EX-1.01 2 csl2018formsdexhibit101.htm EXHIBIT 1.01 Exhibit


Exhibit 1.01
 
Carlisle Companies Incorporated
Conflict Minerals Report
For the Year Ended December 31, 2018
 
This Conflict Minerals Report (the “Report”) of Carlisle Companies Incorporated (“Carlisle,” “the Company,” “we,” “us,” or “our”) has been prepared pursuant to Rule 13p-1 and Form SD (the “Rule”) promulgated under the Securities Exchange Act of 1934, as amended, for the year ended December 31, 2018. 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 (“the 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. For purposes of this assessment, conflict minerals are defined as cassiterite, columbite-tantalite, gold, wolframite, and their derivatives, which are limited to tin, tantalum, tungsten, and gold (“Conflict Minerals” or “3TG”) and originated from the Democratic Republic of the Congo or an adjoining country (“Covered Countries”). These requirements apply to registrants whatever the geographic origin of the Conflict Minerals and whether or not they fund armed conflict. Please refer to the Rule for definitions of the terms used in this Report, unless otherwise defined herein. Please also note that the report presented herein is not audited.

Company Overview
 
Carlisle is a diversified, global portfolio of niche brands that manufacture highly engineered products via the following segments:

Carlisle Construction Materials (“CCM” or “Construction Materials”);
Carlisle Interconnect Technologies (“CIT” or “Interconnect Technologies”);
Carlisle Fluid Technologies (“CFT” or “Fluid Technologies”); and
Carlisle Brake & Friction (“CBF” or “Brake & Friction”).

Products Overview
 
CCM designs, manufactures and sells thermoplastic polyolefin ("TPO"), ethylene propylene diene monomer rubber ("EPDM") and polyvinyl chloride membranes ("PVC") and metal roofing systems. CCM also manufactures and distributes energy-efficient rigid foam insulation panels for all roofing applications. In addition, CCM also offers a broad range of specialty polyurethane products and solutions. Key raw materials for this segment include methylene diphenyl diisocyanate ("MDI"), EPDM polymer, TPO polymer, carbon black and coated steel.
 
CIT designs, manufactures and sells high-performance wire, cable, connectors, contacts, and cable assemblies and satellite communication equipment for the transfer of power and data primarily for the aerospace, medical, defense electronics, test and measurement equipment, and select industrial markets. Key raw materials for this segment include gold, copper conductors that are plated with tin, nickel, or silver, polyimide tapes, polytetrafluoroethylene (“PTFE”) tapes, PTFE fine powder resin, thermoplastic resins, stainless steel, beryllium copper rod, machined metals, plastic parts, and various marking and identification materials. Key raw materials are typically sourced worldwide.    

CFT designs, manufactures and sells highly-engineered liquid and powder finishing equipment and system components primarily in the automotive, automotive refinishing, aerospace, agriculture, construction, marine, and rail industries. Key raw materials for this segment include carbon and various grades of stainless steel, brass, aluminum, copper, machined metals, carbide, machined plastic parts and PTFE. Key raw materials are typically sourced worldwide. 

CBF designs, manufactures and sells high-performance braking products and systems and clutch transmission frictions products for off-highway, on-highway, aircraft and other industrial applications. CBF also includes the performance racing group which designs, manufactures and sells high-performance motorsport braking products. The brake manufacturing operations require the use of various metal products such as castings, pistons, springs, and bearings. Key raw materials for this segment include fiberglass, phenolic resin, metallic chips, copper and iron powders, steel, custom-fabricated cellulose sheet and various other organic materials. Key raw materials are typically sourced worldwide.






Based on a review of the key raw materials used by the segments and discussions with key operations personnel across all segments, the Company determined that all four Conflict Minerals are present and that the CIT segment has the highest utilization of 3TG. It has been determined that CFT and CBF have significantly less utilization of 3TG than CIT, and that CCM does not use materials in the manufacturing process that contain Conflict Minerals. For the year ended December 31, 2018, the Company’s reasonable country of origin inquiry (“RCOI”) and due diligence inquiries focused primarily on CIT, CFT and CBF.
 
Conflict Minerals Policy
 
The Company has adopted a Conflict Minerals Policy, which is publicly available on our website at www.carlisle.com under “Corporate Governance”.
 
Reasonable Country of Origin Inquiries
 
The Company completed a detailed scoping exercise, led by key operating and purchasing personnel, including reviewing all purchases over a twelve month period to identify any 3TG and corresponding suppliers. The suppliers were sorted according to their likelihood of supplying components or materials containing Conflict Minerals. Those that were known to or could potentially supply components or materials containing Conflict Minerals with whom annual spend exceeded a specified threshold were considered to be in scope for supplier inquiries.

As a result of this scoping process, 1,445 different suppliers were identified for RCOI outreach.

We conducted a RCOI reasonably designed to determine whether the 3TG in our products in the 2018 Report Year originated from the Covered Countries or are from recycled or scrap sources in accordance with the requirements of the Rule. The Covered Countries are the Democratic Republic of Congo and its adjoining countries (Angola, Burundi, Central African Republic, Rwanda, South Sudan, Tanzania, Uganda and Zambia). As part of its RCOI, and with the assistance of a third-party consultant, Assent Compliance, Inc. (“Assent”), the Company engaged its potential 3TG suppliers to collect information regarding the presence and sourcing of 3TG in its products. Suppliers were asked to complete and submit, within a certain time frame, the RBA-GeSI Conflict Minerals Reporting Template ("CMRT") version 5.11 or higher. The CMRT is a standardized reporting template developed by the Responsible Minerals Initiative (“RMI”) that requests, among other things, information regarding country of origin of 3TG supplied to the Company and the smelters or refiners ("SOR") in the supply chain. Assent followed up with all unresponsive suppliers through a defined process through both automated emails and one-on-one emails, including offering assistance and further information to suppliers about the requirements of the Rule and the Company’s expectations.

Because of the size, complexity of our products, and the depth, breadth, and constant evolution of our supply chain, it is challenging to identify providers upstream from our direct suppliers. There are potentially many tiers of suppliers and sub-suppliers between the Company and the SORs that process the 3TG that is contained in each product manufactured or contracted to be manufactured by Carlisle. Therefore, it is inherently difficult to determine the ultimate source of 3TGs in our products.
 
Based on the responses received thus far from direct suppliers, there is reason to believe that some of the necessary Conflict Minerals used in our products may have originated from the Covered Countries, but no instances were identified in which this sourcing, directly or indirectly, financed or benefited armed groups from the Covered Countries. However, since not all supplier responses have been received and not all additional inquiries have been completed, we are unable to determine the country of origin of some Conflict Minerals or whether they originated from recycled or scrap sources. We continue to reach out to unresponsive suppliers and perform additional inquiries until such time we have 100% response rate.

As a result of the above conclusion and pursuant to the Rule, we undertook due diligence measures on the source and chain of custody of the necessary Conflict Minerals in our products which we had reason to believe may have originated from Covered Countries and which may not have come from recycled scrap or scrap sources. There is significant overlap between our RCOI efforts and our due diligence measures performed.
 





Due Diligence Performed

Carlisle undertook systematic due diligence to determine the status of the Conflict Minerals used in its businesses. Due diligence efforts have been designed to conform, in all material respects, with the framework presented by The Organization for Economic Co-operation and Development (“OECD”) in the publication OECD (2013) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas: Second Edition, OECD Publishing and the related Supplements for gold and for tin, tantalum and tungsten, an internationally recognized due diligence framework. The OECD Due Diligence Guidance includes the following five-step program:
 
Step 1: Establish and maintain strong company management systems
Step 2: Identify and assess risks in the supply chain
Step 3: Design and implement a strategy to respond to identified risks
Step 4: Support independent third party audits of supply chain
Step 5: Report annually on supply chain due diligence
 
Establish and Maintain Strong Company Management Systems
 
Conflict Minerals Policy: As noted above, the Company has adopted and maintains a Conflict Minerals Policy related to our sourcing of 3TG. The policy has been provided to our suppliers and is publicly available on our company website.

Internal Team and Training: The Conflict Minerals team responsible for overseeing Carlisle’s compliance is comprised of our General Counsel and CIT Director of Supplier Development along with designated representatives within the supply chain organizations at each segment. Additionally, a professional services firm was engaged to augment the internal management group responsible for the design and implementation of our planned due diligence. 

Control Systems: A management system has been established to support supply chain due diligence related to 3TG. We employ a supply chain system of controls and transparency through the use of due diligence tools, such as the CMRT used to identify the smelters and refiners that process the necessary Conflict Minerals contained in a company's products and the country of origin of those Conflict Minerals.

Supplier Engagement: We have feature requirements related to Conflict Minerals in our standard template for significant supplier contracts and specifications so that current and future suppliers are obligated to comply with our policies on Conflict Minerals, including participation in a supply chain survey and related due diligence activities.

Grievance Mechanism: In the event of an actual or possible violation of our policies, including the Company’s Conflict Minerals Policy, employees (internal) and suppliers (external) can report violations as part of the Company’s protocol for reporting suspected violations of the Carlisle Code of Business Conduct and Ethics. The Company’s Code of Business Conduct and Ethics is available at https://www.carlisle.com/who-we-are/corporate-governance/business-code-of-ethics/Business-Code-of-Ethics---English/default.aspx.

Records Maintenance: We employ a database to assess due diligence information and maintain records related to our conflict mineral program, in accordance with our record retention policies.
 
Identify and Assess Risks in the Supply Chain
 
Tracing materials back to their mine of origin is a complex aspect of responsible sourcing in our supply chain. We have determined that seeking information about 3TG SORs in our supply chain represents the most reasonable effort we can make to determine the mines or locations of origin of the 3TG in our supply chain.

Our primary means of determining origin of our 3TG for the 2018 Report Year was by conducting a supply chain survey with direct suppliers using the CMRT. This supply chain survey, and Carlisle’s Conflict Minerals program as a whole, has been developed and implemented in cooperation with Assent.






Assent provided each supplier a copy of the CMRT to complete for purposes of Conflict Minerals tracking. Assent made at least four follow-up inquiries to each supplier that did not respond to our initial survey, by either phone or email or both. The software platform automatically reviewed the responses against criteria developed to determine which required further engagement with our suppliers. These criteria included incomplete responses as well as inconsistencies within the data reported in the CMRT. Assent worked directly with those suppliers to provide revised responses.

Once surveys were returned, Assent reviewed and attempted to match each verified SOR identified in the completed surveys to available lists of SORs that have been validated as conflict free under internationally-recognized schemes such as the RMI Responsible Minerals Assurance Process ("RMAP"). If a SOR was not validated by the RMI’s RMAP, Assent either attempted to contact the SOR to gather more information about its sourcing practices or conducted research to determine whether there are any additional publicly available sources of information regarding the SORs' sourcing practices.

In accordance with OECD Guidelines, 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. Each facility that meets the RMI definition of a smelter or refiner of a 3TG mineral is assigned a risk of high, medium or low based on three scoring criteria:

Geographic proximity to the DRC and covered countries;
RMAP audit status;
Known or plausible evidence of unethical or conflict sourcing;
Known mineral source country of origin;
Peer assessments conducted by credible third-party sources.

If a risk is identified, risk mitigation activities are initiated. As per the OECD Due Diligence Guidance, risk mitigation will depend on the supplier’s specific context. Suppliers are given clear performance objectives within reasonable timeframes with the goal of progressive elimination of these risks from the supply chain.

In addition, suppliers are guided to the Assent University learning platform to engage in educational materials on mitigating the risk of smelters or refiners on the supply chain.

Design and Implement a Strategy to Respond to Identified Risks
 
The Company maintains a risk management plan to respond to risks identified in the above-described risk assessment. The Company’s Conflict Minerals program is implemented, managed and monitored in accordance with this risk management plan.

The Company’s Conflict Minerals team provides updates to senior management of the Company in connection with the Conflict Minerals program, including with regard to risk assessment and results of the annual due diligence process.

As described in our Conflict Minerals Policy, we expect our suppliers to fully support our compliance efforts, including in connection with our due diligence efforts to trace the source and chain of custody of our 3TG. As part of our risk management plan, to ensure suppliers understand our expectations, we worked with Assent to provide documented instructions to suppliers and answered all inquiries that needed further clarification. We will continue improving our Conflict Minerals process to obtain complete and accurate information about SORs.
 
Support Independent Third Party Audits of Supply Chain
 
The Company does not typically have a direct relationship with 3TG smelters and refiners, therefore we rely on the RMI’s RMAP to manage and report results of the independent third-party audits of smelters and the related certification.
 
Report Annually on Supply Chain Due Diligence
 
This Conflict Minerals Report constitutes the Company’s annual report on our 3TG due diligence, is available on our website at www.carlisle.com, and is an Exhibit to this Form SD. The content of any website referred to in the Form SD or this Exhibit is included for general information only and is not incorporated by reference into the Form SD or this Exhibit filed with the SEC.





 
Results of Due Diligence
 
As a result of the due diligence efforts described above, we received responses from 78.8%, or 1,138, of our direct suppliers for the year ended December 31, 2018. Of these, 972 were completed and validated CMRTs. From these responses, a list was compiled of the smelters and refiners that may have been used to process 3TGs necessary to the functionality or production of our products. For all smelters identified, Assent confirmed that the name was listed on the RMI’s Standard Smelter List. We have validated 321 smelters to date and continue to work on validating the additional entries from submitted CMRTs. Based on the smelter lists provided by suppliers via the CMRTs and publicly available information regarding the results of sourcing audits by the RMI, we have identified 255 Conflict-Free SORs, with an additional 7 that are active in the audit process (See Appendix A).

The information that we received from a majority of our direct suppliers was at a company-wide level. Therefore, the smelters identified by our direct suppliers may include facilities that processed 3TGs that our direct suppliers supplied to their other customers rather than to us. Thus, we are unable to conclusively determine whether these smelters were used to process the 3TGs necessary to the functionality or production of our products during 2018. Because of this uncertainty, we are also unable to conclusively determine the country of origin of 3TGs in our products during 2018, and therefore, are unable to conclusively determine the source and chain of custody of those 3TGs. In addition, the third-party audits conducted by the RMI, and the information that we receive from our direct suppliers may yield inaccurate or incomplete information. For example, the information received from our direct suppliers may be incomplete because they may not have received accurate and complete Conflict Minerals information from all of the suppliers in their own supply chain. We also do not have access to audit reports or detailed findings of the third-party audits conducted as part of the RMI RMAP and, as a result, are not responsible for the quality of these audits or the audit findings.
 
Due Diligence Procedures to be Performed
 
Carlisle will continue to implement steps to improve the information gathered from its due diligence to further mitigate the risk that its necessary Conflict Minerals benefit armed groups. We will continue to work to increase the response rate of suppliers and will continue to evaluate responses to the surveys with the expectation that the third-party developed software will continue to help increase efficiency and identify any necessary follow-up procedures. This includes executives and supply chain management teams completing a supplier scoping exercise, sending CMRTs to any supplier selling goods to Carlisle that may contain 3TG minerals, detailed analysis of all survey responses, and additional inquiries as necessary. 






Appendix A

Summary of Smelter and Refiner Status

The table below details, as of December 31, 2018, the status of operational smelter and refiner facilities, identified by the surveyed suppliers, and the results of our smelter and refiner due diligence activities. The table indicates the number of such smelters and refiner facilities that:

have received a "conflict-free" designation from an independent third party audit program (referred to as "Conformant"),
have begun participating in an independent third party audit program (referred to as "Active"), or
have not begun participating in an independent third party audit program (referred to as "Not Enrolled").
Metal
 Standard Smelter or Refiner Name
Facility Location
RMI Audit Status
Gold
8853 S.p.A.
ITALY
Conformant
Gold
Advanced Chemical Company
UNITED STATES
Conformant
Gold
African Gold Refinery
UGANDA
Not Enrolled
Gold
Aida Chemical Industries Co., Ltd.
JAPAN
Conformant
Gold
Al Etihad Gold LLC
UNITED ARAB EMIRATES
Conformant
Gold
Allgemeine Gold-und Silberscheideanstalt A.G.
GERMANY
Conformant
Gold
Almalyk Mining and Metallurgical Complex (AMMC)
UZBEKISTAN
Conformant
Gold
AngloGold Ashanti Córrego do Sítio Mineração
BRAZIL
Conformant
Gold
Argor-Heraeus S.A.
SWITZERLAND
Conformant
Gold
Asahi Pretec Corp.
JAPAN
Conformant
Gold
Asahi Refining Canada Ltd.
CANADA
Conformant
Gold
Asahi Refining USA Inc.
UNITED STATES
Conformant
Gold
Asaka Riken Co., Ltd.
JAPAN
Conformant
Gold
Atasay Kuyumculuk Sanayi Ve Ticaret A.S.
TURKEY
Not Enrolled
Gold
AU Traders and Refiners
SOUTH AFRICA
Conformant
Gold
Aurubis AG
GERMANY
Conformant
Gold
Bangalore Refinery
INDIA
Active
Gold
Bangko Sentral ng Pilipinas (Central Bank of the Philippines)
PHILIPPINES
Conformant
Gold
Boliden AB
SWEDEN
Conformant
Gold
C. Hafner GmbH + Co. KG
GERMANY
Conformant
Gold
Caridad
MEXICO
Not Enrolled
Gold
CCR Refinery - Glencore Canada Corporation
CANADA
Conformant
Gold
Cendres + Métaux S.A.
SWITZERLAND
Conformant
Gold
Chimet S.p.A.
ITALY
Conformant
Gold
Chugai Mining
JAPAN
Active
Gold
Daejin Indus Co., Ltd.
KOREA, REPUBLIC OF
Conformant
Gold
Daye Non-Ferrous Metals Mining Ltd.
CHINA
Not Enrolled
Gold
Degussa Sonne / Mond Goldhandel GmbH
GERMANY
Not Enrolled
Gold
Dijllah Gold Refinery FZC
UNITED ARAB EMIRATES
Not Enrolled
Gold
DODUCO Contacts and Refining GmbH
GERMANY
Conformant
Gold
Dowa
JAPAN
Conformant
Gold
DS PRETECH Co., Ltd.
KOREA, REPUBLIC OF
Conformant
Gold
DSC (Do Sung Corporation)
KOREA, REPUBLIC OF
Conformant
Gold
Eco-System Recycling Co., Ltd.
JAPAN
Conformant
Gold
Emirates Gold DMCC
UNITED ARAB EMIRATES
Conformant
Gold
Fidelity Printers and Refiners Ltd.
ZIMBABWE
Not Enrolled
Gold
Fujairah Gold FZE
UNITED ARAB EMIRATES
Not Enrolled





Metal
 Standard Smelter or Refiner Name
Facility Location
RMI Audit Status
Gold
GCC Gujrat Gold Centre Pvt. Ltd.
INDIA
Not Enrolled
Gold
Geib Refining Corporation
UNITED STATES
Conformant
Gold
Gold Refinery of Zijin Mining Group Co., Ltd.
CHINA
Conformant
Gold
Great Wall Precious Metals Co., Ltd. of CBPM
CHINA
Not Enrolled
Gold
Guangdong Jinding Gold Limited
CHINA
Not Enrolled
Gold
Guoda Safina High-Tech Environmental Refinery Co., Ltd.
CHINA
Not Enrolled
Gold
Hangzhou Fuchunjiang Smelting Co., Ltd.
CHINA
Not Enrolled
Gold
HeeSung
KOREA, REPUBLIC OF
Conformant
Gold
Heimerle + Meule GmbH
GERMANY
Conformant
Gold
Heraeus Metals Hong Kong Ltd.
CHINA
Conformant
Gold
Heraeus Precious Metals GmbH & Co. KG
GERMANY
Conformant
Gold
Hunan Chenzhou Mining Co., Ltd.
CHINA
Not Enrolled
Gold
Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd.
CHINA
Not Enrolled
Gold
Hwasung CJ Co., Ltd.
KOREA, REPUBLIC OF
Not Enrolled
Gold
Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.
CHINA
Conformant
Gold
International Precious Metal Refiners
UNITED ARAB EMIRATES
Not Enrolled
Gold
Ishifuku Metal Industry Co., Ltd.
JAPAN
Conformant
Gold
Istanbul Gold Refinery
TURKEY
Conformant
Gold
Italpreziosi
ITALY
Conformant
Gold
Japan Mint
JAPAN
Conformant
Gold
Jiangxi Copper Co., Ltd.
CHINA
Conformant
Gold
JSC Ekaterinburg Non-Ferrous Metal Processing Plant
RUSSIAN FEDERATION
Not Enrolled
Gold
JSC Uralelectromed
RUSSIAN FEDERATION
Conformant
Gold
JX Nippon Mining & Metals Co., Ltd.
JAPAN
Conformant
Gold
Kaloti Precious Metals
UNITED ARAB EMIRATES
Not Enrolled
Gold
Kazakhmys Smelting LLC
KAZAKHSTAN
Not Enrolled
Gold
Kazzinc
KAZAKHSTAN
Conformant
Gold
Kennecott Utah Copper LLC
UNITED STATES
Conformant
Gold
KGHM Polska Miedz Spolka Akcyjna
POLAND
Active
Gold
Kojima Chemicals Co., Ltd.
JAPAN
Conformant
Gold
Korea Zinc Co., Ltd.
KOREA, REPUBLIC OF
Conformant
Gold
Kyrgyzaltyn JSC
KYRGYZSTAN
Conformant
Gold
Kyshtym Copper-Electrolytic Plant ZAO
RUSSIAN FEDERATION
Not Enrolled
Gold
L'azurde Company For Jewelry
SAUDI ARABIA
Not Enrolled
Gold
Lingbao Gold Co., Ltd.
CHINA
Not Enrolled
Gold
Lingbao Jinyuan Tonghui Refinery Co., Ltd.
CHINA
Not Enrolled
Gold
L'Orfebre S.A.
ANDORRA
Conformant
Gold
LS-NIKKO Copper Inc.
KOREA, REPUBLIC OF
Conformant
Gold
Luoyang Zijin Yinhui Gold Refinery Co., Ltd.
CHINA
Not Enrolled
Gold
Marsam Metals
BRAZIL
Conformant
Gold
Materion
UNITED STATES
Conformant
Gold
Matsuda Sangyo Co., Ltd.
JAPAN
Conformant
Gold
Metalor Technologies (Hong Kong) Ltd.
CHINA
Conformant
Gold
Metalor Technologies (Singapore) Pte., Ltd.
SINGAPORE
Conformant
Gold
Metalor Technologies (Suzhou) Ltd.
CHINA
Conformant
Gold
Metalor Technologies S.A.
SWITZERLAND
Conformant
Gold
Metalor USA Refining Corporation
UNITED STATES
Conformant
Gold
Metalúrgica Met-Mex Peñoles S.A. De C.V.
MEXICO
Conformant





Metal
 Standard Smelter or Refiner Name
Facility Location
RMI Audit Status
Gold
Mitsubishi Materials Corporation
JAPAN
Conformant
Gold
Mitsui Mining and Smelting Co., Ltd.
JAPAN
Conformant
Gold
MMTC-PAMP India Pvt., Ltd.
INDIA
Conformant
Gold
Morris and Watson
NEW ZEALAND
Not Enrolled
Gold
Morris and Watson Gold Coast
AUSTRALIA
Not Enrolled
Gold
Moscow Special Alloys Processing Plant
RUSSIAN FEDERATION
Conformant
Gold
Nadir Metal Rafineri San. Ve Tic. A.Ş.
TURKEY
Conformant
Gold
Navoi Mining and Metallurgical Combinat
UZBEKISTAN
Not Enrolled
Gold
NH Recytech Company
KOREA, REPUBLIC OF
Active
Gold
Nihon Material Co., Ltd.
JAPAN
Conformant
Gold
Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH
AUSTRIA
Conformant
Gold
Ohura Precious Metal Industry Co., Ltd.
JAPAN
Conformant
Gold
OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)
RUSSIAN FEDERATION
Conformant
Gold
OJSC Novosibirsk Refinery
RUSSIAN FEDERATION
Conformant
Gold
PAMP S.A.
SWITZERLAND
Conformant
Gold
Pease & Curren
UNITED STATES
Not Enrolled
Gold
Penglai Penggang Gold Industry Co., Ltd.
CHINA
Not Enrolled
Gold
Planta Recuperadora de Metales SpA
CHILE
Conformant
Gold
Prioksky Plant of Non-Ferrous Metals
RUSSIAN FEDERATION
Conformant
Gold
PT Aneka Tambang (Persero) Tbk
INDONESIA
Conformant
Gold
PX Précinox S.A.
SWITZERLAND
Conformant
Gold
QG Refining, LLC
UNITED STATES OF AMERICA
Not Enrolled
Gold
Rand Refinery (Pty) Ltd.
SOUTH AFRICA
Conformant
Gold
Refinery of Seemine Gold Co., Ltd.
CHINA
Not Enrolled
Gold
Remondis Argentia B.V.
NETHERLANDS
Conformant
Gold
Republic Metals Corporation
UNITED STATES
Conformant
Gold
Royal Canadian Mint
CANADA
Conformant
Gold
SAAMP
FRANCE
Conformant
Gold
Sabin Metal Corp.
UNITED STATES
Not Enrolled
Gold
Safimet S.p.A
ITALY
Conformant
Gold
SAFINA A.S.
CZECH REPUBLIC
Not Enrolled
Gold
Sai Refinery
INDIA
Not Enrolled
Gold
SAMWON Metals Corp.
KOREA, REPUBLIC OF
Not Enrolled
Gold
SAXONIA Edelmetalle GmbH
GERMANY
Conformant
Gold
SEMPSA Joyería Platería S.A.
SPAIN
Conformant
Gold
Shandong Tiancheng Biological Gold Industrial Co., Ltd.
CHINA
Not Enrolled
Gold
Shandong Zhaojin Gold & Silver Refinery Co., Ltd.
CHINA
Conformant
Gold
Shangdong Humon Smelting Co., Ltd.
CHINA
Not Enrolled
Gold
Sichuan Tianze Precious Metals Co., Ltd.
CHINA
Conformant
Gold
Singway Technology Co., Ltd.
TAIWAN
Conformant
Gold
SOE Shyolkovsky Factory of Secondary Precious Metals
RUSSIAN FEDERATION
Conformant
Gold
Solar Applied Materials Technology Corp.
TAIWAN
Conformant
Gold
State Research Institute Center for Physical Sciences and Technology
LITHUANIA
Not Enrolled
Gold
Sudan Gold Refinery
SUDAN
Not Enrolled
Gold
Sumitomo Metal Mining Co., Ltd.
JAPAN
Conformant
Gold
SungEel HiTech
KOREA, REPUBLIC OF
Conformant
Gold
T.C.A S.p.A
ITALY
Conformant





Metal
 Standard Smelter or Refiner Name
Facility Location
RMI Audit Status
Gold
Tanaka Kikinzoku Kogyo K.K.
JAPAN
Conformant
Gold
The Refinery of Shandong Gold Mining Co., Ltd.
CHINA
Conformant
Gold
Tokuriki Honten Co., Ltd.
JAPAN
Conformant
Gold
Tongling Nonferrous Metals Group Co., Ltd.
CHINA
Not Enrolled
Gold
TOO Tau-Ken-Altyn
KAZAKHSTAN
Not Enrolled
Gold
Torecom
KOREA, REPUBLIC OF
Conformant
Gold
Umicore Brasil Ltda.
BRAZIL
Conformant
Gold
Umicore Precious Metals Thailand
THAILAND
Conformant
Gold
Umicore S.A. Business Unit Precious Metals Refining
BELGIUM
Conformant
Gold
United Precious Metal Refining, Inc.
UNITED STATES
Conformant
Gold
Universal Precious Metals Refining Zambia
ZAMBIA
Not Enrolled
Gold
Valcambi S.A.
SWITZERLAND
Conformant
Gold
Western Australian Mint trading as The Perth Mint
AUSTRALIA
Conformant
Gold
WIELAND Edelmetalle GmbH
GERMANY
Conformant
Gold
Yamamoto Precious Metal Co., Ltd.
JAPAN
Conformant
Gold
Yokohama Metal Co., Ltd.
JAPAN
Conformant
Gold
Yunnan Copper Industry Co., Ltd.
CHINA
Not Enrolled
Gold
Zhongyuan Gold Smelter of Zhongjin Gold Corporation
CHINA
Conformant
Tantalum
Asaka Riken Co., Ltd.
JAPAN
Conformant
Tantalum
Changsha South Tantalum Niobium Co., Ltd.
CHINA
Conformant
Tantalum
D Block Metals, LLC
UNITED STATES
Conformant
Tantalum
Exotech Inc.
UNITED STATES
Conformant
Tantalum
F&X Electro-Materials Ltd.
CHINA
Conformant
Tantalum
FIR Metals & Resource Ltd.
CHINA
Conformant
Tantalum
Global Advanced Metals Aizu
JAPAN
Conformant
Tantalum
Global Advanced Metals Boyertown
UNITED STATES
Conformant
Tantalum
Guangdong Rising Rare Metals-EO Materials Ltd.
CHINA
Conformant
Tantalum
Guangdong Zhiyuan New Material Co., Ltd.
CHINA
Conformant
Tantalum
H.C. Starck Co., Ltd.
THAILAND
Conformant
Tantalum
H.C. Starck Hermsdorf GmbH
GERMANY
Conformant
Tantalum
H.C. Starck Inc.
UNITED STATES
Conformant
Tantalum
H.C. Starck Ltd.
JAPAN
Conformant
Tantalum
H.C. Starck Smelting GmbH & Co. KG
GERMANY
Conformant
Tantalum
H.C. Starck Tantalum and Niobium GmbH
GERMANY
Conformant
Tantalum
Hengyang King Xing Lifeng New Materials Co., Ltd.
CHINA
Conformant
Tantalum
Jiangxi Dinghai Tantalum & Niobium Co., Ltd.
CHINA
Conformant
Tantalum
Jiangxi Tuohong New Raw Material
CHINA
Conformant
Tantalum
Jiujiang Janny New Material Co., Ltd.
CHINA
Conformant
Tantalum
JiuJiang JinXin Nonferrous Metals Co., Ltd.
CHINA
Conformant
Tantalum
Jiujiang Tanbre Co., Ltd.
CHINA
Conformant
Tantalum
Jiujiang Zhongao Tantalum & Niobium Co., Ltd.
CHINA
Conformant
Tantalum
KEMET Blue Metals
MEXICO
Conformant
Tantalum
KEMET Blue Powder
UNITED STATES
Conformant
Tantalum
LSM Brasil S.A.
BRAZIL
Conformant
Tantalum
Metallurgical Products India Pvt., Ltd.
INDIA
Conformant
Tantalum
Mineracao Taboca S.A.
BRAZIL
Conformant
Tantalum
Mitsui Mining and Smelting Co., Ltd.
JAPAN
Conformant
Tantalum
Ningxia Orient Tantalum Industry Co., Ltd.
CHINA
Conformant
Tantalum
NPM Silmet AS
ESTONIA
Conformant





Metal
 Standard Smelter or Refiner Name
Facility Location
RMI Audit Status
Tantalum
Power Resources Ltd.
MACEDONIA
Conformant
Tantalum
QuantumClean
UNITED STATES
Conformant
Tantalum
Resind Industria e Comercio Ltda.
BRAZIL
Conformant
Tantalum
RFH Tantalum Smeltry Co., Ltd.
CHINA
Conformant
Tantalum
Solikamsk Magnesium Works OAO
RUSSIAN FEDERATION
Conformant
Tantalum
Taki Chemicals
JAPAN
Conformant
Tantalum
Telex Metals
UNITED STATES
Conformant
Tantalum
Ulba Metallurgical Plant JSC
KAZAKHSTAN
Conformant
Tantalum
XinXing HaoRong Electronic Material Co., Ltd.
CHINA
Conformant
Tin
Alpha
UNITED STATES
Conformant
Tin
An Vinh Joint Stock Mineral Processing Company
VIETNAM
Not Enrolled
Tin
Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.
CHINA
Conformant
Tin
Chifeng Dajingzi Tin Industry Co., Ltd.
CHINA
Conformant
Tin
China Tin Group Co., Ltd.
CHINA
Conformant
Tin
CV Ayi Jaya
INDONESIA
Conformant
Tin
CV Dua Sekawan
INDONESIA
Conformant
Tin
CV Gita Pesona
INDONESIA
Conformant
Tin
CV Tiga Sekawan
INDONESIA
Conformant
Tin
CV United Smelting
INDONESIA
Conformant
Tin
CV Venus Inti Perkasa
INDONESIA
Conformant
Tin
Dongguan CiEXPO Environmental Engineering Co., Ltd.
CHINA
Active
Tin
Dowa
JAPAN
Conformant
Tin
EM Vinto
BOLIVIA
Conformant
Tin
Estanho de Rondônia S.A.
BRAZIL
Not Enrolled
Tin
Fenix Metals
POLAND
Conformant
Tin
Gejiu Fengming Metallurgy Chemical Plant
CHINA
Conformant
Tin
Gejiu Kai Meng Industry and Trade LLC
CHINA
Conformant
Tin
Gejiu Non-Ferrous Metal Processing Co., Ltd.
CHINA
Conformant
Tin
Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.
CHINA
Conformant
Tin
Gejiu Zili Mining And Metallurgy Co., Ltd.
CHINA
Conformant
Tin
Guangdong Hanhe Non-ferrous Metal Limited Company
CHINA
Conformant
Tin
Guanyang Guida Nonferrous Metal Smelting Plant
CHINA
Conformant
Tin
Huichang Jinshunda Tin Co., Ltd.
CHINA
Conformant
Tin
Jiangxi New Nanshan Technology Ltd.
CHINA
Conformant
Tin
Magnu's Minerais Metais e Ligas Ltda.
BRAZIL
Conformant
Tin
Malaysia Smelting Corporation (MSC)
MALAYSIA
Conformant
Tin
Melt Metais e Ligas S.A.
BRAZIL
Conformant
Tin
Metallic Resources, Inc.
UNITED STATES
Conformant
Tin
Metallo Belgium N.V.
BELGIUM
Conformant
Tin
Metallo Spain S.L.U.
SPAIN
Conformant
Tin
Mineracao Taboca S.A.
BRAZIL
Conformant
Tin
Minsur
PERU
Conformant
Tin
Mitsubishi Materials Corporation
JAPAN
Conformant
Tin
Modeltech Sdn Bhd
MALAYSIA
Conformant
Tin
Nghe Tinh Non-Ferrous Metals Joint Stock Company
VIETNAM
Not Enrolled
Tin
O.M. Manufacturing (Thailand) Co., Ltd.
THAILAND
Conformant
Tin
O.M. Manufacturing Philippines, Inc.
PHILIPPINES
Conformant
Tin
Operaciones Metalurgical S.A.
BOLIVIA
Conformant
Tin
Pongpipat Company Limited
MYANMAR
Not Enrolled





Metal
 Standard Smelter or Refiner Name
Facility Location
RMI Audit Status
Tin
PT Aries Kencana Sejahtera
INDONESIA
Conformant
Tin
PT Artha Cipta Langgeng
INDONESIA
Conformant
Tin
PT ATD Makmur Mandiri Jaya
INDONESIA
Conformant
Tin
PT Babel Inti Perkasa
INDONESIA
Conformant
Tin
PT Babel Surya Alam Lestari
INDONESIA
Conformant
Tin
PT Bangka Prima Tin
INDONESIA
Conformant
Tin
PT Bangka Serumpun
INDONESIA
Conformant
Tin
PT Bangka Tin Industry
INDONESIA
Conformant
Tin
PT Belitung Industri Sejahtera
INDONESIA
Conformant
Tin
PT Bukit Timah
INDONESIA
Conformant
Tin
PT DS Jaya Abadi
INDONESIA
Conformant
Tin
PT Inti Stania Prima
INDONESIA
Conformant
Tin
PT Karimun Mining
INDONESIA
Conformant
Tin
PT Kijang Jaya Mandiri
INDONESIA
Conformant
Tin
PT Menara Cipta Mulia
INDONESIA
Conformant
Tin
PT Mitra Stania Prima
INDONESIA
Conformant
Tin
PT Panca Mega Persada
INDONESIA
Conformant
Tin
PT Premium Tin Indonesia
INDONESIA
Conformant
Tin
PT Prima Timah Utama
INDONESIA
Conformant
Tin
PT Rajawali Rimba Perkasa
INDONESIA
Active
Tin
PT Refined Bangka Tin
INDONESIA
Conformant
Tin
PT Sariwiguna Binasentosa
INDONESIA
Conformant
Tin
PT Stanindo Inti Perkasa
INDONESIA
Conformant
Tin
PT Sukses Inti Makmur
INDONESIA
Conformant
Tin
PT Sumber Jaya Indah
INDONESIA
Conformant
Tin
PT Timah (Persero) Tbk Kundur
INDONESIA
Conformant
Tin
PT Timah (Persero) Tbk Mentok
INDONESIA
Conformant
Tin
PT Tinindo Inter Nusa
INDONESIA
Conformant
Tin
PT Tirus Putra Mandiri
INDONESIA
Conformant
Tin
PT Tommy Utama
INDONESIA
Conformant
Tin
Resind Industria e Comercio Ltda.
BRAZIL
Conformant
Tin
Rui Da Hung
TAIWAN
Conformant
Tin
Soft Metais Ltda.
BRAZIL
Conformant
Tin
Super Ligas
BRAZIL
Not Enrolled
Tin
Thai Nguyen Mining and Metallurgy Co., Ltd.
VIETNAM
Conformant
Tin
Thaisarco
THAILAND
Conformant
Tin
Tin Technology & Refining
UNITED STATES OF AMERICA
Conformant
Tin
Tuyen Quang Non-Ferrous Metals Joint Stock Company
VIETNAM
Not Enrolled
Tin
White Solder Metalurgia e Mineração Ltda.
BRAZIL
Conformant
Tin
Yunnan Chengfeng Non-ferrous Metals Co., Ltd.
CHINA
Conformant
Tin
Yunnan Tin Company Limited
CHINA
Conformant
Tungsten
A.L.M.T. TUNGSTEN Corp.
JAPAN
Conformant
Tungsten
ACL Metais Eireli
BRAZIL
Conformant
Tungsten
Asia Tungsten Products Vietnam Ltd.
VIETNAM
Conformant
Tungsten
Chenzhou Diamond Tungsten Products Co., Ltd.
CHINA
Conformant
Tungsten
Chongyi Zhangyuan Tungsten Co., Ltd.
CHINA
Conformant
Tungsten
Fujian Jinxin Tungsten Co., Ltd.
CHINA
Conformant
Tungsten
Ganzhou Haichuang Tungsten Co., Ltd.
CHINA
Conformant
Tungsten
Ganzhou Huaxing Tungsten Products Co., Ltd.
CHINA
Conformant





Metal
 Standard Smelter or Refiner Name
Facility Location
RMI Audit Status
Tungsten
Ganzhou Jiangwu Ferrotungsten Co., Ltd.
CHINA
Conformant
Tungsten
Ganzhou Seadragon W & Mo Co., Ltd.
CHINA
Conformant
Tungsten
Global Tungsten & Powders Corp.
UNITED STATES
Conformant
Tungsten
Guangdong Xianglu Tungsten Co., Ltd.
CHINA
Conformant
Tungsten
H.C. Starck Smelting GmbH & Co.KG
GERMANY
Conformant
Tungsten
H.C. Starck Tungsten GmbH
GERMANY
Conformant
Tungsten
Hunan Chenzhou Mining Co., Ltd.
CHINA
Conformant
Tungsten
Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji
CHINA
Conformant
Tungsten
Hunan Chunchang Nonferrous Metals Co., Ltd.
CHINA
Conformant
Tungsten
Hunan Litian Tungsten Industry Co., Ltd.
CHINA
Active
Tungsten
Hydrometallurg, JSC
RUSSIAN FEDERATION
Conformant
Tungsten
Japan New Metals Co., Ltd.
JAPAN
Conformant
Tungsten
Jiangwu H.C. Starck Tungsten Products Co., Ltd.
CHINA
Conformant
Tungsten
Jiangxi Dayu Longxintai Tungsten Co., Ltd.
CHINA
Not Enrolled
Tungsten
Jiangxi Gan Bei Tungsten Co., Ltd.
CHINA
Conformant
Tungsten
Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.
CHINA
Not Enrolled
Tungsten
Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.
CHINA
Conformant
Tungsten
Jiangxi Xinsheng Tungsten Industry Co., Ltd.
CHINA
Conformant
Tungsten
Jiangxi Yaosheng Tungsten Co., Ltd.
CHINA
Conformant
Tungsten
Kennametal Fallon
UNITED STATES
Conformant
Tungsten
Kennametal Huntsville
UNITED STATES
Conformant
Tungsten
Malipo Haiyu Tungsten Co., Ltd.
CHINA
Conformant
Tungsten
Moliren Ltd
RUSSIAN FEDERATION
Conformant
Tungsten
Niagara Refining LLC
UNITED STATES
Conformant
Tungsten
Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC
VIETNAM
Conformant
Tungsten
Philippine Chuangxin Industrial Co., Inc.
PHILIPPINES
Conformant
Tungsten
South-East Nonferrous Metal Company Limited of Hengyang City
CHINA
Conformant
Tungsten
Tejing (Vietnam) Tungsten Co., Ltd.
VIETNAM
Conformant
Tungsten
Unecha Refractory metals plant
RUSSIAN FEDERATION
Conformant
Tungsten
Wolfram Bergbau und Hütten AG
AUSTRIA
Conformant
Tungsten
Woltech Korea Co., Ltd.
KOREA, REPUBLIC OF
Conformant
Tungsten
Xiamen Tungsten (H.C.) Co., Ltd.
CHINA
Conformant
Tungsten
Xiamen Tungsten Co., Ltd.
CHINA
Conformant
Tungsten
Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.
CHINA
Conformant
Tungsten
Xinhai Rendan Shaoguan Tungsten Co., Ltd.
CHINA
Conformant