SD

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM SD

SPECIALIZED DISCLOSURE REPORT

 

 

NetApp, Inc.

(Exact name of registrant as specified in its charter)

 

 

 

Delaware   000-27130   77-0307520

(State or other jurisdiction

of incorporation)

  (Commission File Number)  

(IRS. Employer

Identification No.)

1395 Crossman Avenue

Sunnyvale, CA 94089

(Address of principal executive offices)

Matthew K. Fawcett

Senior Vice President, General Counsel and Secretary

NetApp, Inc.

(408) 822-6000

(Name and telephone number, including area code, of the person to contact in connection with this report.)

 

 

Check the appropriate box to indicate the rule pursuant to which this form is being filed, and provide the period to which the information in this form applies:

 

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

 

 

 


Section 1 – Conflict Minerals Disclosure

Items 1.01 and 1.02 Conflict Minerals Disclosure and Report; Exhibit

A copy of NetApp, Inc.’s Conflict Minerals Report is provided as Exhibit 1.01 to this Form SD and is available at the following address: http://investors.netapp.com/corporate-governance

Section 2 – Exhibits

Item 2.01 Exhibits

 

Exhibit No.

  

Description

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


SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the duly authorized undersigned.

 

NETAPP, INC.      
/s/ Matthew K. Fawcett       May 30, 2019

By: Matthew K. Fawcett

     

Its:  Senior Vice President, General Counsel & Secretary

     
EX-1.01

Exhibit 1.01

Conflict Minerals Report of NetApp, Inc.

For the Calendar Year Ended December 31, 2018

This Conflict Minerals Report contains forward-looking statements. These statements include statements regarding NetApp’s goals for its Conflict Minerals policy and the actions that NetApp intends to take to improve transparency and reporting. All forward-looking statements involve risk and uncertainty. When considering these statements, you should also consider the important factors described in reports and documents NetApp files from time to time with the Securities and Exchange Commission, including the factors described under the sections titled “Risk Factors” in NetApp’s most recently filed Annual and Quarterly Reports on Forms 10-K and 10-Q, respectively. Except as required by law, NetApp disclaims any obligation to update information contained in these forward-looking statements whether as a result of new information, future events, or otherwise.

This is the Conflict Minerals Report for NetApp, Inc. (“NetApp”) for calendar year 2018 prepared in accordance with Rule 13p-1 under the Securities Exchange Act of 1934 (“Rule 13p-1”).

Introduction

NetApp is a leader in data insight, access and control for hybrid cloud environments. NetApp provides global organizations the ability to manage and share their data across on-premises, private and public clouds.

Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act and the rules promulgated thereunder (together “Section 1502”) require NetApp to perform certain due diligence procedures and disclose information about the use and origin of certain minerals if these minerals are deemed to be necessary to the functionality or production of a product manufactured or contracted to be manufactured by NetApp. The NetApp products that contain minerals or metals are its hardware products (storage systems and subsystems) that NetApp contracts to manufacture and sells directly or through resellers. The specific minerals covered by these rules consist of tin, tantalum, tungsten and gold and are referred to as “Conflict Minerals” or alternatively as “3TG”.

Conflict Minerals are necessary to the functionality or production of the hardware storage systems and subsystems that NetApp contracts with third parties to manufacture. Components and subassemblies that are made in part using Conflict Minerals are sourced from a global supply base that includes distributors, value-added resellers, original equipment manufacturers, original design manufacturers and contract manufacturers.

In accordance with Section 1502, NetApp has performed a “reasonable country of origin inquiry” (“RCOI”) on the Conflict Minerals that were in NetApp’s supply chain for calendar year 2018 to determine whether these minerals were sourced from the Democratic Republic of the Congo or adjoining countries (collectively the “Covered Countries”) and has conducted due diligence measures as described below.

Due Diligence Procedures

In accordance with Rule 13p-1, NetApp undertook due diligence procedures to determine the source and chain of custody of the Conflict Minerals used in its products. NetApp designed its due diligence measures for each of the Conflict Minerals to conform, in all material respects, with the due diligence framework in the Organisation for Economic Co-operation and Development (“OECD”) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, Second Edition (OECD 2013) (“OECD Framework”) and related supplements. NetApp’s due diligence measures concerning Conflict Minerals included:

 

  1.

Establishing strong company management systems regarding conflict minerals;

 

  2.

Identifying and assessing risk in the supply chain;

 

  3.

Designing and implementing strategies to respond to identified risks;

 

  4.

Supporting industry associations that carry out independent third-party audits of smelter/refiner’s due diligence practices; and

 

  5.

Reporting annually on NetApp’s supply chain due diligence activities.

STEP 1: Establish strong company management systems

 

  a)

Identified an executive sponsor for NetApp’s supply chain transparency objectives to provide internal leadership and guidance to attain NetApp’s goal of determining the countries of origin of the Conflict Minerals that are necessary for the production or functionality of its products and eliminating sources of Conflict Minerals that benefit armed groups in the Covered Countries.

 

  b)

Adopted and posted a Conflict Minerals policy (discussed further below) on its website. NetApp requested all vendors and suppliers of materials that could potentially contain Conflict Minerals (the “in-scope suppliers”) to comply with the requirements of Section 1502, if applicable, and to support NetApp’s compliance program. NetApp continues to educate suppliers on its Conflict Minerals policy and encourage suppliers to have policies of their own.


  c)

Included Section 1502 requirement contractually in its Master Supply Agreements, requiring suppliers to provide necessary information.

 

  d)

Adopted processes, procedures and systems to capture, maintain, retrieve and report on supplier sourcing of Conflict Minerals to further improve transparency and the ability to report on NetApp’s sourcing of Conflict Minerals in accordance with Section 1502 in coming years.

 

  e)

Conducted a survey using the Responsible Minerals Initiative or “RMI” (previously known as Conflict Free Sourcing Initiative (“CFSI”) Conflict Minerals Reporting Template (the “CMRT”) version 5.11 or higher (the “RCOI Survey”) through a third-party service provider, Assent Compliance, of NetApp’s in-scope suppliers to gather information on the chain of custody of the necessary Conflict Minerals included in NetApp products.

 

  f)

Instituted Conflict Minerals risk assessment as part of the NetApp product development process.

 

  g)

Identified personnel within NetApp responsible for the NetApp sustainability program, including responsibility for day-to-day consideration and review of compliance requirements related to the Section 1502.

 

  h)

Used a third-party service provider, Assent Compliance, to assist with gathering and evaluating supply chain information with respect to Conflict Minerals, training and educating suppliers on Conflict Minerals and providing feedback to the in-scope suppliers on their conflict minerals program.

 

  i)

Established a dedicated email address that is published on www.NetApp.com and in other communications with suppliers whereby employees and suppliers can (i) communicate with NetApp on questions related to Conflict Minerals, (ii) request Conflict Mineral compliance information, and (iii) report Conflict Minerals grievances.

STEP 2: Identify and assess risks in the supply chain

 

  a)

As part of its RCOI, NetApp performed an assessment of all parts represented within its product lines followed by a supplier risk assessment. Suppliers were first assessed by determining whether they supplied hardware, software or services. If the supplier was determined to supply hardware, NetApp assessed whether the materials supplied by the supplier could potentially contain Conflict Minerals to identify the in-scope suppliers. Finally, the in-scope suppliers were surveyed to determine whether they sourced Conflict Minerals from the Covered Countries.

 

  b)

Provided letters to the in-scope suppliers explaining NetApp’s country of origin inquiry and due diligence efforts and requesting supplier cooperation. Suppliers were offered training materials on the requirements of Section 1502, NetApp’s plan to achieve compliance with such requirements and NetApp’s goal of achieving responsible sourcing from its suppliers.

 

  c)

Partnered with Assent Compliance to conduct a RCOI Survey of NetApp’s in-scope suppliers to gather information on countries of origin and identify smelters or refiners. The RCOI Survey used the CMRT. The in-scope suppliers were asked to identify the smelters and refiners who contributed to the Conflict Minerals materials contained in parts and components that they supplied to NetApp.

 

  d)

The in-scope suppliers that responded to NetApp’s RCOI Survey account for 99.6% of in-scope component spend for calendar year 2018, an increase from 99% in 2017. This improvement is due to an increased effort on following up with non-responsive suppliers.

 

  e)

Compared smelters and refiners identified against the list of those on RMI’s lists for tantalum, tin, tungsten and gold including those that have received a “conflict free” designation by participating in an independent third-party audit. Based on the RCOI, NetApp had reason to believe that some of the Conflict Minerals may have originated from the Covered Countries, therefore, in accordance with Section 1502, performed due diligence on the source and chain of custody of the conflict minerals in question.

 

  f)

Performed enhanced data analytics to ensure identification of all in-scope suppliers throughout NetApp’s entire supply chain.

 

  g)

Analyzed CMRT responses and provided feedback to suppliers on the strength of their conflict minerals program.

STEP 3: Design and implement a strategy to respond to identified risks

 

  a)

NetApp has established a supplier Conflict Minerals policy, which outlines NetApp’s requirements for its suppliers:

 

  a.

Sourcing minerals from socially responsible suppliers;

 

  b.

Requesting suppliers downstream to source minerals from socially responsible suppliers;

 

  c.

Providing NetApp with prompt, truthful, and accurate information regarding each supply source and the nature of the sourcing materials as it relates to the requirements of Section 1502; and


  d.

Cooperating with regular business reviews, surveys, and audits undertaken by or for NetApp so that it can comply with the requirements of Section 1502.

 

  b)

Through calendar year 2018, NetApp continued to flow down its Conflict Minerals policy to its in-scope supply base. This has aided in defining sourcing requirements for products supplied to NetApp.

 

  c)

NetApp’s supplier qualification and assessment program includes audits of supplier representations of their status to validate their previous and current reporting.

 

  d)

NetApp (or Assent Compliance on NetApp’s behalf), responded to the risks identified in Step 2 by providing feedback and education material to suppliers. This included contacting non-responsive suppliers, following up with invalid submissions, providing feedback and recommended next steps for identified smelter risk, and encouraging suppliers to improve their internal compliance practices.

 

  e)

In calendar year 2019, NetApp plans to:

 

  a.

Continue to work with its top materials-spend suppliers to improve transparency and reporting. Concurrently, through its supplier performance management process, NetApp continues to assess risk for its supply base that are not improving their level of transparency required by Section 1502 to promote its intended purpose. NetApp will work with suppliers with underdeveloped processes, providing information and guidance to increase transparency.

 

  b.

Compare RCOI Survey responses to information collected via independent conflict free smelter validation programs, such as RMI’s Responsible Minerals Assurance Process, to identify unknown or unrecognized smelters or refiners.

 

  c.

Contact in-scope suppliers with unknown or unrecognized smelters or refiners and request their participation in improving data accuracy and promoting RMI’s efforts.

 

  d.

Participate in Conflict Minerals forums and collaborate with industry peers to define best practices and encourage responsible sourcing. NetApp will continue to support RMI in its efforts to increase the number of smelters and refiners identified as “conflict free.”

 

  e.

Continue outreach efforts with suppliers who listed OFAC sanctioned smelters in their CMRT to have these smelters removed from their CMRT.

STEP 4: Support industry associations that carry out independent third-party audits of smelter/refiner’s due diligence practices

As a member of the Responsible Business Alliance or “RBA” (previously known as Electronic Industry Citizenship Coalition, or “EICC),” NetApp will continue to participate in the RMI to assist in increasing the number of smelters and refiners directly and indirectly in its supply base that have been identified as “conflict free” under Responsible Minerals Assurance Process or “RMAP” (previously known as CFSI’s Conflict-Free Smelter Program), which uses an independent third-party audit to identify smelters and refiners that have systems in place to assure sourcing of only conflict-free materials. NetApp was not required to obtain a third-party independent audit of its own due diligence process and compliance efforts and results in 2017.

STEP 5: Report annually on supply chain due diligence

NetApp’s Conflict Minerals policy, Form SD and this Conflict Minerals Report are currently posted on NetApp’s public website:

http://www.netapp.com/us/company/our-story/conflict-minerals.aspx;

https://www.netapp.com/us/media/Conflict%20Minerals%20Policy.pdf; and

http://investors.netapp.com/corporate-governance

Results of Due Diligence

NetApp, as a purchaser, is many steps removed from the mining of the Conflict Minerals and does not purchase raw ore or unrefined Conflict Minerals, nor does it purchase bulk Conflict Minerals in the form of ingots or bullion for use in its products. The origin of NetApp’s Conflict Minerals cannot be determined with any certainty once the raw ores are smelted, refined and converted to ingots, bullion or other derivatives. The smelters and refiners are consolidating points for raw ore and are in the best position in the total supply chain to know the origin of the ores.

Based on the information that was provided by NetApp’s in-scope suppliers and otherwise obtained through its due diligence efforts described herein, NetApp believes that the facilities listed in Appendix A may have been used to process a portion of the necessary Conflict Minerals contained in NetApp’s products for calendar year 2018. Furthermore, NetApp has reasonably determined from information provided by the RMAP and otherwise obtained through NetApp’s due diligence efforts, that it does not have enough information to determine whether portions of its products contain recycled or scrap sources.


Appendix A is a list of the smelters and refiners listed by NetApp’s in-scope suppliers in their completed CMRTs that appear on the lists of smelters maintained by the RMI. The majority of CMRTs received from the in-scope suppliers were made on a company or division level basis, rather than on a product-level basis, therefore NetApp cannot identify with certainty which smelters or refiners listed in Appendix A actually processed the Conflict Minerals contained in NetApp products. Therefore, the list of processing smelters and refiners disclosed in Appendix A may contain more facilities than those that actually processed the conflict minerals contained in our products.


Appendix A

Smelters or Refiners (SORs) that may be used to process the Conflict Minerals contained in NetApp’s Products.

SOR Status as of December 31, 2018: “Conformant” indicates SOR is publicly listed on the RMAP web site and considered “conflict-free” as of the date indicated based on the criteria used by the RMI to assess SORs. “Active” indicates SOR has committed to or is in the process of undergoing an audit through RMAP. “Not Enrolled” indicates SOR is not enrolled in RMAP. “Non-Conformant” indicates SOR was audited but found not conformant with the relevant RMAP standard.

 

Metal    Standard Smelter Name    Smelter Facility Location    Smelter ID    RMI Audit Status
Gold    8853 S.p.A.    ITALY    CID002763    Conformant
Gold    Abington Reldan Metals, LLC    UNITED STATES    CID002708    Non-Conformant
Gold    Advanced Chemical Company    UNITED STATES    CID000015    Conformant
Gold    African Gold Refinery    UGANDA    CID003185    Not Enrolled
Gold    Aida Chemical Industries Co., Ltd.    JAPAN    CID000019    Conformant
Gold    Al Etihad Gold LLC    UNITED ARAB EMIRATES    CID002560    Conformant
Gold    Allgemeine Gold-und Silberscheideanstalt A.G.    GERMANY    CID000035    Conformant
Gold    Almalyk Mining and Metallurgical Complex (AMMC)    UZBEKISTAN    CID000041    Conformant
Gold    AngloGold Ashanti Córrego do Sítio Mineração    BRAZIL    CID000058    Conformant
Gold    Argor-Heraeus S.A.    SWITZERLAND    CID000077    Conformant
Gold    Asahi Pretec Corp.    JAPAN    CID000082    Conformant
Gold    Asahi Refining Canada Ltd.    CANADA    CID000924    Conformant
Gold    Asahi Refining USA Inc.    UNITED STATES    CID000920    Conformant
Gold    Asaka Riken Co., Ltd.    JAPAN    CID000090    Conformant
Gold    Atasay Kuyumculuk Sanayi Ve Ticaret A.S.    TURKEY    CID000103    Not Enrolled
Gold    AU Traders and Refiners    SOUTH AFRICA    CID002850    Conformant
Gold    Aurubis AG    GERMANY    CID000113    Conformant
Gold    Bangalore Refinery    INDIA    CID002863    Active
Gold    Bangko Sentral ng Pilipinas (Central Bank of the Philippines)    PHILIPPINES    CID000128    Conformant
Gold    Boliden AB    SWEDEN    CID000157    Conformant
Gold    C. Hafner GmbH + Co. KG    GERMANY    CID000176    Conformant
Gold    Caridad    MEXICO    CID000180    Not Enrolled
Gold    CCR Refinery—Glencore Canada Corporation    CANADA    CID000185    Conformant
Gold    Cendres + Métaux S.A.    SWITZERLAND    CID000189    Conformant
Gold    Chimet S.p.A.    ITALY    CID000233    Conformant
Gold    Chugai Mining    JAPAN    CID000264    Active
Gold    Daejin Indus Co., Ltd.    KOREA, REPUBLIC OF    CID000328    Conformant


Metal    Standard Smelter Name    Smelter Facility Location    Smelter ID    RMI Audit Status
Gold    Daye Non-Ferrous Metals Mining Ltd.    CHINA    CID000343    Not Enrolled
Gold    Degussa Sonne / Mond Goldhandel GmbH    GERMANY    CID002867    Not Enrolled
Gold    Dijllah Gold Refinery FZC    UNITED ARAB EMIRATES    CID003348    Not Enrolled
Gold    DODUCO Contacts and Refining GmbH    GERMANY    CID000362    Conformant
Gold    Dowa    JAPAN    CID000401    Conformant
Gold    DS PRETECH Co., Ltd.    KOREA, REPUBLIC OF    CID003195    Conformant
Gold    DSC (Do Sung Corporation)    KOREA, REPUBLIC OF    CID000359    Conformant
Gold    Eco-System Recycling Co., Ltd.    JAPAN    CID000425    Conformant
Gold    Emirates Gold DMCC    UNITED ARAB EMIRATES    CID002561    Conformant
Gold    Fidelity Printers and Refiners Ltd.    ZIMBABWE    CID002515    Not Enrolled
Gold    Fujairah Gold FZE    UNITED ARAB EMIRATES    CID002584    Not Enrolled
Gold    GCC Gujrat Gold Centre Pvt. Ltd.    INDIA    CID002852    Not Enrolled
Gold    Geib Refining Corporation    UNITED STATES    CID002459    Conformant
Gold    Gold Refinery of Zijin Mining Group Co., Ltd.    CHINA    CID002243    Conformant
Gold    Great Wall Precious Metals Co., Ltd. of CBPM    CHINA    CID001909    Not Enrolled
Gold    Guangdong Jinding Gold Limited    CHINA    CID002312    Not Enrolled
Gold    Guoda Safina High-Tech Environmental Refinery Co., Ltd.    CHINA    CID000651    Not Enrolled
Gold    Hangzhou Fuchunjiang Smelting Co., Ltd.    CHINA    CID000671    Not Enrolled
Gold    HeeSung    KOREA, REPUBLIC OF    CID000689    Conformant
Gold    Heimerle + Meule GmbH    GERMANY    CID000694    Conformant
Gold    Heraeus Metals Hong Kong Ltd.    CHINA    CID000707    Conformant
Gold    Heraeus Precious Metals GmbH & Co. KG    GERMANY    CID000711    Conformant
Gold    Hunan Chenzhou Mining Co., Ltd.    CHINA    CID000767    Not Enrolled
Gold    Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd.    CHINA    CID000773    Not Enrolled
Gold    Hwasung CJ Co., Ltd.    KOREA, REPUBLIC OF    CID000778    Not Enrolled
Gold    Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.    CHINA    CID000801    Conformant
Gold    International Precious Metal Refiners    UNITED ARAB EMIRATES    CID002562    Not Enrolled
Gold    Ishifuku Metal Industry Co., Ltd.    JAPAN    CID000807    Conformant
Gold    Istanbul Gold Refinery    TURKEY    CID000814    Conformant
Gold    Italpreziosi    ITALY    CID002765    Conformant


Metal    Standard Smelter Name    Smelter Facility Location    Smelter ID    RMI Audit Status
Gold    Japan Mint    JAPAN    CID000823    Conformant
Gold    Jiangxi Copper Co., Ltd.    CHINA    CID000855    Conformant
Gold    JSC Ekaterinburg Non-Ferrous Metal Processing Plant    RUSSIAN FEDERATION    CID000927    Not Enrolled
Gold    JSC Uralelectromed    RUSSIAN FEDERATION    CID000929    Conformant
Gold    JX Nippon Mining & Metals Co., Ltd.    JAPAN    CID000937    Conformant
Gold    Kaloti Precious Metals    UNITED ARAB EMIRATES    CID002563    Not Enrolled
Gold    Kazakhmys Smelting LLC    KAZAKHSTAN    CID000956    Not Enrolled
Gold    Kazzinc    KAZAKHSTAN    CID000957    Conformant
Gold    Kennecott Utah Copper LLC    UNITED STATES    CID000969    Conformant
Gold    KGHM Polska Miedz Spolka Akcyjna    POLAND    CID002511    Active
Gold    Kojima Chemicals Co., Ltd.    JAPAN    CID000981    Conformant
Gold    Korea Zinc Co., Ltd.    KOREA, REPUBLIC OF    CID002605    Conformant
Gold    Kyrgyzaltyn JSC    KYRGYZSTAN    CID001029    Conformant
Gold    Kyshtym Copper-Electrolytic Plant ZAO    RUSSIAN FEDERATION    CID002865    Not Enrolled
Gold    L’azurde Company For Jewelry    SAUDI ARABIA    CID001032    Not Enrolled
Gold    Lingbao Gold Co., Ltd.    CHINA    CID001056    Not Enrolled
Gold    Lingbao Jinyuan Tonghui Refinery Co., Ltd.    CHINA    CID001058    Not Enrolled
Gold    L’Orfebre S.A.    ANDORRA    CID002762    Conformant
Gold    LS-NIKKO Copper Inc.    KOREA, REPUBLIC OF    CID001078    Conformant
Gold    Luoyang Zijin Yinhui Gold Refinery Co., Ltd.    CHINA    CID001093    Not Enrolled
Gold    Marsam Metals    BRAZIL    CID002606    Conformant
Gold    Materion    UNITED STATES    CID001113    Conformant
Gold    Matsuda Sangyo Co., Ltd.    JAPAN    CID001119    Conformant
Gold    Metalor Technologies (Hong Kong) Ltd.    CHINA    CID001149    Conformant
Gold    Metalor Technologies (Singapore) Pte., Ltd.    SINGAPORE    CID001152    Conformant
Gold    Metalor Technologies (Suzhou) Ltd.    CHINA    CID001147    Conformant
Gold    Metalor Technologies S.A.    SWITZERLAND    CID001153    Conformant
Gold    Metalor USA Refining Corporation    UNITED STATES    CID001157    Conformant
Gold    Metalúrgica Met-Mex Peñoles S.A. De C.V.    MEXICO    CID001161    Conformant
Gold    Mitsubishi Materials Corporation    JAPAN    CID001188    Conformant
Gold    Mitsui Mining and Smelting Co., Ltd.    JAPAN    CID001193    Conformant


Metal    Standard Smelter Name    Smelter Facility Location    Smelter ID    RMI Audit Status
Gold    MMTC-PAMP India Pvt., Ltd.    INDIA    CID002509    Conformant
Gold    Modeltech Sdn Bhd    MALAYSIA    CID002857    Non-Conformant
Gold    Morris and Watson    NEW ZEALAND    CID002282    Not Enrolled
Gold    Morris and Watson Gold Coast    AUSTRALIA    CID002866    Not Enrolled
Gold    Moscow Special Alloys Processing Plant    RUSSIAN FEDERATION    CID001204    Conformant
Gold    Nadir Metal Rafineri San. Ve Tic. A.Ş.    TURKEY    CID001220    Conformant
Gold    Navoi Mining and Metallurgical Combinat    UZBEKISTAN    CID001236    Not Enrolled
Gold    NH Recytech Company    KOREA, REPUBLIC OF    CID003189    Active
Gold    Nihon Material Co., Ltd.    JAPAN    CID001259    Conformant
Gold    Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH    AUSTRIA    CID002779    Conformant
Gold    Ohura Precious Metal Industry Co., Ltd.    JAPAN    CID001325    Conformant
Gold    OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)    RUSSIAN FEDERATION    CID001326    Conformant
Gold    OJSC Novosibirsk Refinery    RUSSIAN FEDERATION    CID000493    Conformant
Gold    PAMP S.A.    SWITZERLAND    CID001352    Conformant
Gold    Pease & Curren    UNITED STATES    CID002872    Not Enrolled
Gold    Penglai Penggang Gold Industry Co., Ltd.    CHINA    CID001362    Not Enrolled
Gold    Planta Recuperadora de Metales SpA    CHILE    CID002919    Conformant
Gold    Prioksky Plant of Non-Ferrous Metals    RUSSIAN FEDERATION    CID001386    Conformant
Gold    PT Aneka Tambang (Persero) Tbk    INDONESIA    CID001397    Conformant
Gold    PX Précinox S.A.    SWITZERLAND    CID001498    Conformant
Gold    QG Refining, LLC    UNITED STATES OF AMERICA    CID003324    Not Enrolled
Gold    Rand Refinery (Pty) Ltd.    SOUTH AFRICA    CID001512    Conformant
Gold    Refinery of Seemine Gold Co., Ltd.    CHINA    CID000522    Not Enrolled
Gold    Remondis Argentia B.V.    NETHERLANDS    CID002582    Conformant
Gold    Republic Metals Corporation    UNITED STATES    CID002510    Conformant
Gold    Royal Canadian Mint    CANADA    CID001534    Conformant
Gold    SAAMP    FRANCE    CID002761    Conformant
Gold    Sabin Metal Corp.    UNITED STATES    CID001546    Not Enrolled
Gold    Safimet S.p.A    Italy    CID002973    Conformant
Gold    SAFINA A.S.    CZECH REPUBLIC    CID002290    Not Enrolled
Gold    Sai Refinery    INDIA    CID002853    Not Enrolled


Metal    Standard Smelter Name    Smelter Facility Location    Smelter ID    RMI Audit Status
Gold    Samduck Precious Metals    KOREA, REPUBLIC OF    CID001555    Non-Conformant
Gold    SAMWON Metals Corp.    KOREA, REPUBLIC OF    CID001562    Not Enrolled
Gold    SAXONIA Edelmetalle GmbH    GERMANY    CID002777    Conformant
Gold    SEMPSA Joyería Platería S.A.    SPAIN    CID001585    Conformant
Gold    Shandong Tiancheng Biological Gold Industrial Co., Ltd.    CHINA    CID001619    Not Enrolled
Gold    Shandong Zhaojin Gold & Silver Refinery Co., Ltd.    CHINA    CID001622    Conformant
Gold    Shangdong Humon Smelting Co., Ltd.    CHINA    CID002525    Not Enrolled
Gold    Sichuan Tianze Precious Metals Co., Ltd.    CHINA    CID001736    Conformant
Gold    Singway Technology Co., Ltd.    TAIWAN    CID002516    Conformant
Gold    SOE Shyolkovsky Factory of Secondary Precious Metals    RUSSIAN FEDERATION    CID001756    Conformant
Gold    Solar Applied Materials Technology Corp.    TAIWAN    CID001761    Conformant
Gold    State Research Institute Center for Physical Sciences and Technology    LITHUANIA    CID003153    Not Enrolled
Gold    Sudan Gold Refinery    SUDAN    CID002567    Not Enrolled
Gold    Sumitomo Metal Mining Co., Ltd.    JAPAN    CID001798    Conformant
Gold    SungEel HiTech    KOREA, REPUBLIC OF    CID002918    Conformant
Gold    T.C.A S.p.A    ITALY    CID002580    Conformant
Gold    Tanaka Kikinzoku Kogyo K.K.    JAPAN    CID001875    Conformant
Gold    The Refinery of Shandong Gold Mining Co., Ltd.    CHINA    CID001916    Conformant
Gold    Tokuriki Honten Co., Ltd.    JAPAN    CID001938    Conformant
Gold    Tongling Nonferrous Metals Group Co., Ltd.    CHINA    CID001947    Not Enrolled
Gold    Tony Goetz NV    BELGIUM    CID002587    Non-Conformant
Gold    TOO Tau-Ken-Altyn    KAZAKHSTAN    CID002615    Not Enrolled
Gold    Torecom    KOREA, REPUBLIC OF    CID001955    Conformant
Gold    Umicore Brasil Ltda.    BRAZIL    CID001977    Conformant
Gold    Umicore Precious Metals Thailand    THAILAND    CID002314    Conformant
Gold    Umicore S.A. Business Unit Precious Metals Refining    BELGIUM    CID001980    Conformant
Gold    United Precious Metal Refining, Inc.    UNITED STATES    CID001993    Conformant
Gold    Universal Precious Metals Refining Zambia    ZAMBIA    CID002854    Not Enrolled
Gold    Valcambi S.A.    SWITZERLAND    CID002003    Conformant
Gold    Western Australian Mint trading as The Perth Mint    AUSTRALIA    CID002030    Conformant


Metal    Standard Smelter Name    Smelter Facility Location    Smelter ID    RMI Audit Status
Gold    WIELAND Edelmetalle GmbH    GERMANY    CID002778    Conformant
Gold    Yamamoto Precious Metal Co., Ltd.    JAPAN    CID002100    Conformant
Gold    Yokohama Metal Co., Ltd.    JAPAN    CID002129    Conformant
Gold    Yunnan Copper Industry Co., Ltd.    CHINA    CID000197    Not Enrolled
Gold    Zhongyuan Gold Smelter of Zhongjin Gold Corporation    CHINA    CID002224    Conformant
Tantalum    Asaka Riken Co., Ltd.    JAPAN    CID000092    Conformant
Tantalum    Changsha South Tantalum Niobium Co., Ltd.    CHINA    CID000211    Conformant
Tantalum    D Block Metals, LLC    UNITED STATES    CID002504    Conformant
Tantalum    Exotech Inc.    UNITED STATES    CID000456    Conformant
Tantalum    F&X Electro-Materials Ltd.    CHINA    CID000460    Conformant
Tantalum    FIR Metals & Resource Ltd.    CHINA    CID002505    Conformant
Tantalum    Global Advanced Metals Aizu    JAPAN    CID002558    Conformant
Tantalum    Global Advanced Metals Boyertown    UNITED STATES    CID002557    Conformant
Tantalum    Guangdong Rising Rare Metals-EO Materials Ltd.    CHINA    CID000291    Conformant
Tantalum    Guangdong Zhiyuan New Material Co., Ltd.    CHINA    CID000616    Conformant
Tantalum    H.C. Starck Co., Ltd.    THAILAND    CID002544    Conformant
Tantalum    H.C. Starck Hermsdorf GmbH    GERMANY    CID002547    Conformant
Tantalum    H.C. Starck Inc.    UNITED STATES    CID002548    Conformant
Tantalum    H.C. Starck Ltd.    JAPAN    CID002549    Conformant
Tantalum    H.C. Starck Smelting GmbH & Co. KG    GERMANY    CID002550    Conformant
Tantalum    H.C. Starck Tantalum and Niobium GmbH    GERMANY    CID002545    Conformant
Tantalum    Hengyang King Xing Lifeng New Materials Co., Ltd.    CHINA    CID002492    Conformant
Tantalum    Jiangxi Dinghai Tantalum & Niobium Co., Ltd.    CHINA    CID002512    Conformant
Tantalum    Jiangxi Tuohong New Raw Material    CHINA    CID002842    Conformant
Tantalum    Jiujiang Janny New Material Co., Ltd.    CHINA    CID003191    Conformant
Tantalum    JiuJiang JinXin Nonferrous Metals Co., Ltd.    CHINA    CID000914    Conformant
Tantalum    Jiujiang Tanbre Co., Ltd.    CHINA    CID000917    Conformant
Tantalum    Jiujiang Zhongao Tantalum & Niobium Co., Ltd.    CHINA    CID002506    Conformant
Tantalum    KEMET Blue Metals    MEXICO    CID002539    Conformant
Tantalum    KEMET Blue Powder    UNITED STATES    CID002568    Conformant
Tantalum    LSM Brasil S.A.    BRAZIL    CID001076    Conformant
Tantalum    Metallurgical Products India Pvt., Ltd.    INDIA    CID001163    Conformant


Metal    Standard Smelter Name    Smelter Facility Location    Smelter ID    RMI Audit Status
Tantalum    Mineracao Taboca S.A.    BRAZIL    CID001175    Conformant
Tantalum    Mitsui Mining and Smelting Co., Ltd.    JAPAN    CID001192    Conformant
Tantalum    Ningxia Orient Tantalum Industry Co., Ltd.    CHINA    CID001277    Conformant
Tantalum    NPM Silmet AS    ESTONIA    CID001200    Conformant
Tantalum    Power Resources Ltd.    MACEDONIA    CID002847    Conformant
Tantalum    QuantumClean    UNITED STATES    CID001508    Conformant
Tantalum    Resind Industria e Comercio Ltda.    BRAZIL    CID002707    Conformant
Tantalum    RFH Tantalum Smeltry Co., Ltd.    CHINA    CID001522    Conformant
Tantalum    Solikamsk Magnesium Works OAO    RUSSIAN FEDERATION    CID001769    Conformant
Tantalum    Taki Chemicals    JAPAN    CID001869    Conformant
Tantalum    Telex Metals    UNITED STATES    CID001891    Conformant
Tantalum    Ulba Metallurgical Plant JSC    KAZAKHSTAN    CID001969    Conformant
Tantalum    XinXing HaoRong Electronic Material Co., Ltd.    CHINA    CID002508    Conformant
Tin    Alpha    UNITED STATES    CID000292    Conformant
Tin    An Vinh Joint Stock Mineral Processing Company    VIET NAM    CID002703    Not Enrolled
Tin    Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.    CHINA    CID000228    Conformant
Tin    Chifeng Dajingzi Tin Industry Co., Ltd.    CHINA    CID003190    Conformant
Tin    China Tin Group Co., Ltd.    CHINA    CID001070    Conformant
Tin    CV Ayi Jaya    INDONESIA    CID002570    Conformant
Tin    CV Dua Sekawan    INDONESIA    CID002592    Conformant
Tin    CV Gita Pesona    INDONESIA    CID000306    Conformant
Tin    CV Tiga Sekawan    INDONESIA    CID002593    Conformant
Tin    CV United Smelting    INDONESIA    CID000315    Conformant
Tin    CV Venus Inti Perkasa    INDONESIA    CID002455    Conformant
Tin    Dowa    JAPAN    CID000402    Conformant
Tin    Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company    VIET NAM    CID002572    Non-Conformant
Tin    EM Vinto    BOLIVIA    CID000438    Conformant
Tin    Estanho de Rondônia S.A.    BRAZIL    CID000448    Not Enrolled
Tin    Fenix Metals    POLAND    CID000468    Conformant
Tin    Gejiu Fengming Metallurgy Chemical Plant    CHINA    CID002848    Conformant
Tin    Gejiu Kai Meng Industry and Trade LLC    CHINA    CID000942    Conformant


Metal    Standard Smelter Name    Smelter Facility Location    Smelter ID    RMI Audit Status
Tin    Gejiu Non-Ferrous Metal Processing Co., Ltd.    CHINA    CID000538    Conformant
Tin    Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.    CHINA    CID001908    Conformant
Tin    Gejiu Zili Mining And Metallurgy Co., Ltd.    CHINA    CID000555    Conformant
Tin    Guangdong Hanhe Non-ferrous Metal Limited Company    CHINA    CID003116    Conformant
Tin    Guanyang Guida Nonferrous Metal Smelting Plant    CHINA    CID002849    Conformant
Tin    HuiChang Hill Tin Industry Co., Ltd.    CHINA    CID002844    Non-Conformant
Tin    Huichang Jinshunda Tin Co., Ltd.    CHINA    CID000760    Conformant
Tin    Jiangxi New Nanshan Technology Ltd.    CHINA    CID001231    Conformant
Tin    Magnu’s Minerais Metais e Ligas Ltda.    BRAZIL    CID002468    Conformant
Tin    Malaysia Smelting Corporation (MSC)    MALAYSIA    CID001105    Conformant
Tin    Melt Metais e Ligas S.A.    BRAZIL    CID002500    Conformant
Tin    Metallic Resources, Inc.    UNITED STATES    CID001142    Conformant
Tin    Metallo Belgium N.V.    BELGIUM    CID002773    Conformant
Tin    Metallo Spain S.L.U.    SPAIN    CID002774    Conformant
Tin    Mineracao Taboca S.A.    BRAZIL    CID001173    Conformant
Tin    Minsur    PERU    CID001182    Conformant
Tin    Mitsubishi Materials Corporation    JAPAN    CID001191    Conformant
Tin    Modeltech Sdn Bhd    MALAYSIA    CID002858    Conformant
Tin    Nghe Tinh Non-Ferrous Metals Joint Stock Company    VIET NAM    CID002573    Not Enrolled
Tin    O.M. Manufacturing (Thailand) Co., Ltd.    THAILAND    CID001314    Conformant
Tin    O.M. Manufacturing Philippines, Inc.    PHILIPPINES    CID002517    Conformant
Tin    Operaciones Metalurgical S.A.    BOLIVIA    CID001337    Conformant
Tin    Pongpipat Company Limited    MYANMAR    CID003208    Not Enrolled
Tin    PT Aries Kencana Sejahtera    INDONESIA    CID000309    Conformant
Tin    PT Artha Cipta Langgeng    INDONESIA    CID001399    Conformant
Tin    PT ATD Makmur Mandiri Jaya    INDONESIA    CID002503    Conformant
Tin    PT Babel Inti Perkasa    INDONESIA    CID001402    Conformant
Tin    PT Babel Surya Alam Lestari    INDONESIA    CID001406    Conformant
Tin    PT Bangka Prima Tin    INDONESIA    CID002776    Conformant
Tin    PT Bangka Serumpun    INDONESIA    CID003205    Conformant
Tin    PT Bangka Tin Industry    INDONESIA    CID001419    Conformant
Tin    PT Belitung Industri Sejahtera    INDONESIA    CID001421    Conformant


Metal    Standard Smelter Name    Smelter Facility Location    Smelter ID    RMI Audit Status
Tin    PT Bukit Timah    INDONESIA    CID001428    Conformant
Tin    PT DS Jaya Abadi    INDONESIA    CID001434    Conformant
Tin    PT Inti Stania Prima    INDONESIA    CID002530    Conformant
Tin    PT Karimun Mining    INDONESIA    CID001448    Conformant
Tin    PT Kijang Jaya Mandiri    INDONESIA    CID002829    Conformant
Tin    PT Menara Cipta Mulia    INDONESIA    CID002835    Conformant
Tin    PT Mitra Stania Prima    INDONESIA    CID001453    Conformant
Tin    PT Panca Mega Persada    INDONESIA    CID001457    Conformant
Tin    PT Premium Tin Indonesia    INDONESIA    CID000313    Conformant
Tin    PT Prima Timah Utama    INDONESIA    CID001458    Conformant
Tin    PT Refined Bangka Tin    INDONESIA    CID001460    Conformant
Tin    PT Sariwiguna Binasentosa    INDONESIA    CID001463    Conformant
Tin    PT Stanindo Inti Perkasa    INDONESIA    CID001468    Conformant
Tin    PT Sukses Inti Makmur    INDONESIA    CID002816    Conformant
Tin    PT Sumber Jaya Indah    INDONESIA    CID001471    Conformant
Tin    PT Timah (Persero) Tbk Kundur    INDONESIA    CID001477    Conformant
Tin    PT Timah (Persero) Tbk Mentok    INDONESIA    CID001482    Conformant
Tin    PT Tinindo Inter Nusa    INDONESIA    CID001490    Conformant
Tin    PT Tirus Putra Mandiri    INDONESIA    CID002478    Conformant
Tin    PT Tommy Utama    INDONESIA    CID001493    Conformant
Tin    Resind Industria e Comercio Ltda.    BRAZIL    CID002706    Conformant
Tin    Rui Da Hung    TAIWAN    CID001539    Conformant
Tin    Soft Metais Ltda.    BRAZIL    CID001758    Conformant
Tin    Super Ligas    Brazil    CID002756    Not Enrolled
Tin    Thaisarco    THAILAND    CID001898    Conformant
Tin    Tin Technology & Refining    UNITED STATES OF AMERICA    CID003325    Conformant
Tin    Tuyen Quang Non-Ferrous Metals Joint Stock Company    VIET NAM    CID002574    Not Enrolled
Tin    White Solder Metalurgia e Mineração Ltda.    BRAZIL    CID002036    Conformant
Tin    Yunnan Chengfeng Non-ferrous Metals Co., Ltd.    CHINA    CID002158    Conformant
Tin    Yunnan Tin Company Limited    CHINA    CID002180    Conformant
Tungsten    A.L.M.T. TUNGSTEN Corp.    JAPAN    CID000004    Conformant
Tungsten    ACL Metais Eireli    BRAZIL    CID002833    Conformant


Metal    Standard Smelter Name    Smelter Facility Location    Smelter ID    RMI Audit Status
Tungsten    Asia Tungsten Products Vietnam Ltd.    VIET NAM    CID002502    Conformant
Tungsten    Chenzhou Diamond Tungsten Products Co., Ltd.    CHINA    CID002513    Conformant
Tungsten    Chongyi Zhangyuan Tungsten Co., Ltd.    CHINA    CID000258    Conformant
Tungsten    Fujian Jinxin Tungsten Co., Ltd.    CHINA    CID000499    Conformant
Tungsten    Ganzhou Haichuang Tungsten Co., Ltd.    CHINA    CID002645    Conformant
Tungsten    Ganzhou Huaxing Tungsten Products Co., Ltd.    CHINA    CID000875    Conformant
Tungsten    Ganzhou Jiangwu Ferrotungsten Co., Ltd.    CHINA    CID002315    Conformant
Tungsten    Ganzhou Seadragon W & Mo Co., Ltd.    CHINA    CID002494    Conformant
Tungsten    Ganzhou Yatai Tungsten Co., Ltd.    CHINA    CID002536    Non-Conformant
Tungsten    Global Tungsten & Powders Corp.    UNITED STATES    CID000568    Conformant
Tungsten    Guangdong Xianglu Tungsten Co., Ltd.    CHINA    CID000218    Conformant
Tungsten    H.C. Starck Smelting GmbH & Co.KG    GERMANY    CID002542    Conformant
Tungsten    H.C. Starck Tungsten GmbH    GERMANY    CID002541    Conformant
Tungsten    Hunan Chenzhou Mining Co., Ltd.    CHINA    CID000766    Conformant
Tungsten    Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji    CHINA    CID002579    Conformant
Tungsten    Hunan Chunchang Nonferrous Metals Co., Ltd.    CHINA    CID000769    Conformant
Tungsten    Hunan Litian Tungsten Industry Co., Ltd.    CHINA    CID003182    Active
Tungsten    Hydrometallurg, JSC    RUSSIAN FEDERATION    CID002649    Conformant
Tungsten    Japan New Metals Co., Ltd.    JAPAN    CID000825    Conformant
Tungsten    Jiangwu H.C. Starck Tungsten Products Co., Ltd.    CHINA    CID002551    Conformant
Tungsten    Jiangxi Dayu Longxintai Tungsten Co., Ltd.    CHINA    CID002647    Not Enrolled
Tungsten    Jiangxi Gan Bei Tungsten Co., Ltd.    CHINA    CID002321    Conformant
Tungsten    Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.    CHINA    CID002313    Not Enrolled
Tungsten    Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.    CHINA    CID002318    Conformant
Tungsten    Jiangxi Xinsheng Tungsten Industry Co., Ltd.    CHINA    CID002317    Conformant
Tungsten    Jiangxi Yaosheng Tungsten Co., Ltd.    CHINA    CID002316    Conformant
Tungsten    Kennametal Fallon    UNITED STATES    CID000966    Conformant
Tungsten    Kennametal Huntsville    UNITED STATES    CID000105    Conformant
Tungsten    Malipo Haiyu Tungsten Co., Ltd.    CHINA    CID002319    Conformant
Tungsten    Moliren Ltd    RUSSIAN FEDERATION    CID002845    Conformant
Tungsten    Niagara Refining LLC    UNITED STATES    CID002589    Conformant


Metal    Standard Smelter Name    Smelter Facility Location    Smelter ID    RMI Audit Status
Tungsten    Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC    VIET NAM    CID002543    Conformant
Tungsten    Philippine Chuangxin Industrial Co., Inc.    PHILIPPINES    CID002827    Conformant
Tungsten    South-East Nonferrous Metal Company Limited of Hengyang City    CHINA    CID002815    Conformant
Tungsten    Tejing (Vietnam) Tungsten Co., Ltd.    VIET NAM    CID001889    Conformant
Tungsten    Unecha Refractory metals plant    RUSSIAN FEDERATION    CID002724    Conformant
Tungsten    Wolfram Bergbau und Hütten AG    AUSTRIA    CID002044    Conformant
Tungsten    Woltech Korea Co., Ltd.    KOREA, REPUBLIC OF    CID002843    Conformant
Tungsten    Xiamen Tungsten (H.C.) Co., Ltd.    CHINA    CID002320    Conformant
Tungsten    Xiamen Tungsten Co., Ltd.    CHINA    CID002082    Conformant
Tungsten    Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.    CHINA    CID002830    Conformant
Tungsten    Xinhai Rendan Shaoguan Tungsten Co., Ltd.    CHINA    CID002095    Conformant