EX-1.01 2 ex1_01.htm EXHIBIT 1.01

Exhibit 1.01
 
Conflict Minerals Report
For The Year Ended December 31, 2015

This Conflict Minerals Report (this “Report” or “CMR”) of Abaxis, Inc. (“Abaxis”,” “our,” “us,” or “we”), for the period from January 1, 2015 through December 31, 2015 (the “Reporting Period”) is presented to comply with Rule 13p-1 under the Securities Exchange Act of 1934 (the “Rule”). The Rule was adopted by the Securities and Exchange Commission (“SEC”) to implement reporting and disclosure requirements related to Conflict Minerals (as defined below) as directed by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. The Rule, through Form SD, imposes certain reporting obligations on SEC registrants whose manufactured products contain Conflict Minerals that are necessary to their functionality or production. Form SD defines “Conflict Minerals” as cassiterite, columbite-tantalite, gold, wolframite, and their derivatives, which are limited to tin, tantalum, and tungsten (“3TG” or “Conflict Minerals”). The intent of these requirements is to further the goal of ending violent conflict in the Democratic Republic of Congo and in adjoining countries (the “Covered Countries”), which conflict has been financed, in part, by the exploitation and trade of conflict minerals. These requirements apply to registrants whatever the geographic origin of the Conflict Minerals and whether or not they fund armed conflict.

Abaxis conducted an analysis of the products manufactured, or contracted to be manufactured, during the Reporting Period and found that certain Conflict Minerals are necessary to the functionality or production of some of our products. This Report describes the process undertaken by Abaxis for identifying Conflict Minerals necessary to the functionality or production of these products, as well as our country of origin inquiry and additional due diligence measures as to the source and chain of custody of these Conflict Minerals.

Company Overview

Abaxis, Inc. is a worldwide developer, manufacturer and marketer of portable blood analysis systems that are used in a broad range of medical specialties in human or veterinary patient care to provide clinicians with rapid blood constituent measurements. Our mission is to improve the efficiency of care delivery to and the quality of life of patients in the medical and veterinary markets. Abaxis is a California corporation and was incorporated in 1989.

Description of Abaxis Products Covered by this Report

This Report relates to Abaxis’ products: (i) for which Conflict Minerals are necessary to the functionality or production of that product; (ii) that were manufactured, or contracted to be manufactured, by Abaxis; and (iii) for which the manufacture was completed during calendar year 2015.

Abaxis’ medical devices are manufactured using parts and components that are several levels removed from the actual mining of conflict minerals. The blood chemistry analyzers that Abaxis manufactures employ a variety of components designed or specified by us that contain Conflict Minerals that are necessary to their functionality or production (the “Covered Products”). The components are manufactured by several third-party suppliers that have been qualified and approved by Abaxis and then assembled by our contract manufacturers.

Reasonable Country-of-Origin Inquiry and Due Diligence Process

Abaxis’ supply chain with respect to the Covered Products is complex, and its manufacturing process is significantly removed from the mining, smelting and refining of Conflict Minerals. Abaxis does not purchase Conflict Minerals directly from mines, smelters or refiners, and there are many third parties in the supply chain between the ultimate manufacture of the Covered Products and the original sources of Conflict Minerals. Abaxis believes that the smelters and refiners of the Conflict Minerals are best situated to identify the sources of Conflict Minerals, and, therefore, has taken steps to identify the applicable smelters and refiners of Conflict Minerals in Abaxis’ supply chain. However, tracing these minerals to their sources is a challenge that requires us to rely on our direct suppliers to work with their upstream suppliers to provide us with accurate information, about the origin of the Conflict Minerals in the materials and parts that we purchase. The information provided by suppliers may be inaccurate or incomplete or subject to other irregularities. The ability to verify the accuracy of information reported by suppliers is limited due to Abaxis’ relative location within the supply chain in relation to the actual extraction and transport of Conflict Minerals. Accordingly, we can provide only reasonable, not absolute, assurance regarding the source and chain of custody of the Conflict Minerals in the Covered Products.



Where Abaxis completed manufacture of Covered Products during calendar year 2015, we have undertaken a reasonable country of origin inquiry (“RCOI”) and due diligence on the source and chain of custody of the Conflict Minerals that were included in those products. We surveyed our suppliers using the Conflict Minerals Reporting Template (the “Template”) developed by the Electronic Industry Citizenship Coalition and the Global e-Sustainability Initiative (“EICC-GeSI”) from the Conflict-Free Sourcing Initiative (“CFSI”). The Template facilitates the transfer of information through the supply chain regarding country of origin and smelters and refiners, including suppliers’ conflict-free policies and information regarding their engagement with lower-tier suppliers and the identification of smelters used to supply Conflict Minerals contained in materials or products provided by the supplier, whether those smelters are located in one of the Covered Countries, and the source country of Conflict Minerals used by each of the identified smelters.

Reasonable Country-of-Origin Inquiry Responses and Follow-Up

Abaxis has conducted a good faith RCOI that was reasonably designed to determine whether any of the Conflict Minerals in the Covered Products originated in the Covered Countries and whether any of the Conflict Minerals may be from recycled or scrap sources. Using the Template, Abaxis conducted a survey of all suppliers that provided components or parts that we reasonably believed were likely to contain 3TG. Because we were unable to determine the country of origin of all Conflict Minerals in our supply chain, we performed due diligence on the source and chain of custody to determine whether the Conflict Minerals directly or indirectly financed or benefitted armed groups in the Covered Countries.

Conflict Minerals Due Diligence Process

Design of Due Diligence

Abaxis’ Conflict Minerals due diligence process has been designed to conform, in all material respects, with the framework developed by The Organisation of Economic Co-operation and Development (“OECD”) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, and the related supplements on gold, tin, tantalum and tungsten (the “OECD Guidance”), specifically as it relates to our position in the minerals supply chain as a downstream purchaser.

Description of Due Diligence Measures

Abaxis’ due diligence on the source and chain of custody of the Conflict Minerals contained in the Covered Products included the following measures:

(a) Establish Strong Company Management Systems

· Conflict Minerals Policy. Abaxis has adopted a conflict minerals policy (the “Conflict Minerals Policy”), which provides in part as follows:

Abaxis’ Commitment: We support the objectives underlying Section 1502 and the efforts being made to reduce the risk that trade in conflict minerals contributes to this humanitarian crisis.

Process to Meet Regulatory Obligation: We have initiated a process to comply with the SEC rules. In particular, we are taking steps to (1) conduct due diligence regarding the origin of any conflict minerals in our supply chain and enhance our supply chain internal controls; (2) strive to eliminate conflict minerals that may be supporting the conflict in the DRC; and (3) notify our suppliers of our policy on conflict minerals and encourage them to make similar commitments and take similar measures.

We are in the process of determining the exposure of our supply chain to conflict minerals mined in conditions of armed conflict and human rights abuses and following an internationally recognized due diligence framework to understand and minimize our risk. However, the global supply chain for these minerals is complex, and tracing these minerals to their sources is a challenge. To meet that challenge, we must rely on the cooperation of our suppliers. To help us adhere to our policy, implement the tracking process and meet our SEC reporting obligations, we expect our suppliers to respond to our queries about purchased components on a timely basis, including assistance in reaching out to their suppliers when necessary to trace the source of minerals and regular communications with us about supplier’s conflict minerals tracking and tracing efforts.

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Commitment to Working with Our Suppliers: In addition, we are taking steps to encourage our suppliers to commit to responsible “conflict-free” sourcing to prevent directly or indirectly contributing to armed conflicts and human rights abuses. If conflict minerals are identified in our supply chain, we plan to work with our suppliers to determine if practical conflict-free sources certified under the Electronic Industry Citizenship Coalition and the Global e-Sustainability Initiative (EICC/GeSI) Conflict-Free Smelter Program, are available and work to qualify those sources. We have also advised our suppliers about the Conflict Minerals Policy and have encouraged them to adopt similar policies.

We expect to review and update this policy regularly as needed. We have posted our Conflict Minerals Policy on our website (http://www.abaxis.com).

· Conflict Minerals Team. Abaxis has established an internal Conflict Minerals Rule compliance team consisting of a cross-functional group that includes representatives from manufacturing, engineering, purchasing/procurement and finance. The compliance team is responsible for developing and implementing Abaxis’ compliance program.

· Control Systems. Since Abaxis does not have direct relationships with Conflict Minerals smelters and refiners, we rely on the Template and associated due diligence information developed by the CFSI and to work with our suppliers to identify upstream participants in the supply chain and conduct due diligence investigation of them.

· Supplier Engagement. We have enhanced engagement with our suppliers principally by communicating to suppliers information and guidance regarding our requirements under the SEC’s Conflict Minerals rules, as well as the standards and expectations set forth in the Company Policy.

· Grievance Mechanism. Abaxis’ Corporate Governance policies include a whistleblower compliance hotline (1-800-826-6762) to report any grievance, including issues concerning our Conflict Minerals compliance.

(b) Identify and Assess Conflict Mineral Risks in the Supply Chain

· Identification of Conflict Minerals in the Supply Chain. Abaxis has a process to assess and identify suppliers of Covered Products (“In-Scope Suppliers”) during the Reporting Period and as such, the RCOI pertained only to those suppliers. We requested our In-Scope Suppliers to complete a Template to review Conflict Minerals risk within the supply chain, identify smelters and countries of origin of the Conflict Minerals, and provide additional information as necessary.

· Risk Assessment. Abaxis reviewed the conflict minerals data, provided by the In-Scope Suppliers for the Reporting Period and assessed the reasonableness of the representations made and reviewed the responses against criteria developed to determine which responses required further engagement with suppliers. These criteria included untimely or incomplete responses as well as inconsistencies or other apparent inaccuracies within the data reported. Additionally, we contacted suppliers for follow-up, clarification or additional information on the supplier surveys, when needed. We also evaluated suppliers’ stated responses regarding the locations of origin of the Conflict Minerals as well as the mine locations.

(c) Design and Implement a Strategy to Respond to Identified Risks

To the extent that suppliers identified smelters and refiners in the supply chain, we took steps to determine whether the Conflict Minerals directly or indirectly financed or benefitted armed groups in the Covered Countries. In particular, Abaxis compared the smelters and refiners identified by its In-Scope Suppliers against currently available independently verified lists of compliant smelters or refiners such as the CFSI’s Conflict-Free Smelter Program (“CFSP”) – Compliant Refiners/Smelters, the Responsible Jewellery Council (RJC) – Chain of Custody Certified Entities and the London Bullion Market Association (LBMA) – Good Delivery List. Generally, these programs identify smelters and refiners that an independent third-party audit has confirmed have systems in place designed to assure sourcing of only conflict-free minerals.

Of the smelters or refiners that have been identified as potentially applicable, some have not been identified as validated smelters. Through communication of our Conflict Minerals Policy and expectations for suppliers, as well as through our individual follow-up during the due diligence process, we have taken steps to encourage our suppliers to source from validated smelters. We have also developed a strategy for addressing the risk of unresponsive suppliers that do not source from validated smelters, including cautioning the supplier, providing additional education to the supplier and other corrective actions, giving the supplier an opportunity to change its sourcing to validated smelters, monitoring and tracking performance and elevating the problem to management. If, for any reason, the supplier were unable to change sources to validated smelters or were otherwise unresponsive, we may disengage from the supplier and seek new sources through the supply chain, depending on the criticality of the product supplied, including factors such as supplier size and capabilities, the availability of alternatives and our dependence on the supplier.

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(d) Implement Independent Third-Party Audit of Supply Chain Due Diligence

We do not have any direct relationships with smelters or refiners that process Conflict Minerals, and we do not perform or direct audits of these entities within our supply chain. As an alternative, we have relied on audit results and information collected and provided by independent third-party smelter and refinery audit programs, such as the CFSI.

(e) Report Annually on Supply Chain Due Diligence

This Report is publicly available and posted at Abaxis’ website (www.abaxis.com). Abaxis expects to report annually on supply chain due diligence, as required by the Rule.

Conflict Minerals Due Diligence Results

Abaxis relies on our In-Scope Suppliers, to provide information on the origin of the Conflict Minerals contained in components and materials supplied to us and on the smelters and refiners used to process those Conflict Minerals. The information provided by the In-Scope Suppliers primarily includes a completed Template. We believe that this method of obtaining information about Abaxis’ supply chain from In-Scope Suppliers represents a reasonable effort to determine the mines or locations of origin of the Conflict Minerals in Abaxis’ supply chain and the smelters and refiners that processed those Conflict Minerals. Although we received a response from all of our known Conflict Minerals suppliers, the quality of the responses received varied, preventing management from relying fully on all of these responses. Our goal is to continue to improve our due diligence efforts to obtain more complete information, particularly as more of our suppliers increase their familiarity with the information required.

Based on the information obtained in the RCOI and due diligence process described above, management has been unable to determine the smelter, refiner or country of origin for a portion of the Conflict Minerals included in the Covered Products during the Reporting Period. This inability was due primarily to the quality of the information received from the known Conflict Minerals suppliers, some of which provided Template responses at a “company-wide” level rather than a “product-specific” level or included only partially completed Templates that did not, for example, identify all of the supplier’s smelters or refiners or all of the countries from which its Conflict Minerals were sourced.

For the Reporting Period, of the 345 facilities identified by suppliers at the product level and believed to be actual smelters or refiners, 217 or 63% were identified by one of the programs above as certified conflict-free based on currently available independently verified lists of compliant smelters or refiners.

Identified Smelters and Refiners

As noted above, some of our In-Scope Suppliers were not able to identify any smelters or refiners and some were not able to identify smelters or refiners at the product-level. Moreover, there were facilities identified by suppliers that were not identified as actual smelters or refiners on the list developed by the U.S. Department of Commerce. As a result, at this point, we do not believe that we can reliably identify all smelters and/or refiners in our supply chain and, therefore, have presented in Table I of this CMR, only the 217 validated facilities believed to be actual smelters or refiners and that were identified by suppliers that provided product-level information.

We continue to work with our suppliers to encourage them to process Conflict Minerals supplied to us only through smelters and refiners that have been validated as conflict-free through programs such as the Conflict Free Smelter Program (CFSP) or are actively progressing toward validation.

Country of Origin of the Conflict Minerals

Based on the above-described due diligence process, Abaxis does not have sufficient information to conclusively determine the countries of origin of the 3TG in each of the Covered Products or whether the 3TG were from scrap or recycled sources. The country of origin of the conflict mineral information was not provided by our suppliers at the product level for the Reporting Period.

Efforts to Determine the Mine or Location of Origin

To determine the mines or location of origin of the Conflict Minerals with the greatest possible specificity, Abaxis performed the due diligence measures described above.

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Risk Mitigation and Future Due Diligence Measures

Abaxis strives to take the steps outlined above to ensure that Conflict Minerals contained in products are sourced with due respect for human rights, avoid contributing to conflict, and support development through responsible supply chain practices.

In addition to the steps already taken, we intend to improve due diligence measures and to further mitigate the likelihood that the Conflict Minerals contained in our products could benefit armed groups in the Covered Countries:

· Continue to engage with direct suppliers to obtain current, accurate and complete information about the supplier survey responses;

· Continue, and seek to further improve, our direct supplier surveys and due diligence process and continue to review the refinement and expansion of the list of participating smelters and refiners through the CFSI website to validate the smelters and refiners provided by suppliers; and

· Encourage direct suppliers to implement responsible sourcing and to request that they encourage smelters and refiners to obtain a “conflict-free” designation from a recognized third-party auditor through a program such as the CFSP and other industry-sponsored programs.

· In the event that any of our suppliers are found to be providing us with 3TG from sources that support conflict in the Covered Countries, work with the supplier to establish alternative sources of 3TG; and

· Continue to refine our due diligence processes in accordance with the OECD Guidelines and supplements.

Cautionary Note on Forward-Looking Statements

Forward-looking statements in this CMR are made pursuant to the safe harbor provisions of Section 21E of the Securities Exchange Act of 1934, as amended, and other federal securities laws. Investors are cautioned that statements in this CMR that are not strictly historical statements, including without limitation, Abaxis’ intentions and expectations regarding further supplier engagement, due diligence, and risk mitigation efforts and strategy, constitute forward-looking statements that involve risks and uncertainties. Words such as “expects,” “anticipates,” “goals,” “strives,” “intends,” “plans,” “believes,” “seeks,” variations of these words, and similar expressions are intended to identify such forward-looking statements. Actual results could differ materially from the forward-looking statements. Risks and uncertainties that could cause actual results to differ include, without limitation, risks and uncertainties associated with the progress of industry and other supply chain transparency and smelter or refiner validation programs for Conflict Minerals (including the possibility of inaccurate information, fraud and other irregularities), inadequate supplier education and knowledge, limitations on the ability or willingness of suppliers to provide more accurate, complete and detailed information and limitations on the Abaxis’ ability to verify the accuracy or completeness of any supply chain information provided by suppliers or others.
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Table I

The table below lists the CFSI Smelter Information Exchange validated smelters identified in our Template responses for 2015. The information below includes smelter facility names and locations as reported by the CFSI as of March 31, 2016.

Metal
 
Smelter Name
 
Smelter Country
 
Smelter ID
Tungsten
 
A.L.M.T. TUNGSTEN Corp.
 
JAPAN
 
CID000004
Tungsten
 
Kennametal Huntsville
 
UNITED STATES
 
CID000105
Tungsten
 
Guangdong Xianglu Tungsten Co., Ltd.
 
CHINA
 
CID000218
Tungsten
 
Chongyi Zhangyuan Tungsten Co., Ltd.
 
CHINA
 
CID000258
Tungsten
 
Fujian Jinxin Tungsten Co., Ltd.
 
CHINA
 
CID000499
Tungsten
 
Global Tungsten & Powders Corp.
 
UNITED STATES
 
CID000568
Tungsten
 
Hunan Chenzhou Mining Co., Ltd.
 
CHINA
 
CID000766
Tungsten
 
Hunan Chunchang Nonferrous Metals Co., Ltd.
 
CHINA
 
CID000769
Tungsten
 
Japan New Metals Co., Ltd.
 
JAPAN
 
CID000825
Tungsten
 
Ganzhou Huaxing Tungsten Products Co., Ltd.
 
CHINA
 
CID000875
Tungsten
 
Tejing (Vietnam) Tungsten Co., Ltd.
 
VIET NAM
 
CID001889
Tungsten
 
Vietnam Youngsun Tungsten Industry Co., Ltd.
 
VIET NAM
 
CID002011
Tungsten
 
Wolfram Bergbau und Hütten AG
 
AUSTRIA
 
CID002044
Tungsten
 
Xiamen Tungsten Co., Ltd.
 
CHINA
 
CID002082
Tungsten
 
Xinhai Rendan Shaoguan Tungsten Co., Ltd.
 
CHINA
 
CID002095
Tungsten
 
Ganzhou Jiangwu Ferrotungsten Co., Ltd.
 
CHINA
 
CID002315
Tungsten
 
Malipo Haiyu Tungsten Co., Ltd.
 
CHINA
 
CID002319
Tungsten
 
Xiamen Tungsten (H.C.) Co., Ltd.
 
CHINA
 
CID002320
Tungsten
 
Jiangxi Gan Bei Tungsten Co., Ltd.
 
CHINA
 
CID002321
Tungsten
 
Ganzhou Seadragon W & Mo Co., Ltd.
 
CHINA
 
CID002494
Tungsten
 
Chenzhou Diamond Tungsten Products Co., Ltd.
 
CHINA
 
CID002513
Tungsten
 
H.C. Starck GmbH
 
GERMANY
 
CID002541
Tungsten
 
H.C. Starck Smelting GmbH & Co.KG
 
GERMANY
 
CID002542
Tungsten
 
Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC
 
VIET NAM
 
CID002543
Tungsten
 
Hydrometallurg, JSC
 
RUSSIAN FEDERATION
 
CID002649
Tantalum
 
Changsha South Tantalum Niobium Co., Ltd.
 
CHINA
 
CID000211
Tantalum
 
Conghua Tantalum and Niobium Smeltry
 
CHINA
 
CID000291
Tantalum
 
Duoluoshan
 
CHINA
 
CID000410
Tantalum
 
Exotech Inc.
 
UNITED STATES
 
CID000456
Tantalum
 
F&X Electro-Materials Ltd.
 
CHINA
 
CID000460
Tantalum
 
FIR Metals & Resource Ltd.
 
CHINA
 
CID002505
Tantalum
 
Global Advanced Metals Aizu
 
JAPAN
 
CID002558
Tantalum
 
Global Advanced Metals Boyertown
 
UNITED STATES
 
CID002557
Tantalum
 
Guangdong Zhiyuan New Material Co., Ltd.
 
CHINA
 
CID000616
Tantalum
 
H.C. Starck Co., Ltd.
 
THAILAND
 
CID002544
Tantalum
 
H.C. Starck GmbH Goslar
 
GERMANY
 
CID002545
Tantalum
 
H.C. Starck GmbH Laufenburg
 
GERMANY
 
CID002546
Tantalum
 
H.C. Starck Hermsdorf GmbH
 
GERMANY
 
CID002547
Tantalum
 
H.C. Starck Inc.
 
UNITED STATES
 
CID002548
Tantalum
 
H.C. Starck Ltd.
 
JAPAN
 
CID002549
Tantalum
 
H.C. Starck Smelting GmbH & Co. KG
 
GERMANY
 
CID002550
Tantalum
 
Hengyang King Xing Lifeng New Materials Co., Ltd.
 
CHINA
 
CID002492
Tantalum
 
Hi-Temp Specialty Metals, Inc.
 
UNITED STATES
 
CID000731
Tantalum
 
Jiangxi Dinghai Tantalum & Niobium Co., Ltd.
 
CHINA
 
CID002512
Tantalum
 
JiuJiang JinXin Nonferrous Metals Co., Ltd.
 
CHINA
 
CID000914
Tantalum
 
Jiujiang Tanbre Co., Ltd.
 
CHINA
 
CID000917
Tantalum
 
Jiujiang Zhongao Tantalum & Niobium Co., Ltd.
 
CHINA
 
CID002506
Tantalum
 
KEMET Blue Metals
 
MEXICO
 
CID002539
Tantalum
 
KEMET Blue Powder
 
UNITED STATES
 
CID002568
Tantalum
 
King-Tan Tantalum Industry Ltd.
 
CHINA
 
CID000973
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Metal
 
Smelter Name
 
Smelter Country
 
Smelter ID
Tantalum
 
LSM Brasil S.A.
 
BRAZIL
 
CID001076
Tantalum
 
Metallurgical Products India Pvt., Ltd.
 
INDIA
 
CID001163
Tantalum
 
Mineração Taboca S.A.
 
BRAZIL
 
CID001175
Tantalum
 
Mitsui Mining & Smelting
 
JAPAN
 
CID001192
Tantalum
 
Molycorp Silmet A.S.
 
ESTONIA
 
CID001200
Tantalum
 
Ningxia Orient Tantalum Industry Co., Ltd.
 
CHINA
 
CID001277
Tantalum
 
Plansee SE Liezen
 
AUSTRIA
 
CID002540
Tantalum
 
Plansee SE Reutte
 
AUSTRIA
 
CID002556
Tantalum
 
QuantumClean
 
UNITED STATES
 
CID001508
Tantalum
 
RFH Tantalum Smeltry Co., Ltd.
 
CHINA
 
CID001522
Tantalum
 
Solikamsk Magnesium Works OAO
 
RUSSIAN FEDERATION
 
CID001769
Tantalum
 
Taki Chemicals
 
JAPAN
 
CID001869
Tantalum
 
Telex Metals
 
UNITED STATES
 
CID001891
Tantalum
 
Ulba Metallurgical Plant JSC
 
KAZAKHSTAN
 
CID001969
Tantalum
 
Yichun Jin Yang Rare Metal Co., Ltd.
 
CHINA
 
CID002307
Tantalum
 
Zhuzhou Cemented Carbide
 
CHINA
 
CID002232
Tin
 
Alpha
 
UNITED STATES
 
CID000292
Tin
 
China Tin Group Co., Ltd.
 
CHINA
 
CID001070
Tin
 
Cooperativa Metalurgica de Rondônia Ltda.
 
BRAZIL
 
CID000295
Tin
 
CV Gita Pesona
 
INDONESIA
 
CID000306
Tin
 
CV Serumpun Sebalai
 
INDONESIA
 
CID000313
Tin
 
CV United Smelting
 
INDONESIA
 
CID000315
Tin
 
CV Venus Inti Perkasa
 
INDONESIA
 
CID002455
Tin
 
Dowa
 
JAPAN
 
CID000402
Tin
 
Elmet S.L.U.
 
SPAIN
 
CID002774
Tin
 
EM Vinto
 
BOLIVIA
 
CID000438
Tin
 
Fenix Metals
 
POLAND
 
CID000468
Tin
 
Gejiu Non-Ferrous Metal Processing Co., Ltd.
 
CHINA
 
CID000538
Tin
 
Jiangxi Ketai Advanced Material Co., Ltd.
 
CHINA
 
CID000244
Tin
 
Magnu's Minerais Metais e Ligas Ltda.
 
BRAZIL
 
CID002468
Tin
 
Malaysia Smelting Corporation (MSC)
 
MALAYSIA
 
CID001105
Tin
 
Melt Metais e Ligas S.A.
 
BRAZIL
 
CID002500
Tin
 
Metallic Resources, Inc.
 
UNITED STATES
 
CID001142
Tin
 
Metallo-Chimique N.V.
 
BELGIUM
 
CID002773
Tin
 
Mineração Taboca S.A.
 
BRAZIL
 
CID001173
Tin
 
Minsur
 
PERU
 
CID001182
Tin
 
Mitsubishi Materials Corporation
 
JAPAN
 
CID001191
Tin
 
O.M. Manufacturing (Thailand) Co., Ltd.
 
THAILAND
 
CID001314
Tin
 
O.M. Manufacturing Philippines, Inc.
 
PHILIPPINES
 
CID002517
Tin
 
Operaciones Metalurgical S.A.
 
BOLIVIA
 
CID001337
Tin
 
PT Aries Kencana Sejahtera
 
INDONESIA
 
CID000309
Tin
 
PT Artha Cipta Langgeng
 
INDONESIA
 
CID001399
Tin
 
PT ATD Makmur Mandiri Jaya
 
INDONESIA
 
CID002503
Tin
 
PT Babel Inti Perkasa
 
INDONESIA
 
CID001402
Tin
 
PT Bangka Tin Industry
 
INDONESIA
 
CID001419
Tin
 
PT Belitung Industri Sejahtera
 
INDONESIA
 
CID001421
Tin
 
PT BilliTin Makmur Lestari
 
INDONESIA
 
CID001424
Tin
 
PT Bukit Timah
 
INDONESIA
 
CID001428
Tin
 
PT DS Jaya Abadi
 
INDONESIA
 
CID001434
Tin
 
PT Eunindo Usaha Mandiri
 
INDONESIA
 
CID001438
Tin
 
PT Inti Stania Prima
 
INDONESIA
 
CID002530
Tin
 
PT Justindo
 
INDONESIA
 
CID000307
Tin
 
PT Mitra Stania Prima
 
INDONESIA
 
CID001453
Tin
 
PT Panca Mega Persada
 
INDONESIA
 
CID001457
Tin
 
PT Prima Timah Utama
 
INDONESIA
 
CID001458
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Metal
 
Smelter Name
 
Smelter Country
 
Smelter ID
Tin
 
PT Refined Bangka Tin
 
INDONESIA
 
CID001460
Tin
 
PT Sariwiguna Binasentosa
 
INDONESIA
 
CID001463
Tin
 
PT Stanindo Inti Perkasa
 
INDONESIA
 
CID001468
Tin
 
PT Sumber Jaya Indah
 
INDONESIA
 
CID001471
Tin
 
PT Timah (Persero) Tbk Kundur
 
INDONESIA
 
CID001477
Tin
 
PT Timah (Persero) Tbk Mentok
 
INDONESIA
 
CID001482
Tin
 
PT Tinindo Inter Nusa
 
INDONESIA
 
CID001490
Tin
 
PT Tommy Utama
 
INDONESIA
 
CID001493
Tin
 
PT Wahana Perkit Jaya
 
INDONESIA
 
CID002479
Tin
 
Rui Da Hung
 
TAIWAN
 
CID001539
Tin
 
Soft Metais Ltda.
 
BRAZIL
 
CID001758
Tin
 
Thaisarco
 
THAILAND
 
CID001898
Tin
 
VQB Mineral and Trading Group JSC
 
VIET NAM
 
CID002015
Tin
 
White Solder Metalurgia e Mineração Ltda.
 
BRAZIL
 
CID002036
Tin
 
Yunnan Tin Company Limited
 
CHINA
 
CID002180
Gold
 
Aida Chemical Industries Co., Ltd.
 
JAPAN
 
CID000019
Gold
 
Allgemeine Gold-und Silberscheideanstalt A.G.
 
GERMANY
 
CID000035
Gold
 
AngloGold Ashanti Córrego do Sítio Mineração
 
BRAZIL
 
CID000058
Gold
 
Argor-Heraeus S.A.
 
SWITZERLAND
 
CID000077
Gold
 
Asahi Pretec Corp.
 
JAPAN
 
CID000082
Gold
 
Asahi Refining Canada Ltd.
 
CANADA
 
CID000924
Gold
 
Asahi Refining USA Inc.
 
UNITED STATES
 
CID000920
Gold
 
Asaka Riken Co., Ltd.
 
JAPAN
 
CID000090
Gold
 
Atasay Kuyumculuk Sanayi Ve Ticaret A.S.
 
TURKEY
 
CID000103
Gold
 
Aurubis AG
 
GERMANY
 
CID000113
Gold
 
Bangko Sentral ng Pilipinas (Central Bank of the Philippines)
 
PHILIPPINES
 
CID000128
Gold
 
Boliden AB
 
SWEDEN
 
CID000157
Gold
 
C. Hafner GmbH + Co. KG
 
GERMANY
 
CID000176
Gold
 
CCR Refinery - Glencore Canada Corporation
 
CANADA
 
CID000185
Gold
 
Chimet S.p.A.
 
ITALY
 
CID000233
Gold
 
DODUCO GmbH
 
GERMANY
 
CID000362
Gold
 
Dowa
 
JAPAN
 
CID000401
Gold
 
Eco-System Recycling Co., Ltd.
 
JAPAN
 
CID000425
Gold
 
Elemetal Refining, LLC
 
UNITED STATES
 
CID001322
Gold
 
Heimerle + Meule GmbH
 
GERMANY
 
CID000694
Gold
 
Heraeus Ltd. Hong Kong
 
CHINA
 
CID000707
Gold
 
Heraeus Precious Metals GmbH & Co. KG
 
GERMANY
 
CID000711
Gold
 
Ishifuku Metal Industry Co., Ltd.
 
JAPAN
 
CID000807
Gold
 
Istanbul Gold Refinery
 
TURKEY
 
CID000814
Gold
 
Japan Mint
 
JAPAN
 
CID000823
Gold
 
Jiangxi Copper Co., Ltd.
 
CHINA
 
CID000855
Gold
 
JSC Ekaterinburg Non-Ferrous Metal Processing Plant
 
RUSSIAN FEDERATION
 
CID000927
Gold
 
JSC Uralelectromed
 
RUSSIAN FEDERATION
 
CID000929
Gold
 
JX Nippon Mining & Metals Co., Ltd.
 
JAPAN
 
CID000937
Gold
 
Kazzinc
 
KAZAKHSTAN
 
CID000957
Gold
 
Kennecott Utah Copper LLC
 
UNITED STATES
 
CID000969
Gold
 
Kojima Chemicals Co., Ltd.
 
JAPAN
 
CID000981
Gold
 
LS-NIKKO Copper Inc.
 
KOREA, REPUBLIC OF
 
CID001078
Gold
 
Materion
 
UNITED STATES
 
CID001113
Gold
 
Matsuda Sangyo Co., Ltd.
 
JAPAN
 
CID001119
Gold
 
Metalor Technologies (Hong Kong) Ltd.
 
CHINA
 
CID001149
Gold
 
Metalor Technologies (Singapore) Pte., Ltd.
 
SINGAPORE
 
CID001152
Gold
 
Metalor Technologies S.A.
 
SWITZERLAND
 
CID001153
Gold
 
Metalor USA Refining Corporation
 
UNITED STATES
 
CID001157
Gold
 
Metalúrgica Met-Mex Peñoles S.A. De C.V.
 
MEXICO
 
CID001161
8


Metal
 
Smelter Name
 
Smelter Country
 
Smelter ID
Gold
 
Mitsubishi Materials Corporation
 
JAPAN
 
CID001188
Gold
 
Mitsui Mining and Smelting Co., Ltd.
 
JAPAN
 
CID001193
Gold
 
Moscow Special Alloys Processing Plant
 
RUSSIAN FEDERATION
 
CID001204
Gold
 
Nadir Metal Rafineri San. Ve Tic. A.Ş.
 
TURKEY
 
CID001220
Gold
 
Nihon Material Co., Ltd.
 
JAPAN
 
CID001259
Gold
 
Ohura Precious Metal Industry Co., Ltd.
 
JAPAN
 
CID001325
Gold
 
OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)
 
RUSSIAN FEDERATION
 
CID001326
Gold
 
OJSC Novosibirsk Refinery
 
RUSSIAN FEDERATION
 
CID000493
Gold
 
PAMP S.A.
 
SWITZERLAND
 
CID001352
Gold
 
Prioksky Plant of Non-Ferrous Metals
 
RUSSIAN FEDERATION
 
CID001386
Gold
 
PT Aneka Tambang (Persero) Tbk
 
INDONESIA
 
CID001397
Gold
 
PX Précinox S.A.
 
SWITZERLAND
 
CID001498
Gold
 
Rand Refinery (Pty) Ltd.
 
SOUTH AFRICA
 
CID001512
Gold
 
Republic Metals Corporation
 
UNITED STATES
 
CID002510
Gold
 
Royal Canadian Mint
 
CANADA
 
CID001534
Gold
 
Schone Edelmetaal B.V.
 
NETHERLANDS
 
CID001573
Gold
 
SEMPSA Joyería Platería S.A.
 
SPAIN
 
CID001585
Gold
 
Shandong Zhaojin Gold & Silver Refinery Co., Ltd.
 
CHINA
 
CID001622
Gold
 
Sichuan Tianze Precious Metals Co., Ltd.
 
CHINA
 
CID001736
Gold
 
SOE Shyolkovsky Factory of Secondary Precious Metals
 
RUSSIAN FEDERATION
 
CID001756
Gold
 
Solar Applied Materials Technology Corp.
 
TAIWAN
 
CID001761
Gold
 
Sumitomo Metal Mining Co., Ltd.
 
JAPAN
 
CID001798
Gold
 
Tanaka Kikinzoku Kogyo K.K.
 
JAPAN
 
CID001875
Gold
 
The Refinery of Shandong Gold Mining Co., Ltd.
 
CHINA
 
CID001916
Gold
 
Tokuriki Honten Co., Ltd.
 
JAPAN
 
CID001938
Gold
 
Umicore Brasil Ltda.
 
BRAZIL
 
CID001977
Gold
 
Umicore Precious Metals Thailand
 
THAILAND
 
CID002314
Gold
 
Umicore S.A. Business Unit Precious Metals Refining
 
BELGIUM
 
CID001980
Gold
 
United Precious Metal Refining, Inc.
 
UNITED STATES
 
CID001993
Gold
 
Valcambi S.A.
 
SWITZERLAND
 
CID002003
Gold
 
Western Australian Mint trading as The Perth Mint
 
AUSTRALIA
 
CID002030
Gold
 
Yamamoto Precious Metal Co., Ltd.
 
JAPAN
 
CID002100
Gold
 
Yokohama Metal Co., Ltd.
 
JAPAN
 
CID002129
Gold
 
Zhongyuan Gold Smelter of Zhongjin Gold Corporation
 
CHINA
 
CID002224
Gold
 
Zijin Mining Group Co., Ltd. Gold Refinery
 
CHINA
 
CID002243
Tungsten
 
Jiangwu H.C. Starck Tungsten Products Co., Ltd.
 
CHINA
 
CID002551
Tungsten
 
Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.
 
CHINA
 
CID002318
Tungsten
 
Jiangxi Xinsheng Tungsten Industry Co., Ltd.
 
CHINA
 
CID002317
Tungsten
 
Jiangxi Yaosheng Tungsten Co., Ltd.
 
CHINA
 
CID002316
Tungsten
 
Kennametal Fallon
 
UNITED STATES
 
CID000966
Tin
 
An Vinh Joint Stock Mineral Processing Company
 
VIET NAM
 
CID002703
Tin
 
Gejiu Kai Meng Industry and Trade LLC
 
CHINA
 
CID000942
Tin
 
Nghe Tinh Non-Ferrous Metals Joint Stock Company
 
VIET NAM
 
CID002573
Tin
 
Phoenix Metal Ltd.
 
RWANDA
 
CID002507
Tin
 
PT Karimun Mining
 
INDONESIA
 
CID001448
Tin
 
Yunnan Chengfeng Non-ferrous Metals Co., Ltd.
 
CHINA
 
CID002158
Gold
 
Advanced Chemical Company
 
UNITED STATES
 
CID000015
Gold
 
Almalyk Mining and Metallurgical Complex (AMMC)
 
UZBEKISTAN
 
CID000041
Gold
 
Cendres + Métaux S.A.
 
SWITZERLAND
 
CID000189
Gold
 
Daejin Indus Co., Ltd.
 
KOREA, REPUBLIC OF
 
CID000328
Gold
 
DSC (Do Sung Corporation)
 
KOREA, REPUBLIC OF
 
CID000359
Gold
 
Faggi Enrico S.p.A.
 
ITALY
 
CID002355
Gold
 
Geib Refining Corporation
 
UNITED STATES
 
CID002459
Gold
 
Metalor Technologies (Suzhou) Ltd.
 
CHINA
 
CID001147
Gold
 
Navoi Mining and Metallurgical Combinat
 
UZBEKISTAN
 
CID001236
Gold
 
Samduck Precious Metals
 
KOREA, REPUBLIC OF
 
CID001555
Gold
 
Torecom
 
KOREA, REPUBLIC OF
 
CID001955
 
 
9