FORM SD

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM SD

Specialized Disclosure Report

 

 

Powell Industries, Inc.

(Exact name of registrant as specified in its charter)

 

 

 

Delaware   001-12488   88-0106100

(State or other jurisdiction of

incorporation or organization)

  (Commission File No.)  

(I.R.S. Employer

Identification No.)

8550 Mosley Road

Houston, Texas

    77075-1180
(Address of principal executive offices)     (Zip Code)

Don R. Madison, 713-944-6900

(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, 2014.

 

 

 


Item 1.01 Conflict Minerals Disclosure and Report

Conflict Minerals Disclosure

Powell Industries, Inc. (the “Company”) undertook a country of origin inquiry with respect to the conflict minerals used in the production of the Company’s custom engineered-to-order electrical equipment and has determined in good faith that for the year ended December 31, 2014:

 

  a) The Company has manufactured or contracted to manufacture products as to which certain conflict minerals, gold, tin, tungsten and tantalum (collectively, 3TG). are necessary to the functionality or production of such products.

 

  b) Based on a reasonable country of origin inquiry, the Company believes, or has reason to believe, that a portion of its products that contain the necessary 3TG originated, or may have originated, in the Democratic Republic of the Congo or an adjoining country and knows, or has reason to believe, that those necessary 3TG products may not be from recycle or scrap sources.

A copy of the Company’s Conflict Minerals Report is filed as Exhibit 1.01 hereto and is publicly available at the Company’s website at www.powellind.com, under the section entitled “Investors.”

Item 1.02 Exhibit

See Item 2.01 of this Specialized Disclosure Report on Form SD.

Item 2.01 Exhibits

 

Exhibit No.

  

Description

Exhibit 1.01    Conflict Minerals Report for the calendar year ended December 31, 2014

 

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SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the Company has duly caused this report to be signed on its behalf by the duly authorized undersigned.

 

POWELL INDUSTRIES, INC.
Date: June 1, 2015 By:

/s/ DON R. MADISON

Don R. Madison

Executive Vice President

Chief Financial and Administrative Officer

(Principal Financial Officer)

 

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EX-1.01

Exhibit 1.01

Conflict Minerals Report

For the Year Ended December 31, 2014

This is the Conflict Minerals Report (this Report) of Powell Industries, Inc. (Powell, the Company, we, us or our) for calendar year 2014 in accordance with Rule 13p-1 under the Securities Exchange Act of 1934, as amended (the Exchange Act). Please refer to Section 13(p) of the Exchange Act and the general instructions to the Specialized Disclosure Report on Form SD for definitions of certain terms used in this Report, unless otherwise defined herein.

We are in the business of developing, designing, manufacturing and servicing custom engineered-to-order equipment and systems for the management and control of electrical energy. Certain conflict minerals (as defined in Item 1.01(d)(3) of Form SD), specifically gold, tin, tungsten and tantalum (collectively, 3TG) are used in the production of our custom engineered-to-order equipment. Accordingly, pursuant to the rules promulgated by the Securities and Exchange Commission, we conducted a reasonable country of origin inquiry (RCOI) regarding such conflict minerals designed to determine whether any of such conflict minerals originated in the Democratic Republic of the Congo (DRC) or an adjoining country (collectively, Covered Countries), or are from recycled or scrap sources.

In conducting the RCOI, Powell engaged Assent Compliance (Assent) to assist with the effectiveness of our conflict minerals program. We identified the scope of our inquiry by first completing a supplier list extraction from our preferred vendor list. This list was then filtered to remove service providers, indirect materials suppliers and inactive suppliers (minimum of one year since last purchase)

This was intended to ensure that all suppliers surveyed provided items to Powell that were used in final products in the year 2014. Once the filtering was completed, we populated the list with contact information and this list, composed of 4,767 suppliers, was then provided to Assent for upload to their Assent Compliance Manager software system (Assent Compliance Manager).

Assent conducted additional analysis of the supply chain that, combined with supplier feedback, resulted in 3,063 suppliers being removed from the scope of the conflict minerals inquiry. The factors considered in Assent’s secondary analysis and the information provided that removed these suppliers from the scope of inquiry included:

 

    Whether the product they supplied was merely packaging. (labels do not count as packaging);

 

    Whether the parts a supplier used did not end up in the final product. (such as equipment used to make the product, i.e. industrial equipment, computers etc.);

 

    Whether a supplier used test labs to test, for example, the resistance or durability of a product;

 

    Whether a supplier was just a service provider;

 

    Whether a supplier supplied anything to Powell in the last 2 years.

After limiting the scope of inquiry, Assent conducted the supplier survey portion of the RCOI. The supplier survey utilized a template developed by the Electronic Industry Citizenship Coalition® and The Global e-Sustainability Initiative (EICC/GeSI) called the Conflict Mineral Report Template (CMRT). The CMRT was developed to facilitate general disclosures and information regarding smelters that provide materials to the supplier. It includes questions regarding the supplier’s conflict-free minerals policy, the engagement process with its direct suppliers and identification of the smelters used by the supplier.

Non-responsive suppliers were contacted a minimum of three times by the Assent Compliance Manager and then were also managed by the Assent Compliance Supply Chain team in one on one communications. This included two to three follow ups from the supply chain team. After three months of non-responsiveness, suppliers were then contacted via email and phone by Powell procurement team members as an escalation to encourage their response to Assent.

Assent communications include training and education on the completion of the CMRT form as well as access to a Supplier Resource Center designed to alleviate any remaining confusion with suppliers. All communications were monitored and tracked in Assent’s system for future reporting and transparency.

All submitted forms are accepted and classified as valid or invalid so that data is still retained Suppliers are contacted in regards to invalid forms and are encouraged to resubmit a valid form. As of March 3, 2015, there were no invalid supplier submissions.

Additionally, based on the smelter lists provided, we are aware that there are certified conflict free smelters that source from the Covered Countries in our supply chain. Many suppliers are still unable to provide all the smelters or refiners used for materials supplied to us. Furthermore, some responses indicated an “unknown” status with respect to the origin of 3TG.

 

1


After completing the RCOI, we then implemented due diligence measures on the source and chain of custody of such conflict minerals conforming to the Organisation for Economic Co-operation and Development (OECD) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, including the related supplements on gold, tin, tantalum and tungsten (OECD Guidance), an internationally recognized due diligence framework.

 

A. Establish Strong Powell Management Systems

In accordance with our due diligence framework and compliance efforts:

 

    We have communicated to all of our applicable suppliers our efforts to comply with Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, pursuant to a compliance statement and other communications (collectively, the Compliance Statement). We requested that our applicable suppliers provide a comprehensive conflict minerals declaration for all conflict minerals in the form of the CMRT. We provide our Compliance Statement to all new suppliers and plan to provide annual related compliance statement communications to our entire supply base.

 

    We implemented internal compliance efforts, including internal reporting requirements, to support our supply chain due diligence process.

 

    We implemented a risk mitigation response plan to address business relationships with suppliers that are DRC conflict undeterminable (as defined in Item 1.01(d)(5) of Form SD), which mitigation may include identifying an alternate supply. Our program includes continuous monitoring to adjust our strategies as sourcing data improves and new information is received.

Powell has adopted a company policy with respect to conflict minerals which is posted on our website at www.powellind.com.

Internal Team

Powell has established a management system for conflict minerals. Our management system is sponsored by the Chief Financial Officer as well as executive-level representatives and a team of subject matter experts from relevant functions such as:

Tim Irons – Strategic Sourcing Manager

Steve Williams – Senior Legal Counsel

Milburn Honeycutt – Corporate Controller

Dennis Thonsgard – VP of Research and Product Development

Larry Larsen – Risk Management Director

Dawn Ramos – Commodity Manager

Griselda Perez – Supply Chain Administrator

The team of subject matter experts is responsible for implementing our conflict minerals compliance strategy and is led by the Commodity Manager who acts as the executive conflict minerals program manager. Senior management is briefed about the results of our due diligence efforts on a regular basis.

Control Systems

Controls include, but are not limited to, our code of conduct which outlines expected behaviors for all Powell employees and a conflict minerals policy which can be found on our website at www.powellind.com.

We rely on our direct suppliers to provide information on the origin of the 3TG contained in components and materials supplied to us – including sources of 3TG that are supplied to them from lower tier suppliers. Contracts with our suppliers are frequently in force for three to five years or more and we cannot unilaterally impose new contract terms and flow-down requirements. As we enter into new contracts, or our contracts renew, we are adding a clause to require suppliers to provide information about the source of 3TG and smelters. It will take a number of years to ensure that all our supplier contracts contain appropriate flow-down clauses. In the meantime, as described below, we are working with selected suppliers to ensure they provide the 3TG sourcing information until the contracts can be amended.

With respect to the OECD requirement to strengthen engagement with suppliers, we have, through Assent, provided education on the conflict minerals regulation. We have leveraged the existing communications within the company, specifically the procurement department, to encourage supplier interactions with Assent as well as to help suppliers understand the requirement for completion of their supplier surveys. Feedback from this engagement has allowed us to enhance the training and focus and adapt it to each user’s needs. It has also allowed for our supplier communications to be more focused and ensure expectations are clear.

We have multiple longstanding grievance mechanisms whereby employees and suppliers can report violations of Powell’s policies.

We have also adopted a policy to retain relevant documentation. Documentation will be retained for minimum of five years.

 

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B. Identify and Assess Risks in Our Supply Chain

We identified risks at the product level by determining first whether the products contained conflict minerals necessary to the functionality or production of products that we manufacture or contract to be manufactured.

We then identified the applicable supplier(s) relating to those products. As we progress, we expect that transparency in our supply chain will increase and that will allow for better risk assessment at more detailed levels of our supply chain. We intend to continue communicating with our suppliers regarding conflict minerals. We want to help mitigate risks that the necessary conflict minerals identified in the products we manufacture, or contract to manufacture, could benefit armed groups in the Covered Countries.

Based on assessed risks, our RCOI covered applicable suppliers.

 

C. Design and Implement a Strategy to Respond to Identified Risks

We believe that our RCOI was reasonably designed and executed to determine the existence and source of conflict minerals in our supply chain, including from recycled or scrap sources (as defined in Item 1.01(d)(6) of Form SD). We utilized the EICC/GeSI’s CMRT template for our RCOI and comparable forms of documentation accepted in the industry. We conducted our effort to send surveys in good faith, utilizing up to three rounds of communications with our suppliers through March 2015. We evaluated survey responses to identify: (i) the use and source of conflict minerals; and (ii) any warning signs indicating that conflict minerals may have come from the a Covered Country. We made additional inquiries on a case-by-case basis to clarify or obtain more information as necessary. We tracked results of our supply chain diligence process and periodically reported the results to our executive leadership team.

We do not have sufficient information, based on the survey responses received, to determine each of the specific facilities used to process conflict minerals or to identify specific countries of origin for the conflict minerals used in all of our products (whether manufactured or contracted to be manufactured by us).

 

D. Implement Targeted Independent Third-Party Due Diligence

We support industry associations that administer independent third-party smelter and refinery audit programs. We encourage targeted suppliers and/or facilities to participate in comparable due diligence validation activities.

We engaged Assent to assist in the RCOI, data collection and survey process.

 

E. Report on Supply Chain Due Diligence

We developed a supply chain due diligence policy, communicated this policy to our suppliers and will continue to communicate with our suppliers. We also developed and distributed our Compliance Statement. Further, we have responded to various customer requests for information regarding our conflict minerals determination.

Due Diligence Process

Following our RCOI, we conducted a due diligence review of the source and chain of custody of the 3TG contained in covered products. Our due diligence measures were designed to conform in all material respects with the framework in the OECD Guidance.

Certain of the responses to the surveys included the names of facilities listed by the suppliers as smelters or refiners. We do not typically have a direct relationship with 3TG smelters and refiners and do not perform or direct audits of these entities within our supply chain. We and our consultant compared these facilities listed in the responses to the list of smelters maintained by the Conflict-Free Sourcing Initiative (CFSI), the United States Department of Commerce (DoC) and the London Bouillion Market Association (LBMA) and, if a supplier indicated that the facility was certified as “Conflict-Free,” we confirmed that the name was listed by CFSI. As of March 3rd, 2015, we have validated 298 smelters or refiners and are working to validate an additional 1,810 smelter/refiner entries from the submitted CMRTs. We have included the current list of valid smelters disclosed to us by our suppliers which is attached as Appendix I.

In accordance with OECD Guidance, it is important to understand risk levels associated with conflict minerals in the supply chain. Smelters not being certified DRC-Conflict Free pose a significant risk to the supply chain. In the Assent Compliance Manager, risk is classified as High, Medium and Low; this Risk rating is generated based on 3 scoring criteria:

 

  1) Regulated Body: this assesses whether the smelter is a member and has an associated regulated body number (Smelter CID Number is the primary method).

 

  2)

Proximity: Level 1 Country: Countries with known active ore production for tin or tantalum that are not identified as conflict regions or plausible countries that smuggle or export materials containing tin or tantalum. Examples include countries located in North or South

 

3


  America, Australia or Europe that are G8 Level Countries who are known to meet OECD standards in other sectors. Level 2 Country: Known or plausible countries that smuggle or export materials containing tin or tantalum out of Level 3 countries, or that have transit of materials containing tin or tantalum. This currently includes Kenya, Mozambique, and South Africa. Level 3 Country: The DRC and its nine adjoining countries as outlined in Section 1502 of the Dodd Frank Act. These include Angola, Burundi, Central African Republic, DRC, Rwanda, South Sudan, Tanzania, Uganda and Zambia.

 

  3) Likelihood: We also calculate supplier risk based on the chances that the supplier provides 3TG that may originate from Non-Conflict Free sources. The value of this risk is calculated based on the risk ratings of the smelters declared by that supplier on their CMRT.

Additionally, suppliers are evaluated on program strength (further assisting in identifying risk in the supply chain). At this stage in conflict minerals compliance it is well-known that many companies are in the middle of the process and do not have many answers beyond “unknown”. The criteria used to evaluate the strength of the program are:

A. Do you have a policy in place that includes DRC conflict-free sourcing?

E. Have you implemented due diligence measures for conflict-free sourcing?

H. Do you verify due diligence information received from your suppliers?

I. Does your verification process include corrective action management?

When suppliers meet or exceed those criteria (Yes to at least A,E,H,I) they are deemed to have a strong program. When suppliers do not meet those criteria, they are deemed to have a weak program.

We believe that the inquiries and investigations described above represent a reasonable effort to determine the mines or locations of origin of the 3TG in our applicable products, including (1) seeking information about 3TG smelters and refiners in our supply chain by requesting that our suppliers complete the CMRT, (2) verifying those smelters and refiners with the expanding CFSI lists, (3) conducting the due diligence review and (4) obtaining additional documentation and verification, as applicable. Our existing policy related to relevant documentation of our conflict mineral compliance process requires that documentation will be retained for a period of at least five years.

While due diligence is ongoing and the information received continues to improve in quantity and quality, the majority of the responses received continue to provide data at a company or divisional level or did not specify the smelters or refiners used for materials supplied to us. We have decided to disclose validated smelters provided to us by our supply chain. However we cannot definitively determine whether any of the 3TG reported by the suppliers were contained in materials supplied to us or to validate that any of these smelters or refiners are actually in our supply chain. As a result, we are unable to identify all smelters and refiners as well as all the countries of origin of the 3TG that are contained in the applicable products

 

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Appendix I

 

Metal

 

Smelter Reference List

 

Standard Smelter Name

 

Smelter Facility
Location

  Smelter ID  

CFSI
Audit
Status

 

3rd
Party
Status

 

Source
from
DRC?

 

Conflict
Free?

 

Sources (if specified)

 

Include
Recycle
or Scrap?

Gold   Advanced Chemical Company   Advanced Chemical Company   UNITED STATES   CID000015   None   Unknown   Unknown   Unknown   Unknown   Unknown
Gold   Aida Chemical Industries Co. Ltd.   Aida Chemical Industries Co. Ltd.   JAPAN   CID000019   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Gold   Aktyubinsk Copper Company TOO   Aktyubinsk Copper Company TOO   RUSSIAN FEDERATION   CID000028   None   Unknown   Unknown   Unknown   Unknown   Unknown
Gold   Allgemeine Gold-und Silberscheideanstalt A.G.   Allgemeine Gold-und Silberscheideanstalt A.G.   GERMANY   CID000035   Compliant   Complete   Unknown   Yes   Unknown   Yes
Gold   Almalyk Mining and Metallurgical Complex (AMMC)   Almalyk Mining and Metallurgical Complex (AMMC)   UZBEKISTAN   CID000041   None   Unknown   Unknown   Unknown   Unknown   Unknown
Gold   AngloGold Ashanti Córrego do Sítio Minerção   AngloGold Ashanti Córrego do Sítio Minerção   BRAZIL   CID000058   Compliant   Complete   Unknown   Yes   Brazil   Unknown
Gold   Argor-Heraeus SA   Argor-Heraeus SA   SWITZERLAND   CID000077   Compliant   Complete   Unknown   Yes   Unknown   Yes
Gold   Asahi Pretec Corporation   Asahi Pretec Corporation   JAPAN   CID000082   Compliant   Complete   Unknown   Yes   Unknown   Yes
Gold   Asaka Riken Co Ltd   Asaka Riken Co Ltd   JAPAN   CID000090   Active   In Process   Unknown   Unknown   Unknown   Unknown
Gold   Atasay Kuyumculuk Sanayi Ve Ticaret A.S.   Atasay Kuyumculuk Sanayi Ve Ticaret A.S.   TURKEY   CID000103   Compliant   Complete   Unknown   Yes   Turkey   Yes
Gold   Aurubis AG   Aurubis AG   GERMANY   CID000113   Compliant   Complete   Unknown   Yes   Chile, Brazil, Peru, Argentina, Canada, Bulgaria   Yes
Gold   Bangko Sentral ng Pilipinas (Central Bank of the Philippines)   Bangko Sentral ng Pilipinas (Central Bank of the Philippines)   PHILIPPINES   CID000128   None   Unknown   Unknown   Unknown   Unknown   Unknown
Gold   Bauer Walser AG   Bauer Walser AG   GERMANY   CID000141   None   Unknown   Unknown   Unknown   Unknown   Unknown
Gold   Boliden AB   Boliden AB   SWEDEN   CID000157   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Gold   C. Hafner GmbH + Co. KG   C. Hafner GmbH + Co. KG   GERMANY   CID000176   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Gold   Caridad   Caridad   MEXICO   CID000180   None   Unknown   Unknown   Unknown   Unknown   Unknown
Gold   CCR Refinery – Glencore Canada Corporation   CCR Refinery – Glencore Canada Corporation   CANADA   CID000185   Compliant   Complete   Unknown   Yes   Unknown   Yes
Gold   Cendres + Métaux SA   Cendres + Métaux SA   SWITZERLAND   CID000189   Active   In Process   Unknown   Unknown   Unknown   Unknown
Gold   Chimet S.p.A.   Chimet S.p.A.   ITALY   CID000233   Compliant   Complete   Unknown   Yes   Unknown   Yes
Gold   China National Gold Group Corporation   China National Gold Group Corporation   CHINA   CID000242   None   Unknown   Unknown   Unknown   Unknown   Unknown
Gold   Chugai Mining   Chugai Mining   JAPAN   CID000264   None   Unknown   Unknown   Unknown   Unknown   Unknown
Gold   Colt Refining   Colt Refining   UNITED STATES   CID000288   None   Unknown   Unknown   Unknown   Unknown   Unknown
Gold   Daejin Indus Co. Ltd   Daejin Indus Co. Ltd   KOREA, REPUBLIC OF   CID000328   None   Unknown   Unknown   Unknown   Unknown   Unknown
Gold   Daye Non-Ferrous Metals Mining Ltd.   Daye Non-Ferrous Metals Mining Ltd.   CHINA   CID000343   None   Unknown   Unknown   Unknown   Unknown   Unknown
Gold   Do Sung Corporation   Do Sung Corporation   KOREA, REPUBLIC OF   CID000359   None   Unknown   Unknown   Unknown   Unknown   Unknown
Gold   Doduco   Doduco   GERMANY   CID000362   None   Unknown   Unknown   Unknown   Unknown   Unknown
Gold   Dowa   Dowa   JAPAN   CID000401   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Gold   Eco-System Recycling Co., Ltd.   Eco-System Recycling Co., Ltd.   JAPAN   CID000425   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Gold   FSE Novosibirsk Refinery   FSE Novosibirsk Refinery   RUSSIAN FEDERATION   CID000493   None   Unknown   Unknown   Unknown   Unknown   Unknown
Gold   Gansu Seemine Material Hi-Tech Co Ltd   Gansu Seemine Material Hi-Tech Co Ltd   CHINA   CID000522   None   Unknown   Unknown   Unknown   Unknown   Unknown
Gold   Guangdong Jinding Gold Limited   Guangdong Jinding Gold Limited   CHINA   CID002312   None   Unknown   Unknown   Unknown   Unknown   Unknown
Gold   Hangzhou Fuchunjiang Smelting Co., Ltd.   Hangzhou Fuchunjiang Smelting Co., Ltd.   CHINA   CID000671   None   Unknown   Unknown   Unknown   Unknown   Unknown
Gold   Heimerle + Meule GmbH   Heimerle + Meule GmbH   GERMANY   CID000694   Compliant   Complete   Unknown   Yes   Unknown   Yes
Gold   Heraeus Ltd. Hong Kong   Heraeus Ltd. Hong Kong   HONG KONG   CID000707   Compliant   Complete   Unknown   Yes   Unknown   Yes
Gold   Heraeus Precious Metals GmbH & Co. KG   Heraeus Precious Metals GmbH & Co. KG   GERMANY   CID000711   Compliant   Complete   Unknown   Yes   Unknown   Yes
Gold   Hunan Chenzhou Mining Group Co., Ltd.   Hunan Chenzhou Mining Group Co., Ltd.   CHINA   CID000767   None   Unknown   Unknown   Unknown   Unknown   Unknown
Gold   Hwasung CJ Co. Ltd   Hwasung CJ Co. Ltd   KOREA, REPUBLIC OF   CID000778   None   Unknown   Unknown   Unknown   Unknown   Unknown
Gold   Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited   Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited   CHINA   CID000801   None   Unknown   Unknown   Unknown   Unknown   Unknown
Gold   Ishifuku Metal Industry Co., Ltd.   Ishifuku Metal Industry Co., Ltd.   JAPAN   CID000807   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Gold   Istanbul Gold Refinery   Istanbul Gold Refinery   TURKEY   CID000814   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Gold   Japan Mint   Japan Mint   JAPAN   CID000823   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Gold   Jiangxi Copper Company Limited   Jiangxi Copper Company Limited   CHINA   CID000855   None   Unknown   Unknown   Unknown   Unknown   Unknown
Gold   Johnson Matthey Inc   Johnson Matthey Inc   UNITED STATES   CID000920   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Gold   Johnson Matthey Ltd   Johnson Matthey Ltd   CANADA   CID000924   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Gold   JSC Ekaterinburg Non-Ferrous Metal Processing Plant   JSC Ekaterinburg Non-Ferrous Metal Processing Plant   RUSSIAN FEDERATION   CID000927   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Gold   JSC Uralelectromed   JSC Uralelectromed   RUSSIAN FEDERATION   CID000929   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Gold   JX Nippon Mining & Metals Co., Ltd.   JX Nippon Mining & Metals Co., Ltd.   JAPAN   CID000937   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Gold   Kazzinc Ltd   Kazzinc Ltd   KAZAKHSTAN   CID000957   Compliant   Complete   Unknown   Yes   Kazakhstan   Unknown
Gold   Kennecott Utah Copper LLC   Kennecott Utah Copper LLC   UNITED STATES   CID000969   Compliant   Complete   Unknown   Yes   United States   Unknown
Gold   Kojima Chemicals Co., Ltd   Kojima Chemicals Co., Ltd   JAPAN   CID000981   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Gold   Korea Metal Co. Ltd   Korea Metal Co. Ltd   KOREA, REPUBLIC OF   CID000988   None   Unknown   Unknown   Unknown   Unknown   Unknown
Gold   Kyrgyzaltyn JSC   Kyrgyzaltyn JSC   KYRGYZSTAN   CID001029   None   Unknown   Unknown   Unknown   Unknown   Unknown
Gold   L’ azurde Company For Jewelry   L’ azurde Company For Jewelry   SAUDI ARABIA   CID001032   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Gold   Lingbao Gold Company Limited   Lingbao Gold Company Limited   CHINA   CID001056   None   Unknown   Unknown   Unknown   Unknown   Unknown
Gold   Lingbao Jinyuan Tonghui Refinery Co. Ltd.   Lingbao Jinyuan Tonghui Refinery Co. Ltd.   CHINA   CID001058   None   Unknown   Unknown   Unknown   Unknown   Unknown
Gold   LS-NIKKO Copper Inc.   LS-NIKKO Copper Inc.   KOREA, REPUBLIC OF   CID001078   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Gold   Luoyang Zijin Yinhui Metal Smelt Co Ltd   Luoyang Zijin Yinhui Metal Smelt Co Ltd   CHINA   CID001093   None   Unknown   Unknown   Unknown   Unknown   Unknown
Gold   Materion   Materion   UNITED STATES   CID001113   Compliant   Complete   Unknown   Yes   Unknown   Yes
Gold   Matsuda Sangyo Co., Ltd.   Matsuda Sangyo Co., Ltd.   JAPAN   CID001119   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Gold   Metalor Technologies (Hong Kong) Ltd   Metalor Technologies (Hong Kong) Ltd   HONG KONG   CID001149   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Gold   Metalor Technologies (Singapore) Pte. Ltd.   Metalor Technologies (Singapore) Pte. Ltd.   SINGAPORE   CID001152   Compliant   Complete   Unknown   Yes   Unknown   Unknown


                                         
Gold   Metalor Technologies SA   Metalor Technologies SA   SWITZERLAND   CID001153   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Gold   Metalor USA Refining Corporation   Metalor USA Refining Corporation   UNITED STATES   CID001157   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Gold   Met-Mex Peñoles, S.A.   Met-Mex Peñoles, S.A.   MEXICO   CID001161   Compliant   Complete   Unknown   Yes   Mexico   Unknown
Gold   Mitsubishi Materials Corporation   Mitsubishi Materials Corporation   JAPAN   CID001188   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Gold   Mitsui Mining and Smelting Co., Ltd.   Mitsui Mining and Smelting Co., Ltd.   JAPAN   CID001193   Compliant   Complete   Unknown   Yes   Peru, Chile, Canada   Yes
Gold   Moscow Special Alloys Processing Plant   Moscow Special Alloys Processing Plant   RUSSIAN FEDERATION   CID001204   None   Unknown   Unknown   Unknown   Unknown   Unknown
Gold   Nadir Metal Rafineri San. Ve Tic. A.Ş.   Nadir Metal Rafineri San. Ve Tic. A.Ş.   TURKEY   CID001220   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Gold   Navoi Mining and Metallurgical Combinat   Navoi Mining and Metallurgical Combinat   UZBEKISTAN   CID001236   None   Unknown   Unknown   Unknown   Unknown   Unknown
Gold   Nihon Material Co. LTD   Nihon Material Co. LTD   JAPAN   CID001259   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Gold   Ohio Precious Metals, LLC   Ohio Precious Metals, LLC   UNITED STATES   CID001322   Compliant   Complete   Unknown   Yes   Unknown   Yes
Gold   Ohura Precious Metal Industry Co., Ltd   Ohura Precious Metal Industry Co., Ltd   JAPAN   CID001325   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Gold   OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastvetmet)   OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastvetmet)   RUSSIAN FEDERATION   CID001326   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Gold   OJSC Kolyma Refinery   OJSC Kolyma Refinery   RUSSIAN FEDERATION   CID001328   None   Unknown   Unknown   Unknown   Unknown   Unknown
Gold   PAMP SA   PAMP SA   SWITZERLAND   CID001352   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Gold   Penglai Penggang Gold Industry Co Ltd   Penglai Penggang Gold Industry Co Ltd   CHINA   CID001362   None   Unknown   Unknown   Unknown   Unknown   Unknown
Gold   Prioksky Plant of Non-Ferrous Metals   Prioksky Plant of Non-Ferrous Metals   RUSSIAN FEDERATION   CID001386   None   Unknown   Unknown   Unknown   Unknown   Unknown
Gold   PT Aneka Tambang (Persero) Tbk   PT Aneka Tambang (Persero) Tbk   INDONESIA   CID001397   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Gold   PX Précinox SA   PX Précinox SA   SWITZERLAND   CID001498   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Gold   Rand Refinery (Pty) Ltd   Rand Refinery (Pty) Ltd   SOUTH AFRICA   CID001512   Compliant   Complete   Unknown   Yes   Botswana, Ethiopia, Ghana, Guinea, Mali, Mozambique, Namibia, South africa, Tanzania, Zambia, Zimbabwe, Cote de Ivory, Burkina faso, Kenya, Egypt, Peru, Asia, United Arab Emirates, Australia, Indonesia, Kenya, Malaysia, Taiwan, United States, Thailand   Unknown
Gold   Republic Metals Corporation   Republic Metals Corporation   UNITED STATES   CID002510   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Gold   Royal Canadian Mint   Royal Canadian Mint   CANADA   CID001534   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Gold   Sabin Metal Corp.   Sabin Metal Corp.   UNITED STATES   CID001546   Active   In Process   Unknown   Unknown   Unknown   Unknown
Gold   Samduck Precious Metals   Samduck Precious Metals   KOREA, REPUBLIC OF   CID001555   None   Unknown   Unknown   Unknown   Unknown   Unknown
Gold   SAMWON METALS Corp.   SAMWON METALS Corp.   KOREA, REPUBLIC OF   CID001562   None   Unknown   Unknown   Unknown   Unknown   Unknown
Gold   Schone Edelmetaal   Schone Edelmetaal   NETHERLANDS   CID001573   Compliant   Complete   Unknown   Yes   Unknown   Yes
Gold   SEMPSA Joyería Platería SA   SEMPSA Joyería Platería SA   SPAIN   CID001585   Compliant   Complete   Unknown   Yes   Unknown   Yes
Gold   Shandong Zhaojin Gold & Silver Refinery Co. Ltd   Shandong Zhaojin Gold & Silver Refinery Co. Ltd   CHINA   CID001622   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Gold   Sichuan Tianze Precious Metals Co., Ltd   Sichuan Tianze Precious Metals Co., Ltd   CHINA   CID001736   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Gold   So Accurate Group, Inc.   So Accurate Group, Inc.   UNITED STATES   CID001754   None   Unknown   Unknown   Unknown   Unknown   Unknown
Gold   SOE Shyolkovsky Factory of Secondary Precious Metals   SOE Shyolkovsky Factory of Secondary Precious Metals   RUSSIAN FEDERATION   CID001756   Active   In Process   Unknown   Unknown   Unknown   Unknown
Gold   Solar Applied Materials Technology Corp.   Solar Applied Materials Technology Corp.   TAIWAN   CID001761   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Gold   Sumitomo Metal Mining Co., Ltd.   Sumitomo Metal Mining Co., Ltd.   JAPAN   CID001798   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Gold   Tanaka Kikinzoku Kogyo K.K.   Tanaka Kikinzoku Kogyo K.K.   JAPAN   CID001875   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Gold   The Great Wall Gold and Silver Refinery of China   The Great Wall Gold and Silver Refinery of China   CHINA   CID001909   None   Unknown   Unknown   Unknown   Unknown   Unknown
Gold   The Refinery of Shandong Gold Mining Co. Ltd   The Refinery of Shandong Gold Mining Co. Ltd   CHINA   CID001916   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Gold   Tokuriki Honten Co., Ltd   Tokuriki Honten Co., Ltd   JAPAN   CID001938   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Gold   Tongling nonferrous Metals Group Co., Ltd   Tongling nonferrous Metals Group Co., Ltd   CHINA   CID001947   None   Unknown   Unknown   Unknown   Unknown   Unknown
Gold   Torecom   Torecom   KOREA, REPUBLIC OF   CID001955   Active   Unknown   Unknown   Unknown   Unknown   Unknown
Gold   Umicore Brasil Ltda   Umicore Brasil Ltda   BRAZIL   CID001977   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Gold   Umicore Precious Metals Thailand   Umicore Precious Metals Thailand   THAILAND   CID002314   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Gold   Umicore SA Business Unit Precious Metals Refining   Umicore SA Business Unit Precious Metals Refining   BELGIUM   CID001980   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Gold   United Precious Metal Refining, Inc.   United Precious Metal Refining, Inc.   UNITED STATES   CID001993   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Gold   Valcambi SA   Valcambi SA   SWITZERLAND   CID002003   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Gold   Western Australian Mint trading as The Perth Mint   Western Australian Mint trading as The Perth Mint   AUSTRALIA   CID002030   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Gold   YAMAMOTO PRECIOUS METAL CO., LTD.   YAMAMOTO PRECIOUS METAL CO., LTD.   JAPAN   CID002100   Active   In Process   Unknown   Unknown   Unknown   Unknown
Gold   Yokohama Metal Co Ltd   Yokohama Metal Co Ltd   JAPAN   CID002129   Active   In Process   Unknown   Unknown   Unknown   Unknown
Gold   Yunnan Copper Industry Co Ltd   Yunnan Copper Industry Co Ltd   CHINA   CID000197   None   Unknown   Unknown   Unknown   Unknown   Unknown
Gold   Zhongyuan Gold Smelter of Zhongjin Gold Corporation   Zhongyuan Gold Smelter of Zhongjin Gold Corporation   CHINA   CID002224   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Gold   Zijin Mining Group Co. Ltd   Zijin Mining Group Co. Ltd   CHINA   CID002243   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Tantalum   Changsha South Tantalum Niobium Co., Ltd.   Changsha South Tantalum Niobium Co., Ltd.   CHINA   CID000211   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Tantalum   Conghua Tantalum and Niobium Smeltry   Conghua Tantalum and Niobium Smeltry   CHINA   CID000291   Compliant   Complete   Yes   Yes   DRC   Unknown
Tantalum   Duoluoshan   Duoluoshan   CHINA   CID000410   Compliant   Complete   Yes   Yes   DRC, Rwanda   Unknown
Tantalum   Exotech Inc.   Exotech Inc.   UNITED STATES   CID000456   Compliant   Complete   Unknown   Yes   Unknown   Yes
Tantalum   F&X Electro-Materials Ltd.   F&X Electro-Materials Ltd.   CHINA   CID000460   Compliant   Complete   Yes   Yes   DRC   Unknown
Tantalum   Global Advanced Metals Boyertown   Global Advanced Metals Boyertown   UNITED STATES   CID002557   Compliant   Complete   Yes   Yes   DRC, Australia   Unknown
Tantalum   Guangdong Zhiyuan New Material Co., Ltd.   Guangdong Zhiyuan New Material Co., Ltd.   CHINA   CID000616   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Tantalum   Guizhou Zhenhua Xinyun Technology Ltd., Kaili branch   Guizhou Zhenhua Xinyun Technology Ltd., Kaili branch   CHINA   CID002501   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Tantalum   H.C. Starck Co., Ltd.   H.C. Starck Co., Ltd.   THAILAND   CID002544   Compliant   Complete   Yes   Yes   DRC   Yes
Tantalum   H.C. Starck GmbH Goslar   H.C. Starck GmbH Goslar   GERMANY   CID002545   Compliant   Complete   Yes   Yes   DRC   Yes
Tantalum   H.C. Starck GmbH Laufenburg   H.C. Starck GmbH Laufenburg   GERMANY   CID002546   Compliant   Complete   Yes   Yes   DRC   Yes
Tantalum   H.C. Starck Hermsdorf GmbH   H.C. Starck Hermsdorf GmbH   GERMANY   CID002547   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Tantalum   H.C. Starck Inc.   H.C. Starck Inc.   UNITED STATES   CID002548   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Tantalum   H.C. Starck Ltd.   H.C. Starck Ltd.   JAPAN   CID002549   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Tantalum   H.C. Starck Smelting GmbH & Co. KG   H.C. Starck Smelting GmbH & Co. KG   GERMANY   CID002550   Compliant   Complete   Yes   Yes   DRC   Yes
Tantalum   Hengyang King Xing Lifeng New Materials Co., Ltd.   Hengyang King Xing Lifeng New Materials Co., Ltd.   CHINA   CID002492   Compliant   Complete   Unknown   Yes   Unknown   Unknown


Tantalum   Hi-Temp   Hi-Temp   UNITED STATES   CID000731   Compliant   Complete   Unknown   Yes   Unknown   Yes
Tantalum   Jiangxi Dinghai Tantalum & Niobium Co., LTD   Jiangxi Dinghai Tantalum & Niobium Co., LTD   CHINA   CID002512   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Tantalum   JiuJiang JinXin Nonferrous Metals Co., Ltd.   JiuJiang JinXin Nonferrous Metals Co., Ltd.   CHINA   CID000914   Compliant   Complete   Yes   Yes   DRC   Unknown
Tantalum   Jiujiang Tanbre Co., Ltd.   Jiujiang Tanbre Co., Ltd.   CHINA   CID000917   Compliant   Complete   Yes   Yes   DRC   Yes
Tantalum   Jiujiang Zhongao Tantalum & Niobium Co, Ltd   Jiujiang Zhongao Tantalum & Niobium Co, Ltd   CHINA   CID002506   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Tantalum   KEMET Blue Metals   KEMET Blue Metals   MEXICO   CID002539   Compliant   Complete   Yes   Yes   DRC   Unknown
Tantalum   King-Tan Tantalum Industry Ltd   King-Tan Tantalum Industry Ltd   CHINA   CID000973   Compliant   Complete   Unknown   Yes   Unknown   Yes
Tantalum   LSM Brasil S.A.   LSM Brasil S.A.   BRAZIL   CID001076   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Tantalum   Metallurgical Products India (Pvt.) Ltd.   Metallurgical Products India (Pvt.) Ltd.   INDIA   CID001163   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Tantalum   Mineração Taboca S.A.   Mineração Taboca S.A.   BRAZIL   CID001175   Compliant   Complete   Unknown   Yes   Brazil   Unknown
Tantalum   Mitsui Mining & Smelting   Mitsui Mining & Smelting   JAPAN   CID001192   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Tantalum   Molycorp Silmet A.S.   Molycorp Silmet A.S.   ESTONIA   CID001200   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Tantalum   Ningxia Orient Tantalum Industry Co., Ltd.   Ningxia Orient Tantalum Industry Co., Ltd.   CHINA   CID001277   Compliant   Complete   Yes   Yes   DRC   Unknown
Tantalum   Plansee SE Liezen   Plansee SE Liezen   AUSTRIA   CID002540   Compliant   Complete   Unknown   Yes   Unknown   Yes
Tantalum   Plansee SE Reutte   Plansee SE Reutte   AUSTRIA   CID002556   Compliant   Complete   Unknown   Yes   Unknown   Yes
Tantalum   QuantumClean   QuantumClean   UNITED STATES   CID001508   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Tantalum   RFH Tantalum Smeltry Co., Ltd   RFH Tantalum Smeltry Co., Ltd   CHINA   CID001522   Compliant   Complete   Unknown   Yes   Unknown   Yes
Tantalum   Shanghai Jiangxi Metals Co. Ltd   Shanghai Jiangxi Metals Co. Ltd   CHINA   CID001634   None   Unknown   Unknown   Unknown   Unknown   Unknown
Tantalum   Solikamsk Magnesium Works OAO   Solikamsk Magnesium Works OAO   RUSSIAN FEDERATION   CID001769   Compliant   Complete   Unknown   Yes   Russian Federation   Yes
Tantalum   Taki Chemicals   Taki Chemicals   JAPAN   CID001869   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Tantalum   Telex   Telex   UNITED STATES   CID001891   Compliant   Complete   Unknown   Yes   Unknown   Yes
Tantalum   Ulba   Ulba   KAZAKHSTAN   CID001969   Compliant   Complete   Yes   Yes   DRC   Yes
Tantalum   Yichun Jin Yang Rare Metal Co., Ltd   Yichun Jin Yang Rare Metal Co., Ltd   CHINA   CID002307   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Tantalum   Zhuzhou Cement Carbide   Zhuzhou Cement Carbide   CHINA   CID002232   Compliant   Complete   Yes   Yes   DRC   Unknown
Tin   Alpha   Alpha   UNITED STATES   CID000292   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Tin   China Rare Metal Materials Company   China Rare Metal Materials Company   CHINA   CID000244   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Tin   China Tin Group Co., Ltd.   China Tin Group Co., Ltd.   CHINA   CID001070   Active   In Process   Unknown   Unknown   Unknown   Unknown
Tin   CNMC (Guangxi) PGMA Co. Ltd.   CNMC (Guangxi) PGMA Co. Ltd.   CHINA   CID000278   None   Unknown   Unknown   Unknown   Unknown   Unknown
Tin   Cooper Santa   Cooper Santa   BRAZIL   CID000295   Active   In Process   Unknown   Unknown   Unknown   Unknown
Tin   CV Gita Pesona   CV Gita Pesona   INDONESIA   CID000306   Active   In Process   Unknown   Unknown   Indonesia   Unknown
Tin   CV JusTindo   CV JusTindo   INDONESIA   CID000307   Active   In Process   Unknown   Unknown   Indonesia   Unknown
Tin   CV Makmur Jaya   CV Makmur Jaya   INDONESIA   CID000308   None   Unknown   Unknown   Unknown   Indonesia   Unknown
Tin   CV Nurjanah   CV Nurjanah   INDONESIA   CID000309   Active   In Process   Unknown   Unknown   Indonesia   Unknown
Tin   CV Serumpun Sebalai   CV Serumpun Sebalai   INDONESIA   CID000313   None   Unknown   Unknown   Unknown   Indonesia   Unknown
Tin   CV United Smelting   CV United Smelting   INDONESIA   CID000315   Compliant   Complete   Unknown   Yes   Indonesia   Unknown
Tin   Dowa   Dowa   JAPAN   CID000402   Compliant   Complete   Unknown   Yes   Unknown   Yes
Tin   EM Vinto   EM Vinto   BOLIVIA   CID000438   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Tin   Estanho de Rondônia S.A.   Estanho de Rondônia S.A.   BRAZIL   CID000448   None   Unknown   Unknown   Unknown   Unknown   Unknown
Tin   Fenix Metals   Fenix Metals   POLAND   CID000468   Active   In Process   Unknown   Unknown   Unknown   Unknown
Tin   Gejiu Kai Meng Industry and Trade LLC   Gejiu Kai Meng Industry and Trade LLC   CHINA   CID000942   None   Unknown   Unknown   Unknown   Unknown   Unknown
Tin   Gejiu Non-Ferrous Metal Processing Co. Ltd.   Gejiu Non-Ferrous Metal Processing Co. Ltd.   CHINA   CID000538   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Tin   Gejiu Zi-Li   Gejiu Zi-Li   CHINA   CID000555   None   Unknown   Unknown   Unknown   Unknown   Unknown
Tin   Huichang Jinshunda Tin Co. Ltd   Huichang Jinshunda Tin Co. Ltd   CHINA   CID000760   None   Unknown   Unknown   Unknown   Unknown   Unknown
Tin   Jiangxi Nanshan   Jiangxi Nanshan   CHINA   CID000864   None   Unknown   Unknown   Unknown   Unknown   Unknown
Tin   Linwu Xianggui Smelter Co   Linwu Xianggui Smelter Co   CHINA   CID001063   None   Unknown   Unknown   Unknown   Unknown   Unknown
Tin   Magnu’s Minerais Metais e Ligas LTDA   Magnu’s Minerais Metais e Ligas LTDA   BRAZIL   CID002468   Compliant   Complete   Unknown   Yes   Finland, Chile   Unknown
Tin   Malaysia Smelting Corporation (MSC)   Malaysia Smelting Corporation (MSC)   MALAYSIA   CID001105   Compliant   Complete   Yes   Yes   DRC, Central Africa   Unknown
Tin   Melt Metais e Ligas S/A   Melt Metais e Ligas S/A   BRAZIL   CID002500   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Tin   Metallo Chimique   Metallo Chimique   BELGIUM   CID001143   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Tin   Mineração Taboca S.A.   Mineração Taboca S.A.   BRAZIL   CID001173   Compliant   Complete   Unknown   Yes   Brazil   Unknown
Tin   Minsur   Minsur   PERU   CID001182   Compliant   Complete   Unknown   Yes   Brazil   Unknown
Tin   Mitsubishi Materials Corporation   Mitsubishi Materials Corporation   JAPAN   CID001191   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Tin   Novosibirsk Integrated Tin Works   Novosibirsk Integrated Tin Works   RUSSIAN FEDERATION   CID001305   None   Unknown   Unknown   Unknown   Unknown   Unknown
Tin   O.M. Manufacturing (Thailand) Co., Ltd.   O.M. Manufacturing (Thailand) Co., Ltd.   THAILAND   CID001314   Active   In Process   Unknown   Unknown   Unknown   Unknown
Tin   O.M. Manufacturing Philippines, Inc.   O.M. Manufacturing Philippines, Inc.   PHILIPPINES   CID002517   Active   In Process   Unknown   Unknown   Unknown   Unknown
Tin   OMSA   OMSA   BOLIVIA   CID001337   Compliant   Complete   Unknown   Yes   Bolivia   Unknown
Tin   PT Alam Lestari Kencana   PT Alam Lestari Kencana   INDONESIA   CID001393   None   Unknown   Unknown   Unknown   Indonesia   Unknown
Tin   PT Artha Cipta Langgeng   PT Artha Cipta Langgeng   INDONESIA   CID001399   Active   In Process   Unknown   Unknown   Indonesia   Unknown
Tin   PT ATD Makmur Mandiri Jaya   PT ATD Makmur Mandiri Jaya   INDONESIA   CID002503   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Tin   PT Babel Inti Perkasa   PT Babel Inti Perkasa   INDONESIA   CID001402   Compliant   Complete   Unknown   Yes   Indonesia   Unknown
Tin   PT Babel Surya Alam Lestari   PT Babel Surya Alam Lestari   INDONESIA   CID001406   None   Unknown   Unknown   Unknown   Indonesia   Unknown
Tin   PT Bangka Kudai Tin   PT Bangka Kudai Tin   INDONESIA   CID001409   None   Unknown   Unknown   Unknown   Indonesia   Unknown
Tin   PT Bangka Putra Karya   PT Bangka Putra Karya   INDONESIA   CID001412   Compliant   Complete   Unknown   Yes   Indonesia   Unknown
Tin   PT Bangka Timah Utama Sejahtera   PT Bangka Timah Utama Sejahtera   INDONESIA   CID001416   None   Unknown   Unknown   Unknown   Indonesia   Unknown
Tin   PT Bangka Tin Industry   PT Bangka Tin Industry   INDONESIA   CID001419   Compliant   Complete   Unknown   Yes   Indonesia   Unknown


Tin   PT Belitung Industri Sejahtera   PT Belitung Industri Sejahtera   INDONESIA   CID001421   Compliant   Complete   Unknown   Yes   Indonesia   Unknown
Tin   PT BilliTin Makmur Lestari   PT BilliTin Makmur Lestari   INDONESIA   CID001424   Active   In Process   Unknown   Unknown   Indonesia   Unknown
Tin   PT Bukit Timah   PT Bukit Timah   INDONESIA   CID001428   Compliant   Complete   Unknown   Yes   Indonesia   Unknown
Tin   PT Donna Kembara Jaya   PT Donna Kembara Jaya   INDONESIA   CID002473   None   Unknown   Unknown   Unknown   Unknown   Unknown
Tin   PT DS Jaya Abadi   PT DS Jaya Abadi   INDONESIA   CID001434   Compliant   Complete   Unknown   Yes   Indonesia   Unknown
Tin   PT Eunindo Usaha Mandiri   PT Eunindo Usaha Mandiri   INDONESIA   CID001438   Compliant   Complete   Unknown   Yes   Indonesia   Unknown
Tin   PT Fang Di MulTindo   PT Fang Di MulTindo   INDONESIA   CID001442   None   Unknown   Unknown   Unknown   Indonesia   Unknown
Tin   PT HANJAYA PERKASA METALS   PT HANJAYA PERKASA METALS   INDONESIA   CID002287   None   Unknown   Unknown   Unknown   Unknown   Unknown
Tin   PT HP Metals Indonesia   PT HP Metals Indonesia   INDONESIA   CID001445   None   Unknown   Unknown   Unknown   Indonesia   Unknown
Tin   PT Inti Stania Prima   PT Inti Stania Prima   INDONESIA   CID002530   Active   In Process   Unknown   Unknown   Unknown   Unknown
Tin   PT Karimun Mining   PT Karimun Mining   INDONESIA   CID001448   Active   In Process   Unknown   Unknown   Indonesia   Unknown
Tin   PT Koba Tin   PT Koba Tin   INDONESIA   CID001449   None   Unknown   Unknown   Unknown   Indonesia   Unknown
Tin   PT Mitra Stania Prima   PT Mitra Stania Prima   INDONESIA   CID001453   Compliant   Complete   Unknown   Yes   Indonesia   Unknown
Tin   PT Panca Mega Persada   PT Panca Mega Persada   INDONESIA   CID001457   Compliant   Complete   Unknown   Yes   Indonesia   Unknown
Tin   PT Pelat Timah Nusantara Tbk   PT Pelat Timah Nusantara Tbk   INDONESIA   CID001486   None   Unknown   Unknown   Unknown   Indonesia   Unknown
Tin   PT Prima Timah Utama   PT Prima Timah Utama   INDONESIA   CID001458   Compliant   Complete   Unknown   Yes   Indonesia   Unknown
Tin   PT REFINED BANGKA TIN   PT REFINED BANGKA TIN   INDONESIA   CID001460   Compliant   Complete   Unknown   Yes   Indonesia   Unknown
Tin   PT Sariwiguna Binasentosa   PT Sariwiguna Binasentosa   INDONESIA   CID001463   Compliant   Complete   Unknown   Yes   Indonesia   Unknown
Tin   PT Seirama Tin investment   PT Seirama Tin investment   INDONESIA   CID001466   None   Unknown   Unknown   Unknown   Indonesia   Unknown
Tin   PT Singkep Times Utama   PT Singkep Times Utama   INDONESIA   CID002476   None   Unknown   Unknown   Unknown   Unknown   Unknown
Tin   PT Stanindo Inti Perkasa   PT Stanindo Inti Perkasa   INDONESIA   CID001468   Compliant   Complete   Unknown   Yes   Indonesia   Unknown
Tin   PT Sumber Jaya Indah   PT Sumber Jaya Indah   INDONESIA   CID001471   Active   In Process   Unknown   Unknown   Indonesia   Unknown
Tin   PT Supra Sukses Trinusa   PT Supra Sukses Trinusa   INDONESIA   CID001476   None   Unknown   Unknown   Unknown   Indonesia   Unknown
Tin   PT Tambang Timah   PT Tambang Timah   INDONESIA   CID001477   Compliant   Complete   Unknown   Yes   Indonesia   Unknown
Tin   PT Timah (Persero), Tbk   PT Timah (Persero), Tbk   INDONESIA   CID001482   Compliant   Complete   Unknown   Yes   Indonesia   Unknown
Tin   PT Tinindo Inter Nusa   PT Tinindo Inter Nusa   INDONESIA   CID001490   Compliant   Complete   Unknown   Yes   Indonesia   Unknown
Tin   PT Tommy Utama   PT Tommy Utama   INDONESIA   CID001493   None   Unknown   Unknown   Unknown   Indonesia   Unknown
Tin   PT WAHANA PERKIT JAYA   PT WAHANA PERKIT JAYA   INDONESIA   CID002479   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Tin   PT Yinchendo Mining Industry   PT Yinchendo Mining Industry   INDONESIA   CID001494   None   Unknown   Unknown   Unknown   Indonesia   Unknown
Tin   Rui Da Hung   Rui Da Hung   TAIWAN   CID001539   Active   In Process   Unknown   Unknown   Unknown   Unknown
Tin   Soft Metais, Ltda.   Soft Metais, Ltda.   BRAZIL   CID001758   Active   In Process   Unknown   Unknown   Unknown   Unknown
Tin   Thaisarco   Thaisarco   THAILAND   CID001898   Compliant   Complete   Yes   Yes   DRC   Unknown
Tin   White Solder Metalurgia e Mineração Ltda.   White Solder Metalurgia e Mineração Ltda.   BRAZIL   CID002036   Compliant   Complete   Unknown   Yes   Brazil   Unknown
Tin   Yunnan Chengfeng Non-ferrous Metals Co.,Ltd.   Yunnan Chengfeng Non-ferrous Metals Co.,Ltd.   CHINA   CID002158   Active   In Process   Unknown   Unknown   Unknown   Unknown
Tin   Yunnan Tin Company, Ltd.   Yunnan Tin Company, Ltd.   CHINA   CID002180   Compliant   Complete   Unknown   Yes   China, Brazil, Australia, Bolivia   Unknown
Tungsten   A.L.M.T. Corp.   A.L.M.T. Corp.   JAPAN   CID000004   Active   In Process   Unknown   Unknown   Unknown   Unknown
Tungsten   Chenzhou Diamond Tungsten Products Co., Ltd.   Chenzhou Diamond Tungsten Products Co., Ltd.   China   CID002513   Active   In Process   Unknown   Unknown   Unknown   Unknown
Tungsten   Chongyi Zhangyuan Tungsten Co., Ltd.   Chongyi Zhangyuan Tungsten Co., Ltd.   CHINA   CID000258   Active   In Process   Unknown   Unknown   Unknown   Unknown
Tungsten   Dayu Jincheng Tungsten Industry Co., Ltd.   Dayu Jincheng Tungsten Industry Co., Ltd.   CHINA   CID002518   Active   In Process   Unknown   Unknown   Unknown   Unknown
Tungsten   Dayu Weiliang Tungsten Co., Ltd.   Dayu Weiliang Tungsten Co., Ltd.   CHINA   CID000345   Active   In Process   Unknown   Unknown   Unknown   Unknown
Tungsten   Fujian Jinxin Tungsten Co., Ltd.   Fujian Jinxin Tungsten Co., Ltd.   CHINA   CID000499   Active   In Process   Unknown   Unknown   Unknown   Unknown
Tungsten   Ganxian Shirui New Material Co., Ltd.   Ganxian Shirui New Material Co., Ltd.   CHINA   CID002531   None   Unknown   Unknown   Unknown   Unknown   Unknown
Tungsten   Ganzhou Huaxing Tungsten Products Co., Ltd.   Ganzhou Huaxing Tungsten Products Co., Ltd.   CHINA   CID000875   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Tungsten   Ganzhou Jiangwu Ferrotungsten Co., Ltd.   Ganzhou Jiangwu Ferrotungsten Co., Ltd.   CHINA   CID002315   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Tungsten   Ganzhou Non-ferrous Metals Smelting Co., Ltd.   Ganzhou Non-ferrous Metals Smelting Co., Ltd.   CHINA   CID000868   Active   In Process   Unknown   Unknown   Unknown   Unknown
Tungsten   Ganzhou Seadragon W & Mo Co., Ltd.   Ganzhou Seadragon W & Mo Co., Ltd.   CHINA   CID002494   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Tungsten   Global Tungsten & Powders Corp.   Global Tungsten & Powders Corp.   UNITED STATES   CID000568   Compliant   Complete   Unknown   Yes   Europe, Asia, Americas   Yes
Tungsten   Guangdong Xianglu Tungsten Co., Ltd.   Guangdong Xianglu Tungsten Co., Ltd.   CHINA   CID000218   Active   In Process   Unknown   Unknown   Unknown   Unknown
Tungsten   H.C. Starck GmbH   H.C. Starck GmbH   GERMANY   CID002541   Active   In Process   Unknown   Unknown   Unknown   Unknown
Tungsten   H.C. Starck Smelting GmbH & Co.KG   H.C. Starck Smelting GmbH & Co.KG   GERMANY   CID002542   Active   In Process   Unknown   Unknown   Unknown   Unknown
Tungsten   Hunan Chenzhou Mining Group Co., Ltd.   Hunan Chenzhou Mining Group Co., Ltd.   CHINA   CID000766   Active   In Process   Unknown   Unknown   Unknown   Unknown
Tungsten   Hunan Chunchang Nonferrous Metals Co., Ltd.   Hunan Chunchang Nonferrous Metals Co., Ltd.   CHINA   CID000769   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Tungsten   Japan New Metals Co., Ltd.   Japan New Metals Co., Ltd.   JAPAN   CID000825   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Tungsten   Jiangwu H.C. Starck Tungsten Products Co., Ltd.   Jiangwu H.C. Starck Tungsten Products Co., Ltd.   CHINA   CID002551   Active   In Process   Unknown   Unknown   Unknown   Unknown
Tungsten   Jiangxi Gan Bei Tungsten Co., Ltd.   Jiangxi Gan Bei Tungsten Co., Ltd.   CHINA   CID002321   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Tungsten   Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.   Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.   CHINA   CID002313   None   Unknown   Unknown   Unknown   Unknown   Unknown
Tungsten   Jiangxi Richsea New Materials Co., Ltd.   Jiangxi Richsea New Materials Co., Ltd.   CHINA   CID002493   None   Unknown   Unknown   Unknown   Unknown   Unknown
Tungsten   Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.   Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.   CHINA   CID002318   Active   In Process   Unknown   Unknown   Unknown   Unknown
Tungsten   Jiangxi Xinsheng Tungsten Industry Co., Ltd.   Jiangxi Xinsheng Tungsten Industry Co., Ltd.   CHINA   CID002317   Active   In Process   Unknown   Unknown   Unknown   Unknown
Tungsten   Jiangxi Yaosheng Tungsten Co., Ltd.   Jiangxi Yaosheng Tungsten Co., Ltd.   CHINA   CID002316   Active   In Process   Unknown   Unknown   Unknown   Unknown
Tungsten   Kennametal Fallon   Kennametal Fallon   UNITED STATES   CID000966   Active   In Process   Unknown   Unknown   Unknown   Unknown
Tungsten   Kennametal Huntsville   Kennametal Huntsville   UNITED STATES   CID000105   Active   In Process   Unknown   Unknown   Unknown   Unknown
Tungsten   Malipo Haiyu Tungsten Co., Ltd.   Malipo Haiyu Tungsten Co., Ltd.   CHINA   CID002319   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Tungsten   Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC   Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC   VIET NAM   CID002543   Active   In Process   Unknown   Unknown   Unknown   Unknown
Tungsten   Tejing (Vietnam) Tungsten Co., Ltd.   Tejing (Vietnam) Tungsten Co., Ltd.   VIET NAM   CID001889   Active   In Process   Unknown   Unknown   Unknown   Unknown


Tungsten   Vietnam Youngsun Tungsten Industry Co., Ltd   Vietnam Youngsun Tungsten Industry Co., Ltd   VIET NAM   CID002011   Compliant   Complete   Yes   Yes   DRC, Vietnam   Unknown
Tungsten   Wolfram Bergbau und Hütten AG   Wolfram Bergbau und Hütten AG   AUSTRIA   CID002044   Compliant   Complete   Unknown   Yes   Austria   Yes
Tungsten   Wolfram Company CJSC   Wolfram Company CJSC   RUSSIAN FEDERATION   CID002047   Active   In Process   Unknown   Unknown   Unknown   Unknown
Tungsten   Xiamen Tungsten (H.C.) Co., Ltd.   Xiamen Tungsten (H.C.) Co., Ltd.   CHINA   CID002320   Compliant   Complete   Yes   Yes   DRC   Unknown
Tungsten   Xiamen Tungsten Co., Ltd.   Xiamen Tungsten Co., Ltd.   CHINA   CID002082   Compliant   Complete   Unknown   Yes   Unknown   Unknown
Tungsten   Xinhai Rendan Shaoguan Tungsten Co., Ltd.   Xinhai Rendan Shaoguan Tungsten Co., Ltd.   CHINA   CID002095   Active   In Process   Unknown   Unknown   Unknown   Unknown
Gold   U.S. Department of Commerce   House of Currency of Brazil (Casa da Moeda do Brazil)   Brazil     None   Unknown   Unknown   Unknown   Unknown   Unknown
Tantalum   U.S. Department of Commerce   CBMM   Brazil     None   Unknown   Unknown   Unknown   Unknown   Unknown
Tantalum   U.S. Department of Commerce   Nippon Mining & Metals Co. Ltd.   Japan     None   Unknown   Unknown   Unknown   Unknown   Unknown
Tin   U.S. Department of Commerce   Amalgamet Inc.   Peru     None   Unknown   Unknown   Unknown   Unknown   Unknown
Tin   U.S. Department of Commerce   CSC Pure Technologies   Russia     None   Unknown   Unknown   Unknown   Unknown   Unknown
Tin   U.S. Department of Commerce   CV Duta Putra Bangka   Indonesia     None   Unknown   Unknown   Unknown   Unknown   Unknown
Tin   U.S. Department of Commerce   Dongguan Qiandao Tin Co., Ltd   China     None   Unknown   Unknown   Unknown   Unknown   Unknown
Tin   U.S. Department of Commerce   Electroloy Metal Pte   Singapore     None   Unknown   Unknown   Unknown   Unknown   Unknown
Tin   U.S. Department of Commerce   Hyundai-Steel   Korea, Republic of     None   Unknown   Unknown   Unknown   Unknown   Unknown
Tin   U.S. Department of Commerce   Jean Goldschmidt International SA   Belgium     None   Unknown   Unknown   Unknown   Unknown   Unknown
Tin   U.S. Department of Commerce   Koki Products Co. Ltd.   Thailand     None   Unknown   Unknown   Unknown   Unknown   Unknown
Tin   U.S. Department of Commerce   KOVOHUTE PRIBRAM NASTUPNICKA, A.S.   Czech Republic     None   Unknown   Unknown   Unknown   Unknown   Unknown
Tin   U.S. Department of Commerce   Laibin Smelter [Guangxi China Tin Group Co. Ltd.]   China     None   Unknown   Unknown   Unknown   Unknown   Unknown
Tin   U.S. Department of Commerce   Poongsan Corporation   Korea, Republic of     None   Unknown   Unknown   Unknown   Unknown   Unknown
Tin   U.S. Department of Commerce   POSCO   Korea, Republic of     None   Unknown   Unknown   Unknown   Unknown   Unknown
Tin   U.S. Department of Commerce   Pure Technology   Russia     None   Unknown   Unknown   Unknown   Unknown   Unknown
Tin   U.S. Department of Commerce   Rahman Hydraulic Tin Sdn Bhd   Malaysia     None   Unknown   Unknown   Unknown   Unknown   Unknown
Tin   U.S. Department of Commerce   Senju Metal Industry Co., Ltd   Japan     None   Unknown   Unknown   Unknown   Unknown   Unknown
Tin   U.S. Department of Commerce   SGS   Bolivia     None   Unknown   Unknown   Unknown   Unknown   Unknown
Tin   U.S. Department of Commerce   TaeguTec Ltd.   Korea, Republic of     None   Unknown   Unknown   Unknown   Unknown   Unknown
Tin   U.S. Department of Commerce   Technic Inc.   United States     None   Unknown   Unknown   Unknown   Unknown   Unknown
Tungsten   U.S. Department of Commerce   Air Products   United States     None   Unknown   Unknown   Unknown   Unknown   Unknown
Tungsten   U.S. Department of Commerce   Izawa Metal Co., Ltd   Japan     None   Unknown   Unknown   Unknown   Unknown   Unknown
Tungsten   U.S. Department of Commerce   Luoyang Mudu Tungsten & Molybdenum Technology Co., Ltd.   China     None   Unknown   Unknown   Unknown   Unknown   Unknown
Tungsten   U.S. Department of Commerce   Nanchang Cemented Carbide Limited Liability Company   China     None   Unknown   Unknown   Unknown   Unknown   Unknown
Tungsten   U.S. Department of Commerce   North American Tungsten   Canada     None   Unknown   Unknown   Unknown   Unknown   Unknown
Tungsten   U.S. Department of Commerce   Nui Phao Mining Company Ltd. And H.C. Starck GmbH   Vietnam     None   Unknown   Unknown   Unknown   Unknown   Unknown
Tungsten   U.S. Department of Commerce   Saganoseki Smelter & Refinery   Japan     None   Unknown   Unknown   Unknown   Unknown   Unknown
Tungsten   U.S. Department of Commerce   TaeguTec Ltd.   Korea, Republic of     None   Unknown   Unknown   Unknown   Unknown   Unknown
Tungsten   U.S. Department of Commerce   Tamano Smelter, Hibi Kyodo Smelting Co., Ltd   Japan     None   Unknown   Unknown   Unknown   Unknown   Unknown
Tungsten   U.S. Department of Commerce   Voss Metals Company, Inc   United States     None   Unknown   Unknown   Unknown   Unknown   Unknown
Tungsten   U.S. Department of Commerce   Xiamen Honglu Tungsten Molybdenum Industry Co. Ltd   China     None   Unknown   Unknown   Unknown   Unknown   Unknown
Tungsten   U.S. Department of Commerce   Zhangyuan Tungsten Co., Ltd   China     None   Unknown   Unknown   Unknown   Unknown   Unknown