SD

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 incorporation or organization)	(Commission File Number)	(IRS Employer Identification No.)
1201 South Second Street, Milwaukee, Wisconsin		53204
(Address of principal executive offices)		(Zip code)

Michael R. Melzer, VP of Strategic Sourcing and Workplace Services    (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 1 to December 31, 2022.

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, 2022 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=619b0006865a65219b764413903d04ca

Item 1.02 – Exhibit

Rockwell Automation’s 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 26, 2023
(Registrant)
Michael R. Melzer

VP of Strategic Sourcing and Workplace Services

Rockwell Automation

(414-382-0423)

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 2022 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 for such definitions.

I. Introduction

Rockwell Automation is a leading global provider of industrial automation power, control and information solutions. The Company has three operating segments: Intelligent Devices, Software & Control, and Lifecycle Services. The Intelligent Devices segment portfolio includes drives, motion, safety, sensing, industrial components, and configured-to-order products. The Software & Control segment portfolio contains control and visualization software and hardware, information software, and network and security infrastructure, and the Lifecycle Services segment includes consulting, professional services, connected services, and maintenance services.

For calendar year 2022, 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 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, and related Supplements for gold, tantalum, tin and tungsten (OECD Guidance).

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/en-us/company/about-us/integrity-sustainability/global-supply-chain-sourcing.html (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 https://www.rockwellautomation.com/en-us/company/about-us/contact-us/report-ethical-concerns.html

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 from more than 90% of suppliers (554 out of 614 suppliers) contacted, representing 99% of the Company’s supplier spend. Suppliers were in scope if purchases were $50k or greater and procured during calendar year 2022. The entries that appear on the completed Smelter List are the result of Assent’s Smelter Validation Process. The list displays those facilities that are verified to be legitimate smelters or refiners of 3TGs and have been reported by at least one Rockwell Automation supplier.

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 publicly available 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 have been designed in conformance with the OECD Guidance.

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 publicly available 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 2022 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=619b0006865a65219b764413903d04ca (Rockwell Automation Conflict Mineral SD Form 2022)

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 MRT 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 28th, 2023. 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 28th, 2023. 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 May 9^th, 2023. 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
CID000015	Gold	Advanced Chemical Company	*	United States of America
CID000090	Gold	Asaka Riken Co., Ltd.	*	Japan
CID000362	Gold	DODUCO GmbH		Germany
CID002560	Gold	Al Etihad Gold Refinery DMCC	*	United Arab Emirates
CID000034	Gold	Alldyne Powder Technologies		Germany
CID003424	Gold	Eco-System Recycling Co., Ltd. North Plant	*	Japan
CID003425	Gold	Eco-System Recycling Co., Ltd. West Plant	*	Japan
CID000019	Gold	Aida Chemical Industries Co., Ltd.	*	Japan
CID000028	Gold	Aktyubinsk Copper Company TOO		Kazakhstan
CID000176	Gold	C. Hafner GmbH + Co. KG	*	Germany
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
CID000157	Gold	Boliden AB	*	Sweden
CID000956	Gold	Kazakhmys Smelting LLC		Kazakhstan
CID001810	Gold	Super Dragon Technology Co., Ltd.		Taiwan, Province Of China
CID002743	Gold	SuZhou ShenChuang recycling Ltd.		China
CID003116	Tin	Guangdong Hanhe Non-Ferrous Metal Co., Ltd.		China
CID002561	Gold	Emirates Gold DMCC	*	United Arab Emirates
CID002355	Gold	Faggi Enrico S.p.A.		Italy
CID002515	Gold	Fidelity Printers and Refiners Ltd.		Zimbabwe
CID002312	Gold	Guangdong Jinding Gold Limited		China
CID000651	Gold	Shandong Guoda Gold Co., Ltd.		China

Smelter ID	Metal	Smelter Name	Conformant	Smelter Country
CID000671	Gold	Hangzhou Fuchunjiang Smelting Co., Ltd.		China
CID002588	Gold	Shirpur Gold Refinery Ltd.		India
CID002763	Gold	8853 S.p.A.		Italy
CID002708	Gold	Abington Reldan Metals, LLC	*	United States of America
CID000339	Gold	Dai-ichi Seiko		Japan
CID000113	Gold	Norddeutsche Affinererie AG	*	Germany
CID000233	Gold	Chimet S.p.A.	*	Italy
CID000242	Gold	China National Gold Group Corporation		China
CID002584	Gold	Fujairah Gold FZC		United Arab Emirates
CID002459	Gold	Geib Refining Corporation	*	United States of America
CID000689	Gold	LT Metal Ltd.	*	Korea, Republic Of
CID001093	Gold	Luoyang Zijin Yinhui Metal Smelt Co Ltd		China
CID002946	Tin	Xianghualing Tin Industry Co., Ltd.		China
CID002090	Tin	Xin Furukawa Metal ( Wuxi ) Co., Ltd.		China
CID002099	Tin	XURI		China
CID002121	Tin	Yifeng Tin		China
CID001119	Gold	Matsuda Sangyo Co., Ltd.	*	Japan
CID002821	Gold	Metahub Industries Sdn. Bhd.		Malaysia
CID002606	Gold	Marsam Metals		Brazil
CID001113	Gold	Materion	*	United States of America
CID002162	Tin	Yunnan Chengo Electric Smelting Plant		China
CID002164	Tin	Yunnan Copper Zinc Industry Co., Ltd.		China
CID002919	Gold	Planta Recuperadora de Metales SpA	*	Chile
CID001498	Gold	PX Précinox SA	*	Switzerland
CID001236	Gold	Navoi Mining and Metallurgical Combinat	*	Uzbekistan
CID003189	Gold	NH Recytech Company	*	Korea, Republic Of
CID001259	Gold	Nihon Material Co., Ltd.	*	Japan
CID001352	Gold	PAMP SA	*	Switzerland
CID002872	Gold	Pease & Curren		United States of America

Smelter ID	Metal	Smelter Name	Conformant	Smelter Country
CID002505	Tantalum	FIR Metals & Resource Ltd.	*	China
CID001076	Tantalum	LSM Brasil S.A.	*	Brazil
CID001220	Gold	Nadir Metal Rafineri San. Ve Tic. A.Ş.	*	Turkey
CID000460	Tantalum	F&X Electro-Materials Ltd.	*	China
CID002558	Tantalum	Global Advanced Metals Aizu	*	Japan
CID002506	Tantalum	Jiujiang Zhongao Tantalum & Niobium Co., Ltd.	*	China
CID001585	Gold	SEMPSA Joyería Platería SA	*	Spain
CID001916	Gold	The Refinery of Shandong Gold Mining Co., Ltd.	*	China
CID001142	Tin	Metallic Resources, Inc.	*	United States of America
CID002500	Tin	Melt Metais e Ligas S/A		Brazil
CID002582	Gold	REMONDIS PMR B.V.	*	Netherlands
CID002761	Gold	SAAMP	*	France
CID002973	Gold	Safimet S.p.A		Italy
CID001798	Gold	Toyo Smelter & Refinery	*	Japan
CID001955	Gold	Torecom	*	Korea, Republic Of
CID002745	Gold	Tsai Brother industries		Taiwan, Province Of China
CID003195	Gold	TSK Pretech		Korea, Republic Of
CID001977	Gold	Umicore Brasil Ltda.		Brazil
CID001993	Gold	United Precious Metal Refining, Inc.	*	United States of America
CID002854	Gold	Universal Precious Metals Refining Zambia		Zambia
CID003609	Tungsten	Fujian Xinlu Tungsten Co., Ltd.	*	China
CID000045	Tungsten	Alta Group		Indonesia
CID002641	Tungsten	China Molybdenum Tungsten Co., Ltd.	*	China
CID000281	Tungsten	CNMC (Guangxi) PGMA Co., Ltd.		China
CID001508	Tantalum	QuantumClean	*	United States of America
CID002707	Tantalum	Resind Indústria e Comércio Ltda.	*	Brazil

Smelter ID	Metal	Smelter Name	Conformant	Smelter Country
CID001769	Tantalum	Solikamsk Metal Works		Russian Federation
CID001869	Tantalum	Taki Chemicals	*	Japan
CID001399	Tin	PT Babel Inti Perkasa	*	Indonesia
CID001424	Tin	PT BilliTin Makmur Lestari		Indonesia
CID001476	Tin	PT Supra Sukses Trinusa		Indonesia
CID002539	Tantalum	KEMET de Mexico	*	Mexico
CID001969	Tantalum	Ulba Metallurgical Plant JSC	*	Kazakhstan
CID002508	Tantalum	XinXing HaoRong Electronic Material Co., Ltd.	*	China
CID000292	Tin	Cookson (Alpha Metals Taiwan)	*	United States of America
CID000049	Tin	American Iron and Metal		China
CID001482	Tin	Timah Indonesian State Tin Corporation	*	Indonesia
CID002180	Tin	Yuntinic Resources	*	China
CID002181	Tin	Yunnan Tin Company Limited		China
CID003397	Tin	Yunnan Yunfan Non-ferrous Metals Co., Ltd.		China
CID002196	Tin	Zhangzhou Hiromi Non-ferrous Metals Co., Ltd.		China
CID002197	Tin	Zhangzhou Xiangcheng Hongyu Building		United States of America
CID002220	Tin	Zhongshan Jinye Smelting Co.,Ltd		China
CID002223	Tin	ZhongShi		United States of America
CID002229	Tin	Zhuhai Horyison Solder Co., Ltd.		China
CID002833	Tungsten	ACL Metais Eireli		Brazil
CID002778	Gold	WIELAND Edelmetalle GmbH	*	Germany
CID002063	Gold	Wuzhong Group		China
CID002076	Gold	Xiamen JInbo Metal Co., Ltd.		China
CID002548	Tantalum	Materion Newton Inc.	*	United States of America
CID002550	Tantalum	TANIOBIS Smelting GmbH & Co. KG	*	Germany
CID002706	Tin	Resind Indústria e Comércio Ltda.	*	Brazil
CID000551	Tin	GEJIU YE LIAN CHANG		China
CID000769	Tungsten	Hunan Jintai New Material Co., Ltd.		China
CID003182	Tungsten	Hunan Litian Tungsten Industry Co., Ltd.		China

Smelter ID	Metal	Smelter Name	Conformant	Smelter Country
CID000105	Tungsten	Kennametal Huntsville	*	United States of America
CID003388	Tungsten	KGETS Co., Ltd.	*	Korea, Republic Of
CID002503	Tin	PT ATD Makmur Mandiri Jaya	*	Indonesia
CID003205	Tin	PT Bangka Serumpun	*	Indonesia
CID001416	Tin	PT Bangka Timah Utama Sejahtera		Indonesia
CID000128	Gold	Central Bank of the Philippines Gold Refinery & Mint	*	Philippines
CID000189	Gold	Cendres + Métaux SA		Switzerland
CID003382	Gold	CGR Metalloys Pvt Ltd.		India
CID000308	Tin	CV Makmur Jaya		Indonesia
CID000969	Gold	Kennecott Utah Copper LLC	*	United States of America
CID002511	Gold	KGHM Polska Miedź Spółka Akcyjna	*	Poland
CID000555	Tin	Gejiu Zili Mining And Metallurgy Co., Ltd.		China
CID003116	Tin	Guangdong Hanhe Non-Ferrous Metal Co., Ltd.	*	China
CID002578	Tungsten	Hunan Chuangda Vanadium Tungsten Co., Ltd. Yanglin		China
CID003408	Tungsten	JSC “Kirovgrad Hard Alloys Plant”		Russian Federation
CID000940	Tungsten	JX Nippon Mining & Metals Co., Ltd.		United States of America
CID000953	Tungsten	Kanto Denka Kogyo Co., Ltd.		Thailand
CID001167	Tungsten	Midwest Tungsten Wire Co.		Indonesia
CID001190	Tungsten	Mitsubishi Materials Corporation		Indonesia
CID003468	Tungsten	Cronimet Brasil Ltda	*	Brazil
CID000320	Tungsten	CWB Materials		Indonesia
CID000434	Tungsten	Electroloy Metal Pte		Indonesia
CID000480	Tungsten	Fort Wayne Wire Die, Inc.		Indonesia
CID003401	Tungsten	Fujian Ganmin RareMetal Co., Ltd.	*	China
CID003208	Tin	Pongpipat Company Limited		Myanmar
CID003409	Tin	Precious Minerals and Smelting Limited		India

Smelter ID	Metal	Smelter Name	Conformant	Smelter Country
CID001393	Tin	PT Alam Lestari Kencana		Indonesia
CID002318	Tungsten	Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.	*	China
CID001889	Tungsten	Tejing (Vietnam) Tungsten Co., Ltd.		Viet Nam
CID002423	Tungsten	Toshiba Material Co., Ltd.		Japan
CID002044	Tungsten	Wolfram Bergbau und Hütten AG	*	Austria
CID002047	Tungsten	WOLFRAM Company CJSC		Russian Federation
CID002830	Tungsten	Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.	*	China
CID003662	Tungsten	YUDU ANSHENG TUNGSTEN CO., LTD.		China
CID002195	Tungsten	Zhangzhou Chuen Bao Apt Smeltery Co., Ltd.		China
CID002236	Tungsten	Zhuzhou Cemented Carbide Group Co., Ltd.		China
CID003185	Gold	African Gold Refinery		Uganda
CID000035	Gold	Allgemeine Gold-und Silberscheideanstalt A.G.	*	Germany
CID002563	Gold	Kaloti Precious Metals		United Arab Emirates
CID000917	Tantalum	Jiujiang Tanbre Co., Ltd.	*	China
CID001175	Tantalum	Mineracao Taboca SA	*	Brazil
CID001192	Tantalum	Mitsui Mining and Smelting Co., Ltd.	*	Japan
CID001277	Tantalum	Ningxia Orient Tantalum Industry Co., Ltd.	*	China
CID001494	Tin	PT Yinchendo Mining Industry		Indonesia
CID001539	Tin	Rui Da Hung	*	Taiwan, Province Of China
CID001565	Tin	Sandvik Material Technology		Malaysia
CID001631	Tin	Shanghai Gold Exchange		Brazil
CID001642	Tin	ShangHai YueQiang Metal Products Co., LTD		China
CID001661	Tin	Shen Mao Solder (M) Sdn. Bhd		China
CID001711	Tin	Shenzhen Yi Cheng Industrial		China
CID001758	Tin	Soft Metais Ltda.		Brazil
CID002436	Tin	Solder Court Ltd.		China

Smelter ID	Metal	Smelter Name	Conformant	Smelter Country
CID002411	Tin	Spectro Alloys Corp.		United States of America
CID002502	Tungsten	Asia Tungsten Products Vietnam Ltd.	*	Viet Nam
CID000109	Tungsten	Atlantic Metals		Indonesia
CID000149	Tungsten	Beijing Zenith Materials		Indonesia
CID000206	Tungsten	Changchun up-optotech		Indonesia
CID002645	Tungsten	Ganzhou Haichuang Tungsten Co., Ltd.	*	China
CID000530	Tungsten	Ganzhou Hongfei Materials Co.		Indonesia
CID002313	Tungsten	Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.		China
CID002315	Tungsten	Ganzhou Jiangwu Ferrotungsten Co., Ltd.	*	China
CID002649	Tungsten	Hydrometallurg, JSC		Russian Federation
CID001326	Gold	OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastvetmet)		Russian Federation
CID001328	Gold	OJSC Kolyma Refinery		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
CID002918	Gold	SungEel HiMetal Co., Ltd.	*	Korea, Republic Of
CID001808	Gold	Suntain Co., Ltd.		Taiwan, Province Of China
CID002314	Gold	Umicore Precious Metals Thailand		Thailand
CID001980	Gold	Umicore SA Business Unit Precious Metals Refining	*	Belgium
CID002492	Tantalum	Hengyang King Xing Lifeng New Materials Co., Ltd.	*	China
CID000077	Gold	Argor-Heraeus SA	*	Switzerland
CID002850	Gold	AU Traders and Refiners		South Africa

Smelter ID	Metal	Smelter Name	Conformant	Smelter Country
CID003461	Gold	Augmont Enterprises Private Limited		India
CID002863	Gold	Bangalore Refinery Pvt Ltd	*	India
CID003583	Tantalum	Yancheng Jinye New Material Technology Co., Ltd.	*	China
CID002307	Tantalum	Yichun Jin Yang Rare Metal Co., Ltd.		China
CID003324	Gold	QG Refining, LLC		United States of America
CID001534	Gold	Royal Canadian Mint	*	Canada
CID000524	Tungsten	Ganzhou Grand Sea W & Mo Group Co., Ltd.		Indonesia
CID002494	Tungsten	Ganzhou Seadragon W & Mo Co., Ltd.	*	China
CID002541	Tungsten	H.C. Starck Tungsten GmbH	*	Germany
CID003978	Tungsten	HANNAE FOR T Co., Ltd.		Korea, Republic Of
CID000712	Tungsten	Heraeus Precious Metals GmbH & Co. KG		Indonesia
CID000730	Tungsten	Hitachi		China
CID000773	Gold	Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd.		China
CID002893	Gold	JALAN & Company		India
CID002765	Gold	Italpreziosi	*	Italy
CID000927	Gold	JSC Ekaterinburg Non-Ferrous Metal Processing Plant		Russian Federation
CID001147	Gold	Metalor Technologies (Suzhou) Ltd.	*	China
CID002857	Gold	Modeltech Sdn Bhd		Malaysia
CID002108	Tin	China Yunnan Tin Co Ltd.		China
CID003154	Tin	Da Nang Processing Import and Export Joint Stock		Viet Nam
CID000340	Tin	Dai-ichi Seiko		Japan
CID000402	Tin	Dowa Metaltech Co., Ltd.	*	Japan
CID003579	Tin	Dragon Silver Holdings Limited		China
CID003831	Tin	DS Myanmar	*	Myanmar
CID003410	Tin	Gejiu City Fuxiang Industry and Trade Co., Ltd.”		China
CID002572	Tin	Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company		Viet Nam
CID001323	Tin	Elemetal Refining, LLC		United States of America

Smelter ID	Metal	Smelter Name	Conformant	Smelter Country
CID000448	Tin	Estanho de Rondônia S.A.	*	Brazil
CID003582	Tin	Fabrica Auricchio Industria e Comercio Ltda.	*	Brazil
CID002576	Tin	Furuuchi Chemical Corporation		Indonesia
CID002580	Gold	T.C.A S.p.A	*	Italy
CID001840	Gold	Tai Perng		Indonesia
CID001857	Gold	TAIWAN TOTAI CO., LTD.		Taiwan, Province Of China
CID002615	Gold	TOO Tau-Ken-Altyn	*	Kazakhstan
CID001938	Gold	Tokuriki Honten Co., Ltd.	*	Japan
CID001947	Gold	Tongling Nonferrous Metals Group Co., Ltd.		China
CID002003	Gold	Valcambi SA	*	Switzerland
CID003617	Gold	Value Trading		Belgium
CID002009	Gold	Viagra Di precious metals (Zhaoyuan) Co., Ltd.		China
CID002023	Gold	WANG TING		China
CID003615	Gold	WEEEREFINING		France
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
CID003356	Tin	Dongguan CiEXPO Environmental Engineering Co., Ltd.		China
CID001191	Tin	PT Babel Surya Alam Lestari	*	Japan
CID002858	Tin	Modeltech Sdn Bhd		Malaysia
CID002573	Tin	Nghe Tinh Non-Ferrous Metals Joint Stock Company		Viet Nam
CID002441	Tin	Nihon Superior Co., Ltd.		China
CID001314	Tin	O.M. Manufacturing (Thailand) Co., Ltd.	*	Thailand
CID002282	Gold	Morris and Watson		New Zealand
CID001204	Gold	Moscow Special Alloys Processing Plant		Russian Federation
CID002290	Gold	SAFINA A.S.	*	Czech Republic
CID002853	Gold	Sai Refinery		India
CID001619	Gold	Shandong Tiancheng Biological Gold Industrial Co., Ltd.		China
CID001736	Gold	Sichuan Tianze Precious Metals Co., Ltd.	*	China
CID002100	Gold	Yamamoto Precision Metals	*	Japan

Smelter ID	Metal	Smelter Name	Conformant	Smelter Country
CID002102	Gold	Yamato Denki Ind. Co., Ltd.		Japan
CID002129	Gold	Yokohama Metal Co., Ltd.	*	Japan
CID002756	Tin	Super Ligas		Brazil
CID001822	Tin	Suzhou Nuonengda Chemical Co., Ltd.		China
CID001845	Tin	Taicang City Nancang Metal Material Co., Ltd.		China
CID001851	Tin	Taiwan high-tech Co., Ltd.		Taiwan, Province Of China
CID001852	Tin	Taiwan Huanliang		Taiwan, Province Of China
CID001859	Tin	Taiwan’s lofty Enterprises Ltd.		Taiwan, Province Of China
CID001873	Tin	Tamura		China
CID001882	Tin	Tennessee Aluminum Processors		United States of America
CID001885	Tin	TCC steel		China
CID001893	Tin	TENNANT METAL PTY LTD.		China
CID002834	Tin	Thai Nguyen Mining and Metallurgy Co., Ltd.	*	Viet Nam
CID001897	Tin	Thailand Mine Factory		Thailand
CID001898	Tin	Thaisarco	*	Thailand
CID001920	Tin	Three green surface technology limited company		China
CID001929	Tin	Tianshui Ling Bo Technology Co., Ltd.		China
CID001182	Tin	Minsur	*	Peru
CID002551	Tungsten	Jiangwu H.C. Starck Tungsten Products Co., Ltd.	*	China
CID002321	Tungsten	Jiangxi Gan Bei Tungsten Co., Ltd.	*	China
CID003407	Tungsten	Lianyou Metals Co., Ltd.	*	Taiwan, Province Of China
CID002319	Tungsten	Malipo Haiyu Tungsten Co., Ltd.	*	China
CID003614	Tungsten	OOO “Technolom” 1		Russian Federation
CID003612	Tungsten	OOO “Technolom” 2		Russian Federation
CID002843	Tungsten	Woltech Korea Co., Ltd.		Korea, Republic Of

Smelter ID	Metal	Smelter Name	Conformant	Smelter Country
CID002827	Tungsten	Philippine Chuangxin Industrial Co., Inc.	*	Philippines
CID002815	Tungsten	South-East Nonferrous Metal Company Limited of Hengyang City		China
CID002724	Tungsten	Unecha Refractory metals plant		Russian Federation
CID002011	Tungsten	Vietnam Youngsun Tungsten Industry Co., Ltd.		Viet Nam
CID002320	Tungsten	Xiamen Tungsten (H.C.) Co., Ltd.	*	China
CID002517	Tin	O.M. Manufacturing Philippines, Inc.	*	Philippines
CID002507	Tin	Phoenix Metal Ltd.		Rwanda
CID001442	Tin	PT Fang Di MulTindo		Indonesia
CID001445	Tin	PT HP Metals Indonesia		Indonesia
CID001466	Tin	PT Seirama Tin Investment		Indonesia
CID002082	Tungsten	Xiamen Tungsten Co., Ltd.	*	China
CID002095	Tungsten	Xinhai Rendan Shaoguan Tungsten Co., Ltd.		China
CID002587	Gold	Tony Goetz NV		Belgium
CID000814	Gold	Istanbul Gold Refinery	*	Turkey
CID001397	Gold	PT Aneka Tambang (Persero) Tbk	*	Indonesia
CID002165	Tin	Yunnan Dian’xi Tin Mine		United States of America
CID002166	Tin	Yunnan Geiju Smelting Corp.		China
CID002173	Tin	Yunnan Industrial Co., Ltd.		China
CID002309	Tin	Yunnan Malipo Baiyi Kuangye Co.		China
CID002516	Gold	Singway Technology Co., Ltd.		Taiwan, Province Of China
CID001754	Gold	So Accurate Group, Inc.		United States of America
CID002557	Tantalum	Global Advanced Metals Boyertown	*	United States of America
CID000807	Gold	Ishifuku Metal Industry Co., Ltd.	*	Japan
CID000929	Gold	JSC Uralelectromed		Russian Federation
CID000957	Gold	Kazzinc	*	Kazakhstan
CID003463	Gold	Kundan Care Products Ltd.		India
CID002779	Gold	Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH	*	Austria
CID001386	Gold	Prioksky Plant of Non-Ferrous Metals		Russian Federation

Smelter ID	Metal	Smelter Name	Conformant	Smelter Country
CID000197	Gold	Yunnan Copper Industry Co., Ltd.		China
CID002491	Gold	Yunnan Gold Mining Group Co., Ltd. (YGMG)		China
CID002201	Gold	Zhaojun Maifu		China
CID002205	Gold	Zhe Jiang Guang Yuan Noble Metal Smelting Factory		China
CID002214	Gold	Zhongkuang Gold Industry Co., Ltd.		China
CID002219	Gold	Zhongshan Hyper-Toxic Substance Monopolized Co., Ltd.		China
CID002221	Gold	Zhongshan Poison Material Proprietary Co., Ltd.		China
CID002224	Gold	Zhongyuan Gold Smelter of Zhongjin Gold Corporation	*	China
CID002231	Gold	Zhuhai toxic materials Monopoly Ltd.		China
CID002529	Gold	Zhuzhou Smelting Group Co., Ltd		China
CID001776	Tantalum	AMG Brasil		Brazil
CID002705	Tantalum	Avon Specialty Metals Ltd		United Kingdom
CID000211	Tantalum	Changsha South Tantalum Niobium Co., Ltd.		China
CID002504	Tantalum	D Block Metals, LLC	*	United States of America
CID002501	Tantalum	Guizhou Zhenhua Xinyun Technology Ltd., Kaili branch		China
CID002547	Tantalum	QSIL Metals Hermsdorf GmbH	*	Germany
CID002232	Tantalum	Zhuzhou Cemented Carbide Group Co., Ltd.		China
CID002703	Tin	An Vinh Joint Stock Mineral Processing Company		Viet Nam
CID002844	Tin	HuiChang Hill Tin Industry Co., Ltd.	*	China
CID003047	Tin	KARAS PLATING LTD		United Kingdom
CID002574	Tin	Tuyen Quang Non-Ferrous Metals Joint Stock Company		Viet Nam
CID001981	Tin	Umicore SA Business Unit Precious Metals Refining		China
CID001984	Tin	UNI BROS METAL PTE LTD		China
CID001986	Tin	UNIFORCE METAL INDUSTRIAL CORP.		United States of America
CID001997	Tin	Univertical International (Suzhou) Co., Ltd		United States of America
CID001998	Tin	Untracore Co., Ltd.		Thailand

Smelter ID	Metal	Smelter Name	Conformant	Smelter Country
CID002015	Tin	VQB Mineral and Trading Group JSC		Viet Nam
CID002027	Tin	WELLEY		Taiwan, Province Of China
CID002158	Tin	Yunnan ride non-ferrous metal co., LTD	*	China
CID000568	Tungsten	GTP	*	United States of America
CID000790	Tin	IMPAG AG		Switzerland
CID000841	Tin	Jiang Jia Wang Technology Co.		China
CID003379	Tin	Ma’anshan Weitai Tin Co., Ltd.	*	China
CID001005	Tin	Malaysia Smelting Corporation (MSC)		China
CID002123	Tin	Yiquan Manufacturing		China
CID002147	Tin	Yuecheng Tin Co., Ltd.		China
CID003325	Tin	Tin Technology & Refining	*	United States of America
CID001943	Tin	TONG LONG		China
CID001946	Tin	Tongding Group		Bolivia
CID001954	Tin	Top-Team Technology (Shenzhen) Ltd.		China
CID001958	Tin	Tosoh		Japan
CID001962	Tin	Triumph Northwest		China
CID002036	Tin	White Solder Metalurgica	*	Brazil
CID002057	Tin	WUJIANG CITY LUXE TIN FACTORY		China
CID002062	Tin	WUXI YUNXI SANYE SOLDER FACTORY		China
CID002070	Tin	Xiamen Golden Egret Special Alloy Co. Ltd.		United States of America
CID002428	Tin	Xiamen Honglu Tungsten Molybdenum Co., Ltd.		China
CID002074	Tin	Xiamen Honglu Tungsten Molybdenum Co., Ltd.		United States of America
CID002513	Tungsten	Hunan Shizhuyuan Nonferrous Metals Co., Ltd. Chenzhou Tungsten Products Branch	*	China
CID000766	Tungsten	Hunan Chenzhou Mining Group Co., Ltd.	*	China
CID002845	Tungsten	Moliren Ltd.		Russian Federation
CID001228	Tungsten	Nanchang Cemented Carbide Limited Liability Company		Indonesia
CID002589	Tungsten	Niagara Refining LLC	*	United States of America

Smelter ID	Metal	Smelter Name	Conformant	Smelter Country
CID001555	Gold	Samduck Precious Metals		Korea, Republic Of
CID001562	Gold	Samwon Metals Corp.		Korea, Republic Of
CID000971	Tungsten	KIHONG T & G		Brazil
CID002659	Tungsten	Tungsten Diversified Industries LLC		United States of America
CID002852	Gold	GGC Gujrat Gold Centre Pvt. Ltd.		India
CID001909	Gold	The Great Wall Gold and Silver Refinery of China		China
CID001157	Gold	Metalor USA Refining Corporation	*	United States of America
CID001193	Gold	Mitsui Mining and Smelting Co., Ltd.	*	Japan
CID002773	Tin	Metallo-Chimique N.V.	*	Belgium
CID002774	Tin	Metallo Spain S.L.U.	*	Spain
CID001453	Tin	PT Mitra Stania Prima	*	Indonesia
CID003449	Tin	PT Mitra Sukses Globalindo	*	Indonesia
CID0001460	Tin	PT Refined Bangka Tin		Indonesia
CID002476	Tin	PT Singkep Times Utama		Indonesia
CID001459	Tin	PT Stanindo Inti Perkasa		Indonesia
CID001891	Tantalum	Telex Metals	*	United States of America
CID002571	Tantalum	Tranzact, Inc.		United States of America
CID001742	Tin	Sincemat Co, Ltd.		China
CID001908	Tin	YunNan Gejiu Yunxin Electrolyze Limited		China
CID000981	Gold	Kojima Chemicals Co., Ltd.	*	Japan
CID000988	Gold	Korea Metal Co., Ltd.		Korea, Republic Of
CID002605	Gold	Korea Zinc Co., Ltd.	*	Korea, Republic Of
CID001932	Tin	TIN PLATING GEJIU		China
CID001029	Gold	Kyrgyzaltyn JSC		Kyrgyzstan
CID002865	Gold	Kyshtym Copper-Electrolytic Plant ZAO		Russian Federation
CID001056	Gold	Lingbao Gold Company Limited		China
CID002762	Gold	L’Orfebre S.A.	*	Andorra
CID001078	Gold	LS-NIKKO Copper Inc.	*	Korea, Republic Of
CID002509	Gold	MMTC-PAMP India Pvt., Ltd.	*	India
CID001188	Gold	Mitsubishi Materials Corporation	*	Japan
CID001460	Tin	PT Refined Bangka Tin	*	Indonesia

Smelter ID	Metal	Smelter Name	Conformant	Smelter Country
CID003190	Tin	Chifeng Dajingzi Tin Industry Co., Ltd.	*	China
CID002772	Tin	CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda		Indonesia
CID003486	Tin	CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda	*	BRAZIL
CID000004	Tungsten	A.L.M.T. Corp.	*	JAPAN
CID000058	Gold	AngloGold Ashanti Corrego do Sitio Mineracao	*	BRAZIL
CID000082	Gold	Asahi Pretec Corp.	*	JAPAN
CID000767	Gold	Hunan Chenzhou Mining Co., Ltd.		CHINA
CID003663	Gold	Dongwu Gold Group		CHINA
CID002760	Gold	Albino Mountinho Lda.		PORTUGAL
CID003500	Gold	Alexy Metals		UNITED STATES OF AMERICA
CID003490	Gold	Emerald Jewel Industry India Limited (Unit 4)		INDIA
CID000425	Gold	Eco-System Recycling Co., Ltd. East Plant	*	JAPAN
CID003487	Gold	Emerald Jewel Industry India Limited (Unit 1)		INDIA
CID003488	Gold	Emerald Jewel Industry India Limited (Unit 2)		INDIA
CID003489	Gold	Emerald Jewel Industry India Limited (Unit 3)		INDIA
CID003421	Gold	C.I Metales Procesados Industriales SAS		COLOMBIA
CID002525	Gold	Shandong Humon Smelting Co., Ltd.		CHINA
CID002920	Gold	ABC Refinery Pty Ltd.		AUSTRALIA
CID003641	Gold	Gold by Gold Colombia	*	COLOMBIA
CID003548	Gold	MD Overseas		INDIA
CID001512	Gold	Rand Refinery (Pty) Ltd.	*	SOUTH AFRICA
CID001362	Gold	Penglai Penggang Gold Industry Co., Ltd.		CHINA
CID001163	Tantalum	Metallurgical Products India Pvt., Ltd.	*	INDIA
CID001325	Gold	Ohura Precious Metal Industry Co., Ltd.	*	JAPAN
CID001546	Gold	Sabin Metal Corp.		UNITED STATES OF AMERICA
CID002777	Gold	SAXONIA Edelmetalle GmbH		GERMANY
CID003540	Gold	Sellem Industries Ltd.		MAURITANIA

Smelter ID	Metal	Smelter Name	Conformant	Smelter Country
CID003427	Tungsten	Albasteel Industria e Comercio de Ligas Para Fundicao Ltd.		BRAZIL
CID003553	Tungsten	Artek LLC		RUSSIAN FEDERATION
CID000538	Tin	Gejiu Non-Ferrous Metal Processing Co., Ltd.	*	CHINA
CID001402	Tin	PT Babel Inti Perkasa	*	INDONESIA
CID001406	Tin	PT Babel Surya Alam Lestari	*	INDONESIA
CID001428	Tin	PT Bukit Timah	*	INDONESIA
CID000825	Tungsten	Japan New Metals Co., Ltd.	*	JAPAN
CID000966	Tungsten	Kennametal Fallon	*	UNITED STATES OF AMERICA
CID000309	Tin	PT Aries Kencana Sejahtera	*	INDONESIA
CID002816	Tin	PT Sukses Inti Makmur	*	INDONESIA
CID002478	Tin	PT Tirus Putra Mandiri		INDONESIA
CID001493	Tin	PT Tommy Utama	*	INDONESIA
CID003417	Tungsten	Jingmen Dewei GEM Tungsten Resources Recycling Co., Ltd.	*	CHINA
CID002562	Gold	International Precious Metal Refiners		UNITED ARAB EMIRATES
CID000920	Gold	Asahi Refining USA Inc.	*	UNITED STATES OF AMERICA
CID001070	Tin	China Tin Group Co., Ltd.	*	CHINA
CID002455	Tin	CV Venus Inti Perkasa	*	INDONESIA
CID001305	Tin	Novosibirsk Processing Plant Ltd.		RUSSIAN FEDERATION
CID003643	Tungsten	LLC Vostok		RUSSIAN FEDERATION
CID003416	Tungsten	NPP Tyazhmetprom LLC		RUSSIAN FEDERATION
CID001421	Tin	PT Belitung Industri Sejahtera		INDONESIA
CID002696	Tin	PT Cipta Persada Mulia	*	INDONESIA
CID001457	Tin	PT Panca Mega Persada		INDONESIA
CID003868	Tin	PT Putera Sarana Shakti (PT PSS)	*	INDONESIA
CID001486	Tin	PT Timah Nusantara		INDONESIA
CID001490	Tin	PT Tinindo Inter Nusa		INDONESIA
CID003380	Tin	PT Masbro Alam Stania		INDONESIA
CID003497	Gold	K.A. Rasmussen		NORWAY
CID003926	Tantalum	5D Production OU		ESTONIA
CID003387	Tin	Luna Smelter, Ltd.	*	RWANDA
CID002468	Tin	Magnu’s Minerais Metais e Ligas Ltda.	*	BRAZIL

Smelter ID	Metal	Smelter Name	Conformant	Smelter Country
CID000522	Gold	Refinery of Seemine Gold Co., Ltd.		CHINA
CID003529	Gold	Sancus ZFS (L’Orfebre, SA)	*	COLOMBIA
CID002750	Gold	Shenzhen CuiLu Gold Co., Ltd.		CHINA
CID002527	Gold	Shenzhen Zhonghenglong Real Industry Co., Ltd.		CHINA
CID000456	Tantalum	Exotech Inc.		UNITED STATES OF AMERICA
CID001152	Gold	Metalor Technologies (Singapore) Pte., Ltd.	*	SINGAPORE
CID002835	Tin	PT Menara Cipta Mulia	*	INDONESIA
CID003381	Tin	PT Rajawali Rimba Perkasa	*	INDONESIA
CID001463	Tin	PT Sariwiguna Binasentosa	*	INDONESIA
CID001468	Tin	PT Stanindo Inti Perkasa	*	INDONESIA
CID003524	Tin	CRM Synergies	*	SPAIN
CID001058	Gold	Lingbao Jinyuan Tonghui Refinery Co., Ltd.		CHINA
CID003575	Gold	Metal Concentrators SA (Pty) Ltd.	*	SOUTH AFRICA
CID003557	Gold	Metallix Refining Inc.		UNITED STATES OF AMERICA
CID002316	Tungsten	Jiangxi Yaosheng Tungsten Co., Ltd.	*	CHINA
CID000041	Gold	Almalyk Mining and Metallurgical Complex (AMMC)	*	UZBEKISTAN
CID000103	Gold	Atasay Kuyumculuk Sanayi Ve Ticaret A.S.		TURKEY
CID000180	Gold	Caridad		MEXICO
CID000264	Gold	Chugai Mining	*	JAPAN
CID000359	Gold	DSC (Do Sung Corporation)	*	KOREA, REPUBLIC OF
CID000401	Gold	Dowa	*	JAPAN
CID003186	Gold	Gold Coast Refinery		GHANA
CID000694	Gold	Heimerle + Meule GmbH	*	GERMANY
CID000711	Gold	Heraeus Germany GmbH Co. KG	*	GERMANY
CID000707	Gold	Heraeus Metals Hong Kong Ltd.	*	CHINA
CID000778	Gold	HwaSeong CJ CO., LTD.		KOREA, REPUBLIC OF
CID000823	Gold	Japan Mint	*	JAPAN
CID000855	Gold	Jiangxi Copper Co., Ltd.	*	CHINA
CID000924	Gold	Asahi Refining Canada Ltd.	*	CANADA
CID000493	Gold	JSC Novosibirsk Refinery		RUSSIAN FEDERATION
CID001032	Gold	L’azurde Company For Jewelry		SAUDI ARABIA
CID001875	Gold	Tanaka Kikinzoku Kogyo K.K.	*	JAPAN

Smelter ID	Metal	Smelter Name	Conformant	Smelter Country
CID001149	Gold	Metalor Technologies (Hong Kong) Ltd.	*	CHINA
CID001153	Gold	Metalor Technologies S.A.	*	SWITZERLAND
CID001161	Gold	Metalurgica Met-Mex Penoles S.A. De C.V.	*	MEXICO
CID000937	Gold	JX Nippon Mining & Metals Co., Ltd.	*	JAPAN
CID000801	Gold	Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.	*	CHINA
CID001622	Gold	Shandong Zhaojin Gold & Silver Refinery Co., Ltd.	*	CHINA
CID001756	Gold	SOE Shyolkovsky Factory of Secondary Precious Metals		RUSSIAN FEDERATION
CID002030	Gold	Western Australian Mint (T/a The Perth Mint)	*	AUSTRALIA
CID000185	Gold	CCR Refinery - Glencore Canada Corporation	*	CANADA
CID002243	Gold	Gold Refinery of Zijin Mining Group Co., Ltd.	*	CHINA
CID001200	Tantalum	NPM Silmet AS	*	ESTONIA
CID002544	Tantalum	TANIOBIS Co., Ltd.	*	THAILAND
CID002545	Tantalum	TANIOBIS GmbH	*	GERMANY
CID002549	Tantalum	TANIOBIS Japan Co., Ltd.	*	JAPAN
CID000616	Tantalum	XIMEI RESOURCES (GUANGDONG) LIMITED	*	CHINA
CID001522	Tantalum	Yanling Jincheng Tantalum & Niobium Co., Ltd.	*	CHINA
CID001458	Tin	PT Prima Timah Utama	*	INDONESIA
CID000438	Tin	EM Vinto	*	BOLIVIA (PLURINATIONAL STATE OF)
CID000468	Tin	Fenix Metals	*	POLAND
CID001231	Tin	Jiangxi New Nanshan Technology Ltd.	*	CHINA
CID000942	Tin	Gejiu Kai Meng Industry and Trade LLC		CHINA
CID001105	Tin	Malaysia Smelting Corporation (MSC)	*	MALAYSIA
CID001173	Tin	Mineracao Taboca S.A.	*	BRAZIL
CID001337	Tin	Operaciones Metalurgicas S.A.	*	BOLIVIA (PLURINATIONAL STATE OF)

Smelter ID	Metal	Smelter Name	Conformant	Smelter Country
CID001477	Tin	PT Timah Tbk Kundur	*	INDONESIA
CID000228	Tin	Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.	*	CHINA
CID000875	Tungsten	Ganzhou Huaxing Tungsten Products Co., Ltd.	*	CHINA
CID002317	Tungsten	Jiangxi Xinsheng Tungsten Industry Co., Ltd.	*	CHINA
CID002543	Tungsten	Masan High-Tech Materials	*	VIET NAM
CID002542	Tungsten	TANIOBIS Smelting GmbH & Co. KG	*	GERMANY
CID000218	Tungsten	Guangdong Xianglu Tungsten Co., Ltd.	*	CHINA
CID000258	Tungsten	Chongyi Zhangyuan Tungsten Co., Ltd.	*	CHINA
CID002899	Gold	Al Ghaith Gold		United Arab Emirates
CID003088	Tantalum	AMG Mining Mibra Mine		Brazil
CID002825	Tin	An Thai Minerals Co., Ltd.		Viet Nam
CID000059	Tantalum	Anhui Herrman Impex Co.		China
CID002809	Tin	Arco Alloys		United States of America
CID002596	Gold	ARY Aurum Plus		United Arab Emirates
CID000092	Tantalum	Asaka Riken Co., Ltd.		Japan
CID002851	Gold	AURA-II		United States of America
CID003013	Tin	AURA-II		United States of America
CID002716	Gold	Austin powder		United States of America
CID000141	Gold	Bauer Walser AG		Germany
CID002644	Tungsten	BESEEM MINING CO., LTD.		China
CID000169	Tin	Brinkmann Chemie AG		Germany
CID000190	Gold	Central Bank of the DPR of Korea		Korea, Republic Of
CID000208	Gold	Changsanjiao Elc.		China
CID000213	Gold	Changzhou Chemical Research Institute Co. Ltd.		China
CID000236	Gold	China Gold Deal Investment Co., Ltd.		China

Smelter ID	Metal	Smelter Name	Conformant	Smelter Country
CID000239	Tungsten	China Minmetals Non-ferrous Metals Holding Co., Ltd.		China
CID002864	Tungsten	China National Non Ferrous		China
CID002786	Tin	Chofu Works		Japan
CID000278	Tin	CNMC (Guangxi) PGMA Co., Ltd.		China
CID000284	Gold	Codelco		Chile
CID000288	Gold	Colt Refining		United States of America
CID000296	Gold	Cooperativa Metalurgica de Rondonia Ltda.		Brazil
CID000295	Tin	Cooperativa Metalurgica de Rondônia Ltda.		Brazil
CID003448	Tungsten	CP Metals Inc.		United States of America
CID003402	Tantalum	CP Metals Inc.		United States of America
CID002570	Tin	CV Ayi Jaya	*	Indonesia
CID002592	Tin	CV Dua Sekawan		Indonesia
CID000304	Tin	CV Duta Putra Bangka		Indonesia
CID000306	Tin	CV Gita Pesona		Indonesia
CID000307	Tin	CV JusTindo		Indonesia
CID000315	Tin	CV United Smelting		Indonesia
CID000328	Gold	Daejin Indus Co., Ltd.		Korea, Republic Of
CID000333	Gold	DaeryongENC		Korea, Republic Of
CID002349	Tungsten	Daido Steel		Japan
CID002518	Tungsten	Dayu Jincheng Tungsten Industry Co., Ltd.		China
CID000345	Tungsten	Dayu Weiliang Tungsten Co., Ltd.		China
CID000617	Tin	DONG GUAN SHI XI DA HAN XI PRODUCT CO., LTD		China
CID000376	Tin	Dongguan City Xida Soldering Tin Products Co.		China
CID004060	Tungsten	DONGKUK INDUSTRIES CO., LTD.		Korea, Republic Of
CID000413	Tungsten	Duoluoshan		China
CID000410	Tantalum	Duoluoshan		China
CID002590	Tantalum	E.S.R. Electronics		United States of America

Smelter ID	Metal	Smelter Name	Conformant	Smelter Country
CID001322	Gold	Elemetal Refining, LLC		United States of America
CID000466	Tin	Feinhütte Halsbrücke GmbH		Germany
CID000465	Gold	Feinhütte Halsbrücke GmbH		Germany
CID000498	Tin	Fuji Metal Mining Corp.		Japan
CID000499	Tungsten	Fujian Jinxin Tungsten Co., Ltd.		China
CID000520	Tantalum	Gannon & Scott		United States of America
CID000523	Gold	Gansu-based Baiyin Nonferrous Metals Corporation (BNMC)/Baiyin Nonferrous Metals Corporation		China
CID002531	Tungsten	Ganxian Shirui New Material Co., Ltd.		China
CID000868	Tungsten	Ganzhou Non-ferrous Metals Smelting Co., Ltd.		China
CID002536	Tungsten	Ganzhou Yatai Tungsten Co., Ltd.		China
CID002848	Tin	Gejiu Fengming Metallurgy Chemical Plant		China
CID002859	Tin	Gejiu Jinye Mineral Company		China
CID000553	Tin	Gejiu Yunxi Group Corp.		China
CID000564	Tantalum	Global Advanced Metals		United States of America
CID000572	Tin	Gold Bell Group		China
CID000605	Gold	Guangdong Hua Jian Trade Co., Ltd.		China
CID000611	Gold	GUANGDONG JINXIAN GAOXIN CAI LIAO GONG SI		China
CID000291	Tantalum	Guangdong Rising Rare Metals-EO Materials Ltd.		China
CID002274	Tin	Guangxi Hua Tin Gold Minute Fee, Ltd.		China
CID000626	Tin	Guangxi Nonferrous Metals Group		China
CID000628	Tin	Guangxi Zhongshan Jin Yi Smelting Co., Ltd.		China
CID002849	Tin	Guanyang Guida Nonferrous Metal Smelting Plant		China
CID002546	Tantalum	H.C. Starck GmbH Laufenburg		Germany
CID000654	Tantalum	H.C. Starck Group		Germany
CID000670	Gold	Hang Seng Technology		China

Smelter ID	Metal	Smelter Name	Conformant	Smelter Country
CID000683	Tungsten	HC Starck GmbH		Germany
CID002519	Gold	Henan Yuguang Gold & Lead Co., Ltd.		China
CID000718	Gold	Hetai Gold Mineral Guangdong Co., Ltd.		China
CID000720	Tin	Hezhou Jinwei Tin Co., Ltd.		China
CID000731	Tantalum	Hi-Temp Specialty Metals, Inc.		United States of America
CID002635	Tin	Hongqiao Metals (Kunshan) Co., Ltd.		China
CID002739	Gold	Hop Hing Electroplating Factory Zhejiang		China
CID000760	Tin	Huichang Jinshunda Tin Co., Ltd.		China
CID002365	Tin	Hulterworth Smelter		China
CID002579	Tungsten	Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji		China
CID002904	Gold	Hung Cheong Metal Manufacturing Limited		China
CID000840	Tin	Jiang Jia Wang Technology Co.		China
CID000244	Tin	Jiangxi Ketai Advanced Material Co., Ltd.		China
CID002648	Tungsten	Jiangxi Rare Earth & Rare Metals Tungsten Group Corp		China
CID002493	Tungsten	Jiangxi Richsea New Materials Co., Ltd.		China
CID002647	Tungsten	Jiangxi Xianglu Tungsten Co., Ltd.		China
CID002535	Tungsten	Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.		China
CID002819	Tin	Jiangxi Yaosheng Tungsten Co., Ltd.		China
CID000884	Gold	Jin Jinyin Refining Co., Ltd.		China
CID000909	Gold	Jinlong Copper Co., Ltd.		China
CID003191	Tantalum	Jiujiang Janny New Material Co., Ltd.		China
CID000934	Tin	Ju Tai Industrial Co., Ltd.		China
CID002568	Tantalum	KEMET Blue Powder		United States of America
CID000963	Tantalum	KEMET Corp.		United States of America
CID000973	Tantalum	King-Tan Tantalum Industry Ltd.		China
CID000991	Gold	Kosak Seiren		Japan
CID000992	Tin	Kovohute Pribram nastupnicka, a. s.		Czech Republic

Smelter ID	Metal	Smelter Name	Conformant	Smelter Country
CID002281	Tin	Lian Jing		China
CID001063	Tin	Linwu Xianggui Smelter Co		China
CID002382	Tin	M/s ECO Tropical Resources		Singapore
CID001098	Tin	Ma An Shan Shu Guang Smelter Corp.		China
CID001112	Tin	Materials Eco-Refining Co., Ltd.		Japan
CID003024	Tin	Medeko cast, s.r.o.		Slovakia
CID002652	Tungsten	Mehra Ferro-Alloys Pvt. Ltd.		India
CID002847	Tantalum	Meta Materials		NORTH MACEDONIA, REPUBLIC OF
CID001136	Tin	Metahub Industries Sdn. Bhd.		Malaysia
CID001143	Tin	Metallo-Chimique N.V.		Belgium
CID001172	Tin	Minchali Metal Industry Co., Ltd.		Taiwan, Province Of China
CID001177	Tin	Ming Li Jia Smelt Metal Factory		China
CID001179	Tin	Minmetals Ganzhou Tin Co. Ltd.		China
CID002866	Gold	Morris and Watson Gold Coast		Australia
CID002386	Tantalum	Nantong Tongjie Electrical Co., Ltd.		China
CID001234	Tin	Nathan Trotter & Co., Inc.		United States of America
CID001246	Tin	Ney Metals and Alloys		United States of America
CID002285	Gold	Nohon Material Corporation		Japan
CID001313	Gold	Nyrstar Metals		United States of America
CID001332	Tin	Old City Metals Processing Co., Ltd.		China
CID003395	Tin	Omodeo A. E S. Metalleghe SRL		Italy
CID001356	Tin	Pan Light Corporation		Taiwan, Province Of China
CID001368	Tantalum	Plansee SE		Austria
CID002540	Tantalum	Plansee SE Liezen		Austria
CID002556	Tantalum	Plansee SE Reutte		Austria
CID003396	Tantalum	PM Kalco Inc		United States of America
CID002532	Tungsten	Pobedit, JSC		Russian Federation

Smelter ID	Metal	Smelter Name	Conformant	Smelter Country
CID002581	Gold	Precious Metals Sales Corp.		United States of America
CID001404	Tantalum	PT Babel Inti Perkasa		Indonesia
CID001409	Tin	PT Bangka Kudai Tin		Indonesia
CID002776	Tin	PT Bangka Prima Tin	*	Indonesia
CID001412	Tin	PT Bangka Putra Karya		Indonesia
CID001434	Tin	PT DS Jaya Abadi		Indonesia
CID001438	Tin	PT Eunindo Usaha Mandiri		Indonesia
CID002530	Tin	PT Inti Stania Prima		Indonesia
CID001448	Tin	PT Karimun Mining		Indonesia
CID002829	Tin	PT Kijang Jaya Mandiri		Indonesia
CID001449	Tin	PT Koba Tin		Indonesia
CID002870	Tin	PT Lautan Harmonis Sejahtera		Indonesia
CID001456	Tin	PT Natari		Indonesia
CID002757	Tin	PT O.M. Indonesia		Indonesia
CID000313	Tin	PT Premium Tin Indonesia	*	Indonesia
CID002593	Tin	PT Rajehan Ariq	*	Indonesia
CID001419	Tin	PT Refined Bangka Tin		Indonesia
CID001471	Tin	PT Sumber Jaya Indah		Indonesia
CID002479	Tin	PT Wahana Perkit Jaya		Indonesia
CID001515	Gold	Realized the Enterprise Co., Ltd.		China
CID002510	Gold	Republic Metals Corporation		United States of America
CID002914	Gold	Rio Tinto Group		Australia
CID002538	Tungsten	Sanher Tungsten Vietnam Co., Ltd.		Viet Nam
CID001567	Gold	Sanmenxia Hengsheng science and technology, research and development Co., LTD		China
CID001573	Gold	Schone Edelmetaal B.V.		Netherlands
CID001604	Gold	Shan Dong Huangjin		China
CID001606	Tin	Shan Tou Shi Yong Yuan Jin Shu Zai Sheng Co., Ltd.		China
CID001605	Gold	Shan Tou Shi Yong Yuan Jin Shu Zai Sheng Co., Ltd.		China
CID001607	Gold	Shandon Jin Jinyin Refining Limited		China
CID001612	Gold	Shandong Hengbang Smelter Co., Ltd.		China
CID001616	Gold	Shandong Penglai Gold Smelter		China
CID002614	Gold	Shandong Yanggu Xiangguang Co., Ltd.		China

Smelter ID	Metal	Smelter Name	Conformant	Smelter Country
CID001634	Tantalum	Shanghai Jiangxi Metals Co., Ltd.		China
CID001692	Gold	Shenzhen Heng Zhong Industry Co., Ltd.		China
CID001694	Tin	Shenzhen Hong Chang Metal Manufacturing Factory		China
CID001731	Tin	Sichuan Guanghan Jiangnan Casting Smelters		China
CID002408	Tin	Sigma Tin Alloy Co., Ltd.		China
CID001745	Gold	Sino-Platinum Metals Co., Ltd.		China
CID001748	Tin	Sizer Metals PTE Ltd		Singapore
CID001783	Gold	Standard Bank		Hong Kong
CID001826	Gold	Suzhou Xingrui Noble		China
CID001839	Tungsten	TaeguTec Ltd.		Korea, Republic Of
CID001879	Tantalum	Tantalite Resources		South Africa
CID002042	Tin	Westmetall GmbH & Co.KG		Germany
CID002554	Tungsten	XTC,XTC Haicang,XTC H.C.		China
CID000484	Tin	Yan Nan Xi Ye Electrical Limited		China
CID000948	Gold	Yantai Zhaojin Lifu Precious Metals 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, CZECH REPUBLIC, ESTONIA, FRANCE, GERMANY, GHANA, HONG KONG, INDIA, INDONESIA, ITALY, JAPAN, KAZAKHSTAN, REPUBLIC OF KOREA, KYRGYZSTAN, LITHUANIA, MALAYSIA, MAURITANIA, MEXICO, MYANMAR, NETHERLANDS, NEW ZEALAND, NORTH MACEDONIA, NORWAY, PERU, PHILIPPINES, POLAND, PORTUGAL, RUSSIAN FEDERATION, RWANDA, SAUDI ARABIA, SINGAPORE, SLOVAKIA, SOUTH AFRICA, SPAIN, SUDAN, SWEDEN, SWITZERLAND, TAIWAN, PROVINCE OF CHINA, THAILAND, TURKEY, UGANDA, UNITED ARAB EMIRATES, UNITED KINGDOM, UNITED STATES OF AMERICA, UZBEKISTAN, VIET NAM, ZAMBIA, ZIMBABWE.