UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM SD
SPECIALIZED DISCLOSURE REPORT
SMTC CORPORATION
(Exact name of registrant as specified in its charter)
Delaware |
0-31051 |
98-0197680 |
(State or other jurisdiction of in or organization) |
(Commission File Number) |
(I.R.S Employer Identification No.) |
7050 Woodbine Avenue, Suite 300
Markham, Ontario, Canada L3R 4G8
(Address of principal executive offices)
Eddie Smith
(905) 479-1810
(Name and telephone number, including area code,
of the person to contact in connection with this report)
Check the appropriate box to indicate the rule pursuant to which this form is being filed, and provide the period to which the information in this form applies:
☒ Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1, 2016 to December 31, 2016.
Section 1 – Conflict Minerals Disclosure
Item 1.01 Conflict Minerals Disclosure and Report
Conflict Minerals Disclosure
This Form SD of SMTC is filed pursuant to Rule 13p-1 promulgated under the Securities Exchange Act of 1934, as amended, for the reporting period January 1, 2016 to December 31, 2016.
A copy of SMTC’s Conflict Minerals Report is provided as Exhibit 1.01 to this Form SD, and is publicly available on its website at www.smtc.com under the “About SMTC” heading then click on “Corporate Social Responsibility”.
Item 1.02 – Exhibit
As specified in this Form SD, SMTC is hereby filing its Conflict Minerals Report as Exhibit 1.01.
Section 2 – Exhibits
Item 2.01 Exhibits
Exhibit 1.01 – Conflict Minerals Report as required by Items 1.01 and 1.02 of Form SD.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the duly authorized undersigned.
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Dated: May 31, 2017 |
SMTC |
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By: |
/s/ Eddie Smith |
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Eddie Smith |
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President and Chief Executive Officer |
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Exhibit 1.01
SMTC Corporation
Conflict Minerals Report
For The Reporting Period January 1 to December 31, 2016
This Conflict Minerals Report (“CMR”) has been prepared by SMTC Corporation (herein referred to, alternatively, as “SMTC,” “we”, “us” and “our”). This CMR for the reporting period January 1 to December 31, 2016 is presented to comply with the final conflict minerals implementing rules (“Final Rules”) promulgated by the Securities and Exchange Commission (“SEC”), as modified by subsequent SEC guidance. The Final Rules were adopted by the 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 as codified in Section 13(p) of the Securities Exchange Act of 1934, as amended. The Final Rules impose reporting obligations on SEC registrants whose manufactured products contain conflict minerals that are necessary to the functionality or production of their products. “Conflict minerals” are currently defined by the SEC as cassiterite, columbite-tantalite (coltan), gold, wolframite, or their derivatives, which the SEC has currently limited to tin, tantalum, tungsten and gold.
To comply with the Final Rules, we conducted due diligence on the origin, source and chain of custody of the conflict minerals that were necessary to the functionality or production of the products that we manufactured or contracted to manufacture the (“Covered Products”) to ascertain whether these conflict minerals originated in the Democratic Republic of Congo or an adjoining country (collectively, “Covered Countries”) and financed or benefited armed groups (as defined in Section 1, Item 1.01(d)(2) of Form SD) in any of these countries and whether any of the conflict minerals may be from recycled or scrap sources.
Pursuant to SEC guidance, SMTC is not required to describe any of its Covered Products as “DRC conflict free”, “DRC conflict undeterminable” or “having not been found to be ‘DRC conflict free’” (as each such term is defined in Item 1.01(d) of Form SD), and therefore makes no conclusion in this regard in this CMR. Furthermore, given that SMTC has not voluntarily elected to describe any of its Covered Products as “DRC conflict free,” an independent private sector audit of the report presented herein has not been conducted.
I. |
Company Overview |
SMTC is a provider of end-to-end electronics manufacturing services (“EMS”), including product design and sustaining engineering services, printed circuit board assembly (“PCBA”), production, enclosure and precision metal fabrication, systems integration and comprehensive testing services, configuration to order (“CTO”), build to order (“BTO”) and direct order fulfillment (“DOF”). SMTC has facilities in the United States, Canada, Mexico, and China. SMTC’s services extend over the entire electronic product life cycle from the new product development and new product introduction (“NPI”) through to growth, maturity and end-of-life phases. SMTC offers fully integrated contract manufacturing services to global original equipment manufacturers (“OEMs”), and technology companies, primarily within the industrial, networking and communications, power and energy and medical market sectors.
II. |
Product Overview |
SMTC’s electronic manufacturing services span the entire electronic product life cycle from the development and introduction of new products through the growth, maturity, and end-of-life phases. We believe that SMTC’s innovative manufacturing services have the capability to reduce our customers’ product costs and time-to-market, which improve competitiveness. We continuously work with our customers to identify, prioritize and implement opportunities for cost reduction.
SMTC offers three vertically integrated manufacturing streams: enclosures and precision metal fabrication products; PCBA products; and larger-scale systems. For each of these streams, SMTC provides a broad range of end-to-end manufacturing services, from assembly, test, integration and box-build through to system level test, CTO, BTO and DOF. These core services are complemented with cable assembly, interconnect and value engineering services. SMTC’s three manufacturing streams are vertically integrated to better control quality, lead times and inventory risk and to avoid the “margin stacking” when these services are provided by loosely connected entities. Customers benefit from lower costs, better quality, and shorter lead times.
Our Covered Products.
We identified the following categories of Covered Products:
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Enclosures and Precision Metal Fabrication Products: We provide custom build metal fabrication, assembly enclosures, cable and harness assemblies. |
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PCBA Products: We manufacture printed circuit board assemblies for various consumer and commercial products including audio systems, electronic payment terminals, fuel dispensers and computer and networking modules. |
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Larger-Scale Systems: We manufacture subassemblies utilized in large scale systems used for the production of integrated circuits in the semiconductor industry. |
III. |
Supply Chain Overview |
SMTC delivers supply chain capabilities and solutions that support the total product lifecycle. Our teams work closely with customers’ supply-base partners to integrate the entire supply chain. Our extended supply chain model recognizes the need for collaboration between OEM customers, SMTC and supply partners to ensure overall supply chain optimization, from product design processes, manufacturing, sourcing, order management and fulfillment to transportation and logistics. The end result is greater control over a complex, extended supply chain to help SMTC customers realize flexibility, cost savings, process improvements, and competitive advantages.
IV. |
Conflict Minerals Analysis and Reasonable Country of Origin Inquiry |
Based upon a review of our products and our reasonable country of origin inquiry (“RCOI”), we have concluded that:
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Those products identified above under the heading “Our Covered Products” contain conflict minerals that are necessary to the production or functionality of such products; and |
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As of April 30, 2017, suppliers who have responded to our survey indicated that a portion of these conflict minerals originated from the Covered Countries. Please reference the table 1 below for a summary of the results based upon the surveys returned. |
Table 1
Suppliers response | Tantalum | Tin | Gold | Tungsten |
Yes |
63% |
39% |
13% |
47% |
Unknown |
13% |
9% |
19% |
10% |
No |
24% |
52% |
68% |
43% |
Total |
100% |
100% |
100% |
100% |
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Suppliers who have responded to our survey indicated a portion of conflict minerals coming from recycled or scrap sources were used in the production of covered products as shown in the table 2 below. |
Table 2
Suppliers response |
Tantalum |
Tin |
Gold |
Tungsten |
Yes |
1.9% |
5.4% |
5.3% |
1.0% |
After completing the due diligence described below, SMTC continues to work with its suppliers to identify the country of origin of the conflict minerals and facilities used to produce the conflict minerals in the Covered Products.
Therefore, required by the Final Rules to file with the SEC a Form SD and a Conflict Minerals Report as an exhibit thereto.
V. |
Design of Due Diligence Measures |
SMTC designed its due diligence process with respect to the source and chain of custody of the conflict minerals contained in the Covered Products based on the five-step framework set forth in the Second Edition of the Organization for Economic Co-operation and Development’s Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas and the supplements thereto (the “OECD Guidance”).
VI. |
Due Diligence Measures Performed by SMTC |
SMTC performed the following due diligence measures in accordance with the OECD Guidance and the Final Rules:
OECD Guidance Step #1: Establish Strong Company Management Systems
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On November 12, 2012, SMTC adopted a Conflict Minerals Policy (the “Conflict Minerals Policy”) that sets forth (i) its commitment to complying with the Final Rules, (ii) its expectations of its suppliers regarding supporting SMTC’s compliance activities, and (iii) its policies and practices with respect to the engagement of suppliers and the implementation of risk mitigation measures. The Conflict Minerals Policy can be found on our website at www.smtc.com under the “About SMTC” heading then click on “Corporate Social Responsibility”. |
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The implementation of SMTC’s RCOI and the conducting of due diligence on the source and chain of custody of SMTC’s necessary conflict minerals is managed by SMTC’s Engineering and Quality team. To the extent that concerns or other issues are identified in the supplier data acquisition or engagement processes, these issues and concerns will be addressed first by the responsible individuals within this Engineering and Quality team and reviewed by the VP, Quality and Engineering on a quarterly basis. |
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The Engineering and Quality team members responsible for compliance with our Conflict Minerals Policy and Final Rules (i) have received training regarding conflict minerals compliance and (ii) are required to be familiar with the Conflict Minerals Policy and with SMTC’s conflict minerals-related processes and procedures. |
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Records of material conflict minerals-related documentation are maintained electronically by SMTC for a period of five (5) years from the date of creation. |
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All of SMTC’s existing suppliers have been provided our copy of the Conflict Minerals Policy, and new suppliers will be provided a copy of the Conflict Minerals Policy as part of SMTC’s standard supplier onboarding process. Subject to each supplier’s position in our supply chain and our relative leverage with respect to such supplier, we will use commercially reasonable efforts to obtain (i) the assent of our suppliers to a policy on conflict minerals consistent with the Conflict Minerals Policy; (ii) the cooperation of such suppliers in providing the information required by the CMRT (as defined below); and (iii) the commitment of such suppliers to promptly update us regarding changes in their sourcing practices and circumstances that impact us by providing us with revised CMRTs. |
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Interested parties can report improper activities in violation of the Conflict Minerals Policy or the Final Rules by reporting such activities to SMTC Conflict Minerals <conflictminerals@smtc.com>. The contact and email address for the grievance mechanism are published on SMTC’s website at www.smtc.com. All reported activities will be reviewed by the appropriate individuals within SMTC. |
OECD Guidance Step #2: Identify and Assess Risk in the Supply Chain
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SMTC requires that its suppliers provide the information required to complete, in all material respects, the Electronic Industry Citizenship Coalition (“EICC”)/Global e-Sustainability Initiative Conflict Minerals Reporting Template (the “CMRT”). The CMRT is designed to provide SMTC with sufficient information regarding its suppliers’ practices with respect to the sourcing of conflict minerals to enable it to comply with its requirements under the Final Rules. As of January 13, 2013, we started our supplier data acquisition and engagement processes by sending CMRT to our suppliers via the iPoint Conflict Minerals Platform. |
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SMTC manages the collection of information that is reported on the CMRT by its suppliers using iPoint Conflict Minerals Platform. |
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SMTC utilizes a series of escalating responses within the iPoint Conflict Minerals Platform to address the failure of a supplier to provide the information required by the CMRT. |
OECD Guidance Step #3: Design and Implement a Strategy to Respond to Identified Risks
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If SMTC determines that there is a reasonable risk that a supplier is sourcing conflict minerals that are directly or indirectly financing or benefiting armed groups as a result of either (i) the supplier data acquisition or engagement processes or (ii) the receipt of information from other sources, SMTC will apply a series of escalations. |
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In order to identify and respond to identified risks, SMTC follows a framework described by IPC WP-1081 - White Paper on Conflict Minerals Due Diligence. SMTC applies this framework to supplier engagements at or above $100,000 USD per year. In broad terms, a set of escalations are used to obtain the desired results. |
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Such escalations may include sending escalation letters to our suppliers, suspend invoice payments and finally suspend trade. SMTC will also engage with customers to resolve a sourcing issue that involves product from suppliers required by our customer or a product from SMTC’s direct suppliers, to require such supplier to implement a risk management plan (which plan may involve, as appropriate, remedial action up to, and including, disengagement from upstream suppliers), or disengagement by SMTC from the applicable supplier. |
OECD Guidance Step #4: Carry Out Independent Third-Party Audit of Supply Chain Due Diligence at Identified Points in the Supply Chain
The supply chain for the Covered Products is complex, and there are many third parties in the supply chain between our direct supplier and the original sources of the conflict minerals necessary to the Covered Products. In this regard, we do not purchase conflict minerals directly from mines, smelters or refiners. We must therefore rely on our suppliers to provide information regarding the origin of the conflict minerals that are included in the Covered Products. Additionally, we believe that the smelters and refiners of the conflict minerals are best situated to identify the sources of the conflict minerals and have required our suppliers to take steps to identify the applicable smelters and refiners of the conflict minerals in our supply chain. Given that we do not have a direct relationship with the smelters and refiners that process the conflict minerals that are present in our the Covered Products, we rely on the Conflict-Free Sourcing Initiative (the “CFSI”) to conduct third-party audits of smelters and refineries.
OECD Guidance Step #5: Report on Supply Chain Due Diligence
As required by the Final Rules, we have filed a Form SD and a Conflict Minerals Report as an exhibit thereto for the 2014 calendar year reporting period.
VII. |
Smelters or Refineries Identified |
For calendar year 2016, we have further reviewed and consolidated our RCOI inquiry due to acquisitions by or of several suppliers and to ease duplication of requests sent. As a result, there was a 10% decrease of supplier requests in 2016 as compared to year 2015, which also reported a decrease of 35%, as compared to year 2014 reporting period.
Overall there has been an increase of 10.6% of supplier responses in 2016 compared to 2015 and an increase of 15.6% and 30.6% when compared to 2014 and 2013 reporting period consecutively.
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As of April 30, 2017, SMTC’s RCOI, involved 1,074 suppliers contributing conflict minerals necessary to SMTC’s products, of whom 61.6% have returned completed CMRTs to SMTC . These suppliers identified the names of 362 recognized smelters or refineries from which they source conflict minerals. Of those smelters, 247 smelters, or approximately 68.2%, have been certified by the CFSI’s Conflict-Free Smelter Program (the “CFSP”). The remainder of the smelters and refineries are not, at this time, certified by the CFSP. With respect to these uncertified smelters and refineries, although we were not able to determine the mines of origin of the conflict minerals sourced from such smelters and refineries, we were able to determine the country locations of then refineries and smelters for the 2016 reporting period as compared to 2015 reporting period by requesting the completed CMRT from suppliers and soliciting the country of origin utilizing the iPoint Conflict Minerals Platform (iPCMP).
SMTC utilizes iPCMP to manage suppliers' templates and status of smelters. The iPCMP Master Smelter List is continuously updated with the current information obtained from CFSI. When CFSI eventually validates these smelters and adds them to their system, iPCMP updates smelter status information within their master smelter list.
The following smelters and refineries were identified by SMTC ’s supply chain. Smelters or refineries with the check mark with an “X” in the right hand column are listed on the CFSP (Conflict Free Sourcing Program)’s according to iPCMP.
3TG Metal |
Smelter Name and Refineries |
Smelter or Refiner Country Location |
CFS List |
Gold |
Penglai Penggang Gold Industry Co., Ltd. |
CHINA |
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Gold |
Istanbul Gold Refinery |
TURKEY |
X |
Gold |
Daejin Indus Co., Ltd. |
KOREA (REPUBLIC OF) |
X |
Gold |
SungEel HiTech |
KOREA (REPUBLIC OF) |
X |
Gold |
Republic Metals |
UNITED STATES OF AMERICA |
X |
Gold |
OJSC Kolyma Refinery |
RUSSIAN FEDERATION |
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Gold |
LS-NIKKO Copper Inc. |
KOREA (REPUBLIC OF) |
X |
Gold |
Sabin Metal Corp. |
UNITED STATES OF AMERICA |
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Gold |
Asahi Refining USA Inc. |
UNITED STATES OF AMERICA |
X |
Gold |
Umicore Brasil Ltda. |
BRAZIL |
X |
Gold |
Samduck Precious Metals |
KOREA (REPUBLIC OF) |
X |
Gold |
Hunan Chenzhou Mining Co., Ltd. |
CHINA |
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Gold |
Heraeus Precious Metals GmbH & Co. KG |
GERMANY |
X |
Gold |
Royal Canadian Mint |
CANADA |
X |
Gold |
SEMPSA Joyeria Plateria S.A. |
SPAIN |
X |
Gold |
HeTai Gold Mineral GuangDong Ltd. Co. |
CHINA |
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Gold |
OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) |
RUSSIAN FEDERATION |
X |
Gold |
L'azurde Company For Jewelry |
SAUDI ARABIA |
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Gold |
Shandong Tiancheng Biological Gold Industrial Co., Ltd. |
CHINA |
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Gold |
Atasay Kuyumculuk Sanayi Ve Ticaret A.S. |
TURKEY |
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Gold |
Lingbao Gold Co., Ltd. |
CHINA |
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Gold |
Gansu Seemine Material Hi-Tech Co., Ltd. |
CHINA |
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Gold |
PT Aneka Tambang (Persero) Tbk |
INDONESIA |
X |
Gold |
Chugai Mining |
JAPAN |
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Gold |
Torecom |
KOREA (REPUBLIC OF) |
X |
Gold |
Allgemeine Gold-und Silberscheideanstalt A.G. |
GERMANY |
X |
Gold |
PAMP S.A. |
SWITZERLAND |
X |
Gold |
Advanced Chemical Company |
UNITED STATES OF AMERICA |
X |
Gold |
Morris and Watson |
NEW ZEALAND |
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Gold |
Umicore S.A. Business Unit Precious Metals Refining |
BELGIUM |
X |
Gold |
Asaka Riken Co., Ltd. |
JAPAN |
X |
Gold |
Aida Chemical Industries Co., Ltd. |
JAPAN |
X |
Gold |
Ishifuku Metal Industry Co., Ltd. |
JAPAN |
X |
Gold |
Metahub Industries Sdn. Bhd. |
MALAYSIA |
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Gold |
Tokuriki Honten Co., Ltd. |
JAPAN |
X |
Gold |
CCR Refinery - Glencore Canada |
CANADA |
X |
Gold |
Gold Refinery of Zijin Mining Group Co., Ltd. |
CHINA |
X |
Gold |
Degussa Sonne / Mond Goldhandel GmbH |
GERMANY |
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Gold |
Caridad |
MEXICO |
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Gold |
Ohura Precious Metal Industry Co., Ltd. |
JAPAN |
X |
Gold |
Kennecott Utah Copper LLC |
UNITED STATES OF AMERICA |
X |
Gold |
Bangko Sentral ng Pilipinas (Central Bank of the Philippines) |
PHILIPPINES |
X |
Gold |
Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. |
CHINA |
X |
Gold |
SAFINA A.S. |
CZECH REPUBLIC |
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Gold |
Universal Precious Metals Refining Zambia |
ZAMBIA |
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Gold |
Nyrstar Metals |
UNITED STATES OF AMERICA |
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Gold |
L'Orfebre S.A. |
ANDORRA |
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Gold |
Hwasung CJ Co., Ltd. |
KOREA (REPUBLIC OF) |
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Gold |
GCC Gujrat Gold Centre Pvt. Ltd. |
INDIA |
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Gold |
Singway Technology Co., Ltd. |
TAIWAN, PROVINCE OF CHINA |
X |
Gold |
K.A.Rasmussen as |
NORWAY |
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Gold |
Remondis Argentia B.V. |
NETHERLANDS |
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Gold |
KGHM Polska Miedz Spolka Akcyjna |
POLAND |
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Gold |
House of Currency of Brazil (Casa da Moeda do Brazil) |
BRAZIL |
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Gold |
JSC Ekaterinburg Non-Ferrous Metal Processing Plant |
RUSSIAN FEDERATION |
X |
Gold |
Lingbao Jinyuan Tonghui Refinery Co., Ltd. |
CHINA |
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Gold |
PX Precinox S.A. |
SWITZERLAND |
X |
Gold |
Tony Goetz NV |
BELGIUM |
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Gold |
Kazzinc |
KAZAKHSTAN |
X |
Gold |
Nihon Material Co., Ltd. |
JAPAN |
X |
Gold |
AngloGold Ashanti Corrego do Sitio Mineracao |
BRAZIL |
X |
Gold |
Dowa |
JAPAN |
X |
Gold |
Kazakhmys Smelting LLC |
KAZAKHSTAN |
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Gold |
Shandong Zhaojin Gold & Silver Refinery Co., Ltd. |
CHINA |
X |
Gold |
Matsuda Sangyo Co., Ltd. |
JAPAN |
X |
Gold |
So Accurate Group, Inc. |
UNITED STATES OF AMERICA |
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Gold |
Argor-Heraeus S.A. |
SWITZERLAND |
X |
Gold |
Metalor Technologies S.A. |
SWITZERLAND |
X |
Gold |
Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH |
AUSTRIA |
X |
Gold |
Sudan Gold Refinery |
SUDAN |
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Gold |
T.C.A S.p.A |
ITALY |
X |
Gold |
Materion |
UNITED STATES OF AMERICA |
X |
Gold |
Emirates Gold DMCC |
UNITED ARAB EMIRATES |
X |
Gold |
Heraeus Metals Hong Kong Ltd. |
CHINA |
X |
Gold |
Zhongyuan Gold Smelter of Zhongjin Gold |
CHINA |
X |
Gold |
Guoda Safina High-Tech Environmental Refinery Co., Ltd. |
CHINA |
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Gold |
Faggi Enrico S.p.a |
ITALY |
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Gold |
C. Hafner GmbH + Co. KG |
GERMANY |
X |
Gold |
Metalor USA Refining |
UNITED STATES OF AMERICA |
X |
Gold |
Sumitomo Metal Mining Co., Ltd. |
JAPAN |
X |
Gold |
Western Australian Mint (T/a The Perth Mint) |
AUSTRALIA |
X |
Gold |
DODUCO GmbH |
GERMANY |
X |
Gold |
Geib Refining |
UNITED STATES OF AMERICA |
X |
Gold |
MMTC-PAMP India Pvt., Ltd. |
INDIA |
X |
Gold |
Al Etihad Gold LLC |
UNITED ARAB EMIRATES |
X |
Gold |
SOE Shyolkovsky Factory of Secondary Precious Metals |
RUSSIAN FEDERATION |
X |
Gold |
Rand Refinery (Pty) Ltd. |
SOUTH AFRICA |
X |
Gold |
Samwon Metals Corp. |
KOREA (REPUBLIC OF) |
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Gold |
Daye Non-Ferrous Metals Mining Ltd. |
CHINA |
|
Gold |
Pease & Curren |
UNITED STATES OF AMERICA |
|
Gold |
Tanaka Kikinzoku Kogyo K.K. |
JAPAN |
X |
Gold |
Hangzhou Fuchunjiang Smelting Co., Ltd. |
CHINA |
|
Gold |
Chimet S.p.A. |
ITALY |
X |
Gold |
OJSC Novosibirsk Refinery |
RUSSIAN FEDERATION |
X |
Gold |
Mitsui Mining and Smelting Co., Ltd. |
JAPAN |
X |
Gold |
Yokohama Metal Co., Ltd. |
JAPAN |
X |
Gold |
Aktyubinsk Copper Company TOO |
KAZAKHSTAN |
|
Gold |
Korea Zinc Co., Ltd. |
KOREA (REPUBLIC OF) |
X |
Gold |
JSC Uralelectromed |
RUSSIAN FEDERATION |
X |
Gold |
Bangalore Refinery |
INDIA |
|
Gold |
Valcambi S.A. |
SWITZERLAND |
X |
Gold |
Luoyang Zijin Yinhui Gold Refinery Co., Ltd. |
CHINA |
|
Gold |
Mitsubishi Materials |
JAPAN |
X |
Gold |
WIELAND Edelmetalle GmbH |
GERMANY |
X |
Gold |
Yunnan Copper Industry Co., Ltd. |
CHINA |
|
Gold |
TOO Tau-Ken-Altyn |
KAZAKHSTAN |
|
Gold |
SAAMP |
FRANCE |
X |
Gold |
Almalyk Mining and Metallurgical Complex (AMMC) |
UZBEKISTAN |
X |
Gold |
Guangdong Jinding Gold Limited |
CHINA |
|
Gold |
Modeltech Sdn Bhd |
MALAYSIA |
|
Gold |
Asahi Refining Canada Ltd. |
CANADA |
X |
Gold |
Kaloti Precious Metals |
UNITED ARAB EMIRATES |
|
Gold |
Eco-System Recycling Co., Ltd. |
JAPAN |
X |
Gold |
Elemetal Refining, LLC |
UNITED STATES OF AMERICA |
|
Gold |
DSC (Do Sung ) |
KOREA (REPUBLIC OF) |
X |
Gold |
AU Traders and Refiners |
SOUTH AFRICA |
X |
Gold |
Metalor Technologies (Suzhou) Ltd. |
CHINA |
X |
Gold |
Metalurgica Met-Mex Penoles S.A. De C.V. |
MEXICO |
X |
Gold |
Japan Mint |
JAPAN |
X |
Gold |
Aurubis AG |
GERMANY |
X |
Gold |
Nihon Superior Co., Ltd. |
JAPAN |
|
Gold |
Jiangxi Copper Co., Ltd. |
CHINA |
X |
Gold |
Kyrgyzaltyn JSC |
KYRGYZSTAN |
X |
Gold |
Prioksky Plant of Non-Ferrous Metals |
RUSSIAN FEDERATION |
X |
Gold |
United Precious Metal Refining, Inc. |
UNITED STATES OF AMERICA |
X |
Gold |
The Refinery of Shandong Gold Mining Co., Ltd. |
CHINA |
X |
Gold |
Boliden AB |
SWEDEN |
X |
Gold |
Asahi Pretec Corp. |
JAPAN |
X |
Gold |
Kojima Chemicals Co., Ltd. |
JAPAN |
X |
Gold |
Fidelity Printers and Refiners Ltd. |
ZIMBABWE |
|
Gold |
HwaSeong CJ Co., Ltd. |
KOREA (REPUBLIC OF) |
|
Gold |
Moscow Special Alloys Processing Plant |
RUSSIAN FEDERATION |
X |
Gold |
JX Nippon Mining & Metals Co., Ltd. |
JAPAN |
X |
Gold |
Great Wall Precious Metals Co., Ltd. of CBPM |
CHINA |
|
Gold |
Yamamoto Precious Metal Co., Ltd. |
JAPAN |
X |
Gold |
Schone Edelmetaal B.V. |
NETHERLANDS |
X |
Gold |
Umicore Precious Metals Thailand |
THAILAND |
X |
Gold |
Bauer Walser AG |
GERMANY |
|
Gold |
Abington Reldan Metals, LLC |
UNITED STATES OF AMERICA |
|
Gold |
Faggi Enrico S.p.A. |
ITALY |
|
Gold |
Sai Refinery |
INDIA |
|
Gold |
Metalor Technologies (Hong Kong) Ltd. |
CHINA |
X |
Gold |
Metalor Technologies (Singapore) Pte., Ltd. |
SINGAPORE |
X |
Gold |
Navoi Mining and Metallurgical Combinat |
UZBEKISTAN |
|
Gold |
Solar Applied Materials Technology Corp. |
TAIWAN, PROVINCE OF CHINA |
X |
Gold |
Tongling Nonferrous Metals Group Co., Ltd. |
CHINA |
|
Gold |
Sichuan Tianze Precious Metals Co., Ltd. |
CHINA |
X |
Gold |
Nadir Metal Rafineri San. Ve Tic. A.S. |
TURKEY |
X |
Gold |
Cendres + Metaux S.A. |
SWITZERLAND |
|
Gold |
Morris and Watson Gold Coast |
AUSTRALIA |
|
Gold |
SAXONIA Edelmetalle GmbH |
GERMANY |
X |
Gold |
Heimerle + Meule GmbH |
GERMANY |
X |
Tantalum |
Hengyang King Xing Lifeng New Materials Co., Ltd. |
CHINA |
X |
Tantalum |
QuantumClean |
UNITED STATES OF AMERICA |
X |
Tantalum |
NPM Silmet AS |
ESTONIA |
X |
Tantalum |
H.C. Starck GmbH Laufenburg |
GERMANY |
|
Tantalum |
King-Tan Tantalum Industry Ltd. |
CHINA |
X |
Tantalum |
Global Advanced Metals Boyertown |
UNITED STATES OF AMERICA |
X |
Tantalum |
H.C. Starck Ltd. |
JAPAN |
X |
Tantalum |
Hi-Temp Specialty Metals, Inc. |
UNITED STATES OF AMERICA |
X |
Tantalum |
Changsha South Tantalum Niobium Co., Ltd. |
CHINA |
X |
Tantalum |
Jiangxi Dinghai Tantalum & Niobium Co., Ltd. |
CHINA |
X |
Tantalum |
F&X Electro-Materials Ltd. |
CHINA |
X |
Tantalum |
Zhuzhou Cemented Carbide Group Co., Ltd. |
CHINA |
X |
Tantalum |
H.C. Starck Tantalum and Niobium GmbH |
GERMANY |
X |
Tantalum |
H.C. Starck Co., Ltd. |
THAILAND |
X |
Tantalum |
LSM Brasil S.A. |
BRAZIL |
X |
Tantalum |
Ningxia Non-ferrous Metal Smeltery |
CHINA |
|
Tantalum |
Jiangxi Tuohong New Raw Material |
CHINA |
X |
Tantalum |
Tranzact, Inc. |
UNITED STATES OF AMERICA |
|
Tantalum |
Jiujiang Zhongao Tantalum & Niobium Co., Ltd. |
CHINA |
X |
Tantalum |
Exotech Inc. |
UNITED STATES OF AMERICA |
X |
Tantalum |
Duoluoshan |
CHINA |
X |
Tantalum |
XinXing HaoRong Electronic Material Co., Ltd. |
CHINA |
X |
Tantalum |
Jiujiang Nonferrous Metals Smelting Company Limited |
CHINA |
X |
Tantalum |
RFH Tantalum Smeltry Co., Ltd. |
CHINA |
X |
Tantalum |
H.C. Starck Smelting GmbH & Co. KG |
GERMANY |
X |
Tantalum |
Power Resources Ltd. |
MACEDONIA (THE FORMER YUGOSLAV REPUBLIC OF) |
X |
Tantalum |
JiuJiang JinXin Nonferrous Metals Co., Ltd. |
CHINA |
X |
Tantalum |
Avon Specialty Metals Ltd |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND |
|
Tantalum |
Global Advanced Metals Aizu |
JAPAN |
X |
Tantalum |
Metallurgical Products India Pvt., Ltd. |
INDIA |
X |
Tantalum |
Plansee SE Reutte |
AUSTRIA |
|
Tantalum |
FIR Metals & Resource Ltd. |
CHINA |
X |
Tantalum |
H.C. Starck Hermsdorf GmbH |
GERMANY |
X |
Tantalum |
Ningxia Orient Tantalum Industry Co., Ltd. |
CHINA |
X |
Tantalum |
Conghua Tantalum and Niobium Smeltry |
CHINA |
X |
Tantalum |
Yichun Jin Yang Rare Metal Co., Ltd. |
CHINA |
X |
Tantalum |
Mineracao Taboca S.A. |
BRAZIL |
X |
Tantalum |
Solikamsk Magnesium Works OAO |
RUSSIAN FEDERATION |
X |
Tantalum |
Resind Industria e Comercio Ltda. |
BRAZIL |
X |
Tantalum |
KEMET Blue Powder |
UNITED STATES OF AMERICA |
X |
Tantalum |
KEMET Blue Metals |
MEXICO |
X |
Tantalum |
Taki Chemical Co., Ltd. |
JAPAN |
X |
Tantalum |
AMG (Advanced Metallurgical Group) |
BRAZIL |
|
Tantalum |
D Block Metals, LLC |
UNITED STATES OF AMERICA |
X |
Tantalum |
Advanced Metallurgical Group N.V. (AMG) |
UNITED STATES OF AMERICA |
|
Tantalum |
Plansee SE Liezen |
AUSTRIA |
|
Tantalum |
Guizhou Zhenhua Xinyun Technology Ltd., Kaili branch |
CHINA |
|
Tantalum |
Ulba Metallurgical Plant JSC |
KAZAKHSTAN |
X |
Tantalum |
Mitsui Mining and Smelting Co., Ltd. |
JAPAN |
X |
Tantalum |
Guangdong Zhiyuan New Material Co., Ltd. |
CHINA |
X |
Tantalum |
Telex Metals |
UNITED STATES OF AMERICA |
X |
Tantalum |
H.C. Starck Inc. |
UNITED STATES OF AMERICA |
X |
Tin |
CV Tiga Sekawan |
INDONESIA |
X |
Tin |
An Thai Minerals Co., Ltd. |
VIETNAM |
|
Tin |
PT Inti Stania Prima |
INDONESIA |
X |
Tin |
Metallo-Chimique N.V. |
BELGIUM |
X |
Tin |
Minsur |
PERU |
X |
Tin |
Global Advanced Metals Pty Ltd |
AUSTRALIA |
|
Tin |
PT Mitra Stania Prima |
INDONESIA |
X |
Tin |
PT Tirus Putra Mandiri |
INDONESIA |
|
Tin |
Fenix Metals |
POLAND |
X |
Tin |
Estanho de Rondonia S.A. |
BRAZIL |
|
Tin |
PT Eunindo Usaha Mandiri |
INDONESIA |
X |
Tin |
CV Serumpun Sebalai |
INDONESIA |
X |
Tin |
Mineracao Taboca S.A. |
BRAZIL |
X |
Tin |
PT Seirama Tin Investment |
INDONESIA |
|
Tin |
PT ATD Makmur Mandiri Jaya |
INDONESIA |
X |
Tin |
Rui Da Hung |
TAIWAN, PROVINCE OF CHINA |
X |
Tin |
CRM Synergies S.L. |
SPAIN |
|
Tin |
Dowa |
JAPAN |
X |
Tin |
Phoenix Metal Ltd. |
RWANDA |
|
Tin |
Modeltech Sdn Bhd |
MALAYSIA |
|
Tin |
Operaciones Metalurgical S.A. |
BOLIVIA (PLURINATIONAL STATE OF) |
X |
Tin |
PT Karimun Mining |
INDONESIA |
X |
Tin |
PT Cipta Persada Mulia |
INDONESIA |
|
Tin |
Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. |
CHINA |
X |
Tin |
PT Stanindo Inti Perkasa |
INDONESIA |
X |
Tin |
PT Babel Inti Perkasa |
INDONESIA |
X |
Tin |
Malaysia Smelting (MSC) |
MALAYSIA |
X |
Tin |
Nghe Tinh Non-Ferrous Metals Joint Stock Company |
VIETNAM |
|
Tin |
PT Artha Cipta Langgeng |
INDONESIA |
X |
Tin |
Senju Metal Industry Co., Ltd. |
MALAYSIA |
|
Tin |
CV Gita Pesona |
INDONESIA |
X |
Tin |
Yunnan Tin Company Limited |
CHINA |
X |
Tin |
Xianghualing Tin Minerals |
CHINA |
|
Tin |
Mitsubishi Materials |
JAPAN |
X |
Tin |
Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. |
CHINA |
X |
Tin |
PT Timah (Persero) Tbk Mentok |
INDONESIA |
X |
Tin |
PT Koba Tin |
INDONESIA |
|
Tin |
Bauer Walser AG |
GERMANY |
|
Tin |
PT Menara Cipta Mulia |
INDONESIA |
X |
Tin |
Guanyang Guida Nonferrous Metal Smelting Plant |
CHINA |
X |
Tin |
Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company |
VIETNAM |
|
Tin |
Huichang Jinshunda Tin Co., Ltd. |
CHINA |
|
Tin |
Tuyen Quang Non-Ferrous Metals Joint Stock Company |
VIETNAM |
|
Tin |
PT Timah (Persero) Tbk Kundur |
INDONESIA |
X |
Tin |
PT Refined Bangka Tin |
INDONESIA |
X |
Tin |
PT Bukit Timah |
INDONESIA |
X |
Tin |
PT Pelat Timah Nusantara Tbk |
INDONESIA |
|
Tin |
PT Panca Mega Persada |
INDONESIA |
X |
Tin |
Novosibirsk Processing Plant Ltd. |
RUSSIAN FEDERATION |
|
Tin |
Cooperativa Metalurgica de Rondonia Ltda. |
BRAZIL |
X |
Tin |
PT Fang Di MulTindo |
INDONESIA |
|
Tin |
PT Sariwiguna Binasentosa |
INDONESIA |
X |
Tin |
CV Ayi Jaya |
INDONESIA |
X |
Tin |
PT Bangka Prima Tin |
INDONESIA |
X |
Tin |
Gejiu Non-Ferrous Metal Processing Co., Ltd. |
CHINA |
X |
Tin |
Nankang Nanshan Tin Manufactory Co., Ltd. |
CHINA |
|
Tin |
Yunnan Chengfeng Non-ferrous Metals Co., Ltd. |
CHINA |
X |
Tin |
Jiangxi Ketai Advanced Material Co., Ltd. |
CHINA |
X |
Tin |
PT Tommy Utama |
INDONESIA |
X |
Tin |
CV Dua Sekawan |
INDONESIA |
X |
Tin |
Gejiu Zili Mining And Metallurgy Co., Ltd. |
CHINA |
|
Tin |
PT Prima Timah Utama |
INDONESIA |
X |
Tin |
Elmet S.L.U. |
SPAIN |
X |
Tin |
China Tin Group Co., Ltd. |
CHINA |
X |
Tin |
PT Bangka Timah Utama Sejahtera |
INDONESIA |
|
Tin |
PT Wahana Perkit Jaya |
INDONESIA |
|
Tin |
PT Kijang Jaya Mandiri |
INDONESIA |
X |
Tin |
CNMC (Guangxi) PGMA Co., Ltd. |
CHINA |
|
Tin |
White Solder Metalurgia e Mineracao Ltda. |
BRAZIL |
X |
Tin |
Gejiu Jinye Mineral Company |
CHINA |
X |
Tin |
Gejiu Kai Meng Industry and Trade LLC |
CHINA |
|
Tin |
O.M. Manufacturing Philippines, Inc. |
PHILIPPINES |
X |
Tin |
EM Vinto |
BOLIVIA (PLURINATIONAL STATE OF) |
X |
Tin |
Feinhütte Halsbrücke GmbH |
GERMANY |
|
Tin |
PT DS Jaya Abadi |
INDONESIA |
X |
Tin |
Soft Metais Ltda. |
BRAZIL |
X |
Tin |
PT Bangka Kudai Tin |
INDONESIA |
|
Tin |
Linwu Xianggui Ore Smelting Co., Ltd. |
CHINA |
|
Tin |
PT Sukses Inti Makmur |
INDONESIA |
X |
Tin |
Super Ligas |
BRAZIL |
|
Tin |
Thaisarco |
THAILAND |
X |
Tin |
PT BilliTin Makmur Lestari |
INDONESIA |
|
Tin |
PT Tinindo Inter Nusa |
INDONESIA |
X |
Tin |
PT Bangka Tin Industry |
INDONESIA |
X |
Tin |
PT Justindo |
INDONESIA |
|
Tin |
HuiChang Hill Tin Industry Co., Ltd. |
CHINA |
X |
Tin |
Melt Metais e Ligas S.A. |
BRAZIL |
X |
Tin |
CV United Smelting |
INDONESIA |
X |
Tin |
PT Bangka Putra Karya |
INDONESIA |
|
Tin |
PT Lautan Harmonis Sejahtera |
INDONESIA |
X |
Tin |
An Vinh Joint Stock Mineral Processing Company |
VIETNAM |
|
Tin |
Alpha |
UNITED STATES OF AMERICA |
X |
Tin |
VQB Mineral and Trading Group JSC |
VIETNAM |
X |
Tin |
PT Aries Kencana Sejahtera |
INDONESIA |
X |
Tin |
PT Belitung Industri Sejahtera |
INDONESIA |
X |
Tin |
PT O.M. Indonesia |
INDONESIA |
X |
Tin |
CV Venus Inti Perkasa |
INDONESIA |
X |
Tin |
Resind Industria e Comercio Ltda. |
BRAZIL |
X |
Tin |
PT Sumber Jaya Indah |
INDONESIA |
X |
Tin |
Metallic Resources, Inc. |
UNITED STATES OF AMERICA |
X |
Tin |
Gejiu Fengming Metallurgy Chemical Plant |
CHINA |
X |
Tin |
Magnu's Minerais Metais e Ligas Ltda. |
BRAZIL |
X |
Tin |
PT Alam Lestari Kencana |
INDONESIA |
|
Tin |
O.M. Manufacturing (Thailand) Co., Ltd. |
THAILAND |
X |
Tungsten |
Kennametal Huntsville |
UNITED STATES OF AMERICA |
X |
Tungsten |
Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. |
CHINA |
|
Tungsten |
Chenzhou Diamond Tungsten Products Co., Ltd. |
CHINA |
X |
Tungsten |
Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. |
CHINA |
X |
Tungsten |
Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. |
CHINA |
X |
Tungsten |
Jiangxi Yaosheng Tungsten Co., Ltd. |
CHINA |
X |
Tungsten |
Xinhai Rendan Shaoguan Tungsten Co., Ltd. |
CHINA |
X |
Tungsten |
Kennametal Fallon |
UNITED STATES OF AMERICA |
X |
Tungsten |
Unecha Refractory metals plant |
RUSSIAN FEDERATION |
X |
Tungsten |
H.C. Starck Smelting GmbH & Co. KG |
GERMANY |
X |
Tungsten |
Ganzhou Jiangwu Ferrotungsten Co., Ltd. |
CHINA |
X |
Tungsten |
Asha Enterprise |
INDIA |
|
Tungsten |
Ganzhou Seadragon W & Mo Co., Ltd. |
CHINA |
X |
Tungsten |
Vietnam Youngsun Tungsten Industry Co., Ltd. |
VIETNAM |
X |
Tungsten |
Ganxian Shirui New Material Co., Ltd. |
CHINA |
|
Tungsten |
Hydrometallurg, JSC |
RUSSIAN FEDERATION |
X |
Tungsten |
H.C. Starck Tungsten GmbH |
GERMANY |
X |
Tungsten |
Sanher Tungsten Vietnam Co., Ltd. |
VIETNAM |
|
Tungsten |
Jiangxi Xinsheng Tungsten Industry Co., Ltd. |
CHINA |
X |
Tungsten |
Dayu Jincheng Tungsten Industry Co., Ltd. |
CHINA |
|
Tungsten |
Wolfram Bergbau und Hutten AG |
AUSTRIA |
X |
Tungsten |
Pobedit, JSC |
RUSSIAN FEDERATION |
|
Tungsten |
Hunan Chunchang Nonferrous Metals Co., Ltd. |
CHINA |
X |
Tungsten |
Hunan Chenzhou Mining Co., Ltd. |
CHINA |
X |
Tungsten |
Asia Tungsten Products Vietnam Ltd. |
VIETNAM |
X |
Tungsten |
Ganzhou Huaxing Tungsten Products Co., Ltd. |
CHINA |
X |
Tungsten |
Wolfram Company CJSC |
RUSSIAN FEDERATION |
|
Tungsten |
ACL Metais Eireli |
BRAZIL |
|
Tungsten |
Global Tungsten & Powders Corp. |
UNITED STATES OF AMERICA |
X |
Tungsten |
Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC |
VIETNAM |
X |
Tungsten |
Guangdong Xianglu Tungsten Co., Ltd. |
CHINA |
X |
Tungsten |
Ganzhou Yatai Tungsten Co., Ltd. |
CHINA |
|
Tungsten |
TDC - Tungsten Products Co. |
CHINA |
|
Tungsten |
Japan New Metals Co., Ltd. |
JAPAN |
X |
Tungsten |
Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji |
CHINA |
X |
Tungsten |
A.L.M.T. TUNGSTEN Corp. |
JAPAN |
X |
Tungsten |
Niagara Refining LLC |
UNITED STATES OF AMERICA |
X |
Tungsten |
Tejing (Vietnam) Tungsten Co., Ltd. |
VIETNAM |
X |
Tungsten |
Jiangxi Dayu Longxintai Tungsten Co., Ltd. |
CHINA |
|
Tungsten |
Dayu Weiliang Tungsten Co., Ltd. |
CHINA |
|
Tungsten |
Xiamen Tungsten Co., Ltd. |
CHINA |
X |
Tungsten |
Chongyi Zhangyuan Tungsten Co., Ltd. |
CHINA |
X |
Tungsten |
Ganzhou Non-ferrous Metals Smelting Co., Ltd. |
CHINA |
|
Tungsten |
Jiangxi Gan Bei Tungsten Co., Ltd. |
CHINA |
X |
Tungsten |
Moliren Ltd |
RUSSIAN FEDERATION |
X |
Tungsten |
Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd. |
CHINA |
X |
Tungsten |
South-East Nonferrous Metal Company Limited of Hengyang City |
CHINA |
X |
Tungsten |
Philippine Chuangxin Industrial Co., Inc. |
PHILIPPINES |
X |
Tungsten |
Jiangwu H.C. Starck Tungsten Products Co., Ltd. |
CHINA |
X |
Tungsten |
Woltech Korea Co., Ltd. |
KOREA (REPUBLIC OF) |
X |
Tungsten |
Fujian Jinxin Tungsten Co., Ltd. |
CHINA |
X |
Tungsten |
Hunan Chuangda Vanadium Tungsten Co., Ltd. Yanglin |
CHINA |
|
Tungsten |
Xiamen Tungsten (H.C.) Co., Ltd. |
CHINA |
X |
Tungsten |
Malipo Haiyu Tungsten Co., Ltd. |
CHINA |
X |
VIII. |
Steps to Mitigate Risk |
SMTC intends to take the following steps to seek to mitigate the risk that its necessary conflict minerals directly or indirectly finance or benefit armed groups in the Covered Countries:
|
● |
Continue to engage with suppliers to increase the number of returned CMRTs to decrease the number of incidents where no response is given in a CMRT, to obtain other information required to complete, in all material respects, the CMRT; |
|
● |
Encourage the development of supplier capabilities to perform conflict-minerals related due diligence by the implementation of risk mitigation measures, as appropriate; and |
|
● |
Provide ongoing training to applicable SMTC personnel regarding emerging best practices and other relevant topics for conflict minerals compliance. |
18