UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM SD
SPECIALIZED DISCLOSURE REPORT
STMicroelectronics N.V.
(Exact name of the registrant as specified in its charter)
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The Netherlands
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1-13546
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26-0047957
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(State or other jurisdiction of
incorporation or organization)
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(Commission
File Number)
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(IRS Employer
Identification No.)
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WTC Schiphol Airport
Schiphol Boulevard 265
1118 BH Schiphol
The Netherlands
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N/A
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(Address of principal executive offices)
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(Zip code)
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Tait Sorensen
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+1 (602) 485-2064 |
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(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:
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√
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Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2015.
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Section 1 - Conflict Minerals Disclosure
Items 1.01 and 1.02 Conflict Minerals Disclosure and Report; Exhibit
The Company has filed as an exhibit to this Form SD a Conflict Minerals Report. This Form SD and Conflict Minerals Report are available on our website at the following address: http://investors.st.com.
Section 2 - Exhibits
Item 2.01 Exhibits
Exhibit 1.01 – Conflict Minerals Report as required by Items 1.01 and 1.02 of this Form SD.
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.
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STMicroelectronics N.V.
(Registrant)
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| By: | /s/ Carlo Bozotti | Date: May 27, 2016 | |
| Name: | Carlo Bozotti | ||
| Title: | President and Chief Executive Officer | ||
Exhibit 1.01
Conflict Minerals Report of STMicroelectronics N.V.
in accordance with Rule 13p-1 under the Securities Exchange Act of 1934
This Conflict Minerals Report (the “Report”) filed as an Exhibit to our Form SD for the year ended December 31, 2015 is presented to comply with Rule 13p-1 under the Securities Exchange Act of 1934 and guidance in relation thereto promulgated by the Securities and Exchange Commission (the “SEC”) (collectively, the “Rule”).
In this Report, references to “ST”, “we”, “us” and “Company” are to STMicroelectronics N.V. together with its consolidated subsidiaries. Furthermore, the SEC defines “conflict minerals” as columbite-tantalite (coltan), cassiterite, gold, wolframite, or their derivatives, which are limited to tantalum, tin, and tungsten; we therefore ascribe the same meaning to the term “conflict minerals” when used in this Report.
In accordance with the Rule, this Report is available on our website at the following address: http://investors.st.com.
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1.
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Company Overview
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Business and products
We are a global leader in the semiconductor market, serving a broad range of customers across different areas. Our products are used in a wide variety of applications, which can be broadly grouped into three areas: automotive systems, industrial systems and consumer connected devices. During 2015, our products were organized as follows1: (i) Sense & Power and Automotive Products (“SP&A”) segment, comprised of the product lines: Automotive (“APG”), Industrial & Power Discrete (“IPD”), Analog & MEMS (“AMS”) and Other SP&A; and (ii) Embedded Processing Solutions (“EPS”) segment, comprised of the product lines: Digital Product Group (“DPG”), Microcontroller, Memory & Secure MCU (“MMS”) and Other EPS.
In the first quarter of 2016, we announced that we will discontinue the development of new platforms and standard products for set-top-box and home gateway, a business which was a part of DPG in 2015, and we changed our organization to align with our strategic focus on Smart Driving and Internet of Things applications. Three new product groups were established: Automotive and Discrete Group (“ADG”); Microcontrollers and Digital ICs Group (“MDG”); and Analog and MEMS Group (“AMG”). This reorganization is effective as of the first quarter of 2016, and as a result, we now report revenue and operating income as follows:
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•
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Automotive and Discrete Group (ADG);
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•
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Microcontrollers and Digital ICs Group (MDG);
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•
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Analog and MEMS Group (AMG); and
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•
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Others, including the Imaging Product Division.
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A more detailed discussion of our product categories and the products relating to each category is contained in our Annual Report on Form 20-F in relation to the 2015 calendar year which was filed with the SEC on March 16, 2016.
1 We derive less than 0.10% of our total annual revenue from sales of promotional evaluation and development boards assembled by third party subcontractors, which represent prototypical system-level applications that include our integrated circuit products as well as components originating from third parties. These boards are useful to demonstrate the features and functionality of our semiconductor products and assist our customers in transitioning from initial prototype designs to final production releases. References herein to our “products” are to our integrated circuit products (excluding such boards) representing 99.90% or more of our total annual revenue.
1
Manufacturing processes
The manufacture of semiconductor products requires, among other things, the mastery of the properties of conductivity, isolation and/or amplification. The manufacturing of an integrated circuit can be divided into two phases. The first, wafer fabrication, is the extremely sophisticated and intricate process of manufacturing the silicon chip. The second, assembly, is the highly precise and automated process of packaging the die. Those two phases are commonly known respectively as “Front-End” and “Back-End”.
The manufacturing process of semiconductor products requires various materials, gases and chemicals. We have identified tin, tantalum, tungsten and gold (collectively, “3TG”) as being among the materials necessary to the functionality or production of certain of our products manufactured during the 2015 calendar year.
Supply chain
We are not engaged in the mining and trade of minerals, nor in any refining or smelting activities. We purchase materials, commodities, chemicals and gases which potentially contain a conflict mineral as part of their composition. In general, we do not conduct business directly with smelters and refiners.
Because of our large size, the complexity of our products, and the depth, breadth, and constant evolution of our global supply chain, it is difficult and resource-intensive to identify actors upstream from our direct suppliers. Accordingly, we participate in a number of industry-wide initiatives as described in section 2 below.
Conflict minerals policy
ST began to address the conflict minerals issue as early as 2007 by requiring our tantalum suppliers to confirm they were not sourcing metals from conflict areas. We are a member of the Electronic Industry Citizenship Coalition (the “EICC”), have adopted the EICC’s Code of Conduct and participate in the Global e-Sustainability Initiative (the “GeSI”) programs. We require all our suppliers and subcontractors to provide evidence that they are not sourcing 3TG through any channels that fund armed groups in the Democratic Republic of the Congo (“DRC”) or an adjoining country (collectively, the “Covered Countries”).
Additional information on our Conflict Minerals Policy, as well as our Statement on Conflict Minerals, are available at: http://www.st.com/web/en/about_st/conflict-free_minerals.html. In addition, the respective websites of the EICC and the GeSI are available at http://www.eicc.info/ and http://gesi.org/. The content of any website referenced in this Report is included for general information only and is not incorporated by reference in this Report.
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2.
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Due Diligence Process
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Design of due diligence
Our due diligence measures have been designed to conform, in all material respects, with the framework in The Organisation for Economic Co-operation and Development (“OECD”) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (the “OECD Guidance”) and the related Supplements for tin, tantalum, tungsten and gold, as well as related EICC recommendations. The OECD is an international organization that is endorsed by the United Nations and currently offers the only recognized framework available for such use.
Management system
In addition to implementing our Conflict Minerals Policy as outlined above, evidencing our top management’s commitment to the issue, we have implemented our conflict minerals management system in alignment with the OECD Guidance. We have established roles and duties within the Company’s relevant internal organizations involved in the program. The roles and duties established for several key internal organizations are outlined below.
2
Our Corporate Quality and Social Responsibility groups are responsible for the following:
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proactively working with our customers to define the scope and form of our conflict minerals disclosures;
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defining the strategy and annual objectives related to the implementation of the conflict minerals programs within the Company and the coordination thereof with the appropriate internal organizations responsible for sourcing and purchasing materials and subcontracted services and products (including our Global Procurement Organization);
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establishing the appropriate internal and external communication content on these programs through the relevant and necessary media and according to our internal processes, including, without limitation, a Company conflict minerals statement and dedicated content in our Annual Sustainability Report, both of which are available on our website; and
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reviewing and updating our conflict minerals management procedure on a regular basis.
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Our Global Procurement Organization helps to implement our conflict minerals program by supporting the communication of Company requirements to our suppliers and monitoring our suppliers’ engagement and progress in relation to our conflict minerals program.
Our Global Outsourcing Business Management group helps to implement our conflict minerals program by supporting the communication of Company requirements to Back-End subcontractors and monitoring our subcontractors’ engagement and progress in relation to our conflict minerals program.
Our Wafer Foundry group supports our conflict minerals program by communicating our requirements to wafer foundries and by monitoring our suppliers’ engagement and progress in relation to our conflict minerals program.
In addition, our conflict minerals program is included as part of our sustainability and quality strategies and is highlighted as a key objective for each of our relevant internal organizations in addition to the key internal groups discussed above, as applicable within the scope of their respective activities. A working group with representatives from the principal organizations involved regularly reviews the progress of our conflict minerals program implementation. Based on need as appropriate for the situation, such working group implements the appropriate risk mitigation measures.
Industry-wide initiatives
As we are a participating member of the EICC, we employ due diligence methodologies defined by a joint working group comprised of EICC and GeSI representatives. Tools available for participants in the EICC include a template known as the CFSI Reporting Template (the “Template”). The Template was developed to facilitate disclosure and communication of information regarding smelters that provide material to a company’s supply chain. It includes questions regarding a company’s conflict-free sourcing policy, engagement with its direct suppliers, and a listing of the smelters the company and its suppliers use. In addition, the Template contains questions about the origin of conflict minerals included in a company’s products, as well as supplier due diligence. Written instructions and recorded training illustrating the use of the tool are available on the EICC’s website. The Template is being used by many companies in their due diligence processes related to conflict minerals.
In addition, the EICC and GeSI developed in 2010 the Conflict Free Smelter (“CFS”) program, which is a voluntary initiative in which an independent third party audits smelter procurement and processing activities and determines if the smelter has provided sufficient documentation to demonstrate with reasonable confidence that the minerals it processed originated from conflict-free sources. In September 2012, the CFS program, London Bullion Market Association (LBMA) and Responsible Jewelry Council (RJC) announced their mutual cross-recognition of gold refiner audits. All three programs focus on independent third party audits of refiners’ due diligence in conformity with the OECD Guidance, which recognizes refiners as a key “choke point” in the gold supply chain.
We, along with other leading participants in the electronics industry, rely on the CFS program or equivalent industry-wide program for audits of smelters and/or refiners. Further details on this program are available on the website of the CFS program at the following address: http://www.conflictfreesourcing.org/conflict-free-smelter-program/.
3
Methodology
The Company undertook due diligence on the source and chain of custody of its necessary conflict minerals. Our due diligence measures consisted of:
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conducting a supply-chain survey with direct suppliers and subcontractors using the Template to identify the smelters and refiners which contribute refined conflict minerals to our products; and
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comparing the smelters and refiners identified by direct suppliers and subcontractors via the supply-chain survey against the list of smelter facilities which have received a “conflict free” validation by the CFS program.
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We conducted an inquiry, using the Template, with all of the suppliers and subcontractors which we identified within our supply chain. All such suppliers and subcontractors responded to our due diligence inquiry.
We reviewed the responses received against criteria developed to determine which responses required further engagement with our suppliers. These criteria included untimely or incomplete responses as well as inconsistencies within the data reported in the Template.
Template inquiry responses
We rely on the good faith efforts of our suppliers and subcontractors to provide us with reasonable representations of the processing facilities used to supply the necessary conflict minerals in our products. As a result of our inquiry via the Template, our suppliers and subcontractors reported to us a total of 139 smelters as sourcing 3TG during the 2015 calendar year. The table below2 summarizes the results of our inquiry with respect to each conflict mineral, indicating the percentage of reported smelters sourcing each metal which were CFS validated as of December 31, 2015 or, if not CFS validated as of such date, those which were actively engaged as of such date in the CFS program with a view towards becoming CFS validated (“Active Smelters”). The table below also sets forth the percentage of Active Smelters which have been represented to us as sourcing their minerals either from recycled or scrap materials or from outside of the Covered Countries, as well as the percentage of Active Smelters in relation to which we have not been provided a declaration regarding country of origin or recycled or scrap sourcing. Information relating to CFS-validated smelters is extracted from the EICC database. Information relating to Active Smelters is extracted from the responses to the Template which we sent to our first tier suppliers and subcontractors (i.e., those with which we are in direct contact). The information presented in the below table represents the state of affairs as of December 31, 2015, but should not be interpreted as necessarily having applied consistently throughout the entire 2015 calendar year. Although we have received, and regularly continue to receive, updates to the information presented in this table, we have presented it as of December 31, 2015 in order to coincide with the scope of this Report relating to the 2015 calendar year.
2 For the purposes of this table, the references to “L1” and “L2” are modeled after the EICC due diligence framework. The legend provided by the EICC is as follows (for clarification for purposes of this Report, neither of the “L1” nor the “L2” categories identified by the EICC in its due diligence framework includes the DRC or any of the other Covered Countries):
“L1” countries are those countries not identified as conflict regions or plausible areas of smuggling or export from these regions of conflict minerals.
“L2” countries are known or plausible countries for the smuggling, export out of region or transit of conflict minerals.
4
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Conflict mineral
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Number of smelters
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Percentage of smelters which
were CFS validated as of December 31, 2015 (1) |
Percentage of smelters which were
not CFS validated as of December 31, 2015 but were active in the CFS Program (“Active Smelters”) |
Percentage of Active Smelters
which have declared: (1) sourcing from L1/L2 countries or (ii) recycled or scrap sources (2) |
Percentage of Active
Smelters for which we have not been provided with a declaration regarding country of origin or recycled/scrap sources |
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Gold
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57
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100%
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0%
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N/A
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N/A
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Tantalum
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20
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100%
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0%
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N/A
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N/A
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Tin
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47
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97.9%
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2.1%
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0.0%
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100.0%
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Tungsten
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15
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100.0%
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0.0%
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N/A
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N/A
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(1) Based on EICC CFS program
(2) Based on information represented by suppliers and subcontractors
From the figures in the above table, we can conclude that approximately 99.3% of the smelters (based on the aggregate number of smelters when all four conflict minerals are taken into consideration) declared to us by our suppliers and subcontractors were validated by the CFS program as of December 31, 2015. The 0.7% of smelters which were not validated by the CFS program as of December 31, 2015 is represented by one tin smelter, which was an Active Smelter as of December 31, 2015. We have also included in Appendix I to this Report a list of processing facilities as reported to us by our suppliers and subcontractors, their identification number as used by the CFS program and the number of suppliers which reported to us as having sourced 3TG from the particular facility during calendar year 2015.
Analysis of our products in light of due diligence results
Based on the information that is available to us, we are able to conclude that all tantalum, gold and tungsten-derived materials contained in our products originate from sources that were validated as of December 31, 2015 by way of the CFS program as being conflict-free. Concerning tin, all but one of our potential sources thereof were validated as conflict-free by the CFS program as of December 31, 2015. The one such non-validated source was an Active Smelter of tin as of December 31, 2015, which was only reported by one supplier as the source of materials on our behalf during calendar year 2015, and with respect to which we do not have evidence regarding the country of origin of the tin. The data presented in the above table, as well as the related discussion in this Report, are current as of December 31, 2015, and we are not able to conclude that such data necessarily applied during the entire 2015 calendar year to which this Report relates. For example, we know that 19 of the CFS-validated smelters set forth in Appendix I hereto reached such status during the course of 2015 (and not precisely on January 1, 2015). As such, we are not in a position to know whether a certain 3TG material which was used in the manufacture of a product during 2015 originated with one of such smelters before or after it was validated by the CFS program.
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3.
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Further Risk Mitigation
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Discussion is included below as to certain efforts we are making, and will continue to make, to further mitigate the risk that our necessary conflict minerals do not benefit armed groups, including steps we are taking to improve our due diligence.
Mitigating the effects of multi-sourcing
Certain of the challenges we encountered in our due diligence were a result of multi-sourcing. We conduct business with a large number of suppliers in obtaining the materials required for our products, in an effort to ensure continuity in our supply chain. Those suppliers, in turn, work with a large number of smelters and refiners to source materials (including conflict minerals) which ultimately are contained in our products. As a consequence, each of our material parts is linked to several suppliers and, consequently, to several smelters, each with a potentially differing conflict mineral status.
Our suppliers also service other semiconductor manufacturers and other electronics industry participants whose supply needs may or may not coincide with ours. Accordingly, the total number of smelters from which our suppliers source materials may exceed the number of such smelters whose conflict minerals are ultimately contained in our products.
5
Currently, the representations included within the responses to our Template inquiries which we receive from our suppliers and subcontractors cover all smelters providing materials to them, and do not necessarily correlate solely to the smelters whose minerals are contained only in our products (and not in those of other customers of such suppliers and subcontractors without also being contained in our products). This adds further complexity to linking the conflict minerals used in a particular product category to a specific source of origin, as the list of all potential smelters provided by our suppliers may be broader than the list of only those smelters from which our suppliers source conflict minerals for use in our product categories (and may include smelters sourcing conflict minerals for end use by other customers of such suppliers and not us).
A result of this complexity is that we are forced to include all smelters providing materials to our suppliers and subcontractors when performing our due diligence on the origin of the conflict minerals contained in our products, as our suppliers and subcontractors do not always provide us with a list that excludes the smelters whose conflict minerals are not contained in our products. In relation to calendar year 2015, a total of 36 new smelters were reported to us by our suppliers and subcontractors, which were not reported to us in relation to calendar year 2014.
One method in which we expect to improve our due diligence is to continue to work with our suppliers and subcontractors with a view to obtaining certifications which are better tailored only to our end products, as opposed to blanket company-wide certifications from each supplier or subcontractor. For example, the Template contains a reporting category in which reporting parties can more specifically link a particular smelter to a particular product, which we will encourage our suppliers and subcontractors to complete. During the 2015 calendar year, we made progress with certain of our suppliers in obtaining more specific disclosures which are more closely aligned with our actual sourcing of materials. As a result of this effort, we may be able to eliminate in the future certain smelters from the list of potential smelters from which the conflict minerals contained in our products may originate. During 2015, we were also able to discontinue sourcing of materials from one tin smelter and four tungsten smelters from which we had sourced materials during 2014, in a continuing effort to depart from non-CFS validated sources within our supply chain. Those five smelters are identified in Table 3 of Appendix 1 to this Report.
Additional initiatives
We do not directly conduct business with most of the smelters from which the conflict minerals in our products originate. We have, however, conducted our own investigative research with respect to certain smelters, which is aimed at supplementing information available to us through the CFS program. We also have maintained direct contact with certain smelters which previously did not participate in the CFS program, and we have succeeded in influencing them first to become “Active Smelters” (as defined above), then to reach full CFS validation. We expect our continuing efforts to focus on increasing and maintaining compliance by our suppliers and subcontractors with the CFS program as applies to the smelters and refiners from which such suppliers and subcontractors source the conflict minerals which are ultimately contained in our products.
A significant portion of our supply chain is not required to file reports with the SEC under Sections 13(a) or 14(d) of the Securities Exchange Act of 1934, and is therefore not concerned by reporting obligations pursuant to the Rule. Accordingly, the influence that we are able to exert on our supply chain is due in large part to market forces created as a result of a cumulative effort by us and other participants in the electronics industry to ensure compliance with the CFS program by their lower tier providers. In general, we intend to continue to request that our suppliers and subcontractors not source materials for us from any smelters which have not been validated by the CFS program (and to discontinue sourcing from any smelters which fail to maintain their CFS validation status).
Cautionary Note Regarding Forward-Looking Statements
Some of the statements contained in this Report that are not historical facts are statements of future expectations and other forward-looking statements (within the meaning of Section 27A of the Securities Act of 1933 or Section 21E of the Securities Exchange Act of 1934, each as amended) that are based on management’s current views and assumptions, and are conditioned upon and also involve known and unknown risks and uncertainties that could cause actual results, performance or events to differ materially and adversely from those anticipated by such forward-looking statements. Certain forward-looking statements can be identified by the use of forward-looking terminology, such as “believes”, “expects”, “may”, “are expected to”, “should”, “would be”, “seeks” or “anticipates” or similar expressions or the negative thereof or other variations thereof or comparable terminology, or by discussions of strategy, plans or intentions. Should one or more of these risks or uncertainties materialize, or should underlying assumptions prove incorrect, actual results may vary materially from those described in this Report as anticipated, believed or expected. We do not intend, and do not assume any obligation, to update any information or forward-looking statements set forth in this Report to reflect subsequent events or circumstances.
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Appendix I
Lists of Processing Facilities
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Table 1: Processing facilities reported in our supply chain in relation to calendar year 2015 which were validated by the CFS program as of December 31, 2015
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Metal
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Smelter Name
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Smelter Identification
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Number of suppliers which reported having sourced materials from this facility during calendar year 2015
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Gold
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Aida Chemical Industries Co., Ltd.
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CID000019
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5
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Gold
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Allgemeine Gold-und Silberscheideanstalt A.G.
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CID000035
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6
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Gold
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AngloGold Ashanti Córrego do Sítio Mineração
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CID000058
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6
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Gold
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Argor-Heraeus SA
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CID000077
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20
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Gold
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Asahi Pretec Corporation
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CID000082
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13
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Gold
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Asahi Refining Canada Limited
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CID000924
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13
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Gold
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Asahi Refining USA Inc.
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CID000920
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16
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Gold
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Asaka Riken Co., Ltd.
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CID000090
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2
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Gold
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Atasay Kuyumculuk Sanayi Ve Ticaret A.S.
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CID000103
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3
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Gold
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Aurubis AG
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CID000113
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8
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Gold
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Bangko Sentral ng Pilipinas (Central Bank of the Philippines)
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CID000128
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3
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Gold
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Boliden AB
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CID000157
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3
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Gold
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C. Hafner GmbH + Co. KG
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CID000176
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4
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Gold
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CCR Refinery – Glencore Canada Corporation
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CID000185
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4
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Gold
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Chimet S.p.A.
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CID000233
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6
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Gold
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Dowa
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CID000401
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8
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Gold
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Eco-System Recycling Co., Ltd.
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CID000425
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5
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Gold
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Elemetal Refining, LLC
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CID001322
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10
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Gold
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Heimerle + Meule GmbH
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CID000694
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6
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Gold
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Heraeus Ltd. Hong Kong
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CID000707
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32
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Gold
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Heraeus Precious Metals GmbH & Co. KG
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CID000711
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27
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Gold
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Ishifuku Metal Industry Co., Ltd.
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CID000807
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10
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Gold
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Istanbul Gold Refinery
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CID000814
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3
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Gold
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JX Nippon Mining & Metals Co., Ltd.
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CID000937
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9
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Gold
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Kennecott Utah Copper LLC
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CID000969
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6
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Gold
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Kojima Chemicals Co., Ltd.
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CID000981
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6
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Gold
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LS-NIKKO Copper Inc.
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CID001078
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9
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Gold
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Materion
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CID001113
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7
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Gold
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Matsuda Sangyo Co., Ltd.
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CID001119
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13
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Gold
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Metalor Technologies (Hong Kong) Ltd.
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CID001149
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9
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Gold
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Metalor Technologies SA
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CID001153
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34
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Gold
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Metalor USA Refining Corporation
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CID001157
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8
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Gold
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METALÚRGICA MET-MEX PEÑOLES, S.A. DE C.V
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CID001161
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1
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Gold
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Mitsubishi Materials Corporation
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CID001188
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12
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7
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Gold
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Mitsui Mining and Smelting Co., Ltd.
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CID001193
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10
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Gold
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Nadir Metal Rafineri San. Ve Tic. A.Ş.
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CID001220
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2
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Gold
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Nihon Material Co., Ltd.
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CID001259
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12
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Gold
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Ohura Precious Metal Industry Co., Ltd.
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CID001325
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3
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Gold
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PAMP SA
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CID001352
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6
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Gold
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PX Précinox SA
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CID001498
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1
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Gold
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Rand Refinery (Pty) Ltd.
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CID001512
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8
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Gold
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Republic Metals Corporation
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CID002510
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2
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Gold
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Royal Canadian Mint
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CID001534
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12
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Gold
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SEMPSA Joyería Platería SA
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CID001585
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4
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Gold
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Shandong Zhaojin Gold & Silver Refinery Co., Ltd.
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CID001622
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13
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Gold
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Solar Applied Materials Technology Corp.
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CID001761
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7
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Gold
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Sumitomo Metal Mining Co., Ltd.
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CID001798
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12
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Gold
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Tanaka Kikinzoku Kogyo K.K.
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CID001875
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23
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Gold
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The Refinery of Shandong Gold Mining Co., Ltd.
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CID001916
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8
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Gold
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Tokuriki Honten Co., Ltd.
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CID001938
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7
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Gold
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Umicore SA Business Unit Precious Metals Refining
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CID001980
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12
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Gold
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United Precious Metal Refining, Inc.
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CID001993
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7
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Gold
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Valcambi SA
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CID002003
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6
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Gold
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Western Australian Mint trading as The Perth Mint
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CID002030
|
18
|
|
Gold
|
Yamamoto Precious Metal Co., Ltd.
|
CID002100
|
2
|
|
Gold
|
Zhongyuan Gold Smelter of Zhongjin Gold Corporation
|
CID002224
|
4
|
|
Gold
|
Zijin Mining Group Co., Ltd. Gold Refinery
|
CID002243
|
2
|
|
Tantalum
|
Changsha South Tantalum Niobium Co., Ltd.
|
CID000211
|
1
|
|
Tantalum
|
Conghua Tantalum and Niobium Smeltery
|
CID000291
|
2
|
|
Tantalum
|
F&X Electro-Materials Ltd.
|
CID000460
|
7
|
|
Tantalum
|
Global Advanced Metals Boyertown
|
CID002557
|
15
|
|
Tantalum
|
H.C. Starck Co., Ltd.
|
CID002544
|
9
|
|
Tantalum
|
H.C. Starck GmbH Goslar
|
CID002545
|
15
|
|
Tantalum
|
H.C. Starck GmbH Laufenburg
|
CID002546
|
9
|
|
Tantalum
|
H.C. Starck Hermsdorf GmbH
|
CID002547
|
8
|
|
Tantalum
|
H.C. Starck Inc.
|
CID002548
|
16
|
|
Tantalum
|
H.C. Starck Ltd.
|
CID002549
|
8
|
|
Tantalum
|
H.C. Starck Smelting GmbH & Co.KG
|
CID002550
|
9
|
|
Tantalum
|
Jiujiang Tanbre Co., Ltd.
|
CID000917
|
3
|
|
Tantalum
|
Mitsui Mining & Smelting
|
CID001192
|
2
|
|
Tantalum
|
Ningxia Orient Tantalum Industry Co., Ltd.
|
CID001277
|
16
|
|
Tantalum
|
Plansee SE Liezen
|
CID002540
|
2
|
|
Tantalum
|
Plansee SE Reutte
|
CID002556
|
1
|
|
Tantalum
|
Solikamsk Magnesium Works OAO
|
CID001769
|
6
|
|
Tantalum
|
Taki Chemicals
|
CID001869
|
2
|
|
Tantalum
|
Ulba Metallurgical Plant JSC
|
CID001969
|
20
|
|
Tantalum
|
Zhuzhou Cemented Carbide
|
CID002232
|
1
|
|
Tin
|
Alpha
|
CID000292
|
4
|
|
Tin
|
China Tin Group Co., Ltd.
|
CID001070
|
1
|
8
|
Tin
|
Cooperativa Metalurgica de Rondônia Ltda.
|
CID000295
|
9
|
|
Tin
|
CV Serumpun Sebalai
|
CID000313
|
1
|
|
Tin
|
CV United Smelting
|
CID000315
|
17
|
|
Tin
|
Dowa
|
CID000402
|
1
|
|
Tin
|
Elmet S.L.U. (Metallo Group)
|
CID002774
|
2
|
|
Tin
|
EM Vinto
|
CID000438
|
16
|
|
Tin
|
Fenix Metals
|
CID000468
|
10
|
|
Tin
|
Gejiu Non-Ferrous Metal Processing Co., Ltd.
|
CID000538
|
24
|
|
Tin
|
Jiangxi Ketai Advanced Material Co., Ltd.
|
CID000244
|
1
|
|
Tin
|
Magnu’s Minerais Metais e Ligas Ltda.
|
CID002468
|
3
|
|
Tin
|
Malaysia Smelting Corporation (MSC)
|
CID001105
|
29
|
|
Tin
|
Metallo-Chimique N.V.
|
CID002773
|
26
|
|
Tin
|
Mineração Taboca S.A.
|
CID001173
|
25
|
|
Tin
|
Minsur
|
CID001182
|
34
|
|
Tin
|
Mitsubishi Materials Corporation
|
CID001191
|
13
|
|
Tin
|
O.M. Manufacturing Philippines, Inc.
|
CID002517
|
1
|
|
Tin
|
Operaciones Metalurgical S.A.
|
CID001337
|
18
|
|
Tin
|
PT Aries Kencana Sejahtera
|
CID000309
|
3
|
|
Tin
|
PT Artha Cipta Langgeng
|
CID001399
|
3
|
|
Tin
|
PT ATD Makmur Mandiri Jaya
|
CID002503
|
2
|
|
Tin
|
PT Babel Inti Perkasa
|
CID001402
|
4
|
|
Tin
|
PT Bangka Tin Industry
|
CID001419
|
13
|
|
Tin
|
PT Belitung Industri Sejahtera
|
CID001421
|
5
|
|
Tin
|
PT BilliTin Makmur Lestari
|
CID001424
|
2
|
|
Tin
|
PT Bukit Timah
|
CID001428
|
20
|
|
Tin
|
PT DS Jaya Abadi
|
CID001434
|
8
|
|
Tin
|
PT Eunindo Usaha Mandiri
|
CID001438
|
5
|
|
Tin
|
PT Inti Stania Prima
|
CID002530
|
3
|
|
Tin
|
PT Justindo
|
CID000307
|
2
|
|
Tin
|
PT Mitra Stania Prima
|
CID001453
|
9
|
|
Tin
|
PT Panca Mega Persada
|
CID001457
|
3
|
|
Tin
|
PT Prima Timah Utama
|
CID001458
|
3
|
|
Tin
|
PT Refined Bangka Tin
|
CID001460
|
7
|
|
Tin
|
PT Sariwiguna Binasentosa
|
CID001463
|
7
|
|
Tin
|
PT Stanindo Inti Perkasa
|
CID001468
|
19
|
|
Tin
|
PT Timah (Persero) Tbk Kundur
|
CID001477
|
23
|
|
Tin
|
PT Timah (Persero) Tbk Mentok
|
CID001482
|
41
|
|
Tin
|
PT Tinindo Inter Nusa
|
CID001490
|
11
|
|
Tin
|
PT Wahana Perkit Jaya
|
CID002479
|
2
|
|
Tin
|
Rui Da Hung
|
CID001539
|
2
|
|
Tin
|
Soft Metais Ltda.
|
CID001758
|
2
|
|
Tin
|
Thaisarco
|
CID001898
|
31
|
|
Tin
|
White Solder Metalurgia e Mineração Ltda.
|
CID002036
|
6
|
|
Tin
|
Yunnan Tin Group (Holding) Company Limited
|
CID002180
|
9
|
|
Tungsten
|
A.L.M.T. TUNGSTEN Corp.
|
CID000004
|
1
|
9
|
Tungsten
|
Chenzhou Diamond Tungsten Products Co., Ltd.
|
CID002513
|
1
|
|
Tungsten
|
Chongyi Zhangyuan Tungsten Co., Ltd.
|
CID000258
|
8
|
|
Tungsten
|
Ganzhou Huaxing Tungsten Products Co., Ltd.
|
CID000875
|
18
|
|
Tungsten
|
Ganzhou Seadragon W & Mo Co., Ltd.
|
CID002494
|
11
|
|
Tungsten
|
Global Tungsten & Powders Corp.
|
CID000568
|
11
|
|
Tungsten
|
Guangdong Xianglu Tungsten Co., Ltd.
|
CID000218
|
1
|
|
Tungsten
|
H.C. Starck GmbH
|
CID002541
|
4
|
|
Tungsten
|
Hunan Chunchang Nonferrous Metals Co., Ltd.
|
CID000769
|
7
|
|
Tungsten
|
Japan New Metals Co., Ltd.
|
CID000825
|
4
|
|
Tungsten
|
Kennametal Huntsville
|
CID000105
|
1
|
|
Tungsten
|
Tejing (Vietnam) Tungsten Co., Ltd.
|
CID001889
|
1
|
|
Tungsten
|
Wolfram Bergbau und Hütten AG
|
CID002044
|
2
|
|
Tungsten
|
Xiamen Tungsten Co., Ltd.
|
CID002082
|
36
|
|
Tungsten
|
Xiamen Tungsten (H.C.) Co., Ltd.
|
CID002320
|
13
|
|
Table 2: Processing facilities reported in our supply chain in relation to calendar year 2015 which were not validated by the CFS program as of December 31, 2015, but were as of such date actively engaged with a view towards becoming CFS validated (Active Smelters)
|
|||
|
Metal
|
Smelter Name
|
Smelter Identification
|
Number of suppliers which reported having sourced materials from this facility during calendar year 2015
|
|
Tin
|
Yunnan Chengfeng Non-ferrous Metals Co., Ltd.
|
CID002158
|
1
|
|
Table 3: Non-CFS validated processing facilities reported in our supply chain in relation to calendar year 2014 from which we discontinued sourcing during calendar year 2015
|
||
|
Metal
|
Smelter Name
|
Smelter Identification
|
|
Tin
|
PT Bangka Putra Karya
|
CID001412
|
|
Tungsten
|
Dayu Weiliang Tungsten Co., Ltd.
|
CID000345
|
|
Tungsten
|
Fujian Jinxin Tungsten Co., Ltd.
|
CID000499
|
|
Tungsten
|
Kennametal Fallon
|
CID000966
|
|
Tungsten
|
Wolfram Company CJSC
|
CID002047
|
10