EX-1.01 2 d193067dex101.htm EX-1.01 EX-1.01

Exhibit 1.01

Flowserve Corporation

Conflict Minerals Report

For The Year Ended December 31, 2015

This report for the year ended December 31, 2015 is presented to comply with Rule 13p-1 under the Securities Exchange Act of 1934 (the “Rule”). The Rule was adopted by the Securities and Exchange Commission (“SEC”) to implement reporting and disclosure requirements related to Conflict Minerals as directed by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (“Dodd-Frank Act”). The Rule imposes certain reporting obligations on SEC registrants whose manufactured products contain Conflict Minerals which are necessary to the functionality or production of their products.

Conflict Minerals are defined as cassiterite, columbite-tantalite, gold, wolframite, and their derivatives, which are limited to tin, tantalum and tungsten (“Conflict Minerals”). These requirements apply to all registrants that have Conflict Minerals that are essential to the functionality or production of their products whatever the geographic origin of the Conflict Minerals and whether or not they fund armed conflict.

 

1. Company Overview

This report has been prepared by management of Flowserve Corporation (herein referred to as “the Company,” “we,” “us,” or “our”). The information includes the activities of all majority-owned subsidiaries and variable interest entities that are required to be consolidated under U.S. generally accepted accounting principles.

Flowserve is a world-leading manufacturer and aftermarket service provider of comprehensive flow control systems. We develop and manufacture precision-engineered flow control equipment integral to the movement, control and protection of the flow of materials in our customers’ critical processes. Our product portfolio of pumps, valves, seals, automation and aftermarket services supports global infrastructure industries, including oil and gas, chemical, power generation and water management, as well as general industries markets where our products and services add value. Our principal products are sold through three business segments:

 

    Engineered Product Division for long lead-time, custom and other highly-engineered pumps and pump systems, mechanical seals, auxiliary systems and replacement parts and related services.

 

    IPD for engineered and pre-configured industrial pumps and pump systems and related products and services; and

 

    FCD for engineered and industrial valves, control valves, actuators and controls and related services.

Supply chain

We manufacture a wide range of products that contain Conflict Minerals, but we do not purchase ore or unrefined Conflict Minerals from mines and generally are many steps removed in the supply chain from the mining of these minerals. As a result, we rely on suppliers for various components and parts that contain Conflict Minerals that are utilized in the assembly of our products. Due to the size of our Company, the complexity of our products, and our location in the supply chain being many steps downstream from miners and smelters, we must rely on our direct suppliers to provide information on the origin of the Conflict Minerals contained in the components and parts supplied to us – including sources of Conflict Minerals that are supplied to them from their suppliers. Further, many of our suppliers are not SEC registrants subject to the reporting requirements of the Rule and as a result, have immature Conflict Minerals programs. As a result of this complexity, we conducted a survey of the suppliers that focused not only on those who represented the majority of our expenditures in 2015, but also focused on suppliers where the nature of the component, or the location of the supplier, indicated that those components had a higher probability to contain Conflict Minerals.

 

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2. Reasonable Country of Origin Inquiry:

Flowserve undertook the following measures to perform a country of origin inquiry on its Conflict Minerals:

 

    Utilized a risk based approach, based on an examination of internal records such as bills of sale or product specifications to identify business segments which contracted to manufacture products reasonably believed to contain one or more Conflict Minerals and identified the relevant suppliers of the Conflict Minerals for these products;

 

    Sent surveys (using the Conflict-Free Sourcing Initiative (CFSI) Conflict Minerals Reporting Template developed as a result of the Electronic Industry Citizenship Coalition(EICC)/Global e-Sustainability Initiative (GeSI)) to approximately 1,500 suppliers, requesting confirmation of the presence of Conflict Minerals in the materials or components they supplied to Flowserve, and information regarding the origin of those minerals;

 

    Identified and placed additional emphasis on suppliers that are most significant to Flowserve’s Conflict Minerals program using criteria developed by the business, such as the amount of sourcing spend with the supplier and the likelihood of Conflict Minerals being supplied from the supplier;

 

    Reviewed the responses received for indicators (e.g., untimely or incomplete responses as well as inconsistencies within the data reported in the template) that Conflict Minerals may be sourced from the Covered Countries and attempted to further engage these suppliers to perform additional due diligence, as needed; and

 

    Continued to follow up with suppliers and continued to regularly communicate Flowserve’s expectations on responsible supply chains of Conflict Minerals by transmitting surveys and other communications and continually requesting compliance with requests for information and documentation from unresponsive suppliers.

The above efforts led to an improved response rate of 41%. As mentioned above, an additional metric of spend coverage is being utilized. The suppliers that responded captured over 45% of the relevant spend. As a result of the reasonable country of origin inquiry, we are unable to determine the origin of the Conflict Minerals in our products and therefore cannot exclude the possibility that some may have originated in the Covered Countries. For that reason, we performed additional due diligence and are required under the Rule to submit to the SEC this Conflict Minerals Report (CMR).

Conflict Minerals Policy:

Flowserve culture is centered on ethics, integrity and trust. Our values drive how we treat each other, our customers, suppliers, partners and even our competitors. By combining uncompromising character, transparent business behavior, mutual respect, and world-class products and services, we seek to build an enduring culture that creates satisfied customers, engaged employees and sustainable, profitable growth. As a result, our ethical business culture supports global efforts to assist in the eradication of Human Rights abuses in the Democratic Republic of Congo (DRC) and adjoining countries, where the mining of certain minerals has partially financed the long standing conflict in this region.

Flowserve supports the objectives and intent of this Conflict Minerals legislation. Additionally, we are committed to working toward a conflict free supply chain by implementing a management program integrated with our policies and processes to align our worldwide suppliers with this policy. Our Conflict Minerals program will be addressed in our Supplier Code of Business Conduct, our Terms and Conditions with suppliers, and our Purchase Order requirements.

For additional information about our commitment to responsible sourcing and for our full Conflict Minerals policy, please visit our website at: http://www.flowserve.com/About-Flowserve/Corporate-Information/Conflict-Minerals-Policy

 

3. Due Diligence Process

3.1. Design of Due Diligence Framework

Our due diligence measures have been designed to conform, with the framework 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 Areas (Second edition, 2013) (OECD Guidance) and the related Supplement on Tin, Tantalum, and Tungsten and the Supplement on Gold.

 

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3.2. Due Diligence Performed

3.2.1. Establish Strong Company Management Systems

As described above, Flowserve has adopted a company policy which is posted on our website. Additionally, as part of our management system for Conflict Minerals, Flowserve has established a cross functional internal task force. A senior Flowserve executive, supported by a senior Flowserve lawyer, has oversight responsibility for Flowserve’s Conflict Minerals task force. This task force is led by a program manager dedicated to implementing the Conflict Minerals management systems and communicating them throughout the organization and our business segments. The team is comprised of subject matter experts from relevant functional areas such as supply chain, engineering, communications, legal and business integrity and compliance. Senior management and the Board of Directors are briefed about our management systems and due diligence efforts on a regular basis.

3.2.2. Identify and Asses Risks in Supply Chain

Because of our size, the complexity of our products, and the depth, breadth, and constant evolution of our supply chain, it is difficult to identify actors upstream from our direct suppliers. Accordingly, we participate in a number of industry-wide initiatives to leverage information and common process. Further, as discussed above, we conducted a survey of all of our suppliers, identified and performed additional diligence on suppliers that supply products that may contain Conflict Minerals and continued to contact unresponsive suppliers.

3.2.3. Design and Implement a Strategy to Respond to Risks

With respect to those products we manufacture or cause to be manufactured, Flowserve seeks to implement the following steps to mitigate the risk that necessary Conflict Minerals benefit armed groups:

 

    Seek, where practicable, alternative suppliers that responsibly source necessary Conflict Minerals, which may include sources within the DRC that do not benefit armed groups;

 

    Engage with our suppliers to encourage their sourcing from conflict-free sources and identify and action suppliers that do not;

 

    When smelters are identified through our Tier 1 suppliers survey, request from our supplier they solicit participation in a program to obtain a “conflict free” designation from the smelters they utilize;

 

    Attempt to negotiate clauses in future supplier contracts requiring suppliers to adhere to rules and regulations relating to the use of Conflict Minerals; and

 

    Provide progress reports to our senior management and Board of Directors.

3.2.4. Carry out Independent Third Party Audit of Supply Chain Due Diligence

Flowserve does not have a direct relationship with smelters and refiners, nor do we perform direct audits of these entities that potentially provide our supply chain with Conflict Minerals. However, we do rely upon industry efforts to influence smelters and refineries to get audited and certified through CFSI’s program.

3.2.5. Report on Supply Chain Due Diligence

In addition to this report, see our website at http://www.flowserve.com/About-Flowserve/Corporate-Information/Conflict-Minerals-Policy for our full Conflict Minerals policy.

 

4. Due Diligence Results

Survey Responses

Responses included the names of 1,361 entities listed by our suppliers as smelters or refiners, based on our due diligence to-date and information available from public sources, the Company believes that only 930 of the entities identified by our suppliers are engaged in smelting and/or refining activities. Approximately 23% (or 216) of the 930 entities were identified as certified Conflict-Free using the CFSI Reporting Template Revisions 4.01a & b. We compared the names of smelters or refiners to the CFSI list of smelters and where a supplier indicated that the facility was certified as Conflict-Free, we ensured that the name was listed by CFSI. The final comparison was done utilizing the certified smelter listings from May 2, 2016. To date, the

 

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Company believes that 316 of the 930 entities identified by our suppliers (see Appendix A), may be relevant smelters and/or refiners in Flowserve’s supply chain, although at this time, we are unable to confirm whether they are in fact relevant entities. Flowserve will continue to undertake due diligence, in order to further refine the list of relevant entities actually involved in the Company’s supply chain.

The large majority of our suppliers provided data at the company or divisional level, as described above, and, as such, we were unable to specify the smelters or refiners used for components supplied to Flowserve. We are therefore unable to determine whether any of the Conflict Minerals reported by the suppliers were contained in components or parts supplied to us or to validate that any of these smelters or refiners are actually in our supply chain.

Efforts to determine mine or location of origin

Through our participation in CFSI, the OECD implementation programs, and requesting our suppliers to complete the template, we have determined that seeking information from our suppliers and their diligence with their sub-suppliers about Conflict Minerals smelters and refiners in our supply chain represents the most reasonable effort to determine the mines or locations of origin of the Conflict Minerals in our supply chain.

Smelters or Refiners

To date, Flowserve has received very limited information regarding smelters and/or refiners involved in the Company’s supply chain, as well as the origin of any materials they may potentially produce for Flowserve’s suppliers. The majority of our suppliers were unable to represent and/or confirm to us that Conflict Minerals from entities that are smelters and refiners had actually been included in components such suppliers supplied to Flowserve. Again, this reality is principally due to the fact that our suppliers, provided data at a company or divisional level, and, not specific to the products such suppliers produce for Flowserve.

Appendix A, as attached, contains a list of smelters and refiners that Flowserve suppliers identified as being present in their supply chains that we believe may have processed 3TG contained in materials supplied to the Company. While our suppliers have provided names of additional entities to those listed in Appendix A, our review process remains ongoing related to the determination of whether they are smelters or refiners for conflict minerals relevant to our products.

We are uncertain of the Conflict Mineral status of the products that we manufacture that are subject to the reporting obligations of Rule 13p-1, because we have been unable to determine the origin of the Conflict Minerals they contain or to determine whether they come from recycled or scrap sources; the facilities used to process them; their country of origin; or their mine or location of origin. This said, however, Flowserve will continue due diligence efforts going forward.

 

5. Due Diligence Improvement Steps

We intend to take the following steps to improve the due diligence conducted to further mitigate any risk that the necessary Conflict Minerals in our products could benefit armed groups in the DRC or adjoining countries:

 

  a. Continue requesting and implementing a Conflict Minerals flow-down clause in new or renewed supplier long term agreements.

 

  b. Continue to engage with suppliers and direct them to training resources to increase the response rate and improve the content of the supplier survey responses.

 

  c. Intensify the identification of and communication with Flowserve’s second-tier smelters and refiners – i.e., smelters and refiners that sell Conflict Minerals directly to Flowserve’s first-tier suppliers and push to increase the number of smelters and refiners that participate in CFSP.

 

  d. Spread best practices learned during execution of due diligence process in 2014 and 2015 across Flowserve business units.

 

  e. Engage suppliers found to be supplying us with Conflict Minerals from sources that support conflict in the DRC or any adjoining country and seek to establish an alternative source of Conflict Minerals that does not support such conflict.

 

  f. Continue to work with the OECD and relevant trade associations to define and improve best practices and build leverage over the supply chain in accordance with the OECD Guidance.

 

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APPENDIX A

 

Metal

  

Smelter ID

  

Name

  

Country

Gold

   CID001754    Accurate Refining Group    UNITED STATES

Gold

   CID000015    Advanced Chemical Company    UNITED STATES

Gold

   CID000019    Aida Chemical Industries Co., Ltd.    JAPAN

Gold

   CID002560    Al Etihad Gold Refinery DMCC    UNITED ARAB EMIRATES

Gold

   CID000035    Allgemeine Gold-und Silberscheideanstalt A.G.    GERMANY

Gold

   CID000041    Almalyk Mining and Metallurgical Complex (AMMC)    UZBEKISTAN

Gold

   CID000058    AngloGold Ashanti Córrego do Sítio Mineração    BRAZIL

Gold

   CID000077    Argor-Heraeus SA    SWITZERLAND

Gold

   CID000082    Asahi Pretec Corporation    JAPAN

Gold

   CID000924    Asahi Refining Canada Limited    CANADA

Gold

   CID000920    Asahi Refining USA Inc.    UNITED STATES

Gold

   CID000090    Asaka Riken Co Ltd    JAPAN

Gold

   CID000113    Aurubis AG    GERMANY

Gold

   CID000128    Bangko Sentral ng Pilipinas (Central Bank of the Philippines)    PHILIPPINES

Gold

   CID000157    Boliden AB    SWEDEN

Gold

   CID000176    C. Hafner GmbH + Co. KG    GERMANY

Gold

   CID000180    Caridad    MEXICO

Gold

   CID000185    CCR Refinery - Glencore Canada Corporation    CANADA

Gold

   CID000189    Cendres + Métaux SA    SWITZERLAND

Gold

   CID000233    Chimet S.p.A.    ITALY

Gold

   CID000264    Chugai Mining    JAPAN

Gold

   CID000328    Daejin Indus Co. Ltd    KOREA, REPUBLIC OF

Gold

   CID000343    Daye Non-Ferrous Metals Mining Ltd.    CHINA

Gold

   CID000359    Do Sung Corporation    KOREA, REPUBLIC OF

Gold

   CID000362    Doduco    GERMANY

Gold

   CID000401    Dowa    JAPAN

Gold

   CID000425    Eco-System Recycling Co., Ltd.    JAPAN

Gold

   CID002561    Emirates Gold DMCC    UNITED ARAB EMIRATES

Gold

   CID002355    Faggi Enrico S.p.A.    ITALY

Gold

   CID002515    Fidelity Printers and Refiners Ltd.    ZIMBABWE

Gold

   CID000493    FSE Novosibirsk Refinery    RUSSIAN FEDERATION

Gold

   CID000522    Gansu Seemine Material Hi-Tech Co., Ltd.    CHINA

Gold

   CID002459    Geib Refining Corp.    UNITED STATES

Gold

   CID001909    Great Wall Precious Metals Co., Ltd. of CBPM    CHINA

Gold

   CID002312    Guangdong Jinding Gold Limited    CHINA

Gold

   CID000651    Guoda Safina High-Tech Environmental Refinery Co., Ltd.    CHINA

Gold

   CID000671    Hangzhou Fuchunjiang Smelting Co., Ltd.    CHINA

Gold

   CID000694    Heimerle + Meule GmbH    GERMANY

Gold

   CID002224    Henan Zhongyuan Gold Smelter of Zhongjin Gold Co.Ltd.    CHINA

Gold

   CID000707    Heraeus Ltd. Hong Kong    CHINA

Gold

   CID000711    Heraeus Precious Metals GmbH & Co. KG    GERMANY

Gold

   CID000767    Hunan Chenzhou Mining Co., Ltd.    CHINA

Gold

   CID000778    Hwasung CJ Co. Ltd    KOREA, REPUBLIC OF

 

7


Metal

  

Smelter ID

  

Name

  

Country

Gold

   CID000801    Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited    CHINA

Gold

   CID000807    Ishifuku Metal Industry Co., Ltd.    JAPAN

Gold

   CID000814    Istanbul Gold Refinery    TURKEY

Gold

   CID000823    Japan Mint    JAPAN

Gold

   CID000855    Jiangxi Copper Company Limited    CHINA

Gold

   CID000927    JSC Ekaterinburg Non-Ferrous Metal Processing Plant    RUSSIAN FEDERATION

Gold

   CID000929    JSC Uralelectromed    RUSSIAN FEDERATION

Gold

   CID000937    JX Nippon Mining & Metals Co., Ltd.    JAPAN

Gold

   CID002563    Kaloti Precious Metals    UNITED ARAB EMIRATES

Gold

   CID000956    Kazakhmys Smelting LLC    KAZAKHSTAN

Gold

   CID000957    Kazzinc Ltd    KAZAKHSTAN

Gold

   CID000969    Kennecott Utah Copper LLC    UNITED STATES

Gold

   CID002511    KGHM Polska Miedź Spółka Akcyjna    POLAND

Gold

   CID000981    Kojima Chemicals Co., Ltd    JAPAN

Gold

   CID000988    Korea Metal Co. Ltd    KOREA, REPUBLIC OF

Gold

   CID002605    Korea Zinc Co. Ltd.    KOREA, REPUBLIC OF

Gold

   CID001029    Kyrgyzaltyn JSC    KYRGYZSTAN

Gold

   CID001032    L’ azurde Company For Jewelry    SAUDI ARABIA

Gold

   CID001056    Lingbao Gold Company Limited    CHINA

Gold

   CID001058    Lingbao Jinyuan Tonghui Refinery Co. Ltd.    CHINA

Gold

   CID001078    LS-NIKKO Copper Inc.    KOREA, REPUBLIC OF

Gold

   CID001093    Luoyang Zijin Yinhui Gold Refinery Co., Ltd.    CHINA

Gold

   CID001113    Materion    UNITED STATES

Gold

   CID001119    Matsuda Sangyo Co., Ltd.    JAPAN

Gold

   CID001149    Metalor Technologies (Hong Kong) Ltd    HONG KONG

Gold

   CID001152    Metalor Technologies (Singapore) Pte. Ltd.    SINGAPORE

Gold

   CID001147    Metalor Technologies (Suzhou) Ltd.    CHINA

Gold

   CID001153    Metalor Technologies SA    SWITZERLAND

Gold

   CID001157    Metalor USA Refining Corporation    UNITED STATES

Gold

   CID001161    Met-Mex Peñoles, S.A.    MEXICO

Gold

   CID001188    Mitsubishi Materials Corporation    JAPAN

Gold

   CID001193    Mitsui Mining and Smelting Co., Ltd.    JAPAN

Gold

   CID002509    MMTC-PAMP India Pvt. Ltd    INDIA

Gold

   CID002282    Morris and Watson    NEW ZEALAND

Gold

   CID001204    Moscow Special Alloys Processing Plant    RUSSIAN FEDERATION

Gold

   CID001220    Nadir Metal Rafineri San. Ve Tic. A.?.    TURKEY

Gold

   CID001236    Navoi Mining and Metallurgical Combinat    UZBEKISTAN

Gold

   CID001259    Nihon Material Co. LTD    JAPAN

Gold

   CID002779    Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH    AUSTRIA

Gold

   CID001322    Ohio Precious Metals, LLC    UNITED STATES

Gold

   CID001325    Ohura Precious Metal Industry Co., Ltd    JAPAN

Gold

   CID001326    OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)    RUSSIAN FEDERATION

Gold

   CID001352    PAMP SA    SWITZERLAND

Gold

   CID001362    Penglai Penggang Gold Industry Co Ltd    CHINA

Gold

   CID001386    Prioksky Plant of Non-Ferrous Metals    RUSSIAN FEDERATION

Gold

   CID001397    PT Aneka Tambang (Persero) Tbk    INDONESIA

 

8


Metal

  

Smelter ID

  

Name

  

Country

Gold

   CID001498    PX Précinox SA    SWITZERLAND

Gold

   CID001512    Rand Refinery (Pty) Ltd    SOUTH AFRICA

Gold

   CID002582    Remondis Argentia B.V.    NETHERLANDS

Gold

   CID002510    Republic Metals Corporation    UNITED STATES

Gold

   CID001534    Royal Canadian Mint    CANADA

Gold

   CID002761    SAAMP    FRANCE

Gold

   CID001546    Sabin Metal Corp.    UNITED STATES

Gold

   CID001555    Samduck Precious Metals    KOREA, REPUBLIC OF

Gold

   CID001562    SAMWON Metals Corp.    KOREA, REPUBLIC OF

Gold

   CID002777    SAXONIA Edelmetalle GmbH    GERMANY

Gold

   CID001573    Schone Edelmetaal    NETHERLANDS

Gold

   CID001585    SEMPSA Joyería Platería SA    SPAIN

Gold

   CID001619    Shandong Tiancheng Biological Gold Industrial Co. Ltd.    CHINA

Gold

   CID001622    Shandong Zhaojin Gold & Silver Refinery Co. Ltd    CHINA

Gold

   CID001736    Sichuan Tianze Precious Metals Co., Ltd    CHINA

Gold

   CID002516    Singway Technology Co., Ltd.    TAIWAN

Gold

   CID001756    SOE Shyolkovsky Factory of Secondary Precious Metals    RUSSIAN FEDERATION

Gold

   CID001761    Solar Applied Materials Technology Corp.    TAIWAN

Gold

   CID001798    Sumitomo Metal Mining Co., Ltd.    JAPAN

Gold

   CID002580    T.C.A S.p.A    ITALY

Gold

   CID001875    Tanaka Kikinzoku Kogyo K.K.    JAPAN

Gold

   CID001916    The Refinery of Shandong Gold Mining Co. Ltd    CHINA

Gold

   CID001938    Tokuriki Honten Co., Ltd    JAPAN

Gold

   CID001947    Tongling Nonferrous Metals Group Co., Ltd.    CHINA

Gold

   CID002587    Tony Goetz NV    BELGIUM

Gold

   CID001955    Torecom    KOREA, REPUBLIC OF

Gold

   CID001977    Umicore Brasil Ltda    BRAZIL

Gold

   CID002314    Umicore Precious Metals Thailand    THAILAND

Gold

   CID001980    Umicore SA Business Unit Precious Metals Refining    BELGIUM

Gold

   CID001993    United Precious Metal Refining, Inc.    UNITED STATES

Gold

   CID002003    Valcambi SA    SWITZERLAND

Gold

   CID002030    Western Australian Mint trading as The Perth Mint    AUSTRALIA

Gold

   CID002778    WIELAND Edelmetalle GmbH    GERMANY

Gold

   CID002100    Yamamoto Precious Metal Co., Ltd.    JAPAN

Gold

   CID002129    Yokohama Metal Co Ltd    JAPAN

Gold

   CID000197    Yunnan Copper Industry Co Ltd    CHINA

Gold

   CID002243    Zijin Mining Group Co., Ltd. Gold Refinery    CHINA

Tantalum

   CID000211    Changsha South Tantalum Niobium Co., Ltd.    CHINA

Tantalum

   CID000291    Conghua Tantalum and Niobium Smeltry    CHINA

Tantalum

   CID002504    D Block Metals, LLC    UNITED STATES

Tantalum

   CID000410    Duoluoshan    CHINA

Tantalum

   CID002590    E.S.R. Electronics    UNITED STATES

Tantalum

   CID000456    Exotech Inc.    UNITED STATES

Tantalum

   CID000460    F&X Electro-Materials Ltd.    CHINA

Tantalum

   CID002505    FIR Metals & Resource Ltd.    CHINA

 

9


Metal

  

Smelter ID

  

Name

  

Country

Tantalum

   CID002558    Global Advanced Metals Aizu    JAPAN

Tantalum

   CID002557    Global Advanced Metals Boyertown    UNITED STATES

Tantalum

   CID000616    Guangdong Zhiyuan New Material Co., Ltd.    CHINA

Tantalum

   CID002544    H.C. Starck Co., Ltd.    THAILAND

Tantalum

   CID002545    H.C. Starck GmbH Goslar    GERMANY

Tantalum

   CID002546    H.C. Starck GmbH Laufenburg    GERMANY

Tantalum

   CID002547    H.C. Starck Hermsdorf GmbH    GERMANY

Tantalum

   CID002548    H.C. Starck Inc.    UNITED STATES

Tantalum

   CID002549    H.C. Starck Ltd.    JAPAN

Tantalum

   CID002550    H.C. Starck Smelting GmbH & Co.KG    GERMANY

Tantalum

   CID002492    Hengyang King Xing Lifeng New Materials Co., Ltd.    CHINA

Tantalum

   CID000731    Hi-Temp Specialty Metals, Inc.    UNITED STATES

Tantalum

   CID002512    Jiangxi Dinghai Tantalum & Niobium Co., Ltd.    CHINA

Tantalum

   CID002842    Jiangxi Tuohong New Raw Material    CHINA

Tantalum

   CID000914    JiuJiang JinXin Nonferrous Metals Co., Ltd.    CHINA

Tantalum

   CID000917    Jiujiang Tanbre Co., Ltd.    CHINA

Tantalum

   CID002506    Jiujiang Zhongao Tantalum & Niobium Co., Ltd.    CHINA

Tantalum

   CID002539    KEMET Blue Metals    MEXICO

Tantalum

   CID002568    KEMET Blue Powder    UNITED STATES

Tantalum

   CID000973    King-Tan Tantalum Industry Ltd    CHINA

Tantalum

   CID001076    LSM Brasil S.A.    BRAZIL

Tantalum

   CID001163    Metallurgical Products India (Pvt.) Ltd.    INDIA

Tantalum

   CID001175    Mineração Taboca S.A.    BRAZIL

Tantalum

   CID001192    Mitsui Mining & Smelting    JAPAN

Tantalum

   CID001200    Molycorp Silmet A.S.    ESTONIA

Tantalum

   CID001277    Ningxia Orient Tantalum Industry Co., Ltd.    CHINA

Tantalum

   CID002507    Phoenix Metal Ltd    RWANDA

Tantalum

   CID002540    Plansee SE Liezen    AUSTRIA

Tantalum

   CID002556    Plansee SE Reutte    AUSTRIA

Tantalum

   CID001508    QuantumClean    UNITED STATES

Tantalum

   CID002707    Resind Indústria e Comércio Ltda    BRAZIL

Tantalum

   CID001522    RFH Tantalum Smeltry Co., Ltd    CHINA

Tantalum

   CID001769    Solikamsk Magnesium Works OAO    RUSSIAN FEDERATION

Tantalum

   CID001869    Taki Chemicals    JAPAN

Tantalum

   CID001891    Telex    UNITED STATES

Tantalum

   CID002571    Tranzact, Inc.    UNITED STATES

Tantalum

   CID001969    Ulba Metallurgical Plant JSC    KAZAKHSTAN

Tantalum

   CID002508    XinXing HaoRong Electronic Material Co., Ltd.    CHINA

Tantalum

   CID002307    Yichun Jin Yang Rare Metal Co., Ltd    CHINA

Tantalum

   CID002232    Zhuzhou Cement Carbide    CHINA

Tin

   CID000292    Alpha    UNITED STATES

Tin

   CID002825    An Thai Minerals Company Limited    VIET NAM

Tin

   CID002703    An Vinh Joint Stock Mineral Processing Company    VIET NAM

Tin

   CID000228    Chenzhou Yunxiang Mining and Metallurgy Company Limited    CHINA

Tin

   CID000244    China Rare Metal Materials Company    CHINA

Tin

   CID001070    China Tin Group Co., Ltd.    CHINA

 

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Metal

  

Smelter ID

  

Name

  

Country

Tin

   CID000278    CNMC (Guangxi) PGMA Co. Ltd.    CHINA

Tin

   CID000295    Cooperativa Metalurgica de Rondônia Ltda.    BRAZIL

Tin

   CID002570    CV Ayi Jaya    INDONESIA

Tin

   CID002592    CV Dua Sekawan    INDONESIA

Tin

   CID000306    CV Gita Pesona    INDONESIA

Tin

   CID000313    CV Serumpun Sebalai    INDONESIA

Tin

   CID002593    CV Tiga Sekawan    INDONESIA

Tin

   CID000315    CV United Smelting    INDONESIA

Tin

   CID002455    CV Venus Inti Perkasa    INDONESIA

Tin

   CID000402    Dowa    JAPAN

Tin

   CID002572    Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company    VIET NAM

Tin

   CID002774    Elmet S.L.U. (Metallo Group)    SPAIN

Tin

   CID000438    EM Vinto    BOLIVIA

Tin

   CID000448    Estanho de Rondônia S.A.    BRAZIL

Tin

   CID000466    Feinhütte Halsbrücke GmbH    GERMANY

Tin

   CID000468    Fenix Metals Sp.    POLAND

Tin

   CID002848    Gejiu Fengming Metalurgy Chemical Plant    CHINA

Tin

   CID000942    Gejiu Kai Meng Industry and Trade LLC    CHINA

Tin

   CID000538    Gejiu Non-Ferrous Metal Processing Co. Ltd.    CHINA

Tin

   CID001908    Gejiu YunXin Colored Electrolysis Ltd    CHINA

Tin

   CID000555    Gejiu Zili Mining And Metallurgy Co., Ltd.    CHINA

Tin

   CID002849    Guanyang Guida Nonferrous Metal Smelting Plant    CHINA

Tin

   CID002844    HuiChang Hill Tin Industry Co., Ltd.    CHINA

Tin

   CID000760    Huichang Jinshunda Tin Co. Ltd    CHINA

Tin

   CID001063    Linwu Xianggui Ore Smelting Co., Ltd.    CHINA

Tin

   CID002468    Magnu’s Minerais Metais e Ligas Ltda.    BRAZIL

Tin

   CID001105    Malaysia Smelting Corporation (MSC)    MALAYSIA

Tin

   CID002500    Melt Metais e Ligas S/A    BRAZIL

Tin

   CID001142    Metallic Resources Inc    UNITED STATES

Tin

   CID002773    Metallo-Chimique N.V.    BELGIUM

Tin

   CID001173    Mineração Taboca S.A.    BRAZIL

Tin

   CID001182    Minsur    PERU

Tin

   CID001191    Mitsubishi Materials Corporation    JAPAN

Tin

   CID001231    Nankang Nanshan Tin Manufactory Co., Ltd.    CHINA

Tin

   CID002573    Nghe Tinh Non-Ferrous Metal    VIET NAM

Tin

   CID001314    O.M. Manufacturing (Thailand) Co., Ltd.    THAILAND

Tin

   CID002517    O.M. Manufacturing Philippines, Inc.    PHILIPPINES

Tin

   CID001337    OMSA    BOLIVIA

Tin

   CID002507    Phoenix Metal Ltd.    RWANDA

Tin

   CID001393    PT Alam Lestari Kencana    INDONESIA

Tin

   CID000309    PT Aries Kencana Sejahtera    INDONESIA

Tin

   CID001399    PT Artha Cipta Langgeng    INDONESIA

Tin

   CID002503    PT ATD Makmur Mandiri Jaya    INDONESIA

Tin

   CID001402    PT Babel Inti Perkasa    INDONESIA

Tin

   CID001409    PT Bangka Kudai Tin    INDONESIA

Tin

   CID002776    PT Bangka Prima Tin    INDONESIA

 

11


Metal

  

Smelter ID

  

Name

  

Country

Tin

   CID001416    PT Bangka Timah Utama Sejahtera    INDONESIA

Tin

   CID001419    PT Bangka Tin Industry    INDONESIA

Tin

   CID001421    PT Belitung Industri Sejahtera    INDONESIA

Tin

   CID001424    PT BilliTin Makmur Lestari    INDONESIA

Tin

   CID001428    PT Bukit Timah    INDONESIA

Tin

   CID002696    PT Cipta Persada Mulia    INDONESIA

Tin

   CID001434    PT DS Jaya Abadi    INDONESIA

Tin

   CID001438    PT Eunindo Usaha Mandiri    INDONESIA

Tin

   CID001442    PT Fang Di MulTindo    INDONESIA

Tin

   CID002530    PT Inti Stania Prima    INDONESIA

Tin

   CID000307    PT Justindo    INDONESIA

Tin

   CID001448    PT Karimun Mining    INDONESIA

Tin

   CID002829    PT Kijang Jaya Mandiri    INDONESIA

Tin

   CID001453    PT Mitra Stania Prima    INDONESIA

Tin

   CID001457    PT Panca Mega Persada    INDONESIA

Tin

   CID001486    PT Pelat Timah Nusantara Tbk    INDONESIA

Tin

   CID001458    PT Prima Timah Utama    INDONESIA

Tin

   CID001460    PT Refined Bangka Tin    INDONESIA

Tin

   CID001463    PT Sariwiguna Binasentosa    INDONESIA

Tin

   CID001466    PT Seirama Tin investment    INDONESIA

Tin

   CID001468    PT Stanindo Inti Perkasa    INDONESIA

Tin

   CID002816    PT Sukses Inti Makmur    INDONESIA

Tin

   CID001471    PT Sumber Jaya Indah    INDONESIA

Tin

   CID001477    PT Tambang Timah    INDONESIA

Tin

   CID001482    PT Timah (Persero), Tbk    INDONESIA

Tin

   CID001490    PT Tinindo Inter Nusa    INDONESIA

Tin

   CID002478    PT Tirus Putra Mandiri    INDONESIA

Tin

   CID001493    PT Tommy Utama    INDONESIA

Tin

   CID002479    PT Wahana Perkit Jaya    INDONESIA

Tin

   CID002706    Resind Indústria e Comércio Ltda.    BRAZIL

Tin

   CID001539    Rui Da Hung    TAIWAN

Tin

   CID001758    Soft Metais Ltda.    BRAZIL

Tin

   CID001898    Thaisarco    THAILAND

Tin

   CID002574    Tuyen Quang Non-Ferrous Metals Joint Stock Company    VIET NAM

Tin

   CID002015    VQB Mineral and Trading Group JSC    VIET NAM

Tin

   CID002036    White Solder Metalurgia e Mineração Ltda.    BRAZIL

Tin

   CID002158    Yunnan Chengfeng Non-ferrous Metals Co., Ltd.    CHINA

Tin

   CID002180    Yunnan Tin Company, Ltd.    CHINA

Tungsten

   CID000004    A.L.M.T. Corp.    JAPAN

Tungsten

   CID002833    ACL Metais Eireli    BRAZIL

Tungsten

   CID002502    Asia Tungsten Products Vietnam Ltd.    VIET NAM

Tungsten

   CID002513    Chenzhou Diamond Tungsten Products Co., Ltd.    CHINA

Tungsten

   CID000258    Chongyi Zhangyuan Tungsten Co., Ltd.    CHINA

Tungsten

   CID002518    Dayu Jincheng Tungsten Industry Co., Ltd.    CHINA

Tungsten

   CID000345    Dayu Weiliang Tungsten Co., Ltd.    CHINA

Tungsten

   CID000499    Fujian Jinxin Tungsten Co., Ltd.    CHINA

 

12


Metal

  

Smelter ID

  

Name

  

Country

Tungsten

   CID002531    Ganxian Shirui New Material Co., Ltd.    CHINA

Tungsten

   CID000875    Ganzhou Huaxing Tungsten Products Co., Ltd.    CHINA

Tungsten

   CID002315    Ganzhou Jiangwu Ferrotungsten Co., Ltd.    CHINA

Tungsten

   CID000868    Ganzhou Non-ferrous Metals Smelting Co., Ltd.    CHINA

Tungsten

   CID002494    Ganzhou Seadragon W & Mo Co., Ltd.    CHINA

Tungsten

   CID002536    Ganzhou Yatai Tungsten Co., Ltd.    CHINA

Tungsten

   CID000568    Global Tungsten & Powders Corp    UNITED STATES

Tungsten

   CID000218    Guangdong Xianglu Tungsten Co., Ltd.    CHINA

Tungsten

   CID002541    H.C. Starck GmbH    GERMANY

Tungsten

   CID002542    H.C. Starck Smelting GmbH & Co.KG    GERMANY

Tungsten

   CID000766    Hunan Chenzhou Mining Co., Ltd.    CHINA

Tungsten

   CID002579    Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji    CHINA

Tungsten

   CID002578    Hunan Chuangda Vanadium Tungsten Co., Ltd. Yanglin    CHINA

Tungsten

   CID000769    Hunan Chunchang Nonferrous Metals Co., Ltd.    CHINA

Tungsten

   CID002649    Hydrometallurg, JSC    RUSSIAN FEDERATION

Tungsten

   CID000825    Japan New Metals Co Ltd    JAPAN

Tungsten

   CID002551    Jiangwu H.C. Starck Tungsten Products Co., Ltd.    CHINA

Tungsten

   CID002647    Jiangxi Dayu Longxintai Tungsten Co., Ltd.    CHINA

Tungsten

   CID002321    Jiangxi Gan Bei Tungsten Co., Ltd.    CHINA

Tungsten

   CID002313    Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.    CHINA

Tungsten

   CID002318    Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.    CHINA

Tungsten

   CID002317    Jiangxi Xinsheng Tungsten Industry Co., Ltd.    CHINA

Tungsten

   CID002535    Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.    CHINA

Tungsten

   CID002316    Jiangxi Yaosheng Tungsten Co., Ltd.    CHINA

Tungsten

   CID000966    Kennametal Fallon    UNITED STATES

Tungsten

   CID000105    Kennametal Huntsville    UNITED STATES

Tungsten

   CID002319    Malipo Haiyu Tungsten Co., Ltd.    CHINA

Tungsten

   CID002845    Moliren Ltd    RUSSIAN FEDERATION

Tungsten

   CID002589    Niagara Refining LLC    UNITED STATES

Tungsten

   CID002543    Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC    VIET NAM

Tungsten

   CID002827    Philippine Chuangin Industrial Co., Inc.    PHILIPPINES

Tungsten

   CID002532    Pobedit, JSC    RUSSIAN FEDERATION

Tungsten

   CID002538    Sanher Tungsten Vietnam Co., Ltd.    VIET NAM

Tungsten

   CID002815    South-East Nonferrous Metal Company Limited of Hengyang City    CHINA

Tungsten

   CID001889    Tejing (Vietnam) Tungstan Co., Ltd    VIET NAM

Tungsten

   CID002011    Vietnam Youngsun Tungsten Industry Co., Ltd    VIET NAM

Tungsten

   CID002044    Wolfram Bergbau und Hütten AG    AUSTRIA

Tungsten

   CID002843    Woltech Korea Co., Ltd.    KOREA, REPUBLIC OF

Tungsten

   CID002320    Xiamen Tungsten (H.C.) Co., Ltd.    CHINA

Tungsten

   CID002082    Xiamen Tungsten Co., Ltd    CHINA

Tungsten

   CID002830    Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.    CHINA

Tungsten

   CID002095    Xinhai Rendan Shaoguan Tungsten Co., Ltd.    CHINA

 

13