EX-1.01 2 d933627dex101.htm EX-1.01 EX-1.01

Exhibit 1.01

 

LOGO

Dover Corporation

Conflict Minerals Report

For the Year Ended December 31, 2014

The Company has made statements in this Conflict Minerals Report that may constitute forward-looking statements about its plans to take additional actions or to implement additional policies or procedures with respect to its “reasonable country of origin inquiry” and due diligence to determine the origin of Conflict Minerals included in the Company products. The Company undertakes no obligation to update or revise any forward-looking statement, whether as a result of new information, future events or otherwise. The Company’s reporting obligations under the Dodd-Frank Act may change in the future, and its ability to implement certain processes may differ materially from those anticipated or implied in this report. Additionally, the Company relies on its direct material suppliers, which may be many steps removed from smelters or refiners of Conflict Minerals in supply chains, for information required to meet its reporting obligations. There can be no assurance that the information received from its direct suppliers will be complete and accurate or that when the Company receives such information, it will be able to make a determination as to whether the products manufactured contain Conflict Minerals originating in certain countries in support of armed groups operating in those countries.

This report for the year ended December 31, 2014 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 (the “SEC”) to implement reporting and disclosure requirements related to conflict minerals as directed by Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the “Dodd-Frank Act”). The Rule imposes certain reporting obligations on SEC registrants whose manufactured products contain conflict minerals that 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, tungsten, and gold.

Based on information received to date, Dover Corporation (“Dover” or the “Company”) is unable to conclude whether the Conflict Minerals used in its products may have originated from the Democratic Republic of the Congo (the “DRC”) or adjoining countries (collectively, the DRC and adjoining countries are the “Covered Countries”) in circumstances that support armed groups in the region.

The information contained in this report is not audited.

The Company conducted a Reasonable Country of Origin Inquiry (“RCOI”) concerning Conflict Minerals included in its products.

 

1


1. Products. The Company’s products include a variety of industrial equipment as outlined below. These products, along with their manufacturing locations, are more fully described on its website, www.DoverCorporation.com.

Energy. Drilling and production equipment manufactured by the Company’s Energy segment includes tantalum, tin and gold associated with electronic components. Tantalum and tungsten may be included in drilling and production products where required for hardness.

Engineered Systems. Products in the Company’s Engineered Systems segment include electronic components that incorporate tantalum, tin and gold. Other product lines incorporate tungsten and tantalum where required for durability or strength.

Fluids. Products in the Company’s Fluids segment include electronic components that incorporate tantalum, tin and gold. Product lines incorporate tungsten and tantalum, as in the pump product lines, where required for durability.

Refrigeration and Food Equipment. Products manufactured in the Company’s Refrigeration and Food Equipment segment include electronic components that incorporate tantalum, tin and gold. Lighting in the refrigeration and food equipment may include tungsten. Other industrial product lines may include tantalum and tungsten where required for durability.

2. Policy. The Company has adopted a “conflict free” supply chain policy. The policy has been communicated to suppliers through the Company’s Supplier Code of Conduct and through its efforts to implement related terms and conditions in supplier contracts. The policy is available on the Company’s website at: http://www.dovercorporation.com/File%20Library/pdf/Conflict-Minerals-Policy-2014-01.pdf

3. Design of the Due Diligence Process.

The Company has undertaken to identify and assess the conflict mineral risk in its supply chain in accordance with The Organization for Economic Co-operation and Development (OECD) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High Risk Areas, including the Supplement on Tin, Tantalum and Tungsten, and the Supplement on Gold (the “OECD Guidance”) and in accordance with the requirements of the Dodd-Frank Act. The Company’s activities are described in the five steps outlined in that OECD Guidance:

Step 1. Establish Strong Company Management Systems.

In 2013, the Company appointed a steering committee within Dover to oversee the implementation of the OECD Guidance. To manage the day-to-day administration of the RCOI process, the Company appointed a separate Conflict Minerals team. The Company retained a major accounting firm to assist it in the preliminary planning and initial execution of its RCOI in accordance with the standards set forth in the OECD

 

2


Guidance, and selected, developed and implemented a survey tool and database functionality that allows it to receive, review and report on the results of its survey process. The Company has implemented a process to retain the information obtained through the survey tool for a period of not less than five years.

Step 2. Identify and Assess Risks in the Supply Chain

The Conflict Minerals team engaged with operating company supply chain, operations and engineering personnel to determine the applicable categories of purchasing activity and to identify parts, materials and components which its operating companies reasonably expected may contain Conflict Minerals or where mineral content is unknown.

The Company has issued surveys to suppliers of parts, materials and components that potentially include Conflict Minerals based on classifications in the Company’s spend management system and information available through supply chain and engineering personnel. The Company followed up on survey responses that had discrepancies or did not address the survey questions.

In many cases, suppliers were unable to identify the smelters or countries of origin in their supply chain. Many suppliers responded to the survey at the company level, by providing information related to all of the items the supplier produces, without identifying smelters specific to the items purchased by the Company.

In three instances, suppliers listed in their survey responses smelters located in the Covered Countries, and in each case, the identified smelters are included in the list of smelters that are compliant with the “Conflict Free Smelter Program” of the Electronic Industry Citizenship Coalition (“EICC”).

The Company has identified 241 smelters with EICC smelter identification numbers (the “EICC List”) from the information provided by its suppliers. It has also received over 1,000 names of entities identified by suppliers as “smelters” but do not appear on the EICC List. The information provided for these entities is not adequate for the Company to verify that the identified entities are, in fact, smelters.

A number of suppliers have identified that the Conflict Minerals included in their products come from recycled sources, but generally could not certify that all of the Conflict Minerals used come from recycled sources.

The Company relies on its suppliers to conduct the intermediate due diligence of second, third or lower level suppliers, and based on the responses from suppliers in its inquiry, suppliers have not received sufficient information to be able to complete those inquiries to date.

Step 3. Design and Implement a Strategy to Respond to Identified Risks.

The Company’s management is briefed on the status of due diligence efforts on a regular basis. The Company’s Conflict Minerals Policy has been distributed to the

 

3


operating companies in each of the Company’s four segments and is being incorporated into contracts and purchase orders. The Company has developed a risk management plan that outlines the Company’s response to any identified risks related to sourcing of materials from the Covered Countries, although the Company is currently not aware of any circumstance where it has been necessary to consider implementing those risk mitigation efforts, and has not suspended trade or disengaged from a supplier. Where suppliers have not been able to provide information on smelters, the Company may have a risk that the smelters used by such suppliers are not compliant with its policy.

Step 4. Carry Out an Independent Third-Party Audit of Smelter’s or Refiner’s Due Diligence Practices.

The Company currently does not engage in independent auditing of smelters or refiners identified in its supply chain. The Company is a member of the Conflict Free Smelter Initiative (“CFSI”) and supports the efforts of that organization through its financial support.

Step 5. Report Annually on Supply Chain Due Diligence.

This Conflict Mineral Report constitutes our annual report on the Conflict Minerals due diligence of the Company. A copy of this Conflict Minerals Report is available on the Dover Corporation website at http://www.dovercorporation.com/globalnavigation/about-dover/governance/conflict-minerals.

4. Results of the Company’s Due Diligence to Date1. Dover’s survey tool was developed, piloted and deployed during the 2013 calendar year. Surveys of operating company suppliers were conducted beginning in 2013 and have continued through 2015. In conducting a “Reasonable Country of Origin Inquiry” through March 31, 2015, the Company has reviewed and determined applicability of the RCOI process for suppliers who account for about 34% of its annualized spend. Where suppliers were determined to be in scope for the RCOI process, the Company has received responses back from about 69% of those suppliers surveyed. Of those suppliers responding, (i) 36% have advised that the products purchased from them do not contain Conflict Minerals; (ii) another 39% have indicated that their products contain Conflict Minerals but those suppliers cannot yet determine whether those Conflict Minerals originate in the Covered Countries; (iii) 7% are uncertain about whether Conflict Minerals are included in their products they provide; and (iv) 18% have advised that the Conflict Minerals included in their products do not originate in the Covered Countries.

Many suppliers are responding to surveys providing information for Conflict Mineral content and smelters for all products they sell, without distinguishing those contents or smelters applicable to the products purchased by the Company from them. Accordingly, Dover is unable to determine specific smelters or sources that may be included in the products purchased from those suppliers. The Company continues to issue surveys to suppliers and to follow-up on the information received in response to surveys.

 

1  Supplier responses include surveys issued and answers received by the Company in 2013 and through March 31, 2015. In determining spend, the Company has considered internal information through March 2015, for spend incurred in calendar year 2014, not including entities discontinued in 2014 and 2015.

 

4


The Company’s suppliers have provided information on smelters as part of surveys. Because the Company is a number of steps removed from the smelter sources and its suppliers are unable to link any specific smelter to the products and materials provided by those suppliers to the Company, the Company is unable to confirm that any of the smelter names provided are, in fact, sources of Conflict Minerals in the Company’s products. Based on these survey responses through March 31, 2015, the Company has identified 241 smelters from the EICC List, of which 124 have been determined to be compliant by the CFSI. Such smelters are included in the list attached as Annex A to this Report. Suppliers have also provided over 1,000 names that the suppliers describe as “smelters” but could not be linked to smelters on the EICC list, and may not, in fact, be smelters.

Dover is unable to determine where the Conflict Minerals included in its supply chain originate. As a result, Dover is unable to make a determination as to whether the Conflict Minerals include in its supply chain financed or benefited armed groups in the Covered Countries, or came from recycled or scrap sources, or to discern which of the identified facilities (smelters or refiners) process such Conflict Minerals.

Because the Company is several steps removed from smelters and mines, the Company must rely on its supply chain to complete their own due diligence on country of origin.

5. Additional Steps of the Company to Mitigate Risks and Improve Due Diligence.

The Company, through members of its Conflict Minerals team, participates in industry-wide programs to facilitate sharing of information about smelter programs and conflict-free sourcing, including the CFSI.

The Company has considered processes for corrective actions including remediation or termination that may be taken where suppliers identify problematic sources of Conflict Minerals during the survey process. For specific suppliers, corrective actions may depend on factors such as vendor size, risk level and vendor capabilities, and on the Company’s ability to meet quality control requirements associated with customer specifications. To date, the Company has not undertaken remediation with any supplier. Because the Company is a number of steps removed from smelters within its supply chain, lack of information from suppliers on smelters continues to be a risk that the Company seeks to address.

The Company continues to implement Conflict Minerals contract clauses where appropriate for its suppliers. Those clauses are implemented on a going-forward basis. The Company’s Supplier Code of Conduct includes Conflict Minerals reporting requirements and its operating companies are communicating these changes to the supply chain.

 

5


ANNEX A

 

Metal

  

Smelter Reference List

  

Smelter Name

  

Smelter Country

  

EICC Smelter

Identification

Gold    Advanced Chemical Company    Advanced Chemical Company    UNITED STATES    CID000015
Gold    Aida Chemical Industries Co. Ltd.    Aida Chemical Industries Co. Ltd.    JAPAN    CID000019
Gold    Almalyk Mining and Metallurgical Complex (AMMC)    Almalyk Mining and Metallurgical Complex (AMMC)    UZBEKISTAN    CID000041
Gold    AngloGold Ashanti Córrego do Sítio Minerção    AngloGold Ashanti Córrego do Sítio Minerção    BRAZIL    CID000058
Gold    Argor-Heraeus SA    Argor-Heraeus SA    SWITZERLAND    CID000077
Gold    Asahi Pretec Corporation    Asahi Pretec Corporation    JAPAN    CID000082
Gold    Asaka Riken Co Ltd    Asaka Riken Co Ltd    JAPAN    CID000090
Gold    Atasay Kuyumculuk Sanayi Ve Ticaret A.S.    Atasay Kuyumculuk Sanayi Ve Ticaret A.S.    TURKEY    CID000103
Gold    Aurubis AG    Aurubis AG    GERMANY    CID000113
Gold    Bangko Sentral ng Pilipinas (Central Bank of the Philippines)    Bangko Sentral ng Pilipinas (Central Bank of the Philippines)    PHILIPPINES    CID000128
Gold    Bauer Walser AG    Bauer Walser AG    GERMANY    CID000141
Gold    Boliden AB    Boliden AB    SWEDEN    CID000157
Gold    C. Hafner GmbH + Co. KG    C. Hafner GmbH + Co. KG    GERMANY    CID000176
Gold    Caridad    Caridad    MEXICO    CID000180
Gold    CCR Refinery – Glencore Canada Corporation    CCR Refinery – Glencore Canada Corporation    CANADA    CID000185
Gold    Cendres & Métaux SA    Cendres + Métaux SA    SWITZERLAND    CID000189
Gold    Yunnan Copper Industry Co Ltd    Yunnan Copper Industry Co Ltd    CHINA    CID000197
Gold    Chimet S.p.A.    Chimet S.p.A.    ITALY    CID000233
Gold    China National Gold Group Corporation    China National Gold Group Corporation    CHINA    CID000242
Gold    Chugai Mining    Chugai Mining    JAPAN    CID000264
Gold    Colt Refining    Colt Refining    UNITED STATES    CID000288

 

6


Metal

  

Smelter Reference List

  

Smelter Name

  

Smelter Country

  

EICC Smelter

Identification

Gold    Daejin Indus Co. Ltd    Daejin Indus Co. Ltd    KOREA, REPUBLIC OF    CID000328
Gold    Daye Non-Ferrous Metals Mining Ltd.    Daye Non-Ferrous Metals Mining Ltd.    CHINA    CID000343
Gold    Do Sung Corporation    Do Sung Corporation    KOREA, REPUBLIC OF    CID000359
Gold    Doduco    Doduco    GERMANY    CID000362
Gold    Dowa    Dowa    JAPAN    CID000401
Gold    Eco-System Recycling Co., Ltd.    Eco-System Recycling Co., Ltd.    JAPAN    CID000425
Gold    FSE Novosibirsk Refinery    FSE Novosibirsk Refinery    RUSSIAN FEDERATION    CID000493
Gold    Gansu Seemine Material Hi-Tech Co Ltd    Gansu Seemine Material Hi-Tech Co Ltd    CHINA    CID000522
Gold    Hangzhou Fuchunjiang Smelting Co., Ltd.    Hangzhou Fuchunjiang Smelting Co., Ltd.    CHINA    CID000671
Gold    Heimerle + Meule GmbH    Heimerle + Meule GmbH    GERMANY    CID000694
Gold    Heraeus Precious Metals GmbH & Co. KG    Heraeus Precious Metals GmbH & Co. KG    GERMANY    CID000711
Gold    Hunan Chenzhou Mining Group Co., Ltd.    Hunan Chenzhou Mining Group Co., Ltd.    CHINA    CID000767
Gold    Hunan Chenzhou Mining Industry Group    Hunan Chenzhou Mining Group Co., Ltd.    CHINA    CID000767
Gold    Hwasung CJ Co. Ltd    Hwasung CJ Co. Ltd    KOREA, REPUBLIC OF    CID000778
Gold    Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited    Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited    CHINA    CID000801
Gold    Ishifuku Metal Industry Co., Ltd.    Ishifuku Metal Industry Co., Ltd.    JAPAN    CID000807
Gold    Istanbul Gold Refinery    Istanbul Gold Refinery    TURKEY    CID000814
Gold    Japan Mint    Japan Mint    JAPAN    CID000823
Gold    Jiangxi Copper Company Limited    Jiangxi Copper Company Limited    CHINA    CID000855
Gold    Johnson Matthey Inc    Johnson Matthey Inc    UNITED STATES    CID000920
Gold    Johnson Matthey Ltd    Johnson Matthey Ltd    CANADA    CID000924

 

7


Metal

  

Smelter Reference List

  

Smelter Name

  

Smelter Country

  

EICC Smelter

Identification

Gold    JSC Ekaterinburg Non-Ferrous Metal Processing Plant    JSC Ekaterinburg Non-Ferrous Metal Processing Plant    RUSSIAN FEDERATION    CID000927
Gold    JSC Uralectromed    JSC Uralelectromed    RUSSIAN FEDERATION    CID000929
Gold    JSC Uralelectromed    JSC Uralelectromed    RUSSIAN FEDERATION    CID000929
Gold    JX Nippon Mining & Metals Co., Ltd.    JX Nippon Mining & Metals Co., Ltd.    JAPAN    CID000937
Gold    Kazzinc Ltd    Kazzinc Ltd    KAZAKHSTAN    CID000957
Gold    Kennecott Utah Copper LLC    Kennecott Utah Copper LLC    UNITED STATES    CID000969
Gold    Korea Metal Co. Ltd    Korea Metal Co. Ltd    KOREA, REPUBLIC OF    CID000988
Gold    Kyrgyzaltyn JSC    Kyrgyzaltyn JSC    KYRGYZSTAN    CID001029
Gold    L’ azurde Company For Jewelry    L’ azurde Company For Jewelry    SAUDI ARABIA    CID001032
Gold    Lingbao Gold Company Limited    Lingbao Gold Company Limited    CHINA    CID001056
Gold    Lingbao Jinyuan Tonghui Refinery Co. Ltd.    Lingbao Jinyuan Tonghui Refinery Co. Ltd.    CHINA    CID001058
Gold    Luoyang Zijin Yinhui Metal Smelt Co Ltd    Luoyang Zijin Yinhui Metal Smelt Co Ltd    CHINA    CID001093
Gold    Materion    Materion    UNITED STATES    CID001113
Gold    Metalor Technologies (Hong Kong) Ltd    Metalor Technologies (Hong Kong) Ltd    HONG KONG    CID001149
Gold    Metalor Technologies (Singapore) Pte. Ltd.    Metalor Technologies (Singapore) Pte. Ltd.    SINGAPORE    CID001152
Gold    Metalor Technologies SA    Metalor Technologies SA    SWITZERLAND    CID001153
Gold    Metalor USA Refining Corporation    Metalor USA Refining Corporation    UNITED STATES    CID001157
Gold    Met-Mex Peñoles, S.A.    Met-Mex Peñoles, S.A.    MEXICO    CID001161
Gold    Mitsui Mining and Smelting Co., Ltd.    Mitsui Mining and Smelting Co., Ltd.    JAPAN    CID001193
Gold    Moscow Special Alloys Processing Plant    Moscow Special Alloys Processing Plant    RUSSIAN FEDERATION    CID001204
Gold    Nadir Metal Rafineri San. Ve Tic. A.Ş.    Nadir Metal Rafineri San. Ve Tic. A.Ş.    TURKEY    CID001220

 

8


Metal

  

Smelter Reference List

  

Smelter Name

  

Smelter Country

  

EICC Smelter

Identification

Gold    Navoi Mining and Metallurgical Combinat    Navoi Mining and Metallurgical Combinat    UZBEKISTAN    CID001236
Gold    Nihon Material Co. LTD    Nihon Material Co. LTD    JAPAN    CID001259
Gold    Ohura Precious Metal Industry Co., Ltd    Ohura Precious Metal Industry Co., Ltd    JAPAN    CID001325
Gold    OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastvetmet)    OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastvetmet)    RUSSIAN FEDERATION    CID001326
Gold    OJSC Kolyma Refinery    OJSC Kolyma Refinery    RUSSIAN FEDERATION    CID001328
Gold    PAMP SA    PAMP SA    SWITZERLAND    CID001352
Gold    Penglai Penggang Gold Industry Co Ltd    Penglai Penggang Gold Industry Co Ltd    CHINA    CID001362
Gold    Prioksky Plant of Non-Ferrous Metals    Prioksky Plant of Non-Ferrous Metals    RUSSIAN FEDERATION    CID001386
Gold    PT Aneka Tambang (Persero) Tbk    PT Aneka Tambang (Persero) Tbk    INDONESIA    CID001397
Gold    PX Précinox SA    PX Précinox SA    SWITZERLAND    CID001498
Gold    Rand Refinery (Pty) Ltd    Rand Refinery (Pty) Ltd    SOUTH AFRICA    CID001512
Gold    Royal Canadian Mint    Royal Canadian Mint    CANADA    CID001534
Gold    Sabin Metal Corp.    Sabin Metal Corp.    UNITED STATES    CID001546
Gold    Samduck Precious Metals    Samduck Precious Metals    KOREA, REPUBLIC OF    CID001555
Gold    SAMWON METALS Corp.    SAMWON METALS Corp.    KOREA, REPUBLIC OF    CID001562
Gold    Schone Edelmetaal    Schone Edelmetaal    NETHERLANDS    CID001573
Gold    SEMPSA Joyería Platería SA    SEMPSA Joyería Platería SA    SPAIN    CID001585
Gold    Shandong Zhaojin Gold & Silver Refinery Co. Ltd    Shandong Zhaojin Gold & Silver Refinery Co. Ltd    CHINA    CID001622
Gold    So Accurate Group, Inc.    So Accurate Group, Inc.    UNITED STATES    CID001754
Gold    SOE Shyolkovsky Factory of Secondary Precious Metals    SOE Shyolkovsky Factory of Secondary Precious Metals    RUSSIAN FEDERATION    CID001756
Gold    Solar Applied Materials Technology Corp.    Solar Applied Materials Technology Corp.    TAIWAN    CID001761
Gold    Sumitomo Metal Mining Co., Ltd.    Sumitomo Metal Mining Co., Ltd.    JAPAN    CID001798

 

9


Metal

  

Smelter Reference List

  

Smelter Name

  

Smelter Country

  

EICC Smelter

Identification

Gold    Tanaka Kikinzoku Kogyo K.K.    Tanaka Kikinzoku Kogyo K.K.    JAPAN    CID001875
Gold    The Great Wall Gold and Silver Refinery of China    The Great Wall Gold and Silver Refinery of China    CHINA    CID001909
Gold    The Refinery of Shandong Gold Mining Co. Ltd    The Refinery of Shandong Gold Mining Co. Ltd    CHINA    CID001916
Gold    Torecom    Torecom    KOREA, REPUBLIC OF    CID001955
Gold    Umicore Brasil Ltda    Umicore Brasil Ltda    BRAZIL    CID001977
Gold    Umicore SA Business Unit Precious Metals Refining    Umicore SA Business Unit Precious Metals Refining    BELGIUM    CID001980
Gold    United Precious Metal Refining, Inc.    United Precious Metal Refining, Inc.    UNITED STATES    CID001993
Gold    Valcambi SA    Valcambi SA    SWITZERLAND    CID002003
Gold    Western Australian Mint trading as The Perth Mint    Western Australian Mint trading as The Perth Mint    AUSTRALIA    CID002030
Gold    YAMAMOTO PRECIOUS METAL CO., LTD.    YAMAMOTO PRECIOUS METAL CO., LTD.    JAPAN    CID002100
Gold    Yokohama Metal Co Ltd    Yokohama Metal Co Ltd    JAPAN    CID002129
Gold    Zhongyuan Gold Smelter of Zhongjin Gold Corporation    Zhongyuan Gold Smelter of Zhongjin Gold Corporation    CHINA    CID002224
Gold    Zijin Mining Group Co. Ltd    Zijin Mining Group Co. Ltd    CHINA    CID002243
Gold    Guangdong Jinding Gold Limited    Guangdong Jinding Gold Limited    CHINA    CID002312
Gold    Umicore Precious Metals Thailand    Umicore Precious Metals Thailand    THAILAND    CID002314
Tantalum    Changsha South Tantalum Niobium Co., Ltd.    Changsha South Tantalum Niobium Co., Ltd.    CHINA    CID000211
Tantalum    Conghua Tantalum and Niobium Smeltry    Conghua Tantalum and Niobium Smeltry    CHINA    CID000291
Tantalum    Duoluoshan    Duoluoshan    CHINA    CID000410
Tantalum    Exotech Inc.    Exotech Inc.    UNITED STATES    CID000456

 

10


Metal

  

Smelter Reference List

  

Smelter Name

  

Smelter Country

  

EICC Smelter

Identification

Tantalum    F&X Electro-Materials Ltd.    F&X Electro-Materials Ltd.    CHINA    CID000460
Tantalum    Guangdong Zhiyuan New Material Co., Ltd.    Guangdong Zhiyuan New Material Co., Ltd.    CHINA    CID000616
Tantalum    Hi-Temp    Hi-Temp    UNITED STATES    CID000731
Tantalum    Jiujiang Tanbre Co., Ltd.    Jiujiang Tanbre Co., Ltd.    CHINA    CID000917
Tantalum    King-Tan Tantalum Industry Ltd    King-Tan Tantalum Industry Ltd    CHINA    CID000973
Tantalum    LSM Brasil S.A.    LSM Brasil S.A.    BRAZIL    CID001076
Tantalum    Metallurgical Products India (Pvt.) Ltd.    Metallurgical Products India (Pvt.) Ltd.    INDIA    CID001163
Tantalum    Mineração Taboca S.A.    Mineração Taboca S.A.    BRAZIL    CID001175
Tantalum    Mitsui Mining & Smelting    Mitsui Mining & Smelting    JAPAN    CID001192
Tantalum    Molycorp Silmet A.S.    Molycorp Silmet A.S.    ESTONIA    CID001200
Tantalum    Ningxia Orient Tantalum Industry Co., Ltd.    Ningxia Orient Tantalum Industry Co., Ltd.    CHINA    CID001277
Tantalum    QuantumClean    QuantumClean    UNITED STATES    CID001508
Tantalum    RFH    RFH Tantalum Smeltry Co., Ltd    CHINA    CID001522
Tantalum    RFH Tantalum Smeltry Co., Ltd    RFH Tantalum Smeltry Co., Ltd    CHINA    CID001522
Tantalum    Shanghai Jiangxi Metals Co. Ltd    Shanghai Jiangxi Metals Co. Ltd    CHINA    CID001634
Tantalum    Solikamsk Magnesium Works OAO    Solikamsk Magnesium Works OAO    RUSSIAN FEDERATION    CID001769
Tantalum    Solikamsk Metal Works    Solikamsk Magnesium Works OAO    RUSSIAN FEDERATION    CID001769
Tantalum    Taki Chemicals    Taki Chemicals    JAPAN    CID001869
Tantalum    Telex    Telex    UNITED STATES    CID001891
Tantalum    Ulba    Ulba    KAZAKHSTAN    CID001969
Tantalum    Zhuzhou Cement Carbide    Zhuzhou Cement Carbide    CHINA    CID002232
Tantalum    Yichun Jin Yang Rare Metal Co., Ltd    Yichun Jin Yang Rare Metal Co., Ltd    CHINA    CID002307
Tantalum    Hengyang King Xing Lifeng New Materials Co., Ltd.    Hengyang King Xing Lifeng New Materials Co., Ltd.    CHINA    CID002492

 

11


Metal

  

Smelter Reference List

  

Smelter Name

  

Smelter Country

  

EICC Smelter

Identification

Tantalum    KEMET Blue Metals    KEMET Blue Metals    MEXICO    CID002539
Tantalum    H.C. Starck Co., Ltd.    H.C. Starck Co., Ltd.    THAILAND    CID002544
Tantalum    H.C. Starck GmbH Goslar    H.C. Starck GmbH Goslar    GERMANY    CID002545
Tantalum    H.C. Starck Inc.    H.C. Starck Inc.    UNITED STATES    CID002548
Tantalum    KEMET Blue Powder    KEMET Blue Powder    UNITED STATES    CID002568
Tin    China Rare Metal Materials Company    China Rare Metal Materials Company    CHINA    CID000244
Tin    CNMC (Guangxi) PGMA Co. Ltd.    CNMC (Guangxi) PGMA Co. Ltd.    CHINA    CID000278
Tin    Alpha    Alpha    UNITED STATES    CID000292
Tin    Cookson    Alpha    UNITED STATES    CID000292
Tin    Cooper Santa    Cooper Santa    BRAZIL    CID000295
Tin    CV Gita Pesona    CV Gita Pesona    INDONESIA    CID000306
Tin    CV JusTindo    CV JusTindo    INDONESIA    CID000307
Tin    CV Makmur Jaya    CV Makmur Jaya    INDONESIA    CID000308
Tin    CV Nurjanah    CV Nurjanah    INDONESIA    CID000309
Tin    CV Serumpun Sebalai    CV Serumpun Sebalai    INDONESIA    CID000313
Tin    CV United Smelting    CV United Smelting    INDONESIA    CID000315
Tin    Dowa    Dowa    JAPAN    CID000402
Tin    EM Vinto    EM Vinto    BOLIVIA    CID000438
Tin    Estanho de Rondônia S.A.    Estanho de Rondônia S.A.    BRAZIL    CID000448
Tin    Fenix Metals    Fenix Metals    POLAND    CID000468
Tin    Gejiu Non-Ferrous Metal Processing Co. Ltd.    Gejiu Non-Ferrous Metal Processing Co. Ltd.    CHINA    CID000538
Tin    Gejiu Zi-Li    Gejiu Zi-Li    CHINA    CID000555
Tin    Huichang Jinshunda Tin Co. Ltd    Huichang Jinshunda Tin Co. Ltd    CHINA    CID000760
Tin    Jiangxi Nanshan    Jiangxi Nanshan    CHINA    CID000864
Tin    Gejiu Kai Meng Industry and Trade LLC    Gejiu Kai Meng Industry and Trade LLC    CHINA    CID000942
Tin    Kai Unita Trade Limited Liability Company    Gejiu Kai Meng Industry and Trade LLC    CHINA    CID000942
Tin    Linwu Xianggui Smelter Co    Linwu Xianggui Smelter Co    CHINA    CID001063
Tin    China Tin Group Co., Ltd.    China Tin Group Co., Ltd.    CHINA    CID001070
Tin    Liuzhou China Tin    China Tin Group Co., Ltd.    CHINA    CID001070

 

12


Metal

  

Smelter Reference List

  

Smelter Name

  

Smelter Country

  

EICC Smelter

Identification

Tin    Malaysia Smelting Corporation (MSC)    Malaysia Smelting Corporation (MSC)    MALAYSIA    CID001105
Tin    Metallo Chimique    Metallo Chimique    BELGIUM    CID001143
Tin    Mineração Taboca S.A.    Mineração Taboca S.A.    BRAZIL    CID001173
Tin    Minsur    Minsur    PERU    CID001182
Tin    FSE Novosibirsk Refinery    Novosibirsk Integrated Tin Works    RUSSIAN FEDERATION    CID001305
Tin    Novosibirsk Integrated Tin Works    Novosibirsk Integrated Tin Works    RUSSIAN FEDERATION    CID001305
Tin    O.M. Manufacturing (Thailand) Co., Ltd.    O.M. Manufacturing (Thailand) Co., Ltd.    THAILAND    CID001314
Tin    OMSA    OMSA    BOLIVIA    CID001337
Tin    PT Alam Lestari Kencana    PT Alam Lestari Kencana    INDONESIA    CID001393
Tin    PT Artha Cipta Langgeng    PT Artha Cipta Langgeng    INDONESIA    CID001399
Tin    PT Babel Inti Perkasa    PT Babel Inti Perkasa    INDONESIA    CID001402
Tin    PT Babel Surya Alam Lestari    PT Babel Surya Alam Lestari    INDONESIA    CID001406
Tin    PT Bangka Kudai Tin    PT Bangka Kudai Tin    INDONESIA    CID001409
Tin    PT Bangka Putra Karya    PT Bangka Putra Karya    INDONESIA    CID001412
Tin    PT Bangka Timah Utama Sejahtera    PT Bangka Timah Utama Sejahtera    INDONESIA    CID001416
Tin    PT Bangka Tin Industry    PT Bangka Tin Industry    INDONESIA    CID001419
Tin    PT Belitung Industri Sejahtera    PT Belitung Industri Sejahtera    INDONESIA    CID001421
Tin    PT BilliTin Makmur Lestari    PT BilliTin Makmur Lestari    INDONESIA    CID001424
Tin    PT Bukit Timah    PT Bukit Timah    INDONESIA    CID001428
Tin    PT DS Jaya Abadi    PT DS Jaya Abadi    INDONESIA    CID001434
Tin    PT Eunindo Usaha Mandiri    PT Eunindo Usaha Mandiri    INDONESIA    CID001438
Tin    PT Fang Di MulTindo    PT Fang Di MulTindo    INDONESIA    CID001442
Tin    PT HP Metals Indonesia    PT HP Metals Indonesia    INDONESIA    CID001445
Tin    PT Karimun Mining    PT Karimun Mining    INDONESIA    CID001448
Tin    PT Koba Tin    PT Koba Tin    INDONESIA    CID001449
Tin    PT Mitra Stania Prima    PT Mitra Stania Prima    INDONESIA    CID001453
Tin    PT Panca Mega Persada    PT Panca Mega Persada    INDONESIA    CID001457

 

13


Metal

  

Smelter Reference List

  

Smelter Name

  

Smelter Country

  

EICC Smelter

Identification

Tin    CV Prima Timah Utama    PT Prima Timah Utama    INDONESIA    CID001458
Tin    PT Prima Timah Utama    PT Prima Timah Utama    INDONESIA    CID001458
Tin    PT REFINED BANGKA TIN    PT REFINED BANGKA TIN    INDONESIA    CID001460
Tin    PT Sariwiguna Binasentosa    PT Sariwiguna Binasentosa    INDONESIA    CID001463
Tin    PT Seirama Tin investment    PT Seirama Tin investment    INDONESIA    CID001466
Tin    PT Stanindo Inti Perkasa    PT Stanindo Inti Perkasa    INDONESIA    CID001468
Tin    PT Sumber Jaya Indah    PT Sumber Jaya Indah    INDONESIA    CID001471
Tin    PT Supra Sukses Trinusa    PT Supra Sukses Trinusa    INDONESIA    CID001476
Tin    PT Tambang Timah    PT Tambang Timah    INDONESIA    CID001477
Tin    Bangka Tin,Mentok,PT Timah (Persero) TBK    PT Timah (Persero), Tbk    INDONESIA    CID001482
Tin    PT Timah    PT Timah (Persero), Tbk    INDONESIA    CID001482
Tin    PT Timah (Persero), Tbk    PT Timah (Persero), Tbk    INDONESIA    CID001482
Tin    PT Pelat Timah Nusantara Tbk    PT Pelat Timah Nusantara Tbk    INDONESIA    CID001486
Tin    PT Timah Nusantara    PT Pelat Timah Nusantara Tbk    INDONESIA    CID001486
Tin    PT Tinindo Inter Nusa    PT Tinindo Inter Nusa    INDONESIA    CID001490
Tin    PT Tommy Utama    PT Tommy Utama    INDONESIA    CID001493
Tin    PT Yinchendo Mining Industry    PT Yinchendo Mining Industry    INDONESIA    CID001494
Tin    Rui Da Hung    Rui Da Hung    TAIWAN    CID001539
Tin    Soft Metais, Ltda.    Soft Metais, Ltda.    BRAZIL    CID001758
Tin    Thaisarco    Thaisarco    THAILAND    CID001898
Tin    White Solder Metalurgia e Mineração Ltda.    White Solder Metalurgia e Mineração Ltda.    BRAZIL    CID002036
Tin    Yunnan Chengfeng Non-ferrous Metals Co.,Ltd.    Yunnan Chengfeng Non-ferrous Metals Co.,Ltd.    CHINA    CID002158
Tin    Yunnan Tin Company, Ltd.    Yunnan Tin Company, Ltd.    CHINA    CID002180
Tin    Magnu’s Minerais Metais e Ligas LTDA    Magnu’s Minerais Metais e Ligas LTDA    BRAZIL    CID002468

 

14


Metal

  

Smelter Reference List

  

Smelter Name

  

Smelter Country

  

EICC Smelter

Identification

Tin    Melt Metais e Ligas S/A    Melt Metais e Ligas S/A    BRAZIL    CID002500
Tin    O.M. Manufacturing Philippines, Inc.    O.M. Manufacturing Philippines, Inc.    PHILIPPINES    CID002517
Tungsten    A.L.M.T. Corp.    A.L.M.T. Corp.    JAPAN    CID000004
Tungsten    ATI Tungsten Materials    Kennametal Huntsville    UNITED STATES    CID000105
Tungsten    Kennametal Huntsville    Kennametal Huntsville    UNITED STATES    CID000105
Tungsten    Guangdong Xianglu Tungsten Co., Ltd.    Guangdong Xianglu Tungsten Co., Ltd.    CHINA    CID000218
Tungsten    Guangdong Xianglu Tungsten Industry Co., Ltd.    Guangdong Xianglu Tungsten Co., Ltd.    CHINA    CID000218
Tungsten    Chongyi Zhangyuan Tungsten Co Ltd    Chongyi Zhangyuan Tungsten Co., Ltd.    CHINA    CID000258
Tungsten    Dayu Weiliang Tungsten Co., Ltd.    Dayu Weiliang Tungsten Co., Ltd.    CHINA    CID000345
Tungsten    Fujian Jinxin Tungsten Co., Ltd.    Fujian Jinxin Tungsten Co., Ltd.    CHINA    CID000499
Tungsten    Hunan Chenzhou Mining Group Co    Hunan Chenzhou Mining Group Co., Ltd.    CHINA    CID000766
Tungsten    Hunan Chenzhou Mining Group Co., Ltd.    Hunan Chenzhou Mining Group Co., Ltd.    CHINA    CID000766
Tungsten    Hunan Chunchang Nonferrous Metals Co., Ltd.    Hunan Chunchang Nonferrous Metals Co., Ltd.    CHINA    CID000769
Tungsten    Hunan Chun-Chang Nonferrous Smelting & Concentrating Co., Ltd.    Hunan Chunchang Nonferrous Metals Co., Ltd.    CHINA    CID000769
Tungsten    Japan New Metals Co Ltd    Japan New Metals Co., Ltd.    JAPAN    CID000825
Tungsten    Ganzhou Non-ferrous Metals Smelting Co., Ltd.    Ganzhou Non-ferrous Metals Smelting Co., Ltd.    CHINA    CID000868
Tungsten    Ganzhou Huaxing Tungsten Products Co., Ltd.    Ganzhou Huaxing Tungsten Products Co., Ltd.    CHINA    CID000875
Tungsten    Kennametal Fallon    Kennametal Fallon    UNITED STATES    CID000966
Tungsten    Vietnam Youngsun Tungsten Industry Co., Ltd    Vietnam Youngsun Tungsten Industry Co., Ltd    VIET NAM    CID002011

 

15


Metal

  

Smelter Reference List

  

Smelter Name

  

Smelter Country

  

EICC Smelter

Identification

Tungsten    Wolfram Bergbau und Hütten AG    Wolfram Bergbau und Hütten AG    AUSTRIA    CID002044
Tungsten    Wolfram Company CJSC    Wolfram Company CJSC    RUSSIAN FEDERATION    CID002047
Tungsten    Xiamen Tungsten Co., Ltd    Xiamen Tungsten Co., Ltd.    CHINA    CID002082
Tungsten    Xinhai Rendan Shaoguan Tungsten Co., Ltd.    Xinhai Rendan Shaoguan Tungsten Co., Ltd.    CHINA    CID002095
Tungsten    Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.    Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.    CHINA    CID002313
Tungsten    Ganzhou Jiangwu Ferrotungsten Co., Ltd.    Ganzhou Jiangwu Ferrotungsten Co., Ltd.    CHINA    CID002315
Tungsten    Jiangxi Yaosheng Tungsten Co., Ltd.    Jiangxi Yaosheng Tungsten Co., Ltd.    CHINA    CID002316
Tungsten    Jiangxi Xinsheng Tungsten Industry Co., Ltd.    Jiangxi Xinsheng Tungsten Industry Co., Ltd.    CHINA    CID002317
Tungsten    Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.    Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.    CHINA    CID002318
Tungsten    Malipo Haiyu Tungsten Co., Ltd.    Malipo Haiyu Tungsten Co., Ltd.    CHINA    CID002319
Tungsten    Xiamen Tungsten (H.C.) Co., Ltd.    Xiamen Tungsten (H.C.) Co., Ltd.    CHINA    CID002320
Tungsten    Jiangxi Gan Bei Tungsten Co., Ltd.    Jiangxi Gan Bei Tungsten Co., Ltd.    CHINA    CID002321
Tungsten    Jiangxi Richsea New Materials Co., Ltd.    Jiangxi Richsea New Materials Co., Ltd.    CHINA    CID002493
Tungsten    Ganzhou Seadragon W & Mo Co., Ltd.    Ganzhou Seadragon W & Mo Co., Ltd.    CHINA    CID002494
Tungsten    H.C. Starck GmbH    H.C. Starck GmbH    GERMANY    CID002541

 

16