UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM SD
Specialized Disclosure Report
IDEX CORPORATION
(Exact name of registrant as specified in its charter)
| Delaware | 1-10235 | 36-3555336 | ||||||||||||
| (State or other jurisdiction | (Commission File Number) | (IRS Employer | ||||||||||||
| of incorporation) | Identification No.) | |||||||||||||
3100 Sanders Road, Suite 301
Northbrook, Illinois 60062
(Address of principal executive offices, including zip code)
William Grogan - (847) 498-7070
(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:
| x | Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2020. | ||||
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, IDEX Corporation (the “Company”) has undertaken efforts to determine our conflict minerals(1) reporting requirements for the period from January 1 to December 31, 2020.
The Company has filed this Specialized Disclosure Report and the associated Conflict Minerals Report, which appears as Exhibit 1.01 hereto and is publicly available on the Company’s website at https://www.idexcorp.com/about-idex/corporate-social-responsibility/.
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 - IDEX Corporation’s Conflict Minerals Report for the period January 1 to December 31, 2020.
(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.
| IDEX CORPORATION | ||||||||
| By: | /s/ WILLIAM K. GROGAN | |||||||
| William K. Grogan | ||||||||
| Senior Vice President and Chief Financial Officer | ||||||||
| May 28, 2021 | ||||||||
EXHIBIT INDEX
| Exhibit Number | Description | |||||||
Exhibit 1.01
CONFLICT MINERALS REPORT OF
IDEX CORPORATION
FOR THE REPORTING PERIOD FROM
JANUARY 1 TO DECEMBER 31, 2020
I.Introduction
This is the Conflict Minerals(1) Report of IDEX Corporation (“we,” “our,” “IDEX,” “IDEX Corporation” or the “Company”) prepared for calendar year 2020 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 the content and source of the conflict minerals within our products. The Company designed its efforts in conformity with the internationally recognized due diligence framework put forth 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(2) (“OECD Due Diligence Guidance”) and related Supplements.
The statements below are based on the activities performed to date and in good faith by IDEX Corporation 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 identification of smelters, incomplete information from industry or other third-party sources, continuing guidance regarding the SEC final rules, and other issues.
II.Overview
Company Profile
IDEX Corporation is a Delaware corporation incorporated on September 24, 1987. The Company is an applied solutions business that sells an extensive array of pumps, flow meters and other fluidics systems and components and engineered products to customers in a variety of markets around the world. All of the Company’s business activities are carried out through wholly-owned subsidiaries.
The Company has three reportable business segments: Fluid & Metering Technologies systems are used in a wide variety of severe duty and/or highly precise fluid-handling applications around the world. Customized solutions range from diesel engine lubrication to food and beverage processing to the movement, measurement and dispense of fossil fuels, ethanol and other high value liquids and gases. With some of the most recognized brand names in positive displacement pumps, flow meters, compressors and injectors, IDEX is a supplier of choice within the rapidly growing infrastructure markets including alternative energy, oil & gas, water and wastewater.
Supporting rapid global growth in drug discovery, clinical diagnostics and medical technology advancements, our Health & Science Technologies employees design, produce and distribute small-scale, highly precise fluidics components and sub-assemblies used in analytical and diagnostics instruments as well as a growing range of medical equipment and implantable devices. Within this segment, it’s all about enabling increasingly small and precise sample sizes, more accurate analysis and quicker results for technicians and patients alike.
(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 (2016), OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas: Third Edition, OECD Publishing, Paris. http://dx.doi.org/10.1787/9789264252479-en
When seconds count, our Fire & Safety/Diversified Products equipment matters most. Our highly engineered firefighting pumps and foam systems as well as our Jaws of Life® extrication and recovery tools are the preferred equipment of Fire & Safety professionals around the globe. Complementing the municipal fire and safety markets, our diversified products group engineers band clamping solutions found everywhere from corner traffic lights and signposts to subsea and marine applications. Our paint dispensing solutions are found at major home improvement stores and independent retailers across the United States and Europe, enabling consumers to obtain a perfect color match every time.
We are subject to this rule as we have determined that, during 2020, conflict minerals were likely necessary to the functionality or production of products we manufactured or contracted to manufacture. The Company, as a purchaser of component parts, is many steps removed from the mining of conflict minerals. We do not purchase raw ore or unrefined conflict minerals and we conduct no purchasing activities directly in the DRC or adjoining countries.
Conflict Minerals Policy
The Company developed a policy statement to support the goals expressed by Congress in enacting Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The policy highlights the Company’s commitment to complying with the reporting and due diligence obligations required by the U.S. Securities and Exchange Commission (“SEC”) rule and the Company’s expectations from its suppliers, which include: establishing a supplier Conflict Minerals policy; exercising due diligence consistent with the OECD Due Diligence Guidance; provide the results of their due diligence efforts to IDEX; and permit auditing of their Conflict Minerals policies and due diligence measures upon request. The policy resides on our corporate website (https://www.idexcorp.com/about-idex/corporate-social-responsibility/) and is included in our supplier code of conduct and terms and conditions.
Reasonable Country of Origin Inquiry Information
We have conducted a good faith reasonable country of origin inquiry (“RCOI”) to determine whether the necessary conflict minerals originated in the DRC or an adjoining country or came from recycled or scrap sources.
IDEX Corporation’s RCOI process included conducting an inquiry of our direct suppliers of in-scope products using the Responsible Minerals Initiative’s (“RMI”) Conflict Minerals Reporting Template (“CMRT”). Based on the results of our RCOI, we exercised due diligence on the source and chain of custody of the conflict minerals in accordance with the OECD Due Diligence Guidance. Our due diligence efforts are discussed further in this Conflict Minerals Report.
Due Diligence Program Design
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
III.Due Diligence Measures Performed by IDEX Corporation
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 - IDEX Corporation established a conflict minerals team that includes individuals from the appropriate business units and departments, including: Finance, Supply Chain, Legal and Compliance. The team was structured to include the involvement from those in upper management roles to ensure critical information, including the Company’s conflict minerals policy, reached relevant employees and suppliers. We also engaged a third party consulting firm to assist us with our compliance efforts.
b.Conflict minerals policy - IDEX Corporation adopted and published a policy highlighting the Company’s commitment to complying with the reporting and due diligence obligations required by the SEC rule and the Company’s expectations from
its suppliers. The policy resides on our corporate website (https://www.idexcorp.com/about-idex/corporate-social-responsibility/). The policy is also incorporated into the Company’s terms and conditions with suppliers. It is reviewed annually 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 - IDEX Corporation provided a Supplier letter, which included educational materials to our queried suppliers. Suppliers were provided information on the conflict minerals disclosure requirements and were directed to the RMI training programs for additional information.
e.Company level grievance mechanism - As recommended by the OECD Due Diligence Guidance, IDEX Corporation has established a grievance mechanism as a risk-awareness system for conflict minerals issues. Stakeholders, internal and external, can communicate directly and confidentially with our compliance officer or through our Conflict Minerals email inbox.
f.Records management - IDEX Corporation will maintain records relating to our conflict minerals program in accordance with the recommended record retention guidelines of five years.
Step 2: Identify and assess risks in the supply chain
We performed the following steps as part of our risk assessment process:
a.Identified products in scope - Our conflict minerals team conducted a detailed review of the products manufactured or contracted to be manufactured during the Reporting Period as well as prior year’s conflict mineral information to identify products that should be deemed in-scope as described by the Adopting Release.
b.Conducted RCOI - IDEX Corporation utilized the most recent version of the industry-developed CMRT to query our suppliers for conflict minerals information. We requested this information from the suppliers that 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. See Appendix I for a list of countries of origin identified through the RCOI process.
c.Completed additional follow-up - IDEX Corporation contacted direct suppliers multiple times as needed to ensure compliance with our request for detailed conflict minerals information. We also worked to clarify and validate the information provided by our suppliers by responding with standardized feedback questions to address any issues or uncertainty with the template provided when necessary and/or obtaining additional information upon request (product identification, order numbers, or shipping addresses) to ensure we are receiving conflict minerals information specific to our supply-chain.
d.Identified smelters or refiners (“SORs”) - IDEX Corporation compiled a list of SORs 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 RMI’s Responsible Minerals Assurance Process (“RMAP”). The RMAP completes independent, third-party audits of smelters and refiners to determine which can be validated as having systems in place that ensure the minerals are responsibly sourced according to the OECD Due Diligence Guidance. The Company maintains a database of smelter aliases to reconcile suppliers’ smelters lists to the list of RMI SORs. We have provided the list of SORs in our supply chain in this report within section IV - Product Description; Processing Facilities.
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.Reporting results to senior management - The Conflict Minerals team reports the results of our RCOI to upper management at multiple points in time throughout the data collection period which included the team’s plan to respond to risks identified in the due diligence processes.
b.Designed and implemented a plan - The Company 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 and the suppliers’ due diligence processes. The resulting risk ratings were used to develop specific supplier outreach and training to address the identified risks and to take corrective actions with suppliers found not in compliance with the Company’s conflict minerals policy. For 2020, suppliers who indicated that they had received responses from less than 50% of their in-scope suppliers were deemed as high-risk and encouraged to work with their supply chain to increase the level of transparency.
c.Identified SORs - As part of the risk mitigation process, the Company reconciled the list of SORs collected from suppliers to the list of smelter facilities validated by the RMI. The Company maintains a database of smelter aliases to reconcile suppliers’ smelters lists to the list of RMI SORs.
Step 4: Carry out independent third-party audit of smelter/refiner's due diligence practices
IDEX Corporation is using information provided by independent third party audit programs, including the RMI, London Bullion Market Association (LBMA) and Responsible Jewelry Council (RJC), to confirm the existence and verify the OECD-conformance status of SORs identified during our due diligence.
For SORs that had not been audited as conformant, the Company sent a communication to encourage participation in the RMAP and requested the SOR to provide the mines and/or locations the SOR sources from to assist in identifying all countries of origin. Additionally, the Company sent communications to all suppliers that reported SORs that had not been audited as conformant to request that these suppliers message the SORs to encourage participation in the RMAP.
Step 5: Report annually on supply chain due diligence
Accordingly, this Conflict Minerals Report has been filed with the SEC and is available on our website at https://www.idexcorp.com/about-idex/corporate-social-responsibility/.
IV.Product Description and Processing Facilities
Product Description - The Company has three reportable business segments: Fluid & Metering Technologies, Health & Science Technologies and Fire & Safety/Diversified Products. Descriptions of these segments can be found within Section II - Overview.
Processing Facilities - Based on our due diligence process and the information received from our suppliers, the following facilities were identified by the Company’s suppliers as the smelters and refiners of the tin, tantalum, tungsten and/or gold present in and necessary to the functionality of products manufactured by the Company in the calendar year ended December 31, 2020. The information from our suppliers is still evolving and may contain company level declarations. As such, this smelter list is presented in good faith as the best information we have to date. For 2020 we identified 286 SORs in our supply chain, 222 have been audited as conformant with the RMAP. This list may contain smelters that are not in our supply chain and there may be other smelters not yet identified in our due diligence process. We will continue to update the list as our information and the relevant third-party data from RMI, LBMA and RJC improves.
Smelter Names
| Metal | Standard Smelter Name | Country Location | Smelter ID | ||||||||
| Gold | 8853 S.p.A. | ITALY | CID002763 | ||||||||
| Gold | Advanced Chemical Company | UNITED STATES OF AMERICA | CID000015 | ||||||||
| Gold | Western Australian Mint (T/a The Perth Mint) | AUSTRALIA | CID002030 | ||||||||
| Gold | Aida Chemical Industries Co., Ltd. | JAPAN | CID000019 | ||||||||
| Gold | Dowa | JAPAN | CID000401 | ||||||||
| Gold | Al Etihad Gold Refinery DMCC | UNITED ARAB EMIRATES | CID002560 | ||||||||
| Gold | Alexy Metals | UNITED STATES OF AMERICA | CID003500 | ||||||||
| Gold | Allgemeine Gold-und Silberscheideanstalt A.G. | GERMANY | CID000035 | ||||||||
| Gold | Almalyk Mining and Metallurgical Complex (AMMC) | UZBEKISTAN | CID000041 | ||||||||
| Gold | Asahi Pretec Corp. | JAPAN | CID000082 | ||||||||
| Gold | AngloGold Ashanti Corrego do Sitio Mineracao | BRAZIL | CID000058 | ||||||||
| Gold | Tongling Nonferrous Metals Group Co., Ltd. | CHINA | CID001947 | ||||||||
| Gold | Argor-Heraeus S.A. | SWITZERLAND | CID000077 | ||||||||
| Gold | Asahi Refining Canada Ltd. | CANADA | CID000924 | ||||||||
| Gold | Asahi Refining USA Inc. | UNITED STATES OF AMERICA | CID000920 | ||||||||
| Gold | Asaka Riken Co., Ltd. | JAPAN | CID000090 | ||||||||
| Gold | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | TURKEY | CID000103 | ||||||||
| Gold | AU Traders and Refiners | SOUTH AFRICA | CID002850 | ||||||||
| Gold | Augmont Enterprises Private Limited | INDIA | CID003461 | ||||||||
| Gold | Aurubis AG | GERMANY | CID000113 | ||||||||
| Gold | Bangalore Refinery | INDIA | CID002863 | ||||||||
| Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | PHILIPPINES | CID000128 | ||||||||
| Gold | Boliden AB | SWEDEN | CID000157 | ||||||||
| Gold | C. Hafner GmbH + Co. KG | GERMANY | CID000176 | ||||||||
| Gold | Caridad | MEXICO | CID000180 | ||||||||
| Gold | CCR Refinery - Glencore Canada Corporation | CANADA | CID000185 | ||||||||
| Gold | Cendres + Metaux S.A. | SWITZERLAND | CID000189 | ||||||||
| Gold | CGR Metalloys Pvt Ltd. | INDIA | CID003382 | ||||||||
| Gold | Yunnan Copper Industry Co., Ltd. | CHINA | CID000197 | ||||||||
| Gold | Chimet S.p.A. | ITALY | CID000233 | ||||||||
| Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | CHINA | CID002224 | ||||||||
| Gold | Shandong Gold Smelting Co., Ltd. | CHINA | CID001916 | ||||||||
| Gold | Chugai Mining | JAPAN | CID000264 | ||||||||
| Gold | Daye Non-Ferrous Metals Mining Ltd. | CHINA | CID000343 | ||||||||
| Gold | Degussa Sonne / Mond Goldhandel GmbH | GERMANY | CID002867 | ||||||||
| Gold | DSC (Do Sung Corporation) | KOREA, REPUBLIC OF | CID000359 | ||||||||
| Gold | DODUCO Contacts and Refining GmbH | GERMANY | CID000362 | ||||||||
| Gold | TSK Pretech | KOREA, REPUBLIC OF | CID003195 | ||||||||
| Gold | Eco-System Recycling Co., Ltd. East Plant | JAPAN | CID000425 | ||||||||
| Gold | Eco-System Recycling Co., Ltd. West Plant | JAPAN | CID003425 | ||||||||
| Gold | Emerald Jewel Industry India Limited (Unit 1) | INDIA | CID003487 | ||||||||
| Gold | Emerald Jewel Industry India Limited (Unit 2) | INDIA | CID003488 | ||||||||
| Gold | Emerald Jewel Industry India Limited (Unit 3) | INDIA | CID003489 | ||||||||
| Gold | Emerald Jewel Industry India Limited (Unit 4) | INDIA | CID003490 | ||||||||
| Gold | Emirates Gold DMCC | UNITED ARAB EMIRATES | CID002561 | ||||||||
| Gold | Moscow Special Alloys Processing Plant | RUSSIAN FEDERATION | CID001204 | ||||||||
| Gold | JSC Novosibirsk Refinery | RUSSIAN FEDERATION | CID000493 | ||||||||
| Gold | Gold Refinery of Zijin Mining Group Co., Ltd. | CHINA | CID002243 | ||||||||
| Gold | GCC Gujrat Gold Centre Pvt. Ltd. | INDIA | CID002852 | ||||||||
| Gold | Geib Refining Corporation | UNITED STATES OF AMERICA | CID002459 | ||||||||
| Gold | Great Wall Precious Metals Co., Ltd. of CBPM | CHINA | CID001909 | ||||||||
| Gold | Guangdong Jinding Gold Limited | CHINA | CID002312 | ||||||||
| Gold | Guoda Safina High-Tech Environmental Refinery Co., Ltd. | CHINA | CID000651 | ||||||||
| Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. | CHINA | CID000671 | ||||||||
| Gold | LT Metal Ltd. | KOREA, REPUBLIC OF | CID000689 | ||||||||
| Gold | Heimerle + Meule GmbH | GERMANY | CID000694 | ||||||||
| Gold | Heraeus Germany GmbH Co. KG | GERMANY | CID000711 | ||||||||
| Gold | Heraeus Metals Hong Kong Ltd. | CHINA | CID000707 | ||||||||
| Gold | Hunan Chenzhou Mining Co., Ltd. | CHINA | CID000767 | ||||||||
| Gold | Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd. | CHINA | CID000773 | ||||||||
| Gold | HwaSeong CJ CO., LTD. | KOREA, REPUBLIC OF | CID000778 | ||||||||
| Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | CHINA | CID000801 | ||||||||
| Gold | Ishifuku Metal Industry Co., Ltd. | JAPAN | CID000807 | ||||||||
| Gold | Istanbul Gold Refinery | TURKEY | CID000814 | ||||||||
| Gold | Italpreziosi | ITALY | CID002765 | ||||||||
| Gold | JALAN & Company | INDIA | CID002893 | ||||||||
| Gold | Japan Mint | JAPAN | CID000823 | ||||||||
| Gold | Jiangxi Copper Co., Ltd. | CHINA | CID000855 | ||||||||
| Gold | JSC Uralelectromed | RUSSIAN FEDERATION | CID000929 | ||||||||
| Gold | JX Nippon Mining & Metals Co., Ltd. | JAPAN | CID000937 | ||||||||
| Gold | K.A. Rasmussen | NORWAY | CID003497 | ||||||||
| Gold | Kazakhmys Smelting LLC | KAZAKHSTAN | CID000956 | ||||||||
| Gold | Kazzinc | KAZAKHSTAN | CID000957 | ||||||||
| Gold | Kennecott Utah Copper LLC | UNITED STATES OF AMERICA | CID000969 | ||||||||
| Gold | KGHM Polska Miedz Spolka Akcyjna | POLAND | CID002511 | ||||||||
| Gold | Kojima Chemicals Co., Ltd. | JAPAN | CID000981 | ||||||||
| Gold | Korea Zinc Co., Ltd. | KOREA, REPUBLIC OF | CID002605 | ||||||||
| Gold | Kundan Care Products Ltd. | INDIA | CID003463 | ||||||||
| Gold | Kyrgyzaltyn JSC | KYRGYZSTAN | CID001029 | ||||||||
| Gold | Kyshtym Copper-Electrolytic Plant ZAO | RUSSIAN FEDERATION | CID002865 | ||||||||
| Gold | L'azurde Company For Jewelry | SAUDI ARABIA | CID001032 | ||||||||
| Gold | Lingbao Gold Co., Ltd. | CHINA | CID001056 | ||||||||
| Gold | Lingbao Jinyuan Tonghui Refinery Co., Ltd. | CHINA | CID001058 | ||||||||
| Gold | L'Orfebre S.A. | ANDORRA | CID002762 | ||||||||
| Gold | LS-NIKKO Copper Inc. | KOREA, REPUBLIC OF | CID001078 | ||||||||
| Gold | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | CHINA | CID001093 | ||||||||
| Gold | Marsam Metals | BRAZIL | CID002606 | ||||||||
| Gold | Materion | UNITED STATES OF AMERICA | CID001113 | ||||||||
| Gold | Matsuda Sangyo Co., Ltd. | JAPAN | CID001119 | ||||||||
| Gold | MD Overseas | INDIA | CID003548 | ||||||||
| Gold | Sumitomo Metal Mining Co., Ltd. | JAPAN | CID001798 | ||||||||
| Gold | Metal Concentrators SA (Pty) Ltd. | SOUTH AFRICA | CID003575 | ||||||||
| Gold | Metalurgica Met-Mex Penoles S.A. De C.V. | MEXICO | CID001161 | ||||||||
| Gold | Metallix Refining Inc. | UNITED STATES OF AMERICA | CID003557 | ||||||||
| Gold | Umicore S.A. Business Unit Precious Metals Refining | BELGIUM | CID001980 | ||||||||
| Gold | Metalor Technologies S.A. | SWITZERLAND | CID001153 | ||||||||
| Gold | Metalor Technologies (Hong Kong) Ltd. | CHINA | CID001149 | ||||||||
| Gold | Metalor Technologies (Singapore) Pte., Ltd. | SINGAPORE | CID001152 | ||||||||
| Gold | Metalor Technologies (Suzhou) Ltd. | CHINA | CID001147 | ||||||||
| Gold | Metalor USA Refining Corporation | UNITED STATES OF AMERICA | CID001157 | ||||||||
| Gold | Mitsubishi Materials Corporation | JAPAN | CID001188 | ||||||||
| Gold | Mitsui Mining and Smelting Co., Ltd. | JAPAN | CID001193 | ||||||||
| Gold | MMTC-PAMP India Pvt., Ltd. | INDIA | CID002509 | ||||||||
| Gold | Morris and Watson | NEW ZEALAND | CID002282 | ||||||||
| Gold | Nadir Metal Rafineri San. Ve Tic. A.S. | TURKEY | CID001220 | ||||||||
| Gold | Navoi Mining and Metallurgical Combinat | UZBEKISTAN | CID001236 | ||||||||
| Gold | Nihon Material Co., Ltd. | JAPAN | CID001259 | ||||||||
| Gold | Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH | AUSTRIA | CID002779 | ||||||||
| Gold | Ohura Precious Metal Industry Co., Ltd. | JAPAN | CID001325 | ||||||||
| Gold | OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) | RUSSIAN FEDERATION | CID001326 | ||||||||
| Gold | PAMP S.A. | SWITZERLAND | CID001352 | ||||||||
| Gold | Pease & Curren | UNITED STATES OF AMERICA | CID002872 | ||||||||
| Gold | Penglai Penggang Gold Industry Co., Ltd. | CHINA | CID001362 | ||||||||
| Gold | Planta Recuperadora de Metales SpA | CHILE | CID002919 | ||||||||
| Gold | Prioksky Plant of Non-Ferrous Metals | RUSSIAN FEDERATION | CID001386 | ||||||||
| Gold | PT Aneka Tambang (Persero) Tbk | INDONESIA | CID001397 | ||||||||
| Gold | PX Precinox S.A. | SWITZERLAND | CID001498 | ||||||||
| Gold | QG Refining, LLC | UNITED STATES OF AMERICA | CID003324 | ||||||||
| Gold | Rand Refinery (Pty) Ltd. | SOUTH AFRICA | CID001512 | ||||||||
| Gold | Refinery of Seemine Gold Co., Ltd. | CHINA | CID000522 | ||||||||
| Gold | REMONDIS PMR B.V. | NETHERLANDS | CID002582 | ||||||||
| Gold | Royal Canadian Mint | CANADA | CID001534 | ||||||||
| Gold | SAAMP | FRANCE | CID002761 | ||||||||
| Gold | Sabin Metal Corp. | UNITED STATES OF AMERICA | CID001546 | ||||||||
| Gold | Safimet S.p.A | ITALY | CID002973 | ||||||||
| Gold | Sai Refinery | INDIA | CID002853 | ||||||||
| Gold | Samduck Precious Metals | KOREA, REPUBLIC OF | CID001555 | ||||||||
| Gold | Samwon Metals Corp. | KOREA, REPUBLIC OF | CID001562 | ||||||||
| Gold | Sancus ZFS (L’Orfebre, SA) | COLOMBIA | CID003529 | ||||||||
| Gold | SAXONIA Edelmetalle GmbH | GERMANY | CID002777 | ||||||||
| Gold | Sellem Industries Ltd. | MAURITANIA | CID003540 | ||||||||
| Gold | SEMPSA Joyeria Plateria S.A. | SPAIN | CID001585 | ||||||||
| Gold | Shandong Humon Smelting Co., Ltd. | CHINA | CID002525 | ||||||||
| Gold | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | CHINA | CID001619 | ||||||||
| Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | CHINA | CID001622 | ||||||||
| Gold | Shenzhen Zhonghenglong Real Industry Co., Ltd. | CHINA | CID002527 | ||||||||
| Gold | Shirpur Gold Refinery Ltd. | INDIA | CID002588 | ||||||||
| Gold | Tanaka Kikinzoku Kogyo K.K. | JAPAN | CID001875 | ||||||||
| Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | RUSSIAN FEDERATION | CID001756 | ||||||||
| Gold | Sichuan Tianze Precious Metals Co., Ltd. | CHINA | CID001736 | ||||||||
| Gold | Singway Technology Co., Ltd. | TAIWAN, PROVINCE OF CHINA | CID002516 | ||||||||
| Gold | Solar Applied Materials Technology Corp. | TAIWAN, PROVINCE OF CHINA | CID001761 | ||||||||
| Gold | Sovereign Metals | INDIA | CID003383 | ||||||||
| Gold | State Research Institute Center for Physical Sciences and Technology | LITHUANIA | CID003153 | ||||||||
| Gold | SungEel HiMetal Co., Ltd. | KOREA, REPUBLIC OF | CID002918 | ||||||||
| Gold | T.C.A S.p.A | ITALY | CID002580 | ||||||||
| Gold | Tokuriki Honten Co., Ltd. | JAPAN | CID001938 | ||||||||
| Gold | TOO Tau-Ken-Altyn | KAZAKHSTAN | CID002615 | ||||||||
| Gold | Torecom | KOREA, REPUBLIC OF | CID001955 | ||||||||
| Gold | Umicore Precious Metals Thailand | THAILAND | CID002314 | ||||||||
| Gold | United Precious Metal Refining, Inc. | UNITED STATES OF AMERICA | CID001993 | ||||||||
| Gold | Valcambi S.A. | SWITZERLAND | CID002003 | ||||||||
| Gold | WIELAND Edelmetalle GmbH | GERMANY | CID002778 | ||||||||
| Gold | Yamakin Co., Ltd. | JAPAN | CID002100 | ||||||||
| Gold | Yokohama Metal Co., Ltd. | JAPAN | CID002129 | ||||||||
| Tantalum | AMG Brasil | BRAZIL | CID001076 | ||||||||
| Tantalum | Asaka Riken Co., Ltd. | JAPAN | CID000092 | ||||||||
| Tantalum | Changsha South Tantalum Niobium Co., Ltd. | CHINA | CID000211 | ||||||||
| Tantalum | D Block Metals, LLC | UNITED STATES OF AMERICA | CID002504 | ||||||||
| Tantalum | Exotech Inc. | UNITED STATES OF AMERICA | CID000456 | ||||||||
| Tantalum | F&X Electro-Materials Ltd. | CHINA | CID000460 | ||||||||
| Tantalum | FIR Metals & Resource Ltd. | CHINA | CID002505 | ||||||||
| Tantalum | Global Advanced Metals Aizu | JAPAN | CID002558 | ||||||||
| Tantalum | Global Advanced Metals Boyertown | UNITED STATES OF AMERICA | CID002557 | ||||||||
| Tantalum | XIMEI RESOURCES (GUANGDONG) LIMITED | CHINA | CID000616 | ||||||||
| Tantalum | TANIOBIS Co., Ltd. | THAILAND | CID002544 | ||||||||
| Tantalum | H.C. Starck Hermsdorf GmbH | GERMANY | CID002547 | ||||||||
| Tantalum | H.C. Starck Inc. | UNITED STATES OF AMERICA | CID002548 | ||||||||
| Tantalum | TANIOBIS Japan Co., Ltd. | JAPAN | CID002549 | ||||||||
| Tantalum | TANIOBIS Smelting GmbH & Co. KG | GERMANY | CID002550 | ||||||||
| Tantalum | TANIOBIS GmbH | GERMANY | CID002545 | ||||||||
| Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | CHINA | CID002492 | ||||||||
| Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | CHINA | CID002512 | ||||||||
| Tantalum | Jiangxi Tuohong New Raw Material | CHINA | CID002842 | ||||||||
| Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | CHINA | CID000914 | ||||||||
| Tantalum | Jiujiang Tanbre Co., Ltd. | CHINA | CID000917 | ||||||||
| Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | CHINA | CID002506 | ||||||||
| Tantalum | KEMET de Mexico | MEXICO | CID002539 | ||||||||
| Tantalum | Meta Materials | NORTH MACEDONIA, REPUBLIC OF | CID002847 | ||||||||
| Tantalum | Metallurgical Products India Pvt., Ltd. | INDIA | CID001163 | ||||||||
| Tantalum | Mineracao Taboca S.A. | BRAZIL | CID001175 | ||||||||
| Tantalum | Mitsui Mining and Smelting Co., Ltd. | JAPAN | CID001192 | ||||||||
| Tantalum | NPM Silmet AS | ESTONIA | CID001200 | ||||||||
| Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | CHINA | CID001277 | ||||||||
| Tantalum | QuantumClean | UNITED STATES OF AMERICA | CID001508 | ||||||||
| Tantalum | Resind Industria e Comercio Ltda. | BRAZIL | CID002707 | ||||||||
| Tantalum | Yanling Jincheng Tantalum & Niobium Co., Ltd. | CHINA | CID001522 | ||||||||
| Tantalum | RFH Yancheng Jinye New Material Technology Co., Ltd. | CHINA | CID003583 | ||||||||
| Tantalum | Solikamsk Magnesium Works OAO | RUSSIAN FEDERATION | CID001769 | ||||||||
| Tantalum | Taki Chemical Co., Ltd. | JAPAN | CID001869 | ||||||||
| Tantalum | Telex Metals | UNITED STATES OF AMERICA | CID001891 | ||||||||
| Tantalum | Ulba Metallurgical Plant JSC | KAZAKHSTAN | CID001969 | ||||||||
| Tantalum | XinXing HaoRong Electronic Material Co., Ltd. | CHINA | CID002508 | ||||||||
| Tin | Alpha | UNITED STATES OF AMERICA | CID000292 | ||||||||
| Tin | An Vinh Joint Stock Mineral Processing Company | VIETNAM | CID002703 | ||||||||
| Tin | PT Refined Bangka Tin | INDONESIA | CID001460 | ||||||||
| Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | CHINA | CID002158 | ||||||||
| Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | CHINA | CID000228 | ||||||||
| Tin | Chifeng Dajingzi Tin Industry Co., Ltd. | CHINA | CID003190 | ||||||||
| Tin | China Tin Group Co., Ltd. | CHINA | CID001070 | ||||||||
| Tin | Yunnan Tin Company Limited | CHINA | CID002180 | ||||||||
| Tin | CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda | BRAZIL | CID003486 | ||||||||
| Tin | CRM Synergies | SPAIN | CID003524 | ||||||||
| Tin | PT Rajehan Ariq | INDONESIA | CID002593 | ||||||||
| Tin | Dowa | JAPAN | CID000402 | ||||||||
| Tin | EM Vinto | BOLIVIA (PLURINATIONAL STATE OF) | CID000438 | ||||||||
| Tin | Estanho de Rondonia S.A. | BRAZIL | CID000448 | ||||||||
| Tin | Fenix Metals | POLAND | CID000468 | ||||||||
| Tin | Minsur | PERU | CID001182 | ||||||||
| Tin | Gejiu Kai Meng Industry and Trade LLC | CHINA | CID000942 | ||||||||
| Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. | CHINA | CID000538 | ||||||||
| Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | CHINA | CID001908 | ||||||||
| Tin | Gejiu Zili Mining And Metallurgy Co., Ltd. | CHINA | CID000555 | ||||||||
| Tin | Guangdong Hanhe Non-Ferrous Metal Co., Ltd. | CHINA | CID003116 | ||||||||
| Tin | HuiChang Hill Tin Industry Co., Ltd. | CHINA | CID002844 | ||||||||
| Tin | PT Timah Tbk Mentok | INDONESIA | CID001482 | ||||||||
| Tin | Jiangxi New Nanshan Technology Ltd. | CHINA | CID001231 | ||||||||
| Tin | PT Timah Tbk Kundur | INDONESIA | CID001477 | ||||||||
| Tin | Ma'anshan Weitai Tin Co., Ltd. | CHINA | CID003379 | ||||||||
| Tin | Magnu's Minerais Metais e Ligas Ltda. | BRAZIL | CID002468 | ||||||||
| Tin | Malaysia Smelting Corporation (MSC) | MALAYSIA | CID001105 | ||||||||
| Tin | Melt Metais e Ligas S.A. | BRAZIL | CID002500 | ||||||||
| Tin | Metallic Resources, Inc. | UNITED STATES OF AMERICA | CID001142 | ||||||||
| Tin | Metallo Belgium N.V. | BELGIUM | CID002773 | ||||||||
| Tin | Metallo Spain S.L.U. | SPAIN | CID002774 | ||||||||
| Tin | Mineracao Taboca S.A. | BRAZIL | CID001173 | ||||||||
| Tin | Mitsubishi Materials Corporation | JAPAN | CID001191 | ||||||||
| Tin | Nghe Tinh Non-Ferrous Metals Joint Stock Company | VIETNAM | CID002573 | ||||||||
| Tin | O.M. Manufacturing (Thailand) Co., Ltd. | THAILAND | CID001314 | ||||||||
| Tin | O.M. Manufacturing Philippines, Inc. | PHILIPPINES | CID002517 | ||||||||
| Tin | Operaciones Metalurgicas S.A. | BOLIVIA (PLURINATIONAL STATE OF) | CID001337 | ||||||||
| Tin | Pongpipat Company Limited | MYANMAR | CID003208 | ||||||||
| Tin | PT Bangka Serumpun | INDONESIA | CID003205 | ||||||||
| Tin | PT Mitra Stania Prima | INDONESIA | CID001453 | ||||||||
| Tin | PT Mitra Sukses Globalindo | INDONESIA | CID003449 | ||||||||
| Tin | Resind Industria e Comercio Ltda. | BRAZIL | CID002706 | ||||||||
| Tin | Rui Da Hung | TAIWAN, PROVINCE OF CHINA | CID001539 | ||||||||
| Tin | Soft Metais Ltda. | BRAZIL | CID001758 | ||||||||
| Tin | Super Ligas | BRAZIL | CID002756 | ||||||||
| Tin | Thai Nguyen Mining and Metallurgy Co., Ltd. | VIETNAM | CID002834 | ||||||||
| Tin | Thaisarco | THAILAND | CID001898 | ||||||||
| Tin | Tin Technology & Refining | UNITED STATES OF AMERICA | CID003325 | ||||||||
| Tin | Tuyen Quang Non-Ferrous Metals Joint Stock Company | VIETNAM | CID002574 | ||||||||
| Tin | White Solder Metalurgia e Mineracao Ltda. | BRAZIL | CID002036 | ||||||||
| Tin | Yunnan Yunfan Non-ferrous Metals Co., Ltd. | CHINA | CID003397 | ||||||||
| Tungsten | A.L.M.T. Corp. | JAPAN | CID000004 | ||||||||
| Tungsten | ACL Metais Eireli | BRAZIL | CID002833 | ||||||||
| Tungsten | Albasteel Industria e Comercio de Ligas Para Fundicao Ltd. | BRAZIL | CID003427 | ||||||||
| Tungsten | Artek LLC | RUSSIAN FEDERATION | CID003553 | ||||||||
| Tungsten | Asia Tungsten Products Vietnam Ltd. | VIETNAM | CID002502 | ||||||||
| Tungsten | Kennametal Huntsville | UNITED STATES OF AMERICA | CID000105 | ||||||||
| Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | CHINA | CID000218 | ||||||||
| Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd. | CHINA | CID002513 | ||||||||
| Tungsten | China Molybdenum Tungsten Co., Ltd. | CHINA | CID002641 | ||||||||
| Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. | CHINA | CID000875 | ||||||||
| Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | CHINA | CID000258 | ||||||||
| Tungsten | CNMC (Guangxi) PGMA Co., Ltd. | CHINA | CID000281 | ||||||||
| Tungsten | Cronimet Brasil Ltda | BRAZIL | CID003468 | ||||||||
| Tungsten | Ganzhou Haichuang Tungsten Co., Ltd. | CHINA | CID002645 | ||||||||
| Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | CHINA | CID002315 | ||||||||
| Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | CHINA | CID002494 | ||||||||
| Tungsten | Global Tungsten & Powders Corp. | UNITED STATES OF AMERICA | CID000568 | ||||||||
| Tungsten | TANIOBIS Smelting GmbH & Co. KG | GERMANY | CID002542 | ||||||||
| Tungsten | H.C. Starck Tungsten GmbH | GERMANY | CID002541 | ||||||||
| Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd. | CHINA | CID000769 | ||||||||
| Tungsten | Hunan Chenzhou Mining Co., Ltd. | CHINA | CID000766 | ||||||||
| Tungsten | Hydrometallurg, JSC | RUSSIAN FEDERATION | CID002649 | ||||||||
| Tungsten | Japan New Metals Co., Ltd. | JAPAN | CID000825 | ||||||||
| Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | CHINA | CID002551 | ||||||||
| Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | CHINA | CID002321 | ||||||||
| Tungsten | Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. | CHINA | CID002313 | ||||||||
| Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | CHINA | CID002318 | ||||||||
| Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | CHINA | CID002317 | ||||||||
| Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. | CHINA | CID002316 | ||||||||
| Tungsten | Kennametal Fallon | UNITED STATES OF AMERICA | CID000966 | ||||||||
| Tungsten | KGETS Co., Ltd. | KOREA, REPUBLIC OF | CID003388 | ||||||||
| Tungsten | Malipo Haiyu Tungsten Co., Ltd. | CHINA | CID002319 | ||||||||
| Tungsten | Masan High-Tech Materials | VIETNAM | CID002543 | ||||||||
| Tungsten | Moliren Ltd. | RUSSIAN FEDERATION | CID002845 | ||||||||
| Tungsten | Niagara Refining LLC | UNITED STATES OF AMERICA | CID002589 | ||||||||
| Tungsten | Philippine Chuangxin Industrial Co., Inc. | PHILIPPINES | CID002827 | ||||||||
| Tungsten | Unecha Refractory metals plant | RUSSIAN FEDERATION | CID002724 | ||||||||
| Tungsten | Wolfram Bergbau und Hutten AG | AUSTRIA | CID002044 | ||||||||
| Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | CHINA | CID002320 | ||||||||
| Tungsten | Xiamen Tungsten Co., Ltd. | CHINA | CID002082 | ||||||||
| Tungsten | Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. | CHINA | CID002830 | ||||||||
V.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 available 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:
•Review the conflict minerals policy statement and update if necessary.
•Continue to collect responses from suppliers using the most recent revision of the CMRT.
•Engage with suppliers that did not provide a response in 2020 or provided incomplete responses to help with our data collections for 2021.
•Monitor and track performance of risk mitigation efforts including the performance of suppliers deemed high-risk.
•Compare and validate RCOI results to information collected via independent third-party audit programs, such as the RMI.
•Continue engagement with smelters by sending letters to those that have not been audited as conformant.
•Continue to send messages to our suppliers to engage with smelters that have not been audited and encourage these smelters to undergo an independent third-party audit (e.g., RMAP or equivalent).
•Collect from suppliers product-level or user-defined level responses when useful.
•Encourage responsible sourcing from the DRC and adjoining countries.
APPENDIX I - Countries of Origin
The information provided in this Appendix is based on the information collected from IDEX Corporation’s suppliers.
| Argentina | Guinea | Russian Federation | ||||||
| Australia | Guyana | Rwanda | ||||||
| Austria | India | Sierra Leone | ||||||
| Benin | Indonesia | South Africa | ||||||
| Bolivia (Plurinational State of) | Japan | Spain | ||||||
| Brazil | Laos | Swaziland | ||||||
| Burundi | Madagascar | Taiwan | ||||||
| Canada | Malaysia | Tanzania | ||||||
| China | Mexico | Thailand | ||||||
| Colombia | Mongolia | Uganda | ||||||
| Congo, Democratic Republic of the | Mozambique | United Kingdom of Great Britain and Norther Ireland | ||||||
| Ecuador | Myanmar | United States of America | ||||||
| Eritrea | Namibia | Uzbekistan | ||||||
| Ethiopia | Niger | Vietnam | ||||||
| France | Nigeria | Zimbabwe | ||||||
| Germany | Peru | |||||||
| Ghana | Portugal | |||||||