Exhibit 1.01
Alere Inc.
Conflict Minerals Report
For The Year Ended December 31, 2016
This Conflict Minerals Report of Alere Inc., including its consolidated subsidiaries (herein referred to as “Alere,” the “Company,” “we,” “us,” or “our”), for the year ended December 31, 2016 is presented to comply with Rule 13p-1 under the Securities Exchange Act of 1934 (the “1934 Act”). The Rule was adopted by the Securities and Exchange Commission (the “SEC”) 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 (the “Dodd-Frank Act”). The Rule imposes certain reporting obligations on SEC registrants whose manufactured products contain conflict minerals which 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 (the “Conflict Minerals”). These requirements apply to registrants whatever the geographic origin of the Conflict Minerals and whether or not they fund armed conflict.
If a registrant can establish that the relevant Conflict Minerals for the reporting year originated from sources other than the Democratic Republic of the Congo or an adjoining country (the “Covered Countries”), or from recycled and scrap sources, it must submit a Form SD for that year which describes its reasonable country of origin inquiry (“RCOI”).
If a registrant knows or has reason to believe that any of the relevant Conflict Minerals for the reporting year may have originated in the Covered Countries, then it must exercise due diligence on the Conflict Minerals’ source and chain of custody. The registrant must also submit a Conflict Minerals Report (“CMR”) for that year to the SEC that includes a description of its due diligence measures.
1. Company and Products Overview
We deliver reliable and actionable health information through rapid diagnostic tests, resulting in better clinical and economic healthcare outcomes globally. Our high-performance diagnostics for infectious disease, cardiometabolic disease and toxicology are designed to meet the growing global demand for accurate, easy-to-use and cost-effective near-patient tests. Our goal is to make Alere products accessible to more people around the world, even those located in remote and resource-limited areas, by making them affordable and usable in any setting. By making critical clinical diagnostic information available to doctors and patients in an actionable timeframe, Alere products help streamline healthcare delivery and improve patient outcomes. Our principal executive offices are located at 51 Sawyer Road, Suite 200, Waltham, MA 02453.
Our products for which Conflict Minerals are necessary to their functionality or production (“Covered Products”) consist of the following:
- 1 -
| • | Infectious disease diagnostic products, including Alere CD4 Analyzer, used to stage the progression of HIV, Alere™ I, a rapid, instrument-based, isothermal system for the qualitative detection of infectious diseases, and the Alere q Analyzer, which utilizes a single-use test cartridge to automatically extract, amplify and detect multiple molecular targets from a single patient sample; |
| • | Cardiometabolic products, such as our various Alere Triage cardiovascular tests, used in the diagnosis and assessment of cardiovascular disease, our epoc® Blood Analysis System, the first wireless point of care solution for testing blood gas, electrolytes and metabolites at the bedside, our Afinion Test System, which aids in the early detection of kidney disease often present in diabetic patients, the NycoCard Test System, used to determine the level of glycated hemoglobin in a patient’s blood, our INRatio Systems, which measures patient PT/INR levels (which was voluntarily withdrawn from the market in 2016), and the LDX analyzer, used to measure a patient’s cholesterol levels; |
| • | Toxicology or drugs of abuse tests, such as our Alere Triage TOX Drug Screen panel and our Alere Triage MeterPro system used to detect the presence of many of illicit and prescription drugs; and |
| • | Consumer point-of-care tests, such as pregnancy, fertility and ovulation tests. |
Our exposure to Conflict Minerals arises primarily because most of the Covered Products contain electronic components, which can contain one or more Conflict Minerals.
2. Supply Chain Overview
We rely upon our direct suppliers to provide information on the origin of the Conflict Minerals contained in components and materials supplied to us, including any information they may have regarding the sources of Conflict Minerals that are supplied to them from their own upstream suppliers. We have adopted a Policy on Conflict Minerals, which is described below. Under that policy, we expressly state our expectation that our suppliers will perform similar due diligence on their own supply chains and provide their Conflict Minerals sourcing information to us. We have analyzed both our product components and the role that suppliers play throughout our manufacturing and product delivery processes. We defined the scope of our RCOI and Conflict Minerals due diligence by identifying and reaching out to our suppliers that provide components or engage in manufacturing activities that are reasonably likely to contain Conflict Minerals.
3. Reasonable Country of Origin Inquiry
We conducted an analysis of our products by analyzing the materials lists of our operations to determine materials or components reasonably likely to contain Conflict Minerals and concluded that Conflict Minerals may be necessary to the functionality or production of the Covered Products. We then conducted our RCOI with respect to the suppliers of such materials through the use of the standard Conflict Minerals reporting templates developed jointly by the Electronic Industry Citizenship Coalition® (EICC®) and The Global e-Sustainability Initiative
- 2 -
(GeSI), known as the Conflict-Free Sourcing Initiative (“CSFI”) or CFSI Reporting Template (the “Template”), and launched our RCOI survey to the pertinent suppliers beginning in March 2017. The Template was developed to facilitate disclosure and communication of information regarding smelters and refiners that provide material to a company’s supply chain. It includes questions regarding a company’s policy regarding Conflict Minerals, engagement with its direct suppliers and a listing of the smelters and refiners the company and its suppliers use. In addition, the Template contains questions about the origin of conflict minerals included in the products of the responding company, as well as supplier due diligence.
For 2016, we engaged the services of a consulting firm with supply chain expertise, including expertise in determining the sourcing of conflict minerals, to assist us with our RCOI.
We identified 67 suppliers for inclusion in our RCOI for 2016. We and our consulting firm contacted each supplier initially through e-mail and, for suppliers that either did not respond or that provided incomplete, inconsistent or unclear responses, through an escalating series of contacts, including additional e-mail messages and telephone calls. We received responses from 51% of our suppliers, a decline in the response rate that we reported for 2015.
We also performed certain quality assurance procedures with respect to the data we received. Working with our consulting firm, we evaluated supplier responses for plausibility, consistence and gaps. If the consulting firm identified any of the following quality concerns, it automatically contacted the supplier for supplemental information:
| • | one or more smelters or refiners were listed for an unused Conflict Mineral; |
| • | no smelter or refiner information was provided for a used Conflict Mineral, or an identified smelter or refiner was not a verified processor for the Conflict Mineral; |
| • | the supplier confirmed sourcing from the Covered Countries, but the smelters and refiners listed are not known to source from the region; |
| • | the supplier indicated that it had not received data for each Conflict Mineral from all relevant suppliers; |
| • | the supplier indicated it had not identified all of the smelters and refiners used for the products included in the declaration scope; |
| • | the supplier indicated it had not provided all applicable smelter and refiner information received; or |
| • | the supplier indicated that 100% of the Conflict Minerals for products covered by the declaration originated from recycled or scrap sources, but one or more smelters or refiners listed are not known to be exclusive recyclers. |
Of the responding suppliers, 43% indicated that one or more Conflict Minerals were necessary to the functionality or production of the products supplied to us. The responding suppliers provided us with information regarding 310 known and active smelters and refiners
- 3 -
that they had identified as actual or potential sources of Conflict Minerals in our supply chain. The responding suppliers also identified an additional 42 potential smelters and refiners that have not been verified.
Based on the information we obtained through our RCOI, we concluded that we had reason to believe that some of the Conflict Minerals in our supply chain for 2016 were or may have been sourced from the Covered Countries. Accordingly, under Rule 13p-1 of the 1934 Act, we were required to perform due diligence on the source and chain of custody of such Conflict Minerals and prepare this Conflict Minerals Report to disclose the results of our efforts.
4. Design of Our Due Diligence Process
Our due diligence processes and efforts have been designed to conform in all material respects with the five-step framework recommended by 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 (the “OECD Guidance”), and the related Supplements for gold and for tin, tantalum and tungsten.
5. Due Diligence Measures Performed
Step 1. Establishment of Strong Management Systems
Our Conflict Minerals due diligence process includes: the development of a Policy on Conflict Minerals, which is posted on our website at www.alere.com under “Corporate Responsibility” (http://www.alere.com/en/home/about/conflict-minerals.html), the establishment of governance structures with cross-functional team members and senior executives, communication to, and engagement of, suppliers, due diligence compliance process and measurement, record keeping and escalation procedures.
Conflict Minerals Policy
Alere Inc. has adopted the following policy on Conflict Minerals:
ALERE INC.
POLICY ON CONFLICT MINERALS
In August 2012, Section 1502 of the Dodd-Frank Act was finalized with specific language relating to “conflict minerals,” which include tin, tantalum, tungsten, and gold derived in The Democratic Republic of Congo (DRC) or surrounding countries. Some of the mining operations in the DRC are controlled by warring militias who are believed to finance armed conflict with profits from the sale of these minerals. This on-going conflict has been linked to human rights violations, labor abuses, and environmental destruction.
Alere is committed to the responsible sourcing of materials through compliance with the conflict mineral disclosure requirements. The new rules require companies with securities registered in the US that use conflict minerals in
- 4 -
their products to determine whether those minerals originated in the DRC or surrounding countries, and disclose this annually on Form SD filed with the Securities and Exchange Commission.
While our supply chain is complex and tracing the source of minerals used in our products is a challenge, we are committed to complying with the new reporting requirements and we have implemented appropriate compliance measures. These include reasonable country of origin inquiries and additional supply chain due diligence that follows the framework of the Organisation for Economic Co-operation and Development. We expect our suppliers to perform similar due diligence on their own supply chains and to otherwise cooperate with us as necessary to support these efforts.
Conflict Minerals Compliance Team
Alere has established a system for complying with the applicable rules. We developed a Conflict Minerals Compliance Team, currently comprised of our Vice President, Global Logistics, our Senior Director, Operations Program, our Indirect Category Manager, Professional Services and our Associate General Counsel. The Conflict Minerals Compliance Team reports directly to our Chief Financial Officer and Executive Vice President. The team established a worldwide compliance process consistent with the OECD due diligence framework and put into place an appropriate process to facilitate future compliance.
System of Controls and Transparency over Supply Chain
We have worked to identify upstream actors in our supply chain through the utilization of the Template. The Template facilitates the collection of information from our supply chain regarding Conflict Mineral country of origin and smelters and refiners being utilized. The Template also identifies new smelters and refiners.
Supplier Engagement
With respect to the OECD requirement to strengthen engagement with suppliers, we previously established a program of periodic outreach and training for our relevant worldwide purchasing agents and/or supplier representatives and established both an internal system and an external system to analyze and follow-up on supplier responses to our RCOI. These efforts have allowed us to render the conclusions and statements annotated in this report.
We also introduced our relevant suppliers to our consulting firm’s Conflict Minerals Supplier Resources Center, an online educational tool designed to facilitate a deeper understanding of our Conflict Minerals compliance program and educate suppliers regarding the reasons for requesting information regarding Conflict Minerals.
Grievance Mechanism
Alere has established a Policy on Conflict Minerals, which is posted on our website. Alere also provides an ethics hotline to report any concerns about violations of Alere’s Code of Conduct and provides a mechanism for escalating any issues and concerns.
- 5 -
Maintenance of Records
Alere has established a documentation and record maintenance mechanism to ensure the retention of relevant documentation in a structured electronic database in accordance with our record retention policy.
Step 2. Assessment of Risk in the Supply Chain
We compared the smelters and refiners identified by our suppliers against the list of facilities that have received a “DRC conflict free” designation from any of three internationally recognized certification programs: the CFSI Conflict-Free Smelter Program, the London Bullion Market Association Good Delivery Program and the Responsible Jewellery Council Chain-of-Custody Certification program.
We and our consulting firm also conducted additional research, including consultation with industry associations and direct outreach to smelters and refiners to verify information provided by suppliers. We then identified a list of smelters and refiners for which there was reason to believe that they may be sourcing from the Covered Countries.
Step 3. Implementation of Strategies to Respond to Identified Risks
Alere has a risk management plan, through which the Conflict Minerals program is implemented, managed and monitored. As part of this year’s due diligence efforts, we or our consulting firm contacted smelters and refiners that have not been certified as “DRC conflict free” in order to assess their sourcing practices, including countries of origin and transfer, and due diligence or chain-of-custody procedures. This review included an evaluation of whether the identified smelters and refiners had documented, effective and communicated “conflict-free” policies in place, relevant accounting systems and traceability documentation.
In addition, as described above, we participate in the EICC-GeSI CFSI industry-wide initiative to disclose upstream actors in the supply chain. To ensure suppliers understand our expectations, we have posted our Policy on Conflict Minerals on our website. We intend to work with suppliers to ensure compliance with our Policy on Conflict Minerals.
Step 4. Independent Third-Party Audit
We do not have a direct relationship with Conflict Minerals smelters and refiners, nor do we perform direct audits of these entities that provide our supply chain with Conflict Minerals. We rely upon the industry (for example, EICC and CFSI) efforts to influence smelters and refiners to get audited and certified through CFSI’s Conflict-Free Smelter (“CFS”) program.
Step 5. Reporting on Due Diligence
Through the preparation and filing of this report, Alere has made a public report regarding its Conflict Minerals compliance program. This report is also available on our corporate website athttp://www.alere.com/en/home/about/conflict-minerals.html. Alere will report annually on its Conflict Minerals compliance efforts as and to the extent required by Rule 13p-1 of the 1934 Act.
- 6 -
5. Due Diligence Results
To the extent reasonably determinable through our due diligence process as described above, we believe that the smelters and refiners that were used to process the Conflict Minerals for the Covered Products for 2016 may have included the 310 known and active smelters and refiners listed inAnnex A, and potentially one or more of the 42 additional companies identified by our suppliers, which are listed in Annex B, but which we could not identify as known and active smelters or refiners. Of the 310 known and active smelters and refiners identified by our suppliers, 262, or approximately 84%, have been certified as “DRC conflict free” by one or more of three internationally recognized programs: the CFSI Conflict-Free Smelter Program, the London Bullion Market Association Good Delivery Program and the Responsible Jewellery Council Chain-of-Custody Certification program. Of the 50 smelters and refiners not certified as “DRC conflict free” by one of these three internationally recognized programs, we were able to obtain country of origin information (including recycled or scrap sources) for the Conflict Minerals processed by 36. Of those 36 smelters and refiners, only one company indicated that it sourced Conflict Minerals from countries that included the Covered Countries. For this company, we did not receive any more detailed information about the source or chain of custody of the Conflict Minerals it obtained from the Covered Countries.
We believe that the countries of origin of the Conflict Minerals contained in the Covered Products for 2016 include the countries listed inAnnex C. At this time, we are unable to form the basis for a reasonable belief as to which of the smelters and refiners named by our suppliers processed the specific Conflict Minerals that were necessary to the functionality or production of the Covered Products.
6. Anticipated Future Actions
We intend to take the following steps to continue to improve our due diligence and further mitigate the risk that the necessary Conflict Minerals in our products could benefit armed groups in the DRC or adjoining countries:
| • | Enhance or continue supplier communication and training to improve due diligence data accuracy and completion. |
| • | 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. |
| • | Engage any of our suppliers found to be supplying us with Conflict Minerals and encourage such suppliers to comply with our Policy on Conflict Minerals. |
Forward-Looking Statements
This Conflict Minerals Report contains forward-looking statements. These statements include statements regarding our goals for future improvements to our due diligence process and to mitigate the risk that our sourcing of Conflict Minerals might benefit armed groups. All forward-looking statements involve risk and uncertainty, and a number of important factors may cause actual results to differ from those indicated by the forward-looking statements. These
- 7 -
factors include, among others, potential changes in regulatory and industry priorities, actual and potential loss of supplier focus on Conflict Minerals reporting and due diligence, continued lack of responsiveness from some participants in the supply chain and cost considerations. When considering these forward-looking statements, you should also consider the important factors described in reports and documents that we file from time to time with the SEC, including the factors described under the sections titled “Risk Factors” in our most recently submitted Annual and Quarterly Reports on Forms 10-K and 10-Q, respectively. Except as required by law, we disclaim any obligation to update information contained in these forward-looking statements whether as a result of new information, future events, or otherwise.
- 8 -
ANNEX A
Metal | Official Smelter Name | Smelter Country | Certified Smelter | |||||
Gold | Abington Reldan Metals, LLC | United States | YES | |||||
Gold | Advanced Chemical Company | United States | YES | |||||
Gold | Aida Chemical Industries Co., Ltd. | Japan | YES | |||||
Gold | Al Etihad Gold | United Arab Emirates | YES | |||||
Gold | Allgemeine Gold-und Silberscheideanstalt A.G. | Germany | YES | |||||
Gold | Almalyk Mining and Metallurgical Complex (AMMC) | Uzbekistan | YES | |||||
Gold | AngloGold Ashanti | Brazil | YES | |||||
Gold | Argor-Heraeus SA | Switzerland | YES | |||||
Gold | Asahi Pretec Corporation | Japan | YES | |||||
Gold | Asahi Refining Canada Limited | Canada | YES | |||||
Gold | Asahi Refining USA Inc. | United States | YES | |||||
Gold | Asaka Riken Co., Ltd. | Japan | YES | |||||
Gold | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | Turkey | NO | |||||
Gold | AU Traders and Refiners | South Africa | YES | |||||
Gold | Aurubis AG | Germany | YES | |||||
Gold | Bangalore Refinery | India | YES | |||||
Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | Philippines | YES | |||||
Gold | Boliden AB | Sweden | YES | |||||
Gold | C. Hafner GmbH + Co. KG | Germany | YES | |||||
Gold | Caridad | Mexico | NO | |||||
Gold | CCR Refinery - Glencore Canada Corporation | Canada | YES | |||||
Gold | Cendres + Métaux SA | Switzerland | YES | |||||
Gold | Chimet S.p.A. | Italy | YES | |||||
Gold | Chugai Mining | Japan | NO | |||||
Gold | Daejin Indus Co., Ltd. | Korea, Republic of | YES | |||||
Gold | Daye Non-Ferrous Metals Mining Ltd. | China | YES | |||||
Gold | DODUCO GmbH | Germany | YES | |||||
Gold | Dowa | Japan | YES | |||||
Gold | DSC (Do Sung Corporation) | Korea, Republic of | YES | |||||
Gold | Eco-System Recycling Co., Ltd. | Japan | YES | |||||
Gold | Elemetal Refining, LLC | United States | YES | |||||
Gold | Emirates Gold DMCC | United Arab Emirates | YES | |||||
Gold | Fidelity Printers and Refiners Ltd. | Zimbabwe | NO | |||||
Gold | Gansu Seemine Material Hi-Tech Co Ltd | China | NO | |||||
Gold | Geib Refining Corporation | United States | YES | |||||
Gold | Gold Refinery of Zijin Mining Group Co., Ltd | China | YES | |||||
Gold | Great Wall Precious Metals Co., Ltd. of CBPM | China | YES | |||||
Gold | Guangdong Jinding Gold Limited | China | NO | |||||
Gold | Gujarat Gold Centre | India | NO | |||||
Gold | Guoda Safina High-Tech Environmental Refinery Co., Ltd. | China | NO | |||||
Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. | China | NO | |||||
Gold | Heimerle + Meule GmbH | Germany | YES | |||||
Gold | Henan Yuguang Gold & Lead Co., Ltd. | China | NO | |||||
Gold | Heraeus Metals Hong Kong Ltd | China | YES | |||||
Gold | Heraeus Precious Metals GmbH & Co. KG | Germany | YES | |||||
Gold | Hunan Chenzhou Mining Co., Ltd. | China | NO | |||||
Gold | HwaSeong CJ Co. Ltd | Korea, Republic of | NO | |||||
Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | China | YES | |||||
Gold | Ishifuku Metal Industry Co., Ltd. | Japan | YES | |||||
Gold | Istanbul Gold Refinery | Turkey | YES | |||||
Gold | Japan Mint | Japan | YES | |||||
Gold | Jiangxi Copper Company Limited | China | YES | |||||
Gold | Johnson Matthey Chemicals Ltd. | United Kingdom | NO | |||||
Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | Russian Federation | YES | |||||
Gold | JSC Uralelectromed | Russian Federation | YES | |||||
Gold | JX Nippon Mining & Metals Co., Ltd. | Japan | YES | |||||
Gold | Kaloti Precious Metals | United Arab Emirates | NO | |||||
Gold | Kazzinc | Kazakhstan | YES | |||||
Gold | Kennecott Utah Copper LLC | United States | YES | |||||
Gold | KGHM Polska Miedź Spółka Akcyjna | Poland | YES | |||||
Gold | Kojima Chemicals Co., Ltd. | Japan | YES | |||||
Gold | Korea Zinc Co., Ltd. | Korea, Republic of | YES | |||||
Gold | Kyrgyzaltyn JSC | Kyrgyzstan | YES | |||||
Gold | L’azurde Company For Jewelry | Saudi Arabia | NO | |||||
Gold | Lingbao Gold Company Ltd. | China | NO | |||||
Gold | Lingbao Jinyuan Tonghui Refinery Co. Ltd. | China | NO | |||||
Gold | LS-NIKKO Copper Inc. | Korea, Republic of | YES | |||||
Gold | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | China | NO | |||||
Gold | Materion | United States | YES | |||||
Gold | Matsuda Sangyo Co., Ltd. | Japan | YES | |||||
Gold | Metalor Technologies (Hong Kong) Ltd. | China | YES | |||||
Gold | Metalor Technologies (Singapore) Pte., Ltd. | Singapore | YES | |||||
Gold | Metalor Technologies (Suzhou) Co Ltd | China | YES | |||||
Gold | Metalor Technologies SA | Switzerland | YES | |||||
Gold | Metalor USA Refining Corporation | United States | YES | |||||
Gold | METALÚRGICA MET-MEX PEÑOLES, S.A. DE C.V | Mexico | YES | |||||
Gold | Mitsubishi Materials Corporation | Japan | YES | |||||
Gold | Mitsui Mining and Smelting Co., Ltd. | Japan | YES | |||||
Gold | MMTC-PAMP India Pvt., Ltd. | India | YES | |||||
Gold | Modeltech Sdn Bhd | Malaysia | YES | |||||
Gold | Morris and Watson | New Zealand | NO | |||||
Gold | Moscow Special Alloys Processing Plant | Russian Federation | YES | |||||
Gold | Nadir Metal Rafineri San. Ve Tic. A.Ş. | Turkey | YES | |||||
Gold | Navoi Mining and Metallurgical Combinat | Uzbekistan | YES | |||||
Gold | Nihon Material Co., Ltd. | Japan | YES | |||||
Gold | Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH | Austria | YES | |||||
Gold | Ohura Precious Metal Industry Co., Ltd. | Japan | YES | |||||
Gold | OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet) | Russian Federation | YES | |||||
Gold | OJSC Novosibirsk Refinery | Russian Federation | YES | |||||
Gold | PAMP S.A. | Switzerland | YES | |||||
Gold | Penglai Penggang Gold Industry Co Ltd | China | NO | |||||
Gold | Prioksky Plant of Non-Ferrous Metals | Russian Federation | YES | |||||
Gold | PT Aneka Tambang (Persero) Tbk | Indonesia | YES | |||||
Gold | PX Precinox SA | Switzerland | YES | |||||
Gold | Rand Refinery (Pty) Ltd. | South Africa | YES | |||||
Gold | Remondis Argentia B.V. | Netherlands | NO | |||||
Gold | Republic Metals Corporation | United States | YES | |||||
Gold | Royal Canadian Mint | Canada | YES | |||||
Gold | SAAMP | France | YES | |||||
Gold | Sabin Metal Corp. | United States | NO | |||||
Gold | SAFINA A.S. | Czech Republic | NO | |||||
Gold | Sai Refinery | India | NO | |||||
Gold | Samduck Precious Metals | Korea, Republic of | YES | |||||
Gold | SAMWON METALS Corp. | Korea, Republic of | NO | |||||
Gold | SAXONIA Edelmetalle GmbH | Germany | YES | |||||
Gold | Schone Edelmetaal B.V. | Netherlands | YES | |||||
Gold | SEMPSA Joyería Platería SA | Spain | YES | |||||
Gold | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | China | NO | |||||
Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | China | YES | |||||
Gold | Sichuan Tianze Precious Metals Co., Ltd. | China | YES | |||||
Gold | Singway Technology Co., Ltd. | Taiwan | YES | |||||
Gold | So Accurate Group, Inc. | United States | NO | |||||
Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | Russian Federation | YES | |||||
Gold | Solar Applied Materials Technology Corp. | Taiwan | YES | |||||
Gold | Sudan Gold Refinery | Sudan | NO | |||||
Gold | Sumitomo Metal Mining Co., Ltd. | Japan | YES | |||||
Gold | Sungeel Hitech Co., Ltd. | Korea, Republic of | YES | |||||
Gold | T.C.A S.p.A | Italy | YES | |||||
Gold | Tanaka Kikinzoku Kogyo K.K. | Japan | YES | |||||
Gold | The Refinery of Shandong Gold Mining Co., Ltd. | China | YES | |||||
Gold | Tokuriki Honten Co., Ltd. | Japan | YES | |||||
Gold | TongLing Nonferrous Metals Group Holdings Co., Ltd. | China | NO | |||||
Gold | Tony Goetz NV | Belgium | NO | |||||
Gold | Torecom | Korea, Republic of | YES | |||||
Gold | Umicore Brasil Ltda. | Brazil | YES | |||||
Gold | Umicore Precious Metals Thailand | Thailand | YES | |||||
Gold | Umicore SA Business Unit Precious Metals Refining | Belgium | YES | |||||
Gold | United Precious Metal Refining, Inc. | United States | YES | |||||
Gold | Universal Precious Metals Refining Zambia | Zambia | NO | |||||
Gold | Valcambi SA | Switzerland | YES | |||||
Gold | Western Australian Mint trading as The Perth Mint | Australia | YES | |||||
Gold | WIELAND Edelmetalle GmbH | Germany | YES | |||||
Gold | Yamamoto Precious Metal Co., Ltd. | Japan | YES | |||||
Gold | Yokohama Metal Co., Ltd. | Japan | YES | |||||
Gold | Yunnan Copper Industry Co Ltd | China | NO | |||||
Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | China | YES |
Tantalum | Changsha South Tantalum Niobium Co., Ltd. | China | YES | |||||
Tantalum | Conghua Tantalum and Niobium Smeltry | China | YES | |||||
Tantalum | D Block Metals, LLC | United States | YES | |||||
Tantalum | Duoluoshan | China | YES | |||||
Tantalum | Exotech Inc. | United States | YES | |||||
Tantalum | F&X Electro-Materials Ltd. | China | YES | |||||
Tantalum | FIR Metals & Resource Ltd. | China | YES | |||||
Tantalum | Global Advanced Metals Aizu | Japan | YES | |||||
Tantalum | Global Advanced Metals Boyertown | United States | YES | |||||
Tantalum | Guangdong Zhiyuan New Material Co., Ltd. | China | YES | |||||
Tantalum | H.C. Starck Co., Ltd. | Thailand | YES | |||||
Tantalum | H.C. Starck Hermsdorf GmbH | Germany | YES | |||||
Tantalum | H.C. Starck Inc. | United States | YES | |||||
Tantalum | H.C. Starck Ltd. | Japan | YES | |||||
Tantalum | H.C. Starck Smelting GmbH & Co. KG | Germany | YES | |||||
Tantalum | H.C. Starck Tantalum and Niobium GmbH | Germany | YES | |||||
Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | China | YES | |||||
Tantalum | Hi-Temp Specialty Metals, Inc. | United States | YES | |||||
Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | China | YES | |||||
Tantalum | Jiangxi Tuohong New Raw Material | China | YES | |||||
Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | China | YES | |||||
Tantalum | Jiujiang Nonferrous Metals Smelting Company Limited | China | YES | |||||
Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | China | YES | |||||
Tantalum | KEMET Blue Metals | Mexico | YES | |||||
Tantalum | Kemet Blue Powder | United States | YES | |||||
Tantalum | King-Tan Tantalum Industry Ltd. | China | YES | |||||
Tantalum | LSM Brasil S.A. | Brazil | YES | |||||
Tantalum | Metallurgical Products India Pvt., Ltd. | India | YES | |||||
Tantalum | Mineração Taboca S.A. | Brazil | YES | |||||
Tantalum | Mitsui Mining and Smelting Co., Ltd. | Japan | YES | |||||
Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | China | YES | |||||
Tantalum | NPM Silmet AS | Estonia | YES | |||||
Tantalum | Power Resources Ltd. | Macedonia, The Former Yugoslav Republic Of | YES | |||||
Tantalum | QuantumClean | United States | YES | |||||
Tantalum | Resind Indústria e Comércio Ltda. | Brazil | YES | |||||
Tantalum | RFH Tantalum Smeltry Co., Ltd. | China | YES | |||||
Tantalum | Solikamsk Magnesium Works OAO | Russian Federation | YES | |||||
Tantalum | Taki Chemical Co., Ltd. | Japan | YES | |||||
Tantalum | Telex Metals | United States | YES | |||||
Tantalum | Tranzact, Inc. | United States | YES | |||||
Tantalum | Ulba Metallurgical Plant JSC | Kazakhstan | YES | |||||
Tantalum | XinXing Haorong Electronic Material Co., Ltd. | China | YES | |||||
Tantalum | Yichun Jin Yang Rare Metal Co., Ltd. | China | YES | |||||
Tantalum | Zhuzhou Cemented Carbide Group Co., Ltd. | China | YES |
Tin | Alpha | United States | YES | |||||
Tin | An Thai Minerals Company Limited | Viet Nam | NO | |||||
Tin | An Vinh Joint Stock Mineral Processing Company | Viet Nam | NO | |||||
Tin | Chenzhou Yunxiang Mining and Metallurgy Company Limited | China | YES | |||||
Tin | China Tin Group Co., Ltd. | China | YES | |||||
Tin | CNMC (Guangxi) PGMA Co. Ltd. | China | NO | |||||
Tin | Cooperativa Metalurgica de Rondônia Ltda. | Brazil | YES | |||||
Tin | CV Ayi Jaya | Indonesia | YES | |||||
Tin | CV Dua Sekawan | Indonesia | YES | |||||
Tin | CV Gita Pesona | Indonesia | YES | |||||
Tin | CV Serumpun Sebalai | Indonesia | YES | |||||
Tin | CV Tiga Sekawan | Indonesia | YES | |||||
Tin | CV United Smelting | Indonesia | YES | |||||
Tin | CV Venus Inti Perkasa | Indonesia | YES | |||||
Tin | Dowa | Japan | YES | |||||
Tin | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | Viet Nam | YES | |||||
Tin | Elmet S.L.U. | Spain | YES | |||||
Tin | EM Vinto | Bolivia | YES | |||||
Tin | Estanho de Rondônia S.A. | Brazil | NO | |||||
Tin | Fenix Metals | Poland | YES | |||||
Tin | Gejiu Fengming Metallurgy Chemical Plant | China | YES | |||||
Tin | Gejiu Jinye Mineral Company | China | YES | |||||
Tin | Gejiu Kai Meng Industry and Trade LLC | China | YES | |||||
Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. | China | YES | |||||
Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | China | YES | |||||
Tin | Gejiu Zili Mining And Metallurgy Co., Ltd. | China | NO | |||||
Tin | Guanyang Guida Nonferrous Metal Smelting Plant | China | YES | |||||
Tin | HuiChang Hill Tin Industry Co., Ltd. | China | YES | |||||
Tin | Huichang Jinshunda Tin Co. Ltd | China | NO | |||||
Tin | Jiangxi Ketai Advanced Material Co., Ltd. | China | YES | |||||
Tin | Magnu's Minerais Metais e Ligas Ltda. | Brazil | YES | |||||
Tin | Malaysia Smelting Corporation (MSC) | Malaysia | YES | |||||
Tin | Melt Metais e Ligas S.A. | Brazil | YES | |||||
Tin | Metallic Resources, Inc. | United States | YES | |||||
Tin | Metallo-Chimique N.V. | Belgium | YES | |||||
Tin | Mineração Taboca S.A. | Brazil | YES | |||||
Tin | Minsur | Peru | YES | |||||
Tin | Mitsubishi Materials Corporation | Japan | YES | |||||
Tin | Modeltech Sdn Bhd | Malaysia | NO | |||||
Tin | Nankang Nanshan Tin Co., Ltd. | China | NO | |||||
Tin | Nghe Tinh Non-Ferrous Metals Joint Stock Company | Viet Nam | NO | |||||
Tin | O.M. Manufacturing (Thailand) Co., Ltd. | Thailand | YES | |||||
Tin | O.M. Manufacturing Philippines, Inc. | Philippines | YES | |||||
Tin | Operaciones Metalurgical S.A. | Bolivia | YES | |||||
Tin | PT Aries Kencana Sejahtera | Indonesia | YES | |||||
Tin | PT Artha Cipta Langgeng | Indonesia | YES | |||||
Tin | PT ATD Makmur Mandiri Jaya | Indonesia | YES | |||||
Tin | PT Babel Inti Perkasa | Indonesia | YES | |||||
Tin | PT Bangka Prima Tin | Indonesia | YES | |||||
Tin | PT Bangka Tin Industry | Indonesia | YES | |||||
Tin | PT Belitung Industri Sejahtera | Indonesia | YES | |||||
Tin | PT Bukit Timah | Indonesia | YES | |||||
Tin | PT Cipta Persada Mulia | Indonesia | YES | |||||
Tin | PT DS Jaya Abadi | Indonesia | YES | |||||
Tin | PT Eunindo Usaha Mandiri | Indonesia | YES | |||||
Tin | PT Inti Stania Prima | Indonesia | YES | |||||
Tin | PT Justindo | Indonesia | NO | |||||
Tin | PT Karimun Mining | Indonesia | YES | |||||
Tin | PT Kijang Jaya Mandiri | Indonesia | YES | |||||
Tin | PT Lautan Harmonis Sejahtera | Indonesia | YES | |||||
Tin | PT Menara Cipta Mulia | Indonesia | YES | |||||
Tin | PT Mitra Stania Prima | Indonesia | YES | |||||
Tin | PT O.M. Indonesia | Indonesia | YES | |||||
Tin | PT Panca Mega Persada | Indonesia | YES | |||||
Tin | PT Prima Timah Utama | Indonesia | YES | |||||
Tin | PT Refined Bangka Tin | Indonesia | YES | |||||
Tin | PT Sariwiguna Binasentosa | Indonesia | YES | |||||
Tin | PT Stanindo Inti Perkasa | Indonesia | YES | |||||
Tin | PT Sukses Inti Makmur | Indonesia | YES | |||||
Tin | PT Sumber Jaya Indah | Indonesia | YES | |||||
Tin | PT Timah (Persero) Tbk Kundur | Indonesia | YES | |||||
Tin | PT Timah (Persero) Tbk Mentok | Indonesia | YES | |||||
Tin | PT Tinindo Inter Nusa | Indonesia | YES | |||||
Tin | PT Tirus Putra Mandiri | Indonesia | NO | |||||
Tin | PT Tommy Utama | Indonesia | YES | |||||
Tin | PT WAHANA PERKIT JAYA | Indonesia | YES | |||||
Tin | Resind Indústria e Comércio Ltda. | Brazil | YES | |||||
Tin | Rui Da Hung | Taiwan | YES | |||||
Tin | Soft Metais Ltda. | Brazil | YES | |||||
Tin | Thaisarco | Thailand | YES | |||||
Tin | Tuyen Quang Non-Ferrous Metals Joint Stock Company | Viet Nam | NO | |||||
Tin | VQB Mineral and Trading Group JSC | Viet Nam | YES | |||||
Tin | White Solder Metalurgia e Mineração Ltda. | Brazil | YES | |||||
Tin | Yunnan Chengfeng Non-ferrous Metals Co.,Ltd. | China | YES | |||||
Tin | Yunnan Tin Group (Holding) Company Limited | China | YES |
Tungsten | A.L.M.T. Corp. | Japan | YES | |||||
Tungsten | ACL Metais Eireli | Brazil | NO | |||||
Tungsten | Asia Tungsten Products Vietnam Ltd. | Viet Nam | YES | |||||
Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd. | China | YES | |||||
Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | China | YES | |||||
Tungsten | Fujian Jinxin Tungsten Co., Ltd. | China | YES | |||||
Tungsten | Ganzhou Haichuang Tungsten Industry Co., Ltd. | China | NO | |||||
Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. | China | YES | |||||
Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | China | YES | |||||
Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | China | YES | |||||
Tungsten | Ganzhou Yatai Tungsten Co., Ltd. | China | NO | |||||
Tungsten | Global Tungsten & Powders Corp. | United States | YES | |||||
Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | China | YES | |||||
Tungsten | H.C. Starck Smelting GmbH & Co. KG | Germany | YES | |||||
Tungsten | H.C. Starck Tungsten GmbH | Germany | YES | |||||
Tungsten | Hunan Chenzhou Mining Co., Ltd. | China | YES | |||||
Tungsten | Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji | China | YES | |||||
Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd. | China | YES | |||||
Tungsten | Hydrometallurg, JSC | Russian Federation | YES | |||||
Tungsten | Japan New Metals Co., Ltd. | Japan | YES | |||||
Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | China | YES | |||||
Tungsten | Jiangxi Dayu Longxintai Tungsten Co., Ltd. | China | NO | |||||
Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | China | YES | |||||
Tungsten | Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd. | China | NO | |||||
Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | China | YES | |||||
Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | China | YES | |||||
Tungsten | Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd. | China | YES | |||||
Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. | China | YES | |||||
Tungsten | Kennametal Fallon | United States | YES | |||||
Tungsten | Kennametal Huntsville | United States | YES | |||||
Tungsten | Malipo Haiyu Tungsten Co., Ltd. | China | YES | |||||
Tungsten | Moliren Ltd | Russian Federation | YES | |||||
Tungsten | Niagara Refining LLC | United States | YES | |||||
Tungsten | Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC | Viet Nam | YES | |||||
Tungsten | Philippine Chuangxin Industrial Co., Inc. | Philippines | YES | |||||
Tungsten | South-East Nonferrous Metal Company Limited of Hengyang City | China | YES | |||||
Tungsten | Tejing (Vietnam) Tungsten Co., Ltd. | Viet Nam | YES | |||||
Tungsten | Unecha Refractory Metals Plant | Russian Federation | YES | |||||
Tungsten | Vietnam Youngsun Tungsten Industry Co., Ltd. | Viet Nam | YES | |||||
Tungsten | Wolfram Bergbau und Hütten AG | Austria | YES | |||||
Tungsten | Woltech Korea Co., Ltd. | Korea, Republic of | YES | |||||
Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | China | YES | |||||
Tungsten | Xiamen Tungsten Co., Ltd. | China | YES | |||||
Tungsten | Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. | China | YES | |||||
Tungsten | Xinhai Rendan Shaoguan Tungsten Co., Ltd. | China | YES |
ANNEX B
Smelter Name
AURA-II |
China Minmetals |
CINTAS METALICAS S.A. |
CV Duta Putra Bangka |
CV Makmur Jaya |
Dayu Jincheng Tungsten Industry Co., Ltd. |
Dayu Weiliang Tungsten Co., Ltd. |
Faggi Enrico S.p.A. |
Feinhütte Halsbrücke GmbH |
Ganzhou Non-ferrous Metals Smelting Co., Ltd. |
Guizhou Zhenhua Xinyun Technology Ltd., Kaili branch |
Hongqiao Metals (Kunshan) Co., Ltd. |
Hunan Chuangda Vanadium Tungsten Co., Ltd. Yanglin |
Kazakhmys Smelting LLC |
Kunshan shenghan |
Linwu Xianggui Smelter Co |
Materials Eco-Refining CO.,LTD |
Ningxia Nonferrous Metals Smeltery |
Novosibirsk Processing Plant Ltd. |
OJSC Kolyma Refinery |
Phoenix Metal Ltd |
Plansee |
Plansee SE Liezen |
Plansee SE Reutte |
Pobedit, JSC |
PT Alam Lestari Kencana |
PT Bangka Kudai Tin |
PT Bangka Putra Karya |
PT Bangka Timah Utama Sejahtera |
PT BilliTin Makmur Lestari |
PT Donna Kembara Jaya |
PT Fang Di MulTindo |
PT Seirama Tin investment |
PT Yinchendo Mining Industry |
Sanher Tungsten Vietnam Co., Ltd. |
SHEFFIELD SMELTING CO. LTD |
Super Ligas |
TOO Tau-Ken-Altyn |
Wolfram Company CJSC |
Xianghualing Tin Co., Ltd. |
Zhongkuang Group Co,.Ltd. |
Zhongshan Jinye Smelting Co., Ltd |
ANNEX C
Country of Origin
Angola |
Argentina |
Armenia |
Australia |
Austria |
Belarus |
Belgium |
Bermuda |
Bolivia |
Brazil |
Burundi |
Cambodia |
Canada |
Central African Republic |
Chile |
China |
Colombia |
Congo (Brazzaville) |
Czech Republic |
Djibouti |
DRC— Congo (Kinshasa) |
Ecuador |
Egypt |
Estonia |
Ethiopia |
Finland |
France |
Germany |
Ghana |
Guinea |
Guinea |
Guyana |
Hong Kong |
Hungary |
India |
Indonesia |
Ireland |
Israel |
Italy |
Japan |
Jersey |
Kazakhstan |
Kenya |
Korea, Republic of |
Kyrgyzstan |
Laos |
15
Luxembourg |
Madagascar |
Malaysia |
Mali |
Mexico |
Mongolia |
Morocco |
Mozambique |
Myanmar |
Namibia |
Netherlands |
New Zealand |
Niger |
Nigeria |
Papua New Guinea |
Peru |
Philippines |
Poland |
Portugal |
Russian Federation |
Rwanda |
Saudi Arabia |
Sierra Leone |
Singapore |
Slovakia |
South Africa |
South Sudan |
Spain |
Suriname |
Sweden |
Switzerland |
Taiwan |
Tajikistan |
Tanzania |
Thailand |
Turkey |
Uganda |
United Arab Emirates |
United Kingdom |
United States |
Uzbekistan |
Viet Nam |
Zambia |
Zimbabwe |
