SD

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

 

FORM SD

SPECIALIZED DISCLOSURE REPORT

 

 

GARRETT MOTION INC.

(Exact Name of Registrant as Specified in its Charter)

 

 

 

Delaware   001-38636   82-487189

(State or Other Jurisdiction

of Incorporation)

  (Commission File Number)  

(IRS Employer

Identification No.)

La Pièce 16, Rolle, Switzerland 1180

(Full maing address of principal executive offices)

Jerome Maironi

Senior Vice President, General Counsel and Corporate Secretary

+41 21 695 30 00

(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, 2019.

 

 

 


Section 1 — Conflict Minerals Disclosure

Item 1.01. Conflict Minerals Disclosure and Report

A copy of Garrett Motion Inc.’s Conflict Minerals Report is provided as Exhibit 1.01 hereto and is publicly available at https://investors.garrettmotion.com/governance.

Item 1.02. Exhibit

The Conflict Minerals Report required by Item 1.01 is filed as an exhibit hereto.

Section 2 — Exhibits

Item 2.01. Exhibits

 

Exhibit No.    Description
1.01    Conflict Minerals Report for the year ended December 31, 2019, as required by Items 1.01 and 1.02 of this Form SD.


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 undersigned hereunto duly authorized.

 

    GARRETT MOTION INC.
Date: June 1, 2020     By:  

/s/ Jerome Maironi

      Jerome Maironi
      Senior Vice President, General Counsel and Corporate Secretary
EX-1.01

Exhibit 1.01

Garrett Motion Inc.

Conflict Minerals Report

For the reporting period from January 1, 2019 to December 31, 2019

This Conflict Minerals Report of Garrett Motion Inc. and its consolidated subsidiaries (“Garrett,” “we,” or “our”) has been prepared in accordance with Rule 13p-1 and Form SD promulgated under the Securities Exchange Act of 1934, as amended (the “Rule”). The Rule was adopted by the Securities and Exchange Commission (the “SEC”) 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 (the Dodd-Frank Act). The Rule imposes certain reporting obligations when an SEC registrant manufactures, or contracts to manufacture, products for which conflict minerals are necessary to the functionality or production of those products. Conflict Minerals are defined as cassiterite, columbite-tantalite, wolframite and gold, including their derivatives, which are limited to tin, tantalum and tungsten (collectively, “3TG”).

If any 3TG are necessary to the functionality or production of products manufactured, or contracted to be manufactured, by a registrant, the Rule requires such registrant to conduct in good faith a reasonable country of origin inquiry (“RCOI”) that is reasonably designed to determine whether any of its 3TG originated in the Democratic Republic of the Congo (“DRC”), the Central African Republic, the Republic of the Congo. South Sudan, Uganda, Rwanda, Burundi, Tanzania, Zambia or Angola (the “Covered Countries”), or are from recycled or scrap sources.

Overview

Garrett’s Business

Garrett designs, manufactures and sells highly engineered turbocharger, electric-boosting and connected vehicle technologies for light and commercial vehicle original equipment manufacturers (“OEMs”) and the global vehicle independent aftermarket as well as automotive software solutions. We are a global technology leader with significant expertise in delivering products across gasoline, diesel, natural gas and electrified (hybrid and fuel cell) powertrains.

Garrett’s Products Covered by this Report

This report relates to Garrett products: (i) for which 3TG are necessary to the functionality or production of that product; (ii) that were manufactured, or contracted to be manufactured, by Garrett; and (iii) for which the manufacture was completed during calendar year 2019. These products, which are referred to herein as the “Covered Products,” consist of turbochargers and intercoolers.

Garrett’s Supply Chain

Garrett sells thousands of products containing parts from hundreds of direct and indirect suppliers. As a “downstream” company with many tiers in our supply chain, we have direct relationships with few smelters and refiners (less than 1% of our direct suppliers) and do not perform or direct audits of entities within our supply chain. It is difficult for us to identify actors upstream from our direct suppliers, and we rely on those suppliers to provide information on the smelters and refiners (“SORs”) as well as the origin of 3TG contained in parts or products supplied to us, including sources of 3TG that are supplied to them from their upstream suppliers. Similarly, our direct suppliers rely on information provided by their suppliers.

The terms and lengths of contracts with our suppliers are varied, and we cannot always unilaterally impose new contract terms. As we renew or enter into new purchase agreements with suppliers, we generally seek to add, where possible, a 3TG compliance provision requiring such suppliers to conduct and document their inquiries into the SORs as well as the country of origin of 3TG in parts or products supplied to Garrett and to provide Garrett with information or representations that Garrett requires to meet its compliance obligations. Although we have already integrated a 3TG compliance provision into certain purchase agreements with our direct suppliers, we anticipate that it will take several years to ensure that all


supplier purchase agreements contain appropriate 3TG compliance provisions. In addition, some suppliers may object to the inclusion of such 3TG compliance provisions. In the meantime, as described herein, we are working with our suppliers to obtain 3TG sourcing information.

Reasonable Country of Origin Inquiry

Garrett conducted a good faith RCOI to determine whether the 3TG in the Covered Products may have originated in the Covered Countries and did not come from recycled or scrap sources. The elements of the RCOI were:

 

   

identification of relevant suppliers;

 

   

data collection and validation; and

 

   

assessment to determine whether due diligence was required.

Garrett assessed its direct suppliers that were most likely to provide parts or products containing 3TG with respect to our turbocharger and intercoolers, and in connection therewith, identified 541 relevant suppliers (the “Supplier Group”), out of a total of 592 direct suppliers.

Garrett engaged a third-party service provider, Assent Compliance (the “Vendor”), to help obtain supplier data . It began with a request for each supplier in the Supplier Group to respond to the 2019 (version 5.12) Responsible Minerals Initiative’s Conflict Minerals Reporting Template (the “Questionnaire”). The Questionnaire is designed to facilitate disclosure and communication of information regarding SORs of 3TG contained in parts or products in our supply chain. It includes questions regarding a supplier’s engagement with its direct suppliers and a listing of the SORs that the supplier and its suppliers use. In addition, the Questionnaire contains questions about the origin of 3TG included in a supplier’s parts or products, as well as supplier due diligence efforts. The Vendor deployed the Questionnaire to the Supplier Group via a tracking tool, which enabled Garrett and the Vendor to manage and maintain records of responses from the Supplier Group in an electronic database. The procedure involved four rounds of follow-up to unresponsive members of the Supplier Group through a defined process via both automated email and personalized email, including offering assistance and further information to the Supplier Group about the requirements of the Rule and the 3TG compliance program. Garrett received responses from 86% of the Supplier Group.

The collected data was then validated by the Vendor to increase the accuracy of submissions and identify any contradictory answers in the Questionnaire. The Vendor’s tracking tool and electronic database facilitated automated data validation on all submitted Questionnaires. All submitted Questionnaires were accepted and classified as valid or invalid. Members of the Supplier Group were contacted with regards to invalid forms and were encouraged to resubmit a valid form. We reviewed the responses to determine where further engagement with our Supplier Group was warranted.

Based on the responses received from the Company’s RCOI, we compiled a list of 303 unique SORs. However, the vast majority were at a supplier-level, and none included information regarding associated countries of origin. On the basis of the responses to our RCOI and the fact that responses were not received from all members of the Supplier Group to the Questionnaire, Garrett did not have complete and validated information to conclude whether its necessary 3TG in the Covered Products originated in the Covered Countries, and if so, whether they were from recycled or scrap sources, or came from sources that directly or indirectly financed or benefitted armed groups, as such term is defined in the Rule. Accordingly, Garrett conducted due diligence on the source and chain of custody of the 3TG contained in parts or products provided by the Supplier Group.


Due Diligence Process

Design of Due Diligence Measures

Our due diligence measures have been designed to conform, in all material respects, with the Organization for Economic Co-operation and Development’s (“OECD”) “Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict- Affected and High-Risk Areas, Third Edition (2016)” and the related Supplements for 3TG (the “OECD Framework”). The OECD Framework is written for the entire mineral supply chain and our due diligence measures were tailored to include steps appropriate for “downstream” companies. Our due diligence included the following elements of the OECD Framework:

 

   

Step 1: Establish strong company management systems;

 

   

Step 2: Identify and assess risks in the supply chain;

 

   

Step 3: Design and implement a strategy to respond to identified risks;

 

   

Step 4: Carry out independent third-party audit of supply chain due diligence at identified points in the supply chain; and

 

   

Step 5: Report on supply chain due diligence.

Step 1: Establish Strong Company Management Systems

Garrett has established a management system to determine the source and chain of custody of 3TG in our supply chain.

 

  a.

Mission Statement. We have adopted a conflict minerals mission statement (the Mission Statement) that outlines to suppliers and customers our commitment to responsible sourcing of 3TG throughout our global supply chain and to compliance with the Rule. The Mission Statement is publicly available on our website at: https://www.garrettmotion.com/wp-content/uploads/2018/12/Conflict-Minerals-Statement.pdf

 

  b.

Internal Team. Our management system includes oversight of our RCOI and due diligence processes by a team made up of representatives from Procurement, Product Stewardship, Health, Safety and Environment, and Legal; collectively the “3TG Compliance Team”. The 3TG Compliance Team is responsible for implementing our 3TG compliance program and communicating information about program status and effectiveness to senior management.

 

  c.

Control Systems. We utilize the Questionnaire for collecting 3TG declarations from our supply base via a tracking tool to gather information on the chain of custody of the 3TG included in our products. In addition, our Vendor is a member of the Responsible Minerals Initiative, an industry-wide initiative working to develop conflict-free supply chains. We also have a Supplier Code of Conduct that sets forth our core values on the responsible sourcing of minerals: https://s2.q4cdn.com/726657224/files/doc_downloads/governance/Supplier-Conduct.pdf

 

  d.

Supplier Engagement. We have communicated to the Supplier Group our obligations under the Rule by distributing to them background information on the Rule along with the Questionnaire. In addition, through our Vendor, we provide training materials on 3TG compliance to the Supplier Group. We are also integrating 3TG compliance provisions into our purchase agreements as described above, that sets forth Garrett’s expectations that such direct material suppliers will cooperate with Garrett’s RCOI and due diligence measures as required by the Rule. We also directly engage with suppliers to educate them on the regulations and offer our support to help facilitate their compliance.

 

  e.

Grievance Mechanism. We have a company level Helpline that provides employees and suppliers with a mechanism to report violations of our policies or other concerns.


Step 2: Identify and Assess Risks in the Supply Chain

Distribution of Questionnaires to Supplier Group. In 2019, we distributed the Questionnaire to the Supplier Group in order to gather information on our supply chain, including (i) whether any of the minerals they supplied to Garrett may contain 3TG, (ii) whether any 3TG are necessary to the functionality or production of the parts or products in which they are used, and (iii) the SORs or any 3TG in our supply chain and whether the 3TG originated from the Covered Countries or came from recycled or scrap sources.

Assessment of Supplier Group Responses. We reviewed each response from the Supplier Group to assess the adequacy of such response. Members of the Supplier Group that failed to respond to the Questionnaire or that did not provide responses to all applicable questions in the Questionnaire received follow-up communications requesting additional information. If a supplier response indicates that 3TG contained in parts or products provided to Garrett may have originated from the Covered Countries, then such response is sent to the 3TG Compliance Team for further review and determination of follow-up steps, as described below.

Step 3: Design and Implement a Strategy to Respond to Identified Risks

As part of our risk management plan under the OECD Framework, if SORs with red flags are reported on a Questionnaire by one of the suppliers surveyed, risk mitigation activities will be initiated. If a supplier indicates that its products may contain 3TG sourced from a Covered Country, we will follow up with the supplier to gather more information, including the basis for the information provided and other information regarding the sourcing country and SOR. Identified risks will be reported to the 3TG Compliance Team, which will determine appropriate follow-up actions, if any, to mitigate risks. There was no instance in our due diligence for the 2019 reporting period where we determined that there were validated high-risk issues in our supply chain requiring follow-up actions.

To ensure that the Supplier Group understands our expectations with respect to compliance with the Rule, we distributed background information on the Rule and our Mission Statement, and we provided access to training materials on 3TG compliance to the Supplier Group in addition to the Questionnaire.

Step 4: Carry Out Independent Third-Party Audit of Supply Chain Due Diligence at Identified Points in the Supply Chain

Garrett does not perform or direct audits of entities in our supply chain, but relies on the RMI’s Responsible Minerals Assurance Process (“RMAP”) to perform third-party audits of SORs. Our process compares the SORs identified by the Supplier Group to the list of SORs certified as “compliant” or the equivalent by the RMI. If SORs are identified with issues, we engage with the supplier directly to verify the information before reporting the issue to the 3TG Compliance Team.

Step 5: Report on Supply Chain Due Diligence

This Conflict Minerals Report, and the Form SD to which it relates, have been filed with the SEC, and are publicly available at: http://investors.garrettmotion.com/sec-filings-and-press-releases

Due Diligence Results

The Questionnaire requested that the Supplier Group provide Garrett with information on (a) the SORs that the Supplier Group and its suppliers use to supply the 3TG in the Covered Products, (b) whether the 3TG used in the Covered Products originates from the Covered Countries, (c) the mine or location of origin of the 3TG used in the Covered Products, and (d) the scope of its response (company-level responses refer


to the supplier’s overall 3TG sourcing; product-level responses specify whether 3TG was used in parts or products provided to Garrett). Garrett must rely on responses from the Supplier Group to our Questionnaire to determine the facilities used to process 3TG used in the Covered Products, whether the 3TG used in the Covered Products originates from the Covered Countries and the source of 3TG used in the Covered Products.

The responses that we received for this reporting period from the Supplier Group fell into one or more of the following categories: (i) indication that no 3TG is used in parts or products that are provided to Garrett, (ii) data with respect to the SORs used by the supplier to process 3TG in parts or products provided to Garrett; (iii) data with respect to the supplier’s overall 3TG sourcing, without specifying whether such 3TG was used in parts or products provided to Garrett or indication that the supplier is unable to provide the information as it specifically relates to the parts or products that are provided to Garrett, (iv) indication that the supplier is unable to provide SOR information at this time, and/or (v) indication that the supplier is unable to provide or is still in the process of determining the country of origin or mine or location of origin of 3TG from its suppliers. We received responses in category (ii) above from 469 suppliers. Such responses identified 303 unique SORs (set forth on Appendix A below) used to process 3TG in parts or products provided to Garrett, and whilst they did not indicate the country of origin of the 3TG processed by such SORs, 235 of these SORs are RMAP Conformant.

As a result of the foregoing, and because responses were not received from all members of the Supplier Group, Garrett does not have complete and validated information to conclude whether its necessary 3TG in the Covered Products originated in the Covered Countries, and if so, whether they were from recycled or scrap sources, or came from sources that directly or indirectly financed or benefitted armed groups therein, as such term is defined the Rule.

However, Garrett received no response (to either the initial communication or any follow-up inquiries) from any supplier indicating that 3TG in our Covered Products originated in the Covered Countries (even when SORs used to process our 3TG were identified), or benefitted or financed armed groups in the Covered Countries.

In addition, we were unable to determine the country of origin, or the mine or location of origin of 3TG used in the parts or products supplied to us for use in the Covered Products. Our efforts to identify the specific mine or location or origin of our necessary 3TG included the due diligence measures described above.

Steps to be taken to mitigate risk

We intend to take the following steps to improve the due diligence conducted and to further mitigate any future risk of sourcing 3TG that benefit armed groups in the Covered Countries:

 

  (1)

Continue to refine and update our process to target all appropriate direct suppliers that may be in-scope for the Rule, as well as re-survey applicable suppliers to confirm that they do not incorporate 3TG in our supply chain.

 

  (2)

Continue to work closely with our direct suppliers in an effort to obtain the necessary validated information on the origin of the 3TG contained in the parts, products or services sold to Garrett,

 

  (3)

Continue to seek to include a 3TG compliance provision in new or renewed purchase agreements with direct suppliers to set forth Garrett’s expectations that such direct suppliers will cooperate with Garrett’s RCOI and due diligence measures as required by the Rule.

 

  (4)

Engage with direct suppliers by providing advice and directing them to information and resources, in an effort to increase the response rate and improve the content of their Questionnaire responses.


Cautionary Statement about Forward-Looking Statements

This report contains “forward-looking statements” within the meaning of Section 27A of the Securities Act of 1933, as amended and Section 21E of the Securities Exchange Act of 1934, as amended (the “Exchange Act”). Forward-looking statements are those that address activities, events or developments that we or our management intends, expects, projects, believes or anticipates will or may occur in the future. They are based on management’s assumptions and assessments in light of past experience and trends, current economic and industry conditions, expected future developments and other relevant factors. They are not guarantees of future performance, and actual results, developments and business decisions may differ significantly from those envisaged by our forward-looking statements. We do not undertake to update or revise any of our forward-looking statements. Our forward-looking statements are also subject to risks, uncertainties and changes in circumstances, which can affect our performance in both the near-and long-term, and may include (and are not limited to) regulatory changes and judicial developments related to the Rule, changes in or developments related to our products or our supply chain, and industry developments relating to supply chain diligence, disclosure and other practices.. These forward-looking statements should be considered in light of the information included in this report and our other filings with the SEC, including, without limitation, the Risk Factors, as well as the description of trends and other factors in Management’s Discussion and Analysis of Financial Condition and Results of Operations, set forth in our Form 10-K for the year ended December 31, 2019, as updated by our Form 10-Q for the quarter ended March 31, 2020, and other filings with the SEC.


Appendix A - Smelter list

Includes: Metals, SOR name, SOR Facility location and SOR ID (SORs indicated with an asterisk* are RMAP conformant; SORs indicated with a double asterisk** are “Active”, i.e., they have committed to undergo an RMAP audit).

 

       
Metal    Standard SOR Name    SOR Facility Location   SOR ID
       
Gold    8853 S.p.A.    ITALY   CID002763*
       
Gold    Abington Reldan Metals, LLC    UNITED STATES OF AMERICA   CID002708
       
Gold    Advanced Chemical Company    UNITED STATES OF AMERICA   CID000015*
       
Gold    African Gold Refinery    UGANDA   CID003185
       
Gold    Aida Chemical Industries Co., Ltd.    JAPAN   CID000019*
       
Gold    Al Etihad Gold Refinery DMCC    UNITED ARAB EMIRATES   CID002560*
       
Gold    Allgemeine Gold-und Silberscheideanstalt A.G.    GERMANY   CID000035*
       
Gold    Almalyk Mining and Metallurgical Complex (AMMC)    UZBEKISTAN   CID000041*
       
Gold    AngloGold Ashanti Corrego do Sitio Mineracao    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 OF AMERICA   CID000920*
       
Gold    Asaka Riken Co., Ltd.    JAPAN   CID000090*
       
Gold    Atasay Kuyumculuk Sanayi Ve Ticaret A.S.    TURKEY   CID000103
       
Gold    AU Traders and Refiners    SOUTH AFRICA   CID002850*
       
Gold    Aurubis AG    GERMANY   CID000113*
       
Gold    Bangalore Refinery    INDIA   CID002863*
       
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    C.I Metales Procesados Industriales SAS    COLOMBIA   CID003421
       
Gold    Caridad    MEXICO   CID000180
       
Gold    CCR Refinery - Glencore Canada Corporation    CANADA   CID000185*
       
Gold    Cendres + Metaux S.A.    SWITZERLAND   CID000189*
       
Gold    CGR Metalloys Pvt Ltd.    INDIA   CID003382
       
Gold    Chimet S.p.A.    ITALY   CID000233*
       
Gold    Chugai Mining    JAPAN   CID000264*
       
Gold    Daye Non-Ferrous Metals Mining Ltd.    CHINA   CID000343
       
Gold    Degussa Sonne / Mond Goldhandel GmbH    GERMANY   CID002867
       
Gold    Dijllah Gold Refinery FZC    UNITED ARAB EMIRATES   CID003348
       
Gold    DODUCO Contacts and Refining GmbH    GERMANY   CID000362*
       
Gold    Dowa    JAPAN   CID000401*
       
Gold    DS PRETECH Co., Ltd.    KOREA, REPUBLIC OF   CID003195*
       
Gold    DSC (Do Sung Corporation)    KOREA, REPUBLIC OF   CID000359*
       
Gold    Eco-System Recycling Co., Ltd. East Plant    JAPAN   CID000425*
       
Gold    Eco-System Recycling Co., Ltd. North Plant    JAPAN   CID003424*


       
Metal    Standard SOR Name    SOR Facility Location   SOR ID
       
Gold    Eco-System Recycling Co., Ltd. West Plant    JAPAN   CID003425*
       
Gold    Emirates Gold DMCC    UNITED ARAB EMIRATES   CID002561*
       
Gold    Fidelity Printers and Refiners Ltd.    ZIMBABWE   CID002515
       
Gold    Fujairah Gold FZC    UNITED ARAB EMIRATES   CID002584
       
Gold    GCC Gujrat Gold Centre Pvt. Ltd.    INDIA   CID002852
       
Gold    Geib Refining Corporation    UNITED STATES OF AMERICA   CID002459*
       
Gold    Gold Coast Refinery    GHANA   CID003186
       
Gold    Gold Refinery of Zijin Mining Group Co., Ltd.    CHINA   CID002243*
       
Gold    Great Wall Precious Metals Co., Ltd. of CBPM    CHINA   CID001909
       
Gold    Guangdong Jinding Gold Limited    CHINA   CID002312
       
Gold    Guoda Safina High-Tech Environmental Refinery Co., Ltd.    CHINA   CID000651
       
Gold    Hangzhou Fuchunjiang Smelting Co., Ltd.    CHINA   CID000671
       
Gold    Heimerle + Meule GmbH    GERMANY   CID000694*
       
Gold    Heraeus Metals Hong Kong Ltd.    CHINA   CID000707*
       
Gold    Heraeus Precious Metals GmbH & Co. KG    GERMANY   CID000711*
       
Gold    Hunan Chenzhou Mining Co., Ltd.    CHINA   CID000767
       
Gold    Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd.    CHINA   CID000773
       
Gold    HwaSeong CJ CO., LTD.    KOREA, REPUBLIC OF   CID000778
       
Gold    Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.    CHINA   CID000801*
       
Gold    International Precious Metal Refiners    UNITED ARAB EMIRATES   CID002562
       
Gold    Ishifuku Metal Industry Co., Ltd.    JAPAN   CID000807*
       
Gold    Istanbul Gold Refinery    TURKEY   CID000814*
       
Gold    Italpreziosi    ITALY   CID002765*
       
Gold    JALAN & Company    INDIA   CID002893
       
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    Kaloti Precious Metals    UNITED ARAB EMIRATES   CID002563
       
Gold    Kazakhmys Smelting LLC    KAZAKHSTAN   CID000956
       
Gold    Kazzinc    KAZAKHSTAN   CID000957*
       
Gold    Kennecott Utah Copper LLC    UNITED STATES OF AMERICA   CID000969*
       
Gold    KGHM Polska Miedz Spolka Akcyjna    POLAND   CID002511*
       
Gold    Kojima Chemicals Co., Ltd.    JAPAN   CID000981*
       
Gold    Korea Zinc Co., Ltd.    KOREA, REPUBLIC OF   CID002605*
       
Gold    Kyrgyzaltyn JSC    KYRGYZSTAN   CID001029*
       
Gold    Kyshtym Copper-Electrolytic Plant ZAO    RUSSIAN FEDERATION   CID002865
       
Gold    L’azurde Company For Jewelry    SAUDI ARABIA   CID001032
       
Gold    Lingbao Gold Co., Ltd.    CHINA   CID001056


       
Metal    Standard SOR Name    SOR Facility Location   SOR ID
       
Gold    Lingbao Jinyuan Tonghui Refinery Co., Ltd.    CHINA   CID001058
       
Gold    L’Orfebre S.A.    ANDORRA   CID002762*
       
Gold    LS-NIKKO Copper Inc.    KOREA, REPUBLIC OF   CID001078*
       
Gold    LT Metal Ltd.    KOREA, REPUBLIC OF   CID000689*
       
Gold    Luoyang Zijin Yinhui Gold Refinery Co., Ltd.    CHINA   CID001093
       
Gold    Marsam Metals    BRAZIL   CID002606*
       
Gold    Materion    UNITED STATES OF AMERICA   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 (Suzhou) Ltd.    CHINA   CID001147*
       
Gold    Metalor Technologies S.A.    SWITZERLAND   CID001153*
       
Gold    Metalor USA Refining Corporation    UNITED STATES OF AMERICA   CID001157*
       
Gold    Metalurgica Met-Mex Penoles S.A. De C.V.    MEXICO   CID001161*
       
Gold    Mitsubishi Materials Corporation    JAPAN   CID001188*
       
Gold    Mitsui Mining and Smelting Co., Ltd.    JAPAN   CID001193*
       
Gold    MMTC-PAMP India Pvt., Ltd.    INDIA   CID002509*
       
Gold    Modeltech Sdn Bhd    MALAYSIA   CID002857
       
Gold    Morris and Watson    NEW ZEALAND   CID002282
       
Gold    Moscow Special Alloys Processing Plant    RUSSIAN FEDERATION   CID001204*
       
Gold    Nadir Metal Rafineri San. Ve Tic. A.S.    TURKEY   CID001220*
       
Gold    Navoi Mining and Metallurgical Combinat    UZBEKISTAN   CID001236
       
Gold    NH Recytech Company    KOREA, REPUBLIC OF   CID003189
       
Gold    Nihon Material Co., Ltd.    JAPAN   CID001259*
       
Gold    Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH    AUSTRIA   CID002779*
       
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    Pease & Curren    UNITED STATES OF AMERICA   CID002872
       
Gold    Penglai Penggang Gold Industry Co., Ltd.    CHINA   CID001362
       
Gold    Planta Recuperadora de Metales SpA    CHILE   CID002919*
       
Gold    Prioksky Plant of Non-Ferrous Metals    RUSSIAN FEDERATION   CID001386*
       
Gold    PT Aneka Tambang (Persero) Tbk    INDONESIA   CID001397*
       
Gold    PX Precinox S.A.    SWITZERLAND   CID001498*
       
Gold    QG Refining, LLC    UNITED STATES OF AMERICA   CID003324
       
Gold    Rand Refinery (Pty) Ltd.    SOUTH AFRICA   CID001512*
       
Gold    Refinery of Seemine Gold Co., Ltd.    CHINA   CID000522
       
Gold    REMONDIS PMR B.V.    NETHERLANDS   CID002582*
       
Gold    Royal Canadian Mint    CANADA   CID001534*


       
Metal    Standard SOR Name    SOR Facility Location   SOR ID
       
Gold    SAAMP    FRANCE   CID002761*
       
Gold    Sabin Metal Corp.    UNITED STATES OF AMERICA   CID001546
       
Gold    Safimet S.p.A    ITALY   CID002973*
       
Gold    SAFINA A.S.    CZECH REPUBLIC   CID002290**
       
Gold    Sai Refinery    INDIA   CID002853
       
Gold    Samduck Precious Metals    KOREA, REPUBLIC OF   CID001555*
       
Gold    Samwon Metals Corp.    KOREA, REPUBLIC OF   CID001562
       
Gold    SAXONIA Edelmetalle GmbH    GERMANY   CID002777*
       
Gold    SEMPSA Joyeria Plateria S.A.    SPAIN   CID001585*
       
Gold    Shandong Humon Smelting Co., Ltd.    CHINA   CID002525
       
Gold    Shandong Tiancheng Biological Gold Industrial Co., Ltd.    CHINA   CID001619
       
Gold    Shandong Zhaojin Gold & Silver Refinery Co., Ltd.    CHINA   CID001622*
       
Gold    Sichuan Tianze Precious Metals Co., Ltd.    CHINA   CID001736*
       
Gold    Singway Technology Co., Ltd.    TAIWAN, PROVINCE OF CHINA   CID002516*
       
Gold    SOE Shyolkovsky Factory of Secondary Precious Metals    RUSSIAN FEDERATION   CID001756*
       
Gold    Solar Applied Materials Technology Corp.    TAIWAN, PROVINCE OF CHINA   CID001761*
       
Gold    Sovereign Metals    INDIA   CID003383
       
Gold    State Research Institute Center for Physical Sciences and Technology    LITHUANIA   CID003153
       
Gold    Sudan Gold Refinery    SUDAN   CID002567
       
Gold    Sumitomo Metal Mining Co., Ltd.    JAPAN   CID001798*
       
Gold    SungEel HiMetal Co., Ltd.    KOREA, REPUBLIC OF   CID002918*
       
Gold    T.C.A S.p.A    ITALY   CID002580*
       
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    Tongling Nonferrous Metals Group Co., Ltd.    CHINA   CID001947
       
Gold    Tony Goetz NV    BELGIUM   CID002587
       
Gold    TOO Tau-Ken-Altyn    KAZAKHSTAN   CID002615*
       
Gold    Torecom    KOREA, REPUBLIC OF   CID001955*
       
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 OF AMERICA   CID001993*
       
Gold    Valcambi S.A.    SWITZERLAND   CID002003*
       
Gold    Western Australian Mint (T/a The Perth Mint)    AUSTRALIA   CID002030*
       
Gold    WIELAND Edelmetalle GmbH    GERMANY   CID002778*
       
Gold    Yamakin Co., Ltd.    JAPAN   CID002100*
       
Gold    Yokohama Metal Co., Ltd.    JAPAN   CID002129*
       
Gold    Yunnan Copper Industry Co., Ltd.    CHINA   CID000197
       
Gold    Zhongyuan Gold Smelter of Zhongjin Gold Corporation    CHINA   CID002224*


       
Metal    Standard SOR Name    SOR Facility Location   SOR ID
       
Tantalum    Asaka Riken Co., Ltd.    JAPAN   CID000092*
       
Tantalum    Changsha South Tantalum Niobium Co., Ltd.    CHINA   CID000211*
       
Tantalum    CP Metals Inc.    UNITED STATES OF AMERICA   CID003402*
       
Tantalum    D Block Metals, LLC    UNITED STATES OF AMERICA   CID002504*
       
Tantalum    Exotech Inc.    UNITED STATES OF AMERICA   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 OF AMERICA   CID002557*
       
Tantalum    Guangdong Zhiyuan New Material Co., Ltd.    CHINA   CID000616*
       
Tantalum    H.C. Starck Co., Ltd.    THAILAND   CID002544*
       
Tantalum    H.C. Starck Hermsdorf GmbH    GERMANY   CID002547*
       
Tantalum    H.C. Starck Inc.    UNITED STATES OF AMERICA   CID002548*
       
Tantalum    H.C. Starck Ltd.    JAPAN   CID002549*
       
Tantalum    H.C. Starck Smelting GmbH & Co. KG    GERMANY   CID002550*
       
Tantalum    H.C. Starck Tantalum and Niobium GmbH    GERMANY   CID002545*
       
Tantalum    Hengyang King Xing Lifeng New Materials Co., Ltd.    CHINA   CID002492*
       
Tantalum    Jiangxi Dinghai Tantalum & Niobium Co., Ltd.    CHINA   CID002512*
       
Tantalum    Jiangxi Tuohong New Raw Material    CHINA   CID002842*
       
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    LSM Brasil S.A.    BRAZIL   CID001076*
       
Tantalum    Metallurgical Products India Pvt., Ltd.    INDIA   CID001163*
       
Tantalum    Mineracao Taboca S.A.    BRAZIL   CID001175*
       
Tantalum    Mitsui Mining and Smelting Co., Ltd.    JAPAN   CID001192*
       
Tantalum    Ningxia Orient Tantalum Industry Co., Ltd.    CHINA   CID001277*
       
Tantalum    NPM Silmet AS    ESTONIA   CID001200*
       
Tantalum    PRG Dooel    NORTH MACEDONIA, REPUBLIC OF   CID002847*
       
Tantalum    QuantumClean    UNITED STATES OF AMERICA   CID001508*
       
Tantalum    Resind Industria e Comercio Ltda.    BRAZIL   CID002707*
       
Tantalum    Solikamsk Magnesium Works OAO    RUSSIAN FEDERATION   CID001769*
       
Tantalum    Taki Chemical Co., Ltd.    JAPAN   CID001869*
       
Tantalum    Telex Metals    UNITED STATES OF AMERICA   CID001891*
       
Tantalum    Ulba Metallurgical Plant JSC    KAZAKHSTAN   CID001969*
       
Tantalum    XinXing HaoRong Electronic Material Co., Ltd.    CHINA   CID002508*
       
Tantalum    Yanling Jincheng Tantalum & Niobium Co., Ltd.    CHINA   CID001522*
       
Tin    Alpha    UNITED STATES OF AMERICA   CID000292*
       
Tin    An Vinh Joint Stock Mineral Processing Company    VIET NAM   CID002703


       
Metal    Standard SOR Name    SOR Facility Location   SOR ID
       
Tin    Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.    CHINA   CID000228*
       
Tin    Chifeng Dajingzi Tin Industry Co., Ltd.    CHINA   CID003190*
       
Tin    China Tin Group Co., Ltd.    CHINA   CID001070*
       
Tin    Dongguan CiEXPO Environmental Engineering Co., Ltd.    CHINA   CID003356
       
Tin    Dowa    JAPAN   CID000402*
       
Tin    Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company    VIET NAM   CID002572
       
Tin    EM Vinto    BOLIVIA (PLURINATIONAL STATE OF)   CID000438*
       
Tin    Estanho de Rondonia S.A.    BRAZIL   CID000448
       
Tin    Fenix Metals    POLAND   CID000468*
       
Tin    Gejiu City Fuxiang Industry and Trade Co., Ltd.    CHINA   CID003410
       
Tin    Gejiu Kai Meng Industry and Trade LLC    CHINA   CID000942*
       
Tin    Gejiu Non-Ferrous Metal Processing Co., Ltd.    CHINA   CID000538*
       
Tin    Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.    CHINA   CID001908*
       
Tin    Gejiu Zili Mining And Metallurgy Co., Ltd.    CHINA   CID000555*
       
Tin    Guangdong Hanhe Non-Ferrous Metal Co., Ltd.    CHINA   CID003116*
       
Tin    Guanyang Guida Nonferrous Metal Smelting Plant    CHINA   CID002849*
       
Tin    HuiChang Hill Tin Industry Co., Ltd.    CHINA   CID002844*
       
Tin    Huichang Jinshunda Tin Co., Ltd.    CHINA   CID000760*
       
Tin    Jiangxi New Nanshan Technology Ltd.    CHINA   CID001231*
       
Tin    Luna Smelter, Ltd.    RWANDA   CID003387*
       
Tin    Ma’anshan Weitai Tin Co., Ltd.    CHINA   CID003379*
       
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 OF AMERICA   CID001142*
       
Tin    Metallo Belgium N.V.    BELGIUM   CID002773*
       
Tin    Metallo Spain S.L.U.    SPAIN   CID002774*
       
Tin    Mineracao Taboca S.A.    BRAZIL   CID001173*
       
Tin    Minsur    PERU   CID001182*
       
Tin    Mitsubishi Materials Corporation    JAPAN   CID001191*
       
Tin    Modeltech Sdn Bhd    MALAYSIA   CID002858
       
Tin    Nghe Tinh Non-Ferrous Metals Joint Stock Company    VIET NAM   CID002573
       
Tin    O.M. Manufacturing (Thailand) Co., Ltd.    THAILAND   CID001314*
       
Tin    O.M. Manufacturing Philippines, Inc.    PHILIPPINES   CID002517*
       
Tin    Operaciones Metalurgicas S.A.    BOLIVIA (PLURINATIONAL STATE OF)   CID001337*
       
Tin    Pongpipat Company Limited    MYANMAR   CID003208
       
Tin    Precious Minerals and Smelting Limited    INDIA   CID003409**
       
Tin    PT Artha Cipta Langgeng    INDONESIA   CID001399*
       
Tin    PT ATD Makmur Mandiri Jaya    INDONESIA   CID002503*
       
Tin    PT Menara Cipta Mulia    INDONESIA   CID002835*


       
Metal    Standard SOR Name    SOR Facility Location   SOR ID
       
Tin    PT Mitra Stania Prima    INDONESIA   CID001453*
       
Tin    PT Refined Bangka Tin    INDONESIA   CID001460*
       
Tin    PT Timah Tbk Kundur    INDONESIA   CID001477*
       
Tin    PT Timah Tbk Mentok    INDONESIA   CID001482*
       
Tin    Resind Industria e Comercio Ltda.    BRAZIL   CID002706*
       
Tin    Rui Da Hung    TAIWAN, PROVINCE OF CHINA   CID001539*
       
Tin    Soft Metais Ltda.    BRAZIL   CID001758*
       
Tin    Super Ligas    BRAZIL   CID002756
       
Tin    Thai Nguyen Mining and Metallurgy Co., Ltd.    VIET NAM   CID002834*
       
Tin    Thaisarco    THAILAND   CID001898*
       
Tin    Tin Technology & Refining    UNITED STATES OF AMERICA   CID003325*
       
Tin    Tuyen Quang Non-Ferrous Metals Joint Stock Company    VIET NAM   CID002574
       
Tin    White Solder Metalurgia e Mineracao Ltda.    BRAZIL   CID002036*
       
Tin    Yunnan Chengfeng Non-ferrous Metals Co., Ltd.    CHINA   CID002158*
       
Tin    Yunnan Tin Company Limited    CHINA   CID002180*
       
Tin    Yunnan Yunfan Non-ferrous Metals Co., Ltd.    CHINA   CID003397*
       
Tungsten    A.L.M.T. Corp.    JAPAN   CID000004*
       
Tungsten    ACL Metais Eireli    BRAZIL   CID002833*
       
Tungsten    Albasteel Industria e Comercio de Ligas Para Fundicao Ltd.    BRAZIL   CID003427**
       
Tungsten    Asia Tungsten Products Vietnam Ltd.    VIET NAM   CID002502*
       
Tungsten    Chenzhou Diamond Tungsten Products Co., Ltd.    CHINA   CID002513*
       
Tungsten    China Molybdenum Co., Ltd.    CHINA   CID002641
       
Tungsten    Chongyi Zhangyuan Tungsten Co., Ltd.    CHINA   CID000258*
       
Tungsten    CNMC (Guangxi) PGMA Co., Ltd.    CHINA   CID000281
       
Tungsten    CP Metals Inc.    UNITED STATES OF AMERICA   CID003448**
       
Tungsten    Fujian Ganmin RareMetal Co., Ltd.    CHINA   CID003401*
       
Tungsten    Fujian Jinxin Tungsten Co., Ltd.    CHINA   CID000499*
       
Tungsten    Ganzhou Haichuang Tungsten Co., Ltd.    CHINA   CID002645*
       
Tungsten    Ganzhou Huaxing Tungsten Products Co., Ltd.    CHINA   CID000875*
       
Tungsten    Ganzhou Jiangwu Ferrotungsten Co., Ltd.    CHINA   CID002315*
       
Tungsten    Ganzhou Seadragon W & Mo Co., Ltd.    CHINA   CID002494*
       
Tungsten    Global Tungsten & Powders Corp.    UNITED STATES OF AMERICA   CID000568*
       
Tungsten    Guangdong Xianglu Tungsten Co., Ltd.    CHINA   CID000218*
       
Tungsten    H.C. Starck Smelting GmbH & Co. KG    GERMANY   CID002542*
       
Tungsten    H.C. Starck Tungsten GmbH    GERMANY   CID002541*
       
Tungsten    Hunan Chenzhou Mining Co., Ltd.    CHINA   CID000766*
       
Tungsten    Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji    CHINA   CID002579*
       
Tungsten    Hunan Chunchang Nonferrous Metals Co., Ltd.    CHINA   CID000769*
       
Tungsten    Hunan Litian Tungsten Industry Co., Ltd.    CHINA   CID003182*
       
Tungsten    Hydrometallurg, JSC    RUSSIAN FEDERATION   CID002649*


       
Metal    Standard SOR Name    SOR Facility Location   SOR ID
       
Tungsten    Japan New Metals Co., Ltd.    JAPAN   CID000825*
       
Tungsten    Jiangwu H.C. Starck Tungsten Products Co., Ltd.    CHINA   CID002551*
       
Tungsten    Jiangxi Gan Bei Tungsten Co., Ltd.    CHINA   CID002321*
       
Tungsten    Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.    CHINA   CID002313
       
Tungsten    Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.    CHINA   CID002318*
       
Tungsten    Jiangxi Xianglu Tungsten Co., Ltd.    CHINA   CID002647**
       
Tungsten    Jiangxi Xinsheng Tungsten Industry Co., Ltd.    CHINA   CID002317*
       
Tungsten    Jiangxi Yaosheng Tungsten Co., Ltd.    CHINA   CID002316*
       
Tungsten    JSC “Kirovgrad Hard Alloys Plant”    RUSSIAN FEDERATION   CID003408**
       
Tungsten    Kennametal Fallon    UNITED STATES OF AMERICA   CID000966*
       
Tungsten    Kennametal Huntsville    UNITED STATES OF AMERICA   CID000105*
       
Tungsten    KGETS Co., Ltd.    KOREA, REPUBLIC OF   CID003388*
       
Tungsten    Lianyou Metals Co., Ltd.    TAIWAN, PROVINCE OF CHINA   CID003407*
       
Tungsten    Malipo Haiyu Tungsten Co., Ltd.    CHINA   CID002319*
       
Tungsten    Masan Tungsten Chemical LLC (MTC)    VIET NAM   CID002543*
       
Tungsten    Moliren Ltd.    RUSSIAN FEDERATION   CID002845*
       
Tungsten    Niagara Refining LLC    UNITED STATES OF AMERICA   CID002589*
       
Tungsten    Philippine Chuangxin Industrial Co., Inc.    PHILIPPINES   CID002827*
       
Tungsten    Tejing (Vietnam) Tungsten Co., Ltd.    VIET NAM   CID001889*
       
Tungsten    Unecha Refractory metals plant    RUSSIAN FEDERATION   CID002724*
       
Tungsten    Wolfram Bergbau und Hutten AG    AUSTRIA   CID002044*
       
Tungsten    Woltech Korea Co., Ltd.    KOREA, REPUBLIC OF   CID002843*
       
Tungsten    Xiamen Tungsten (H.C.) Co., Ltd.    CHINA   CID002320*
       
Tungsten    Xiamen Tungsten Co., Ltd.    CHINA   CID002082*
       
Tungsten    Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.    CHINA   CID002830*
       
Tungsten    Xinhai Rendan Shaoguan Tungsten Co., Ltd.    CHINA   CID002095*