EX-1.01 2 exhibit_1-01.htm EXHIBIT 1.01
Exhibit 1.01



SolarEdge Technologies, Inc.

Conflict Minerals Report
For the calendar year ended December 31, 2023
 
1. Introduction
 
SolarEdge Technologies, Inc., together with its wholly-owned subsidiaries (“SolarEdge” or the “Company,” “we,” “our” or “us”), has prepared this Conflict Minerals Report pursuant to Rule 13p-1 under the Securities Exchange Act of 1934 and the requirements of Form SD (collectively, the “Rule”).

We are a leading provider of an optimized inverter solution that changed the way power is harvested and managed in photovoltaic (also known as PV) systems. Our direct current or DC, optimized inverter system maximizes power generation while lowering the cost of energy produced by the PV system, for improved return on investment, or RoI. Additional benefits of the DC optimized inverter system include comprehensive and advanced safety features, improved design flexibility, and improved operating and maintenance, or O&M, with module-level and remote monitoring. The typical SolarEdge optimized inverter system consists of inverters, power optimizers, a communication device which enables access to a cloud-based monitoring platform and in many cases, additional smart energy management solutions. Our solutions address a broad range of solar market segments, from residential solar installations to commercial and small utility scale solar installations.

Since introducing the optimized inverter solution in 2010, SolarEdge has expanded its activity to other areas of smart energy technology, both through organic growth and through acquisitions. By leveraging world-class engineering capabilities and with a relentless focus on innovation, SolarEdge now offers energy solutions which include not only residential, commercial, and large-scale PV systems but also product offerings in the areas of residential batteries, energy storage systems, or ESS, and backup, electric vehicle, or EV components and charging capabilities, home energy management, grid services and virtual power plants and lithium-ion batteries.

We were founded in 2006 and began commercial shipments in 2010. As of December 31, 2023, we have shipped in the aggregate approximately 125.1 million power optimizers, and 5.6 million inverters. Over 3.7 million installations, many of which may include multiple inverters, are currently connected to, and monitored through, our cloud-based monitoring platform. Our products have been installed in solar PV systems in 140 countries.

2. Overview; Applicability of Conflict Minerals Rule to SolarEdge

SolarEdge has performed an internal assessment and determined that certain Conflict Minerals are necessary to the functionality or production of our products. Accordingly, for the purposes of this assessment, all of the products that were in production in the calendar year 2023 were considered (the “Covered Products”).

SolarEdge is several levels removed from the mining of minerals (Conflict Minerals or otherwise). We also do not make purchases of raw ore or unrefined minerals and make no purchases in the Democratic Republic of Congo (“DRC”) or an adjoining country (together, the “Covered Countries”). SolarEdge therefore has limited influence over the sourcing of the necessary Conflict Minerals in the products that it manufactures or contracts to manufacture (we sometimes refer herein to these products that contain necessary Conflict Minerals as “in-scope products”). In addition, due to its position in the supply chain, SolarEdge depends upon its suppliers for information concerning the origin of the Conflict Minerals contained in its in-scope products. However, through the efforts described in this Conflict Minerals Report, SolarEdge seeks to ensure that its suppliers source responsibly. Minerals including tantalum, tin, tungsten and gold (“3TG”) are classified as “Conflict Minerals” and are necessary to the functionality or production of certain products that we manufacture or contract to manufacture. As such, we are subject to the Rule with respect to those necessary Conflict Minerals. The Rule requires us to conduct in good faith a reasonable country of origin inquiry (“RCOI”) into those necessary Conflict Minerals to determine whether they originated in the Covered Countries or are from recycled or scrap sources. If, as a result of our RCOI procedures, we know that any of our necessary Conflict Minerals originated in a covered country and are not from recycled or scrap materials, or if we have reason to believe that our necessary Conflict Minerals may have originated in a covered country and have reason to believe that they may not be from recycled or scrap sources, then we are required to exercise due diligence to determine the source and chain of custody of such Conflict Minerals to conclude if they are DRC conflict-free or not.


3. Description of Product Identification and RCOI Processes
 
We have concluded that, during the 2023 calendar year, we have manufactured and contracted to manufacture products containing certain Conflict Minerals that were necessary to the functionality or production of such products. As such, we conducted an RCOI process to determine whether any of the Conflict Minerals originated, or may have originated, in the Covered Countries and whether such Conflict Minerals originated from recycled or scrap sources.

We conducted an assessment to determine which of our direct suppliers may be providing components of our products that are likely to contain Conflict Minerals. We employed a collaborative process to identify the applicable list of components and suppliers to focus our efforts, consulting with members of our supply chain department including suppliers, senior management and other individuals familiar with the manufacturing and component sourcing processes. We verified with such personnel that the population of components and suppliers was complete and comprehensive for our 2023 products. We then identified the list of suppliers that we directly procured materials from (“tier one” or “direct” suppliers) to survey. This list includes suppliers that supplied components to our third-party equipment manufacturers on our behalf and those suppliers from whom we purchased components directly, all between January 1, 2023 and December 31, 2023.

We used a Conflict Minerals Reporting Template (the “CMRT” or the “Template”), which was developed by the Responsible Minerals Initiative (RMI) (formerly the Conflict-Free Sourcing Initiative) to facilitate disclosure and communication of information regarding smelters that provide material to a company’s supply chain. Our RCOI consisted of surveying tier one suppliers confirmed to have supplied products or components to us that contain Conflict Minerals that are used to manufacture our products.

SolarEdge identified 726 suppliers (the “Suppliers”) that provided components for products manufactured during the calendar year 2023. Of those Suppliers, SolarEdge’s outreach was to all suppliers that provided components, parts or products that SolarEdge determined contained or potentially contained necessary Conflict Minerals. In connection with its scoping determination, SolarEdge reviewed product specifications, supply chain records and bills of material, made internal engineering and supplier inquiries, commissioned Assent Compliance (“Assent”), an independent third-party consultant, and made use of other information known to it regarding the materials composition of its products. Suppliers providing submissions that include smelters of high risk are instructed to undertake an independent risk mitigation. Examples include a submission of a product level CMRT to better identify the connection to products that they supply to SolarEdge. Suppliers are given clear performance objectives and reasonable timeframes with the goal of eliminating smelters of concern from the supply chain. In addition, suppliers are guided to educational resources on mitigating risk identified through the CMRT collection process.

SolarEdge is a part of an industry-wide outreach initiative targeting smelters and refiners who have not participated in an industry recognized responsible minerals audit/assessment program. Through this initiative, which is operated by our responsible sourcing vendor, Assent, along with over 100 downstream (by several tiers) customers, and encourage to participate in a recognized program, in order to assure their responsible conduct.

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4. Reasonable Country of Origin Inquiry (RCOI)

As required by the Rule, SolarEdge conducted a “reasonable country of origin inquiry” with respect to calendar year 2023. Our outreach included 726 suppliers that provided components, parts or products that SolarEdge determined contained or potentially contained necessary Conflict Minerals incorporated into products manufactured by us. In connection with this examination, SolarEdge reviewed product specifications, supply chain records and bills of material, made internal engineering and supplier inquiries and utilized other information known to us regarding the materials composition of our products.

In order to identify the source of those components, parts and products, SolarEdge sent letters to its suppliers, informing them of the Rule and SolarEdge's policy on Conflict Minerals, asking them to comply with the Rule. We also requested that suppliers upload completed CMRTs versions 6.22, 6.3 and 6.31 directly to ACM, a software-as-a-service (SaaS) platform provided by Assent that enables users to complete and track supplier communications, for validation, assessment and management. The goal of data validation is to increase the accuracy of submissions and identify any contradictory answers in the CMRT. The results of data validation contribute to the program’s health assessment and are shared with the suppliers to ensure they understand areas that require further clarifications or improvement. Training and education to guide suppliers on best practices and use of the CMRT template was included. Since some suppliers may remain unresponsive to feedback, we track program gaps to account for future improvement opportunities. We also enabled suppliers to contact SolarEdge directly and provide a CMRT report using versions 6.22, 6.3 and 6.31. We used these methods to query and transmit sourcing information along the supply chain. The CMRT includes questions regarding a company’s conflict-free policy, engagement with its direct suppliers, and a listing of the smelters the company and its suppliers use. The total number of Suppliers who delivered satisfactory CMRT was 352.

We compared the smelters and refiners identified in the surveys against the lists of facilities which have received a conflict free designation by the Responsible Minerals Assurance Process (“RMAP”), a program of RMI, or other independent third-party audit program. We rely on the RMAP as an independent third-party audit solution through which mineral sources are identified and independently evaluated. We do not have a direct relationship with smelters and refiners, and do not perform direct audits of these entities within the supply chain.

When suppliers provided us with chain surveys containing incomplete or potentially inaccurate information, we followed up with such suppliers to seek additional clarifying information. Unresponsive suppliers were contacted on a regular basis both by automatic emails, manual outreach, and in certain nonresponsive cases, through telephone.

For 2023, SolarEdge identified 369 smelters and refiners that processed or may have processed the necessary Conflict Minerals contained in our in-scope products, as described in the Smelter and Refiner list attached as Annex A as well as in the Country-of-Origin Information attached as Annex B.

Pursuant to the Conflict Minerals Rule, based on the results of its reasonable country of origin inquiry, SolarEdge was required to conduct due diligence for 2023. Because we were unable to identify the source of all products in our supply chain, our reasonable country of origin inquiry utilized the same processes and procedures as our due diligence. These processes and procedures are described below.

5. Due Diligence
 
Design of Due Diligence
 
SolarEdge utilizes due diligence measures relating to Conflict Minerals that are intended to conform with, in all material respects, the criteria set forth in the Organization for Economic Co-operation and Development’s Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, including the Supplement on Tin, Tantalum and Tungsten and the Supplement on Gold (Third Edition 2016) (the “OECD Guidance”). The OECD Guidance has established a five-step framework for due diligence as a basis for responsible global supply chain management of minerals from conflict-affected and high-risk areas. Our Conflict Minerals due diligence process includes: a Conflict Minerals Policy, a governance charter with cross-functional internal compliance team, from our legal, purchasing, environmental health, safety departments, and senior executives. This internal compliance team is responsible for working with our third party auditors, communicating with suppliers, undertaking the due diligence compliance process and measurement, record-keeping and escalation procedures. We report to the Audit Committee and the Board of Directors with respect to our due diligence process and compliance obligations. Selected elements of our program design are discussed below.

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Due Diligence Performed
 
Step 1: Establish Strong Company Management Systems
 
In 2021 we published our supplier code of conduct ("SCoC"), which includes provisions regarding, among others, ethics, safety, environmental protection, human rights, and fair employment. As of April 2024, over 230 active key suppliers have signed their acknowledgment of the SCoC terms. SolarEdge has also adopted a Conflict Mineral Policy which provides further clarification to the principles of the SCoC Code of Conduct and SolarEdge's human rights approach regarding illegal trade of natural resources.

SolarEdge's Code of Conduct defines the company's overall principles and commitment towards legal compliance, ethical conduct, human rights, anti-corruption work and environmental protection. These high expectations extend to SolarEdge's partners, subcontractors and suppliers, whom we encourage to strive beyond merely fulfilling legal compliance. SolarEdge has adopted a Conflict Mineral Policy which provides further clarification to the principles of the Code of Conduct and SolarEdge's human rights approach regarding illegal trade of natural resources.

As part of our policy, SolarEdge is committed to respect human rights and the environment in accordance with accepted international conventions and practices, and we strive to ensure that all materials used in our products come from socially and environmentally responsible sources.

We communicate our policy to our suppliers, and it is available at http://media.corporate-ir.net/media_files/IROL/25/253935/SolarEdge_CM%20Policy_comments_%20v7%20clean.pdf (the “Conflict Minerals Policy”). In addition, in support of our compliance efforts, we have established a steering committee for enforcement of this Conflict Minerals Policy. The steering committee team consists of senior staff under SolarEdge’s legal department, supply chain management group and core technologies. The team members have been made aware of the Conflict Minerals Rule, the OECD Guidance, SolarEdge’s Conflict Minerals Policy and governance charter and have established SolarEdge’s procedures for reviewing and validating supplier responses to its inquiries.

The SolarEdge Conflict Minerals Policy includes a grievance mechanism whereby employees and suppliers can report suspected violations of the policy.

SolarEdge also utilizes an independent third-party consultant to advise it on certain aspects of its compliance, as well as a third-party software provider as a basis to enhance the supplier data collection process and help minimize responsible sourcing risks.
The following steps have also been adopted:

 
1.
Implementing a system of controls and transparency over the mineral supply chain through the use of the CMRT.

2.
Maintaining records relating to our Conflict Minerals program for 5 years. We store all of the information and findings in a database that can be audited by internal or external parties.

3.
Implementing standard contract language requiring suppliers to agree to timely respond and conduct an appropriate due diligence inquiry following any request by SolarEdge for information on any goods delivered containing Conflict Minerals, as defined under the Rule.
 
Step 2. Identify and Assess Risks in the Supply Chain
 
To assist us with our supply chain due diligence, we engaged an independent third-party consultant for conducting outreach to our Suppliers and archiving responses from Suppliers. We conducted a supply chain survey requesting direct suppliers to identify smelters and refiners and country of origin, through use of the Template.

We, in conjunction with our independent third-party consultant, reviewed our entire known component and outsourced manufacturing supply chain for the calendar year 2023, which consisted of approximately 814 suppliers. Our outreach included 726 Suppliers that provided components, parts or products that were determined by SolarEdge to contain or potentially contain necessary Conflict Minerals and that were incorporated into products manufactured by us. The responses were reviewed against criteria developed internally and, where necessary, we reached out for further engagement and to receive additional information from our suppliers. These criteria included untimely or incomplete responses, as well as inconsistencies within the data reported in the Template. We worked directly with these suppliers to receive revised responses.

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We compared the RMI validated smelter list against those smelters identified by our suppliers and, as described in our Conflict Minerals Policy, SolarEdge does not purchase Conflict Minerals directly from mines, smelters or refiners. Tracing minerals to their sources is a challenge that requires us to rely on our suppliers in our efforts to achieve supply chain transparency, including for obtaining information regarding the origin of the Conflict Minerals.

Risk mitigation activities are initiated whenever a supplier’s CMRT reports a facility of concern. Suppliers with submissions that included any smelters of concern were immediately provided with feedback instructing the supplier to take their own independent risk mitigation activities. Examples include a submission of a product level CMRT to better identify the connection to products that they supply to SolarEdge. Suppliers are given clear performance objectives and within reasonable timeframes with the ultimate goal of elimination of smelters of concern from the supply chain. In addition, suppliers are guided to the educational resources on mitigating the risk identified through the CMRT collection process.

Step 3. Design and Implement a Strategy to Respond to Identified Risks
 
We work with a significant number of suppliers and they are diverse in terms of size. Based on our research from publicly available data, 64 of our 371 Suppliers that replied, (or 17.2%), are also SEC registrants and subject to the Rule. After SolarEdge receives CMRT responses from Suppliers, it reviews the responses. SolarEdge follows up with Suppliers whose CMRT appears to be incomplete or contain errors or inaccuracies, requesting that the Supplier submit a revised response. For illustration purposes, the following are some of the steps that SolarEdge takes in this process: 1) verifying smelters according to RMI smelters list; 2) validating questions in the CMRT file and ensuring that the answers are logical and reasonable, and 3) verifying and cross checking between the smelter location and the RMI smelter approved list. Any smelter’s location in the DRC which is not RMI approved is flagged for further review.

If a completed CMRT indicates a smelter or refiner, SolarEdge reviews this information against the Standard Smelter Names tab of the CMRT and the lists of “compliant” and “active” smelters and refiners published by the RMI. If an indicated smelter or refiner is not listed on the Standard Smelter Names tab or the Commerce Department List, or listed as compliant by the RMI, SolarEdge requests the assistance of the supplier or contacts the listed entity to attempt to determine whether that entity is actually a smelter or refiner, the mine or location of origin of the Conflict Minerals processed by the smelter or refiner and whether it is known to obtain Conflict Minerals from sources that directly or indirectly finance or benefit armed groups in any of the Covered Countries.

As part of our risk assessment, SolarEdge identified three potential smelters in the supply chains of SolarEdge suppliers as high-risk during the 2023 survey and due diligence process because of a lack of audit validation and/or otherwise considered high risk. This determination was based upon information gathered from the CMRT and the RMI database, analysis by Assent, and independent research. We contacted each supplier that reported smelters deemed as high-risk to gather additional information on which of their suppliers reported these smelters and whether those suppliers were providing material for products sold to SolarEdge, and we were unable to confirm that these smelters were in our product supply chain.
 
SolarEdge monitors smelter and refiner validation progress by the RMI or other cross-recognized smelter and refiner responsible sourcing audit programs. If suppliers or smelter and refiners fail to meet SolarEdge’s standards, we communicate the need to improve, in accordance with the framework of progressive improvement under the OECD Guidance. Any concerns with supplier responses throughout the data collection process are brought to the attention of Solar Edge’s internal compliance team for further review and action.

In alignment with OECD Guidance, SolarEdge shares the names of smelter and refiners provided to us that have not been validated to the RMI for validation and audit. To help determine the reasonable country of origin for the 3TG in our supply chain, we continue to monitor and rely upon the RMI’s progress in identifying and validating smelter and refiners.

SolarEdge reports back to senior management, summarizing our risk mitigation efforts.
 
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Step 4. Independent Third-Party Audit of Smelter/Refiner’s Due Diligence Practices
 
SolarEdge does not have a direct relationship with 3TG smelters and refiners. As a result, SolarEdge does not perform direct audits of these entities within its supply chain, but rather relies on due diligence performed by organizations such as the Responsible Minerals Assurance Process (“RMAP”).  Our independent third-party service provider, Assent, also directly contacted smelters and refiners that are not currently enrolled in the RMAP to encourage their participation and gather information regarding each facilities’ sourcing practices on behalf of its compliance partners. SolarEdge is a signatory of this communication in accordance with the requirements of downstream companies detailed in the OECD Guidance.
 
Step 5. Report Annually on Supply Chain Due Diligence
 
SolarEdge files a Form SD and, to the extent required, a Conflict Minerals Report, with the Securities and Exchange Commission and makes these filings publicly available on the Company’s corporate website at https://investors.solaredge.com/search?query=conflict+minerals&op=Search

6. Results of Assessment

Based on the information obtained through the due diligence process described above, we do not have sufficient information to determine the products containing Conflict Minerals and/or the country of origin of the Conflict Minerals in those products and/or the facilities used to process Conflict Minerals in those products.

Tracing minerals back to the mine of origin is a complex aspect of responsible sourcing in our supply chain. By adopting methodology outlined by the RMI’s joint industry programs and outreach initiatives and requiring that our Suppliers conform with standards that meet the OECD guidelines and report to us using the Template, we have determined that seeking information about 3TG smelters and refiners in our supply chain represents the most reasonable effort we can make to determine the mines or location of origin of the 3TG in our supply chain and responses to such inquiries represent the most reasonable source information available. Through this joint industry effort, we have made reasonable efforts to make a reasonable determination of the mines or locations of origin of the 3TG in our supply chain. We were unable, however, to ascertain the specific country of origin and/or chain of custody of all necessary Conflict Minerals processed by the facilities that contributed to our Covered Products.

SolarEdge approached 726 suppliers and 364 suppliers (or 50.1% responded). Out of these:

Number of suppliers who provided data at a company level: 279 (76.6%)
Number of suppliers who provided data at a product level: 63 (17.3%)
Number of suppliers which provided data according to a custom-made description: 22 (6.0%)
Number of suppliers which were classified as “Free no 3TG”: 115 (31.5%)
Number of suppliers which were classified as “Non-DRC 3TGs”: 114 (31.2%)
Number of suppliers which were classified as “DRC conflict free” (from DRC, all SORs are certified): 84 (23.0%)
Number of suppliers which were classified as “DRC Conflict Undeterminable”": 52 (14.2%)

A smelter and refiner list attached as Annex A and corresponding country of origin information is attached as Annex B.

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Smelters and refiners verified as conflict-free or in the audit process (232):

 
Conformant & Active
Total
Tin
70 (79.5%)
88
Tantalum
34 (94.4%)
36
Tungsten
35 (66.0%)
53
Gold
93 (53.4%)
174
Total
232 (66.1%)
351

Status of identified smelters and refiners:
 
RMI Audit Status
Amount
Percentage
Active
8
2.2%
Communication Suspended - Not Interested
7
1.9%
Conformant
232
64.1%
In Communication
1
0.3%
Non-Conformant
30
8.3%
Outreach Required
62
17.1%
RMI Due Diligence Review - Unable to Proceed
22
6.1%
Total
362
100.0%

7. Improvement to Mitigate Risks
 
As we further develop our due diligence program, we intend to enhance supplier communication and escalation processes to improve due diligence data accuracy and completion and continue to influence additional smelters to be designated as “conflict-free”, where possible. To the extent we are not able to determine in the future that we are sourcing from non-conflict-free smelters, we plan to move toward using conflict-free smelters within a reasonable time frame. We also intend to request of any of our suppliers, that we have reason to believe are supplying us with 3TG from sources that may support conflict in the Covered Countries that they establish an alternative source of 3TG that does not support such conflict, as provided in the OECD guidance.
 
We understand that supply chain due diligence is a dynamic process and requires on-going risk monitoring. Therefore, after implementing our risk mitigation strategy, SolarEdge intends to go back to Step 2 of the OECD guidelines to ensure effective management of risks.

 Cautionary Note on Forward-Looking Statements

This Report contains forward-looking statements within the meaning of Section 21E of the Securities Exchange Act of 1934, as amended, and other federal securities laws. Investors are cautioned that statements in this Report that are not strictly historical statements, including without limitation, SolarEdge’s intentions, expectations, and future results regarding further supplier engagement, and risk mitigation efforts and strategy, constitute forward-looking statements that involve risks and uncertainties. Actual results could differ materially from the forward-looking statements. Risks and uncertainties that could cause actual results to differ include, without limitation, risks and uncertainties associated with the progress of industry and other supply chain transparency, and smelter or refiner validation programs for Conflict Minerals (including the possibility of inaccurate information, fraud and other irregularities), inadequate supplier education and knowledge, limitations on the ability or willingness of suppliers to provide more accurate, complete, and detailed information, and limitations on SolarEdge’s ability to verify the accuracy or completeness of any information received from Suppliers or others.
 
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Annex A1
 
Smelter Name
RMI Smelter Id
Metal
Smelter Facility  Location (Country)
Audit Status
A.L.M.T. Corp.
CID000004
Tungsten
Japan
Conformant
Advanced Chemical Company
CID000015
Gold
United States Of America
Active
Aida Chemical Industries Co., Ltd.
CID000019
Gold
Japan
Conformant
Agosi AG
CID000035
Gold
Germany
Conformant
Almalyk Mining and Metallurgical Complex (AMMC)
CID000041
Gold
Uzbekistan
Conformant
AngloGold Ashanti Corrego do Sitio Mineracao
CID000058
Gold
Brazil
Conformant
Argor-Heraeus S.A.
CID000077
Gold
Switzerland
Conformant
Asahi Pretec Corp.
CID000082
Gold
Japan
Conformant
Asaka Riken Co., Ltd.
CID000090
Gold
Japan
Conformant
Atasay Kuyumculuk Sanayi Ve Ticaret A.S.
CID000103
Gold
Turkey
Outreach Required
Kennametal Huntsville
CID000105
Tungsten
United States Of America
Conformant
Aurubis AG
CID000113
Gold
Germany
Conformant
Bangko Sentral ng Pilipinas (Central Bank of the Philippines)
CID000128
Gold
Philippines
Conformant
Boliden AB
CID000157
Gold
Sweden
Conformant
C. Hafner GmbH + Co. KG
CID000176
Gold
Germany
Conformant
Caridad
CID000180
Gold
Mexico
Outreach Required
CCR Refinery - Glencore Canada Corporation
CID000185
Gold
Canada
Conformant
Cendres + Metaux S.A.
CID000189
Gold
Switzerland
Non Conformant
Yunnan Copper Industry Co., Ltd.
CID000197
Gold
China
Outreach Required
Guangdong Xianglu Tungsten Co., Ltd.
CID000218
Tungsten
China
Conformant
Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.
CID000228
Tin
China
Conformant
Chimet S.p.A.
CID000233
Gold
Italy
Conformant


1 Certain of our suppliers reported the presence of the following SORs in their supply chains: African Gold Refinery, which was sanctioned by the United States Department of Treasury, Office of Foreign Assets Control (“OFAC”) on March 17, 2022, JSC Uralelectromed, which was sanctioned by OFAC on July 20, 2023, and OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet), which was sanctioned in the United Kingdom on November 8, 2023.  Because of the over-reporting nature of the industry CMRT information collection process, and the nature of our supply chains, we are unable to confirm whether these, or any, specific SORs are or were active in our supply chains.  Our policy is to comply with all applicable sanctions laws, and we do not have any direct transactions or contractual relationships, nor are we, to the best of our knowledge, engaging in indirect transactions, with these entities.

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Chongyi Zhangyuan Tungsten Co., Ltd.
CID000258
Tungsten
China
Conformant
Chugai Mining
CID000264
Gold
Japan
Conformant
CNMC (Guangxi) PGMA Co., Ltd.
CID000281
Tungsten
China
Outreach Required
Guangdong Rising Rare Metals-EO Materials Ltd.
CID000291
Tantalum
China
Conformant
Alpha
CID000292
Tin
United States Of America
Conformant
PT Aries Kencana Sejahtera
CID000309
Tin
Indonesia
Conformant
PT Premium Tin Indonesia
CID000313
Tin
Indonesia
Conformant
Daye Non-Ferrous Metals Mining Ltd.
CID000343
Gold
China
Outreach Required
DSC (Do Sung Corporation)
CID000359
Gold
Korea, Republic Of
Conformant
Dowa
CID000401
Gold
Japan
Conformant
Dowa
CID000402
Tin
Japan
Conformant
Eco-System Recycling Co., Ltd. East Plant
CID000425
Gold
Japan
Conformant
EM Vinto
CID000438
Tin
Bolivia (Plurinational State Of)
Conformant
Estanho de Rondonia S.A.
CID000448
Tin
Brazil
Conformant
F&X Electro-Materials Ltd.
CID000460
Tantalum
China
Conformant
Fenix Metals
CID000468
Tin
Poland
Conformant
JSC Novosibirsk Refinery
CID000493
Gold
Russian Federation
RMI Due Diligence Review - Unable to Proceed
Refinery of Seemine Gold Co., Ltd.
CID000522
Gold
China
Outreach Required
Gejiu Non-Ferrous Metal Processing Co., Ltd.
CID000538
Tin
China
Conformant
Gejiu Zili Mining And Metallurgy Co., Ltd.
CID000555
Tin
China
Non Conformant
Global Tungsten & Powders LLC
CID000568
Tungsten
United States Of America
Conformant
XIMEI RESOURCES (GUANGDONG) LIMITED
CID000616
Tantalum
China
Conformant
Guoda Safina High-Tech Environmental Refinery Co., Ltd.
CID000651
Gold
China
Outreach Required
Hangzhou Fuchunjiang Smelting Co., Ltd.
CID000671
Gold
China
Outreach Required
LT Metal Ltd.
CID000689
Gold
Korea, Republic Of
Conformant
Heimerle + Meule GmbH
CID000694
Gold
Germany
Conformant
Heraeus Metals Hong Kong Ltd.
CID000707
Gold
China
Conformant
Heraeus Germany GmbH Co. KG
CID000711
Gold
Germany
Conformant
Hunan Chenzhou Mining Co., Ltd.
CID000766
Tungsten
China
Conformant
Hunan Chenzhou Mining Co., Ltd.
CID000767
Gold
China
Outreach Required
Hunan Jintai New Material Co., Ltd.
CID000769
Tungsten
China
Non Conformant

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Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd.
CID000773
Gold
China
Outreach Required
HwaSeong CJ CO., LTD.
CID000778
Gold
Korea, Republic Of
Communication Suspended - Not Interested
Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.
CID000801
Gold
China
Conformant
Ishifuku Metal Industry Co., Ltd.
CID000807
Gold
Japan
Conformant
Istanbul Gold Refinery
CID000814
Gold
Turkey
Conformant
Japan Mint
CID000823
Gold
Japan
Conformant
Japan New Metals Co., Ltd.
CID000825
Tungsten
Japan
Conformant
Jiangxi Copper Co., Ltd.
CID000855
Gold
China
Conformant
JiuJiang JinXin Nonferrous Metals Co., Ltd.
CID000914
Tantalum
China
Conformant
Jiujiang Tanbre Co., Ltd.
CID000917
Tantalum
China
Conformant
Asahi Refining USA Inc.
CID000920
Gold
United States Of America
Conformant
Asahi Refining Canada Ltd.
CID000924
Gold
Canada
Conformant
JSC Ekaterinburg Non-Ferrous Metal Processing Plant
CID000927
Gold
Russian Federation
RMI Due Diligence Review - Unable to Proceed
JSC Uralelectromed
CID000929
Gold
Russian Federation
RMI Due Diligence Review - Unable to Proceed
JX Nippon Mining & Metals Co., Ltd.
CID000937
Gold
Japan
Conformant
Gejiu Kai Meng Industry and Trade LLC
CID000942
Tin
China
Non Conformant
Kazakhmys Smelting LLC
CID000956
Gold
Kazakhstan
Outreach Required
Kazzinc
CID000957
Gold
Kazakhstan
Conformant
Kennametal Fallon
CID000966
Tungsten
United States Of America
Conformant
Kennecott Utah Copper LLC
CID000969
Gold
United States Of America
Conformant
Kojima Chemicals Co., Ltd.
CID000981
Gold
Japan
Conformant
Kyrgyzaltyn JSC
CID001029
Gold
Kyrgyzstan
Non Conformant
L'azurde Company For Jewelry
CID001032
Gold
Saudi Arabia
RMI Due Diligence Review - Unable to Proceed
Lingbao Gold Co., Ltd.
CID001056
Gold
China
Outreach Required
Lingbao Jinyuan Tonghui Refinery Co., Ltd.
CID001058
Gold
China
Outreach Required
China Tin Group Co., Ltd.
CID001070
Tin
China
Conformant
AMG Brasil
CID001076
Tantalum
Brazil
Conformant
LS-NIKKO Copper Inc.
CID001078
Gold
Korea, Republic Of
Conformant
Luoyang Zijin Yinhui Gold Refinery Co., Ltd.
CID001093
Gold
China
Outreach Required

10

Malaysia Smelting Corporation (MSC)
CID001105
Tin
Malaysia
Conformant
Materion
CID001113
Gold
United States Of America
Conformant
Matsuda Sangyo Co., Ltd.
CID001119
Gold
Japan
Conformant
Metallic Resources, Inc.
CID001142
Tin
United States Of America
Conformant
Metalor Technologies (Suzhou) Ltd.
CID001147
Gold
China
Conformant
Metalor Technologies (Hong Kong) Ltd.
CID001149
Gold
China
Conformant
Metalor Technologies (Singapore) Pte., Ltd.
CID001152
Gold
Singapore
Conformant
Metalor Technologies S.A.
CID001153
Gold
Switzerland
Conformant
Metalor USA Refining Corporation
CID001157
Gold
United States Of America
Conformant
Metalurgica Met-Mex Penoles S.A. De C.V.
CID001161
Gold
Mexico
Conformant
Metallurgical Products India Pvt., Ltd.
CID001163
Tantalum
India
Conformant
Mineracao Taboca S.A.
CID001173
Tin
Brazil
Conformant
Mineracao Taboca S.A.
CID001175
Tantalum
Brazil
Conformant
Minsur
CID001182
Tin
Peru
Conformant
Mitsubishi Materials Corporation
CID001188
Gold
Japan
Conformant
Mitsubishi Materials Corporation
CID001191
Tin
Japan
Conformant
Mitsui Mining and Smelting Co., Ltd.
CID001192
Tantalum
Japan
Conformant
Mitsui Mining and Smelting Co., Ltd.
CID001193
Gold
Japan
Conformant
NPM Silmet AS
CID001200
Tantalum
Estonia
Conformant
Moscow Special Alloys Processing Plant
CID001204
Gold
Russian Federation
RMI Due Diligence Review - Unable to Proceed
Nadir Metal Rafineri San. Ve Tic. A.S.
CID001220
Gold
Turkey
Conformant
Jiangxi New Nanshan Technology Ltd.
CID001231
Tin
China
Conformant
Navoi Mining and Metallurgical Combinat
CID001236
Gold
Uzbekistan
Conformant
Nihon Material Co., Ltd.
CID001259
Gold
Japan
Conformant
Ningxia Orient Tantalum Industry Co., Ltd.
CID001277
Tantalum
China
Conformant
Novosibirsk Tin Combine
CID001305
Tin
Russian Federation
RMI Due Diligence Review - Unable to Proceed
O.M. Manufacturing (Thailand) Co., Ltd.
CID001314
Tin
Thailand
Conformant
Ohura Precious Metal Industry Co., Ltd.
CID001325
Gold
Japan
Conformant

11

OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)
CID001326
Gold
Russian Federation
RMI Due Diligence Review - Unable to Proceed
Operaciones Metalurgicas S.A.
CID001337
Tin
Bolivia (Plurinational State Of)
Conformant
MKS PAMP SA
CID001352
Gold
Switzerland
Conformant
Penglai Penggang Gold Industry Co., Ltd.
CID001362
Gold
China
Outreach Required
Prioksky Plant of Non-Ferrous Metals
CID001386
Gold
Russian Federation
RMI Due Diligence Review - Unable to Proceed
PT Aneka Tambang (Persero) Tbk
CID001397
Gold
Indonesia
Conformant
PT Artha Cipta Langgeng
CID001399
Tin
Indonesia
Conformant
PT Babel Inti Perkasa
CID001402
Tin
Indonesia
Conformant
PT Babel Surya Alam Lestari
CID001406
Tin
Indonesia
Conformant
PT Bangka Tin Industry
CID001419
Tin
Indonesia
Active
PT Belitung Industri Sejahtera
CID001421
Tin
Indonesia
Conformant
PT Bukit Timah
CID001428
Tin
Indonesia
Conformant
PT Mitra Stania Prima
CID001453
Tin
Indonesia
Conformant
PT Panca Mega Persada
CID001457
Tin
Indonesia
Outreach Required
PT Prima Timah Utama
CID001458
Tin
Indonesia
Conformant
PT Refined Bangka Tin
CID001460
Tin
Indonesia
Conformant
PT Sariwiguna Binasentosa
CID001463
Tin
Indonesia
Conformant
PT Stanindo Inti Perkasa
CID001468
Tin
Indonesia
Conformant
PT Timah Tbk Kundur
CID001477
Tin
Indonesia
Conformant
PT Timah Tbk Mentok
CID001482
Tin
Indonesia
Conformant
PT Timah Nusantara
CID001486
Tin
Indonesia
Conformant
PT Tinindo Inter Nusa
CID001490
Tin
Indonesia
Conformant
PT Tommy Utama
CID001493
Tin
Indonesia
Conformant
PX Precinox S.A.
CID001498
Gold
Switzerland
Conformant
QuantumClean
CID001508
Tantalum
United States Of America
Conformant
Rand Refinery (Pty) Ltd.
CID001512
Gold
South Africa
Conformant
Yanling Jincheng Tantalum & Niobium Co., Ltd.
CID001522
Tantalum
China
Conformant
Royal Canadian Mint
CID001534
Gold
Canada
Conformant
Rui Da Hung
CID001539
Tin
Taiwan, Province Of China
Conformant
Sabin Metal Corp.
CID001546
Gold
United States Of America
Communication Suspended - Not Interested
Samduck Precious Metals
CID001555
Gold
Korea, Republic Of
Non Conformant

12

Samwon Metals Corp.
CID001562
Gold
Korea, Republic Of
Communication Suspended - Not Interested
SEMPSA Joyeria Plateria S.A.
CID001585
Gold
Spain
Conformant
Shandong Tiancheng Biological Gold Industrial Co., Ltd.
CID001619
Gold
China
Outreach Required
Shandong Zhaojin Gold & Silver Refinery Co., Ltd.
CID001622
Gold
China
Conformant
Sichuan Tianze Precious Metals Co., Ltd.
CID001736
Gold
China
Conformant
SOE Shyolkovsky Factory of Secondary Precious Metals
CID001756
Gold
Russian Federation
RMI Due Diligence Review - Unable to Proceed
Solar Applied Materials Technology Corp.
CID001761
Gold
Taiwan, Province Of China
Conformant
Solikamsk Magnesium Works OAO
CID001769
Tantalum
Russian Federation
RMI Due Diligence Review - Unable to Proceed
Sumitomo Metal Mining Co., Ltd.
CID001798
Gold
Japan
Conformant
Super Dragon Technology Co., Ltd.
CID001810
Gold
Taiwan, Province Of China
Outreach Required
Taki Chemical Co., Ltd.
CID001869
Tantalum
Japan
Conformant
Tanaka Kikinzoku Kogyo K.K.
CID001875
Gold
Japan
Conformant
Telex Metals
CID001891
Tantalum
United States Of America
Conformant
Thaisarco
CID001898
Tin
Thailand
Conformant
Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.
CID001908
Tin
China
Non Conformant
Great Wall Precious Metals Co., Ltd. of CBPM
CID001909
Gold
China
Outreach Required
Shandong Gold Smelting Co., Ltd.
CID001916
Gold
China
Conformant
Tokuriki Honten Co., Ltd.
CID001938
Gold
Japan
Conformant
Tongling Nonferrous Metals Group Co., Ltd.
CID001947
Gold
China
Outreach Required
Torecom
CID001955
Gold
Korea, Republic Of
Conformant
Ulba Metallurgical Plant JSC
CID001969
Tantalum
Kazakhstan
Conformant
Umicore S.A. Business Unit Precious Metals Refining
CID001980
Gold
Belgium
Conformant
United Precious Metal Refining, Inc.
CID001993
Gold
United States Of America
Conformant
Valcambi S.A.
CID002003
Gold
Switzerland
Conformant
VQB Mineral and Trading Group JSC
CID002015
Tin
Viet Nam
Outreach Required
Western Australian Mint (T/a The Perth Mint)
CID002030
Gold
Australia
Conformant
White Solder Metalurgia e Mineracao Ltda.
CID002036
Tin
Brazil
Conformant
Wolfram Bergbau und Hutten AG
CID002044
Tungsten
Austria
Conformant

13

Xiamen Tungsten Co., Ltd.
CID002082
Tungsten
China
Conformant
Yamakin Co., Ltd.
CID002100
Gold
Japan
Conformant
Yokohama Metal Co., Ltd.
CID002129
Gold
Japan
Conformant
Yunnan Chengfeng Non-ferrous Metals Co., Ltd.
CID002158
Tin
China
Conformant
Tin Smelting Branch of Yunnan Tin Co., Ltd.
CID002180
Tin
China
Conformant
Zhongyuan Gold Smelter of Zhongjin Gold Corporation
CID002224
Gold
China
Conformant
Gold Refinery of Zijin Mining Group Co., Ltd.
CID002243
Gold
China
Conformant
Morris and Watson
CID002282
Gold
New Zealand
Outreach Required
SAFINA A.S.
CID002290
Gold
Czechia
Conformant
Guangdong Jinding Gold Limited
CID002312
Gold
China
Outreach Required
Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.
CID002313
Tungsten
China
Communication Suspended - Not Interested
Umicore Precious Metals Thailand
CID002314
Gold
Thailand
Non Conformant
Ganzhou Jiangwu Ferrotungsten Co., Ltd.
CID002315
Tungsten
China
Conformant
Jiangxi Yaosheng Tungsten Co., Ltd.
CID002316
Tungsten
China
Conformant
Jiangxi Xinsheng Tungsten Industry Co., Ltd.
CID002317
Tungsten
China
Conformant
Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.
CID002318
Tungsten
China
Conformant
Malipo Haiyu Tungsten Co., Ltd.
CID002319
Tungsten
China
Conformant
Xiamen Tungsten (H.C.) Co., Ltd.
CID002320
Tungsten
China
Conformant
Jiangxi Gan Bei Tungsten Co., Ltd.
CID002321
Tungsten
China
Conformant
CV Venus Inti Perkasa
CID002455
Tin
Indonesia
Conformant
Magnu's Minerais Metais e Ligas Ltda.
CID002468
Tin
Brazil
Conformant
PT Tirus Putra Mandiri
CID002478
Tin
Indonesia
Communication Suspended - Not Interested
Hengyang King Xing Lifeng New Materials Co., Ltd.
CID002492
Tantalum
China
Conformant
Ganzhou Seadragon W & Mo Co., Ltd.
CID002494
Tungsten
China
Conformant
Melt Metais e Ligas S.A.
CID002500
Tin
Brazil
Non Conformant
Asia Tungsten Products Vietnam Ltd.
CID002502
Tungsten
Viet Nam
Conformant
PT ATD Makmur Mandiri Jaya
CID002503
Tin
Indonesia
Conformant
D Block Metals, LLC
CID002504
Tantalum
United States Of America
Conformant
FIR Metals & Resource Ltd.
CID002505
Tantalum
China
Conformant

14

Jiujiang Zhongao Tantalum & Niobium Co., Ltd.
CID002506
Tantalum
China
Conformant
XinXing HaoRong Electronic Material Co., Ltd.
CID002508
Tantalum
China
Conformant
MMTC-PAMP India Pvt., Ltd.
CID002509
Gold
India
Conformant
KGHM Polska Miedz Spolka Akcyjna
CID002511
Gold
Poland
Conformant
Jiangxi Dinghai Tantalum & Niobium Co., Ltd.
CID002512
Tantalum
China
Conformant
Hunan Shizhuyuan Nonferrous Metals Co., Ltd. Chenzhou Tungsten Products Branch
CID002513
Tungsten
China
Conformant
Fidelity Printers and Refiners Ltd.
CID002515
Gold
Zimbabwe
RMI Due Diligence Review - Unable to Proceed
Singway Technology Co., Ltd.
CID002516
Gold
Taiwan, Province Of China
Non Conformant
O.M. Manufacturing Philippines, Inc.
CID002517
Tin
Philippines
Conformant
Shandong Humon Smelting Co., Ltd.
CID002525
Gold
China
Outreach Required
Shenzhen Zhonghenglong Real Industry Co., Ltd.
CID002527
Gold
China
Outreach Required
KEMET de Mexico
CID002539
Tantalum
Mexico
Conformant
H.C. Starck Tungsten GmbH
CID002541
Tungsten
Germany
Conformant
TANIOBIS Smelting GmbH & Co. KG
CID002542
Tungsten
Germany
Conformant
Masan High-Tech Materials
CID002543
Tungsten
Viet Nam
Conformant
TANIOBIS Co., Ltd.
CID002544
Tantalum
Thailand
Conformant
TANIOBIS GmbH
CID002545
Tantalum
Germany
Conformant
Materion Newton Inc.
CID002548
Tantalum
United States Of America
Conformant
TANIOBIS Japan Co., Ltd.
CID002549
Tantalum
Japan
Conformant
TANIOBIS Smelting GmbH & Co. KG
CID002550
Tantalum
Germany
Conformant
Jiangwu H.C. Starck Tungsten Products Co., Ltd.
CID002551
Tungsten
China
Conformant
Global Advanced Metals Boyertown
CID002557
Tantalum
United States Of America
Conformant
Global Advanced Metals Aizu
CID002558
Tantalum
Japan
Conformant
Al Etihad Gold Refinery DMCC
CID002560
Gold
United Arab Emirates
Non Conformant
Emirates Gold DMCC
CID002561
Gold
United Arab Emirates
Non Conformant
International Precious Metal Refiners
CID002562
Gold
United Arab Emirates
Outreach Required
Kaloti Precious Metals
CID002563
Gold
United Arab Emirates
RMI Due Diligence Review - Unable to Proceed
Sudan Gold Refinery
CID002567
Gold
Sudan
Outreach Required
CV Ayi Jaya
CID002570
Tin
Indonesia
Conformant

15

Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company
CID002572
Tin
Viet Nam
Non Conformant
Nghe Tinh Non-Ferrous Metals Joint Stock Company
CID002573
Tin
Viet Nam
Outreach Required
Tuyen Quang Non-Ferrous Metals Joint Stock Company
CID002574
Tin
Viet Nam
Outreach Required
T.C.A S.p.A
CID002580
Gold
Italy
Conformant
REMONDIS PMR B.V.
CID002582
Gold
Netherlands
Conformant
Fujairah Gold FZC
CID002584
Gold
United Arab Emirates
Outreach Required
Industrial Refining Company
CID002587
Gold
Belgium
Non Conformant
Shirpur Gold Refinery Ltd.
CID002588
Gold
India
Outreach Required
Niagara Refining LLC
CID002589
Tungsten
United States Of America
Conformant
PT Rajehan Ariq
CID002593
Tin
Indonesia
Conformant
Korea Zinc Co., Ltd.
CID002605
Gold
Korea, Republic Of
Conformant
Marsam Metals
CID002606
Gold
Brazil
Non Conformant
TOO Tau-Ken-Altyn
CID002615
Gold
Kazakhstan
Conformant
China Molybdenum Tungsten Co., Ltd.
CID002641
Tungsten
China
Conformant
Hydrometallurg, JSC
CID002649
Tungsten
Russian Federation
RMI Due Diligence Review - Unable to Proceed
PT Cipta Persada Mulia
CID002696
Tin
Indonesia
Conformant
An Vinh Joint Stock Mineral Processing Company
CID002703
Tin
Viet Nam
Outreach Required
Resind Industria e Comercio Ltda.
CID002706
Tin
Brazil
Conformant
Resind Industria e Comercio Ltda.
CID002707
Tantalum
Brazil
Conformant
Abington Reldan Metals, LLC
CID002708
Gold
United States Of America
Conformant
Unecha Refractory metals plant
CID002724
Tungsten
Russian Federation
Non Conformant
Shenzhen CuiLu Gold Co., Ltd.
CID002750
Gold
China
Outreach Required
Super Ligas
CID002756
Tin
Brazil
Conformant
Albino Mountinho Lda.
CID002760
Gold
Portugal
Outreach Required
SAAMP
CID002761
Gold
France
Non Conformant
L'Orfebre S.A.
CID002762
Gold
Andorra
Conformant
8853 S.p.A.
CID002763
Gold
Italy
Non Conformant
Italpreziosi
CID002765
Gold
Italy
Conformant
Aurubis Beerse
CID002773
Tin
Belgium
Conformant
Aurubis Berango
CID002774
Tin
Spain
Conformant
PT Bangka Prima Tin
CID002776
Tin
Indonesia
Conformant
WIELAND Edelmetalle GmbH
CID002778
Gold
Germany
Conformant

16

Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH
CID002779
Gold
Austria
Conformant
PT Sukses Inti Makmur
CID002816
Tin
Indonesia
Conformant
Philippine Chuangxin Industrial Co., Inc.
CID002827
Tungsten
Philippines
Conformant
ACL Metais Eireli
CID002833
Tungsten
Brazil
Non Conformant
PT Menara Cipta Mulia
CID002835
Tin
Indonesia
Conformant
Jiangxi Tuohong New Raw Material
CID002842
Tantalum
China
Conformant
HuiChang Hill Tin Industry Co., Ltd.
CID002844
Tin
China
Conformant
Moliren Ltd.
CID002845
Tungsten
Russian Federation
RMI Due Diligence Review - Unable to Proceed
AU Traders and Refiners
CID002850
Gold
South Africa
Non Conformant
GGC Gujrat Gold Centre Pvt. Ltd.
CID002852
Gold
India
Non Conformant
Sai Refinery
CID002853
Gold
India
Outreach Required
Modeltech Sdn Bhd
CID002857
Gold
Malaysia
Non Conformant
Modeltech Sdn Bhd
CID002858
Tin
Malaysia
Non Conformant
Bangalore Refinery
CID002863
Gold
India
Active
Kyshtym Copper-Electrolytic Plant ZAO
CID002865
Gold
Russian Federation
RMI Due Diligence Review - Unable to Proceed
Degussa Sonne / Mond Goldhandel GmbH
CID002867
Gold
Germany
Outreach Required
Pease & Curren
CID002872
Gold
United States Of America
Communication Suspended - Not Interested
JALAN & Company
CID002893
Gold
India
Outreach Required
SungEel HiMetal Co., Ltd.
CID002918
Gold
Korea, Republic Of
Conformant
Planta Recuperadora de Metales SpA
CID002919
Gold
Chile
Conformant
ABC Refinery Pty Ltd.
CID002920
Gold
Australia
Outreach Required
Safimet S.p.A
CID002973
Gold
Italy
Non Conformant
Guangdong Hanhe Non-Ferrous Metal Co., Ltd.
CID003116
Tin
China
Conformant
State Research Institute Center for Physical Sciences and Technology
CID003153
Gold
Lithuania
Outreach Required
African Gold Refinery
CID003185
Gold
Uganda
RMI Due Diligence Review - Unable to Proceed
Gold Coast Refinery
CID003186
Gold
Ghana
Outreach Required
NH Recytech Company
CID003189
Gold
Korea, Republic Of
Conformant
Chifeng Dajingzi Tin Industry Co., Ltd.
CID003190
Tin
China
Conformant

17

PT Bangka Serumpun
CID003205
Tin
Indonesia
Conformant
Pongpipat Company Limited
CID003208
Tin
Myanmar
Outreach Required
QG Refining, LLC
CID003324
Gold
United States Of America
Outreach Required
Tin Technology & Refining
CID003325
Tin
United States Of America
Conformant
Dijllah Gold Refinery FZC
CID003348
Gold
United Arab Emirates
Outreach Required
Dongguan CiEXPO Environmental Engineering Co., Ltd.
CID003356
Tin
China
Non Conformant
Ma'anshan Weitai Tin Co., Ltd.
CID003379
Tin
China
Non Conformant
PT Rajawali Rimba Perkasa
CID003381
Tin
Indonesia
Conformant
CGR Metalloys Pvt Ltd.
CID003382
Gold
India
Outreach Required
Sovereign Metals
CID003383
Gold
India
Outreach Required
Luna Smelter, Ltd.
CID003387
Tin
Rwanda
Conformant
Yunnan Yunfan Non-ferrous Metals Co., Ltd.
CID003397
Tin
China
Conformant
Lianyou Metals Co., Ltd.
CID003407
Tungsten
Taiwan, Province Of China
Conformant
JSC "Kirovgrad Hard Alloys Plant"
CID003408
Tungsten
Russian Federation
RMI Due Diligence Review - Unable to Proceed
Precious Minerals and Smelting Limited
CID003409
Tin
India
Active
Gejiu City Fuxiang Industry and Trade Co., Ltd.
CID003410
Tin
China
Outreach Required
NPP Tyazhmetprom LLC
CID003416
Tungsten
Russian Federation
RMI Due Diligence Review - Unable to Proceed
Hubei Green Tungsten Co., Ltd.
CID003417
Tungsten
China
Conformant
Eco-System Recycling Co., Ltd. North Plant
CID003424
Gold
Japan
Conformant
Eco-System Recycling Co., Ltd. West Plant
CID003425
Gold
Japan
Conformant
Albasteel Industria e Comercio de Ligas Para Fundicao Ltd.
CID003427
Tungsten
Brazil
Non Conformant
PT Mitra Sukses Globalindo
CID003449
Tin
Indonesia
Conformant
Augmont Enterprises Private Limited
CID003461
Gold
India
Non Conformant
Kundan Care Products Ltd.
CID003463
Gold
India
Outreach Required
Cronimet Brasil Ltda
CID003468
Tungsten
Brazil
Conformant
CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda
CID003486
Tin
Brazil
Conformant
Emerald Jewel Industry India Limited (Unit 1)
CID003487
Gold
India
Outreach Required
Emerald Jewel Industry India Limited (Unit 2)
CID003488
Gold
India
Outreach Required
Emerald Jewel Industry India Limited (Unit 3)
CID003489
Gold
India
Outreach Required

18

Emerald Jewel Industry India Limited (Unit 4)
CID003490
Gold
India
Outreach Required
K.A. Rasmussen
CID003497
Gold
Norway
Outreach Required
Alexy Metals
CID003500
Gold
United States Of America
Non Conformant
CRM Synergies
CID003524
Tin
Spain
Conformant
MD Overseas
CID003548
Gold
India
Outreach Required
Artek LLC
CID003553
Tungsten
Russian Federation
RMI Due Diligence Review - Unable to Proceed
Metallix Refining Inc.
CID003557
Gold
United States Of America
Outreach Required
Metal Concentrators SA (Pty) Ltd.
CID003575
Gold
South Africa
Conformant
Fabrica Auricchio Industria e Comercio Ltda.
CID003582
Tin
Brazil
Conformant
RFH Yancheng Jinye New Material Technology Co., Ltd.
CID003583
Tantalum
China
Conformant
Fujian Xinlu Tungsten Co., Ltd.
CID003609
Tungsten
China
Conformant
OOO “Technolom” 2
CID003612
Tungsten
Russian Federation
RMI Due Diligence Review - Unable to Proceed
OOO “Technolom” 1
CID003614
Tungsten
Russian Federation
RMI Due Diligence Review - Unable to Proceed
WEEEREFINING
CID003615
Gold
France
Conformant
Gold by Gold Colombia
CID003641
Gold
Colombia
Conformant
LLC Vostok
CID003643
Tungsten
Russian Federation
RMI Due Diligence Review - Unable to Proceed
YUDU ANSHENG TUNGSTEN CO., LTD.
CID003662
Tungsten
China
Outreach Required
Dongwu Gold Group
CID003663
Gold
China
Outreach Required
Sam Precious Metals
CID003666
Gold
United Arab Emirates
Outreach Required
DS Myanmar
CID003831
Tin
Myanmar
Conformant
PT Putera Sarana Shakti (PT PSS)
CID003868
Tin
Indonesia
Conformant
5D Production OU
CID003926
Tantalum
Estonia
Outreach Required
HANNAE FOR T Co., Ltd.
CID003978
Tungsten
Korea, Republic Of
Outreach Required
Tungsten Vietnam Joint Stock Company
CID003993
Tungsten
Viet Nam
Conformant
Coimpa Industrial LTDA
CID004010
Gold
Brazil
Conformant
Nam Viet Cromit Joint Stock Company
CID004034
Tungsten
Viet Nam
Outreach Required
PowerX Ltd.
CID004054
Tantalum
Rwanda
Conformant
DONGKUK INDUSTRIES CO., LTD.
CID004060
Tungsten
Korea, Republic Of
Outreach Required
Mining Minerals Resources SARL
CID004065
Tin
Congo, Democratic Republic Of The
Conformant

19

Lianyou Resources Co., Ltd.
CID004397
Tungsten
Taiwan, Province Of China
Conformant
Shinwon Tungsten (Fujian Shanghang) Co., Ltd.
CID004430
Tungsten
China
Conformant
Malaysia Smelting Corporation Berhad (Port Klang)
CID004434
Tin
Malaysia
In Communication
GG Refinery Ltd.
CID004506
Gold
Tanzania, United Republic Of
Active
Soft Metais Ltda.
CID001758
Tin
Brazil
Conformant
C.I Metales Procesados Industriales SAS
CID003421
Gold
Colombia
Non Conformant
Sellem Industries Ltd.
CID003540
Gold
Mauritania
Communication Suspended - Not Interested
Changsha South Tantalum Niobium Co., Ltd.
CID000211
Tantalum
China
Conformant
Exotech Inc.
CID000456
Tantalum
United States Of America
Outreach Required
Feinhutte Halsbrucke GmbH
CID000466
Tin
Germany
Conformant
Zhuzhou Cemented Carbide Group Co., Ltd.
CID002232
Tantalum
China
Conformant
Plansee SE Reutte
CID002556
Tantalum
Austria
Conformant
Avon Specialty Metals Ltd
CID002704
Tungsten
United Kingdom Of Great Britain And Northern Ireland
Conformant
Jiujiang Janny New Material Co., Ltd.
CID003191
Tantalum
China
Conformant
Ganzhou Sunny Non-Ferrous Metals Co., Ltd.
CID003580
Tungsten
China
Conformant
Kenee Mining Corporation Vietnam
CID004619
Tungsten
Viet Nam
Active
Sanher Tungsten Vietnam Co., Ltd.
CID002538
Tungsten
Viet Nam
Non Conformant
RFH Recycling Metals Co., Ltd.
CID003159
Tantalum
China
Conformant
TRATHO Metal Quimica
CID003474
Tin
Brazil
Conformant
V&D New Materials (Jiangsu) Co., Ltd.
CID003498
Tantalum
China
Conformant
Rian Resources SDN. BHD.
CID003581
Tin
Malaysia
Conformant
XIMEI RESOURCES(GUIZHOU) TECHNOLOGY CO., LTD.
CID003973
Tantalum
China
Conformant
Takehara PVD Materials Plant / PVD Materials Division of MITSUI MINING & SMELTING CO., LTD.
CID004403
Tin
Japan
Active
KP Sanghvi International Airport
CID004433
Gold
India
Active

20

Annex B
 
Countries of Origin
 
Gold mines’ country of origin
Andorra
Australia
Austria
Belgium
Brazil
Canada
Chile
China
Colombia
Czechia
France
Germany
Ghana
India
Indonesia
Italy
Japan
Kazakhstan
Korea, Republic Of
Kyrgyzstan
Lithuania
Malaysia
Mauritania
Mexico
Netherlands
New Zealand
Norway
Philippines
Poland
Portugal
Russian Federation

21

Saudi Arabia
Singapore
South Africa
Spain
Sudan
Sweden
Switzerland
Taiwan, Province Of China
Tanzania, United Republic Of
Thailand
Turkey
Uganda
United Arab Emirates
United States Of America
Uzbekistan
Zambia
Zimbabwe
(blank)

22

Tantalum mines’ country of origin
Austria
Brazil
China
Estonia
Germany
India
Japan
Kazakhstan
Mexico
North Macedonia
Russian Federation
Rwanda
Thailand
United Kingdom Of Great Britain And Northern Ireland
United States Of America
(blank)

23

Tin mines’ country of origin
Belgium
Bolivia (Plurinational State Of)
Brazil
Canada
China
Congo, Democratic Republic Of The
Germany
India
Indonesia
Italy
Japan
Korea, Republic Of
Malaysia
Myanmar
Peru
Philippines
Poland
Russian Federation
Rwanda
Singapore
Spain
Taiwan, Province Of China
Thailand
United Kingdom Of Great Britain And Northern Ireland
United States Of America
Viet Nam
(blank)

24

Tungsten mines’ country of origin
Austria
Brazil
China
Germany
India
Japan
Korea, Republic Of
Philippines
Russian Federation
Taiwan, Province Of China
United Kingdom Of Great Britain And Northern Ireland
United States Of America
Viet Nam
Grand Total

25