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:
| ☒ | 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
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 calendar year ended December 31, 2016. Both reports are publicly available at http://www.commscope.com/Docs/Corporate-Responsibility/Philosophy/2016_SEC_Filings.pdf
Item 1.02 Exhibit
A copy of our Conflict Minerals Report for the year ended December 31, 2016 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 23, 2017 | 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 Calendar Year Ended December 31, 2016. |
Exhibit 1.01
Conflict Minerals Report of CommScope Holding Company, Inc.
For the Calendar Year Ended December 31, 2016
Pursuant to Rule 13P-1 Under The Securities Exchange Act of 1934
CommScope Holding Company, Inc. presents this Conflict Minerals Report for the reporting period of January 1, 2016 to
December 31, 2016 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 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, which follows 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/.
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 2016.
| • | Connectivity Solutions – Data center products, intelligent building products, fiber optic connectivity products and optical network products |
| • | Mobility Solutions – Distributed coverage and capacity products, outdoor macro cell site products, small cell and backhaul products |
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 2016 products originated in the Democratic Republic of the Congo and the adjoining countries (the “Covered Countries”), or were 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 and that 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 2016. |
| • | Surveys of 3,220 direct suppliers by our conflict minerals team using the CFSI Conflict Minerals Reporting Template (the “Template”), from which we identified 1501 direct suppliers of materials, parts, components or products containing necessary conflict minerals (“3TG Direct Suppliers”). We require, as part of the survey and our accompanying communications, that suppliers provide a conflict free statement or use the Template. The Template is used to provide CommScope information from suppliers’ supply chains regarding Potential 3TG Facilities and the origin of necessary conflict minerals processed at these facilities; |
| • | If needed, follow-up is conducted 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, consistency, supplier’s completeness of smelter data, listing of unknown smelters, listing non-certified smelters, listing 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 from 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 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 some of 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 Global Procurement, 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. Unresponsive suppliers are identified and forwarded to the Global Procurement team for further review. We encourage 3TG Direct Suppliers to urge the Potential 3TG Facilities in their supply chain to join the Conflict Free Smelter Program. Each unresponsive 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. Unresponsive and 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 second 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 some of 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 2017:
| (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 86 tin Facilities listed, 48 tantalum Facilities listed, 39 tungsten Facilities listed, and 106 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 16, 2017) 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 refers 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 |
Facility Country |
Status | ||||
| Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | CID000228 | CHINA | CFSP Compliant | ||||
| 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 | No longer 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 | 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 | CFSP Active | ||||
| Tin | Ganzhou Huaxing Tungsten Products Co., Ltd. | CID000875 | CHINA | CFSP Compliant | ||||
| Tin | Gejiu Kai Meng Industry and Trade LLC | CID000942 | CHINA | CFSP Active | ||||
| 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 | Mitsubishi Materials Corporation | CID001191 | JAPAN | CFSP Compliant | ||||
| Tin | Nankang Nanshan Tin Manufactory Co., Ltd. | CID001231 | CHINA | CFSP Active | ||||
| Tin | O.M. Manufacturing (Thailand) Co., Ltd. | CID001314 | THAILAND | CFSP Compliant | ||||
| Mineral |
Facility Name |
Facility |
Facility Country |
Status | ||||
| Tin | Operaciones Metalurgical S.A. | CID001337 | BOLIVIA | CFSP Compliant | ||||
| Tin | PT Artha Cipta Langgeng | CID001399 | INDONESIA | CFSP Compliant | ||||
| Tin | PT Babel Inti Perkasa | CID001402 | INDONESIA | CFSP Compliant | ||||
| 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 | No longer 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 Karimun Mining | CID001448 | INDONESIA | CFSP Compliant | ||||
| 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 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 | Not yet participating | ||||
| 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 | ||||
| Mineral |
Facility Name |
Facility |
Facility Country |
Status | ||||
| Tin | PT Tirus Putra Mandiri | CID002478 | INDONESIA | Not yet participating | ||||
| Tin | PT Wahana Perkit Jaya | CID002479 | INDONESIA | No longer CFSP Compliant | ||||
| Tin | Melt Metais e Ligas S.A. | CID002500 | BRAZIL | CFSP Compliant | ||||
| Tin | PT ATD Makmur Mandiri Jaya | CID002503 | INDONESIA | CFSP Compliant | ||||
| 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 | Not yet participating | ||||
| Tin | Tuyen Quang Non-Ferrous Metals Joint Stock Company | CID002574 | VIET NAM | Not yet participating | ||||
| Tin | CV Dua Sekawan | CID002592 | INDONESIA | CFSP Compliant | ||||
| Tin | CV Tiga Sekawan | CID002593 | INDONESIA | CFSP Compliant | ||||
| Tin | PT Cipta Persada Mulia | CID002696 | INDONESIA | No longer CFSP Compliant | ||||
| Tin | An Vinh Joint Stock Mineral Processing Company | CID002703 | VIET NAM | Not yet participating | ||||
| Tin | Resind Indústria e Comércio Ltda. | CID002706 | BRAZIL | CFSP Compliant | ||||
| Tin | PT O.M. Indonesia | CID002757 | INDONESIA | CFSP Compliant | ||||
| Tin | Metallo-Chimique N.V. | CID002773 | BELGIUM | CFSP Compliant | ||||
| Tin | Metallo Spain 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 | Not yet participating | ||||
| Tin | PT Kijang Jaya Mandiri | CID002829 | INDONESIA | CFSP Compliant | ||||
| Tin | PT Menara Cipta Mulia | CID002835 | INDONESIA | CFSP Compliant | ||||
| Tin | HuiChang Hill Tin Industry Co., Ltd. | CID002844 | CHINA | CFSP Compliant | ||||
| Tin | Gejiu Fengming Metallurgy Chemical Plant | CID002848 | CHINA | CFSP Compliant | ||||
| Tin | Guanyang Guida Nonferrous Metal Smelting Plant | CID002849 | CHINA | CFSP Compliant | ||||
| Tin | Modeltech Sdn Bhd | CID002858 | MALAYSIA | CFSP Active | ||||
| Tin | Gejiu Jinye Mineral Company | CID002859 | CHINA | CFSP Compliant | ||||
Table 2 Tantalum Facility List by Mineral, Country, and Status
| Mineral |
Facility Name |
Facility |
Facility Country |
Status | ||||
| Tantalum | Changsha South Tantalum Niobium Co., Ltd. | CID000211 | CHINA | CFSP Compliant | ||||
| Tantalum | Guangdong Xianglu Tungsten Co., Ltd. | CID000218 | CHINA | Not yet participating | ||||
| 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 | Global Tungsten & Powders Corp. | CID000568 | CHINA | Not yet participating | ||||
| 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 Nonferrous Metals Smelting Company Limited. | 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 | 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 | RFH Tantalum Smeltry Co., Ltd. | CID001522 | CHINA | CFSP Compliant | ||||
| Tantalum | Solikamsk Magnesium Works OAO | CID001769 | RUSSIAN FEDERATION | CFSP Compliant | ||||
| Mineral |
Facility Name |
Facility |
Facility Country |
Status | ||||
| Tantalum | Taki Chemical Co., Ltd. | CID001869 | JAPAN | CFSP Compliant | ||||
| Tantalum | Telex Metals | CID001891 | UNITED STATES | CFSP Compliant | ||||
| Tantalum | Ulba Metallurgical Plant JSC | CID001969 | KAZAKHSTAN | CFSP Compliant | ||||
| Tantalum | Zhuzhou Cemented Carbide Group Co., Ltd. | CID002232 | CHINA | CFSP Compliant | ||||
| Tantalum | Yichun Jin Yang Rare Metal Co., Ltd. | CID002307 | CHINA | CFSP Compliant | ||||
| Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | 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 | No longer CFSP Compliant | ||||
| Tantalum | H.C. Starck Co., Ltd. | CID002544 | THAILAND | CFSP Compliant | ||||
| Tantalum | H.C. Starck Tantalum and Niobium GmbH | CID002545 | GERMANY | CFSP Compliant | ||||
| Tantalum | H.C. Starck GmbH Laufenburg | CID002546 | GERMANY | No longer 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 | ||||
| Mineral |
Facility Name |
Facility |
Facility Country |
Status | ||||
| Tantalum | Plansee SE Reutte | CID002556 | AUSTRIA | No longer 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 | ||||
| Tantalum | Tranzact, Inc. | CID002571 | UNITED STATES | CFSP Compliant | ||||
| Tantalum | E.S.R. Electronics | CID002590 | UNITED STATES | Not yet participating | ||||
| Tantalum | Resind Indústria e Comércio Ltda. | CID002707 | BRAZIL | CFSP Compliant | ||||
| Tantalum | Jiangxi Tuohong New Raw Material | CID002842 | CHINA | CFSP Compliant | ||||
| Tantalum | Power Resources Ltd. | CID002847 | MACEDONIA | CFSP Compliant | ||||
Table 3 Tungsten Facility List by Mineral, Country, and Status
| Mineral |
Facility Name |
Facility |
Facility Country |
Status | ||||
| Tungsten | A.L.M.T. TUNGSTEN Corp. | CID000004 | JAPAN | CFSP Compliant | ||||
| Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | CID000258 | CHINA | CFSP Compliant | ||||
| Tungsten | Dayu Weiliang Tungsten Co., Ltd. | CID000345 | CHINA | Not yet participating | ||||
| Tungsten | Fujian Jinxin Tungsten Co., Ltd. | CID000499 | CHINA | CFSP Compliant | ||||
| Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd. | CID000769 | CHINA | CFSP Compliant | ||||
| Tungsten | Kennametal Fallon | CID000966 | UNITED STATES | CFSP Compliant | ||||
| Tungsten | Tejing (Vietnam) Tungsten Co., Ltd. | CID001889 | VIET NAM | CFSP Compliant | ||||
| Tungsten | Vietnam Youngsun Tungsten Industry Co., Ltd. | CID002011 | VIET NAM | 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 | Dayu Jincheng Tungsten Industry Co., Ltd. | CID002318 | CHINA | Not yet participating | ||||
| 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 | ||||
| Mineral |
Facility Name |
Facility |
Facility Country |
Status | ||||
| Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd. | CID002513 | CHINA | CFSP Compliant | ||||
| Tungsten | Dayu Jincheng Tungsten Industry Co., Ltd. | CID002518 | CHINA | Not yet participating | ||||
| Tungsten | Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd. | CID002535 | CHINA | CFSP Compliant | ||||
| Tungsten | Ganzhou Yatai Tungsten Co., Ltd. | CID002536 | CHINA | No longer CFSP Compliant | ||||
| Tungsten | H.C. Starck Tungsten 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 Compliant | ||||
| 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 | Not yet participating | ||||
| Tungsten | Hydrometallurg, JSC | CID002649 | RUSSION FEDERATION | CFSP Compliant | ||||
| Tungsten | Unecha Refractory metals plant | CID002724 | RUSSION FEDERATION | CFSP Compliant | ||||
| Tungsten | South-East Nonferrous Metal Company Limited of Hengyang City | CID002815 | CHINA | CFSP Compliant | ||||
| Tungsten | Philippine Chuangxin Industrial Co., Inc. | CID002827 | PHILIPPINES | CFSP Compliant | ||||
| Tungsten | Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. | CID002830 | CHINA | CFSP Compliant | ||||
| Tungsten | ACL Metais Eireli | CID002833 | BRAZIL | Not yet participating | ||||
| Tungsten | Woltech Korea Co., Ltd. | CID002843 | KOREA, REPUBLIC OF | CFSP Compliant | ||||
| Tungsten | Moliren Ltd | CID002845 | RUSSIAN FEDERATION | CFSP Compliant | ||||
Table 4 Gold Facility List by Mineral, Country, and Status
| Mineral |
Facility Name |
Facility |
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 | 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 | CCR Refinery – Glencore Canada Corporation | CID000185 | CANADA | CFSP Compliant | ||||
| Gold | Cendres + Métaux SA | CID000189 | SWITZERLAND | Not yet participating | ||||
| Gold | Chimet S.p.A. | CID000233 | ITALY | CFSP Compliant | ||||
| Gold | Daejin Indus Co., Ltd. | CID000328 | KOREA, REPUBLIC OF | 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 | ||||
| Gold | Heimerle + Meule GmbH | CID000694 | GERMANY | CFSP Compliant | ||||
| Gold | Heraeus Ltd. Hong Kong | CID000707 | CHINA | CFSP Compliant | ||||
| Mineral |
Facility Name |
Facility |
Facility Country |
Status | ||||
| Gold | Heraeus Precious Metals GmbH & Co. KG | CID000711 | GERMANY | CFSP Compliant | ||||
| Gold | Hunan Chenzhou Mining Co., Ltd. | CID000766 | CHINA | 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 | 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 | Kyrgyzaltyn JSC | CID001029 | KYRGYZSTAN | Not yet participating | ||||
| Gold | LS-NIKKO Copper Inc. | CID001078 | KOREA, REPUBLIC OF | CFSP Compliant | ||||
| Gold | Materion | CID001113 | UNITED STATES | CFSP Compliant | ||||
| Gold | Matsuda Sangyo Co., Ltd. | CID001119 | JAPAN | CFSP Compliant | ||||
| Gold | Metalor Technologies (Suzhou) Ltd. | CID001147 | CHINA | CFSP Compliant | ||||
| 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 | ||||
| Mineral |
Facility Name |
Facility |
Facility Country |
Status | ||||
| 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 & Smelting | CID001192 | JAPAN | No yet participating | ||||
| 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 | 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 | ||||
| Gold | Samduck Precious Metals | CID001555 | KOREA, REPUBLIC OF | CFSP Compliant | ||||
| Gold | Schone Edelmetaal B.V. | CID001573 | NETHERLANDS | CFSP Compliant | ||||
| Gold | SEMPSA Joyería Platería SA | CID001585 | SPAIN | 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 | ||||
| Mineral |
Facility Name |
Facility |
Facility Country |
Status | ||||
| 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 Refinery of Shandong Gold Mining Co., Ltd. | CID001916 | CHINA | CFSP Compliant | ||||
| Gold | Tokuriki Honten Co., Ltd. | CID001938 | JAPAN | CFSP Compliant | ||||
| 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 | ||||
| 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 | Umicore Precious Metals Thailand | CID002314 | THAILAND | CFSP Compliant | ||||
| Gold | Geib Refining Corporation | CID002459 | UNITED STATES | CFSP Compliant | ||||
| 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 | ||||
| Mineral |
Facility Name |
Facility |
Facility Country |
Status | ||||
| Gold | Singway Technology Co., Ltd. | CID002516 | TAIWAN | CFSP Compliant | ||||
| Gold | Al Etihad Gold LLC | CID002560 | UNITED ARAB EMIRATES | CFSP Compliant | ||||
| Gold | Emirates Gold DMCC | CID002561 | UNITED ARAB EMIRATES | CFSP Compliant | ||||
| Gold | T.C.A S.p.A | CID002580 | ITALY | CFSP Compliant | ||||
| Gold | Korea Zinc Co. Ltd. | CID002605 | KOREA, REPUBLIC OF | CFSP Active | ||||
| Gold | TOO Tau-Ken-Altyn | CID002615 | KAZAKHSTAN | CFSP Active | ||||
| Gold | SAAMP | CID002761 | FRANCE | Not yet participating | ||||
| Gold | Abington Reldan Metals, LLC | CID002708 | UNITED STATES | Not yet participating | ||||
| Gold | SAXONIA Edelmetalle GmbH | CID002777 | GERMANY | CFSP Compliant | ||||
| Gold | WIELAND Edelmetalle GmbH | CID002778 | GERMANY | CFSP Compliant | ||||
| Gold | Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH | CID002779 | AUSTRIA | CFSP Compliant | ||||
| Gold | AU Traders and Refiners | CID002850 | SOUTH AFRICA | CFSP Compliant | ||||
| Gold | AURA-II | CID002851 | UNITED STATES | Not yet participating | ||||
| Gold | Modeltech Sdn Bhd | CID002857 | MALAYSIA | CFSP Active | ||||
| Gold | Bangalore Refinery | CID002863 | INDIA | CFSP Active | ||||
| Gold | PT Lautan Harmonis Sejahtera | CID002870 | INDONESIA | Not yet participating | ||||