UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
_____________________________________________
FORM SD
Specialized Disclosure Report
_____________________________________________
Harsco Corporation
(Exact name of registrant as specified in its charter)
Delaware | 001-03970 | 23-1483991 | ||
(State or other jurisdiction of incorporation) | (Commission File Number) | (IRS Employer Identification No.) | ||
350 Poplar Church Road Camp Hill, Pennsylvania | 17011 | |
(Address of principal executive offices) | (Zip Code) | |
Russell C. Hochman | (717) 763-7064 | |
(Name and telephone number, including area code, of the person to contact in connection with this report.) | ||
Check the appropriate box to indicate the rule pursuant to which this form is being filed, and provide the period to which the information in this form applies:
☒ | Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2016. |
Section 1 - Conflict Minerals Disclosure
Item 1.01 Conflict Minerals Disclosure and Report
In accordance with the disclosure requirements promulgated by the U.S. Securities and Exchange Commission, Harsco Corporation (“we,” “our,” “us,” “Harsco,” or the “Company) has undertaken efforts to determine the Company’s conflict minerals1 reporting requirements for the period from January 1 to December 31, 2016.
Conflict Minerals Disclosure
The Company has filed this Specialized Disclosure Report and the associated Conflict Minerals Report, which appears as Exhibit 1.01 hereto and is publicly available on the Company’s website at http://www.harsco.com/about-us/safety-and-environment.aspx.
Reasonable Country of Origin Inquiry Information
The Company has conducted a good faith reasonable country of origin inquiry (“RCOI”) to determine whether the necessary conflict minerals originated in the DRC or an adjoining country or came from recycled or scrap sources. The Company’s RCOI process included conducting an inquiry of our direct suppliers using the Conflict-Free Sourcing Initiative’s (“CFSI”) Conflict Minerals Reporting Template (“CMRT”). Based on the results of the RCOI which indicated sourcing from the covered countries, the Company exercised due diligence on the source and chain of custody of the conflict minerals in accordance with the Organization for Economic Co-operation and Development (“OECD”) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas2. The due diligence efforts are discussed further in this Conflict Minerals Report.
Item 1.02 Exhibit
The Company’s Conflict Minerals Report is filed as Exhibit 1.01 hereto.
Section 2 - Exhibits
Item 2.01 Exhibits
The following exhibit is filed as part of this report.
Exhibit 1.01 - Harsco Corporation’s Conflict Minerals Report for the period January 1 to December 31, 2016.
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1 The term “conflict mineral” is defined in Section 1502(e)(4) of the Dodd-Frank Wall Street Reform and Consumer Protection Act as (A) columbite-tantalite, also known as coltan (the metal ore from which tantalum is extracted); cassiterite (the metal ore from which tin is extracted); gold; wolframite (the metal ore from which tungsten is extracted); or their derivatives; or (B) any other mineral or its derivatives determined by the Secretary of State to be financing conflict in the Democratic Republic of the Congo (“DRC”) or an adjoining country.
2 OECD (2013), OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas: Second Edition, OECD Publishing. http://dx.doi.org/10.1787/9789264185050-en.
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SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the duly authorized undersigned.
Harsco Corporation
By: | /s/ Russell C. Hochman | Date: May 31, 2017 | |
Russell C. Hochman | |||
Senior Vice President, General Counsel, Chief Compliance Officer & Corporate Secretary | |||
Exhibit 1.01
CONFLICT MINERALS REPORT OF
HARSCO CORPORATION
FOR THE REPORTING PERIOD FROM
JANUARY 1 TO DECEMBER 31, 2016
I. | Introduction |
This is the Conflict Minerals¹ Report of Harsco Corporation (“we,” “our,” “us,” “Harsco,” or the “Company”) prepared for calendar year 2016 in accordance with Rule 13p-1 (“Rule 13p-1”) under the Securities Exchange Act of 1934 (the “Act”). Numerous terms in this Report are defined in Rule 13p-1 of the Act and Form SD and the reader is referred to those sources, and also to Release No. 34-67716 (August 22, 2012) of the Act (the “Adopting Release”) for such definitions.
In accordance with Rule 13p-1, we undertook efforts to determine the content and source of the minerals within our products. The Company designed its efforts in conformity with the internationally recognized due diligence framework put forth in the Organisation for Economic Co-operation and Development (“OECD”) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas² (“OECD Due Diligence Guidance”) and related Supplements.
The statements below are based on the activities performed to date and in good faith by the Company and are based on the infrastructure and information available at the time of this filing. Factors that could affect the accuracy of these statements include, but are not limited to, incomplete supplier data or available smelter data, errors or omissions by suppliers or smelters, evolving definition and confirmation of smelters, incomplete information from industry or other third-party sources, continuing guidance regarding the U.S. Securities and Exchange Commission (the “SEC”) final rules, and other issues.
II. | Overview |
Company Profile
The Company is a diversified, multinational provider of industrial services and engineered products serving global industries that are fundamental to worldwide economic growth and infrastructure development. The Company's operations consist of three reportable segments: Harsco Metals & Minerals, Harsco Industrial and Harsco Rail. The Company has locations in approximately 30 countries, including the U.S. The Company was incorporated in 1956.
We are subject to this rule as we have determined that, during 2016, conflict minerals were likely necessary to the functionality or production of products we manufactured or contracted to manufacture. The Company, as a purchaser of component parts, is many steps removed from the mining of conflict minerals. We do not purchase raw ore or unrefined conflict minerals and we conduct no purchasing activities directly in the covered countries.
____________________________________
¹ The term “conflict mineral” is defined in Section 1502(e)(4) of the Dodd-Frank Wall Street Reform and Consumer Protection Act as (A) columbite-tantalite, also known as coltan (the metal ore from which tantalum is extracted); cassiterite (the metal ore from which tin is extracted); gold; wolframite (the metal ore from which tungsten is extracted); or their derivatives; or (B) any other mineral or its derivatives determined by the Secretary of State to be financing conflict in the Democratic Republic of the Congo (“DRC”) or an adjoining country.
² OECD (2016), OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas: Third Edition, OECD Publishing, Paris. http://dx.doi.org/10.1787/9789264252479-en
Exhibit 1.01
Conflict Minerals Policy
The Company developed a policy statement to support the goals expressed by Congress in enacting Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The policy highlights the Company’s commitment to complying with the reporting and due diligence obligations required by SEC rules and regulations, and the Company’s expectations from its suppliers. In addition, the policy includes language encouraging suppliers to source responsibly. The policy resides on our corporate website (http://www.harsco.com/about-us/safety-and-environment.aspx).
Reasonable Country of Origin Inquiry Information
We have conducted a good faith reasonable country of origin inquiry (“RCOI”) to determine whether the necessary conflict minerals originated in the DRC or an adjoining country or came from recycled or scrap sources.
We began our RCOI by identifying product categories and consumables that may contain conflict minerals. Initial product categories and consumables within this scope included fittings, paint, motors, coatings, air motors, admiralty brass, pipes, welding wire, wire, electrical fittings, lubricants, glass, bushings, electronics, cables, steel parts, fabricated parts, machine parts, castings, hydraulic parts, bearings, power transmissions and tubular parts. Using information derived from Harsco’s procurement systems, supplemented by information supplied by personnel in Harsco’s divisional supply chain, we produced a list of direct suppliers of components and raw materials that may contain conflict minerals. We then conducted a good faith RCOI to determine whether the necessary conflict minerals originated in the DRC or an adjoining country or came from recycled or scrap sources. Our RCOI process included conducting an inquiry of our direct suppliers using the Conflict-Free Sourcing Initiative’s (“CFSI”) Conflict Minerals Reporting Template (“CMRT”). We sent reminders to those suppliers that did not respond to our request to complete a CMRT. Based on the results of our RCOI which indicated sourcing from the covered countries, we exercised due diligence on the source and chain of custody of the conflict minerals in accordance with the OECD framework. Our due diligence efforts are discussed further in this Conflict Minerals Report.
Our operations fall into three reportable segments: Harsco Metals & Minerals, Harsco Industrial, and Harsco Rail.
Due Diligence Program Design
The Company designed its conflict minerals program to conform, in all material respects, with the five-step framework of the OECD Due Diligence Guidance, the Supplement on Tin, Tantalum, and Tungsten, and the Supplement on Gold, specifically as they relate to our position in the minerals supply chain as a “downstream” company:
Step 1: Establish strong company management systems
Step 2: Identify and assess risks in the supply chain
Step 3: Design and implement a strategy to respond to identified risks
Step 4: Carry out independent third-party audit of smelter/refiner's due diligence practices
Step 5: Report annually on supply chain due diligence.
III. | Due Diligence Measures Performed by The Company |
The following describes the measures taken to reasonably determine the country of origin and to exercise due diligence in the mineral supply chain in conformance with the OECD Due Diligence Guidance.
Step 1: Establish strong company management systems
a. | Conflict minerals team - The Company established a conflict minerals team that includes individuals from the relevant business units and departments, including compliance, finance, procurement, sales, engineering and legal. The team was structured to include the involvement from those in upper management roles to ensure critical information, including the Company’s conflict minerals policy reached relevant employees and suppliers. |
b. | Conflict minerals policy - The Company adopted and published a policy establishing the expectations of our suppliers. The policy resides on our corporate website. |
Exhibit 1.01
c. | Internal engagement - We developed a training program for internal use to educate relevant employees on our conflict minerals program and reporting obligations. |
d. | Supplier engagement - The Company communicated its conflict minerals policy and provided educational materials to our queried suppliers. Suppliers were provided information on the conflict minerals disclosure requirements as well as recommendations for developing, implementing, and documenting a conflict minerals compliance program. |
e. | Company level grievance mechanism - As recommended by the OECD Due Diligence Guidance, the Company has a grievance mechanism in place as a risk-awareness system for conflict minerals issues. The Company has an integrity hotline that is operated by a third-party. |
f. | Records management - The Company will maintain records relating to our conflict minerals program in accordance with the recommended record retention guidelines of five years. |
Step 2: Identify and assess risks in the supply chain
We performed the following steps as part of our risk assessment process:
a. | Identified products in scope - Our conflict minerals team conducted a detailed review of the products manufactured or contracted to be manufactured during the Reporting Period to identify products that should be deemed in-scope as described by the Adopting Release. |
b. | Conducted RCOI - The Company utilized the industry-developed CMRT to query our suppliers for conflict minerals information. We requested this information from the Tier 1 suppliers who provide material and components for the products deemed in-scope by our conflict minerals team. We evaluated the responses from the templates submitted by our suppliers to determine our reporting obligation based on this RCOI. See Appendix I for a list of countries of origin identified through the RCOI process. |
c. | Completed additional follow-up - The Company contacted direct suppliers that did not respond to our request for conflict minerals information by the requested date. We also worked to clarify and validate the accuracy of information provided by our suppliers. |
d. | Identified smelters or refiners (“SORs”) - The Company compiled a list of SORs in our supply chain using our supplier’s responses in their CMRTs. The Company reconciled this list to the list of smelter facilities designated by the CFSI’s Conflict-Free Smelter Program. We have provided that list in this report. |
Step 3: Design and implement a strategy to respond to identified risks
We performed the following steps as part of our risk management plan:
a. | Designed and implemented a plan - The Company used established risk rating criteria to evaluate suppliers based on the responses provided within their CMRT, as well as any additional documentation furnished to support those responses and the suppliers’ due diligence processes. In the coming year, the resulting risk ratings will be used to develop specific supplier outreach and training to address the identified risks and to take corrective actions with suppliers found not in compliance with the Company’s conflict minerals policy. |
b. | Verified SORs - As part of the risk mitigation process, the Company reconciled the list of SORs collected from suppliers to the list of smelter facilities identified by the CFSI’s Conflict-Free Smelter Program. |
Step 4: Carry out independent third-party audit of smelter/refiner's due diligence practices
The Company is using information provided by independent third party audit programs, including the CFSI, London Bullion Market Association (LBMA) and Responsible Jewelry Council (RJC), to confirm the existence and verify the conflict-free status of SORs identified during our due diligence.
Step 5: Report annually on supply chain due diligence
Accordingly, this Conflict Minerals Report has been filed with the SEC and is available on our website at http://www.harsco.com/about-us/safety-and-environment.aspx.
Exhibit 1.01
IV. | Product Description; Processing Facilities |
Product Description - Harsco’s operations fall into three reportable segments: Harsco Metals & Minerals, Harsco Industrial and Harsco Rail.
Harsco Metals & Minerals
The Harsco Metals & Minerals Segment is one of the world's largest providers of on-site services for material logistics, product quality improvement and resource recovery from iron, steel and metals manufacturing.
The Minerals business extracts high-value metallic content from stainless steel by-products and also specializes in the development of minerals technologies for commercial applications, including agriculture fertilizers. The Minerals business also produces industrial abrasives and roofing granules from power-plant utility coal slag at a number of locations throughout the U.S. Harsco Minerals' BLACK BEAUTY® abrasives are used for industrial surface preparation, such as rust removal and cleaning of bridges, ship hulls and various structures. Roofing granules are sold to residential roofing shingle manufacturers in the U.S., primarily for the replacement roofing market. This business is one of the largest U.S. producers of slag abrasives and residential roofing granules.
Harsco Industrial
The Harsco Industrial Segment includes the Harsco Industrial Air-X-Changers, Harsco Industrial IKG and Harsco Industrial Patterson-Kelley businesses.
Harsco Industrial Air-X-Changers is a leading supplier of custom-engineered and manufactured air-cooled heat exchangers for the natural gas, natural gas processing and petrochemical industries in the U.S. Harsco Industrial Air-X-Changers' heat exchangers are the primary apparatus used to condition natural gas during recovery, compression and transportation from underground reserves through the major pipeline distribution channels.
Harsco Industrial IKG manufactures a varied line of industrial grating and high-security fencing products at several plants in the U.S. and international plants located in Mexico and China. These products include a full range of metal bar grating configurations, which are used mainly in industrial flooring, as well as safety and security applications in the energy, paper, chemical, refining and processing industries. Harsco Industrial IKG also produces GrateGuardTM, a fencing solution for first-line physical security.
Harsco Industrial Patterson-Kelley is a leading manufacturer of energy-efficient heat transfer products such as boilers and water heaters for commercial and institutional applications.
Harsco Rail
The Harsco Rail Segment is a global provider of equipment, after-market parts and services for the maintenance, repair and construction of railway track. The Segment's equipment and services support private and government-owned railroads and urban transit systems worldwide.
Processing Facilities - Based on our due diligence process and the information received from our suppliers, the following facilities were identified by the Company’s suppliers as the smelters and refiners of the tin, tantalum, tungsten and/or gold present in and necessary to the functionality of products manufactured by the Company in the year ended. The information from our suppliers is still evolving and may contain company level declarations. As such, this smelter list is presented in good faith as the best information we have to date. This list may contain smelters that are not in our supply chain and there may be other smelters not yet identified in our due diligence process. We will continue to update the list as our information and the relevant third-party data from CFSI, LBMA, and RJC improves.
Exhibit 1.01
Metal | Standard Smelter Names | Country | Smelter ID |
Gold | Advanced Chemical Company | UNITED STATES OF AMERICA | CID000015 |
Gold | Aida Chemical Industries Co., Ltd. | JAPAN | CID000019 |
Gold | Allgemeine Gold-und Silberscheideanstalt A.G. | GERMANY | CID000035 |
Gold | Almalyk Mining and Metallurgical Complex (AMMC) | UZBEKISTAN | CID000041 |
Gold | Argor-Heraeus S.A. | SWITZERLAND | CID000077 |
Gold | Asaka Riken Co., Ltd. | JAPAN | CID000090 |
Gold | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | TURKEY | CID000103 |
Gold | Aurubis AG | GERMANY | CID000113 |
Gold | Bangalore Refinery | INDIA | CID002863 |
Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | PHILIPPINES | CID000128 |
Gold | Boliden AB | SWEDEN | CID000157 |
Gold | C. Hafner GmbH + Co. KG | GERMANY | CID000176 |
Gold | Caridad | MEXICO | CID000180 |
Gold | CCR Refinery - Glencore Canada Corporation | CANADA | CID000185 |
Gold | Cendres + Metaux S.A. | SWITZERLAND | CID000189 |
Gold | Chimet S.p.A. | ITALY | CID000233 |
Gold | Chugai Mining | JAPAN | CID000264 |
Gold | Daejin Indus Co., Ltd. | KOREA, PEOPLE’S REPUBLIC OF | CID000328 |
Gold | Daye Non-Ferrous Metals Mining Ltd. | CHINA | CID000343 |
Gold | DODUCO GmbH | GERMANY | CID000362 |
Gold | Dowa | JAPAN | CID000401 |
Gold | DSC (Do Sung Corporation) | KOREA, PEOPLE’S REPUBLIC OF | CID000359 |
Gold | Eco-System Recycling Co., Ltd. | JAPAN | CID000425 |
Gold | Emirates Gold DMCC | UNITED ARAB EMIRATES | CID002561 |
Gold | Gansu Seemine Material Hi-Tech Co., Ltd. | CHINA | CID000522 |
Gold | Geib Refining Corporation | UNITED STATES OF AMERICA | CID002459 |
Gold | Gold Refinery of Zijin Mining Group Co., Ltd. | CHINA | CID002243 |
Gold | Great Wall Precious Metals Co., Ltd. of CBPM | CHINA | CID001909 |
Gold | Guangdong Jinding Gold Limited | CHINA | CID002312 |
Gold | Guoda Safina High-Tech Environmental Refinery Co., Ltd. | CHINA | CID000651 |
Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. | CHINA | CID000671 |
Gold | Heimerle + Meule GmbH | GERMANY | CID000694 |
Gold | Heraeus Precious Metals GmbH & Co. KG | GERMANY | CID000711 |
Gold | Hunan Chenzhou Mining Co., Ltd. | CHINA | CID000767 |
Gold | HwaSeong CJ CO., LTD. | KOREA, PEOPLE’S REPUBLIC OF | CID000778 |
Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | CHINA | CID000801 |
Gold | Ishifuku Metal Industry Co., Ltd. | JAPAN | CID000807 |
Gold | Istanbul Gold Refinery | TURKEY | CID000814 |
Gold | Japan Mint | JAPAN | CID000823 |
Gold | Jiangxi Copper Co., Ltd. | CHINA | CID000855 |
Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | RUSSIAN FEDERATION | CID000927 |
Gold | JSC Uralelectromed | RUSSIAN FEDERATION | CID000929 |
Gold | JX Nippon Mining & Metals Co., Ltd. | JAPAN | CID000937 |
Gold | Kazakhmys Smelting LLC | KAZAKHSTAN | CID000956 |
Gold | Kazzinc | KAZAKHSTAN | CID000957 |
Gold | Kennecott Utah Copper LLC | UNITED STATES OF AMERICA | CID000969 |
Gold | KGHM Polska Miedz Spolka Akcyjna | POLAND | CID002511 |
Gold | Kojima Chemicals Co., Ltd. | JAPAN | CID000981 |
Gold | Korea Zinc Co., Ltd. | KOREA, PEOPLE’S REPUBLIC OF | CID002605 |
Exhibit 1.01
Gold | Kyrgyzaltyn JSC | KYRGYZSTAN | CID001029 |
Gold | Kyshtym Copper-Electrolytic Plant ZAO | RUSSIAN FEDERATION | CID002865 |
Gold | Lingbao Gold Co., Ltd. | CHINA | CID001056 |
Gold | Lingbao Jinyuan Tonghui Refinery Co., Ltd. | CHINA | CID001058 |
Gold | LS-NIKKO Copper Inc. | KOREA, PEOPLE’S REPUBLIC OF | CID001078 |
Gold | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | CHINA | CID001093 |
Gold | Materion | UNITED STATES OF AMERICA | CID001113 |
Gold | Matsuda Sangyo Co., Ltd. | JAPAN | CID001119 |
Gold | Metalurgica Met-Mex Penoles S.A. De C.V. | MEXICO | CID001161 |
Gold | Mitsubishi Materials Corporation | JAPAN | CID001188 |
Gold | Mitsui Mining and Smelting Co., Ltd. | JAPAN | CID001193 |
Gold | MMTC-PAMP India Pvt., Ltd. | INDIA | CID002509 |
Gold | Morris and Watson | NEW ZEALAND | CID002282 |
Gold | Moscow Special Alloys Processing Plant | RUSSIAN FEDERATION | CID001204 |
Gold | Nadir Metal Rafineri San. Ve Tic. A.S. | TURKEY | CID001220 |
Gold | Navoi Mining and Metallurgical Combinat | UZBEKISTAN | CID001236 |
Gold | Nihon Material Co., Ltd. | JAPAN | CID001259 |
Gold | Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH | AUSTRIA | CID002779 |
Gold | Ohura Precious Metal Industry Co., Ltd. | JAPAN | CID001325 |
Gold | OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) | RUSSIAN FEDERATION | CID001326 |
Gold | OJSC Novosibirsk Refinery | RUSSIAN FEDERATION | CID000493 |
Gold | PAMP S.A. | SWITZERLAND | CID001352 |
Gold | Penglai Penggang Gold Industry Co., Ltd. | CHINA | CID001362 |
Gold | Prioksky Plant of Non-Ferrous Metals | RUSSIAN FEDERATION | CID001386 |
Gold | PT Aneka Tambang (Persero) Tbk | INDONESIA | CID001397 |
Gold | PX Precinox S.A. | SWITZERLAND | CID001498 |
Gold | Rand Refinery (Pty) Ltd. | SOUTH AFRICA | CID001512 |
Gold | Remondis Argentia B.V. | NETHERLANDS | CID002582 |
Gold | Republic Metals Corporation | UNITED STATES OF AMERICA | CID002510 |
Gold | Royal Canadian Mint | CANADA | CID001534 |
Gold | SAAMP | FRANCE | CID002761 |
Gold | Sabin Metal Corp. | UNITED STATES OF AMERICA | CID001546 |
Gold | SAFINA A.S. | CZECH REPUBLIC | CID002290 |
Gold | Samduck Precious Metals | KOREA, PEOPLE’S REPUBLIC OF | CID001555 |
Gold | Samwon Metals Corp. | KOREA, PEOPLE’S REPUBLIC OF | CID001562 |
Gold | SAXONIA Edelmetalle GmbH | GERMANY | CID002777 |
Gold | Schone Edelmetaal B.V. | NETHERLANDS | CID001573 |
Gold | SEMPSA Joyeria Plateria S.A. | SPAIN | CID001585 |
Gold | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | CHINA | CID001619 |
Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | CHINA | CID001622 |
Gold | Sichuan Tianze Precious Metals Co., Ltd. | CHINA | CID001736 |
Gold | Singway Technology Co., Ltd. | TAIWAN, PROVINCE OF CHINA | CID002516 |
Gold | So Accurate Group, Inc. | UNITED STATES OF AMERICA | CID001754 |
Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | RUSSIAN FEDERATION | CID001756 |
Gold | Solar Applied Materials Technology Corp. | TAIWAN, PROVINCE OF CHINA | CID001761 |
Gold | Sumitomo Metal Mining Co., Ltd. | JAPAN | CID001798 |
Gold | T.C.A S.p.A | ITALY | CID002580 |
Gold | Tanaka Kikinzoku Kogyo K.K. | JAPAN | CID001875 |
Gold | The Refinery of Shandong Gold Mining Co., Ltd. | CHINA | CID001916 |
Gold | Tokuriki Honten Co., Ltd. | JAPAN | CID001938 |
Gold | Tongling Nonferrous Metals Group Co., Ltd. | CHINA | CID001947 |
Gold | Torecom | KOREA, PEOPLE’S REPUBLIC OF | CID001955 |
Exhibit 1.01
Gold | Umicore Brasil Ltda. | BRAZIL | CID001977 |
Gold | Umicore Precious Metals Thailand | THAILAND | CID002314 |
Gold | Umicore S.A. Business Unit Precious Metals Refining | BELGIUM | CID001980 |
Gold | United Precious Metal Refining, Inc. | UNITED STATES OF AMERICA | CID001993 |
Gold | Valcambi S.A. | SWITZERLAND | CID002003 |
Gold | Western Australian Mint (T/a The Perth Mint) | AUSTRALIA | CID002030 |
Gold | WIELAND Edelmetalle GmbH | GERMANY | CID002778 |
Gold | Yamamoto Precious Metal Co., Ltd. | JAPAN | CID002100 |
Gold | Yokohama Metal Co., Ltd. | JAPAN | CID002129 |
Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | CHINA | CID002224 |
Tantalum | Changsha South Tantalum Niobium Co., Ltd. | CHINA | CID000211 |
Tantalum | Conghua Tantalum and Niobium Smeltry | CHINA | CID000291 |
Tantalum | D Block Metals, LLC | UNITED STATES OF AMERICA | CID002504 |
Tantalum | Duoluoshan | CHINA | CID000410 |
Tantalum | Exotech Inc. | UNITED STATES OF AMERICA | CID000456 |
Tantalum | F&X Electro-Materials Ltd. | CHINA | CID000460 |
Tantalum | FIR Metals & Resource Ltd. | CHINA | CID002505 |
Tantalum | Global Advanced Metals Aizu | JAPAN | CID002558 |
Tantalum | Global Advanced Metals Boyertown | UNITED STATES OF AMERICA | CID002557 |
Tantalum | Guangdong Zhiyuan New Material Co., Ltd. | CHINA | CID000616 |
Tantalum | H.C. Starck Co., Ltd. | THAILAND | CID002544 |
Tantalum | H.C. Starck Hermsdorf GmbH | GERMANY | CID002547 |
Tantalum | H.C. Starck Inc. | UNITED STATES OF AMERICA | CID002548 |
Tantalum | H.C. Starck Ltd. | JAPAN | CID002549 |
Tantalum | H.C. Starck Smelting GmbH & Co. KG | GERMANY | CID002550 |
Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | CHINA | CID002492 |
Tantalum | Hi-Temp Specialty Metals, Inc. | UNITED STATES OF AMERICA | CID000731 |
Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | CHINA | CID002512 |
Tantalum | Jiangxi Tuohong New Raw Material | CHINA | CID002842 |
Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | CHINA | CID000914 |
Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | CHINA | CID002506 |
Tantalum | KEMET Blue Metals | MEXICO | CID002539 |
Tantalum | KEMET Blue Powder | UNITED STATES OF AMERICA | CID002568 |
Tantalum | King-Tan Tantalum Industry Ltd. | CHINA | CID000973 |
Tantalum | LSM Brasil S.A. | BRAZIL | CID001076 |
Tantalum | Metallurgical Products India Pvt., Ltd. | INDIA | CID001163 |
Tantalum | Mineracao Taboca S.A. | BRAZIL | CID001175 |
Tantalum | Mitsui Mining and Smelting Co., Ltd. | JAPAN | CID001192 |
Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | CHINA | CID001277 |
Tantalum | QuantumClean | UNITED STATES OF AMERICA | CID001508 |
Tantalum | Resind Industria e Comercio Ltda. | BRAZIL | CID002707 |
Tantalum | RFH Tantalum Smeltry Co., Ltd. | CHINA | CID001522 |
Tantalum | Solikamsk Magnesium Works OAO | RUSSIAN FEDERATION | CID001769 |
Tantalum | Taki Chemical Co., Ltd. | JAPAN | CID001869 |
Tantalum | Telex Metals | UNITED STATES OF AMERICA | CID001891 |
Tantalum | Ulba Metallurgical Plant JSC | KAZAKHSTAN | CID001969 |
Tantalum | XinXing HaoRong Electronic Material Co., Ltd. | CHINA | CID002508 |
Tantalum | Yichun Jin Yang Rare Metal Co., Ltd. | CHINA | CID002307 |
Tantalum | Zhuzhou Cemented Carbide Group Co., Ltd. | CHINA | CID002232 |
Tin | Alpha | UNITED STATES OF AMERICA | CID000292 |
Tin | An Thai Minerals Co., Ltd. | VIET NAM | CID002825 |
Tin | An Vinh Joint Stock Mineral Processing Company | VIET NAM | CID002703 |
Tin | China Tin Group Co., Ltd. | CHINA | CID001070 |
Tin | CNMC (Guangxi) PGMA Co., Ltd. | CHINA | CID000278 |
Exhibit 1.01
Tin | Cooperativa Metalurgica de Rondonia Ltda. | BRAZIL | CID000295 |
Tin | CV Ayi Jaya | INDONESIA | CID002570 |
Tin | CV Dua Sekawan | INDONESIA | CID002592 |
Tin | CV Gita Pesona | INDONESIA | CID000306 |
Tin | CV Serumpun Sebalai | INDONESIA | CID000313 |
Tin | CV Tiga Sekawan | INDONESIA | CID002593 |
Tin | CV United Smelting | INDONESIA | CID000315 |
Tin | CV Venus Inti Perkasa | INDONESIA | CID002455 |
Tin | Dowa | JAPAN | CID000402 |
Tin | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | VIET NAM | CID002572 |
Tin | EM Vinto | BOLIVIA (PLURINATIONAL STATE OF) | CID000438 |
Tin | Estanho de Rondonia S.A. | BRAZIL | CID000448 |
Tin | Fenix Metals | POLAND | CID000468 |
Tin | Gejiu Fengming Metallurgy Chemical Plant | CHINA | CID002848 |
Tin | Gejiu Jinye Mineral Company | CHINA | CID002859 |
Tin | Gejiu Kai Meng Industry and Trade LLC | CHINA | CID000942 |
Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. | CHINA | CID000538 |
Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | CHINA | CID001908 |
Tin | Gejiu Zili Mining And Metallurgy Co., Ltd. | CHINA | CID000555 |
Tin | Guanyang Guida Nonferrous Metal Smelting Plant | CHINA | CID002849 |
Tin | HuiChang Hill Tin Industry Co., Ltd. | CHINA | CID002844 |
Tin | Huichang Jinshunda Tin Co., Ltd. | CHINA | CID000760 |
Tin | Jiangxi Ketai Advanced Material Co., Ltd. | CHINA | CID000244 |
Tin | Magnu's Minerais Metais e Ligas Ltda. | BRAZIL | CID002468 |
Tin | Malaysia Smelting Corporation (MSC) | MALAYSIA | CID001105 |
Tin | Melt Metais e Ligas S.A. | BRAZIL | CID002500 |
Tin | Metallic Resources, Inc. | UNITED STATES OF AMERICA | CID001142 |
Tin | Metallo Belgium N.V. | BELGIUM | CID002773 |
Tin | Metallo Spain S.L.U. | SPAIN | CID002774 |
Tin | Mineracao Taboca S.A. | BRAZIL | CID001173 |
Tin | Minsur | PERU | CID001182 |
Tin | Mitsubishi Materials Corporation | JAPAN | CID001191 |
Tin | Modeltech Sdn Bhd | MALAYSIA | CID002858 |
Tin | Nankang Nanshan Tin Manufactory Co., Ltd. | CHINA | CID001231 |
Tin | Nghe Tinh Non-Ferrous Metals Joint Stock Company | VIET NAM | CID002573 |
Tin | O.M. Manufacturing (Thailand) Co., Ltd. | THAILAND | CID001314 |
Tin | O.M. Manufacturing Philippines, Inc. | PHILIPPINES | CID002517 |
Tin | Operaciones Metalurgical S.A. | BOLIVIA (PLURINATIONAL STATE OF) | CID001337 |
Tin | PT Aries Kencana Sejahtera | INDONESIA | CID000309 |
Tin | PT Artha Cipta Langgeng | INDONESIA | CID001399 |
Tin | PT ATD Makmur Mandiri Jaya | INDONESIA | CID002503 |
Tin | PT Babel Inti Perkasa | INDONESIA | CID001402 |
Tin | PT Bangka Prima Tin | INDONESIA | CID002776 |
Tin | PT Bangka Tin Industry | INDONESIA | CID001419 |
Tin | PT Belitung Industri Sejahtera | INDONESIA | CID001421 |
Tin | PT Bukit Timah | INDONESIA | CID001428 |
Tin | PT DS Jaya Abadi | INDONESIA | CID001434 |
Tin | PT Eunindo Usaha Mandiri | INDONESIA | CID001438 |
Tin | PT Inti Stania Prima | INDONESIA | CID002530 |
Tin | PT Karimun Mining | INDONESIA | CID001448 |
Tin | PT Kijang Jaya Mandiri | INDONESIA | CID002829 |
Tin | PT Mitra Stania Prima | INDONESIA | CID001453 |
Exhibit 1.01
Tin | PT O.M. Indonesia | INDONESIA | CID002757 |
Tin | PT Panca Mega Persada | INDONESIA | CID001457 |
Tin | PT Prima Timah Utama | INDONESIA | CID001458 |
Tin | PT Refined Bangka Tin | INDONESIA | CID001460 |
Tin | PT Sariwiguna Binasentosa | INDONESIA | CID001463 |
Tin | PT Stanindo Inti Perkasa | INDONESIA | CID001468 |
Tin | PT Sukses Inti Makmur | INDONESIA | CID002816 |
Tin | PT Sumber Jaya Indah | INDONESIA | CID001471 |
Tin | PT Timah (Persero) Tbk Kundur | INDONESIA | CID001477 |
Tin | PT Timah (Persero) Tbk Mentok | INDONESIA | CID001482 |
Tin | PT Tinindo Inter Nusa | INDONESIA | CID001490 |
Tin | PT Tommy Utama | INDONESIA | CID001493 |
Tin | Resind Industria e Comercio Ltda. | BRAZIL | CID002706 |
Tin | Rui Da Hung | TAIWAN, PROVINCE OF CHINA | CID001539 |
Tin | Soft Metais Ltda. | BRAZIL | CID001758 |
Tin | Super Ligas | BRAZIL | CID002756 |
Tin | Thaisarco | THAILAND | CID001898 |
Tin | Tuyen Quang Non-Ferrous Metals Joint Stock Company | VIET NAM | CID002574 |
Tin | VQB Mineral and Trading Group JSC | VIET NAM | CID002015 |
Tin | White Solder Metalurgia e Mineracao Ltda. | BRAZIL | CID002036 |
Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | CHINA | CID002158 |
Tungsten | A.L.M.T. TUNGSTEN Corp. | JAPAN | CID000004 |
Tungsten | ACL Metais Eireli | BRAZIL | CID002833 |
Tungsten | Asia Tungsten Products Vietnam Ltd. | VIET NAM | CID002502 |
Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd. | CHINA | CID002513 |
Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | CHINA | CID000258 |
Tungsten | Dayu Weiliang Tungsten Co., Ltd. | CHINA | CID000345 |
Tungsten | Fujian Jinxin Tungsten Co., Ltd. | CHINA | CID000499 |
Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. | CHINA | CID000875 |
Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | CHINA | CID002315 |
Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | CHINA | CID002494 |
Tungsten | Ganzhou Yatai Tungsten Co., Ltd. | CHINA | CID002536 |
Tungsten | Global Tungsten & Powders Corp. | UNITED STATES OF AMERICA | CID000568 |
Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | CHINA | CID000218 |
Tungsten | H.C. Starck Smelting GmbH & Co. KG | GERMANY | CID002542 |
Tungsten | Hunan Chenzhou Mining Co., Ltd. | CHINA | CID000766 |
Tungsten | Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji | CHINA | CID002579 |
Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd. | CHINA | CID000769 |
Tungsten | Hydrometallurg, JSC | RUSSIAN FEDERATION | CID002649 |
Tungsten | Japan New Metals Co., Ltd. | JAPAN | CID000825 |
Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | CHINA | CID002551 |
Tungsten | Jiangxi Dayu Longxintai Tungsten Co., Ltd. | CHINA | CID002647 |
Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | CHINA | CID002321 |
Tungsten | Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. | CHINA | CID002313 |
Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | CHINA | CID002318 |
Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | CHINA | CID002317 |
Tungsten | Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd. | CHINA | CID002535 |
Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. | CHINA | CID002316 |
Tungsten | Kennametal Fallon | UNITED STATES OF AMERICA | CID000966 |
Tungsten | Kennametal Huntsville | UNITED STATES OF AMERICA | CID000105 |
Tungsten | Malipo Haiyu Tungsten Co., Ltd. | CHINA | CID002319 |
Tungsten | Moliren Ltd. | RUSSIAN FEDERATION | CID002845 |
Tungsten | Niagara Refining LLC | UNITED STATES OF AMERICA | CID002589 |
Exhibit 1.01
Tungsten | Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC | VIET NAM | CID002543 |
Tungsten | South-East Nonferrous Metal Company Limited of Hengyang City | CHINA | CID002815 |
Tungsten | Tejing (Vietnam) Tungsten Co., Ltd. | VIET NAM | CID001889 |
Tungsten | Vietnam Youngsun Tungsten Industry Co., Ltd. | VIET NAM | CID002011 |
Tungsten | Wolfram Bergbau und Hutten AG | AUSTRIA | CID002044 |
Tungsten | Woltech Korea Co., Ltd. | KOREA, PEOPLE’S REPUBLIC OF | CID002843 |
Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | CHINA | CID002320 |
Tungsten | Xiamen Tungsten Co., Ltd. | CHINA | CID002082 |
Tungsten | Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. | CHINA | CID002830 |
Tungsten | Xinhai Rendan Shaoguan Tungsten Co., Ltd. | CHINA | CID002095 |
V. | Future Due Diligence |
We will continue to communicate our expectations and information requirements to our direct suppliers. Over time, we anticipate that the amount of information globally on the traceability and sourcing of these ores will increase and improve our knowledge. We will continue to make inquiries to our direct suppliers and undertake additional risk assessments when potentially relevant changes in facts or circumstances are identified. If we become aware of a supplier whose due diligence needs improvement, we may continue the trade relationship while that supplier improves its compliance program. We expect our suppliers to take similar measures with their suppliers to ensure alignment throughout the supply chain.
In addition to those above, the Company will undertake the following steps during the next compliance period:
• | Review the conflict minerals policy statement and update if necessary. |
• | Continue to collect responses from suppliers using the most recent revision of the CMRT. |
• | Engage with suppliers that did not provide a response in 2016 or provided incomplete responses to help with our data collections for 2017. |
• | Develop specific supplier outreach and training to address the identified risks and to take corrective actions with suppliers found not in compliance with the Company’s conflict minerals policy. |
• | Monitor and track performance of risk mitigation efforts. |
• | Compare and validate RCOI results to information collected via independent third party audit programs, such as the CFSI. |
• | Engage with smelters that have not been audited and encourage these smelters to undergo an independent third party audit (e.g., CFSP or equivalent). |
• | Encourage responsible sourcing from the Covered Countries. |
Exhibit 1.01
APPENDIX I - Countries of Origin
The information provided in this Appendix is based on the information collected from the Company’s suppliers.
Australia | Malaysia |
Austria | Mali |
Benin | Mexico |
Bolivia (Plurinational State of) | Mongolia |
Brazil | Myanmar |
Burkina Faso | Namibia |
Cambodia | Nicaragua |
Canada | Nigeria |
Chile | Panama |
China | Peru |
Colombia | Portugal |
DRC | Russia |
Ecuador | Rwanda |
Eritrea | Senegal |
Ethiopia | Sierra Leone |
France | South Africa |
Ghana | Spain |
Guatemala | Thailand |
Guinea | Togo |
Guyana | Uganda |
Honduras | United States of America |
India | Uzbekistan |
Indonesia | Vietnam |
Japan | |
Laos | |
Madagascar | |