Exhibit 1.01
Pitney Bowes Inc. Conflict Minerals Report
(as required by Item 1.01 and 1.02 of Form SD)
Pitney Bowes Inc. (“Pitney Bowes,” “we,” “us,” “our,” or the “Company”) submits this report pursuant to Rule 13p-1 and Form SD (the “Rule”) promulgated under the Securities Exchange Act of 1934 and adopted by the Securities and Exchange Commission pursuant to Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Act”). This report describes the inquiry the Company undertook to obtain information from internal and external sources to ascertain whether any Pitney Bowes product contains tantalum, tin, tungsten, or gold (“Conflict Minerals” or “3TG”) that originated in the Democratic Republic of the Congo or adjoining countries, as defined in the Act (collectively, the “Covered Countries”), and the due diligence Pitney Bowes conducted on the source and chain of custody of such minerals. This report covers parts and products manufactured or contracted to manufacture by the Company in the 2021 calendar year. Based on our inquiry, we have found that Conflict Minerals are necessary to the functionality or production of some of our products manufactured or contracted to manufacture in 2021.
Based on our due diligence for these 2021 products, our suppliers identified a total of 325 potential eligible smelters or refiners in their supply chains that are also identified as smelters or refiners of 3TG in the Smelter Reference List of the Responsible Minerals Initiative’s (“RMI”) Conflict Minerals Reporting Template (“Template”). For a list of these reported entities, please refer to Appendix A.
•260 of these 325 smelters, or 80%, are listed as conformant or active with the Responsible Minerals Assurance Process (“RMAP”) (as of December 2021) – listed in Appendix A as “Active” or “Conformant”
•58 of these 325 smelters are engaged in the RMI process but not yet finished – listed in Appendix A as “In Communication” or “Outreach Required”
•5 of these 325 smelters are listed as “Communication Suspended - Not Interested” in Appendix A
•2 of these 325 smelters are non-conformant with the RMAP – listed in Appendix A as “Non-Conformant”
Reasonable Country of Origin Inquiry
We conducted a reasonable country of origin inquiry (“RCOI”) to determine whether any of the necessary Conflict Minerals in our products originated in the Covered Countries or were from recycled or scrap sources. To make this determination, we focused on engaging our direct suppliers to identify the smelters and refiners of necessary Conflict Minerals that may have been contained in our products and that are recognized by the RMI to be processors of Conflict Minerals, and reviewing available information on the sourcing of Conflict Minerals by these smelters and refiners.
As a downstream company, we are several levels removed from mining minerals. We did not buy any minerals directly from mines, smelters, or refiners for use in these 2021 products. As a member of the RMI in 2021, Pitney Bowes had access to the RMI’s RCOI data, which we used to identify the potential countries of origin of 3TG processed by smelters or refiners reported by our Surveyed Suppliers (defined below). For a list of these potential countries of origin, please refer to Appendix B.
Many of the Surveyed Suppliers identified all of the smelters and refiners potentially associated with all of their product offerings and did not always limit the information provided to products supplied to Pitney Bowes. Thus, Pitney Bowes is unable to confirm whether necessary 3TG metals contained in our products in fact originated in any of these countries.
Thirty-nine (39) smelters or refiners were identified by RCOI data as potentially sourcing directly or indirectly from the Covered Countries. We carried out our own due diligence and confirmed that all of these smelters or refiners are conformant with RMAP.
Pitney Bowes recognizes that the intent of the Rule is not to stop commercial ties with smelters and refiners sourcing Conflict Minerals from the DRC or adjoining countries, but to ensure that these minerals are being responsibly sourced and are not directly or indirectly financing or benefitting armed groups in those countries. We are satisfied that the status of “Conformant” provides reasonable and adequate evidence of responsible sourcing.
Our due diligence activities are further described in this report.
1. Pitney Bowes’ Design of Due Diligence
A. Due Diligence Framework
We designed our due diligence to conform, in all material respects, with the framework set out in the “Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas” and related Supplements on Tin, Tantalum and Tungsten and on Gold (“OECD Guidance”), published by the Organisation for Economic Cooperation and Development (the “OECD”). Since Pitney Bowes does not buy Conflict Minerals directly from mines, smelters or refiners, we must rely on our suppliers to provide us with information regarding the source of the Conflict Minerals contained in the products and parts those suppliers provide to us. Our direct suppliers are similarly reliant upon information provided by their suppliers. Accordingly, we have designed our due diligence to leverage the due diligence tools developed by RMI, including a supplier survey based on the Template, which is designed to help companies identify the smelters and refiners that process the Conflict Minerals in a company’s supply chain. We have incorporated the following five-step, risk-based approach to 3TG due diligence based on OECD Guidance into the design of our Conflict Minerals due diligence program:
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| • | | establish and maintain appropriate internal managment systems to identify and manage the 3TG in our global supply chain; |
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| • | | identify and assess any risks associated with the use of 3TG in our supply chain by obtaining and evaluating 3TG sourcing information from suppliers; |
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| • | design and implement a strategy to respond to 3TG risks in our supply chain; |
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| • | support independent auditing of smelter and refiner due diligence practices; and |
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| • | report publicly on supply chain due diligence. |
B. Scope of Due Diligence
In order to determine if products manufactured or contracted to manufacture by Pitney Bowes contain 3TG sourced from Covered Countries, we sought out industry best practices, reviewed current guidance from various associations such as the OECD and the Information Technology Industry Council (“ITI”), and attended industry association meetings to assess how other multinational corporations approach Conflict Minerals compliance.
Working with outside consultants, we developed a Conflict Minerals survey based on the Template and guidance from the RMI and ITI. We identified the suppliers involved in the supply chain of the products we manufacture or contracted to manufacture for consideration for the survey and then removed from consideration for the survey any suppliers that either do not contain tin, tantalum, tungsten or gold, or otherwise supplied equipment that is outside the scope of the Rule. We sent the Conflict Minerals survey to the 51 remaining suppliers (the “Surveyed Suppliers”). We asked the Surveyed Suppliers to respond with certain information, including their Conflict Minerals policies, usage of 3TG, the smelters and refiners of Conflict Minerals in their supply chains, and the country of origin of the 3TG they used.
The Surveyed Suppliers who completed the survey were asked to attest to the accuracy of their survey responses. The Product Compliance Team (defined below) monitored supplier responses to our surveys and contacted the Surveyed Suppliers who submitted incomplete responses or who failed to respond. We requested updated submittals from the Surveyed Suppliers that submitted responses with a less than 75% response rate from their supply chain and suppliers that listed smelters with inaccurate information. Data received from Surveyed Suppliers and updated by our Procurement department through April 12, 2022 have been included in this report.
We collected and tracked the survey responses in our product compliance database for consolidation, validation, and further analysis. We also generated periodic status reports to track and review our progress in data collection and evaluate which suppliers needed additional help in completing the survey.
C. Due Diligence Results for Pitney Bowes’ 2021 Products
Based on our due diligence, we determined that Conflict Minerals were necessary to the functionality or production of various products from our hardware product offerings list, which includes a varied array of equipment that processes direct mail and/or enables transactional mail management and analytics that we manufactured or contracted to manufacture in 2021.
Some examples of these products include: postage meters, low-/medium-/high-volume mailing systems that can weigh, seal and apply postage to envelopes; inserters; folders; mail openers; tabbers; scales; printers; accessories; and peripherals.
D. Pitney Bowes’ Conflict Minerals Disclosure Posting
We have made public our activities related to Conflict Minerals in our Corporate Responsibility Report and have posted this Conflict Minerals Report to our website (Pitney Bowes Corporate Responsibility).1
2. Pitney Bowes’ Due Diligence Measures Undertaken for 2021 Products
In an effort to continue to identify and mitigate any risk that the use of 3TG in our products going forward may benefit armed groups in the Covered Countries, we have incorporated the relevant aspects of the OECD Guidance (as summarized in the sections that follow) into our risk management program for product stewardship requirements (including Conflict Minerals).
A. Development of an Internal, Strong Management System.
1. High level management oversight
In order to provide effective management support for, and high level escalation of issues relating to, the Company’s overall supply chain due diligence efforts (inclusive of Conflict Minerals), we formed two cross-functional teams: the Environmental Product Compliance Team (the “Product Compliance Team”) and the Environmental Committee (the “Environmental Committee”).
The Product Compliance Team is comprised of representatives from Procurement, Supply Chain, Quality, Engineering, Environmental Health and Safety (“EHS”), and Global Product Line Management and other support groups. This team is responsible for assisting the Company in meeting the requirements of global product-compliance regulations.
The Environmental Committee is comprised of a group of cross-functional leaders from Procurement, Supply Chain, Quality, Engineering, EHS, Legal, and Global Product Line Management, and oversees the work of the Product Compliance Team. The Environmental Committee is tasked with providing guidance regarding environmental product compliance, authorizing the financial and human resources needed for product compliance, and enforcing corrective action measures within Company operations and within our supply chain. Members of the Environmental Committee report potential issues and company risks to the Company’s senior executives, as well as in connection with the Enterprise Risk Management review process.
2. Pitney Bowes’ Conflict Minerals policy and procedures
We established a conflict minerals policy to guide our communications with and expectations for suppliers regarding Conflict Minerals. It is the Company’s goal that we will not knowingly manufacture or contract to manufacture products that include Conflict Minerals that originate from the Covered Countries, unless they were processed by smelters and refiners that are certified as conformant with the RMAP or an equivalent cross-recognized standard or came from recycled or scrap sources. We communicated our expectation that our Surveyed Suppliers source products, parts and components from socially responsible sources and conduct reasonable due diligence on their supply chains in an effort to assure that Conflict Minerals are not knowingly sourced from the Covered Countries unless they were processed by smelters and refiners that are conformant with the RMAP or came from recycled or scrap sources.
We adopted and periodically review certain procedures and maintain the following steps regarding our use of 3TG:
1 References to our website and information available through this website are not incorporated by reference herein unless otherwise noted.
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| • | Our Supplier Code of Conduct describes our Conflict Minerals and other product compliance requirements; |
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| • | Our engineering standards and specifications include requirements to specify that suppliers must meet Section 1502(e)(4) of the Dodd Frank Act; |
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| • | Our Quality Assurance audit templates include supplier requirements with respect to products containing 3TG; |
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| • | Incorporated consideration of Conflict Mineral issues within the Pitney Bowes Product Review Process; |
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| • | Periodically update and distribute to all suppliers our contractual language regarding certification that 3TG from Covered Countries is conflict free or came from recycled or scrap sources; |
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| • | Annually publish Conflict Minerals information on our website and in our Corporate Responsibility Report; | |
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| • | Include Conflict Minerals in Enterprise Risk Management meetings to ensure regular review by our management; |
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| • | Include review of Conflict Minerals supply chain data and related processes in the Company’s standardized environmental compliance reviews of key suppliers; |
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| • | Complete training classes through our learning management system and via video-conference and in person classes in order to educated relevant employees, where necessary; |
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| • | Educate Suppliers and other partners regarding Conflict Minerals during business reviews, where necessary; |
| • | Continue to require Surveyed Suppliers to complete surveys with the goal of identifying the smelters and refineries used to process Conflict Minerals in their supply chain; |
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| • | Maintain internal policies, written procedures, tools and training to ensure effective implementation of our Conflict Minerals management program; |
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| • | Track and report supplier data in a product compliance information database; and |
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| • | Manage a supplier escalation protocol to ensure consistent and thorough management of unresponsive suppliers when needed – this protocol documents our supplier engagement and how we interact with unresponsive suppliers or suppliers who provide incomplete, questionable, or indeterminable information. |
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In addition, Pitney Bowes was a member of the RMI during 2021 and had access to best practices and RCOI data.
3. Pitney Bowes’ system of controls and transparency over the 3TG supply chain
As part of the Company’s broader requirement that our suppliers provide us with accurate and complete information relating to the sources of all substances contained in any product, part or component they provide to us, we required that Surveyed Suppliers provide us with information on Conflict Minerals contained in such products, parts, or components.
Surveyed Suppliers who failed to respond to our request for data were subject to additional evaluation to determine whether further engagement or escalation was necessary.
4. Pitney Bowes’ engagement with suppliers
The Company has multiple methods to encourage our suppliers to commit to our policies requiring responsible supplier operations. We have communicated our Conflict Minerals requirements to our Suppliers and other product stewardship requirements, as applicable, to our global supply chain. In connection with our data collection efforts, we have explained to our Suppliers our requirement that they conduct their operations as socially responsible suppliers. In addition, we have revised our supplier form contract language to include compliance with our Conflict Minerals efforts. Our supplier contracts have long contained provisions giving us the right to conduct unannounced visits to supplier sites and to request documentation to confirm the supplier’s compliance with our policies and contractual requirements. Our Surveyed Suppliers have received information regarding Conflict Minerals requirements and completion of our product compliance database.
5. Pitney Bowes’ Company-level grievance mechanism
For many years, Pitney Bowes has maintained an Ethics Help Line which is available toll-free, 24 hours a day, seven days a week. The Ethics Help Line is operated by an outside firm and enables employees, clients and others to make inquiries and report concerns about potential violations of Company policy or the law, in many languages, without fear of retaliation. Anyone can contact the Ethics Help Line to report any concerns about Conflict Minerals that may be contained in our products.
B. Identification and Assessment of Risk in Our Supply Chain.
The Company continues its program of conducting supply chain due diligence and risk assessment on supplier sources of 3TGs as described above in Section 1 (Pitney Bowes’ Design of Due Diligence).
C. Strategy for Responding to Identified Risks in Our 3TG Supply Chain.
As described above, the Product Compliance Team monitored supplier responses to our surveys and contacted Surveyed Suppliers who submitted incomplete responses or who failed to respond so that we could understand what was preventing them from submitting a full and final attestation regarding their product line. The Product Compliance Team also reviewed the data from the product compliance database to determine which Surveyed Suppliers had data gaps, had raised questions or had not been responsive. Any Surveyed Suppliers that were considered non-responsive or higher risk were escalated to designated internal teams and management for further evaluation as they were identified.
We also reported the findings and information gathered through our inquiry and due diligence to Pitney Bowes senior management.
D. Support for Independent Third-party Audits of Supply Chain Due Diligence
Since we do not have direct relationships with smelters or refiners, we did not perform direct audits of these entities’ supply chains of Conflict Minerals. However, we supported the development and implementation of smelter and refinery sourcing audits conducted by independent third parties and industry groups, such as the RMI’s RMAP, through our conflict minerals policy, expectations regarding responsible sourcing of minerals from the Covered Countries, and our 2021 RMI membership.
3. Future Actions to Further Minimize Any Risk of Conflict Minerals Benefitting Armed Groups
The Company will continue to request information from our supply chain in order to meet the requirements of the Rule. Where there is reason to believe that a supplier is not adopting a Conflict Minerals policy or providing the necessary data to us, we will work with the supplier to address the issue. In the event of continued supplier deficiencies, we will consider appropriate measures including, if appropriate, termination of our relationship with a supplier.
Appendix A
List of Smelters / Refiners Identified by the Surveyed Suppliers
The following list provides the name, location and status of smelters and refiners identified by the Surveyed Suppliers. Pitney Bowes is unable to confirm that any or all smelters and refiners in this list processed the necessary 3TG metals contained in our products, since a number of the Surveyed Suppliers identified all smelters and refiners in their total supply chain and did not limit their responses to the specific products supplied to Pitney Bowes.
Smelter and refiner names and locations were drawn from the Smelter Reference List in the latest version of the Template. The list of smelters and refiners is based on information provided by Surveyed Suppliers as of April 12, 2022. The status of these smelters and refiners is based on the Responsible Minerals Initiative (“RMI”) data as of December 2021. “Conformant” means listed by RMI as conformant with RMAP assessment protocols; “Active” means listed by RMI as having committed to undergo an audit or as participating in a similar assessment program such as the London Bullion Market Association Responsible Gold Certification or the Responsible Jewelry Council’s Chain-of-Custody Certification. Smelters or refiners listed as “In Communication” or “Outreach Required” have begun discussions with or will be encouraged to participate in the RMAP audit. Smelters and refiners designated by RMI as “Non-Conformant” and “Communication Suspended – Not Interested,” are not currently conformant with RMAP assessment protocols and/or are not currently progressing toward participation in an audit. Entities that are no longer recognized as smelters or refiners are not included in the reference list below (for example, if they are no longer included in the Smelter Reference List of RMI’s Template based on RMI’s determination that the entity did not actually engage in smelting or refining activities or if we or RMI believe they are no longer in operation).
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| Metal | Standard Smelter Name | Identification | Audit Status |
| Gold | 8853 S.p.A. | CID002763 | Conformant |
| Gold | Advanced Chemical Company | CID000015 | Conformant |
| Gold | African Gold Refinery | CID003185 | Outreach Required |
| Gold | Aida Chemical Industries Co., Ltd. | CID000019 | Conformant |
| Gold | Al Etihad Gold Refinery DMCC | CID002560 | Conformant |
| Gold | Alexy Metals | CID003500 | Active |
| Gold | Allgemeine Gold-und Silberscheideanstalt A.G. | CID000035 | Conformant |
| Gold | Almalyk Mining and Metallurgical Complex (AMMC) | CID000041 | Conformant |
| Gold | AngloGold Ashanti Corrego do Sitio Mineracao | CID000058 | Conformant |
| Gold | Argor-Heraeus S.A. | CID000077 | Conformant |
| Gold | Asahi Pretec Corp. | CID000082 | Conformant |
| Gold | Asahi Refining Canada Ltd. | CID000924 | Conformant |
| Gold | Asahi Refining USA Inc. | CID000920 | Conformant |
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| Gold | Asaka Riken Co., Ltd. | CID000090 | Conformant |
| Gold | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | CID000103 | Outreach Required |
| Gold | AU Traders and Refiners | CID002850 | Non-Conformant |
| Gold | Augmont Enterprises Private Limited | CID003461 | Active |
| Gold | Aurubis AG | CID000113 | Conformant |
| Gold | Bangalore Refinery | CID002863 | Conformant |
| Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | CID000128 | Conformant |
| Gold | Boliden AB | CID000157 | Conformant |
| Gold | C. Hafner GmbH + Co. KG | CID000176 | Conformant |
| Gold | C.I Metales Procesados Industriales SAS | CID003421 | Active |
| Gold | Caridad | CID000180 | Outreach Required |
| Gold | CCR Refinery - Glencore Canada Corporation | CID000185 | Conformant |
| Gold | Cendres + Metaux S.A. | CID000189 | Conformant |
| Gold | CGR Metalloys Pvt Ltd. | CID003382 | Outreach Required |
| Gold | Chimet S.p.A. | CID000233 | Conformant |
| Gold | Chugai Mining | CID000264 | Conformant |
| Gold | Daye Non-Ferrous Metals Mining Ltd. | CID000343 | In Communication |
| Gold | Degussa Sonne / Mond Goldhandel GmbH | CID002867 | Outreach Required |
| Gold | Dijllah Gold Refinery FZC | CID003348 | Outreach Required |
| Gold | DODUCO Contacts and Refining GmbH | CID000362 | Conformant |
| Gold | Dowa | CID000401 | Conformant |
| Gold | DSC (Do Sung Corporation) | CID000359 | Conformant |
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| Gold | Eco-System Recycling Co., Ltd. East Plant | CID000425 | Conformant |
| Gold | Eco-System Recycling Co., Ltd. North Plant | CID003424 | Conformant |
| Gold | Eco-System Recycling Co., Ltd. West Plant | CID003425 | Conformant |
| Gold | Emerald Jewel Industry India Limited (Unit 1) | CID003487 | In Communication |
| Gold | Emerald Jewel Industry India Limited (Unit 2) | CID003488 | In Communication |
| Gold | Emerald Jewel Industry India Limited (Unit 3) | CID003489 | In Communication |
| Gold | Emerald Jewel Industry India Limited (Unit 4) | CID003490 | In Communication |
| Gold | Emirates Gold DMCC | CID002561 | Conformant |
| Gold | Fujairah Gold FZC | CID002584 | Outreach Required |
| Gold | GCC Gujrat Gold Centre Pvt. Ltd. | CID002852 | Active |
| Gold | Geib Refining Corporation | CID002459 | Conformant |
| Gold | Gold Coast Refinery | CID003186 | Outreach Required |
| Gold | Gold Refinery of Zijin Mining Group Co., Ltd. | CID002243 | Conformant |
| Gold | Great Wall Precious Metals Co., Ltd. of CBPM | CID001909 | Outreach Required |
| Gold | Guangdong Jinding Gold Limited | CID002312 | Outreach Required |
| Gold | Guoda Safina High-Tech Environmental Refinery Co., Ltd. | CID000651 | Outreach Required |
| Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. | CID000671 | Outreach Required |
| Gold | Heimerle + Meule GmbH | CID000694 | Conformant |
| Gold | Heraeus Germany GmbH Co. KG | CID000711 | Conformant |
| Gold | Heraeus Metals Hong Kong Ltd. | CID000707 | Conformant |
| Gold | Hunan Chenzhou Mining Co., Ltd. | CID000767 | Outreach Required |
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| Gold | Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd. | CID000773 | Outreach Required |
| Gold | HwaSeong CJ CO., LTD. | CID000778 | Communication Suspended - Not Interested |
| Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | CID000801 | Conformant |
| Gold | International Precious Metal Refiners | CID002562 | In Communication |
| Gold | Ishifuku Metal Industry Co., Ltd. | CID000807 | Conformant |
| Gold | Istanbul Gold Refinery | CID000814 | Conformant |
| Gold | Italpreziosi | CID002765 | Conformant |
| Gold | JALAN & Company | CID002893 | Outreach Required |
| Gold | Japan Mint | CID000823 | Conformant |
| Gold | Jiangxi Copper Co., Ltd. | CID000855 | Conformant |
| Gold | JSC Novosibirsk Refinery | CID000493 | Conformant |
| Gold | JSC Uralelectromed | CID000929 | Conformant |
| Gold | JX Nippon Mining & Metals Co., Ltd. | CID000937 | Conformant |
| Gold | K.A. Rasmussen | CID003497 | Outreach Required |
| Gold | Kazakhmys Smelting LLC | CID000956 | In Communication |
| Gold | Kazzinc | CID000957 | Conformant |
| Gold | Kennecott Utah Copper LLC | CID000969 | Conformant |
| Gold | KGHM Polska Miedz Spolka Akcyjna | CID002511 | Conformant |
| Gold | Kojima Chemicals Co., Ltd. | CID000981 | Conformant |
| Gold | Korea Zinc Co., Ltd. | CID002605 | Conformant |
| Gold | Kundan Care Products Ltd. | CID003463 | In Communication |
| Gold | Kyrgyzaltyn JSC | CID001029 | Non-Conformant |
| Gold | Kyshtym Copper-Electrolytic Plant ZAO | CID002865 | Outreach Required |
| Gold | Lingbao Gold Co., Ltd. | CID001056 | Outreach Required |
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| Gold | Lingbao Jinyuan Tonghui Refinery Co., Ltd. | CID001058 | Outreach Required |
| Gold | L'Orfebre S.A. | CID002762 | Conformant |
| Gold | LS-NIKKO Copper Inc. | CID001078 | Conformant |
| Gold | LT Metal Ltd. | CID000689 | Conformant |
| Gold | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | CID001093 | Outreach Required |
| Gold | Marsam Metals | CID002606 | Conformant |
| Gold | Materion | CID001113 | Conformant |
| Gold | Matsuda Sangyo Co., Ltd. | CID001119 | Conformant |
| Gold | MD Overseas | CID003548 | In Communication |
| Gold | Metal Concentrators SA (Pty) Ltd. | CID003575 | Conformant |
| Gold | Metallix Refining Inc. | CID003557 | In Communication |
| Gold | Metalor Technologies (Hong Kong) Ltd. | CID001149 | Conformant |
| Gold | Metalor Technologies (Singapore) Pte., Ltd. | CID001152 | Conformant |
| Gold | Metalor Technologies (Suzhou) Ltd. | CID001147 | Conformant |
| Gold | Metalor Technologies S.A. | CID001153 | Conformant |
| Gold | Metalor USA Refining Corporation | CID001157 | Conformant |
| Gold | Metalurgica Met-Mex Penoles S.A. De C.V. | CID001161 | Conformant |
| Gold | Mitsubishi Materials Corporation | CID001188 | Conformant |
| Gold | Mitsui Mining and Smelting Co., Ltd. | CID001193 | Conformant |
| Gold | MMTC-PAMP India Pvt., Ltd. | CID002509 | Conformant |
| Gold | Morris and Watson | CID002282 | In Communication |
| Gold | Moscow Special Alloys Processing Plant | CID001204 | Conformant |
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| Gold | Nadir Metal Rafineri San. Ve Tic. A.S. | CID001220 | Conformant |
| Gold | Navoi Mining and Metallurgical Combinat | CID001236 | Conformant |
| Gold | NH Recytech Company | CID003189 | Conformant |
| Gold | Nihon Material Co., Ltd. | CID001259 | Conformant |
| Gold | Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH | CID002779 | Conformant |
| Gold | Ohura Precious Metal Industry Co., Ltd. | CID001325 | Conformant |
| Gold | OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) | CID001326 | Conformant |
| Gold | PAMP S.A. | CID001352 | Conformant |
| Gold | Pease & Curren | CID002872 | Communication Suspended - Not Interested |
| Gold | Penglai Penggang Gold Industry Co., Ltd. | CID001362 | Outreach Required |
| Gold | Planta Recuperadora de Metales SpA | CID002919 | Conformant |
| Gold | Prioksky Plant of Non-Ferrous Metals | CID001386 | Conformant |
| Gold | PT Aneka Tambang (Persero) Tbk | CID001397 | Conformant |
| Gold | PX Precinox S.A. | CID001498 | Conformant |
| Gold | QG Refining, LLC | CID003324 | Outreach Required |
| Gold | Rand Refinery (Pty) Ltd. | CID001512 | Conformant |
| Gold | Refinery of Seemine Gold Co., Ltd. | CID000522 | Outreach Required |
| Gold | REMONDIS PMR B.V. | CID002582 | Conformant |
| Gold | Royal Canadian Mint | CID001534 | Conformant |
| Gold | SAAMP | CID002761 | Conformant |
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| Gold | Sabin Metal Corp. | CID001546 | Communication Suspended - Not Interested |
| Gold | Safimet S.p.A | CID002973 | Conformant |
| Gold | SAFINA A.S. | CID002290 | Conformant |
| Gold | Sai Refinery | CID002853 | Outreach Required |
| Gold | Samduck Precious Metals | CID001555 | Conformant |
| Gold | Samwon Metals Corp. | CID001562 | Communication Suspended - Not Interested |
| Gold | Sancus ZFS (L’Orfebre, SA) | CID003529 | Active |
| Gold | SAXONIA Edelmetalle GmbH | CID002777 | Conformant |
| Gold | Sellem Industries Ltd. | CID003540 | Outreach Required |
| Gold | SEMPSA Joyeria Plateria S.A. | CID001585 | Conformant |
| Gold | Shandong Gold Smelting Co., Ltd. | CID001916 | Conformant |
| Gold | Shandong Humon Smelting Co., Ltd. | CID002525 | Outreach Required |
| Gold | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | CID001619 | Outreach Required |
| Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | CID001622 | Conformant |
| Gold | Shenzhen Zhonghenglong Real Industry Co., Ltd. | CID002527 | Outreach Required |
| Gold | Shirpur Gold Refinery Ltd. | CID002588 | Outreach Required |
| Gold | Sichuan Tianze Precious Metals Co., Ltd. | CID001736 | Conformant |
| Gold | Singway Technology Co., Ltd. | CID002516 | Conformant |
| Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | CID001756 | Conformant |
| Gold | Solar Applied Materials Technology Corp. | CID001761 | Conformant |
| Gold | Sovereign Metals | CID003383 | Outreach Required |
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| Gold | State Research Institute Center for Physical Sciences and Technology | CID003153 | Outreach Required |
| Gold | Sudan Gold Refinery | CID002567 | Outreach Required |
| Gold | Sumitomo Metal Mining Co., Ltd. | CID001798 | Conformant |
| Gold | SungEel HiMetal Co., Ltd. | CID002918 | Conformant |
| Gold | T.C.A S.p.A | CID002580 | Conformant |
| Gold | Tanaka Kikinzoku Kogyo K.K. | CID001875 | Conformant |
| Gold | Tokuriki Honten Co., Ltd. | CID001938 | Conformant |
| Gold | Tongling Nonferrous Metals Group Co., Ltd. | CID001947 | Outreach Required |
| Gold | TOO Tau-Ken-Altyn | CID002615 | Conformant |
| Gold | Torecom | CID001955 | Conformant |
| Gold | Umicore Precious Metals Thailand | CID002314 | Conformant |
| Gold | Umicore S.A. Business Unit Precious Metals Refining | CID001980 | Conformant |
| Gold | United Precious Metal Refining, Inc. | CID001993 | Conformant |
| Gold | Valcambi S.A. | CID002003 | Conformant |
| Gold | Western Australian Mint (T/a The Perth Mint) | CID002030 | Conformant |
| Gold | WIELAND Edelmetalle GmbH | CID002778 | Conformant |
| Gold | Yamakin Co., Ltd. | CID002100 | Conformant |
| Gold | Yokohama Metal Co., Ltd. | CID002129 | Conformant |
| Gold | Yunnan Copper Industry Co., Ltd. | CID000197 | Outreach Required |
| Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | CID002224 | Conformant |
| Gold | Super Dragon Technology Co., Ltd. | CID001810 | Outreach Required |
| Gold | Value Trading | CID003617 | In Communication |
| Gold | WEEEREFINING | CID003615 | Active |
| Tantalum | Changsha South Tantalum Niobium Co., Ltd. | CID000211 | Conformant |
| | | | | | | | | | | |
| Tantalum | D Block Metals, LLC | CID002504 | Conformant |
| Tantalum | Exotech Inc. | CID000456 | Conformant |
| Tantalum | F&X Electro-Materials Ltd. | CID000460 | Conformant |
| Tantalum | FIR Metals & Resource Ltd. | CID002505 | Conformant |
| Tantalum | Global Advanced Metals Aizu | CID002558 | Conformant |
| Tantalum | Global Advanced Metals Boyertown | CID002557 | Conformant |
| Tantalum | H.C. Starck Hermsdorf GmbH | CID002547 | Conformant |
| Tantalum | H.C. Starck Inc. | CID002548 | Conformant |
| Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | CID002492 | Conformant |
| Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | CID002512 | Conformant |
| Tantalum | Jiangxi Tuohong New Raw Material | CID002842 | Conformant |
| Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | CID000914 | Conformant |
| Tantalum | Jiujiang Tanbre Co., Ltd. | CID000917 | Conformant |
| Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | CID002506 | Conformant |
| Tantalum | KEMET de Mexico | CID002539 | Conformant |
| Tantalum | LSM Brasil S.A. | CID001076 | Conformant |
| Tantalum | Metallurgical Products India Pvt., Ltd. | CID001163 | Conformant |
| | | | | | | | | | | |
| Tantalum | Mineracao Taboca S.A. | CID001175 | Conformant |
| Tantalum | Mitsui Mining and Smelting Co., Ltd. | CID001192 | Conformant |
| Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | CID001277 | Conformant |
| Tantalum | NPM Silmet AS | CID001200 | Conformant |
| Tantalum | QuantumClean | CID001508 | Conformant |
| Tantalum | Resind Industria e Comercio Ltda. | CID002707 | Conformant |
| Tantalum | Solikamsk Magnesium Works OAO | CID001769 | Conformant |
| Tantalum | Taki Chemical Co., Ltd. | CID001869 | Conformant |
| Tantalum | TANIOBIS Co., Ltd. | CID002544 | Conformant |
| Tantalum | TANIOBIS GmbH | CID002545 | Conformant |
| Tantalum | TANIOBIS Japan Co., Ltd. | CID002549 | Conformant |
| Tantalum | TANIOBIS Smelting GmbH & Co. KG | CID002550 | Conformant |
| Tantalum | Telex Metals | CID001891 | Conformant |
| Tantalum | Ulba Metallurgical Plant JSC | CID001969 | Conformant |
| Tantalum | XIMEI RESOURCES (GUANGDONG) LIMITED | CID000616 | Conformant |
| Tantalum | XinXing HaoRong Electronic Material Co., Ltd. | CID002508 | Conformant |
| Tantalum | Yanling Jincheng Tantalum & Niobium Co., Ltd. | CID001522 | Conformant |
| | | | | | | | | | | |
| Tantalum | Yancheng Jinye New Material Technology Co., Ltd. | CID003583 | Conformant |
| Tin | Alpha | CID000292 | Conformant |
| Tin | An Vinh Joint Stock Mineral Processing Company | CID002703 | Outreach Required |
| Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | CID000228 | Conformant |
| Tin | Chifeng Dajingzi Tin Industry Co., Ltd. | CID003190 | Conformant |
| Tin | China Tin Group Co., Ltd. | CID001070 | Conformant |
| Tin | CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda | CID003486 | Active |
| Tin | CRM Synergies | CID003524 | Active |
| Tin | CV Venus Inti Perkasa | CID002455 | Active |
| Tin | Dowa | CID000402 | Conformant |
| Tin | EM Vinto | CID000438 | Conformant |
| Tin | Estanho de Rondonia S.A. | CID000448 | Active |
| Tin | Fenix Metals | CID000468 | Conformant |
| Tin | Gejiu City Fuxiang Industry and Trade Co., Ltd. | CID003410 | Outreach Required |
| Tin | Gejiu Kai Meng Industry and Trade LLC | CID000942 | Conformant |
| Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. | CID000538 | Conformant |
| Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | CID001908 | Conformant |
| Tin | Gejiu Zili Mining And Metallurgy Co., Ltd. | CID000555 | Conformant |
| Tin | Guangdong Hanhe Non-Ferrous Metal Co., Ltd. | CID003116 | Conformant |
| Tin | HuiChang Hill Tin Industry Co., Ltd. | CID002844 | Conformant |
| | | | | | | | | | | |
| Tin | Jiangxi New Nanshan Technology Ltd. | CID001231 | Conformant |
| Tin | Luna Smelter, Ltd. | CID003387 | Conformant |
| Tin | Ma'anshan Weitai Tin Co., Ltd. | CID003379 | Conformant |
| Tin | Magnu's Minerais Metais e Ligas Ltda. | CID002468 | Conformant |
| Tin | Malaysia Smelting Corporation (MSC) | CID001105 | Conformant |
| Tin | Melt Metais e Ligas S.A. | CID002500 | Conformant |
| Tin | Metallic Resources, Inc. | CID001142 | Conformant |
| Tin | Metallo Belgium N.V. | CID002773 | Conformant |
| Tin | Metallo Spain S.L.U. | CID002774 | Conformant |
| Tin | Mineracao Taboca S.A. | CID001173 | Conformant |
| Tin | Minsur | CID001182 | Conformant |
| Tin | Mitsubishi Materials Corporation | CID001191 | Conformant |
| Tin | Nghe Tinh Non-Ferrous Metals Joint Stock Company | CID002573 | Outreach Required |
| Tin | Novosibirsk Processing Plant Ltd. | CID001305 | Active |
| Tin | O.M. Manufacturing (Thailand) Co., Ltd. | CID001314 | Conformant |
| Tin | O.M. Manufacturing Philippines, Inc. | CID002517 | Conformant |
| Tin | Operaciones Metalurgicas S.A. | CID001337 | Conformant |
| Tin | Pongpipat Company Limited | CID003208 | Outreach Required |
| Tin | PT Artha Cipta Langgeng | CID001399 | Conformant |
| Tin | PT ATD Makmur Mandiri Jaya | CID002503 | Conformant |
| Tin | PT Babel Surya Alam Lestari | CID001406 | Conformant |
| Tin | PT Bangka Serumpun | CID003205 | Conformant |
| Tin | PT Menara Cipta Mulia | CID002835 | Conformant |
| Tin | PT Mitra Stania Prima | CID001453 | Conformant |
| | | | | | | | | | | |
| Tin | PT Mitra Sukses Globalindo | CID003449 | Active |
| Tin | PT Prima Timah Utama | CID001458 | Conformant |
| Tin | PT Rajawali Rimba Perkasa | CID003381 | Conformant |
| Tin | PT Refined Bangka Tin | CID001460 | Conformant |
| Tin | PT Stanindo Inti Perkasa | CID001468 | Conformant |
| Tin | PT Timah Nusantara | CID001486 | Active |
| Tin | PT Timah Tbk Kundur | CID001477 | Conformant |
| Tin | PT Timah Tbk Mentok | CID001482 | Conformant |
| Tin | PT Tinindo Inter Nusa | CID001490 | Conformant |
| Tin | Resind Industria e Comercio Ltda. | CID002706 | Conformant |
| Tin | Rui Da Hung | CID001539 | Conformant |
| Tin | Soft Metais Ltda. | CID001758 | Conformant |
| Tin | Super Ligas | CID002756 | Active |
| Tin | Thai Nguyen Mining and Metallurgy Co., Ltd. | CID002834 | Conformant |
| Tin | Thaisarco | CID001898 | Conformant |
| Tin | Tin Technology & Refining | CID003325 | Conformant |
| Tin | Tuyen Quang Non-Ferrous Metals Joint Stock Company | CID002574 | Outreach Required |
| Tin | VQB Mineral and Trading Group JSC | CID002015 | Outreach Required |
| Tin | White Solder Metalurgia e Mineracao Ltda. | CID002036 | Conformant |
| Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | CID002158 | Conformant |
| Tin | Yunnan Tin Company Limited | CID002180 | Active |
| Tin | Yunnan Yunfan Non-ferrous Metals Co., Ltd. | CID003397 | Conformant |
| Tin | Fabrica Auricchio Industria e Comercio Ltda. | CID003582 | Conformant |
| Tin | PT Babel Inti Perkasa | CID001402 | Conformant |
| | | | | | | | | | | |
| Tin | PT Bukit Timah | CID001428 | Active |
| Tin | PT Cipta Persada Mulia | CID002696 | Active |
| Tin | PT Sariwiguna Binasentosa | CID001463 | Conformant |
| Tin | PT Belitung Industri Sejahtera | CID001421 | Outreach Required |
| Tin | PT Panca Mega Persada | CID001457 | Outreach Required |
| Tin | PT Masbro Alam Stania | CID003380 | Active |
| Tin | PT Tirus Putra Mandiri | CID002478 | Outreach Required |
| Tungsten | A.L.M.T. Corp. | CID000004 | Conformant |
| Tungsten | ACL Metais Eireli | CID002833 | Conformant |
| Tungsten | Albasteel Industria e Comercio de Ligas Para Fundicao Ltd. | CID003427 | Active |
| Tungsten | Artek LLC | CID003553 | Outreach Required |
| Tungsten | Asia Tungsten Products Vietnam Ltd. | CID002502 | Conformant |
| Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd. | CID002513 | Conformant |
| Tungsten | China Molybdenum Tungsten Co., Ltd. | CID002641 | Conformant |
| Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | CID000258 | Conformant |
| Tungsten | CNMC (Guangxi) PGMA Co., Ltd. | CID000281 | Outreach Required |
| Tungsten | Cronimet Brasil Ltda | CID003468 | Conformant |
| Tungsten | Fujian Ganmin RareMetal Co., Ltd. | CID003401 | Conformant |
| Tungsten | Ganzhou Haichuang Tungsten Co., Ltd. | CID002645 | Conformant |
| | | | | | | | | | | |
| Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. | CID000875 | Conformant |
| Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | CID002315 | Conformant |
| Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | CID002494 | Conformant |
| Tungsten | GEM Co., Ltd. | CID003417 | Active |
| Tungsten | Global Tungsten & Powders Corp. | CID000568 | Conformant |
| Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | CID000218 | Conformant |
| Tungsten | H.C. Starck Tungsten GmbH | CID002541 | Conformant |
| Tungsten | Hunan Chenzhou Mining Co., Ltd. | CID000766 | Conformant |
| Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd. | CID000769 | Conformant |
| Tungsten | Hydrometallurg, JSC | CID002649 | Conformant |
| Tungsten | Japan New Metals Co., Ltd. | CID000825 | Conformant |
| Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | CID002551 | Conformant |
| Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | CID002321 | Conformant |
| Tungsten | Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. | CID002313 | Communication Suspended - Not Interested |
| Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | CID002318 | Conformant |
| Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | CID002317 | Conformant |
| | | | | | | | | | | |
| Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. | CID002316 | Conformant |
| Tungsten | JSC "Kirovgrad Hard Alloys Plant" | CID003408 | Active |
| Tungsten | Kennametal Fallon | CID000966 | Conformant |
| Tungsten | Kennametal Huntsville | CID000105 | Conformant |
| Tungsten | KGETS Co., Ltd. | CID003388 | Conformant |
| Tungsten | Lianyou Metals Co., Ltd. | CID003407 | Conformant |
| Tungsten | Malipo Haiyu Tungsten Co., Ltd. | CID002319 | Conformant |
| Tungsten | Masan High-Tech Materials | CID002543 | Conformant |
| Tungsten | Moliren Ltd. | CID002845 | Conformant |
| Tungsten | Niagara Refining LLC | CID002589 | Conformant |
| Tungsten | NPP Tyazhmetprom LLC | CID003416 | Active |
| Tungsten | Philippine Chuangxin Industrial Co., Inc. | CID002827 | Conformant |
| Tungsten | TANIOBIS Smelting GmbH & Co. KG | CID002542 | Conformant |
| Tungsten | Unecha Refractory metals plant | CID002724 | Conformant |
| Tungsten | Wolfram Bergbau und Hutten AG | CID002044 | Conformant |
| Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | CID002320 | Conformant |
| Tungsten | Xiamen Tungsten Co., Ltd. | CID002082 | Conformant |
| | | | | | | | | | | |
| Tungsten | Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. | CID002830 | Conformant |
| Tungsten | Fujian Xinlu Tungsten | CID003609 | Conformant |
| Tungsten | OOO “Technolom” 1 | CID003614 | Active |
| Tungsten | OOO “Technolom” 2 | CID003612 | Active |
APPENDIX B
Countries of Origin
Based on the Responsible Minerals Initiative’s data on Reasonable Country of Origin Inquiry dated December 2021, potential countries of origin for 3TG processed by smelters or refiners may include (but are not necessarily limited to):
| | |
| Andorra |
| Angola |
| Antigua and Barbuda |
| Argentina |
| Armenia |
| Australia |
| Austria |
| Azerbaijan |
| Bahamas |
| Bangladesh |
| Barbados |
| Belarus |
| Belgium |
| Benin |
| Bolivia |
| Botswana |
| Brazil |
| Bulgaria |
| Burkina Faso |
| Burundi |
| Canada |
| Cayman Islands |
| Chile |
| China |
| Colombia |
| Congo, Democratic Republic of the |
| Costa Rica |
| Cote d'Ivoire |
| Croatia |
| Cuba |
| Curacao |
| Cyprus |
| Czechia |
| Denmark |
| Dominica |
| Dominican Republic |
| Ecuador |
| Egypt |
| El Salvador |
| Eritrea |
| Estonia |
| | |
| Ethiopia |
| Fiji |
| Finland |
| France |
| French Guiana |
| Gabon |
| Georgia |
| Germany |
| Ghana |
| Greece |
| Grenada |
| Guatemala |
| Guernsey |
| Guinea |
| Guyana |
| Honduras |
| Hong Kong |
| Hungary |
| India |
| Indonesia |
| Ireland |
| Israel |
| Italy |
| Ivory Coast |
| Japan |
| Jordan |
| Kazakhstan |
| Kenya |
| Krygyzstan |
| Laos |
| Latvia |
| Lebanon |
| Liberia |
| Libya |
| Lithuania |
| Luxembourg |
| Madagascar |
| Malaysia |
| Mali |
| Malta |
| Mauritania |
| Mexico |
| Monaco |
| Mongolia |
| Montenegro |
| Morocco |
| Mozambique |
| Myanmar |
| | |
| Namibia |
| Netherlands |
| New Zealand |
| Nicaragua |
| Niger |
| Nigeria |
| Norway |
| Oman |
| Pakistan |
| Panama |
| Papua New Guinea |
| Peru |
| Philippines |
| Poland |
| Portugal |
| Puerto Rico |
| Qatar |
| Romania |
| Russia |
| Rwanda |
| Saint Kitts and Nevis |
| Saudi Arabia |
| Senegal |
| Serbia |
| Sierra Leone |
| Singapore |
| Sint Maarten |
| Slovakia |
| Slovenia |
| Solomon Islands |
| South Africa |
| South Korea |
| Spain |
| St Vincent and Grenadines |
| Sudan |
| Suriname |
| Swaziland |
| Sweden |
| Switzerland |
| Taiwan |
| Tajikistan |
| Tanzania |
| Thailand |
| Togo |
| Trinidad and Tobago |
| Tunisia |
| Turkey |
| Turks and Caicos |
| | |
| Uganda |
| Ukraine |
| United Arab Emirates |
| United Kingdom |
| United States of America |
| Uruguay |
| Uzbekistan |
| Venezuela |
| Vietnam |
| Virgin Islands |
| Yemen |
| Zimbabwe |
