FORM SD/A | ||
Specialized Disclosure Report | ||
(Amendment No. 1) | ||
MTS SYSTEMS CORPORATION | ||
(Exact name of registrant as specified in its charter) | ||
MINNESOTA | 0-02382 | 41-0908057 |
(State or other jurisdiction of incorporation or organization) | (Commission file number) | (IRS employee Identification No.) |
14000 Technology Drive, Eden Prairie, MN | 55344 | |
(Address of principal executive offices) | (Zip code) |
x | Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2017. |
Date: | May 24, 2018 | MTS SYSTEMS CORPORATION | |
/s/ Phyllis Nordstrom | |||
By: Phyllis Nordstrom | |||
Its: Chief Risk and Compliance Officer |
• | MTS has a “Conflict Minerals Sourcing Policy” (the “Company Policy”) that is published on MTS’s website at: http://www.mts.com/en/about/Ethics/index.htm |
• | MTS engaged with applicable suppliers that it believed were most likely to supply products containing the Subject Materials. The Company identified its applicable suppliers using the North American Industry Classification System codes, which are standardized codes for groups of vendors with similar economic activity or production. Suppliers based in China were engaged prior to the survey to determine whether the material supplied to the Company included the Subject Materials and only suppliers that responded in the affirmative were included in the survey. Once all in-scope suppliers were aggregated, another filter was applied using dollars spent. Suppliers that represented 95% of the entire related dollars spent for Subject Materials were selected for survey. For the Sensors segment, only suppliers who have consistently responded yes to the presence of Subject Materials in the material supplied to MTS were included in the survey. |
• | The Company’s due diligence measures focus on working with its suppliers based upon a framework established by the Electronic Industry Citizenship Coalition and Global e-Sustainability (“EICC/GeSI”) initiative to identify the location of smelters and refiners of Subject Materials who provide those Subject Materials to its suppliers. The Company conducted supply chain surveys based on the EICC/GeSI conflict minerals questionnaire with all applicable suppliers identified during its applicability assessment explained above. |
• | Suppliers surveyed were asked to identify smelters and refiners (“SORs”) that process Subject Materials contained in the Company’s products, including country of origin of any Subject Materials, based on the EICC/GeSI conflict minerals questionnaire. |
• | A third party vendor logged every survey into their technology platform and reviewed every survey. |
• | Non-responsive suppliers and survey responses that were incomplete or inconsistent were identified for additional follow-up. |
• | Reasons for follow-up with suppliers included, but were not limited to, that the supplier did not provide a complete or accurate smelter list or did not receive complete conflicts mineral sourcing information from all of their relevant suppliers. Suppliers who did not provide the country of origin information in their survey responses were also sent a follow-up communication requesting that they provide additional sourcing information. |
• | Smelters identified by the Company’s suppliers were compared against the lists maintained by the Responsible Mineral Initiative (“RMI”) and the smelter list prepared by the Company’s third party vendor. |
• | Suppliers that responded with smelters not listed as conformant or active on the lists prepared by RMI were re-engaged to validate sourcing from these smelters for products supplied to MTS. |
• | The Company conducted research in the public domain in order to identify sourcing information for smelters that are not on the RMI compliant smelter list, when possible. |
• | The Company notified suppliers via email and telephone whose sourcing practices do not conform to the Company policy, which could result in removal of those suppliers from the supply chain if these remediation efforts are not successful. |
• | Business Unit representatives also notified suppliers via email and telephone to ensure that applicable suppliers updated their responses with accurate and complete information. |
• | MTS is a downstream consumer of Subject Materials and is many steps removed from smelters and refiners who source raw minerals and ores. MTS does not purchase raw minerals or ores, and does not, to the best of its knowledge, directly purchase Subject Materials from any of the Covered Countries. |
• | This Report and the associated Form SD are available online at the following website: |
• | On behalf of MTS, a third party provider engaged all applicable suppliers and reviewed every response to determine completeness, accuracy, and consistency. |
• | Suppliers that did not send a complete or accurate response were re-engaged to update responses. |
• | MTS utilized the RMI smelter database and other proprietary resources to determine the sourcing locations for the SORs identified in MTS’s supply chain. |
• | Suppliers were notified by e-mail of the status of their responses to the surveys and if their response is rejected, or if incomplete or inconsistent, suppliers were asked to correct and resubmit. |
• | MTS aggregated all smelter data and developed a list of all SORs information received from MTS supply chain. |
• | MTS re-engaged suppliers to change sourcing from SORs that are known to source from Covered Countries or were not validated by RMI audit to be conflict free. |
• | Continue to use contract terms and conditions for new contracts requiring suppliers to respond to inquiries regarding conflict minerals in a timely manner. |
• | Continue to work with suppliers to identify to the extent possible the source of Subject Materials used in MTS’s products. |
• | Encourage suppliers to source from smelters that have received the conflict free designation or that are otherwise subject to adequate due diligence to ensure such minerals are not being used to fund conflict. |
Metal | Smelter |
Gold | Advanced Chemical Company |
Gold | Aida Chemical Industries Co., Ltd. |
Gold | Al Etihad Gold Refinery DMCC |
Gold | Allgemeine Gold-und Silberscheideanstalt A.G. |
Gold | Almalyk Mining and Metallurgical Complex (AMMC) |
Gold | AngloGold Ashanti Córrego do Sítio Mineração |
Gold | Argor-Heraeus S.A. |
Gold | Asahi Pretec Corp. |
Gold | Asahi Refining Canada Ltd. |
Gold | Asahi Refining USA Inc. |
Gold | Asaka Riken Co., Ltd. |
Gold | AU Traders and Refiners |
Gold | Aurubis AG |
Gold | Bangalore Refinery |
Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) |
Gold | Boliden AB |
Gold | C. Hafner GmbH + Co. KG |
Gold | CCR Refinery - Glencore Canada Corporation |
Gold | Cendres + Métaux S.A. |
Gold | Chimet S.p.A. |
Gold | Daejin Indus Co., Ltd. |
Gold | DODUCO Contacts and Refining GmbH |
Gold | Dowa |
Gold | DS PRETECH Co., Ltd. |
Gold | DSC (Do Sung Corporation) |
Gold | Eco-System Recycling Co., Ltd. |
Gold | Emirates Gold DMCC |
Gold | Geib Refining Corporation |
Gold | Gold Refinery of Zijin Mining Group Co., Ltd. |
Gold | HeeSung Metal Ltd. |
Gold | Heimerle + Meule GmbH |
Gold | Heraeus Metals Hong Kong Ltd. |
Gold | Heraeus Precious Metals GmbH & Co. KG |
Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. |
Gold | Ishifuku Metal Industry Co., Ltd. |
Gold | Istanbul Gold Refinery |
Gold | Italpreziosi |
Gold | Japan Mint |
Gold | Jiangxi Copper Co., Ltd. |
Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant |
Gold | JSC Uralelectromed |
Metal | Smelter |
Gold | JX Nippon Mining & Metals Co., Ltd. |
Gold | Kazzinc |
Gold | Kennecott Utah Copper LLC |
Gold | KGHM Polska Miedž Spółka Akcyjna |
Gold | Kojima Chemicals Co., Ltd. |
Gold | Korea Zinc Co., Ltd. |
Gold | Kyrgyzaltyn JSC |
Gold | L'Orfebre S.A. |
Gold | LS-NIKKO Copper Inc. |
Gold | Marsam Metals |
Gold | Materion |
Gold | Matsuda Sangyo Co., Ltd. |
Gold | Metalor Technologies (Hong Kong) Ltd. |
Gold | Metalor Technologies (Singapore) Pte., Ltd. |
Gold | Metalor Technologies (Suzhou) Ltd. |
Gold | Metalor Technologies S.A. |
Gold | Metalor USA Refining Corporation |
Gold | Metalúrgica Met-Mex Peñoles S.A. De C.V. |
Gold | Mitsubishi Materials Corporation |
Gold | Mitsui Mining and Smelting Co., Ltd. |
Gold | MMTC-PAMP India Pvt., Ltd. |
Gold | Modeltech Sdn Bhd |
Gold | Moscow Special Alloys Processing Plant |
Gold | Nadir Metal Rafineri San. Ve Tic. A.Ş. |
Gold | NH Recytech Company |
Gold | Nihon Material Co., Ltd. |
Gold | Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH |
Gold | Ohura Precious Metal Industry Co., Ltd. |
Gold | OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) |
Gold | OJSC Novosibirsk Refinery |
Gold | PAMP S.A. |
Gold | Planta Recuperadora de Metales SpA |
Gold | Prioksky Plant of Non-Ferrous Metals |
Gold | PT Aneka Tambang (Persero) Tbk |
Gold | PX Précinox S.A. |
Gold | Rand Refinery (Pty) Ltd. |
Gold | Remondis Argentia B.V. |
Gold | Republic Metals Corporation |
Gold | Royal Canadian Mint |
Gold | SAAMP |
Gold | Safimet S.p.A |
Gold | SAFINA A.S. |
Gold | Samduck Precious Metals |
Metal | Smelter |
Gold | SAXONIA Edelmetalle GmbH |
Gold | Schone Edelmetaal B.V. |
Gold | SEMPSA Joyería Platería S.A. |
Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. |
Gold | Sichuan Tianze Precious Metals Co., Ltd. |
Gold | Singway Technology Co., Ltd. |
Gold | SOE Shyolkovsky Factory of Secondary Precious Metals |
Gold | Solar Applied Materials Technology Corp. |
Gold | Sumitomo Metal Mining Co., Ltd. |
Gold | SungEel HiMetal Co., Ltd. |
Gold | T.C.A S.p.A |
Gold | Tanaka Kikinzoku Kogyo K.K. |
Gold | The Refinery of Shandong Gold Mining Co., Ltd. |
Gold | Tokuriki Honten Co., Ltd. |
Gold | Torecom |
Gold | Umicore Brasil Ltda. |
Gold | Umicore Precious Metals Thailand |
Gold | Umicore S.A. Business Unit Precious Metals Refining |
Gold | United Precious Metal Refining, Inc. |
Gold | Valcambi S.A. |
Gold | Western Australian Mint (T/a The Perth Mint) |
Gold | WIELAND Edelmetalle GmbH |
Gold | Yamakin Co., Ltd. |
Gold | Yokohama Metal Co., Ltd. |
Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation |
Tantalum | Asaka Riken Co., Ltd. |
Tantalum | Changsha South Tantalum Niobium Co., Ltd. |
Tantalum | D Block Metals, LLC |
Tantalum | Exotech Inc. |
Tantalum | F&X Electro-Materials Ltd. |
Tantalum | FIR Metals & Resource Ltd. |
Tantalum | Global Advanced Metals Aizu |
Tantalum | Global Advanced Metals Boyertown |
Tantalum | Guangdong Rising Rare Metals-EO Materials Ltd. |
Tantalum | Guangdong Zhiyuan New Material Co., Ltd. |
Tantalum | H.C. Starck Co., Ltd. |
Tantalum | H.C. Starck Hermsdorf GmbH |
Tantalum | H.C. Starck Inc. |
Tantalum | H.C. Starck Ltd. |
Tantalum | H.C. Starck Smelting GmbH & Co. KG |
Tantalum | H.C. Starck Tantalum and Niobium GmbH |
Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. |
Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. |
Tantalum | Jiangxi Tuohong New Raw Material |
Metal | Smelter |
Tantalum | Jiujiang Janny New Material Co., Ltd. |
Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. |
Tantalum | Jiujiang Nonferrous Metals Smelting Company Limited |
Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. |
Tantalum | KEMET Blue Metals |
Tantalum | KEMET Blue Powder |
Tantalum | LSM Brasil S.A. |
Tantalum | Metallurgical Products India Pvt., Ltd. |
Tantalum | Mineração Taboca S.A. |
Tantalum | Mitsui Mining & Smelting |
Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. |
Tantalum | NPM Silmet AS |
Tantalum | Power Resources Ltd. |
Tantalum | QuantumClean |
Tantalum | Resind Indústria e Comércio Ltda. |
Tantalum | RFH Tantalum Smeltery Co., Ltd./Yanling Jincheng Tantalum & Niobium Co., Ltd. |
Tantalum | Solikamsk Magnesium Works OAO |
Tantalum | Taki Chemicals |
Tantalum | Telex Metals |
Tantalum | Ulba Metallurgical Plant JSC |
Tantalum | XinXing HaoRong Electronic Material Co., Ltd. |
Tantalum | Yichun Jin Yang Rare Metal Co., Ltd. |
Tin | Alpha |
Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. |
Tin | Chifeng Dajingzi Tin Industry Co., Ltd. |
Tin | China Tin Group Co., Ltd. |
Tin | CV Ayi Jaya |
Tin | CV Dua Sekawan |
Tin | CV Gita Pesona |
Tin | CV Tiga Sekawan |
Tin | CV United Smelting |
Tin | CV Venus Inti Perkasa |
Tin | Dowa |
Tin | EM Vinto |
Tin | Fenix Metals |
Tin | Gejiu Fengming Metallurgy Chemical Plant |
Tin | Gejiu Jinye Mineral Company |
Tin | Gejiu Kai Meng Industry and Trade LLC |
Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. |
Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. |
Tin | Guangdong Hanhe Non-Ferrous Metal Co., Ltd. |
Tin | Guanyang Guida Nonferrous Metal Smelting Plant |
Tin | HuiChang Hill Tin Industry Co., Ltd. |
Metal | Smelter |
Tin | Huichang Jinshunda Tin Co., Ltd. |
Tin | Jiangxi Ketai Advanced Material Co., Ltd. |
Tin | Magnu's Minerais Metais e Ligas Ltda. |
Tin | Malaysia Smelting Corporation (MSC) |
Tin | Melt Metais e Ligas S.A. |
Tin | Metallic Resources, Inc. |
Tin | Metallo Belgium N.V. |
Tin | Metallo Spain S.L.U. |
Tin | Mineração Taboca S.A. |
Tin | Minsur |
Tin | Mitsubishi Materials Corporation |
Tin | Modeltech Sdn Bhd |
Tin | O.M. Manufacturing (Thailand) Co., Ltd. |
Tin | O.M. Manufacturing Philippines, Inc. |
Tin | Operaciones Metalurgical S.A. |
Tin | PT Aries Kencana Sejahtera |
Tin | PT Artha Cipta Langgeng |
Tin | PT ATD Makmur Mandiri Jaya |
Tin | PT Babel Inti Perkasa |
Tin | PT Bangka Prima Tin |
Tin | PT Bangka Serumpun |
Tin | PT Bangka Tin Industry |
Tin | PT Belitung Industri Sejahtera |
Tin | PT Bukit Timah |
Tin | PT DS Jaya Abadi |
Tin | PT Eunindo Usaha Mandiri |
Tin | PT Inti Stania Prima |
Tin | PT Karimun Mining |
Tin | PT Kijang Jaya Mandiri |
Tin | PT Lautan Harmonis Sejahtera |
Tin | PT Menara Cipta Mulia |
Tin | PT Mitra Stania Prima |
Tin | PT Panca Mega Persada |
Tin | PT Premium Tin Indonesia |
Tin | PT Prima Timah Utama |
Tin | PT Refined Bangka Tin |
Tin | PT Sariwiguna Binasentosa |
Tin | PT Stanindo Inti Perkasa |
Tin | PT Sukses Inti Makmur |
Tin | PT Sumber Jaya Indah |
Tin | PT Timah (Persero) Tbk Kundur |
Tin | PT Timah (Persero) Tbk Mentok |
Tin | PT Tinindo Inter Nusa |
Tin | PT Tommy Utama |
Metal | Smelter |
Tin | Resind Indústria e Comércio Ltda. |
Tin | Rui Da Hung |
Tin | Soft Metais Ltda. |
Tin | Thaisarco |
Tin | White Solder Metalurgia e Mineração Ltda. |
Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. |
Tin | Yunnan Tin Company Limited |
Tungsten | A.L.M.T. TUNGSTEN Corp. |
Tungsten | ACL Metais Eireli |
Tungsten | Asia Tungsten Products Vietnam Ltd. |
Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd. |
Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. |
Tungsten | Fujian Jinxin Tungsten Co., Ltd. |
Tungsten | Ganzhou Haichuang Tungsten Co., Ltd. |
Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. |
Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. |
Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. |
Tungsten | Global Tungsten & Powders Corp. |
Tungsten | Guangdong Xianglu Tungsten Co., Ltd. |
Tungsten | H.C. Starck Smelting GmbH & Co. KG |
Tungsten | H.C. Starck Tungsten GmbH |
Tungsten | Hunan Chenzhou Mining Co., Ltd. |
Tungsten | Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji |
Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd. |
Tungsten | Hunan Litian Tungsten Industry Co., Ltd. |
Tungsten | Hydrometallurg, JSC |
Tungsten | Japan New Metals Co., Ltd. |
Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. |
Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. |
Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. |
Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. |
Tungsten | Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd. |
Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. |
Tungsten | Kennametal Fallon |
Tungsten | Kennametal Huntsville |
Tungsten | Malipo Haiyu Tungsten Co., Ltd. |
Tungsten | Moliren Ltd. |
Tungsten | Niagara Refining LLC |
Tungsten | Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC |
Tungsten | Philippine Chuangxin Industrial Co., Inc. |
Tungsten | South-East Nonferrous Metal Company Limited of Hengyang City |
Tungsten | Tejing (Vietnam) Tungsten Co., Ltd. |
Tungsten | Unecha Refractory Metals Plant |
Tungsten | Vietnam Youngsun Tungsten Industry Co., Ltd. |
Metal | Smelter |
Tungsten | Wolfram Bergbau und Hütten AG |
Tungsten | Woltech Korea Co., Ltd. |
Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. |
Tungsten | Xiamen Tungsten Co., Ltd. |
Tungsten | Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. |
Tungsten | Xinhai Rendan Shaoguan Tungsten Co., Ltd. |