Washington, D.C. 20549





Date of report: May 13, 2022



(Exact name of the registrant as specified in its charter)


(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




Section 3. Exhibits


Item 3.01 Exhibits


Exhibit No.Description
 1.01Conflict Minerals Report of ESCO Technologies Inc. for Calendar Year 2021







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.




Bys/ David M. SchatzMay 13, 2022
 David M. Schatz 
 Senior Vice President, 
 Secretary and General Counsel 


Page 2 




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.




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





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


Page 7



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


Page 8



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


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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


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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


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