Form SD

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM SD

Specialized Disclosure Report

 

 

SEALED AIR CORPORATION

(Exact Name of Registrant as Specified in its Charter)

 

 

 

Delaware   1-12139   65-0654331
(State or Other Jurisdiction
of Incorporation)
  (Commission
File Number)
  (IRS Employer
Identification No.)

 

2415 Cascade Pointe Boulevard
Charlotte, North Carolina
  28208
(Address of Principal Executive Offices)   (Zip Code)

 

 

Angel S. Willis

Vice President, General Counsel & Secretary

980-221-3235

(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 to December 31, 2022.

 

 

 


Section 1 - Conflict Minerals Disclosure

Item 1.01 Conflict Minerals Disclosure and Report

In accordance with Rule 13p-1 under the Securities Exchange Act of 1934 (the “Conflict Minerals Rule”), Sealed Air Corporation (“Sealed Air” or the “Company”) is filing this Form SD to disclose information relating to the Company’s use and sourcing of columbite-tantalite (coltan), cassiterite, gold, wolframite, or their derivatives, which are limited to tantalum, tin and tungsten (“3TG” or “Conflict Minerals”).

The Company has determined that during the reporting period January 1, 2022 to December 31, 2022, certain of the products the Company manufactured or contracted to manufacture contained 3TG that was necessary to the functionality or production of those products. Sealed Air conducted a reasonable country of origin inquiry (“RCOI”) designed to determine whether any of the 3TG originated in the Democratic Republic of the Congo or an adjoining country (together, a “Covered Country”) and whether any of the 3TG originated from recycled or scrap sources. Based on this RCOI, Sealed Air determined that certain of the 3TG likely originated in the Covered Countries and did not originate from recycled or scrap sources. Accordingly, Sealed Air exercised due diligence on the source and chain of custody of such 3TG and has filed a Conflict Minerals Report for calendar year 2022 (the “2022 Conflict Minerals Report”). The Company’s 2022 Conflict Minerals Report is attached hereto as Exhibit 1.01 and is publicly available at ir.sealedair.com/reports-filings/sec-filings.

Item 1.02 Exhibit

The Company’s 2022 Conflict Minerals Report, as required by Item 1.02, is attached as Exhibit 1.01 to this Form SD.

Section 2 - Exhibits

Item 2.01  Exhibits

Exhibit 1.01 - Conflict Minerals Report for the reporting period January 1 to December 31, 2022.


SIGNATURE

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.

 

Sealed Air Corporation
By:  

/s/ Angel S. Willis

  Angel S. Willis
  Vice President, General Counsel & Secretary

Dated: May 31, 2023

EX-1.01

Exhibit 1.01

Sealed Air Corporation

Conflict Minerals Report

For the Year Ended December 31, 2022

Introduction

This Conflict Minerals Report has been prepared pursuant to Rule 13p-1 of the Securities Exchange Act of 1934, as amended (the “Rule”), for the reporting period from January 1 to December 31, 2022 (the “Report Year”). This Conflict Minerals Report describes Sealed Air Corporation’s (“Sealed Air,” the “Company,” “we,” “our,” or “us”) reasonable country of origin inquiry (“RCOI”) and due diligence on the source and chain of custody of gold, columbite-tantalite (coltan), cassiterite, wolframite, or their derivatives, which are limited to tantalum, tin and tungsten (“3TG” or “Conflict Minerals”) that are necessary to the production or functionality of products that Sealed Air manufactured or contracted to manufacture during the Report Year. We are several steps removed from the mining and processing of the 3TG used in the components for our products. Accordingly, our due diligence process focused on our suppliers, and we rely on them to assist with both our RCOI and due diligence process, including the identification of smelters or refiners (“SORs”) in the supply chain and the countries of origin of 3TG sourced by the identified SORs.

The information in this report covers the activities of Sealed Air and all of its consolidated subsidiaries.

Company Overview

Sealed Air, a corporation organized under the laws of Delaware, is a leading global provider of packaging solutions integrating high-performance materials, automation, equipment and services. Sealed Air designs and delivers packaging solutions that preserve food, protect goods, automate packaging processes, and enable e-commerce and digital connectivity for packaged goods. Our packaging solutions are designed to help customers automate their operations to be increasingly touchless and more resilient, safer, less wasteful, and enhance brand engagement with consumers. We deliver our packaging solutions to an array of end markets including fresh proteins, foods, fluids, medical and healthcare, e-commerce, logistics and omnichannel fulfillment operations, and industrials.

We serve customers across 120 countries/territories directly and through a diversified distribution network. We aim to deliver savings to our customers and accelerate payback on their investments. We invest in technology and innovation that transform our industry toward a more sustainable future.

Our portfolio of solutions includes leading brands such as CRYOVAC® brand food packaging, LIQUIBOX® fluids and liquids systems, SEALED AIR® brand protective packaging, AUTOBAG® brand automated packaging, BUBBLE WRAP® brand packaging, SEE Touchless Automation solutions and prismiq digital packaging and printing.

Product Description

This Conflict Minerals Report relates to products (i) for which 3TGs are necessary to the functionality or production of that product; (ii) that were manufactured, or contracted to be manufactured, by the Company; and (iii) for which the manufacture was completed during the Report Year. Through a screening process, the Company determined that, to the best of our knowledge, customer equipment and other select products of the Company, referred to collectively as the “Covered Products,” contain 3TG or have a high likelihood of containing 3TG, as these products contain electronic components. More specifically, the “Covered Products” may contain necessary 3TGs as follows:

 

   

Tantalum, used in capacitors and certain alloys;

 

   

Tin, used in soldered components;

 

   

Tungsten, used in coatings and certain alloys; and

 

   

Gold, used in circuit boards and electronic components.


Supply Chain

Our supply chain includes 660 different in-scope suppliers. Because of our size, the complexity of our products, and the depth, breadth, and constant evolution of our supply chain, it is challenging to identify actors upstream from our direct suppliers. There are many tiers of suppliers and sub-suppliers between the Company and the SORs that process the 3TG that is contained in each particular product manufactured or contracted to be manufactured by Sealed Air. Therefore, it is inherently difficult to determine the ultimate source of 3TG in the products we manufacture. As a result, we rely on our direct suppliers to provide information on the origin of the 3TG contained in components and materials supplied to us—including sources of 3TG that are supplied to them from lower tier suppliers.

We maintain contract terms applicable to the majority of our suppliers with regard to 3TG. Those terms require suppliers to certify that, unless otherwise specified in writing, the products do not contain any 3TG, and further require that the suppliers respond to reasonable requests from the Company in connection with its compliance with Section 1502 of the Dodd-Frank Act.

Reasonable Country of Origin Inquiry

We conducted a RCOI reasonably designed to determine whether the 3TG in our products in the Report Year originated from the Covered Countries or are from recycled or scrap sources in accordance with the requirements of the Rule. The Covered Countries are the Democratic Republic of the Congo (“DRC”) and its adjoining countries (Angola, Burundi, Republic of the Congo, Central African Republic, Rwanda, South Sudan, Tanzania, Uganda and Zambia). As part of its RCOI, and with the assistance of a third-party consultant, Assent Inc. (“Assent”), the Company engaged its potential 3TG suppliers to collect information regarding the presence and sourcing of 3TG in its products. Suppliers were asked to complete and submit, within a certain time frame, the joint Electronic Industry Citizen Coalition (“EICC”) and Global e-Sustainability Initiative (“GeSI”) EICC-GeSI Conflict Minerals Reporting Template v. 6.10 or higher (“CMRT”) via the Assent Compliance Manager (ACM), a SaaS platform provided by Assent that enables its users to complete and track supplier communications as well as allow suppliers to upload completed CMRTs directly to the platform for assessment and management. The CMRT is a standardized reporting template developed by the Responsible Minerals Initiative (“RMI”) that requests, among other things, information regarding country of origin of 3TG supplied to the Company and the SORs in the supply chain. Assent followed up with all unresponsive suppliers through a defined process via both automated emails and one-on-one emails, including offering assistance and training and education to guide suppliers on best practices of this template, as well as the requirements of the Rule and the Company’s expectations. Based on the RCOI, Sealed Air determined that certain of our 3TG likely originated in the Covered Countries and did not come from 100% recycled or scrap sources. Accordingly, Sealed Air exercised due diligence on the source and chain of custody of such 3TG and is filing this Conflict Minerals Report for the Report Year.

Due Diligence

Design of Due Diligence

Sealed Air designed its due diligence process to conform with the due diligence framework in the Organization of Economic Co-operation and Development Due Diligence (“OECD”) Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, Third Edition and related Supplements on Tin, Tantalum and Tungsten and on Gold (collectively the “OECD Guidance”). The OECD Guidance identifies five steps for due diligence that should be implemented and provides guidance as to how to achieve each step. We developed our due diligence process to address each of these five steps, namely:

 

  1.

Establishing strong company management systems regarding conflict minerals;

 

  2.

Identifying and assessing risks in our supply chain;

 

  3.

Designing and implementing a strategy to respond to identified risks in our supply chain;

 

  4.

Utilizing independent third-party audits of supply chain diligence; and

 

  5.

Publicly reporting on our supply chain due diligence.

Step One - Establish Strong Company Management Systems

Conflict Minerals Policy

We have adopted a Conflict Minerals Policy, which is posted on our website at sealedair.com/company/our-company/ethics-compliance.


Internal Team and Training

The Company has established an internal management team responsible for executing our Conflict Minerals due diligence process and reporting compliance. Our Conflict Minerals team is overseen by the General Counsel and the Chief Manufacturing & Supply Chain Officer and a team of subject matter experts from relevant functions such as quality, supply chain, operations, finance and legal. The team of subject matter experts is responsible for implementing our Conflict Minerals compliance strategy. Senior management is briefed about the results of our due diligence efforts on a regular basis.

We, in cooperation with Assent, have developed internal training programs to educate anyone within the Company who is a potential contact point for suppliers or other external parties regarding the Company’s Conflict Minerals compliance efforts. We intend to review our training programs at least annually to make sure they are continuously aligned with current regulations, our initiatives, and the tools we use.

Control Systems

As previously noted, the Company engaged Assent to facilitate supplier engagement and assist the Company in collecting, analyzing, verifying, and storing supplier-provided data and performing due diligence for the Conflict Minerals program. Data regarding the presence and sourcing of 3TG in materials, goods and components supplied to the Company was collected from suppliers utilizing the CMRT, a standardized reporting template developed by the RMI.

Our controls also include our Code of Conduct, which outlines expected behaviors for all our employees.

Supplier Engagement

We rely on our direct suppliers to provide information on the origin of the 3TG contained in components and materials supplied to us - including sources of 3TG that are supplied to them from lower tier suppliers.

In accordance with the OECD requirement to strengthen engagement with suppliers, we have, in cooperation with Assent, provided educational materials to suppliers on the Conflict Minerals regulations as well as relevant SEC reporting requirements (as discussed further below). In addition, we have leveraged our existing communications framework, specifically through our procurement personnel, to encourage supplier interactions with Assent and to impress on our suppliers the importance of completing the Conflict Minerals surveys. It has also allowed for our supplier communications to be more focused and to ensure expectations are clear.

Additionally, as noted, the majority of our supplier contracts require suppliers to certify that, unless otherwise specified in writing, the products do not contain any 3TG, and further require that the suppliers respond to reasonable requests from the Company in connection with its compliance with Section 1502 of the Dodd-Frank Act.

We put a strong emphasis on supplier education and training. To accomplish this, we utilized Assent’s Learning Management System, Assent University, and provided all in-scope suppliers access to their Conflict Minerals training course. This training is tracked and evaluated based on completion. All suppliers are encouraged to complete all modules within this course.

Grievance Mechanism

We have in place a grievance mechanism whereby employees and suppliers can report violations of the Company’s policies, including concerns with regard to Conflict Minerals. Employees and suppliers can raise concerns by emailing at contact.us@sealedair.com.

Records Maintenance

We have retained all relevant documentation from our RCOI and due diligence. Our policy related to relevant documentation of our Conflict Minerals compliance process requires that documentation be retained for a period of at least five years. All of the information and findings from this process is stored in a database that can be audited by internal or external parties.


Step Two - Identify and Assess Risk in Our Supply Chain

Supplier Risk Assessment

Because of our size, the complexity of our products, and the depth, breadth, and constant evolution of our supply chain, it is challenging for us to identify suppliers other than our direct suppliers. After conducting a risk-based assessment of our direct suppliers, we identified over 660 different in-scope direct suppliers. We rely on suppliers whose materials or components contain 3TG to provide us with information about the source of 3TG contained in those materials or components. Our direct suppliers similarly rely upon information provided by their suppliers. Many of the largest suppliers either are SEC registrants and subject to the Rule or are suppliers to other SEC registrants that are subject to the Rule.

We calculate supplier risk based on the chances that a supplier provides 3TG that may originate from non-conflict free sources. The value of this risk is calculated based on the risk ratings of the SORs declared by that supplier on their CMRT. Additionally, suppliers are evaluated on program strength (further assisting in identifying risk in the supply chain). Evaluating and tracking the strength of the program can assist in making key risk mitigation decisions as the program progresses. The criteria used to evaluate the strength of the supplier’s program are their answers to questions A, E, G and H on the Declaration tab of the CMRT:

 

   

Does the supplier have a policy in place that includes DRC conflict-free sourcing?

 

   

Has the supplier implemented due diligence measures for conflict-free sourcing?

 

   

Does the supplier verify due diligence information received from its suppliers?

 

   

Does the supplier’s verification process include corrective action management?

When a supplier meets these criteria, the supplier is deemed to have a strong program. When a supplier does not meet these criteria, the supplier is deemed to have a weak program.

As part of our risk management plan and to ensure suppliers understand our expectations, we have, through Assent, provided video and written training on Conflict Minerals and the CMRT. This training includes instructions on completing the form and one-on-one email and phone discussions with supplier personnel.

Supplier Surveys

Tracing materials back to their mine or location of origin is a complex aspect of responsible sourcing in our supply chain. We have determined that seeking information about 3TG SORs in our supply chain represents the most reasonable effort we can make to determine the mines or locations of origin of the 3TG in our supply chain.

Our primary means of determining the origin of our 3TG for the Report Year was by conducting a supply chain survey to our direct suppliers using the CMRT. This supply chain survey, and Sealed Air’s Conflict Minerals program as a whole, has been developed and implemented in cooperation with Assent.

Assent provided each supplier a copy of the EICC-GeSI reporting CMRT to complete for purposes of Conflict Minerals tracking. Assent and/or members of the Sealed Air supply chain team made at least three follow-up inquiries to each supplier that did not respond to our initial survey, either by phone or email or both. The Assent software platform automatically reviewed the responses against criteria developed to determine which required further engagement with our suppliers. These criteria included incomplete responses as well as inconsistencies within the data reported in the CMRT. Assent worked directly with those suppliers to provide revised responses.

Once surveys were returned, Assent reviewed and attempted to match each verified SOR identified in the completed surveys to available lists of SORs that have been validated as conflict free under internationally recognized schemes such as the RMI Conflict-Free Smelter Program (“RMAP”). If a SOR was not validated by the RMAP, Assent either attempted to contact the SOR to gather more information about its sourcing practices or conducted Internet research to determine whether there are any additional publicly available sources of information regarding the SOR’s sourcing practices.

In accordance with OECD Guidelines, it is important to identify and assess risks associated with 3TGs in the supply chain. Risks were identified by assessing the due diligence practices of smelters and refiners identified in the supply chain by upstream suppliers that listed mineral processing facilities on their CMRT declarations. Assent compared these facilities listed in the responses to the list of smelters and refiners maintained by the RMI to ensure that the facilities met the RMI definition of a 3TG processing facility that was operational during the Report Year.

In order to assess the risk that any of these smelters posed to our supply chain, Assent determined if the smelter had been audited against a standard in conformance with the OECD Guidance, such as the RMAP. We do not typically have a direct relationship with 3TG smelters and refiners and do not perform direct audits of these entities within our supply chain. Smelters that have completed an RMAP audit are considered to be DRC conflict free. In cases where the smelter’s due diligence practices have not been audited against the RMAP standard, a potential supply chain risk exists.


As of May 12, 2023, we have validated 343 smelters or refiners and are working to validate the additional smelter entries from the submitted CMRTs. Due to the provision of primarily supplier-level CMRTs, we cannot definitely determine their connection to the Covered Products.

Each facility that meets the RMI definition of a smelter or refiner of a 3TG mineral is assessed according to smelter of interest indicators defined in the OECD Guidance. Assent uses numerous factors to determine the level of risk that each smelter poses to the supply chain by identifying smelters of interest. These factors include:

 

   

Geographic proximity to the DRC and covered countries;

 

   

Known mineral source country of origin;

 

   

Responsible Minerals Assurance Process (RMAP) audit status;

 

   

Credible evidence of unethical or conflict sourcing; and

 

   

Peer Assessments conducted by credible third-party sources.

Based on these criteria the following facilities have been identified as smelters of interest in their supply chain:

 

   

African Gold Refinery Limited (AGR) – CID003185

 

   

Artek LLC – CID003553

 

   

Fidelity Printers and Refiners – CID002515

 

   

Hydrometallurg, JSC – CID002649

 

   

Industrial Refining Company - CID002587

 

   

JSC “Kirovgrad Hard Alloys Plant” – CID003408

 

   

JSC Ekaterinburg Non-Ferrous Metal Processing Plant – CID000927

 

   

JSC Novosibirsk Refinery – CID000493

 

   

JSC Uralectromed – CID000929

 

   

Kaloti Precious Metals - CID002563

 

   

Kyshtym Copper-Electrolytic Plant ZEO – CID002865

 

   

LLC Vostok – CID003643

 

   

Moliren Ltd. – CID002845

 

   

Moscow Special Allows Processing Plant – CID001204

 

   

Novosibirsk Tin Combine – CID001305

 

   

NPP Tyazhmetprom LLC – CID003416

 

   

OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet) – CID001326

 

   

OOO “Technolom” 1 – CID003614

 

   

OOO “Technolom” 2 – CID003612

 

   

Prioksky Plant of Non-Ferrous Metals – CID001386

 

   

SOE Shyolkovsky Factory of Secondary Precious Metals – CID001756


   

Solikamsk Magnesium Works OAO – CID001769

 

   

Sudan Gold Refinery - CID002567

 

   

Unecha Refactory metals plant – CID002724

As part of our risk management plan under the OECD Guidance, when these facilities were reported on a CMRT by one of the suppliers surveyed, risk mitigation activities are initiated. Through Assent, submissions that include any of the above facilities immediately produce a receipt instructing the supplier to take their own risk mitigation actions, including submission of a product specific CMRT to better identify the connection to products that they supply to Sealed Air, and escalating up to removal of these smelters of interest from their supply chain.

As per the OECD Guidance, risk mitigation will depend on the supplier’s specific context. Suppliers are given clear performance objectives within reasonable timeframes with the ultimate goal of progressive elimination of these smelters of interest from the supply chain. In addition, suppliers are guided to the Assent University learning platform to engage in educational materials on mitigating the risk of smelters or refiners on the supply chain.

Step Three - Design and Implement a Strategy to Respond to Risks

The Company maintains a risk management plan to respond to risks identified in the above-described risk assessment. The Company’s Conflict Minerals program is implemented, managed and monitored in accordance with this risk management plan.

The Company’s Conflict Minerals team provides updates to senior management of the Company in connection with the Conflict Minerals Program, including with regard to risk assessment and results of the annual due diligence process.

As described in our Conflict Minerals policy, we expect our suppliers to fully support our compliance efforts, including in connection with our due diligence efforts to trace the source and chain of custody of our 3TG. As part of our risk management plan, to ensure suppliers understand our expectations, we provided both video recorded training and documented instructions through Assent, and answered all questions that suppliers requiring further clarification presented to us.

Step Four - Carry out Independent Third-Party Audit of Supply Chain Due Diligence at Identified Points in the Supply Chain

Sealed Air does not have a direct relationship with 3TG SORs and, accordingly, we do not perform direct audits of these entities in our supply chain. Rather, Sealed Air relies on independent third parties to audit and validate SORs.

Step Five - Report on Supply Chain Due Diligence

This Conflict Minerals Report is being filed with the SEC as an exhibit to our specialized disclosure report on Form SD and is available on our website at ir.sealedair.com/reports-filings/sec-filings.

Due Diligence Results

As a result of the due diligence efforts described above, we received completed CMRTs from 53.2% of our in-scope direct suppliers as of May 12, 2023. Appendix A lists the SORs identified by our direct suppliers that may have been used to process 3TGs necessary to the functionality or production of our products during the Report Year. For all responses that indicated a SOR, Assent compared the facilities listed to the list of SORs maintained by the RMI. If a supplier indicated that the facility was “Conflict-Free,” Assent confirmed that the name was listed by RMI as such. We have validated 343 SORs to date and we are working to validate the additional SOR entries from the submitted CMRTs. We have not listed in Appendix A any potential SORs that we have not been able to validate. Based on the SOR lists provided by suppliers via the CMRTs and publicly available information regarding the results of sourcing audits by the RMI, we have identified 222 RMAP Conformant SORs. Appendix B includes an aggregated list of the countries of origin from which the reported facilities collectively source 3TGs, based on information provided by our suppliers.

The information that we received from a majority of our direct suppliers was at a company-wide level. Therefore, the SORs identified by our direct suppliers contained in Appendix A may include SORs that processed 3TGs that our direct suppliers supplied to their other customers rather than to us. As a result, we are unable to conclusively determine whether the SORs included in Appendix A were used to process the 3TGs necessary to the functionality or production of our products during the Report Year. Because of this uncertainty, we are also unable to


conclusively determine whether each of the countries of origin listed in Appendix B was a country of origin of 3TGs in our products during the Report Year, and therefore are unable to conclusively determine the source and chain of custody of those 3TGs. In addition, the third-party audits conducted by the RMI, and the information that we receive from our direct suppliers may yield inaccurate or incomplete information. For example, the information received from our direct suppliers may be incomplete because they may not have received accurate and complete 3TG information from all of the suppliers in their own supply chain. We also do not have access to audit reports or detailed findings of the third-party audits conducted as part of the RMI Responsible Minerals Assurance Process and, as a result, are not responsible for the quality of these audits or the audit findings.

Risk Mitigation Efforts

We have taken, and intend to continue to take, the following steps to mitigate the risk that 3TG contained in products we manufacture or contract to manufacture benefit armed groups:

 

   

Track and add new suppliers as they enter Sealed Air’s supply chain to the Company’s Conflict Minerals program;

 

   

Engage with suppliers and direct them to training resources to attempt to increase the response rate and improve the content of the supplier survey responses;

 

   

Begin a targeted engagement plan with suppliers that do not reply or that reply with inaccurate or invalid responses; and

 

   

Encourage suppliers to use conflict-free SORs in the supply chain.

Understanding the risks associated with the smelters and refiners potentially providing material into our supply chain is an important part of the due diligence process. Through Assent, ongoing analysis is conducted by Assent’s smelter library manager to assess sourcing risk. This information is used to:

 

   

Provide supplier feedback;

 

   

Determine the health of the Company’s overall program;

 

   

Conduct outreach to smelters, refiners and their respective associations; and

 

   

Support the analysis in this report.

Forward-Looking Statements

This Conflict Minerals Report contains forward-looking statements that express certain beliefs, expectations or intentions, including with regard to our compliance efforts and expected actions in this regard. The words “expect,” “intend,” “plan,” “believe,” and “anticipate” and similar expressions may be used to identify these forward-looking statements. These statements are not guarantees of future actions or performance and are subject to various risks, uncertainties and assumptions. Undue reliance should be not be placed on these statements, which are only effective as of the date of this report. Sealed Air undertakes no obligation to publicly update or revise any forward-looking statement, other than as required by law.


Appendix A

 

Metal

  

Smelter Name

  

Smelter Facility Location

Gold    Advanced Chemical Company    United States of America
Gold    Aida Chemical Industries Co., Ltd.    Japan
Gold    Agosi AG    Germany
Gold    Almalyk Mining and Metallurgical Complex (AMMC)    Uzbekistan
Gold    AngloGold Ashanti Corrego do Sitio Mineracao    Brazil
Gold    Argor-Heraeus S.A.    Switzerland
Gold    Asahi Pretec Corp.    Japan
Gold    Asaka Riken Co., Ltd.    Japan
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    Boliden AB    Sweden
Gold    C. Hafner GmbH + Co. KG    Germany
Gold    Caridad    Mexico
Gold    CCR Refinery - Glencore Canada Corporation    Canada
Gold    Cendres + Metaux S.A.    Switzerland
Gold    Yunnan Copper Industry Co., Ltd.    China
Gold    Chimet S.p.A.    Italy
Gold    Chugai Mining    Japan
Gold    Daye Non-Ferrous Metals Mining Ltd.    China
Gold    DSC (Do Sung Corporation)    Republic of Korea
Gold    Dowa    Japan
Gold    Eco-System Recycling Co., Ltd. East Plant    Japan
Gold    JSC Novosibirsk Refinery    Russian Federation
Gold    Refinery of Seemine Gold Co., Ltd.    China
Gold    Guoda Safina High-Tech Environmental Refinery Co., Ltd.    China
Gold    Hangzhou Fuchunjiang Smelting Co., Ltd.    China
Gold    LT Metal Ltd.    Republic of Korea
Gold    Heimerle + Meule GmbH    Germany
Gold    Heraeus Metals Hong Kong Ltd.    China
Gold    Heraeus Germany GmbH Co. KG    Germany
Gold    Hunan Chenzhou Mining Co., Ltd.    China
Gold    Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd.    China
Gold    HwaSeong CJ CO., LTD.    Republic of Korea
Gold    Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.    China
Gold    Ishifuku Metal Industry Co., Ltd.    Japan
Gold    Istanbul Gold Refinery    Turkey
Gold    Japan Mint    Japan
Gold    Jiangxi Copper Co., Ltd.    China


Gold    Asahi Refining USA Inc.    United States of America
Gold    Asahi Refining Canada 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    Kazakhmys Smelting LLC    Kazakhstan
Gold    Kazzinc    Kazakhstan
Gold    Kennecott Utah Copper LLC    United States of America
Gold    Kojima Chemicals Co., Ltd.    Japan
Gold    Kyrgyzaltyn JSC    Kyrgyzstan
Gold    L’azurde Company For Jewelry    Saudi Arabia
Gold    Lingbao Gold Co., Ltd.    China
Gold    Lingbao Jinyuan Tonghui Refinery Co., Ltd.    China
Gold    LS-NIKKO Copper Inc.    Republic of Korea
Gold    Luoyang Zijin Yinhui Gold Refinery Co., Ltd.    China
Gold    Materion    United States of America
Gold    Matsuda Sangyo Co., Ltd.    Japan
Gold    Metalor Technologies (Suzhou) Ltd.    China
Gold    Metalor Technologies (Hong Kong) Ltd.    China
Gold    Metalor Technologies (Singapore) Pte., Ltd.    Singapore
Gold    Metalor Technologies S.A.    Switzerland
Gold    Metalor USA Refining Corporation    United States of America
Gold    Metalurgica Met-Mex Penoles S.A. De C.V.    Mexico
Gold    Mitsubishi Materials Corporation    Japan
Gold    Mitsui Mining and Smelting Co., Ltd.    Japan
Gold    Moscow Special Alloys Processing Plant    Russian Federation
Gold    Nadir Metal Rafineri San. Ve Tic. A.S.    Turkey
Gold    Navoi Mining and Metallurgical Combinat    Uzbekistan
Gold    Nihon Material Co., Ltd.    Japan
Gold    Ohura Precious Metal Industry Co., Ltd.    Japan
Gold    OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)    Russian Federation
Gold    MKS PAMP SA    Switzerland
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 Precinox S.A.    Switzerland
Gold    Rand Refinery (Pty) Ltd.    South Africa
Gold    Royal Canadian Mint    Canada
Gold    Sabin Metal Corp.    United States of America
Gold    Samduck Precious Metals    Republic of Korea
Gold    Samwon Metals Corp.    Republic of Korea


Gold    SEMPSA Joyeria Plateria S.A.    Spain
Gold    Shandong Tiancheng Biological Gold Industrial Co., Ltd.    China
Gold    Shandong Zhaojin Gold & Silver Refinery Co., Ltd.    China
Gold    Sichuan Tianze Precious Metals Co., Ltd.    China
Gold    SOE Shyolkovsky Factory of Secondary Precious Metals    Russian Federation
Gold    Solar Applied Materials Technology Corp.    Taiwan, Province Of China
Gold    Sumitomo Metal Mining Co., Ltd.    Japan
Gold    Super Dragon Technology Co., Ltd.    Taiwan, Province Of China
Gold    Tanaka Kikinzoku Kogyo K.K.    Japan
Gold    Great Wall Precious Metals Co., Ltd. of CBPM    China
Gold    Shandong Gold Smelting Co., Ltd.    China
Gold    Tokuriki Honten Co., Ltd.    Japan
Gold    Tongling Nonferrous Metals Group Co., Ltd.    China
Gold    Torecom    Republic of Korea
Gold    Umicore S.A. Business Unit Precious Metals Refining    Belgium
Gold    United Precious Metal Refining, Inc.    United States of America
Gold    Valcambi S.A.    Switzerland
Gold    Western Australian Mint (T/a The Perth Mint)    Australia
Gold    Yamakin Co., Ltd.    Japan
Gold    Yokohama Metal Co., Ltd.    Japan
Gold    Zhongyuan Gold Smelter of Zhongjin Gold Corporation    China
Gold    Gold Refinery of Zijin Mining Group Co., Ltd.    China
Gold    Morris and Watson    New Zealand
Gold    SAFINA A.S.    Czechia
Gold    Guangdong Jinding Gold Limited    China
Gold    Umicore Precious Metals Thailand    Thailand
Gold    Geib Refining Corporation    United States of America
Gold    MMTC-PAMP India Pvt., Ltd.    India
Gold    KGHM Polska Miedz Spolka Akcyjna    Poland
Gold    Fidelity Printers and Refiners Ltd.    Zimbabwe
Gold    Singway Technology Co., Ltd.    Taiwan, Province Of China
Gold    Shandong Humon Smelting Co., Ltd.    China
Gold    Shenzhen Zhonghenglong Real Industry Co., Ltd.    China
Gold    Al Etihad Gold Refinery DMCC    United Arab Emirates
Gold    Emirates Gold DMCC    United Arab Emirates
Gold    International Precious Metal Refiners    United Arab Emirates
Gold    Kaloti Precious Metals    United Arab Emirates
Gold    Sudan Gold Refinery    Sudan
Gold    T.C.A S.p.A    Italy
Gold    REMONDIS PMR B.V.    Netherlands
Gold    Fujairah Gold FZC    United Arab Emirates


Gold    Industrial Refining Company    Belgium
Gold    Shirpur Gold Refinery Ltd.    India
Gold    Korea Zinc Co., Ltd.    Republic of Korea,
Gold    Marsam Metals    Brazil
Gold    TOO Tau-Ken-Altyn    Kazakhstan
Gold    Abington Reldan Metals, LLC    United States of America
Gold    Shenzhen CuiLu Gold Co., Ltd.    China
Gold    Albino Mountinho Lda.    Portugal
Gold    SAAMP    France
Gold    L’Orfebre S.A.    Andorra
Gold    8853 S.p.A.    Italy
Gold    Italpreziosi    Italy
Gold    WIELAND Edelmetalle GmbH    Germany
Gold    Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH    Austria
Gold    AU Traders and Refiners    South Africa
Gold    GGC Gujrat Gold Centre Pvt. Ltd.    India
Gold    Sai Refinery    India
Gold    Modeltech Sdn Bhd    Malaysia
Gold    Bangalore Refinery    India
Gold    Kyshtym Copper-Electrolytic Plant ZAO    Russian Federation
Gold    Degussa Sonne / Mond Goldhandel GmbH    Germany
Gold    Pease & Curren    United States of America
Gold    JALAN & Company    India
Gold    SungEel HiMetal Co., Ltd.    Republic of Korea
Gold    Planta Recuperadora de Metales SpA    Chile
Gold    ABC Refinery Pty Ltd.    Australia
Gold    Safimet S.p.A    Italy
Gold    State Research Institute Center for Physical Sciences and Technology    Lithuania
Gold    African Gold Refinery    Uganda
Gold    Gold Coast Refinery    Ghana
Gold    NH Recytech Company    Republic of Korea
Gold    QG Refining, LLC    United States of America
Gold    Dijllah Gold Refinery FZC    United Arab Emirates
Gold    CGR Metalloys Pvt Ltd.    India
Gold    Sovereign Metals    India
Gold    C.I Metales Procesados Industriales SAS    Colombia
Gold    Eco-System Recycling Co., Ltd. North Plant    Japan
Gold    Eco-System Recycling Co., Ltd. West Plant    Japan
Gold    Augmont Enterprises Private Limited    India
Gold    Kundan Care Products Ltd.    India
Gold    Emerald Jewel Industry India Limited (Unit 1)    India


Gold    Emerald Jewel Industry India Limited (Unit 2)    India
Gold    Emerald Jewel Industry India Limited (Unit 3)    India
Gold    Emerald Jewel Industry India Limited (Unit 4)    India
Gold    K.A. Rasmussen    Norway
Gold    Alexy Metals    United States of America
Gold    Sancus ZFS (L’Orfebre, SA)    Colombia
Gold    Sellem Industries Ltd.    Mauritania
Gold    MD Overseas    India
Gold    Metallix Refining Inc.    United States of America
Gold    Metal Concentrators SA (Pty) Ltd.    South Africa
Gold    WEEEREFINING    France
Gold    Gold by Gold Colombia    Colombia
Gold    Dongwu Gold Group    China
Tantalum    F&X Electro-Materials Ltd.    China
Tantalum    XIMEI RESOURCES (GUANGDONG) LIMITED    China
Tantalum    JiuJiang JinXin Nonferrous Metals Co., Ltd.    China
Tantalum    Jiujiang Tanbre Co., Ltd.    China
Tantalum    AMG Brasil    Brazil
Tantalum    Metallurgical Products India Pvt., Ltd.    India
Tantalum    Mineracao Taboca S.A.    Brazil
Tantalum    Mitsui Mining and Smelting Co., Ltd.    Japan
Tantalum    NPM Silmet AS    Estonia
Tantalum    Ningxia Orient Tantalum Industry Co., Ltd.    China
Tantalum    QuantumClean    United States of America
Tantalum    Yanling Jincheng Tantalum & Niobium Co., Ltd.    China
Tantalum    Solikamsk Magnesium Works OAO    Russian Federation
Tantalum    Taki Chemical Co., Ltd.    Japan
Tantalum    Telex Metals    United States of America
Tantalum    Ulba Metallurgical Plant JSC    Kazakhstan
Tantalum    Hengyang King Xing Lifeng New Materials Co., Ltd.    China
Tantalum    D Block Metals, LLC    United States of America
Tantalum    FIR Metals & Resource Ltd.    China
Tantalum    Jiujiang Zhongao Tantalum & Niobium Co., Ltd.    China
Tantalum    XinXing HaoRong Electronic Material Co., Ltd.    China
Tantalum    Jiangxi Dinghai Tantalum & Niobium Co., Ltd.    China
Tantalum    KEMET de Mexico    Mexico
Tantalum    TANIOBIS Co., Ltd.    Thailand
Tantalum    TANIOBIS GmbH    Germany
Tantalum    Materion Newton Inc.    United States of America
Tantalum    TANIOBIS Japan Co., Ltd.    Japan
Tantalum    TANIOBIS Smelting GmbH & Co. KG    Germany


Tantalum    Global Advanced Metals Boyertown    United States of America
Tantalum    Global Advanced Metals Aizu    Japan
Tantalum    Resind Industria e Comercio Ltda.    Brazil
Tantalum    Jiangxi Tuohong New Raw Material    China
Tantalum    RFH Yancheng Jinye New Material Technology Co., Ltd.    China
Tantalum    5D Production OU    Estonia
Tin    Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.    China
Tin    Alpha    United States of America
Tin    PT Aries Kencana Sejahtera    Indonesia
Tin    PT Premium Tin Indonesia    Indonesia
Tin    Dowa    Japan
Tin    EM Vinto    Bolivia (Plurinational State of)
Tin    Estanho de Rondonia S.A.    Brazil
Tin    Fenix Metals    Poland
Tin    Gejiu Non-Ferrous Metal Processing Co., Ltd.    China
Tin    Gejiu Zili Mining And Metallurgy Co., Ltd.    China
Tin    Gejiu Kai Meng Industry and Trade LLC    China
Tin    China Tin Group Co., Ltd.    China
Tin    Malaysia Smelting Corporation (MSC)    Malaysia
Tin    Metallic Resources, Inc.    United States of America
Tin    Mineracao Taboca S.A.    Brazil
Tin    Minsur    Peru
Tin    Mitsubishi Materials Corporation    Japan
Tin    Jiangxi New Nanshan Technology Ltd.    China
Tin    Novosibirsk Tin Combine    Russian Federation
Tin    O.M. Manufacturing (Thailand) Co., Ltd.    Thailand
Tin    Operaciones Metalurgicas S.A.    Bolivia (Plurinational State of)
Tin    PT Artha Cipta Langgeng    Indonesia
Tin    PT Babel Inti Perkasa    Indonesia
Tin    PT Babel Surya Alam Lestari    Indonesia
Tin    PT Bangka Tin Industry    Indonesia
Tin    PT Belitung Industri Sejahtera    Indonesia
Tin    PT Bukit Timah    Indonesia
Tin    PT Mitra Stania Prima    Indonesia
Tin    PT Panca Mega Persada    Indonesia
Tin    PT Prima Timah Utama    Indonesia
Tin    PT Refined Bangka Tin    Indonesia
Tin    PT Sariwiguna Binasentosa    Indonesia
Tin    PT Stanindo Inti Perkasa    Indonesia
Tin    PT Timah Tbk Kundur    Indonesia
Tin    PT Timah Tbk Mentok    Indonesia


Tin    PT Timah Nusantara    Indonesia
Tin    PT Tinindo Inter Nusa    Indonesia
Tin    PT Tommy Utama    Indonesia
Tin    Rui Da Hung    Taiwan, Province Of China
Tin    Thaisarco    Thailand
Tin    Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.    China
Tin    VQB Mineral and Trading Group JSC    Viet Nam
Tin    White Solder Metalurgia e Mineracao Ltda.    Brazil
Tin    Yunnan Chengfeng Non-ferrous Metals Co., Ltd.    China
Tin    Tin Smelting Branch of Yunnan Tin Co., Ltd.    China
Tin    CV Venus Inti Perkasa    Indonesia
Tin    Magnu’s Minerais Metais e Ligas Ltda.    Brazil
Tin    PT Tirus Putra Mandiri    Indonesia
Tin    Melt Metais e Ligas S.A.    Brazil
Tin    PT ATD Makmur Mandiri Jaya    Indonesia
Tin    O.M. Manufacturing Philippines, Inc.    Philippines
Tin    CV Ayi Jaya    Indonesia
Tin    Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company    Viet Nam
Tin    Nghe Tinh Non-Ferrous Metals Joint Stock Company    Viet Nam
Tin    Tuyen Quang Non-Ferrous Metals Joint Stock Company    Viet Nam
Tin    PT Cipta Persada Mulia    Indonesia
Tin    An Vinh Joint Stock Mineral Processing Company    Viet Nam
Tin    Resind Industria e Comercio Ltda.    Brazil
Tin    Super Ligas    Brazil
Tin    Aurubis Beerse    Belgium
Tin    Aurubis Berango    Spain
Tin    PT Bangka Prima Tin    Indonesia
Tin    PT Sukses Inti Makmur    Indonesia
Tin    PT Menara Cipta Mulia    Indonesia
Tin    Modeltech Sdn Bhd    Malaysia
Tin    Guangdong Hanhe Non-Ferrous Metal Co., Ltd.    China
Tin    Chifeng Dajingzi Tin Industry Co., Ltd.    China
Tin    PT Bangka Serumpun    Indonesia
Tin    Pongpipat Company Limited    Myanmar
Tin    Tin Technology & Refining    United States of America
Tin    Dongguan CiEXPO Environmental Engineering Co., Ltd.    China
Tin    PT Rajawali Rimba Perkasa    Indonesia
Tin    Luna Smelter, Ltd.    Rwanda
Tin    Yunnan Yunfan Non-ferrous Metals Co., Ltd.    China
Tin    Precious Minerals and Smelting Limited    India
Tin    Gejiu City Fuxiang Industry and Trade Co., Ltd.    China


Tin    PT Mitra Sukses Globalindo    Indonesia
Tin    CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda    Brazil
Tin    CRM Synergies    Spain
Tin    Fabrica Auricchio Industria e Comercio Ltda.    Brazil
Tin    DS Myanmar    Myanmar
Tin    PT Putera Sarana Shakti (PT PSS)    Indonesia
Tin    PT Rajehan Ariq    Indonesia
Tungsten    A.L.M.T. Corp.    Japan
Tungsten    Kennametal Huntsville    United States of America
Tungsten    Guangdong Xianglu Tungsten Co., Ltd.    China
Tungsten    Chongyi Zhangyuan Tungsten Co., Ltd.    China
Tungsten    CNMC (Guangxi) PGMA Co., Ltd.    China
Tungsten    Global Tungsten & Powders LLC    United States of America
Tungsten    Hunan Chenzhou Mining Co., Ltd.    China
Tungsten    Hunan Jintai New Material Co., Ltd.    China
Tungsten    Japan New Metals Co., Ltd.    Japan
Tungsten    Ganzhou Huaxing Tungsten Products Co., Ltd.    China
Tungsten    Kennametal Fallon    United States of America
Tungsten    Wolfram Bergbau und Hutten AG    Austria
Tungsten    Xiamen Tungsten Co., Ltd.    China
Tungsten    Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.    China
Tungsten    Ganzhou Jiangwu Ferrotungsten Co., Ltd.    China
Tungsten    Jiangxi Yaosheng Tungsten Co., Ltd.    China
Tungsten    Jiangxi Xinsheng Tungsten Industry Co., Ltd.    China
Tungsten    Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.    China
Tungsten    Malipo Haiyu Tungsten Co., Ltd.    China
Tungsten    Xiamen Tungsten (H.C.) Co., Ltd.    China
Tungsten    Jiangxi Gan Bei Tungsten Co., Ltd.    China
Tungsten    Ganzhou Seadragon W & Mo Co., Ltd.    China
Tungsten    Asia Tungsten Products Vietnam Ltd.    Viet Nam
Tungsten    Hunan Shizhuyuan Nonferrous Metals Co., Ltd. Chenzhou Tungsten Products Branch    China
Tungsten    H.C. Starck Tungsten GmbH    Germany
Tungsten    TANIOBIS Smelting GmbH & Co. KG    Germany
Tungsten    Masan High-Tech Materials    Viet Nam
Tungsten    Jiangwu H.C. Starck Tungsten Products Co., Ltd.    China
Tungsten    Niagara Refining LLC    United States of America
Tungsten    China Molybdenum Tungsten Co., Ltd.    China
Tungsten    Ganzhou Haichuang Tungsten Co., Ltd.    China
Tungsten    Hydrometallurg, JSC    Russian Federation
Tungsten    Unecha Refractory metals plant    Russian Federation
Tungsten    Philippine Chuangxin Industrial Co., Inc.    Philippines


Tungsten    ACL Metais Eireli    Brazil
Tungsten    Moliren Ltd.    Russian Federation
Tungsten    Lianyou Metals Co., Ltd.    Taiwan, Province Of China
Tungsten    JSC “Kirovgrad Hard Alloys Plant”    Russian Federation
Tungsten    NPP Tyazhmetprom LLC    Russian Federation
Tungsten    Hubei Green Tungsten Co., Ltd.    China
Tungsten    Albasteel Industria e Comercio de Ligas Para Fundicao Ltd.    Brazil
Tungsten    Cronimet Brasil Ltda    Brazil
Tungsten    Artek LLC    Russian Federation
Tungsten    Fujian Xinlu Tungsten Co., Ltd.    China
Tungsten    OOO “Technolom” 2    Russian Federation
Tungsten    OOO “Technolom” 1    Russian Federation
Tungsten    LLC Vostok    Russian Federation
Tungsten    YUDU ANSHENG TUNGSTEN CO., LTD.    China
Tungsten    HANNAE FOR T Co., Ltd.    Republic of Korea
Tungsten    Tungsten Vietnam Joint Stock Company    Viet Nam
Tungsten    DONGKUK INDUSTRIES CO., LTD.    Republic of Korea


Appendix B

 

Afghanistan
Ãland Islands
Albania
American Samoa
Andorra
Angola
Argentina
Armenia
Aruba
Australia
Austria
Azerbaijan
Bahamas
Barbados
Belarus
Belgium
Benin
Bermuda
Bolivia (Plurinational State of)
Brazil
Bulgaria
Burkina Faso
Burundi
Cambodia
Canada
Central African Republic
Chile
China
Colombia
Congo
Czechia
Democratic Republic of Congo
Djibouti
Dominica
Dominican Republic
Ecuador
Egypt
Eritrea
Estonia
Ethiopia
Finland


France
Georgia
Germany
Ghana
Guam
Guatemala
Guinea
Guyana
Honduras
Hong Kong
Hungary
India
Indonesia
Ireland
Israel
Italy
Japan
Jersey
Kazakhstan
Kenya
Korea
Kyrgyzstan
Liberia
Liechtenstein
Lithuania
Luxembourg
Madagascar
Malaysia
Mali
Mauritania
Mexico
Mongolia
Morocco
Mozambique
Myanmar
Namibia
Netherlands
New Zealand
Nicaragua
Niger
Nigeria
Norway
Panama


Papua New Guinea
Peru
Philippines
Poland
Portugal
Russian Federation
Rwanda
Samoa
Saudi Arabia
Senegal
Sierra Leone
Singapore
Slovakia
Slovenia
South Africa
South Sudan
Spain
Sudan
Suriname
Sweden
Switzerland
Taiwan
Tajikistan
Tanzania
Thailand
Turkey
Uganda
United Arab Emirates
United Kingdom
United States
Uzbekistan
Viet Nam
Zambia
Zimbabwe