UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM SD

Specialized Disclosure Report

 

SEVCON, INC.

(Exact name of registrant as specified in its charter)

 

Delaware 1-9789 04-2985631
(State or other jurisdiction (Commission (IRS Employer
of incorporation or organization) File Number) Identification No.)
     

155 Northboro Road, Southborough, Massachusetts 01772

(Address of principal executive offices) (Zip Code)

 

Paul Farquhar, Chief Financial Officer (508) 281-5510

(Name and telephone number, including area code,

of the person to contact in connection with this report.)

 

Check the appropriate box to indicate the rule pursuant to which this form is being filed, and provide the period to which the information in this form applies:

 

☒ Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2014.

 

Section 1 - Conflict Minerals Disclosure

Items 1.01 and 1.02      Conflict Minerals Disclosure and Report, Exhibit

 

A copy of Sevcon Inc.’s Conflict Minerals Report for the reporting period January 1, 2014 to December 31, 2014 is filed as Exhibit 1.01 hereto and is publicly available at www.sevcon.com/about-sevcon/environmental.

 

Sevcon’s Conflict Minerals Report is filed as Exhibit 1.01 hereto.

Section 2 - Exhibits

Item 2.01      Exhibits

1.01 Conflict Minerals Report as required by Items 1.01 and 1.02 of this Form.

 

 
 

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.

 

 

SEVCON, INC.

(Registrant)

 

 

/s/ Paul N. Farquhar                                      May 28th, 2015

By Paul N. Farquhar                                         (Date)

Chief Financial Officer

 

 

 

 

 



Exhibit 1.01

 

Sevcon, Inc.

Conflict Minerals Report

 

For the reporting period from January 1, 2014 to December 31, 2014

 

Introduction

 

This Conflict Minerals Report of Sevcon, Inc. (“Sevcon”) has been prepared pursuant to SEC Rule 13p-1 and Form SD (the “Rule”) for the reporting period January 1, 2014 to December 31, 2014.

 

The Rule requires disclosure of certain information when a company manufactures or contracts to manufacture products for which the minerals specified in the Rule are necessary to the functionality or production of those products. The specified minerals, which are collectively referred to in this Report as the “subject minerals,” are gold, columbite-tantalite (coltan), cassiterite and wolframite, including their derivatives, which are limited to tantalum, tin and tungsten. As described in this Report, the Company manufactures, or contracts to manufacture, products for which those subject minerals are necessary to the functionality or production.

 

As a producer of electronic equipment, Sevcon uses a supply base consisting mostly of electronic component manufacturers, distributors and assemblers. Therefore, the facilities used to process the necessary subject minerals in those products, and the country of origin of those subject minerals in those products are several steps down the global electronics supply chain.

 

The term “conflict-free” is used in this report to denote products, parts or materials where the subject minerals and their derivative metals are from smelters or refiners verified as complying with the Conflict-Free Sourcing Initiative’s Conflict-Free Smelter Program (the “CFSP”) or an equivalent third-party audit program.

 

Products

 

The products manufactured or contracted to be manufactured by Sevcon in calendar year 2014 were –

 

1.Motor controllers for electric and hybrid vehicles
2.On-board battery chargers for electric and hybrid vehicles
3.DC/DC convertors for electric and hybrid vehicles
4.Other drivetrain system components for electric and hybrid vehicles
5.Industrial Capacitors

 

Sevcon’s Due Diligence Program Regarding Subject Minerals

 

For calendar year 2014, Sevcon conducted a reasonable country of origin inquiry (RCOI) designed to determine the country of origin of the subject minerals necessary to the functionality or production of our products. The objective of the inquiry was to collect accurate, complete, and actionable data and information in support of the subject minerals due diligence process from our manufacturing partners and their suppliers.

 

We conducted a survey of our manufacturing partners and their component suppliers using the template developed jointly by the companies of Electronic Industry Citizenship Coalition (EICC) and The Global e-Sustainability Initiative (GeSI), known as the CFSI Reporting Template (the “Template”). The Template was developed to facilitate disclosure and communication of information regarding smelters that provide material to a company’s supply chain. It includes questions regarding a company’s conflict-free policy, engagement with its direct suppliers, and a listing of the smelters the company and its suppliers use. In addition, the template contains questions about the origin of subject minerals included in their products, as well as supplier due diligence.

 

Of the manufacturers within the scope of our RCOI, 48% confirmed as not supplying parts containing the subject minerals or using those minerals in their production process. Of the remaining manufacturers/suppliers, 74% responded, and 67% submitted responses in the appropriate EICC GeSI format. Of the responding suppliers, 45% were able to confirm that all of their supplying subject minerals smelters were listed as compliant on the CFSI lists.

 

 
 

Following the RCOI, we conducted a diligence process consistent with the Organization for Economic Cooperation and Development’s (OECD) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High Risk Areas Five Step Framework in order to determine the source and chain of custody of any subject minerals in our supply chain. The OECD Due Diligence Guide is an internationally recognized due diligence framework that satisfies the SEC’s criteria.

 

In accordance with the OECD Due Diligence Guidelines, Sevcon has:

 

  1. Established strong company management systems, by having:
    1. Established a policy to work towards using only conflict-free minerals in its supply chain, and has informed all suppliers of the objectives and reporting requirements. This policy is publicly available at www.sevcon.com, under “About Sevcon” > “Environmental”.
    2. Allocated internal management resource and responsibility for supply chain due diligence. A management working group has been formed to execute due diligence on the supplier base. This comprises representatives from the following functions within Sevcon; Finance, Logistics and Quality Assurance.
    3. Established a system of controls and transparency over the mineral supply chain. The details of this are described in 1. (d) below.
    4. Strengthened company engagement with suppliers.
All components specified by Sevcon and consumed during calendar year 2014 have been identified and traced to the manufacturer.
All manufacturers have been contacted, in order to trace subject mineral sources.
Data has been requested using the CFSI template, to ensure compliant smelters are identified.
The responses have been analyzed, to confirm whether compliance has been achieved (i.e. all smelters declared, and included on the CFSI compliant smelters lists).
Where new supplier contracts are drafted, conflict-free minerals objectives and reporting requirements are being included.
    1. Made available the company Environmental Corrective and Preventive Action Procedure available for investigation of any risks relating to subject minerals, with input to the EICC® GeSI program where appropriate.
  1. Identified risk in the supply chain, and assessed the adverse impact of those risks.
  2. Designed and implemented a strategy to respond to identified risks which includes:
Working with the suppliers to help them fully understand Sevcon’s requirements.
Advising on the EICC GeSI Initiative, and the reporting requirements.
Contacting component manufacturers directly to improve the reporting process.
Advising of Sevcon’s intention to move away from non-reporting or non-compliant suppliers.
As a final step, terminating our relationship with non-reporting and non-compliant suppliers.
  1. Utilized the EICC GeSI reporting program to analyse the responses of its manufacturers and suppliers.
  2. Reported the results of our supply chain due diligence publicly in Form SD as well as internally to senior management.

 

Our efforts to determine the mine or location of origin of the subject minerals in our products with the greatest possible specificity consisted of the due diligence measures described in this report. In particular, because independent third party audit programs validate whether sufficient evidence exists regarding country, mine and/or location of origin of the subject minerals that the audited smelter or refiner facilities have processed, we relied on the information made available by such programs for the smelters and refiners in our supply chain.

 

Determination

 

We were unable to ascertain the country of origin and/or chain of custody of all necessary subject minerals processed by the facilities that contributed to our products because, for this reporting period, (1) certain smelter and refiner facilities had not yet received a “conflict-free” designation from an independent third party audit program, and (2) some manufacturers and their materials suppliers did not respond to our requests for country of origin or chain of custody information.

With respect to the products on which Sevcon exercised due diligence, Annex I lists the facilities which, to the extent known, processed the necessary subject minerals in our products. Annex II summarises the countries of origin of the minerals processed by those facilities. Annex III shows the number of smelters which are conflict-free as determined by the Conflict-Free Smelter Program, and those which are in their audit program with the aim of achieving compliance.

 

 
 

Continuous Improvement Strategy

 

In order to improve from the above initial results and to mitigate the risk that our subject minerals will benefit armed groups, Sevcon is taking the following actions:

 

  1. Working with the suppliers, sub-suppliers and manufacturers to engage with the smelter to enroll in the EICC GeSI Conflict Free Smelters program;
  2. Failing action a., working with the supplier and sub-supplier to select an alternative subject minerals supplier with supplying smelters participating in the EICC GeSI Conflict Free Smelters program;
  3. Failing action b., selecting an alternative supplier or sub-supplier who can offer conflict-free materials with supplying smelters participating in the EICC GeSI Conflict Free Smelters program.
  4. Monitoring progress towards conflict-free status by reporting trends publicly and within Sevcon and its supplier base.

Continuous Improvement Results

 

The table below demonstrates the improvement in our suppliers’ reporting and compliance achieved from 2013 to 2014 (reporting periods).

 

Reporting period 2013 2014 Improvement^
Response level 44% 74% 68%
EICC GeSI format 54% 67% 24%
Compliant response 0% 45% -

(^ reflects relative improvement)

 

ANNEX I

 

Metal Smelter Name Country
Gold Acade Noble Metal (Zhao Yuan) Corporation China
Gold AcademyPreciousMetals(China)Co.,Ltd China
Gold Accurate Refining Group USA
Gold Aida Chemical Industries Co. Ltd.* Japan
Gold Allgemeine Gold- und Silberscheideanstalt A.G.* Germany
Gold Almalyk Mining and Metallurgical Complex (AMMC) Uzbekistan
Gold AngloGold Ashanti Mineração Ltda* Brazil
Gold Anhui Tongling non-ferrous Pioneer Metals Corporation China
Gold ANZ Banking Australia
Gold Argor-Heraeus SA* Switzerland
Gold Asahi Pretec Corp* Japan
Gold Asaka Riken Co Ltd Japan
Gold Asarco USA
Gold Atasay Kuyumculuk Sanayi Ve Ticaret A.S.* Turkey
Gold Aurubis AG* Germany
Gold Auston powder USA
Gold Bangko Sentral ng Pilipinas (Central Bank of the Philippines) Philippines
Gold Bauer Walser AG Germany
Gold Boliden AB* Sweden

 

* Denotes smelters and refiners which have received a “conflict free” designation from the CFSI independent third party audit program as of 11th May, 2015.

 

 
 

 

Gold C. Hafner GmbH + Co. KG* Germany
Gold CCR Refinery – Glencore Canada Corporation* Canada
Gold Cendres & Métaux SA Switzerland
Gold Central Bank of the DPR of Korea Korea, Republic Of
Gold Central Bank of the Philippines Gold Refinery & Mint Philippines
Gold CHALCO Yunnan Copper Co. Ltd. China
Gold Cheong Hing Hong Kong
Gold Chimet (Faggi Enrico Spa)* Italy
Gold China  Sino-Platinum Metals Co.,Ltd China
Gold China Gold China
Gold China Gold international resources corp.ltd China
Gold China Golddeal China
Gold China National Gold Group Corporation China
Gold China's Shangdong Gold Mining Co., Ltd* China
Gold Chugai Mining Co.,Ltd Japan
Gold Codelco Chile
Gold Colt Refining USA
Gold Cookson Sempsa Spain
Gold Daejin Indus Co. Ltd Korea, Republic Of
Gold DaeryongENC Korea, Republic Of
Gold Daye Non-Ferrous Metals Mining Ltd. China
Gold Do Sung Corporation Korea, Republic Of
Gold Doduco Germany
Gold Dong'guan Dong wu Violent-toxic Chemical Products Co., Ltd. Chile
Gold Dongguan Dongxu Metal Surface Hanlde Co Ltd Chile
Gold Dongguan Standard Electronic Material.Co.,Ltd China
Gold Dongguanshi Sutande Dianzi Cailiao Yoouxiange China
Gold Dongguanshi Sutande Dianzi Cailiao Youxiangongsi Chile
Gold Dowa* Japan
Gold E-Chem Enterprise Corp Taiwan
Gold Eco-System Recycling Co., Ltd.* Japan
Gold Faggi Enrico SPA Italy
Gold Feinhütte Halsbrücke GmbH Germany
Gold Ferro Corporation USA
Gold FSE Novosibirsk Refinery Russian Federation
Gold Gansu Seemine Material Hi-Tech Co Ltd China
Gold Gansu-based Baiyin Nonferrous Metals Corporation (BNMC) China
Gold Guangdong Jinding Gold Limited China
Gold Guangdong MingFa Precious Metal Co.,Ltd China
Gold Hangzhou Fuchunjiang Smelting Co., Ltd. China
Gold Harima Smelter Japan
Gold Heesung Metal Korea, Republic Of
Gold Heesung Metal Ltd Australia
Gold Heimerle + Meule GmbH* Germany
Gold Henan San Men Xia China
Gold Henan Zhongyuan gold smelter LLC China

 

* Denotes smelters and refiners which have received a “conflict free” designation from the CFSI independent third party audit program as of 11th May, 2015.

 

 
 

 

Gold Heraeus Ltd Hong Kong* Hong Kong
Gold Heraeus Precious Metals GmbH & Co. KG* Germany
Gold Heraeus USA USA
Gold Heraeus Zhaoyuan Changshu Electronic Materials Co., Ltd China
Gold Hon Shen Co. Ltd Taiwan
Gold HonHai Precision Co., Ltd. Taiwan
Gold Hunan Chenzhou Mining Group Co. Ltd China
Gold Hwasung CJ Co. Ltd Korea, Republic Of
Gold Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited China
Gold Ishifuku Metal Industry Co., Ltd.* Japan
Gold Istanbul Gold Refinery* Turkey
Gold Japan Mint* Japan
Gold Japan Pure Chemical Japan
Gold Jia Lung Corp Taiwan
Gold Jiangxi Copper Company Limited China
Gold Jie sheng China
Gold Jin Dong Heng China
Gold Jin Jinyin refining company limited China
Gold Jinfeng Gold Mine Smelter China
Gold Jinlong Copper Co., Ltd. China
Gold Johnson Matthey Inc* USA
Gold Johnson Matthey Limited* Canada
Gold JSC Ekaterinburg Non-Ferrous Metal Processing Plant* Russian Federation
Gold JSC Uralelectromed* Russian Federation
Gold JX Nippon Mining & Metals Co., Ltd* Japan
Gold Kanfort Industrial (Yantai) Co. Ltd. China
Gold Kazzinc Ltd* Kazakhstan
Gold Kee Shing Hong Kong
Gold Kennecott Utah Copper LLC* USA
Gold Kojima Chemicals Co. Ltd* Japan
Gold Korea Metal Co. Ltd* Korea, Republic Of
Gold Kunshan Jinli Chemical Industry Reagents co.,Ltd. China
Gold Kyocera Japan
Gold Kyrgyzaltyn JSC Kyrgyzstan
Gold L' Azurde Company For Jewelry* Saudi Arabia
Gold La Caridad Mexico
Gold LBMA Germany Germany
Gold LBMA Japan Japan
Gold Lingao Gold China
Gold Lingbao Jinyuan Tonghui Refinery Co. Ltd. China
Gold Linxens France
Gold Littelfuse USA
Gold LS-Nikko Copper Inc* Korea, Republic Of
Gold Luoyang Zijin Yinhui Gold Smelting Co. Ltd China
Gold Materion Advanced Metals* USA

 

* Denotes smelters and refiners which have received a “conflict free” designation from the CFSI independent third party audit program as of 11th May, 2015.

 

 
 

 

Gold Matsuda Sangyo Co. Ltd* Japan
Gold Metalor France France
Gold Metalor Technologies (Hong Kong) Ltd* Hong Kong
Gold Metalor Technologies (Singapore) Pte. Ltd.* Singapore
Gold Metalor Technologies (Suzhou) Ltd. China
Gold Metalor Technologies SA* Switzerland
Gold Metalor USA Refining Corporation* USA
Gold Met-Mex Peñoles, S.A.* Mexico
Gold Minsur Peru
Gold Mistubishi Materials Corporation* Japan
Gold Mitsui Mining and Smelting Co., Ltd.* Japan
Gold Mitui kinzoku Co Ltd Japan
Gold MK Electronics Korea, Republic Of
Gold Morigin Company Japan
Gold Moscow Special Alloys Processing Plant Russian Federation
Gold N.E. Chemcat Corporation Japan
Gold Nadir Metal Rafineri San. Ve Tic. A.Ş.* Turkey
Gold Navoi Mining and Metallurgical Combinat Uzbekistan
Gold Nihon Material Co.,Ltd* Japan
Gold Ningbo Kangqiang China
Gold Norddeutsche Affinererie AG* Germany
Gold Ohio Precious Metals LLC.* USA
Gold Ohura Precious Metal Industry Co., Ltd* Japan
Gold OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastvetmet)* Russian Federation
Gold OJSC Kolyma Refinery Russian Federation
Gold PAMP SA* Switzerland
Gold Pan Pacific Copper Co. Ltd* Japan
Gold Penglai Penggang Gold Industry Co Ltd China
Gold Prioksky Plant of Non-Ferrous Metals Russian Federation
Gold PT Aneka Tambang (Persero) Tbk* Indonesia
Gold PX Précinox SA* Switzerland
Gold Qiankun Gold and Silver China
Gold Rand Refinery (Pty) Ltd* South Africa
Gold Realized the enterprise co., ltd. China
Gold Remondis Argentia B.V. Netherlands
Gold Rohm & Haas Elec. Mat'ls Singapore
Gold Royal Canadian Mint* Canada
Gold Sabin Metal Corp. USA
Gold Samduck Precious Metals Korea, Republic Of
Gold Samwon Metals Corp. Korea, Republic Of
Gold Sanmenxia hang seng science and technology, research and development Co., LTD China
Gold Schloetter Co. Ltd. United Kingdom
Gold Schone Edelmetaal* Netherlands
Gold Scotia Mocatta Hong Kong

 

* Denotes smelters and refiners which have received a “conflict free” designation from the CFSI independent third party audit program as of 11th May, 2015.

 

 
 

 

Gold SEMPSA Joyería Platería SA* Spain
Gold Senju Metal Industry CO.,LTD. Japan
Gold Shandong Gold Mining Co Ltd China
Gold Shandong Jun Mai Fu China
Gold Shandong Tiancheng Biological Gold Industrial Co. Ltd China
Gold Shandong Zhaojin Gold & Silver Refinery Co. Ltd* China
Gold Shanghai Gold Exchange China
Gold Shenzhen Thousand Island Ltd. China
Gold Shenzhen Fujun Material Technology co.,ltd China
Gold Shenzhen Heng Zhong Industry Co.,Ltd. China
Gold Shenzhen Tiancheng Chemical CO LTD China
Gold SKE (China): Shanghai Kyocera Electronics CO. LTD. China
Gold So Accurate Group, Inc. USA
Gold SOE Shyolkovsky Factory of Secondary Precious Metals Russian Federation
Gold Sojitz Corporation Japan
Gold Solar Applied Materials Technology Corp.* Taiwan
Gold Soochow University China
Gold Standard Bank Hong Kong
Gold Sumisho Japan
Gold Sumitomo Metal Mining Co. Ltd.* Japan
Gold Super Dragon Technology CO., LTD Taiwan
Gold Suzhou Xingrui Noble China
Gold Tai zhou chang san Jiao electron Co.,Ltd China
Gold Tanaka Kikinnzoku Kogyo K.K.* Japan
Gold Technic Inc USA
Gold The Great Wall Gold and Silver Refinery of China China
Gold The Hutti Gold Mines Company Limited India
Gold The Refinery of Shandong Gold Mining Co. Ltd* China
Gold Tokuriki Honten Co., Ltd* Japan
Gold Tokuriki Tokyo Melters Assayers* Japan
Gold Tongling Nonferrous Metal Group Co. Ltd China
Gold Torecom Korea, Republic Of
Gold UBS AG Switzerland
Gold Umicore Brasil Ltda* Brazil
Gold Umicore Galvanotechnik GmbH Germany
Gold Umicore Precious Metals Thailand* Thailand
Gold Umicore SA Business Unit Precious Metals Refining* Belgium
Gold Uniforce Metal Industrial Corp. Hong Kong
Gold United Precious Metal Refining Inc.* USA
Gold United Refining USA
Gold Uyemura USA
Gold Valcambi SA* Switzerland
Gold Western Australian Mint (The Perth Mint)* Australia
Gold Williams/ Williams Brewster USA
Gold Wuxi Middle Treasure Materials China
Gold Xstrata Canada Corporation* Canada

  

* Denotes smelters and refiners which have received a “conflict free” designation from the CFSI independent third party audit program as of 11th May, 2015.

 

 
 

 

Gold Yamamoto Precious Metal CO., LTD.* Japan
Gold Yantai Guodasafina High-Tech Environmental Refinery Co. Ltd. China
Gold Yantai Zhaojin Kanfort Precious Metals Co., Ltd. China
Gold Yantai Zhaojinlufu China
Gold Yokohama Metal Co Ltd Japan
Gold Yoo Chang Metal Korea, Republic Of
Gold Yunnan Copper Industry Co Ltd China
Gold Zhaojin Gold & Silver Refinery Co.,Ltd China
Gold ZhaoJin Mining Industry Co.,Ltd. China
Gold Zhe Jiang Guang Yuan Noble Metal Smelting Factory China
Gold Zhongjin Gold Corporation Limited* China
Gold Zhongshan Public Security Bureau, Guangdong Province China
Gold Zijin Mining Group Co. Ltd* China
Tantalum Changsha South Tantalum Niobium Co., Ltd.* China
Tantalum China Shenzhen Morgan Sputtering Targets & Technology Co., Ltd. China
Tantalum Conghua Tantalum and Niobium Smeltry* China
Tantalum Duoluoshan* China
Tantalum Exotech Inc.* USA
Tantalum F&X Electro-Materials Ltd.* China
Tantalum Fujian Nanping China
Tantalum Gannon & Scott USA
Tantalum Global Advanced Metals USA
Tantalum Global Advanced Metals Aizu* Japan
Tantalum Global Advanced Metals Boyertown* USA
Tantalum Guangdong Zhiyuan New Material Co., Ltd.* China
Tantalum Guizhou Zhenhua Xinyun Technology Ltd., Kaili branch* China
Tantalum H.C. Starck Co., Ltd.* Thailand
Tantalum H.C. Starck GmbH Germany
Tantalum H.C. Starck GmbH Goslar* Germany
Tantalum H.C. Starck GmbH Laufenburg* Germany
Tantalum H.C. Starck Hermsdorf GmbH* Germany
Tantalum H.C. Starck Inc.* USA
Tantalum H.C. Starck Ltd.* Japan
Tantalum Hengyang King Xing Lifeng New Materials Co., Ltd.* China
Tantalum Hi-Temp* USA
Tantalum JiuJiang JinXin Nonferrous Metals Co. Ltd.* China
Tantalum Jiujiang Tanbre Co., Ltd.* China
Tantalum KEMET Blue Metals* Mexico
Tantalum Kemet Blue Powder* USA
Tantalum King-Tan Tantalum Industry Ltd* China
Tantalum LSM Brasil S.A.* Brazil
Tantalum Metallurgical Products India (Pvt.) Ltd.* India
Tantalum Meterion Advanced Materials Thin Film Products USA
Tantalum Mineração Taboca S.A.* Brazil

 

* Denotes smelters and refiners which have received a “conflict free” designation from the CFSI independent third party audit program as of 11th May, 2015.

 

 
 

 

Tantalum Mitsui Mining & Smelting* Japan
Tantalum Molycorp Silmet A.S.* Estonia
Tantalum Nantong Tongjie Electrical Co., Ltd China
Tantalum Newton, MA USA
Tantalum Ningxia Orient Tantalum Industry Co., Ltd.* China
Tantalum NIPPON MINING & METALS Japan
Tantalum NTET, Thailand Thailand
Tantalum Plansee SE Liezen* Austria
Tantalum Plansee SE Reutte* Austria
Tantalum QuantumClean* USA
Tantalum RFH Tantalum Smeltry Co. Ltd* China
Tantalum Shanghai Jiangxi Metals Co. Ltd China
Tantalum Solikamsk Metal Works* Russian Federation
Tantalum Taki Chemicals* Japan
Tantalum Tantalite Resources South Africa
Tantalum Telex* USA
Tantalum Ulba Metallurgical Plant, jsc* Kazakhstan
Tantalum Yichun Jin Yang Rare Metal Co., Ltd* China
Tantalum Zhuzhou Cement Carbide China
Tin  CV United Smelting* Indonesia
Tin 5N Plus Germany
Tin AcademyPreciousMetals(China)Co.,Ltd China
Tin AIM Canada
Tin Alpha* USA
Tin Alpha Metals (Taiwan) Inc. Taiwan
Tin Alpha Metals Korea Ltd. Korea, Republic Of
Tin Amalgamet United Kingdom
Tin Amalgamet Inc Peru
Tin American Iron & Metal Co. Inc. Canada
Tin American Iron & Metal Co. Inc. USA
Tin Ami Bridge Enterprise Co., Ltd. China
Tin An Xin Xuan Xin Yue You Se Jin Shu Co. Ltd. China
Tin Asahi Solder Tech (Wuxi) Co. Ltd. China
Tin Asahi Solder Technology (Wuxi) Co., Ltd. China
Tin ATI Metalworking Products USA
Tin Atlantic Metals USA
Tin Best Metals Brazil
Tin Brinkmann Chemie AG Germany
Tin Butterworth Smelter Malaysia
Tin C. Hafner GmbH + Co. KG* Germany
Tin Cendres & Métaux SA Switzerland
Tin CFC Cooperativa dos Fundidores de Cassiterita da Amazônia Ltda. Brazil
Tin Chengfeng Metals Co Pte Ltd China
Tin China Huaxi Group Nandan China
Tin China Minmetals China

 

* Denotes smelters and refiners which have received a “conflict free” designation from the CFSI independent third party audit program as of 11th May, 2015.

 

 
 

 

Tin China Rare Metal Materials Company* China
Tin China Tin Group Co., Ltd. China
Tin China Tin Lai Ben Smelter Co., Ltd. China
Tin CNMC (Guangxi) PGMA Co. Ltd. China
Tin Complejo Metalurgico Vinto S.A. Bolivia
Tin Cookson (Alpha)* USA
Tin Cooper Santa* Brazil
Tin Coopermetal - Cooperativa Metalúrgica de Rondônia Ltda. Brazil
Tin CSC Pure Technologies Russian Federation
Tin CV DS Jaya Abadi Indonesia
Tin CV Duta Putra Bangka Indonesia
Tin CV Gita Pesona Indonesia
Tin CV JusTindo Indonesia
Tin CV Makmur Jaya Indonesia
Tin CV Nurjanah Indonesia
Tin CV Prima Timah Utama* Indonesia
Tin CV Serumpun Sebalai Indonesia
Tin CV United Smelting* Indonesia
Tin CV. Serumpun Sebalai Indonesia
Tin Dae Chang Ind Co Ltd Korea, Republic Of
Tin Dae Kil Korea, Republic Of
Tin Daewoo International Korea, Republic Of
Tin Dongguan City JiuBo Electronic Science and Technology Co., LTD China
Tin Dowa* Japan
Tin Duksan Hi-Metal Korea, Republic Of
Tin Electroloy Coroperation Sdn Bhd Malaysia
Tin Electroloy Metal Pte Singapore
Tin Electroloy Metal PTE LTD China
Tin EM Vinto* Bolivia
Tin Estanho de Rondônia S.A. Brazil
Tin Excellent resistance to copper (Suzhou) Co., Ltd. Taiwan
Tin Feinhütte Halsbrücke GmbH Germany
Tin Fenix Metals Limited Poland
Tin Foshan Nanhai Tong Ding Metal Company. Ltd. China
Tin FSE Novosibirsk Refinery Russian Federation
Tin Fuji Metal Mining Thailand
Tin Full Armor Industry (shares) Limited Japan
Tin Funsur* Brazil
Tin Geiju Non-Ferrous Metal Processing Co. Ltd.* China
Tin Gejiu Gold Smelter Minerals Co.,Ltd China
Tin Gejiu Jin Ye Mineral Co., Ltd. China
Tin Gejiu Kai Meng Industry and Trade LLC China
Tin Gejiu Non-Ferrous Metal Processing Co. Ltd. China
Tin Gejiu Yunxi Croup Corp China
Tin Gejiu YunXin Colored Electrolysis Ltd China

 

* Denotes smelters and refiners which have received a “conflict free” designation from the CFSI independent third party audit program as of 11th May, 2015.

 

 
 

 

Tin Gejiu Zi-Li China
Tin Gibbs Wire & Steel Co USA
Tin Gold Bell Group China
Tin Goodway USA
Tin Grant Manufacturing and Alloying USA
Tin Growing and Chemical (Suzhou) Co., Ltd. China
Tin Guang Xi Hua Xi Corp China
Tin Guangxi China Tin Group Co., LTD China
Tin Guangxi China Tin Group Co.,Ltd China
Tin Guangxi huaxi group co., LTD China
Tin Guangxi Pinggui PGMA Co. Ltd. China
Tin Guest Huaxi Smelting Co., Ltd. Japan
Tin H.J.Enthoven & Sons United Kingdom
Tin Hana-High Metal Malaysia
Tin Hanbaek nonferrous metals Korea, Republic Of
Tin Handok Metal Co.,Ltd Korea, Republic Of
Tin Heimerle + Meule GmbH* Germany
Tin Heraeus Materials Singapore Pte, Ltd. Singapore
Tin Heraeus Materials Technology GmbH & Co. KG Germany
Tin Heraeus Oriental Hitec Co., Ltd. Korea, Republic Of
Tin Heraeus Precious Metals GmbH & Co. KG Germany
Tin Heraeus Technology Center Hong Kong
Tin Heraeus Zhaoyuan Changshu Electronic Material Co.,Ltd China
Tin High Quality Technology Co., Ltd China
Tin High-Power Surface Technology China
Tin Hua Eng Wire&Cable Co.,Ltd Taiwan
Tin Huanggang City Tongding Metallic Material Co.Ltd China
Tin Huichang Jinshunda Tin Co. Ltd China
Tin Hyundai-Steel Korea, Republic Of
Tin IBF Ind Brasileira De Ferroligas Ltda Brazil
Tin Impag AG Switzerland
Tin Imperial Zinc USA
Tin Indium Corporation Of Europe United Kingdom
Tin Indonesian State Tin Corp Indonesia
Tin Indonesian Tin Ingot Indonesia
Tin Ishihara Chemical Co. Ltd. Japan
Tin Ishikawa  Metal Co.,Ltd. Japan
Tin Jau Janq Enterprise Co., Ltd. Taiwan
Tin Jean Goldschmidt International Belgium
Tin Jia Tian China
Tin Jiangxi Nanshan China
Tin Ju Tai Industrial Co.,Ltd. China
Tin Kai Unita Trade Limited Liability Company China
Tin Ketabang China
Tin Kewei Tin Co.,ltd China
Tin Koki Japan Japan

 

* Denotes smelters and refiners which have received a “conflict free” designation from the CFSI independent third party audit program as of 11th May, 2015.

 

 
 

 

Tin Kovohutě Příbram Nástupnická, A.S. Czech Republic
Tin Kundur Smelter Indonesia
Tin Laibin Huaxi Smelterring Co.,Ltd China
Tin Levitra can, Shenzhen Electronic Technology Co., Ltd. China
Tin LingbaoJinyuan tonghu China
Tin Linwu Xianggui Smelter Co China
Tin Liuzhou China Tin Group Company Ltd - Laibin Smelter China
Tin Lupon Enterprise Co., Ltd Taiwan
Tin Magnu's Minerais Metais e Ligas LTDA* Brazil
Tin Malaysia Smelting Corp* Malaysia
Tin Matsuo solder Co., Ltd. Japan
Tin Matsushima Metal Co. Peru
Tin MCP Group USA
Tin MCP Heck Germany
Tin MCP Metal Specialist Inc. China
Tin MCP Mining & Chemical Products Ltd. UK United Kingdom
Tin Melt Metais e Ligas S/A* Brazil
Tin Meng neng China
Tin Metaconcept France
Tin Metahub Industries Sdn. Bhd. Malaysia
Tin Metallic Materials Branch of Guangxi China Tin Group Co.,Ltd. China
Tin Metallic Resources Inc USA
Tin Metallo Chimique Belgium
Tin Metallum Metal Trading Company Switzerland
Tin Millard Wire USA
Tin Mineração Taboca S.A.* Brazil
Tin Ming Li Jia smelt Metal Factory China
Tin Minmetals Ganzhou Tin Co. Ltd. China
Tin Minsur SA* Peru
Tin Mits-Tec (Shanghai) Co. Ltd. China
Tin Mitsubishi Materials Corporation* Japan
Tin Nancang Metal Material Co.,Ltd China
Tin Nankang Nanshan Tin Manufactory Co., Ltd. China
Tin Nathan Trotter & Co., Inc. Peru
Tin Nathan Trotter & Co., Inc. USA
Tin NGHE Tin Non-Ferrous Metal Vietnam
Tin Nihon Genma MFG Co., Ltd. Japan
Tin Nihon Genma MFG Co., Ltd. Thailand
Tin Nihon Kagaku Sangyo Co., Ltd Japan
Tin Nihon Superior Co., Ltd. Japan
Tin Ningbo Jintian copper (Group ) Company Limited China
Tin Nippon Filler Metals, Ltd. Japan
Tin Novosibirsk Integrated Tin Works Russian Federation
Tin O. M. Manufacturing Philippines, Inc. Japan
Tin O.M. Manufacturing (Thailand) Co., Ltd. Thailand

 

* Denotes smelters and refiners which have received a “conflict free” designation from the CFSI independent third party audit program as of 11th May, 2015.

 

 
 

 

Tin O.M. Manufacturing Philippines, Inc. Philippines
Tin Operaciones Metalugicas SA.* Bolivia
Tin Operaciones Metalugicas SA. Indonesia
Tin Poongsan Corporation Korea, Republic Of
Tin Posco Korea, Republic Of
Tin Pro Wu Xianggui Mining and Metallurgy Co., Ltd. China
Tin PT Alam Lestari Kencana Indonesia
Tin PT Artha Cipta Langgeng* Indonesia
Tin PT ATD Makmur Mandiri Jaya* Indonesia
Tin PT Babel Inti Perkasa* Indonesia
Tin PT Babel Surya Alam Lestari Indonesia
Tin PT Bangka Kudai Tin Indonesia
Tin PT Bangka Putra Karya* Indonesia
Tin PT Bangka Timah Utama Sejahtera Indonesia
Tin PT Bangka Tin Industry* Indonesia
Tin PT Belitung Industri Sejahtera* Indonesia
Tin PT BilliTin Makmur Lestari Indonesia
Tin PT Bukit Timah* Indonesia
Tin PT DS Jaya Abadi* Indonesia
Tin PT Eunindo Usaha Mandiri* Indonesia
Tin PT Fang Di MulTindo Indonesia
Tin PT Hanjaya Perkasa Metals Indonesia
Tin PT HP Metals Indonesia Indonesia
Tin PT Indra Eramulti Logam industri Indonesia
Tin PT Inti Stania Prima Indonesia
Tin PT Karimun Mining Indonesia
Tin PT Koba Tin Indonesia
Tin PT Mitra Stania Prima* Indonesia
Tin PT Panca Mega Persada* Indonesia
Tin PT Pelat Timah Nusantara Tbk Indonesia
Tin PT Prima Timah Utama* Indonesia
Tin PT Refined Banka Tin* Indonesia
Tin PT Sariwiguna Binasentosa* Indonesia
Tin PT Seirama Tin investment Indonesia
Tin PT Stanindo Inti Perkasa* Indonesia
Tin PT Sumber Jaya Indah Indonesia
Tin PT Supra Sukses Trinusa Indonesia
Tin PT Tambang Timah* Indonesia
Tin PT Timah* Indonesia
Tin PT Timah (Persero)* Indonesia
Tin PT Timah Nusantara Indonesia
Tin PT Tinindo Inter Nusa* Indonesia
Tin PT Tommy Utama Indonesia
Tin PT Yinchendo Mining Industry Indonesia
Tin PT. Supra Sukses Trinusa Indonesia
Tin Pure Technology Russian Federation

 

* Denotes smelters and refiners which have received a “conflict free” designation from the CFSI independent third party audit program as of 11th May, 2015.

 

 
 

 

Tin Pure Technology USA
Tin QianDao Co. ,ltd China
Tin Redsun Taiwan
Tin Rohm & Hass China
Tin Rohm und Haas Germany
Tin RST Germany
Tin RT Refined Banka Tin Indonesia
Tin Rui Da Hung Taiwan
Tin S Company Thailand
Tin SA Minsur Peru
Tin Samhwa Non-Ferrous Metal. Inc Co.,Ltd Korea, Republic Of
Tin SGS Bolivia S.A. Bolivia
Tin Shan Tou Shi Yong Yuan Jin Shu Zai Sheng Co. Ltd. China
Tin Shanghai Yuanhao Surface Finishing Co. Ltd. China
Tin ShangHai YueQiang Metal Products Co., LTD China
Tin Shao Xing Tian Long Tin Materials Co. LTD. China
Tin Shen Mao Solder (M) Sdn. Bhd. Malaysia
Tin Shenmao Technology Inc Taiwan
Tin Shenzhen Keaixin Technology China
Tin Shenzhen Yi Cheng Industrial China
Tin Shuer Der Industry (Jiangsu) Co. Ltd. China
Tin Sinitron, Shenmao Solder (M) Sdn. Bhd. Malaysia
Tin SMIC Senju Malaysia Malaysia
Tin Soft Metais, Ltda. Brazil
Tin Solder Coat Co.,Ltd. Japan
Tin Solder Court Co., Ltd. China
Tin Stretti Malaysia
Tin Sun Surface Technology Co.,Ltd China
Tin Taicang City Nancang Metal Meterial Co.,Ltd China
Tin Taiwan High-tech Co. Taiwan
Tin Taiwan Total Co. Ltd. Taiwan
Tin Talcang City Nankang Metal Materila Co., Ltd China
Tin Tanaka Kikinzoku Kogyo K.K. Japan
Tin TCC steel Korea, Republic Of
Tin TDK Japan
Tin Tennant Metal Pty Ltd. Australia
Tin Thailand Smelting and Refining Co. Ltd. Thailand
Tin Thaisarco* Thailand
Tin Tianjin Huamei China
Tin Tianshui Longbo Business &Trade  Co.,Ltd. China
Tin Tim Plating Gejiu China
Tin Tong Ding Metal Company. Ltd. China
Tin Traxys Europe SA France
Tin Uni Bros Metal Pte Ltd Singapore
Tin Uniforce Metal Industrial Corp. Indonesia
Tin Unit Metalurgi PT Timah (Persero ) Tbk Indonesia

 

* Denotes smelters and refiners which have received a “conflict free” designation from the CFSI independent third party audit program as of 11th May, 2015.

 

 
 

 

Tin Unit Timah Kundur PT Tambang Indonesia
Tin United Precious Metal Refining, Inc.* USA
Tin Univertical International (Suzhou) Co., Ltd China
Tin Vertex Metals Incorporation Taiwan
Tin Vishay Intertechnology China
Tin WC Heraeus Hanau Germany
Tin Well-Lin Enterprise Co Ltd Taiwan
Tin Westfalenzinn Germany
Tin Westmetall GmbH & Co. KG Germany
Tin White Solder Metalurgia e Mineração Ltda.* Brazil
Tin Wilhelm Westmetall Germany
Tin Wind Yunnan Nonferrous Metals Co.,Ltd. China
Tin Wu Xi Shi Yi Zheng Ji Xie She Bei Company China
Tin Wuxi Lantronic Electronic Co Ltd China
Tin Wuxi Yunxi China
Tin Xia Yi Metal Industries (shares) Limited China
Tin XiHai China
Tin Xin Tongding China
Tin XIN WANG copper smelter China
Tin Yifeng Tin Industry (Chenzhou) Co Ltd China
Tin YTMM China
Tin yun nan ge jiu  shi  zi li kuang  ye CO.,ltd China
Tin Yunnan Chengfeng Non-Ferrous Metals Co Ltd China
Tin Yunnan Metallurgical Group Co., Ltd. China
Tin Yunnan Tin Company Limited* China
Tin Yunnan, China Rare Metal Materials Company China
Tin YunXi China
Tin Yun'xin Non-ferrous Electroanalysis Ltd. China
Tin Yutinic Resources USA
Tin Zhangzhou Macro Real Non-Ferrous Metals China
Tin Zhangzhou Xiangcheng Hongyu Building Co., Ltd. China
Tin Zhejiang Huangyan Xinqian Electrical Equipment Fittings Factory China
Tin Zhongshi China
Tin Zhuhai Horyison Solder Co.,Ltd China
Tin Zhuzhou Smelter Group Co., Ltd China
Tin Zong Yang Industrial Co., Ltd. China
Tungsten A.L.M.T. Corp. Japan
Tungsten Air Products USA
Tungsten Alldyne Powder Technologies  (ATI Firth Sterling) USA
Tungsten Allied material Corp. Japan
Tungsten Alluter Technology (Shenzhen) Co., Ltd China
Tungsten ALMT China
Tungsten Altlantic Metals USA
Tungsten ATI Tungsten Materials USA
Tungsten Axis Material Limited Japan

 

* Denotes smelters and refiners which have received a “conflict free” designation from the CFSI independent third party audit program as of 11th May, 2015.

 

 
 

 

Tungsten Central Glass / Japan Japan
Tungsten Chaozhou Xianglu Tungsten Industry Co Ltd China
Tungsten Chenzhou Diamond Tungsten Products Co,. Ltd.* China
Tungsten Chenzhou, Hunan, China (China Minmetals Non-ferrous Metals Holding Co.,Ltd) China
Tungsten China Minmetals Nonferrous Metals Co Ltd* China
Tungsten China National Non-Ferrous China
Tungsten Chongyi Zhangyuan Tungsten Co Ltd China
Tungsten Dayu Weiliang Tungsten Co., Ltd. China
Tungsten Degutea Korea, Republic Of
Tungsten Fujian Jinxin Tungsten Co., Ltd.* China
Tungsten Ganzhou Grand Sea W & Mo Group Co Ltd China
Tungsten Ganzhou Huaxin Tungsten Products Ltd* China
Tungsten Ganzhou Jiangwu Ferrotungsten Co., Ltd.* China
Tungsten Ganzhou Non-ferrous Metals Smelting Co., Ltd. China
Tungsten Ganzhou Seadragon W & Mo Co., Ltd.* China
Tungsten Global Advanced Metals USA
Tungsten Global Tungsten & Powders Corp* USA
Tungsten Golden Egret Special Allloy Coop. China
Tungsten Guangdong Xianglu Tungsten Industry Co., Ltd. China
Tungsten H.C. Starck Smelting GmbH & Co.Kg. Germany
Tungsten HC Starck Russian Federation
Tungsten Hi-Temp USA
Tungsten Hunan Chenzhou Mining Group Co., Ltd. China
Tungsten Hunan Chunchang Nonferrous Metals Co., Ltd.* China
Tungsten Izawa Metal Co., Ltd Japan
Tungsten Japan New Metals Co Ltd* Japan
Tungsten Jiangwu H.C. Starck Tungsten Products Co., Ltd. China
Tungsten Jiangxi Gan Bei Tungsten Co., Ltd.* China
Tungsten Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. China
Tungsten Jiangxi Rare Earth & Rare Metals Tungsten Group Corp China
Tungsten Jiangxi Richsea New Materials Co., Ltd. China
Tungsten Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. China
Tungsten Jiangxi Tungsten Industry Co Ltd* China
Tungsten Jiangxi Xinsheng Tungsten Industry Co., Ltd. China
Tungsten Kennametal Fallon USA
Tungsten Kennametal Firth Sterling USA
Tungsten Kennametal Huntsville USA
Tungsten KYORITSU GOKIN CO., LTD. Japan
Tungsten Luoyan Mudu Tungsten & Molybdenum Technology Co. Ltd. China
Tungsten Malipo Haiyu Tungsten Co., Ltd.* China
Tungsten Micro 100 USA
Tungsten Mitsubishi Carbide Japan
Tungsten Mitsui Mining & Smelting Co., Ltd Japan
Tungsten Nanchang Cemented Carbide Limited Liability Company China
Tungsten Ninghua Xingluokeng Tungsten Mine Co., Ltd. China

 

* Denotes smelters and refiners which have received a “conflict free” designation from the CFSI independent third party audit program as of 11th May, 2015.

 

 
 

 

Tungsten Ningxia Orient Tantalum Industry Co., Ltd. China
Tungsten Nippon Micrometal Cop Japan
Tungsten NIPPON TUNGSTEN CO., LTD. Japan
Tungsten North American Tungsten Corporation Ltd. USA
Tungsten North American Tungsten Corporation Ltd. Canada
Tungsten Nui Phao H.C. Starck Tungsten Vietnam
Tungsten Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC Vietnam
Tungsten Pobedit JSC Russian Federation
Tungsten Saganoseki Smelter & Refinery Japan
Tungsten Sandvik USA
Tungsten Sendi (Japan): Kyocera Corporation Japan
Tungsten Sincemat Co, Ltd China
Tungsten Sumitomo China
Tungsten Sumitomo Japan
Tungsten Sumitomo Electric, USA (A.L.M.T.) China
Tungsten Sunaga Tungsten Japan
Tungsten Sylham USA
Tungsten TaeguTec Korea, Republic of
Tungsten Tamano Smelter, Hibi Kyodo Smelting Co., Ltd Japan
Tungsten Tejing (Vietnam) Tungsten Co., Ltd. Vietnam
Tungsten Tosoh Japan
Tungsten ULVAC, Inc. Japan
Tungsten Vietnam Youngsun Tungsten Industry Co., Ltd* Vietnam
Tungsten Voss Metals Company, Inc. USA
Tungsten Wolfram Bergbau und Hütten AG* Austria
Tungsten Wolfram Company CJSC Russian Federation
Tungsten Fort Wayne Wire Die USA
Tungsten Xiamen Golden Egret Special Alloy Co. Ltd China
Tungsten Xiamen Honglu Tungsten Molybdenum Industry Co.,Ltd China
Tungsten Xiamen Tungsten (H.C.) Co., Ltd.* China
Tungsten Xiamen Tungsten Co Ltd China
Tungsten Xinhai Rendan Shaoguan Tungsten Co., Ltd. China
Tungsten Zhuzhou Cemented Carbide Group Co Ltd China

 

 

ANNEX II

 

 

Countries of origin of the subject minerals these facilities process are believed to include:

Australia, Austria, Belgium, Bolivia, Brazil, Canada, Chile, China, Czech Republic, Estonia, France, Germany, Hong Kong, India, Indonesia, Italy, Japan, Kazakhstan, Korea (Republic of), Kyrgyzstan, Malaysia, Mexico, Netherlands, Peru, Philippines, Poland, Russian Federation, Saudi Arabia, Singapore, South Africa, Spain, Sweden, Switzerland, Taiwan, Thailand, Turkey, United Kingdom, United States Of America, Uzbekistan, Vietnam

 

 

* Denotes smelters and refiners which have received a “conflict free” designation from the CFSI independent third party audit program as of 11th May, 2015.

 

 
 

 

ANNEX III

 

Subject Mineral Tin Tantalum Tungsten Gold
Number of smelters identified 290 50 87 214
Number of compliant smelters

53

(18.2%)

44

(88%)

15

(17.2%)

105

(49.1%)

Additional smelters active in audit program 0 0

12

(13.8%)

0

 

 

 

 

 

 

 

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