UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

Form SD

Specialized Disclosure Report

  

BRUKER CORPORATION

(Exact name of registrant as specified in its charter)

 

DELAWARE   000-30833   04-3110160
(State or Other Jurisdiction of
Incorporation)
  (Commission File Number)   (IRS Employer Identification
Number)

 

40 Manning Road, Billerica, MA 01821

 (Address of principal executive offices) (Zip Code)

 

Gerald N. Herman   (978) 663-3660
 (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:

 

xRule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2019.

 

 

 

 

 

Section 1 – Conflict Minerals Disclosure

 

Item 1.01 Conflict Minerals Disclosure and Report

 

Pursuant to Rule 13p-1 (“Rule 13p-1”) promulgated under the Securities Exchange Act of 1934, as amended, Bruker Corporation (the “Company”) has filed this Specialized Disclosure Report (“Form SD”) for the reporting period January 1, 2019 to December 31, 2019.

 

A description of the measures the Company undertook to exercise due diligence on the source and chain of custody of conflict minerals contained in its Products is provided in the Conflict Minerals Report attached hereto as Exhibit 1.01. A copy of the Company’s Conflict Minerals Policy is publicly available at www.bruker.com.

 

Item 1.02 Exhibits

 

As specified in Section 2, Item 2.01 of this Form SD, the Company is hereby filing its Conflict Minerals Report as Exhibit 1.01 to this Form SD.

 

Section 2 – Exhibits

 

Item 2.01 Exhibits

 

The following exhibit is filed as part of this report:

 

Exhibit 1.01 — Conflict Minerals Report of Bruker Corporation

 

 

 

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.

 

Bruker Corporation

 

By:/s/ GERALD N. HERMAN Date: May 29, 2020
 Gerald N. Herman
 Chief Financial Officer and Vice President  
 (Principal Financial Officer and Principal Accounting Officer)  

 

 

 

Exhibit Index

 

Exhibit No.   Description
1.01   Conflict Minerals Report of Bruker Corporation.

 

 

Exhibit 1.01

 

Bruker Corporation

Conflict Minerals Report

For the Year Ended December 31, 2019

 

Introduction

 

This Conflict Minerals Report (“Report”) of Bruker Corporation and its consolidated subsidiaries for the year ended December 31, 2019 has been prepared pursuant to Rule 13p-1 (the “Rule”) promulgated under the Securities Exchange Act of 1934, as amended. The Rule requires disclosure of certain information by a company that manufactures, or contracts to manufacture, products that contain minerals specified in the Rule as “conflict minerals” that are necessary to the functionality or production of those products. For purposes of the Rule, “conflict minerals” include gold, columbite-tantalite (coltan), cassiterite, and wolframite and their derivatives, which are limited to tantalum, tin and tungsten. During the year ended December 31, 2019, we manufactured, or contracted to manufacture, certain products described below for which conflict minerals are necessary to their functionality or production.

 

We have adopted a Conflict Minerals Policy, which is publicly available at www.bruker.com under “About Us” in “Investors/Corporate Governance/Governance Documents”. This Report describes our due diligence measures on the source and chain of custody of conflict minerals necessary to the products we manufactured, or contracted to manufacture during 2019, our efforts to determine the mine or location of origin of the necessary conflict minerals, and, to the extent known to us, the facilities used to process the conflict minerals.

 

Products Covered by this Report

 

Bruker Corporation, together with its consolidated subsidiaries, develops, manufactures and distributes high-performance scientific instruments and analytical and diagnostic solutions that enable its customers to explore life and materials at microscopic, molecular and cellular levels. Many of the Company’s products are used to detect, measure and visualize structural characteristics of chemical, biological and industrial material samples. The Company’s products address the rapidly evolving needs of a diverse array of customers in life science research, pharmaceuticals, biotechnology, applied markets, cell biology, clinical research, microbiology, in-vitro diagnostics, nanotechnology and materials science research.

 

These products, which we collectively refer to in this Report as the “Products,” include the following: magnetic resonance systems; mass spectrometry and ion mobility spectrometry, infrared and Raman molecular spectroscopy, radiological/nuclear detectors for Chemical, Biological, Radiological, Nuclear, and Explosive (CBRNE) detection, advanced X-ray instruments; atomic force microscopy instruments, advanced fluorescence optical microscopy instruments, analytical tools for electron microscopes and X-ray metrology; defect–detection equipment; handheld portable and mobile X-ray fluorescence spectrometry, spark optical emission spectroscopy systems; and metallic low temperature superconductors.

 

Reasonable Country of Origin Inquiry

 

We conducted a good faith reasonable country of origin inquiry (“RCOI”) regarding the conflict minerals necessary to our Products’ functionality or production. As the initial step in our RCOI process, we reviewed parts and materials used in the manufacturing of our products to identify those that may include conflict minerals. Those parts and materials identified that may include conflict minerals necessary to the functionality or production of the relevant product were then linked to the direct supplier, or suppliers, from which we purchased the applicable parts or materials. Our RCOI was reasonably designed to determine whether such conflict minerals originated in the Democratic Republic of the Congo, Angola, Burundi, Central African Republic, the Republic of the Congo, Rwanda, South Sudan, Tanzania, Uganda, or Zambia (collectively, the “Covered Countries”) or came from scrap or recycled sources.

 

 

 

 

Our supply chain with respect to the Products is complex, and we do not purchase conflict minerals directly from mines, smelters or refiners. We purchase parts and materials directly, or contract with others to manufacture parts, from a large number of suppliers. In most cases, there are multiple layers of third parties in the supply chain between us and the ultimate upstream source of the conflict minerals. Due to the breadth and depth of our supply chain, we focused on engagement with direct suppliers that accounted for approximately 80% of our purchases of parts and materials where conflict minerals may be included. We requested our direct suppliers to provide information regarding the source and chain of custody of conflict minerals included in the Products, including smelter and country of origin information. To provide this information, our direct suppliers inquired with their suppliers to attempt to identify the ultimate source and country of origin of the conflict minerals included in the Products. We received responses from approximately 80% of those direct suppliers from whom we requested information. The percentage of suppliers that completed the requested survey, as compared to some other form of response, was consistent with the 2018 reporting year.

 

Given the complexity of this multi-tiered process, many of our direct suppliers have been unable to identify, verify, and report to us the origin of conflict minerals contained in the Products manufactured in 2019. Based on our RCOI, we do not have sufficient information to conclusively determine all the countries of origin of the Conflict Minerals in the Products.  However, based on the information provided by our suppliers, we have reason to believe that some of the Conflict Minerals contained in the Products may have originated from Covered Countries and may not be from recycled or scrap sources.

 

Due Diligence Design and Process

 

Our due diligence process was designed to materially conform with the Organization for Economic Co-operation and Development’s Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, including the Supplement on Tin, Tantalum and Tungsten and the Supplement on Gold (“OECD Framework”), an internationally recognized due diligence framework.

 

Our due diligence process in 2019 included the following:

 

Step 1 – Establish strong company management systems

 

·We have a Conflict Minerals Policy, which is available on the Company’s website at www.bruker.com under “About Us” in “Investors/Corporate Governance/Governance Documents”.

 

·We have an internal team sponsored by our senior management. The internal team includes representation from corporate finance and the Company’s operating divisions on a cross-functional basis, including purchasing, manufacturing, quality management and research and development. The internal team’s responsibilities include developing and executing the Company’s due diligence process.

 

·We maintained a central electronic repository to store relevant documentation created or obtained during the due diligence process.

 

·We used a process document summarizing our RCOI and Due Diligence process as a guide to help in completing our procedures.

 

 

 

 

Step 2 – Identify and assess risks in the supply chain

 

·We conducted a survey of suppliers determined to be in-scope for RCOI in the 2019 reporting year, using the Conflict Minerals Reporting Template (“CMRT”) developed by the Responsible Minerals Initiative (“RMI”).

 

·We reviewed the surveys, and any other documentation, received from suppliers to validate if parts or materials provided to us include conflict minerals, and if so, to attempt to identify the smelter and country of origin. We reviewed responses for completeness and reliability based on a defined set of red flags criteria developed to help facilitate the review.

 

·We compared the smelter information provided by suppliers against the standard smelter list in the CMRT. For those smelters included in the CMRT, we reviewed whether they are currently Responsible Minerals Assurance Process (“RMAP”) Conformant or Active.

 

Step 3 – Design and implement a strategy to respond to identified risks

 

·We used escalation procedures in an effort to obtain responses from all suppliers to which a survey was sent.

 

·We classified red flags identified into categories based on the process document noted above, with follow-up procedures performed based on the red flag category. The follow-up procedures included sending a communication to the supplier to either request additional information or validate certain information provided, or performing additional internal review procedures.

 

·We held periodic status updates with the internal team to discuss survey response results.

 

·We briefed senior management on the status of our compliance obligations and due diligence efforts on a periodic basis.

 

Step 4 – Carry out independent third-party audit of smelter/refiner’s due diligence practices

 

·We do not have a direct relationship with the smelters and refiners used to process the conflict minerals necessary to the Products and do not perform audits of those smelters and refiners. We rely on industry efforts, such as the RMI, to influence smelters and refineries to become certified as part of RMI’s Responsible Minerals Assurance Process.

 

Step 5 – Report annually on supply chain due diligence

 

·We have filed publicly a Form SD, which includes, as needed, a Conflict Minerals Report on an annual basis. This Report is available on the Company’s website at www.bruker.com under “About Us” in “Investors/ Corporate Governance/Governance Documents”.

 

Due Diligence Results

 

We received responses from approximately 80% of those direct suppliers from whom we requested information. The responses identified potential smelters around the world from which our direct suppliers directly or indirectly source conflict minerals. In the majority of cases, the responses from direct suppliers noted that not all smelters had been identified and did not completely list all the smelters used in their supply chain. In addition, most survey responses were provided on a company-wide basis and did not differentiate as to parts and materials sold to us. Of the potential smelters provided in the responses, 342 were included in the standard smelter listing with the CRMT. As of May 29, 2020, 268 of the 342 smelters, or 78%, were verified as RMAP Conformant according to information published by RMI, with an additional 6 verified as an Active smelter. See Exhibit A for a listing of the standard smelters provided from responses received, including smelters verified as RMAP Compliant or Active as of May 29, 2020.

 

 

 

 

As noted above, our supply chain is complex and contains many layers for which many of our direct suppliers have been unable to identify, verify and report to us the origin of conflict minerals. For 2019, based on survey responses from our suppliers, we did not find that any of the necessary conflict minerals contained in the Products directly or indirectly financed or benefitted armed groups in the Covered Countries. However, we did not have sufficient information to conclude that any of our products were “DRC conflict free.”

 

Future Due Diligence Considerations

 

We intend to incorporate the following measures, among others, to further develop our due diligence program and to mitigate any risk that the necessary conflict minerals in our products could benefit armed groups in the Covered Countries. Development of the due diligence program is expected to include:

 

·Re-examining our scoping approach to ensure we have surveyed a significant amount of our supplier spend where conflict minerals may be included.

 

·Continuing to engage with our suppliers to increase the survey response rate and to improve the accuracy and completeness of the information provided to us on the survey responses.

 

·To the extent any products or materials are reasonably determined to not be conflict free, encouraging our suppliers to implement responsible sourcing practices and obtain their products from smelters and refiners recognized as conflict free by a recognized program such as the RMI Responsible Minerals Assurance Process.

 

 

 

 

Exhibit A – Smelter Listing (1)

 

Mineral   Smelter   Facility Location
Gold   8853 S.p.A.*   Italy
Gold   Abington Reldan Metals, LLC   United States of America
Gold   Advanced Chemical Company*   United States of America
Gold   African Gold Refinery   Uganda
Gold   Aida Chemical Industries Co. Ltd.*   Japan
Gold   Al Etihad Gold Refinery DMCC*   United Arab Emirates
Gold   Allgemeine Gold-und Silberscheideanstalt A.G.*   Germany
Gold   Almalyk Mining and Metallurgical Complex (AMMC)*   Uzbekistan
Gold   AngloGold Ashanti Corrego do Sitio Mineracao*   Brazil
Gold   Argor-Heraeus S.A.*   Switzerland
Gold   Asahi Pretec Corp.*   Japan
Gold   Asahi Refining Canada Ltd.*   Canada
Gold   Asahi Refining USA Inc.*   United States of America
Gold   Asaka Riken Co., Ltd.*   Japan
Gold   Atasay Kuyumculuk Sanayi Ve Ticaret A.S.   Turkey
Gold   AU Traders and Refiners*   South Africa
Gold   Aurubis AG*   Germany
Gold   Bangalore Refinery*   India
Gold   Bangko Sentral ng Pilipinas (Central Bank of the Philippines)*   Philippines
Gold   Boliden AB*   Sweden
Gold   C. Hafner GmbH + Co. KG*   Germany
Gold   Caridad   Mexico
Gold   CCR Refinery - Glencore Canada Corporation*   Canada
Gold   Cendres + Metaux S.A.*   Switzerland
Gold   CGR Metalloys Pvt Ltd.   India
Gold   Chimet S.p.A.*   Italy
Gold   Chugai Mining*   Japan
Gold   Daejin Indus Co., Ltd.   Korea, Republic of
Gold   Daye Non-Ferrous Metals Mining Ltd.   China
Gold   Degussa Sonne / Mond Goldhandel GmbH   Germany
Gold   Dijllah Gold Refinery FZC   United Arab Emirates
Gold   DODUCO Contacts and Refining GmbH*   Germany
Gold   Dowa*   Japan
Gold   DS PRETECH Co., Ltd.*   Korea, Republic of
Gold   DSC (Do Sung Corporation)*   Korea, Republic of
Gold   Eco-System Recycling Co., Ltd.*   Japan
Gold   Eco-System Recycling Co., Ltd. North Plant*   Japan
Gold   Eco-System Recycling Co., Ltd. West Plant*   Japan
Gold   Emirates Gold DMCC*   United Arab Emirates
Gold   Fidelity Printers and Refiners Ltd.   Zimbabwe
Gold   Fujairah Gold FZC   United Arab Emirates
Gold   GCC Gujrat Gold Centre Pvt. Ltd.   India
Gold   Geib Refining Corporation*   United States of America

 

 

 

 

Gold   Gold Refinery of Zijin Mining Group Co., Ltd.*   China
Gold   Great Wall Precious Metals Co., Ltd. of CBPM   China
Gold   Guangdong Jinding Gold Limited   China
Gold   Guoda Safina High-Tech Environmental Refinery Co., Ltd.   China
Gold   Hangzhou Fuchunjiang Smelting Co., Ltd.   China
Gold   HeeSung Metal Ltd.*   Korea, Republic of
Gold   Heimerle + Meule GmbH*   Germany
Gold   Heraeus Metals Hong Kong Ltd.*   China
Gold   Heraeus Precious Metals GmbH & Co. KG*   Germany
Gold   Hunan Chenzhou Mining Co., Ltd.   China
Gold   Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd.   China
Gold   HwaSeong CJ CO., LTD.   Korea, Republic of
Gold   Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.*   China
Gold   International Precious Metal Refiners   United Arab Emirates
Gold   Ishifuku Metal Industry Co., Ltd.*   Japan
Gold   Istanbul Gold Refinery*   Turkey
Gold   Italpreziosi*   Italy
Gold   Japan Mint*   Japan
Gold   Jiangxi Copper Co., Ltd.*   China
Gold   JSC Ekaterinburg Non-Ferrous Metal Processing Plant   Russian Federation
Gold   JSC Uralelectromed*   Russian Federation
Gold   JX Nippon Mining & Metals Co., Ltd.*   Japan
Gold   Kaloti Precious Metals   United Arab Emirates
Gold   Kazakhmys Smelting LLC   Kazakhstan
Gold   Kazzinc*   Kazakhstan
Gold   Kennecott Utah Copper LLC*   United States of America
Gold   KGHM Polska Miedz Spolka Akcyjna*   Poland
Gold   Kojima Chemicals Co., Ltd.*   Japan
Gold   Korea Zinc Co., Ltd.*   Korea, Republic of
Gold   Kyrgyzaltyn JSC*   Kyrgyzstan
Gold   Kyshtym Copper-Electrolytic Plant ZAO   Russian Federation
Gold   L'azurde Company For Jewelry   Saudia Arabia
Gold   Lingbao Gold Co., Ltd.   China
Gold   Lingbao Jinyuan Tonghui Refinery Co., Ltd.   China
Gold   L'Orfebre S.A.*   Andorra
Gold   LS-NIKKO Copper Inc.*   Korea, Republic of
Gold   Luoyang Zijin Yinhui Gold Refinery Co., Ltd.   China
Gold   Marsam Metals*   Brazil
Gold   Materion*   United States of America
Gold   Matsuda Sangyo Co., Ltd.*   Japan
Gold   Metalor Technologies (Hong Kong) Ltd.*   China
Gold   Metalor Technologies (Singapore) Pte., Ltd.*   Singapore
Gold   Metalor Technologies (Suzhou) Ltd.*   China
Gold   Metalor Technologies S.A.*   Switzerland
Gold   Metalor USA Refining Corporation*   United States of America
Gold   Metalurgica Met-Mex Penoles S.A. De C.V.*   Mexico

 

 

 

 

Gold   Mitsubishi Materials Corporation*   Japan
Gold   Mitsui Mining and Smelting Co., Ltd.*   Japan
Gold   MMTC-PAMP India Pvt., Ltd.*   India
Gold   Modeltech Sdn Bhd   Malaysia
Gold   Morris and Watson   New Zealand
Gold   Morris and Watson Gold Coast   Australia
Gold   Moscow Special Alloys Processing Plant*   Russian Federation
Gold   Nadir Metal Rafineri San. Ve Tic. A.S.*   Turkey
Gold   Navoi Mining and Metallurgical Combinat   Uzbekistan
Gold   NH Recytech Company   Korea, Republic of
Gold   Nihon Material Co. LTD*   Japan
Gold   Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH*   Austria
Gold   Ohura Precious Metal Industry Co., Ltd.*   Japan
Gold   OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)*   Russian Federation
Gold   OJSC Novosibirsk Refinery*   Russian Federation
Gold   PAMP S.A.*   Switzerland
Gold   Pease & Curren   United States of America
Gold   Penglai Penggang Gold Industry Co., Ltd.   China
Gold   Planta Recuperadora de Metales SpA*   Chile
Gold   Prioksky Plant of Non-Ferrous Metals*   Russian Federation
Gold   PT Aneka Tambang (Persero) Tbk*   Indonesia
Gold   PX Precinox S.A.*   Switzerland
Gold   QG Refining, LLC   United States of America
Gold   Rand Refinery (Pty) Ltd.*   South Africa
Gold   Refinery of Seemine Gold Co., Ltd.   China
Gold   REMONDIS PMR B.V.*   Netherlands
Gold   Royal Canadian Mint*   Canada
Gold   SAAMP*   France
Gold   Sabin Metal Corp.   United States of America
Gold   Safimet S.p.A*   Italy
Gold   SAFINA A.S.**   Czechia
Gold   Sai Refinery   India
Gold   Samduck Precious Metals*   Korea, Republic of
Gold   Samwon Metals Corp.   Korea, Republic of
Gold   SAXONIA Edelmetalle GmbH*   Germany
Gold   SEMPSA Joyeria Plateria S.A.*   Spain
Gold   Shandong Humon Smelting Co., Ltd.   China
Gold   Shandong Tiancheng Biological Gold Industrial Co., Ltd.   China
Gold   Shandong Zhaojin Gold & Silver Refinery Co., Ltd.*   China
Gold   Sichuan Tianze Precious Metals Co., Ltd.*   China
Gold   Singway Technology Co., Ltd.*   Taiwan, Province of China
Gold   SOE Shyolkovsky Factory of Secondary Precious Metals*   Russian Federation
Gold   Solar Applied Materials Technology Corp.*   Taiwan, Province of China
Gold   Sovereign Metals   India

 

 

 

 

Gold   State Research Institute Center for Physical Sciences and Technology   Lithuania
Gold   Sudan Gold Refinery   Sudan
Gold   Sumitomo Metal Mining Co., Ltd.*   Japan
Gold   SungEel HiMetal Co., Ltd.*   Korea, Republic of
Gold   T.C.A S.p.A*   Italy
Gold   Tanaka Kikinzoku Kogyo K.K.*   Japan
Gold   The Refinery of Shandong Gold Mining Co., Ltd.*   China
Gold   Tokuriki Honten Co., Ltd.*   Japan
Gold   Tongling Nonferrous Metals Group Co., Ltd.   China
Gold   Tony Goetz NV   Belgium
Gold   TOO Tau-Ken-Altyn*   Kazakhstan
Gold   Torecom*   Korea, Republic of
Gold   Umicore Brasil Ltda.*   Brazil
Gold   Umicore Precious Metals Thailand*   Thailand
Gold   Umicore S.A. Business Unit Precious Metals Refining*   Belgium
Gold   United Precious Metal Refining, Inc.*   United States of America
Gold   Universal Precious Metals Refining Zambia   Zambia
Gold   Valcambi S.A.*   Switzerland
Gold   Western Australian Mint (T/a The Perth Mint)*   Australia
Gold   WIELAND Edelmetalle GmbH*   Germany
Gold   Yamakin Co., Ltd.*   Japan
Gold   Yokohama Metal Co., Ltd.*   Japan
Gold   Yunnan Copper Industry Co., Ltd.   China
Gold   Zhongyuan Gold Smelter of Zhongjin Gold Corporation*   China
Tantalum   Asaka Riken Co., Ltd.*   Japan
Tantalum   Changsha South Tantalum Niobium Co., Ltd.*   China
Tantalum   CP Metals Inc.*   United States of America
Tantalum   D Block Metals, LLC*   United States of America
Tantalum   Exotech Inc.*   United States of America
Tantalum   F&X Electro-Materials Ltd.*   China
Tantalum   FIR Metals & Resource Ltd.*   China
Tantalum   Global Advanced Metals Aizu*   Japan
Tantalum   Global Advanced Metals Boyertown*   United States of America
Tantalum   Guangdong Rising Rare Metals-EO Materials Ltd.*   China
Tantalum   Guangdong Zhiyuan New Material Co., Ltd.*   China
Tantalum   H.C. Starck Co., Ltd.*   Thailand
Tantalum   H.C. Starck Hermsdorf GmbH*   Germany
Tantalum   H.C. Starck Inc.*   United States of America
Tantalum   H.C. Starck Ltd.*   Japan
Tantalum   H.C. Starck Smelting GmbH & Co. KG*   Germany
Tantalum   H.C. Starck Tantalum and Niobium GmbH*   Germany
Tantalum   Hengyang King Xing Lifeng New Materials Co., Ltd.*   China
Tantalum   Jiangxi Dinghai Tantalum & Niobium Co., Ltd.*   China
Tantalum   Jiangxi Tuohong New Raw Material*   China
Tantalum   Jiujiang Janny New Material Co., Ltd.   China
Tantalum   JiuJiang JinXin Nonferrous Metals Co., Ltd.*   China

 

 

 

 

Tantalum   Jiujiang Tanbre Co., Ltd.*   China
Tantalum   Jiujiang Zhongao Tantalum & Niobium Co., Ltd.*   China
Tantalum   KEMET Blue Metals*   Mexico
Tantalum   KEMET Blue Powder*   United States of America
Tantalum   LSM Brasil S.A.*   Brazil
Tantalum   Metallurgical Products India Pvt., Ltd.*   India
Tantalum   Mineracao Taboca S.A.*   Brazil
Tantalum   Mitsui Mining and Smelting Co., Ltd.*   Japan
Tantalum   Ningxia Orient Tantalum Industry Co., Ltd.*   China
Tantalum   NPM Silmet AS*   Estonia
Tantalum   Power Resources Ltd.*   Macedonia, The Former Yugoslav Republic of
Tantalum   QuantumClean*   United States of America
Tantalum   Resind Industria e Comercio Ltda.*   Brazil
Tantalum   RFH Tantalum Smeltery Co., Ltd./Yanling Jincheng Tantalum & Niobium Co., Ltd.*   China
Tantalum   Solikamsk Magnesium Works OAO*   Russian Federation
Tantalum   Taki Chemical Co., Ltd.*   Japan
Tantalum   Telex Metals*   United States of America
Tantalum   Ulba Metallurgical Plant JSC*   Kazakhstan
Tantalum   XinXing HaoRong Electronic Material Co., Ltd.*   China
Tin   Alpha*   United States of America
Tin   An Vinh Joint Stock Mineral Processing Company   Vietnam
Tin   Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.*   China
Tin   Chifeng Dajingzi Tin Industry Co., Ltd.*   China
Tin   China Tin Group Co., Ltd.*   China
Tin   CNMC (Guangxi) PGMA Co., Ltd.   China
Tin   Cooperativa Metalurgica de Rondônia Ltda.   Brazil
Tin   CV Ayi Jaya*   Indonesia
Tin   CV Dua Sekawan*   Indonesia
Tin   CV Gita Pesona*   Indonesia
Tin   CV United Smelting*   Indonesia
Tin   CV Venus Inti Perkasa*   Indonesia
Tin   Dongguan CiEXPO Environmental Engineering Co., Ltd.   China
Tin   Dowa*   Japan
Tin   Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company   Vietnam
Tin   EM Vinto*   Bolivia (Plurinational State of)
Tin   Estanho de Rondonia S.A.   Brazil
Tin   Fenix Metals*   Poland
Tin   Gejiu City Fuxiang Industry and Trade Co., Ltd.   China
Tin   Gejiu Fengming Metallurgy Chemical Plant*   China
Tin   Gejiu Kai Meng Industry and Trade LLC*   China
Tin   Gejiu Non-Ferrous Metal Processing Co. Ltd.*   China
Tin   Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.*   China
Tin   Gejiu Zili Mining And Metallurgy Co., Ltd.*   China
Tin   Guangdong Hanhe Non-Ferrous Metal Co., Ltd.*   China

 

 

 

 

Tin   Guanyang Guida Nonferrous Metal Smelting Plant*   China
Tin   HuiChang Hill Tin Industry Co., Ltd.*   China
Tin   Huichang Jinshunda Tin Co., Ltd.*   China
Tin   Jiangxi New Nanshan Technology Ltd.*   China
Tin   Linwu Xianggui Ore Smelting Co., Ltd.   China
Tin   Luna Smelter, Ltd.*   Rwanda
Tin   Ma'anshan Weitai Tin Co., Ltd.*   China
Tin   Magnu's Minerais Metais e Ligas Ltda.*   Brazil
Tin   Malaysia Smelting Corporation (MSC)*   Malaysia
Tin   Melt Metais e Ligas S.A.*   Brazil
Tin   Metallic Resources, Inc.*   United States of America
Tin   Metallo Belgium N.V.*   Belgium
Tin   Metallo Spain S.L.U.*   Spain
Tin   Mineracao Taboca S.A.*   Brazil
Tin   Minsur*   Peru
Tin   Mitsubishi Materials Corporation*   Japan
Tin   Modeltech Sdn Bhd   Malaysia
Tin   Nghe Tinh Non-Ferrous Metals Joint Stock Company   Vietnam
Tin   O.M. Manufacturing (Thailand) Co., Ltd.*   Thailand
Tin   O.M. Manufacturing Philippines, Inc.*   Philippines
Tin   Operaciones Metalurgicas S.A.*   Bolivia (Plurinational State of)
Tin   Pongpipat Company Limited   Myanmar
Tin   Precious Minerals and Smelting Limited**   India
Tin   PT Aries Kencana Sejahtera*   Indonesia
Tin   PT Artha Cipta Langgeng*   Indonesia
Tin   PT ATD Makmur Mandiri Jaya*   Indonesia
Tin   PT Babel Inti Perkasa*   Indonesia
Tin   PT Babel Surya Alam Lestari*   Indonesia
Tin   PT Bangka Prima Tin*   Indonesia
Tin   PT Bangka Serumpun*   Indonesia
Tin   PT Bangka Tin Industry*   Indonesia
Tin   PT Belitung Industri Sejahtera*   Indonesia
Tin   PT Bukit Timah*   Indonesia
Tin   PT DS Jaya Abadi*   Indonesia
Tin   PT Inti Stania Prima*   Indonesia
Tin   PT Karimun Mining*   Indonesia
Tin   PT Kijang Jaya Mandiri*   Indonesia
Tin   PT Lautan Harmonis Sejahtera*   Indonesia
Tin   PT Menara Cipta Mulia*   Indonesia
Tin   PT Mitra Stania Prima*   Indonesia
Tin   PT Panca Mega Persada*   Indonesia
Tin   PT Premium Tin Indonesia*   Indonesia
Tin   PT Prima Timah Utama*   Indonesia
Tin   PT Rajawali Rimba Perkasa*   Indonesia
Tin   PT Rajehan Ariq*   Indonesia
Tin   PT Refined Bangka Tin*   Indonesia

 

 

 

 

Tin   PT Sariwiguna Binasentosa*   Indonesia
Tin   PT Stanindo Inti Perkasa*   Indonesia
Tin   PT Sukses Inti Makmur*   Indonesia
Tin   PT Sumber Jaya Indah*   Indonesia
Tin   PT Timah Tbk Kundur*   Indonesia
Tin   PT Timah Tbk Mentok*   Indonesia
Tin   PT Tinindo Inter Nusa*   Indonesia
Tin   PT Tirus Putra Mandiri*   Indonesia
Tin   PT Tommy Utama*   Indonesia
Tin   Resind Industria e Comercio Ltda.*   Brazil
Tin   Rui Da Hung*   Taiwan, Province of China
Tin   Soft Metais Ltda.*   Brazil
Tin   Super Ligas   Brazil
Tin   Thai Nguyen Mining and Metallurgy Co., Ltd.*   Vietnam
Tin   Thaisarco*   Thailand
Tin   Tin Technology & Refining*   United States of America
Tin   Tuyen Quang Non-Ferrous Metals Joint Stock Company   Vietnam
Tin   White Solder Metalurgia e Mineracao Ltda.*   Brazil
Tin   Yunnan Chengfeng Non-ferrous Metals Co., Ltd.*   China
Tin   Yunnan Tin Company Limited*   China
Tin   Yunnan Yunfan Non-ferrous Metals Co., Ltd.*   China
Tungsten   A.L.M.T. Corp.*   Japan
Tungsten   ACL Metais Eireli*   Brazil
Tungsten   Albasteel Industria e Comercio de Ligas Para Fundicao Ltd.**   Brazil
Tungsten   Asia Tungsten Products Vietnam Ltd.*   Vietnam
Tungsten   Chenzhou Diamond Tungsten Products Co., Ltd.*   China
Tungsten   China Molybdenum Tungsten Co., Ltd.   China
Tungsten   Chongyi Zhangyuan Tungsten Co Ltd*   China
Tungsten   CNMC (Guangxi) PGMA Co., Ltd.   China
Tungsten   CP Metals Inc.**   United States of America
Tungsten   Fujian Ganmin RareMetal Co., Ltd.*   China
Tungsten   Fujian Jinxin Tungsten Co., Ltd.*   China
Tungsten   Ganzhou Haichuang Tungsten Co., Ltd.*   China
Tungsten   Ganzhou Huaxing Tungsten Products Co., Ltd.*   China
Tungsten   Ganzhou Jiangwu Ferrotungsten Co., Ltd.*   China
Tungsten   Ganzhou Non-ferrous Metals Smelting Co., Ltd.   China
Tungsten   Ganzhou Seadragon W & Mo Co., Ltd.*   China
Tungsten   Global Tungsten & Powders Corp.*   United States of America
Tungsten   Guangdong Xianglu Tungsten Co., Ltd.*   China
Tungsten   H.C. Starck Smelting GmbH & Co. KG*   Germany
Tungsten   H.C. Starck Tungsten GmbH*   Germany
Tungsten   Hunan Chenzhou Mining Co., Ltd.*   China
Tungsten   Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji*   China
Tungsten   Hunan Chunchang Nonferrous Metals Co., Ltd.*   China
Tungsten   Hunan Litian Tungsten Industry Co., Ltd.*   China
Tungsten   Hydrometallurg, JSC*   Russian Federation

 

 

 

 

Tungsten   Japan New Metals Co., Ltd.*   Japan
Tungsten   Jiangwu H.C. Starck Tungsten Products Co., Ltd.*   China
Tungsten   Jiangxi Dayu Longxintai Tungsten Co., Ltd.**   China
Tungsten   Jiangxi Gan Bei Tungsten Co., Ltd.*   China
Tungsten   Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.   China
Tungsten   Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.*   China
Tungsten   Jiangxi Xinsheng Tungsten Industry Co., Ltd.*   China
Tungsten   Jiangxi Yaosheng Tungsten Co., Ltd.*   China
Tungsten   JSC "Kirovgrad Hard Alloys Plant"**   Russian Federation
Tungsten   Kennametal Fallon*   United States of America
Tungsten   Kennametal Huntsville*   United States of America
Tungsten   KGETS Co., Ltd.*   Korea, Republic of
Tungsten   Lianyou Metals Co., Ltd.*   Taiwan, Province of China
Tungsten   Malipo Haiyu Tungsten Co., Ltd.*   China
Tungsten   Masan Tungsten Chemical LLC (MTC)*   Vietnam
Tungsten   Moliren Ltd.*   Russian Federation
Tungsten   Niagara Refining LLC*   United States of America
Tungsten   Philippine Chuangxin Industrial Co., Inc.*   Philippines
Tungsten   South-East Nonferrous Metal Company Limited of Hengyang City   China
Tungsten   Tejing (Vietnam) Tungsten Co., Ltd.*   Vietnam
Tungsten   Unecha Refractory metals plant*   Russian Federation
Tungsten   Wolfram Bergbau und Hutten AG*   Austria
Tungsten   Woltech Korea Co., Ltd.*   Korea, Republic of
Tungsten   Xiamen Tungsten (H.C.) Co., Ltd.*   China
Tungsten   Xiamen Tungsten Co., Ltd*   China
Tungsten   Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.*   China
Tungsten   Xinhai Rendan Shaoguan Tungsten Co., Ltd.*   China

 

(1)As noted in the Due Diligence Results section of this report, most survey responses from direct suppliers were provided on a company-wide basis and did not differentiate as to parts and materials sold to us. In addition, many of the responses noted that not all smelters had been identified and did not completely list all the smelters used in their supply chain.

 

*Verified as a Conformant smelter as of May 29, 2020, meaning the smelter is listed as compliant with the RMAP assessment protocols, including through mutual recognition, or is listed as “Re-audit in process” by the RMI.

 

**Verified as an Active Smelter as of May 29, 2020, a RMAP designation meaning that the smelter is listed as having submitted a signed Agreement for the Exchange of Confidential Information, Auditee Agreement, and a Due Diligence Checklist.