United States
Securities and Exchange Commission
Washington, D.C. 20549
Form SD
(Specialized Disclosure Report)
Rockwell Automation, Inc.
Delaware | 1-12383 | 25-1797617 | ||
(State or other jurisdiction of | (Commission | (IRS Employer | ||
incorporation or organization) | File Number) | Identification No.) |
1201 South Second Street, Milwaukee, Wisconsin | 53204 | |
(Address of principal executive offices) | (Zip code) |
Michael R. Melzer, VP of Strategic Sourcing (414-382-0423)
The rule pursuant to which this form is being filed, and 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 to December 31, 2019. |
Section 1 - Conflict Minerals Disclosure
Item 1.01 - Conflict Minerals Disclosure and Report
Conflict Minerals Disclosure
A Conflict Minerals Report for the calendar year ended December 31, 2019 is provided as Exhibit 1.01 and is available at the following Internet website:
https://www.rockwellautomation.com/global/about-us/overview.page?pagetitle=Global-Supply-Chain-and-Sourcing&docid=619b0006865a6521 9b764413903d04ca
Item 1.02 Exhibit
Rockwell Automations Conflict Minerals Report required by Item 1.01, attached to this Form SD as Exhibit 1.01, is incorporated herein by reference.
Section 2 - Exhibits
Item 2.01 - Exhibits
Exhibit 1.01 - Conflict Minerals Report (attached)
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.
/s/ Michael R. Melzer |
Date: May 28, 2020 | |||
(Registrant) |
Michael R. Melzer
VP of Strategic Sourcing
Rockwell Automation
(414-382-0423)
Exhibit 1.01
Conflict Minerals Report
OF ROCKWELL AUTOMATION, INC.
IN ACCORD WITH RULE 13P-1 UNDER THE SECURITIES EXCHANGE ACT OF 1934
This is the Conflict Minerals Report of Rockwell Automation, Inc. (the Company or Rockwell Automation) for calendar year 2019 in accord with Rule 13p-1 under the Securities Exchange Act of 1934 (Rule 13p-1). Numerous terms in this Conflict Minerals Report are defined in Rule 13p-1 and Form SD and the reader is referred to those sources and to 1934 Act Release No. 34-67716 (August 22, 2012) for such definitions.
I. | Introduction |
Rockwell Automation is a leading global provider of industrial automation power, control and information solutions. The Company has two operating segments: Architecture & Software and Control Products & Solutions. The Architecture & Software segment contains all of the hardware, software and communication components of our integrated control and information architecture. The Control Products & Solutions segment portfolio includes electro-mechanical and electronic motor starters, motor and circuit protection devices, AC/DC variable frequency drives, push buttons, signaling devices, termination and protection devices, relays, timers and condition sensors.
For calendar year 2019, Rockwell Automation considers all products sold to be in-scope and include:
| Controllers, electronic operator interface devices, electronic input/output devices, communication and networking products industrial computers and Logix controllers. |
| Rotary and linear motion control products, sensors and machine safety components. |
| Low and medium voltage electro-mechanical and electronic motor starters, motor and circuit protection devices, AC/DC variable frequency drives, push buttons, signaling devices, termination and protection devices, relays, timers and condition sensors. |
| Packaged solutions such as configured drives and motor control centers and automation and information solutions for manufacturing applications. |
Rockwell Automations supply chain is complex and there are multiple tiers between the Company and the mine. Rockwell Automation relies on its suppliers to provide information on the origin of the tin, tantalum, tungsten and gold (3TG) necessary to the functionality or production of components that are included in Rockwell Automation products. Many Rockwell Automation products contain at least one of the 3TG minerals.
Rockwell Automations due diligence processes have been designed in conformance with the due diligence related steps of the framework in The Organization for Economic Co-operation and Development (OECD) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas: Second Edition (OECD 2013), and related Supplements for gold, tantalum, tin and tungsten (OECD Framework).
II. | Reasonable Country of Origin Inquiry |
OECD Step 1 Establish strong company management systems
The Company incorporated leading practices from multi-industry initiatives such as MAPI (Manufacturers Alliance for Productivity and Innovation), EICC (Electronic Industry Citizen Coalition) and GeSI (Global e-Sustainability Initiative) and RMI (Responsible Minerals Initiative) as a part of the development and execution of Rockwell Automations conflict minerals compliance program.
Company Policies Rockwell Automation communicated conflict minerals expectations to suppliers and the public via a Conflict Minerals Supply Chain Statement and a Supplier Code of Conduct, which encourage suppliers to source responsibly, and are available at the following internet website: https://www.rockwellautomation.com/global/about-us/overview.page?pagetitle=Global-Supply-Chain-and-Sourcing&docid=619b0006865a65219b7 64413903d04ca (File Name: Rockwell Automation Conflict Minerals Supply Chain Statement, Supplier Code of Conduct).
Internal Management Team Rockwell Automation utilized an executive steering committee and relevant staff functions and technical experts (e.g. Legal, Purchasing, Strategic Sourcing, Chemistry & Materials Engineering) to support the Companys Conflict Minerals program managed by the Strategic Sourcing Compliance Team.
System of Controls and Transparency Rockwell Automation adopted a conflict minerals transparency contract with the expectation that suppliers provide information regarding the origin of their 3TG in purchase orders and new contracts. The transparency contract language is inserted into existing contracts as they are renewed.
Conflict Minerals documentation was retained based on existing Rockwell Automation process for record retention requiring a 10 year retention period for regulatory filings.
Rockwell Automation used a data management tool to maintain conflict minerals information provided by suppliers.
Supplier Engagement Rockwell Automation educated its applicable suppliers by providing general conflict minerals information, Responsible Minerals Initiative information, and links to additional resources to highlight requirements, resources available and the importance of conflict minerals investigations during the annual request for information (RFI).
Grievance Mechanism Anyone can report violations of Rockwell Automations policies at http://www.rockwellautomation.com/rockwellautomation/about-us/sustainability-ethics/ombudsman.page
A secure and confidential service is provided by a third party at
https://secure.ethicspoint.com/domain/media/en/gui/43130/index.html
RCOI list creation and data collection (not an OECD step)
Due to the complexity and size of its supply chain, Rockwell Automation developed a risk-based approach that focused on direct suppliers that it believed were likely to provide Rockwell Automation with components and/or raw materials containing tin, tantalum, tungsten and gold (3TG).
The smelters and refiners are consolidation points for raw ore and are in the best position in the total supply chain to know the origin of the ores. Rockwell Automation engages its suppliers and encourages them to inform their suppliers and/or smelters and refiners of 3TG supply chain transparency requirements.
Rockwell Automation provided updated training materials on its conflict minerals policies to internal Rockwell Automation employees (e.g. supplier quality, corporate purchasing, strategic sourcing, and compliance personnel).
Rockwell Automation did the following to identify sources of 3TG in its products:
| Conducted a supply-chain survey with all direct suppliers that it believed were likely to provide components and raw materials containing 3TG. |
○ | These suppliers were identified based on their alignment with commodities of parts they supply, their supplier status and annual spend. |
○ | Inquiries requested the use of the template managed by the Responsible Minerals Initiative, known as the Conflict Minerals Reporting Template (the CMRT), to identify smelters and refiners in their supply chain. |
○ | Customized RFI communications were sent to suppliers who did not provide a requested CRMT in the previous year to get a better response rate. |
| Used an internal data collection team who made initial supplier requests, forwarded responses and/or questions to the Strategic Sourcing Compliance Team and tracked supplier responses. |
| Used an escalation process to drive supplier responses when required. |
○ | If suppliers did not respond in a designated time frame, the contact with suppliers was escalated to the related Buyers, Sourcing Managers, and ultimately, it was escalated to Sourcing Directors until resolved. |
| Reviewed supplier responses for reasonableness and completeness, and, where appropriate, further inquired of these suppliers to explain their reason for certain answers. |
Rockwell Automation received responses back from 94% of these suppliers in 2019. Of those responding, 80% indicated they had 100% of their information.
OECD Step 2 Identify and assess risk in the supply chain
Rockwell Automation evaluated and assigned the supplier risk based on responses, their completeness and reasonableness evaluation, and their smelter list. Rockwell Automation used the Responsible Minerals Initiative information and general public information to determine a smelter or refiners country of origin.
Rockwell Automation executives were kept informed of potential risks through the Product Compliance Council meetings sponsored by the Chief Technology Officer.
III. | Due Diligence Design and Performance |
Due Diligence Design
Rockwell Automations due diligence processes were designed in conformance with the due diligence related steps of the OECD 2013 and OECD Framework.
Due Diligence Measures Performed
OECD Step 3 Design and implement a strategy to respond to identified risks
Rockwell Automation defines identified risk as the potential for a smelter to source from mines that support armed forces in the DRC region. It is not our intent to refrain from sourcing 3TG from the DRC region.
Rockwell Automation identified risk in the supply chain by supporting the audit strategy of 3TG smelters and refiners conducted by third parties through its participation in, and payment of membership dues to, the Responsible Minerals Initiative. Rockwell Automation became a member of the Responsible Minerals Initiative in 2014. (RMI Member identification: RKWL)
New suppliers to Rockwell Automation were subjected to a New Supplier Audit process to understand their conflict minerals engagement. New and existing suppliers were evaluated based on their smelter and refiner information obtained from CMRT declarations and assigned a risk. Rockwell Automation used the Responsible Minerals Initiative information and general public information to determine a smelter or refiners conflict minerals status.
Rockwell Automation executives were kept informed of risk management actions through the Product Compliance Council meetings sponsored by the Chief Technology Officer.
There was no instance where it was necessary to implement risk mitigation or any corrective actions to suppliers in 2019 based on the suppliers assigned risk. Rockwell Automations risk mitigation process includes the following steps if smelters or refiners were identified as supporting armed forces activity.
| Identify the Rockwell components and product affected by this supplier. |
○ | Identify specific components Rockwell Automation purchased from that suppliers conflict source to determine whether corrective action is necessary. |
| Establish specific correction actions for each supplier and track actions. |
○ | If corrective action would be required and the supplier refuses to take actions to change that relationship (through either changing their suppliers or driving their suppliers to source only from conflict free sources) the supplier would be the subject of additional risk mitigation, which could result in suspended trade or disengagement from Rockwell Automation. |
OECD Step 4 Carry out an independent third-party audit of the supply chain due diligence.
Rockwell Automation, as a member of the Responsible Minerals Initiative, supported the audit of smelters and refiners and RMIs efforts to identify the country of origin of the smelter and refiner 3TG, as described in RMI website http://www.responsiblemineralsinitiative.org/. Rockwell Automation encouraged its suppliers to become members of RMI during our annual request for information.
Rockwell Automation provides the RMI with any unidentified smelter / refiner information received from suppliers for RMI analysis.
OECD Step 5 Report on supply chain due diligence
Rockwell Automation files its Conflict Minerals Report Form SD annually with the SEC. Rockwell Automation also publishes its Conflict Minerals Report on its website annually at
https://www.rockwellautomation.com/global/about-us/overview.page?pagetitle=Global-Supply-Chain-and-Sourcing&docid=619b0006865a65219b7 64413903d04ca (Rockwell Automation Conflict Mineral SD Form 2019)
IV. | Smelter and Refiner Disclosures |
Facilities and Country of Origin of 3TG
Schedule 1 lists the smelters and refiners on the Rockwell Automation CMRT. Rockwell Automations CMRT smelter list contains smelters and refiners that have and have not been evaluated by the Responsible Minerals Initiative. Any smelters and refiners on the Rockwell Automation CMRT identified as sourcing from the DRC region were found to be conformant with the RMI assessment protocol. The data collection was completed as of April 9th, 2019. The Rockwell Automation CMRT list was updated to reflect the facilities confirmed in the RMI CMRT Smelter Reference List. Rockwell Automation cannot verify that all the smelters identified contributed to parts that ended up in Rockwell Automation products based on the information provided by suppliers.
Schedule 2 lists the country of origin (CoO) of the 3TG processed by smelters verified by the Responsible Minerals Initiative and identified by the Rockwell Automation supply chain. All smelters and refiners who source from the DRC region that have been audited by the Responsible Minerals Initiative are conformant with the Responsible Minerals Initiative assessment protocol. The data collection was completed as of April 9th, 2019. Rockwell Automation cannot verify that any of the 3TG processed by smelters in any of the countries identified in Schedule 2 contributed to parts that ended up in Rockwell Automation products based on the information provided by suppliers.
V. | Future Measures |
Rockwell Automation will undertake the following steps during the next compliance period:
| Continue to support the Responsible Minerals Initiative and smelter audits through our membership and participation in subcommittees. |
| Continue to share unidentified smelter lists with Responsible Minerals Initiative to assist in identifying legitimate smelters and refiners. |
| Continue to direct suppliers to the Responsible Minerals Initiative organization for information, and encourage them to support the Responsible Minerals Initiative efforts through membership. |
Schedule 1
Schedule 1 contains Responsible Minerals Initiative smelters and refiners identified by Rockwell Automation Supply Chain. Smelters and refiners with an asterisk (*) are conformant with the Responsible Minerals Initiative assessment protocol as of April 9th, 2020. All other smelters are either working with RMI to meet the RMI assessment protocol or have either never been audited or have not renewed their audit.
Smelter |
Metal |
Smelter Name |
Conformant |
Smelter Country | ||||
CID002763 | Gold | 8853 S.p.A. | * | ITALY | ||||
CID002708 | Gold | Abington Reldan Metals, LLC | UNITED STATES OF AMERICA | |||||
CID000015 | Gold | Advanced Chemical Company | * | UNITED STATES OF AMERICA | ||||
CID003185 | Gold | African Gold Refinery | UGANDA | |||||
CID000019 | Gold | Aida Chemical Industries Co., Ltd. | * | JAPAN | ||||
CID002560 | Gold | Al Etihad Gold Refinery DMCC | * | UNITED ARAB EMIRATES | ||||
CID000035 | Gold | Allgemeine Gold-und Silberscheideanstalt A.G. | * | GERMANY | ||||
CID000041 | Gold | Almalyk Mining and Metallurgical Complex (AMMC) | * | UZBEKISTAN | ||||
CID000058 | Gold | AngloGold Ashanti Corrego do Sitio Mineracao | * | BRAZIL | ||||
CID000077 | Gold | Argor-Heraeus S.A. | * | SWITZERLAND | ||||
CID000082 | Gold | Asahi Pretec Corp. | * | JAPAN | ||||
CID000924 | Gold | Asahi Refining Canada Ltd. | * | CANADA | ||||
CID000920 | Gold | Asahi Refining USA Inc. | * | UNITED STATES OF AMERICA | ||||
CID000090 | Gold | Asaka Riken Co., Ltd. | * | JAPAN | ||||
CID000103 | Gold | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | TURKEY | |||||
CID002850 | Gold | AU Traders and Refiners | * | SOUTH AFRICA | ||||
CID000113 | Gold | Aurubis AG | * | GERMANY | ||||
CID002863 | Gold | Bangalore Refinery | * | INDIA | ||||
CID000128 | Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | * | PHILIPPINES | ||||
CID000157 | Gold | Boliden AB | * | SWEDEN | ||||
CID000176 | Gold | C. Hafner GmbH + Co. KG | * | GERMANY | ||||
CID003421 | Gold | C.I Metales Procesados Industriales SAS | COLOMBIA | |||||
CID000180 | Gold | Caridad | MEXICO | |||||
CID000185 | Gold | CCR Refinery - Glencore Canada Corporation | * | CANADA | ||||
CID000189 | Gold | Cendres + Metaux S.A. | * | SWITZERLAND |
CID003382 | Gold | CGR Metalloys Pvt Ltd. | INDIA | |||||
CID000233 | Gold | Chimet S.p.A. | * | ITALY | ||||
CID000264 | Gold | Chugai Mining | * | JAPAN | ||||
CID000343 | Gold | Daye Non-Ferrous Metals Mining Ltd. | CHINA | |||||
CID002867 | Gold | Degussa Sonne / Mond Goldhandel GmbH | GERMANY | |||||
CID003348 | Gold | Dijllah Gold Refinery FZC | UNITED ARAB EMIRATES | |||||
CID000362 | Gold | DODUCO Contacts and Refining GmbH | * | GERMANY | ||||
CID000401 | Gold | Dowa | * | JAPAN | ||||
CID003195 | Gold | DS PRETECH Co., Ltd. | * | KOREA, REPUBLIC OF | ||||
CID000359 | Gold | DSC (Do Sung Corporation) | * | KOREA, REPUBLIC OF | ||||
CID000425 | Gold | Eco-System Recycling Co., Ltd. | * | JAPAN | ||||
CID003424 | Gold | Eco-System Recycling Co., Ltd. North Plant | * | JAPAN | ||||
CID003425 | Gold | Eco-System Recycling Co., Ltd. West Plant | * | JAPAN | ||||
CID002561 | Gold | Emirates Gold DMCC | * | UNITED ARAB EMIRATES | ||||
CID002515 | Gold | Fidelity Printers and Refiners Ltd. | ZIMBABWE | |||||
CID002584 | Gold | Fujairah Gold FZC | UNITED ARAB EMIRATES | |||||
CID002852 | Gold | GCC Gujrat Gold Centre Pvt. Ltd. | INDIA | |||||
CID002459 | Gold | Geib Refining Corporation | * | UNITED STATES OF AMERICA | ||||
CID003186 | Gold | Gold Coast Refinery | GHANA | |||||
CID002243 | Gold | Gold Refinery of Zijin Mining Group Co., Ltd. | * | CHINA | ||||
CID001909 | Gold | Great Wall Precious Metals Co., Ltd. of CBPM | CHINA | |||||
CID002312 | Gold | Guangdong Jinding Gold Limited | CHINA | |||||
CID000651 | Gold | Guoda Safina High-Tech Environmental Refinery Co., Ltd. | CHINA | |||||
CID000671 | Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. | CHINA | |||||
CID000694 | Gold | Heimerle + Meule GmbH | * | GERMANY | ||||
CID000707 | Gold | Heraeus Metals Hong Kong Ltd. | * | CHINA | ||||
CID000711 | Gold | Heraeus Precious Metals GmbH & Co. KG | * | GERMANY | ||||
CID000767 | Gold | Hunan Chenzhou Mining Co., Ltd. | CHINA |
CID000773 | Gold | Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd. | CHINA | |||||
CID000778 | Gold | HwaSeong CJ CO., LTD. | KOREA, REPUBLIC OF | |||||
CID000801 | Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | * | CHINA | ||||
CID002562 | Gold | International Precious Metal Refiners | UNITED ARAB EMIRATES | |||||
CID000807 | Gold | Ishifuku Metal Industry Co., Ltd. | * | JAPAN | ||||
CID000814 | Gold | Istanbul Gold Refinery | * | TURKEY | ||||
CID002765 | Gold | Italpreziosi | * | ITALY | ||||
CID002893 | Gold | JALAN & Company | INDIA | |||||
CID000823 | Gold | Japan Mint | * | JAPAN | ||||
CID000855 | Gold | Jiangxi Copper Co., Ltd. | * | CHINA | ||||
CID000927 | Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | RUSSIAN FEDERATION | |||||
CID000929 | Gold | JSC Uralelectromed | * | RUSSIAN FEDERATION | ||||
CID000937 | Gold | JX Nippon Mining & Metals Co., Ltd. | * | JAPAN | ||||
CID002563 | Gold | Kaloti Precious Metals | UNITED ARAB EMIRATES | |||||
CID000956 | Gold | Kazakhmys Smelting LLC | KAZAKHSTAN | |||||
CID000957 | Gold | Kazzinc | * | KAZAKHSTAN | ||||
CID000969 | Gold | Kennecott Utah Copper LLC | * | UNITED STATES OF AMERICA | ||||
CID002511 | Gold | KGHM Polska Miedz Spolka Akcyjna | * | POLAND | ||||
CID000981 | Gold | Kojima Chemicals Co., Ltd. | * | JAPAN | ||||
CID002605 | Gold | Korea Zinc Co., Ltd. | * | KOREA, REPUBLIC OF | ||||
CID003463 | Gold | Kundan Care Products Ltd. | INDIA | |||||
CID001029 | Gold | Kyrgyzaltyn JSC | * | KYRGYZSTAN | ||||
CID002865 | Gold | Kyshtym Copper-Electrolytic Plant ZAO | RUSSIAN FEDERATION | |||||
CID001032 | Gold | Lazurde Company For Jewelry | SAUDI ARABIA | |||||
CID001056 | Gold | Lingbao Gold Co., Ltd. | CHINA | |||||
CID001058 | Gold | Lingbao Jinyuan Tonghui Refinery Co., Ltd. | CHINA | |||||
CID002762 | Gold | LOrfebre S.A. | * | ANDORRA | ||||
CID001078 | Gold | LS-NIKKO Copper Inc. | * | KOREA, REPUBLIC OF | ||||
CID000689 | Gold | HeeSung Metal Ltd. | * | KOREA, REPUBLIC OF | ||||
CID001093 | Gold | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | CHINA |
CID002606 | Gold | Marsam Metals | * | BRAZIL | ||||
CID001113 | Gold | Materion | * | UNITED STATES OF AMERICA | ||||
CID001119 | Gold | Matsuda Sangyo Co., Ltd. | * | JAPAN | ||||
CID001149 | Gold | Metalor Technologies (Hong Kong) Ltd. | * | CHINA | ||||
CID001152 | Gold | Metalor Technologies (Singapore) Pte., Ltd. | * | SINGAPORE | ||||
CID001147 | Gold | Metalor Technologies (Suzhou) Ltd. | * | CHINA | ||||
CID001153 | Gold | Metalor Technologies S.A. | * | SWITZERLAND | ||||
CID001157 | Gold | Metalor USA Refining Corporation | * | UNITED STATES OF AMERICA | ||||
CID001161 | Gold | Metalurgica Met-Mex Penoles S.A. De C.V. | * | MEXICO | ||||
CID001188 | Gold | Mitsubishi Materials Corporation | * | JAPAN | ||||
CID001193 | Gold | Mitsui Mining and Smelting Co., Ltd. | * | JAPAN | ||||
CID002509 | Gold | MMTC-PAMP India Pvt., Ltd. | * | INDIA | ||||
CID002857 | Gold | Modeltech Sdn Bhd | MALAYSIA | |||||
CID002282 | Gold | Morris and Watson | NEW ZEALAND | |||||
CID001204 | Gold | Moscow Special Alloys Processing Plant | * | RUSSIAN FEDERATION | ||||
CID001220 | Gold | Nadir Metal Rafineri San. Ve Tic. A.S. | * | TURKEY | ||||
CID001236 | Gold | Navoi Mining and Metallurgical Combinat | UZBEKISTAN | |||||
CID003189 | Gold | NH Recytech Company | KOREA, REPUBLIC OF | |||||
CID001259 | Gold | Nihon Material Co., Ltd. | * | JAPAN | ||||
CID002779 | Gold | Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH | * | AUSTRIA | ||||
CID001325 | Gold | Ohura Precious Metal Industry Co., Ltd. | * | JAPAN | ||||
CID001326 | Gold | OJSC The Gulidov Krasnoyarsk Non-Ferrous Metals Plant (OJSC Krastsvetmet) | * | RUSSIAN FEDERATION | ||||
CID000493 | Gold | OJSC Novosibirsk Refinery | * | RUSSIAN FEDERATION | ||||
CID001352 | Gold | PAMP S.A. | * | SWITZERLAND | ||||
CID002872 | Gold | Pease & Curren | UNITED STATES OF AMERICA | |||||
CID001362 | Gold | Penglai Penggang Gold Industry Co., Ltd. | CHINA | |||||
CID002919 | Gold | Planta Recuperadora de Metales SpA | * | CHILE |
CID001386 | Gold | Prioksky Plant of Non-Ferrous Metals | * | RUSSIAN FEDERATION | ||||
CID001397 | Gold | PT Aneka Tambang (Persero) Tbk | * | INDONESIA | ||||
CID001498 | Gold | PX Precinox S.A. | * | SWITZERLAND | ||||
CID003324 | Gold | QG Refining, LLC | UNITED STATES OF AMERICA | |||||
CID001512 | Gold | Rand Refinery (Pty) Ltd. | * | SOUTH AFRICA | ||||
CID000522 | Gold | Refinery of Seemine Gold Co., Ltd. | CHINA | |||||
CID002582 | Gold | REMONDIS PMR B.V. | * | NETHERLANDS | ||||
CID001534 | Gold | Royal Canadian Mint | * | CANADA | ||||
CID002761 | Gold | SAAMP | * | FRANCE | ||||
CID001546 | Gold | Sabin Metal Corp. | UNITED STATES OF AMERICA | |||||
CID002973 | Gold | Safimet S.p.A | * | ITALY | ||||
CID002290 | Gold | SAFINA A.S. | CZECHIA | |||||
CID002853 | Gold | Sai Refinery | INDIA | |||||
CID001555 | Gold | Samduck Precious Metals | * | KOREA, REPUBLIC OF | ||||
CID001562 | Gold | Samwon Metals Corp. | KOREA, REPUBLIC OF | |||||
CID002777 | Gold | SAXONIA Edelmetalle GmbH | * | GERMANY | ||||
CID001585 | Gold | SEMPSA Joyeria Plateria S.A. | * | SPAIN | ||||
CID002525 | Gold | Shandong Humon Smelting Co., Ltd. | CHINA | |||||
CID001619 | Gold | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | CHINA | |||||
CID001622 | Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | * | CHINA | ||||
CID002588 | Gold | Shirpur Gold Refinery Ltd. | INDIA | |||||
CID001736 | Gold | Sichuan Tianze Precious Metals Co., Ltd. | * | CHINA | ||||
CID002516 | Gold | Singway Technology Co., Ltd. | * | TAIWAN, PROVINCE OF CHINA | ||||
CID001756 | Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | * | RUSSIAN FEDERATION | ||||
CID001761 | Gold | Solar Applied Materials Technology Corp. | * | TAIWAN, PROVINCE OF CHINA | ||||
CID003383 | Gold | Sovereign Metals | INDIA | |||||
CID003153 | Gold | State Research Institute Center for Physical Sciences and Technology | LITHUANIA | |||||
CID002567 | Gold | Sudan Gold Refinery | SUDAN | |||||
CID001798 | Gold | Sumitomo Metal Mining Co., Ltd. | * | JAPAN | ||||
CID002918 | Gold | SungEel HiMetal Co., Ltd. | * | KOREA, REPUBLIC OF |
CID002580 | Gold | T.C.A S.p.A | * | ITALY | ||||
CID001875 | Gold | Tanaka Kikinzoku Kogyo K.K. | * | JAPAN | ||||
CID001916 | Gold | The Refinery of Shandong Gold Mining Co., Ltd. | * | CHINA | ||||
CID001938 | Gold | Tokuriki Honten Co., Ltd. | * | JAPAN | ||||
CID001947 | Gold | Tongling Nonferrous Metals Group Co., Ltd. | CHINA | |||||
CID002587 | Gold | Tony Goetz NV | BELGIUM | |||||
CID002615 | Gold | TOO Tau-Ken-Altyn | * | KAZAKHSTAN | ||||
CID001955 | Gold | Torecom | * | KOREA, REPUBLIC OF | ||||
CID001977 | Gold | Umicore Brasil Ltda. | * | BRAZIL | ||||
CID002314 | Gold | Umicore Precious Metals Thailand | * | THAILAND | ||||
CID001980 | Gold | Umicore S.A. Business Unit Precious Metals Refining | * | BELGIUM | ||||
CID001993 | Gold | United Precious Metal Refining, Inc. | * | UNITED STATES OF AMERICA | ||||
CID002003 | Gold | Valcambi S.A. | * | SWITZERLAND | ||||
CID002030 | Gold | Western Australian Mint (T/a The Perth Mint) | * | AUSTRALIA | ||||
CID002778 | Gold | WIELAND Edelmetalle GmbH | * | GERMANY | ||||
CID002100 | Gold | Yamakin Co., Ltd. | * | JAPAN | ||||
CID002129 | Gold | Yokohama Metal Co., Ltd. | * | JAPAN | ||||
CID000197 | Gold | Yunnan Copper Industry Co., Ltd. | CHINA | |||||
CID002224 | Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | * | CHINA | ||||
CID000092 | Tantalum | Asaka Riken Co., Ltd. | * | JAPAN | ||||
CID000211 | Tantalum | Changsha South Tantalum Niobium Co., Ltd. | * | CHINA | ||||
CID003402 | Tantalum | CP Metals Inc. | * | UNITED STATES OF AMERICA | ||||
CID002504 | Tantalum | D Block Metals, LLC | * | UNITED STATES OF AMERICA | ||||
CID000456 | Tantalum | Exotech Inc. | * | UNITED STATES OF AMERICA | ||||
CID000460 | Tantalum | F&X Electro-Materials Ltd. | * | CHINA | ||||
CID002505 | Tantalum | FIR Metals & Resource Ltd. | * | CHINA | ||||
CID002558 | Tantalum | Global Advanced Metals Aizu | * | JAPAN | ||||
CID002557 | Tantalum | Global Advanced Metals Boyertown | * | UNITED STATES OF AMERICA | ||||
CID000616 | Tantalum | Guangdong Zhiyuan New Material Co., Ltd. | * | CHINA | ||||
CID002544 | Tantalum | H.C. Starck Co., Ltd. | * | THAILAND | ||||
CID002547 | Tantalum | H.C. Starck Hermsdorf GmbH | * | GERMANY |
CID002548 | Tantalum | H.C. Starck Inc. | * | UNITED STATES OF AMERICA | ||||
CID002549 | Tantalum | H.C. Starck Ltd. | * | JAPAN | ||||
CID002550 | Tantalum | H.C. Starck Smelting GmbH & Co. KG | * | GERMANY | ||||
CID002545 | Tantalum | H.C. Starck Tantalum and Niobium GmbH | * | GERMANY | ||||
CID002492 | Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | * | CHINA | ||||
CID002512 | Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | * | CHINA | ||||
CID002842 | Tantalum | Jiangxi Tuohong New Raw Material | * | CHINA | ||||
CID000914 | Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | * | CHINA | ||||
CID000917 | Tantalum | Jiujiang Tanbre Co., Ltd. | * | CHINA | ||||
CID002506 | Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | * | CHINA | ||||
CID002539 | Tantalum | KEMET Blue Metals | * | MEXICO | ||||
CID001076 | Tantalum | LSM Brasil S.A. | * | BRAZIL | ||||
CID001163 | Tantalum | Metallurgical Products India Pvt., Ltd. | * | INDIA | ||||
CID001175 | Tantalum | Mineracao Taboca S.A. | * | BRAZIL | ||||
CID001192 | Tantalum | Mitsui Mining and Smelting Co., Ltd. | * | JAPAN | ||||
CID001277 | Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | * | CHINA | ||||
CID001200 | Tantalum | NPM Silmet AS | * | ESTONIA | ||||
CID002847 | Tantalum | Power Resources Ltd. | * | MACEDONIA, THE FORMER YUGOSLAV REPUBLIC OF | ||||
CID001508 | Tantalum | QuantumClean | * | UNITED STATES OF AMERICA | ||||
CID002707 | Tantalum | Resind Industria e Comercio Ltda. | * | BRAZIL | ||||
CID001769 | Tantalum | Solikamsk Magnesium Works OAO | * | RUSSIAN FEDERATION | ||||
CID001869 | Tantalum | Taki Chemical Co., Ltd. | * | JAPAN | ||||
CID001891 | Tantalum | Telex Metals | * | UNITED STATES OF AMERICA | ||||
CID001969 | Tantalum | Ulba Metallurgical Plant JSC | * | KAZAKHSTAN | ||||
CID002508 | Tantalum | XinXing HaoRong Electronic Material Co., Ltd. | * | CHINA | ||||
CID001522 | Tantalum | RFH Tantalum Smeltery Co., Ltd./Yanling Jincheng Tantalum & Niobium Co., Ltd. | * | CHINA | ||||
CID000292 | Tin | Alpha | * | UNITED STATES OF AMERICA |
CID002703 | Tin | An Vinh Joint Stock Mineral Processing Company | VIET NAM | |||||
CID000228 | Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | * | CHINA | ||||
CID003190 | Tin | Chifeng Dajingzi Tin Industry Co., Ltd. | * | CHINA | ||||
CID001070 | Tin | China Tin Group Co., Ltd. | * | CHINA | ||||
CID003356 | Tin | Dongguan CiEXPO Environmental Engineering Co., Ltd. | CHINA | |||||
CID000402 | Tin | Dowa | * | JAPAN | ||||
CID002572 | Tin | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | VIET NAM | |||||
CID000438 | Tin | EM Vinto | * | BOLIVIA (PLURINATIONAL STATE OF) | ||||
CID000448 | Tin | Estanho de Rondonia S.A. | BRAZIL | |||||
CID000468 | Tin | Fenix Metals | * | POLAND | ||||
CID003410 | Tin | Gejiu City Fuxiang Industry and Trade Co., Ltd. | CHINA | |||||
CID000942 | Tin | Gejiu Kai Meng Industry and Trade LLC | * | CHINA | ||||
CID000538 | Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. | * | CHINA | ||||
CID001908 | Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | * | CHINA | ||||
CID000555 | Tin | Gejiu Zili Mining And Metallurgy Co., Ltd. | * | CHINA | ||||
CID003116 | Tin | Guangdong Hanhe Non-Ferrous Metal Co., Ltd. | * | CHINA | ||||
CID002849 | Tin | Guanyang Guida Nonferrous Metal Smelting Plant | * | CHINA | ||||
CID002844 | Tin | HuiChang Hill Tin Industry Co., Ltd. | * | CHINA | ||||
CID000760 | Tin | Huichang Jinshunda Tin Co., Ltd. | * | CHINA | ||||
CID001231 | Tin | Jiangxi New Nanshan Technology Ltd. | * | CHINA | ||||
CID003387 | Tin | Luna Smelter, Ltd. | * | RWANDA | ||||
CID003379 | Tin | Maanshan Weitai Tin Co., Ltd. | * | CHINA | ||||
CID002468 | Tin | Magnus Minerais Metais e Ligas Ltda. | * | BRAZIL | ||||
CID001105 | Tin | Malaysia Smelting Corporation (MSC) | * | MALAYSIA |
CID002500 | Tin | Melt Metais e Ligas S.A. | * | BRAZIL | ||||
CID001142 | Tin | Metallic Resources, Inc. | * | UNITED STATES OF AMERICA | ||||
CID002773 | Tin | Metallo Belgium N.V. | * | BELGIUM | ||||
CID002774 | Tin | Metallo Spain S.L.U. | * | SPAIN | ||||
CID001173 | Tin | Mineracao Taboca S.A. | * | BRAZIL | ||||
CID001182 | Tin | Minsur | * | PERU | ||||
CID001191 | Tin | Mitsubishi Materials Corporation | * | JAPAN | ||||
CID002858 | Tin | Modeltech Sdn Bhd | MALAYSIA | |||||
CID002573 | Tin | Nghe Tinh Non-Ferrous Metals Joint Stock Company | VIET NAM | |||||
CID001314 | Tin | O.M. Manufacturing (Thailand) Co., Ltd. | * | THAILAND | ||||
CID002517 | Tin | O.M. Manufacturing Philippines, Inc. | * | PHILIPPINES | ||||
CID001337 | Tin | Operaciones Metalurgicas S.A. | * | BOLIVIA (PLURINATIONAL STATE OF) | ||||
CID003208 | Tin | Pongpipat Company Limited | MYANMAR | |||||
CID003409 | Tin | Precious Minerals and Smelting Limited | INDIA | |||||
CID001399 | Tin | PT Artha Cipta Langgeng | * | INDONESIA | ||||
CID002503 | Tin | PT ATD Makmur Mandiri Jaya | * | INDONESIA | ||||
CID002835 | Tin | PT Menara Cipta Mulia | * | INDONESIA | ||||
CID001453 | Tin | PT Mitra Stania Prima | * | INDONESIA | ||||
CID001460 | Tin | PT Refined Bangka Tin | * | INDONESIA | ||||
CID001477 | Tin | PT Timah Tbk Kundur | * | INDONESIA | ||||
CID001482 | Tin | PT Timah Tbk Mentok | * | INDONESIA | ||||
CID002706 | Tin | Resind Industria e Comercio Ltda. | * | BRAZIL | ||||
CID001539 | Tin | Rui Da Hung | * | TAIWAN, PROVINCE OF CHINA | ||||
CID001758 | Tin | Soft Metais Ltda. | * | BRAZIL | ||||
CID002756 | Tin | Super Ligas | BRAZIL | |||||
CID002834 | Tin | Thai Nguyen Mining and Metallurgy Co., Ltd. | * | VIET NAM | ||||
CID001898 | Tin | Thaisarco | * | THAILAND | ||||
CID003325 | Tin | Tin Technology & Refining | * | UNITED STATES OF AMERICA | ||||
CID002574 | Tin | Tuyen Quang Non-Ferrous Metals Joint Stock Company | VIET NAM | |||||
CID002036 | Tin | White Solder Metalurgia e Mineracao Ltda. | * | BRAZIL | ||||
CID002158 | Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | * | CHINA |
CID002180 | Tin | Yunnan Tin Company Limited | * | CHINA | ||||
CID003397 | Tin | Yunnan Yunfan Non-ferrous Metals Co., Ltd. | * | CHINA | ||||
CID000004 | Tungsten | A.L.M.T. Corp. | * | JAPAN | ||||
CID002833 | Tungsten | ACL Metais Eireli | * | BRAZIL | ||||
CID003427 | Tungsten | Albasteel Industria e Comercio de Ligas Para Fundicao Ltd. | BRAZIL | |||||
CID002502 | Tungsten | Asia Tungsten Products Vietnam Ltd. | * | VIET NAM | ||||
CID002513 | Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd. | * | CHINA | ||||
CID002641 | Tungsten | China Molybdenum Tungsten Co., Ltd. | CHINA | |||||
CID000258 | Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | * | CHINA | ||||
CID000281 | Tungsten | CNMC (Guangxi) PGMA Co., Ltd. | CHINA | |||||
CID003448 | Tungsten | Asia Tungsten Products Vietnam Ltd. | UNITED STATES OF AMERICA | |||||
CID003401 | Tungsten | Fujian Ganmin RareMetal Co., Ltd. | * | CHINA | ||||
CID000499 | Tungsten | Fujian Jinxin Tungsten Co., Ltd. | * | CHINA | ||||
CID002645 | Tungsten | Ganzhou Haichuang Tungsten Co., Ltd. | * | CHINA | ||||
CID000875 | Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. | * | CHINA | ||||
CID002315 | Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | * | CHINA | ||||
CID002494 | Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | * | CHINA | ||||
CID003417 | Tungsten | GEM Co., Ltd. | CHINA | |||||
CID000568 | Tungsten | Global Tungsten & Powders Corp. | * | UNITED STATES OF AMERICA | ||||
CID000218 | Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | * | CHINA | ||||
CID002542 | Tungsten | H.C. Starck Smelting GmbH & Co. KG | * | GERMANY | ||||
CID002541 | Tungsten | H.C. Starck Tungsten GmbH | * | GERMANY | ||||
CID000766 | Tungsten | Hunan Chenzhou Mining Co., Ltd. | * | CHINA | ||||
CID002579 | Tungsten | Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji | * | CHINA |
CID000769 | Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd. | * | CHINA | ||||
CID003182 | Tungsten | Hunan Litian Tungsten Industry Co., Ltd. | * | CHINA | ||||
CID002649 | Tungsten | Hydrometallurg, JSC | * | RUSSIAN FEDERATION | ||||
CID000825 | Tungsten | Japan New Metals Co., Ltd. | * | JAPAN | ||||
CID002551 | Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | * | CHINA | ||||
CID002321 | Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | * | CHINA | ||||
CID002313 | Tungsten | Jiangxi Minmetals Gaoan Non-ferrous Metals Co., Ltd. | CHINA | |||||
CID002318 | Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | * | CHINA | ||||
CID002647 | Tungsten | Jiangxi Dayu Longxintai Tungsten Co., Ltd. | CHINA | |||||
CID002317 | Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | * | CHINA | ||||
CID002316 | Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. | * | CHINA | ||||
CID003408 | Tungsten | JSC Kirovgrad Hard Alloys Plant | RUSSIAN FEDERATION | |||||
CID000966 | Tungsten | Kennametal Fallon | * | UNITED STATES OF AMERICA | ||||
CID000105 | Tungsten | Kennametal Huntsville | * | UNITED STATES OF AMERICA | ||||
CID003388 | Tungsten | KGETS Co., Ltd. | * | KOREA, REPUBLIC OF | ||||
CID003407 | Tungsten | Lianyou Metals Co., Ltd. | * | TAIWAN, PROVINCE OF CHINA | ||||
CID002319 | Tungsten | Malipo Haiyu Tungsten Co., Ltd. | * | CHINA | ||||
CID002543 | Tungsten | Masan Tungsten Chemical LLC (MTC) | * | VIET NAM | ||||
CID002845 | Tungsten | Moliren Ltd. | * | RUSSIAN FEDERATION | ||||
CID002589 | Tungsten | Niagara Refining LLC | * | UNITED STATES OF AMERICA | ||||
CID003416 | Tungsten | NPP Tyazhmetprom LLC | RUSSIAN FEDERATION | |||||
CID002827 | Tungsten | Philippine Chuangxin Industrial Co., Inc. | * | PHILIPPINES | ||||
CID001889 | Tungsten | Tejing (Vietnam) Tungsten Co., Ltd. | * | VIET NAM | ||||
CID002724 | Tungsten | Unecha Refractory metals plant | * | RUSSIAN FEDERATION | ||||
CID002044 | Tungsten | Wolfram Bergbau und Hutten AG | * | AUSTRIA | ||||
CID002843 | Tungsten | Woltech Korea Co., Ltd. | * | KOREA, REPUBLIC OF | ||||
CID002320 | Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | * | CHINA |
CID002082 | Tungsten | Xiamen Tungsten Co., Ltd. | * | CHINA | ||||
CID002830 | Tungsten | Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. | * | CHINA | ||||
CID002095 | Tungsten | Xinhai Rendan Shaoguan Tungsten Co., Ltd. | * | CHINA |
Schedule 2
This Schedule 2 contains a list of Countries of Origin believed to be associated with the Responsible Minerals Sourcing Initiative smelters listed in Schedule 1.
ANDORRA, AUSTRALIA, AUSTRIA, BELGIUM, BOLIVIA (PLURINATIONAL STATE OF), BRAZIL, CANADA, CHILE, CHINA, COLOMBIA, CZECHIA, ESTONIA, FRANCE, GERMANY, GHANA, INDIA, INDONESIA, ITALY, JAPAN, KAZAKHSTAN, KOREA, REPUBLIC OF, KYRGYZSTAN, LITHUANIA, MACEDONIA, THE FORMER YUGOSLAV REPUBLIC OF, MALAYSIA, MEXICO, MYANMAR, NETHERLANDS, NEW ZEALAND, PERU, PHILIPPINES, POLAND, RUSSIAN FEDERATION, RWANDA, SAUDI ARABIA, SINGAPORE, SOUTH AFRICA, SPAIN, SUDAN, SWEDEN, SWITZERLAND, TAIWAN, PROVINCE OF CHINA, THAILAND, TURKEY, UGANDA, UNITED ARAB EMIRATES, UNITED STATES OF AMERICA, UZBEKISTAN, VIET NAM, ZIMBABWE.