplier’s parts containing 3TGs. Supplier risk was rated as a High Risk, Medium Risk or Low Risk.

 

    Surveys of approximately 1,400 direct suppliers by our conflict minerals team using the CFSI Conflict Minerals Reporting Template (the “Template”), from which we identified approximately 700 direct suppliers of materials, parts, components or products containing necessary conflict minerals (“3TG Direct Suppliers”);

 

    A requirement, as part of the survey and our accompanying communications, that suppliers provide a conflict free statement or use the Template to provide to CommScope information from their supply chains regarding Potential 3TG Facilities and the origin of necessary conflict minerals processed at these facilities;

 

    If needed, follow-up with 3TG Direct Suppliers to clarify, update or complete information reported to us through the Template or their conflict free statement. Response red flags requiring follow-up included completeness (including smelter data), consistency, listing of unknown smelters, listing of non-certified smelters, listing of embargo countries and suppliers indicating 3TGs were not used in their products when assessed High Risk as containing 3TGs.


We have set clear expectations of suppliers that we expect suppliers to be conflict free from the Covered Countries. However, continuing to source from certified smelters or refiners in that area is acceptable. Suppliers indicating sourcing from the Covered Countries require follow up if the supplier did not state they are sourcing from certified CFSI smelters or refiners.

RCOI Supplier Survey Response

For reporting year 2015, approximately 85% of the suppliers that were surveyed responded. The non-responding suppliers were addressed as discussed in the Conflict Minerals Due Diligence Measures section below.

RCOI Conflict Minerals Status

We have determined with respect to our products containing necessary conflict minerals that we know or have reason to believe that some of the necessary conflict minerals originated or may have originated in the Covered Countries. Further, we know or have reason to believe that these necessary conflict minerals may not be conflict minerals from recycled or scrap sources.

Conflict Minerals Due Diligence Measures

Our conflict minerals due diligence process is based on the OECD’s Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, including the Supplement on Tin, Tantalum and Tungsten and the Supplement on Gold (Second Edition 2013) (the “OECD Guidance”), a recognized due diligence framework.

The design of our due diligence measures is specific to our downstream position in the minerals supply chain and the OECD recommendations for downstream actors that have no direct relationships to smelters or refiners, and the use of independent facility assessment programs to provide information about smelters or refiners.

The design of our due diligence process includes the following steps:

 

(1) Establishment of strong internal company management systems, including the following:

 

    Conflict Minerals Policy

 

    Cross-functional Conflict Minerals Corporate Management Team that includes the Global Supply Chain, Compliance, Legal and Corporate Responsibility, with executive management support

 

    Conflict minerals process document as part of our ISO 9001:2008 Quality Management System “Due Diligence Process for Reporting of Conflict Minerals”

 

    Supplier agreement language that includes conflict free sourcing and explanation of supplier requirements

 

    Utilizing the SAP Product Stewardship Network for data storage, analysis and reporting

 

    Employees and external parties have access to an ethics reporting system, The CommAlert Line (866-277-2410), or may report via the website https://commalert.alertline.com or email CommScope’s Corporate Ethics Officer at ethics@commscope.com

 

(2) Identification and assessment of risks in the supply chain — Based on the knowledge of supplier parts, each supplier was assessed by our conflict minerals team for likelihood of the supplier’s parts containing 3TGs and classified as High Risk, Medium Risk or Low Risk. In addition, supplier responses are risk assessed as High Risk, Medium Risk or Low Risk based on the accuracy, and completeness of their response and program. The conflict minerals team compared the Potential 3TG facilities to the facilities that are listed by CFSI as either compliant, in process with the Conflict Free Smelter Program (“CFSP”), or unknown.

 

(3) Design and implementation of a strategy to respond to identified risks — As a downstream supplier, we do not assess the due diligence practices of Potential 3TG Facilities. Once a supplier is identified as high risk, a risk management plan is implemented including engagement with the relevant 3TG Direct Suppliers. We encourage 3TG Direct Suppliers to urge the Potential 3TG Facilities in their supply chain to join the Conflict Free Smelter Program. Each unresponsive and High Risk supplier is indicated in a report provided to the Conflict Minerals Corporate Management Team for supplier review to determine if alternative sourcing will be pursued. High Risk suppliers are identified by the following:

 

    No response after two or more attempts

 

    Smelter data is not provided but use 3TGs

 

    Poor smelter data (incorrect or smelter not found)

 

    Indicate they are not in scope of the law

 

    Provide conflict free letters with no data behind their response

 

    Distributors that provide no smelter data and will not provide the Original Equipment Manufacturer (OEM) contact on the products supplied

 

    Suppliers sourcing 3TGs from the Covered Countries but no further explanation of the smelters or refiners in use

 

(4) Support of industry organizations to carry out independent third-party audits of facilities’ due diligence practices — We support the industry initiative that conducts audits of facilities’ due diligence activities and we encourage our suppliers that use smelters or refiners to participate in the CFSP. As a downstream supplier, we do not have a direct relationship with conflict minerals smelters and do not perform or direct audits of these entities within our supply chain. In connection with our due diligence, we utilized information made available by the CFSI concerning independent third-party audits of smelters.

 

(5) Annual reporting through this Conflict Minerals Report.


Results

This is our first reporting year and we are progressing toward our objective of responsible minerals sourcing. Of the Potential 3TG Facilities identified, there are 3TG Facilities reported by suppliers that have not yet participated in the Conflict Free Smelter Program. As discussed above in the RCOI Conflict Minerals Status section, we have determined with respect to our products containing necessary conflict minerals that we know or have reason to believe that some of the necessary conflict minerals originated or may have originated in the Covered Countries. Further, we know or have reason to believe that these necessary conflict minerals may not be conflict minerals from recycled or scrap sources.

Statement on Supplier Status

Supplier knowledge of the Conflict Minerals law and, in turn, their responses have improved from our first inquiry in 2014. Further understanding of the law and our requirements will help improve data received from the RCOI process. However, many suppliers have not yet performed a full inquiry with their suppliers at this time.

Future Goals to Mitigate Risk

We are committed to continuously improving our RCOI and due diligence process and intend to take the following steps in 2016:

 

  (1) Further educate our suppliers on our conflict minerals requirements for them.

 

  (2) Clearly communicate our conflict free sourcing expectations, as defined in our policy.

 

  (3) Leverage our supplier relationships to encourage better traceability measures by our in-scope suppliers.

 

  (4) Continue to refine our due diligence process in accordance with the OECD Guidance.

 

  (5) Review and follow-up with suppliers on reported unknown or incorrect smelters.

Tables 1 – 4: Facility Lists by Mineral, Country and Status

The Tables are a result of the review of the data from several sources, including information reported to us by our 3TG

direct suppliers on the Template, from the SAP Product Stewardship Network and from the CFSI website (http://www.conflictfreesourcing.org/). In many cases, facility information was provided to us for the entire supply chain of our 3TG Direct Suppliers, and did not identify those facilities believed to contribute necessary conflict minerals to any particular CommScope product. There are 90 tin Facilities, 46 tantalum Facilities, 50 tungsten Facilities, and 126 gold Facilities listed. This compliance status is based solely on information made publicly available by the CFSI, without independent verification by us. Unverified and/or unknown facilities are not listed as we have engaged our suppliers to verify smelter validity.

Facility Name is listed as they appear on the CFSI Smelter or Refiner Information Exchange or the name as given by the supplier. A company appears more than once if it was reported to us for more than one facility (i.e., smelter, refiner, recycler or scrap processor) that is processing different types of minerals or metals.

Facility Identification is the CSFI Smelter or Refiner identification number as shown on the CFSI website, from the Template, or the supplier identification for the smelter or refiner.

Facility Country refers to the processing facility’s location and does not indicate necessarily where the facility sources from.

Status refers to the compliance status of the smelter or refiner.

CFSP Compliant refers to facilities that are listed by CFSI (as of May 5, 2016) as (a) compliant with Conflict Free Smelter

Program protocols or (b) certified or accredited by a similar independent facility assessment program such as the Responsible

Jewellery Council’s (RJC) Chain-of-Custody Certification Program, or the London Bullion Market Association’s (LBMA)

Responsible Gold Programme.

CFSP Active refers to facilities that have committed to undergo a CFSP audit or is participating in one of the cross-recognized certification programs.

CFSP Participating and CFSP Progressing refer to facilities that have committed to complete a CFSP validation audit within two (2) years.

Not yet participating refers to known facilities with sourcing practices that could not yet be determined.


Table 1 Tin Facility List by Mineral, Country, and Status

 

Mineral

  

Facility Name

  

Facility

Identification

  

Facility Country

  

Status

Tin    Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.    CID000228    CHINA    CFSP Active
Tin    Jiangxi Ketai Advanced Material Co., Ltd.    CID000244    CHINA    CFSP Compliant
Tin    CNMC (Guangxi) PGMA Co., Ltd.    CID000278    CHINA    Not yet participating
Tin    Alpha    CID000292    UNITED STATES    CFSP Compliant
Tin    Cooperativa Metalurgica de Rondônia Ltda.    CID000295    BRAZIL    CFSP Compliant
Tin    CV Gita Pesona    CID000306    INDONESIA    CFSP Compliant
Tin    PT Justindo    CID000307    INDONESIA    CFSP Compliant
Tin    PT Aries Kencana Sejahtera    CID000309    INDONESIA    CFSP Compliant
Tin    CV Serumpun Sebalai    CID000313    INDONESIA    CFSP Compliant
Tin    CV United Smelting    CID000315    INDONESIA    CFSP Compliant
Tin    Dowa    CID000402    JAPAN    CFSP Compliant
Tin    EM Vinto    CID000438    BOLIVIA    CFSP Compliant
Tin    Estanho de Rondônia S.A.    CID000448    BRAZIL    Not yet participating
Tin    Feinhütte Halsbrücke GmbH    CID000466    GERMANY    Not yet participating
Tin    Fenix Metals    CID000468    POLAND    CFSP Compliant
Tin    Gejiu Non-Ferrous Metal Processing Co., Ltd.    CID000538    CHINA    CFSP Compliant
Tin    Gejiu Zili Mining And Metallurgy Co., Ltd.    CID000555    CHINA    Not yet participating
Tin    Huichang Jinshunda Tin Co., Ltd.    CID000760    CHINA    Not yet participating
Tin    Gejiu Kai Meng Industry and Trade LLC    CID000942    CHINA    CFSP Active
Tin    Linwu Xianggui Ore Smelting Co., Ltd.    CID001063    CHINA    Not yet participating
Tin    China Tin Group Co., Ltd.    CID001070    CHINA    CFSP Compliant
Tin    Malaysia Smelting Corporation (MSC)    CID001105    MALAYSIA    CFSP Compliant
Tin    Metallic Resources, Inc.    CID001142    UNITED STATES    CFSP Compliant
Tin    Mineração Taboca S.A.    CID001173    BRAZIL    CFSP Compliant
Tin    Minsur    CID001182    PERU    CFSP Compliant
Tin    Mitsubishi Materials Corporation    CID001191    JAPAN    CFSP Compliant
Tin    Nankang Nanshan Tin Manufactory Co., Ltd.    CID001231    CHINA    Not yet participating
Tin    O.M. Manufacturing (Thailand) Co., Ltd.    CID001314    THAILAND    CFSP Compliant
Tin    Operaciones Metalurgical S.A.    CID001337    BOLIVIA    CFSP Compliant
Tin    PT Alam Lestari Kencana    CID001393    INDONESIA    Not yet participating
Tin    PT Artha Cipta Langgeng    CID001399    INDONESIA    CFSP Compliant
Tin    PT Babel Inti Perkasa    CID001402    INDONESIA    CFSP Compliant


Mineral

  

Facility Name

  

Facility

Identification

  

Facility Country

  

Status

Tin    PT Bangka Kudai Tin    CID001409    INDONESIA    Not yet participating
Tin    PT Bangka Timah Utama Sejahtera    CID001416    INDONESIA    Not yet participating
Tin    PT Bangka Tin Industry    CID001419    INDONESIA    CFSP Compliant
Tin    PT Belitung Industri Sejahtera    CID001421    INDONESIA    CFSP Compliant
Tin    PT BilliTin Makmur Lestari    CID001424    INDONESIA    CFSP Compliant
Tin    PT Bukit Timah    CID001428    INDONESIA    CFSP Compliant
Tin    PT DS Jaya Abadi    CID001434    INDONESIA    CFSP Compliant
Tin    PT Eunindo Usaha Mandiri    CID001438    INDONESIA    CFSP Compliant
Tin    PT Fang Di MulTindo    CID001442    INDONESIA    Not yet participating
Tin    PT Karimun Mining    CID001448    INDONESIA    CFSP Active
Tin    PT Mitra Stania Prima    CID001453    INDONESIA    CFSP Compliant
Tin    PT Panca Mega Persada    CID001457    INDONESIA    CFSP Compliant
Tin    PT Prima Timah Utama    CID001458    INDONESIA    CFSP Compliant
Tin    PT Refined Bangka Tin    CID001460    INDONESIA    CFSP Compliant
Tin    PT Sariwiguna Binasentosa    CID001463    INDONESIA    CFSP Compliant
Tin    PT Seirama Tin Investment    CID001466    INDONESIA    Not yet participating
Tin    PT Stanindo Inti Perkasa    CID001468    INDONESIA    CFSP Compliant
Tin    PT Sumber Jaya Indah    CID001471    INDONESIA    CFSP Compliant
Tin    PT Timah (Persero) Tbk Kundur    CID001477    INDONESIA    CFSP Compliant
Tin    PT Timah (Persero) Tbk Mentok    CID001482    INDONESIA    CFSP Compliant
Tin    PT Pelat Timah Nusantara Tbk    CID001486    INDONESIA    Not yet participating
Tin    PT Tinindo Inter Nusa    CID001490    INDONESIA    CFSP Compliant
Tin    PT Tommy Utama    CID001493    INDONESIA    CFSP Compliant
Tin    Rui Da Hung    CID001539    TAIWAN    CFSP Compliant
Tin    Soft Metais Ltda.    CID001758    BRAZIL    CFSP Compliant
Tin    Thaisarco    CID001898    THAILAND    CFSP Compliant
Tin    Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.    CID001908    CHINA    CFSP Active
Tin    VQB Mineral and Trading Group JSC    CID002015    VIET NAM    CFSP Compliant
Tin    White Solder Metalurgia e Mineração Ltda.    CID002036    BRAZIL    CFSP Compliant
Tin    Yunnan Chengfeng Non-ferrous Metals Co., Ltd.    CID002158    CHINA    CFSP Active
Tin    Yunnan Tin Company Limited    CID002180    CHINA    CFSP Compliant
Tin    CV Venus Inti Perkasa    CID002455    INDONESIA    CFSP Compliant
Tin    Magnu’s Minerais Metais e Ligas Ltda.    CID002468    BRAZIL    CFSP Compliant
Tin    PT Tirus Putra Mandiri    CID002478    INDONESIA    Not yet participating
Tin    PT Wahana Perkit Jaya    CID002479    INDONESIA    CFSP Compliant


Mineral

  

Facility Name

  

Facility

Identification

  

Facility Country

  

Status

Tin    Melt Metais e Ligas S.A.    CID002500    BRAZIL    CFSP Compliant
Tin    PT ATD Makmur Mandiri Jaya    CID002503    INDONESIA    CFSP Compliant
Tin    Phoenix Metal Ltd.    CID002507    RWANDA    CFSP Active
Tin    O.M. Manufacturing Philippines, Inc.    CID002517    PHILIPPINES    CFSP Compliant
Tin    PT Inti Stania Prima    CID002530    INDONESIA    CFSP Compliant
Tin    CV Ayi Jaya    CID002570    INDONESIA    CFSP Compliant
Tin    Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company    CID002572    VIET NAM    CFSP Active
Tin    Nghe Tinh Non-Ferrous Metals Joint Stock Company    CID002573    VIET NAM    CFSP Active
Tin    Tuyen Quang Non-Ferrous Metals Joint Stock Company    CID002574    VIET NAM    CFSP Active
Tin    CV Dua Sekawan    CID002592    INDONESIA    CFSP Active
Tin    CV Tiga Sekawan    CID002593    INDONESIA    CFSP Active
Tin    PT Cipta Persada Mulia    CID002696    INDONESIA    CFSP Compliant
Tin    An Vinh Joint Stock Mineral Processing Company    CID002703    VIET NAM    CFSP Active
Tin    Resind Indústria e Comércio Ltda.    CID002706    BRAZIL    CFSP Compliant
Tin    Metallo-Chimique N.V.    CID002773    BELGIUM    CFSP Compliant
Tin    Elmet S.L.U.    CID002774    SPAIN    CFSP Compliant
Tin    PT Bangka Prima Tin    CID002776    INDONESIA    CFSP Compliant
Tin    PT Sukses Inti Makmur    CID002816    INDONESIA    CFSP Compliant
Tin    An Thai Minerals Co. Limited    CID002825    VIET NAM    CFSP Active
Tin    PT Kijang Jaya Mandiri    CID002829    INDONESIA    CFSP Active
Tin    HuiChang Hill Tin Industry Co., Ltd.    CID002844    CHINA    CFSP Active
Tin    Gejiu Fengming Metalurgy Chemical Plant    CID002848    CHINA    CFSP Active
Tin    Guanyang Guida Nonferrous Metal Smelting Plant    CID002849    CHINA    CFSP Active


Table 2 Tantalum Facility List by Mineral, Country, and Status

 

Mineral

  

Facility Name

  

Facility Identification

  

Facility Country

  

Status

Tantalum    Changsha South Tantalum Niobium Co., Ltd.    CID000211    CHINA    CFSP Compliant
Tantalum    Conghua Tantalum and Niobium Smeltry    CID000291    CHINA    CFSP Compliant
Tantalum    Duoluoshan    CID000410    CHINA    CFSP Compliant
Tantalum    Exotech Inc.    CID000456    UNITED STATES    CFSP Compliant
Tantalum    F&X Electro-Materials Ltd.    CID000460    CHINA    CFSP Compliant
Tantalum    Guangdong Zhiyuan New Material Co., Ltd.    CID000616    CHINA    CFSP Compliant
Tantalum    Hi-Temp Specialty Metals, Inc.    CID000731    UNITED STATES    CFSP Compliant
Tantalum    JiuJiang JinXin Nonferrous Metals Co., Ltd.    CID000914    CHINA    CFSP Compliant
Tantalum    Jiujiang Tanbre Co., Ltd.    CID000917    CHINA    CFSP Compliant
Tantalum    King-Tan Tantalum Industry Ltd.    CID000973    CHINA    CFSP Compliant
Tantalum    LSM Brasil S.A.    CID001076    BRAZIL    CFSP Compliant
Tantalum    Metallurgical Products India Pvt., Ltd.    CID001163    INDIA    CFSP Compliant
Tantalum    Mineração Taboca S.A.    CID001175    BRAZIL    CFSP Compliant
Tantalum    Mitsui Mining & Smelting    CID001192    JAPAN    CFSP Compliant
Tantalum    Molycorp Silmet A.S.    CID001200    ESTONIA    CFSP Compliant
Tantalum    Ningxia Orient Tantalum Industry Co., Ltd.    CID001277    CHINA    CFSP Compliant
Tantalum    QuantumClean    CID001508    UNITED STATES    CFSP Compliant
Tantalum    Solikamsk Magnesium Works OAO    CID001769    RUSSIAN FEDERATION    CFSP Compliant
Tantalum    Taki Chemicals    CID001869    JAPAN    CFSP Compliant
Tantalum    Telex Metals    CID001891    UNITED STATES    CFSP Compliant
Tantalum    Ulba Metallurgical Plant JSC    CID001969    KAZAKHSTAN    CFSP Compliant


Mineral

  

Facility Name

  

Facility Identification

  

Facility Country

  

Status

Tantalum    Zhuzhou Cemented Carbide    CID002232    CHINA    CFSP Compliant
Tantalum    Yichun Jin Yang Rare Metal Co., Ltd.    CID002307    CHINA    CFSP Compliant
Tantalum    Hengyang King Xing Lifeng New Materials    CID002492    CHINA    CFSP Compliant
Tantalum    D Block Metals, LLC    CID002504    UNITED STATES    CFSP Compliant
Tantalum    FIR Metals & Resource Ltd.    CID002505    CHINA    CFSP Compliant
Tantalum    Jiujiang Zhongao Tantalum & Niobium Co., Ltd.    CID002506    CHINA    CFSP Compliant
Tantalum    XinXing HaoRong Electronic Material Co., Ltd.    CID002508    CHINA    CFSP Compliant
Tantalum    Jiangxi Dinghai Tantalum & Niobium Co., Ltd.    CID002512    CHINA    CFSP Compliant
Tantalum    KEMET Blue Metals    CID002539    MEXICO    CFSP Compliant
Tantalum    Plansee SE Liezen    CID002540    AUSTRIA    CFSP Compliant
Tantalum    H.C. Starck Co., Ltd.    CID002544    THAILAND    CFSP Compliant
Tantalum    H.C. Starck GmbH Goslar    CID002545    GERMANY    CFSP Compliant
Tantalum    H.C. Starck GmbH Laufenburg    CID002546    GERMANY    CFSP Compliant
Tantalum    H.C. Starck Hermsdorf GmbH    CID002547    GERMANY    CFSP Compliant
Tantalum    H.C. Starck Inc.    CID002548    UNITED STATES    CFSP Compliant
Tantalum    H.C. Starck Ltd.    CID002549    JAPAN    CFSP Compliant
Tantalum    H.C. Starck Smelting GmbH & Co.KG    CID002550    GERMANY    CFSP Compliant
Tantalum    Plansee SE Reutte    CID002556    AUSTRIA    CFSP Compliant
Tantalum    Global Advanced Metals Boyertown    CID002557    UNITED STATES    CFSP Compliant
Tantalum    Global Advanced Metals Aizu    CID002558    JAPAN    CFSP Compliant
Tantalum    KEMET Blue Powder    CID002568    UNITED STATES    CFSP Compliant


Mineral

  

Facility Name

  

Facility Identification

  

Facility Country

  

Status

Tantalum    Tranzact, Inc.    CID002571    UNITED STATES    CFSP Compliant
Tantalum    E.S.R. Electronics    CID002590    UNITED STATES    CFSP Active
Tantalum    Resind Indústria e Comércio Ltda.    CID002707    BRAZIL    CFSP Compliant
Tantalum    Jiangxi Tuohong New Raw Material    CID002842    CHINA    CFSP Compliant


Table3 Tungsten Facility List by Mineral, Country, and Status

 

Mineral

  

Facility Name

  

Facility Identification

  

Facility Country

  

Status

Tungsten    A.L.M.T. TUNGSTEN Corp.    CID000004    JAPAN    CFSP Compliant
Tungsten    Kennametal Huntsville    CID000105    UNITED STATES    CFSP Compliant
Tungsten    Guangdong Xianglu Tungsten Co., Ltd.    CID000218    CHINA    CFSP Compliant
Tungsten    Chongyi Zhangyuan Tungsten Co., Ltd.    CID000258    CHINA    CFSP Compliant
Tungsten    Dayu Weiliang Tungsten Co., Ltd.    CID000345    CHINA    CFSP Progressing
Tungsten    Fujian Jinxin Tungsten Co., Ltd.    CID000499    CHINA    CFSP Compliant
Tungsten    Global Tungsten & Powders Corp.    CID000568    UNITED STATES    CFSP Compliant
Tungsten    Hunan Chenzhou Mining Co., Ltd.    CID000766    CHINA    CFSP Compliant
Tungsten    Hunan Chunchang Nonferrous Metals Co., Ltd.    CID000769    CHINA    CFSP Compliant
Tungsten    Japan New Metals Co., Ltd.    CID000825    JAPAN    CFSP Compliant
Tungsten    Ganzhou Non-ferrous Metals Smelting Co., Ltd.    CID000868    CHINA    CFSP Progressing
Tungsten    Ganzhou Huaxing Tungsten Products Co., Ltd.    CID000875    CHINA    CFSP Compliant
Tungsten    Kennametal Fallon    CID000966    UNITED STATES    CFSP Active
Tungsten    Tejing (Vietnam) Tungsten Co., Ltd.    CID001889    VIET NAM    CFSP Compliant
Tungsten    Vietnam Youngsun Tungsten Industry Co., Ltd.    CID002011    VIET NAM    CFSP Compliant
Tungsten    Wolfram Bergbau und Hütten AG    CID002044    AUSTRIA    CFSP Compliant
Tungsten    Xiamen Tungsten Co., Ltd.    CID002082    CHINA    CFSP Compliant
Tungsten    Xinhai Rendan Shaoguan Tungsten Co., Ltd.    CID002095    CHINA    CFSP Compliant
Tungsten    Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.    CID002313    CHINA    Not yet participating
Tungsten    Ganzhou Jiangwu Ferrotungsten Co., Ltd.    CID002315    CHINA    CFSP Compliant
Tungsten    Jiangxi Yaosheng Tungsten Co., Ltd.    CID002316    CHINA    CFSP Active
Tungsten    Jiangxi Xinsheng Tungsten Industry Co., Ltd.    CID002317    CHINA    CFSP Active
Tungsten    Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.    CID002318    CHINA    CFSP Active


Mineral

  

Facility Name

  

Facility Identification

  

Facility Country

  

Status

Tungsten    Malipo Haiyu Tungsten Co., Ltd.    CID002319    CHINA    CFSP Compliant
Tungsten    Xiamen Tungsten (H.C.) Co., Ltd.    CID002320    CHINA    CFSP Compliant
Tungsten    Jiangxi Gan Bei Tungsten Co., Ltd.    CID002321    CHINA    CFSP Compliant
Tungsten    Ganzhou Seadragon W & Mo Co., Ltd.    CID002494    CHINA    CFSP Compliant
Tungsten    Asia Tungsten Products Vietnam Ltd.    CID002502    VIET NAM    CFSP Compliant
Tungsten    Chenzhou Diamond Tungsten Products Co., Ltd.    CID002513    CHINA    CFSP Compliant
Tungsten    Dayu Jincheng Tungsten Industry Co., Ltd.    CID002518    CHINA    CFSP Progressing
Tungsten    Ganxian Shirui New Material Co., Ltd.    CID002531    CHINA    Not yet participating
Tungsten    Pobedit, JSC    CID002532    RUSSIAN FEDERATION    CFSP Progressing
Tungsten    Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.    CID002535    CHINA    CFSP Compliant
Tungsten    Ganzhou Yatai Tungsten Co., Ltd.    CID002536    CHINA    CFSP Compliant
Tungsten    Sanher Tungsten Vietnam Co., Ltd.    CID002538    VIET NAM    Not yet participating
Tungsten    H.C. Starck GmbH    CID002541    GERMANY    CFSP Compliant
Tungsten    H.C. Starck Smelting GmbH & Co.KG    CID002542    GERMANY    CFSP Compliant
Tungsten    Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC    CID002543    VIET NAM    CFSP Compliant
Tungsten    Jiangwu H.C. Starck Tungsten Products Co., Ltd.    CID002551    CHINA    CFSP Active
Tungsten    Hunan Chuangda Vanadium Tungsten Co., Ltd. Yanglin    CID002578    CHINA    Not yet participating
Tungsten    Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji    CID002579    CHINA    CFSP Compliant
Tungsten    Niagara Refining LLC    CID002589    UNITED STATES    CFSP Compliant
Tungsten    Jiangxi Dayu Longxintai Tungsten Co., Ltd.    CID002647    CHINA    CFSP Active
Tungsten    Hydrometallurg, JSC    CID002649    RUSSION FEDERATION    CFSP Compliant
Tungsten    South-East Nonferrous Metal Company Limited of Hengyang City    CID002815    CHINA    CFSP Active
Tungsten    Philippine Chuangxin Industrial Co., Inc.    CID002827    PHILIPPINES    CFSP Compliant


Mineral

  

Facility Name

  

Facility Identification

  

Facility Country

  

Status

Tungsten    Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.    CID002830    CHINA    CFSP Active
Tungsten    ACL Metais Eireli    CID002833    BRAZIL    CFSP Active
Tungsten    Woltech Korea Co., Ltd.    CID002843    KOREA, REPUBLIC OF    CFSP Active
Tungsten    Moliren Ltd    CID002845    RUSSIAN FEDERATION    CFSP Active


Table 4 Gold Facility List by Mineral, Country, and Status

 

Mineral

  

Facility Name

  

Facility Identification

  

Facility Country

  

Status

Gold    Advanced Chemical Company    CID000015    UNITED STATES    CFSP Active
Gold    Aida Chemical Industries Co., Ltd.    CID000019    JAPAN    CFSP Compliant
Gold    Allgemeine Gold-und Silberscheideanstalt A.G.    CID000035    GERMANY    CFSP Compliant
Gold    Almalyk Mining and Metallurgical Complex (AMMC)    CID000041    UZBEKISTAN    CFSP Active
Gold    AngloGold Ashanti Córrego do Sítio Mineração    CID000058    BRAZIL    CFSP Compliant
Gold    Argor-Heraeus SA    CID000077    SWITZERLAND    CFSP Compliant
Gold    Asahi Pretec Corporation    CID000082    JAPAN    CFSP Compliant
Gold    Asaka Riken Co., Ltd.    CID000090    JAPAN    CFSP Compliant
Gold    Atasay Kuyumculuk Sanayi Ve Ticaret A.S.    CID000103    TURKEY    Not yet participating
Gold    Aurubis AG    CID000113    GERMANY    CFSP Compliant
Gold    Bangko Sentral ng Pilipinas (Central Bank of the Philippines)    CID000128    PHILIPPINES    CFSP Compliant
Gold    Boliden AB    CID000157    SWEDEN    CFSP Compliant
Gold    C. Hafner GmbH + Co. KG    CID000176    GERMANY    CFSP Compliant
Gold    Caridad    CID000180    MEXICO    Not yet participating
Gold    CCR Refinery – Glencore Canada Corporation    CID000185    CANADA    CFSP Compliant
Gold    Cendres + Métaux SA    CID000189    SWITZERLAND    CFSP Active
Gold    Yunnan Copper Industry Co., Ltd.    CID000197    CHINA    Not yet participating
Gold    Chimet S.p.A.    CID000233    ITALY    CFSP Compliant
Gold    Chugai Mining    CID000264    JAPAN    Not yet participating
Gold    Daejin Indus Co., Ltd.    CID000328    KOREA, REPUBLIC OF    CFSP Active
Gold    Daye Non-Ferrous Metals Mining Ltd.    CID000343    CHINA    Not yet participating
Gold    (DSC) Do Sung Corporation    CID000359    KOREA, REPUBLIC OF    CFSP Active
Gold    Doduco    CID000362    GERMANY    CFSP Compliant
Gold    Dowa    CID000401    JAPAN    CFSP Compliant
Gold    Eco-System Recycling Co., Ltd.    CID000425    JAPAN    CFSP Compliant
Gold    OJSC Novosibirsk Refinery    CID000493    RUSSIAN FEDERATION    CFSP Compliant


Mineral

  

Facility Name

  

Facility Identification

  

Facility Country

  

Status

Gold    Gansu Seemine Material Hi-Tech Co., Ltd.    CID000522    CHINA    Not yet participating
Gold    Guoda Safina High-Tech Environmental Refinery Co., Ltd.    CID000651    CHINA    Not yet participating
Gold    Hangzhou Fuchunjiang Smelting Co., Ltd.    CID000671    CHINA    Not yet participating
Gold    Heimerle + Meule GmbH    CID000694    GERMANY    CFSP Compliant
Gold    Heraeus Ltd. Hong Kong    CID000707    CHINA    CFSP Compliant
Gold    Heraeus Precious Metals GmbH & Co. KG    CID000711    GERMANY    CFSP Compliant
Gold    Hunan Chenzhou Mining Co., Ltd.    CID000767    CHINA    Not yet participating
Gold    Hwasung CJ Co., Ltd.    CID000778    KOREA, REPUBLIC OF    Not yet participating
Gold    Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited    CID000801    CHINA    CFSP Compliant
Gold    Ishifuku Metal Industry Co., Ltd.    CID000807    JAPAN    CFSP Compliant
Gold    Istanbul Gold Refinery    CID000814    TURKEY    CFSP Compliant
Gold    Japan Mint    CID000823    JAPAN    CFSP Compliant
Gold    Jiangxi Copper Company Limited    CID000855    CHINA    CFSP Compliant
Gold    Johnson Matthey Inc    CID000920    UNITED STATES    CFSP Compliant
Gold    Asahi Refining Canada Limited    CID000924    CANADA    CFSP Compliant
Gold    JSC Ekaterinburg Non-Ferrous Metal Processing Plant    CID000927    RUSSIAN FEDERATION    CFSP Compliant
Gold    JSC Uralelectromed    CID000929    RUSSIAN FEDERATION    CFSP Compliant
Gold    JX Nippon Mining & Metals Co., Ltd.    CID000937    JAPAN    CFSP Compliant
Gold    Kazakhmys Smelting LLC    CID000956    KAZAKHSTAN    Not yet participating
Gold    Kazzinc    CID000957    KAZAKHSTAN    CFSP Compliant
Gold    Kennecott Utah Copper LLC    CID000969    UNITED STATES    CFSP Compliant
Gold    Kojima Chemicals Co., Ltd.    CID000981    JAPAN    CFSP Compliant
Gold    Korea Metal Co., Ltd.    CID000988    KOREA, REPUBLIC OF    Not yet participating
Gold    Kyrgyzaltyn JSC    CID001029    KYRGYZSTAN    Not yet participating
Gold    L’ azurde Company For Jewelry    CID001032    SAUDI ARABIA    Not yet participating
Gold    Lingbao Gold Company Limited    CID001056    CHINA    Not yet participating


Mineral

  

Facility Name

  

Facility Identification

  

Facility Country

  

Status

Gold    Lingbao Jinyuan Tonghui Refinery Co., Ltd.    CID001058    CHINA    Not yet participating
Gold    LS-NIKKO Copper Inc.    CID001078    KOREA, REPUBLIC OF    CFSP Compliant
Gold    Luoyang Zijin Yinhui Gold Refinery Co., Ltd.    CID001093    CHINA    Not yet participating
Gold    Materion    CID001113    UNITED STATES    CFSP Compliant
Gold    Matsuda Sangyo Co., Ltd.    CID001119    JAPAN    CFSP Compliant
Gold    Metalor Technologies (Suzhou) Ltd.    CID001147    CHINA    CFSP Active
Gold    Metalor Technologies (Hong Kong) Ltd.    CID001149    CHINA    CFSP Compliant
Gold    Metalor Technologies (Singapore) Pte., Ltd.    CID001152    SINGAPORE    CFSP Compliant
Gold    Metalor Technologies SA    CID001153    SWITZERLAND    CFSP Compliant
Gold    Metalor USA Refining Corporation    CID001157    UNITED STATES    CFSP Compliant
Gold    Metalúrgica Met-Mex Peñoles, S.A. De C.V.    CID001161    MEXICO    CFSP Compliant
Gold    Mitsubishi Materials Corporation    CID001188    JAPAN    CFSP Compliant
Gold    Mitsui Mining and Smelting Co., Ltd.    CID001193    JAPAN    CFSP Compliant
Gold    Moscow Special Alloys Processing Plant    CID001204    RUSSIAN FEDERATION    CFSP Compliant
Gold    Nadir Metal Rafineri San. Ve Tic. A.Ş.    CID001220    TURKEY    CFSP Compliant
Gold    Navoi Mining and Metallurgical Combinat    CID001236    UZBEKISTAN    CFSP Active
Gold    Nihon Material Co., Ltd.    CID001259    JAPAN    CFSP Compliant
Gold    Elemetal Refining, LLC    CID001322    UNITED STATES    CFSP Compliant
Gold    Ohura Precious Metal Industry Co., Ltd.    CID001325    JAPAN    CFSP Compliant
Gold    OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastvetmet)    CID001326    RUSSIAN FEDERATION    CFSP Compliant
Gold    PAMP S.A.    CID001352    SWITZERLAND    CFSP Compliant
Gold    Penglai Penggang Gold Industry Co., Ltd.    CID001362    CHINA    Not yet participating
Gold    Prioksky Plant of Non-Ferrous Metals    CID001386    RUSSIAN FEDERATION    CFSP Compliant
Gold    PT Aneka Tambang (Persero) Tbk    CID001397    INDONESIA    CFSP Compliant
Gold    PX Précinox SA    CID001498    SWITZERLAND    CFSP Compliant
Gold    Rand Refinery (Pty) Ltd.    CID001512    SOUTH AFRICA    CFSP Compliant
Gold    Royal Canadian Mint    CID001534    CANADA    CFSP Compliant


Mineral

  

Facility Name

  

Facility Identification

  

Facility Country

  

Status

Gold    Sabin Metal Corp.    CID001546    UNITED STATES    Not yet participating
Gold    Samduck Precious Metals    CID001555    KOREA, REPUBLIC OF    CFSP Active
Gold    SAMWON Metals Corp.    CID001562    KOREA, REPUBLIC OF    Not yet participating
Gold    Schone Edelmetaal B.V.    CID001573    NETHERLANDS    CFSP Compliant
Gold    SEMPSA Joyería Platería SA    CID001585    SPAIN    CFSP Compliant
Gold    Shandong Tiancheng Biological Gold Industrial Co., Ltd.    CID001619    CHINA    Not yet participating
Gold    Shandong Zhaojin Gold & Silver Refinery Co., Ltd.    CID001622    CHINA    CFSP Compliant
Gold    Sichuan Tianze Precious Metals Co., Ltd.    CID001736    CHINA    CFSP Compliant
Gold    So Accurate Group, Inc.    CID001754    UNITED STATES    Not yet participating
Gold    SOE Shyolkovsky Factory of Secondary Precious Metals    CID001756    RUSSIAN FEDERATION    CFSP Compliant
Gold    Solar Applied Materials Technology Corp.    CID001761    TAIWAN    CFSP Compliant
Gold    Sumitomo Metal Mining Co., Ltd.    CID001798    JAPAN    CFSP Compliant
Gold    Tanaka Kikinzoku Kogyo K.K.    CID001875    JAPAN    CFSP Compliant
Gold    The Great Wall Gold and Silver Refinery of China    CID001909    CHINA    Not yet participating
Gold    The Refinery of Shandong Gold Mining Co., Ltd.    CID001916    CHINA    CFSP Compliant
Gold    Tokuriki Honten Co., Ltd.    CID001938    JAPAN    CFSP Compliant
Gold    Tongling Nonferrous Metals Group Co., Ltd.    CID001947    CHINA    Not yet participating
Gold    Torecom    CID001955    KOREA, REPUBLIC OF    CFSP Active
Gold    Umicore Brasil Ltda.    CID001977    BRAZIL    CFSP Compliant
Gold    Umicore S.A. Business Unit Precious Metals Refining    CID001980    BELGIUM    CFSP Compliant
Gold    United Precious Metal Refining, Inc.    CID001993    UNITED STATES    CFSP Compliant
Gold    Valcambi S.A.    CID002003    SWITZERLAND    CFSP Compliant
Gold    Western Australian Mint trading as The Perth Mint    CID002030    AUSTRALIA    CFSP Compliant
Gold    Yamamoto Precious Metal Co., Ltd.    CID002100    JAPAN    CFSP Compliant


Mineral

  

Facility Name

  

Facility Identification

  

Facility Country

  

Status

Gold    Yokohama Metal Co., Ltd.    CID002129    JAPAN    CFSP Compliant
Gold    Zhongyuan Gold Smelter of Zhongjin Gold Corporation    CID002224    CHINA    CFSP Compliant
Gold    Zijin Mining Group Co., Ltd. Gold Refinery    CID002243    CHINA    CFSP Compliant
Gold    Morris and Watson    CID002282    NEW ZEALAND    Not yet participating
Gold    Guangdong Jinding Gold Limited    CID002312    CHINA    Not yet participating
Gold    Umicore Precious Metals Thailand    CID002314    THAILAND    CFSP Compliant
Gold    Faggi Enrico S.p.A.    CID002355    ITALY    CFSP Active
Gold    Geib Refining Corporation    CID002459    UNITED STATES    CFSP Active
Gold    MMTC-PAMP India Pvt., Ltd.    CID002509    INDIA    CFSP Compliant
Gold    Republic Metals Corporation    CID002510    UNITED STATES    CFSP Compliant
Gold    KGHM Polska Miedź Spółka Akcyjna    CID002511    POLAND    CFSP Active
Gold    Fidelity Printers and Refiners Ltd.    CID002515    ZIMBABWE    Not yet participating
Gold    Singway Technology Co., Ltd.    CID002516    TAIWAN    CFSP Compliant
Gold    Emirates Gold DMCC    CID002561    UNITED ARAB EMIRATES    CFSP Compliant
Gold    Kaloti Precious Metals    CID002563    UNITED ARAB EMIRATES    Not yet participating
Gold    T.C.A S.p.A    CID002580    ITALY    CFSP Compliant
Gold    Remondis Argentia B.V.    CID002582    NETHERLANDS    Not yet participating
Gold    Tony Goetz NV    CID002587    BELGIUM    Not yet participating
Gold    Korea Zinc Co. Ltd.    CID002605    KOREA, REPUBLIC OF    CFSP Active
Gold    SAAMP    CID002761    FRANCE    Not yet participating
Gold    SAXONIA Edelmetalle GmbH    CID002777    GERMANY    CFSP Active
Gold    WIELAND Edelmetalle GmbH    CID002778    GERMANY    CFSP Active
Gold    Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH    CID002779    AUSTRIA    CFSP Compliant