Survey
* Your assessment is very important for improving the workof artificial intelligence, which forms the content of this project
* Your assessment is very important for improving the workof artificial intelligence, which forms the content of this project
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form SD Specialized Disclosure Report Cummins Inc. Indiana (State or other Jurisdiction of Incorporation) 1-4949 (Commission File Number) 35-0257090 (I.R.S. Employer Identification No.) 500 Jackson Street P. O. Box 3005 Columbus, IN 47202-3005 (Principal Executive Office) (Zip Code) Mark Sifferlen, Vice President of Ethics and Compliance & Corporate Secretary, (812) 377-5000 ( 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, 2015. Section 1 – Conflict Minerals Disclosure Item 1.01 Conflict Minerals Disclosure and Report Conflict Minerals Disclosure The Company performed a reasonable country of origin inquiry, in which it surveyed over 800 direct suppliers regarding whether its necessary cassiterite, columbite-tantalite, wolframite, gold, and their derivatives, which are limited to tin, tantalum, tungsten, and gold (3TG or Conflict Minerals), have been sourced from the Democratic Republic of the Congo or an adjoining country (Covered Countries). Most of the responses the Company received indicated that the 3TG in the suppliers’ components and materials either 1) did not originate from a Covered Country, 2) were not necessary to the functionality of the components and materials or 3) the source country was undeterminable. In addition, 29 direct suppliers informed the Company that their 3TG originated from scrap or recycled sources. Further information regarding the Company’s reasonable country of origin inquiry is included in Section 2 of the Company’s Conflict Minerals Report, which is attached to this specialized disclosure report on Form SD as Exhibit 1.01. Section 2 of the Conflict Minerals Report is incorporated by reference into this Item 1.01. During its reasonable country of origin inquiry, the Company determined that some of its necessary Conflict Minerals may have been sourced from the Democratic Republic of the Congo or an adjoining country. As such, the Company proceeded to exercise due diligence in accordance with the Organization for Economic Co-operation and Development Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas framework on the source and chain of custody of the Conflict Minerals. The Conflict Minerals Report includes a discussion of the due diligence procedures performed, the ultimate determination of origin and conflict status reached, and the disclosures required by the SEC. The Company has disclosed the information above, along with a copy of its Conflict Minerals Report and related materials, on its website at http://now.cummins.com/conflictminerals . Item 1.02 Exhibit The Company has prepared a Conflict Minerals Report, which is attached to this specialized disclosure report on Form SD as Exhibit 1.01. Section 2 – Exhibits Item 2.01 Exhibits Exhibit 1.01 – Conflict Minerals Report, as required by Items 1.01 and 1.02 of this Form. 1 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. CUMMINS INC. By: /s/ MARK J. SIFFERLEN Mark J. Sifferlen Vice President of Ethics and Compliance & Corporate Secretary 2 May 20, 2016 (Date) Exhibit 1.01 Cummins Inc. Conflict Minerals Report For The Year Ended December 31, 2015 This Conflict Minerals Report for the year ended December 31, 2015 is presented to comply with Rule 13p-1 under the Securities Exchange Act of 1934 (the Rule). The Securities and Exchange Commission (SEC) adopted the Rule to implement reporting and disclosure requirements related to conflict minerals as directed by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (Dodd-Frank Act). The Rule imposes certain reporting obligations on SEC registrants whose manufactured products contain so called conflict minerals that are necessary to the functionality or production of their products. “Conflict minerals” are defined as cassiterite, columbite-tantalite, gold, wolframite, and their derivatives, which are limited to tin, tantalum, tungsten, and gold (3TG). These requirements apply to registrants whatever the geographic origin of the conflict minerals and whether or not the conflict minerals fund armed conflict in the Democratic Republic of the Congo or an adjoining country (the Covered Countries). 1. Company Overview This report has been prepared by the management of Cummins Inc. (herein referred to as “Company,” “we,” “us,” or “our”). The information in this report includes the activities of all majority-owned subsidiaries and other entities that are required to be consolidated. It does not include the activities of entities that are not required to be consolidated. Cummins Inc. is a global power leader that designs, manufactures, distributes and services diesel and natural gas engines and engine-related component products, including filtration, after-treatment, turbochargers, fuel systems, controls systems, air handling systems and electric power generation systems. We sell our products to original equipment manufacturers (OEMs), distributors and other customers worldwide. We serve our customers through a network of over 600 company-owned and independent distributor locations and over 7,200 dealer locations in more than 190 countries and territories. We conducted an analysis of our products and determined that it is possible that 3TG may be found in the majority of our products. However, we believe that the amount and value of 3TG that may be in any given product is generally de minimis compared to the size and value of the product as a whole. Conflict Minerals Policy We have adopted the following conflict minerals policy: 3 It is a policy of Cummins Inc.: To make reasonable efforts: a) to know, and to require each Cummins Inc. supplier to disclose to Cummins, the sources of Conflict Minerals used in its products; and b) to eliminate procurement, as soon as commercially practicable, of products containing Conflict Minerals obtained from sources that fund or support inhumane treatment in the Covered Countries. To require Cummins Inc. suppliers to assist the Company to comply with the disclosure requirements of Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, and the rules of the U.S. Securities and Exchange Commission promulgated pursuant to that law, as well as any related laws and rules. 2. Reasonable Country of Origin Inquiry (RCOI) Scope of the Reasonable Country of Origin Inquiry Review We designed our Reasonable Country of Origin Inquiry (RCOI) to provide a reasonable basis for us to determine whether we source 3TG from Covered Countries. In 2015, we identified those suppliers who we knew to have supplied, or otherwise were highly likely to have supplied (e.g., electronics suppliers), components and materials containing 3TG. Through our scoping exercise, we identified over 800 direct suppliers representing over 35% of our 2015 expenditures for direct components and materials. We conducted a survey of these suppliers using the template developed by the Electronic Industry Citizenship Coalition® (EICC®) and The Global e-Sustainability Initiative (GeSI), known as the Conflict Minerals Reporting Template (the Template). The Template was developed to facilitate disclosure and communication of information regarding smelters that provide material to a company’s supply chain. It includes questions regarding a direct supplier’s conflict minerals policy, engagement with its direct suppliers, origin of conflict minerals included in its products, supplier due diligence, and a listing of the smelters the direct supplier and its suppliers use. Written instructions and recorded training illustrating the use of the tool is available on the EICC’s website. Many companies are using the Template in their RCOI and due diligence processes related to conflict minerals. RCOI Results In an effort to obtain the highest practical response rate, our process included multiple rounds of communication and follow-up including mail, email, and telephone calls. We received a response from suppliers representing the majority of in-scope direct material and components expenditures. We reviewed the responses against criteria developed to determine which responses required further engagement with our suppliers. These criteria included untimely or incomplete responses as well as inconsistencies within the data reported in the Template. We worked directly with these suppliers to obtain a revised response and/or additional clarity regarding their submission. 4 Most of the responses we received indicated that the 3TG in the suppliers’ components and materials either 1) did not originate from a Covered Country, 2) were not necessary to the functionality of the components and materials or 3) the source country was undeterminable. However, after reviewing the results of our RCOI, we determined that we had reason to believe that some of the 3TG necessary for the functionality or production of our products, from a small number of suppliers, may have originated in a Covered Country during 2015, all within the meaning of the Rule. We conducted our RCOI in good faith, and we believe that such inquiry was reasonable to allow us to make our determination. Accordingly, the Company proceeded to exercise due diligence on the source and chain of custody of the 3TG. 3. Due Diligence Process 3.1 Design of Due Diligence We designed our due diligence measures to conform, in all material respects, with the framework in The Organization for Economic Co-operation and Development Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (OECD Guidance) and the related Supplements for gold and for tin, tantalum, and tungsten. 3.2 Management Systems Conflict Minerals Policy As described above, the Company has adopted a conflict minerals policy. Internal Team We have developed a cross-functional team to set our conflict minerals strategy and ensure timely implementation and execution of our program. Our Corporate Prohibited and Restricted Materials Leader, with support from our Environmental Materials Council, has primary responsibility for program execution. Guidance on the overall strategy and implementation is provided by the Corporate Purchasing Leadership Team, the Legal Department, and the Ethics and Compliance Department. Senior management is briefed about the results of our program on a regular basis. Control Systems and Supplier Engagement As a company well downstream in the supply chain, we do not have a direct relationship with 3TG smelters and refiners. We engage with our suppliers and other major manufacturers in our industry and rely on information provided through the EICC-GeSI Conflict Minerals Reporting Template to gather information on the source and chain of custody of the conflict minerals in our products. 5 In 2013, we updated our Supplier Code of Business Conduct (Supplier Code) to address, among other things, conflict minerals and the requirement of our suppliers to provide information on their use of these minerals. Our supplier contracts include a requirement that the supplier comply with the Supplier Code. Contracts with our suppliers are frequently in force for three to five years, and we are ensuring that any new or renewed contracts incorporate the most up-to-date version of the Supplier Code. In conjunction with that process, we are also asking our suppliers to certify that they have received the updated Supplier Code and intend to comply. We conduct periodic audits of our suppliers to validate compliance with the Supplier Code. Records Retention We will retain documentation related to our conflict minerals compliance program according to our Corporate Record Retention Schedule. Grievance Mechanism We have longstanding grievance mechanisms whereby employees and suppliers can report potential violations of the Company’s policies, including our conflict minerals policy. Our supplier Internet portal and Cummins website includes contact information that individuals can use to voice any concerns. 3.3 Identify and Assess Risk in the Supply Chain Because of our size, the complexity of our products, and the depth, breadth, and constant evolution of our supply chain, it is difficult to identify second and third tier suppliers beyond our direct supply base. Through our RCOI process (see section 2 above), we rely on our suppliers whose materials or components contain 3TG to provide us with information about the source of 3TG contained in those materials or components. Our direct suppliers similarly rely upon information provided by their suppliers. Many of our largest suppliers either are SEC registrants and subject to the Rule or are suppliers to other SEC registrants that are subject to the Rule. 3.4 Design and Implement a Strategy to Respond to Risks In conjunction with our risk assessment process, the Company has developed, and management has approved, a risk management plan. Through our due diligence process we attempt to determine the source and chain of custody of the necessary conflict minerals we know, or have reason to believe, originated in a Covered Country. As a downstream company, we generally do not have a direct relationship with smelters and/or refiners. Most of the work toward this aspect of the OECD Guidance is carried out indirectly through our suppliers or through our involvement with industry working groups/coalitions. 6 As a downstream company, we largely focus on the accuracy and quality of the representations our direct suppliers make regarding the source and chain of custody of their conflict minerals. The Company evaluates its direct suppliers’ responses to RCOI and due diligence inquiries based on the risk or likelihood that they are giving an incorrect response or that a non-response may indicate the supplier is purchasing from a known conflict source and does not wish to disclose this fact. When necessary, issues are escalated to the appropriate level internally and with the supplier. In evaluating the responses from its suppliers, the Company screens all responses for overall risk factors associated with the veracity of the information supplied. Suitable, measurable risk mitigation plans are developed as needed on a case-by-case basis. To date, we have found no instances where it was necessary to terminate a contract or find a replacement supplier. 3.5 Carry Out Independent Third Party Audits of Supply Chain Due Diligence at Identified Points in the Supply Chain We do not typically have a direct relationship with 3TG smelters and refiners and do not perform or direct audits of these entities within our supply chain. We support audits by engaging our upstream partners who are closer to the source and by supporting the processes carried out through the Conflict Minerals Reporting Template. 3.6 Report on Supply Chain Due Diligence This conflict minerals report is being filed with the SEC as an exhibit to our specialized disclosure report on Form SD and is available on our website at http://now.cummins.com/conflictminerals . 4. Due Diligence Results Through our due diligence process we found that the majority of the suppliers we believed could be sourcing from a Covered Country were unable to determine the smelter or refiner of the 3TG in their products. A small number of suppliers were able to provide a partial list of smelters and refiners. These suppliers informed us that they were continuing to exercise their own due diligence efforts, but felt they would be unable to provide a complete list of smelters/refiners prior to the filing deadline. We compared the partial lists provided by our suppliers to those published by organizations such as the USGS, GAO, LBMA, EICC/GESI, and/or DMCC/WGC. Through this process we were able to identify and address gaps in data, spelling errors, and eliminate duplicate records in order to arrive at the consolidated list of smelters and refiners. The large majority of the responses received provided data at the supplier company level or a division/segment level relative to the supplier, rather than at a level directly relating to a part number that the supplier supplies to us, or were otherwise unable to specify the smelters or refiners used for components supplied to us. We were therefore unable to determine whether any of the 3TG that these suppliers reported was contained in components supplied to us or to validate that any of these smelters or refiners are actually in our supply chain. However, based on the information we obtained from our suppliers, we believe that, to the best of our knowledge, the smelters and refiners listed in Annex I to this conflict minerals report may have been used to process the 3TG contained in the products we manufactured. 7 Efforts to Determine Mine or Location of Origin Refer to sections 2 and 3 above for details on our RCOI and due diligence processes. We believe that these processes are the most reasonable efforts we can make to determine the mines or locations of origin of the 3TG in our supply chain. 5. Planned Program Improvements We intend to continue to take the following steps to improve our conflict minerals program: a) As described in section 3.2 above, new or renewed supplier contracts will include updated Supplier Code of Conduct language which requires the suppliers to support our conflict minerals program. b) Engage with suppliers and direct them to training resources to attempt to increase the response rate and improve the content of the supplier survey responses. c) Continue to work with our peers, suppliers, and industry groups to define and improve best practices and build leverage over the supply chain in accordance with the OECD Guidance. d) Continue to increase due diligence efforts to identify and address gaps in data in order to arrive at an accurate list of smelter locations. 8 ANNEX I Subject Mineral Gold Gold Gold Smelter or Refiner Name Acade Noble Metal (Zhao Yuan) Corporation Advanced Chemical Company Aida Chemical Industries Co., Ltd. Aktyubinsk Copper Company TOO Gold Al Etihad Gold Refinery DMCC Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold 9 Allgemeine Gold-und Silberscheideanstalt A.G. Almalyk Mining and Metallurgical Complex (AMMC) AngloGold Ashanti Córrego do Sítio Mineração Argor-Heraeus SA Asahi Pretec Corporation Asahi Refining Canada Limited Asahi Refining USA Inc. Asaka Riken Co., Ltd. Atasay Kuyumculuk Sanayi Ve Ticaret A.S. Aurubis AG Baiyin Nonferrous Metals Corporation (BNMC) Bangko Sentral ng Pilipinas (Central Bank of the Philippines) Bangkok Assay Bauer Walser AG Boliden AB C. Hafner GmbH + Co. KG Country Location of Smelter or Refiner Smelter Identification Source of Smelter Identification Number CHINA UNITED STATES JAPAN KAZAKHSTAN UNITED ARAB EMIRATES CID000015 CID000019 CID000028 CFSI CFSI CFSI CID002560 CFSI GERMANY CID000035 CFSI UZBEKISTAN CID000041 CFSI BRAZIL CID000058 CFSI SWITZERLAND JAPAN CANADA UNITED STATES JAPAN CID000077 CID000082 CID000924 CID000920 CID000090 CFSI CFSI CFSI CFSI CFSI TURKEY CID000103 CFSI GERMANY CID000113 CFSI PHILIPPINES CID000128 CFSI THAILAND GERMANY SWEDEN GERMANY CID000141 CID000157 CID000176 CFSI CFSI CFSI CHINA Subject Mineral Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold 10 Smelter or Refiner Name Caridad CCR Refinery – Glencore Canada Corporation Cendres + Métaux SA Changzhou Chemical Research Institute Co. Ltd. Cheong Hing Company Chernan Metal Technology co., Ltd Chimet S.p.A. China Golddeal Investment Co. Ltd China National Gold Group Corporation China Nonferrous Metal Mining (Group) Co., Ltd. China Sino-Platinum Metals Co.,Ltd Chugai Mining Codelco Colt Refining CORE PMG Daejin Indus Co., Ltd. DaeryongENC Daye Non-Ferrous Metals Mining Ltd. Do Sung Corporation DODUCO GmbH Dongguanshi Sutande Dianzi Cailiao Youxiangongsi Dowa Dr.-Ing. Max Schloetter GmbH & Co. KG DRW Echememi Enterprise Corp. (Futures Exchange) Eco-System Recycling Co., Ltd. Country Location of Smelter or Refiner Smelter Identification MEXICO CID000180 Source of Smelter Identification Number CFSI CANADA CID000185 CFSI SWITZERLAND CID000189 CFSI CID000233 CFSI CID000242 CFSI CID000264 CID000288 CFSI USGS/GAO CFSI CID000328 CID000333 CFSI CFSI CID000343 CFSI KOREA, REPUBLIC OF CID000359 GERMANY CID000362 CFSI CFSI CHINA HONG KONG CHINA ITALY CHINA CHINA CHINA CHINA JAPAN CHILE UNITED STATES GERMANY KOREA, REPUBLIC OF KOREA, REPUBLIC OF CHINA CHINA JAPAN CID000401 CFSI CID000425 CFSI GERMANY UNITED STATES CHINA JAPAN Subject Mineral Smelter or Refiner Name Gold Elemetal Refining, LLC Gold Emirates Gold DMCC Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold 11 Country Location of Smelter or Refiner Smelter Identification UNITED STATES UNITED ARAB EMIRATES CID001322 Source of Smelter Identification Number CFSI CID002561 CFSI ESG Edelmetallservice GmbH & Co. GERMANY KG Evonik Degussa GmbH GERMANY Faggi Enrico S.p.A. ITALY CID002355 Feinhütte Halsbrücke GmbH GERMANY Fidelity Printers and Refiners Ltd. ZIMBABWE CID002515 Gansu Seemine Material Hi-Tech CHINA CID000522 Co., Ltd. Geib Refining Corporation UNITED STATES CID002459 Great Wall Precious Metals Co., Ltd. CHINA CID001909 of CBPM Guandong Jinding Material Co., Ltd. CHINA Guangdong Gao Yao He Tai Gold CHINA Mining Guangdong Hua Jian Trade Co Ltd CHINA Guangdong Jinding Gold Limited CHINA CID002312 Guangdong Mingfa Precious Metal CHINA Co, Ltd Guoda Safina High-Tech CHINA CID000651 Environmental Refinery Co., Ltd. Hangzhou Fuchunjiang Smelting CHINA CID000671 Co., Ltd. Harima Smelter JAPAN Heesung Catalysts Corp KOREA, REPUBLIC OF Heesung Metal Ltd KOREA, REPUBLIC OF Heimerle + Meule GmbH GERMANY CID000694 Henan Lingbao Jinyuan Mining Co CHINA Heraeus Ltd. Hong Kong CHINA CID000707 Heraeus Precious Metals GmbH & GERMANY CID000711 Co. KG CFSI CFSI CFSI CFSI CFSI USGS CFSI CFSI CFSI CFSI CFSI CFSI Subject Mineral Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Smelter or Refiner Name Heraeus USA Hishikari Gold Mine Hon Hai Precision Co., Ltd. Hon Shen Co. Ltd House of Currency of Brazil (Casa da Moeda do Brazil) Hunan Chenzhou Mining Co., Ltd. Hutti Gold Mines Co Hwasung CJ Co., Ltd. Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited Ishifuku Metal Industry Co., Ltd. Istanbul Gold Refinery Japan Mint Japan Pure Chemical Jiangxi Copper Company Limited Jin Jinyin Refining Limited Jinbao Electronic Co.,Ltd. Jinfeng Gold Mine Smelter Jinlong Copper Co., Ltd. Johnson Matthey Hong Kong Ltd. Johnson Matthey Inc JSC Ekaterinburg Non-Ferrous Metal Processing Plant Gold JSC Uralelectromed Gold JX Nippon Mining & Metals Co., Ltd. Gold Kaloti Precious Metals Gold Gold 12 Country Location of Smelter or Refiner Smelter Identification Source of Smelter Identification Number UNITED STATES JAPAN TAIWAN TAIWAN BRAZIL USGS CHINA CID000767 INDIA KOREA, REPUBLIC OF CID000778 CFSI CHINA CID000801 CFSI JAPAN TURKEY JAPAN JAPAN CHINA CHINA CHINA CHINA CHINA CHINA UNITED STATES RUSSIAN FEDERATION RUSSIAN FEDERATION CID000807 CID000814 CID000823 CFSI CFSI CFSI CID000855 CFSI CID000927 CFSI CID000929 CFSI JAPAN CID000937 CFSI CID002563 CFSI CID000956 CFSI UNITED ARAB EMIRATES Kanfort Industrial (Yantai) Co. Ltd. CHINA Kazakhmys Smelting LLC KAZAKHSTAN CFSI Subject Mineral Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold 13 Smelter or Refiner Name Kazzinc Kee Shing Kennecott Utah Copper LLC KGHM Polska Miedź Spółka Akcyjna Kojima Chemicals Co., Ltd. Korea Metal Co., Ltd. Korea Zinc Co. Ltd. Kovohute Pribram Nastupickna a.s. KYOCERA Kyrgyzaltyn JSC L' azurde Company For Jewelry Lingbao Gold Company Limited Lingbao Jinyuan Tonghui Refinery Co., Ltd. Linxens Littelfuse LS-NIKKO Copper Inc. Luoyang Zijin Yinhui Gold Refinery Co., Ltd. Materion Matsuda Sangyo Co., Ltd. Metallic Resources Inc Metalor Technologies (Hong Kong) Ltd. Metalor Technologies (Singapore) Pte., Ltd. Metalor Technologies (Suzhou) Ltd. Metalor Technologies SA Metalor USA Refining Corporation Country Location of Smelter or Refiner KAZAKHSTAN HONG KONG UNITED STATES Smelter Identification CID000957 Source of Smelter Identification Number CFSI CID000969 CFSI POLAND CID002511 CFSI JAPAN KOREA, REPUBLIC OF KOREA, REPUBLIC OF CZECH REPUBLIC JAPAN KYRGYZSTAN SAUDI ARABIA CHINA CID000981 CID000988 CID002605 CFSI CFSI CFSI USGS CID001029 CID001032 CID001056 CFSI CFSI CFSI CHINA CID001058 CFSI FRANCE UNITED STATES KOREA, REPUBLIC OF CID001078 CFSI CHINA CID001093 CFSI UNITED STATES JAPAN UNITED STATES CID001113 CID001119 CFSI CFSI CHINA CID001149 CFSI SINGAPORE CID001152 CFSI CHINA CID001147 CFSI SWITZERLAND UNITED STATES CID001153 CID001157 CFSI CFSI Subject Mineral Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Smelter or Refiner Name METALÚRGICA MET-MEX PEÑOLES, S.A. DE C.V Mitsubishi Materials Corporation Mitsui Mining and Smelting Co., Ltd. MMTC-PAMP India Pvt., Ltd. Morigin Company Morris and Watson Moscow Special Alloys Processing Plant N.E. Chemcat Corporation Nadir Metal Rafineri San. Ve Tic. A.Ş. Nanchang Shenghua Non-ferrous Metals Navoi Mining and Metallurgical Combinat Nihon Material Co., Ltd. Niihama Toyo Smelter & Refinery Ningbo Kangqiang Electronics Nyrstar Metal Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH Ohura Precious Metal Industry Co., Ltd. OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastvetmet) Country Location of Smelter or Refiner Smelter Identification Source of Smelter Identification Number MEXICO CID001161 CFSI JAPAN CID001188 CFSI JAPAN CID001193 CFSI INDIA JAPAN NEW ZEALAND RUSSIAN FEDERATION JAPAN CID002509 CFSI CID002282 CFSI CID001204 CFSI TURKEY CID001220 CFSI UZBEKISTAN CID001236 CFSI JAPAN JAPAN CHINA AUSTRALIA CID001259 CFSI AUSTRIA CID002779 CFSI JAPAN CID001325 CFSI RUSSIAN FEDERATION CID001326 CFSI CID001328 CFSI CID000493 CFSI CID001352 CFSI CID001362 CFSI CID001386 CFSI CHINA RUSSIAN FEDERATION RUSSIAN FEDERATION SWITZERLAND Gold OJSC Kolyma Refinery Gold OJSC Novosibirsk Refinery Gold PAMP SA Penglai Penggang Gold Industry Co., CHINA Ltd. Prioksky Plant of Non-Ferrous RUSSIAN Metals FEDERATION Gold Gold 14 Subject Mineral Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold 15 Smelter or Refiner Name Country Location of Smelter or Refiner PT Aneka Tambang (Persero) Tbk INDONESIA PX Précinox SA SWITZERLAND Rand Refinery (Pty) Ltd. SOUTH AFRICA Remondis Argentia B.V. NETHERLANDS Republic Metals Corporation UNITED STATES Rohm & Haas Electronic Materials SINGAPORE Ltd Royal Canadian Mint CANADA Rui Sheng INDONESIA Sabin Metal Corp. UNITED STATES Safimet S.p.A. ITALY Samduck Precious Metals KOREA, REPUBLIC OF SAMWON Metals Corp. KOREA, REPUBLIC OF SAXONIA Edelmetalle GmbH GERMANY Schone Edelmetaal B.V. NETHERLANDS Scotia Mocatta, The Bank of Nova HONG KONG Scotia SEMPSA Joyería Platería SA SPAIN Sewon Industry Company Korea KOREA, REPUBLIC OF Shandong Gold Mining Co., Ltd. CHINA Shandong Hengbang Smelting Co., CHINA Ltd Shandong Humon Smelting Co., Ltd. CHINA Shandong Jun Mai Fu CHINA Shandong Tiancheng Biological CHINA Gold Industrial Co., Ltd. Shandong Zhaojin Gold & Silver CHINA Refinery Co., Ltd. Shanghai Kyocera Electronics Co, CHINA Ltd Shen Zhen Thousand Island Ltd. CHINA CID001397 CID001498 CID001512 Source of Smelter Identification Number CFSI CFSI CFSI CID002510 CFSI CID001534 CFSI CID001546 CFSI CID001555 CID001562 CID002777 CID001573 CFSI CFSI CFSI CFSI CID001585 CFSI Smelter Identification USGS CID001619 CFSI CID001622 CFSI Subject Mineral Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold 16 Smelter or Refiner Name Shenzhen Chemicals & Light Industry Co., Ltd. Shenzhen Fujun Material Technology Co, Ltd Shenzhen Heng Zhong Industry Co.,Ltd. Shenzhen Tiancheng Chemical Co., Ltd. Sichuan Tianze Precious Metals Co., Ltd. Singway Technology Co., Ltd. SINO-PLATINUM METALS CO.,LTD So Accurate Group, Inc. SOE Shyolkovsky Factory of Secondary Precious Metals Solar Applied Materials Technology Corp. Sudan Gold Refinery Sumitomo Metal Mining Co., Ltd. Super Dragon Technology Co., Ltd. Suzhou Xingrui Noble T.C.A S.p.A Tai Zhou Chang San Jiao Electron Co., Ltd. Taizhou Chang San Jiao Electric Co., Ltd. Tanaka Kikinzoku Kogyo K.K. Technic Inc The Refinery of Shandong Gold Mining Co., Ltd. Tokuriki Honten Co., Ltd. Tongling Nonferrous Metals Group Co., Ltd. Torecom Umicore Brasil Ltda. Smelter Identification Source of Smelter Identification Number CHINA CID001736 CFSI TAIWAN CID002516 CFSI UNITED STATES RUSSIAN FEDERATION CID001754 CFSI CID001756 CFSI TAIWAN CID001761 CFSI SUDAN JAPAN TAIWAN CHINA ITALY CID002567 CID001798 CFSI CFSI CID002580 CFSI JAPAN UNITED STATES CID001875 CFSI CHINA CID001916 CFSI JAPAN CID001938 CFSI CHINA CID001947 CFSI KOREA, REPUBLIC OF CID001955 BRAZIL CID001977 CFSI CFSI Country Location of Smelter or Refiner CHINA CHINA CHINA CHINA CHINA CHINA CHINA Subject Mineral Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Gold Tantalum 17 Smelter or Refiner Name Country Location of Smelter or Refiner Smelter Identification Umicore Galvanotechnik GmbH GERMANY Umicore Precious Metal Refining UNITED STATES Umicore Precious Metals Thailand THAILAND CID002314 Umicore SA Business Unit Precious BELGIUM CID001980 Metals Refining Uniforce Metal Industrial Corp. HONG KONG United Precious Metal Refining, Inc. UNITED STATES CID001993 Valcambi SA SWITZERLAND CID002003 Western Australian Mint trading as AUSTRALIA CID002030 The Perth Mint WIELAND Edelmetalle GmbH GERMANY CID002778 Williams Gold Refining Co, Inc UNITED STATES Wuxi Middle Treasure Materials CHINA Yamamoto Precious Metal Co., Ltd. JAPAN CID002100 Yantai Guodasafina High-Tech CHINA Environmental Refinery Co. Ltd. Yokohama Metal Co., Ltd. JAPAN CID002129 Yoo Chang Metal, Inc KOREA, REPUBLIC OF Yunnan Chengfeng Non-ferrous CHINA Metals Co.,Ltd. Yunnan Copper Industry Co., Ltd. CHINA CID000197 Yunnan Metallurgical Group Co, Ltd CHINA Zhaojin Mining Industry Co. Ltd CHINA Zhejiang suijin CHINA Zhongyuan Gold Smelter of CHINA CID002224 Zhongjin Gold Corporation Zijin Mining Group Co., Ltd. Gold CHINA CID002243 Refinery AMG Advanced Metallurgical UNITED STATES Group Source of Smelter Identification Number CFSI CFSI CFSI CFSI CFSI CFSI CFSI CFSI CFSI CFSI CFSI Subject Mineral Tantalum Tantalum Tantalum Tantalum Tantalum Tantalum Tantalum Tantalum Tantalum Tantalum Tantalum Tantalum Tantalum Tantalum Tantalum Tantalum Tantalum Tantalum Tantalum Tantalum Tantalum Tantalum Tantalum Tantalum Tantalum 18 Smelter or Refiner Name BÖHLER Schmiedetechn Changsha South Tantalum Niobium Co., Ltd. Chaozhou Xianglu Tun Conghua Tantalum and Niobium Smeltry D Block Metals, LLC Designed Alloys Duoluoshan Ethiopian Minerals Development Share Company Exotech Inc. F&X Electro-Materials Ltd. FIR Metals & Resource Ltd. Gannon & Scott Global Advanced Metals Global Advanced Metals Aizu Global Advanced Metals Boyertown Guangdong Zhiyuan New Material Co., Ltd. Guizhou Zhenhua Xinyun Technology Ltd., Kaili branch H.C. Starck Co., Ltd. H.C. Starck GmbH Goslar H.C. Starck GmbH Laufenburg H.C. Starck Group H.C. Starck Hermsdorf GmbH H.C. Starck Inc. H.C. Starck Ltd. H.C. Starck Smelting GmbH & Co.KG Smelter Identification Source of Smelter Identification Number CID000211 CFSI CHINA CID000291 CFSI UNITED STATES UNITED STATES CHINA CID002504 CFSI CID000410 CFSI UNITED STATES CHINA CHINA UNITED STATES UNITED STATES JAPAN UNITED STATES CID000456 CID000460 CID002505 CFSI CFSI CFSI CID000564 CID002558 CID002557 CFSI CFSI CFSI CHINA CID000616 CFSI CHINA CID002501 CFSI THAILAND GERMANY GERMANY GERMANY GERMANY UNITED STATES JAPAN CID002544 CID002545 CID002546 CID000654 CID002547 CID002548 CID002549 CFSI CFSI CFSI CFSI CFSI CFSI CFSI GERMANY CID002550 CFSI Country Location of Smelter or Refiner AUSTRIA CHINA CHINA ETHIOPIA Subject Mineral Tantalum Tantalum Tantalum Tantalum Tantalum Tantalum Tantalum Tantalum Tantalum Tantalum Tantalum Tantalum Tantalum Tantalum Tantalum Tantalum Tantalum Tantalum Tantalum Tantalum Tantalum Tantalum Tantalum Tantalum Tantalum 19 Smelter or Refiner Name Hengyang King Xing Lifeng New Materials Co., Ltd. Hi-Temp Specialty Metals, Inc. Hunan Chenzhou Mining Group Co Ishifuku Metal Industry Co., Ltd. Jade-Sterling Jiangmen F&X Electro-Materials Ltd Jiangxi Dinghai Tantalum & Niobium Co., Ltd. Jiangxi Tungsten Industry Group Co Ltd JiuJiang JinXin Nonferrous Metals Co., Ltd. Jiujiang Tanbre Co., Ltd. Jiujiang Zhongao Tantalum & Niobium Co., Ltd. JX Nippon Mining & Metals Co., Ltd KEMET Blue Metals KEMET Blue Powder King-Tan Tantalum Industry Ltd King-Tan Tantalum Industry Ltd. LSM Brasil S.A. Metaldo Co, Ltd Metallurgical Products India Pvt., Ltd. Mineração Taboca S.A. Mitsui Mining & Smelting Mitsui Mining and Smelting Co., Ltd. Molycorp Silmet A.S. Nantong Tongjie Electrical Co., Ltd. Ningxia Orient Tantalum Industry Co., Ltd. Country Location of Smelter or Refiner Smelter Identification Source of Smelter Identification Number CHINA CID002492 CFSI UNITED STATES CHINA JAPAN UNITED STATES CID000731 CFSI CHINA CHINA OECD List CID002512 CFSI CHINA CID000914 CFSI CHINA CID000917 CFSI CHINA CID002506 CFSI MEXICO UNITED STATES CHINA CHINA BRAZIL JAPAN CID002539 CID002568 CID000973 CID001076 CFSI CFSI OECD List CFSI CFSI INDIA CID001163 CFSI BRAZIL JAPAN CID001175 CID001192 CFSI CFSI ESTONIA CHINA CID001200 CFSI CHINA CID001277 CFSI CHINA JAPAN JAPAN Subject Mineral Smelter or Refiner Name Tantalum Tantalum Tantalum Tantalum Tantalum Tantalum Tantalum Tantalum Tantalum Tantalum Tantalum Nippon Mining & Metals Pan Pacific Copper Co. Ltd. Plansee Plansee SE Liezen Plansee SE Reutte PM Kalco Inc Posco QuantumClean Resind Indústria e Comércio Ltda RFH Tantalum Smeltry Co., Ltd Shanghai Jiangxi Metals Co. Ltd. Tantalum Tantalum Tantalum Tantalum Tantalum Tantalum Tantalum Tantalum Tantalum Tantalum Tantalum Tin Tin Tin Tin Tin 20 Country Location of Smelter or Refiner Smelter Identification JAPAN JAPAN AUSTRIA CID001368 AUSTRIA CID002540 AUSTRIA CID002556 UNITED STATES KOREA, REPUBLIC OF UNITED STATES CID001508 BRAZIL CID002707 CHINA CID001522 CHINA RUSSIAN Solikamsk Magnesium Works OAO CID001769 FEDERATION Taki Chemicals JAPAN CID001869 Talley Metals UNITED STATES Tantalite Resources SOUTH AFRICA Telex Metals UNITED STATES CID001891 Tranzact, Inc. UNITED STATES CID002571 Ulba Metallurgical Plant JSC KAZAKHSTAN CID001969 XinXing HaoRong Electronic CHINA CID002508 Material Co., Ltd. Yao Gang Xian Mining CHINA Yichun Jin Yang Rare Metal Co., CHINA CID002307 Ltd. Zhuzhou Cemented Carbide CHINA CID002232 5N Plus Lübeck GmbH GERMANY A.M.P.E.R.E. FRANCE A.M.P.E.R.E. Deutsch GERMANY ACuPowder International, LLC UNITED STATES Alpha UNITED STATES CID000292 Source of Smelter Identification Number CFSI CFSI CFSI CFSI CFSI CFSI CFSI CFSI CFSI CFSI CFSI CFSI CFSI CFSI CFSI CFSI Subject Mineral Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin 21 Smelter or Refiner Name Amalgamated Metals Corporation American Iron and Metal Ami Bridge Enterprise Co., Ltd. An Vinh Joint Stock Mineral Processing Company An Xin Xuan Xin Yue You Se Jin Shu Co. Ltd. Arco Alloys Assaf Conductors Ltd. Atlas Pacific Corporation Atotech AURA-II Aurubis Netherlands B.V. B T Solders Pvt Ltd Baoshida - Swissmetal Best Metais Bonoka.Beliting INDONESIA BOYI METAL ELECTRO FTY BRIGHT-E Brinkmann Chemie AG CFC Cooperativa dos Fundidores de Cassiterita da Amazonia Ltda. Charter Wire Chemtreat Consultant Chengfeng Metals Co Pte Ltd Chenzhou Yunxiang Mining Smelting Compang LTD Chernan Technology Co, Ltd Chiafar Industrial Factory Co, Ltd China Hongqiao Group Country Location of Smelter or Refiner Smelter Identification Source of Smelter Identification Number CID002703 CFSI CID000228 CFSI UNITED KINGDOM CANADA CHINA VIETNAM CHINA UNITED STATES UNITED STATES UNITED STATES GERMANY UNITED STATES NETHERLANDS INDIA SWITZERLAND BRAZIL INDONESIA CHINA CHINA GERMANY BRAZIL UNITED STATES INDIA SINGAPORE CHINA TAIWAN TAIWAN CHINA Subject Mineral Tin Tin Tin Tin Tin Tin Tin Tin Tin Smelter or Refiner Name China Rare Metal Material Company China Tin Group Co., Ltd. CIMSA, S.A. CNMC (Guangxi) PGMA Co., Ltd. Colonial Metals Complejo Metalurgico Vinto S.A. Cooérativa Produtores de Cassiterita Cookson Alpha Metals(Shenzhen)Co.Ltd Cooperativa Metalurgica de Rondônia Ltda. Tin CSC Pure Technologies Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin CV Ayi Jaya CV Duta Putra Bangka CV Gita Pesona CV Makmur Jaya CV Serumpun Sebalai CV United Smelting CV Venus Inti Perkasa Dae Chang Ind Co, Ltd Dae Kil Darley Dale Smelter Dongguan Qiandao Tin Co., Ltd Dongguan Yuecheng Tin Industry Co Ltd Dowa Dr.-Ing. Max Schloetter GmbH & Co. KG Eagle Brass EFD INC. Egli Fischer Tin Tin Tin Tin Tin Tin 22 Country Location of Smelter or Refiner CHINA CHINA SPAIN CHINA UNITED STATES BOLIVIA BRAZIL Smelter Identification Source of Smelter Identification Number CID001070 CFSI CID000278 CFSI OECD List CHINA BRAZIL CID000295 RUSSIAN FEDERATION INDONESIA CID002570 INDONESIA INDONESIA CID000306 INDONESIA INDONESIA CID000313 INDONESIA CID000315 INDONESIA CID002455 KOREA, REPUBLIC OF KOREA, REPUBLIC OF UNITED KINGDOM CHINA CFSI CFSI CFSI CFSI CFSI CFSI OECD List CHINA JAPAN CID000402 CFSI GERMANY UNITED STATES UNITED STATES SWITZERLAND OECD List Subject Mineral Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin 23 Smelter or Refiner Name Electroloy Metal (Shenzhen) Co, Ltd Electroloy Metal Pte Ltd Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company Elmet S.L.U. (Metallo Group) EM Vinto Empresa Metallurgica Vinto Estanho de Rondônia S.A. Exim Americana Eximetal S.A. Feinhütte Halsbrücke GmbH Fenix Metals Foshan Nanhai Tong Ding Metal Company. Ltd. Fracsa Alloys, S.A. Fry's Metals Inc/dba Alpha Fuji Metal Mining Corp Fundição Regali G.A. Avril Company GEJIU GOLD SMELTER MINERALS CO., LTD Gejiu Jinge Mining Co Gejiu Kai Meng Industry and Trade LLC Gejiu Non-Ferrous Metal Processing Co., Ltd. Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. Gejiu Zili Mining And Metallurgy Co., Ltd. Geofeli Comercio de Metais Ltd Glencore Canada Gnutti Carlo S.p.A. Gold Bell Group Gomat-e-K Smelter Identification Source of Smelter Identification Number VIETNAM CID002572 CFSI SPAIN BOLIVIA BOLIVIA BRAZIL MEXICO ARGENTINA GERMANY POLAND CID002774 CID000438 CFSI CFSI CID000448 CFSI CID000466 CID000468 CFSI CFSI Country Location of Smelter or Refiner CHINA SINGAPORE CHINA MEXICO UNITED STATES JAPAN BRAZIL UNITED STATES CHINA CHINA OECD List CHINA CID000942 CFSI CHINA CID000538 CFSI CHINA CID001908 CFSI CHINA CID000555 CFSI BRAZIL CANADA ITALY CHINA GERMANY Subject Mineral Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin 24 Smelter or Refiner Name Grant Manufacturing & Alloying, Inc GuangDong Jiatian Stannum Products Co., Ltd Guangxi Liuzhou Huaxi Group Guangxi Pinggui PGMA Co., Ltd Guangxi Zhongshan Jinyi Smelting Co., Ltd Guangzhou Pacific Tinplate Co, Ltd Guanxi China Tin Group Co, Ltd H. Kramer and Company Hai Yuxin Xi Zhuhai Co., Ltd. Hawkins, Inc. Hayes Metals Pty Ltd Hechi Shuanglong Metallurgical Chemical Co, Ltd Heraeus Materials Technology GmbH & Co. KG Heraeus Technology Center Hongqiao Metals (Kunshan) Co., Ltd. Huayou Huichang Jinshunda Tin Co., Ltd. Hunan Xianghualing Tin Co. ltd Huron Valley Steel Corp Hyundai Steel Impag AG CH-Zürich Imperial Zinc Corp Indonesia Tin Corp Country Location of Smelter or Refiner Smelter Identification Source of Smelter Identification Number UNITED STATES CHINA CHINA CHINA CHINA CHINA CHINA UNITED STATES CHINA UNITED STATES NEW ZEALAND CHINA GERMANY HONG KONG CHINA TAIWAN CHINA CID000760 CHINA UNITED STATES KOREA, REPUBLIC OF SWITZERLAND UNITED STATES INDONESIA OECD List CFSI Subject Mineral Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin 25 Smelter or Refiner Name Country Location of Smelter or Refiner Industria Brasileira de Ferroligas BRAZIL Ltda Industrial Minera Mexico S.A. MEXICO Ing.Josef Kořínek CZECH REPUBLIC ISHIKAWA METAL CO., LTD. JAPAN i-TSCL GERMANY Jau Janq Enterprise Co, Ltd TAIWAN Jau Janq Grik Perak Malaysia MALAYSIA Jean Goldschmidt International SA BELGIUM Jiangxi Ketai Advanced Material CHINA Co., Ltd. JX Nippon Mining & Metals Co., JAPAN Ltd Kai Unita Trade Limited Liability CHINA Company Kaimeng (Gejiu) Industry and Trade CHINA Co., Ltd. Karas Metal Finishing & Plating UNITED KINGDOM Services Ltd Kewei Tin Co., Ltd CHINA Kiesow Dr Brinkmann GmbH & Co GERMANY Kihong T&G INDONESIA KME France FRANCE KME Germany GmbH & Co GERMANY Koepp Schaum GmbH GERMANY Koki Products Co. Ltd. THAILAND Kovohute Pribram Nastupnicka, A.S. CZECH REPUBLIC KU PING ENTERPRISE CO., LTD. CHINA Kunshan Chingli Tin Company Ltd CHINA RUSSIAN Kupol FEDERATION Lai'bin China Tin Smelting Ltd. CHINA Smelter Identification Source of Smelter Identification Number CID000244 CFSI OECD List OECD List OECD List Subject Mineral Smelter or Refiner Name Tin LANGFANG BONDTRON ELECTRONIC MATERIALS CO., LTD. Linwu Xianggui Ore Smelting Co., Ltd. M&R Claushuis BV MacDermid GmbH Magnu's Minerais Metais e Ligas Ltda. Malaysia Smelting Corporation (MSC) MARCO METALES DE MEXICO,S. DE R.L. DE C.V. MCP Hek GmbH Tin Medeko Cast S.R.O. Tin Tin Tin Tin Tin Tin Tin Tin Melt Metais e Ligas S/A Metahub Industries Sdn. Bhd. Metallic Resources, Inc. Metallo-Chimique N.V. Midland Industries, Inc. Minchali Metal Indust Mineração Taboca S.A. Mineral-Metal s.r.o. Mining & Chemical Products (MCP) Ltd. UK Minmetals Ganzhou Tin Co. Ltd. Minsur Mitsubishi Materials Corporation Mitsui Mining and Smelting Co., Ltd. Nankang Nanshan Tin Manufactory Co., Ltd. Nathan Trotter & Co., Inc. Neuhaus GmbH Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin 26 Smelter Identification Source of Smelter Identification Number CID001063 CFSI BRAZIL CID002468 CFSI MALAYSIA CID001105 CFSI CID002500 CFSI CID001142 CID002773 CFSI CFSI CID001173 CFSI CID001182 CID001191 CFSI CFSI CID001231 CFSI Country Location of Smelter or Refiner CHINA CHINA NETHERLANDS GERMANY MEXICO GERMANY SLOVAKIA (Slovak Republic) BRAZIL MALAYSIA UNITED STATES BELGIUM UNITED STATES TAIWAN BRAZIL CZECH REPUBLIC UNITED KINGDOM CHINA PERU JAPAN JAPAN CHINA UNITED STATES GERMANY Subject Mineral Tin Smelter or Refiner Name Tin Ney Metals and Alloys Nghe Tinh Non-Ferrous Metals Joint Stock Company Nihon Kagaku Sangyo Co., Ltd Nihon Superior Co., NINGBO CITY CHANGZHEN COPPER CO.,LTD Norteña de Metales, SA Tin Novosibirsk Processing Plant Ltd. Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin 27 O.M. Manufacturing (Thailand) Co., Ltd. O.M. Manufacturing Philippines, Inc. Operaciones Metalurgical S.A. Phoenix Metal Ltd. Pireks Bakir Alasimlari AS Poongsan Corporation Posco Prifer Com de Sucata Primeyoung Metal (Zhuhai) Industrial Co, Ltd PT Alam Lestari Kencana PT Aries Kencana Sejahtera PT Artha Cipta Langgeng PT ATD Makmur Mandiri Jaya PT Babel Inti Perkasa PT Babel Surya Alam Lestari PT Bangka Kudai Tin PT Bangka Prima Tin PT Bangka Putra Karya PT Bangka Timah Utama Sejahtera PT Bangka Tin Industry Smelter Identification Source of Smelter Identification Number CID002573 CFSI CID001305 CFSI THAILAND CID001314 CFSI PHILIPPINES CID002517 CFSI BOLIVIA CID001337 RWANDA CID002507 TURKEY KOREA, REPUBLIC OF KOREA, REPUBLIC OF BRAZIL CFSI CFSI Country Location of Smelter or Refiner UNITED STATES VIETNAM JAPAN JAPAN CHINA SPAIN RUSSIAN FEDERATION OECD List CHINA INDONESIA INDONESIA INDONESIA INDONESIA INDONESIA INDONESIA INDONESIA INDONESIA INDONESIA INDONESIA INDONESIA CID001393 CID000309 CID001399 CID002503 CID001402 CID001409 CID002776 CID001412 CID001416 CID001419 CFSI CFSI CFSI CFSI CFSI OECD List CFSI CFSI CFSI CFSI CFSI Subject Mineral Smelter or Refiner Name Country Location of Smelter or Refiner Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin PT Banka Kudai Tin PT Belitung Industri Sejahtera PT BilliTin Makmur Lestari PT Bukit Timah PT Cipta Persada Mulia PT Citralogam Alphasejahtera PT Dona Jaya Kembara PT DS Jaya Abadi PT Eunindo Usaha Mandiri PT Fang Di MulTindo PT Hanjaya Perkasa Metals PT HP Metals Indonesia PT Indra Eramulti Logam Industri PT Inti Stania Prima PT Justindo PT Karimun Mining PT Koba Tin PT Mitra Stania Prima PT Panca Mega Persada PT Pelat Timah Nusantara Tbk PT Prima Timah Utama PT Rajwa International PT Refined Bangka Tin PT Sariwiguna Binasentosa PT Seirama Tin Investment PT Solder Indonesia PT Stanindo Inti Perkasa PT Sumber Jaya Indah PT Supra Sukses Trinusa PT Timah (Persero) Tbk Kundur PT Timah (Persero) Tbk Mentok PT Tinindo Inter Nusa PT Tirus Putra Mandiri PT Tommy Utama PT Toyota Tsusho Corporation PT Wahana Perkit Jaya INDONESIA INDONESIA INDONESIA INDONESIA INDONESIA INDONESIA INDONESIA INDONESIA INDONESIA INDONESIA INDONESIA INDONESIA INDONESIA INDONESIA INDONESIA INDONESIA INDONESIA INDONESIA INDONESIA INDONESIA INDONESIA INDONESIA INDONESIA INDONESIA INDONESIA INDONESIA INDONESIA INDONESIA INDONESIA INDONESIA INDONESIA INDONESIA INDONESIA INDONESIA INDONESIA INDONESIA 28 Smelter Identification Source of Smelter Identification Number CID001421 CID001424 CID001428 CID002696 CFSI CFSI CFSI CFSI CID001434 CID001438 CID001442 CFSI CFSI CFSI CID002530 CID000307 CID001448 CFSI CFSI CFSI CID001453 CID001457 CID001486 CID001458 CFSI CFSI CFSI CFSI CID001460 CID001463 CID001466 CFSI CFSI CFSI CID001468 CID001471 CID001476 CID001477 CID001482 CID001490 CID002478 CID001493 CFSI CFSI CFSI CFSI CFSI CFSI CFSI CFSI CID002479 CFSI Subject Mineral Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin 29 Smelter or Refiner Name Country Location of Smelter or Refiner Smelter Identification PT Yinchendo Mining Industry INDONESIA Qualitek Delta Philippines PHILIPPINES Rahman Hydraulic Tin Berhad MALAYSIA Redsun Metal Ind Co Ltd TAIWAN Resind Indústria e Comércio Ltda BRAZIL CID002706 Reynolds Metal Company FRANCE Rohm & Haas GERMANY Roiwow Industrial & Trading CHINA Company Rui Da Hung TAIWAN CID001539 S. Izaguirre SA SPAIN Sacal (Societa Alluminio Carisio ITALY S.p.A.) Samatron KOREA, REPUBLIC OF San-Etsu Metals Co, Ltd JAPAN Sarbak Metal San.Ve Tic. A.S. TURKEY Senju Industry JAPAN Senju Metal Industry Co., Ltd. BOLIVIA Sevotrans GmbH GERMANY SGS Bolivia S.A. BOLIVIA Shan Tou Shi Yong Yuan Jin shu Zai CHINA Sheng Co., Ltd. Shanghai Hubao Coppe CHINA Shanghai Sigma Metals Inc. CHINA Shapiro Metals UNITED STATES Shen Zhen Rui Yun Feng Magnetic CHINA Industry Co., Ltd Shenzhen Aijiafa Industrial Co., Ltd. CHINA Shenzhen Anchen Soldering Tin CHINA Products Co, Ltd Shenzhen Chemicals & Light CHINA Industry Co., Ltd. Shenzhen Honghe Yunguan Tin Co., CHINA Ltd. Source of Smelter Identification Number CFSI CFSI Subject Mineral Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin 30 Smelter or Refiner Name Shenzhen Kaixin Technology Shunda Huichang Kam Tin Co., Ltd. SIPI METALS CORP Sizer Metals PTE Soft Metais Ltda. Solder Coat Co., Ltd. Solnet Metal Industry Co. , Ltd Spectro Alloys Standard Lublin Sp. z o.o. (intermediary) Sumitomo Metal Mining Co., Ltd. Super Dragon Technology Co. Ltd. Swissmetal Taboca/Paranapanema TaeguTec Ltd. Taicang Nancang Metal Meterials Co., Ltd. Taiwan Totai Co, Ltd Technic Inc. Teck Metals LTD Termomecanica Thaisarco ThyssenKrupp Tianjin Huamei Metals Company Tisamatic Todini and Co S.p.A. Traxys Tuyen Quang Non-Ferrous Metals Joint Stock Company Ultracore Co.,Ltd. Uni Bros Metal Pte. Ltd. Uniforce Metal Industrial Corp. Country Location of Smelter or Refiner CHINA CHINA UNITED STATES SINGAPORE BRAZIL JAPAN TAIWAN UNITED STATES Smelter Identification Source of Smelter Identification Number CID001758 CFSI POLAND JAPAN TAIWAN SWITZERLAND BRAZIL KOREA, REPUBLIC OF CHINA TAIWAN UNITED STATES CANADA BRAZIL THAILAND GERMANY GERMANY MEXICO ITALY FRANCE VIETNAM THAILAND SINGAPORE TAIWAN OECD List CID001898 CFSI CID002574 CFSI Subject Mineral Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin 31 Smelter or Refiner Name Univertical Corporation Vedani Carlo Metalli Vishay Intertechnology Vitkovicke slevarny spol. s.r.o. VQB Mineral and Trading Group JSC Wang Yu Manufacturing Co. Ltd. Watanabe Electric Plating co. Welley Solder Corporation Well-Lin Enterprise Co Ltd Westfalenzinn Westmetall GmbH & Co.KG White Solder Metalurgia e Mineração Ltda. Wieland Group GmbH Wieland Metals Wilhelm Grillo Handelsgesellschaft GmbH Wilhelm Westmetall Winter Metalle GmbH WKK PCB Trading Ltd Wonil Metal Co Ltd Wujiang City Luxu Tin Factory Wuxi Nanxi Electronic Co Ltd Wuxi Shi Yi Zheng Ji Xie She Bei Company Wuxi Yunxi Sanye Solder Factory Xia Yi Metal Industries (shares) Ltd. Xianghualing Tin Industry Co., Ltd. Xin Furukawa Metal Co, Ltd Xin Tongding Country Location of Smelter or Refiner Smelter Identification Source of Smelter Identification Number CID002015 CFSI CID002036 CFSI UNITED STATES ITALY CHINA CZECH REPUBLIC VIETNAM CHINA JAPAN TAIWAN TAIWAN GERMANY GERMANY BRAZIL GERMANY UNITED STATES GERMANY GERMANY GERMANY CHINA KOREA, REPUBLIC OF CHINA CHINA CHINA CHINA CHINA CHINA CHINA CHINA Subject Mineral Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tin Tungsten Tungsten Tungsten Tungsten Tungsten Tungsten Tungsten Tungsten Tungsten Tungsten Tungsten Tungsten Tungsten 32 Smelter or Refiner Name Yantai Zhaojin Precious Metals Co., Ltd. Yechiu Metal Recycling Ltd. Yi Quan Manufacturing Yifeng Tin Industry (Chenzhou) Co., Ltd. Yunnan Chengfeng Non-ferrous Metals Co., Ltd. Yunnan Chengo Electric Smelting Plant Yunnan Tin Group (Holding) Company Limited Yuntinic Chemical GmbH Zhongjin Gold Corporation Limited Zhuhai Horyison Solder Co., Ltd Zhuzhou Smelter Group Ltd A.L.M.T. TUNGSTEN Corp. Alluter Technology (Shenzhen) Co., Ltd. Alta Group Asia Tungsten Products Vietnam Ltd. Axis Material Limited Central Glass / Japan ChangChun Up-optech Chenzhou Diamond Tungsten Products Co., Ltd. China Minmetals Nonferrous Metals Co., Ltd. Chongyi Zhangyuan Tungsten Co., Ltd. COOKSON SEMPSA CWB Materials DAIDO STEEL Smelter Identification Source of Smelter Identification Number CID002158 CFSI CHINA CID002180 CFSI GERMANY CHINA CHINA CHINA JAPAN CID000004 CFSI CID002502 CFSI CID002513 CFSI CID000258 CFSI Country Location of Smelter or Refiner CHINA CHINA CHINA CHINA CHINA CHINA CHINA UNITED STATES VIETNAM JAPAN JAPAN CHINA CHINA CHINA CHINA SPAIN UNITED STATES JAPAN Subject Mineral Tungsten Tungsten Tungsten Tungsten Tungsten Tungsten Tungsten Tungsten Tungsten Tungsten Tungsten Tungsten Tungsten Tungsten Tungsten Tungsten Tungsten Tungsten Tungsten Tungsten Tungsten 33 Smelter or Refiner Name Dayu Jincheng Tungsten Industry Co., Ltd. Dayu Weiliang Tungsten Co., Ltd. Degutea Fujian Jinxin Tungsten Co., Ltd. Ganxian Shirui New Material Co., Ltd. Ganzhou Grand Sea W & Mo Group Co Ltd Ganzhou Haichuang Tungsten Industry Co., Ltd. Ganzhou Hongfei Tungsten & Molybdenum Materials Co., Ltd. Ganzhou Huaxing Tungsten Products Co., Ltd. Ganzhou Jiangwu Ferrotungsten Co., Ltd. Ganzhou Non-ferrous Metals Smelting Co., Ltd. Ganzhou Seadragon W & Mo Co., Ltd. Ganzhou Tejing Tungsten & Molybdenum Co., Ltd. (GZTJ) Ganzhou Yatai Tungsten Co., Ltd. Gerard Daniel Worldwide Global Tungsten & Powders Corp. Golden Egret Special Alloy Co. Ltd. Guangdong Xianglu Tungsten Co., Ltd. H.C. Starck GmbH H.C. Starck Smelting GmbH & Co.KG H.C. Starck GmbH Country Location of Smelter or Refiner Smelter Identification Source of Smelter Identification Number CHINA CID002518 CFSI CHINA CID000345 KOREA, REPUBLIC OF CHINA CID000499 CFSI CHINA CID002531 CFSI CHINA CID000875 CFSI CHINA CID002315 CFSI CHINA CID000868 CFSI CHINA CID002494 CFSI CHINA UNITED STATES UNITED STATES CHINA CID002536 CFSI CID000568 CFSI CHINA CID000218 CFSI GERMANY CID002541 CFSI GERMANY CID002542 CFSI GERMANY CID000683 CFSI CFSI CHINA CHINA CHINA CHINA Subject Mineral Tungsten Tungsten Tungsten Tungsten Tungsten Tungsten Tungsten Smelter or Refiner Name HengYang Yuan Jing Tungsten Co., Ltd Heyuan Carbide Co., Ltd Hitachi Metals, Ltd. Hunan Chenzhou Mining Co., Ltd. Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji Hunan Chuangda Vanadium Tungsten Co., Ltd. Yanglin Hunan Chunchang Nonferrous Metals Co., Ltd. Tungsten Hydrometallurg, JSC Tungsten Izawa Metal Co., Ltd Jada Electronic limited (JX Nippon Mining&Matel Co., Ltd) Jangxi Rare Earth & Rare Metals Tungsten Group Corp Japan New Metals Co., Ltd. Jiangsu Hetian Technological Material Co., Ltd Jiangwu H.C. Starck Tungsten Products Co., Ltd. Jiangxi Gan Bei Tungsten Co., Ltd. Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. Jiangxi Xinsheng Tungsten Industry Co., Ltd. Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd. Tungsten Tungsten Tungsten Tungsten Tungsten Tungsten Tungsten Tungsten Tungsten Tungsten 34 Smelter Identification Source of Smelter Identification Number CHINA JAPAN CHINA CID000766 CFSI CHINA CID002579 CFSI CHINA CID002578 CFSI CHINA CID000769 CFSI CID002649 CFSI CID000825 CFSI CHINA CID002551 CFSI CHINA CID002321 CFSI CHINA CID002313 CFSI CHINA CID002318 CFSI CHINA CID002317 CFSI CHINA CID002535 CFSI Country Location of Smelter or Refiner CHINA RUSSIAN FEDERATION JAPAN JAPAN CHINA JAPAN CHINA Subject Mineral Tungsten Tungsten Tungsten Tungsten Tungsten Tungsten Tungsten Tungsten Tungsten Tungsten Tungsten Tungsten Tungsten Tungsten Tungsten Tungsten Tungsten Tungsten Tungsten Tungsten Tungsten Tungsten Tungsten Tungsten 35 Smelter or Refiner Name Country Location of Smelter or Refiner Jiangxi Yaosheng Tungsten Co., Ltd. CHINA JX Nippon Mining & Metals Co., JAPAN Ltd Kanto Denka Kogyo Co., Ltd. JAPAN Kennametal Fallon UNITED STATES Kennametal Firth Sterling UNITED STATES Kennametal Huntsville UNITED STATES Kyoritsu Gokin Co., Ltd JAPAN Luoyang Mudu Tungsten & CHINA Molybdenum Technology Co., Ltd. Malipo Haiyu Tungsten Co., Ltd. CHINA Meterion Advanced Materials UNITED STATES Micro 100 UNITED STATES Midwest Tungsten Wire Co. UNITED STATES Minpro Recycling AB SWEDEN Mitsubishi Materials Corporation JAPAN Nanchang Cemented Carbide LLC CHINA Nankang Huifeng Tungsten Industry CHINA Co., Ltd Niagara Refining LLC UNITED STATES Ninghua Xingluokeng Tungsten CHINA Mine Co., Ltd. Nippon Micrometal Cop JAPAN Nippon Tungsten C, Ltd JAPAN North American Tungsten CANADA Corporation Ltd. RUSSIAN Pobedit, JSC FEDERATION Saganoseki Smelter & Refinery JAPAN Sandvik Mining UNITED STATES CID002316 Source of Smelter Identification Number CFSI CID000966 CFSI CID000105 CFSI CID002319 CFSI CID002589 CFSI Smelter Identification OECD List CID002532 CFSI Subject Mineral Tungsten Tungsten Tungsten Tungsten Tungsten Tungsten Tungsten Smelter or Refiner Name Tungsten Tungsten Sanher Tungsten Vietnam Co., Ltd. Sendi (Japan): Kyocera Corporation Sincemat Co, Ltd Sumitomo Metal Mining Co. Ltd. Sunaga Tungsten Industrial Co Sylhan LLC TaeguTec LTD. Tamano Smelter, Hibi Kyodo Smelting Co., Ltd Tejing (Vietnam) Tungsten Co., Ltd. Toshiba Materials Co, Ltd Tosoh Triumph Northwest Ugitech Vietnam Youngsun Tungsten Industry Co., Ltd. Voss Metals Company, Inc. Wolfram Bergbau und Hütten AG Tungsten Wolfram Company CJSC Tungsten Tungsten Tungsten Tungsten Tungsten Tungsten Tungsten Tungsten Tungsten Tungsten Tungsten Tungsten Tungsten 36 Xiamen Honglu Tungsten Molybdenum Industry Co.Ltd Xiamen Tungsten (H.C.) Co., Ltd. Xiamen Tungsten Co., Ltd. Xinhai Rendan Shaoguan Tungsten Co., Ltd. Zhuzhou Cemented Carbide Group Co Ltd Zigong Dingli Alloy Co., Ltd. Country Location of Smelter or Refiner Smelter Identification VIETNAM CID002538 JAPAN CHINA JAPAN JAPAN UNITED STATES KOREA, REPUBLIC OF Source of Smelter Identification Number CFSI OECD List JAPAN VIETNAM CHINA JAPAN UNITED STATES FRANCE CID001889 CFSI VIETNAM CID002011 CFSI CID002044 OECD List CFSI CHINA CHINA CID002320 CID002082 CFSI CFSI CHINA CID002095 CFSI CHINA CID002236 CFSI UNITED STATES AUSTRIA RUSSIAN FEDERATION CHINA CHINA