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)

 

 

 

England and Wales   1-37614   98-1203539

(State or other jurisdiction

of incorporation)

 

(Commission

File Number)

 

(IRS Employer

Identification No.)

Rutherford House, Stephensons Way,

Derby DE21 6LY, United Kingdom

(Address of principal executive offices)

J. Adam Zangerle

Registrant’s telephone number, including area code: +44 0 116 276 8636

(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

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, 2017.

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: www.STERIS.com/about/ir/sec.cfm. 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 – Exhibits

Item 2.01 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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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/ Kathleen L. Bardwell

   

May 30, 2018

 
 

Kathleen L. Bardwell

Senior Vice President and Chief Compliance Officer

     

 

3

EX-1.01

Exhibit 1.01

STERIS plc

Conflict Minerals Report for the Reporting Period from January 1, 2017 to December 31, 2017

Introduction

This Conflict Minerals Report is filed by STERIS plc (“STERIS”) for the reporting period from January 1, 2017 to December 31, 2017 (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”). 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

The Company is a leading provider of infection prevention and other procedural products and services focused primarily on healthcare, pharmaceuticals, and research. Products manufactured or otherwise offered by the Company include the following: sterilizers, anti-bacterial wipes, generators and liquid chemical sterilant processing systems; automated washer/disinfector systems; general and specialty surgical tables; surgical and examination lights, operating room integration equipment including monitors, equipment management systems, warming cabinets, and other complementary products and accessories; high purity water equipment; operating room storage cabinets and scrub sinks; wound dressings and gastrointestinal endoscopy accessories and replacement parts; and cleaning chemistries and sterility assurance products and cleansing products. The Company also provides the following types of services: equipment installation and maintenance, microbial reduction of medical devices, instrument and scope repair solutions, laboratory testing services and on-site and off-site reprocessing.

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 examination lights, warming cabinets, 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 2017, 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 Vice President of Global Compliance, who reports directly to our Senior Vice President and Chief Compliance Officer, leads our conflict minerals compliance program. The Vice President of Global Compliance and a group of Company employees representing the compliance, supply chain, information technology 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 Conflict-Free Sourcing Initiative, now known as the Responsible Minerals Initiative (“RMI”) (revision 5.01 or higher) to conduct a survey of all in scope suppliers. We periodically reviewed the supplier list 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 training and education 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 directly contacted suppliers that were unresponsive to Assent’s communications during the diligence process or claimed they were under no obligation to respond to us either because they were distributors or were located outside of the US or had been sold to non-US entities and requested such suppliers to complete the CMRT and submit it to Assent. In some cases, we made multiple follow-up requests to the same supplier. 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 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.

The Company accomplished a measurable improvement in the number of responses from our suppliers over reporting year 2016. Specifically, the Company accomplished a 256% increase in the number of supplier responses for the reporting year 2017 over those for the reporting year 2016. Our suppliers identified a total of 321 smelters and refiners. Based on the information available to us as a member of RMI, as of May 15, 2018, 37 of those smelters and refiners were reported to have some sourcing from the 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, Third Edition, 2016, and the related supplements for tin, tantalum, and tungsten and for gold (“OECD Guidance”).

 

2


Due Diligence Measures Performed

Due diligence measures performed for reporting year 2017 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 Vice President of Global Compliance led the Compliance Team in its efforts to address and mitigate any conflict minerals-related risk and reported directly to STERIS’s Senior Vice President and Chief Compliance Officer. The Compliance Team advised our relevant suppliers of the existence of the STERIS Conflict Minerals Sourcing Policy (“Policy”), which is available to the public via STERIS’s website at https://www.steris.com/about/business/conflict_minerals_sourcing_policy.cfm, and directed them to the website to review it. 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 Compliance Team also released a Supplier Code of Conduct (“Supplier Code”). The 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 was released during 2017 and is available to the public via STERIS’s website at https://www.steris.com/about/business/supplier-code-of-conduct.cfm. Our Compliance Team provided periodic status reports to our Chief Compliance Officer and STERIS’s Board of Directors.

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 2017, we emphasized supplier education and training relating to sourcing and information about the origin of conflict minerals. To accomplish this, we utilized Assent’s Learning Management System, Assent University, and provided all in-scope suppliers access to its Conflict Minerals training course at no cost.

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 with us and may report grievances via our integrity helpline or webline, which are published in the STERIS Code of Business Conduct and the Supplier Code.

2. OECD Step #2: Identify and Assess Supply Chain Risk. We used a risk-based approach to identify our relevant suppliers for reporting year 2017. 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 Exchange Responsible Gold Programme, the Responsible Jewellery Council and the Tungsten Industry-Conflict Minerals 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. As noted above, 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, we made those suppliers aware of our Conflict Minerals Sourcing Policy, the Supplier Code and the potential consequences to suppliers of noncompliance. Additionally, we notified all non-responsive suppliers that the Company has recorded the lack of response, that their future responsiveness will be monitored, and that we expect their responsiveness to future inquiries and the potential consequences for a lack of response in the future.

Based on our review of the list of smelters and refiners named by our suppliers, we identified certain facilities as being of highest concern to the supply chain and have followed up directly with any supplier that named these facilities in its CMRT. When our supplier responses included any of these high-risk facilities, Assent instructed that supplier to take certain risk mitigation actions, including submission of a product specific CMRT to better identify the connection to products that it supplies to STERIS and escalating up to removal of these high risk smelters from its supply chain. Suppliers are given clear performance objectives within reasonable timeframes with the ultimate goal of progressive elimination of these risks from the supply chain.

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 by making our Form SD and this Conflict Minerals Report publicly available on our website at www.steris.com/about/ir/sec.cfm.

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, many of the smelters and refiners named by our suppliers for calendar year 2017 that reported to RMI some sourcing from the Covered Countries were designated as RMI conformant. 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 15, 2018, 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 some of our 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. 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’ 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, it is likely that this list includes more facilities than those that actually processed the minerals contained in our products.

 

4


Based on the information provided by our suppliers in their CMRT responses, we believe that the facilities that may have been used to process the 3TGs in our products may include the smelters and refiners listed in Appendix A. Our supplier responses included conformant and active smelters and refiners and others that were unknown or that were not participating in the RMAP process. But, because of the lack of reliable information about unknown facilities and those not participating in the RMPA process, only the conformant and active smelters and refiners 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 that information available to us as a member of RMI, as of May 15, 2018, the possible countries of origin of the necessary conflict minerals in our products include, but may not be limited to, the following:

Table 1

 

Possible Countries of Origin – Tin

 

Australia

  

Malaysia

  

United Kingdom of Great Britain and Northern Ireland

Bolivia (Plurinational State of)

  

Mongolia

  

Viet Nam

Brazil

  

Myanmar

  

Zimbabwe

China

  

Nigeria

  

Burundi

Colombia

  

Peru

  

Rwanda

Germany

  

Portugal

  

Uganda

Indonesia

  

Russian Federation

  

DRC

Laos

  

Thailand

  

Table 2

 

Possible Countries of Origin – Tantalum

Australia

  

Guinea

  

Nigeria

  

Mozambique

Bolivia

  

Guyana

  

Russia

  

Burundi

Brazil

  

India

  

Sierra Leone

  

Rwanda

Columbia

  

Kazakhstan

  

Thailand

  

DRC

China

  

Madagascar

  

United States of America

Ethiopia

  

Malaysia

  

Zimbabwe

  

France

  

Namibia

     

 

5


Table 3

 

Possible Countries of Origin – Tungsten

 

Australia    Colombia    Spain
Austria    Japan    United Kingdom of Great Britain and Northern Ireland
Bolivia    Mexico    United States of America
Brazil    Mongolia    Uzbekistan
Canada    Nigeria    Vietnam
China    Portugal    Burundi
   Russia    Rwanda
      DRC

 

6


Table 4

Possible Countries of Origin – Gold

 

Benin    Ghana    Panama
Bolivia (Plurinational State of)    Guatemala    Peru
Canada    Guinea    Russian Federation
Chile    Guyana    Senegal
Colombia    Honduras    Togo
Ecuador    Mali    United States of America
Eritrea    Nicaragua    South Africa

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 2017, the Company further strengthened its internal management system by adding additional members to the dedicated global compliance department to lead the Compliance Team in its efforts to address and mitigate any conflict minerals-related sourcing risk. The Company expanded the number of STERIS business units whose suppliers were requested to provide sourcing information about the conflict minerals contained in the products they sold to us. The Company has continued working with Assent on our RCOI and due diligence process. We have increased our follow-up efforts to obtain more complete information from our suppliers regarding countries of origin, smelters and refiners. These efforts have markedly increased the number of validated responses received. We intend to continue and increase these follow up efforts in the next reporting year. Currently, we also 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.

 

7


APPENDIX A

 

Metal    Standard Smelter Name    Smelter ID  

Gold

   Advanced Chemical Company      CID000015  

Gold

   Aida Chemical Industries Co., Ltd.      CID000019  

Gold

   Al Etihad Gold LLC      CID002560  

Gold

   Allgemeine Gold-und Silberscheideanstalt A.G.      CID000035  

Gold

   Almalyk Mining and Metallurgical Complex (AMMC)      CID000041  

Gold

   AngloGold Ashanti Córrego do Sítio Mineração      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

   AU Traders and Refiners      CID002850  

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

   CCR Refinery - Glencore Canada Corporation      CID000185  

Gold

   Cendres + Métaux S.A.      CID000189  

Gold

   Chimet S.p.A.      CID000233  

Gold

   Daejin Indus Co., Ltd.      CID000328  

Gold

   DODUCO Contacts and Refining GmbH      CID000362  

Gold

   Dowa      CID000401  

Gold

   DS PRETECH Co., Ltd.      CID003195  

Gold

   DSC (Do Sung Corporation)      CID000359  

Gold

   Eco-System Recycling Co., Ltd.      CID000425  

Gold

   Emirates Gold DMCC      CID002561  

Gold

   Geib Refining Corporation      CID002459  

Gold

   Gold Refinery of Zijin Mining Group Co., Ltd.      CID002243  

Gold

   HeeSung      CID000689  

Gold

   Heimerle + Meule GmbH      CID000694  

Gold

   Heraeus Metals Hong Kong Ltd.      CID000707  

Gold

   Heraeus Precious Metals GmbH & Co. KG      CID000711  

Gold

   Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.      CID000801  

Gold

   Ishifuku Metal Industry Co., Ltd.          CID000807  

 

8


Metal    Standard Smelter Name    Smelter ID  

Gold

   Istanbul Gold Refinery      CID000814  

Gold

   Italpreziosi      CID002765  

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

   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

   Kyrgyzaltyn JSC      CID001029  

Gold

   L’Orfebre S.A.      CID002762  

Gold

   LS-NIKKO Copper Inc.      CID001078  

Gold

   Marsam Metals      CID002606  

Gold

   Materion      CID001113  

Gold

   Matsuda Sangyo Co., Ltd.      CID001119  

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

   Metalúrgica Met-Mex Peñoles 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

   Moscow Special Alloys Processing Plant      CID001204  

Gold

   Nadir Metal Rafineri San. Ve Tic. A.Ş.      CID001220  

Gold

   NH Recytech Company      CID003189  

Gold

   Nihon Material Co., Ltd.      CID001259  

Gold

   Ögussa Österreichische 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

   Planta Recuperadora de Metales SpA          CID002919  

 

9


Metal    Standard Smelter Name    Smelter ID  

Gold

   Prioksky Plant of Non-Ferrous Metals      CID001386  

Gold

   PT Aneka Tambang (Persero) Tbk      CID001397  

Gold

   PX Précinox S.A.      CID001498  

Gold

   Rand Refinery (Pty) Ltd.      CID001512  

Gold

   Remondis Argentia B.V.      CID002582  

Gold

   Republic Metals Corporation      CID002510  

Gold

   Royal Canadian Mint      CID001534  

Gold

   SAAMP      CID002761  

Gold

   Safimet S.p.A      CID002973  

Gold

   SAFINA A.S.      CID002290  

Gold

   Samduck Precious Metals      CID001555  

Gold

   SAXONIA Edelmetalle GmbH      CID002777  

Gold

   Schone Edelmetaal B.V.      CID001573  

Gold

   SEMPSA Joyería Platería S.A.      CID001585  

Gold

   Shandong Zhaojin Gold & Silver Refinery Co., Ltd.      CID001622  

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

   Sumitomo Metal Mining Co., Ltd.      CID001798  

Gold

   SungEel HiTech      CID002918  

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

   Torecom      CID001955  

Gold

   Umicore Brasil Ltda.      CID001977  

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

   Western Australian Mint trading as The Perth Mint      CID002030  

Gold

   WIELAND Edelmetalle GmbH      CID002778  

Gold

   Yamamoto Precious Metal Co., Ltd.      CID002100  

Gold

   Yokohama Metal Co., Ltd.      CID002129  

Gold

   Zhongyuan Gold Smelter of Zhongjin Gold Corporation      CID002224  

Tantalum

   Asaka Riken Co., Ltd.      CID000092  

Tantalum

   Changsha South Tantalum Niobium Co., Ltd.      CID000211  

Tantalum

   D Block Metals, LLC          CID002504  

 

10


Metal    Standard Smelter Name    Smelter ID  

Tantalum

   Exotech Inc.      CID000456  

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 Rising Rare Metals-EO Materials Ltd.      CID000291  

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 Janny New Material Co., Ltd.      CID003191  

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  

Tantalum

   KEMET Blue Powder      CID002568  

Tantalum

   King-Tan Tantalum Industry Ltd.      CID000973  

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

   Power Resources Ltd.      CID002847  

Tantalum

   QuantumClean      CID001508  

Tantalum

   Resind Industria e Comercio Ltda.      CID002707  

Tantalum

   RFH Tantalum Smeltry Co., Ltd.      CID001522  

Tantalum

   Solikamsk Magnesium Works OAO      CID001769  

Tantalum

   Taki Chemicals      CID001869  

Tantalum

   Telex Metals      CID001891  

Tantalum

   Ulba Metallurgical Plant JSC      CID001969  

Tantalum

   XinXing HaoRong Electronic Material Co., Ltd.      CID002508  

Tantalum

   Yichun Jin Yang Rare Metal Co., Ltd.          CID002307  

 

11


Metal    Standard Smelter Name    Smelter ID  

Tin

   Alpha      CID000292  

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

   CV Ayi Jaya      CID002570  

Tin

   CV Dua Sekawan      CID002592  

Tin

   CV Gita Pesona      CID000306  

Tin

   CV Tiga Sekawan      CID002593  

Tin

   CV United Smelting      CID000315  

Tin

   CV Venus Inti Perkasa      CID002455  

Tin

   Dowa      CID000402  

Tin

   EM Vinto      CID000438  

Tin

   Fenix Metals      CID000468  

Tin

   Gejiu Fengming Metallurgy Chemical Plant      CID002848  

Tin

   Gejiu Jinye Mineral Company      CID002859  

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

   Guangdong Hanhe Non-ferrous Metal Limited Company      CID003116  

Tin

   Guanyang Guida Nonferrous Metal Smelting Plant      CID002849  

Tin

   HuiChang Hill Tin Industry Co., Ltd.      CID002844  

Tin

   Huichang Jinshunda Tin Co., Ltd.      CID000760  

Tin

   Jiangxi Ketai Advanced Material Co., Ltd.      CID000244  

Tin

   Jiangxi New Nanshan Technology Ltd.      CID001231  

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  

Tin

   O.M. Manufacturing (Thailand) Co., Ltd.      CID001314  

Tin

   O.M. Manufacturing Philippines, Inc.      CID002517  

Tin

   Operaciones Metalurgical S.A.      CID001337  

Tin

   PT Aries Kencana Sejahtera      CID000309  

Tin

   PT Artha Cipta Langgeng      CID001399  

 

12


Metal    Standard Smelter Name    Smelter ID  

Tin

   PT ATD Makmur Mandiri Jaya      CID002503  

Tin

   PT Babel Inti Perkasa      CID001402  

Tin

   PT Bangka Prima Tin      CID002776  

Tin

   PT Bangka Serumpun      CID003205  

Tin

   PT Bangka Tin Industry      CID001419  

Tin

   PT Belitung Industri Sejahtera      CID001421  

Tin

   PT Bukit Timah      CID001428  

Tin

   PT DS Jaya Abadi      CID001434  

Tin

   PT Eunindo Usaha Mandiri      CID001438  

Tin

   PT Inti Stania Prima      CID002530  

Tin

   PT Karimun Mining      CID001448  

Tin

   PT Kijang Jaya Mandiri      CID002829  

Tin

   PT Lautan Harmonis Sejahtera      CID002870  

Tin

   PT Menara Cipta Mulia      CID002835  

Tin

   PT Mitra Stania Prima      CID001453  

Tin

   PT O.M. Indonesia      CID002757  

Tin

   PT Panca Mega Persada      CID001457  

Tin

   PT Premium Tin Indonesia      CID000313  

Tin

   PT Prima Timah Utama      CID001458  

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 Sumber Jaya Indah      CID001471  

Tin

   PT Timah (Persero) Tbk Kundur      CID001477  

Tin

   PT Timah (Persero) Tbk Mentok      CID001482  

Tin

   PT Tinindo Inter Nusa      CID001490  

Tin

   PT Tommy Utama      CID001493  

Tin

   Resind Industria e Comercio Ltda.      CID002706  

Tin

   Rui Da Hung      CID001539  

Tin

   Soft Metais Ltda.      CID001758  

Tin

   Thaisarco      CID001898  

Tin

   White Solder Metalurgia e Mineração Ltda.      CID002036  

Tin

   Yunnan Chengfeng Non-ferrous Metals Co., Ltd.      CID002158  

Tin

   Yunnan Tin Company Limited      CID002180  

Tungsten

   A.L.M.T. TUNGSTEN Corp.      CID000004  

Tungsten

   ACL Metais Eireli      CID002833  

Tungsten

   Asia Tungsten Products Vietnam Ltd.      CID002502  

Tungsten

   Chenzhou Diamond Tungsten Products Co., Ltd.      CID002513  

 

13


Metal    Standard Smelter Name    Smelter ID  

Tungsten

   Chongyi Zhangyuan Tungsten Co., Ltd.      CID000258  

Tungsten

   Fujian Jinxin Tungsten Co., Ltd.      CID000499  

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

   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 Chuangda Vanadium Tungsten Co., Ltd. Wuji      CID002579  

Tungsten

   Hunan Chunchang Nonferrous Metals Co., Ltd.      CID000769  

Tungsten

   Hunan Litian Tungsten Industry Co., Ltd.      CID003182  

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 Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.      CID002318  

Tungsten

   Jiangxi Xinsheng Tungsten Industry Co., Ltd.      CID002317  

Tungsten

   Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.      CID002535  

Tungsten

   Jiangxi Yaosheng Tungsten Co., Ltd.      CID002316  

Tungsten

   Kennametal Fallon      CID000966  

Tungsten

   Kennametal Huntsville      CID000105  

Tungsten

   Malipo Haiyu Tungsten Co., Ltd.      CID002319  

Tungsten

   Moliren Ltd      CID002845  

Tungsten

   Niagara Refining LLC      CID002589  

Tungsten

   Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC      CID002543  

Tungsten

   Philippine Chuangxin Industrial Co., Inc.      CID002827  

Tungsten

   South-East Nonferrous Metal Company Limited of Hengyang City      CID002815  

Tungsten

   Tejing (Vietnam) Tungsten Co., Ltd.      CID001889  

Tungsten

   Unecha Refractory metals plant      CID002724  

Tungsten

   Vietnam Youngsun Tungsten Industry Co., Ltd.      CID002011  

Tungsten

   Wolfram Bergbau und Hütten AG      CID002044  

Tungsten

   Woltech Korea Co., Ltd.      CID002843  

Tungsten

   Xiamen Tungsten (H.C.) Co., Ltd.      CID002320  

Tungsten

   Xiamen Tungsten Co., Ltd.      CID002082  

 

14


Metal    Standard Smelter Name    Smelter ID  

Tungsten

   Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.      CID002830  

Tungsten

   Xinhai Rendan Shaoguan Tungsten Co., Ltd.      CID002095  

 

15

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