Exhibit 1.01
Oshkosh Corporation
Conflict Minerals Report
for the Year Ended December 31, 2017
Oshkosh Corporation (“Oshkosh”) has prepared this conflict minerals report on Form SD for the year ended December 31, 2017, to comply with Rule 13p-1 under the Securities Exchange Act of 1934 (the “Conflict Minerals Rule”). The Securities and Exchange Commission (“SEC”) adopted the Conflict Minerals Rule to implement reporting and disclosure requirements related to conflict minerals as directed by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the “Dodd-Frank Act”).
Oshkosh and its subsidiaries are committed to responsible supply chain management. This means Oshkosh endeavors to procure materials and parts from suppliers that, among other important values, demonstrate a respect for the human rights and individual dignity of all participants within its supply chain. Starting with the 2013 reporting period, we took specific actions to fully implement the requirements of the Dodd-Frank Act related to the supply chain for tin, tungsten, tantalum, and gold (“3TG”). Since then, we have expanded and improved upon these actions to ensure ongoing improvement in our conflict minerals program. We continue to support the responsible mining and sourcing of 3TG within the Democratic Republic of the Congo or an adjoining country (“Covered Countries”) and do not knowingly procure materials or parts that finance or benefit armed groups within the Covered Countries.
Oshkosh is a leading designer, manufacturer and marketer of a broad range of specialty vehicles and vehicle bodies. The Company maintains four reportable segments:
| · | Access equipment – aerial work platforms and telehandlers used in a wide variety of construction, agricultural, industrial, institutional and general maintenance applications to position workers and materials at elevated heights, as well as wreckers and car carriers. |
| · | Defense – tactical trucks, trailers and supply parts and services sold to the U.S. military and to other militaries around the world. |
| · | Fire & emergency – custom and commercial firefighting vehicles and equipment, airport rescue and firefighting (ARFF) vehicles, snow removal vehicles, simulators, and broadcast vehicles. |
| · | Commercial – concrete mixers, refuse collection vehicles, portable and stationary concrete batch plants and vehicle components, as well as field service vehicles and truck mounted cranes. |
Each of our business segments sells complex vehicles for use by a wide variety of industries and service providers around the world. Because of this complexity and the wide variety of functionality that our vehicles offer, the list of components needed to manufacture these products is extensive.
We know that 3TG are common and essential to our industry. The engines, electronic control modules, electrical harnesses, weld wire, and microprocessors that manufacturers in the vehicle and transportation equipment industry use as production inputs are known, in at least some cases, to contain 3TG. However, Oshkosh has not been able to specifically identify any 3TG in our products that was mined in the Covered Countries by persons that finance or benefit armed groups in the Covered Countries.
We also know that Oshkosh does not purchase ore or unrefined 3TG from mines and is generally many steps removed in the supply chain from the mining and refining of 3TG. We purchase materials and parts from a wide network of suppliers and must rely on those suppliers to assist with the collection of data used to attempt to identify the ultimate source of the minerals that our suppliers use in their manufacturing processes.
We purchase materials or parts directly from approximately 4,200 different suppliers. We refer to these direct suppliers as our Tier 1 suppliers, and many of these suppliers have equally large and diverse supply chains that provide materials or parts in the manufacture of their products. This pattern is repeated through our supply chain. For materials or parts that are subject to many manufacturing steps, we estimate there may be more than 5 tiers of suppliers between us and a smelter or refiner that actually processes 3TG that a particular product may contain.
Oshkosh expends significant effort to ensure that its direct material supply base contains the optimal number of Tier 1 suppliers. This is an ongoing effort to identify and engage suppliers that offer the appropriate balance of innovation and technology and competitive pricing to ensure our products continue to provide our customers with the best value in the marketplace. In addition, to comply with the U.S. Government’s small business procurement rules, regulations, and guidelines, our defense segment works with and supports hundreds of small businesses that have limited resources and technical knowledge with which to conduct 3TG supply chain investigations.
Many of our suppliers, including most of these small businesses, are not directly subject to the Conflict Minerals Rule. Further, many do not possess the resources and/or requisite technical expertise with which to perform detailed investigations of their own 3TG supply chains. We have made significant progress toward understanding the source of the 3TG in our supply chain; however, working with a broad, deep and highly varied supply base is and will remain a challenge.
| 2. | Actions Taken in Support of Our Conflict Minerals Program |
Over the course of the last several years, Oshkosh has expended significant resources to identify the source of 3TG in its products. While a percentage of the world’s 3TG does originate in the Covered Countries, a significant portion does not. Further, a large amount is from scrap or recycled sources. So, it is important for us to learn as much about the source of any 3TG in our products as is feasible. We have taken specific actions to bolster our understanding of the 3TG within our supply chain.
Framework
We designed our conflict minerals program to substantially conform to the framework outlined in The Organisation for Economic Co-operation and Development (OECD) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (OECD Guidance) and the related Supplements for gold and for tin, tantalum and tungsten.
Internal Team
Our cross functional team comprised of staff level positions and experienced leaders from the finance, supply chain, legal, sustainability, and engineering functions continues to monitor our program status and identify areas for potential improvement. The steering team we established at the outset of the program, comprised of subject matter experts and senior leaders, continues to guide our efforts to meet the requirements of the Conflict Minerals Rule. Our senior executive management team is actively engaged on an as needed basis to ensure we continue to make progress toward our goals.
Training – Internal and External
As part of our program, we provide our suppliers annual conflict minerals refresher training conducted by an industry leading compliance firm. In addition, our own subject matter experts are available to answer suppliers’ questions on an as needed basis. We send to each supplier a copy of the updated Electronic Industry Citizenship Coalition® (EICC®) and the Global e-Sustainability Initiative (GeSI) template (the “EICC-GeSI template”). We also make training from expert resources on the template available to our suppliers to answer questions on the content, purpose, and format of the template. This template was developed to facilitate the disclosure and communication of information regarding smelters or refiners that provide materials or parts to a company’s supply chain. The template includes questions regarding a direct supplier’s conflict minerals policy, engagement with its direct suppliers, and a listing of the smelters or refiners the direct supplier and its suppliers use. In addition, the template contains questions about the origin of conflict minerals included in the direct supplier’s products.
Our training also includes a comprehensive internal communication and training effort for both existing and new employees. We hold training events for our internal supply chain employees supporting all of our segments. In addition, we include conflict minerals content in our new employee training program.
Conflict Minerals Policy
We review Oshkosh’s internal and external conflict minerals policies annually and consider potential updates. This helps to keep current the shared expectations we place on both our employees and our suppliers and ensure that they are clear and understandable. The internal policy is part of our global conflict minerals program, and the external policy can be found on Oshkosh’s website at: www.oshkoshcorp.com, under the “About Oshkosh” section under the “Corporate Governance” tab and within the “Policies and Guidelines” link.
Supplier Terms and Conditions and Supplier Code of Conduct
We communicate our expectations of suppliers through our Oshkosh Supplier Code of Conduct as well as through our commercial terms and conditions for the purchase of products. We require suppliers to develop processes to understand the origin of materials in their products so that steps can be taken to confirm that their products are not produced with 3TG sourced from the Covered Countries that finance or benefit armed groups in the Covered Countries.
Violation Reporting Processes
Employees and suppliers can report violations of any of Oshkosh’s policies through our Hot Line process. In addition, we have established a process specifically for conflict minerals questions and concerns.
Records Maintenance
We have retained all relevant documentation from our surveys and due diligence that we describe below.
| 3. | Reasonable Country of Origin Inquiry and Due Diligence |
Supplier Surveys
We adopted a risk-based survey process for our suppliers. Due to the complexity and depth of our supply base, we surveyed suppliers who together represented a significant majority of our direct material expenditures in 2017. We highlighted for follow-up any supplier whose survey response suggested a greater likelihood of manufacturing products containing 3TG from a Covered Country. We believe and have confirmed that this risk-based approach is consistent with the process that many of our global manufacturing peer companies follow.
We sent the updated EICC-GeSI template to our Tier 1 suppliers. As a result of our approach, we sent surveys to suppliers representing approximately 97% of our 2017 expenditures for direct materials and components.
Survey Responses and Follow-up Engagement
Our protocol for the survey of Oshkosh suppliers required at least three follow-up inquiries to any supplier who did not respond to the initial survey. These follow-up efforts included two electronic and at least one person-to-person engagement. We reviewed all responses against defined criteria we developed to determine which required further engagement. These criteria included untimely or incomplete responses as well as inconsistencies in the data reported. When a supplier survey response indicated a greater likelihood of products containing 3TG from a Covered Country, we utilized a supplier risk escalation/disposition process that was developed for this purpose. In these instances, Oshkosh supply chain personnel interface directly with the supplier to better understand the content and the specific risks contained in the supplier’s survey response.
The majority of the responses we received provided data at the company level or division/segment level, rather than at a part number level. That is, the supplier provided data regarding the supplier or a division or segment generally rather than as to specific materials or parts that the supplier provides to Oshkosh.
Our supplier responses included names of smelters or refiners, although there was no reliable information indicating that any of the 3TG that suppliers may have obtained from these smelters or refiners was actually contained in materials or parts that the supplier supplied to us. Therefore, Oshkosh was unable to confirm the identity or location of all of the smelters or refiners that may be in our supply chain. We were able to match 314 (312 in the prior year) of the smelters or refiners that supplier responses identified to the Responsible Minerals Initiative (formerly the Conflict-Free Sourcing Initiative) list, including those smelters or refiners on Appendix A. Approximately 95% (90% in the prior year) of the smelters or refiners we were able to match to the list either were certified as conflict free or were actively working toward conflict free certification. As to the remaining 5% that we were able to identify as “active” smelters or refiners based on the list, no certification status was available. This does not definitively mean that these smelters or refiners are sourcing from the Covered Countries or financing or benefiting armed groups within the Covered Countries, and we have discovered no reliable information indicating that they are.
Virtually all of the responses to our surveys supported our conclusion that 3TG in materials or parts supplied to us were not likely sourced in a Covered Country. In the small number of cases where our process indicated further investigation was appropriate, we solicited additional information regarding whether the minerals reported were actually contained in the materials or parts supplied to us, whether any of the 3TG that these suppliers reported were known to have originated in a Covered Country, and whether any of the 3TG that these suppliers reported was financing or benefitting armed groups in Covered Countries. After follow-up, we were able to confirm either that these suppliers did not present a risk or that the additional information did not allow us to reach a determination regarding origin.
| 4. | Improvement Actions – Reporting Year 2016 to 2017 |
Our improvement initiatives for the 2017 reporting period were focused in the following areas:
| a. | Data extraction and supplier risk assessment – we improved our ability to identify suppliers that accounted for a significant amount of our direct material spend. As a result, our supplier survey process was more focused, allowing us to target those specific suppliers whose survey responses indicated a higher risk of sourcing from a Covered Country. We engaged those suppliers directly in an attempt to determine the specific risk factors in effect and how those risks could best be addressed. |
| b. | Supplier risk escalation/disposition – we continued to refine and utilize our supply chain conflict minerals risk escalation/disposition process. This step-by-step methodology guides an individual through the process of identifying and mitigating 3TG risk and includes a process flowchart with decision points and next steps, work instructions, and a checklist of action steps for supply chain personnel to take when a potential 3TG supply chain risk is identified through the supplier survey process. This process is highly tailored toward one-on-one, interpersonal engagement between our supply chain personnel and the supplier to ensure any potential risk is fully understood and appropriate risk mitigation actions are developed. |
| c. | Supplier survey responses - we continued to make improvements to our supplier survey process to increase response rate and our understanding of the 3TG in our supply chain. These improvements included specific outreach to historically non-responsive suppliers as well as changes in the timing of our survey activities that created additional time to evaluate our survey responses. These changes have allowed us to increase our survey response rates for each of the last three reporting periods. |
| d. | Smelter or refiner information – through continued engagement with the Responsible Minerals Initiative, we received more information from our suppliers for this reporting period regarding smelters or refiners that may be in our supply chain. |
| e. | Best practice benchmarking – we have maintained our participation in both formal and informal peer group discussions and reviews. We continued to be active participants in AIAG (Automotive Industry Action Group) and MAPI (Manufacturers Alliance for Productivity and Innovation) discussion forums and educational sessions. We also continued to be active participants in the Responsible Minerals Initiative program for the 2017 reporting period. |
| 5. | Future Actions to Improve Our Conflict Minerals Program |
Oshkosh will continue to identify and implement improvements to better our conflict minerals program with our main areas of focus in the following areas:
| a. | Enhance our data mining and extraction processes to identify potential 3TG risk within our supply chain to improve our ability to fully disclose, evaluate, and address those risks. |
| b. | Further engage suppliers with 3TG content in the products they provide to improve our understanding of their supply chains and develop risk mitigation steps as appropriate. |
| c. | Continue to exchange information and best practices within the Responsible Minerals Initiative program, AIAG, and MAPI to increase our understanding of conflict minerals best practices and the smelters or refiners in our supply chain and to better understand the ultimate source and conflict status of the minerals in our multi-tiered and complex supply chain. |
| d. | Continue to work within industry established frameworks, our trade associations, and other groups to identify and implement best practices related to conflict minerals. |
Appendix A – Smelter or Refiner Information
| Metal | Smelter ID | Smelter Name | Country |
| Gold | CID002762 | L'Orfebre S.A. | AND |
| Gold | CID002563 | Kaloti Precious Metals | ARE |
| Gold | CID002561 | Emirates Gold DMCC | ARE |
| Gold | CID002560 | Al Etihad Gold LLC | ARE |
| Gold | CID002866 | Morris and Watson Gold Coast | AUS |
| Gold | CID002030 | Western Australian Mint trading as The Perth Mint | AUS |
| Gold | CID002779 | Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH | AUT |
| Gold | CID002587 | Tony Goetz NV | BEL |
| Gold | CID001980 | Umicore S.A. Business Unit Precious Metals Refining | BEL |
| Gold | CID002606 | Marsam Metals | BRA |
| Gold | CID001977 | Umicore Brasil Ltda. | BRA |
| Gold | CID000058 | AngloGold Ashanti Corrego do Sitio Mineracao | BRA |
| Gold | CID001534 | Royal Canadian Mint | CAN |
| Gold | CID000924 | Asahi Refining Canada Ltd. | CAN |
| Gold | CID000185 | CCR Refinery - Glencore Canada Corporation | CAN |
| Gold | CID002003 | Valcambi S.A. | CHE |
| Gold | CID001498 | PX Précinox S.A. | CHE |
| Gold | CID001352 | PAMP S.A. | CHE |
| Gold | CID001153 | Metalor Technologies S.A. | CHE |
| Gold | CID000189 | Cendres + Métaux SA | CHE |
| Gold | CID000077 | Argor-Heraeus S.A. | CHE |
| Gold | CID002919 | Planta Recuperadora de Metales SpA | CHL |
| Gold | CID002312 | Guangdong Jinding Gold Limited | CHN |
| Gold | CID002243 | Gold Refinery of Zijin Mining Group Co., Ltd. | CHN |
| Gold | CID002224 | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | CHN |
| Gold | CID001947 | Tongling nonferrous Metals Group Co.,Ltd | CHN |
| Gold | CID001916 | The Refinery of Shandong Gold Mining Co., Ltd | CHN |
| Gold | CID001909 | Great Wall Precious Metals Co., Ltd. of CBPM | CHN |
| Gold | CID001736 | Sichuan Tianze Precious Metals Co., Ltd. | CHN |
| Gold | CID001622 | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | CHN |
| Gold | CID001619 | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | CHN |
| Gold | CID001362 | Penglai Penggang Gold Industry Co Ltd | CHN |
| Gold | CID001149 | Metalor Technologies (Hong Kong) Ltd. | CHN |
| Gold | CID001147 | Metalor Technologies (Suzhou) Ltd. | CHN |
| Gold | CID001093 | Luoyang Zijin Yinhui Metal Smelt Co Ltd | CHN |
| Gold | CID001058 | Lingbao Jinyuan Tonghui Refinery Co. Ltd. | CHN |
| Gold | CID001056 | Lingbao Gold Co., Ltd. | CHN |
| Gold | CID000855 | Jiangxi Copper Co., Ltd. | CHN |
| Gold | CID000801 | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | CHN |
| Metal | Smelter ID | Smelter Name | Country |
| Gold | CID000767 | Hunan Chenzhou Mining Group Co., Ltd. | CHN |
| Gold | CID000707 | Heraeus Metals Hong Kong Ltd. | CHN |
| Gold | CID000671 | Hangzhou Fuchunjiang Smelting Co., Ltd. | CHN |
| Gold | CID000651 | Guoda Safina High-Tech Environmental Refinery Co., Ltd. | CHN |
| Gold | CID000522 | Refinery of Seemine Gold Co., Ltd. | CHN |
| Gold | CID000343 | Daye Non-Ferrous Metals Mining Ltd. | CHN |
| Gold | CID000197 | Yunnan Copper Industry Co Ltd | CHN |
| Gold | CID002290 | SAFINA A.S. | CZE |
| Gold | CID002867 | Degussa Sonne / Mond Goldhandel GmbH | DEU |
| Gold | CID002778 | WIELAND Edelmetalle GmbH | DEU |
| Gold | CID002777 | SAXONIA Edelmetalle GmbH | DEU |
| Gold | CID000711 | Heraeus Precious Metals GmbH & Co. KG | DEU |
| Gold | CID000694 | Heimerle + Meule GmbH | DEU |
| Gold | CID000362 | DODUCO Contacts and Refining GmbH | DEU |
| Gold | CID000176 | C. Hafner GmbH + Co. KG | DEU |
| Gold | CID000113 | Aurubis AG | DEU |
| Gold | CID000035 | Allgemeine Gold-und Silberscheideanstalt A.G. | DEU |
| Gold | CID001585 | SEMPSA Joyería Platería S.A. | ESP |
| Gold | CID002761 | SAAMP | FRA |
| Gold | CID001397 | PT Aneka Tambang (Persero) Tbk | IDN |
| Gold | CID002863 | Bangalore Refinery | IND |
| Gold | CID002853 | Sai Refinery | IND |
| Gold | CID002852 | Gujarat Gold Centre | IND |
| Gold | CID002509 | MMTC-PAMP India Pvt., Ltd | IND |
| Gold | CID002973 | Safimet S.p.A | ITA |
| Gold | CID002765 | Italpreziosi | ITA |
| Gold | CID002580 | T.C.A S.p.A. | ITA |
| Gold | CID000233 | Chimet S.p.A. | ITA |
| Gold | CID002129 | Yokohama Metal Co., Ltd. | JPN |
| Gold | CID002100 | Yamakin Co., Ltd. | JPN |
| Gold | CID001938 | Tokuriki Honten Co., Ltd | JPN |
| Gold | CID001875 | Tanaka Kikinzoku Kogyo K.K. | JPN |
| Gold | CID001798 | Sumitomo Metal Mining Co., Ltd. | JPN |
| Gold | CID001325 | Ohura Precious Metal Industry Co., Ltd. | JPN |
| Gold | CID001259 | Nihon Material Co., Ltd. | JPN |
| Gold | CID001193 | Mitsui Mining and Smelting Co., Ltd. | JPN |
| Gold | CID001188 | Mitsubishi Materials Corporation | JPN |
| Gold | CID001119 | Matsuda Sangyo Co., Ltd. | JPN |
| Gold | CID000981 | Kojima Chemicals Co., Ltd | JPN |
| Gold | CID000937 | JX Nippon Mining & Metals Co., Ltd. | JPN |
| Metal | Smelter ID | Smelter Name | Country |
| Gold | CID000823 | Japan Mint | JPN |
| Gold | CID000807 | Ishifuku Metal Industry Co., Ltd. | JPN |
| Gold | CID000425 | Eco-System Recycling Co., Ltd. | JPN |
| Gold | CID000401 | Dowa | JPN |
| Gold | CID000264 | Chugai Mining | JPN |
| Gold | CID000090 | Asaka Riken Co., Ltd | JPN |
| Gold | CID000082 | Asahi Pretec Corporation | JPN |
| Gold | CID000019 | Aida Chemical Industries Co., Ltd. | JPN |
| Gold | CID002615 | TOO Tau-Ken-Altyn | KAZ |
| Gold | CID000957 | Kazzinc | KAZ |
| Gold | CID000956 | Kazakhmys Smelting LLC | KAZ |
| Gold | CID001029 | Kyrgyzaltyn JSC | KGZ |
| Gold | CID003195 | DS PRETECH Co., Ltd. | KOR |
| Gold | CID003189 | NH Recytech Company | KOR |
| Gold | CID002918 | SungEel HiMetal Co., Ltd. | KOR |
| Gold | CID002605 | Korea Zinc Co., Ltd. | KOR |
| Gold | CID001955 | Torecom | KOR |
| Gold | CID001562 | Samwon Metals Corp. | KOR |
| Gold | CID001555 | Samduck Precious Metals | KOR |
| Gold | CID001078 | LS-NIKKO Copper Inc. | KOR |
| Gold | CID000778 | HwaSeong CJ Co. Ltd. | KOR |
| Gold | CID000689 | HeeSung Metal Ltd. | KOR |
| Gold | CID000359 | DSC (Do Sung Corporation) | KOR |
| Gold | CID000328 | Daejin Indus Co., Ltd. | KOR |
| Gold | CID001161 | Metalurgica Met-Mex Penoles S.A. De C.V. | MEX |
| Gold | CID000180 | Caridad | MEX |
| Gold | CID002857 | Modeltech Sdn Bhd | MYS |
| Gold | CID002582 | Remondis Argentia B.V. | NLD |
| Gold | CID002282 | Morris and Watson | NZL |
| Gold | CID000128 | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | PHL |
| Gold | CID002511 | KGHM Polska Miedź Spółka Akcyjna | POL |
| Gold | CID002865 | Kyshtym Copper-Electrolytic Plant ZAO | RUS |
| Gold | CID001756 | SOE Shyolkovsky Factory of Secondary Precious Metals | RUS |
| Gold | CID001386 | Prioksky Plant of Non-Ferrous Metals | RUS |
| Gold | CID001326 | OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) | RUS |
| Gold | CID001204 | Moscow Special Alloys Processing Plant | RUS |
| Gold | CID000929 | JSC Uralelectromed | RUS |
| Gold | CID000927 | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | RUS |
| Gold | CID000493 | OJSC Novosibirsk Refinery | RUS |
| Gold | CID001032 | L' azurde Company For Jewelry | SAU |
| Metal | Smelter ID | Smelter Name | Country |
| Gold | CID001152 | Metalor Technologies (Singapore) Pte., Ltd. | SGP |
| Gold | CID000157 | Boliden AB | SWE |
| Gold | CID002314 | Umicore Precious Metals Thailand | THA |
| Gold | CID001220 | Nadir Metal Rafineri San. Ve Tic. A.S. | TUR |
| Gold | CID000814 | Istanbul Gold Refinery | TUR |
| Gold | CID000103 | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | TUR |
| Gold | CID002516 | Singway Technology Co., Ltd. | TWN |
| Gold | CID001761 | Solar Applied Materials Technology Corp. | TWN |
| Gold | CID002872 | Pease & Curren | USA |
| Gold | CID002708 | Abington Reldan Metals, LLC | USA |
| Gold | CID002510 | Republic Metals Corporation | USA |
| Gold | CID002459 | Geib Refining Corporation | USA |
| Gold | CID001993 | United Precious Metal Refining, Inc. | USA |
| Gold | CID001546 | Sabin Metal Corp. | USA |
| Gold | CID001322 | Elemetal Refining, LLC | USA |
| Gold | CID001157 | Metalor USA Refining Corporation | USA |
| Gold | CID001113 | Materion | USA |
| Gold | CID000969 | Kennecott Utah Copper LLC | USA |
| Gold | CID000920 | Asahi Refining USA Inc. | USA |
| Gold | CID000015 | Advanced Chemical Company | USA |
| Gold | CID001236 | Navoi Mining and Metallurgical Combinat | UZB |
| Gold | CID000041 | Almalyk Mining and Metallurgical Complex (AMMC) | UZB |
| Gold | CID002850 | AU Traders and Refiners | ZAF |
| Gold | CID001512 | Rand Refinery (Pty) Ltd. | ZAF |
| Tantalum | CID002707 | Resind Indústria e Comércio Ltda. | BRA |
| Tantalum | CID001175 | Mineracao Taboca S.A. | BRA |
| Tantalum | CID001076 | LSM Brasil S.A. | BRA |
| Tantalum | CID003191 | Jiujiang Janny New Material Co., Ltd. | CHN |
| Tantalum | CID002842 | Jiangxi Tuohong New Raw Material | CHN |
| Tantalum | CID002512 | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | CHN |
| Tantalum | CID002508 | XinXing HaoRong Electronic Material Co., Ltd. | CHN |
| Tantalum | CID002506 | Jiujiang Zhongao Tantalum & Niobium Co, Ltd. | CHN |
| Tantalum | CID002505 | FIR Metals & Resource Ltd. | CHN |
| Tantalum | CID002492 | Hengyang King Xing Lifeng New Materials Co., Ltd. | CHN |
| Tantalum | CID001522 | RFH Tantalum Smeltery Co./Yanling Jincheng Tantalum & Niobium Co., Ltd. | CHN |
| Tantalum | CID001277 | Ningxia Orient Tantalum Industry Co., Ltd. | CHN |
| Tantalum | CID000917 | Jiujiang Tanbre Co., Ltd. | CHN |
| Tantalum | CID000914 | JiuJiang JinXin Nonferrous Metals Co., Ltd. | CHN |
| Tantalum | CID000616 | Guangdong Zhiyuan New Material Co., Ltd. | CHN |
| Metal | Smelter ID | Smelter Name | Country |
| Tantalum | CID000460 | F&X Electro-Materials Ltd. | CHN |
| Tantalum | CID000291 | Guangdong Rising Rare Metals-EO Materials Ltd. | CHN |
| Tantalum | CID000211 | Changsha South Tantalum Niobium Co., Ltd. | CHN |
| Tantalum | CID002550 | H.C. Starck Smelting GmbH & Co. KG | DEU |
| Tantalum | CID002547 | H.C. Starck Hermsdorf GmbH | DEU |
| Tantalum | CID002545 | H.C. Starck Tantalum and Niobium GmbH | DEU |
| Tantalum | CID001200 | NPM Silmet AS | EST |
| Tantalum | CID001163 | Metallurgical Products India Pvt., Ltd. | IND |
| Tantalum | CID002558 | Global Advanced Metals Aizu | JPN |
| Tantalum | CID002549 | H.C. Starck Ltd. | JPN |
| Tantalum | CID001869 | Taki Chemical Co., Ltd. | JPN |
| Tantalum | CID001192 | Mitsui Mining and Smelting Co., Ltd. | JPN |
| Tantalum | CID000092 | Asaka Riken Co., Ltd. | JPN |
| Tantalum | CID001969 | Ulba Metallurgical Plant JSC | KAZ |
| Tantalum | CID002539 | KEMET Blue Metals | MEX |
| Tantalum | CID002847 | Power Resources Ltd. | MKD |
| Tantalum | CID001769 | Solikamsk Magnesium Works OAO | RUS |
| Tantalum | CID002544 | H.C. Starck Co., Ltd. | THA |
| Tantalum | CID002568 | KEMET Blue Powder | USA |
| Tantalum | CID002557 | Global Advanced Metals Boyertown | USA |
| Tantalum | CID002548 | H.C. Starck Inc. | USA |
| Tantalum | CID002504 | D Block Metals, LLC | USA |
| Tantalum | CID001891 | Telex Metals | USA |
| Tantalum | CID001508 | QuantumClean | USA |
| Tantalum | CID000456 | Exotech Inc. | USA |
| Tin | CID002773 | Metallo Belgium N.V. | BEL |
| Tin | CID001337 | Operaciones Metalurgical S.A. | BOL |
| Tin | CID000438 | EM Vinto | BOL |
| Tin | CID002756 | Super Ligas | BRA |
| Tin | CID002706 | Resind Indústria e Comércio Ltda. | BRA |
| Tin | CID002500 | Melt Metais e Ligas S.A. | BRA |
| Tin | CID002468 | Magnu's Minerais Metais e Ligas LTDA | BRA |
| Tin | CID002036 | White Solder Metalurgia e Mineração Ltda. | BRA |
| Tin | CID001758 | Soft Metais Ltda. | BRA |
| Tin | CID001173 | Mineracao Taboca S.A. | BRA |
| Tin | CID000448 | Estanho de Rondônia S.A. | BRA |
| Tin | CID003190 | Chifeng Dajingzi Tin Industry Co., Ltd. | CHN |
| Tin | CID003116 | Guangdong Hanhe Non-ferrous Metal Limited Company | CHN |
| Tin | CID002859 | Gejiu Jinye Mineral Company | CHN |
| Tin | CID002849 | Guanyang Guida Nonferrous Metal Smelting Plant | CHN |
| Tin | CID002848 | Gejiu Fengming Metallurgy Chemical Plant | CHN |
| Metal | Smelter ID | Smelter Name | Country |
| Tin | CID002844 | HuiChang Hill Tin Industry Co., Ltd. | CHN |
| Tin | CID002180 | Yunnan Tin Company Limited | CHN |
| Tin | CID002158 | Yunnan Chengfeng Non-ferrous Metals Co.,Ltd. | CHN |
| Tin | CID001908 | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | CHN |
| Tin | CID001231 | Nankang Nanshan Tin Manufactory Co., Ltd. | CHN |
| Tin | CID001070 | China Tin Group Co., Ltd. | CHN |
| Tin | CID000942 | Gejiu Kai Meng Industry and Trade LLC | CHN |
| Tin | CID000760 | Huichang Jinshunda Tin Co. Ltd | CHN |
| Tin | CID000555 | Gejiu Zi-Li | CHN |
| Tin | CID000538 | Gejiu Non-Ferrous Metal Processing Co., Ltd. | CHN |
| Tin | CID000278 | CNMC (Guangxi) PGMA Co. Ltd. | CHN |
| Tin | CID000244 | Jiangxi Ketai Advanced Material Co., Ltd. | CHN |
| Tin | CID000228 | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | CHN |
| Tin | CID002774 | Metallo Spain S.L.U. | ESP |
| Tin | CID003205 | PT Bangka Serumpun | IDN |
| Tin | CID002870 | PT Lautan Harmonis Sejahtera | IDN |
| Tin | CID002835 | PT Menara Cipta Mulia | IDN |
| Tin | CID002829 | PT Kijang Jaya Mandiri | IDN |
| Tin | CID002816 | PT Sukses Inti Makmur | IDN |
| Tin | CID002776 | PT Bangka Prima Tin | IDN |
| Tin | CID002593 | CV Tiga Sekawan | IDN |
| Tin | CID002592 | CV Dua Sekawan | IDN |
| Tin | CID002570 | CV Ayi Jaya | IDN |
| Tin | CID002530 | PT Inti Stania Prima | IDN |
| Tin | CID002503 | PT ATD Makmur Mandiri Jaya | IDN |
| Tin | CID002455 | CV Venus Inti Perkasa | IDN |
| Tin | CID001493 | PT Tommy Utama | IDN |
| Tin | CID001490 | PT Tinindo Inter Nusa | IDN |
| Tin | CID001482 | PT Timah (Persero) Tbk Mentok | IDN |
| Tin | CID001477 | PT Timah (Persero) Tbk Kundur | IDN |
| Tin | CID001471 | PT Sumber Jaya Indah | IDN |
| Tin | CID001468 | PT Stanindo Inti Perkasa | IDN |
| Tin | CID001463 | PT Sariwiguna Binasentosa | IDN |
| Tin | CID001460 | PT Refined Bangka Tin | IDN |
| Tin | CID001458 | PT Prima Timah Utama | IDN |
| Tin | CID001457 | PT Panca Mega Persada | IDN |
| Tin | CID001453 | PT Mitra Stania Prima | IDN |
| Tin | CID001448 | PT Karimun Mining | IDN |
| Tin | CID001438 | PT Eunindo Usaha Mandiri | IDN |
| Tin | CID001434 | PT DS Jaya Abadi | IDN |
| Metal | Smelter ID | Smelter Name | Country |
| Tin | CID001428 | PT Bukit Timah | IDN |
| Tin | CID001421 | PT Belitung Industri Sejahtera | IDN |
| Tin | CID001419 | PT Bangka Tin Industry | IDN |
| Tin | CID001406 | PT Babel Surya Alam Lestari | IDN |
| Tin | CID001402 | PT Babel Inti Perkasa | IDN |
| Tin | CID001399 | PT Artha Cipta Langgeng | IDN |
| Tin | CID000315 | CV United Smelting | IDN |
| Tin | CID000313 | PT Premium Tin Indonesia | IDN |
| Tin | CID000309 | PT Aries Kencana Sejahtera | IDN |
| Tin | CID000306 | CV Gita Pesona | IDN |
| Tin | CID001191 | Mitsubishi Materials Corporation | JPN |
| Tin | CID000402 | Dowa | JPN |
| Tin | CID003208 | Pongpipat Company Limited | MMR |
| Tin | CID002858 | Modeltech Sdn Bhd | MYS |
| Tin | CID001105 | Malaysia Smelting Corporation (MSC) | MYS |
| Tin | CID001182 | Minsur | PER |
| Tin | CID002517 | O.M. Manufacturing Philippines, Inc. | PHL |
| Tin | CID000468 | Fenix Metals | POL |
| Tin | CID001898 | Thaisarco | THA |
| Tin | CID001314 | O.M. Manufacturing (Thailand) Co., Ltd. | THA |
| Tin | CID001539 | Rui Da Hung | TWN |
| Tin | CID001142 | Metallic Resources, Inc. | USA |
| Tin | CID000292 | Alpha | USA |
| Tin | CID002703 | An Vinh Joint Stock Mineral Processing Company | VNM |
| Tin | CID002574 | Tuyen Quang Non-Ferrous Metals Joint Stock Company | VNM |
| Tin | CID002573 | Nghe Tinh Non-Ferrous Metals Joint Stock Company | VNM |
| Tin | CID002572 | Electro-Mechanical Facility of the Cao Bang Minerals Joint Stock Company | VNM |
| Tungsten | CID002044 | Wolfram Bergbau und Hutten AG | AUT |
| Tungsten | CID002833 | ACL Metais Eireli | BRA |
| Tungsten | CID003182 | Hunan Litian Tungsten Industry Co., Ltd. | CHN |
| Tungsten | CID002830 | Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. | CHN |
| Tungsten | CID002815 | South-East Nonferrous Metal Company Limited of Hengyang City | CHN |
| Tungsten | CID002647 | Jiangxi Dayu Longxintai Tungsten Co., Ltd. | CHN |
| Tungsten | CID002645 | Ganzhou Haichuang Tungsten Industry Co., Ltd. | CHN |
| Tungsten | CID002579 | Hunan Chuangda Vandadium Tungsten Co., Ltd. Wuji | CHN |
| Tungsten | CID002551 | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | CHN |
| Tungsten | CID002536 | Ganzhou Yatai Tungsten Co., Ltd. | CHN |
| Tungsten | CID002513 | Chenzhou Diamond Tungsten Products Co., Ltd. | CHN |
| Tungsten | CID002494 | Ganzhou Seadragon W & Mo Co., Ltd. | CHN |
| Tungsten | CID002321 | Jiangxi Gan Bei Tungsten Co., Ltd. | CHN |
| Metal | Smelter ID | Smelter Name | Country |
| Tungsten | CID002320 | Xiamen Tungsten (H.C.) Co., Ltd. | CHN |
| Tungsten | CID002319 | Malipo Haiyu Tungsten Co., Ltd. | CHN |
| Tungsten | CID002318 | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | CHN |
| Tungsten | CID002317 | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | CHN |
| Tungsten | CID002316 | Jiangxi Yaosheng Tungsten Co., Ltd. | CHN |
| Tungsten | CID002315 | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | CHN |
| Tungsten | CID002313 | Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. | CHN |
| Tungsten | CID002095 | Xinhai Rendan Shaoguan Tungsten Co., Ltd. | CHN |
| Tungsten | CID002082 | Xiamen Tungsten Co., Ltd. | CHN |
| Tungsten | CID000875 | Ganzhou Huaxing Tungsten Products Co., Ltd. | CHN |
| Tungsten | CID000769 | Hunan Chunchang Nonferrous Metals Co., Ltd. | CHN |
| Tungsten | CID000766 | Hunan Chenzhou Mining Group Co., Ltd. | CHN |
| Tungsten | CID000499 | Fujian Jinxin Tungsten Co., Ltd. | CHN |
| Tungsten | CID000258 | Chongyi Zhangyuan Tungsten Co., Ltd. | CHN |
| Tungsten | CID000218 | Guangdong Xianglu Tungsten Co., Ltd. | CHN |
| Tungsten | CID002542 | H.C. Starck Smelting GmbH & Co.KG | DEU |
| Tungsten | CID002541 | H.C. Starck Tungsten GmbH | DEU |
| Tungsten | CID000825 | Japan New Metals Co., Ltd. | JPN |
| Tungsten | CID000004 | A.L.M.T. TUNGSTEN Corp. | JPN |
| Tungsten | CID002843 | Woltech Korea Co., Ltd. | KOR |
| Tungsten | CID002827 | Philippine Chuangxin Industrial Co., Inc. | PHL |
| Tungsten | CID002845 | Moliren Ltd | RUS |
| Tungsten | CID002724 | Unecha Refractory metals plant | RUS |
| Tungsten | CID002649 | Hydrometallurg, JSC | RUS |
| Tungsten | CID002589 | Niagara Refining LLC | USA |
| Tungsten | CID000966 | Kennametal Fallon | USA |
| Tungsten | CID000568 | Global Tungsten & Powders Corp. | USA |
| Tungsten | CID000105 | Kennametal Huntsville | USA |
| Tungsten | CID002543 | Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC | VNM |
| Tungsten | CID002502 | Asia Tungsten Products Vietnam Ltd. | VNM |
| Tungsten | CID002011 | Vietnam Youngsun Tungsten Industry Co., Ltd | VNM |
| Tungsten | CID001889 | Tejing (Vietnam) Tungsten Co., Ltd. | VNM |
