0000045876-16-000111.txt : 20160531 0000045876-16-000111.hdr.sgml : 20160531 20160531080800 ACCESSION NUMBER: 0000045876-16-000111 CONFORMED SUBMISSION TYPE: SD PUBLIC DOCUMENT COUNT: 2 13p-1 1.01 20151231 1.02 20151231 FILED AS OF DATE: 20160531 DATE AS OF CHANGE: 20160531 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HARSCO CORP CENTRAL INDEX KEY: 0000045876 STANDARD INDUSTRIAL CLASSIFICATION: FABRICATED STRUCTURAL METAL PRODUCTS [3440] IRS NUMBER: 231483991 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SD SEC ACT: 1934 Act SEC FILE NUMBER: 001-03970 FILM NUMBER: 161683963 BUSINESS ADDRESS: STREET 1: 350 POPLAR CHURCH ROAD CITY: CAMP HILL STATE: PA ZIP: 17011 BUSINESS PHONE: 7177637064 MAIL ADDRESS: STREET 1: 350 POPLAR CHURCH ROAD CITY: CAMP HILL STATE: PA ZIP: 17011 SD 1 formsd-2015xmain.htm SD Document


UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
_____________________________________________
  
FORM SD

Specialized Disclosure Report
_____________________________________________
  
Harsco Corporation
(Exact name of registrant as specified in its charter)
 
 
 
 
 
 
 
Delaware
 
001-03970
 
23-1483991
(State or other jurisdiction
of incorporation)
 
(Commission
File Number)
 
(IRS Employer
Identification No.)
 
 
 
 
350 Poplar Church Road
Camp Hill, Pennsylvania
 
17011
(Address of principal executive offices)
 
(Zip Code)

Russell C. Hochman
 
(717) 763-7064
(Name and telephone number, including area code, of the person to contact in connection with this report.)
Check the appropriate box to indicate the rule pursuant to which this form is being filed, and provide the period to which the information in this form applies:
 
☒      
Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2015.







Section 1 - Conflict Minerals Disclosure
Item 1.01 Conflict Minerals Disclosure and Report
Conflict Minerals Disclosure
In accordance with the disclosure requirements promulgated by the U.S. Securities and Exchange Commission, Harsco Corporation (the “Company”) has undertaken efforts to determine the Company’s conflict minerals1 reporting requirements for the period from January 1 to December 31, 2015.
The Company has filed this Specialized Disclosure Report and the associated Conflict Minerals Report, which appears as Exhibit 1.01 hereto and is publicly available on the Company’s website at http://www.harsco.com/about-us/safety-and-environment.aspx.
Reasonable Country of Origin Inquiry Information
The Company has conducted a good faith reasonable country of origin inquiry (“RCOI”) to determine whether the necessary conflict minerals originated in the DRC or an adjoining country or came from recycled or scrap sources. The Company’s RCOI process included conducting an inquiry of our direct suppliers using the Conflict-Free Sourcing Initiative’s (“CFSI”) Conflict Minerals Reporting Template (“CMRT”). Based on the results of the RCOI which indicated sourcing from the covered countries, the Company exercised due diligence on the source and chain of custody of the conflict minerals in accordance with the Organization for Economic Co-operation and Development (“OECD”) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas2. The due diligence efforts are discussed further in this Conflict Minerals Report.
Item 1.02 Exhibit
The Company’s Conflict Minerals Report is filed as Exhibit 1.01 hereto.
Section 2 - Exhibits
Item 2.01 Exhibits
The following exhibit is filed as part of this report.
Exhibit 1.01 - Harsco Corporation’s Conflict Minerals Report for the period January 1 to December 31, 2015.

___________
1 The term “conflict mineral” is defined in Section 1502(e)(4) of the Dodd-Frank Wall Street Reform and Consumer Protection Act as (A) columbite-tantalite, also known as coltan (the metal ore from which tantalum is extracted); cassiterite (the metal ore from which tin is extracted); gold; wolframite (the metal ore from which tungsten is extracted); or their derivatives; or (B) any other mineral or its derivatives determined by the Secretary of State to be financing conflict in the Democratic Republic of the Congo (“DRC”) or an adjoining country.
2 OECD (2013), OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas: Second Edition, OECD Publishing. http://dx.doi.org/10.1787/9789264185050-en.








*****

SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the duly authorized undersigned.
 
Harsco Corporation
By:
/s/ Russell C. Hochman
 
Date: May 31, 2016
 
Russell C. Hochman
 
 
 
Senior Vice President, General Counsel, Chief Compliance Officer & Corporate Secretary
 
 



 EX-1.01 2 formsd-2015xexhibit101.htm EXHIBIT 1.01 Exhibit
Exhibit 1.01


CONFLICT MINERALS REPORT OF
Harsco Corporation
FOR THE REPORTING PERIOD FROM
JANUARY 1 TO DECEMBER 31, 2015

I.
Introduction
This is the Conflict Minerals1 Report of Harsco Corporation (“we,” “our,” “us,” “Harsco,” or the “Company”) prepared for calendar year 2015 in accordance with Rule 13p-1 (“Rule 13p-1”) under the Securities Exchange Act of 1934 (the “Act”). Numerous terms in this Report are defined in Rule 13p-1 of the Act and Form SD and the reader is referred to those sources, and also to Release No. 34-67716 (August 22, 2012) of the Act (the “Adopting Release”) for such definitions.
In accordance with Rule 13p-1, we undertook efforts to determine the content and source of the minerals within our products. We designed our efforts in conformity with the internationally recognized due diligence framework put forth in the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas2 (“OECD Due Diligence Guidance”) and related Supplements.
The statements below are based on the activities performed to date and in good faith by Harsco and are based on the infrastructure and information available at the time of this filing. Factors that could affect the accuracy of these statements include, but are not limited to, incomplete supplier data or available smelter data, errors or omissions by suppliers or smelters, evolving definition and confirmation of smelters, incomplete information from industry or other third-party sources, continuing guidance regarding the SEC final rules, and other issues.
II.
Overview
Company Profile
Harsco is a diversified, multinational provider of industrial services and engineered products serving global industries that are fundamental to worldwide economic growth and infrastructure development. Harsco has locations in approximately 30 countries, including the United States.
Harsco is subject to this rule as we have determined that, during 2015, conflict minerals were likely necessary to the functionality or production of products Harsco manufactured or contracted to manufacture. Harsco, as a purchaser of component parts, is many steps removed from the mining of conflict minerals. We do not purchase raw ore or unrefined conflict minerals, and we conduct no purchasing activities directly in the covered countries.


1 The term “conflict mineral” is defined in Section 1502(e)(4) of the Dodd-Frank Wall Street Reform and Consumer Protection Act as (A) columbite-tantalite, also known as coltan (the metal ore from which tantalum is extracted); cassiterite (the metal ore from which tin is extracted); gold; wolframite (the metal ore from which tungsten is extracted); or their derivatives; or (B) any other mineral or its derivatives determined by the Secretary of State to be financing conflict in the Democratic Republic of the Congo (“DRC”) or an adjoining country.
2 OECD (2013), OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas: Second Edition, OECD Publishing. http://dx.doi.org/10.1787/9789264185050-en


Exhibit 1.01

Reasonable Country of Origin Inquiry Information
We began our reasonable country of origin inquiry (“RCOI”) by identifying product categories and consumables that may contain conflict minerals. Initial product categories and consumables within this scope included fittings, paint, motors, coatings, air motors, admiralty brass, pipes, welding wire, wire, electrical fittings, lubricants, glass, bushings, electronics, cables, steel parts, fabricated parts, machine parts, castings, hydraulic parts, bearings, power transmissions and tubular parts. Using information derived from Harsco’s procurement systems, supplemented by information supplied by personnel in Harsco’s divisional supply chain, we produced a list of direct suppliers of components and raw materials that may contain conflict minerals. We then conducted a good faith RCOI to determine whether the necessary conflict minerals originated in the DRC or an adjoining country or came from recycled or scrap sources. Our RCOI process included conducting an inquiry of our direct suppliers using the Conflict-Free Sourcing Initiative’s (“CFSI”) Conflict Minerals Reporting Template (“CMRT”). We sent reminders to those suppliers that did not respond to our request to complete a CMRT. Based on the results of our RCOI which indicated sourcing from the covered countries, we exercised due diligence on the source and chain of custody of the conflict minerals in accordance with the OECD framework. Our due diligence efforts are discussed further in this Conflict Minerals Report.
Harsco’s operations fall into three reportable segments: Harsco Metals & Minerals, Harsco Industrial and Harsco Rail.
Due Diligence Program Design
We designed our conflict minerals program to conform, in all material respects, with the five-step framework of the OECD Due Diligence Guidance, the Supplement on Tin, Tantalum, and Tungsten, and the Supplement on Gold, specifically as they relate to our position in the minerals supply chain as a “downstream” company:
Step 1:     Establish strong company management systems
Step 2:     Identify and assess risks in the supply chain
Step 3:     Design and implement a strategy to respond to identified risks
Step 4:    Carry out independent third-party audit of smelter/refiner's due diligence practices
Step 5:     Report annually on supply chain due diligence.

III.
Due Diligence Measures Performed by Harsco
The following describes the measures taken to reasonably determine the country of origin and to exercise due diligence in the mineral supply chain in conformance with the OECD Due Diligence Guidance.
Step 1: Establish strong company management systems
a.
Conflict minerals team - We established a conflict minerals team that includes individuals from the appropriate business units and departments, including compliance, finance, procurement, sales, engineering, and legal. The team was structured to include the involvement from those in management roles to ensure critical information, including Harsco’s conflict minerals policy reached relevant employees and suppliers. We also engaged Crowe Horwath, an international accounting and consulting firm, to assist us with our compliance efforts.
b.
Conflict minerals policy - We adopted and published a policy highlighting our commitment to complying with the reporting and due diligence obligations required by the SEC rule and our expectations from our suppliers. The policy resides on our corporate website (http://www.harsco.com/about-us/safety-and-environment.aspx). It is reviewed annually and will be updated, if necessary.
c.
Internal engagement - We developed a training program for internal use to educate relevant employees on our conflict minerals program and reporting obligations.
d.
Supplier engagement - We communicated our conflict minerals policy and provided educational materials to our queried suppliers. Suppliers were provided information on the conflict minerals disclosure requirements as well as recommendations for developing, implementing, and documenting a conflict minerals compliance program.
e.
Company level grievance mechanism - As recommended by the OECD Due Diligence Guidance, Harsco has established a grievance mechanism as a risk-awareness system for conflict minerals issues. Stakeholders can communicate directly and confidentially with our compliance officer.


Exhibit 1.01

f.
Records management - We maintain records relating to our conflict minerals program in accordance with the recommended record retention guidelines of five years.
Step 2: Identify and assess risks in the supply chain
We performed the following steps as part of our risk assessment process:
a.
Identified products in scope - Our conflict minerals team conducted a detailed review of the products manufactured or contracted to be manufactured during the Reporting Period to identify products that should be deemed in-scope as described by the Adopting Release.
b.
Conducted RCOI - We utilized the industry-developed CMRT to query our suppliers for conflict minerals information. We requested this information from the Tier 1 suppliers who provide material and components for the products deemed in-scope by our conflict minerals team. We evaluated the responses from the templates submitted by our suppliers to determine our reporting obligation based on this RCOI. See Appendix I for a list of countries of origin identified through the RCOI process.
c.
Completed additional follow-up - We contacted direct suppliers that did not respond to our request for conflict minerals information by the requested date. We also worked to clarify and validate the information provided by our suppliers.
d.
Identified smelters or refiners (“SORs”) - We compiled a list of SORs in our supply chain using our supplier’s responses in their CMRTs.
Step 3: Design and implement a strategy to respond to identified risks
We performed the following steps as part of our risk management plan:
a.
Designed and implemented a plan - We used established risk rating criteria to evaluate suppliers based on the responses provided within their CMRT, as well as any additional documentation furnished to support those responses and the suppliers’ due diligence processes. The resulting risk ratings will be used to develop specific supplier outreach and training to address the identified risks and to take corrective actions with suppliers found not in compliance with Harsco’s conflict minerals policy.
b.
Verified SORs - As part of the risk mitigation process, we reconciled the list of SORs collected from suppliers to the list of smelter facilities identified by the CFSI’s Conflict-Free Smelter Program.
Step 4: Carry out independent third-party audit of smelter/refiner's due diligence practices
Harsco relied on published lists from CFSI, London Bullion Market Association (“LBMA”) and Responsible Jewelry Council (“RJC”) to confirm the existence and verify the conflict-free status of SORs identified during our due diligence. 
Step 5: Report annually on supply chain due diligence
Accordingly, this Conflict Minerals Report has been filed with the SEC and is available on our website at http://www.harsco.com/about-us/safety-and-environment.aspx.
IV.
Product Description; Processing Facilities
Product Description - Harsco’s operations fall into three reportable segments: Harsco Metals & Minerals, Harsco Industrial and Harsco Rail.
Harsco Metals & Minerals Segment
The Harsco Metals & Minerals Segment is one of the world's largest providers of on-site services of material logistics, product quality improvement and resource recovery for iron, steel and metals manufacturing. The Minerals business extracts high-value metallic content from stainless steel by-products and also specializes in the development of minerals technologies for commercial applications, including agriculture fertilizers. The Minerals business also produces industrial abrasives and roofing granules from power-plant utility coal slag at a number of locations throughout the U.S. Harsco Minerals' BLACK BEAUTY® abrasives are used for industrial surface preparation, such as rust removal


Exhibit 1.01

and cleaning of bridges, ship hulls and various structures. Roofing granules are sold to residential roofing shingle manufacturers in the U.S., primarily for the replacement roofing market. This business is one of the largest U.S. producers of slag abrasives and residential roofing granules.
Harsco Industrial
The Harsco Industrial Segment includes the Harsco Industrial Air-X-Changers, Harsco Industrial IKG and Harsco Industrial Patterson-Kelley businesses.
Harsco Industrial Air-X-Changers is a leading supplier of custom-engineered and manufactured air-cooled heat exchangers for the natural gas, natural gas processing and petrochemical industries in the U.S. Harsco Industrial Air-X-Changers' heat exchangers are the primary apparatus used to condition natural gas during recovery, compression and transportation from underground reserves through the major pipeline distribution channels.
Harsco Industrial IKG manufactures a varied line of industrial grating products at several plants in the U.S. and international plants located in Mexico and China. These products include a full range of metal bar grating configurations, which are used mainly in industrial flooring, as well as safety and security applications in the energy, paper, chemical, refining and processing industries. Harsco Industrial IKG recently introduced GrateGuardTM, a fencing solution for first-line physical security.
Harsco Industrial Patterson-Kelley is a leading manufacturer of energy-efficient heat transfer products such as boilers and water heaters for commercial and institutional applications.
Harsco Rail
The Harsco Rail Segment is a global provider of equipment, after-market parts and services for the maintenance, repair and construction of railway track. The Segment's equipment and services support private and government-owned railroads and urban transit systems worldwide.
Processing Facilities - Based on our due diligence process and the information received from our suppliers, the following facilities were identified by our suppliers as the smelters and refiners of the tin, tantalum, tungsten and/or gold present in and necessary to the functionality of products manufactured by Harsco in the year ended. The information from our suppliers is still evolving and may contain company level declarations. As such, this smelter list is presented in good faith as the best information we have to date. This list may contain smelters that are not in our supply chain and there may be other smelters not yet identified in our due diligence process. We will continue to update the list as our information and the relevant third-party data from CFSI, LBMA, and RJC improves.
Metal
Standard Smelter Names
Country
Conflict-Free Status
Gold
Advanced Chemical Company
UNITED STATES
Not Determined
Gold
Aida Chemical Industries Co., Ltd.
JAPAN
Conflict-Free
Gold
Aktyubinsk Copper Company TOO
KAZAKHSTAN
Not Determined
Gold
Al Etihad Gold Refinery DMCC
UNITED ARAB EMIRATES
Not Determined
Gold
Allgemeine Gold-und Silberscheideanstalt A.G.
GERMANY
Conflict-Free
Gold
Almalyk Mining and Metallurgical Complex (AMMC)
UZBEKISTAN
Not Determined
Gold
AngloGold Ashanti Córrego do Sítio Mineração
BRAZIL
Conflict-Free
Gold
Argor-Heraeus SA
SWITZERLAND
Conflict-Free
Gold
Asahi Pretec Corporation
JAPAN
Conflict-Free
Gold
Asahi Refining Canada Limited
CANADA
Conflict-Free
Gold
Asahi Refining USA Inc.
UNITED STATES
Conflict-Free
Gold
Asaka Riken Co., Ltd.
JAPAN
Conflict-Free
Gold
Atasay Kuyumculuk Sanayi Ve Ticaret A.S.
TURKEY
Not Determined


Exhibit 1.01

Gold
Aurubis AG
GERMANY
Conflict-Free
Gold
Bangko Sentral ng Pilipinas (Central Bank of the Philippines)
PHILIPPINES
Conflict-Free
Gold
Bauer Walser AG
GERMANY
Not Determined
Gold
Boliden AB
SWEDEN
Conflict-Free
Gold
C. Hafner GmbH + Co. KG
GERMANY
Conflict-Free
Gold
Caridad
MEXICO
Not Determined
Gold
CCR Refinery - Glencore Canada Corporation
CANADA
Conflict-Free
Gold
Cendres + Métaux SA
SWITZERLAND
Not Determined
Gold
Chimet S.p.A.
ITALY
Conflict-Free
Gold
Chugai Mining
JAPAN
Not Determined
Gold
Daejin Indus Co., Ltd.
KOREA, REPUBLIC OF
Not Determined
Gold
Daye Non-Ferrous Metals Mining Ltd.
CHINA
Not Determined
Gold
DODUCO GmbH
GERMANY
Conflict-Free
Gold
Dowa
JAPAN
Conflict-Free
Gold
DSC (Do Sung Corporation)
KOREA, REPUBLIC OF
Not Determined
Gold
Eco-System Recycling Co., Ltd.
JAPAN
Conflict-Free
Gold
Elemetal Refining, LLC
UNITED STATES
Conflict-Free
Gold
Emirates Gold DMCC
UNITED ARAB EMIRATES
Conflict-Free
Gold
Faggi Enrico S.p.A.
ITALY
Not Determined
Gold
Gansu Seemine Material Hi-Tech Co., Ltd.
CHINA
Not Determined
Gold
Geib Refining Corporation
UNITED STATES
Not Determined
Gold
Great Wall Precious Metals Co., Ltd. of CBPM
CHINA
Not Determined
Gold
Guangdong Jinding Gold Limited
CHINA
Not Determined
Gold
Guoda Safina High-Tech Environmental Refinery Co., Ltd.
CHINA
Not Determined
Gold
Hangzhou Fuchunjiang Smelting Co., Ltd.
CHINA
Not Determined
Gold
Heimerle + Meule GmbH
GERMANY
Conflict-Free
Gold
Heraeus Ltd. Hong Kong
CHINA
Conflict-Free
Gold
Heraeus Precious Metals GmbH & Co. KG
GERMANY
Conflict-Free
Gold
Hunan Chenzhou Mining Co., Ltd.
CHINA
Not Determined
Gold
Hwasung CJ Co., Ltd.
KOREA, REPUBLIC OF
Not Determined
Gold
Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited
CHINA
Conflict-Free
Gold
Ishifuku Metal Industry Co., Ltd.
JAPAN
Conflict-Free
Gold
Istanbul Gold Refinery
TURKEY
Conflict-Free
Gold
Japan Mint
JAPAN
Conflict-Free
Gold
Jiangxi Copper Company Limited
CHINA
Conflict-Free
Gold
JSC Ekaterinburg Non-Ferrous Metal Processing Plant
RUSSIAN FEDERATION
Conflict-Free
Gold
JSC Uralelectromed
RUSSIAN FEDERATION
Conflict-Free
Gold
JX Nippon Mining & Metals Co., Ltd.
JAPAN
Conflict-Free
Gold
Kazakhmys Smelting LLC
KAZAKHSTAN
Not Determined
Gold
Kazzinc
KAZAKHSTAN
Conflict-Free
Gold
Kennecott Utah Copper LLC
UNITED STATES
Conflict-Free
Gold
KGHM Polska MiedŸ Spó³ka Akcyjna
POLAND
Not Determined
Gold
Kojima Chemicals Co., Ltd.
JAPAN
Conflict-Free
Gold
Korea Metal Co., Ltd.
KOREA, REPUBLIC OF
Not Determined
Gold
Korea Zinc Co. Ltd.
KOREA, REPUBLIC OF
Not Determined
Gold
Kyrgyzaltyn JSC
KYRGYZSTAN
Not Determined
Gold
Lingbao Gold Company Limited
CHINA
Not Determined


Exhibit 1.01

Gold
Lingbao Jinyuan Tonghui Refinery Co., Ltd.
CHINA
Not Determined
Gold
LS-NIKKO Copper Inc.
KOREA, REPUBLIC OF
Conflict-Free
Gold
Luoyang Zijin Yinhui Gold Refinery Co., Ltd.
CHINA
Not Determined
Gold
Materion
UNITED STATES
Conflict-Free
Gold
Matsuda Sangyo Co., Ltd.
JAPAN
Conflict-Free
Gold
Metahub Industries Sdn. Bhd.
MALAYSIA
Not Determined
Gold
Metalor Technologies (Hong Kong) Ltd.
CHINA
Conflict-Free
Gold
Metalor Technologies (Singapore) Pte., Ltd.
SINGAPORE
Conflict-Free
Gold
Metalor Technologies (Suzhou) Ltd.
CHINA
Not Determined
Gold
Metalor Technologies SA
SWITZERLAND
Conflict-Free
Gold
Metalor USA Refining Corporation
UNITED STATES
Conflict-Free
Gold
METALÚRGICA MET-MEX PEÑOLES, S.A. DE C.V
MEXICO
Conflict-Free
Gold
Mitsubishi Materials Corporation
JAPAN
Conflict-Free
Gold
Mitsui Mining and Smelting Co., Ltd.
JAPAN
Conflict-Free
Gold
MMTC-PAMP India Pvt., Ltd.
INDIA
Conflict-Free
Gold
Morris and Watson
NEW ZEALAND
Not Determined
Gold
Moscow Special Alloys Processing Plant
RUSSIAN FEDERATION
Conflict-Free
Gold
Nadir Metal Rafineri San. Ve Tic. A.ª.
TURKEY
Conflict-Free
Gold
Navoi Mining and Metallurgical Combinat
UZBEKISTAN
Not Determined
Gold
Nihon Material Co., Ltd.
JAPAN
Conflict-Free
Gold
Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH
AUSTRIA
Conflict-Free
Gold
Ohura Precious Metal Industry Co., Ltd.
JAPAN
Conflict-Free
Gold
OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)
RUSSIAN FEDERATION
Conflict-Free
Gold
OJSC Kolyma Refinery
RUSSIAN FEDERATION
Not Determined
Gold
OJSC Novosibirsk Refinery
RUSSIAN FEDERATION
Conflict-Free
Gold
PAMP SA
SWITZERLAND
Conflict-Free
Gold
Penglai Penggang Gold Industry Co., Ltd.
CHINA
Not Determined
Gold
Prioksky Plant of Non-Ferrous Metals
RUSSIAN FEDERATION
Conflict-Free
Gold
PT Aneka Tambang (Persero) Tbk
INDONESIA
Conflict-Free
Gold
PX Précinox SA
SWITZERLAND
Conflict-Free
Gold
Rand Refinery (Pty) Ltd.
SOUTH AFRICA
Conflict-Free
Gold
Republic Metals Corporation
UNITED STATES
Conflict-Free
Gold
Royal Canadian Mint
CANADA
Conflict-Free
Gold
SAAMP
FRANCE
Not Determined
Gold
Sabin Metal Corp.
UNITED STATES
Not Determined
Gold
Samduck Precious Metals
KOREA, REPUBLIC OF
Not Determined
Gold
SAMWON Metals Corp.
KOREA, REPUBLIC OF
Not Determined
Gold
SAXONIA Edelmetalle GmbH
GERMANY
Not Determined
Gold
Schone Edelmetaal B.V.
NETHERLANDS
Conflict-Free
Gold
SEMPSA Joyería Platería SA
SPAIN
Conflict-Free
Gold
Shandong Tiancheng Biological Gold Industrial Co., Ltd.
CHINA
Not Determined
Gold
Shandong Zhaojin Gold & Silver Refinery Co., Ltd.
CHINA
Conflict-Free
Gold
Sichuan Tianze Precious Metals Co., Ltd.
CHINA
Conflict-Free
Gold
Singway Technology Co., Ltd.
TAIWAN
Conflict-Free
Gold
So Accurate Group, Inc.
UNITED STATES
Not Determined
Gold
SOE Shyolkovsky Factory of Secondary Precious Metals
RUSSIAN FEDERATION
Conflict-Free


Exhibit 1.01

Gold
Solar Applied Materials Technology Corp.
TAIWAN
Conflict-Free
Gold
Sumitomo Metal Mining Co., Ltd.
JAPAN
Conflict-Free
Gold
T.C.A S.p.A
ITALY
Conflict-Free
Gold
Tanaka Kikinzoku Kogyo K.K.
JAPAN
Conflict-Free
Gold
The Refinery of Shandong Gold Mining Co., Ltd.
CHINA
Conflict-Free
Gold
Tokuriki Honten Co., Ltd.
JAPAN
Conflict-Free
Gold
Tongling Nonferrous Metals Group Co., Ltd.
CHINA
Not Determined
Gold
Tony Goetz NV
BELGIUM
Not Determined
Gold
Torecom
KOREA, REPUBLIC OF
Not Determined
Gold
Umicore Brasil Ltda.
BRAZIL
Conflict-Free
Gold
Umicore Precious Metals Thailand
THAILAND
Conflict-Free
Gold
Umicore SA Business Unit Precious Metals Refining
BELGIUM
Conflict-Free
Gold
United Precious Metal Refining, Inc.
UNITED STATES
Conflict-Free
Gold
Valcambi SA
SWITZERLAND
Conflict-Free
Gold
Western Australian Mint trading as The Perth Mint
AUSTRALIA
Conflict-Free
Gold
WIELAND Edelmetalle GmbH
GERMANY
Not Determined
Gold
Yamamoto Precious Metal Co., Ltd.
JAPAN
Conflict-Free
Gold
Yokohama Metal Co., Ltd.
JAPAN
Conflict-Free
Gold
Yunnan Copper Industry Co., Ltd.
CHINA
Not Determined
Gold
Zhongyuan Gold Smelter of Zhongjin Gold Corporation
CHINA
Conflict-Free
Gold
Zijin Mining Group Co., Ltd. Gold Refinery
CHINA
Conflict-Free
Tantalum
Avon Specialty Metals Ltd
UNITED KINGDOM
Not Determined
Tantalum
Changsha South Tantalum Niobium Co., Ltd.
CHINA
Conflict-Free
Tantalum
Conghua Tantalum and Niobium Smeltry
CHINA
Conflict-Free
Tantalum
D Block Metals, LLC
UNITED STATES
Conflict-Free
Tantalum
Duoluoshan
CHINA
Conflict-Free
Tantalum
E.S.R. Electronics
UNITED STATES
Not Determined
Tantalum
Exotech Inc.
UNITED STATES
Conflict-Free
Tantalum
F&X Electro-Materials Ltd.
CHINA
Conflict-Free
Tantalum
FIR Metals & Resource Ltd.
CHINA
Conflict-Free
Tantalum
Global Advanced Metals Aizu
JAPAN
Conflict-Free
Tantalum
Global Advanced Metals Boyertown
UNITED STATES
Conflict-Free
Tantalum
Guangdong Zhiyuan New Material Co., Ltd.
CHINA
Conflict-Free
Tantalum
Guizhou Zhenhua Xinyun Technology Ltd., Kaili branch
CHINA
Not Determined
Tantalum
H.C. Starck Co., Ltd.
THAILAND
Conflict-Free
Tantalum
H.C. Starck GmbH Goslar
GERMANY
Conflict-Free
Tantalum
H.C. Starck GmbH Laufenburg
GERMANY
Conflict-Free
Tantalum
H.C. Starck Hermsdorf GmbH
GERMANY
Conflict-Free
Tantalum
H.C. Starck Inc.
UNITED STATES
Conflict-Free
Tantalum
H.C. Starck Ltd.
JAPAN
Conflict-Free
Tantalum
H.C. Starck Smelting GmbH & Co.KG
GERMANY
Conflict-Free
Tantalum
Hengyang King Xing Lifeng New Materials Co., Ltd.
CHINA
Conflict-Free
Tantalum
Hi-Temp Specialty Metals, Inc.
UNITED STATES
Conflict-Free
Tantalum
Jiangxi Dinghai Tantalum & Niobium Co., Ltd.
CHINA
Conflict-Free
Tantalum
Jiangxi Tuohong New Raw Material
CHINA
Conflict-Free
Tantalum
JiuJiang JinXin Nonferrous Metals Co., Ltd.
CHINA
Conflict-Free
Tantalum
Jiujiang Tanbre Co., Ltd.
CHINA
Conflict-Free


Exhibit 1.01

Tantalum
Jiujiang Zhongao Tantalum & Niobium Co., Ltd.
CHINA
Conflict-Free
Tantalum
KEMET Blue Metals
MEXICO
Conflict-Free
Tantalum
KEMET Blue Powder
UNITED STATES
Conflict-Free
Tantalum
King-Tan Tantalum Industry Ltd.
CHINA
Conflict-Free
Tantalum
LSM Brasil S.A.
BRAZIL
Conflict-Free
Tantalum
Metallurgical Products India Pvt., Ltd.
INDIA
Conflict-Free
Tantalum
Mineração Taboca S.A.
BRAZIL
Conflict-Free
Tantalum
Mitsui Mining & Smelting
JAPAN
Conflict-Free
Tantalum
Molycorp Silmet A.S.
ESTONIA
Conflict-Free
Tantalum
Ningxia Orient Tantalum Industry Co., Ltd.
CHINA
Conflict-Free
Tantalum
Plansee SE Liezen
AUSTRIA
Conflict-Free
Tantalum
Plansee SE Reutte
AUSTRIA
Conflict-Free
Tantalum
QuantumClean
UNITED STATES
Conflict-Free
Tantalum
Resind Indústria e Comércio Ltda.
BRAZIL
Conflict-Free
Tantalum
RFH Tantalum Smeltry Co., Ltd.
CHINA
Conflict-Free
Tantalum
Solikamsk Magnesium Works OAO
RUSSIAN FEDERATION
Conflict-Free
Tantalum
Taki Chemicals
JAPAN
Conflict-Free
Tantalum
Telex Metals
UNITED STATES
Conflict-Free
Tantalum
Tranzact, Inc.
UNITED STATES
Conflict-Free
Tantalum
Ulba Metallurgical Plant JSC
KAZAKHSTAN
Conflict-Free
Tantalum
XinXing HaoRong Electronic Material Co., Ltd.
CHINA
Conflict-Free
Tantalum
Yichun Jin Yang Rare Metal Co., Ltd.
CHINA
Conflict-Free
Tantalum
Zhuzhou Cemented Carbide
CHINA
Conflict-Free
Tin
Alpha
UNITED STATES
Conflict-Free
Tin
An Thai Minerals Company Limited
VIETNAM
Not Determined
Tin
An Vinh Joint Stock Mineral Processing Company
VIETNAM
Not Determined
Tin
Chenzhou Yunxiang Mining and Metallurgy Company Limited
CHINA
Not Determined
Tin
China Tin Group Co., Ltd.
CHINA
Conflict-Free
Tin
CNMC (Guangxi) PGMA Co., Ltd.
CHINA
Not Determined
Tin
Cooperativa Metalurgica de Rondônia Ltda.
BRAZIL
Conflict-Free
Tin
CV Ayi Jaya
INDONESIA
Conflict-Free
Tin
CV Dua Sekawan
INDONESIA
Not Determined
Tin
CV Gita Pesona
INDONESIA
Conflict-Free
Tin
CV Serumpun Sebalai
INDONESIA
Conflict-Free
Tin
CV Tiga Sekawan
INDONESIA
Not Determined
Tin
CV United Smelting
INDONESIA
Conflict-Free
Tin
CV Venus Inti Perkasa
INDONESIA
Conflict-Free
Tin
Dowa
JAPAN
Conflict-Free
Tin
Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company
VIETNAM
Not Determined
Tin
Elmet S.L.U. (Metallo Group)
SPAIN
Conflict-Free
Tin
EM Vinto
BOLIVIA
Conflict-Free
Tin
Estanho de Rondônia S.A.
BRAZIL
Not Determined
Tin
Feinhütte Halsbrücke GmbH
GERMANY
Not Determined
Tin
Fenix Metals
POLAND
Conflict-Free
Tin
Gejiu Fengming Metalurgy Chemical Plant
CHINA
Not Determined
Tin
Gejiu Kai Meng Industry and Trade LLC
CHINA
Not Determined
Tin
Gejiu Non-Ferrous Metal Processing Co., Ltd.
CHINA
Conflict-Free
Tin
Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.
CHINA
Not Determined


Exhibit 1.01

Tin
Gejiu Zili Mining And Metallurgy Co., Ltd.
CHINA
Not Determined
Tin
Guanyang Guida Nonferrous Metal Smelting Plant
CHINA
Not Determined
Tin
HuiChang Hill Tin Industry Co., Ltd.
CHINA
Not Determined
Tin
Huichang Jinshunda Tin Co., Ltd.
CHINA
Not Determined
Tin
Jiangxi Ketai Advanced Material Co., Ltd.
CHINA
Conflict-Free
Tin
Linwu Xianggui Ore Smelting Co., Ltd.
CHINA
Not Determined
Tin
Magnu's Minerais Metais e Ligas Ltda.
BRAZIL
Conflict-Free
Tin
Malaysia Smelting Corporation (MSC)
MALAYSIA
Conflict-Free
Tin
Melt Metais e Ligas S/A
BRAZIL
Conflict-Free
Tin
Metahub Industries Sdn. Bhd.
MALAYSIA
Not Determined
Tin
Metallic Resources, Inc.
UNITED STATES
Conflict-Free
Tin
Metallo-Chimique N.V.
BELGIUM
Conflict-Free
Tin
Mineração Taboca S.A.
BRAZIL
Conflict-Free
Tin
Minsur
PERU
Conflict-Free
Tin
Mitsubishi Materials Corporation
JAPAN
Conflict-Free
Tin
Nankang Nanshan Tin Manufactory Co., Ltd.
CHINA
Not Determined
Tin
Nghe Tinh Non-Ferrous Metals Joint Stock Company
VIETNAM
Not Determined
Tin
O.M. Manufacturing (Thailand) Co., Ltd.
THAILAND
Conflict-Free
Tin
O.M. Manufacturing Philippines, Inc.
PHILIPPINES
Conflict-Free
Tin
Operaciones Metalurgical S.A.
BOLIVIA
Conflict-Free
Tin
Phoenix Metal Ltd.
RWANDA
Not Determined
Tin
PT Alam Lestari Kencana
INDONESIA
Not Determined
Tin
PT Aries Kencana Sejahtera
INDONESIA
Conflict-Free
Tin
PT Artha Cipta Langgeng
INDONESIA
Conflict-Free
Tin
PT ATD Makmur Mandiri Jaya
INDONESIA
Conflict-Free
Tin
PT Babel Inti Perkasa
INDONESIA
Conflict-Free
Tin
PT Bangka Kudai Tin
INDONESIA
Not Determined
Tin
PT Bangka Prima Tin
INDONESIA
Conflict-Free
Tin
PT Bangka Timah Utama Sejahtera
INDONESIA
Not Determined
Tin
PT Bangka Tin Industry
INDONESIA
Conflict-Free
Tin
PT Belitung Industri Sejahtera
INDONESIA
Conflict-Free
Tin
PT BilliTin Makmur Lestari
INDONESIA
Conflict-Free
Tin
PT Bukit Timah
INDONESIA
Conflict-Free
Tin
PT Cipta Persada Mulia
INDONESIA
Conflict-Free
Tin
PT DS Jaya Abadi
INDONESIA
Conflict-Free
Tin
PT Eunindo Usaha Mandiri
INDONESIA
Conflict-Free
Tin
PT Fang Di MulTindo
INDONESIA
Not Determined
Tin
PT Inti Stania Prima
INDONESIA
Conflict-Free
Tin
PT Justindo
INDONESIA
Conflict-Free
Tin
PT Karimun Mining
INDONESIA
Not Determined
Tin
PT Kijang Jaya Mandiri
INDONESIA
Not Determined
Tin
PT Mitra Stania Prima
INDONESIA
Conflict-Free
Tin
PT Panca Mega Persada
INDONESIA
Conflict-Free
Tin
PT Pelat Timah Nusantara Tbk
INDONESIA
Not Determined
Tin
PT Prima Timah Utama
INDONESIA
Conflict-Free
Tin
PT Refined Bangka Tin
INDONESIA
Conflict-Free
Tin
PT Sariwiguna Binasentosa
INDONESIA
Conflict-Free
Tin
PT Seirama Tin Investment
INDONESIA
Not Determined
Tin
PT Stanindo Inti Perkasa
INDONESIA
Conflict-Free


Exhibit 1.01

Tin
PT Sukses Inti Makmur
INDONESIA
Conflict-Free
Tin
PT Sumber Jaya Indah
INDONESIA
Conflict-Free
Tin
PT Timah (Persero) Tbk Kundur
INDONESIA
Conflict-Free
Tin
PT Timah (Persero) Tbk Mentok
INDONESIA
Conflict-Free
Tin
PT Tinindo Inter Nusa
INDONESIA
Conflict-Free
Tin
PT Tirus Putra Mandiri
INDONESIA
Not Determined
Tin
PT Tommy Utama
INDONESIA
Conflict-Free
Tin
PT Wahana Perkit Jaya
INDONESIA
Conflict-Free
Tin
Resind Indústria e Comércio Ltda.
BRAZIL
Conflict-Free
Tin
Rui Da Hung
TAIWAN
Conflict-Free
Tin
Soft Metais Ltda.
BRAZIL
Conflict-Free
Tin
Thaisarco
THAILAND
Conflict-Free
Tin
Tuyen Quang Non-Ferrous Metals Joint Stock Company
VIETNAM
Not Determined
Tin
VQB Mineral and Trading Group JSC
VIETNAM
Conflict-Free
Tin
White Solder Metalurgia e Mineração Ltda.
BRAZIL
Conflict-Free
Tin
Yunnan Chengfeng Non-ferrous Metals Co., Ltd.
CHINA
Not Determined
Tin
Yunnan Tin Group (Holding) Company Limited
CHINA
Conflict-Free
Tungsten
A.L.M.T. TUNGSTEN Corp.
JAPAN
Conflict-Free
Tungsten
ACL Metais Eireli
BRAZIL
Not Determined
Tungsten
Asia Tungsten Products Vietnam Ltd.
VIETNAM
Conflict-Free
Tungsten
Chenzhou Diamond Tungsten Products Co., Ltd.
CHINA
Conflict-Free
Tungsten
Chongyi Zhangyuan Tungsten Co., Ltd.
CHINA
Conflict-Free
Tungsten
Dayu Jincheng Tungsten Industry Co., Ltd.
CHINA
Not Determined
Tungsten
Dayu Weiliang Tungsten Co., Ltd.
CHINA
Not Determined
Tungsten
Fujian Jinxin Tungsten Co., Ltd.
CHINA
Conflict-Free
Tungsten
Ganxian Shirui New Material Co., Ltd.
CHINA
Not Determined
Tungsten
Ganzhou Huaxing Tungsten Products Co., Ltd.
CHINA
Conflict-Free
Tungsten
Ganzhou Jiangwu Ferrotungsten Co., Ltd.
CHINA
Conflict-Free
Tungsten
Ganzhou Non-ferrous Metals Smelting Co., Ltd.
CHINA
Not Determined
Tungsten
Ganzhou Seadragon W & Mo Co., Ltd.
CHINA
Conflict-Free
Tungsten
Ganzhou Yatai Tungsten Co., Ltd.
CHINA
Conflict-Free
Tungsten
Global Tungsten & Powders Corp.
UNITED STATES
Conflict-Free
Tungsten
Guangdong Xianglu Tungsten Co., Ltd.
CHINA
Conflict-Free
Tungsten
H.C. Starck GmbH
GERMANY
Conflict-Free
Tungsten
H.C. Starck Smelting GmbH & Co.KG
GERMANY
Conflict-Free
Tungsten
Hunan Chenzhou Mining Co., Ltd.
CHINA
Conflict-Free
Tungsten
Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji
CHINA
Conflict-Free
Tungsten
Hunan Chuangda Vanadium Tungsten Co., Ltd. Yanglin
CHINA
Not Determined
Tungsten
Hunan Chunchang Nonferrous Metals Co., Ltd.
CHINA
Conflict-Free
Tungsten
Hydrometallurg, JSC
RUSSIAN FEDERATION
Conflict-Free
Tungsten
Japan New Metals Co., Ltd.
JAPAN
Conflict-Free
Tungsten
Jiangwu H.C. Starck Tungsten Products Co., Ltd.
CHINA
Not Determined
Tungsten
Jiangxi Dayu Longxintai Tungsten Co., Ltd.
CHINA
Not Determined
Tungsten
Jiangxi Gan Bei Tungsten Co., Ltd.
CHINA
Conflict-Free
Tungsten
Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.
CHINA
Not Determined
Tungsten
Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.
CHINA
Not Determined


Exhibit 1.01

Tungsten
Jiangxi Xinsheng Tungsten Industry Co., Ltd.
CHINA
Not Determined
Tungsten
Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.
CHINA
Conflict-Free
Tungsten
Jiangxi Yaosheng Tungsten Co., Ltd.
CHINA
Not Determined
Tungsten
Kennametal Fallon
UNITED STATES
Not Determined
Tungsten
Kennametal Huntsville
UNITED STATES
Conflict-Free
Tungsten
Malipo Haiyu Tungsten Co., Ltd.
CHINA
Conflict-Free
Tungsten
Moliren Ltd
RUSSIAN FEDERATION
Not Determined
Tungsten
Niagara Refining LLC
UNITED STATES
Conflict-Free
Tungsten
Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC
VIETNAM
Conflict-Free
Tungsten
Philippine Chuangin Industrial Co., Inc.
PHILIPPINES
Conflict-Free
Tungsten
Pobedit, JSC
RUSSIAN FEDERATION
Not Determined
Tungsten
Sanher Tungsten Vietnam Co., Ltd.
VIETNAM
Not Determined
Tungsten
South-East Nonferrous Metal Company Limited of Hengyang City
CHINA
Not Determined
Tungsten
Tejing (Vietnam) Tungsten Co., Ltd.
VIETNAM
Conflict-Free
Tungsten
Vietnam Youngsun Tungsten Industry Co., Ltd.
VIETNAM
Conflict-Free
Tungsten
Wolfram Bergbau und Hütten AG
AUSTRIA
Conflict-Free
Tungsten
Woltech Korea Co., Ltd.
KOREA, REPUBLIC OF
Not Determined
Tungsten
Xiamen Tungsten (H.C.) Co., Ltd.
CHINA
Conflict-Free
Tungsten
Xiamen Tungsten Co., Ltd.
CHINA
Conflict-Free
Tungsten
Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.
CHINA
Not Determined
Tungsten
Xinhai Rendan Shaoguan Tungsten Co., Ltd.
CHINA
Conflict-Free

V.
Future Due Diligence
We will continue to communicate our expectations and information requirements to our direct suppliers. Over time, we anticipate that the amount of information globally available on the traceability and sourcing of these ores will increase and improve our knowledge. We will continue to make inquiries to our direct suppliers and undertake additional risk assessments when potentially relevant changes in facts or circumstances are identified. If we become aware of a supplier whose due diligence needs improvement, we may continue the trade relationship while that supplier improves its compliance program. We expect our suppliers to take similar measures with their suppliers to ensure alignment throughout the supply chain.
In addition to those above, we will undertake the following steps during the next compliance period:
•
Continue to collect responses from suppliers using the most recent revision of the CMRT.
•
Engage with suppliers that did not provide a response in 2015 or provided incomplete responses to help with our data collections for 2016.
•
Monitor and track performance of risk mitigation efforts.
•
Compare and validate RCOI results to information collected via independent conflict-free smelter validation programs such as the CFSI.
•
Continue to allow verified conflict-free material from the region to enter our supply chain.

VI.
Independent Private Sector Audit
In accordance with Rule 13p-1 and related guidance, an independent private sector audit of this report was not required for calendar year 2015.


Exhibit 1.01

APPENDIX I - Countries of Origin
The information provided in this Appendix is based on the information collected from Harsco’s suppliers.
Angola
 
France
 
Portugal
Argentina
 
Germany
 
Republic of Congo
Australia
 
Guyana
 
Russia
Austria
 
Hungary
 
Rwanda
Belgium
 
India
 
Sierra Leone
Bolivia
 
Indonesia
 
Singapore
Brazil
 
Ireland
 
Slovakia
Burundi
 
Israel
 
South Africa
Cambodia
 
Japan
 
South Korea
Canada
 
Kazakhstan
 
Spain
Central African Republic
 
Kenya
 
Suriname
Chile
 
Laos
 
Switzerland
China
 
Luxembourg
 
Taiwan
Colombia
 
Madagascar
 
Tanzania
Côte D'Ivoire
 
Malaysia
 
Thailand
Czech Republic
 
Mongolia
 
Uganda
Djibouti
 
Mozambique
 
United Kingdom
Ecuador
 
Namibia
 
United States of America
Egypt
 
Netherlands
 
Vietnam
Estonia
 
Nigeria
 
Zambia
Ethiopia
 
Peru