EX-1.01 2 formsdexhibit101.htm EX-1.01 Document

Tennant Company

Conflict Minerals Report

For the Year Ended December 31, 2023
Introduction
This report for the year ended December 31, 2023 is presented to comply with Rule 13p-1 under the Securities Exchange Act of 1934, as amended (the “Rule”). The Rule was adopted by the Securities and Exchange Commission (“SEC”) to implement reporting and disclosure requirements related to conflict minerals as directed by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (“Dodd-Frank Act”). The Rule imposes certain reporting obligations on SEC registrants whose manufactured products contain conflict minerals that are necessary to the functionality or production of their products. Conflict minerals are defined as cassiterite, columbite-tantalite, gold, wolframite or their derivatives, which are limited to tin, tantalum and tungsten (together with gold, “3TG”). These requirements apply to registrants whatever the geographic origin of the 3TG and whether they fund armed conflict.
Company Overview
This report has been prepared by management of Tennant Company, a Minnesota corporation (herein referred to as “Tennant,” the “Company,” “we,” “us” or “our”). The information includes the activities of all subsidiaries that are required to be consolidated.
The Company offers products and solutions consisting of manual and mechanized cleaning equipment for both industrial and commercial use, detergent-free and other sustainable cleaning technologies, aftermarket parts and consumables, equipment maintenance and repair services, and business solutions such as financing, rental and leasing programs, and machine-to-machine asset management solutions. The Company is committed to developing cleaning technologies, including autonomous solutions, which increase cleaning productivity. We have strong brand presence in the global markets we serve, offering both premium and mid-tier products for each region to meet customer needs.
The Company's products are used in many types of environments including: factories and warehouses, distribution centers, office buildings, public venues such as arenas and stadiums, office buildings, schools and universities, hospitals and clinics, and more. The Company markets its offerings under the following brands: Tennant®, Nobles®, Alfa Uma Empresa Tennant™, IPC, Gaomei and Rongen brands as well as private label brands. The Company has a portfolio of differentiated technology solutions that includes IRIS® as an asset management solution, ec-H2O NanoClean® as a detergent-free cleaning solution, and ReadySpace® as a rapid-drying carpet cleaning technology. The Company's more than 40,000 customers include contract cleaners to whom organizations outsource facilities maintenance, as well as businesses that perform facilities maintenance themselves. The Company reaches these customers through the industry's largest direct sales and service organization and through a strong and well-supported network of authorized distributors worldwide.
Because of our size, the complexity of our products and the dynamic depth and breadth of our supply chain, it is difficult to identify companies upstream from our direct suppliers. Accordingly, we participate in several industry-wide initiatives, as described below.
In accordance with the Organization for Economic Co-operation and Development (“OECD”) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, Second Edition, and the related Supplements on Tin, Tantalum and Tungsten and on Gold (“OECD Guidance”) and the Rule, this report is available on our website https://investors.tennantco.com/overview/default.aspx under SEC Filings.




Conflict Minerals Policy

Tennant’s Conflict Minerals Policy is located in the Sustainability section of our website https://www.tennantco.com/en_us/about-us/sustainability.html.
Reasonable Country of Origin Inquiry
To determine whether the Company’s products contained 3TG that originated in the Democratic Republic of the Congo or an adjoining country, Tennant retained Assent Inc. (“Assent”), a third-party service provider, to assist us in reviewing the supply chain and identifying risks. The Company provided to Assent a list of potential 3TG suppliers and parts associated with the products covered by the Rule for upload to the Assent Compliance Manager (the “ACM”).  
To trace materials and demonstrate transparency procured by the supply chain, Tennant utilized the Conflict Minerals Reporting Template (“CMRT”) Version 6.31 or higher to conduct a survey of all in-scope suppliers. Assent sent to the Company’s suppliers the CMRT and requested that each supplier upload to its platform a completed copy of the CMRT.
The Company’s program continues to include automated data validation on all submitted CMRTs. The goal of data validation is to increase the accuracy of submissions and identify any contradictory answers in the CMRTs. This data validation is based on questions within the declaration tab of the CMRTs, which helps identify areas that require further classification or risk assessment, as well as understand the due diligence efforts of direct suppliers. The results of this data validation contribute to the program’s health assessment and are shared with the suppliers to ensure they understand areas that require clarification or improvement. Since some suppliers may remain unresponsive to feedback, the Company tracks program gaps to account for future improvement opportunities.  
Through reasonable due diligence practices, Tennant reviewed a broader set of country of origin data to determine country of origin of any 3TG in the supply chain. Based on the responses in the CMRTs, Tennant was able to determine all the possible countries from which 3TG used in its product originated. As such, Tennant was able to perform further due diligence on the source and chain of custody of the 3TG.
Due Diligence
Tennant designed its due diligence measures to conform, in all material respects, with the framework in the OECD Guidance and the related supplements. These measures align with the five steps for due diligence that are described by the OECD Guidance, and the Company continues to evaluate market expectations for data collection and reporting to achieve continuous improvement opportunities. 
Due diligence requires the Company’s necessary reliance on data provided by direct suppliers and third-party audit programs. There is a risk of incomplete or inaccurate data as the process cannot be fully owned by the Company. However, through active risk identification and risk assessment, as well as continued outreach and process validation, risk gaps can be mitigated. This aligns with industry standards and market expectations for downstream companies’ due diligence.
1)Establish Strong Company Management Systems
Internal Compliance Team
Tennant has established a management system for 3TG. Our management system includes an Oversight Committee sponsored by the General Counsel, as well as management-level representatives. This group meets as needed to gauge progress, approve extraordinary spending and to coordinate communication to the Audit Committee of our Board of Directors (as applicable). Additionally, a Core Team consisting of subject matter experts, as required, meets to execute our Conflict Minerals Program. The Core Team is led by the Product Regulatory Department, which is part of the Legal Department.
Control Systems 



The Company expects all suppliers to have policies and procedures in place to ensure that 3TG used in the production of the products sold to Tennant are “conflict free or responsibly sourced.” This means that the products should not contain minerals (3TG) sourced from areas that have been identified to be in the presence of widespread human rights abuses and violations of law either directly or indirectly. The Company expects direct suppliers to provide information on the origin of the 3TG contained in components and materials supplied, including sources of 3TG that is supplied to them from indirect suppliers.
Additionally, we are a member of the Responsible Minerals Initiative (“RMI”) and, as a result, we have up-to-date information and access to developments in industry-wide initiatives.
Supplier Engagement
Tennant has a strong relationship with its direct suppliers. As an extremely important part of the supply chain, Tennant has leveraged processes and educational opportunities in order to ensure non-English speaking suppliers have access to a free platform to upload their CMRTs, help desk support, and other multilingual resources. Tennant's suppliers are able to leverage Assent’s team of supplier support specialists to ensure they receive appropriate support and understand how to properly complete a CMRT. Suppliers are provided guidance in their native language, if needed. 
The Company believes that the combination of the Supplier Code of Conduct, Conflict Minerals Policy, and direct engagement with suppliers for conflict minerals training and support constitute a strong supplier engagement program.
Grievance Mechanisms
We have internal reporting options, and a third-party administered Ethics Hotline whereby employees, suppliers, and other stakeholders can report alleged violations of our policies. Anonymous reporting is available, where allowed by law.
Violations or grievances at the industry level can be reported to RMI directly as well. This can be done at http://www.responsiblemineralsinitiative.org/responsible-minerals-assurance-process/grievance-mechanism/.
Maintain Records 
Tennant has a document retention schedule, and the records generated because of the Conflict Minerals Program will adhere to applicable standards.
2)Identifying & Assessing Risk in the Supply Chain
Supplier Risk Evaluation
Risks associated with direct suppliers’ due diligence processes are assessed by their declaration responses on a CMRT, which the ACM identifies automatically based on established criteria. These risks are addressed by Assent staff and members of the Company’s internal Conflict Minerals Team, who engage with suppliers to gather pertinent data and ask for corrective actions if needed, performing an overall assessment of the supplier’s conformity status, which is referred to as “conflict minerals status.”
Risks at the supplier level may include non-responsive suppliers or incomplete CMRTs. In cases where a company-level CMRT is submitted, Tennant is unable to determine if all the specified smelters/refiners were used for 3TG in the products supplied to the Company. 
The ACM’s supplier risk assessment (flagging suppliers’ risk as high, medium, or low) identifies problematic suppliers in a company’s supply chain. The risk assessment is derived from the smelter/refiner validation process, which establishes risk at the smelter/refiner level via an analysis that considers multiple conflict minerals factors. 
Smelters/Refiners Risk Evaluation



Risks were identified by assessing the due diligence practices and status of smelters/refiners identified in the supply chain by upstream suppliers that listed mineral processing facilities on their CMRT declarations. These lists were compared to the list of smelters/refiners consolidated by the RMI to ensure that the facilities met the recognized definition of a 3TG processing facility that was operational during the 2023 calendar year.
Via the ACM, we determined if the smelter/refiner had been audited against a standard conformant with the OECD Guidance, such as the Responsible Minerals Assurance Process (“RMAP”). Tennant does not have a direct relationship with smelters/refiners and does not perform direct audits of these entities within their pre-supply chain. Smelters/refiners that are conformant to RMAP audit standards are considered to have their sourcing validated as “conflict free or responsibly sourced.” In cases where the smelter/refiner’s due diligence practices have not been audited against the RMAP standard or they are considered non-conformant by RMAP, further due diligence steps are followed to notify suppliers reporting these facilities. Smelters/refiners are actively monitored to proactively identify other risks pertaining to conflict minerals.
Each facility that meets the definition of a smelter or refiner of a 3TG mineral is assessed according to red-flag indicators defined in the OECD Guidance. Numerous factors were used to determine the level of risk that each smelter/refiner poses to the supply chain by identifying red flags. These factors include:
Geographic proximity to Democratic Republic of the Congo or an adjoining country.
Known mineral source country of origin.
RMAP audit status. 
Credible evidence of unethical or conflict sourcing.
Peer assessments conducted by credible third-party sources.
Sanctions risks.

Risk mitigation activities are initiated whenever a supplier’s CMRT reports facilities of concern. Through Assent, suppliers with submissions that included any smelters/refiners of concern were immediately provided with feedback instructing them to take their own independent risk mitigation actions. Examples include the submission of a product-specific CMRT to better identify the connection to products that they supply to Tennant. Suppliers are given clear performance objectives within reasonable timeframes with the goal of progressive elimination of these smelters/refiners of concern from the supply chain.  
In addition, suppliers are guided to the educational materials on mitigating the risks identified through the data collection process.
Suppliers are also evaluated on program strength, which assists in making key risk mitigation decisions as the program progresses. The criteria used to evaluate the strength of the program is based on certain questions in the CMRT related to the suppliers’ conflict minerals practices and policies.
3)Design & Implement A Strategy to Respond to Risks
Together with Assent, Tennant developed processes to assess and respond to the risks identified in the supply chain. Tennant has a risk management plan, through which the Conflict Minerals program is implemented, managed and monitored. As the program progresses, escalations are sent to non-responsive suppliers to outline the importance of a response via CMRTs and to outline the required cooperation for compliance to the conflict minerals rules and Tennant’s expectations.
Feedback on supplier submissions is given directly to suppliers and educational resources are provided to assist suppliers in corrective action methods or to improve their internal programs. Tennant engages suppliers believed to be supplying 3TG from sources that may support conflict in the countries to establish an alternative source of 3TG that does not support such conflict, as provided in the OECD Guidance. Assent also communicates directly with smelters/refiners that have not yet been determined to be conformant with the RMAP in order to request sourcing information and encourage their involvement with the RMI program. Tennant is a signatory of this communication in accordance with the requirements of downstream companies detailed in the OECD Guidance.



4)Carry Out Independent Third-Party Audit of Supply Chain Due Diligence at Identified Points in the Supply Chain
Tennant does not typically have a direct relationship with 3TG smelters/refiners and does not perform or direct audits of these entities within our supply chain. As described above, we participate in, or have direct visibility to the several industry-wide initiatives to disclose upstream companies in the supply chain.
We rely on third-party audits of smelters/refiners conducted as part of the RMAP. The RMAP uses independent private-sector auditors, and audits the source, including the mines of origin, and the chain of custody of the conflict minerals used by smelters/refiners that agree to participate in the program. Through Tennant’s membership with the RMI, smelters/refiners have been encouraged to participate in the RMAP.
5)Report Annually on Supply Chain Due Diligence
We prepared this Conflict Minerals Report as Exhibit 1.01 to our Form SD.
Due Diligence Results
Supply Chain Outreach Results
Supply chain outreach is required to identify the upstream sources of origin of 3TG. Following the industry standard process, CMRTs are sent to and requested from direct suppliers, who are expected to follow this process until the smelter/refiner sources are identified. The following is the result of the outreach conducted by Tennant for the 2023 reporting year.
Upstream Data Transparency
Appendix A includes all smelters/refiners that suppliers listed in completed CMRTs that met the recognized definition of a 3TG processing facility and were operational during the 2023 calendar year. As is a common practice when requests are sent upstream in the supply chain, those who purchase materials from smelters/refiners may not be able to discern exactly which company’s product lines the materials may end up in. As a result, those providing the smelters/refiners have the practice to list all smelters/refiners they may purchase from within the reporting period. Therefore, the smelters/refiners (as sources) listed in Appendix A are likely to be more comprehensive than the list of smelters/refiners which processed the 3TG contained in Tennant’s products.
Suppliers that identified these specific smelters/refiners of concern on their CMRT were contacted in accordance with the OECD Guidance, as stipulated in the previous sections.
StatusNumber of identified smelters/refiners
RMAP Conformant225
RMAP Active9
Not Enrolled91
Non-Conformant25
As part of our review, we noted that certain of our suppliers reported the presence of an entity, African Gold Refinery, that was sanctioned by the United States Department of Treasury, Office of Foreign Assets Control. As noted above, because the list of smelters/refiners on Appendix A likely includes facilities that have not actually processed the 3TG contained in Tennant’s products due to the CMRT information collection process, and the general nature of the supply chains and goods, we are unable to confirm whether this, or any, smelter or refiner is or was active in our supply chain. Tennant expects all of its suppliers to comply with sanctions law and is following-up with the suppliers that reported this refinery to have it removed from their supply chain.
Country of Origin



Appendix B includes an aggregated list of countries of origin from which the reported facilities collectively source 3TG, based on reasonable identification of country of origin data obtained via Assent’s supply chain database (or other RCOI data, in the scenario that Tennant decides to use alternative data sources). As mentioned in the above section, it is understood that overreporting might occur which could result in Appendix B having more countries than those strictly relevant to the Company’s products.
Steps to Be Taken to Mitigate Risk
For the reporting year 2024, Tennant has taken, or intends to take, the following steps to improve the due diligence conducted to further mitigate any risk that the necessary 3TG in the Company’s products could originate from Democratic Republic of the Congo or an adjoining country:
Continue to evaluate upstream sources through a broader set of tools to evaluate risk. These include, but are not limited to:
oUsing a comprehensive smelter/refiner library with detailed status and notes for each entity. 
oScanning for verifiable media sources on each smelter/refiner to flag risk issues.
oComparing the list of smelters/refiners against government watch and denied parties lists. 
Engage with suppliers more closely and provide more information and training resources regarding responsible sourcing of 3TG.
Encourage suppliers to have due diligence procedures in place for their supply chains to improve the content of the responses from such suppliers.
Continue to include a conflict minerals flow-down clause in new or renewed supplier contracts, as well as included in the terms and conditions of each purchase order issued. 
Following the OECD Guidance process increase the emphasis on clean and validated smelter/refiner information from the supply chain through feedback and detailed smelter/refiner analysis.



Appendix A: Smelter/Refiner List
MetalSmelter/Refiner NameSmelter/Refiner Facility LocationSmelter/Refiner IDRMAP Audit Status
GoldAdvanced Chemical CompanyUnited States Of AmericaCID000015Active
GoldAida Chemical Industries Co., Ltd.JapanCID000019Conformant
GoldAgosi AGGermanyCID000035Conformant
GoldAlmalyk Mining and Metallurgical Complex (AMMC)UzbekistanCID000041Conformant
GoldAngloGold Ashanti Corrego do Sitio MineracaoBrazilCID000058Conformant
GoldArgor-Heraeus S.A.SwitzerlandCID000077Conformant
GoldAsahi Pretec Corp.JapanCID000082Conformant
GoldAsaka Riken Co., Ltd.JapanCID000090Conformant
GoldAurubis AGGermanyCID000113Conformant



GoldBangko Sentral ng Pilipinas (Central Bank of the Philippines)PhilippinesCID000128Conformant
GoldBoliden ABSwedenCID000157Conformant
GoldC. Hafner GmbH + Co. KGGermanyCID000176Conformant
GoldCCR Refinery - Glencore Canada CorporationCanadaCID000185Conformant
GoldCendres + Metaux S.A.SwitzerlandCID000189Non Conformant
GoldChimet S.p.A.ItalyCID000233Conformant
GoldChugai MiningJapanCID000264Conformant
GoldDSC (Do Sung Corporation)Korea, Republic OfCID000359Conformant
GoldDowaJapanCID000401Conformant
GoldEco-System Recycling Co., Ltd. East PlantJapanCID000425Conformant
GoldLT Metal Ltd.Korea, Republic OfCID000689Conformant
GoldHeimerle + Meule GmbHGermanyCID000694Conformant
GoldHeraeus Metals Hong Kong Ltd.ChinaCID000707Conformant
GoldHeraeus Germany GmbH Co. KGGermanyCID000711Conformant
GoldInner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.ChinaCID000801Conformant
GoldIshifuku Metal Industry Co., Ltd.JapanCID000807Conformant
GoldIstanbul Gold RefineryTurkeyCID000814Conformant
GoldJapan MintJapanCID000823Conformant
GoldJiangxi Copper Co., Ltd.ChinaCID000855Conformant
GoldAsahi Refining USA Inc.United States Of AmericaCID000920Conformant
GoldAsahi Refining Canada Ltd.CanadaCID000924Conformant
GoldJX Nippon Mining & Metals Co., Ltd.JapanCID000937Conformant
GoldKazzincKazakhstanCID000957Conformant
GoldKennecott Utah Copper LLCUnited States Of AmericaCID000969Conformant
GoldKojima Chemicals Co., Ltd.JapanCID000981Conformant
GoldLS-NIKKO Copper Inc.Korea, Republic OfCID001078Conformant



GoldMaterionUnited States Of AmericaCID001113Conformant
GoldMatsuda Sangyo Co., Ltd.JapanCID001119Conformant
GoldMetalor Technologies (Suzhou) Ltd.ChinaCID001147Conformant
GoldMetalor Technologies (Hong Kong) Ltd.ChinaCID001149Conformant
GoldMetalor Technologies (Singapore) Pte., Ltd.SingaporeCID001152Conformant
GoldMetalor Technologies S.A. SwitzerlandCID001153Conformant
GoldMetalor USA Refining CorporationUnited States Of AmericaCID001157Conformant
GoldMetalurgica Met-Mex Penoles S.A. De C.V.MexicoCID001161Conformant
GoldMitsubishi Materials CorporationJapanCID001188Conformant
GoldMitsui Mining and Smelting Co., Ltd.JapanCID001193Conformant
GoldNadir Metal Rafineri San. Ve Tic. A.S.TurkeyCID001220Conformant
GoldNavoi Mining and Metallurgical CombinatUzbekistanCID001236Conformant
GoldNihon Material Co., Ltd.JapanCID001259Conformant
GoldOhura Precious Metal Industry Co., Ltd.JapanCID001325Conformant
GoldMKS PAMP SASwitzerlandCID001352Conformant
GoldPT Aneka Tambang (Persero) TbkIndonesiaCID001397Conformant
GoldPX Precinox S.A.SwitzerlandCID001498Conformant
GoldRand Refinery (Pty) Ltd.South AfricaCID001512Conformant
GoldRoyal Canadian MintCanadaCID001534Conformant
GoldSamduck Precious MetalsKorea, Republic OfCID001555Non Conformant
GoldSEMPSA Joyeria Plateria S.A.SpainCID001585Conformant
GoldShandong Zhaojin Gold & Silver Refinery Co., Ltd.ChinaCID001622Conformant
GoldSichuan Tianze Precious Metals Co., Ltd.ChinaCID001736Conformant
GoldSolar Applied Materials Technology Corp.Taiwan, Province Of ChinaCID001761Conformant



GoldSumitomo Metal Mining Co., Ltd.JapanCID001798Conformant
GoldTanaka Kikinzoku Kogyo K.K.JapanCID001875Conformant
GoldShandong Gold Smelting Co., Ltd.ChinaCID001916Conformant
GoldTokuriki Honten Co., Ltd.JapanCID001938Conformant
GoldTorecomKorea, Republic OfCID001955Conformant
GoldUmicore S.A. Business Unit Precious Metals RefiningBelgiumCID001980Conformant
GoldUnited Precious Metal Refining, Inc.United States Of AmericaCID001993Conformant
GoldValcambi S.A.SwitzerlandCID002003Conformant
GoldWestern Australian Mint (T/a The Perth Mint)AustraliaCID002030Conformant
GoldYamakin Co., Ltd.JapanCID002100Conformant
GoldYokohama Metal Co., Ltd.JapanCID002129Conformant
GoldZhongyuan Gold Smelter of Zhongjin Gold CorporationChinaCID002224Conformant
GoldGold Refinery of Zijin Mining Group Co., Ltd.ChinaCID002243Conformant
GoldSAFINA A.S.CzechiaCID002290Conformant
GoldUmicore Precious Metals ThailandThailandCID002314Non Conformant
GoldMMTC-PAMP India Pvt., Ltd.IndiaCID002509Conformant
GoldKGHM Polska Miedz Spolka AkcyjnaPolandCID002511Conformant
GoldSingway Technology Co., Ltd.Taiwan, Province Of ChinaCID002516Non Conformant
GoldAl Etihad Gold Refinery DMCCUnited Arab EmiratesCID002560Non Conformant
GoldEmirates Gold DMCCUnited Arab EmiratesCID002561Non Conformant
GoldT.C.A S.p.AItalyCID002580Conformant
GoldREMONDIS PMR B.V.NetherlandsCID002582Conformant
GoldKorea Zinc Co., Ltd.Korea, Republic OfCID002605Conformant
GoldTOO Tau-Ken-AltynKazakhstanCID002615Conformant
GoldAbington Reldan Metals, LLCUnited States Of AmericaCID002708Conformant
GoldSAAMPFranceCID002761Non Conformant
GoldL'Orfebre S.A.AndorraCID002762Conformant



Gold8853 S.p.A.ItalyCID002763Non Conformant
GoldItalpreziosiItalyCID002765Conformant
GoldWIELAND Edelmetalle GmbHGermanyCID002778Conformant
GoldOgussa Osterreichische Gold- und Silber-Scheideanstalt GmbHAustriaCID002779Conformant
GoldBangalore RefineryIndiaCID002863Active
GoldSungEel HiMetal Co., Ltd.Korea, Republic OfCID002918Conformant
GoldPlanta Recuperadora de Metales SpAChileCID002919Conformant
GoldSafimet S.p.AItalyCID002973Non Conformant
GoldNH Recytech CompanyKorea, Republic OfCID003189Conformant
GoldEco-System Recycling Co., Ltd. North PlantJapanCID003424Conformant
GoldEco-System Recycling Co., Ltd. West PlantJapanCID003425Conformant
GoldMetal Concentrators SA (Pty) Ltd.South AfricaCID003575Conformant
GoldGold by Gold ColombiaColombiaCID003641Conformant
GoldAtasay Kuyumculuk Sanayi Ve Ticaret A.S.TurkeyCID000103Outreach Required
GoldCaridadMexicoCID000180Outreach Required
GoldYunnan Copper Industry Co., Ltd.ChinaCID000197Outreach Required
GoldDaye Non-Ferrous Metals Mining Ltd.ChinaCID000343Outreach Required
GoldJSC Novosibirsk RefineryRussian FederationCID000493RMI Due Diligence Review - Unable to Proceed
GoldRefinery of Seemine Gold Co., Ltd.ChinaCID000522Outreach Required
GoldGuoda Safina High-Tech Environmental Refinery Co., Ltd.ChinaCID000651Outreach Required
GoldHangzhou Fuchunjiang Smelting Co., Ltd.ChinaCID000671Outreach Required
GoldHunan Chenzhou Mining Co., Ltd.ChinaCID000767Outreach Required
GoldHunan Guiyang yinxing Nonferrous Smelting Co., Ltd.ChinaCID000773Outreach Required
GoldHwaSeong CJ CO., LTD.Korea, Republic OfCID000778Communication Suspended - Not Interested



GoldJSC Ekaterinburg Non-Ferrous Metal Processing PlantRussian FederationCID000927RMI Due Diligence Review - Unable to Proceed
GoldJSC UralelectromedRussian FederationCID000929RMI Due Diligence Review - Unable to Proceed
GoldKazakhmys Smelting LLCKazakhstanCID000956Outreach Required
GoldKyrgyzaltyn JSCKyrgyzstanCID001029Non Conformant
GoldL'azurde Company For JewelrySaudi ArabiaCID001032RMI Due Diligence Review - Unable to Proceed
GoldLingbao Gold Co., Ltd.ChinaCID001056Outreach Required
GoldLingbao Jinyuan Tonghui Refinery Co., Ltd.ChinaCID001058Outreach Required
GoldLuoyang Zijin Yinhui Gold Refinery Co., Ltd.ChinaCID001093Outreach Required
GoldMoscow Special Alloys Processing PlantRussian FederationCID001204RMI Due Diligence Review - Unable to Proceed
GoldOJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)Russian FederationCID001326RMI Due Diligence Review - Unable to Proceed
GoldPenglai Penggang Gold Industry Co., Ltd.ChinaCID001362Outreach Required
GoldPrioksky Plant of Non-Ferrous MetalsRussian FederationCID001386RMI Due Diligence Review - Unable to Proceed
GoldSabin Metal Corp.United States Of AmericaCID001546Communication Suspended - Not Interested
GoldSamwon Metals Corp.Korea, Republic OfCID001562Communication Suspended - Not Interested
GoldShandong Tiancheng Biological Gold Industrial Co., Ltd.ChinaCID001619Outreach Required
GoldSOE Shyolkovsky Factory of Secondary Precious MetalsRussian FederationCID001756RMI Due Diligence Review - Unable to Proceed
GoldSuper Dragon Technology Co., Ltd.Taiwan, Province Of ChinaCID001810Outreach Required
GoldGreat Wall Precious Metals Co., Ltd. of CBPMChinaCID001909Outreach Required
GoldTongling Nonferrous Metals Group Co., Ltd.ChinaCID001947Outreach Required



GoldMorris and WatsonNew ZealandCID002282Outreach Required
GoldGuangdong Jinding Gold LimitedChinaCID002312Outreach Required
GoldFidelity Printers and Refiners Ltd.ZimbabweCID002515RMI Due Diligence Review - Unable to Proceed
GoldShandong Humon Smelting Co., Ltd.ChinaCID002525Outreach Required
GoldShenzhen Zhonghenglong Real Industry Co., Ltd.ChinaCID002527Outreach Required
GoldInternational Precious Metal RefinersUnited Arab EmiratesCID002562Outreach Required
GoldKaloti Precious MetalsUnited Arab EmiratesCID002563RMI Due Diligence Review - Unable to Proceed
GoldSudan Gold RefinerySudanCID002567Outreach Required
GoldFujairah Gold FZCUnited Arab EmiratesCID002584Outreach Required
GoldIndustrial Refining CompanyBelgiumCID002587Non Conformant
GoldShirpur Gold Refinery Ltd.IndiaCID002588Outreach Required
GoldMarsam MetalsBrazilCID002606Non Conformant
GoldShenzhen CuiLu Gold Co., Ltd.ChinaCID002750Outreach Required
GoldAlbino Mountinho Lda.PortugalCID002760Outreach Required
GoldAU Traders and RefinersSouth AfricaCID002850Non Conformant
GoldGGC Gujrat Gold Centre Pvt. Ltd.IndiaCID002852Non Conformant
GoldSai RefineryIndiaCID002853Outreach Required
GoldModeltech Sdn BhdMalaysiaCID002857Non Conformant
GoldKyshtym Copper-Electrolytic Plant ZAORussian FederationCID002865RMI Due Diligence Review - Unable to Proceed
GoldDegussa Sonne / Mond Goldhandel GmbHGermanyCID002867Outreach Required
GoldPease & CurrenUnited States Of AmericaCID002872Communication Suspended - Not Interested
GoldJALAN & CompanyIndiaCID002893Outreach Required
GoldABC Refinery Pty Ltd.AustraliaCID002920Outreach Required
GoldState Research Institute Center for Physical Sciences and TechnologyLithuaniaCID003153Outreach Required
GoldAfrican Gold RefineryUgandaCID003185RMI Due Diligence Review - Unable to Proceed



GoldGold Coast RefineryGhanaCID003186Outreach Required
GoldQG Refining, LLCUnited States Of AmericaCID003324Outreach Required
GoldDijllah Gold Refinery FZCUnited Arab EmiratesCID003348Outreach Required
GoldCGR Metalloys Pvt Ltd.IndiaCID003382Outreach Required
GoldSovereign MetalsIndiaCID003383Outreach Required
GoldAugmont Enterprises Private LimitedIndiaCID003461Non Conformant
GoldKundan Care Products Ltd.IndiaCID003463Outreach Required
GoldEmerald Jewel Industry India Limited (Unit 1)IndiaCID003487Outreach Required
GoldEmerald Jewel Industry India Limited (Unit 2)IndiaCID003488Outreach Required
GoldEmerald Jewel Industry India Limited (Unit 3)IndiaCID003489Outreach Required
GoldEmerald Jewel Industry India Limited (Unit 4)IndiaCID003490Outreach Required
GoldK.A. RasmussenNorwayCID003497Outreach Required
GoldAlexy MetalsUnited States Of AmericaCID003500Non Conformant
GoldMD OverseasIndiaCID003548Outreach Required
GoldMetallix Refining Inc.United States Of AmericaCID003557Outreach Required
GoldWEEEREFININGFranceCID003615Conformant
GoldDongwu Gold GroupChinaCID003663Outreach Required
GoldSam Precious MetalsUnited Arab EmiratesCID003666Outreach Required
GoldCoimpa Industrial LTDABrazilCID004010Conformant
GoldGG Refinery Ltd.Tanzania, United Republic OfCID004506Active
GoldImpala Refineries – Base Metals Refinery (BMR)South AfricaCID004604Active
GoldImpala RustenburgSouth AfricaCID004610Active
TantalumGuangdong Rising Rare Metals-EO Materials Ltd.ChinaCID000291Conformant
TantalumF&X Electro-Materials Ltd.ChinaCID000460Conformant
TantalumXIMEI RESOURCES (GUANGDONG) LIMITEDChinaCID000616Conformant
TantalumJiuJiang JinXin Nonferrous Metals Co., Ltd.ChinaCID000914Conformant



TantalumJiujiang Tanbre Co., Ltd.ChinaCID000917Conformant
TantalumAMG BrasilBrazilCID001076Conformant
TantalumMetallurgical Products India Pvt., Ltd.IndiaCID001163Conformant
TantalumMineracao Taboca S.A.BrazilCID001175Conformant
TantalumMitsui Mining and Smelting Co., Ltd.JapanCID001192Conformant
TantalumNPM Silmet ASEstoniaCID001200Conformant
TantalumNingxia Orient Tantalum Industry Co., Ltd.ChinaCID001277Conformant
TantalumQuantumCleanUnited States Of AmericaCID001508Conformant
TantalumYanling Jincheng Tantalum & Niobium Co., Ltd.ChinaCID001522Conformant
TantalumTaki Chemical Co., Ltd.JapanCID001869Conformant
TantalumTelex MetalsUnited States Of AmericaCID001891Conformant
TantalumUlba Metallurgical Plant JSCKazakhstanCID001969Conformant
TantalumHengyang King Xing Lifeng New Materials Co., Ltd.ChinaCID002492Conformant
TantalumD Block Metals, LLCUnited States Of AmericaCID002504Conformant
TantalumFIR Metals & Resource Ltd.ChinaCID002505Conformant
TantalumJiujiang Zhongao Tantalum & Niobium Co., Ltd.ChinaCID002506Conformant
TantalumXinXing HaoRong Electronic Material Co., Ltd.ChinaCID002508Conformant
TantalumJiangxi Dinghai Tantalum & Niobium Co., Ltd.ChinaCID002512Conformant
TantalumKEMET de MexicoMexicoCID002539Conformant
TantalumTANIOBIS Co., Ltd.ThailandCID002544Conformant
TantalumTANIOBIS GmbHGermanyCID002545Conformant
TantalumMaterion Newton Inc.United States Of AmericaCID002548Conformant
TantalumTANIOBIS Japan Co., Ltd.JapanCID002549Conformant
TantalumTANIOBIS Smelting GmbH & Co. KGGermanyCID002550Conformant



TantalumGlobal Advanced Metals BoyertownUnited States Of AmericaCID002557Conformant
TantalumGlobal Advanced Metals AizuJapanCID002558Conformant
TantalumResind Industria e Comercio Ltda.BrazilCID002707Conformant
TantalumJiangxi Tuohong New Raw MaterialChinaCID002842Conformant
TantalumRFH Yancheng Jinye New Material Technology Co., Ltd.ChinaCID003583Conformant
TantalumSolikamsk Magnesium Works OAORussian FederationCID001769RMI Due Diligence Review - Unable to Proceed
Tantalum5D Production OUEstoniaCID003926Outreach Required
TantalumPowerX Ltd.RwandaCID004054Conformant
TinChenzhou Yunxiang Mining and Metallurgy Co., Ltd.ChinaCID000228Conformant
TinAlphaUnited States Of AmericaCID000292Conformant
TinPT Aries Kencana SejahteraIndonesiaCID000309Conformant
TinPT Premium Tin IndonesiaIndonesiaCID000313Conformant
TinDowaJapanCID000402Conformant
TinEM VintoBolivia (Plurinational State Of)CID000438Conformant
TinEstanho de Rondonia S.A.BrazilCID000448Conformant
TinFenix MetalsPolandCID000468Conformant
TinGejiu Non-Ferrous Metal Processing Co., Ltd.ChinaCID000538Conformant
TinGejiu Zili Mining And Metallurgy Co., Ltd.ChinaCID000555Non Conformant
TinChina Tin Group Co., Ltd.ChinaCID001070Conformant
TinMalaysia Smelting Corporation (MSC)MalaysiaCID001105Conformant
TinMetallic Resources, Inc.United States Of AmericaCID001142Conformant
TinMineracao Taboca S.A.BrazilCID001173Conformant
TinMinsurPeruCID001182Conformant
TinMitsubishi Materials CorporationJapanCID001191Conformant
TinJiangxi New Nanshan Technology Ltd.ChinaCID001231Conformant



TinO.M. Manufacturing (Thailand) Co., Ltd.ThailandCID001314Conformant
TinOperaciones Metalurgicas S.A.Bolivia (Plurinational State Of)CID001337Conformant
TinPT Artha Cipta LanggengIndonesiaCID001399Conformant
TinPT Babel Inti PerkasaIndonesiaCID001402Conformant
TinPT Babel Surya Alam LestariIndonesiaCID001406Conformant
TinPT Bukit TimahIndonesiaCID001428Conformant
TinPT Mitra Stania PrimaIndonesiaCID001453Conformant
TinPT Prima Timah UtamaIndonesiaCID001458Conformant
TinPT Refined Bangka TinIndonesiaCID001460Conformant
TinPT Sariwiguna BinasentosaIndonesiaCID001463Conformant
TinPT Stanindo Inti PerkasaIndonesiaCID001468Conformant
TinPT Timah Tbk KundurIndonesiaCID001477Conformant
TinPT Timah Tbk MentokIndonesiaCID001482Conformant
TinPT Timah NusantaraIndonesiaCID001486Conformant
TinPT Tinindo Inter NusaIndonesiaCID001490Conformant
TinPT Tommy UtamaIndonesiaCID001493Conformant
TinRui Da HungTaiwan, Province Of ChinaCID001539Conformant
TinThaisarcoThailandCID001898Conformant
TinWhite Solder Metalurgia e Mineracao Ltda.BrazilCID002036Conformant
TinYunnan Chengfeng Non-ferrous Metals Co., Ltd.ChinaCID002158Conformant
TinTin Smelting Branch of Yunnan Tin Co., Ltd.ChinaCID002180Conformant
TinCV Venus Inti PerkasaIndonesiaCID002455Conformant
TinMagnu's Minerais Metais e Ligas Ltda.BrazilCID002468Conformant
TinPT ATD Makmur Mandiri JayaIndonesiaCID002503Conformant
TinO.M. Manufacturing Philippines, Inc.PhilippinesCID002517Conformant
TinCV Ayi JayaIndonesiaCID002570Conformant
TinPT Rajehan AriqIndonesiaCID002593Conformant
TinPT Cipta Persada MuliaIndonesiaCID002696Conformant
TinResind Industria e Comercio Ltda.BrazilCID002706Conformant
TinAurubis BeerseBelgiumCID002773Conformant
TinAurubis BerangoSpainCID002774Conformant



TinPT Bangka Prima TinIndonesiaCID002776Conformant
TinPT Sukses Inti MakmurIndonesiaCID002816Conformant
TinPT Menara Cipta MuliaIndonesiaCID002835Conformant
TinGuangdong Hanhe Non-Ferrous Metal Co., Ltd.ChinaCID003116Conformant
TinChifeng Dajingzi Tin Industry Co., Ltd.ChinaCID003190Conformant
TinPT Bangka SerumpunIndonesiaCID003205Conformant
TinTin Technology & RefiningUnited States Of AmericaCID003325Conformant
TinMa'anshan Weitai Tin Co., Ltd.ChinaCID003379Non Conformant
TinPT Rajawali Rimba PerkasaIndonesiaCID003381Conformant
TinLuna Smelter, Ltd.RwandaCID003387Conformant
TinPT Mitra Sukses GlobalindoIndonesiaCID003449Conformant
TinCRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil LtdaBrazilCID003486Conformant
TinCRM SynergiesSpainCID003524Conformant
TinFabrica Auricchio Industria e Comercio Ltda.BrazilCID003582Conformant
TinDS MyanmarMyanmarCID003831Conformant
TinPT Putera Sarana Shakti (PT PSS)IndonesiaCID003868Conformant
TinGejiu Kai Meng Industry and Trade LLCChinaCID000942Non Conformant
TinNovosibirsk Tin CombineRussian FederationCID001305RMI Due Diligence Review - Unable to Proceed
TinPT Bangka Tin IndustryIndonesiaCID001419Active
TinPT Belitung Industri SejahteraIndonesiaCID001421Conformant
TinPT Panca Mega PersadaIndonesiaCID001457Outreach Required
TinGejiu Yunxin Nonferrous Electrolysis Co., Ltd.ChinaCID001908Non Conformant
TinVQB Mineral and Trading Group JSCViet NamCID002015Outreach Required



TinPT Tirus Putra MandiriIndonesiaCID002478Communication Suspended - Not Interested
TinMelt Metais e Ligas S.A.BrazilCID002500Non Conformant
TinElectro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock CompanyViet NamCID002572Non Conformant
TinNghe Tinh Non-Ferrous Metals Joint Stock CompanyViet NamCID002573Outreach Required
TinTuyen Quang Non-Ferrous Metals Joint Stock CompanyViet NamCID002574Outreach Required
TinAn Vinh Joint Stock Mineral Processing CompanyViet NamCID002703Outreach Required
TinSuper LigasBrazilCID002756Conformant
TinHuiChang Hill Tin Industry Co., Ltd.ChinaCID002844Conformant
TinModeltech Sdn BhdMalaysiaCID002858Non Conformant
TinPongpipat Company LimitedMyanmarCID003208Outreach Required
TinDongguan CiEXPO Environmental Engineering Co., Ltd.ChinaCID003356Non Conformant
TinYunnan Yunfan Non-ferrous Metals Co., Ltd.ChinaCID003397Conformant
TinPrecious Minerals and Smelting LimitedIndiaCID003409Active
TinGejiu City Fuxiang Industry and Trade Co., Ltd.ChinaCID003410Outreach Required
TinMining Minerals Resources SARLCongo, Democratic Republic Of TheCID004065Conformant
TinMalaysia Smelting Corporation Berhad (Port Klang)MalaysiaCID004434In Communication
TinTakehara PVD Materials Plant / PVD Materials Division of MITSUI MINING & SMELTING CO., LTD.JapanCID004403Active
TungstenA.L.M.T. Corp.JapanCID000004Conformant
TungstenKennametal HuntsvilleUnited States Of AmericaCID000105Conformant
TungstenGuangdong Xianglu Tungsten Co., Ltd.ChinaCID000218Conformant



TungstenChongyi Zhangyuan Tungsten Co., Ltd.ChinaCID000258Conformant
TungstenGlobal Tungsten & Powders LLCUnited States Of AmericaCID000568Conformant
TungstenHunan Chenzhou Mining Co., Ltd.ChinaCID000766Conformant
TungstenHunan Jintai New Material Co., Ltd.ChinaCID000769Non Conformant
TungstenJapan New Metals Co., Ltd.JapanCID000825Conformant
TungstenKennametal FallonUnited States Of AmericaCID000966Conformant
TungstenWolfram Bergbau und Hutten AGAustriaCID002044Conformant
TungstenXiamen Tungsten Co., Ltd.ChinaCID002082Conformant
TungstenGanzhou Jiangwu Ferrotungsten Co., Ltd.ChinaCID002315Conformant
TungstenJiangxi Yaosheng Tungsten Co., Ltd.ChinaCID002316Conformant
TungstenJiangxi Xinsheng Tungsten Industry Co., Ltd.ChinaCID002317Conformant
TungstenJiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.ChinaCID002318Conformant
TungstenMalipo Haiyu Tungsten Co., Ltd.ChinaCID002319Conformant
TungstenXiamen Tungsten (H.C.) Co., Ltd.ChinaCID002320Conformant
TungstenJiangxi Gan Bei Tungsten Co., Ltd.ChinaCID002321Conformant
TungstenGanzhou Seadragon W & Mo Co., Ltd.ChinaCID002494Conformant
TungstenAsia Tungsten Products Vietnam Ltd.Viet NamCID002502Conformant
TungstenHunan Shizhuyuan Nonferrous Metals Co., Ltd. Chenzhou Tungsten Products BranchChinaCID002513Conformant
TungstenH.C. Starck Tungsten GmbHGermanyCID002541Conformant
TungstenTANIOBIS Smelting GmbH & Co. KGGermanyCID002542Conformant
TungstenMasan High-Tech MaterialsViet NamCID002543Conformant



TungstenJiangwu H.C. Starck Tungsten Products Co., Ltd.ChinaCID002551Conformant
TungstenNiagara Refining LLCUnited States Of AmericaCID002589Conformant
TungstenChina Molybdenum Tungsten Co., Ltd.ChinaCID002641Conformant
TungstenPhilippine Chuangxin Industrial Co., Inc.PhilippinesCID002827Conformant
TungstenACL Metais EireliBrazilCID002833Non Conformant
TungstenLianyou Metals Co., Ltd.Taiwan, Province Of ChinaCID003407Conformant
TungstenHubei Green Tungsten Co., Ltd.ChinaCID003417Conformant
TungstenCronimet Brasil LtdaBrazilCID003468Conformant
TungstenFujian Xinlu Tungsten Co., Ltd.ChinaCID003609Conformant
TungstenCNMC (Guangxi) PGMA Co., Ltd.ChinaCID000281Outreach Required
TungstenJiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.ChinaCID002313Communication Suspended - Not Interested
TungstenHydrometallurg, JSCRussian FederationCID002649RMI Due Diligence Review - Unable to Proceed
TungstenUnecha Refractory metals plantRussian FederationCID002724Non Conformant
TungstenMoliren Ltd.Russian FederationCID002845RMI Due Diligence Review - Unable to Proceed
TungstenJSC "Kirovgrad Hard Alloys Plant"Russian FederationCID003408RMI Due Diligence Review - Unable to Proceed
TungstenNPP Tyazhmetprom LLCRussian FederationCID003416RMI Due Diligence Review - Unable to Proceed
TungstenAlbasteel Industria e Comercio de Ligas Para Fundicao Ltd.BrazilCID003427Non Conformant
TungstenArtek LLCRussian FederationCID003553RMI Due Diligence Review - Unable to Proceed
TungstenOOO “Technolom” 2Russian FederationCID003612RMI Due Diligence Review - Unable to Proceed
TungstenOOO “Technolom” 1Russian FederationCID003614RMI Due Diligence Review - Unable to Proceed



TungstenLLC VostokRussian FederationCID003643RMI Due Diligence Review - Unable to Proceed
TungstenYUDU ANSHENG TUNGSTEN CO., LTD.ChinaCID003662Outreach Required
TungstenHANNAE FOR T Co., Ltd.Korea, Republic OfCID003978Outreach Required
TungstenTungsten Vietnam Joint Stock CompanyViet NamCID003993Conformant
TungstenNam Viet Cromit Joint Stock CompanyViet NamCID004034Outreach Required
TungstenDONGKUK INDUSTRIES CO., LTD.Korea, Republic OfCID004060Outreach Required
TungstenLianyou Resources Co., Ltd.Taiwan, Province Of ChinaCID004397Conformant
TungstenShinwon Tungsten (Fujian Shanghang) Co., Ltd.ChinaCID004430Conformant
TungstenKenee Mining Corporation VietnamViet NamCID004619Active
TungstenMALAMET SMELTING SDN. BHD.MalaysiaCID004056Outreach Required




Appendix B: Countries of Origin

Country of Origin
AlbaniaEcuadorKyrgyzstanSaudi Arabia
AndorraEgyptLiberiaSenegal
AngolaEl SalvadorLiechtensteinSerbia
ArgentinaEritreaLithuaniaSierra Leone
ArmeniaEstoniaLuxembourgSingapore
AustraliaEthiopiaMadagascarSlovakia
AustriaFijiMalaysiaSolomon Islands
AzerbaijanFinlandMaliSouth Africa
BelarusFranceMauritaniaSouth Sudan
BelgiumGeorgiaMexicoSpain
BeninGermanyMongoliaSudan
BermudaGhanaMoroccoSuriname
Bolivia (Plurinational State of)GuamMozambiqueSweden
BotswanaGuatemalaMyanmarSwitzerland
BrazilGuineaNamibiaTaiwan
BulgariaGuyanaNetherlandsTajikistan
Burkina FasoHondurasNew ZealandTanzania
BurundiHong KongNicaraguaThailand
CambodiaHungaryNigerTogo
CanadaIndiaNigeriaTurkey
Central African RepublicIndonesiaNorwayUganda
ChileIrelandOmanUnited Arab Emirates
ChinaIsraelPanamaUnited Kingdom
ColombiaItalyPapua New GuineaUnited States of America
CongoIvory CoastPeruUruguay
CyprusJapanPhilippinesUzbekistan
Democratic Republic of CongoJerseyPolandVietnam
DjiboutiKazakhstanPortugalZambia
DominicaKenyaRussian Federation
Dominican RepublicKoreaRwanda