UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM SD
SPECIALIZED DISCLOSURE REPORT
Date of report: May 13, 2022
ESCO TECHNOLOGIES, INC.
(Exact name of the registrant as specified in its charter)
| Missouri | 1-10596 |
| (State or other jurisdiction of incorporation) | (Commission File Number) |
9900A Clayton Road
St. Louis, Missouri 63124-1186
(Address of principal executive offices) (Zip code)
David M. Schatz, Senior Vice President and General Counsel
(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, 2021
¨ Rule 13q-1 under the Securities Exchange Act (17 CFR 240.13q-1) for the fiscal year ended ________
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, 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. Resource Extraction Issuer Disclosure
N/A
Section 3. Exhibits
Item 3.01 Exhibits
| Exhibit No. | Description | |
| 1.01 | Conflict Minerals Report of ESCO Technologies Inc. for Calendar Year 2021 |
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/ David M. Schatz | May 13, 2022 |
| David M. Schatz | ||
| Senior Vice President, | ||
| Secretary and General Counsel |
Page 2
EXHIBIT 1.01
Conflict
Minerals Report of ESCO Technologies Inc.
for Calendar Year 2021
This is the Conflict Minerals Report of ESCO Technologies Inc. (“ESCO”) for calendar year 2021 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 2021, ESCO conducted its business in three 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 2021, 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:
Aerospace and Defense:
Crissair, Inc.
Globe Composite Solutions, LLC
Hi-Tech Metals, Inc.
Mayday Manufacturing Co.
PTI Technologies Inc.
VACCO Industries
Westland Technologies, Inc.
Utility Solutions Group:
Doble Engineering Company
I.S.A.–Altanova Group S.r.l.
NRG Systems, Inc.
RF Shielding and Test:
ETS-Lindgren Inc.
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 2021:
| · | 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 (CAHRAs): Third Edition (the “OECD Guidance”) including related Supplements for each of the Conflict Minerals in addition to guidance provided by the SEC and Responsible Minerals Initiative (RMI). Although the updated OECD Guidance clarifies that the framework requires detailed due diligence as a basis for responsible supply chain management of all minerals from Conflict Affected and High Risk Areas, currently ESCO is focused on the SEC required 3TGs in the DRC and surrounding countries and in the future will expand the program to other CAHRAs or minerals as recommended by the SEC.
ESCO’s due diligence measures were based on the OECD Guidance. 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, for the last eight years, has focused its efforts 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’s updated conflict minerals policy demonstrates the Company’s commitment to responsible sourcing in conformance with the OECD Framework for conflict-affected and high-risk areas for minerals originating in the Covered Countries with the goal to purchase materials only from sources which do not support armed groups in the DRC Region and expectations that our suppliers will do the same. ESCO’s updated conflict minerals policy statement is available on the Company’s website at: https://www.escotechnologies.com/corporate-citizenship/. |
| · | ESCO maintains a governance model to oversee the implementation and ongoing management of its Conflict Minerals Compliance Program, including a Conflict Minerals Core Team including representatives from each significant subsidiary, led by an 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 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 across the ESCO subsidiaries 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 engages with its suppliers to gain greater visibility into their supply chains, in order to make better sourcing decisions. |
| · | 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 RMI’s 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 with each ESCO subsidiary. |
| · | 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 level CMRTs. |
Page 3
Step 3: Design and implement a strategy to respond to identified risks
| · | Annually, ESCO completes the Responsible Minerals Assurance Process (RMAP) Downstream Assessment, the RMI and OECD Due Diligence Guidance Expectations for Downstream companies, 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. |
| · | 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 the identifying the Conflict Minerals Status of supplier parts as a field within the master part list identifying the status as 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. |
| · | ESCO submits written warnings to suppliers based on their use of non-Conformant Smelters and Refiners requesting they change their sourcing of materials provided to ESCO to include only Conformant sources of 3TG. |
| · | 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. |
Page 4
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. |
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):
| · | ESCO continues to direct its subsidiaries to automate the process of identifying parts and suppliers engaged with during the reporting year, as well as the storage and dissemination of results for customer reporting. |
| · | ESCO will continue to require suppliers to identify the 3TG contained in the products they supply and on an annual basis 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 542 direct material suppliers, representing 44% of total suppliers surveyed and 41% of the active parts surveyed that were used in its 2021 manufactured goods. ESCO believes the continued lower response rate since reporting year 2019, as compared to earlier years, is likely attributable to the continued impact of the COVID-19 coronavirus pandemic.
Based on the information provided by ESCO’s suppliers utilized during 2021, 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 7. The supplier responses included Conformant, Active (in the process of a RMI audit), Known (previously identified as a Smelter or Refiner by RMI or CFSI) and Unknown smelters, but based on the absence of reliable information on the Unknown smelters, only the Conformant and Active and Known 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
| Metal | Smelter ID | Smelter Name | Smelter Country | Status |
| Gold | CID002763 | 8853 S.p.A. | Italy | Conformant |
| Gold | CID002708 | Abington Reldan Metals, LLC | United States of America | Known |
| Gold | CID000015 | Advanced Chemical Company | United States of America | Conformant |
| Gold | CID003185 | African Gold Refinery | Uganda | Known |
| Gold | CID002030 | AGR (Perth Mint Australia) | Australia | Conformant |
| Gold | CID000019 | Aida Chemical Industries Co., Ltd. | Japan | Conformant |
| Gold | CID000401 | AKITA Seiren | Japan | Conformant |
| Gold | CID002560 | Al Etihad Gold LLC | United Arab Emirates | Conformant |
| Gold | CID003500 | Alexy Metals | United States of America | Active |
| Gold | CID000035 | Allgemeine Gold-und Silberscheideanstalt A.G. | Germany | Conformant |
| Gold | CID000041 | Almalyk Mining and Metallurgical Complex (AMMC) | Uzbekistan | Conformant |
| Gold | CID000082 | Amagasaki Factory, Hyogo Prefecture, Japan | Japan | Conformant |
| Gold | CID000058 | AngloGold Ashanti Brazil | Brazil | Conformant |
| Gold | CID001947 | Anhui Tongling Nonferrous Metal Mining Co., Ltd. | China | Known |
| Gold | CID000077 | Argor-Heraeus S.A. | Switzerland | Conformant |
| Gold | CID000924 | Asahi Refining Canada Ltd. | Canada | Conformant |
| Gold | CID000920 | Asahi Refining USA Inc. | United States of America | Conformant |
| Gold | CID000090 | Asaka Riken Co., Ltd. | Japan | Conformant |
| Gold | CID000103 | ATAkulche | Turkey | Known |
| Gold | CID002850 | AU Traders and Refiners | South Africa | Conformant |
| Gold | CID003461 | Augmont Enterprises Private Limited | India | Active |
| Gold | CID000113 | Aurubis AG | Germany | Conformant |
| Gold | CID002863 | BALORE REFINERSGA | India | Conformant |
| Gold | CID000128 | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | Philippines | Conformant |
| Gold | CID000157 | Boliden AB | Sweden | Conformant |
| Gold | CID000176 | C. Hafner GmbH + Co. KG | Germany | Conformant |
| Gold | CID003421 | C.I Metales Procesados Industriales SAS | Colombia | Active |
| Gold | CID000180 | Caridad | Mexico | Known |
| Gold | CID000185 | CCR | Canada | Conformant |
| Gold | CID000189 | Cendres + M?taux SA | Switzerland | Conformant |
| Gold | CID003382 | CGR Metalloys Pvt Ltd. | India | Known |
| Gold | CID000197 | CHALCO Yunnan Copper Co. Ltd. | China | Known |
| Gold | CID000233 | Chimet S.p.A. | Italy | Conformant |
| Gold | CID002224 | China Henan Zhongyuan Gold Smelter | China | Conformant |
| Gold | CID001916 | China's Shandong Gold Mining Co., Ltd | China | Conformant |
| Gold | CID000264 | Chugai Mining | Japan | Conformant |
| Gold | CID000343 | Daye Non-Ferrous Metals Mining Ltd. | China | Known |
| Gold | CID002867 | DEGUSSA | Germany | Known |
| Gold | CID003348 | Dijllah Gold Refinery FZC | United Arab Emirates | Known |
| Gold | CID000359 | Do Sung Corporation | Korea, Republic of | Conformant |
| Gold | CID000362 | Doduco | Germany | Conformant |
| Gold | CID003195 | DS PRETECH Co., Ltd. | Korea, Republic of | Conformant |
| Gold | CID000425 | Eco-System Recycling Co., Ltd. East Plant | Japan | Conformant |
| Gold | CID003424 | Eco-System Recycling Co., Ltd. North Plant | Japan | Conformant |
| Gold | CID003425 | Eco-System Recycling Co., Ltd. West Plant | Japan | Conformant |
| Gold | CID000927 | Ekaterinburg | Russian Federation | Known |
| Gold | CID003487 | Emerald Jewel Industry India Limited (Unit 1) | India | Known |
| Gold | CID003488 | Emerald Jewel Industry India Limited (Unit 2) | India | Known |
Page 6
| Metal | Smelter ID | Smelter Name | Smelter Country | Status |
| Gold | CID003489 | Emerald Jewel Industry India Limited (Unit 3) | India | Known |
| Gold | CID003490 | Emerald Jewel Industry India Limited (Unit 4) | India | Known |
| Gold | CID002561 | Emirates Gold DMCC | United Arab Emirates | Conformant |
| Gold | CID001204 | Federal State Unitary Enterprise Moscow Special Processing Plant (FSUE MZSS) | Russian Federation | Conformant |
| Gold | CID002515 | Fidelity Printers and Refiners Ltd. | Zimbabwe | Known |
| Gold | CID000493 | FSE Novosibirsk Refinery | Russian Federation | Conformant |
| Gold | CID002584 | Fujairah Gold FZC | United Arab Emirates | Known |
| Gold | CID002243 | Fujian Zijin mining stock company gold smelter | China | Conformant |
| Gold | CID002852 | GCC Gujrat Gold Centre Pvt. Ltd. | India | Known |
| Gold | CID002459 | Geib Refining Corporation | United States of America | Conformant |
| Gold | CID003186 | Gold Coast Refinery | Ghana | Known |
| Gold | CID001909 | Great Wall Precious Metals Co,. LTD. | China | Known |
| Gold | CID002312 | Guangdong Gaoyao Co | China | Known |
| Gold | CID000651 | Guoda Safina High-Tech Environmental Refinery Co., Ltd. | China | Known |
| Gold | CID000671 | Hangzhou Fuchunjiang Smelting Co., Ltd. | China | Known |
| Gold | CID000689 | HeeSung Metal Ltd. | Korea, Republic of | Conformant |
| Gold | CID000694 | Heimerle + Meule GmbH | Germany | Conformant |
| Gold | CID000711 | Heraeus Germany GmbH Co. KG | Germany | Active |
| Gold | CID000707 | Heraeus Ltd. Hong Kong | China | Conformant |
| Gold | CID000767 | Hunan Chenzhou Mining Co., Ltd. | China | Known |
| Gold | CID000773 | Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd. | China | Known |
| Gold | CID000778 | HwaSeong CJ CO., LTD. | Korea, Republic of | Known |
| Gold | CID002587 | Industrial Refining Company | Belgium | Known |
| Gold | CID000801 | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | China | Conformant |
| Gold | CID002562 | International Precious Metal Refiners | United Arab Emirates | Active |
| Gold | CID000807 | Ishifuku Metal Industry Co., Ltd. | Japan | Conformant |
| Gold | CID000814 | Istanbul Gold Refinery | Turkey | Conformant |
| Gold | CID002765 | Italpreziosi | Italy | Conformant |
| Gold | CID002893 | JALAN & Company | India | Known |
| Gold | CID000823 | Japan Mint | Japan | Conformant |
| Gold | CID000855 | JCC | China | Conformant |
| Gold | CID000929 | JSC Uralelectromed | Russian Federation | Conformant |
| Gold | CID000937 | JX Nippon Mining & Metals Co., Ltd. | Japan | Conformant |
| Gold | CID003497 | K.A. Rasmussen | Norway | Known |
| Gold | CID002563 | Kaloti Precious Metals | United Arab Emirates | Known |
| Gold | CID000956 | Kazakhmys Smelting LLC | Kazakhstan | Known |
| Gold | CID000957 | Kazzinc | Kazakhstan | Conformant |
| Gold | CID000969 | Kennecott Utah Copper LLC | United States of America | Conformant |
| Gold | CID002511 | KGHM Polska Miedz S.A. | Poland | Conformant |
| Gold | CID000981 | Kojima Chemicals Co., Ltd. | Japan | Conformant |
| Gold | CID002605 | Korea Zinc Co., Ltd. | Korea, Republic of | Conformant |
| Gold | CID003463 | Kundan Care Products Ltd. | India | Known |
| Gold | CID001029 | Kyrgyzaltyn JSC | Kyrgyzstan | Conformant |
| Gold | CID002865 | Kyshtym Copper-Electrolytic Plant ZAO | Russian Federation | Known |
| Gold | CID001032 | L'azurde Company For Jewelry | Saudi Arabia | Known |
| Gold | CID001056 | LinBao Gold Mining | China | Known |
| Gold | CID001058 | Lingbao Jinyuan Tonghui Refinery Co., Ltd. | China | Known |
| Gold | CID002762 | L'Orfebre S.A. | Andorra | Conformant |
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| Metal | Smelter ID | Smelter Name | Smelter Country | Status |
| Gold | CID001078 | LS-NIKKO Copper Inc. | Korea, Republic of | Conformant |
| Gold | CID001093 | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | China | Known |
| Gold | CID002606 | Marsam Metals | Brazil | Conformant |
| Gold | CID001113 | Materion | United States of America | Conformant |
| Gold | CID001119 | Matsuda Sangyo Co., Ltd. | Japan | Conformant |
| Gold | CID003548 | MD Overseas | India | Known |
| Gold | CID001798 | MEM(Sumitomo Group) | Japan | Conformant |
| Gold | CID003575 | Metal Concentrators SA (Pty) Ltd. | South Africa | Conformant |
| Gold | CID001161 | Metal?rgica Met-Mex Pe?oles, S.A. de C.V | Mexico | Conformant |
| Gold | CID003557 | Metallix Refining Inc. | United States of America | Active |
| Gold | CID001980 | Metallurgie Hoboken Overpelt | Belgium | Conformant |
| Gold | CID001153 | Metalor Switzerland | Switzerland | Conformant |
| Gold | CID001149 | Metalor Technologies (Hong Kong) Ltd. | China | Conformant |
| Gold | CID001152 | Metalor Technologies (Singapore) Pte., Ltd. | Singapore | Conformant |
| Gold | CID001147 | Metalor Technologies (Suzhou) Ltd. | China | Conformant |
| Gold | CID001157 | Metalor USA Refining Corporation | United States of America | Conformant |
| Gold | CID001188 | Mitsubishi Materials Corporation | Japan | Conformant |
| Gold | CID001193 | Mitsui Kinzoku Co., Ltd. | Japan | Conformant |
| Gold | CID002509 | MMTC-PAMP India Pvt., Ltd. | India | Conformant |
| Gold | CID002857 | Modeltech Sdn Bhd | Malaysia | Known |
| Gold | CID002282 | Morris and Watson | New Zealand | Known |
| Gold | CID001220 | Nadir Metal Rafineri San. Ve Tic. A.S. | Turkey | Conformant |
| Gold | CID001236 | Navoi Mining and Metallurgical Combinat | Uzbekistan | Conformant |
| Gold | CID003189 | NH Recytech Company | Korea, Republic of | Known |
| Gold | CID001259 | Nihon Material Co., Ltd. | Japan | Conformant |
| Gold | CID002779 | Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH | Austria | Conformant |
| Gold | CID001325 | Ohura Precious Metal Industry Co., Ltd. | Japan | Conformant |
| Gold | CID001326 | OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) | Russian Federation | Conformant |
| Gold | CID001352 | PAMP S.A. | Switzerland | Conformant |
| Gold | CID002872 | Pease & Curren | United States of America | Known |
| Gold | CID001362 | Penglai Penggang Gold Industry Co., Ltd. | China | Known |
| Gold | CID002919 | Planta Recuperadora de Metales SpA | Chile | Conformant |
| Gold | CID001386 | Prioksky Plant of Non-Ferrous Metals | Russian Federation | Conformant |
| Gold | CID001397 | PT Aneka Tambang (Persero) Tbk | Indonesia | Conformant |
| Gold | CID001498 | PX Precinox S.A. | Switzerland | Conformant |
| Gold | CID003324 | QG Refining, LLC | United States of America | Known |
| Gold | CID001512 | Rand Refinery (Pty) Ltd. | South Africa | Conformant |
| Gold | CID000522 | Refinery of Seemine Gold Co., Ltd. | China | Known |
| Gold | CID002582 | Remondis Argentia B.V. | Netherlands | Conformant |
| Gold | CID001534 | Royal Canadian Mint | Canada | Conformant |
| Gold | CID002761 | SAAMP | France | Conformant |
| Gold | CID001546 | Sabin Metal Corp. | United States of America | Known |
| Gold | CID002973 | Safimet S.p.A | Italy | Conformant |
| Gold | CID002290 | SAFINA A.S. | Czechia | Conformant |
| Gold | CID002853 | Sai Refinery | India | Known |
| Gold | CID001555 | Samdok Metal | Korea, Republic of | Conformant |
| Gold | CID001562 | Samwon Metals Corp. | Korea, Republic of | Known |
| Gold | CID003529 | Sancus ZFS (L’Orfebre, SA) | Colombia | Known |
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| Metal | Smelter ID | Smelter Name | Smelter Country | Status |
| Gold | CID002777 | SAXONIA Edelmetalle GmbH | Germany | Conformant |
| Gold | CID003540 | Sellem Industries Ltd. | Mauritania | Known |
| Gold | CID001585 | SEMPSA Joyeria Plateria S.A. | Spain | Conformant |
| Gold | CID002525 | Shandong Humon Smelting Co., Ltd. | China | Known |
| Gold | CID001619 | Shandong Tarzan Bio-Gold Industry Co., Ltd. | China | Known |
| Gold | CID001622 | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | China | Conformant |
| Gold | CID002527 | Shenzhen Zhonghenglong Real Industry Co., Ltd. | China | Known |
| Gold | CID002588 | Shirpur Gold Refinery Ltd. | India | Known |
| Gold | CID001875 | Shonan Plant Tanaka Kikinzoku | Japan | Conformant |
| Gold | CID001756 | Shyolkovsky | Russian Federation | Conformant |
| Gold | CID001736 | Sichuan Tianze Precious Metals Co., Ltd. | China | Conformant |
| Gold | CID002516 | Singway Technology Co., Ltd. | Taiwan | Conformant |
| Gold | CID001761 | Solar Applied Materials Technology Corp. | Taiwan | Conformant |
| Gold | CID003383 | Sovereign Metals | India | Known |
| Gold | CID003153 | State Research Institute Center for Physical Sciences and Technology | Lithuania | Known |
| Gold | CID002567 | Sudan Gold Refinery | Sudan | Known |
| Gold | CID002918 | SungEel HiMetal Co., Ltd. | Korea, Republic of | Conformant |
| Gold | CID002580 | T.C.A S.p.A | Italy | Conformant |
| Gold | CID001938 | Tokuriki Honten Co., Ltd. | Japan | Conformant |
| Gold | CID002615 | TOO Tau-Ken-Altyn | Kazakhstan | Conformant |
| Gold | CID001955 | Torecom | Korea, Republic of | Conformant |
| Gold | CID002314 | Umicore Precious Metals Thailand | Thailand | Conformant |
| Gold | CID001993 | United Precious Metal Refining, Inc. | United States of America | Conformant |
| Gold | CID002003 | Valcambi S.A. | Switzerland | Conformant |
| Gold | CID003617 | Value Trading | Belgium | Known |
| Gold | CID003615 | WEEEREFINING | France | Known |
| Gold | CID002778 | WIELAND Edelmetalle GmbH | Germany | Conformant |
| Gold | CID002100 | Yamakin Co., Ltd. | Japan | Conformant |
| Gold | CID002129 | Yokohama Metal Co., Ltd. | Japan | Conformant |
| Tantalum | CID001076 | AMG Brasil - LSM Brasil | Brazil | Conformant |
| Tantalum | CID000092 | Asaka Riken Co., Ltd. | Japan | Conformant |
| Tantalum | CID000211 | Changsha South Tantalum Niobium Co., Ltd. | China | Conformant |
| Tantalum | CID002504 | D Block Metals, LLC | United States of America | Conformant |
| Tantalum | CID000456 | Exotech Inc. | United States of America | Conformant |
| Tantalum | CID000460 | F & X | China | Conformant |
| Tantalum | CID002505 | FIR Metals & Resource Ltd. | China | Conformant |
| Tantalum | CID002558 | Global Advanced Metals Aizu | Japan | Conformant |
| Tantalum | CID002557 | Global Advanced Metals Boyertown | United States of America | Conformant |
| Tantalum | CID000616 | Guangdong Zhiyuan New Material Co., Ltd. | China | Conformant |
| Tantalum | CID002544 | H.C. Starck Co., Ltd. | Thailand | Conformant |
| Tantalum | CID002547 | H.C. Starck Hermsdorf GmbH | Germany | Conformant |
| Tantalum | CID002548 | H.C. Starck Inc. | United States of America | Conformant |
| Tantalum | CID002549 | H.C. Starck Ltd. | Japan | Conformant |
| Tantalum | CID002550 | H.C. Starck Smelting GmbH & Co. KG | Germany | Conformant |
| Tantalum | CID002545 | H.C. Starck Tantalum and Niobium GmbH | Germany | Conformant |
| Tantalum | CID002492 | Hengyang King Xing Lifeng New Materials Co., Ltd. | China | Conformant |
| Tantalum | CID002512 | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | China | Conformant |
| Tantalum | CID002842 | Jiangxi Tuohong New Raw Material | China | Conformant |
| Tantalum | CID000914 | JiuJiang JinXin Nonferrous Metals Co., Ltd. | China | Conformant |
Page 9
| Metal | Smelter ID | Smelter Name | Smelter Country | Status |
| Tantalum | CID000917 | Jiujiang Nonferrous Metals Smelting Company Limited | China | Conformant |
| Tantalum | CID002506 | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | China | Conformant |
| Tantalum | CID002539 | KEMET Blue Metals | Mexico | Conformant |
| Tantalum | CID002847 | Meta Materials | North Macedonia, Republic of | Conformant |
| Tantalum | CID001163 | Metallurgical Products India Pvt. Ltd. (MPIL) | India | Conformant |
| Tantalum | CID001175 | Mineracao Taboca S.A. | Brazil | Conformant |
| Tantalum | CID001192 | Mitsui Mining & Smelting | Japan | Conformant |
| Tantalum | CID001200 | Molycorp Silmet A.S. | Estonia | Conformant |
| Tantalum | CID001277 | Ningxia Non-Ferrous Metal Smeltery | China | Conformant |
| Tantalum | CID001508 | QuantumClean | United States of America | Conformant |
| Tantalum | CID002707 | Resind Ind e Com Ltda. | Brazil | Conformant |
| Tantalum | CID001522 | RFH | China | Conformant |
| Tantalum | CID001769 | Solikamsk | Russian Federation | Conformant |
| Tantalum | CID001869 | Taki Chemical Co., Ltd. | Japan | Conformant |
| Tantalum | CID001891 | Telex Metals | United States of America | Conformant |
| Tantalum | CID001969 | ULBA | Kazakhstan | Conformant |
| Tantalum | CID002508 | XinXing HaoRong Electronic Material Co., Ltd. | China | Conformant |
| Tantalum | CID003583 | Yancheng Jinye New Material Technology Co., Ltd. | China | Active |
| Tin | CID000292 | Alent plc | United States of America | Conformant |
| Tin | CID002703 | An Vinh Joint Stock Mineral Processing Company | Vietnam | Known |
| Tin | CID001428 | Brand IMLI | Indonesia | Active |
| Tin | CID001460 | Brand RBT | Indonesia | Conformant |
| Tin | CID002158 | Chengfeng Metals Co Pte Ltd | China | Conformant |
| Tin | CID000228 | Chenzhou Yun Xiang mining limited liability company | China | Conformant |
| Tin | CID003190 | Chifeng Dajingzi Tin Industry Co., Ltd. | China | Conformant |
| Tin | CID001070 | China Tin (Hechi) | China | Conformant |
| Tin | CID002180 | China Yunnan Tin Co Ltd. | China | Conformant |
| Tin | CID003486 | CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda | Brazil | Active |
| Tin | CID003524 | CRM Synergies | Spain | Active |
| Tin | CID002570 | CV Ayi Jaya | Indonesia | Active |
| Tin | CID000309 | CV Nurjanah | Indonesia | Active |
| Tin | CID002593 | CV Tiga Sekawan | Indonesia | Conformant |
| Tin | CID002455 | CV Venus Inti Perkasa | Indonesia | Active |
| Tin | CID003356 | Dongguan CiEXPO Environmental Engineering Co., Ltd. | China | Known |
| Tin | CID000402 | Dowa | Japan | Conformant |
| Tin | CID002572 | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | Vietnam | Known |
| Tin | CID000438 | EM Vinto | Bolivia | Conformant |
| Tin | CID000448 | Estanho de Rondonia S.A. | Brazil | Active |
| Tin | CID003582 | Fabrica Auricchio | Brazil | Active |
| Tin | CID000468 | Fenix Metals | Poland | Conformant |
| Tin | CID001182 | Funsur Smelter | Peru | Conformant |
| Tin | CID003410 | Gejiu City Fuxiang Industry and Trade Co., Ltd. | China | Known |
| Tin | CID002848 | Gejiu Fengming Metallurgy Chemical Plant | China | Conformant |
| Tin | CID000942 | Gejiu Kai Meng Industry and Trade LLC | China | Conformant |
| Tin | CID000538 | Gejiu Non-Ferrous Metal Processing Co., Ltd. | China | Conformant |
| Tin | CID001908 | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | China | Conformant |
| Tin | CID000555 | Gejiu Zi-Li | China | Conformant |
| Tin | CID003116 | Guangdong Hanhe Non-Ferrous Metal Co., Ltd. | China | Conformant |
Page 10
| Metal | Smelter ID | Smelter Name | Smelter Country | Status |
| Tin | CID002844 | HuiChang Hill Tin Industry Co., Ltd. | China | Conformant |
| Tin | CID001482 | Indonesian State Tin Corporation Mentok Smelter | Indonesia | Conformant |
| Tin | CID001231 | Jiangxi Nanshan | China | Conformant |
| Tin | CID001477 | Kundur Smelter | Indonesia | Conformant |
| Tin | CID003387 | Luna Smelter, Ltd. | Rwanda | Conformant |
| Tin | CID003379 | Ma'anshan Weitai Tin Co., Ltd. | China | Conformant |
| Tin | CID002468 | Magnu's Minerais Metais e Ligas Ltda. | Brazil | Conformant |
| Tin | CID001105 | Malaysia Smelting Corporation (MSC) | Malaysia | Conformant |
| Tin | CID002500 | Melt Metais e Ligas S.A. | Brazil | Conformant |
| Tin | CID001142 | Metallic Resources, Inc. | United States of America | Conformant |
| Tin | CID002773 | Metallo Belgium N.V. | Belgium | Conformant |
| Tin | CID002774 | Metallo Spain S.L.U. | Spain | Conformant |
| Tin | CID001173 | Mineracao Taboca S.A. | Brazil | Conformant |
| Tin | CID002015 | Mining and processing tin-tungsten ore Giang Son - VQB Co., Ltd. | Vietnam | Known |
| Tin | CID001191 | Mitsubishi Materials Corporation | Japan | Conformant |
| Tin | CID002858 | Modeltech Sdn Bhd | Malaysia | Known |
| Tin | CID002573 | Nghe Tinh Non-Ferrous Metals Joint Stock Company | Vietnam | Known |
| Tin | CID001305 | Novosibirsk Processing Plant Ltd. | Russian Federation | Active |
| Tin | CID001314 | O.M. Manufacturing (Thailand) Co., Ltd. | Thailand | Conformant |
| Tin | CID002517 | O.M. Manufacturing Philippines, Inc. | Philippines | Conformant |
| Tin | CID001337 | OMSA | Bolivia | Conformant |
| Tin | CID003208 | Pongpipat Company Limited | Myanmar | Known |
| Tin | CID003409 | Precious Minerals and Smelting Limited | India | Known |
| Tin | CID001399 | PT Artha Cipta Langgeng | Indonesia | Conformant |
| Tin | CID002503 | PT ATD Makmur Mandiri Jaya | Indonesia | Conformant |
| Tin | CID001402 | PT Babel Inti Perkasa | Indonesia | Conformant |
| Tin | CID001406 | PT Babel Surya Alam Lestari | Indonesia | Conformant |
| Tin | CID003205 | PT Bangka Serumpun | Indonesia | Conformant |
| Tin | CID002870 | PT Lautan Harmonis Sejahtera | Indonesia | Active |
| Tin | CID002835 | PT Menara Cipta Mulia | Indonesia | Conformant |
| Tin | CID001453 | PT Mitra Stania Prima | Indonesia | Conformant |
| Tin | CID003449 | PT Mitra Sukses Globalindo | Indonesia | Known |
| Tin | CID001458 | PT Prima Timah Utama | Indonesia | Conformant |
| Tin | CID003381 | PT Rajawali Rimba Perkasa | Indonesia | Conformant |
| Tin | CID001468 | PT Stanindo Inti Perkasa | Indonesia | Conformant |
| Tin | CID001486 | PT Timah Nusantara | Indonesia | Active |
| Tin | CID001490 | PT Tinindo Inter Nusa | Indonesia | Active |
| Tin | CID002706 | Resind Ind e Com Ltda. | Brazil | Conformant |
| Tin | CID001539 | Rui Da Hung | Taiwan | Conformant |
| Tin | CID001758 | Soft Metais Ltda. | Brazil | Conformant |
| Tin | CID002756 | Super Ligas | Brazil | Active |
| Tin | CID002834 | Thai Nguyen Mining and Metallurgy Co., Ltd. | Vietnam | Conformant |
| Tin | CID001898 | Thai Solder Industry Corp., Ltd. | Thailand | Conformant |
| Tin | CID003325 | Tin Technology & Refining | United States of America | Conformant |
| Tin | CID002574 | Tuyen Quang Non-Ferrous Metals Joint Stock Company | Vietnam | Known |
| Tin | CID002036 | White Solder Metalurgia e Mineracao Ltda. | Brazil | Conformant |
| Tin | CID003397 | Yunnan Yunfan Non-ferrous Metals Co., Ltd. | China | Conformant |
| Tungsten | CID000004 | A.L.M.T. Corp. | Japan | Conformant |
| Tungsten | CID002833 | ACL Metais Eireli | Brazil | Conformant |
Page 11
| Metal | Smelter ID | Smelter Name | Smelter Country | Status |
| Tungsten | CID003427 | Albasteel Industria e Comercio de Ligas Para Fundicao Ltd. | Brazil | Active |
| Tungsten | CID003553 | Artek LLC | Russian Federation | Active |
| Tungsten | CID002502 | Asia Tungsten Products Vietnam Ltd. | Vietnam | Conformant |
| Tungsten | CID000105 | ATI Metalworking Products | United States of America | Conformant |
| Tungsten | CID000218 | Chaozhou Xianglu Tungsten Industry Co., Ltd. | China | Conformant |
| Tungsten | CID002513 | Chenzhou Diamond Tungsten Products Co., Ltd. | China | Conformant |
| Tungsten | CID002641 | China Molybdenum Co., Ltd. | China | Active |
| Tungsten | CID000875 | China National Non Ferrous | China | Conformant |
| Tungsten | CID000258 | Chongyi Zhangyuan Tungsten Co., Ltd. | China | Conformant |
| Tungsten | CID000281 | CNMC (Guangxi) PGMA Co., Ltd. | China | Known |
| Tungsten | CID003468 | Cronimet Brasil Ltda | Brazil | Active |
| Tungsten | CID003401 | Fujian Ganmin RareMetal Co., Ltd. | China | Conformant |
| Tungsten | CID003609 | Fujian Xinlu Tungsten | China | Known |
| Tungsten | CID002645 | Ganzhou Haichuang Tungsten Co., Ltd. | China | Conformant |
| Tungsten | CID002315 | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | China | Conformant |
| Tungsten | CID002494 | Ganzhou Seadragon W & Mo Co., Ltd. | China | Conformant |
| Tungsten | CID003417 | GEM Co., Ltd. | China | Known |
| Tungsten | CID000568 | Global Tungsten & Powders Corp. | United States of America | Conformant |
| Tungsten | CID002542 | H.C. Starck Smelting GmbH & Co. KG | Germany | Conformant |
| Tungsten | CID002541 | H.C. Starck Tungsten GmbH | Germany | Conformant |
| Tungsten | CID000769 | Human Chun-Chang non-ferrous Smelting & Concentrating Co., Ltd. | China | Conformant |
| Tungsten | CID000766 | Hunan Chenzhou Mining Co., Ltd. | China | Conformant |
| Tungsten | CID002649 | Hydrometallurg, JSC | Russian Federation | Conformant |
| Tungsten | CID000825 | Japan New Metals Co., Ltd. | Japan | Conformant |
| Tungsten | CID002551 | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | China | Conformant |
| Tungsten | CID002321 | Jiangxi Gan Bei Tungsten Co., Ltd. | China | Conformant |
| Tungsten | CID002313 | Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. | China | Known |
| Tungsten | CID002318 | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | China | Conformant |
| Tungsten | CID002317 | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | China | Conformant |
| Tungsten | CID002316 | Jiangxi Yaosheng Tungsten Co., Ltd. | China | Conformant |
| Tungsten | CID003408 | JSC "Kirovgrad Hard Alloys Plant" | Russian Federation | Active |
| Tungsten | CID000966 | Kennametal Fallon | United States of America | Conformant |
| Tungsten | CID003388 | KGETS Co., Ltd. | Korea, Republic of | Conformant |
| Tungsten | CID003407 | Lianyou Metals Co., Ltd. | Taiwan | Conformant |
| Tungsten | CID002319 | Malipo Haiyu Tungsten Co., Ltd. | China | Conformant |
| Tungsten | CID002543 | Masan High-Tech Materials | Vietnam | Conformant |
| Tungsten | CID002845 | Moliren Ltd. | Russian Federation | Conformant |
| Tungsten | CID002589 | Niagara Refining LLC | United States of America | Conformant |
| Tungsten | CID003416 | NPP Tyazhmetprom LLC | Russian Federation | Active |
| Tungsten | CID003614 | OOO “Technolom” 1 | Russian Federation | Active |
| Tungsten | CID003612 | OOO “Technolom” 2 | Russian Federation | Active |
| Tungsten | CID002827 | Philippine Chuangxin Industrial Co., Inc. | Philippines | Conformant |
| Tungsten | CID002724 | Unecha Refractory metals plant | Russian Federation | Conformant |
| Tungsten | CID002044 | WBH | Austria | Conformant |
| Tungsten | CID002843 | Woltech Korea Co., Ltd. | Korea, Republic of | Conformant |
| Tungsten | CID002320 | Xiamen H.C. | China | Conformant |
| Tungsten | CID002082 | Xiamen Tungsten Co., Ltd. | China | Conformant |
| Tungsten | CID002830 | Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. | China | Conformant |
Page 12