UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM SD
SPECIALIZED DISCLOSURE REPORT
CURRENT REPORT PURSUANT TO
SECTION 13 OR 15(d) OF THE
SECURITIES EXCHANGE ACT OF 1934
Date of report: May 16, 2019
ESCO TECHNOLOGIES, INC.
(Exact name of the registrant as specified in its charter)
| MISSOURI | 1-10596 | 43-1554045 | ||
| (State or other jurisdiction of | (Commission | (IRS Employer | ||
| incorporation or organization) | File Number) | Identification No.) |
9900A Clayton Road
St. Louis, Missouri 63124-1186
(Address of principal executive offices) (Zip code)
(314) 213-7200
(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:
x Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2018.
Section 1. Conflict Minerals Disclosure
Item 1.01 Conflict Minerals Disclosure and Report
In accordance with Rule 13p-1 of the Securities Exchange Act of 1934, ESCO Technologies Inc. (“ESCO”) is filing this Specialized Disclosure Form (Form SD) and the associated Conflict Minerals Report. This Form SD and the Conflict Minerals Report, as well as ESCO’s Conflict Minerals Policy, are posted and publicly available on ESCO’s corporate website www.escotechnologies.com. Information contained on ESCO’s website does not constitute part of this Form SD or its Exhibits.
Item 1.02 Exhibit
The Conflict Minerals Report required by Item 1.01 is provided as Exhibit 1.01.
Section 2. Exhibits
Item 2.01 Exhibits
| Exhibit No. | Description | |
| 1.01 | Conflict Minerals Report of ESCO Technologies Inc. for Calendar Year 2018 |
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the duly authorized undersigned.
ESCO TECHNOLOGIES INC.
| By | /s/ Victor L. Richey | May 16, 2019 | |
| Victor L. Richey | |||
| Chairman, Chief Executive Officer and President |
EXHIBIT 1.01
Conflict
Minerals Report of ESCO Technologies Inc.
for Calendar Year 2018
This is the Conflict Minerals Report of ESCO Technologies Inc. (“ESCO”) for calendar year 2018, provided in accordance with Rule 13p-1 under the Securities Exchange Act of 1934 (the “Conflict Minerals Rule”). The Conflict Minerals Rule requires ESCO to perform certain procedures and disclose information about the use and origin of “Conflict Minerals” which are necessary to the functionality or production of products ESCO manufactures or contracts to have manufactured. “Conflict Minerals” are defined for purposes of the Conflict Minerals Rule as cassiterite, columbite-tantalite, wolframite, their respective derivatives tin, tantalum and tungsten, and gold.
ESCO Technologies is a global provider of highly engineered products and solutions to diverse and growing end-markets that include the aerospace, space, healthcare, wireless, consumer electronics, electric utility, and renewable energy industries. During 2018, ESCO conducted its business in four operating segments, through a number of wholly-owned direct and indirect subsidiaries. These segments, together with the significant domestic and foreign operating subsidiaries within each segment during 2018, were as follows; more complete information about the Company and its subsidiaries is provided on the Company’s website and in its latest Form 10-K filed with the Securities and Exchange Commission:
| Filtration/Fluid Flow: | ||
| PTI Technologies Inc. | ||
| VACCO Industries | ||
| Crissair, Inc. | ||
| Westland Technologies, Inc. | ||
| Mayday Manufacturing Co. | ||
| Hi-Tech Metals, Inc. | ||
| RF Shielding and Test: | ||
| ETS-Lindgren Inc. | ||
| Utility Solutions Group: | ||
| Doble Engineering Company | ||
| Morgan Schaffer Ltd. | ||
| NRG Systems, Inc. | ||
| Manta Test Systems Inc. | ||
| Technical Packaging: | ||
| Thermoform Engineered Quality LLC | ||
| Plastique Limited | ||
ESCO’s products require a wide variety of components and materials, and Conflict Minerals that are necessary to the functionality or production of ESCO’s products are common across its product portfolio. ESCO sources its components and subassemblies from a global supply base that includes distributors, value-added resellers, original equipment manufacturers and contract manufacturers.
ESCO’s Reasonable Country of Origin Inquiry
In accordance with the Conflict Minerals Rule, ESCO has performed a “reasonable country of origin inquiry” (“RCOI”) on Conflict Minerals in its supply chain to determine whether these Conflict Minerals were sourced from the Democratic Republic of Congo (“DRC”) or adjoining countries or were from recycled or scrap sources.
As a result of its RCOI process, ESCO has concluded in good faith that during 2018:
| · | Conflict Minerals were necessary to the functionality or production of many of the products ESCO manufactured or contracted to have manufactured; and |
| · | ESCO was not able to reach a conclusion as to all sources of the Conflict Minerals necessary to the functionality or production of the products it manufactured or contracted to have manufactured. |
Description of ESCO’s Due Diligence
ESCO designed and performed its due diligence measures to conform in all material respects with the Organisation for Economic Cooperation and Development (“OECD”) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High Risk Areas (the “OECD Guidance”) and related Supplements for each of the Conflict Minerals.
ESCO’s due diligence measures were based on the OECD Guidance. Because ESCO is many steps removed from the mining of Conflict Minerals and does not purchase raw ore or unrefined Conflict Minerals, the due diligence included extensive communications with its suppliers. ESCO has focused its efforts since the second reporting year on its suppliers and contract manufacturers in an effort to continue to build Conflict Mineral awareness, assess the transparency of its supply chain and identify the smelters/refiners in its supply chain.
ESCO maintains a system of internal procedures and controls to identify and trace Conflict Minerals within its supply chain. A summary of ESCO’s activities, which are in line with the OECD Guidance, are outlined below.
Step 1: Establish strong company management systems
| · | ESCO maintains a formal policy that reflects its desire to achieve a “DRC conflict free” determination over time. |
| · | ESCO maintains a governance model to oversee the implementation and ongoing management of its Conflict Minerals Compliance Program, including a Conflict Minerals Core Team with representatives from each significant subsidiary, led by its Assistant General Counsel, to develop policies, standards and processes that relate to the identification of Conflict Minerals risk in its supply chain. The Core Team solicits the participation of leadership from the various ESCO business units to maintain a governance structure which enables sustainable compliance and actively mitigates the risk of not meeting regulatory requirements. The Core Team is responsible for developing policies and standards as well as developing and maintaining a project charter, compliance project plan, communication strategy, awareness training, project status report, and standard retention policy. |
| Page 2 |
| · | ESCO maintains an annual process to evaluate parts and suppliers in its supply chain for potential Conflict Minerals risk, with some subsidiaries automating the data collection of this information. In alignment with the OECD Guidance, each of ESCO’s subsidiaries identifies and assesses the risks in its supply chain by conducting a risk-rated analysis of its products, parts, and suppliers. |
| · | Supplier agreements require suppliers to annually provide information on their use and source of Conflict Minerals. |
| · | ESCO continues to adapt its internal processes, procedures and systems to accommodate the capture, maintenance, retrieval and reporting of Conflict Minerals supplier and parts status, thereby improving transparency and the ability to certify its status in forthcoming years. ESCO annually provides compliance training for at-risk suppliers. |
| · | ESCO provides a feedback mechanism, managed by an ombudsman, on its website at www.escotechnologies.com which is available to all interested parties to provide information or voice their concerns regarding ESCO’s sourcing and use of Conflict Minerals in its products. |
Step 2: Identify and assess risks in the supply chain
| · | On an annual basis, ESCO performs due diligence to identify the parts within each of its subsidiary’s active bills of materials (“BOMs”) that are known or are likely to contain Conflict Minerals using a risk-based approach and to further identify the supplier(s) from who those parts are sourced. |
| · | ESCO requests that its suppliers complete a survey at the part level, providing information found on the Responsible Minerals Initiative’s (RMI) Conflict Minerals Reporting Template (CMRT). |
| · | ESCO reviews survey responses received from suppliers for completeness, validates for sufficiency and follows up with any supplier that did not complete the survey, through an intensive outreach program including emails and telephone calls. |
| · | ESCO reviews aggregated supplier survey responses and reports key RCOI metrics as part of bi-weekly Conflict Minerals reporting. |
| · | ESCO conducts a review of summary smelter information to determine if each smelter was certified as conformant or if supporting information presents a “red flag” as defined by the OECD Guidance, such as sourcing from a non-conformant smelter in the DRC or surrounding countries. |
| · | ESCO disseminates the summary due diligence results and corresponding smelters to customer-facing personnel who in turn respond to customer inquiries in the form of subsidiary company level CMRT. |
Step 3: Design and implement a strategy to respond to identified risks
| · | Annually, ESCO completes an OECD Gap Analysis at the conclusion of its due diligence and provides a summary of the identified risks and gaps to senior management with recommended action plans to reduce risks and close gaps. |
| Page 3 |
| · | ESCO maintains a risk mitigation strategy with the goal of systematically reducing the extent of exposure to Conflict Minerals risks and the likelihood of their occurrence. |
| · | Conflict mineral reporting requirements are being integrated into ESCO’s broader internal control procedures. |
| · | ESCO continues to integrate its policies, procedures and systems modifications in a systematic and deliberate manner that will make them integral to ESCO’s business and establish the capability to routinely obtain, maintain, and retrieve the key data required to demonstrate reasonable efforts for compliance for both regulatory requirements and customer inquiries. |
| · | ESCO’s subsidiaries continue to make progress in integrating conflict minerals into ERP systems to include Conflict Minerals Status as a field within the master part list to identify the Conflict Mineral status including Conformant, Non-Conformant, Undeterminable or Out of Scope. |
| · | As ESCO reviews supplier responses to the RCOI, any risks identified will be evaluated, and opportunities to mitigate risks will be addressed. |
| · | ESCO will address unresponsive suppliers and determine options for corrective actions. ESCO subsidiaries continue to assertively outreach to unresponsive suppliers. |
| · | Additional fact finding, risk assessments, and changes in circumstances will take place as part of ESCO’s annual review of its Conflict Minerals compliance program. |
Step 4: Carry out independent third-party audit of smelters’/refiners’ due diligence practices
| · | ESCO cooperates and participates with industry associations to enhance transparency and traceability in the supply chain and supports independent third-party audits of smelters’/refiners’ due diligence by independent industry associations who perform these audits. |
| · | Given the nature of ESCO’s businesses, their positions in the supply chain, the associated cost, and the current lack of transparency in the supply chain, ESCO is not in a position to audit smelters/refiners directly. |
Step 5: Report annually on supply chain due diligence
| · | ESCO performs due diligence on its conflict minerals supply chain annually, maintains a process to summarize, review, and approve compliance results and completion of the Form SD and the Conflict Minerals Report and assure timely filing of these documents with the SEC. |
| Page 4 |
Continuous Improvement of Supply Chain Due Diligence
ESCO will continue to improve its due diligence efforts through increasingly focused efforts including (but not limited to):
| · | Encourage its subsidiaries to automate the front end (risk identification) process of identifying parts and suppliers engaged during the reporting year, as well as the storage and dissemination of results for the back end (customer reporting) process. |
| · | Continue to require suppliers to identify the 3TG contained in the products they supply and when requested on an annual basis, to provide current, accurate and complete information on the smelters and refiners used in the manufacture of parts supplied to ESCO. |
| · | In an effort to improve supplier response rates for parts purchased from third party distributors, ESCO will strive to identify and survey the manufacturer of parts. |
| · | ESCO will continue to integrate newly acquired subsidiaries into the ESCO Conflict Minerals program and ensure that all new subsidiaries perform the required risk identification and due diligence to identify the smelters in their supply chain. |
Determination
Based on the process described above, ESCO received responses from 815 direct material suppliers, representing 71% of total suppliers surveyed and 80% of the active parts surveyed that were used in its 2018 manufactured goods.
Based on the information provided by ESCO’s suppliers utilized during 2018, ESCO believes that the facilities that may have been used to process 3TGs in ESCO’s products include the smelters and refiners listed in Appendix I, starting on page 6. The supplier responses included Conformant, Active and Unknown smelters, but based on the absence of reliable information on the Unknown smelters, only the Conformant and Active smelters have been included.
Based on the due diligence efforts and the absence of full supply chain visibility throughout the supply base, ESCO is unable to determine the source of origin of the conflict minerals and does not have sufficient information to conclusively determine the countries of origin of 3TGs contained in ESCO’s products.
| Page 5 |
APPENDIX I
| Smelter Identification | Metal | Smelter Name | Smelter Country | Subsidiary |
| CID002708 | Gold | Abington Reldan Metals, LLC | UNITED STATES OF AMERICA | Known |
| CID000015 | Gold | Advanced Chemical Company | UNITED STATES OF AMERICA | Conformant |
| CID003185 | Gold | African Gold Refinery | UGANDA | Known |
| CID000019 | Gold | Aida Chemical Industries Co., Ltd. | JAPAN | Conformant |
| CID002560 | Gold | Al Etihad Gold LLC | UNITED ARAB EMIRATES | Conformant |
| CID000035 | Gold | Allgemeine Gold-und Silberscheideanstalt A.G. | GERMANY | Conformant |
| CID000041 | Gold | Almalyk Mining and Metallurgical Complex (AMMC) | UZBEKISTAN | Conformant |
| CID000058 | Gold | AngloGold Ashanti Corrego do Sitio Mineracao | BRAZIL | Conformant |
| CID000077 | Gold | Argor-Heraeus S.A. | SWITZERLAND | Conformant |
| CID000082 | Gold | Asahi Pretec Corp. | JAPAN | Conformant |
| CID000924 | Gold | Asahi Refining Canada Ltd. | CANADA | Conformant |
| CID000920 | Gold | Asahi Refining USA Inc. | UNITED STATES OF AMERICA | Conformant |
| CID000090 | Gold | Asaka Riken Co., Ltd. | JAPAN | Conformant |
| CID000103 | Gold | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | TURKEY | Known |
| CID002850 | Gold | AU Traders and Refiners | SOUTH AFRICA | Conformant |
| CID000113 | Gold | Aurubis AG | GERMANY | Conformant |
| CID002863 | Gold | Bangalore Refinery | INDIA | Active |
| CID000128 | Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | PHILIPPINES | Conformant |
| CID000157 | Gold | Boliden AB | SWEDEN | Conformant |
| CID000176 | Gold | C. Hafner GmbH + Co. KG | GERMANY | Conformant |
| CID000180 | Gold | Caridad | MEXICO | Known |
| CID000185 | Gold | CCR Refinery - Glencore Canada Corporation | CANADA | Conformant |
| CID000189 | Gold | Cendres + Metaux S.A. | SWITZERLAND | Conformant |
| CID000233 | Gold | Chimet S.p.A. | ITALY | Conformant |
| CID000264 | Gold | Chugai Mining | JAPAN | Active |
| CID000328 | Gold | Daejin Indus Co., Ltd. | KOREA, REPUBLIC OF | Conformant |
| CID000343 | Gold | Daye Non-Ferrous Metals Mining Ltd. | CHINA | Known |
| CID002867 | Gold | Degussa Sonne / Mond Goldhandel GmbH | GERMANY | Known |
| CID000362 | Gold | DODUCO Contacts and Refining GmbH | GERMANY | Conformant |
| CID000401 | Gold | Dowa | JAPAN | Conformant |
| CID003195 | Gold | DS PRETECH Co., Ltd. | KOREA, REPUBLIC OF | Active |
| CID000359 | Gold | DSC (Do Sung Corporation) | KOREA, REPUBLIC OF | Conformant |
| CID000425 | Gold | Eco-System Recycling Co., Ltd. | JAPAN | Conformant |
| CID001322 | Gold | Elemetal Refining, LLC | UNITED STATES OF AMERICA | Known |
| CID002561 | Gold | Emirates Gold DMCC | UNITED ARAB EMIRATES | Conformant |
| CID002515 | Gold | Fidelity Printers and Refiners Ltd. | ZIMBABWE | Known |
| CID002852 | Gold | GCC Gujrat Gold Centre Pvt. Ltd. | INDIA | Known |
| CID002459 | Gold | Geib Refining Corporation | UNITED STATES OF AMERICA | Conformant |
| CID002243 | Gold | Gold Refinery of Zijin Mining Group Co., Ltd. | CHINA | Conformant |
| Page 6 |
| Smelter Identification | Metal | Smelter Name | Smelter Country | Subsidiary |
| CID001909 | Gold | Great Wall Precious Metals Co., Ltd. of CBPM | CHINA | Known |
| CID002312 | Gold | Guangdong Jinding Gold Limited | CHINA | Known |
| CID000651 | Gold | Guoda Safina High-Tech Environmental Refinery Co., Ltd. | CHINA | Known |
| CID000671 | Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. | CHINA | Known |
| CID000689 | Gold | HeeSung Metal Ltd. | KOREA, REPUBLIC OF | Conformant |
| CID000694 | Gold | Heimerle + Meule GmbH | GERMANY | Conformant |
| CID000707 | Gold | Heraeus Metals Hong Kong Ltd. | CHINA | Conformant |
| CID000711 | Gold | Heraeus Precious Metals GmbH & Co. KG | GERMANY | Conformant |
| CID000767 | Gold | Hunan Chenzhou Mining Co., Ltd. | CHINA | Known |
| CID000773 | Gold | Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd. | CHINA | Known |
| CID000778 | Gold | HwaSeong CJ CO., LTD. | KOREA, REPUBLIC OF | Known |
| CID000801 | Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | CHINA | Conformant |
| CID000807 | Gold | Ishifuku Metal Industry Co., Ltd. | JAPAN | Conformant |
| CID000814 | Gold | Istanbul Gold Refinery | TURKEY | Conformant |
| CID002765 | Gold | Italpreziosi | ITALY | Conformant |
| CID000823 | Gold | Japan Mint | JAPAN | Conformant |
| CID000855 | Gold | Jiangxi Copper Co., Ltd. | CHINA | Conformant |
| CID000927 | Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | RUSSIAN FEDERATION | Known |
| CID000929 | Gold | JSC Uralelectromed | RUSSIAN FEDERATION | Conformant |
| CID000937 | Gold | JX Nippon Mining & Metals Co., Ltd. | JAPAN | Conformant |
| CID002563 | Gold | Kaloti Precious Metals | UNITED ARAB EMIRATES | Known |
| CID000956 | Gold | Kazakhmys Smelting LLC | KAZAKHSTAN | Known |
| CID000957 | Gold | Kazzinc | KAZAKHSTAN | Conformant |
| CID000969 | Gold | Kennecott Utah Copper LLC | UNITED STATES OF AMERICA | Conformant |
| CID002511 | Gold | KGHM Polska Miedz Spolka Akcyjna | POLAND | Active |
| CID000981 | Gold | Kojima Chemicals Co., Ltd. | JAPAN | Conformant |
| CID002605 | Gold | Korea Zinc Co., Ltd. | KOREA, REPUBLIC OF | Conformant |
| CID001029 | Gold | Kyrgyzaltyn JSC | KYRGYZSTAN | Conformant |
| CID002865 | Gold | Kyshtym Copper-Electrolytic Plant ZAO | RUSSIAN FEDERATION | Known |
| CID001032 | Gold | L'azurde Company For Jewelry | SAUDI ARABIA | Known |
| CID001056 | Gold | Lingbao Gold Co., Ltd. | CHINA | Known |
| CID001058 | Gold | Lingbao Jinyuan Tonghui Refinery Co., Ltd. | CHINA | Known |
| CID002762 | Gold | L'Orfebre S.A. | ANDORRA | Conformant |
| CID001078 | Gold | LS-NIKKO Copper Inc. | KOREA, REPUBLIC OF | Conformant |
| CID001093 | Gold | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | CHINA | Known |
| CID002606 | Gold | Marsam Metals | BRAZIL | Conformant |
| CID001113 | Gold | Materion | UNITED STATES OF AMERICA | Conformant |
| CID001119 | Gold | Matsuda Sangyo Co., Ltd. | JAPAN | Conformant |
| CID001149 | Gold | Metalor Technologies (Hong Kong) Ltd. | CHINA | Conformant |
| CID001152 | Gold | Metalor Technologies (Singapore) Pte., Ltd. | SINGAPORE | Conformant |
| CID001147 | Gold | Metalor Technologies (Suzhou) Ltd. | CHINA | Conformant |
| Page 7 |
| Smelter Identification | Metal | Smelter Name | Smelter Country | Subsidiary |
| CID001153 | Gold | Metalor Technologies S.A. | SWITZERLAND | Conformant |
| CID001157 | Gold | Metalor USA Refining Corporation | UNITED STATES OF AMERICA | Conformant |
| CID001161 | Gold | Metalurgica Met-Mex Penoles S.A. De C.V. | MEXICO | Conformant |
| CID001188 | Gold | Mitsubishi Materials Corporation | JAPAN | Conformant |
| CID001193 | Gold | Mitsui Mining and Smelting Co., Ltd. | JAPAN | Conformant |
| CID002509 | Gold | MMTC-PAMP India Pvt., Ltd. | INDIA | Conformant |
| CID002857 | Gold | Modeltech Sdn Bhd | MALAYSIA | Known |
| CID002282 | Gold | Morris and Watson | NEW ZEALAND | Known |
| CID002866 | Gold | Morris and Watson Gold Coast | AUSTRALIA | Known |
| CID001204 | Gold | Moscow Special Alloys Processing Plant | RUSSIAN FEDERATION | Conformant |
| CID001220 | Gold | Nadir Metal Rafineri San. Ve Tic. A.S. | TURKEY | Conformant |
| CID001236 | Gold | Navoi Mining and Metallurgical Combinat | UZBEKISTAN | Known |
| CID003189 | Gold | NH Recytech Company | KOREA, REPUBLIC OF | Active |
| CID001259 | Gold | Nihon Material Co., Ltd. | JAPAN | Conformant |
| CID002779 | Gold | Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH | AUSTRIA | Conformant |
| CID001325 | Gold | Ohura Precious Metal Industry Co., Ltd. | JAPAN | Conformant |
| CID001326 | Gold | OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) | RUSSIAN FEDERATION | Conformant |
| CID000493 | Gold | OJSC Novosibirsk Refinery | RUSSIAN FEDERATION | Conformant |
| CID001352 | Gold | PAMP S.A. | SWITZERLAND | Conformant |
| CID002872 | Gold | Pease & Curren | UNITED STATES OF AMERICA | Known |
| CID001362 | Gold | Penglai Penggang Gold Industry Co., Ltd. | CHINA | Known |
| CID002919 | Gold | Planta Recuperadora de Metales SpA | CHILE | Conformant |
| CID001386 | Gold | Prioksky Plant of Non-Ferrous Metals | RUSSIAN FEDERATION | Conformant |
| CID001397 | Gold | PT Aneka Tambang (Persero) Tbk | INDONESIA | Conformant |
| CID001498 | Gold | PX Precinox S.A. | SWITZERLAND | Conformant |
| CID003324 | Gold | QG Refining, LLC | UNITED STATES OF AMERICA | Known |
| CID001512 | Gold | Rand Refinery (Pty) Ltd. | SOUTH AFRICA | Conformant |
| CID000522 | Gold | Refinery of Seemine Gold Co., Ltd. | CHINA | Known |
| CID002582 | Gold | Remondis Argentia B.V. | NETHERLANDS | Conformant |
| CID002510 | Gold | Republic Metals Corporation | UNITED STATES OF AMERICA | Conformant |
| CID001534 | Gold | Royal Canadian Mint | CANADA | Conformant |
| CID002761 | Gold | SAAMP | FRANCE | Conformant |
| CID001546 | Gold | Sabin Metal Corp. | UNITED STATES OF AMERICA | Known |
| CID002973 | Gold | Safimet S.p.A | ITALY | Conformant |
| CID002290 | Gold | SAFINA A.S. | CZECH REPUBLIC | Known |
| CID002853 | Gold | Sai Refinery | INDIA | Known |
| CID001555 | Gold | Samduck Precious Metals | KOREA, REPUBLIC OF | Conformant |
| CID001562 | Gold | Samwon Metals Corp. | KOREA, REPUBLIC OF | Known |
| CID002777 | Gold | SAXONIA Edelmetalle GmbH | GERMANY | Conformant |
| CID001573 | Gold | Schone Edelmetaal B.V. | NETHERLANDS | Known |
| CID001585 | Gold | SEMPSA Joyeria Plateria S.A. | SPAIN | Conformant |
| Page 8 |
| Smelter Identification | Metal | Smelter Name | Smelter Country | Subsidiary |
| CID001619 | Gold | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | CHINA | Known |
| CID001622 | Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | CHINA | Conformant |
| CID001736 | Gold | Sichuan Tianze Precious Metals Co., Ltd. | CHINA | Conformant |
| CID002516 | Gold | Singway Technology Co., Ltd. | TAIWAN, PROVINCE OF CHINA | Conformant |
| CID001756 | Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | RUSSIAN FEDERATION | Conformant |
| CID001761 | Gold | Solar Applied Materials Technology Corp. | TAIWAN, PROVINCE OF CHINA | Conformant |
| CID003153 | Gold | State Research Institute Center for Physical Sciences and Technology | LITHUANIA | Known |
| CID002567 | Gold | Sudan Gold Refinery | SUDAN | Known |
| CID001798 | Gold | Sumitomo Metal Mining Co., Ltd. | JAPAN | Conformant |
| CID002918 | Gold | SungEel HiMetal Co., Ltd. | KOREA, REPUBLIC OF | Conformant |
| CID002580 | Gold | T.C.A S.p.A | ITALY | Conformant |
| CID001875 | Gold | Tanaka Kikinzoku Kogyo K.K. | JAPAN | Conformant |
| CID001916 | Gold | The Refinery of Shandong Gold Mining Co., Ltd. | CHINA | Conformant |
| CID001938 | Gold | Tokuriki Honten Co., Ltd. | JAPAN | Conformant |
| CID001947 | Gold | Tongling Nonferrous Metals Group Co., Ltd. | CHINA | Known |
| CID002587 | Gold | Tony Goetz NV | BELGIUM | Known |
| CID002615 | Gold | TOO Tau-Ken-Altyn | KAZAKHSTAN | Known |
| CID001955 | Gold | Torecom | KOREA, REPUBLIC OF | Conformant |
| CID001977 | Gold | Umicore Brasil Ltda. | BRAZIL | Conformant |
| CID002314 | Gold | Umicore Precious Metals Thailand | THAILAND | Conformant |
| CID001980 | Gold | Umicore S.A. Business Unit Precious Metals Refining | BELGIUM | Conformant |
| CID001993 | Gold | United Precious Metal Refining, Inc. | UNITED STATES OF AMERICA | Conformant |
| CID002854 | Gold | Universal Precious Metals Refining Zambia | ZAMBIA | Known |
| CID002003 | Gold | Valcambi S.A. | SWITZERLAND | Conformant |
| CID002030 | Gold | Western Australian Mint (T/a The Perth Mint) | AUSTRALIA | Conformant |
| CID002778 | Gold | WIELAND Edelmetalle GmbH | GERMANY | Conformant |
| CID002100 | Gold | Yamakin Co., Ltd. | JAPAN | Conformant |
| CID002129 | Gold | Yokohama Metal Co., Ltd. | JAPAN | Conformant |
| CID000197 | Gold | Yunnan Copper Industry Co., Ltd. | CHINA | Known |
| CID002224 | Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | CHINA | Conformant |
| CID000092 | Tantalum | Asaka Riken Co., Ltd. | JAPAN | Conformant |
| CID000211 | Tantalum | Changsha South Tantalum Niobium Co., Ltd. | CHINA | Conformant |
| CID002504 | Tantalum | D Block Metals, LLC | UNITED STATES OF AMERICA | Conformant |
| CID000410 | Tantalum | Duoluoshan | CHINA | Known |
| CID000456 | Tantalum | Exotech Inc. | UNITED STATES OF AMERICA | Conformant |
| CID000460 | Tantalum | F&X Electro-Materials Ltd. | CHINA | Conformant |
| CID002505 | Tantalum | FIR Metals & Resource Ltd. | CHINA | Conformant |
| CID002558 | Tantalum | Global Advanced Metals Aizu | JAPAN | Conformant |
| CID002557 | Tantalum | Global Advanced Metals Boyertown | UNITED STATES OF AMERICA | Conformant |
| CID000291 | Tantalum | Guangdong Rising Rare Metals-EO Materials Ltd. | CHINA | Conformant |
| Page 9 |
| Smelter Identification | Metal | Smelter Name | Smelter Country | Subsidiary |
| CID000616 | Tantalum | Guangdong Zhiyuan New Material Co., Ltd. | CHINA | Conformant |
| CID002544 | Tantalum | H.C. Starck Co., Ltd. | THAILAND | Conformant |
| CID002547 | Tantalum | H.C. Starck Hermsdorf GmbH | GERMANY | Conformant |
| CID002548 | Tantalum | H.C. Starck Inc. | UNITED STATES OF AMERICA | Conformant |
| CID002549 | Tantalum | H.C. Starck Ltd. | JAPAN | Conformant |
| CID002550 | Tantalum | H.C. Starck Smelting GmbH & Co. KG | GERMANY | Conformant |
| CID002545 | Tantalum | H.C. Starck Tantalum and Niobium GmbH | GERMANY | Conformant |
| CID002492 | Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | CHINA | Conformant |
| CID002512 | Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | CHINA | Conformant |
| CID002842 | Tantalum | Jiangxi Tuohong New Raw Material | CHINA | Conformant |
| CID003191 | Tantalum | Jiujiang Janny New Material Co., Ltd. | CHINA | Conformant |
| CID000914 | Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | CHINA | Conformant |
| CID000917 | Tantalum | Jiujiang Tanbre Co., Ltd. | CHINA | Conformant |
| CID002506 | Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | CHINA | Conformant |
| CID002539 | Tantalum | KEMET Blue Metals | MEXICO | Conformant |
| CID002568 | Tantalum | KEMET Blue Powder | UNITED STATES OF AMERICA | Conformant |
| CID001076 | Tantalum | LSM Brasil S.A. | BRAZIL | Conformant |
| CID001163 | Tantalum | Metallurgical Products India Pvt., Ltd. | INDIA | Conformant |
| CID001175 | Tantalum | Mineracao Taboca S.A. | BRAZIL | Conformant |
| CID001192 | Tantalum | Mitsui Mining and Smelting Co., Ltd. | JAPAN | Conformant |
| CID001277 | Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | CHINA | Conformant |
| CID001200 | Tantalum | NPM Silmet AS | ESTONIA | Conformant |
| CID002847 | Tantalum | Power Resources Ltd. | MACEDONIA, THE FORMER YUGOSLAV REPUBLIC OF | Conformant |
| CID001508 | Tantalum | QuantumClean | UNITED STATES OF AMERICA | Conformant |
| CID002707 | Tantalum | Resind Industria e Comercio Ltda. | BRAZIL | Conformant |
| CID001522 | Tantalum | RFH Tantalum Smeltery Co., Ltd./Yanling Jincheng Tantalum & Niobium Co., Ltd. | CHINA | Conformant |
| CID001769 | Tantalum | Solikamsk Magnesium Works OAO | RUSSIAN FEDERATION | Conformant |
| CID001869 | Tantalum | Taki Chemical Co., Ltd. | JAPAN | Conformant |
| CID001891 | Tantalum | Telex Metals | UNITED STATES OF AMERICA | Conformant |
| CID001969 | Tantalum | Ulba Metallurgical Plant JSC | KAZAKHSTAN | Conformant |
| CID002508 | Tantalum | XinXing HaoRong Electronic Material Co., Ltd. | CHINA | Conformant |
| CID002307 | Tantalum | Yichun Jin Yang Rare Metal Co., Ltd. | CHINA | Known |
| CID000292 | Tin | Alpha | UNITED STATES OF AMERICA | Conformant |
| CID002703 | Tin | An Vinh Joint Stock Mineral Processing Company | VIET NAM | Known |
| CID000228 | Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | CHINA | Conformant |
| CID003190 | Tin | Chifeng Dajingzi Tin Industry Co., Ltd. | CHINA | Conformant |
| CID001070 | Tin | China Tin Group Co., Ltd. | CHINA | Conformant |
| CID000278 | Tin | CNMC (Guangxi) PGMA Co., Ltd. | CHINA | Known |
| CID002570 | Tin | CV Ayi Jaya | INDONESIA | Conformant |
| CID002592 | Tin | CV Dua Sekawan | INDONESIA | Conformant |
| CID000306 | Tin | CV Gita Pesona | INDONESIA | Conformant |
| Page 10 |
| Smelter Identification | Metal | Smelter Name | Smelter Country | Subsidiary |
| CID002593 | Tin | CV Tiga Sekawan | INDONESIA | Conformant |
| CID000315 | Tin | CV United Smelting | INDONESIA | Conformant |
| CID000315 | Tin | CV United Smelting | INDONESIA | Conformant |
| CID002455 | Tin | CV Venus Inti Perkasa | INDONESIA | Conformant |
| CID000402 | Tin | Dowa | JAPAN | Conformant |
| CID002572 | Tin | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | VIET NAM | Known |
| CID000438 | Tin | EM Vinto | BOLIVIA (PLURINATIONAL STATE OF) | Conformant |
| CID000448 | Tin | Estanho de Rondonia S.A. | BRAZIL | Known |
| CID000468 | Tin | Fenix Metals | POLAND | Conformant |
| CID002848 | Tin | Gejiu Fengming Metallurgy Chemical Plant | CHINA | Conformant |
| CID002859 | Tin | Gejiu Jinye Mineral Company | CHINA | Conformant |
| CID000942 | Tin | Gejiu Kai Meng Industry and Trade LLC | CHINA | Conformant |
| CID000538 | Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. | CHINA | Conformant |
| CID001908 | Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | CHINA | Conformant |
| CID000555 | Tin | Gejiu Zili Mining And Metallurgy Co., Ltd. | CHINA | Active |
| CID003116 | Tin | Guangdong Hanhe Non-Ferrous Metal Co., Ltd. | CHINA | Conformant |
| CID002849 | Tin | Guanyang Guida Nonferrous Metal Smelting Plant | CHINA | Conformant |
| CID002844 | Tin | HuiChang Hill Tin Industry Co., Ltd. | CHINA | Conformant |
| CID000760 | Tin | Huichang Jinshunda Tin Co., Ltd. | CHINA | Conformant |
| CID000244 | Tin | Jiangxi Ketai Advanced Material Co., Ltd. | CHINA | Conformant |
| CID001231 | Tin | Jiangxi New Nanshan Technology Ltd. | CHINA | Conformant |
| CID002468 | Tin | Magnu's Minerais Metais e Ligas Ltda. | BRAZIL | Conformant |
| CID001105 | Tin | Malaysia Smelting Corporation (MSC) | MALAYSIA | Conformant |
| CID001105 | Tin | Malaysia Smelting Corporation (MSC) | MALAYSIA | Conformant |
| CID002500 | Tin | Melt Metais e Ligas S.A. | BRAZIL | Conformant |
| CID001142 | Tin | Metallic Resources, Inc. | UNITED STATES OF AMERICA | Conformant |
| CID002773 | Tin | Metallo Belgium N.V. | BELGIUM | Conformant |
| CID002774 | Tin | Metallo Spain S.L.U. | SPAIN | Conformant |
| CID001173 | Tin | Mineracao Taboca S.A. | BRAZIL | Conformant |
| CID001182 | Tin | Minsur | PERU | Conformant |
| CID001182 | Tin | Minsur | PERU | Conformant |
| CID001191 | Tin | Mitsubishi Materials Corporation | JAPAN | Conformant |
| CID002858 | Tin | Modeltech Sdn Bhd | MALAYSIA | Conformant |
| CID002573 | Tin | Nghe Tinh Non-Ferrous Metals Joint Stock Company | VIET NAM | Known |
| CID001314 | Tin | O.M. Manufacturing (Thailand) Co., Ltd. | THAILAND | Conformant |
| CID002517 | Tin | O.M. Manufacturing Philippines, Inc. | PHILIPPINES | Conformant |
| CID001337 | Tin | Operaciones Metalurgical S.A. | BOLIVIA (PLURINATIONAL STATE OF) | Conformant |
| CID001337 | Tin | Operaciones Metalurgical S.A. | BOLIVIA (PLURINATIONAL STATE OF) | Conformant |
| CID003208 | Tin | Pongpipat Company Limited | MYANMAR | Known |
| CID000309 | Tin | PT Aries Kencana Sejahtera | INDONESIA | Conformant |
| Page 11 |
| Smelter Identification | Metal | Smelter Name | Smelter Country | Subsidiary |
| CID001399 | Tin | PT Artha Cipta Langgeng | INDONESIA | Conformant |
| CID002503 | Tin | PT ATD Makmur Mandiri Jaya | INDONESIA | Conformant |
| CID002503 | Tin | PT ATD Makmur Mandiri Jaya | INDONESIA | Conformant |
| CID001402 | Tin | PT Babel Inti Perkasa | INDONESIA | Conformant |
| CID002776 | Tin | PT Bangka Prima Tin | INDONESIA | Conformant |
| CID002776 | Tin | PT Bangka Prima Tin | INDONESIA | Conformant |
| CID003205 | Tin | PT Bangka Serumpun | INDONESIA | Conformant |
| CID001419 | Tin | PT Bangka Tin Industry | INDONESIA | Conformant |
| CID001421 | Tin | PT Belitung Industri Sejahtera | INDONESIA | Conformant |
| CID001428 | Tin | PT Bukit Timah | INDONESIA | Conformant |
| CID001434 | Tin | PT DS Jaya Abadi | INDONESIA | Conformant |
| CID001438 | Tin | PT Eunindo Usaha Mandiri | INDONESIA | Conformant |
| CID002530 | Tin | PT Inti Stania Prima | INDONESIA | Conformant |
| CID001448 | Tin | PT Karimun Mining | INDONESIA | Conformant |
| CID002829 | Tin | PT Kijang Jaya Mandiri | INDONESIA | Conformant |
| CID002870 | Tin | PT Lautan Harmonis Sejahtera | INDONESIA | Conformant |
| CID002870 | Tin | PT Lautan Harmonis Sejahtera | INDONESIA | Conformant |
| CID002835 | Tin | PT Menara Cipta Mulia | INDONESIA | Conformant |
| CID001453 | Tin | PT Mitra Stania Prima | INDONESIA | Conformant |
| CID001457 | Tin | PT Panca Mega Persada | INDONESIA | Conformant |
| CID000313 | Tin | PT Premium Tin Indonesia | INDONESIA | Conformant |
| CID001458 | Tin | PT Prima Timah Utama | INDONESIA | Conformant |
| CID001460 | Tin | PT Refined Bangka Tin | INDONESIA | Conformant |
| CID001463 | Tin | PT Sariwiguna Binasentosa | INDONESIA | Conformant |
| CID001468 | Tin | PT Stanindo Inti Perkasa | INDONESIA | Conformant |
| CID002816 | Tin | PT Sukses Inti Makmur | INDONESIA | Conformant |
| CID001471 | Tin | PT Sumber Jaya Indah | INDONESIA | Conformant |
| CID001477 | Tin | PT Timah (Persero) Tbk Kundur | INDONESIA | Conformant |
| CID001477 | Tin | PT Timah (Persero) Tbk Kundur | INDONESIA | Conformant |
| CID001482 | Tin | PT Timah (Persero) Tbk Mentok | INDONESIA | Conformant |
| CID001490 | Tin | PT Tinindo Inter Nusa | INDONESIA | Conformant |
| CID001490 | Tin | PT Tinindo Inter Nusa | INDONESIA | Conformant |
| CID001493 | Tin | PT Tommy Utama | INDONESIA | Conformant |
| CID002706 | Tin | Resind Industria e Comercio Ltda. | BRAZIL | Conformant |
| CID001539 | Tin | Rui Da Hung | TAIWAN, PROVINCE OF CHINA | Conformant |
| CID001758 | Tin | Soft Metais Ltda. | BRAZIL | Conformant |
| CID002756 | Tin | Super Ligas | BRAZIL | Known |
| CID001898 | Tin | Thaisarco | THAILAND | Conformant |
| CID003325 | Tin | Tin Technology & Refining | UNITED STATES OF AMERICA | Active |
| CID002574 | Tin | Tuyen Quang Non-Ferrous Metals Joint Stock Company | VIET NAM | Known |
| CID002036 | Tin | White Solder Metalurgia e Mineracao Ltda. | BRAZIL | Conformant |
| Page 12 |
| Smelter Identification | Metal | Smelter Name | Smelter Country | Subsidiary |
| CID002036 | Tin | White Solder Metalurgia e Mineração Ltda. | BRAZIL | Conformant |
| CID002158 | Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | CHINA | Conformant |
| CID002180 | Tin | Yunnan Tin Company Limited | CHINA | Conformant |
| CID000004 | Tungsten | A.L.M.T. TUNGSTEN Corp. | JAPAN | Conformant |
| CID002833 | Tungsten | ACL Metais Eireli | BRAZIL | Conformant |
| CID002502 | Tungsten | Asia Tungsten Products Vietnam Ltd. | VIET NAM | Conformant |
| CID002513 | Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd. | CHINA | Conformant |
| CID000258 | Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | CHINA | Conformant |
| CID000499 | Tungsten | Fujian Jinxin Tungsten Co., Ltd. | CHINA | Conformant |
| CID002645 | Tungsten | Ganzhou Haichuang Tungsten Co., Ltd. | CHINA | Conformant |
| CID000875 | Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. | CHINA | Conformant |
| CID002315 | Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | CHINA | Conformant |
| CID002494 | Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | CHINA | Conformant |
| CID002536 | Tungsten | Ganzhou Yatai Tungsten Co., Ltd. | CHINA | Known |
| CID000568 | Tungsten | Global Tungsten & Powders Corp. | UNITED STATES OF AMERICA | Conformant |
| CID000218 | Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | CHINA | Conformant |
| CID002542 | Tungsten | H.C. Starck Smelting GmbH & Co. KG | GERMANY | Conformant |
| CID002541 | Tungsten | H.C. Starck Tungsten GmbH | GERMANY | Conformant |
| CID000766 | Tungsten | Hunan Chenzhou Mining Co., Ltd. | CHINA | Conformant |
| CID002579 | Tungsten | Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji | CHINA | Conformant |
| CID000769 | Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd. | CHINA | Conformant |
| CID003182 | Tungsten | Hunan Litian Tungsten Industry Co., Ltd. | CHINA | Known |
| CID002649 | Tungsten | Hydrometallurg, JSC | RUSSIAN FEDERATION | Conformant |
| CID000825 | Tungsten | Japan New Metals Co., Ltd. | JAPAN | Conformant |
| CID002551 | Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | CHINA | Conformant |
| CID002647 | Tungsten | Jiangxi Dayu Longxintai Tungsten Co., Ltd. | CHINA | Known |
| CID002321 | Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | CHINA | Conformant |
| CID002313 | Tungsten | Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. | CHINA | Known |
| CID002318 | Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | CHINA | Conformant |
| CID002317 | Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | CHINA | Conformant |
| CID002535 | Tungsten | Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd. | CHINA | Known |
| CID002316 | Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. | CHINA | Conformant |
| CID000966 | Tungsten | Kennametal Fallon | UNITED STATES OF AMERICA | Conformant |
| CID000105 | Tungsten | Kennametal Huntsville | UNITED STATES OF AMERICA | Conformant |
| CID002319 | Tungsten | Malipo Haiyu Tungsten Co., Ltd. | CHINA | Conformant |
| CID002845 | Tungsten | Moliren Ltd. | RUSSIAN FEDERATION | Conformant |
| CID002589 | Tungsten | Niagara Refining LLC | UNITED STATES OF AMERICA | Conformant |
| CID002543 | Tungsten | Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC | VIET NAM | Conformant |
| CID002827 | Tungsten | Philippine Chuangxin Industrial Co., Inc. | PHILIPPINES | Conformant |
| CID002815 | Tungsten | South-East Nonferrous Metal Company Limited of Hengyang City | CHINA | Conformant |
| Page 13 |
| Smelter Identification | Metal | Smelter Name | Smelter Country | Subsidiary |
| CID001889 | Tungsten | Tejing (Vietnam) Tungsten Co., Ltd. | VIET NAM | Conformant |
| CID002724 | Tungsten | Unecha Refractory metals plant | RUSSIAN FEDERATION | Conformant |
| CID002011 | Tungsten | Vietnam Youngsun Tungsten Industry Co., Ltd. | VIET NAM | Conformant |
| CID002044 | Tungsten | Wolfram Bergbau und Hutten AG | AUSTRIA | Conformant |
| CID002843 | Tungsten | Woltech Korea Co., Ltd. | KOREA, REPUBLIC OF | Conformant |
| CID002320 | Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | CHINA | Conformant |
| CID002082 | Tungsten | Xiamen Tungsten Co., Ltd. | CHINA | Conformant |
| CID002830 | Tungsten | Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. | CHINA | Conformant |
| CID002095 | Tungsten | Xinhai Rendan Shaoguan Tungsten Co., Ltd. | CHINA | Conformant |
| Page 14 |