UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
_____________________________________________
  
FORM SD

Specialized Disclosure Report
_____________________________________________
  
ASTEC INDUSTRIES, INC.
(Exact name of registrant as specified in its charter)
 
 
 
 
 
 
 
Tennessee
 
001-11595
 
62-0873631
(State or other jurisdiction
of incorporation)
 
(Commission
File Number)
 
(IRS Employer
Identification No.)
 
 
 
 
1725 Shepherd Road
Chattanooga, Tennessee
 
37421
(Address of principal executive offices)
 
(Zip Code)

 
David C. Silvious
 
(423) 899-5898
(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.

 
Company Profile:
Astec Industries, Inc. ("we," "our," "us," "Astec," or the "Company") designs, engineers, manufactures and markets equipment and components used primarily in road building and related construction activities. The Company's products are used in each phase of road building, from quarrying and crushing the aggregate to application of the road surface. The Company also manufactures certain equipment and components unrelated to road construction, including equipment for the mining, quarrying, construction and demolition industries and port and rail yard operators; gas and oil drilling rigs; water well and geothermal drilling rigs; industrial heat transfer equipment; whole-tree pulpwood chippers; horizontal grinders; and blower trucks. The Company's products are marketed both domestically and internationally. In addition to equipment sales, the Company manufactures and sells replacement parts for equipment in each of its product lines and replacement parts for some competitors' equipment. The distribution and sale of replacement parts is an integral part of the Company's business.

Section 1 – Conflict Minerals Disclosure
 
Item 1.01 Conflict Minerals Disclosure and Report
In accordance with the disclosure requirements promulgated by the U.S. Securities and Exchange Commission, we have undertaken efforts to determine our conflict minerals1 reporting requirements for the period from January 1 to December 31, 2014.




We have determined that during 2014 our company manufactured (or contracted to manufacture) products as to which conflict minerals are necessary to the functionality or production of such products. As is required, we have conducted a good faith reasonable country of origin inquiry ("RCOI") reasonably designed to determine whether the necessary conflict minerals originated in the DRC or an adjoining country or came from recycled or scrap sources. 
 
Astec's RCOI process included conducting an inquiry of our direct suppliers using the Conflict-Free Sourcing Initiative's Conflict Minerals Reporting Template. We relied upon our suppliers' representations regarding the origin of their minerals and their smelter data to determine the source of the conflict minerals within our supply chain. Based on the results of our RCOI, we exercised due diligence on the source and chain of custody of the conflict minerals. 
 
The Company has filed this Specialized Disclosure Form and the associated Conflict Minerals Report, which appears as Exhibit 1.01 hereto and is publicly available on the Company's website at http://www.astecindustries.com/.

Item 1.02 Exhibit
The Company's Conflict Minerals Report is provided as Exhibit 1.01 hereto.

Section 2 – Exhibits

Item 2.01 Exhibits
The following exhibit is filed as part of this report.

Exhibit 1.01 – Astec Industries, Inc.'s Conflict Minerals Report for the period January 1 to December 31, 2014.



================================
1 The term "conflict mineral" is defined in Section 1502(e)(4) of the Dodd-Frank Wall Street Reform and Consumer Protection Act as (A) columbite-tantalite, also known as coltan (the metal ore from which tantalum is extracted); cassiterite (the metal ore from which tin is extracted); gold; wolframite (the metal ore from which tungsten is extracted); or their derivatives; or (B) any other mineral or its derivatives determined by the Secretary of State to be financing conflict in the Democratic Republic of the Congo ("DRC") or an adjoining country.




SIGNATURE
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.
 
Astec Industries, Inc.
 
By:
/s/ David C. Silvious
  
Date: May 26, 2015
 
David C. Silvious
    
 
Chief Financial Officer, Vice President, and Treasurer
    




 
Exhibit 1.01

CONFLICT MINERALS REPORT OF
ASTEC INDUSTRIES, INC.
FOR THE REPORTING PERIOD FROM
JANUARY 1 TO DECEMBER 31, 2014

I.            Introduction

This is the Conflict Minerals1 Report of Astec Industries, Inc. ("we," "our," "us," "Astec," or the "Company") prepared for calendar year 2014 (except for conflict minerals that, prior to January 31, 2013, were located outside of the supply chain) in accordance with Rule 13p-1 ("Rule 13p-1") under the Securities Exchange Act of 1934 (the "Act"). Numerous terms in this Report are defined in Rule 13p-1 of the Act and Form SD and the reader is referred to those sources, and also to Release No. 34-67716 (August 22, 2012) of the Act (the "Adopting Release") for such definitions.

In accordance with Rule 13p-1, we undertook efforts to determine whether the necessary conflict minerals in our products were or were not "DRC conflict-free." The Company designed its efforts in conformity with the internationally recognized due diligence framework put forth in the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas2 ("OECD Due Diligence Guidance") and related Supplements.

The statements below are based on the activities performed to date and in good faith by Astec and are based on the infrastructure and information available at the time of this filing. Factors that could affect the accuracy of these statements include, but are not limited to, incomplete supplier data or available smelter data, errors or omissions by suppliers or smelters, evolving definition and confirmation of smelters, incomplete information from industry or other third-party sources, continuing guidance regarding the SEC final rules, and other issues.

II.            Design of Conflict Minerals Program

The Company designed its conflict minerals program to conform, in all material respects, with the five-step framework of the OECD Due Diligence Guidance, the Supplement on Tin, Tantalum, and Tungsten, and the Supplement on Gold, specifically as they relate to our position in the minerals supply chain as a "downstream" company:

Step 1: Establish strong company management systems
Step 2: Identify and assess risks in the supply chain
Step 3: Design and implement a strategy to respond to identified risks
Step 4: Carry out independent third-party audit of smelter/refiner's due diligence practices
Step 5: Report annually on supply chain due diligence.


1


We relied upon multi-stakeholder initiatives that provide verification processes for conflict-free minerals from smelters or refiners who may provide those minerals to companies in our supply chain. The Company, as a purchaser of component parts, is many steps removed from the mining of conflict minerals. The Company does not purchase raw ore or unrefined conflict minerals and conducts no purchasing activities directly in the Covered Countries.

Astec also engaged Crowe Horwath, an international accounting and consulting firm, to assist in the design and implementation of our program. We utilized Crowe Horwath's technology platform to communicate with our supply chain, collect Conflict Minerals Reporting Templates, and validate key information from our suppliers.
 
III.  Due Diligence Measures Performed by Astec
 
The following describes the measures taken to reasonably determine the country of origin and to exercise due diligence in the mineral supply chain in conformance with the OECD Due Diligence Guidance.
 
Step 1: Establish strong company management systems

a.
Conflict minerals team – Astec established a conflict minerals team that includes individuals from the appropriate business units and departments. The team was structured to ensure critical information, including the Company's conflict minerals policy, reached relevant employees and suppliers.
b.
Conflict minerals policy – Astec adopted and published a policy establishing the expectations of our suppliers. The policy resides on our corporate website. It is periodically reviewed and will be updated, if necessary.
c.
Internal engagement – We developed a training program for internal use to educate relevant employees on our conflict minerals program and reporting obligations.
d.
Supplier engagement – Astec provided educational materials to our queried suppliers. Suppliers were provided information on the conflict minerals disclosure requirements as well as recommendations for developing, implementing, and documenting a conflict minerals compliance program.
e.
Company level grievance mechanism – As recommended by the OECD Due Diligence Guidance, Astec has established a grievance mechanism as a risk-awareness system for conflict minerals issues. Stakeholders can communicate directly and confidentially with our compliance officer.
f.
Records management – Astec will maintain records relating to our conflict minerals program in accordance with the recommended record retention guidelines.

Step 2: Identify and assess risks in the supply chain

We performed the following steps as part of our risk assessment process:

a.
Identify products in scope – Our conflict minerals team conducted a detailed review of the products manufactured or contracted to be manufactured during the Reporting Period to identify products that should be deemed in-scope as described by the Adopting Release.
2


b.
Conduct Reasonable Country of Origin Inquiry ("RCOI") – Astec utilized the industry-developed Conflict Minerals Reporting Template ("CMRT") to query our suppliers for conflict minerals information. We requested this information from the Tier 1 suppliers who provide material and components for the products deemed in-scope by our conflict minerals team. We evaluated the responses from the templates submitted by our suppliers to determine our reporting obligation based on this RCOI.

c.
Completed additional follow-up – Astec contacted direct suppliers that did not respond to our request for conflict minerals information by the requested date. We also worked to clarify and validate the information provided by our suppliers.

d.
Identify smelters/processors – Astec compiled a list of smelters/processors in our supply chain using our supplier's responses in their CMRTs. The Company reconciled this list to the list of smelter facilities designated by the Conflict-Free Sourcing Initiative's ("CFSI") Conflict-Free Smelter Program. We have provided that list in this report.

Step 3: Design and implement a strategy to respond to identified risks

We performed the following steps as part of our risk management plan:

a.
Designed and implemented a plan – Astec used established risk rating criteria to evaluate suppliers based on the responses provided within their CMRT as well as any additional documentation furnished to support those responses. The resulting risk ratings will be used to develop specific supplier outreach and education to address the identified risks.

b.
Verify smelters – As part of the risk mitigation process, the Company reconciled the list of smelters collected from suppliers to the list of smelter facilities designated as "conflict-free" by the CFSI's Conflict-Free Smelter Program.


Step 4: Carry out independent third-party audit of smelter/refiner's due diligence practices

Astec is relying on the CFSI's published lists to verify the conflict-free status of smelters/processors that source from Covered Countries.

Step 5: Report annually on supply chain due diligence

Astec has determined that a portion of the conflict minerals used to manufacture our products originated from the Covered Countries. Accordingly, this Conflict Minerals Report has been filed with the SEC and is available on our website at http://www.astecindustries.com/.

IV.
Product Determination

On the basis of the measures described above, the Company has determined that all of our products manufactured as of December 31, 2014 are considered to be DRC conflict undeterminable.
3


V.            Product Description; Processing Facilities

Products – The Company designs, engineers, manufactures, and markets equipment and components used primarily in road building and related construction activities. The Company's products are used in each phase of road building, from quarrying and crushing the aggregate to application of the road surface. The Company also manufactures certain equipment and components unrelated to road construction, including equipment for the mining, quarrying, construction and demolition industries, and port and rail yard operators; gas and oil drilling rigs; water well and geothermal drilling rigs; industrial heat transfer equipment; whole-tree pulpwood chippers; horizontal grinders; and blower trucks. The Company's products are marketed both domestically and internationally. In addition to equipment sales, the Company manufactures and sells replacement parts for equipment in each of its product lines and replacement parts for some competitors' equipment. The distribution and sale of replacement parts is an integral part of the Company's business.

Processing Facilities – Based on our due diligence process and the information received from our suppliers, the following facilities may have been used to process conflict minerals used in our products.

Mineral
Smelter Name
Country
Conflict-Free Status
Gold
Aida Chemical Industries Co., Ltd.
JAPAN
Conflict-Free
Gold
Allgemeine Gold-und Silberscheideanstalt A.G.
GERMANY
Conflict-Free
Gold
AngloGold Ashanti Córrego do Sítio Mineração
BRAZIL
Conflict-Free
Gold
Argor-Heraeus SA
SWITZERLAND
Conflict-Free
Gold
Asahi Pretec Corporation
JAPAN
Conflict-Free
Gold
Atasay Kuyumculuk Sanayi Ve Ticaret A.S.
TURKEY
Conflict-Free
Gold
Aurubis AG
GERMANY
Conflict-Free
Gold
Boliden AB
SWEDEN
Conflict-Free
Gold
C. Hafner GmbH + Co. KG
GERMANY
Conflict-Free
Gold
CCR Refinery – Glencore Canada Corporation
CANADA
Conflict-Free
Gold
Chimet S.p.A.
ITALY
Conflict-Free
Gold
Dowa
JAPAN
Conflict-Free
Gold
Eco-System Recycling Co., Ltd.
JAPAN
Conflict-Free
Gold
Heimerle + Meule GmbH
GERMANY
Conflict-Free
Gold
Heraeus Ltd. Hong Kong
CHINA
Conflict-Free
Gold
Heraeus Precious Metals GmbH & Co. KG
GERMANY
Conflict-Free
Gold
Ishifuku Metal Industry Co., Ltd.
JAPAN
Conflict-Free
Gold
Istanbul Gold Refinery
TURKEY
Conflict-Free
Gold
Japan Mint
JAPAN
Conflict-Free
Gold
Johnson Matthey Inc.
UNITED STATES
Conflict-Free
Gold
Johnson Matthey Limited
CANADA
Conflict-Free
Gold
JSC Ekaterinburg Non-Ferrous Metal Processing Plant
RUSSIAN FEDERATION
Conflict-Free
Gold
JSC Uralelectromed
RUSSIAN FEDERATION
Conflict-Free
Gold
JX Nippon Mining & Metals Co., Ltd.
JAPAN
Conflict-Free
Gold
Kazzinc
KAZAKHSTAN
Conflict-Free
Gold
Kennecott Utah Copper LLC
UNITED STATES
Conflict-Free
4

Gold
Kojima Chemicals Co., Ltd.
JAPAN
Conflict-Free
Gold
L' azurde Company For Jewelry
SAUDI ARABIA
Conflict-Free
Gold
LS-NIKKO Copper Inc.
KOREA, REPUBLIC OF
Conflict-Free
Gold
Materion
UNITED STATES
Conflict-Free
Gold
Matsuda Sangyo Co., Ltd.
JAPAN
Conflict-Free
Gold
Metalor Technologies (Hong Kong) Ltd.
CHINA
Conflict-Free
Gold
Metalor Technologies (Singapore) Pte., Ltd.
SINGAPORE
Conflict-Free
Gold
Metalor Technologies SA
SWITZERLAND
Conflict-Free
Gold
Metalor USA Refining Corporation
UNITED STATES
Conflict-Free
Gold
METALÚRGICA MET-MEX PEÑOLES, S.A. DE C.V
MEXICO
Conflict-Free
Gold
Mitsubishi Materials Corporation
JAPAN
Conflict-Free
Gold
Mitsui Mining and Smelting Co., Ltd.
JAPAN
Conflict-Free
Gold
Nadir Metal Rafineri San. Ve Tic. A.Ş.
TURKEY
Conflict-Free
Gold
Nihon Material Co., Ltd.
JAPAN
Conflict-Free
Gold
Ohio Precious Metals, LLC
UNITED STATES
Conflict-Free
Gold
Ohura Precious Metal Industry Co., Ltd.
JAPAN
Conflict-Free
Gold
OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastvetmet)
RUSSIAN FEDERATION
Conflict-Free
Gold
PAMP SA
SWITZERLAND
Conflict-Free
Gold
PT Aneka Tambang (Persero) Tbk
INDONESIA
Conflict-Free
Gold
PX Précinox SA
SWITZERLAND
Conflict-Free
Gold
Rand Refinery (Pty) Ltd.
SOUTH AFRICA
Conflict-Free
Gold
Republic Metals Corporation
UNITED STATES
Conflict-Free
Gold
Royal Canadian Mint
CANADA
Conflict-Free
Gold
Schone Edelmetaal
NETHERLANDS
Conflict-Free
Gold
SEMPSA Joyería Platería SA
SPAIN
Conflict-Free
Gold
Shandong Zhaojin Gold & Silver Refinery Co., Ltd.
CHINA
Conflict-Free
Gold
Sichuan Tianze Precious Metals Co., Ltd.
CHINA
Conflict-Free
Gold
Solar Applied Materials Technology Corp.
TAIWAN
Conflict-Free
Gold
Sumitomo Metal Mining Co., Ltd.
JAPAN
Conflict-Free
Gold
Tanaka Kikinzoku Kogyo K.K.
JAPAN
Conflict-Free
Gold
The Refinery of Shandong Gold Mining Co., Ltd.
CHINA
Conflict-Free
Gold
Tokuriki Honten Co., Ltd.
JAPAN
Conflict-Free
Gold
Umicore Brasil Ltda.
BRAZIL
Conflict-Free
Gold
Umicore Precious Metals Thailand
THAILAND
Conflict-Free
Gold
Umicore SA Business Unit Precious Metals Refining
BELGIUM
Conflict-Free
Gold
United Precious Metal Refining, Inc.
UNITED STATES
Conflict-Free
Gold
Valcambi SA
SWITZERLAND
Conflict-Free
Gold
Western Australian Mint trading as The Perth Mint
AUSTRALIA
Conflict-Free
Gold
Yamamoto Precious Metal Co., Ltd.
JAPAN
Conflict-Free
Gold
Zhongyuan Gold Smelter of Zhongjin Gold Corporation
CHINA
Conflict-Free
Gold
Zijin Mining Group Co., Ltd. Gold Refinery
CHINA
Conflict-Free
Gold
Advanced Chemical Company
UNITED STATES
Not Determined
Gold
Aktyubinsk Copper Company TOO
KAZAKHSTAN
Not Determined
Gold
Almalyk Mining and Metallurgical Complex (AMMC)
UZBEKISTAN
Not Determined
Gold
Asaka Riken Co., Ltd.
JAPAN
Not Determined
Gold
Bangko Sentral ng Pilipinas (Central Bank of the Philippines)
PHILIPPINES
Not Determined
5

Gold
Bauer Walser AG
GERMANY
Not Determined
Gold
Caridad
MEXICO
Not Determined
Gold
Cendres + Métaux SA
SWITZERLAND
Not Determined
Gold
Chugai Mining
JAPAN
Not Determined
Gold
Daejin Indus Co., Ltd.
KOREA, REPUBLIC OF
Not Determined
Gold
Daye Non-Ferrous Metals Mining Ltd.
CHINA
Not Determined
Gold
Do Sung Corporation
KOREA, REPUBLIC OF
Not Determined
Gold
Doduco
GERMANY
Not Determined
Gold
Faggi Enrico S.p.A.
ITALY
Not Determined
Gold
Gansu Seemine Material Hi-Tech Co., Ltd.
CHINA
Not Determined
Gold
Geib Refining Corporation
UNITED STATES
Not Determined
Gold
Guangdong Jinding Gold Limited
CHINA
Not Determined
Gold
Hangzhou Fuchunjiang Smelting Co., Ltd.
CHINA
Not Determined
Gold
Hunan Chenzhou Mining Group Co., Ltd.
CHINA
Not Determined
Gold
Hwasung CJ Co., Ltd.
KOREA, REPUBLIC OF
Not Determined
Gold
Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited
CHINA
Not Determined
Gold
Jiangxi Copper Company Limited
CHINA
Not Determined
Gold
Kazakhmys Smelting LLC
KAZAKHSTAN
Not Determined
Gold
Korea Metal Co., Ltd.
KOREA, REPUBLIC OF
Not Determined
Gold
Kyrgyzaltyn JSC
KYRGYZSTAN
Not Determined
Gold
Lingbao Gold Company Limited
CHINA
Not Determined
Gold
Lingbao Jinyuan Tonghui Refinery Co., Ltd.
CHINA
Not Determined
Gold
Luoyang Zijin Yinhui Gold Refinery Co., Ltd.
CHINA
Not Determined
Gold
Metalor Technologies (Suzhou) Ltd.
CHINA
Not Determined
Gold
Moscow Special Alloys Processing Plant
RUSSIAN FEDERATION
Not Determined
Gold
Navoi Mining and Metallurgical Combinat
UZBEKISTAN
Not Determined
Gold
OJSC Kolyma Refinery
RUSSIAN FEDERATION
Not Determined
Gold
OJSC Novosibirsk Refinery 
RUSSIAN FEDERATION
Not Determined
Gold
Penglai Penggang Gold Industry Co., Ltd.
CHINA
Not Determined
Gold
Prioksky Plant of Non-Ferrous Metals
RUSSIAN FEDERATION
Not Determined
Gold
Sabin Metal Corp.
UNITED STATES
Not Determined
Gold
Samduck Precious Metals
KOREA, REPUBLIC OF
Not Determined
Gold
SAMWON Metals Corp.
KOREA, REPUBLIC OF
Not Determined
Gold
Shandong Tiancheng Biological Gold Industrial Co., Ltd.
CHINA
Not Determined
Gold
So Accurate Group, Inc.
UNITED STATES
Not Determined
Gold
SOE Shyolkovsky Factory of Secondary Precious Metals
RUSSIAN FEDERATION
Not Determined
Gold
The Great Wall Gold and Silver Refinery of China
CHINA
Not Determined
6

Gold
Tongling Nonferrous Metals Group Co., Ltd.
CHINA
Not Determined
Gold
Torecom
KOREA, REPUBLIC OF
Not Determined
Gold
Yokohama Metal Co., Ltd.
JAPAN
Not Determined
Gold
Yunnan Copper Industry Co., Ltd.
CHINA
Not Determined
Tantalum
Changsha South Tantalum Niobium Co., Ltd.
CHINA
Conflict-Free
Tantalum
Conghua Tantalum and Niobium Smeltry
CHINA
Conflict-Free
Tantalum
Duoluoshan
CHINA
Conflict-Free
Tantalum
Exotech Inc.
UNITED STATES
Conflict-Free
Tantalum
F&X Electro-Materials Ltd.
CHINA
Conflict-Free
Tantalum
Global Advanced Metals Aizu
JAPAN
Conflict-Free
Tantalum
Global Advanced Metals Boyertown
UNITED STATES
Conflict-Free
Tantalum
Guangdong Zhiyuan New Material Co., Ltd.
CHINA
Conflict-Free
Tantalum
Guizhou Zhenhua Xinyun Technology Ltd., Kaili branch
CHINA
Conflict-Free
Tantalum
H.C. Starck Co., Ltd.
THAILAND
Conflict-Free
Tantalum
H.C. Starck GmbH Goslar
GERMANY
Conflict-Free
Tantalum
H.C. Starck GmbH Laufenburg
GERMANY
Conflict-Free
Tantalum
H.C. Starck Hermsdorf GmbH
GERMANY
Conflict-Free
Tantalum
H.C. Starck Inc.
UNITED STATES
Conflict-Free
Tantalum
H.C. Starck Ltd.
JAPAN
Conflict-Free
Tantalum
H.C. Starck Smelting GmbH & Co.KG
GERMANY
Conflict-Free
Tantalum
Hengyang King Xing Lifeng New Materials Co., Ltd.
CHINA
Conflict-Free
Tantalum
Hi-Temp Specialty Metals, Inc.
UNITED STATES
Conflict-Free
Tantalum
JiuJiang JinXin Nonferrous Metals Co., Ltd.
CHINA
Conflict-Free
Tantalum
Jiujiang Tanbre Co., Ltd.
CHINA
Conflict-Free
Tantalum
Jiujiang Zhongao Tantalum & Niobium Co., Ltd.
CHINA
Conflict-Free
Tantalum
KEMET Blue Metals
MEXICO
Conflict-Free
Tantalum
KEMET Blue Powder
UNITED STATES
Conflict-Free
Tantalum
King-Tan Tantalum Industry Ltd.
CHINA
Conflict-Free
Tantalum
LSM Brasil S.A.
BRAZIL
Conflict-Free
Tantalum
Metallurgical Products India Pvt., Ltd.
INDIA
Conflict-Free
Tantalum
Mineração Taboca S.A.
BRAZIL
Conflict-Free
Tantalum
Mitsui Mining & Smelting
JAPAN
Conflict-Free
Tantalum
Molycorp Silmet A.S.
ESTONIA
Conflict-Free
Tantalum
Ningxia Orient Tantalum Industry Co., Ltd.
CHINA
Conflict-Free
Tantalum
Plansee SE Liezen
AUSTRIA
Conflict-Free
Tantalum
Plansee SE Reutte
AUSTRIA
Conflict-Free
Tantalum
QuantumClean
UNITED STATES
Conflict-Free
Tantalum
RFH Tantalum Smeltry Co., Ltd.
CHINA
Conflict-Free
Tantalum
Solikamsk Magnesium Works OAO
RUSSIAN FEDERATION
Conflict-Free
Tantalum
Taki Chemicals
JAPAN
Conflict-Free
Tantalum
Telex Metals
UNITED STATES
Conflict-Free
Tantalum
Ulba Metallurgical Plant JSC
KAZAKHSTAN
Conflict-Free
Tantalum
Yichun Jin Yang Rare Metal Co., Ltd.
CHINA
Conflict-Free
Tantalum
Zhuzhou Cemented Carbide
CHINA
Conflict-Free
Tin
Alpha
UNITED STATES
Conflict-Free
Tin
Cooperativa Metalurgica de Rondônia Ltda.
BRAZIL
Conflict-Free
Tin
CV United Smelting
INDONESIA
Conflict-Free
7

Tin
Dowa
JAPAN
Conflict-Free
Tin
EM Vinto
BOLIVIA
Conflict-Free
Tin
Gejiu Non-Ferrous Metal Processing Co., Ltd.
CHINA
Conflict-Free
Tin
Jiangxi Ketai Advanced Material Co., Ltd.
CHINA
Conflict-Free
Tin
Magnu's Minerais Metais e Ligas Ltda.
BRAZIL
Conflict-Free
Tin
Malaysia Smelting Corporation (MSC)
MALAYSIA
Conflict-Free
Tin
Melt Metais e Ligas S/A
BRAZIL
Conflict-Free
Tin
Mineração Taboca S.A.
BRAZIL
Conflict-Free
Tin
Minsur
PERU
Conflict-Free
Tin
Mitsubishi Materials Corporation
JAPAN
Conflict-Free
Tin
Operaciones Metalurgical S.A.
BOLIVIA
Conflict-Free
Tin
PT Artha Cipta Langgeng
INDONESIA
Conflict-Free
Tin
PT ATD Makmur Mandiri Jaya
INDONESIA
Conflict-Free
Tin
PT Babel Inti Perkasa
INDONESIA
Conflict-Free
Tin
PT Bangka Putra Karya
INDONESIA
Conflict-Free
Tin
PT Bangka Tin Industry
INDONESIA
Conflict-Free
Tin
PT Belitung Industri Sejahtera
INDONESIA
Conflict-Free
Tin
PT Bukit Timah
INDONESIA
Conflict-Free
Tin
PT DS Jaya Abadi
INDONESIA
Conflict-Free
Tin
PT Eunindo Usaha Mandiri
INDONESIA
Conflict-Free
Tin
PT Mitra Stania Prima
INDONESIA
Conflict-Free
Tin
PT Panca Mega Persada
INDONESIA
Conflict-Free
Tin
PT Prima Timah Utama
INDONESIA
Conflict-Free
Tin
PT Refined Bangka Tin
INDONESIA
Conflict-Free
Tin
PT Sariwiguna Binasentosa
INDONESIA
Conflict-Free
Tin
PT Stanindo Inti Perkasa
INDONESIA
Conflict-Free
Tin
PT Timah (Persero) Tbk Kundur
INDONESIA
Conflict-Free
Tin
PT Timah (Persero) Tbk Mentok
INDONESIA
Conflict-Free
Tin
PT Tinindo Inter Nusa
INDONESIA
Conflict-Free
Tin
PT Wahana Perkit Jaya
INDONESIA
Conflict-Free
Tin
Thaisarco
THAILAND
Conflict-Free
Tin
White Solder Metalurgia e Mineração Ltda.
BRAZIL
Conflict-Free
Tin
Yunnan Tin Group (Holding) Company Limited
CHINA
Conflict-Free
Tin
China Tin Group Co., Ltd.
CHINA
Not Determined
Tin
CNMC (Guangxi) PGMA Co., Ltd.
CHINA
Not Determined
Tin
CV Gita Pesona
INDONESIA
Not Determined
Tin
CV Serumpun Sebalai
INDONESIA
Not Determined
Tin
Estanho de Rondônia S.A.
BRAZIL
Not Determined
Tin
Feinhütte Halsbrücke GmbH
GERMANY
Not Determined
Tin
Fenix Metals
POLAND
Not Determined
Tin
Gejiu Kai Meng Industry and Trade LLC
CHINA
Not Determined
Tin
Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.
CHINA
Not Determined
Tin
Gejiu Zili Mining And Metallurgy Co., Ltd.
CHINA
Not Determined
Tin
Huichang Jinshunda Tin Co., Ltd.
CHINA
Not Determined
Tin
Jiangxi Shunda Huichang Kam Tin Co., Ltd.
CHINA
Not Determined
Tin
Linwu Xianggui Ore Smelting Co., Ltd.
CHINA
Not Determined
Tin
Metallic Resources, Inc.
UNITED STATES
Not Determined
Tin
Metallo-Chimique N.V.
BELGIUM
Not Determined
Tin
Nankang Nanshan Tin Manufactory Co., Ltd.
CHINA
Not Determined
8

Tin
Nghe Tinh Non-Ferrous Metals Joint Stock Company
VIETNAM
Not Determined
Tin
Novosibirsk Processing Plant Ltd.
RUSSIAN FEDERATION
Not Determined
Tin
O.M. Manufacturing (Thailand) Co., Ltd.
THAILAND
Not Determined
Tin
O.M. Manufacturing Philippines, Inc.
PHILIPPINES
Not Determined
Tin
PT Alam Lestari Kencana
INDONESIA
Not Determined
Tin
PT Aries Kencana Sejahtera
INDONESIA
Not Determined
Tin
PT Bangka Kudai Tin
INDONESIA
Not Determined
Tin
PT Bangka Timah Utama Sejahtera
INDONESIA
Not Determined
Tin
PT BilliTin Makmur Lestari
INDONESIA
Not Determined
Tin
PT Fang Di MulTindo
INDONESIA
Not Determined
Tin
PT Inti Stania Prima
INDONESIA
Not Determined
Tin
PT Justindo
INDONESIA
Not Determined
Tin
PT Karimun Mining
INDONESIA
Not Determined
Tin
PT Pelat Timah Nusantara Tbk
INDONESIA
Not Determined
Tin
PT Seirama Tin Investment
INDONESIA
Not Determined
Tin
PT Sumber Jaya Indah
INDONESIA
Not Determined
Tin
PT Supra Sukses Trinusa
INDONESIA
Not Determined
Tin
PT Tirus Putra Mandiri
INDONESIA
Not Determined
Tin
Rui Da Hung
TAIWAN
Not Determined
Tin
Soft Metais Ltda.
BRAZIL
Not Determined
Tin
VQB Mineral and Trading Group JSC
VIETNAM
Not Determined
Tin
Yunnan Chengfeng Non-ferrous Metals Co., Ltd.
CHINA
Not Determined
Tungsten
Asia Tungsten Products Vietnam Ltd.
VIETNAM
Conflict-Free
Tungsten
Chenzhou Diamond Tungsten Products Co., Ltd.
China
Conflict-Free
Tungsten
Fujian Jinxin Tungsten Co., Ltd.
CHINA
Conflict-Free
Tungsten
Ganzhou Huaxing Tungsten Products Co., Ltd.
CHINA
Conflict-Free
Tungsten
Ganzhou Jiangwu Ferrotungsten Co., Ltd.
CHINA
Conflict-Free
Tungsten
Ganzhou Seadragon W & Mo Co., Ltd.
CHINA
Conflict-Free
Tungsten
Global Tungsten & Powders Corp.
UNITED STATES
Conflict-Free
Tungsten
Hunan Chunchang Nonferrous Metals Co., Ltd.
CHINA
Conflict-Free
Tungsten
Japan New Metals Co., Ltd.
JAPAN
Conflict-Free
Tungsten
Jiangxi Gan Bei Tungsten Co., Ltd.
CHINA
Conflict-Free
Tungsten
Malipo Haiyu Tungsten Co., Ltd.
CHINA
Conflict-Free
Tungsten
Vietnam Youngsun Tungsten Industry Co., Ltd.
VIETNAM
Conflict-Free
Tungsten
Wolfram Bergbau und Hütten AG
AUSTRIA
Conflict-Free
Tungsten
Xiamen Tungsten (H.C.) Co., Ltd.
CHINA
Conflict-Free
Tungsten
Xiamen Tungsten Co., Ltd.
CHINA
Conflict-Free
Tungsten
A.L.M.T. TUNGSTEN Corp.
JAPAN
Not Determined
Tungsten
Chongyi Zhangyuan Tungsten Co., Ltd.
CHINA
Not Determined
Tungsten
Dayu Weiliang Tungsten Co., Ltd.
CHINA
Not Determined
Tungsten
Ganxian Shirui New Material Co., Ltd.
CHINA
Not Determined
Tungsten
Ganzhou Non-ferrous Metals Smelting Co., Ltd.
CHINA
Not Determined
Tungsten
Guangdong Xianglu Tungsten Co., Ltd.
CHINA
Not Determined
Tungsten
H.C. Starck GmbH
GERMANY
Not Determined
Tungsten
H.C. Starck Smelting GmbH & Co.KG
GERMANY
Not Determined
Tungsten
Hunan Chenzhou Mining Group Co., Ltd.
CHINA
Not Determined
Tungsten
Jiangwu H.C. Starck Tungsten Products Co., Ltd.
CHINA
Not Determined
Tungsten
Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.
CHINA
Not Determined
9

Tungsten
Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.
CHINA
Not Determined
Tungsten
Jiangxi Xinsheng Tungsten Industry Co., Ltd.
CHINA
Not Determined
Tungsten
Jiangxi Yaosheng Tungsten Co., Ltd.
CHINA
Not Determined
Tungsten
Kennametal Fallon
UNITED STATES
Not Determined
Tungsten
Kennametal Huntsville
UNITED STATES
Not Determined
Tungsten
Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC
VIETNAM
Not Determined
Tungsten
Pobedit, JSC
RUSSIAN FEDERATION
Not Determined
Tungsten
Tejing (Vietnam) Tungsten Co., Ltd.
VIETNAM
Not Determined
Tungsten
Xinhai Rendan Shaoguan Tungsten Co., Ltd.
CHINA
Not Determined

VI.
Future Due Diligence

We will continue to communicate our expectations and information requirements to our direct suppliers. Over time, we anticipate that the amount of information globally on the traceability and sourcing of these ores will increase and improve our knowledge. We will continue to make inquiries to our direct suppliers and undertake additional risk assessments when potentially relevant changes in facts or circumstances are identified. If we become aware of a supplier whose due diligence needs improvement, we may continue the trade relationship while that supplier improves its compliance program. We expect our suppliers to take similar measures with their suppliers to ensure alignment throughout the supply chain.
 
In addition to those above, the Company will undertake the following steps during the next compliance period:

·
Continue to collect responses from suppliers using the CMRT.
·
Monitor and track performance of risk mitigation efforts.
·
Compare and validate RCOI results to information collected via independent conflict-free smelter validation programs such as the CFSI.
·
Continue to allow verified conflict-free material from the region to enter our supply chain.

VII.
Independent Private Sector Audit

Not required for calendar year 2014.
 

======================================================================================

1 The term "conflict mineral" is defined in Section 1502(e)(4) of the Dodd-Frank Wall Street Reform and Consumer Protection Act as (A) columbite-tantalite, also known as coltan (the metal ore from which tantalum is extracted); cassiterite (the metal ore from which tin is extracted); gold; wolframite (the metal ore from which tungsten is extracted); or their derivatives; or (B) any other mineral or its derivatives determined by the Secretary of State to be financing conflict in the Democratic Republic of the Congo ("DRC") or an adjoining country. 

2 OECD (2013), OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas: Second Edition, OECD Publishing. http://dx.doi.org/10.1787/9789264185050-en


10
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