UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM SD
Specialized Disclosure Report
(Exact name of the registrant as specified in its charter)
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Delaware
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033-90866
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25-1615902
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(State or other jurisdiction of incorporation)
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(Commission File Number)
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(IRS Employer Identification No.)
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30 Isabella Street
Pittsburgh, Pennsylvania
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15212
(Zip code)
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(Address of principal executive offices)
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(412) 825-1000
(Registrant’s Telephone Number, including Area Code)
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:
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Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2020
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SECTION 1 - CONFLICT MINERALS DISCLOSURE
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Item 1.01
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Conflict Minerals Disclosure and Report
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Conflict Minerals Disclosure
A copy of the Westinghouse Air Brake Technologies Corporation (“Wabtec Corporation”) 2020 Conflict Minerals Report is filed as Exhibit 1.01 hereto and is publicly available at https://ir.wabteccorp.com/2020-Conflict-Minerals-Report.pdf.
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Item 1.02
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Exhibit
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The Wabtec Corporation 2020 Conflict Minerals Report contemplated by Item 1.01 is filed as Exhibit 1.01 to this Form SD.
SECTION 2 – EXHIBITS
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Item 2.01
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Exhibits
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Exhibit 1.01 – Wabtec Corporation 2020 Conflict Minerals Report
2
SIGNATURES
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.
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Westinghouse Air Brake Technologies Corporation
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(Registrant)
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By:
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/s/ Patrick D. Dugan
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May 31, 2021
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Patrick D. Dugan
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(Date) | |
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Executive Vice President and
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Chief Financial Officer
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3
EXHIBIT INDEX
Exhibit 1.01
2020 Conflict Minerals Report
Introduction
Westinghouse Air Brake Technologies Corporation, doing business as Wabtec Corporation (“Wabtec” or the “Company”), prepared this Conflict Minerals Report (“Report”) for the year ending
December 31, 2020, as provided for in Rule 13p-1 of the Securities Exchange Act of 1934, as amended, and Form SD (collectively, the “Conflict Minerals Rule”). Wabtec provides its products and services through two principal business segments, the
Freight Segment and the Transit Segment. The Freight Segment primarily manufactures and provides aftermarket parts and services for new locomotives; provides components for new and existing locomotives and freight cars; builds new commuter
locomotives; supplies rail control and infrastructure products, including electronics, positive train control equipment, signal design and engineering services; overhauls locomotives; and provides heat exchangers and cooling systems for rail and
other industrial markets. The Transit Segment primarily manufactures and services components for new and existing passenger transit vehicles, typically regional trains, high speed trains, subway cars, light-rail vehicles and buses; supplies rail
control and infrastructure products, including electronics, signal design and engineering services; and refurbishes passenger transit vehicles.
Wabtec manufactures a wide range of products that contain tin, tantalum, tungsten or gold (“3TG”), but Wabtec does not purchase ore or unrefined 3TG from mines and is many steps removed in the supply chain from the
mining of these minerals. We purchase materials from a wide network of suppliers and rely on them to assist with our reasonable country of origin inquiry regarding the 3TG that are necessary to the functionality or production of products we
manufacture. After performing our reasonable country of origin inquiry and due diligence for 2020, we are unable to definitively determine whether the 3TG contained in our products originated from the Democratic Republic of the Congo or an
adjoining country (collectively, the “Covered Countries”). Therefore, we are submitting this Report describing the due diligence we have performed pursuant to the Conflict Minerals Rule and our related processes and procedures.
This Report includes:
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•
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the design of our due diligence measures;
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| • |
the due diligence we performed for 2020, including the steps we took to mitigate the risk that 3TG in our products benefit armed groups;
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| • |
the smelters and refiners of 3TG identified as potentially within Wabtec’s supply chain and the countries of origin of ores that are potentially in the supply chains of these smelters and refiners; and
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1
| • |
the steps that we plan to take to ensure continued progress towards eliminating conflict minerals in our supply chain.
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Due Diligence
Design of Wabtec’s due diligence measures
Wabtec has adopted Conflict Minerals Guidelines (the “Guidelines”) that lay out the design of our 3TG due diligence process. The Guidelines describe procedures that Wabtec Corporate and its business units use to
perform due diligence on the source and origin of 3TG contained in products we manufacture. Wabtec designed its due diligence measures to be in conformity, in material respects, with the 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 (collectively, the “OECD Guidance”).
Description of Wabtec’s due diligence measures for 2020
Wabtec’s 2020 due diligence measures are designed in conformity, in all material respects, with the Five-Step Framework for Risk-Based Due Diligence in the Mineral Supply Chain contained in the OECD Guidance.
Step 1: Establish strong company management systems
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A.
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Adopt and commit to a supply chain policy for minerals originating from conflict-affected and high-risk areas
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Wabtec’s Conflict Minerals Policy, which is available on Wabtec’s website, outlines our commitment to responsible supply chains and to the avoidance of conflict minerals that directly or indirectly finance or benefit
armed groups in the Covered Countries. Moreover, the Guidelines contain the operative provisions of the Policy, as well as the process for ensuring that risks are adequately managed. Additional Wabtec policies relating to the due diligence
measures contained in the OECD Guidance are incorporated into Wabtec’s Supplier Code of Conduct, which is available on Wabtec’s website (for more information, see “Where You
Can Find Additional Information” below).
| B. |
Structure internal management systems to support supply chain due diligence
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Internal management system. Wabtec’s internal
management system for its supply chain due diligence is coordinated by Wabtec Corporate, with support from the individual Wabtec business units.
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•
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Wabtec Corporate. Wabtec’s Sourcing Compliance organization,
with cross-functional support from Legal and Sourcing leaders, has oversight responsibility for Wabtec’s Conflict Minerals Policy, including the establishment of processes and procedures to carry out this policy. The Sourcing
Compliance organization also leads Wabtec’s supply chain due diligence efforts and risk management review with support from the Wabtec business units.
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| • |
Wabtec business units. Each Wabtec business unit must provide all
direct material suppliers whose parts may contain 3TG to Wabtec Corporate.
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2
Internal reporting. For 2020, Wabtec used the
following 3TG due diligence reporting mechanisms:
| • |
Reporting to Chief Procurement Officer (CPO). The CPO reviewed
Wabtec’s Conflict Minerals program and risk assessment with relevant stakeholders from Sourcing Compliance and Legal to determine the appropriate steps to mitigate any supply chain risks.
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| • |
Coordination with Wabtec business units and Sourcing leaders.
Sourcing Compliance provides a summary of the 3TG due diligence results and efforts to improve supply chain transparency to the Wabtec Sourcing Leaders for each business unit. Where there is reason to believe that a supplier is not
honoring its contractual obligations under the Guidelines, Wabtec Sourcing Leaders, depending on the circumstances, work with the supplier to address such concerns. In the event of continued concerns, the Wabtec business unit may take
additional measures, up to and including termination of the supplier.
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| C. |
Establish a system of controls and transparency over the 3TG supply chain
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Identifying suppliers. Each Wabtec business unit
identified:
| • |
Relevant Suppliers defined as suppliers that provide inputs to
Wabtec products that are known or are likely to contain 3TG through a process that is based on an examination of internal records such as bills of material or other product specifications, a qualitative review of sourcing records, or
information provided by the supplier; and
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| • |
Significant Suppliers defined as suppliers within the universe
of Relevant Suppliers that are most significant to Wabtec’s 3TG program, using criteria such as the amount of sourcing spend with the supplier.
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Identifying smelters and refiners in the supply chain. Wabtec Corporate used its best efforts to identify smelters and refiners of 3TG by surveying
Significant Suppliers using the Responsible Minerals Initiative’s (“RMI”) Conflict Minerals Reporting Template (“CMRT”). The survey tools are designed to collect, manage and archive (for at least five years) supplier information relevant for 3TG
due diligence including, among other things, the identity of smelters and refiners of 3TG in the supplier’s supply chain, as well as information related to their 3TG compliance efforts. We apply criteria based on the CMRT to assess the
acceptability of survey responses and follow up with Significant Suppliers whose survey responses are identified as potentially incomplete or inaccurate to seek more complete information.
Conducting a reasonable country of origin inquiry. For
upstream due diligence to identify countries of origin and other relevant information about the conflict status of metals produced by the smelters and refiners identified as potentially in Wabtec’s supply chain, Wabtec relies on the information
made available through the Responsible Minerals Assurance Process (“RMAP”) administered by RMI. Wabtec relied on this information to identify (1) the status of smelters and refiners potentially in Wabtec’s supply chain; and (2) the countries of
origin of ores that are potentially in the supply chains of these smelters and refiners. Where the data showed that ores utilized by one or more of these smelters or refiners originated in one or more of the Covered Countries, Wabtec concluded
that there is reason to believe that 3TG from the Covered Countries may be present in the products of the business for which such smelters or refiners were reported as potentially in the supply chain. Due to business confidentiality and other
competitive concerns, as recognized by the OECD Guidance, the RMI does not publish detailed information on the specific mine and location of origin of ores that supply the smelters and refiners subject to
verification reviews. Consequently, no such information is provided in this Report. RMI’s efforts to determine such information is described on the RMI website (see “Where You Can Find Additional Information”
below).
3
| D. |
Strengthen company engagement with suppliers
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Regular communications. Wabtec communicates its
expectations on responsible supply chains of 3TG by transmitting surveys and other communications from the sourcing organizations of the Wabtec business units to Significant Suppliers and other Relevant Suppliers. In addition, the Sourcing
Compliance organization provides training to select suppliers on Wabtec’s 3TG program during its Supplier Summits.
Contractual obligations. Each Wabtec business unit
utilizes standard terms and conditions, and incorporate by reference Wabtec’s Supplier Code of Conduct, which can be found on Wabtec’s website (see “Where You Can Find Additional Information” below).
Suppliers are contractually obligated to (1) adopt policies and establish systems to procure 3TG from sources that have been verified as conflict free; (2) provide supporting data on their 3TG supply chains to Wabtec when requested; and (3)
provide Wabtec with audit rights and the right to terminate the contract in the event of material non-compliance.
| E. |
Establish a company-level grievance mechanism
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Open reporting system. Wabtec and its business units
have an open reporting system – Speak Up Wabtec! – to allow employees and third parties to report concerns about policy violations, including concerns related to our 3TG policies. Concerns can be reported anonymously or for attribution through
several channels, including any cognizant Wabtec Manager, any Compliance Resource (e.g. Wabtec legal counsel or auditor), by using the Speak Up Wabtec! e-tool at https://speakupwabtec.ethicspoint.com, by calling the Wabtec Speak Up
Wabtec! Hotline in the US at (877) 860-1054 or using the e-tool to find country-specific telephone numbers, or by emailing speakupwabtec@wabtec.com.
No retaliation. Retaliation against any person for
reporting a compliance or integrity concern is forbidden.
Step 2: Identify and assess supply chain risks
| A. |
Use best efforts to identify the smelters and refiners in the supply chain
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During 2020, using the processes described in Step 1.C above, Wabtec identified 958 Relevant Suppliers (down from 4,593 in 2019), including 362 Significant Suppliers (down from 1,056 in 2019). These year-over-year
changes are primarily the result of a more refined pool of Relevant and Significant Suppliers following the second year of implementing Wabtec’s 3TG due diligence as a combined company (i.e., Wabtec and GE Transportation). Our Significant
Suppliers, mostly reporting at a company level, identified 323 smelters and refiners of 3TG that were potentially in their supply chains (as compared to 279 in 2019). See Table A below for a list of these smelters and refiners and a summary
of their validation status under the RMAP.
| B. |
Identify the scope of the risk assessment of the 3TG supply chain
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Engaging with suppliers. Wabtec’s 3TG supplier survey
asks suppliers to identify smelters or refiners of 3TG in their supply chains. For Significant Suppliers that are identified as either not having a responsible 3TG sourcing policy or not implementing due diligence measures for conflict-free
sourcing, we encourage those suppliers to implement such measures. We seek to engage all Significant Suppliers to encourage the smelters and refiners in their supply chains to become validated as Conformant (as defined below) by the RMAP or a
similar program.
4
Wabtec seeks to continuously improve its due diligence efforts to reduce 3TG supply chain risk by encouraging suppliers to source from Conformant smelters and refiners. As a result, 71% of the smelters and refiners
identified by our Significant Suppliers have been verified as Conformant.
| C. |
Assess whether the suppliers have carried out all elements of due diligence for responsible supply chains of 3TG from conflict-affected and high-risk areas
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Wabtec conducts due diligence to determine the degree of its suppliers’ compliance with the contractual obligations laid out in the Guidelines. Measures may include reviewing supplier responses for completeness,
accuracy, and credibility, as well as confirming smelter status by checking against the Smelter Look-up tab list of the RMI’s CMRT and the RMI’s Conformant Smelter list. When Significant Suppliers identify smelters and refiners not listed as
Conformant by RMI or a similar program, we attempt to contact the smelter or refiner to validate their responsible 3TG sourcing process.
| D. |
Where necessary, carry out joint spot checks at the mineral smelter or refiner’s own facilities (including through participation in industry-driven programs)
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In accordance with OECD Guidance, including its audit recommendations for downstream companies, Wabtec implements upstream audits by participating in and cooperating with industry organizations. Wabtec is a member of
RMI (member code: WABT) and relied on the RMAP to conduct a risk assessment at the upstream level. For each smelter identified within its supply chain, Wabtec assessed the information available from the RMAP to determine whether there were any “red
flags” (as defined in OECD Guidance) and, if needed, develop a corrective action plan. We encourage removal of any high-risk smelters from our supply chain.
Step 3: Design and implement a strategy to respond to identified risks
| A. |
Report findings to designated senior management
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See Step 1.B above for a description of Wabtec’s 3TG due diligence internal reporting processes.
| B. |
Devise and adopt a risk management plan
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Wabtec annually compiles a report of 3TG risks identified in its supply chain for review by Wabtec’s Chief Procurement Officer to determine the appropriate steps to take in mitigating any identified supply chain risks.
In 2020, Wabtec focused on reducing risk by (1) engaging Significant Suppliers to encourage the smelters and refiners in their supply chains to become validated as Conformant by the RMAP, (2) encouraging Significant Suppliers who identified
high-risk smelters and refiners to remove them from their supply chains, and (3) engaging with non-Conformant smelters and refiners directly to encourage them to participate in the RMAP audit process to become Conformant. A high-risk smelter or
refiner is one for which there are credible reports that such smelter or refiner sources materials in a manner that directly or indirectly finances armed conflict.
For Significant Suppliers who identified high-risk smelters and suppliers, Wabtec Corporate sent such supplier a letter requesting: (a) that that supplier confirm whether these smelters or refiners are in fact in their
supply chain, and if so, whether such materials are used in Wabtec products, (b) that the supplier encourage these smelters or refiners to participate in the RMAP, and (c) that if a smelter or refiner refuses to participate in the RMAP, such
supplier should develop a plan to remove the smelter from its supply chain.
5
Step 4: Carry out independent 3rd-party audit of smelters/refiners’ due diligence practices
See Step 2.D above for a discussion of how Wabtec conducted its risk assessment at the upstream level by participating in and cooperating with industry organizations like RMI.
Step 5: Report annually on supply chain due diligence
We file this Report annually with the SEC, and a copy is publicly available on our website at: https://ir.wabteccorp.com/2020-Conflict-Minerals-Report.pdf.
Due Diligence Results
Wabtec relies on its suppliers to provide information on the origin of 3TG contained in the components and materials supplied
to us. These suppliers are similarly reliant upon information provided by their suppliers. In 2020, Wabtec identified 958 Relevant Suppliers, including 362 Significant Suppliers. Our Significant Suppliers identified 323 smelters and refiners of
3TG that were potentially in their supply chains. Of these 323 unique facilities identified, 71% were validated as “conformant” under the RMAP as of April 20, 2021. “Conformant” means that a
smelter or refiner was audited by the RMI and has been found to be conformant with the RMAP. See Table A below for a list of these smelters and refiners and a summary of their validation status under the RMAP. Based on the information
obtained as a result of the due diligence measures described above, we reasonably determined that the minerals processed by the smelters and refiners listed are from the countries listed in Table B.
With regard to the specific smelters or refiners identified by Wabtec, we cannot be certain that the identified smelters and refiners supplied 3TG for parts and components supplied to Wabtec rather than to other
customers. Wabtec does not purchase raw ore or unrefined tin, tantalum, tungsten or gold. Wabtec is many steps removed from the mining of the conflict minerals. For this reason, we have been unable to establish chain of custody or identify with
confidence the specific facilities used to process the 3TG in our products and/or the country of origin, the mine or location of origin of the 3TG in our products.
Continuous improvement
Wabtec intends to continue its efforts in 2021 to improve its supply chain due diligence and further mitigate the risk that 3TG contained in its products supports armed conflict in Covered Countries by:
| • |
Communication and training with our suppliers across the Wabtec business units to improve their understanding of Wabtec’s responsible sourcing efforts and improve the percentage of Significant Suppliers responding to Wabtec’s 3TG due
diligence efforts and the quality of their responses to our surveys;
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| • |
Identification of and communication with smelters and refiners in Wabtec’s supply chain, both directly and indirectly through Wabtec’s Significant Suppliers, in order to increase the number of smelters and
refiners that participate in the RMAP and become Conformant; and
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| • |
Coordination with any new Significant Suppliers to ensure that they understand Wabtec’s responsible sourcing and compliance requirements, the requirements of the Conflict Minerals Rule, and the OECD Guidance.
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6
Table A
(as of April 20, 2021)
Summary of Smelters and Refiners
# of Smelters and Refiners Reported in Our Supply Chain
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Conformant
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Active |
On Smelter Look-
Up Tab Only
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Total
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2019
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2020
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2019
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2020
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2019
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2020
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2019
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2020
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Tin
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43
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51
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1
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11
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9
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11
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53
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73
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Tungsten
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41
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36
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2
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6
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3
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2
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46
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44
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Tantalum
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35
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35
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0
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0
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0
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0
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35
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35
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Gold
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101
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107
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1
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6
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43
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58
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145
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171
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Total
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220
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229
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4
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23
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55
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71
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279
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323
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We note the following in connection with the information contained in the foregoing table:
(1) While the smelters and refiners reflected in the table were identified by our Significant Suppliers as potentially being part of our 2020 supply chain, not all of the smelters and refiners may have processed the necessary 3TG contained in
the in-scope products that we manufactured. Many Significant Suppliers reported to us at a “company level” the 3TG contained in all of their products, not just those in the products that they sold to us. Some Significant Suppliers also may have
reported to us smelters and refiners that were not in our supply chain due to over-inclusiveness in the information received from their suppliers or for other reasons. In addition, the smelters and refiners reflected above may not be all of the
smelters and refiners in our supply chain. Some Significant Suppliers may be unable to identify all of the smelters and refiners used to process the necessary 3TG content contained in the products that we manufactured, and not all of the
Significant Suppliers responded to our inquiries.
(2) “Conformant” means that a smelter or refiner was audited by the RMI and has been found to be conformant with the RMAP. The information reflected in the table is based solely on information made available by the RMI to its members, without
independent verification by us.
(3) “Active” means that a smelter or refiner is a participant in the RMAP committed to undergoing an assessment and has scheduled an assessment date, or is participating in one of the cross-recognized certification programs.
(4) A smelter or refiner is listed as "On Smelter Look-up Tab Only" if it was not Conformant or Active, but appears on the Smelter Look-Up Tab of the CMRT.
(5) The information reflected in the table is based solely on information made available by the RMI to its members, without independent verification by us.
Status of Identified Smelters and Refiners for 2020
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Metal
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Standard Smelter Name
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Country Location
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Audit Status
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Gold
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8853 S.p.A.
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ITALY
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Conformant
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Gold
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Advanced Chemical Company
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UNITED STATES OF AMERICA
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Conformant
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Gold
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Aida Chemical Industries Co., Ltd.
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JAPAN
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Conformant
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Gold
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Al Etihad Gold Refinery DMCC
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UNITED ARAB EMIRATES
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Conformant
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7
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Gold
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Allgemeine Gold-und Silberscheideanstalt A.G.
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GERMANY
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Conformant
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Gold
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Almalyk Mining and Metallurgical Complex (AMMC)
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UZBEKISTAN
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Conformant
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Gold
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AngloGold Ashanti Corrego do Sitio Mineracao
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BRAZIL
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Conformant
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Gold
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Argor-Heraeus S.A.
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SWITZERLAND
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Conformant
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Gold
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Asahi Pretec Corp.
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JAPAN
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Conformant
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Gold
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Asahi Refining Canada Ltd.
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CANADA
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Conformant
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||||
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Gold
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Asahi Refining USA Inc.
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UNITED STATES OF AMERICA
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Conformant
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Gold
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Asaka Riken Co., Ltd.
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JAPAN
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Conformant
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||||
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Gold
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AU Traders and Refiners
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SOUTH AFRICA
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Conformant
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||||
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Gold
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Aurubis AG
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GERMANY
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Conformant
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||||
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Gold
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Bangalore Refinery
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INDIA
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Conformant
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||||
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Gold
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Bangko Sentral ng Pilipinas (Central Bank of the Philippines)
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PHILIPPINES
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Conformant
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||||
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Gold
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Boliden AB
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SWEDEN
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Conformant
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||||
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Gold
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C. Hafner GmbH + Co. KG
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GERMANY
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Conformant
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||||
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Gold
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CCR Refinery - Glencore Canada Corporation
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CANADA
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Conformant
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||||
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Gold
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Cendres + Metaux S.A.
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SWITZERLAND
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Conformant
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||||
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Gold
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Chimet S.p.A.
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ITALY
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Conformant
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||||
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Gold
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Chugai Mining
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JAPAN
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Conformant
|
||||
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Gold
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DODUCO Contacts and Refining GmbH
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GERMANY
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Conformant
|
||||
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Gold
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Dowa
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JAPAN
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Conformant
|
||||
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Gold
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DSC (Do Sung Corporation)
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KOREA, REPUBLIC OF
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Conformant
|
||||
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Gold
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Eco-System Recycling Co., Ltd. East Plant
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JAPAN
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Conformant
|
||||
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Gold
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Eco-System Recycling Co., Ltd. North Plant
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JAPAN
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Conformant
|
||||
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Gold
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Eco-System Recycling Co., Ltd. West Plant
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JAPAN
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Conformant
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||||
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Gold
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Emirates Gold DMCC
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UNITED ARAB EMIRATES
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Conformant
|
||||
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Gold
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Geib Refining Corporation
|
UNITED STATES OF AMERICA
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Conformant
|
||||
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Gold
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Gold Refinery of Zijin Mining Group Co., Ltd.
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CHINA
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Conformant
|
||||
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Gold
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Heimerle + Meule GmbH
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GERMANY
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Conformant
|
||||
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Gold
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Heraeus Metals Hong Kong Ltd.
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CHINA
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Conformant
|
||||
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Gold
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Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.
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CHINA
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Conformant
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||||
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Gold
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Ishifuku Metal Industry Co., Ltd.
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JAPAN
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Conformant
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||||
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Gold
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Istanbul Gold Refinery
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TURKEY
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Conformant
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||||
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Gold
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Italpreziosi
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ITALY
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Conformant
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||||
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Gold
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Japan Mint
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JAPAN
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Conformant
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8
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Gold
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Jiangxi Copper Co., Ltd.
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CHINA
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Conformant
|
||||
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Gold
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JSC Novosibirsk Refinery
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RUSSIAN FEDERATION
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Conformant
|
||||
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Gold
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JSC Uralelectromed
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RUSSIAN FEDERATION
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Conformant
|
||||
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Gold
|
JX Nippon Mining & Metals Co., Ltd.
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JAPAN
|
Conformant
|
||||
|
Gold
|
Kazzinc
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KAZAKHSTAN
|
Conformant
|
||||
|
Gold
|
Kennecott Utah Copper LLC
|
UNITED STATES OF AMERICA
|
Conformant
|
||||
|
Gold
|
KGHM Polska Miedz Spolka Akcyjna
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POLAND
|
Conformant
|
||||
|
Gold
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Kojima Chemicals Co., Ltd.
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JAPAN
|
Conformant
|
||||
|
Gold
|
Korea Zinc Co., Ltd.
|
KOREA, REPUBLIC OF
|
Conformant
|
||||
|
Gold
|
Kyrgyzaltyn JSC
|
KYRGYZSTAN
|
Conformant
|
||||
|
Gold
|
L'Orfebre S.A.
|
ANDORRA
|
Conformant
|
||||
|
Gold
|
LS-NIKKO Copper Inc.
|
KOREA, REPUBLIC OF
|
Conformant
|
||||
|
Gold
|
LT Metal Ltd.
|
KOREA, REPUBLIC OF
|
Conformant
|
||||
|
Gold
|
Marsam Metals
|
BRAZIL
|
Conformant
|
||||
|
Gold
|
Materion
|
UNITED STATES OF AMERICA
|
Conformant
|
||||
|
Gold
|
Matsuda Sangyo Co., Ltd.
|
JAPAN
|
Conformant
|
||||
|
Gold
|
Metal Concentrators SA (Pty) Ltd.
|
SOUTH AFRICA
|
Conformant
|
||||
|
Gold
|
Metalor Technologies (Hong Kong) Ltd.
|
CHINA
|
Conformant
|
||||
|
Gold
|
Metalor Technologies (Singapore) Pte., Ltd.
|
SINGAPORE
|
Conformant
|
||||
|
Gold
|
Metalor Technologies (Suzhou) Ltd.
|
CHINA
|
Conformant
|
||||
|
Gold
|
Metalor Technologies S.A.
|
SWITZERLAND
|
Conformant
|
||||
|
Gold
|
Metalor USA Refining Corporation
|
UNITED STATES OF AMERICA
|
Conformant
|
||||
|
Gold
|
Metalurgica Met-Mex Penoles S.A. De C.V.
|
MEXICO
|
Conformant
|
||||
|
Gold
|
Mitsubishi Materials Corporation
|
JAPAN
|
Conformant
|
||||
|
Gold
|
MMTC-PAMP India Pvt., Ltd.
|
INDIA
|
Conformant
|
||||
|
Gold
|
Moscow Special Alloys Processing Plant
|
RUSSIAN FEDERATION
|
Conformant
|
||||
|
Gold
|
Nadir Metal Rafineri San. Ve Tic. A.S.
|
TURKEY
|
Conformant
|
||||
|
Gold
|
Navoi Mining and Metallurgical Combinat
|
UZBEKISTAN
|
Conformant
|
||||
|
Gold
|
Nihon Material Co., Ltd.
|
JAPAN
|
Conformant
|
||||
|
Gold
|
Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH
|
AUSTRIA
|
Conformant
|
||||
|
Gold
|
Ohura Precious Metal Industry Co., Ltd.
|
JAPAN
|
Conformant
|
||||
|
Gold
|
OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)
|
RUSSIAN FEDERATION
|
Conformant
|
9
|
Gold
|
PAMP S.A.
|
SWITZERLAND
|
Conformant
|
||||
|
Gold
|
Planta Recuperadora de Metales SpA
|
CHILE
|
Conformant
|
||||
|
Gold
|
Prioksky Plant of Non-Ferrous Metals
|
RUSSIAN FEDERATION
|
Conformant
|
||||
|
Gold
|
PT Aneka Tambang (Persero) Tbk
|
INDONESIA
|
Conformant
|
||||
|
Gold
|
PX Precinox S.A.
|
SWITZERLAND
|
Conformant
|
||||
|
Gold
|
Rand Refinery (Pty) Ltd.
|
SOUTH AFRICA
|
Conformant
|
||||
|
Gold
|
REMONDIS PMR B.V.
|
NETHERLANDS
|
Conformant
|
||||
|
Gold
|
Royal Canadian Mint
|
CANADA
|
Conformant
|
||||
|
Gold
|
SAAMP
|
FRANCE
|
Conformant
|
||||
|
Gold
|
Safimet S.p.A
|
ITALY
|
Conformant
|
||||
|
Gold
|
SAFINA A.S.
|
CZECHIA
|
Conformant
|
||||
|
Gold
|
Samduck Precious Metals
|
KOREA, REPUBLIC OF
|
Conformant
|
||||
|
Gold
|
SAXONIA Edelmetalle GmbH
|
GERMANY
|
Conformant
|
||||
|
Gold
|
SEMPSA Joyeria Plateria S.A.
|
SPAIN
|
Conformant
|
||||
|
Gold
|
Shandong Gold Smelting Co., Ltd.
|
CHINA
|
Conformant
|
||||
|
Gold
|
Shandong Zhaojin Gold & Silver Refinery Co., Ltd.
|
CHINA
|
Conformant
|
||||
|
Gold
|
Sichuan Tianze Precious Metals Co., Ltd.
|
CHINA
|
Conformant
|
||||
|
Gold
|
Singway Technology Co., Ltd.
|
TAIWAN, PROVINCE OF CHINA
|
Conformant
|
||||
|
Gold
|
SOE Shyolkovsky Factory of Secondary Precious Metals
|
RUSSIAN FEDERATION
|
Conformant
|
||||
|
Gold
|
Solar Applied Materials Technology Corp.
|
TAIWAN, PROVINCE OF CHINA
|
Conformant
|
||||
|
Gold
|
Sumitomo Metal Mining Co., Ltd.
|
JAPAN
|
Conformant
|
||||
|
Gold
|
SungEel HiMetal Co., Ltd.
|
KOREA, REPUBLIC OF
|
Conformant
|
||||
|
Gold
|
T.C.A S.p.A
|
ITALY
|
Conformant
|
||||
|
Gold
|
Tanaka Kikinzoku Kogyo K.K.
|
JAPAN
|
Conformant
|
||||
|
Gold
|
Tokuriki Honten Co., Ltd.
|
JAPAN
|
Conformant
|
||||
|
Gold
|
TOO Tau-Ken-Altyn
|
KAZAKHSTAN
|
Conformant
|
||||
|
Gold
|
Torecom
|
KOREA, REPUBLIC OF
|
Conformant
|
||||
|
Gold
|
TSK Pretech
|
KOREA, REPUBLIC OF
|
Conformant
|
||||
|
Gold
|
Umicore Precious Metals Thailand
|
THAILAND
|
Conformant
|
||||
|
Gold
|
Umicore S.A. Business Unit Precious Metals Refining
|
BELGIUM
|
Conformant
|
||||
|
Gold
|
United Precious Metal Refining, Inc.
|
UNITED STATES OF AMERICA
|
Conformant
|
10
|
Gold
|
Valcambi S.A.
|
SWITZERLAND
|
Conformant
|
||||
|
Gold
|
Western Australian Mint (T/a The Perth Mint)
|
AUSTRALIA
|
Conformant
|
||||
|
Gold
|
WIELAND Edelmetalle GmbH
|
GERMANY
|
Conformant
|
||||
|
Gold
|
Yamakin Co., Ltd.
|
JAPAN
|
Conformant
|
||||
|
Gold
|
Yokohama Metal Co., Ltd.
|
JAPAN
|
Conformant
|
||||
|
Gold
|
Zhongyuan Gold Smelter of Zhongjin Gold Corporation
|
CHINA
|
Conformant
|
||||
|
Gold
|
Alexy Metals
|
UNITED STATES OF AMERICA
|
Active
|
||||
|
Gold
|
Augmont Enterprises Private Limited
|
INDIA
|
Active
|
||||
|
Gold
|
C.I Metales Procesados Industriales SAS
|
COLOMBIA
|
Active
|
||||
|
Gold
|
Heraeus Germany GmbH Co. KG
|
GERMANY
|
Active
|
||||
|
Gold
|
International Precious Metal Refiners
|
UNITED ARAB EMIRATES
|
Active
|
||||
|
Gold
|
Metallix Refining Inc.
|
UNITED STATES OF AMERICA
|
Active
|
||||
|
Gold
|
Abington Reldan Metals, LLC
|
UNITED STATES OF AMERICA
|
On Smelter Look-Up Tab List Only
|
||||
|
Gold
|
African Gold Refinery
|
UGANDA
|
On Smelter Look-Up Tab List Only
|
||||
|
Gold
|
Atasay Kuyumculuk Sanayi Ve Ticaret A.S.
|
TURKEY
|
On Smelter Look-Up Tab List Only
|
||||
|
Gold
|
Caridad
|
MEXICO
|
On Smelter Look-Up Tab List Only
|
||||
|
Gold
|
CGR Metalloys Pvt Ltd.
|
INDIA
|
On Smelter Look-Up Tab List Only
|
||||
|
Gold
|
Daye Non-Ferrous Metals Mining Ltd.
|
CHINA
|
On Smelter Look-Up Tab List Only
|
||||
|
Gold
|
Degussa Sonne / Mond Goldhandel GmbH
|
GERMANY
|
On Smelter Look-Up Tab List Only
|
||||
|
Gold
|
Dijllah Gold Refinery FZC
|
UNITED ARAB EMIRATES
|
On Smelter Look-Up Tab List Only
|
||||
|
Gold
|
Emerald Jewel Industry India Limited (Unit 1)
|
INDIA
|
On Smelter Look-Up Tab List Only
|
||||
|
Gold
|
Emerald Jewel Industry India Limited (Unit 2)
|
INDIA
|
On Smelter Look-Up Tab List Only
|
11
|
Gold
|
Emerald Jewel Industry India Limited (Unit 3)
|
INDIA
|
On Smelter Look-Up Tab List Only
|
||||
|
Gold
|
Emerald Jewel Industry India Limited (Unit 4)
|
INDIA
|
On Smelter Look-Up Tab List Only
|
||||
|
Gold
|
Fidelity Printers and Refiners Ltd.
|
ZIMBABWE
|
On Smelter Look-Up Tab List Only
|
||||
|
Gold
|
Fujairah Gold FZC
|
UNITED ARAB EMIRATES
|
On Smelter Look-Up Tab List Only
|
||||
|
Gold
|
GCC Gujrat Gold Centre Pvt. Ltd.
|
INDIA
|
On Smelter Look-Up Tab List Only
|
||||
|
Gold
|
Gold Coast Refinery
|
GHANA
|
On Smelter Look-Up Tab List Only
|
||||
|
Gold
|
Great Wall Precious Metals Co., Ltd. of CBPM
|
CHINA
|
On Smelter Look-Up Tab List Only
|
||||
|
Gold
|
Guangdong Jinding Gold Limited
|
CHINA
|
On Smelter Look-Up Tab List Only
|
||||
|
Gold
|
Guoda Safina High-Tech Environmental Refinery Co., Ltd.
|
CHINA
|
On Smelter Look-Up Tab List Only
|
||||
|
Gold
|
Hangzhou Fuchunjiang Smelting Co., Ltd.
|
CHINA
|
On Smelter Look-Up Tab List Only
|
||||
|
Gold
|
Hunan Chenzhou Mining Co., Ltd.
|
CHINA
|
On Smelter Look-Up Tab List Only
|
||||
|
Gold
|
Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd.
|
CHINA
|
On Smelter Look-Up Tab List Only
|
||||
|
Gold
|
HwaSeong CJ CO., LTD.
|
KOREA, REPUBLIC OF
|
On Smelter Look-Up Tab List Only
|
||||
|
Gold
|
Industrial Refining Company
|
BELGIUM
|
On Smelter Look-Up Tab List Only
|
||||
|
Gold
|
JALAN & Company
|
INDIA
|
On Smelter Look-Up Tab List Only
|
||||
|
Gold
|
JSC Ekaterinburg Non-Ferrous Metal Processing Plant
|
RUSSIAN FEDERATION
|
On Smelter Look-Up Tab List Only
|
12
|
Gold
|
K.A. Rasmussen
|
NORWAY
|
On Smelter Look-Up Tab List Only
|
||||
|
Gold
|
Kaloti Precious Metals
|
UNITED ARAB EMIRATES
|
On Smelter Look-Up Tab List Only
|
||||
|
Gold
|
Kazakhmys Smelting LLC
|
KAZAKHSTAN
|
On Smelter Look-Up Tab List Only
|
||||
|
Gold
|
Kundan Care Products Ltd.
|
INDIA
|
On Smelter Look-Up Tab List Only
|
||||
|
Gold
|
Kyshtym Copper-Electrolytic Plant ZAO
|
RUSSIAN FEDERATION
|
On Smelter Look-Up Tab List Only
|
||||
|
Gold
|
L'azurde Company For Jewelry
|
SAUDI ARABIA
|
On Smelter Look-Up Tab List Only
|
||||
|
Gold
|
Lingbao Gold Co., Ltd.
|
CHINA
|
On Smelter Look-Up Tab List Only
|
||||
|
Gold
|
Lingbao Jinyuan Tonghui Refinery Co., Ltd.
|
CHINA
|
On Smelter Look-Up Tab List Only
|
||||
|
Gold
|
Luoyang Zijin Yinhui Gold Refinery Co., Ltd.
|
CHINA
|
On Smelter Look-Up Tab List Only
|
||||
|
Gold
|
MD Overseas
|
INDIA
|
On Smelter Look-Up Tab List Only
|
||||
|
Gold
|
Modeltech Sdn Bhd
|
MALAYSIA
|
On Smelter Look-Up Tab List Only
|
||||
|
Gold
|
Morris and Watson
|
NEW ZEALAND
|
On Smelter Look-Up Tab List Only
|
||||
|
Gold
|
NH Recytech Company
|
KOREA, REPUBLIC OF
|
On Smelter Look-Up Tab List Only
|
||||
|
Gold
|
Pease & Curren
|
UNITED STATES OF AMERICA
|
On Smelter Look-Up Tab List Only
|
||||
|
Gold
|
Penglai Penggang Gold Industry Co., Ltd.
|
CHINA
|
On Smelter Look-Up Tab List Only
|
||||
|
Gold
|
QG Refining, LLC
|
UNITED STATES OF AMERICA
|
On Smelter Look-Up Tab List Only
|
13
|
Gold
|
Refinery of Seemine Gold Co., Ltd.
|
CHINA
|
On Smelter Look-Up Tab List Only
|
||||
|
Gold
|
Sabin Metal Corp.
|
UNITED STATES OF AMERICA
|
On Smelter Look-Up Tab List Only
|
||||
|
Gold
|
Sai Refinery
|
INDIA
|
On Smelter Look-Up Tab List Only
|
||||
|
Gold
|
Samwon Metals Corp.
|
KOREA, REPUBLIC OF
|
On Smelter Look-Up Tab List Only
|
||||
|
Gold
|
Sancus ZFS (L’Orfebre, SA)
|
COLOMBIA
|
On Smelter Look-Up Tab List Only
|
||||
|
Gold
|
Sellem Industries Ltd.
|
MAURITANIA
|
On Smelter Look-Up Tab List Only
|
||||
|
Gold
|
Shandong Humon Smelting Co., Ltd.
|
CHINA
|
On Smelter Look-Up Tab List Only
|
||||
|
Gold
|
Shandong Tiancheng Biological Gold Industrial Co., Ltd.
|
CHINA
|
On Smelter Look-Up Tab List Only
|
||||
|
Gold
|
Shenzhen Zhonghenglong Real Industry Co., Ltd.
|
CHINA
|
On Smelter Look-Up Tab List Only
|
||||
|
Gold
|
Shirpur Gold Refinery Ltd.
|
INDIA
|
On Smelter Look-Up Tab List Only
|
||||
|
Gold
|
Sovereign Metals
|
INDIA
|
On Smelter Look-Up Tab List Only
|
||||
|
Gold
|
State Research Institute Center for Physical Sciences and Technology
|
LITHUANIA
|
On Smelter Look-Up Tab List Only
|
||||
|
Gold
|
Sudan Gold Refinery
|
SUDAN
|
On Smelter Look-Up Tab List Only
|
||||
|
Gold
|
Super Dragon Technology Co., Ltd.
|
CHINA
|
On Smelter Look-Up Tab List Only
|
||||
|
Gold
|
Tongling Nonferrous Metals Group Co., Ltd.
|
CHINA
|
On Smelter Look-Up Tab List Only
|
||||
|
Gold
|
Yunnan Copper Industry Co., Ltd.
|
CHINA
|
On Smelter Look-Up Tab List Only
|
14
|
Tantalum
|
AMG Brasil
|
BRAZIL
|
Conformant
|
||||
|
Tantalum
|
Changsha South Tantalum Niobium Co., Ltd.
|
CHINA
|
Conformant
|
||||
|
Tantalum
|
D Block Metals, LLC
|
UNITED STATES OF AMERICA
|
Conformant
|
||||
|
Tantalum
|
Exotech Inc.
|
UNITED STATES OF AMERICA
|
Conformant
|
||||
|
Tantalum
|
F&X Electro-Materials Ltd.
|
CHINA
|
Conformant
|
||||
|
Tantalum
|
FIR Metals & Resource Ltd.
|
CHINA
|
Conformant
|
||||
|
Tantalum
|
Global Advanced Metals Aizu
|
JAPAN
|
Conformant
|
||||
|
Tantalum
|
Global Advanced Metals Boyertown
|
UNITED STATES OF AMERICA
|
Conformant
|
||||
|
Tantalum
|
H.C. Starck Hermsdorf GmbH
|
GERMANY
|
Conformant
|
||||
|
Tantalum
|
H.C. Starck Inc.
|
UNITED STATES OF AMERICA
|
Conformant
|
||||
|
Tantalum
|
Hengyang King Xing Lifeng New Materials Co., Ltd.
|
CHINA
|
Conformant
|
||||
|
Tantalum
|
Jiangxi Dinghai Tantalum & Niobium Co., Ltd.
|
CHINA
|
Conformant
|
||||
|
Tantalum
|
Jiangxi Tuohong New Raw Material
|
CHINA
|
Conformant
|
||||
|
Tantalum
|
JiuJiang JinXin Nonferrous Metals Co., Ltd.
|
CHINA
|
Conformant
|
||||
|
Tantalum
|
Jiujiang Tanbre Co., Ltd.
|
CHINA
|
Conformant
|
||||
|
Tantalum
|
Jiujiang Zhongao Tantalum & Niobium Co., Ltd.
|
CHINA
|
Conformant
|
||||
|
Tantalum
|
KEMET de Mexico
|
MEXICO
|
Conformant
|
||||
|
Tantalum
|
Meta Materials
|
NORTH MACEDONIA, REPUBLIC OF
|
Conformant
|
||||
|
Tantalum
|
Metallurgical Products India Pvt., Ltd.
|
INDIA
|
Conformant
|
||||
|
Tantalum
|
Mitsui Mining and Smelting Co., Ltd.
|
JAPAN
|
Conformant
|
||||
|
Tantalum
|
Ningxia Orient Tantalum Industry Co., Ltd.
|
CHINA
|
Conformant
|
||||
|
Tantalum
|
NPM Silmet AS
|
ESTONIA
|
Conformant
|
||||
|
Tantalum
|
QuantumClean
|
UNITED STATES OF AMERICA
|
Conformant
|
||||
|
Tantalum
|
Resind Industria e Comercio Ltda.
|
BRAZIL
|
Conformant
|
||||
|
Tantalum
|
Solikamsk Magnesium Works OAO
|
RUSSIAN FEDERATION
|
Conformant
|
||||
|
Tantalum
|
Taki Chemical Co., Ltd.
|
JAPAN
|
Conformant
|
||||
|
Tantalum
|
TANIOBIS Co., Ltd.
|
THAILAND
|
Conformant
|
||||
|
Tantalum
|
TANIOBIS GmbH
|
GERMANY
|
Conformant
|
||||
|
Tantalum
|
TANIOBIS Japan Co., Ltd.
|
JAPAN
|
Conformant
|
||||
|
Tantalum
|
TANIOBIS Smelting GmbH & Co. KG
|
GERMANY
|
Conformant
|
||||
|
Tantalum
|
Telex Metals
|
UNITED STATES OF AMERICA
|
Conformant
|
||||
|
Tantalum
|
Ulba Metallurgical Plant JSC
|
KAZAKHSTAN
|
Conformant
|
15
|
Tantalum
|
XIMEI RESOURCES (GUANGDONG) LIMITED
|
CHINA
|
Conformant
|
||||
|
Tantalum
|
XinXing HaoRong Electronic Material Co., Ltd.
|
CHINA
|
Conformant
|
||||
|
Tantalum
|
Yanling Jincheng Tantalum & Niobium Co., Ltd.
|
CHINA
|
Conformant
|
||||
|
Tin
|
Alpha
|
UNITED STATES OF AMERICA
|
Conformant
|
||||
|
Tin
|
Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.
|
CHINA
|
Conformant
|
||||
|
Tin
|
Chifeng Dajingzi Tin Industry Co., Ltd.
|
CHINA
|
Conformant
|
||||
|
Tin
|
China Tin Group Co., Ltd.
|
CHINA
|
Conformant
|
||||
|
Tin
|
EM Vinto
|
BOLIVIA (PLURINATIONAL STATE OF)
|
Conformant
|
||||
|
Tin
|
Fenix Metals
|
POLAND
|
Conformant
|
||||
|
Tin
|
Gejiu Fengming Metallurgy Chemical Plant
|
CHINA
|
Conformant
|
||||
|
Tin
|
Gejiu Kai Meng Industry and Trade LLC
|
CHINA
|
Conformant
|
||||
|
Tin
|
Gejiu Non-Ferrous Metal Processing Co., Ltd.
|
CHINA
|
Conformant
|
||||
|
Tin
|
Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.
|
CHINA
|
Conformant
|
||||
|
Tin
|
Gejiu Zili Mining And Metallurgy Co., Ltd.
|
CHINA
|
Conformant
|
||||
|
Tin
|
Guangdong Hanhe Non-Ferrous Metal Co., Ltd.
|
CHINA
|
Conformant
|
||||
|
Tin
|
HuiChang Hill Tin Industry Co., Ltd.
|
CHINA
|
Conformant
|
||||
|
Tin
|
Jiangxi New Nanshan Technology Ltd.
|
CHINA
|
Conformant
|
||||
|
Tin
|
Luna Smelter, Ltd.
|
RWANDA
|
Conformant
|
||||
|
Tin
|
Ma'anshan Weitai Tin Co., Ltd.
|
CHINA
|
Conformant
|
||||
|
Tin
|
Magnu's Minerais Metais e Ligas Ltda.
|
BRAZIL
|
Conformant
|
||||
|
Tin
|
Malaysia Smelting Corporation (MSC)
|
MALAYSIA
|
Conformant
|
||||
|
Tin
|
Melt Metais e Ligas S.A.
|
BRAZIL
|
Conformant
|
||||
|
Tin
|
Metallic Resources, Inc.
|
UNITED STATES OF AMERICA
|
Conformant
|
||||
|
Tin
|
Metallo Belgium N.V.
|
BELGIUM
|
Conformant
|
||||
|
Tin
|
Metallo Spain S.L.U.
|
SPAIN
|
Conformant
|
||||
|
Tin
|
Mineracao Taboca S.A.
|
BRAZIL
|
Conformant
|
||||
|
Tin
|
Minsur
|
PERU
|
Conformant
|
||||
|
Tin
|
O.M. Manufacturing (Thailand) Co., Ltd.
|
THAILAND
|
Conformant
|
||||
|
Tin
|
O.M. Manufacturing Philippines, Inc.
|
PHILIPPINES
|
Conformant
|
||||
|
Tin
|
Operaciones Metalurgicas S.A.
|
BOLIVIA (PLURINATIONAL STATE OF)
|
Conformant
|
||||
|
Tin
|
PT Artha Cipta Langgeng
|
INDONESIA
|
Conformant
|
||||
|
Tin
|
PT ATD Makmur Mandiri Jaya
|
INDONESIA
|
Conformant
|
||||
|
Tin
|
PT Babel Inti Perkasa
|
INDONESIA
|
Conformant
|
||||
|
Tin
|
PT Babel Surya Alam Lestari
|
INDONESIA
|
Conformant
|
16
|
Tin
|
PT Bangka Serumpun
|
INDONESIA
|
Conformant
|
||||
|
Tin
|
PT Menara Cipta Mulia
|
INDONESIA
|
Conformant
|
||||
|
Tin
|
PT Mitra Stania Prima
|
INDONESIA
|
Conformant
|
||||
|
Tin
|
PT Prima Timah Utama
|
INDONESIA
|
Conformant
|
||||
|
Tin
|
PT Rajawali Rimba Perkasa
|
INDONESIA
|
Conformant
|
||||
|
Tin
|
PT Rajehan Ariq
|
INDONESIA
|
Conformant
|
||||
|
Tin
|
PT Refined Bangka Tin
|
INDONESIA
|
Conformant
|
||||
|
Tin
|
PT Stanindo Inti Perkasa
|
INDONESIA
|
Conformant
|
||||
|
Tin
|
PT Timah Tbk Kundur
|
INDONESIA
|
Conformant
|
||||
|
Tin
|
PT Timah Tbk Mentok
|
INDONESIA
|
Conformant
|
||||
|
Tin
|
PT Tinindo Inter Nusa
|
INDONESIA
|
Conformant
|
||||
|
Tin
|
Rui Da Hung
|
TAIWAN, PROVINCE OF CHINA
|
Conformant
|
||||
|
Tin
|
Soft Metais Ltda.
|
BRAZIL
|
Conformant
|
||||
|
Tin
|
Thai Nguyen Mining and Metallurgy Co., Ltd.
|
VIET NAM
|
Conformant
|
||||
|
Tin
|
Thaisarco
|
THAILAND
|
Conformant
|
||||
|
Tin
|
Tin Technology & Refining
|
UNITED STATES OF AMERICA
|
Conformant
|
||||
|
Tin
|
White Solder Metalurgia e Mineracao Ltda.
|
BRAZIL
|
Conformant
|
||||
|
Tin
|
Yunnan Chengfeng Non-ferrous Metals Co., Ltd.
|
CHINA
|
Conformant
|
||||
|
Tin
|
Yunnan Tin Company Limited
|
CHINA
|
Conformant
|
||||
|
Tin
|
Yunnan Yunfan Non-ferrous Metals Co., Ltd.
|
CHINA
|
Conformant
|
||||
|
Tin
|
CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda
|
BRAZIL
|
Active
|
||||
|
Tin
|
CRM Synergies
|
SPAIN
|
Active
|
||||
|
Tin
|
CV Ayi Jaya
|
INDONESIA
|
Active
|
||||
|
Tin
|
CV Venus Inti Perkasa
|
INDONESIA
|
Active
|
||||
|
Tin
|
Estanho de Rondonia S.A.
|
BRAZIL
|
Active
|
||||
|
Tin
|
Novosibirsk Processing Plant Ltd.
|
RUSSIAN FEDERATION
|
Active
|
||||
|
Tin
|
PT Aries Kencana Sejahtera
|
INDONESIA
|
Active
|
||||
|
Tin
|
PT Bukit Timah
|
INDONESIA
|
Active
|
||||
|
Tin
|
PT Lautan Harmonis Sejahtera
|
INDONESIA
|
Active
|
||||
|
Tin
|
PT Sukses Inti Makmur
|
INDONESIA
|
Active
|
||||
|
Tin
|
Super Ligas
|
BRAZIL
|
Active
|
||||
|
Tin
|
An Vinh Joint Stock Mineral Processing Company
|
VIET NAM
|
On Smelter Look-Up Tab List Only
|
||||
|
Tin
|
Dongguan CiEXPO Environmental Engineering Co., Ltd.
|
CHINA
|
On Smelter Look-Up Tab List Only
|
17
|
Tin
|
Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company
|
VIET NAM
|
On Smelter Look-Up Tab List Only
|
||||
|
Tin
|
Gejiu City Fuxiang Industry and Trade Co., Ltd.
|
CHINA
|
On Smelter Look-Up Tab List Only
|
||||
|
Tin
|
Nghe Tinh Non-Ferrous Metals Joint Stock Company
|
VIET NAM
|
On Smelter Look-Up Tab List Only
|
||||
|
Tin
|
Pongpipat Company Limited
|
MYANMAR
|
On Smelter Look-Up Tab List Only
|
||||
|
Tin
|
Precious Minerals and Smelting Limited
|
INDIA
|
On Smelter Look-Up Tab List Only
|
||||
|
Tin
|
PT Cipta Persada Mulia
|
INDONESIA
|
On Smelter Look-Up Tab List Only
|
||||
|
Tin
|
PT Mitra Sukses Globalindo
|
INDONESIA
|
On Smelter Look-Up Tab List Only
|
||||
|
Tin
|
Tuyen Quang Non-Ferrous Metals Joint Stock Company
|
VIET NAM
|
On Smelter Look-Up Tab List Only
|
||||
|
Tin
|
VQB Mineral and Trading Group JSC
|
VIET NAM
|
On Smelter Look-Up Tab List Only
|
||||
|
Tungsten
|
A.L.M.T. Corp.
|
JAPAN
|
Conformant
|
||||
|
Tungsten
|
ACL Metais Eireli
|
BRAZIL
|
Conformant
|
||||
|
Tungsten
|
Asia Tungsten Products Vietnam Ltd.
|
VIET NAM
|
Conformant
|
||||
|
Tungsten
|
Chenzhou Diamond Tungsten Products Co., Ltd.
|
CHINA
|
Conformant
|
||||
|
Tungsten
|
China Molybdenum Tungsten Co., Ltd.
|
CHINA
|
Conformant
|
||||
|
Tungsten
|
Chongyi Zhangyuan Tungsten Co., Ltd.
|
CHINA
|
Conformant
|
||||
|
Tungsten
|
Fujian Ganmin RareMetal Co., Ltd.
|
CHINA
|
Conformant
|
||||
|
Tungsten
|
Ganzhou Haichuang Tungsten Co., Ltd.
|
CHINA
|
Conformant
|
||||
|
Tungsten
|
Ganzhou Huaxing Tungsten Products Co., Ltd.
|
CHINA
|
Conformant
|
||||
|
Tungsten
|
Ganzhou Jiangwu Ferrotungsten Co., Ltd.
|
CHINA
|
Conformant
|
||||
|
Tungsten
|
Ganzhou Seadragon W & Mo Co., Ltd.
|
CHINA
|
Conformant
|
||||
|
Tungsten
|
Global Tungsten & Powders Corp.
|
UNITED STATES OF AMERICA
|
Conformant
|
||||
|
Tungsten
|
Guangdong Xianglu Tungsten Co., Ltd.
|
CHINA
|
Conformant
|
||||
|
Tungsten
|
H.C. Starck Tungsten GmbH
|
GERMANY
|
Conformant
|
||||
|
Tungsten
|
Hunan Chunchang Nonferrous Metals Co., Ltd.
|
CHINA
|
Conformant
|
18
|
Tungsten
|
Hydrometallurg, JSC
|
RUSSIAN FEDERATION
|
Conformant
|
||||
|
Tungsten
|
Japan New Metals Co., Ltd.
|
JAPAN
|
Conformant
|
||||
|
Tungsten
|
Jiangwu H.C. Starck Tungsten Products Co., Ltd.
|
CHINA
|
Conformant
|
||||
|
Tungsten
|
Jiangxi Gan Bei Tungsten Co., Ltd.
|
CHINA
|
Conformant
|
||||
|
Tungsten
|
Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.
|
CHINA
|
Conformant
|
||||
|
Tungsten
|
Jiangxi Xinsheng Tungsten Industry Co., Ltd.
|
CHINA
|
Conformant
|
||||
|
Tungsten
|
Jiangxi Yaosheng Tungsten Co., Ltd.
|
CHINA
|
Conformant
|
||||
|
Tungsten
|
Kennametal Fallon
|
UNITED STATES OF AMERICA
|
Conformant
|
||||
|
Tungsten
|
Kennametal Huntsville
|
UNITED STATES OF AMERICA
|
Conformant
|
||||
|
Tungsten
|
KGETS Co., Ltd.
|
KOREA, REPUBLIC OF
|
Conformant
|
||||
|
Tungsten
|
Lianyou Metals Co., Ltd.
|
TAIWAN, PROVINCE OF CHINA
|
Conformant
|
||||
|
Tungsten
|
Malipo Haiyu Tungsten Co., Ltd.
|
CHINA
|
Conformant
|
||||
|
Tungsten
|
Masan High-Tech Materials
|
VIET NAM
|
Conformant
|
||||
|
Tungsten
|
Moliren Ltd.
|
RUSSIAN FEDERATION
|
Conformant
|
||||
|
Tungsten
|
Niagara Refining LLC
|
UNITED STATES OF AMERICA
|
Conformant
|
||||
|
Tungsten
|
Philippine Chuangxin Industrial Co., Inc.
|
PHILIPPINES
|
Conformant
|
||||
|
Tungsten
|
Unecha Refractory metals plant
|
RUSSIAN FEDERATION
|
Conformant
|
||||
|
Tungsten
|
Wolfram Bergbau und Hutten AG
|
AUSTRIA
|
Conformant
|
||||
|
Tungsten
|
Xiamen Tungsten (H.C.) Co., Ltd.
|
CHINA
|
Conformant
|
||||
|
Tungsten
|
Xiamen Tungsten Co., Ltd.
|
CHINA
|
Conformant
|
||||
|
Tungsten
|
Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.
|
CHINA
|
Conformant
|
||||
|
Tungsten
|
Albasteel Industria e Comercio de Ligas Para Fundicao Ltd.
|
BRAZIL
|
Active
|
||||
|
Tungsten
|
Artek LLC
|
RUSSIAN FEDERATION
|
Active
|
||||
|
Tungsten
|
Cronimet Brasil Ltda
|
BRAZIL
|
Active
|
||||
|
Tungsten
|
GEM Co., Ltd.
|
CHINA
|
Active
|
||||
|
Tungsten
|
JSC "Kirovgrad Hard Alloys Plant"
|
RUSSIAN FEDERATION
|
Active
|
||||
|
Tungsten
|
NPP Tyazhmetprom LLC
|
RUSSIAN FEDERATION
|
Active
|
19
|
Tungsten
|
CNMC (Guangxi) PGMA Co., Ltd.
|
CHINA
|
On Smelter Look-Up Tab List Only
|
||||
|
Tungsten
|
Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.
|
CHINA
|
On Smelter Look-Up Tab List Only
|
20
Table B
(as of April 20, 2021)
|
Tin
|
Tungsten
|
Tantalum
|
Gold
|
|
Belgium
|
Austria
|
Brazil
|
Andorra
|
|
Bolivia
|
Brazil
|
China
|
Australia
|
|
Brazil
|
China
|
Estonia
|
Austria
|
|
China
|
Germany
|
Germany
|
Belgium
|
|
India
|
Japan
|
India
|
Brazil
|
|
Indonesia
|
Korea, Republic of
|
Japan
|
Canada
|
|
Japan
|
Philippines
|
Kazakhstan
|
Chile
|
|
Malaysia
|
Russian Federation
|
Macedonia,
Republic of
|
China
|
|
Myanmar
|
Taiwan
|
Mexico
|
Colombia
|
|
Peru
|
United States
|
Russian Federation
|
Czech Republic
|
|
Philippines
|
Viet Nam
|
Thailand
|
France
|
|
Poland
|
United States
|
Germany
|
|
|
Russian Federation
|
Ghana
|
||
|
Rwanda
|
India
|
||
|
Spain
|
Indonesia
|
||
|
Taiwan
|
Italy
|
||
|
Thailand
|
Japan
|
||
|
United States
|
Kazakhstan
|
||
|
Viet Nam
|
Korea, Republic of
|
||
|
Kyrgyzstan
|
|||
|
Lithuania
|
|||
|
Malaysia
|
|||
|
Mexico
|
|||
|
Netherlands
|
|||
|
Norway
|
|||
|
Peru
|
|||
|
Philippines
|
|||
|
Poland
|
|||
|
Russian Federation
|
|||
|
Saudi Arabia
|
|||
|
Singapore
|
|||
|
South Africa
|
|||
|
Spain
|
|||
|
Sweden
|
|||
|
Switzerland
|
|||
|
Taiwan
|
|||
|
Thailand
|
21
|
Turkey
|
|||
|
Uganda
|
|||
|
United Arab
Emirates
|
|||
|
United States
|
|||
|
Uzbekistan
|
|||
|
Zimbabwe
|
22
Helpful Resources
Acronyms Used in This Report
|
3TG
|
Tin, Tantalum, Tungsten or Gold
|
|
CMRT
|
Conflict Minerals Reporting Template
|
|
DRC
|
Democratic Republic of the Congo
|
|
OECD
|
Organization for Economic Cooperation and Development
|
|
RMAP
|
Responsible Minerals Assurance Process (formerly the Conflict-Free Smelter Program)
|
|
RMI
|
Responsible Minerals Initiative (formerly the Conflict-Free Sourcing Initiative)
|
|
SEC
|
U.S. Securities and Exchange Commission
|
Forward-Looking Statements
This Report contains "forward-looking statements" – that is, statements based on our current expectations and projections about future events. These forward-looking statements are subject to various risks, uncertainties, and assumptions. For
details on the uncertainties that may cause our actual future results to be materially different than those expressed in our forward-looking statements, see our annual reports on Form 10-K and quarterly reports on Form 10-Q. We undertake no
obligation to update any statement to reflect events or circumstances after the date on which the statement is made or to reflect the occurrence of unanticipated events.
Where You Can Find Additional Information*
Wabtec Conflict Minerals Policy
https://ir.wabteccorp.com/static-files/eb2e79c0-1128-4ffd-9d1f-3425302bdc54
Wabtec Supplier Code of Conduct
https://www.wabteccorp.com/supplier-code-of-conduct
Wabtec Code of Business Conduct and Ethics
https://ir.wabteccorp.com/static-files/fe76c10c-8311-4f5d-94d6-4ae16fbe98ff
Responsible Minerals Initiative
http://www.responsiblemineralsinitiative.org
OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas
www.oecd.org/daf/inv/mne/OECD-Due-Diligence-Guidance-Minerals-Edition3.pdf
Wabtec’s 2020 Annual Report on Form 10-K
https://ir.wabteccorp.com/static-files/b204e4be-d383-4731-9a12-e3aa4df94003
*These web links are provided for convenience only, and the content on the referenced websites does not constitute a part of this Report.
Wabtec and the Wabtec logo are trademarks and service marks of Wabtec Corporation. Other marks used throughout are trademarks and service marks of their respective owners.
23