UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM SD
SPECIALIZED DISCLOSURE REPORT
Entegris, Inc.
(Exact name of the registrant as specified in its charter)
| Delaware | 001-32598 | |||||||
| (State or other jurisdiction of | (Commission | |||||||
| incorporation or organization) | File Number) | |||||||
| 129 Concord Road | ||||||||
| Billerica, Massachusetts | 01821 | |||||||
| (Address of principal executive offices) | (Zip Code) | |||||||
Joseph Colella
Senior Vice President, General Counsel and Secretary
(978) 436-6500
(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, 2022 to December 31, 2022.
☐ Rule 13q-1 under the Securities Exchange Act (17 CFR 240.13q-1) for the fiscal year ended .
Section 1 - Conflict Minerals Disclosure
Item 1.01 Conflict Minerals Disclosure and Report
Conflict Minerals Disclosure
This Form SD of Entegris, Inc. (the “Company”) is filed pursuant to Rule 13p-1 promulgated under the Securities Exchange Act of 1934, as amended, for the reporting period January 1, 2022 to December 31, 2022.
A copy of the Conflict Minerals Report is provided as Exhibit 1.01 and is publicly available at https://www.entegris.com/content/dam/web/about-us/corporate-overview/documents/report-conflict-minerals.pdf. The content on any web site referred to in this Form SD is not incorporated by reference into this Form SD unless expressly noted.
Item 1.02 Exhibit
The Conflict Minerals Report required by Item 1.01 is filed as Exhibit 1.01 to this Form SD.
Section 2 - Resource Extraction Issuer Disclosure
Item 2.01 Resource Extraction Issuer Disclosure and Report
Not applicable.
Section 3 - Exhibits
Item 3.01 Exhibits
The following exhibit is filed as part of this report.
| Exhibit No. | Description | ||||
| 1.01 | |||||
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the duly authorized undersigned.
| ENTEGRIS, INC. | |||||
| Dated: May 17, 2023 | |||||
| By: /s/ Joseph Colella | |||||
| Name: Joseph Colella | |||||
| Title: Senior Vice President, General Counsel and Secretary | |||||
Exhibit 1.01
Entegris, Inc.
Conflict Minerals Report
For the reporting period from January 1, 2022 to December 31, 2022
1.Introduction
This Conflict Minerals Report (this “Report”) of Entegris, Inc. (herein referred to as the “Company”, “we”, “us”, or “our”) has been prepared pursuant to Rule 13p-1 and Form SD (the “Rule”) promulgated under the Securities Exchange Act of 1934, as amended (the “Exchange Act”), for the reporting period from January 1, 2022, to December 31, 2022.
The Rule was adopted by the Securities and Exchange Commission (the “SEC”) to implement reporting and disclosure requirements related to conflict minerals as directed by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010.
The Rule requires disclosure of certain information when a company manufactures or contracts to manufacture products and the minerals specified in the Rule are necessary to the functionality or production of those products. “Conflict Minerals” are defined as cassiterite, columbite-tantalite (coltan), wolframite, gold and their derivatives, which are limited to tin, tantalum, tungsten, and gold (“3TG”). These requirements apply to registrants whatever the geographic origin of the Conflict Minerals and whether or not they fund armed conflict. The “Covered Countries” for the purposes of the Rule and this Report are the Democratic Republic of the Congo, the Republic of the Congo, the Central African Republic, South Sudan, Uganda, Rwanda, Burundi, Tanzania, Zambia and Angola.
If any 3TGs are necessary to the functionality or production of a product manufactured by the registrant or contracted by the registrant to be manufactured and are required to be reported in the calendar year covered by the Specialized Disclosure Report on Form SD (the “Form SD”), the registrant must conduct in good faith a reasonable country of origin inquiry (“RCOI”) regarding those 3TGs that is reasonably designed to determine whether any of the 3TGs originated in the Covered Countries or are from recycled or scrap sources.
Based on its RCOI, if the registrant knows that any of its necessary 3TGs originated in the Covered Countries and are not from recycled or scrap sources, or has reason to believe that its necessary 3TGs may have originated in the Covered Countries and has reason to believe that they may not be from recycled or scrap sources, the registrant must exercise due diligence on the source and chain of custody of its 3TGs that conforms to a nationally or internationally recognized due diligence framework. If, as a result of that due diligence, the registrant is unable to determine that its 3TGs did not originate in the Covered Countries or the registrant determines that its 3TGs did come from recycled or scrap sources, the registrant must annually file a Report as an exhibit to its Form SD that includes a description of its due diligence measures on the source and chain of custody of those 3TGs.
This Report has not been audited.
Certain information contained in this Report may constitute forward-looking statements. These forward-looking statements are based on current management expectations only as of the date of the Form SD to which this Report is an Exhibit and involve substantial risks and uncertainties that could cause actual results to differ materially from the results expressed in, or implied by, these forward-looking statements. Statements that include such words as “anticipate,” “believe,” “estimate,” “expect,” “forecast,” “may,” “will,” “should” or the negative thereof and similar expressions as they relate to the Company, or its management are intended to identify such forward-looking statements. These statements are not a guarantee of future performance and involve risks, uncertainties and assumptions that are difficult to predict. These risks include but are not limited to, our ability to successfully implement the steps indicated in the “Additional Risk Mitigation Steps” section of this Report, our ability to implement such steps in the anticipated timeframe, and other factors. Except as required under the federal securities laws and the rules and regulations of the SEC, we undertake no obligation to update publicly any forward-looking statements contained herein.
1.1.Company Overview
The Company is a leading supplier of advanced materials and process solutions for the semiconductor and other high-technology industries. Its mission is to help its customers maximize manufacturing yields, reduce manufacturing costs and enable higher device performance by leveraging its unique breadth of capabilities to
provide mission-critical enhanced materials and process solutions for the most advanced manufacturing environments.
Semiconductors, or integrated circuits, are key components in electronic devices that have changed, and that the Company believes will continue to change, the way we live, communicate and work. Products and emerging applications such as smartphones, 5G wireless technology, cloud computing, the Internet of Things, machine learning, artificial intelligence, high performance computing, smart transportation, smart healthcare, gaming and virtual reality will require faster, more powerful and more energy efficient semiconductors. The Company believes these new trends, combined with existing applications, will drive long-term secular growth for semiconductors.
To meet the requirements for improved chip performance and density, semiconductor manufacturing processes have rapidly become increasingly complex by moving to smaller geometries and adopting new device architectures. These complex processes are enabled by new and innovative materials; and higher materials purity, quality and stability are critical to improving and maximizing yields. The Company believes it offers the industry’s most comprehensive electronic materials portfolio, operating squarely at the crossroads of material science and materials purity. These two core capabilities are quickly becoming critical enablers of the Company's customers’ technology roadmaps. These trends are expected to translate to a higher served addressable market and expanding the Company content per wafer and, by extension, growth above the market for the Company.
The Company’s business is organized and operated in four operating segments, which align with the key elements of the advanced semiconductor manufacturing ecosystem.
•The Specialty Chemicals and Engineered Materials, or SCEM, segment provides high-performance and high-purity process chemistries, gases and materials, and safe and efficient delivery systems to support semiconductor and other advanced manufacturing processes.
•The Advanced Planarization Solutions segment, or APS, provides complementary chemical mechanical planarization solutions, advanced materials and high-purity wet chemicals; including chemical mechanical planarization (“CMP”) slurries, pads, formulated cleans and other electronic chemicals.
•The Microcontamination Control, or MC, segment offers solutions to filter and purify critical liquid and gaseous chemistries used in semiconductor manufacturing processes and other high-technology industries.
•The Advanced Materials Handling, or AMH, segment develops solutions to monitor, protect, transport, and deliver critical liquid chemistries, wafers, and other substrates for a broad set of applications in the semiconductor industry, life sciences and other high-technology industries.
These segments share common business systems and processes, technology centers and strategic and technology roadmaps. With the complementary capabilities across these segments, the Company believes it is uniquely positioned to create new, co-optimized and increasingly integrated solutions for the Company’s customers. For example, after the acquisition of CMC Materials, Inc., the Company now offers an end-to-end offering for its customers consisting of advanced deposition materials from our SCEM segment, CMP slurries, pads and post-CMP cleaning chemistries from our APS segment, CMP slurry filters from our MC segment, and CMP slurry high-purity packaging and fluid monitoring systems from our AMH segment.
3TGs are used in the Company’s business units which utilize the following components: solid deposition chemistries, sensors, monitors, valves, control modules, displays, pressure transducers, flow controllers, printed circuit boards, printed wire boards, and cables. Tin (primarily in tin-based solder) and gold (in electronic components) are the predominant materials in use, while tantalum is reported on a minimal level, and tungsten is mainly found in tungsten impregnated graphite and a few specialty chemicals.
In February 2014, the Company adopted a policy relating to Conflict Minerals (the “Conflict Minerals Policy”). This Conflicts Mineral Policy incorporates the standards set forth in the Organization for Economic Cooperation and Development (“OECD”) Due Diligence Guidance for Responsible Supply Chains of Materials from Conflict-Affected and High-Risk Areas, third edition (the “OECD Guidance”). Our Conflict Minerals Policy can be found on our Corporate Social Responsibility website at https://www.entegris.com/en/home/about-us/corporate-social-responsibility/policies.html.
1.2.Supply Chain
As a developer, manufacturer and supplier of products and materials to semiconductor and other high-technology industries, the Company is several levels removed from the mining and refining of 3TGs.
The Company does not make purchases of raw ore or unrefined 3TGs and makes no direct purchases in the Covered Countries. As a result, we rely on our suppliers to provide information on the origin of 3TGs that may be contained in components and materials supplied to us.
While negotiating new supply agreements or renewals of existing supply agreements, members of our procurement organization provide the requirements of the Rule and Conflict Minerals Disclosure process to suppliers to increase awareness and educate our suppliers on the Rule’s requirement for cooperation and reporting from sub-suppliers.
We are committed to compliance with the Rule and working toward avoiding the use of 3TGs that directly or indirectly finance or benefit armed groups in the Covered Countries. If we become aware of a supplier whose supply chain includes minerals that are not conflict free, we will take appropriates steps to address the situation in a timely manner, including reassessment of the supplier relationship. We expect our suppliers to take similar measures with their sub-suppliers.
2.Reasonable Country of Origin Inquiry Program
The Company conducted a RCOI regarding the 3TGs in materials, components and finished goods supplied to the Company. With the assistance of our third-party compliance partner Assent Inc. (“Assent”), we contacted all of our suppliers with an automated email describing the compliance requirements and requesting supply chain information be submitted pursuant to version 6.2 or higher of the Responsible Minerals Initiative Conflict Minerals Reporting Template (“CMRT”). Additionally, if a response was not received from the initial contact, follow-up emails were sent to suppliers offering assistance and further information about the requirements of the Rule and its requirements. If, after these outreach efforts, a supplier still did not respond to the survey, the Company’s relevant supplier relationship managers were instructed to contact those suppliers directly for a response. As of May 16, 2023, the Company had an overall response rate from surveyed suppliers of approximately 90.25%.
The Company utilized a software platform which validated the information submitted on CMRTs. The goal of data validation is to increase the accuracy of submissions and identify any contradictory answers in the CMRT. All submitted forms are accepted and classified as valid or invalid so that, in either event, data is retained. Suppliers were contacted regarding invalid forms and were encouraged to resubmit a valid form. As of May 16, 2023, we had 11 invalid supplier submissions that were not yet corrected.
Assent compared the list of smelters and refiners provided in our suppliers’ responses to the lists of smelters maintained by the RMI and, if a supplier indicated that a facility was certified as conflict-free, confirmed that the facility was listed on RMI’s list of validated conflict free smelters and refiners of 3TGs. Our suppliers identified a total of 344 smelters and refiners that appear on the lists maintained by RMI. Of these, 222 are validated as conflict free by RMI or a cross-recognized initiative, and, based on information provided by RMI, a further 8 have agreed to undergo or are currently undergoing a third-party audit. Most of the CMRTs we received were made on a company or division level basis which did not allow us to identify which smelters or refiners listed by our suppliers processed the 3TGs contained in our products.
2.1.Reasonable Country of Origin Inquiry Results
Based on the responses to our RCOI, the Company is unable to determine that 3TGs necessary to the functionality or production of our products did not originate in the Covered Countries or were not exclusively from recycled or scrap sources. Accordingly, the Company undertook the measures described below to assess the due diligence practices of the smelters and refiners listed on its unique smelter list that were known or reasonably believed to have sourced from the DRC or that had unknown sourcing.
3.Due Diligence
We established a Conflict Minerals compliance program that is designed to conform, in all material respects, to the framework in the OECD Guidance and the related supplements for gold, tin, tantalum and tungsten. The Guidance identifies five steps for due diligence that should be implemented and provides guidance as to how to achieve each step. We developed our due diligence process to address each of these five steps, namely:
1)Establishing strong company management systems regarding Conflict Minerals;
2)Identifying and assessing risks in our supply chain;
3)Designing and implementing a strategy to respond to identified risks in our supply chain;
4)Utilizing independent third-party audits of supply chain diligence; and
5)Publicly reporting on our supply chain due diligence.
We are a downstream supplier, many steps removed from the mining of 3TGs. Many suppliers, through multiple tiers of distribution, supply the components and materials integrated into our products. Furthermore, the Company does not purchase raw ore or unrefined Conflict Minerals or make purchases from the Covered Countries. The origin of the Conflict Minerals cannot be determined with any certainty once the raw ores are smelted, refined and converted to ingots, bullion or other Conflict Mineral containing derivatives. The smelters and refiners consolidate raw ore and represent the best actors in the total supply chain to possess knowledge of the origin of the ores they procure.
The OECD Guidance specifies that the requirements for compliance should reflect a company’s position in the supply chain. The OECD Guidance states that the implementation of due diligence should be tailored to a company’s activities and relationships and that the nature and extent of due diligence may vary based on a company’s size, products, relationships with suppliers and other factors. Due to practical difficulties associated with supply chain complexities, the OECD Guidance advises that downstream companies exercise due diligence primarily by establishing controls over their immediate suppliers. Accordingly, we rely primarily on our “tier 1” (direct) suppliers to provide information with respect to the origin of the Conflict Minerals contained in the components and materials supplied to us.
3.1.Establish Strong Company Management System
3.1.1. Management System Team
The Company has established a management system with respect to the Rule and the obligations thereof. Our management system includes a cross-functional team, with representatives from Environmental, Health and Safety (“EHS”), Procurement, Product Stewardship, Legal and Internal Audit departments. The Product Stewardship team is responsible for implementing our Conflict Minerals compliance strategy and is led by the Vice President of EHS. Senior management is briefed about the results of the Product Stewardship team’s progress and due diligence efforts on a regular basis.
The Company also uses Assent to assist us with evaluating supply chain information regarding 3TGs, identifying potential risks, and in the development and implementation of additional due diligence steps that we will undertake with suppliers regarding Conflict Minerals.
3.1.2.Conflict Mineral Policy
As described above, in February 2014, the Company adopted the Conflict Minerals Policy incorporating the standards set forth in the then-current version of the OECD Guidance. Our Conflict Minerals Policy can be found on our Corporate Social Responsibility website at https://www.entegris.com/en/home/about-us/corporate-social-responsibility/policies.html.
3.1.3.Control Systems
Internal controls include our on-going initiative of integrating Conflict Minerals related provisions in our supply agreements that require disclosure of 3TGs and Conflict Minerals. In addition, through membership with industry associations like National Association of Environmental Managers (“NAEM”), Semiconductor Equipment and Materials International (“SEMI”) and Responsible Business Alliance (“RBA”), the Company actively monitors best practices used by other manufacturers in the semiconductor and high technology sectors and participates in industry-wide initiatives to control the use of Conflict Minerals. While a portion of our direct suppliers are also Exchange Act registered companies which are subject to and knowledgeable about the Rule, we also have many other suppliers and distributors that are not registered companies that require additional training to understand the requirements of the Rule. In 2022, the Company continued the engagement with Assent to further implement Conflict Mineral surveys, outreach, and tracking best practices.
3.1.4.Supplier Engagement
In accordance with the OECD requirement to strengthen engagement with suppliers, we have made reasonable inquiries to direct suppliers to obtain 3TG data, provided them with requirements of our Conflict Minerals Policy and informed them as to where they may find additional information on the requirements relating to
Conflict Minerals disclosure. The Company has provided education and training relating to the Rule and to Conflict Minerals to all in-scope suppliers by providing such suppliers with access to Assent’s Learning Management System training course. This training is tracked and evaluated based on completion. All suppliers are encouraged to complete all modules within this course. Additionally, as identified earlier, our procurement organization continues to integrate Conflict Minerals related requirements language into new supply agreements or renewals of existing supply agreements during negotiations. Accordingly, we are continuing our attempts to identify risks before entering into such agreements, so that steps can be taken to confirm suppliers have implemented processes to identify the origin of 3TGs.
3.1.5.Maintain Records
As part of our EHS Management System, we have developed a record retention requirement for information relating to the management of our Conflict Minerals compliance process. All relevant records will be retained for a period of 5 years.
3.1.6.Grievance Mechanism
Our Business Code of Conduct, which is available on our website at https://www.entegris.com/en/home/about-us/corporate-social-responsibility/policies.html provides details about our grievance mechanisms, such as the details of our dedicated mailbox and hotline, whereby violations of our policies, including our Conflict Minerals Policy, may be reported. Entegris has notified its suppliers of its confidential grievance reporting process, so that suppliers may provide information regarding Conflict Minerals compliance issues.
3.2.Identify and Assess Risk in the Supply Chain
Because of our size, the complexity of our products, and the depth, breadth, and constant evolution of our supply chain, it is difficult for us to identify actors upstream from our direct suppliers. We have determined that seeking information about 3TG smelters and refiners in our supply chain represents the most reasonable effort we can make to determine the mines or locations of origin of the 3TGs in our supply chain. This was done by adopting methodology outlined by the RMI’s joint industry programs and outreach initiatives and requiring our suppliers to conform with the same standards to meet the OECD Guidelines, and report to us using the CMRT. Through this industry joint effort, we made a reasonable determination of the mines or locations of origin of the 3TGs in our supply chain. We also requested that all our suppliers support the initiative by following the sourcing initiative and working to align their declared sources with the lists of sourced metals certified by third party sources as “Known” and “Conflict Free”.
We have identified 2197 direct suppliers. We rely on suppliers whose materials or components contain 3TGs to provide us with information about the source of 3TGs contained in those materials or components. Our direct suppliers similarly rely upon information provided by their suppliers. Many of the largest suppliers either are Exchange Act registrants and subject to the Rule or are suppliers to other Exchange Act registrants that are subject to the Rule.
In accordance with OECD Guidelines, it is important to identify and assess risks associated with Conflict Minerals in the supply chain. Risks were identified by assessing the due diligence practices of smelters and refiners identified in the supply chain by upstream suppliers that listed mineral processing facilities on their CMRT declarations. Assent compared these facilities listed in the responses to the list of smelters and refiners maintained by the RMI to ensure that the facilities met the RMI definition of a 3TG processing facility that was operational during the 2022 calendar year.
To assess the risk that any of these smelters posed to our supply chain, Assent determined if the smelter had been audited against a standard in conformance with the OECD Guidance, such as the Responsible Minerals Assurance Process (“RMAP”). We do not typically have a direct relationship with 3TG smelters and refiners and do not perform or direct audits of these entities within our supply chain. Smelters that have completed an RMAP audit are considered to be DRC-Conflict Free. In cases where the smelter’s due diligence practices have not been audited against the RMAP standard, a potential supply chain risk exists.
As of May 16, 2023, we have validated 344 smelters or refiners and are working to validate the additional smelter/refinery entries from the submitted CMRTs. Due to the provision of primarily supplier-level CMRTs, we cannot definitely determine their connection to the Covered Products.
Each facility that meets the RMI definition of a smelter or refiner of a 3TG mineral is assessed according to red flag indicators defined in the OECD Guidance. Five factors are used to determine the level of risk that each smelter poses to the supply chain:
1)Geographic proximity to the DRC and covered countries;
2)Known mineral source country of origin;
3)Responsible Minerals Assurance Process (RMAP) audit status;
4)Credible evidence of unethical or conflict sourcing; and
5)Peer Assessments conducted by credible third-party sources.
Based on these criteria the following facilities have been identified with red-flag risks in their supply chain:
•Tony Goetz NV - CID002587
•African Gold Refinery Limited (AGR) - CID003185
•Kaloti Precious Metals - CID002563
•Sudan Gold Refinery - CID002567
•Fidelity Printers – CID002515
•JSC Novosibirsk Refinery – CID000493
•JSC Ekaterinburg Non-Ferrous Metal Processing Plant – CID000927
•JSC Uralelectromed – CID000929
•Moscow Special Alloys Processing Plant – CID001204
•Novosibirsk Tin Combine – CID001305
•OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) – CID000493
•Prioksky Plant of Non-Ferrous Metals – CID000493
•SOE Shyolkovsky Factory of Secondary Precious Metals – CID000493
•Solikamsk Magnesium Works OAO – CID000493
•Hydrometallurg, JSC – CID000493
•Unecha Refractory metals plant – CID000493
•Moliren Ltd. – CID000493
•Kyshtym Copper-Electrolytic Plant ZAO – CID000493
•JSC "Kirovgrad Hard Alloys Plant" – CID000493
•NPP Tyazhmetprom LLC – CID000493
•Artek LLC – CID000493
•OOO “Technolom” 2 – CID000493
•OOO “Technolom” 1 – CID000493
•LLC Vostok – CID000493
As part of our risk management plan under the OECD Guidance, when these facilities were reported on a CMRT by one of the suppliers surveyed, risk mitigation activities are initiated. Through our Assent Compliance process, submissions that include any of the above facilities immediately produce a response instructing the supplier to take their own risk mitigation actions, including submission of a product specific CMRT to better identify the connection to products that they supply to the Company and action to remove these red flag smelters from their supply chain.
As per the OECD Guidance, risk mitigation will depend on the supplier’s specific context. Suppliers are given clear performance objectives within reasonable timeframes with the goal of progressive elimination of these red flags from the supply chain.
Suppliers are also evaluated on their Conflict Minerals program strength (further assisting in identifying risk in the supply chain). Evaluating and tracking the strength of such Conflict Minerals program can assist in making key risk mitigation decisions as the program progresses. The criteria used to evaluate the strength of the supplier’s Conflict Minerals program are:
•Does the supplier have a Conflict Minerals policy in place that prohibits the procurement of 3TGs from sources that directly or indirectly finance or benefit armed groups in the Covered Countries?
•Has the supplier implemented due diligence measures to implement such policy?
•Does the supplier verify due diligence information received from its suppliers?
•Does the supplier’s verification process include corrective action management?
When suppliers meet or exceed those criteria (Yes to at least A, E, G, H on the CMRT 6.2), they are deemed to have a strong program. When suppliers do not meet those criteria, they are deemed to have a weak program.
3.3. Design and Implement a Strategy to Respond to Identified Risks
As per the OECD Guidance, risk mitigation will depend on the supplier’s specific role in the supply chain. When a high-risk smelting facility is reported on a CMRT by a supplier surveyed, risk mitigation will include:
•Requesting the supplier to submit product specific CMRT to better identify the connection to products that they supply to the Company;
•Guiding suppliers to the Assent University learning platform to access educational materials on mitigating the risk of smelters or refiners on the supply chain; and
•If necessary, requesting all of our suppliers whom we have reason to believe are supplying us with 3TGs from sources that may directly or indirectly finance or benefit armed groups in the Covered Countries to establish an alternative source of 3TGs that does not support such conflict, as provided in the OECD guidance. To date, we have found no instances where it was necessary to terminate a contract or find a replacement material or supplier for issues relating to Conflict Minerals.
3.4. Third-Party Audit of Supply Chain Due Diligence
As a downstream purchaser of 3TGs, our due diligence process is based on the necessity of relying on data obtained from our direct suppliers. We also rely on information collected and provided by other external audit programs. As such, we have not conducted third-party audits of any smelters or refiners.
Assent also directly contacts smelters and refiners that are not currently enrolled in the RMAP to encourage their participation and gather information regarding each facilities’ sourcing practices on behalf of its compliance partners. The Company is a signatory of this communication in accordance with the requirements of downstream companies detailed in the OECD Guidance.
3.5 Report on Supply Chain Due Diligence
This Conflict Minerals Report is on file with the SEC and is publicly available on our web site at
https://www.entegris.com/en/home/about-us/corporate-social-responsibility/policies.html
4.Due Diligence Results
Attached as Appendix A is a list of all the smelters and refiners listed by our suppliers in their completed CMRTs that appear on the lists of smelters maintained by the RMI. Since many of the CMRTs we received from our suppliers were made on a company or division level basis, rather than on a product-level basis, we are not able to identify which smelters or refiners listed on Appendix A processed the 3TGs contained in our products. Therefore, our list of processing smelters and refiners disclosed in Appendix A may contain more facilities than those that processed the Conflict Minerals contained in our products. The current efforts focus on gathering smelter information via the CMRT and, as the program progresses, requiring full completion of all necessary smelter identification information which will enable the validation and disclosure of the smelters as well as the tracing of 3TGs to their location of origin. Seeking information about 3TG smelters and refiners in our supply chain represents the most reasonable effort we can make to determine the mines or locations of origin of 3TGs in our supply chain.
Certain of the responses provided by suppliers to the CMRT did include the names of facilities listed by the suppliers as smelters or refiners. We do not typically have a direct relationship with 3TG smelters and refiners and do not perform or direct audits of these entities within our supply chain. Assent Inc., our third-party compliance partner, compared these facilities listed in the responses to the list of smelters maintained by the RMI and, if a supplier indicated that the facility was certified as “RMAP Conformant”, Assent confirmed that the facility was, in fact, listed as such by RMI.
As of May 16, 2023, we have validated 344 smelters or refiners and are working to validate the additional smelter and refinery entries from the submitted CMRTs. The table set forth on Appendix A to this CMR lists the valid smelters identified by suppliers we surveyed. Not all of these facilities have necessarily processed 3TGs contained in our products covered by this Conflict Minerals Report. This is because our suppliers generally provided information via the CMRT at the company or divisional level, and generally did not limit their CMRT responses to information relating to 3TGs in specific products supplied to us.
Based on the information provided by our suppliers in their CMRT’s, we are aware that there are 222 smelters that are certified “Conflict-Free”, and 8 smelters are active in the RMAP third-party audit process. Many suppliers are still unable to provide the smelters or refiners used for materials supplied to us. Furthermore, many
of the responses provided at the company or division level indicated an “unknown” status in terms of determining the origin of 3TGs.
Based on our due diligence, the products that we manufacture or contract to manufacture which contain 3TGs are classified as “DRC conflict undeterminable” in 2022 as information on sources remains incomplete at this time.
5.Additional Risk Mitigation Steps
In keeping with our commitment to continual improvement, our Product Stewardship Team performed a review of our internal program in the first quarter of 2022. Observations and recommendations have been summarized and integrated in the Conflict Minerals Action Plan for the remainder of the year.
The Company intends to take the following steps to improve the RCOI and due diligence conducted to further identify and mitigate the risk that our products contain Conflict Minerals from sources that support conflict in the Covered Countries:
•Further collaboration with our third-party compliance partner, Assent, to raise supplier survey response rates, as well as implement best practice supplier education and engagement initiatives.
•Increase the response rate from our suppliers to 95%.
•Engage, as needed, with suppliers and direct them to training resources to increase knowledge, increase response rates, and improve the reliability of responses.
•Continue to work with the company supply chain managers to increase their understanding of the program and the need for continuous improvement.
•If applicable, upon learning of a supplier found to be supplying 3TGs from sources that support conflict in the Covered Countries, establish an alternative source that does not support such conflict.
•Continue to monitor the OECD and relevant trade associations to incorporate best practices to improve our processes and leverage our supply chain in accordance with OECD Guidance.
•Investigate and act on recommendations from our internal review process.
Appendix A
| Metal | Standard Smelter Name | Smelter Facility Location | Smelter ID | RMI Audit Status | ||||||||||
| Tungsten | A.L.M.T. Corp. | Japan | CID000004 | Conformant | ||||||||||
| Gold | Advanced Chemical Company | United States Of America | CID000015 | Conformant | ||||||||||
| Gold | Aida Chemical Industries Co., Ltd. | Japan | CID000019 | Conformant | ||||||||||
| Gold | Agosi AG | Germany | CID000035 | Conformant | ||||||||||
| Gold | Almalyk Mining and Metallurgical Complex (AMMC) | Uzbekistan | CID000041 | Conformant | ||||||||||
| Gold | AngloGold Ashanti Corrego do Sitio Mineracao | Brazil | CID000058 | Conformant | ||||||||||
| Gold | Argor-Heraeus S.A. | Switzerland | CID000077 | Conformant | ||||||||||
| Gold | Asahi Pretec Corp. | Japan | CID000082 | Conformant | ||||||||||
| Gold | Asaka Riken Co., Ltd. | Japan | CID000090 | Conformant | ||||||||||
| Tungsten | Kennametal Huntsville | United States Of America | CID000105 | Conformant | ||||||||||
| Gold | Aurubis AG | Germany | CID000113 | Conformant | ||||||||||
| 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 | CCR Refinery - Glencore Canada Corporation | Canada | CID000185 | Conformant | ||||||||||
| Gold | Cendres + Metaux S.A. | Switzerland | CID000189 | Non Conformant | ||||||||||
| Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | China | CID000218 | Conformant | ||||||||||
| Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | China | CID000228 | Conformant | ||||||||||
| Gold | Chimet S.p.A. | Italy | CID000233 | Conformant | ||||||||||
| Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | China | CID000258 | Conformant | ||||||||||
| Gold | Chugai Mining | Japan | CID000264 | Conformant | ||||||||||
| Tin | Alpha | United States Of America | CID000292 | Conformant | ||||||||||
| Gold | DSC (Do Sung Corporation) | Korea, Republic Of | CID000359 | Conformant | ||||||||||
| Gold | Dowa | Japan | CID000401 | Conformant | ||||||||||
| Tin | Dowa | Japan | CID000402 | Conformant | ||||||||||
| Gold | Eco-System Recycling Co., Ltd. East Plant | Japan | CID000425 | Conformant | ||||||||||
| Tin | EM Vinto | Bolivia (Plurinational State Of) | CID000438 | Conformant | ||||||||||
| Tin | Estanho de Rondonia S.A. | Brazil | CID000448 | Conformant | ||||||||||
| Tantalum | F&X Electro-Materials Ltd. | China | CID000460 | Conformant | ||||||||||
| Tin | Fenix Metals | Poland | CID000468 | Conformant | ||||||||||
| Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. | China | CID000538 | Conformant | ||||||||||
| Tin | Gejiu Zili Mining And Metallurgy Co., Ltd. | China | CID000555 | Non Conformant | ||||||||||
| Tungsten | Global Tungsten & Powders LLC | United States Of America | CID000568 | Conformant | ||||||||||
| Tantalum | XIMEI RESOURCES (GUANGDONG) LIMITED | China | CID000616 | Conformant | ||||||||||
| Gold | LT Metal Ltd. | Korea, Republic Of | CID000689 | Conformant | ||||||||||
| Gold | Heimerle + Meule GmbH | Germany | CID000694 | Conformant | ||||||||||
| Gold | Heraeus Metals Hong Kong Ltd. | China | CID000707 | Conformant | ||||||||||
| Gold | Heraeus Germany GmbH Co. KG | Germany | CID000711 | Conformant | ||||||||||
| Tungsten | Hunan Jintai New Material Co., Ltd. | China | CID000769 | Non Conformant | ||||||||||
| Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | China | CID000801 | Conformant | ||||||||||
| Gold | Ishifuku Metal Industry Co., Ltd. | Japan | CID000807 | Conformant | ||||||||||
| Gold | Istanbul Gold Refinery | Turkey | CID000814 | Conformant | ||||||||||
| Gold | Japan Mint | Japan | CID000823 | Conformant | ||||||||||
| Tungsten | Japan New Metals Co., Ltd. | Japan | CID000825 | Conformant | ||||||||||
| Gold | Jiangxi Copper Co., Ltd. | China | CID000855 | Conformant | ||||||||||
| Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. | China | CID000875 | Conformant | ||||||||||
| Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | China | CID000914 | Conformant | ||||||||||
| Tantalum | Jiujiang Tanbre Co., Ltd. | China | CID000917 | Conformant | ||||||||||
| Gold | Asahi Refining USA Inc. | United States Of America | CID000920 | Conformant | ||||||||||
| Gold | Asahi Refining Canada Ltd. | Canada | CID000924 | Conformant | ||||||||||
| Gold | JX Nippon Mining & Metals Co., Ltd. | Japan | CID000937 | Conformant | ||||||||||
| Gold | Kazzinc | Kazakhstan | CID000957 | Conformant | ||||||||||
| Tungsten | Kennametal Fallon | United States Of America | CID000966 | Conformant | ||||||||||
| Gold | Kennecott Utah Copper LLC | United States Of America | CID000969 | Conformant | ||||||||||
| Gold | Kojima Chemicals Co., Ltd. | Japan | CID000981 | Conformant | ||||||||||
| Tin | China Tin Group Co., Ltd. | China | CID001070 | Conformant | ||||||||||
| Tantalum | AMG Brasil | Brazil | CID001076 | Conformant | ||||||||||
| Gold | LS-NIKKO Copper Inc. | Korea, Republic Of | CID001078 | Conformant | ||||||||||
| Tin | Malaysia Smelting Corporation (MSC) | Malaysia | CID001105 | Conformant | ||||||||||
| Gold | Materion | United States Of America | CID001113 | Conformant | ||||||||||
| Gold | Matsuda Sangyo Co., Ltd. | Japan | CID001119 | Conformant | ||||||||||
| Tin | Metallic Resources, Inc. | United States Of America | CID001142 | Conformant | ||||||||||
| Gold | Metalor Technologies (Suzhou) Ltd. | China | CID001147 | Conformant | ||||||||||
| Gold | Metalor Technologies (Hong Kong) Ltd. | China | CID001149 | Conformant | ||||||||||
| Gold | Metalor Technologies (Singapore) Pte., Ltd. | Singapore | CID001152 | Conformant | ||||||||||
| Gold | Metalor Technologies S.A. | Switzerland | CID001153 | Conformant | ||||||||||
| Gold | Metalor USA Refining Corporation | United States Of America | CID001157 | Conformant | ||||||||||
| Gold | Metalurgica Met-Mex Penoles S.A. De C.V. | Mexico | CID001161 | Conformant | ||||||||||
| Tantalum | Metallurgical Products India Pvt., Ltd. | India | CID001163 | Conformant | ||||||||||
| Tin | Mineracao Taboca S.A. | Brazil | CID001173 | Conformant | ||||||||||
| Tantalum | Mineracao Taboca S.A. | Brazil | CID001175 | Conformant | ||||||||||
| Tin | Minsur | Peru | CID001182 | Conformant | ||||||||||
| Gold | Mitsubishi Materials Corporation | Japan | CID001188 | Conformant | ||||||||||
| Tin | Mitsubishi Materials Corporation | Japan | CID001191 | Conformant | ||||||||||
| Tantalum | Mitsui Mining and Smelting Co., Ltd. | Japan | CID001192 | Conformant | ||||||||||
| Gold | Mitsui Mining and Smelting Co., Ltd. | Japan | CID001193 | Conformant | ||||||||||
| Tantalum | NPM Silmet AS | Estonia | CID001200 | Conformant | ||||||||||
| Gold | Nadir Metal Rafineri San. Ve Tic. A.S. | Turkey | CID001220 | Conformant | ||||||||||
| Tin | Jiangxi New Nanshan Technology Ltd. | China | CID001231 | Conformant | ||||||||||
| Gold | Navoi Mining and Metallurgical Combinat | Uzbekistan | CID001236 | Conformant | ||||||||||
| Gold | Nihon Material Co., Ltd. | Japan | CID001259 | Conformant | ||||||||||
| Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | China | CID001277 | Conformant | ||||||||||
| Tin | O.M. Manufacturing (Thailand) Co., Ltd. | Thailand | CID001314 | Conformant | ||||||||||
| Gold | Ohura Precious Metal Industry Co., Ltd. | Japan | CID001325 | Conformant | ||||||||||
| Tin | Operaciones Metalurgicas S.A. | Bolivia (Plurinational State Of) | CID001337 | Conformant | ||||||||||
| Gold | MKS PAMP SA | Switzerland | CID001352 | Conformant | ||||||||||
| Gold | PT Aneka Tambang (Persero) Tbk | Indonesia | CID001397 | Conformant | ||||||||||
| Tin | PT Artha Cipta Langgeng | Indonesia | CID001399 | Conformant | ||||||||||
| Tin | PT Babel Surya Alam Lestari | Indonesia | CID001406 | Conformant | ||||||||||
| Tin | PT Mitra Stania Prima | Indonesia | CID001453 | Conformant | ||||||||||
| Tin | PT Prima Timah Utama | Indonesia | CID001458 | Conformant | ||||||||||
| Tin | PT Refined Bangka Tin | Indonesia | CID001460 | Conformant | ||||||||||
| Tin | PT Stanindo Inti Perkasa | Indonesia | CID001468 | Conformant | ||||||||||
| Tin | PT Timah Tbk Kundur | Indonesia | CID001477 | Conformant | ||||||||||
| Tin | PT Timah Tbk Mentok | Indonesia | CID001482 | Conformant | ||||||||||
| Tin | PT Tinindo Inter Nusa | Indonesia | CID001490 | Non Conformant | ||||||||||
| Gold | PX Precinox S.A. | Switzerland | CID001498 | Conformant | ||||||||||
| Tantalum | QuantumClean | United States Of America | CID001508 | Conformant | ||||||||||
| Gold | Rand Refinery (Pty) Ltd. | South Africa | CID001512 | Conformant | ||||||||||
| Tantalum | Yanling Jincheng Tantalum & Niobium Co., Ltd. | China | CID001522 | Conformant | ||||||||||
| Gold | Royal Canadian Mint | Canada | CID001534 | Conformant | ||||||||||
| Tin | Rui Da Hung | Taiwan, Province Of China | CID001539 | Conformant | ||||||||||
| Gold | Samduck Precious Metals | Korea, Republic Of | CID001555 | Non Conformant | ||||||||||
| Gold | SEMPSA Joyeria Plateria S.A. | Spain | CID001585 | Conformant | ||||||||||
| Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | China | CID001622 | Conformant | ||||||||||
| Gold | Sichuan Tianze Precious Metals Co., Ltd. | China | CID001736 | Conformant | ||||||||||
| Gold | Solar Applied Materials Technology Corp. | Taiwan, Province Of China | CID001761 | Conformant | ||||||||||
| Gold | Sumitomo Metal Mining Co., Ltd. | Japan | CID001798 | Conformant | ||||||||||
| Tantalum | Taki Chemical Co., Ltd. | Japan | CID001869 | Conformant | ||||||||||
| Gold | Tanaka Kikinzoku Kogyo K.K. | Japan | CID001875 | Conformant | ||||||||||
| Tantalum | Telex Metals | United States Of America | CID001891 | Conformant | ||||||||||
| Tin | Thaisarco | Thailand | CID001898 | Conformant | ||||||||||
| Gold | Tokuriki Honten Co., Ltd. | Japan | CID001938 | Conformant | ||||||||||
| Gold | Torecom | Korea, Republic Of | CID001955 | Conformant | ||||||||||
| Tantalum | Ulba Metallurgical Plant JSC | Kazakhstan | CID001969 | Conformant | ||||||||||
| Gold | Umicore S.A. Business Unit Precious Metals Refining | Belgium | CID001980 | Conformant | ||||||||||
| Gold | United Precious Metal Refining, Inc. | United States Of America | CID001993 | Conformant | ||||||||||
| Gold | Valcambi S.A. | Switzerland | CID002003 | Conformant | ||||||||||
| Gold | Western Australian Mint (T/a The Perth Mint) | Australia | CID002030 | Conformant | ||||||||||
| Tin | White Solder Metalurgia e Mineracao Ltda. | Brazil | CID002036 | Conformant | ||||||||||
| Tungsten | Wolfram Bergbau und Hutten AG | Austria | CID002044 | Conformant | ||||||||||
| Tungsten | Xiamen Tungsten Co., Ltd. | China | CID002082 | Conformant | ||||||||||
| Gold | Yamakin Co., Ltd. | Japan | CID002100 | Conformant | ||||||||||
| Gold | Yokohama Metal Co., Ltd. | Japan | CID002129 | Conformant | ||||||||||
| Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | China | CID002158 | Conformant | ||||||||||
| Tin | Tin Smelting Branch of Yunnan Tin Co., Ltd. | China | CID002180 | Conformant | ||||||||||
| Gold | SAFINA A.S. | Czechia | CID002290 | Conformant | ||||||||||
| Gold | Umicore Precious Metals Thailand | Thailand | CID002314 | Non Conformant | ||||||||||
| Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | China | CID002315 | Conformant | ||||||||||
| Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. | China | CID002316 | Conformant | ||||||||||
| Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | China | CID002317 | Conformant | ||||||||||
| Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | China | CID002318 | Conformant | ||||||||||
| Tungsten | Malipo Haiyu Tungsten Co., Ltd. | China | CID002319 | Conformant | ||||||||||
| Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | China | CID002320 | Conformant | ||||||||||
| Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | China | CID002321 | Conformant | ||||||||||
| Gold | Geib Refining Corporation | United States Of America | CID002459 | Conformant | ||||||||||
| Tin | Magnu's Minerais Metais e Ligas Ltda. | Brazil | CID002468 | Conformant | ||||||||||
| Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | China | CID002492 | Conformant | ||||||||||
| Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | China | CID002494 | Conformant | ||||||||||
| Tungsten | Asia Tungsten Products Vietnam Ltd. | Viet Nam | CID002502 | Conformant | ||||||||||
| Tin | PT ATD Makmur Mandiri Jaya | Indonesia | CID002503 | Conformant | ||||||||||
| Tantalum | D Block Metals, LLC | United States Of America | CID002504 | Conformant | ||||||||||
| Tantalum | FIR Metals & Resource Ltd. | China | CID002505 | Conformant | ||||||||||
| Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | China | CID002506 | Conformant | ||||||||||
| Tantalum | XinXing HaoRong Electronic Material Co., Ltd. | China | CID002508 | Conformant | ||||||||||
| Gold | MMTC-PAMP India Pvt., Ltd. | India | CID002509 | Conformant | ||||||||||
| Gold | KGHM Polska Miedz Spolka Akcyjna | Poland | CID002511 | Conformant | ||||||||||
| Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | China | CID002512 | Conformant | ||||||||||
| Tungsten | Hunan Shizhuyuan Nonferrous Metals Co., Ltd. Chenzhou Tungsten Products Branch | China | CID002513 | Conformant | ||||||||||
| Gold | Singway Technology Co., Ltd. | Taiwan, Province Of China | CID002516 | Non Conformant | ||||||||||
| Tin | O.M. Manufacturing Philippines, Inc. | Philippines | CID002517 | Conformant | ||||||||||
| Tantalum | KEMET de Mexico | Mexico | CID002539 | Conformant | ||||||||||
| Tungsten | H.C. Starck Tungsten GmbH | Germany | CID002541 | Conformant | ||||||||||
| Tungsten | TANIOBIS Smelting GmbH & Co. KG | Germany | CID002542 | Conformant | ||||||||||
| Tungsten | Masan High-Tech Materials | Viet Nam | CID002543 | Conformant | ||||||||||
| Tantalum | TANIOBIS Co., Ltd. | Thailand | CID002544 | Conformant | ||||||||||
| Tantalum | TANIOBIS GmbH | Germany | CID002545 | Conformant | ||||||||||
| Tantalum | Materion Newton Inc. | United States Of America | CID002548 | Conformant | ||||||||||
| Tantalum | TANIOBIS Japan Co., Ltd. | Japan | CID002549 | Conformant | ||||||||||
| Tantalum | TANIOBIS Smelting GmbH & Co. KG | Germany | CID002550 | Conformant | ||||||||||
| Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | China | CID002551 | Conformant | ||||||||||
| Tantalum | Global Advanced Metals Boyertown | United States Of America | CID002557 | Conformant | ||||||||||
| Tantalum | Global Advanced Metals Aizu | Japan | CID002558 | Conformant | ||||||||||
| Gold | Al Etihad Gold Refinery DMCC | United Arab Emirates | CID002560 | Conformant | ||||||||||
| Gold | Emirates Gold DMCC | United Arab Emirates | CID002561 | Conformant | ||||||||||
| Gold | T.C.A S.p.A | Italy | CID002580 | Conformant | ||||||||||
| Gold | REMONDIS PMR B.V. | Netherlands | CID002582 | Conformant | ||||||||||
| Tungsten | Niagara Refining LLC | United States Of America | CID002589 | Conformant | ||||||||||
| Gold | Korea Zinc Co., Ltd. | Korea, Republic Of | CID002605 | Conformant | ||||||||||
| Gold | TOO Tau-Ken-Altyn | Kazakhstan | CID002615 | Conformant | ||||||||||
| Tungsten | Ganzhou Haichuang Tungsten Co., Ltd. | China | CID002645 | Conformant | ||||||||||
| Tin | Resind Industria e Comercio Ltda. | Brazil | CID002706 | Conformant | ||||||||||
| Tantalum | Resind Industria e Comercio Ltda. | Brazil | CID002707 | Conformant | ||||||||||
| Gold | SAAMP | France | CID002761 | Conformant | ||||||||||
| Gold | L'Orfebre S.A. | Andorra | CID002762 | Conformant | ||||||||||
| Gold | 8853 S.p.A. | Italy | CID002763 | Non Conformant | ||||||||||
| Gold | Italpreziosi | Italy | CID002765 | Conformant | ||||||||||
| Tin | Aurubis Beerse | Belgium | CID002773 | Conformant | ||||||||||
| Tin | Aurubis Berango | Spain | CID002774 | Conformant | ||||||||||
| Gold | WIELAND Edelmetalle GmbH | Germany | CID002778 | Conformant | ||||||||||
| Gold | Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH | Austria | CID002779 | Conformant | ||||||||||
| Tungsten | Philippine Chuangxin Industrial Co., Inc. | Philippines | CID002827 | Conformant | ||||||||||
| Tungsten | ACL Metais Eireli | Brazil | CID002833 | Non Conformant | ||||||||||
| Tin | PT Menara Cipta Mulia | Indonesia | CID002835 | Conformant | ||||||||||
| Tantalum | Jiangxi Tuohong New Raw Material | China | CID002842 | Conformant | ||||||||||
| Gold | Bangalore Refinery | India | CID002863 | Conformant | ||||||||||
| Gold | SungEel HiMetal Co., Ltd. | Korea, Republic Of | CID002918 | Conformant | ||||||||||
| Gold | Planta Recuperadora de Metales SpA | Chile | CID002919 | Conformant | ||||||||||
| Gold | Safimet S.p.A | Italy | CID002973 | Non Conformant | ||||||||||
| Tin | Guangdong Hanhe Non-Ferrous Metal Co., Ltd. | China | CID003116 | Conformant | ||||||||||
| Gold | NH Recytech Company | Korea, Republic Of | CID003189 | Conformant | ||||||||||
| Tin | Chifeng Dajingzi Tin Industry Co., Ltd. | China | CID003190 | Conformant | ||||||||||
| Tin | PT Bangka Serumpun | Indonesia | CID003205 | Conformant | ||||||||||
| Tin | Tin Technology & Refining | United States Of America | CID003325 | Conformant | ||||||||||
| Tin | PT Rajawali Rimba Perkasa | Indonesia | CID003381 | Conformant | ||||||||||
| Tin | Luna Smelter, Ltd. | Rwanda | CID003387 | Conformant | ||||||||||
| Tungsten | Lianyou Metals Co., Ltd. | Taiwan, Province Of China | CID003407 | Conformant | ||||||||||
| Tungsten | Hubei Green Tungsten Co., Ltd. | China | CID003417 | Conformant | ||||||||||
| Gold | Eco-System Recycling Co., Ltd. North Plant | Japan | CID003424 | Conformant | ||||||||||
| Gold | Eco-System Recycling Co., Ltd. West Plant | Japan | CID003425 | Conformant | ||||||||||
| Tin | PT Mitra Sukses Globalindo | Indonesia | CID003449 | Conformant | ||||||||||
| Tungsten | Cronimet Brasil Ltda | Brazil | CID003468 | Conformant | ||||||||||
| Tin | CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda | Brazil | CID003486 | Conformant | ||||||||||
| Tin | CRM Synergies | Spain | CID003524 | Conformant | ||||||||||
| Gold | Metal Concentrators SA (Pty) Ltd. | South Africa | CID003575 | Conformant | ||||||||||
| Tin | Fabrica Auricchio Industria e Comercio Ltda. | Brazil | CID003582 | Conformant | ||||||||||
| Tantalum | RFH Yancheng Jinye New Material Technology Co., Ltd. | China | CID003583 | Conformant | ||||||||||
| Tungsten | Fujian Xinlu Tungsten Co., Ltd. | China | CID003609 | Conformant | ||||||||||
| Gold | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | Turkey | CID000103 | Outreach Required | ||||||||||
| Gold | Caridad | Mexico | CID000180 | Outreach Required | ||||||||||
| Gold | Yunnan Copper Industry Co., Ltd. | China | CID000197 | Outreach Required | ||||||||||
| Tungsten | CNMC (Guangxi) PGMA Co., Ltd. | China | CID000281 | Outreach Required | ||||||||||
| Tin | PT Aries Kencana Sejahtera | Indonesia | CID000309 | Conformant | ||||||||||
| Gold | Daye Non-Ferrous Metals Mining Ltd. | China | CID000343 | In Communication | ||||||||||
| Gold | JSC Novosibirsk Refinery | Russian Federation | CID000493 | RMI Due Diligence Review - Unable to Proceed | ||||||||||
| Gold | Refinery of Seemine Gold Co., Ltd. | China | CID000522 | Outreach Required | ||||||||||
| Gold | Guoda Safina High-Tech Environmental Refinery Co., Ltd. | China | CID000651 | Outreach Required | ||||||||||
| Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. | China | CID000671 | Outreach Required | ||||||||||
| Tungsten | Hunan Chenzhou Mining Co., Ltd. | China | CID000766 | Conformant | ||||||||||
| Gold | Hunan Chenzhou Mining Co., Ltd. | China | CID000767 | Outreach Required | ||||||||||
| Gold | Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd. | China | CID000773 | Outreach Required | ||||||||||
| Gold | HwaSeong CJ CO., LTD. | Korea, Republic Of | CID000778 | Communication Suspended - Not Interested | ||||||||||
| Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | Russian Federation | CID000927 | RMI Due Diligence Review - Unable to Proceed | ||||||||||
| Gold | JSC Uralelectromed | Russian Federation | CID000929 | RMI Due Diligence Review - Unable to Proceed | ||||||||||
| Tin | Gejiu Kai Meng Industry and Trade LLC | China | CID000942 | Non Conformant | ||||||||||
| Gold | Kazakhmys Smelting LLC | Kazakhstan | CID000956 | In Communication | ||||||||||
| Gold | Kyrgyzaltyn JSC | Kyrgyzstan | CID001029 | Non Conformant | ||||||||||
| Gold | L'azurde Company For Jewelry | Saudi Arabia | CID001032 | RMI Due Diligence Review - Unable to Proceed | ||||||||||
| Gold | Lingbao Gold Co., Ltd. | China | CID001056 | Outreach Required | ||||||||||
| Gold | Lingbao Jinyuan Tonghui Refinery Co., Ltd. | China | CID001058 | Outreach Required | ||||||||||
| Gold | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | China | CID001093 | Outreach Required | ||||||||||
| Gold | Moscow Special Alloys Processing Plant | Russian Federation | CID001204 | RMI Due Diligence Review - Unable to Proceed | ||||||||||
| Tin | Novosibirsk Tin Combine | Russian Federation | CID001305 | RMI Due Diligence Review - Unable to Proceed | ||||||||||
| Gold | OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) | Russian Federation | CID001326 | RMI Due Diligence Review - Unable to Proceed | ||||||||||
| Gold | Penglai Penggang Gold Industry Co., Ltd. | China | CID001362 | Outreach Required | ||||||||||
| Gold | Prioksky Plant of Non-Ferrous Metals | Russian Federation | CID001386 | RMI Due Diligence Review - Unable to Proceed | ||||||||||
| Tin | PT Babel Inti Perkasa | Indonesia | CID001402 | Conformant | ||||||||||
| Tin | PT Belitung Industri Sejahtera | Indonesia | CID001421 | Active | ||||||||||
| Tin | PT Bukit Timah | Indonesia | CID001428 | Conformant | ||||||||||
| Tin | PT Panca Mega Persada | Indonesia | CID001457 | In Communication | ||||||||||
| Tin | PT Sariwiguna Binasentosa | Indonesia | CID001463 | Conformant | ||||||||||
| Tin | PT Timah Nusantara | Indonesia | CID001486 | Active | ||||||||||
| Tin | PT Tommy Utama | Indonesia | CID001493 | Conformant | ||||||||||
| Gold | Sabin Metal Corp. | United States Of America | CID001546 | Communication Suspended - Not Interested | ||||||||||
| Gold | Samwon Metals Corp. | Korea, Republic Of | CID001562 | Communication Suspended - Not Interested | ||||||||||
| Gold | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | China | CID001619 | Outreach Required | ||||||||||
| Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | Russian Federation | CID001756 | RMI Due Diligence Review - Unable to Proceed | ||||||||||
| Tantalum | Solikamsk Magnesium Works OAO | Russian Federation | CID001769 | RMI Due Diligence Review - Unable to Proceed | ||||||||||
| Gold | Super Dragon Technology Co., Ltd. | Taiwan, Province Of China | CID001810 | Outreach Required | ||||||||||
| Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | China | CID001908 | Non Conformant | ||||||||||
| Gold | Great Wall Precious Metals Co., Ltd. of CBPM | China | CID001909 | Outreach Required | ||||||||||
| Gold | Shandong Gold Smelting Co., Ltd. | China | CID001916 | Conformant | ||||||||||
| Gold | Tongling Nonferrous Metals Group Co., Ltd. | China | CID001947 | Outreach Required | ||||||||||
| Tin | VQB Mineral and Trading Group JSC | Viet Nam | CID002015 | Outreach Required | ||||||||||
| Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | China | CID002224 | Conformant | ||||||||||
| Gold | Gold Refinery of Zijin Mining Group Co., Ltd. | China | CID002243 | Conformant | ||||||||||
| Gold | Morris and Watson | New Zealand | CID002282 | In Communication | ||||||||||
| Gold | Guangdong Jinding Gold Limited | China | CID002312 | Outreach Required | ||||||||||
| Tungsten | Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. | China | CID002313 | Communication Suspended - Not Interested | ||||||||||
| Tin | CV Venus Inti Perkasa | Indonesia | CID002455 | Conformant | ||||||||||
| Tin | PT Tirus Putra Mandiri | Indonesia | CID002478 | In Communication | ||||||||||
| Tin | Melt Metais e Ligas S.A. | Brazil | CID002500 | Non Conformant | ||||||||||
| Gold | Fidelity Printers and Refiners Ltd. | Zimbabwe | CID002515 | RMI Due Diligence Review - Unable to Proceed | ||||||||||
| Gold | Shandong Humon Smelting Co., Ltd. | China | CID002525 | Outreach Required | ||||||||||
| Gold | Shenzhen Zhonghenglong Real Industry Co., Ltd. | China | CID002527 | Outreach Required | ||||||||||
| Gold | International Precious Metal Refiners | United Arab Emirates | CID002562 | In Communication | ||||||||||
| Gold | Kaloti Precious Metals | United Arab Emirates | CID002563 | RMI Due Diligence Review - Unable to Proceed | ||||||||||
| Gold | Sudan Gold Refinery | Sudan | CID002567 | Outreach Required | ||||||||||
| Tin | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | Viet Nam | CID002572 | Non Conformant | ||||||||||
| Tin | Nghe Tinh Non-Ferrous Metals Joint Stock Company | Viet Nam | CID002573 | Outreach Required | ||||||||||
| Tin | Tuyen Quang Non-Ferrous Metals Joint Stock Company | Viet Nam | CID002574 | Outreach Required | ||||||||||
| Gold | Fujairah Gold FZC | United Arab Emirates | CID002584 | Outreach Required | ||||||||||
| Gold | Industrial Refining Company | Belgium | CID002587 | Non Conformant | ||||||||||
| Gold | Shirpur Gold Refinery Ltd. | India | CID002588 | Outreach Required | ||||||||||
| Gold | Marsam Metals | Brazil | CID002606 | Non Conformant | ||||||||||
| Tungsten | China Molybdenum Tungsten Co., Ltd. | China | CID002641 | Conformant | ||||||||||
| Tungsten | Hydrometallurg, JSC | Russian Federation | CID002649 | RMI Due Diligence Review - Unable to Proceed | ||||||||||
| Tin | PT Cipta Persada Mulia | Indonesia | CID002696 | Conformant | ||||||||||
| Tin | An Vinh Joint Stock Mineral Processing Company | Viet Nam | CID002703 | Outreach Required | ||||||||||
| Gold | Abington Reldan Metals, LLC | United States Of America | CID002708 | Conformant | ||||||||||
| Tungsten | Unecha Refractory metals plant | Russian Federation | CID002724 | Non Conformant | ||||||||||
| Tin | Super Ligas | Brazil | CID002756 | Active | ||||||||||
| Tin | PT Sukses Inti Makmur | Indonesia | CID002816 | Conformant | ||||||||||
| Tungsten | Moliren Ltd. | Russian Federation | CID002845 | RMI Due Diligence Review - Unable to Proceed | ||||||||||
| Gold | AU Traders and Refiners | South Africa | CID002850 | Non Conformant | ||||||||||
| Gold | GGC Gujrat Gold Centre Pvt. Ltd. | India | CID002852 | Active | ||||||||||
| Gold | Sai Refinery | India | CID002853 | Outreach Required | ||||||||||
| Gold | Modeltech Sdn Bhd | Malaysia | CID002857 | Non Conformant | ||||||||||
| Tin | Modeltech Sdn Bhd | Malaysia | CID002858 | Non Conformant | ||||||||||
| Gold | Kyshtym Copper-Electrolytic Plant ZAO | Russian Federation | CID002865 | RMI Due Diligence Review - Unable to Proceed | ||||||||||
| Gold | Degussa Sonne / Mond Goldhandel GmbH | Germany | CID002867 | Outreach Required | ||||||||||
| Gold | Pease & Curren | United States Of America | CID002872 | Communication Suspended - Not Interested | ||||||||||
| Gold | JALAN & Company | India | CID002893 | Outreach Required | ||||||||||
| Gold | ABC Refinery Pty Ltd. | Australia | CID002920 | Outreach Required | ||||||||||
| Gold | State Research Institute Center for Physical Sciences and Technology | Lithuania | CID003153 | Outreach Required | ||||||||||
| Gold | African Gold Refinery | Uganda | CID003185 | RMI Due Diligence Review - Unable to Proceed | ||||||||||
| Gold | Gold Coast Refinery | Ghana | CID003186 | Outreach Required | ||||||||||
| Tin | Pongpipat Company Limited | Myanmar | CID003208 | Outreach Required | ||||||||||
| Gold | QG Refining, LLC | United States Of America | CID003324 | Outreach Required | ||||||||||
| Gold | Dijllah Gold Refinery FZC | United Arab Emirates | CID003348 | Outreach Required | ||||||||||
| Tin | Dongguan CiEXPO Environmental Engineering Co., Ltd. | China | CID003356 | Non Conformant | ||||||||||
| Gold | CGR Metalloys Pvt Ltd. | India | CID003382 | Outreach Required | ||||||||||
| Gold | Sovereign Metals | India | CID003383 | Outreach Required | ||||||||||
| Tin | Yunnan Yunfan Non-ferrous Metals Co., Ltd. | China | CID003397 | Non Conformant | ||||||||||
| Tungsten | JSC "Kirovgrad Hard Alloys Plant" | Russian Federation | CID003408 | RMI Due Diligence Review - Unable to Proceed | ||||||||||
| Tin | Precious Minerals and Smelting Limited | India | CID003409 | Non Conformant | ||||||||||
| Tin | Gejiu City Fuxiang Industry and Trade Co., Ltd. | China | CID003410 | Outreach Required | ||||||||||
| Tungsten | NPP Tyazhmetprom LLC | Russian Federation | CID003416 | RMI Due Diligence Review - Unable to Proceed | ||||||||||
| Gold | C.I Metales Procesados Industriales SAS | Colombia | CID003421 | Active | ||||||||||
| Tungsten | Albasteel Industria e Comercio de Ligas Para Fundicao Ltd. | Brazil | CID003427 | Non Conformant | ||||||||||
| Gold | Augmont Enterprises Private Limited | India | CID003461 | Active | ||||||||||
| Gold | Kundan Care Products Ltd. | India | CID003463 | In Communication | ||||||||||
| Gold | Emerald Jewel Industry India Limited (Unit 1) | India | CID003487 | In Communication | ||||||||||
| Gold | Emerald Jewel Industry India Limited (Unit 2) | India | CID003488 | In Communication | ||||||||||
| Gold | Emerald Jewel Industry India Limited (Unit 3) | India | CID003489 | In Communication | ||||||||||
| Gold | Emerald Jewel Industry India Limited (Unit 4) | India | CID003490 | In Communication | ||||||||||
| Gold | K.A. Rasmussen | Norway | CID003497 | Outreach Required | ||||||||||
| Gold | Alexy Metals | United States Of America | CID003500 | Conformant | ||||||||||
| Gold | Sancus ZFS (L’Orfebre, SA) | Colombia | CID003529 | Conformant | ||||||||||
| Gold | Sellem Industries Ltd. | Mauritania | CID003540 | Communication Suspended - Not Interested | ||||||||||
| Gold | MD Overseas | India | CID003548 | In Communication | ||||||||||
| Tungsten | Artek LLC | Russian Federation | CID003553 | RMI Due Diligence Review - Unable to Proceed | ||||||||||
| Gold | Metallix Refining Inc. | United States Of America | CID003557 | In Communication | ||||||||||
| Tungsten | OOO “Technolom” 2 | Russian Federation | CID003612 | RMI Due Diligence Review - Unable to Proceed | ||||||||||
| Tungsten | OOO “Technolom” 1 | Russian Federation | CID003614 | RMI Due Diligence Review - Unable to Proceed | ||||||||||
| Gold | WEEEREFINING | France | CID003615 | Active | ||||||||||
| Tungsten | LLC Vostok | Russian Federation | CID003643 | RMI Due Diligence Review - Unable to Proceed | ||||||||||
| Tin | PT Putera Sarana Shakti (PT PSS) | Indonesia | CID003868 | Conformant | ||||||||||
| Tin | CV Ayi Jaya | Indonesia | CID002570 | Conformant | ||||||||||
| Tin | PT Premium Tin Indonesia | Indonesia | CID000313 | Conformant | ||||||||||
| Tin | PT Bangka Tin Industry | Indonesia | CID001419 | In Communication | ||||||||||
| Gold | Shenzhen CuiLu Gold Co., Ltd. | China | CID002750 | Outreach Required | ||||||||||
| Gold | Albino Mountinho Lda. | Portugal | CID002760 | Outreach Required | ||||||||||
| Tin | PT Bangka Prima Tin | Indonesia | CID002776 | Conformant | ||||||||||
| Gold | Gold by Gold Colombia | Colombia | CID003641 | Conformant | ||||||||||
| Tungsten | YUDU ANSHENG TUNGSTEN CO., LTD. | China | CID003662 | Outreach Required | ||||||||||
| Gold | Dongwu Gold Group | China | CID003663 | Outreach Required | ||||||||||
| Tin | DS Myanmar | Myanmar | CID003831 | Conformant | ||||||||||
| Tantalum | 5D Production OU | Estonia | CID003926 | Outreach Required | ||||||||||
| Tungsten | HANNAE FOR T Co., Ltd. | Korea, Republic Of | CID003978 | Outreach Required | ||||||||||
| Tungsten | DONGKUK INDUSTRIES CO., LTD. | Korea, Republic Of | CID004060 | In Communication | ||||||||||
| Tin | PT Rajehan Ariq | Indonesia | CID002593 | Conformant | ||||||||||
| Tungsten | Tungsten Vietnam Joint Stock Company | Viet Nam | CID003993 | Conformant | ||||||||||
| Gold | Coimpa Industrial LTDA | Brazil | CID004010 | Active | ||||||||||