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Section 1: SD (SD)

ingn-sd.htm

 

 

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

__________________________

FORM SD

SPECIALIZED DISCLOSURE REPORT

 

__________________________

INOGEN, INC.

(Exact name of registrant as specified in its charter)

 

__________________________

 

Delaware

 

001-36309

 

33-0989359

(State or other jurisdiction

of incorporation)

 

(Commission

File Number)

 

(IRS Employer

Identification No.)

 

 

326 Bollay Drive, Goleta, CA

 

93117

(Address of principal executive offices)

 

(Zip Code)

 

Alison Bauerlein

Executive Vice President, Finance,

Chief Financial Officer, Secretary and Treasurer

(805) 562-0500

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

 

__________________________

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

 

Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2017.

 

 

 

 

 


 

 

Section 1 - Conflict Minerals Disclosure

Item 1.01 Conflict Minerals Disclosure and Report

For the reporting period from January 1, 2017 to December 31, 2017, Inogen, Inc. (the “Company”) evaluated its current products and determined that certain “conflict minerals,” as defined in Section 1, Item 1.01(d)(3) of Form SD, are necessary to the functionality or production of products manufactured by the Company, which are referred to in this Form SD as “necessary conflict minerals.” Accordingly, the Company conducted a reasonable country of origin inquiry to determine whether during 2017 its necessary conflict minerals originated in the Democratic Republic of the Congo or certain adjoining countries, which are referred to in this Form SD collectively as the “covered countries.” The Company then conducted due diligence designed to conform to the Organisation for Economic Co-operation and Development, or OECD, Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas in order to determine whether any of the Company’s necessary conflict minerals originated from any of the covered countries and whether these conflict minerals benefitted, directly or indirectly, armed groups in any of the covered countries.

Conflict Minerals Disclosure

In accordance with Rule 13p-1 promulgated under the Securities Exchange Act of 1934, as amended, and this Specialized Disclosure Report on Form SD, the Company is filing a Conflict Minerals Report as Exhibit 1.01 hereto. A copy of this Form SD and the Conflict Minerals Report are publicly available at http://investor.inogen.com/.

 

Item 1.02 Exhibit

In accordance with Rule 13p-1, and Item 2.01 of Form SD, the Company is 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 Form SD.

 

Exhibit No.

 

Description

1.01

 

Inogen, Inc. Conflict Minerals Report as required by Items 1.01 and 1.02 of this Form SD.

 


 


 

EXHIBIT INDEX

 

 

Exhibit No.

 

Description

1.01

 

Inogen, Inc. 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.

 

 

INOGEN, INC.

(Registrant)

 

 

 

 

 

By:

 

/s/ Alison Bauerlein

 

May 30, 2018

 

 

Alison Bauerlein

 

(Date)

 

 

Executive Vice President, Finance,

 

 

 

 

Chief Financial Officer, Secretary and Treasurer

 

 

 

 

 

 

(Back To Top)

Section 2: EX-1.01 (EX-1.01)

ingn-ex101_6.htm

 

Exhibit 1.01

 

Inogen, Inc.

Conflict Minerals Report

For The Reporting Period from January 1, 2017 to December 31, 2017

 

Cautionary Note Concerning Forward-Looking Statements: This Conflict Minerals Report contains forward-looking statements within the meaning of federal securities laws. These forward-looking statements include statements concerning Inogen’s objectives for its conflict minerals policy and compliance initiatives and actions it intends to take relating to conflict minerals. Forward-looking statements involve substantial risks and uncertainties that could cause actual results to differ materially from currently anticipated results. When considering forward-looking statements, you should consider, among other factors, the risk factors described in the reports and other filings that Inogen files with the United States Securities and Exchange Commission, including Inogen’s Annual Report on Form 10-K for the year ended December 31, 2017 and its subsequent Quarterly Reports on Form 10-Q. The risk factors included in these filings are not exhaustive, and risks that are not identified therein could materially affect whether Inogen realizes the results anticipated or implied by any forward-looking statements contained in this Conflict Minerals Report. Except as required by law, Inogen disclaims any obligation to update these forward-looking statements, whether as a result of new information, future events, or otherwise.

 

Introduction

 

This Conflict Minerals Report (this “Report”) for Inogen, Inc. (“Inogen” or “we” or “our”) covers the reporting period from January 1, 2017 to December 31, 2017 and is presented in accordance with Rule 13p-1 promulgated under the Securities Exchange Act of 1934, as amended (“Rule 13p-1”). This Report is filed as Exhibit 1.01 to our Specialized Disclosure Report on Form SD (the “Form SD”). A copy of this Report and the Form SD are publicly available on our website at http://investor.inogen.com/. Information contained on, or that can be accessed through, our website, does not constitute part of this Report and inclusion of our website address in this Report is an inactive textual reference only.

 

In 2010, the United States enacted the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Act”). Section 1502 of the Act relates to conflict minerals and requires companies subject to the Act to file a Form SD annually with the United States Securities and Exchange Commission (“SEC”) to disclose whether the minerals specified in Rule 13p-1 and their derivatives, limited to tungsten, tantalum, tin, and gold (referred to as the “3TG”), used in their products benefitted, directly or indirectly, armed groups in the Democratic Republic of the Congo and adjoining countries (collectively, the “Covered Countries”). This Report, which is an exhibit to our Form SD, describes the design and implementation of our conflict minerals due diligence measures undertaken, including a description of how these measures were designed to determine, to our knowledge, the source mines, countries of origin, and processing facilities for 3TG contained in components used in our products.

 

Inogen Background and Covered Products

 

We are a medical technology company that primarily develops, manufactures and markets innovative portable oxygen concentrators used to deliver supplemental long-term oxygen therapy to patients suffering from chronic respiratory conditions. We manufacture our Inogen One systems and Inogen At Home systems at our facility in Richardson, Texas and compressors at our facility in Goleta, California.  We began production of our Inogen One G3 concentrator using a contract manufacturer, Foxconn, located in the Czech Republic in the fourth

 


 

quarter of 2017. In the United States, we market and distribute our products directly to consumers, through a wide variety of direct-to-consumer marketing strategies including a physician referral model, as well as through distributors, resellers, private label partners, and home medical equipment providers. In addition, we sell through distributors, resellers, and home medical equipment providers in certain markets within Europe, the Asia-Pacific region, Latin America, the Middle East, and Africa.  Our manufacturing operations require a wide variety of raw materials that we rely on third-party manufacturers to supply.

 

We have determined that one or more of the 3TG may be necessary to the functionality or production of the oxygen concentrators we manufactured during 2017, including our Inogen One G2, Inogen One G3, Inogen One G4 and Inogen At Home. As a result, all of our concentrators are considered “covered products” for purposes of this Report.

 

Our supply chain with respect to the covered products is complex, and there are many third-parties in the supply chain between the original source of the 3TG and the manufacturer of the covered products. We do not purchase raw ore or unrefined 3TG directly and make no purchases in the Covered Countries. As a result and as described more fully below, we rely on our suppliers to provide information on the origin of the conflict minerals contained in our products.

 

Inogen Reasonable Country of Origin Inquiry

 

In accordance with Rule 13p-1 and Form SD, we determined that one or more of the 3TG may be necessary to the functionality or production of our oxygen concentrators and that such 3TG are incorporated into our products during the manufacturing process. Accordingly, we undertook a reasonable country of origin inquiry (“RCOI”). This good faith RCOI was reasonably designed to determine whether any of the 3TG incorporated into our products originated in the Covered Countries.

 

Our RCOI consisted principally of submitting the conflict minerals reporting template (the “CFSI Template”) prepared by the Conflict-Free Sourcing Initiative (“CFSI”), an initiative of the Electronic Industry Citizenship Coalition and Global e-Sustainability Initiative, to suppliers of components for our products that are considered necessary to the functionality or production of our products and for which any 3TG or their derivatives may be included (“first-tier suppliers”). We reviewed all responses for completeness, reasonableness, and consistency, and we followed up for corrections and clarifications as we determined appropriate.

 

Inogen’s Due Diligence Process

 

Our due diligence measures were 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 Framework”). The objectives of our diligence initiative were to determine, to the best of our ability, whether one or more of the 3TG is incorporated into our products; whether any such 3TG incorporated into our products was necessary for the functionality and/or production of our products; the source and chain of custody of the 3TG necessary for the functionality and/or production of our products; and whether any such 3TG originated in the Covered Countries.  In the event that 3TG from the Covered Countries which benefit armed groups are found in our supply chain, we will take appropriate actions in a timely manner to resolve the situation.

 

 


 

Due diligence measures that we implemented included, but were not limited, to the following:

 

 

1.

Establishment of Internal Management Systems

 

 

a.

Conflict Minerals Policy. In 2015, we adopted a written policy relating to the use of conflict minerals in our supply chain, which we reviewed and updated in 2017. We have communicated this written policy to each of our first-tier suppliers.  A copy of Inogen’s Conflict Minerals Policy is publicly available at http://investor.inogen.com/govdocs.  

 

 

b.

Internal Management to Support Supply Chain Due Diligence.  The Inogen finance department has been charged with the management of our conflict minerals program, working in collaboration with members from our operations team in California and Texas and our contract manufacturer in the Czech Republic.

 

 

c.

Controls and Transparency. As described above, we undertook a RCOI with respect to conflict minerals in our supply chain by providing the CFSI Template to each of our first-tier suppliers to gather information about their use of 3TG, the smelters and refiners in their supply chain that are included in our products, and the countries of origin for 3TG used in our products. We reviewed all responses for completeness, reasonableness, and consistency. We followed up for corrections and clarifications as we determined appropriate.

 

 

d.

Supplier Engagement. We continue to engage actively with our first-tier suppliers to strengthen our relationship with them. We have communicated to our suppliers our commitment to source conflict minerals in a manner that does not, directly or indirectly, benefit armed groups in the Covered Countries. We will consider alternative arrangements for our supply needs if our suppliers are unable to cooperate in our due diligence efforts.  

 

 

e.

Grievance Mechanism. Our code of conduct includes procedures for reporting violations of our policies, and we provide mechanisms for anonymous reporting of violations or concerns about the conduct of our business, including the implementation and enforcement of our Conflict Minerals Policy.

 

 

2.

Identification and Assessment of Risks in the Supply Chain

 

As discussed above, we identified our first-tier suppliers and relied on them to provide the necessary information about the use of 3TG in the products we purchase and incorporate into the manufacture of our oxygen concentrators, and the source of such 3TG. Similarly, our first-tier suppliers rely on information provided by their suppliers to provide information regarding the country of origin of 3TG included in our products.

 

 

3.

Designing and Implementing a Strategy to Respond to Identified Risks

 

We will review circumstances in which certain suppliers are unable to provide us with complete or reliable responses to the CFSI Template including, without limitation, considering whether to continue such contract or relationship or find a replacement supplier.

 

 


 

 

4.

Carrying Out Independent Third-Party Audit of Supply Chain Due Diligence at Identified Points in the Supply Chain

 

We do not have a direct relationship with any smelters or refiners in our supply chain. As a result, we do not and cannot conduct any audits directly. Instead, we have supported the development and implementation of independent third-party audits of smelters such as the Conflict-Free Smelter Program (“CFSP”) by encouraging our suppliers to purchase materials from audited, conflict-free smelters and determining whether the smelters that were used to process these minerals were validated as conflict-free by the CFSP.

 

 

5.

Reporting on Supply Chain Due Diligence

 

We publicly filed the Form SD and this Report with the SEC. A copy of this Report and the Form SD are publicly available at http://investor.inogen.com/. This Report includes information about the RCOI methodology utilized by the Company, the design of our due diligence process in conformance with the OECD Framework, the list of known smelters and refiners utilized in our supply chain identified in our due diligence process, and a description of our products that incorporate 3TG necessary to the functionality or production of such products.

 

Smelters and Refiners in Inogen’s Supply Chain

 

We adopted CFSI’s industry approach to trace back the origin of 3TG by identifying smelters, refineries, or recyclers and scrap supplier sources. We have leveraged industry initiatives such as the CFSP, which is a voluntary initiative in which an independent third-party audits smelters and refineries to determine if all of the minerals processed by the smelter or refiner originated from conflict free sources. Participation in the CFSP provides us with verified information about the sourcing activities of the smelters and refiners in our supply chain.

 

As discussed above, we submitted the CFSI Template to our first-tier suppliers. Most of the responses received from our first-tier suppliers provided information at company/division levels, rather than specific product/part number levels. As a result, we were unable to determine whether or to what extent any of the 3TG reported as used by these first-tier suppliers was contained specifically in components supplied to us. We also were unable to validate whether the smelters or refiners reported by such first-tier suppliers are actually in our supply chain. Accordingly, based on information that was provided by our first-tier suppliers or that was otherwise obtained through our due diligence process, we are unable to determine and describe all facilities used to process the 3TG contained in our covered products.

 

Based on the information that was provided by our suppliers and otherwise obtained through the due diligence process, we believe that, to the extent reasonably determinable, the facilities that were used to process the 3TG contained in the covered products included the smelters and refiners listed in Annex A attached hereto.  This table includes only facilities that are listed in the CFSI Smelter Reference List as of May 29, 2018.  An indication of “Compliant” in the far right column of the table indicates that the smelter or refinery has received a “conflict free” designation from an independent third-party audit program or is presently undergoing a re-audit to maintain its “conflict free” designation. An indication of “In Process” in the far right column of the table indicates that the smelter or refinery has not yet received a “conflict free” designation, but is undergoing an audit process that will determine such status.  An indication of “Unknown” in the far right column of the table indicates that the smelter or refinery was not included in the CFSI compliant or active lists and thus the facility’s designation is undeterminable.

 

 


 

Because the CFSI Smelter Reference List generally did not indicate individual countries of origin of the conflict minerals processed by smelters and refiners, we were not able to determine the countries of origin of the 3TG processed by the listed smelters and refiners with greater specificity.  Furthermore, as stated earlier, submission of these smelters by our first-tier suppliers does not guarantee that these smelters or refiners are present in the Company’s supply chain as our first-tier suppliers were generally only able to provide company-level CFSI Templates and not able to provide product-level CFSI Templates directly linking those smelters or refiners to the covered products. Therefore, based on our due diligence efforts, we do not have sufficient information to conclusively determine the countries of origin of the 3TG contained in the covered products.

 

Additional Risk Factors

 

The statements above are based on the RCOI process and due diligence performed in good faith by Inogen. These statements are based on the infrastructure and information available at the time. A number of factors could introduce errors or otherwise affect our 3TG status. These factors include, but are not limited to, gaps in supplier data; gaps in smelter data; errors or omissions by suppliers; errors or omissions by smelters; the definition of a smelter not being finalized at the end of the 2017 reporting period; all instances of 3TG necessary to the functionality or manufacturing of our products not yet having been identified; gaps in supplier education and knowledge; timeliness of data; public information not discovered during a reasonable search; errors in public data; language barriers and translation; supplier and smelter unfamiliarity with the protocols for identifying and sourcing potential 3TG; oversight or errors in conflict free smelter audits; Covered Countries sourced materials being declared secondary materials; companies going out of business in 2017; certification programs being not equally advanced for all industry segments and metals; and smuggling of 3TG from the Covered Countries to other countries.

 

Future Steps

 

We have communicated our expectations to our first-tier suppliers regarding our commitment to sourcing minerals for our products in a manner that does not, directly or indirectly, finance or benefit armed groups in the Democratic Republic of the Congo or adjoining countries. We expect to continue to increase our engagement with our relevant suppliers over the next year to build their knowledge and capacity so they are able to provide us with more complete and accurate information on the source and chain of custody of the 3TG included in components and parts purchased by us and incorporated into our products.

 

 

 

 


 

Annex A

2017 Facility and Country List

Metal

 

Smelter

 

Country

 

Compliance Status

Gold

 

Abington Reldan Metals, LLC

UNITED STATES OF AMERICA

 

Unknown

Gold

 

Advanced Chemical Company

UNITED STATES OF AMERICA

 

Compliant

Gold

 

Aida Chemical Industries Co., Ltd.

JAPAN

 

Compliant

Gold

 

Al Etihad Gold LLC

UNITED ARAB EMIRATES

 

Compliant

Gold

 

Allgemeine Gold-und Silberscheideanstalt A.G.

GERMANY

 

Compliant

Gold

 

Almalyk Mining and Metallurgical Complex (AMMC)

UZBEKISTAN

 

Compliant

Gold

 

AngloGold Ashanti Corrego do Sitio Mineracao

BRAZIL

 

Compliant

Gold

 

Argor-Heraeus S.A.

SWITZERLAND

 

Compliant

Gold

 

Asahi Pretec Corp.

JAPAN

 

Compliant

Gold

 

Asahi Refining Canada Ltd.

CANADA

 

Compliant

Gold

 

Asahi Refining USA Inc.

UNITED STATES OF AMERICA

 

Compliant

Gold

 

Asaka Riken Co., Ltd.

JAPAN

 

Compliant

Gold

 

Atasay Kuyumculuk Sanayi Ve Ticaret A.S.

TURKEY

 

Unknown

Gold

 

AU Traders and Refiners

SOUTH AFRICA

 

Compliant

Gold

 

Aurubis AG

GERMANY

 

Compliant

Gold

 

Bangalore Refinery

INDIA

 

In Process

Gold

 

Bangko Sentral ng Pilipinas (Central Bank of the Philippines)

PHILIPPINES

 

Compliant

Gold

 

Boliden AB

SWEDEN

 

Compliant

Gold

 

C. Hafner GmbH + Co. KG

GERMANY

 

Compliant

Gold

 

Caridad

MEXICO

 

Unknown

Gold

 

CCR Refinery - Glencore Canada Corporation

CANADA

 

Compliant

Gold

 

Cendres + Metaux S.A.

SWITZERLAND

 

Compliant

Gold

 

Chimet S.p.A.

ITALY

 

Compliant

Gold

 

Chugai Mining

JAPAN

 

Unknown

Gold

 

Daejin Indus Co., Ltd.

KOREA, REPUBLIC OF

 

Compliant

Gold

 

Daye Non-Ferrous Metals Mining Ltd.

CHINA

 

Unknown

Gold

 

Degussa Sonne / Mond Goldhandel GmbH

GERMANY

 

Unknown

Gold

 

DODUCO GmbH

GERMANY

 

Compliant

Gold

 

Dowa

JAPAN

 

Compliant

Gold

 

DSC (Do Sung Corporation)

 

KOREA, REPUBLIC OF

 

Compliant

Gold

 

Eco-System Recycling Co., Ltd.

 

JAPAN

 

Compliant

Gold

 

Elemetal Refining, LLC

 

UNITED STATES OF AMERICA

 

Unknown

Gold

 

Emirates Gold DMCC

 

UNITED ARAB EMIRATES

 

Compliant

Gold

 

Fidelity Printers and Refiners Ltd.

 

ZIMBABWE

 

Unknown

Gold

 

GCC Gujrat Gold Centre Pvt. Ltd.

 

INDIA

 

Unknown

Gold

 

Geib Refining Corporation

 

UNITED STATES OF AMERICA

 

Compliant

Gold

 

Gold Refinery of Zijin Mining Group Co., Ltd.

 

CHINA

 

Compliant

Gold

 

Great Wall Precious Metals Co., Ltd. of CBPM

 

CHINA

 

Unknown

Gold

 

Guangdong Jinding Gold Limited

 

CHINA

 

Unknown

Gold

 

Guoda Safina High-Tech Environmental Refinery Co., Ltd.

 

CHINA

 

Unknown

Gold

 

Hangzhou Fuchunjiang Smelting Co., Ltd.

 

CHINA

 

Unknown

Gold

 

HeeSung Metal Ltd.

 

KOREA, REPUBLIC OF

 

Compliant

 


 

Metal

 

Smelter

 

Country

 

Compliance Status

Gold

 

Heimerle + Meule GmbH

 

GERMANY

 

Compliant

Gold

 

Heraeus Metals Hong Kong Ltd.

 

CHINA

 

Compliant

Gold

 

Heraeus Precious Metals GmbH & Co. KG

 

GERMANY

 

Compliant

Gold

 

Hunan Chenzhou Mining Co., Ltd.

 

CHINA

 

Unknown

Gold

 

HwaSeong CJ CO., LTD.

 

KOREA, REPUBLIC OF

 

Unknown

Gold

 

Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.

 

CHINA

 

Compliant

Gold

 

Ishifuku Metal Industry Co., Ltd.

 

JAPAN

 

Compliant

Gold

 

Istanbul Gold Refinery

 

TURKEY

 

Compliant

Gold

 

Italpreziosi

 

ITALY

 

Compliant

Gold

 

Japan Mint

 

JAPAN

 

Compliant

Gold

 

Jiangxi Copper Co., Ltd.

 

CHINA

 

Compliant

Gold

 

JSC Ekaterinburg Non-Ferrous Metal Processing Plant

 

RUSSIAN FEDERATION

 

Compliant

Gold

 

JSC Uralelectromed

 

RUSSIAN FEDERATION

 

Compliant

Gold

 

JX Nippon Mining & Metals Co., Ltd.

 

JAPAN

 

Compliant

Gold

 

Kaloti Precious Metals

 

UNITED ARAB EMIRATES

 

Unknown

Gold

 

Kazakhmys Smelting LLC

 

KAZAKHSTAN

 

Unknown

Gold

 

Kazzinc

 

KAZAKHSTAN

 

Compliant

Gold

 

Kennecott Utah Copper LLC

 

UNITED STATES OF AMERICA

 

Compliant

Gold

 

KGHM Polska Miedz Spolka Akcyjna

 

POLAND

 

In Process

Gold

 

Kojima Chemicals Co., Ltd.

 

JAPAN

 

Compliant

Gold

 

Korea Zinc Co., Ltd.

 

KOREA, REPUBLIC OF

 

Compliant

Gold

 

Kyrgyzaltyn JSC

 

KYRGYZSTAN

 

Compliant

Gold

 

Kyshtym Copper-Electrolytic Plant ZAO

 

RUSSIAN FEDERATION

 

Unknown

Gold

 

L'azurde Company For Jewelry

 

SAUDI ARABIA

 

Unknown

Gold

 

Lingbao Gold Co., Ltd.

 

CHINA

 

Unknown

Gold

 

Lingbao Jinyuan Tonghui Refinery Co., Ltd.

 

CHINA

 

Unknown

Gold

 

L'Orfebre S.A.

 

ANDORRA

 

In Process

Gold

 

LS-NIKKO Copper Inc.

 

KOREA, REPUBLIC OF

 

Compliant

Gold

 

Luoyang Zijin Yinhui Gold Refinery Co., Ltd.

 

CHINA

 

Unknown

Gold

 

Marsam Metals

 

BRAZIL

 

Compliant

Gold

 

Materion

 

UNITED STATES OF AMERICA

 

Compliant

Gold

 

Matsuda Sangyo Co., Ltd.

 

JAPAN

 

Compliant

Gold

 

Metalor Technologies (Hong Kong) Ltd.

 

CHINA

 

Compliant

Gold

 

Metalor Technologies (Singapore) Pte., Ltd.

 

SINGAPORE

 

Compliant

Gold

 

Metalor Technologies (Suzhou) Ltd.

 

CHINA

 

Compliant

Gold

 

Metalor Technologies S.A.

 

SWITZERLAND

 

Compliant

Gold

 

Metalor USA Refining Corporation

 

UNITED STATES OF AMERICA

 

Compliant

Gold

 

Metalurgica Met-Mex Penoles S.A. De C.V.

 

MEXICO

 

Compliant

Gold

 

Mitsubishi Materials Corporation

 

JAPAN

 

Compliant

Gold

 

Mitsui Mining and Smelting Co., Ltd.

 

JAPAN

 

Compliant

Gold

 

MMTC-PAMP India Pvt., Ltd.

 

INDIA

 

Compliant

Gold

 

Modeltech Sdn Bhd

 

MALAYSIA

 

In Process

Gold

 

Morris and Watson

 

NEW ZEALAND

 

Unknown

Gold

 

Morris and Watson Gold Coast

 

AUSTRALIA

 

Unknown

Gold

 

Moscow Special Alloys Processing Plant

 

RUSSIAN FEDERATION

 

Compliant

 


 

 

 

 

 

 

 

 

Metal

 

Smelter

 

Country

 

Compliance Status

Gold

 

Nadir Metal Rafineri San. Ve Tic. A.S.

 

TURKEY

 

Compliant

Gold

 

Navoi Mining and Metallurgical Combinat

 

UZBEKISTAN

 

Unknown

Gold

 

Nihon Material Co., Ltd.

 

JAPAN

 

Compliant

Gold

 

Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH

 

AUSTRIA

 

Compliant

Gold

 

Ohura Precious Metal Industry Co., Ltd.

 

JAPAN

 

Compliant

Gold

 

OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)

 

RUSSIAN FEDERATION

 

Compliant

Gold

 

OJSC Novosibirsk Refinery

 

RUSSIAN FEDERATION

 

Compliant

Gold

 

PAMP S.A.

 

SWITZERLAND

 

Compliant

Gold

 

Pease & Curren

 

UNITED STATES OF AMERICA

 

Unknown

Gold

 

Penglai Penggang Gold Industry Co., Ltd.

 

CHINA

 

Unknown

Gold

 

Prioksky Plant of Non-Ferrous Metals

 

RUSSIAN FEDERATION

 

Compliant

Gold

 

PT Aneka Tambang (Persero) Tbk

 

INDONESIA

 

Compliant

Gold

 

PX Precinox S.A.

 

SWITZERLAND

 

Compliant

Gold

 

Rand Refinery (Pty) Ltd.

 

SOUTH AFRICA

 

Compliant

Gold

 

Refinery of Seemine Gold Co., Ltd.

 

SOUTH AFRICA

 

Compliant

Gold

 

Remondis Argentia B.V.

 

NETHERLANDS

 

In Process

Gold

 

Republic Metals Corporation

 

UNITED STATES OF AMERICA

 

Compliant

Gold

 

Royal Canadian Mint

 

CANADA

 

Compliant

Gold

 

SAAMP

 

FRANCE

 

Compliant

Gold

 

Sabin Metal Corp.

 

UNITED STATES OF AMERICA

 

Unknown

Gold

 

Safimet S.p.A

 

ITALY

 

Compliant

Gold

 

SAFINA A.S.

 

CZECH REPUBLIC

 

Compliant

Gold

 

Sai Refinery

 

INDIA

 

Unknown

Gold

 

Samduck Precious Metals

 

KOREA, REPUBLIC OF

 

Compliant

Gold

 

Samwon Metals Corp.

 

KOREA, REPUBLIC OF

 

Unknown

Gold

 

SAXONIA Edelmetalle GmbH

 

GERMANY

 

Compliant

Gold

 

SEMPSA Joyeria Plateria S.A.

 

SPAIN

 

Compliant

Gold

 

Shandong Tiancheng Biological Gold Industrial Co., Ltd.

 

CHINA

 

Unknown

Gold

 

Shandong Zhaojin Gold & Silver Refinery Co., Ltd.

 

CHINA

 

Compliant

Gold

 

Sichuan Tianze Precious Metals Co., Ltd.

 

CHINA

 

Compliant

Gold

 

Singway Technology Co., Ltd.

 

TAIWAN, PROVINCE OF CHINA

 

Compliant

Gold

 

SOE Shyolkovsky Factory of Secondary Precious Metals

 

RUSSIAN FEDERATION

 

Compliant

Gold

 

Solar Applied Materials Technology Corp.

 

TAIWAN, PROVINCE OF CHINA

 

Compliant

Gold

 

State Research Institute Center for Physical Sciences and Technology

 

LITHUANIA

 

Unknown

Gold

 

Sudan Gold Refinery

 

SUDAN

 

Unknown

Gold

 

Sumitomo Metal Mining Co., Ltd.

 

JAPAN

 

Compliant

Gold

 

SungEel HiMetal Co., Ltd.

 

KOREA, REPUBLIC OF

 

Compliant

Gold

 

T.C.A S.p.A

 

ITALY

 

Compliant

Gold

 

Tanaka Kikinzoku Kogyo K.K.

 

JAPAN

 

Compliant

Gold

 

The Refinery of Shandong Gold Mining Co., Ltd.

 

CHINA

 

Compliant

Gold

 

Tokuriki Honten Co., Ltd.

 

JAPAN

 

Compliant

Gold

 

Tongling Nonferrous Metals Group Co., Ltd.

 

CHINA

 

Unknown

 


 

Metal

 

Smelter

 

Country

 

Compliance Status

Gold

 

Tony Goetz NV

 

BELGIUM

 

Unknown

Gold

 

TOO Tau-Ken-Altyn

 

KAZAKHSTAN

 

Unknown

Gold

 

Torecom

 

KOREA, REPUBLIC OF

 

Compliant

Gold

 

Umicore Brasil Ltda.

 

BRAZIL

 

Compliant

Gold

 

Umicore Precious Metals Thailand

 

THAILAND

 

Compliant

Gold

 

Umicore S.A. Business Unit Precious Metals Refining

 

BELGIUM

 

Compliant

Gold

 

United Precious Metal Refining, Inc.

 

UNITED STATES OF AMERICA

 

Compliant

Gold

 

Universal Precious Metals Refining Zambia

 

ZAMBIA

 

Unknown

Gold

 

Valcambi S.A.

 

SWITZERLAND

 

Compliant

Gold

 

Western Australian Mint (T/a The Perth Mint)

 

AUSTRALIA

 

Compliant

Gold

 

WIELAND Edelmetalle GmbH

 

GERMANY

 

Compliant

Gold

 

Yamakin Co., Ltd.

 

JAPAN

 

Compliant

Gold

 

Yokohama Metal Co., Ltd.

 

JAPAN

 

Compliant

Gold

 

Yunnan Copper Industry Co., Ltd.

 

CHINA

 

Unknown

Gold

 

Zhongyuan Gold Smelter of Zhongjin Gold Corporation

 

CHINA

 

Compliant

Tantalum

 

Asaka Riken Co., Ltd.

 

JAPAN

 

Compliant

Tantalum

 

Changsha South Tantalum Niobium Co., Ltd.

 

CHINA

 

Compliant

Tantalum

 

D Block Metals, LLC

 

UNITED STATES OF AMERICA

 

Compliant

Tantalum

 

Exotech Inc.

 

UNITED STATES OF AMERICA

 

Compliant

Tantalum

 

F&X Electro-Materials Ltd.

 

CHINA

 

Compliant

Tantalum

 

FIR Metals & Resource Ltd.

 

CHINA

 

Compliant

Tantalum

 

Global Advanced Metals Aizu

 

JAPAN

 

Compliant

Tantalum

 

Global Advanced Metals Boyertown

 

UNITED STATES OF AMERICA

 

Compliant

Tantalum

 

Guangdong Rising Rare Metals-EO Materials Ltd.

 

CHINA

 

Compliant

Tantalum

 

Guangdong Zhiyuan New Material Co., Ltd.

 

CHINA

 

Compliant

Tantalum

 

H.C. Starck Co., Ltd.

 

THAILAND

 

Compliant

Tantalum

 

H.C. Starck Hermsdorf GmbH

 

GERMANY

 

Compliant

Tantalum

 

H.C. Starck Inc.

 

UNITED STATES OF AMERICA

 

Compliant

Tantalum

 

H.C. Starck Ltd.

 

JAPAN

 

Compliant

Tantalum

 

H.C. Starck Smelting GmbH & Co. KG

 

GERMANY

 

Compliant

Tantalum

 

H.C. Starck Tantalum and Niobium GmbH

 

GERMANY

 

Compliant

Tantalum

 

Hengyang King Xing Lifeng New Materials Co., Ltd.

 

CHINA

 

Compliant

Tantalum

 

Jiangxi Dinghai Tantalum & Niobium Co., Ltd.

 

CHINA

 

Compliant

Tantalum

 

Jiangxi Tuohong New Raw Material

 

CHINA

 

Compliant

Tantalum

 

JiuJiang JinXin Nonferrous Metals Co., Ltd.

 

CHINA

 

Compliant

Tantalum

 

Jiujiang Tanbre Co., Ltd.

 

CHINA

 

Compliant

Tantalum

 

Jiujiang Zhongao Tantalum & Niobium Co., Ltd.

 

CHINA

 

Compliant

Tantalum

 

KEMET Blue Metals

 

MEXICO

 

Compliant

Tantalum

 

KEMET Blue Powder

 

UNITED STATES OF AMERICA

 

Compliant

Tantalum

 

LSM Brasil S.A.

 

BRAZIL

 

Compliant

Tantalum

 

Metallurgical Products India Pvt., Ltd.

 

INDIA

 

Compliant

Tantalum

 

Mineracao Taboca S.A.

 

BRAZIL

 

Compliant

Tantalum

 

Mitsui Mining and Smelting Co., Ltd.

 

JAPAN

 

Compliant

Tantalum

 

Ningxia Orient Tantalum Industry Co., Ltd.

 

CHINA

 

Compliant

Tantalum

 

NPM Silmet AS

 

ESTONIA

 

Compliant

 


 

Metal

 

Smelter

 

Country

 

Compliance Status

Tantalum

 

Power Resources Ltd.

 

MACEDONIA, THE FORMER YUGOSLAV REPUBLIC OF

 

Compliant

Tantalum

 

QuantumClean

 

UNITED STATES OF AMERICA

 

Compliant

Tantalum

 

Resind Industria e Comercio Ltda.

 

BRAZIL

 

Compliant

Tantalum

 

RFH Tantalum Smeltry Co., Ltd.

 

CHINA

 

Compliant

Tantalum

 

Solikamsk Magnesium Works OAO

 

RUSSIAN FEDERATION

 

Compliant

Tantalum

 

Taki Chemical Co., Ltd.

 

JAPAN

 

Compliant

Tantalum

 

Telex Metals

 

UNITED STATES OF AMERICA

 

Compliant

Tantalum

 

Ulba Metallurgical Plant JSC

 

KAZAKHSTAN

 

Compliant

Tantalum

 

XinXing HaoRong Electronic Material Co., Ltd.

 

CHINA

 

Compliant

Tin

 

Alpha

 

UNITED STATES OF AMERICA

 

Compliant

Tin

 

An Vinh Joint Stock Mineral Processing Company

 

VIET NAM

 

Unknown

Tin

 

Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.

 

CHINA

 

Compliant

Tin

 

China Tin Group Co., Ltd.

 

CHINA

 

Compliant

Tin

 

CNMC (Guangxi) PGMA Co., Ltd.

 

CHINA

 

Unknown

Tin

 

CV Ayi Jaya

 

INDONESIA

 

Compliant

Tin

 

CV Dua Sekawan

 

INDONESIA

 

Compliant

Tin

 

CV Gita Pesona

 

INDONESIA

 

Compliant

Tin

 

CV United Smelting

 

INDONESIA

 

Compliant

Tin

 

CV Venus Inti Perkasa

 

INDONESIA

 

Compliant

Tin

 

Dowa

 

JAPAN

 

Compliant

Tin

 

Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company

 

VIET NAM

 

Unknown

Tin

 

EM Vinto

 

BOLIVIA (PLURINATIONAL STATE OF)

 

Compliant

Tin

 

Estanho de Rondonia S.A.

 

BRAZIL

 

Unknown

Tin

 

Fenix Metals

 

POLAND

 

Compliant

Tin

 

Gejiu Fengming Metallurgy Chemical Plant

 

CHINA

 

Compliant

Tin

 

Gejiu Jinye Mineral Company

 

CHINA

 

Compliant

Tin

 

Gejiu Kai Meng Industry and Trade LLC

 

CHINA

 

Compliant

Tin

 

Gejiu Non-Ferrous Metal Processing Co., Ltd.

 

CHINA

 

Compliant

Tin

 

Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.

 

CHINA

 

Compliant

Tin

 

Gejiu Zili Mining And Metallurgy Co., Ltd.

 

CHINA

 

Unknown

Tin

 

Guangdong Hanhe Non-Ferrous Metal Co., Ltd.

 

CHINA

 

Compliant

Tin

 

Guanyang Guida Nonferrous Metal Smelting Plant

 

CHINA

 

Compliant

Tin

 

HuiChang Hill Tin Industry Co., Ltd.

 

CHINA

 

Compliant

Tin

 

Huichang Jinshunda Tin Co., Ltd.

 

CHINA

 

Compliant

Tin

 

Jiangxi Ketai Advanced Material Co., Ltd.

 

CHINA

 

Compliant

Tin

 

Jiangxi New Nanshan Technology Ltd.

 

CHINA

 

Compliant

Tin

 

Magnu's Minerais Metais e Ligas Ltda.

 

BRAZIL

 

Compliant

Tin

 

Malaysia Smelting Corporation (MSC)

 

MALAYSIA

 

Compliant

Tin

 

Melt Metais e Ligas S.A.

 

BRAZIL

 

Compliant

Tin

 

Metallic Resources, Inc.

 

UNITED STATES OF AMERICA

 

Compliant

Tin

 

Metallo Belgium N.V.

 

BELGIUM

 

Compliant

Tin

 

Metallo Spain S.L.U.

 

SPAIN

 

Compliant

Tin

 

Mineracao Taboca S.A.

 

BRAZIL

 

Compliant

 


 

Metal

 

Smelter

 

Country

 

Compliance Status

Tin

 

Minsur

 

PERU

 

Compliant

Tin

 

Mitsubishi Materials Corporation

 

JAPAN

 

Compliant

Tin

 

Modeltech Sdn Bhd

 

MALAYSIA

 

In Process

Tin

 

Nghe Tinh Non-Ferrous Metals Joint Stock Company

 

VIET NAM

 

Unknown

Tin

 

O.M. Manufacturing (Thailand) Co., Ltd.

 

THAILAND

 

Compliant

Tin

 

O.M. Manufacturing Philippines, Inc.

 

PHILIPPINES

 

Compliant

Tin

 

Operaciones Metalurgical S.A.

 

BOLIVIA (PLURINATIONAL STATE OF)

 

Compliant

Tin

 

PT Aries Kencana Sejahtera

 

INDONESIA

 

Compliant

Tin

 

PT Artha Cipta Langgeng

 

INDONESIA

 

Compliant

Tin

 

PT ATD Makmur Mandiri Jaya

 

INDONESIA

 

Compliant

Tin

 

PT Babel Inti Perkasa

 

INDONESIA

 

Compliant

Tin

 

PT Bangka Prima Tin

 

INDONESIA

 

Compliant

Tin

 

PT Bangka Tin Industry

 

INDONESIA

 

Compliant

Tin

 

PT Belitung Industri Sejahtera

 

INDONESIA

 

Compliant

Tin

 

PT Bukit Timah

 

INDONESIA

 

Compliant

Tin

 

PT DS Jaya Abadi

 

INDONESIA

 

Compliant

Tin

 

PT Eunindo Usaha Mandiri

 

INDONESIA

 

Compliant

Tin

 

PT Inti Stania Prima

 

INDONESIA

 

Compliant

Tin

 

PT Karimun Mining

 

INDONESIA

 

Compliant

Tin

 

PT Kijang Jaya Mandiri

 

INDONESIA

 

Compliant

Tin

 

PT Lautan Harmonis Sejahtera

 

INDONESIA

 

Compliant

Tin

 

PT Menara Cipta Mulia

 

INDONESIA

 

Compliant

Tin

 

PT Mitra Stania Prima

 

INDONESIA

 

Compliant

Tin

 

PT Panca Mega Persada

 

INDONESIA

 

Compliant

Tin

 

PT Premium Tin Indonesia

 

INDONESIA

 

Compliant

Tin

 

PT Prima Timah Utama

 

INDONESIA

 

Compliant

Tin

 

PT Rajehan Ariq

 

INDONESIA

 

Compliant

Tin

 

PT Refined Bangka Tin

 

INDONESIA

 

Compliant

Tin

 

PT Sariwiguna Binasentosa

 

INDONESIA

 

Compliant

Tin

 

PT Stanindo Inti Perkasa

 

INDONESIA

 

Compliant

Tin

 

PT Sukses Inti Makmur

 

INDONESIA

 

Compliant

Tin

 

PT Sumber Jaya Indah

 

INDONESIA

 

Compliant

Tin

 

PT Timah (Persero) Tbk Kundur

 

INDONESIA

 

Compliant

Tin

 

PT Timah (Persero) Tbk Mentok

 

INDONESIA

 

Compliant

Tin

 

PT Tinindo Inter Nusa

 

INDONESIA

 

Compliant

Tin

 

PT Tommy Utama

 

INDONESIA

 

Compliant

Tin

 

Resind Industria e Comercio Ltda.

 

BRAZIL

 

Compliant

Tin

 

Rui Da Hung

 

TAIWAN, PROVINCE OF CHINA

 

Compliant

Tin

 

Soft Metais Ltda.

 

BRAZIL

 

Compliant

Tin

 

Super Ligas

 

BRAZIL

 

Unknown

Tin

 

Thaisarco

 

THAILAND

 

Compliant

Tin

 

Tuyen Quang Non-Ferrous Metals Joint Stock Company

 

VIET NAM

 

Unknown

Tin

 

White Solder Metalurgia e Mineracao Ltda.

 

BRAZIL

 

Compliant

Tin

 

Yunnan Chengfeng Non-ferrous Metals Co., Ltd.

 

CHINA

 

Compliant

Tin

 

Yunnan Tin Company Limited

 

CHINA

 

Compliant

Tungsten

 

A.L.M.T. TUNGSTEN Corp.

 

JAPAN

 

Compliant

Tungsten

 

ACL Metais Eireli

 

BRAZIL

 

Compliant

Tungsten

 

Asia Tungsten Products Vietnam Ltd.

 

VIET NAM

 

Compliant

Tungsten

 

Chenzhou Diamond Tungsten Products Co., Ltd.

 

CHINA

 

Compliant

 

 


 

Metal

 

Smelter

 

Country

 

Compliance Status

Tungsten

 

Chenzhou Diamond Tungsten Products Co., Ltd.

 

CHINA

 

Compliant

Tungsten

 

Chongyi Zhangyuan Tungsten Co., Ltd.

 

CHINA

 

Compliant

Tungsten

 

Fujian Jinxin Tungsten Co., Ltd.

 

CHINA

 

Compliant

Tungsten

 

Ganzhou Haichuang Tungsten Co., Ltd.

 

CHINA

 

In Process

Tungsten

 

Ganzhou Huaxing Tungsten Products Co., Ltd.

 

CHINA

 

Compliant

Tungsten

 

Ganzhou Jiangwu Ferrotungsten Co., Ltd.

 

CHINA

 

Compliant

Tungsten

 

Ganzhou Seadragon W & Mo Co., Ltd.

 

CHINA

 

Compliant

Tungsten

 

Ganzhou Yatai Tungsten Co., Ltd.

 

CHINA

 

Unknown

Tungsten

 

Global Tungsten & Powders Corp.

 

UNITED STATES OF AMERICA

 

Compliant

Tungsten

 

Guangdong Xianglu Tungsten Co., Ltd.

 

CHINA

 

Compliant

Tungsten

 

H.C. Starck Smelting GmbH & Co. KG

 

GERMANY

 

Compliant

Tungsten

 

H.C. Starck Tungsten GmbH

 

GERMANY

 

Compliant

Tungsten

 

Hunan Chenzhou Mining Co., Ltd.

 

CHINA

 

Compliant

Tungsten

 

Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji

 

CHINA

 

Compliant

Tungsten

 

Hunan Chunchang Nonferrous Metals Co., Ltd.

 

CHINA

 

Compliant

Tungsten

 

Hydrometallurg, JSC

 

RUSSIAN FEDERATION

 

Compliant

Tungsten

 

Japan New Metals Co., Ltd.

 

JAPAN

 

Compliant

Tungsten

 

Jiangwu H.C. Starck Tungsten Products Co., Ltd.

 

CHINA

 

Compliant

Tungsten

 

Jiangxi Dayu Longxintai Tungsten Co., Ltd.

 

CHINA

 

Unknown

Tungsten

 

Jiangxi Gan Bei Tungsten Co., Ltd.

 

CHINA

 

Compliant

Tungsten

 

Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.

 

CHINA

 

Unknown

Tungsten

 

Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.

 

CHINA

 

Compliant

Tungsten

 

Jiangxi Xinsheng Tungsten Industry Co., Ltd.

 

CHINA

 

Compliant

Tungsten

 

Jiangxi Yaosheng Tungsten Co., Ltd.

 

CHINA

 

Compliant

Tungsten

 

Kennametal Fallon

 

UNITED STATES OF AMERICA

 

Compliant

Tungsten

 

Kennametal Huntsville

 

UNITED STATES OF AMERICA

 

Compliant

Tungsten

 

Malipo Haiyu Tungsten Co., Ltd.

 

CHINA

 

Compliant

Tungsten

 

Moliren Ltd.

 

RUSSIAN FEDERATION

 

Compliant

Tungsten

 

Niagara Refining LLC

 

UNITED STATES OF AMERICA

 

Compliant

Tungsten

 

Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC

 

VIET NAM

 

Compliant

Tungsten

 

Philippine Chuangxin Industrial Co., Inc.

 

PHILIPPINES

 

Compliant

Tungsten

 

South-East Nonferrous Metal Company Limited of Hengyang City

 

CHINA

 

Compliant

Tungsten

 

Tejing (Vietnam) Tungsten Co., Ltd.

 

VIET NAM

 

Compliant

Tungsten

 

Unecha Refractory metals plant

 

RUSSIAN FEDERATION

 

Compliant

Tungsten

 

Vietnam Youngsun Tungsten Industry Co., Ltd.

 

VIET NAM

 

Compliant

Tungsten

 

Wolfram Bergbau und Hutten AG

 

AUSTRIA

 

Compliant

Tungsten

 

Woltech Korea Co., Ltd.

 

KOREA, REPUBLIC OF

 

Compliant

Tungsten

 

Xiamen Tungsten (H.C.) Co., Ltd.

 

CHINA

 

Compliant

Tungsten

 

Xiamen Tungsten Co., Ltd.

 

CHINA

 

Compliant

Tungsten

 

Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.

 

CHINA

 

Compliant

Tungsten

 

Xinhai Rendan Shaoguan Tungsten Co., Ltd.

 

CHINA

 

Compliant

 

 

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