Exhibit 1.01
Exterran Corporation
Conflict Minerals Report
Company and Product Overview
Exterran Corporation is a global market leader in the full-service natural gas compression business and a premier provider of operations, maintenance, service and equipment for oil and natural gas production, processing and transportation applications. We operate in four primary business lines: contract operations, aftermarket services, oil and gas product sales and Belleli EPC product sales. As part of our business, we manufacture products for which gold, tantalum, tin and/or tungsten (collectively, “3TG materials”) are necessary to the functionality or production of our products. We are required to comply with Rule 13p-1 of the Securities Exchange Act of 1934, as amended, as implemented through SEC Form SD (“Rule 13p-1”), which requires, among other things, that we file this Conflict Minerals Report (this “Report”). This Report covers the period from January 1, 2016 through December 31, 2016.
The products we manufacture include the following, many of which we have determined, based on our supplier responses, include 3TG materials:
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| • | Natural gas compressors; |
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| • | Oil and natural gas production equipment, including filter separators, sand separators, two & three phase separators, slug catchers, vent scrubbers, gas scrubbers, heated separators, glycol dehydrators, JT assemblies, production units, line heaters, coolers, H2S eliminators, BTEX eliminators, vertical and horizontal treaters, condensate stabilizers, vapor recovery equipment, filter separators and sand separators; |
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| • | Natural gas processing systems, including cryogenic systems, JT systems, dewpoint systems and amine systems; |
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| • | Water treatment equipment, including Sabian BWS filters, P-KLONE Hydrocyclone separators, ONYX pumps, Gas Liquid Reactors, REVOLIFT flotation systems and gas flotation tanks; |
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| • | Marine and offshore equipment, including pressure vessels, FPSO (floating production, storage and offloading) process modules, terminal buoys, turrets, natural gas compression units and related equipment; |
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| • | Critical process equipment for refinery and petrochemical facilities, including high-pressure heat exchangers, tubular reactors, urea equipment, ammonia converters, methanol reactors and hydrocracking/hydrotreating reactors; and |
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| • | Evaporators and brine heaters for desalination plants. |
Conflict Minerals Program Overview
We have taken a number of steps to implement a conflict minerals compliance program, including:
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| • | We adopted a conflict minerals policy, which is publicly available on our website at www.exterran.com. |
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| • | We assembled an internal team to support supply chain due diligence. |
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| • | We worked to communicate expectations with regard to supplier performance, transparency and sourcing. |
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| • | Working with our suppliers, we identified many of the smelters or refiners (“SORs”) in our supply chain and plan to take measures intended to increase the supplier response rate for our RCOI process. |
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| • | We compared our reasonable country of origin inquiry (“RCOI”) results with information collected via independent conflict free smelter validation programs such as the Conflict Free Smelter Program sponsored by the Conflict Free Sourcing Initiative (“CFSI”) an initiative of the Electronic Industry Citizenship Coalition and Global e-Sustainability Initiative (“EICC/GeSI”). |
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| • | We report annually, as required by Rule 13p-1, on our sourcing due diligence efforts. This Report and the Form SD of which it is a part are publicly available on our website at www.exterran.com. |
Rule 13p-1 requires that we conduct in good faith an RCOI that is reasonably designed to determine whether any of our 3TG materials originated in the Democratic Republic of the Congo or an adjoining country (each, a “covered country”). For 3TG materials that, based on our RCOI, we know originated in, or we have reason to believe may have, originated in, a covered country, Rule 13p-1 requires that we exercise due diligence on the source and chain of custody of such 3TG materials.
Our manufactured products were primarily assembled using components obtained from our suppliers. We are several tiers removed from mining operations and SORs and have no visibility into the upstream supply chain beyond our direct suppliers. We thus had to request our suppliers’ assistance in collecting information regarding the presence of 3TG materials in the components supplied to us and, if present, information regarding the sourcing of such 3TG materials.
Information on the presence and sourcing of 3TG materials in the components supplied to us was collected and stored using an online platform provided by a third party vendor, Source Intelligence (“SI”). This platform utilized the EICC-GeSI Conflict Minerals Due Diligence Template (the “EICC-GeSI Template”), which includes standard supply chain survey and information tracking methods, to determine whether our manufactured products contained 3TG materials minerals necessary to their functionality or production and to perform our RCOI. In an effort to increase awareness among our suppliers of our conflict minerals compliance program, as well as the applicable SEC regulations and related frequently asked questions (FAQs) concerning conflict minerals compliance, SI introduced each of our suppliers to the Conflict Minerals Supplier Resource Center maintained by SI on its website. We undertook this step as an elevated tool to facilitate a deeper understanding of our conflicts minerals program and why we are requesting information from them.
Reasonable Country of Origin Inquiry
For 2016, we identified 1,935 suppliers as having supplied components to us that were included in products we manufactured. An introduction email was sent to each supplier describing the compliance requirements and requesting that the supplier complete the EICC-GeSI Template to provide information regarding the presence and sourcing of any 3TG materials in the components supplied to us. Suppliers that were not able to be reached through email were contacted via telephone or fax. Following the initial introductions to the program and information request, at least three additional requests (via email, telephone or fax) were made to each non-responsive supplier requesting completion of the EICC-GeSI Template. Suppliers that remained non-responsive to these repeated requests were contacted multiple times by email and offered assistance. This assistance included, but was not limited to, further information regarding our 3TG materials compliance program, an explanation of why the information was being collected, a review of how the information would be used and clarification regarding how the supplier could provide the required information.
Suppliers were requested to provide information regarding whether 3TG materials were necessary to the functionality or production of the components supplied to us and whether such 3TG materials were sourced from one of the covered countries. Suppliers were further requested to provide information regarding the source and chain of custody of the 3TG materials, in an attempt to trace the 3TG materials to the SORs in which they were processed.
Supplier responses were evaluated for plausibility, consistency and completeness. Suppliers were contacted to address issues including implausible statements regarding no presence of 3TG materials in the components supplied to us, incomplete data on the EICC-GeSI Template, responses that did not identify SORs, responses indicating the sourcing location without complete supporting information from the supply chain, and organizations that were identified as SORs, but not verified as such through further analysis and research.
Of the 1,935 suppliers we identified as having supplied components to us that were included in products we manufactured, approximately 34% completed the EICC- GeSI Template as requested. Of these responsive suppliers, 88% indicated that one or more of the 3TG materials was necessary to the functionality or production of the components supplied to us. As part of our RCOI efforts, these suppliers were asked to provide information regarding the sourcing of their 3TG materials with the ultimate goal of identifying the corresponding SORs and associated mine countries or region. Based on information provided by these suppliers and additional information maintained by SI on verified SORs, there was an indication of sourcing from a covered country for 63 out of 351 verified SORs. In accordance with Rule 13p-1, we exercised due diligence on the source and chain-of-custody of the 3TG materials sourced from these SORs.
Due Diligence Framework
Design of the Due Diligence Framework
The Company’s due diligence framework has been designed to conform to the due-diligence-related steps of the Organization for Economic Co-Operation and Development (OECD) Due Diligence Guidance for Responsible Supply Chains of Materials from Conflict-Affected and High-Risk Areas, Second Edition.
Description of Due Diligence Measures Performed
There was a significant overlap between our RCOI efforts and our due diligence measures performed on SORs possibly sourcing 3TGs from a covered country. SI collected detailed information regarding the SORs, including SORs in our supply chain identified as possibly sourcing 3TGs from a covered country. SI collected SOR data submitted by our suppliers and compared it against its existing database of SORs, which contains information concerning which companies are exclusively recyclers, mine country of origin information and any “conflict free” certification by a recognized industry group that requires an independent private sector account of the SOR. Where supplier responses to SI’s inquiries listed entities that are not verified SORs, SI sought further clarification. For SORs known or thought to be sourcing 3TGs from a covered country, SI conducted additional investigations to determine the source and chain-of-custody of its 3TGs. SI relied on the following internationally accepted audit standards to determine which SORs are considered “DRC Conflict Free”:
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| ◦ | CFSI Conflict-Free Smelter Program; |
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| ◦ | London Bullion Market Association Good Delivery Program; and |
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| ◦ | Responsible Jewelry Council Chain-of-Custody Certification. |
For SORs not certified by one of these internationally recognized groups, SI attempted to contact the SOR to get more information about their sourcing practices, including the country of origin and transfer and whether there are any internal due diligence procedures in place or other processes the SOR takes to track chain-of-custody or other sources of its 3TG materials. SI also conducted internal research to determine whether there were any outside sources of information regarding the SORs sourcing practices. Up to three additional contact attempts were made by SI to gather information on mine country-of-origin and sourcing practices.
Measures to Address Risks within the Supply Chain
In preparation for the due diligence performed for the reporting period, the Company worked with SI to improve the processes implemented last year. The Company intends to continue its due diligence efforts on the source and supply chain of its conflict minerals and to mitigate the risk that its conflict minerals benefit armed groups in the covered countries, including by working with SI to continue providing assistance and education for conflict minerals programs for our suppliers so that the compliance requirements can flow to more levels of our supply chain.
TABLE 1
Smelter/Refiner Disclosure
Set forth below are the known SORs that processed the 3TG materials present in our manufactured products and the possible countries of origin of such 3TG materials. The Company’s efforts to determine the mine or location of origin of these 3TGs are described above in this Conflicts Minerals Report.
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| Metal | Official Smelter Name | CFSI Smelter ID | Smelter Country |
| Gold | Abington Reldan Metals, LLC | CID002708 | United States |
| Gold | Advanced Chemical Company | CID000015 | United States |
| Gold | Aida Chemical Industries Co., Ltd. | CID000019 | Japan |
| Gold | Aktyubinsk Copper Company TOO | | Kazakhstan |
| Gold | Al Etihad Gold | CID002560 | United Arab Emirates |
| Gold | Allgemeine Gold-und Silberscheideanstalt A.G. | CID000035 | Germany |
| Gold | Almalyk Mining and Metallurgical Complex (AMMC) | CID000041 | Uzbekistan |
| Gold | AngloGold Ashanti | CID000058 | Brazil |
| Gold | Argor-Heraeus SA | CID000077 | Switzerland |
| Gold | Asahi Pretec Corporation | CID000082 | Japan |
| Gold | Asahi Refining Canada Limited | CID000924 | Canada |
| Gold | Asahi Refining USA Inc. | CID000920 | United States |
| Gold | Asaka Riken Co., Ltd. | CID000090 | Japan |
| Gold | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | CID000103 | Turkey |
| Gold | AU Traders and Refiners (Pty) Ltd | CID002850 | South Africa |
| Gold | Aurubis AG | CID000113 | Germany |
| Gold | Bangalore Refinery | CID002863 | India |
| Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | CID000128 | Philippines |
| Gold | Boliden AB | CID000157 | Sweden |
| Gold | C. Hafner GmbH + Co. KG | CID000176 | Germany |
| Gold | Caridad | CID000180 | Mexico |
| Gold | CCR Refinery - Glencore Canada Corporation | CID000185 | Canada |
| Gold | Cendres + Métaux SA | CID000189 | Switzerland |
| Gold | Changcheng Gold & Silver Refining Factory | | China |
| Gold | Chimet S.p.A. | CID000233 | Italy |
| Gold | China Gold International Resources Corp. Ltd | | China |
| Gold | Chugai Mining | CID000264 | Japan |
| Gold | Daejin Indus Co., Ltd. | CID000328 | Korea, Republic of |
| Gold | Daye Non-Ferrous Metals Mining Ltd. | CID000343 | China |
| Gold | Degussa Sonne / Mond Goldhandel GmbH | CID002867 | Germany |
| Gold | DODUCO GmbH | CID000362 | Germany |
| Gold | Dowa | CID000401 | Japan |
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| Metal | Official Smelter Name | CFSI Smelter ID | Smelter Country |
| Gold | DSC (Do Sung Corporation) | CID000359 | Korea, Republic of |
| Gold | Eco-System Recycling Co., Ltd. | CID000425 | Japan |
| Gold | Elemetal Refining, LLC | CID001322 | United States |
| Gold | Emirates Gold DMCC | CID002561 | United Arab Emirates |
| Gold | Fidelity Printers and Refiners Ltd. | CID002515 | Zimbabwe |
| Gold | Gannon & Scott | | United States |
| Gold | Gansu Seemine Material Hi-Tech Co Ltd | CID000522 | China |
| Gold | Geib Refining Corporation | CID002459 | United States |
| Gold | Gold Refinery of Zijin Mining Group Co., Ltd | CID002243 | China |
| Gold | Great Wall Precious Metals Co., Ltd. of CBPM | CID001909 | China |
| Gold | Guangdong Jinding Gold Limited | CID002312 | China |
| Gold | Guoda Safina High-Tech Environmental Refinery Co., Ltd. | CID000651 | China |
| Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. | CID000671 | China |
| Gold | Harmony Gold Mining Company Limited | | South Africa |
| Gold | Heimerle + Meule GmbH | CID000694 | Germany |
| Gold | Henan Yuguang Gold & Lead Co., Ltd. | | China |
| Gold | Heraeus Metals Hong Kong Ltd | CID000707 | China |
| Gold | Heraeus Precious Metals GmbH & Co. KG | CID000711 | Germany |
| Gold | HOMESTAKE MINING COMPANY | | Canada |
| Gold | Hunan Chenzhou Mining Co., Ltd. | CID000767 | China |
| Gold | HwaSeong CJ Co. Ltd | CID000778 | Korea, Republic of |
| Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | CID000801 | China |
| Gold | Ishifuku Metal Industry Co., Ltd. | CID000807 | Japan |
| Gold | Istanbul Gold Refinery | CID000814 | Turkey |
| Gold | Italpreziosi S.p.A. | | Italy |
| Gold | Japan Mint | CID000823 | Japan |
| Gold | Jiangxi Copper Company Limited | CID000855 | China |
| Gold | Jinlong Copper Co., Ltd. | | China |
| Gold | Johnson Matthey Chemicals Ltd. | | United Kingdom |
| Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | CID000927 | Russian Federation |
| Gold | JSC Uralelectromed | CID000929 | Russian Federation |
| Gold | JX Nippon Mining & Metals Co., Ltd. | CID000937 | Japan |
| Gold | Kaloti Precious Metals | CID002563 | United Arab Emirates |
| Gold | Kazzinc | CID000957 | Kazakhstan |
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| Metal | Official Smelter Name | CFSI Smelter ID | Smelter Country |
| Gold | Kennecott Utah Copper LLC | CID000969 | United States |
| Gold | KGHM Polska Miedž Spółka Akcyjna | CID002511 | Poland |
| Gold | Kojima Chemicals Co., Ltd. | CID000981 | Japan |
| Gold | Korea Zinc Co., Ltd. | CID002605 | Korea, Republic of |
| Gold | Kyrgyzaltyn JSC | CID001029 | Kyrgyzstan |
| Gold | L'azurde Company For Jewelry | CID001032 | Saudi Arabia |
| Gold | Lingbao Gold Company Ltd. | CID001056 | China |
| Gold | Lingbao Jinyuan Mining Co., Ltd. | | China |
| Gold | Lingbao Jinyuan Tonghui Refinery Co. Ltd. | CID001058 | China |
| Gold | Linglong Gold mine | | China |
| Gold | L'Orfebre S.A. | CID002762 | Andorra |
| Gold | LS-NIKKO Copper Inc. | CID001078 | Korea, Republic of |
| Gold | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | CID001093 | China |
| Gold | Materion | CID001113 | United States |
| Gold | Matsuda Sangyo Co., Ltd. | CID001119 | Japan |
| Gold | Metalor Technologies (Hong Kong) Ltd. | CID001149 | China |
| Gold | Metalor Technologies (Singapore) Pte., Ltd. | CID001152 | Singapore |
| Gold | Metalor Technologies (Suzhou) Co Ltd | CID001147 | China |
| Gold | Metalor Technologies SA | CID001153 | Switzerland |
| Gold | Metalor USA Refining Corporation | CID001157 | United States |
| Gold | METALÚRGICA MET-MEX PEÑOLES, S.A. DE C.V | CID001161 | Mexico |
| Gold | Minsur | | Peru |
| Gold | Mitsubishi Materials Corporation | CID001188 | Japan |
| Gold | Mitsui Mining and Smelting Co., Ltd. | CID001193 | Japan |
| Gold | MMTC-PAMP India Pvt., Ltd. | CID002509 | India |
| Gold | Modeltech Sdn Bhd | CID002857 | Malaysia |
| Gold | Morris and Watson | CID002282 | New Zealand |
| Gold | Morris and Watson Gold Coast | CID002866 | Australia |
| Gold | Moscow Special Alloys Processing Plant | CID001204 | Russian Federation |
| Gold | Nadir Metal Rafineri San. Ve Tic. A.Ş. | CID001220 | Turkey |
| Gold | Navoi Mining and Metallurgical Combinat | CID001236 | Uzbekistan |
| Gold | Nihon Material Co., Ltd. | CID001259 | Japan |
| Gold | Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH | CID002779 | Austria |
| Gold | Ohura Precious Metal Industry Co., Ltd. | CID001325 | Japan |
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| Metal | Official Smelter Name | CFSI Smelter ID | Smelter Country |
| Gold | OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) | CID001326 | Russian Federation |
| Gold | OJSC Kolyma Refinery | | Russian Federation |
| Gold | OJSC Novosibirsk Refinery | CID000493 | Russian Federation |
| Gold | PAMP S.A. | CID001352 | Switzerland |
| Gold | Pease & Curren | CID002872 | United States |
| Gold | Penglai Penggang Gold Industry Co Ltd | CID001362 | China |
| Gold | Philippine Associated Smelting and Refining Corporation | | Philippines |
| Gold | Prioksky Plant of Non-Ferrous Metals | CID001386 | Russian Federation |
| Gold | PT Aneka Tambang (Persero) Tbk | CID001397 | Indonesia |
| Gold | PX Precinox SA | CID001498 | Switzerland |
| Gold | Rand Refinery (Pty) Ltd. | CID001512 | South Africa |
| Gold | Remondis Argentia B.V. | CID002582 | Netherlands |
| Gold | Republic Metals Corporation | CID002510 | United States |
| Gold | Rio Tinto Group | | United Kingdom |
| Gold | Royal Canadian Mint | CID001534 | Canada |
| Gold | SAAMP | CID002761 | France |
| Gold | Sabin Metal Corp. | CID001546 | United States |
| Gold | SAFINA, a.s | CID002290 | Czech Republic |
| Gold | Sai Refinery | CID002853 | India |
| Gold | Samduck Precious Metals | CID001555 | Korea, Republic of |
| Gold | SAMWON METALS Corp. | CID001562 | Korea, Republic of |
| Gold | SAXONIA Edelmetalle GmbH | CID002777 | Germany |
| Gold | Schone Edelmetaal B.V. | CID001573 | Netherlands |
| Gold | SEMPSA Joyería Platería SA | CID001585 | Spain |
| Gold | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | CID001619 | China |
| Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | CID001622 | China |
| Gold | Sichuan Tianze Precious Metals Co., Ltd. | CID001736 | China |
| Gold | Singway Technology Co., Ltd. | CID002516 | Taiwan |
| Gold | So Accurate Group, Inc. | CID001754 | United States |
| Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | CID001756 | Russian Federation |
| Gold | Solar Applied Materials Technology Corp. | CID001761 | Taiwan |
| Gold | Sudan Gold Refinery | CID002567 | Sudan |
| Gold | Sumitomo Metal Mining Co., Ltd. | CID001798 | Japan |
| Gold | Sungeel Hitech Co., Ltd. | CID002918 | Korea, Republic of |
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| Metal | Official Smelter Name | CFSI Smelter ID | Smelter Country |
| Gold | T.C.A S.p.A | CID002580 | Italy |
| Gold | Tanaka Kikinzoku Kogyo K.K. | CID001875 | Japan |
| Gold | The Refinery of Shandong Gold Mining Co., Ltd. | CID001916 | China |
| Gold | Tokuriki Honten Co., Ltd. | CID001938 | Japan |
| Gold | TongLing Nonferrous Metals Group Holdings Co., Ltd. | CID001947 | China |
| Gold | Tony Goetz NV | CID002587 | Belgium |
| Gold | Torecom | CID001955 | Korea, Republic of |
| Gold | Umicore Brasil Ltda. | CID001977 | Brazil |
| Gold | Umicore Precious Metals Thailand | CID002314 | Thailand |
| Gold | Umicore SA Business Unit Precious Metals Refining | CID001980 | Belgium |
| Gold | United Precious Metal Refining, Inc. | CID001993 | United States |
| Gold | Universal Precious Metals Refining Zambia | CID002854 | Zambia |
| Gold | Valcambi SA | CID002003 | Switzerland |
| Gold | Western Australian Mint trading as The Perth Mint | CID002030 | Australia |
| Gold | WIELAND Edelmetalle GmbH | CID002778 | Germany |
| Gold | Yamamoto Precious Metal Co., Ltd. | CID002100 | Japan |
| Gold | Yokohama Metal Co., Ltd. | CID002129 | Japan |
| Gold | Yunnan Copper Industry Co Ltd | CID000197 | China |
| Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | CID002224 | China |
| Tantalum | Changsha South Tantalum Niobium Co., Ltd. | CID000211 | China |
| Tantalum | Conghua Tantalum and Niobium Smeltry | CID000291 | China |
| Tantalum | D Block Metals, LLC | CID002504 | United States |
| Tantalum | Duoluoshan | CID000410 | China |
| Tantalum | Exotech Inc. | CID000456 | United States |
| Tantalum | F&X Electro-Materials Ltd. | CID000460 | China |
| Tantalum | FIR Metals & Resource Ltd. | CID002505 | China |
| Tantalum | Global Advanced Metals Aizu | CID002558 | Japan |
| Tantalum | Global Advanced Metals Boyertown | CID002557 | United States |
| Tantalum | Guangdong Zhiyuan New Material Co., Ltd. | CID000616 | China |
| Tantalum | H.C. Starck Co., Ltd. | CID002544 | Thailand |
| Tantalum | H.C. Starck Hermsdorf GmbH | CID002547 | Germany |
| Tantalum | H.C. Starck Inc. | CID002548 | United States |
| Tantalum | H.C. Starck Ltd. | CID002549 | Japan |
| Tantalum | H.C. Starck Smelting GmbH & Co. KG | CID002550 | Germany |
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| Metal | Official Smelter Name | CFSI Smelter ID | Smelter Country |
| Tantalum | H.C. Starck Tantalum and Niobium GmbH | CID002545 | Germany |
| Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | CID002492 | China |
| Tantalum | Hi-Temp Specialty Metals, Inc. | CID000731 | United States |
| Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | CID002512 | China |
| Tantalum | Jiangxi Tuohong New Raw Material | CID002842 | China |
| Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | CID000914 | China |
| Tantalum | Jiujiang Nonferrous Metals Smelting Company Limited | CID000917 | China |
| Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | CID002506 | China |
| Tantalum | KEMET Blue Metals | CID002539 | Mexico |
| Tantalum | Kemet Blue Powder | CID002568 | United States |
| Tantalum | King-Tan Tantalum Industry Ltd. | CID000973 | China |
| Tantalum | LSM Brasil S.A. | CID001076 | Brazil |
| Tantalum | Metallurgical Products India Pvt., Ltd. | CID001163 | India |
| Tantalum | Mineração Taboca S.A. | CID001175 | Brazil |
| Tantalum | Mitsui Mining and Smelting Co., Ltd. | CID001192 | Japan |
| Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | CID001277 | China |
| Tantalum | NPM Silmet AS | CID001200 | Estonia |
| Tantalum | Power Resources Ltd | CID002847 | Macedonia, The Former Yugoslav Republic Of |
| Tantalum | QuantumClean | CID001508 | United States |
| Tantalum | Resind Indústria e Comércio Ltda. | CID002707 | Brazil |
| Tantalum | RFH Tantalum Smeltry Co., Ltd. | CID001522 | China |
| Tantalum | Solikamsk Magnesium Works OAO | CID001769 | Russian Federation |
| Tantalum | Taki Chemical Co., Ltd. | CID001869 | Japan |
| Tantalum | Telex Metals | CID001891 | United States |
| Tantalum | Tranzact, Inc. | CID002571 | United States |
| Tantalum | Ulba Metallurgical Plant JSC | CID001969 | Kazakhstan |
| Tantalum | XinXing Haorong Electronic Material Co., Ltd. | CID002508 | China |
| Tantalum | Yichun Jin Yang Rare Metal Co., Ltd. | CID002307 | China |
| Tantalum | Zhuzhou Cemented Carbide Group Co., Ltd. | CID002232 | China |
| Tin | 5NPLUS | | Canada |
| Tin | Alpha | CID000292 | United States |
| Tin | An Thai Minerals Company Limited | CID002825 | Viet Nam |
| Tin | An Vinh Joint Stock Mineral Processing Company | CID002703 | Viet Nam |
| Tin | Aoki Laboratories Ltd. | | United States |
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| Metal | Official Smelter Name | CFSI Smelter ID | Smelter Country |
| Tin | C. Hafner GmbH + Co. KG | | Germany |
| Tin | Chenzhou Yunxiang Mining and Metallurgy Company Limited | CID000228 | China |
| Tin | China Tin Group Co., Ltd. | CID001070 | China |
| Tin | CNMC (Guangxi) PGMA Co. Ltd. | CID000278 | China |
| Tin | Complejo Metalurgico Vinto S.A. | | Bolivia |
| Tin | Cooperativa Metalurgica de Rondônia Ltda. | CID000295 | Brazil |
| Tin | CV Ayi Jaya | CID002570 | Indonesia |
| Tin | CV Dua Sekawan | CID002592 | Indonesia |
| Tin | CV Gita Pesona | CID000306 | Indonesia |
| Tin | CV Nurjanah | | Indonesia |
| Tin | CV Serumpun Sebalai | CID000313 | Indonesia |
| Tin | CV Tiga Sekawan | CID002593 | Indonesia |
| Tin | CV United Smelting | CID000315 | Indonesia |
| Tin | CV Venus Inti Perkasa | CID002455 | Indonesia |
| Tin | Dowa | CID000402 | Japan |
| Tin | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | CID002572 | Viet Nam |
| Tin | Elmet S.A. de C.V. | | Mexico |
| Tin | Elmet S.L.U. | CID002774 | Spain |
| Tin | EM Vinto | CID000438 | Bolivia |
| Tin | Estanho de Rondônia S.A. | CID000448 | Brazil |
| Tin | Fenix Metals | CID000468 | Poland |
| Tin | Gejiu Fengming Metallurgy Chemical Plant | CID002848 | China |
| Tin | Gejiu Jinye Mineral Company | CID002859 | China |
| Tin | Gejiu Kai Meng Industry and Trade LLC | CID000942 | China |
| Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. | CID000538 | China |
| Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | CID001908 | China |
| Tin | Gejiu Zili Mining And Metallurgy Co., Ltd. | CID000555 | China |
| Tin | Guanyang Guida Nonferrous Metal Smelting Plant | CID002849 | China |
| Tin | Huaxi Liuzhou smelter | | China |
| Tin | HuiChang Hill Tin Industry Co., Ltd. | CID002844 | China |
| Tin | Huichang Jinshunda Tin Co. Ltd | CID000760 | China |
| Tin | Jean Goldschmidt International SA | | Belgium |
| Tin | Jiangxi Ketai Advanced Material Co., Ltd. | CID000244 | China |
| Tin | JX Nippon Mining & Metals Co., Ltd. | | Japan |
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| Metal | Official Smelter Name | CFSI Smelter ID | Smelter Country |
| Tin | LotusMetal | | Brazil |
| Tin | Magnu's Minerais Metais e Ligas Ltda. | CID002468 | Brazil |
| Tin | Malaysia Smelting Corporation (MSC) | CID001105 | Malaysia |
| Tin | Melt Metais e Ligas S.A. | CID002500 | Brazil |
| Tin | Metallic Resources, Inc. | CID001142 | United States |
| Tin | Metallo-Chimique N.V. | CID002773 | Belgium |
| Tin | Mineração Taboca S.A. | CID001173 | Brazil |
| Tin | Minsur | CID001182 | Peru |
| Tin | Mitsubishi Materials Corporation | CID001191 | Japan |
| Tin | Modeltech Sdn Bhd | CID002858 | Malaysia |
| Tin | Nankang Nanshan Tin Co., Ltd. | CID001231 | China |
| Tin | Nghe Tinh Non-Ferrous Metals Joint Stock Company | CID002573 | Viet Nam |
| Tin | Northern Smelter | | Australia |
| Tin | O.M. Manufacturing (Thailand) Co., Ltd. | CID001314 | Thailand |
| Tin | O.M. Manufacturing Philippines, Inc. | CID002517 | Philippines |
| Tin | Operaciones Metalurgical S.A. | CID001337 | Bolivia |
| Tin | PT Aries Kencana Sejahtera | CID000309 | Indonesia |
| Tin | PT Artha Cipta Langgeng | CID001399 | Indonesia |
| Tin | PT ATD Makmur Mandiri Jaya | CID002503 | Indonesia |
| Tin | PT Babel Inti Perkasa | CID001402 | Indonesia |
| Tin | PT Bangka Prima Tin | CID002776 | Indonesia |
| Tin | PT Bangka Tin Industry | CID001419 | Indonesia |
| Tin | PT Belitung Industri Sejahtera | CID001421 | Indonesia |
| Tin | PT Bukit Timah | CID001428 | Indonesia |
| Tin | PT Cipta Persada Mulia | CID002696 | Indonesia |
| Tin | PT DS Jaya Abadi | CID001434 | Indonesia |
| Tin | PT Eunindo Usaha Mandiri | CID001438 | Indonesia |
| Tin | PT Inti Stania Prima | CID002530 | Indonesia |
| Tin | PT Karimun Mining | CID001448 | Indonesia |
| Tin | PT Kijang Jaya Mandiri | CID002829 | Indonesia |
| Tin | PT Lautan Harmonis Sejahtera | CID002870 | Indonesia |
| Tin | PT Menara Cipta Mulia | CID002835 | Indonesia |
| Tin | PT Mitra Stania Prima | CID001453 | Indonesia |
| Tin | PT O.M. Indonesia | CID002757 | Indonesia |
|
| | | |
| Metal | Official Smelter Name | CFSI Smelter ID | Smelter Country |
| Tin | PT Panca Mega Persada | CID001457 | Indonesia |
| Tin | PT Prima Timah Utama | CID001458 | Indonesia |
| Tin | PT Refined Bangka Tin | CID001460 | Indonesia |
| Tin | PT Sariwiguna Binasentosa | CID001463 | Indonesia |
| Tin | PT Stanindo Inti Perkasa | CID001468 | Indonesia |
| Tin | PT Sukses Inti Makmur | CID002816 | Indonesia |
| Tin | PT Sumber Jaya Indah | CID001471 | Indonesia |
| Tin | PT TAMBANG TIMAH | | Indonesia |
| Tin | PT Timah (Persero) Tbk Kundur | CID001477 | Indonesia |
| Tin | PT Timah (Persero) Tbk Mentok | CID001482 | Indonesia |
| Tin | PT Tinindo Inter Nusa | CID001490 | Indonesia |
| Tin | PT Tirus Putra Mandiri | CID002478 | Indonesia |
| Tin | PT Tommy Utama | CID001493 | Indonesia |
| Tin | PT WAHANA PERKIT JAYA | CID002479 | Indonesia |
| Tin | Resind Indústria e Comércio Ltda. | CID002706 | Brazil |
| Tin | Rui Da Hung | CID001539 | Taiwan |
| Tin | Shangrao Xuri Smelting Factory | | China |
| Tin | Soft Metais Ltda. | CID001758 | Brazil |
| Tin | Sungeel Hitech Co., Ltd. | | Korea, Republic of |
| Tin | Thaisarco | CID001898 | Thailand |
| Tin | Tokuriki Honten Co., Ltd. | | Japan |
| Tin | Tuyen Quang Non-Ferrous Metals Joint Stock Company | CID002574 | Viet Nam |
| Tin | VQB Mineral and Trading Group JSC | CID002015 | Viet Nam |
| Tin | White Solder Metalurgia e Mineração Ltda. | CID002036 | Brazil |
| Tin | Yunnan Chengfeng Non-ferrous Metals Co.,Ltd. | CID002158 | China |
| Tin | Yunnan Tin Group (Holding) Company Limited | CID002180 | China |
| Tin | Yuntinic Chemical GmbH | | Germany |
| Tungsten | A.L.M.T. Corp. | CID000004 | Japan |
| Tungsten | ACL Metais Eireli | CID002833 | Brazil |
| Tungsten | Asia Tungsten Products Vietnam Ltd. | CID002502 | Viet Nam |
| Tungsten | Buffalo Tungsten | | United States |
| Tungsten | Changsha South Tantalum Niobium Co., Ltd. | | China |
| Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd. | CID002513 | China |
| Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | CID000258 | China |
|
| | | |
| Metal | Official Smelter Name | CFSI Smelter ID | Smelter Country |
| Tungsten | Dayu Weiliang Tungsten Co., Ltd. | CID000345 | China |
| Tungsten | DODUCO GmbH | | Germany |
| Tungsten | Exotech Inc. | | United States |
| Tungsten | Fujian Jinxin Tungsten Co., Ltd. | CID000499 | China |
| Tungsten | Ganzhou Haichuang Tungsten Industry Co., Ltd. | | China |
| Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. | CID000875 | China |
| Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | CID002315 | China |
| Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | CID002494 | China |
| Tungsten | Ganzhou Yatai Tungsten Co., Ltd. | CID002536 | China |
| Tungsten | Global Tungsten & Powders Corp. | CID000568 | United States |
| Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | CID000218 | China |
| Tungsten | H.C. Starck Smelting GmbH & Co. KG | CID002542 | Germany |
| Tungsten | H.C. Starck Tungsten GmbH | CID002541 | Germany |
| Tungsten | Hunan Chenzhou Mining Co., Ltd. | CID000766 | China |
| Tungsten | Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji | CID002579 | China |
| Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd. | CID000769 | China |
| Tungsten | Hydrometallurg, JSC | CID002649 | Russian Federation |
| Tungsten | Japan New Metals Co., Ltd. | CID000825 | Japan |
| Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | CID002551 | China |
| Tungsten | Jiangxi Dayu Longxintai Tungsten Co., Ltd. | CID002647 | China |
| Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | CID002321 | China |
| Tungsten | Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. | CID002313 | China |
| Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | CID002318 | China |
| Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | CID002317 | China |
| Tungsten | Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd. | CID002535 | China |
| Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. | CID002316 | China |
| Tungsten | Kennametal Fallon | CID000966 | United States |
| Tungsten | Kennametal Huntsville | CID000105 | United States |
| Tungsten | Luoyang Mudu Tungsten & Molybdenum Technology Co., Ltd. | | China |
| Tungsten | Malipo Haiyu Tungsten Co., Ltd. | CID002319 | China |
| Tungsten | Moliren OOO | CID002845 | Russian Federation |
| Tungsten | Niagara Refining LLC | CID002589 | United States |
| Tungsten | Nippon Tungsten (Shanghai) Commerce Co., Ltd. | | Japan |
| Tungsten | Nippon Tungsten Co., Ltd. | | Japan |
|
| | | |
| Metal | Official Smelter Name | CFSI Smelter ID | Smelter Country |
| Tungsten | Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC | CID002543 | Viet Nam |
| Tungsten | Philippine Chuangxin Industrial Co., Inc. | CID002827 | Philippines |
| Tungsten | South-East Nonferrous Metal Company Limited of Hengyang City | CID002815 | China |
| Tungsten | TaeguTec Ltd. | | Korea, Republic of |
| Tungsten | Tejing (Vietnam) Tungsten Co., Ltd. | CID001889 | Viet Nam |
| Tungsten | Unecha Refractory Metals Plant | CID002724 | Russian Federation |
| Tungsten | Vietnam Youngsun Tungsten Industry Co., Ltd. | CID002011 | Viet Nam |
| Tungsten | Wolfram Bergbau und Hütten AG | CID002044 | Austria |
| Tungsten | Woltech Korea Co., Ltd. | CID002843 | Korea, Republic of |
| Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | CID002320 | China |
| Tungsten | Xiamen Tungsten Co., Ltd. | CID002082 | China |
| Tungsten | Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. | CID002830 | China |
| Tungsten | Xinhai Rendan Shaoguan Tungsten Co., Ltd. | CID002095 | China |
|
|
| Countries of possible sourcing: |
| Argentina, Armenia, Australia, Austria, Belarus, Belgium, Bolivia, Brazil, Burundi, Canada, Chile, China, DRC- Congo (Kinshasa), Estonia, France, Ethiopia, Germany, Ghana, Greece, Guinea, Guyana, Hong Kong, India, Indonesia, Italy, Japan, Jersey, Kazakhstan, Kyrgyzstan, Laos, Malaysia, Mali, Mexico, Mongolia, Morocco, Mozambique, Myanmar, Namibia, Netherlands, Niger, Nigeria, Papua New Guinea, Peru, Philippines, Poland, Portugal, Romania, Russia, Rwanda, Saudi Arabia, Sierra Leone, Singapore, South Africa, South Korea, Spain, Suriname, Sweden, Switzerland, Taiwan, Tajikistan, Tanzania, Thailand, Turkey, United Arab Emirates, United Kingdom, United States, Uzbekistan, Vietnam, Zambia, Zimbabwe. |
Independent Private Sector Audit
We have determined that a private sector audit is not required under Rule 13p-1 for 2016.
