Form SD

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM SD

 

 

SPECIALIZED DISCLOSURE REPORT

 

 

STERIS plc

(Exact name of registrant as specified in its charter)

 

 

 

Ireland   001-38848   98-1455064

(State or other jurisdiction

of incorporation)

 

(Commission

File Number)

 

(IRS Employer

Identification No.)

70 Sir John Rogerson’s Quay, Dublin 2, Ireland

DE21 6LY

(Address of principal executive offices)

J. Adam Zangerle

Registrant’s telephone number, including area code: + 353 1 232 2000

(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, 2021.

 

Rule 13q-1 under the Securities Exchange Act (17 CFR 240.13q-1) for the reporting period from January 1 to December 31, 2021.

 

 

 


Section 1 – Conflict Minerals Disclosure

Item 1.01 Conflict Minerals Disclosure and Report

Conflict Minerals Disclosure

This Form SD of STERIS plc is filed pursuant to Rule 13p-1 under the Securities Exchange Act of 1934, as amended, for the reporting period from January 1 through December 31, 2021.

We have evaluated our current product lines and determined that certain products we manufacture or contract to manufacture may contain tin, tungsten, tantalum and/or gold.

The brief description of our reasonable country of origin inquiry (“RCOI”) process, the results of our inquiry, and the determination we reached as a result of our RCOI process are included in our Conflict Minerals Report attached as an exhibit to this Form SD.

A copy of the Company’s Conflict Minerals Report is filed as Exhibit 1.01 hereto and is publicly available at: https://sterisplc.gcs-web.com/financials/sec-filings. The content of any website referred to in this Form SD is not incorporated by reference in this Form SD.

Item 1.02 Exhibit

A copy of the Company’s Conflict Minerals Report as required by Item 1.01 is filed as Exhibit 1.01 hereto.

Section 2 – Resource Extraction Issuer Disclosure

Item 2.01 Resource Extraction Issuer Disclosure and Report

Not Applicable

Section 3 – Exhibits

Item 3.01 Exhibits

The following exhibit is filed as part of this report.

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

 

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EXHIBIT INDEX

 

Exhibit Number

  

Description of Exhibit

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

 

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SIGNATURES

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

 

STERIS plc    
By:  

/s/ Michael J. Tokich

    May 31, 2022
  Michael J. Tokich    
  Senior Vice President and Chief Financial Officer    

 

4

EX-1.01

Exhibit 1.01

STERIS plc

Conflict Minerals Report for the Reporting Period from January 1, 2021 to December 31, 2021

Introduction

This Conflict Minerals Report is filed by STERIS plc (“STERIS”) for the reporting period from January 1, 2021 to December 31, 2021 (the “Reporting Period”) as Exhibit 1.01 to STERIS’s Form SD pursuant to the requirements of Rule 13p-1 of the Securities Exchange Act of 1934, as amended (the “Rule”), which was promulgated pursuant to the requirements of Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The Rule requires the annual filing with the Securities and Exchange Commission (“SEC”) of a Form SD, together with this Report (if relevant) as an Exhibit to Form SD, by STERIS regarding the sourcing of those conflict minerals (as defined below) contained in the products that STERIS and its subsidiaries (collectively, the “Company”) manufacture or contract to manufacture if the conflict minerals are necessary to the production or functionality of the products. Conflict minerals are defined as columbite-tantalite (also known as coltan, the metal ore from which tantalum is extracted), cassiterite (the metal ore from which tin is extracted), gold, and wolframite (the metal ore from which tungsten is extracted), or their derivatives, or any other mineral or its derivatives designated in specified circumstances by the U.S. Secretary of State to be financing conflict in the Democratic Republic of the Congo or an adjoining country (the “covered countries”). The covered countries are Angola, Burundi, Central African Republic, the Democratic Republic of the Congo, Republic of Congo, Rwanda, South Sudan, Tanzania, Uganda and Zambia. These conflict minerals are currently limited to tin, tantalum, tungsten and gold (“3TG” or “conflict minerals”).

As permitted by applicable guidance of the SEC, the Company has not obtained an independent private sector audit for this Conflict Minerals Report. The contents of any website referred to in this Conflict Minerals Report is not incorporated by reference in this Conflict Minerals Report.

The Company

STERIS is a leading global provider of products and services that support patient care with an emphasis on infection prevention. WE HELP OUR CUSTOMERS CREATE A HEALTHIER AND SAFER WORLD by providing innovative healthcare, life sciences and dental products and services. We offer our Customers a unique mix of innovative consumable products, such as detergents, gastrointestinal (“GI”) endoscopy accessories, barrier product solutions, and other products and services, including: equipment installation and maintenance, microbial reduction of medical devices, dental instruments and tools, instrument and scope repair, laboratory testing services, outsourced reprocessing, and capital equipment products, such as sterilizers and surgical tables, automated endoscope reprocessors, and connectivity solutions such as operating room (“OR”) integration.

Only certain STERIS products contain one or more 3TGs and fall in the scope of the Rule. We have determined that the following product lines contain or may contain 3TGs: sterilizers, generators and liquid chemical sterilant processing systems, automated washer/disinfector systems, general and specialty surgical tables, surgical and endoscopy equipment, warming cabinets, electron beam and x-ray systems, single use dental products, filtration and disinfectant technologies, reprocessing systems for dialyzers and high purity water equipment.

Company Supply Chains

The Company manufactures its products from components, raw materials and other materials purchased from third-party suppliers. These suppliers are located all over the world. The Company utilizes several different supply chains to support its manufacturing operations. In many cases there are numerous upstream layers involved in the Company supply chains, with the Company being a remote distance downstream from the smelter or refiner at which the conflict minerals are processed. We do not purchase any conflict minerals directly from miners, smelters or refiners. Therefore, we must rely on our direct and indirect suppliers to provide information about the origin of any conflict minerals in our products.

 

1


Reasonable Country of Origin Inquiry (“RCOI”)

For reporting year 2021, our RCOI process utilized a risk-based approach to determine which of our suppliers we should survey for information regarding their conflict minerals sourcing. Our Senior Director of Internal Audit and Compliance, who reports directly to our Vice President, Chief Compliance Officer, leads our conflict minerals compliance program. The Senior Director of Internal Audit and Compliance and a group of Company employees representing the compliance, supply chain, and legal departments of the Company (the “Compliance Team”) reviewed and analyzed information about our products and supply chains to determine which product components and materials might be reasonably likely to contain necessary 3TGs. We based this determination on the nature of, and the suppliers of, the products and materials purchased. This focused, multi-variable analysis resulted in a refined list of suppliers that we determined potentially supplied us with products or materials containing 3TG (our “relevant suppliers”).

We engaged Assent Compliance, a third-party consultant (“Assent”), to assist with our RCOI, supplier engagement, and due diligence. We sent each of our relevant suppliers an introductory email describing our conflict minerals compliance program requirements and introducing them to Assent. Assent then engaged with those relevant suppliers and asked them to provide and/or update their RCOI information. We utilized the Conflict Minerals Reporting Template (“CMRT”) developed by the Responsible Minerals Initiative (“RMI”) (revision 6.1) to conduct a survey of all in-scope suppliers. We periodically reviewed the supplier list throughout our annual conflict minerals campaign to determine whether there were any irrelevant or “out of scope” suppliers that should be removed from the survey process.

Assent requested that all suppliers complete a CMRT and offered online educational materials intended to guide suppliers on best practices related to the use of the CMRT. All submitted forms were accepted and classified as valid or invalid so that all data was retained. We continued to engage our suppliers throughout the entire RCOI process by providing feedback on smelters and refiners that suppliers named, reminders for any non-responsive suppliers, and detailed reasoning and recommendations for suppliers whose data did not meet Assent’s validity-check expectations. Assent made multiple follow-up requests to suppliers who were unresponsive to Assent’s communications or claimed they were under no obligation to respond to us. Assent compared the data obtained from our suppliers’ responses to information that had been collected and verified by third parties, including information from the RMI website and information in Assent’s database in order to determine the country of origin with the greatest possible specificity. Sixty-eight percent (68%) of in-scope suppliers responded to our request.

Our suppliers identified 336 verified smelters and refiners. Based on the information available to us as a member of RMI, 151 of those smelters and refiners were reported to have some sourcing from covered countries. In the course of our RCOI, we were not able to definitively confirm the country of origin of all 3TGs that were contained in the materials or products that we purchased from our suppliers or to determine whether those 3TGs were from recycled or scrap sources. Therefore, we have concluded that some of our products manufactured during the reporting period contain necessary 3TGs that may have originated in the covered countries or may not be from recycled or scrap sources. Accordingly, we performed due diligence in an effort to determine the source and chain of custody of these necessary 3TGs.

Due Diligence

Design of Due Diligence Measures

The Company’s due diligence measures were designed to conform in all material respects with the due diligence framework in the Organisation for Economic Co-operation and Development (“OECD”) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict–Affected and High-Risk Areas, and the related supplements for tin, tantalum, tungsten and for gold, Third Edition, 2016 (“OECD Guidance”).

 

2


Due Diligence Measures Performed

Due diligence measures performed for reporting year 2021 consisted of the following:

1. OECD Step #1: Establish and Maintain Strong Company Management Systems. The Company’s Compliance department oversaw the Company’s conflict minerals compliance program. The Senior Director of Internal Audit and Compliance led the Compliance Team in its efforts to address and mitigate any conflict minerals-related risk and reported directly to STERIS’s Vice President, Chief Compliance Officer. The STERIS Conflict Minerals Sourcing Policy (“Policy”), has been made available to the public via STERIS’s website at https://www.steris.com/sustainability/key-policies-supporting-sustainability/conflict-minerals-sourcing-policy. The Policy advises suppliers that failure to comply with the policy may result in termination of the Company’s relationship with the non-compliant supplier.

The STERIS Supplier Code of Conduct (“Supplier Code”) prohibits suppliers from incorporating materials or parts in materials or services supplied to STERIS that would violate any law or regulation because of the origin of the material, part or service. The Supplier Code further provides that suppliers must have a policy to reasonably assure that the tantalum, tin, tungsten and gold in the products they manufacture do not directly or indirectly finance or benefit armed groups that are perpetrators of serious human rights abuses in the covered countries. The Supplier Code further provides that suppliers must exercise due diligence on the source and chain of custody of these materials and make the results of their due diligence measures available to STERIS upon request. The Supplier Code is available to the public via STERIS’s website at https://www.steris.com/about/business/supplier-code-of-conduct.cfm.

As part of the Company’s document retention policy, it is the Company’s policy to retain supplier responses and other communications and information relating to conflict minerals in electronic form for at least five (5) years.

During 2021, we emphasized supplier education relating to sourcing and information about the origin of conflict minerals. To accomplish this, we utilized Assent’s Supplier Help Center. All in-scope suppliers were provided access to its Conflict Minerals educational materials at no cost. Assent sent a letter to the suppliers we identified as being at a higher risk of potentially sourcing from high-risk smelters requesting them to review these materials.

The Company has grievance mechanisms whereby employees and suppliers can report concerns about the Company’s Policy and conflict minerals sourcing. Suppliers and other third parties may contact our conflict minerals team directly to communicate or report grievances via our integrity helpline or webline, which are published in both the STERIS Code of Business Conduct and the Supplier Code of Conduct which may be found at https://www.steris.com/about/business/supplier-code-of-conduct.cfm., and https://www.steris.com/sustainability/corporate-governance/supplier-code-of-conduct.cfm., respectively.

2. OECD Step #2: Identify and Assess Supply Chain Risk. We used a risk-based approach to identify our relevant suppliers for reporting year 2021. We identified those suppliers whose products were most likely to contain conflict minerals based on their commodity code within our materials planning system. We further refined our results by targeting those suppliers that represent a larger spend in order to maximize the impact of our survey efforts. On our behalf, Assent reviewed all responses received from our relevant suppliers and followed-up with them regarding incomplete responses and responses that appeared to be inaccurate. In addition, suppliers were contacted about the use of invalid forms and were encouraged to submit valid forms. Assent reviewed the lists of smelters and refiners provided by our suppliers and validated and cross-referenced that smelter and refiner information against information available through the RMI website. We provided information to our suppliers as to whether the smelters and refiners they listed were bona fide smelters or refiners and whether they had been audited and had a status of “conformant” with the Responsible Minerals Assurance Process (“RMAP”) or by RMAP-recognized programs (including the London Bullion Market Association Responsible Gold Guidance and the Responsible Jewellery Council), were active in such a process, were neither conformant nor active, or were not recognized as being a smelter or refiner.

For each facility that meets the RMI definition of a smelter or refiner of a 3TG, we assigned a risk rating of high, medium or low based on the following scoring criteria: geographic proximity to the covered countries, RMI audit status, and known or plausible evidence of unethical sourcing. In addition, we evaluated our suppliers on the strength of their conflict minerals programs as they were described in the suppliers’ CMRT responses. Based on that assignment of risk, we asked Assent to follow up directly with any supplier that identified certain smelters or refiners of the highest concern.

 

3


3. OECD Step #3: Design and Implement a Strategy to Respond to Identified Risks. Our Compliance Team periodically briefed our Chief Compliance Officer and our Board of Directors about the Company’s conflict minerals compliance activities and results of our due diligence measures. Also as noted above, we followed-up with nonresponding suppliers and suppliers who provided incomplete responses or responses we believed to be inaccurate. We provided information to certain suppliers about the Rule and why we must obtain conflict minerals information from them.

As part of a strategy to respond to identified risks, suppliers who disclosed a smelter or refiner that we determined was “high-risk” for conflict minerals issues were flagged following completion of the CMRT campaign. When our supplier responses included any of these high-risk facilities, Assent instructed that supplier to take certain risk mitigation actions, from providing additional, product specific information relevant to the company via additional due diligence, escalating up to removal of these high-risk smelters from its supply chain. Based on instructions from STERIS, Assent provided these suppliers with clear performance objectives to be accomplished within reasonable timeframes with the ultimate goal of progressive elimination of these high risk smelters and refiners from their supply chain. Assent also requests that these high-risk smelters engage with the Responsible Minerals Audit Process and become conformant with the conflict-free assessment protocol. Per our STERIS Code of Business Conduct, any reports to our integrity helpline and webline are fully investigated and are reported to our Board of Directors.

4. OECD Step #4: Carry Out Independent Third-Party Audit of Smelter/Refiner’s Due Diligence Practices. We do not have a direct relationship with smelters or refiners of conflict minerals. Therefore, we do not carry out audits of smelters or refiners identified by our suppliers as being in their supply chains. However, we support audits conducted by third parties as a part of RMI of which we are a member (member code: STER).

5. OECD Step #5: Report Annually on Supply Chain Due Diligence. We report on our conflict minerals due diligence annually, and we make our Form SD and this Conflict Minerals Report publicly available on our website at https://sterisplc.gcs-web.com/financials/sec-filings.

Results of Due Diligence

Some of our suppliers provided us with names of smelters and refiners that may have processed the necessary 3TGs in their supply chains. Based on the information available to us as a member of RMI and from Assent’s database, approximately 68% of the smelters and refiners named by our suppliers for calendar year 2021 that reported to RMI some sourcing from the covered countries were designated by RMI as conformant and 6% were designated by RMI as active. Based on the responses provided by our suppliers as reviewed against the data available to us as RMI members and against Assent’s database, all as of May 9, 2022, we have concluded that some of the tin, tantalum, tungsten and gold contained in our products may have originated in the countries listed below.

1. Facilities Used to Process Necessary Conflict Minerals.

As a result of our due diligence, we obtained information from approximately 68% of our in-scope suppliers about the smelters and refiners that processed the necessary conflict minerals in their supply chains. We reviewed our suppliers’ responses and compared the names of the smelters and refiners they disclosed to the information included on the RMI website and Assent’s database. Because most of our suppliers provided Company-level CMRTs, we were unable to determine whether any particular smelters or refiners named in their responses actually processed the necessary 3TGs in our products. However, based on our review of our suppliers’ CMRT responses, we believe that the facilities that may have been used to process the 3TGs contained in our products include, but may not be limited to, the smelters and refiners listed in Appendix A. Because most of our suppliers provided Company-level CMRTs, this list certainly includes more facilities than those that actually processed the minerals contained in our products.

Our supplier responses included conformant and active smelters and refiners and others that were unknown or that were not participating in the RMAP process. Only the conformant and active smelters and refiners, as well as other facilities verified as smelters or refiners based on the information available to us from Assent, have been listed in Appendix A.

2. Countries of Origin of Our Necessary Conflict Minerals.

Assent reviewed the lists of smelters and refiners provided by our direct suppliers and validated and cross-referenced that information against information available through the RMI website and Assent’s database. Based on this information, our suppliers’ responses and the information available to us as a member of RMI, as of May 9, 2022 the possible countries of origin of the necessary conflict minerals in our products include, but may not be limited to, the following:

 

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Table 1

Possible Countries of Origin – Tin

 

Angola    India    Rwanda
Argentina    Indonesia    Saudi Arabia
Australia    Ireland    Senegal
Austria    Israel    Serbia
Bangladesh    Italy    Singapore
Belarus    Japan    Slovakia
Belgium    Jordan    Slovenia
Benin    Kazakhstan    South Africa
Bolivia    Laos    South Korea
Brazil    Latvia    Spain
Bulgaria    Lebanon    Sudan
Burundi    Libya    Sweden
Canada    Lithuania    Switzerland
Chile    Luxembourg    Taiwan
China    Malaysia    Tanzania
Colombia    Malta    Thailand
Congo, Democratic Republic of the    Mexico    Togo
Croatia    Mongolia    Tunisia
Cyprus    Morocco    Turkey
Czechia    Myanmar    Uganda
Denmark    Netherlands    Ukraine
Egypt    New Zealand    United Arab Emirates
El Salvador    Nigeria    United Kingdom
Estonia    Norway    United States of America
Finland    Pakistan    Uruguay

 

5


France    Peru    Venezuela
Gabon    Philippines    Vietnam
Germany    Poland    Virgin Islands
Ghana    Portugal    Yemen
Greece    Puerto Rico   
Guernsey    Qatar   
Guinea    Romania   
Hong Kong    Russian Federation   
Hungary      

 

6


Table 2

Possible Countries of Origin – Tantalum

 

Australia    Ireland    Switzerland
Austria    Israel    Taiwan
Belarus    Japan    Thailand
Bolivia    Kazakhstan    Uganda
Brazil    Madagascar    United Kingdom
Burundi    Malaysia    United States of America
Canada    Mexico    Zimbabwe
China    Mozambique   
Colombia    Myanmar   
Congo, Democratic Republic of the    Namibia   
Czechia    Netherlands   
Estonia    Nigeria   
Ethiopia    Russian Federation   
France    Rwanda   
Germany    Sierra Leone   
Hong Kong    South Korea   
India    Spain   
Indonesia      

 

7


Table 3

Possible Countries of Origin – Tungsten

 

Australia    Israel    Rwanda
Austria    Japan    Singapore
Belgium    Kazakhstan    South Korea
Bolivia    Krygyzstan    Spain
Brazil    Latvia    Taiwan
Burundi    Malaysia    Thailand
Canada    Mexico    Uganda
China    Mongolia    United Arab Emirates
Colombia    Myanmar    United Kingdom
Congo, Democratic Republic of the    Nigeria    United States of America
Czechia    Peru    Uzbekistan
France    Philippines    Vietnam
Germany    Portugal    Zimbabwe
Hong Kong    Russian Federation   
Ireland      

 

8


Table 4

Possible Countries of Origin – Gold

 

Andorra    Guyana    Romania
Antigua and Barbuda    Haiti    Russian Federation
Argentina    Honduras    Rwanda
Armenia   

Hong Kong

   Saint Kitts and Nevis
Australia   

Hungary

   San Marino
Austria   

Iceland

   Saudi Arabia
Azerbaijan   

India

   Senegal
Bahamas   

Indonesia

   Serbia
Bahrain   

Ireland

   Sierra Leone
Barbados   

Israel

   Singapore
Belarus   

Italy

   Sint Maarten
Belgium   

Ivory Coast

   Slovakia
Benin   

Japan

   Slovenia
Bolivia   

Jordan

   Solomon Islands
Bosnia & Herzegovina   

Kazakhstan

   South Africa
Botswana   

Kenya

   South Korea
Brazil   

Kuwait

   Spain
Bulgaria   

Kyrgyzstan

   Sri Lanka
Burkina Faso   

Laos

   St Lucia
Cameroon   

Latvia

   St Vincent and Grenadines
Canada   

Lebanon

   Sudan
Cayman Islands   

Liberia

   Suriname
Chile   

Liechtenstein

  

Swaziland

China   

Lithuania

  

Sweden

Colombia   

Luxembourg

   Switzerland
Costa Rica      
Cote d’Ivoire      

 

9


Cuba    Macau    Taiwan
Curacao    Malaysia    Tajikistan
Cyprus    Mali   

Tanzania

Czechia    Malta   

Thailand

Denmark    Mauritania   

Togo

Dominica    Mexico   

Trinidad and Tobago

Dominican Republic    Monaco   

Tunisia

Ecuador    Mongolia   

Turkey

Egypt    Montenegro   

Turks and Caicos

El Salvador    Morocco   

Uganda

Eritrea    Mozambique   

Ukraine

Estonia    Netherlands   

United Arab Emirates

Ethiopia    New Zealand   

United Kingdom

Fiji    Nicaragua   

United States of America

Finland    Niger   

Uruguay

France    Norway   

Uzbekistan

French Guiana    Oman   

Venezuela

Gabon    Pakistan   

Vietnam

Georgia    Panama   

Zambia

Germany    Papua New Guinea   

Zimbabwe

Ghana    Peru   
Greece    Philippines   
Grenada    Poland   
Guatemala    Portugal   
Guinea    Puerto Rico   

 

10


3. Efforts to Determine Mine or Location of Origin.

We have determined that the most reasonable effort we can make to determine the mines or locations of origin of our necessary conflict minerals to the greatest possible specificity is to seek information from our direct suppliers about the smelters and refiners and the countries of origin of the necessary conflict minerals in our supply chain and to ask our suppliers to make the same inquiries from their suppliers. As noted above, upon receipt of supplier-provided data, we utilized our RMI membership and relationship with Assent to determine the possible countries of origin by cross-referencing the data against RMI’s lists of recognized conformant smelters and refiners and against Assent’s database.

Steps Taken and Being Taken to Mitigate Risk and Improve Due Diligence

In reporting year 2022, we expect to continue providing additional background and educational information to suppliers where necessary to facilitate obtaining responses. STERIS currently expects to continue to fund and participate in the RMI which reduces conflict minerals risk for all supply chains by working to increase the number of smelters and refiners whose due diligence practices meet the Responsible Mineral Assessment Protocols.

Forward-Looking Statements

Certain statements contained in this Report, including those made under the “Steps Taken and Being Taken to Mitigate Risk and Improve Due Diligence” section, reflect the Company’s expectations with respect to future performance and constitute “forward-looking statements” within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Securities Exchange Act of 1934, as amended. Forward-looking statements include, among other things, statements of the plans and objectives of management for future operations. These statements are subject to a variety of uncertainties, unknown risks and other factors concerning the Company’s operations and business environment, which are difficult to predict and are beyond the control of the Company.

 

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APPENDIX A

 

Metal  

  

Smelter Name

   Smelter ID
Gold    8853 S.p.A.    CID002763
Gold    Abington Reldan Metals, LLC    CID002708
Gold    Advanced Chemical Company    CID000015
Gold    African Gold Refinery    CID003185
Gold    Aida Chemical Industries Co., Ltd.    CID000019
Gold    Al Etihad Gold Refinery DMCC    CID002560
Gold    Alexy Metals    CID003500
Gold    Allgemeine Gold-und Silberscheideanstalt A.G.    CID000035
Gold    Almalyk Mining and Metallurgical Complex (AMMC)    CID000041
Gold    AngloGold Ashanti Corrego do Sitio Mineracao    CID000058
Gold    Argor-Heraeus S.A.    CID000077
Gold    Asahi Pretec Corp.    CID000082
Gold    Asahi Refining Canada Ltd.    CID000924
Gold    Asahi Refining USA Inc.    CID000920
Gold    Asaka Riken Co., Ltd.    CID000090
Gold    Atasay Kuyumculuk Sanayi Ve Ticaret A.S.    CID000103
Gold    AU Traders and Refiners    CID002850
Gold    Augmont Enterprises Private Limited    CID003461
Gold    Aurubis AG    CID000113
Gold    Bangalore Refinery    CID002863
Gold    Bangko Sentral ng Pilipinas (Central Bank of the Philippines)    CID000128
Gold    Boliden AB    CID000157
Gold    C. Hafner GmbH + Co. KG    CID000176
Gold    C.I Metales Procesados Industriales SAS    CID003421
Gold    Caridad    CID000180
Gold    CCR Refinery - Glencore Canada Corporation    CID000185
Gold    Cendres + Metaux S.A.    CID000189
Gold    CGR Metalloys Pvt Ltd.    CID003382
Gold    Chimet S.p.A.    CID000233
Gold    Chugai Mining    CID000264
Gold    Daye Non-Ferrous Metals Mining Ltd.    CID000343
Gold    Degussa Sonne / Mond Goldhandel GmbH    CID002867
Gold    Dijllah Gold Refinery FZC    CID003348
Gold    Dowa    CID000401
Gold    DSC (Do Sung Corporation)    CID000359
Gold    Eco-System Recycling Co., Ltd. East Plant    CID000425
Gold    Eco-System Recycling Co., Ltd. North Plant    CID003424
Gold    Eco-System Recycling Co., Ltd. West Plant    CID003425
Gold    Emerald Jewel Industry India Limited (Unit 1)    CID003487
Gold    Emerald Jewel Industry India Limited (Unit 2)    CID003488
Gold    Emerald Jewel Industry India Limited (Unit 3)    CID003489
Gold    Emerald Jewel Industry India Limited (Unit 4)    CID003490
Gold    Emirates Gold DMCC    CID002561
Gold    Fidelity Printers and Refiners Ltd.    CID002515

 

12


Metal  

  

Smelter Name

   Smelter ID
Gold    Fujairah Gold FZC    CID002584
Gold    GCC Gujrat Gold Centre Pvt. Ltd.    CID002852
Gold    Geib Refining Corporation    CID002459
Gold    Gold Coast Refinery    CID003186
Gold    Gold Refinery of Zijin Mining Group Co., Ltd.    CID002243
Gold    Great Wall Precious Metals Co., Ltd. of CBPM    CID001909
Gold    Guangdong Jinding Gold Limited    CID002312
Gold    Guoda Safina High-Tech Environmental Refinery Co., Ltd.    CID000651
Gold    Hangzhou Fuchunjiang Smelting Co., Ltd.    CID000671
Gold    Heimerle + Meule GmbH    CID000694
Gold    Heraeus Metals Hong Kong Ltd.    CID000707
Gold    Heraeus Precious Metals GmbH & Co. KG    CID000711
Gold    Hunan Chenzhou Mining Co., Ltd.    CID000767
Gold    Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd.    CID000773
Gold    HwaSeong CJ CO., LTD.    CID000778
Gold    Industrial Refining Company    CID002587
Gold    Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.    CID000801
Gold    International Precious Metal Refiners    CID002562
Gold    Ishifuku Metal Industry Co., Ltd.    CID000807
Gold    Istanbul Gold Refinery    CID000814
Gold    Italpreziosi    CID002765
Gold    JALAN & Company    CID002893
Gold    Japan Mint    CID000823
Gold    Jiangxi Copper Co., Ltd.    CID000855
Gold    JSC Ekaterinburg Non-Ferrous Metal Processing Plant    CID000927
Gold    JSC Uralelectromed    CID000929
Gold    JX Nippon Mining & Metals Co., Ltd.    CID000937
Gold    K.A. Rasmussen    CID003497
Gold    Kaloti Precious Metals    CID002563
Gold    Kazakhmys Smelting LLC    CID000956
Gold    Kazzinc    CID000957
Gold    Kennecott Utah Copper LLC    CID000969
Gold    KGHM Polska Miedz Spolka Akcyjna    CID002511
Gold    Kojima Chemicals Co., Ltd.    CID000981
Gold    Korea Zinc Co., Ltd.    CID002605
Gold    Kundan Care Products Ltd.    CID003463
Gold    Kyrgyzaltyn JSC    CID001029
Gold    Kyshtym Copper-Electrolytic Plant ZAO    CID002865
Gold    L’azurde Company For Jewelry    CID001032
Gold    Lingbao Gold Co., Ltd.    CID001056
Gold    Lingbao Jinyuan Tonghui Refinery Co., Ltd.    CID001058
Gold    L’Orfebre S.A.    CID002762
Gold    LS-NIKKO Copper Inc.    CID001078
Gold    LT Metal Ltd.    CID000689
Gold    Luoyang Zijin Yinhui Gold Refinery Co., Ltd.    CID001093
Gold    Marsam Metals    CID002606
Gold    Materion    CID001113
Gold    Matsuda Sangyo Co., Ltd.    CID001119
Gold    MD Overseas    CID003548

 

13


Metal  

  

Smelter Name

   Smelter ID
Gold    Metal Concentrators SA (Pty) Ltd.    CID003575
Gold    Metallix Refining Inc.    CID003557
Gold    Metalor Technologies (Hong Kong) Ltd.    CID001149
Gold    Metalor Technologies (Singapore) Pte., Ltd.    CID001152
Gold    Metalor Technologies (Suzhou) Ltd.    CID001147
Gold    Metalor Technologies S.A.    CID001153
Gold    Metalor USA Refining Corporation    CID001157
Gold    Metalurgica Met-Mex Penoles S.A. De C.V.    CID001161
Gold    Mitsubishi Materials Corporation    CID001188
Gold    Mitsui Mining and Smelting Co., Ltd.    CID001193
Gold    MMTC-PAMP India Pvt., Ltd.    CID002509
Gold    Modeltech Sdn Bhd    CID002857
Gold    Morris and Watson    CID002282
Gold    Moscow Special Alloys Processing Plant    CID001204
Gold    Nadir Metal Rafineri San. Ve Tic. A.S.    CID001220
Gold    Navoi Mining and Metallurgical Combinat    CID001236
Gold    NH Recytech Company    CID003189
Gold    Nihon Material Co., Ltd.    CID001259
Gold    Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH    CID002779
Gold    Ohura Precious Metal Industry Co., Ltd.    CID001325
Gold    OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)    CID001326
Gold    OJSC Novosibirsk Refinery    CID000493
Gold    PAMP S.A.    CID001352
Gold    Pease & Curren    CID002872
Gold    Penglai Penggang Gold Industry Co., Ltd.    CID001362
Gold    Planta Recuperadora de Metales SpA    CID002919
Gold    Prioksky Plant of Non-Ferrous Metals    CID001386
Gold    PT Aneka Tambang (Persero) Tbk    CID001397
Gold    PX Precinox S.A.    CID001498
Gold    QG Refining, LLC    CID003324
Gold    Rand Refinery (Pty) Ltd.    CID001512
Gold    Refinery of Seemine Gold Co., Ltd.    CID000522
Gold    REMONDIS PMR B.V.    CID002582
Gold    Royal Canadian Mint    CID001534
Gold    SAAMP    CID002761
Gold    Sabin Metal Corp.    CID001546
Gold    Safimet S.p.A    CID002973
Gold    SAFINA A.S.    CID002290
Gold    Sai Refinery    CID002853
Gold    Samduck Precious Metals    CID001555
Gold    Samwon Metals Corp.    CID001562
Gold    Sancus ZFS (L’Orfebre, SA)    CID003529
Gold    Sellem Industries Ltd.    CID003540
Gold    SEMPSA Joyeria Plateria S.A.    CID001585
Gold    Shandong Humon Smelting Co., Ltd.    CID002525
Gold    Shandong Tiancheng Biological Gold Industrial Co., Ltd.    CID001619
Gold    Shandong Zhaojin Gold & Silver Refinery Co., Ltd.    CID001622
Gold    Shenzhen Zhonghenglong Real Industry Co., Ltd.    CID002527
Gold    Shirpur Gold Refinery Ltd.    CID002588

 

14


Metal  

  

Smelter Name

   Smelter ID
Gold    Sichuan Tianze Precious Metals Co., Ltd.    CID001736
Gold    Singway Technology Co., Ltd.    CID002516
Gold    SOE Shyolkovsky Factory of Secondary Precious Metals    CID001756
Gold    Solar Applied Materials Technology Corp.    CID001761
Gold    Sovereign Metals    CID003383
Gold    State Research Institute Center for Physical Sciences and Technology    CID003153
Gold    Sudan Gold Refinery    CID002567
Gold    Sumitomo Metal Mining Co., Ltd.    CID001798
Gold    SungEel HiMetal Co., Ltd.    CID002918
Gold    Super Dragon Technology Co., Ltd.    CID001810
Gold    T.C.A S.p.A    CID002580
Gold    Tanaka Kikinzoku Kogyo K.K.    CID001875
Gold    The Refinery of Shandong Gold Mining Co., Ltd.    CID001916
Gold    Tokuriki Honten Co., Ltd.    CID001938
Gold    Tongling Nonferrous Metals Group Co., Ltd.    CID001947
Gold    TOO Tau-Ken-Altyn    CID002615
Gold    Torecom    CID001955
Gold    Umicore Precious Metals Thailand    CID002314
Gold    Umicore S.A. Business Unit Precious Metals Refining    CID001980
Gold    United Precious Metal Refining, Inc.    CID001993
Gold    Valcambi S.A.    CID002003
Gold    Value Trading    CID003617
Gold    WEEEREFINING    CID003615
Gold    Western Australian Mint (T/a The Perth Mint)    CID002030
Gold    WIELAND Edelmetalle GmbH    CID002778
Gold    Yamakin Co., Ltd.    CID002100
Gold    Yokohama Metal Co., Ltd.    CID002129
Gold    Yunnan Copper Industry Co., Ltd.    CID000197
Gold    Zhongyuan Gold Smelter of Zhongjin Gold Corporation    CID002224
Tantalum    Changsha South Tantalum Niobium Co., Ltd.    CID000211
Tantalum    D Block Metals, LLC    CID002504
Tantalum    F&X Electro-Materials Ltd.    CID000460
Tantalum    FIR Metals & Resource Ltd.    CID002505
Tantalum    Global Advanced Metals Aizu    CID002558
Tantalum    Global Advanced Metals Boyertown    CID002557
Tantalum    Guangdong Zhiyuan New Material Co., Ltd.    CID000616
Tantalum    H.C. Starck Co., Ltd.    CID002544
Tantalum    H.C. Starck Hermsdorf GmbH    CID002547
Tantalum    H.C. Starck Inc.    CID002548
Tantalum    H.C. Starck Ltd.    CID002549
Tantalum    H.C. Starck Smelting GmbH & Co. KG    CID002550
Tantalum    H.C. Starck Tantalum and Niobium GmbH    CID002545
Tantalum    Hengyang King Xing Lifeng New Materials Co., Ltd.    CID002492
Tantalum    Jiangxi Dinghai Tantalum & Niobium Co., Ltd.    CID002512
Tantalum    Jiangxi Tuohong New Raw Material    CID002842
Tantalum    JiuJiang JinXin Nonferrous Metals Co., Ltd.    CID000914
Tantalum    Jiujiang Tanbre Co., Ltd.    CID000917
Tantalum    Jiujiang Zhongao Tantalum & Niobium Co., Ltd.    CID002506
Tantalum    KEMET Blue Metals    CID002539

 

15


Metal  

  

Smelter Name

   Smelter ID

Tantalum

  

LSM Brasil S.A.

   CID001076

Tantalum

  

Metallurgical Products India Pvt., Ltd.

   CID001163

Tantalum

  

Mineracao Taboca S.A.

   CID001175

Tantalum

  

Mitsui Mining and Smelting Co., Ltd.

   CID001192

Tantalum

  

Ningxia Orient Tantalum Industry Co., Ltd.

   CID001277
Tantalum    NPM Silmet AS    CID001200
Tantalum    QuantumClean    CID001508
Tantalum    Resind Industria e Comercio Ltda.    CID002707
Tantalum    Solikamsk Magnesium Works OAO    CID001769
Tantalum    Taki Chemical Co., Ltd.    CID001869
Tantalum    Telex Metals    CID001891
Tantalum    Ulba Metallurgical Plant JSC    CID001969
Tantalum    XinXing HaoRong Electronic Material Co., Ltd.    CID002508
Tantalum    Yancheng Jinye New Material Technology Co., Ltd.    CID003583
Tantalum    Yanling Jincheng Tantalum & Niobium Co., Ltd.    CID001522
Tin    Alpha    CID000292
Tin    An Vinh Joint Stock Mineral Processing Company    CID002703
Tin    Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.    CID000228
Tin    Chifeng Dajingzi Tin Industry Co., Ltd.    CID003190
Tin    China Tin Group Co., Ltd.    CID001070
Tin    CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda    CID003486
Tin    CRM Synergies    CID003524
Tin    CV Venus Inti Perkasa    CID002455
Tin    Dongguan CiEXPO Environmental Engineering Co., Ltd.    CID003356
Tin    Dowa    CID000402
Tin    Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company    CID002572
Tin    EM Vinto    CID000438
Tin    Estanho de Rondonia S.A.    CID000448
Tin    Fabrica Auricchio Industria e Comercio Ltda.    CID003582
Tin    Fenix Metals    CID000468
Tin    Gejiu City Fuxiang Industry and Trade Co., Ltd.    CID003410
Tin    Gejiu Kai Meng Industry and Trade LLC    CID000942
Tin    Gejiu Non-Ferrous Metal Processing Co., Ltd.    CID000538
Tin    Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.    CID001908
Tin    Gejiu Zili Mining And Metallurgy Co., Ltd.    CID000555
Tin    Guangdong Hanhe Non-Ferrous Metal Co., Ltd.    CID003116
Tin    Jiangxi New Nanshan Technology Ltd.    CID001231
Tin    Luna Smelter, Ltd.    CID003387
Tin    Ma’anshan Weitai Tin Co., Ltd.    CID003379
Tin    Magnu’s Minerais Metais e Ligas Ltda.    CID002468
Tin    Malaysia Smelting Corporation (MSC)    CID001105
Tin    Melt Metais e Ligas S.A.    CID002500
Tin    Metallic Resources, Inc.    CID001142
Tin    Metallo Belgium N.V.    CID002773
Tin    Metallo Spain S.L.U.    CID002774
Tin    Mineracao Taboca S.A.    CID001173
Tin    Minsur    CID001182
Tin    Mitsubishi Materials Corporation    CID001191
Tin    Modeltech Sdn Bhd    CID002858

 

16


Metal  

  

Smelter Name

   Smelter ID
Tin    Nghe Tinh Non-Ferrous Metals Joint Stock Company    CID002573
Tin    Novosibirsk Processing Plant Ltd.    CID001305
Tin    O.M. Manufacturing (Thailand) Co., Ltd.    CID001314
Tin    O.M. Manufacturing Philippines, Inc.    CID002517
Tin    Operaciones Metalurgicas S.A.    CID001337
Tin    Pongpipat Company Limited    CID003208
Tin    Precious Minerals and Smelting Limited    CID003409
Tin    PT Aries Kencana Sejahtera    CID000309
Tin    PT Artha Cipta Langgeng    CID001399
Tin    PT ATD Makmur Mandiri Jaya    CID002503
Tin    PT Babel Inti Perkasa    CID001402
Tin    PT Babel Surya Alam Lestari    CID001406
Tin    PT Bangka Serumpun    CID003205
Tin    PT Belitung Industri Sejahtera    CID001421
Tin    PT Bukit Timah    CID001428
Tin    PT Cipta Persada Mulia    CID002696
Tin    PT Masbro Alam Stania    CID003380
Tin    PT Menara Cipta Mulia    CID002835
Tin    PT Mitra Stania Prima    CID001453
Tin    PT Mitra Sukses Globalindo    CID003449
Tin    PT Panca Mega Persada    CID001457
Tin    PT Prima Timah Utama    CID001458
Tin    PT Rajawali Rimba Perkasa    CID003381
Tin    PT Refined Bangka Tin    CID001460
Tin    PT Sariwiguna Binasentosa    CID001463
Tin    PT Stanindo Inti Perkasa    CID001468
Tin    PT Sukses Inti Makmur    CID002816
Tin    PT Timah Nusantara    CID001486
Tin    PT Timah Tbk Kundur    CID001477
Tin    PT Timah Tbk Mentok    CID001482
Tin    PT Tinindo Inter Nusa    CID001490
Tin    PT Tirus Putra Mandiri    CID002478
Tin    PT Tommy Utama    CID001493
Tin    Resind Industria e Comercio Ltda.    CID002706
Tin    Rui Da Hung    CID001539
Tin    Soft Metais Ltda.    CID001758
Tin    Super Ligas    CID002756
Tin    Thai Nguyen Mining and Metallurgy Co., Ltd.    CID002834
Tin    Thaisarco    CID001898
Tin    Tin Technology & Refining    CID003325
Tin    Tuyen Quang Non-Ferrous Metals Joint Stock Company    CID002574
Tin    VQB Mineral and Trading Group JSC    CID002015
Tin    White Solder Metalurgia e Mineracao Ltda.    CID002036
Tin    Yunnan Chengfeng Non-ferrous Metals Co., Ltd.    CID002158
Tin    Yunnan Tin Company Limited    CID002180
Tin    Yunnan Yunfan Non-ferrous Metals Co., Ltd.    CID003397
Tungsten    A.L.M.T. Corp.    CID000004
Tungsten    ACL Metais Eireli    CID002833
Tungsten    Albasteel Industria e Comercio de Ligas Para Fundicao Ltd.    CID003427

 

17


Metal  

  

Smelter Name

   Smelter ID
Tungsten    Artek LLC    CID003553
Tungsten    Asia Tungsten Products Vietnam Ltd.    CID002502
Tungsten    Chenzhou Diamond Tungsten Products Co., Ltd.    CID002513
Tungsten    China Molybdenum Co., Ltd.    CID002641
Tungsten    Chongyi Zhangyuan Tungsten Co., Ltd.    CID000258
Tungsten    CNMC (Guangxi) PGMA Co., Ltd.    CID000281
Tungsten    Cronimet Brasil Ltda    CID003468
Tungsten    Fujian Ganmin RareMetal Co., Ltd.    CID003401
Tungsten    Fujian Xinlu Tungsten    CID003609
Tungsten    Ganzhou Haichuang Tungsten Co., Ltd.    CID002645
Tungsten    Ganzhou Huaxing Tungsten Products Co., Ltd.    CID000875
Tungsten    Ganzhou Jiangwu Ferrotungsten Co., Ltd.    CID002315
Tungsten    Ganzhou Seadragon W & Mo Co., Ltd.    CID002494
Tungsten    GEM Co., Ltd.    CID003417
Tungsten    Global Tungsten & Powders Corp.    CID000568
Tungsten    Guangdong Xianglu Tungsten Co., Ltd.    CID000218
Tungsten    H.C. Starck Smelting GmbH & Co. KG    CID002542
Tungsten    H.C. Starck Tungsten GmbH    CID002541
Tungsten    Hunan Chenzhou Mining Co., Ltd.    CID000766
Tungsten    Hunan Chunchang Nonferrous Metals Co., Ltd.    CID000769
Tungsten    Hydrometallurg, JSC    CID002649
Tungsten    Japan New Metals Co., Ltd.    CID000825
Tungsten    Jiangwu H.C. Starck Tungsten Products Co., Ltd.    CID002551
Tungsten    Jiangxi Gan Bei Tungsten Co., Ltd.    CID002321
Tungsten    Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.    CID002313
Tungsten    Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.    CID002318
Tungsten    Jiangxi Xinsheng Tungsten Industry Co., Ltd.    CID002317
Tungsten    Jiangxi Yaosheng Tungsten Co., Ltd.    CID002316
Tungsten    JSC “Kirovgrad Hard Alloys Plant”    CID003408
Tungsten    Kennametal Fallon    CID000966
Tungsten    Kennametal Huntsville    CID000105
Tungsten    KGETS Co., Ltd.    CID003388
Tungsten    Lianyou Metals Co., Ltd.    CID003407
Tungsten    LLC Volstok    CID003643
Tungsten    Malipo Haiyu Tungsten Co., Ltd.    CID002319
Tungsten    Masan Tungsten Chemical LLC (MTC)    CID002543
Tungsten    Moliren Ltd.    CID002845
Tungsten    Niagara Refining LLC    CID002589
Tungsten    NPP Tyazhmetprom LLC    CID003416
Tungsten    OOO “Technolom” 1    CID003614
Tungsten    OOO “Technolom” 2    CID003612
Tungsten    Philippine Chuangxin Industrial Co., Inc.    CID002827
Tungsten    Unecha Refractory metals plant    CID002724
Tungsten    Wolfram Bergbau und Hutten AG    CID002044
Tungsten    Xiamen Tungsten (H.C.) Co., Ltd.    CID002320
Tungsten    Xiamen Tungsten Co., Ltd.    CID002082
Tungsten    Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.    CID002830

 

18

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