EX-1.01 2 a16-12405_1ex1d01.htm EX-1.01

Exhibit 1.01

 

First Data Corporation

Conflict Minerals Report

2015

 

This Conflict Minerals Report of First Data Corporation (“First Data”, “we” “our” or “the company”)  has been prepared in accordance with Rule 13p-1 and Form SD (the Rule) promulgated under the Securities Exchange Act of 1934 for the reporting period January 1, 2015 through December 31, 2015.

 

Background

 

In 2010, the Dodd Frank Wall Street Reform and Consumer Protection Act (the Act) was enacted, predominately focused on financial regulatory reform.  Section 1502 of the Act specifically relates to Conflict Minerals, as implemented in accordance with Rule 13p-1 under the Securities and Exchange Act of 1934, and as promulgated by the Securities and Exchange Commission (SEC).  The Rule requires SEC registrants to make annual disclosures each calendar year, where Conflict Minerals are necessary to the functionality or production of a product manufactured by the SEC registrant, including if the products are contracted by the registrant to be manufactured on their behalf by suppliers or other third-parties.  Conflict Minerals covered by the Rule consist of gold, columboite-tantalite (coltan), cassiterite, and wolframite, including their derivatives consisting of tin, tungsten, and tantalum (collectively, Conflict Minerals).

 

Where the registrant determines that Conflict Minerals are necessary to the functionality or production of the product, the registrant is required to file Form SD with the SEC for the reporting calendar year, after conducting a good faith review, which includes a reasonable country of origin inquiry (RCOI).  The RCOI is reasonably designed to determine whether any Conflict Minerals originated in the Democratic Republic of Congo (DRC) or other adjoining countries as described within the Rule, (i.e. the Republic of Congo, the Central African Republic, South Sudan, Uganda, Rwanda, Burundi, Tanzania, Zambia and Angola) (collectively, Covered Countries) and not from recycled or scrap sources.  These countries have been identified as higher risk regions where armed groups engage in mining operations, committing human rights abuses of indigenous workers, and using the proceeds of Conflict Minerals mining to perpetuate conflict.  Industry associations including, the Organization for Economic Co-operation and Development (OECD), the Electronic Industry Citizenship Coalition (EICC) an the Global e-Sustainability Initiative (GeSI) promote programs and global awareness to address Conflict Minerals risks.

 

Upon completion of an RCOI, if the registrant knows or has reason to believe that Conflict Minerals may have originated from a Covered Country (and not from recycled or scrap sources), the registrant must conduct a due diligence review on the source and chain of custody of its Conflict Minerals, utilizing a nationally or internationally recognized framework.  The results of the due diligence review must be included as part of the annual Form SD reporting.  Reporting is also required where the registrant is unable to determine the country of origin of the  Conflict Minerals, and in such case, must describe the due diligence measures it has undertaken or will undertake regarding the source and chain of custody of the Conflict Minerals.

 

Based upon our good faith due diligence review, and limited ability to determine the origin and chain of custody of Conflict Minerals necessary to the functionality or production of our products by certain surveyed suppliers, we have filed this Conflict Minerals Report.  This Report is not audited, nor is an independent private sector audit required for this Report under current SEC guidance.

 

1.                                                   Company Overview

 

First Data is a global provider of electronic commerce and payment solutions for merchants, financial institutions, and card issuers. We offer clients a complete array of integrated solutions, covering needs across next-generation commerce technologies, merchant acquiring, issuing, and network solutions. The company

 



 

operates through three primary business segments: Global Business Solutions (GBS), Global Financial Solutions (GFS) and Network & Security Solutions (NSS).

 

·                  GBS — provides retail point-of-sale (POS) merchant acquiring and eCommerce services and well as next generation offerings such as mobile payment services, webstore-in-a-box solutions, and our Clover point-of-sale operating system.

 

·                  GFS — provides credit solutions for bank and non-bank issuers.  These include credit and retail private-label card processing within the U.S. and international markets.  GFS also provides financial clients with a suite of related services including card personalization and embossing, statement printing, remittance processing and other client services.

 

·                  NSS — provides a wide range of solutions to clients in both GBS and GFS business segments, and other enterprise clients.  Solutions include, electronic funds transfer (EFT), network solutions, such as STAR Networks debit processing solutions, and stored value network solutions, such as Money Network, ValueLink, Gyft, Transaction Wireless, and other products related to security and fraud protection solutions.

 

With respect to First Data’s products that contain Conflict Minerals, we are multiple levels removed from the originating source of the Conflict Minerals, which are obtained by our direct suppliers’ through their downstream supply-chains.  These supply-chains may include additional intermediary suppliers and/or distributors, smelters, refiners or mines.  First Data does not directly purchase Conflict Minerals from these underlying sources.  However, based upon an internal supplier due diligence review, we have determined that we contract to manufacture point-of-sale devices, and payment cards, including EMV chip enabled payment cards (collectively, “Covered Products”) that contain, or likely contain Conflict Minerals, and that such Conflict Minerals contained within those products are necessary for the functionality or production of the Covered Products.

 

2.                                                   Reasonable Country of Origin Inquiry

 

In accordance with the Rules, we conducted a good faith RCOI regarding the use of Conflict Minerals that was reasonably designed to determine whether any of the Conflict Minerals originated in the Covered Countries, and whether any of the Conflict Minerals may be from recycled or scrap sources. To conduct the RCOI, we: (1) identified product categories and parts in those categories that may contain Conflict Minerals; (2) identified our direct suppliers who manufactured or supplied those products or parts; (3) validated supplier information with our internal sourcing team; and (4) contacted each supplier and requested information on: (i) the Conflict Minerals that may be contained within the products and (ii) the source of the Conflict Minerals, including smelter/refinery information.

 

First Data does not have a direct relationship with downstream smelters and/or refiners within our direct suppliers’ supply-chain.  Accordingly, we rely on our direct suppliers to complete the Electronic Industry Citizenship Coalition Global e-Sustainability Initiative (EICC-GeSI) Conflict Minerals Reporting Template (CMRT). Based upon the structure of our supply-chain and the lack of direct access to sub-tier suppliers, we relied on our direct suppliers to provide information on the origin of the Conflict Minerals contained in products or parts purchased from them by conducting a supply-chain survey using the CMRT.

 

We received responses from most, but not all suppliers.  Additionally, some supplier responses were incomplete, or the supplier was unable to obtain complete responses from their downstream suppliers in order to verify the origin of Conflict Minerals.  In such instances, we communicated to these suppliers seeking additional information and requested that they use best efforts in obtaining information from downstream suppliers.  We continue to work with our suppliers to improve the quality and thoroughness of information received from survey responses.

 



 

Accordingly, Conflict Minerals are present in some Covered Products that may have originated in the Covered Countries that are not from scrap or recycled sources. As a result, in accordance with the Rules, we engaged in due diligence activities regarding the sources and chain of custody of the Conflict Minerals.

 

3.                                                   Due Diligence Process

 

Following our RCOI, we conducted a due diligence review intended to conform to the internationally recognized industry framework  based on the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas. As First Data does not purchase Conflict Minerals from mines, smelters or refiners, nor do we directly manufacture the Covered Products described in this Report, we must rely on our suppliers to provide information regarding the origin of the Conflict Minerals included in our Covered Products. Our due diligence measures are summarized below.

 

(a)                                              Establish Management Systems

 

First Data maintains a risk based management process to identify and address identified risks within the company’s supply-chain.  The process focuses on supplier transparency and informational responses to perform due diligence activities of suppliers engaged in product development involving Conflict Minerals.

 

The following is a description of company due diligence activities related to Management Systems:

 

·                  Leveraged industry Conflict Minerals frameworks and tools, including the CMRT and available CFS Program Smelter lists, as a means of performing due diligence of information provided to First Data by direct suppliers and downstream supply-chain smelters and refiners.

 

·                  Developed an internal Conflicts Mineral management team focused on First Data’s Conflict Minerals program development and due diligence efforts.  The team consists of representation from Global Strategic Sourcing, Business and Product Support functions, Compliance and Legal.

 

·                  Supported product identification and record keeping processes for products that may contain Conflict Minerals, including associated supporting information related to supplier contract spend of high tier suppliers.

 

·                  Established standard contract templates for suppliers which contain Conflict Mineral provisions for new product engagements.

 

·                  Coordinated with direct suppliers in reviewing Conflict Minerals supply-chain information, including supporting information with regard to smelters and refiners and continued open communication and dialogue with suppliers where further information on Conflict Mineral program enhancements and development may be necessary.

 

(b)                                              Identification and Assessment of Supply Chain Risks

 

First Data does not have a direct business relationship with smelters, refiners or mines, and therefore relies on direct suppliers to identify and provide relevant information on smelters or refiners in which they may have a direct relationship, or within their downstream supply-chain.  Identification and assessment of risk for any identified Conflict Minerals originating from Covered Countries was determined through the following due diligence activities:

 

·                  Utilizing the EICC-GeSI CMRT with each direct supplier of identified products, and collecting the standardized information and representations, statements and data from our suppliers relative to the presence, use, source and chain of custody of Conflict Minerals.

 



 

·                  Utilizing the EICC-GeSI’s Smelter Reference List, which is a compilation of names and locations of known smelters and refiners, to each supplier of identified products potentially containing Conflict Minerals.

 

·                  Requested additional information from suppliers where the CMRT informational responses required further detail and/or clarification for additional review.

 

·                  Comparing smelters identified in the reporting templates against the list of smelter facilities that have been identified as “conflict free” by the EICC-GeSI Conflict Free Sourcing (CFS) program (CFS List). The CFS program is a voluntary program whereby an independent third party evaluates smelter procurement activities to determine whether a smelter has sufficiently demonstrated that all materials processed by that smelter originated from sources that do not directly or indirectly finance or benefit armed groups in the Covered Countries.

 

(c)                                               Design and Implementation of Strategy to Respond to Identified Risks

 

Identified supplier risks related to Conflict Minerals are reported and escalated to a cross-disciplinary management team engaged in the company’s Conflict Minerals program for review and risk mitigation.  As necessary, identified risks are addressed with suppliers, such as, information regarding their Conflicts Mineral program and interaction with downstream smelters and refiners.  Supplier risks may include incomplete or inaccurate supply-chain information requiring further analysis and risk assessment review.

 

Supplier adoption and participation of CFSP standards are strongly encouraged, as well as, promulgating those standards by direct suppliers to downstream smelters and refiners in obtaining independent CFSI audit verification.

 

(d)                                              Independent Third-Party Audit of Smelter and Refiner’s Due Diligence Practices

 

First Data utilizes and relies on the CFSI RCOI Report for independent audit information related to smelters and/or refiners identified within our suppliers’ supply-chain.  Relevant information includes country of origin information and whether the smelter or refiner is identified with a “conflict free” status. Through our suppliers, First Data seeks to encourage downstream smelters or refiners to participate in the CFS independent audit program, where not already independently audited and participating.

 

(e)                                               Report Annually on Supply Chain Due Diligence

 

This 2015 Conflicts Mineral Report is available on First Data’s Corporate Governance public website at: www.firstdata.com, under “About First Data”, “Investor Relations”, “Corporate Governance”, “Conflicts Minerals Report”.

 

4.                                                   Due Diligence Results

 

Based upon information obtained from direct suppliers as part of the due diligence review process, most downstream smelters and refiners reported by our suppliers were identified on the Conflict Free Sourcing (CFS) List. However, certain supplier responses were determined to be incomplete, or included only a partial audit of the supplier’s downstream supply-chain for Conflict Minerals and Country of Origin due diligence.  In such instances, the supplier response was deemed inconclusive and we do not have sufficient information from the supplier or from other public sources to conclusively determine the Country of Origin or whether the Conflict Minerals were derived from recycled or scrap sources.

 

As a result, based on all available information provided by our suppliers and other external public sources, First Data is unable to currently determine the source of the Conflict Minerals included in Covered Products

 



 

by all suppliers.  However, where complete supplier information was provided during the due diligence process, in good faith, we believe the facilities utilized to process the Conflict Minerals in our Covered Products are the smelters and refiners listed in Annex I, and the Countries of Origin for the Conflict Minerals are listed in Annex II, in addition to recycled and scrap sources.

 

5.                                                   Steps for Continuous Due Diligence Improvement

 

We are continuing to develop and augment First Data’s Conflict Minerals Program, implementing the necessary policies, procedures, tools and risk management framework in accordance with the OECD Guidance.

 

The steps that First Data intends to take in reporting year 2016 to mitigate the risk that Conflict Minerals benefit or finance armed groups are as follows:

 

·                  Continuing engagement of suppliers who provide information relating to Conflict Minerals due diligence and obtaining the most complete and accurate information related to a supplier’s end-to-end supply-chain mapping.  In addition, encouraging supplier’s to commit to a full mapping of their supply-chain in cases where such mapping is incomplete or not verified.

 

·                  Continuing to utilize the EEIC-GeSI CMRT in pursuing completed template responses that identify Conflict Minerals to the source of the smelter and mine and as applicable, requesting that direct suppliers contact their supply-chain smelters that are not yet CFSP compliant in order to encourage full adoption of CFSI standards.

 

·                  Enhancing supplier transparency through improved monitoring, reporting and risk reviews, in alignment with First Data’s Conflicts Mineral Program.

 

·                  Collaborating with priority suppliers to:

 

·                  Communicate First Data’s expectation of conflict-free responsible sourcing

·                  Develop an end-to-end Conflict Minerals Program as outlined by OECD guidance

·                  Encourage adoption of industry best practices and standards and educating suppliers about First Data’s Conflict Minerals Program expectations

 

·                  Supporting supplier education, awareness and adoption of Conflict Minerals industry programs and tools, including the Conflict Free Sourcing Initiative (CFSI), Conflict Free Smelter Program (CFSP) and guidance on Conflicts Minerals standards and provided by the OECD.

 

6.                                      Additional Risk Factors

 

The statements above are based on the RCOI and due diligence performed in good faith. These statements are based on information collected by suppliers and other related third parties that may have been collected by the supplier(s) as part of the RCOI due diligence.  As a result, a number of factors may impact or otherwise affect First Data’s Conflict Minerals reporting.

 

These factors include, but are not limited to, incomplete supplier data, incomplete smelter data, errors or omissions by suppliers in responding to Conflict Minerals informational survey requests, suppliers or smelters within a direct supplier’s supply-chain that that have failed to provide information or have provided incomplete information, errors or omissions by smelters, errors in publicly available data, oversights or errors in conflict free smelter audits, DRC sourced materials being declared secondary materials, illegally tagged DRC conflict minerals being introduced into the supply-chain, companies no longer in a business relationship with First Data who have not provided Conflict Minerals information, certification programs not being equally advanced for all industry segments and metals, and smuggling of DRC conflict minerals to countries

 



 

beyond the scope of Covered Countries.

 

List of Smelters or Refiners (SOR)

 

Annex I below provides the listing of SORs used to process Conflict Minerals contained in this Report and the corresponding SOR country location.  The SORs identified in Annex I was obtained from the publically available CFSP website, and is based upon information used by the CFSI in reviewing SORs.

 

Annex II is a listing of the Country of Origin for the Conflict Minerals.

 



 

Annex I

 

Metal

 

Smelter Name

 

Smelter Country

Gold

 

Advanced Chemical Company

 

UNITED STATES

Gold

 

Aida Chemical Industries Co. Ltd.

 

JAPAN

Gold

 

Aktyubinsk Copper Company TOO

 

KAZAKHSTAN

Gold

 

Al Etihad Gold Refinery DMCC

 

UNITED ARAB EMIRATES

Gold

 

Allgemeine Gold-und Silberscheideanstalt A.G.

 

GERMANY

Gold

 

Almalyk Mining and Metallurgical Complex (AMMC)

 

UZBEKISTAN

Gold

 

AngloGold Ashanti Córrego do Sítio Minerção

 

BRAZIL

Gold

 

Argor-Heraeus SA

 

SWITZERLAND

Gold

 

Asahi Pretec Corporation

 

JAPAN

Gold

 

Asahi Refining Canada Limited

 

CANADA

Gold

 

Asahi Refining USA Inc.

 

UNITED STATES

Gold

 

Asaka Riken Co., Ltd.

 

JAPAN

Gold

 

ATAkulche

 

TURKEY

Gold

 

Atasay Kuyumculuk Sanayi Ve Ticaret A.S.

 

TURKEY

Gold

 

Aurubis AG

 

GERMANY

Gold

 

Bangko Sentral ng Pilipinas (Central Bank of the Philippines)

 

PHILIPPINES

Gold

 

Bauer Walser AG

 

GERMANY

Gold

 

Boliden AB

 

SWEDEN

Gold

 

C. Hafner GmbH + Co. KG

 

GERMANY

Gold

 

Caridad

 

MEXICO

Gold

 

CCR Refinery — Glencore Canada Corporation

 

CANADA

Gold

 

Cendres + Métaux SA

 

SWITZERLAND

Gold

 

Central Bank of the Philippines Gold Refinery & Mint

 

PHILIPPINES

Gold

 

Chimet S.p.A.

 

ITALY

Gold

 

Chugai Mining

 

JAPAN

Gold

 

Codelco

 

CHILE

Gold

 

Daejin Indus Co., Ltd.

 

KOREA, REPUBLIC OF

Gold

 

Daye Non-Ferrous Metals Mining Ltd.

 

CHINA

Gold

 

Do Sung Corporation

 

KOREA, REPUBLIC OF

Gold

 

DODUCO GmbH

 

GERMANY

Gold

 

Dowa

 

JAPAN

Gold

 

DSC (Do Sung Corporation)

 

KOREA, REPUBLIC OF

Gold

 

Eco-System Recycling Co., Ltd.

 

JAPAN

Gold

 

Ekaterinburg

 

RUSSIAN FEDERATION

Gold

 

Elemetal Refining, LLC

 

UNITED STATES

Gold

 

Emirates Gold DMCC

 

UNITED ARAB EMIRATES

Gold

 

FAGGI ENRICO SPA

 

ITALY

Gold

 

Fidelity Printers and Refiners Ltd.

 

ZIMBABWE

Gold

 

FSE Novosibirsk Refinery

 

RUSSIAN FEDERATION

 



 

Gold

 

Gansu Seemine Material Hi-Tech Co., Ltd.

 

CHINA

Gold

 

Geib Refining Corporation

 

UNITED STATES

Gold

 

Great Wall Gold & Silver Refinery

 

CHINA

Gold

 

Great Wall Precious Metals Co., Ltd. of CBPM

 

CHINA

Gold

 

Guangdong Jinding Gold Limited

 

CHINA

Gold

 

GuangZHou Jin Ding

 

CHINA

Gold

 

Guoda Safina High-Tech Environmental Refinery Co., Ltd.

 

CHINA

Gold

 

Hangzhou Fuchunjiang Smelting Co., Ltd.

 

CHINA

Gold

 

Heimerle + Meule GmbH

 

GERMANY

Gold

 

Heraeus Germany,Heraeus Hanau,Heraeus Materials Technology GMBH&CO.KG,W.C. Heraeus GmbH

 

GERMANY

Gold

 

Heraeus Ltd. Hong Kong

 

CHINA

Gold

 

Heraeus Precious Metals GmbH & Co. KG

 

GERMANY

Gold

 

Hunan Chenzhou Mining Group Co., Ltd.

 

CHINA

Gold

 

Hwasung CJ Co., Ltd.

 

KOREA, REPUBLIC OF

Gold

 

Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited

 

CHINA

Gold

 

Ishifuku Metal Industry Co., Ltd.

 

JAPAN

Gold

 

Istanbul Gold Refinery

 

TURKEY

Gold

 

Japan Mint

 

JAPAN

Gold

 

Japanese Mint Osaka

 

JAPAN

Gold

 

Jiangxi Copper Company Limited

 

CHINA

Gold

 

Johnson Matthey Inc

 

UNITED STATES

Gold

 

Johnson Matthey Ltd

 

CANADA

Gold

 

JSC Ekaterinburg Non-Ferrous Metal Processing Plant

 

RUSSIAN FEDERATION

Gold

 

JSC Uralelectromed

 

RUSSIAN FEDERATION

Gold

 

JX Nippon Mining & Metals Co., Ltd.

 

JAPAN

Gold

 

Kaloti Precious Metals

 

UNITED ARAB EMIRATES

Gold

 

Kazakhmys Smelting LLC

 

KAZAKHSTAN

Gold

 

Kazzinc Ltd

 

KAZAKHSTAN

Gold

 

Kennecott Utah Copper LLC

 

UNITED STATES

Gold

 

KGHM Polska Miedź Spółka Akcyjna

 

POLAND

Gold

 

Kojima Chemicals Co., Ltd.

 

JAPAN

Gold

 

Korea Metal Co., Ltd.

 

KOREA, REPUBLIC OF

Gold

 

Korea Zinc Co. Ltd.

 

KOREA, REPUBLIC OF

Gold

 

Kyrgyzaltyn JSC

 

KYRGYZSTAN

Gold

 

L’ azurde Company For Jewelry

 

SAUDI ARABIA

Gold

 

Lingbao Gold Company Limited

 

CHINA

Gold

 

Lingbao Jinyuan Tonghui Refinery Co., Ltd.

 

CHINA

Gold

 

LS-NIKKO Copper Inc.

 

KOREA, REPUBLIC OF

Gold

 

Luoyang Zijin Yinhui Gold Refinery Co., Ltd.

 

CHINA

Gold

 

Materion

 

UNITED STATES

Gold

 

Matsuda Sangyo Co., Ltd.

 

JAPAN

 



 

Gold

 

Metahub Industries Sdn. Bhd.

 

MALAYSIA

Gold

 

Metalor Technologies (Hong Kong) Ltd

 

HONG KONG

Gold

 

Metalor Technologies (Hong Kong) Ltd.

 

CHINA

Gold

 

Metalor Technologies (Singapore) Pte. Ltd.

 

SINGAPORE

Gold

 

Metalor Technologies (Suzhou) Ltd.

 

CHINA

Gold

 

Metalor Technologies SA

 

SWITZERLAND

Gold

 

Metalor USA Refining Corporation

 

UNITED STATES

Gold

 

METALÚRGICA MET-MEX PEÑOLES, S.A. DE C.V

 

MEXICO

Gold

 

Mitsubishi Materials Corporation

 

JAPAN

Gold

 

Mitsui Mining and Smelting Co., Ltd.

 

JAPAN

Gold

 

MMTC-PAMP India Pvt., Ltd.

 

INDIA

Gold

 

Morris and Watson

 

NEW ZEALAND

Gold

 

Moscow Special Alloys Processing Plant

 

RUSSIAN FEDERATION

Gold

 

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

 

TURKEY

Gold

 

Navoi Mining and Metallurgical Combinat

 

UZBEKISTAN

Gold

 

Nihon Material Co., Ltd.

 

JAPAN

Gold

 

Novosibirsk

 

RUSSIAN FEDERATION

Gold

 

Oberthur

 

SINGAPORE

Gold

 

Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH

 

AUSTRIA

Gold

 

Ohio Precious Metals, LLC

 

UNITED STATES

Gold

 

Ohura Precious Metal Industry Co., Ltd.

 

JAPAN

Gold

 

OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)

 

RUSSIAN FEDERATION

Gold

 

OJSC Kolyma Refinery

 

RUSSIAN FEDERATION

Gold

 

OJSC Novosibirsk Refinery

 

RUSSIAN FEDERATION

Gold

 

PAMP SA

 

SWITZERLAND

Gold

 

Pan Pacific Copper Co

 

JAPAN

Gold

 

Penglai Penggang Gold Industry Co., Ltd.

 

CHINA

Gold

 

Prioksky Plant of Non-Ferrous Metals

 

RUSSIAN FEDERATION

Gold

 

PT Aneka Tambang (Persero) Tbk

 

INDONESIA

Gold

 

PX Précinox SA

 

SWITZERLAND

Gold

 

Qiankun Gold and Silver

 

CHINA

Gold

 

Rand Refinery (Pty) Ltd

 

SOUTH AFRICA

Gold

 

Republic Metals Corporation

 

UNITED STATES

Gold

 

Royal Canadian Mint

 

CANADA

Gold

 

SAAMP

 

FRANCE

Gold

 

Sabin Metal Corp.

 

UNITED STATES

Gold

 

Samduck Precious Metals

 

KOREA, REPUBLIC OF

Gold

 

SAMWON METALS Corp.

 

KOREA, REPUBLIC OF

Gold

 

SAXONIA Edelmetalle GmbH

 

GERMANY

Gold

 

Schone Edelmetaal B.V.

 

NETHERLANDS

Gold

 

SEMPSA Joyería Platería SA

 

SPAIN

Gold

 

Shandong Gold Mining (Laizhou),China’s Shangdong Gold

 

CHINA

 



 

 

 

Mining Co.,Ltd

 

 

Gold

 

Shandong Tiancheng Biological Gold Industrial Co., Ltd.

 

CHINA

Gold

 

Shandong Zhaojin Gold & Silver Refinery Co., Ltd.

 

CHINA

Gold

 

Shyolkovsky

 

RUSSIAN FEDERATION

Gold

 

Sichuan Tianze Precious Metals Co., Ltd.

 

CHINA

Gold

 

Singway Technology Co., Ltd.

 

TAIWAN

Gold

 

So Accurate Group, Inc.

 

UNITED STATES

Gold

 

SOE Shyolkovsky Factory of Secondary Precious Metals

 

RUSSIAN FEDERATION

Gold

 

Solar Applied Materials Technology Corp.

 

TAIWAN

Gold

 

Sudan Gold Refinery

 

SUDAN

Gold

 

Sumitomo Metal Mining Co., Ltd.

 

JAPAN

Gold

 

T.C.A S.p.A

 

ITALY

Gold

 

Tanaka Kikinzoku Kogyo K.K.

 

JAPAN

Gold

 

The Great Wall Gold and Silver Refinery of China

 

CHINA

Gold

 

The Refinery of Shandong Gold Mining Co., Ltd.

 

CHINA

Gold

 

Tokuriki Honten Co., Ltd

 

JAPAN

Gold

 

Tokuriki Honten Co., Ltd.

 

JAPAN

Gold

 

Tongling Nonferrous Metals Group Co., Ltd.

 

CHINA

Gold

 

Tony Goetz NV

 

BELGIUM

Gold

 

Torecom

 

KOREA, REPUBLIC OF

Gold

 

Umicore Brasil Ltda

 

BRAZIL

Gold

 

Umicore Feingold

 

NETHERLANDS

Gold

 

Umicore Hoboken,Umicore Beligium,Umicore SA,Umicore Precious Metals Refining

 

BELGIUM

Gold

 

Umicore Precious Metals Thailand

 

THAILAND

Gold

 

Umicore SA Business Unit Precious Metals Refining

 

BELGIUM

Gold

 

United Precious Metal Refining, Inc.

 

UNITED STATES

Gold

 

Valcambi SA

 

SWITZERLAND

Gold

 

Western Australian Mint trading as The Perth Mint

 

AUSTRALIA

Gold

 

WIELAND Edelmetalle GmbH

 

GERMANY

Gold

 

Xstrata Canada Corporation

 

CANADA

Gold

 

YAMAMOTO PRECIOUS METAL CO., LTD.

 

JAPAN

Gold

 

Yokohama Metal Co., Ltd.

 

JAPAN

Gold

 

Yunnan Copper Industry Co., Ltd.

 

CHINA

Gold

 

Zhongjin Gold Corporation Limited

 

CHINA

Gold

 

Zhongyuan Gold Smelter of Zhongjin Gold Corporation

 

CHINA

Gold

 

Zijin Mining Group Co., Ltd. Gold Refinery

 

CHINA

Tantalum

 

Avon Specialty Metals Ltd

 

UNITED KINGDOM

Tantalum

 

Changsha South Tantalum Niobium Co., Ltd.

 

CHINA

Tantalum

 

CIF

 

BRAZIL

Tantalum

 

Conghua Tantalum and Niobium Smeltry

 

CHINA

Tantalum

 

D Block Metals, LLC

 

UNITED STATES

Tantalum

 

Duoluoshan Sapphire Rare Metal Co. Ltd

 

CHINA

 



 

Tantalum

 

E.S.R. Electronics

 

UNITED STATES

Tantalum

 

Exotech Inc.

 

UNITED STATES

Tantalum

 

F&X Electro-Materials Ltd.

 

CHINA

Tantalum

 

FIR Metals & Resource Ltd.

 

CHINA

Tantalum

 

Gannon & Scott

 

UNITED STATES

Tantalum

 

Global Advanced Metals

 

UNITED STATES

Tantalum

 

Global Advanced Metals Aizu

 

JAPAN

Tantalum

 

Global Advanced Metals Boyertown

 

UNITED STATES

Tantalum

 

Guangdong Zhiyuan New Material Co., Ltd.

 

CHINA

Tantalum

 

Guizhou Zhenhua Xinyun Technology Ltd., Kaili branch

 

CHINA

Tantalum

 

H.C. Starck Co., Ltd.

 

THAILAND

Tantalum

 

H.C. Starck GmbH Goslar

 

GERMANY

Tantalum

 

H.C. Starck GmbH Laufenburg

 

GERMANY

Tantalum

 

H.C. Starck Hermsdorf GmbH

 

GERMANY

Tantalum

 

H.C. Starck Inc.

 

UNITED STATES

Tantalum

 

H.C. Starck Ltd.

 

JAPAN

Tantalum

 

H.C. Starck Smelting GmbH & Co.KG

 

GERMANY

Tantalum

 

Hengyang King Xing Lifeng New Materials Co., Ltd.

 

CHINA

Tantalum

 

Hi-Temp Specialty Metals, Inc.

 

UNITED STATES

Tantalum

 

Jiangxi Dinghai Tantalum & Niobium Co., Ltd.

 

CHINA

Tantalum

 

Jiangxi Tuohong New Raw Material

 

CHINA

Tantalum

 

JiuJiang JinXin Nonferrous Metals Co., Ltd.

 

CHINA

Tantalum

 

Jiujiang Tanbre Co., Ltd.

 

CHINA

Tantalum

 

Jiujiang Zhongao Tantalum & Niobium Co., Ltd.

 

CHINA

Tantalum

 

KEMET Blue Metals

 

MEXICO

Tantalum

 

KEMET Blue Powder

 

UNITED STATES

Tantalum

 

King-Tan Tantalum Industry Ltd

 

CHINA

Tantalum

 

LSM Brasil S.A.

 

BRAZIL

Tantalum

 

Metallurgical Products India Pvt., Ltd.

 

INDIA

Tantalum

 

Mineração Taboca S.A.

 

BRAZIL

Tantalum

 

Mitsui Mining & Smelting

 

JAPAN

Tantalum

 

Molycorp Silmet A.S.

 

ESTONIA

Tantalum

 

Ningxia Orient Tantalum Industry Co., Ltd.

 

CHINA

Tantalum

 

Niotan

 

UNITED STATES

Tantalum

 

Plansee SE Liezen

 

AUSTRIA

Tantalum

 

Plansee SE Reutte

 

AUSTRIA

Tantalum

 

QuantumClean

 

UNITED STATES

Tantalum

 

Resind Indústria e Comércio Ltda.

 

BRAZIL

Tantalum

 

RFH Tantalum Smeltry Co., Ltd.

 

CHINA

Tantalum

 

Shanghai Jiangxi Metals Co. Ltd

 

CHINA

Tantalum

 

Solikamsk Magnesium Works OAO

 

RUSSIAN FEDERATION

Tantalum

 

Taki Chemical Co., Ltd.

 

JAPAN

 



 

Tantalum

 

Tantalite Resources

 

SOUTH AFRICA

Tantalum

 

Telex Metals

 

UNITED STATES

Tantalum

 

Tranzact, Inc.

 

UNITED STATES

Tantalum

 

Ulba Metallurgical Plant JSC

 

KAZAKHSTAN

Tantalum

 

XinXing HaoRong Electronic Material Co., Ltd.

 

CHINA

Tantalum

 

Yichun Jin Yang Rare Metal Co., Ltd

 

CHINA

Tantalum

 

Zhuzhou,Zhuzhou Cemented Carbide Works Import and Export Co.

 

CHINA

Tin

 

Alpha

 

UNITED STATES

Tin

 

Alpha Metals Taiwan

 

UNITED STATES

Tin

 

An Thai Minerals Company Limited

 

VIETNAM

Tin

 

An Vinh Joint Stock Mineral Processing Company

 

VIETNAM

Tin

 

CFC Cooperativa dos Fundidores de Cassiterita da Amaznia Ltda.

 

BRAZIL

Tin

 

Chenzhou Yunxiang Mining and Metallurgy Company Limited

 

CHINA

Tin

 

China Rare Metal Materials Company

 

CHINA

Tin

 

China Tin Group Co., Ltd.

 

CHINA

Tin

 

CNMC (Guangxi) PGMA Co., Ltd.

 

CHINA

Tin

 

CNMC(GUANGXI)PGMA Smelting Plant,Guangxi Pinggui PGMA Co. Ltd.

 

CHINA

Tin

 

Cooperativa Metalurgica de Rondônia Ltda.

 

BRAZIL

Tin

 

CV Ayi Jaya

 

INDONESIA

Tin

 

CV Dua Sekawan

 

INDONESIA

Tin

 

CV Gita Pesona

 

INDONESIA

Tin

 

CV JusTindo

 

INDONESIA

Tin

 

CV Makmur Jaya

 

INDONESIA

Tin

 

CV Nurjanah

 

INDONESIA

Tin

 

CV Prima Timah Utama

 

INDONESIA

Tin

 

CV Serumpun Sebalai

 

INDONESIA

Tin

 

CV Tiga Sekawan

 

INDONESIA

Tin

 

CV United Smelting

 

INDONESIA

Tin

 

CV Venus Inti Perkasa

 

INDONESIA

Tin

 

Dowa

 

JAPAN

Tin

 

Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company

 

VIETNAM

Tin

 

Elmet S.L.U. (Metallo Group)

 

SPAIN

Tin

 

EM Vinto

 

BOLIVIA

Tin

 

Estanho de Rondônia S.A.

 

BRAZIL

Tin

 

Feinhütte Halsbrücke GmbH

 

GERMANY

Tin

 

Fenix Metals

 

POLAND

Tin

 

Funsur,Minsur Mines,Funsur Smelter,Minsur S.A. Tin Metal

 

PERU

Tin

 

Gejiu Fengming Metalurgy Chemical Plant

 

CHINA

Tin

 

Gejiu Kai Meng Industry and Trade LLC

 

CHINA

Tin

 

Gejiu Non-Ferrous Metal Processing Co., Ltd.

 

CHINA

 



 

Tin

 

Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.

 

CHINA

Tin

 

Gejiu Zili Mining And Metallurgy Co., Ltd.

 

CHINA

Tin

 

Guangxi Zhongshan Gold Bell Smelting Corp.Ltd

 

CHINA

Tin

 

Guanyang Guida Nonferrous Metal Smelting Plant

 

CHINA

Tin

 

HuiChang Hill Tin Industry Co., Ltd.

 

CHINA

Tin

 

Huichang Jinshunda Tin Co., Ltd.

 

CHINA

Tin

 

Jiangxi Ketai Advanced Material Co., Ltd.

 

CHINA

Tin

 

Koba Tin

 

Indonesia

Tin

 

Linwu Xianggui Ore Smelting Co., Ltd.

 

CHINA

Tin

 

Liuzhou China Tin

 

CHINA

Tin

 

Magnu’s Minerais Metais e Ligas Ltda.

 

BRAZIL

Tin

 

Malaysia Smelting Corporation (MSC)

 

MALAYSIA

Tin

 

Melt Metais e Ligas S/A

 

BRAZIL

Tin

 

Metahub Industries Sdn. Bhd.

 

MALAYSIA

Tin

 

Metallic Resources, Inc.

 

UNITED STATES

Tin

 

Metallo Chimique

 

BELGIUM

Tin

 

Metallo-Chimique N.V.

 

BELGIUM

Tin

 

Mineração Taboca S.A.

 

BRAZIL

Tin

 

Minmetals Ganzhou Tin Co. Ltd.

 

CHINA

Tin

 

Minsur

 

PERU

Tin

 

Mitsubishi Materials Corporation

 

JAPAN

Tin

 

Nankang Nanshan Tin Manufactory Co., Ltd.

 

CHINA

Tin

 

Nghe Tinh Non-Ferrous Metals Joint Stock Company

 

VIETNAM

Tin

 

Novosibirsk Integrated Tin Works

 

RUSSIAN FEDERATION

Tin

 

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

 

THAILAND

Tin

 

O.M. Manufacturing Philippines, Inc.

 

PHILIPPINES

Tin

 

OMSA

 

BOLIVIA

Tin

 

Operaciones Metalurgical S.A.

 

BOLIVIA

Tin

 

Phoenix Metal Ltd.

 

RWANDA

Tin

 

PT Alam Lestari Kencana

 

INDONESIA

Tin

 

PT Aries Kencana Sejahtera

 

INDONESIA

Tin

 

PT Artha Cipta Langgeng

 

INDONESIA

Tin

 

PT ATD Makmur Mandiri Jaya

 

INDONESIA

Tin

 

PT Babel Inti Perkasa

 

INDONESIA

Tin

 

PT Babel Surya Alam Lestari

 

INDONESIA

Tin

 

PT Bangka Kudai Tin

 

INDONESIA

Tin

 

PT Bangka Prima Tin

 

INDONESIA

Tin

 

PT Bangka Putra Karya

 

INDONESIA

Tin

 

PT Bangka Timah Utama Sejahtera

 

INDONESIA

Tin

 

PT Bangka Tin Industry

 

INDONESIA

Tin

 

PT Belitung Industri Sejahtera

 

INDONESIA

Tin

 

PT Bellitin Makmur Lestari,BML

 

INDONESIA

 



 

Tin

 

PT BilliTin Makmur Lestari

 

INDONESIA

Tin

 

PT Bukit Timah

 

INDONESIA

Tin

 

PT Cipta Persada Mulia

 

INDONESIA

Tin

 

PT DS Jaya Abadi

 

INDONESIA

Tin

 

PT Eunindo Usaha Mandiri

 

INDONESIA

Tin

 

PT Fang Di MulTindo

 

INDONESIA

Tin

 

PT HP Metals Indonesia

 

INDONESIA

Tin

 

PT Inti Stania Prima

 

INDONESIA

Tin

 

PT Justindo

 

INDONESIA

Tin

 

PT Karimun Mining

 

INDONESIA

Tin

 

PT Kijang Jaya Mandiri

 

INDONESIA

Tin

 

PT Koba Tin

 

INDONESIA

Tin

 

PT Mitra Stania Prima

 

INDONESIA

Tin

 

PT Panca Mega Persada

 

INDONESIA

Tin

 

PT Pelat Timah Nusantara Tbk

 

INDONESIA

Tin

 

PT Prima Timah Utama

 

INDONESIA

Tin

 

PT REFINED BANGKA TIN

 

INDONESIA

Tin

 

PT Sariwiguna Binasentosa

 

INDONESIA

Tin

 

PT Seirama Tin investment

 

INDONESIA

Tin

 

PT Stanindo Inti Perkasa

 

INDONESIA

Tin

 

PT Sukses Inti Makmur

 

INDONESIA

Tin

 

PT Sumber Jaya Indah

 

INDONESIA

Tin

 

PT Tambang Timah

 

INDONESIA

Tin

 

PT Timah

 

INDONESIA

Tin

 

PT Timah (Persero) Tbk Kundur

 

INDONESIA

Tin

 

PT Timah (Persero) Tbk Mentok

 

INDONESIA

Tin

 

PT Tinindo Inter Nusa

 

INDONESIA

Tin

 

PT Tirus Putra Mandiri

 

INDONESIA

Tin

 

PT Tommy Utama

 

INDONESIA

Tin

 

PT Wahana Perkit Jaya

 

INDONESIA

Tin

 

PT Yinchendo Mining Industry

 

INDONESIA

Tin

 

Resind Indústria e Comércio Ltda.

 

BRAZIL

Tin

 

Rui Da Hung

 

TAIWAN

Tin

 

Soft Metais, Ltda.

 

BRAZIL

Tin

 

Thailand Smelting and Refining Co Ltd

 

THAILAND

Tin

 

Thaisarco

 

THAILAND

Tin

 

Tuyen Quang Non-Ferrous Metals Joint Stock Company

 

VIET NAM

Tin

 

VQB Mineral and Trading Group JSC

 

VIET NAM

Tin

 

White Solder Metalurgia e Mineração Ltda.

 

BRAZIL

Tin

 

Yunnan Chengfeng Non-ferrous Metals Co.,Ltd.

 

CHINA

Tin

 

Yunnan Tin Company Limited

 

CHINA

Tin

 

Yunnan Tin Group (Holding) Company Limited

 

CHINA

 



 

Tungsten

 

A.L.M.T. TUNGSTEN Corp.

 

JAPAN

Tungsten

 

ACL Metais Eireli

 

BRAZIL

Tungsten

 

Alldyne Powder Technologies (ATI Firth Sterling)

 

UNITED STATES

Tungsten

 

Allied Material, Allied Material Corporation (A.L.M.T)

 

JAPAN

Tungsten

 

Asia Tungsten Products Vietnam Ltd.

 

VIET NAM

Tungsten

 

Buffalo Tungsten

 

CHINA

Tungsten

 

Chaozhou Xianglu Tungsten Industry Co Ltd

 

CHINA

Tungsten

 

Chenzhou Diamond Tungsten Products Co., Ltd.

 

CHINA

Tungsten

 

Chenzhou,Chenzhou Mining Group

 

CHINA

Tungsten

 

China Minmetals Corp,CMN,Minmetals,China Minmetals,Gan Bei Tungsten Industry Co. Ltd.

 

CHINA

Tungsten

 

China National Non-ferrous

 

CHINA

Tungsten

 

Chongyi Zhangyuan Tungsten Co., Ltd.

 

CHINA

Tungsten

 

Dayu Jincheng Tungsten Industry Co., Ltd.

 

CHINA

Tungsten

 

Dayu Weiliang Tungsten Co., Ltd.

 

CHINA

Tungsten

 

Fujian Jinxin Tungsten Co., Ltd.

 

CHINA

Tungsten

 

Ganxian Shirui New Material Co., Ltd.

 

CHINA

Tungsten

 

Ganzhou Grand Sea W & Mo Group Co Ltd

 

CHINA

Tungsten

 

Ganzhou Hongfei Tungsten & Molybdenum Materials Co., Ltd.

 

CHINA

Tungsten

 

Ganzhou Huaxing Tungsten Products Co., Ltd.

 

CHINA

Tungsten

 

Ganzhou Jiangwu Ferrotungsten Co., Ltd.

 

CHINA

Tungsten

 

Ganzhou Non-ferrous Metals Smelting Co., Ltd.

 

CHINA

Tungsten

 

Ganzhou Seadragon W & Mo Co., Ltd.

 

CHINA

Tungsten

 

Ganzhou Yatai Tungsten Co., Ltd.

 

CHINA

Tungsten

 

Global Tungsten & Powders Corp.

 

UNITED STATES

Tungsten

 

Golden Egret

 

CHINA

Tungsten

 

Guangdong Xianglu Tungsten Co., Ltd.

 

CHINA

Tungsten

 

H.C. Starck GmbH

 

GERMANY

Tungsten

 

H.C. Starck Smelting GmbH & Co.KG

 

GERMANY

Tungsten

 

Hunan Chenzhou Mining Group Co., Ltd.

 

CHINA

Tungsten

 

Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji

 

CHINA

Tungsten

 

Hunan Chuangda Vanadium Tungsten Co., Ltd. Yanglin

 

CHINA

Tungsten

 

Hunan Chunchang Nonferrous Metals Co., Ltd.

 

CHINA

Tungsten

 

Hunan Chun-chang Non-ferrous Smelting & Concentrating Co., Ltd.

 

CHINA

Tungsten

 

Hydrometallurg, JSC

 

RUSSIAN FEDERATION

Tungsten

 

Jada Electronic limited (JX Nippon Mining&Matel Co., Ltd)

 

JAPAN

Tungsten

 

Japan New Metals Co., Ltd.

 

JAPAN

Tungsten

 

Jiangwu H.C. Starck Tungsten Products Co., Ltd.

 

CHINA

Tungsten

 

Jiangxi Dayu Longxintai Tungsten Co., Ltd.

 

CHINA

Tungsten

 

Jiangxi Gan Bei Tungsten Co., Ltd.

 

CHINA

Tungsten

 

Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.

 

CHINA

Tungsten

 

Jiangxi Rare Earth & Rare Metals Tungsten Group

 

CHINA

 



 

Tungsten

 

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

 

CHINA

Tungsten

 

Jiangxi Tungsten Industry Group Co. Ltd.

 

CHINA

Tungsten

 

Jiangxi Xinsheng Tungsten Industry Co., Ltd.

 

CHINA

Tungsten

 

Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.

 

CHINA

Tungsten

 

Jiangxi Yaosheng Tungsten Co., Ltd.

 

CHINA

Tungsten

 

Kennametal Fallon

 

UNITED STATES

Tungsten

 

Kennametal Huntsville

 

UNITED STATES

Tungsten

 

Kennametal Inc.

 

UNITED STATES

Tungsten

 

Malipo Haiyu Tungsten Co., Ltd.

 

CHINA

Tungsten

 

Meterion Advanced Materials Thin Film Products

 

UNITED STATES

Tungsten

 

Midwest Tungsten Wire Co.

 

UNITED STATES

Tungsten

 

Moliren Ltd

 

RUSSIAN FEDERATION

Tungsten

 

Niagara Refining LLC

 

UNITED STATES

Tungsten

 

NingHua XingLuoKeng TungSten Mining CO.,LID

 

CHINA

Tungsten

 

NIPPON TUNGSTEN CO.,LTD.

 

JAPAN

Tungsten

 

North American Tungsten

 

CANADA

Tungsten

 

Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC

 

VIET NAM

Tungsten

 

Philippine Chuangin Industrial Co., Inc.

 

PHILIPPINES

Tungsten

 

Pobedit, JSC

 

RUSSIAN FEDERATION

Tungsten

 

Sanher Tungsten Vietnam Co., Ltd.

 

VIETNAM

Tungsten

 

Sincemat Co, Ltd

 

CHINA

Tungsten

 

South-East Nonferrous Metal Company Limited of Hengyang City

 

CHINA

Tungsten

 

Tejing (Vietnam) Tungsten Co., Ltd.

 

VIETNAM

Tungsten

 

Triumph Northwest

 

UNITED STATES

Tungsten

 

Vietnam Youngsun Tungsten Industry Co., Ltd.

 

VIETNAM

Tungsten

 

Wolfram Bergbau und Hütten AG

 

AUSTRIA

Tungsten

 

Wolfram Company CJSC

 

RUSSIAN FEDERATION

Tungsten

 

Woltech Korea Co., Ltd.

 

KOREA, REPUBLIC OF

Tungsten

 

Wort Wayne Wire Die

 

UNITED STATES

Tungsten

 

Xiamen Tungsten (H.C.) Co., Ltd.

 

CHINA

Tungsten

 

Xiamen Tungsten Co., Ltd.

 

CHINA

Tungsten

 

Xianglu Tungsten Industry Co., Ltd.

 

CHINA

Tungsten

 

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

 

CHINA

Tungsten

 

Xinhai Rendan Shaoguan Tungsten Co., Ltd.

 

CHINA

Tungsten

 

Zhangyuan Tungsten Co Ltd

 

CHINA

Tungsten

 

Zhuzhou Cemented Carbide Group Co Ltd

 

CHINA

 



 

Annex II

 

AUSTRALIA

AUSTRIA

BELGIUM

BOLIVIA

BRAZIL

CANADA

CHILE

CHINA

ESTONIA

FRANCE

GERMANY

HONG KONG

INDIA

INDONESIA

ITALY

JAPAN

KAZAKHSTAN

KOREA, REPUBLIC OF

KYRGYZSTAN

MALAYSIA

MEXICO

NETHERLANDS

NEW ZEALAND

PERU

PHILIPPINES

POLAND

RUSSIAN FEDERATION

RWANDA

SAUDI ARABIA

SINGAPORE

SOUTH AFRICA

SPAIN

SUDAN

SWEDEN

SWITZERLAND

TAIWAN

THAILAND

TURKEY

UNITED ARAB EMIRATES

UNITED KINGDOM

UNITED STATES

UZBEKISTAN

VIETNAM

ZIMBABWE