EX-1.01 2 d896328dex101.htm EX-1.01 EX-1.01

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 Automation’s 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 Automation’s 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 Automation’s 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 Company’s 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 Automation’s 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 refiner’s 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 Automation’s 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 refiner’s 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 Automation’s 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 supplier’s 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 RMI’s 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 Automation’s 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
ID

   

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    L’azurde Company For Jewelry       SAUDI ARABIA
CID001056    Gold    Lingbao Gold Co., Ltd.       CHINA
CID001058    Gold    Lingbao Jinyuan Tonghui Refinery Co., Ltd.       CHINA
CID002762    Gold    L’Orfebre 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    Ma’anshan Weitai Tin Co., Ltd.    *    CHINA
CID002468    Tin    Magnu’s 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 Gao’an 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.