EX-1.01 2 ex_380546.htm EXHIBIT 1.01 ex_380546.htm

 

Exhibit 1.01

 

Tennant Company

Conflict Minerals Report

For the Year Ended December 31, 2021

 

 

1.

Introduction

 

This report for the year ended December 31, 2021 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 and their derivatives, which are limited to tin, tantalum, tungsten, and gold (“3TG”). These requirements apply to registrants whatever the geographic origin of the 3TG and whether they fund armed conflict.

 

 

a.

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 mechanized cleaning equipment, detergent-free and other sustainable cleaning technologies, aftermarket parts and consumables, equipment maintenance and repair service, and business solutions such as financing, rental and leasing programs, and machine-to-machine asset management solutions.

 

The Company's products are used in many types of environments including retail establishments, distribution centers, factories and warehouses, public venues such as arenas and stadiums, office buildings, schools and universities, hospitals and clinics, parking lots and streets, and more. The Company markets its offerings under the following brands: Tennant®, Nobles®, Alfa Uma Empresa Tennant™, IRIS®, VLX™, IPC brands, Gaomei and Rongen brands as well as private-label brands. The Company's 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, Third 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.

 

 
 
 

b.

Conflict Minerals Policy

 

We have a Conflict Minerals Policy located in the PRODUCT SAFETY AND COMPLIANCE section of our public website https://www.tennantco.com/en_us/about-us/sustainability/product-safety-and-compliance.html under RESPONSIBLE SOURCING AND TRANSPARENCY.

 

 

2.

Due Diligence

 

Tennant has designed its due diligence measures to conform, in all material respects, with the framework in the OECD Guidance and the related supplements. The program aligns 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 Tennant’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 fully be owned by us. However, through continued outreach and process validation, this aligns with industry standards and market expectations for downstream companies’ due diligence.

 

 

a.

Establish Strong Company Management Systems
 

i.

Internal Compliance Team/Third Party Service Provider

 

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.

 

Tennant also uses a third-party service provider, Assent (“Assent”, “Provider”), to assist with evaluating supply chain information regarding 3TGs, identifying potential risks, and in the development and implementation of additional due diligence steps that the Company undertakes with suppliers in regards to conflict minerals. Tennant leverages Assent’s Managed Services in order to work with dedicated program specialists who support Tennant’s Conflict Minerals Program.

 

Tennant communicates regularly with the Assent team to receive updates on program status. Each member of Assent’s Customer Success team is trained in conflict minerals compliance, the Conflict Minerals Reporting Template (“CMRT”) and conflict minerals reporting, as well as Section 1502 of the Dodd-Frank Act.

 

 
 

 

 

ii.

Control Systems

 

We initiated a Conflict Minerals Task Force in the Twin Cities (Minneapolis-St. Paul) for aligning our approach and establishing best practices with other reputable firms in scope of Section 1502 of the Dodd-Frank Act. This group consisted of 17 companies at its peak and met actively from 2013-2017.

 

Additionally, we are a member of the Responsible Minerals Initiative and, as a result, we have up-to-date information and access to developments in industry-wide initiatives.

 

Controls also include, but are not limited to, our Supplier Core Expectations, which outline expected behaviors for our supply chain partners, and our Corporate Sustainability Report, which establishes our position on several key metrics in this area.

 

 

iii.

Supplier Engagement

 

With respect to the OECD requirement to strengthen engagement with suppliers, we have updated language in our contracts with suppliers such that the conflict minerals disclosure is an up-front expectation of our suppliers.

 

 

iv.

Grievance Mechanism

 

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 the Responsible Minerals Initiative (“RMI”) directly as well. This can be done at http://www.responsiblemineralsinitiative.org/responsible-minerals-assurance-process/grievance-mechanism/.

 

 

v.

Maintain Records

 

Tennant has a document retention schedule, and the records generated because of the Conflict Minerals Program will adhere to applicable standards.

 

vi.

Reasonable Country of Origin (“RCOI”) Inquiry

 

To determine whether necessary 3TGs in products originated in covered countries, Tennant utilized our Provider’s Managed Services and software-as-a-service (“SaaS”) platform, the Assent Compliance Manager (“ACM”), that enables users to complete and track supplier communications. To collect data on the materials’ sources of origin procured by the supply chain, Tennant utilized the CMRT version 6.10 to conduct a survey of all in-scope suppliers.

 

During the supplier survey, Tennant contacted suppliers via the ACM which allows the suppliers to upload completed CMRTs directly to the platform for validation, assessment, and management. Training and education were provided to guide suppliers on best practices and the use of this template. The ACM also provides functionality that meets the OECD Guidance process expectations by evaluating the quality of each supplier response and assigning a health score based on the supplier’s declaration of process engagement. Additionally, the metrics provided in this report, as well as the step-by-step process for supplier engagement and upstream due diligence investigations performed, are managed through this platform.

 

 
 

 

All submitted forms are accepted and classified as valid or invalid so that data is retained. Suppliers are contacted regarding invalid forms and are encouraged to submit a valid form. Suppliers are also provided with guidance on how to correct these validation errors in the form of feedback to their CMRT submission, training courses, and via our Provider’s multilingual direct engagement team. Since some suppliers may remain unresponsive to feedback, Tennant tracks program gaps to account for future improvement opportunities. As of May 2, 2022, there were 13 invalid supplier submissions that could not be corrected. Based on the findings through the RCOI process, Tennant was able to determine the countries of origin for a large portion of the 3TGs in its products.

 

 

vii.

Supply Chain

 

Tennant has significant supply bases in the Americas, Europe and Asia Pacific. We rely on our direct suppliers to provide information on the origin of the 3TG contained in components and materials supplied to us, including sources of 3TG that are supplied to them from lower tier suppliers.

 

 

b.

Identify and Assess Risk in the Supply Chain 

 

Risks associated with supplier CMRT content are identified automatically in the ACM based on criteria established for supplier responses. These risks are addressed by contacting the supplier, gathering pertinent data and performing an assessment of the supplier’s conflict minerals status.

 

Risks at the supplier level may include non-responsive suppliers, incomplete CMRTs, or CMRTs that are submitted at the company level. In those cases where a company-level CMRT is submitted, Tennant is unable to determine if all the specified smelters and refiners were used for 3TGs in the products supplied to the Company.

 

Additionally, some suppliers indicated that they received information regarding their supply chains from fewer than 75% of their suppliers and, therefore, they could not provide a comprehensive list of all smelters or refiners in their supply chains.

 

Risks were identified by assessing the due diligence practices and status of smelters and refiners identified in the supply chain by upstream suppliers that listed mineral processing facilities on their CMRT declarations. These were compared to the list of smelters and refiners consolidated by the RMI to ensure that the facilities met the recognized definition of a 3TGs processing facility that was operational during the 2021 calendar year.

 

 
 

 

Via the ACM, we determined if the smelter had been audited against a standard in conformance with the OECD Guidance, such as the Responsible Minerals Assurance Process (“RMAP”). Tennant does not have a direct relationship with smelters and refiners, and does not perform direct audits of these entities within their pre-supply chain. Smelters that have completed an RMAP audit are considered to be DRC-conflict free. In cases where the smelter’s due diligence practices have not been audited against the RMAP standard or they are considered non-conformant by RMAP, follow-ups are made to suppliers reporting those facilities. Smelters are then assessed for the potential for sourcing risk. 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 poses to the supply chain by identifying red flags. These factors include:

 

 

●

Geographic proximity to the DRC and covered countries;
 

●

Known mineral source country of origin;
 

●

RMAP audit status;
 

●

Credible evidence of unethical or conflict sourcing; and
 

●

Peer assessments conducted by credible third-party sources.

 

Risk mitigation activities are initiated whenever a supplier’s CMRT reported facilities of concern. Through our Provider, suppliers with submissions that included any smelters of concern were immediately provided with feedback instructing that supplier 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. Additional escalation may have been necessary to address any continued sourcing from these smelters of concern. Suppliers are given clear performance objectives within reasonable timeframes with the ultimate goal of progressive elimination of these smelters 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.

 

 

c.

Design and Implement a Strategy to Respond to Risk

 

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 3TGs from sources that may support conflict in the countries to establish an alternative source of 3TGs that does not support such conflict, as provided in the OECD Guidance. Assent also communicates directly with smelters 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.

 

 
 

 

In cases where suppliers have continuously been non-responsive or are not committed to corrective action plans, Tennant will assess if replacing that supplier is feasible. The results of the program and risk assessment are shared with Tennant’s Core Team and Oversight Committee to ensure transparency within the Company.

 

 

d.

Carry Out Independent Third-Party Audit of Supply Chain Due Diligences at Identified Points in the Supply Chain

 

Tennant does not typically have a direct relationship with 3TG smelters and 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 and 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 and refiners that agree to participate in the program. Through Tennant’s membership with the RMI, smelters or refiners have been encouraged to participate in the RMAP.

 

 

e.

Report on Supply Chain Due Diligence

 

We prepared this Conflict Minerals Report as Exhibit 1.01 to our Form SD.

 

 

i.

Due Diligence Results
 

1.

Supply Chain Outreach Results

 

Supply chain outreach is required to identify the upstream sources of origin of 3TGs. Following the industry standard process, CMRTs are sent to and requested from Tier 1 suppliers, who are expected to follow this process until the smelter and refiner sources are identified. The following is the result of the outreach conducted by Tennant for the 2021 reporting year.

 

 

2.

Upstream Data Transparency

 

All smelters and refiners listed by suppliers in completed CMRTs, which appear on the RMI-maintained smelters list, are attached in Appendix A. As is a common practice when requests are sent upstream in the supply chain, those who purchase materials from smelters may not be able to discern exactly in which company’s product lines the materials may end up. As a result, those providing the smelters and refiners have the practice to list all smelters and refiners they may purchase from within the reporting period. Therefore, the smelters or refiners (as sources) listed in Appendix A are likely to be more comprehensive than the list of smelters or refiners which actually processed the 3TGs contained in the Tennant’s products.

 

Although the potential for over-reporting is understood, Tennant has taken measures to validate these sources of origin against validated audit programs intended to verify the material types and mine sources of origin for these smelters and refiners.

 

 
 

 

 

ii.

Countries of Origin

 

Appendix B includes an aggregated list of countries of origin from which the reported facilities collectively source 3TGs, based on information provided through the CMRT data collection process, from direct smelter outreach and the RMAP. As mentioned in the above section, it is understood that many responses may provide more data than can be directly linked to products sold by Tennant, therefore, Appendix B may contain more countries than those from which Tennant’s products are being sourced.

 

APPENDIX A: SMELTER LIST

 

Metal

Smelter Name

 Smelter ID

 RMAP Audit Status

Tungsten

A.L.M.T. Corp.

CID000004

Conformant

Gold

Advanced Chemical Company

CID000015

Conformant

Gold

Aida Chemical Industries Co., Ltd.

CID000019

Conformant

Gold

Allgemeine Gold-und Silberscheideanstalt A.G.

CID000035

Conformant

Gold

Almalyk Mining and Metallurgical Complex (AMMC)

CID000041

Conformant

Gold

AngloGold Ashanti Corrego do Sitio Mineracao

CID000058

Conformant

Gold

Argor-Heraeus S.A.

CID000077

Conformant

Gold

Asahi Pretec Corp.

CID000082

Conformant

Gold

Asaka Riken Co., Ltd.

CID000090

Conformant

Gold

Atasay Kuyumculuk Sanayi Ve Ticaret A.S.

CID000103

Outreach Required

Tungsten

Kennametal Huntsville

CID000105

Conformant

Gold

Aurubis AG

CID000113

Conformant

Gold

Bangko Sentral ng Pilipinas (Central Bank of the Philippines)

CID000128

Conformant

Gold

Boliden AB

CID000157

Conformant

Gold

C. Hafner GmbH + Co. KG

CID000176

Conformant

Gold

Caridad

CID000180

Outreach Required

Gold

CCR Refinery - Glencore Canada Corporation

CID000185

Conformant

Gold

Cendres + Metaux S.A.

CID000189

Conformant

Gold

Yunnan Copper Industry Co., Ltd.

CID000197

Outreach Required

Tantalum

Changsha South Tantalum Niobium Co., Ltd.

CID000211

Conformant

Tungsten

Guangdong Xianglu Tungsten Co., Ltd.

CID000218

Conformant

Tin

Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.

CID000228

Conformant

Gold

Chimet S.p.A.

CID000233

Conformant

Tungsten

Chongyi Zhangyuan Tungsten Co., Ltd.

CID000258

Conformant

Gold

Chugai Mining

CID000264

Conformant

Tungsten

CNMC (Guangxi) PGMA Co., Ltd.

CID000281

Outreach Required

Tin

Alpha

CID000292

Conformant

Tin

PT Aries Kencana Sejahtera

CID000309

Active

Gold

Daye Non-Ferrous Metals Mining Ltd.

CID000343

In Communication

Gold

DSC (Do Sung Corporation)

CID000359

Conformant

Gold

Dowa

CID000401

Conformant

Tin

Dowa

CID000402

Conformant

Gold

Eco-System Recycling Co., Ltd. East Plant

CID000425

Conformant

Tin

EM Vinto

CID000438

Conformant

Tin

Estanho de Rondonia S.A.

CID000448

Conformant

Tantalum

F&X Electro-Materials Ltd.

CID000460

Conformant

Tin

Fenix Metals

CID000468

Conformant

Gold

OJSC Novosibirsk Refinery

CID000493

Non Conformant

Gold

Refinery of Seemine Gold Co., Ltd.

CID000522

Outreach Required

Tin

Gejiu Non-Ferrous Metal Processing Co., Ltd.

CID000538

Conformant

Tin

Gejiu Zili Mining And Metallurgy Co., Ltd.

CID000555

Conformant

Tungsten

Global Tungsten & Powders Corp.

CID000568

Conformant

Tantalum

Guangdong Zhiyuan New Material Co., Ltd.

CID000616

Conformant

Gold

Guoda Safina High-Tech Environmental Refinery Co., Ltd.

CID000651

Outreach Required

Gold

Hangzhou Fuchunjiang Smelting Co., Ltd.

CID000671

Outreach Required

Gold

LT Metal Ltd.

CID000689

Conformant

Gold

Heimerle + Meule GmbH

CID000694

Conformant

Gold

Heraeus Metals Hong Kong Ltd.

CID000707

Conformant

Gold

Heraeus Precious Metals GmbH & Co. KG

CID000711

Conformant

Tungsten

Hunan Chenzhou Mining Co., Ltd.

CID000766

Conformant

Gold

Hunan Chenzhou Mining Co., Ltd.

CID000767

Outreach Required

Tungsten

Hunan Chunchang Nonferrous Metals Co., Ltd.

CID000769

Conformant

Gold

Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd.

CID000773

Outreach Required

Gold

HwaSeong CJ CO., LTD.

CID000778

Communication Suspended - Not Interested

Gold

Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.

CID000801

Conformant

Gold

Ishifuku Metal Industry Co., Ltd.

CID000807

Conformant

Gold

Istanbul Gold Refinery

CID000814

Conformant

Gold

Japan Mint

CID000823

Conformant

Tungsten

Japan New Metals Co., Ltd.

CID000825

Conformant

Gold

Jiangxi Copper Co., Ltd.

CID000855

Conformant

Tungsten

Ganzhou Huaxing Tungsten Products Co., Ltd.

CID000875

Conformant

Tantalum

JiuJiang JinXin Nonferrous Metals Co., Ltd.

CID000914

Conformant

Tantalum

Jiujiang Tanbre Co., Ltd.

CID000917

Conformant

Gold

Asahi Refining USA Inc.

CID000920

Conformant

Gold

Asahi Refining Canada Ltd.

CID000924

Conformant

Gold

JSC Ekaterinburg Non-Ferrous Metal Processing Plant

CID000927

RMI Due Diligence Review - Unable to Proceed

Gold

JSC Uralelectromed

CID000929

Non Conformant

Gold

JX Nippon Mining & Metals Co., Ltd.

CID000937

Conformant

Tin

Gejiu Kai Meng Industry and Trade LLC

CID000942

Non Conformant

Gold

Kazakhmys Smelting LLC

CID000956

In Communication

Gold

Kazzinc

CID000957

Conformant

Tungsten

Kennametal Fallon

CID000966

Conformant

Gold

Kennecott Utah Copper LLC

CID000969

Conformant

Gold

Kojima Chemicals Co., Ltd.

CID000981

Conformant

Gold

Kyrgyzaltyn JSC

CID001029

Non Conformant

Gold

L'azurde Company For Jewelry

CID001032

RMI Due Diligence Review - Unable to Proceed

Gold

Lingbao Gold Co., Ltd.

CID001056

Outreach Required

Gold

Lingbao Jinyuan Tonghui Refinery Co., Ltd.

CID001058

Outreach Required

Tin

China Tin Group Co., Ltd.

CID001070

Conformant

Tantalum

LSM Brasil S.A.

CID001076

Conformant

Gold

LS-NIKKO Copper Inc.

CID001078

Conformant

Gold

Luoyang Zijin Yinhui Gold Refinery Co., Ltd.

CID001093

Outreach Required

Tin

Malaysia Smelting Corporation (MSC)

CID001105

Conformant

Gold

Materion

CID001113

Conformant

Gold

Matsuda Sangyo Co., Ltd.

CID001119

Conformant

Tin

Metallic Resources, Inc.

CID001142

Conformant

Gold

Metalor Technologies (Suzhou) Ltd.

CID001147

Conformant

Gold

Metalor Technologies (Hong Kong) Ltd.

CID001149

Conformant

Gold

Metalor Technologies (Singapore) Pte., Ltd.

CID001152

Conformant

Gold

Metalor Technologies S.A.

CID001153

Conformant

Gold

Metalor USA Refining Corporation

CID001157

Conformant

Gold

Metalurgica Met-Mex Penoles S.A. De C.V.

CID001161

Conformant

Tantalum

Metallurgical Products India Pvt., Ltd.

CID001163

Conformant

Tin

Mineracao Taboca S.A.

CID001173

Conformant

Tantalum

Mineracao Taboca S.A.

CID001175

Conformant

Tin

Minsur

CID001182

Conformant

Gold

Mitsubishi Materials Corporation

CID001188

Conformant

Tin

Mitsubishi Materials Corporation

CID001191

Conformant

Tantalum

Mitsui Mining and Smelting Co., Ltd.

CID001192

Conformant

Gold

Mitsui Mining and Smelting Co., Ltd.

CID001193

Conformant

Tantalum

NPM Silmet AS

CID001200

Conformant

Gold

Moscow Special Alloys Processing Plant

CID001204

Non Conformant

Gold

Nadir Metal Rafineri San. Ve Tic. A.S.

CID001220

Conformant

Tin

Jiangxi New Nanshan Technology Ltd.

CID001231

Conformant

Gold

Navoi Mining and Metallurgical Combinat

CID001236

Conformant

Gold

Nihon Material Co., Ltd.

CID001259

Conformant

Tantalum

Ningxia Orient Tantalum Industry Co., Ltd.

CID001277

Conformant

Tin

Novosibirsk Processing Plant Ltd.

CID001305

Conformant

Tin

O.M. Manufacturing (Thailand) Co., Ltd.

CID001314

Conformant

Gold

Ohura Precious Metal Industry Co., Ltd.

CID001325

Conformant

Gold

OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)

CID001326

Non Conformant

Tin

Operaciones Metalurgicas S.A.

CID001337

Conformant

Gold

PAMP S.A.

CID001352

Conformant

Gold

Penglai Penggang Gold Industry Co., Ltd.

CID001362

Outreach Required

Gold

Prioksky Plant of Non-Ferrous Metals

CID001386

Non Conformant

Gold

PT Aneka Tambang (Persero) Tbk

CID001397

Conformant

Tin

PT Artha Cipta Langgeng

CID001399

Conformant

Tin

PT Babel Inti Perkasa

CID001402

Conformant

Tin

PT Babel Surya Alam Lestari

CID001406

Conformant

Tin

PT Bukit Timah

CID001428

Active

Tin

PT Mitra Stania Prima

CID001453

Conformant

Tin

PT Prima Timah Utama

CID001458

Conformant

Tin

PT Refined Bangka Tin

CID001460

Conformant

Tin

PT Stanindo Inti Perkasa

CID001468

Conformant

Tin

PT Timah Tbk Kundur

CID001477

Conformant

Tin

PT Timah Tbk Mentok

CID001482

Conformant

Tin

PT Timah Nusantara

CID001486

Active

Tin

PT Tinindo Inter Nusa

CID001490

Conformant

Gold

PX Precinox S.A.

CID001498

Conformant

Tantalum

QuantumClean

CID001508

Conformant

Gold

Rand Refinery (Pty) Ltd.

CID001512

Conformant

Tantalum

Yanling Jincheng Tantalum & Niobium Co., Ltd.

CID001522

Conformant

Gold

Royal Canadian Mint

CID001534

Conformant

Tin

Rui Da Hung

CID001539

Conformant

Gold

Sabin Metal Corp.

CID001546

Communication Suspended - Not Interested

Gold

Samduck Precious Metals

CID001555

Conformant

Gold

Samwon Metals Corp.

CID001562

Communication Suspended - Not Interested

Gold

SEMPSA Joyeria Plateria S.A.

CID001585

Conformant

Gold

Shandong Tiancheng Biological Gold Industrial Co., Ltd.

CID001619

Outreach Required

Gold

Shandong Zhaojin Gold & Silver Refinery Co., Ltd.

CID001622

Conformant

Gold

Sichuan Tianze Precious Metals Co., Ltd.

CID001736

Conformant

Gold

SOE Shyolkovsky Factory of Secondary Precious Metals

CID001756

Non Conformant

Tin

Soft Metais Ltda.

CID001758

Conformant

Gold

Solar Applied Materials Technology Corp.

CID001761

Conformant

Tantalum

Solikamsk Magnesium Works OAO

CID001769

Conformant

Gold

Sumitomo Metal Mining Co., Ltd.

CID001798

Conformant

Gold

Super Dragon Technology Co., Ltd.

CID001810

Outreach Required

Tantalum

Taki Chemical Co., Ltd.

CID001869

Conformant

Gold

Tanaka Kikinzoku Kogyo K.K.

CID001875

Conformant

Tantalum

Telex Metals

CID001891

Conformant

Tin

Thaisarco

CID001898

Conformant

Tin

Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.

CID001908

Conformant

Gold

Great Wall Precious Metals Co., Ltd. of CBPM

CID001909

Outreach Required

Gold

The Refinery of Shandong Gold Mining Co., Ltd.

CID001916

Conformant

Gold

Tokuriki Honten Co., Ltd.

CID001938

Conformant

Gold

Tongling Nonferrous Metals Group Co., Ltd.

CID001947

Outreach Required

Gold

Torecom

CID001955

Conformant

Tantalum

Ulba Metallurgical Plant JSC

CID001969

Conformant

Gold

Umicore S.A. Business Unit Precious Metals Refining

CID001980

Conformant

Gold

United Precious Metal Refining, Inc.

CID001993

Conformant

Gold

Valcambi S.A.

CID002003

Conformant

Tin

VQB Mineral and Trading Group JSC

CID002015

Outreach Required

Gold

Western Australian Mint (T/a The Perth Mint)

CID002030

Conformant

Tin

White Solder Metalurgia e Mineracao Ltda.

CID002036

Conformant

Tungsten

Wolfram Bergbau und Hutten AG

CID002044

Conformant

Tungsten

Xiamen Tungsten Co., Ltd.

CID002082

Conformant

Gold

Yamakin Co., Ltd.

CID002100

Conformant

Gold

Yokohama Metal Co., Ltd.

CID002129

Conformant

Tin

Yunnan Chengfeng Non-ferrous Metals Co., Ltd.

CID002158

Conformant

Tin

Yunnan Tin Company Limited

CID002180

Conformant

Gold

Zhongyuan Gold Smelter of Zhongjin Gold Corporation

CID002224

Conformant

Gold

Gold Refinery of Zijin Mining Group Co., Ltd.

CID002243

Conformant

Gold

Morris and Watson

CID002282

In Communication

Gold

SAFINA A.S.

CID002290

Conformant

Gold

Guangdong Jinding Gold Limited

CID002312

Outreach Required

Tungsten

Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.

CID002313

Communication Suspended - Not Interested

Gold

Umicore Precious Metals Thailand

CID002314

Conformant

Tungsten

Ganzhou Jiangwu Ferrotungsten Co., Ltd.

CID002315

Conformant

Tungsten

Jiangxi Yaosheng Tungsten Co., Ltd.

CID002316

Conformant

Tungsten

Jiangxi Xinsheng Tungsten Industry Co., Ltd.

CID002317

Conformant

Tungsten

Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.

CID002318

Conformant

Tungsten

Malipo Haiyu Tungsten Co., Ltd.

CID002319

Conformant

Tungsten

Xiamen Tungsten (H.C.) Co., Ltd.

CID002320

Conformant

Tungsten

Jiangxi Gan Bei Tungsten Co., Ltd.

CID002321

Conformant

Tin

CV Venus Inti Perkasa

CID002455

Active

Gold

Geib Refining Corporation

CID002459

Conformant

Tin

Magnu's Minerais Metais e Ligas Ltda.

CID002468

Conformant

Tantalum

Hengyang King Xing Lifeng New Materials Co., Ltd.

CID002492

Conformant

Tungsten

Ganzhou Seadragon W & Mo Co., Ltd.

CID002494

Conformant

Tin

Melt Metais e Ligas S.A.

CID002500

Outreach Required

Tungsten

Asia Tungsten Products Vietnam Ltd.

CID002502

Conformant

Tin

PT ATD Makmur Mandiri Jaya

CID002503

Conformant

Tantalum

D Block Metals, LLC

CID002504

Conformant

Tantalum

FIR Metals & Resource Ltd.

CID002505

Conformant

Tantalum

Jiujiang Zhongao Tantalum & Niobium Co., Ltd.

CID002506

Conformant

Tantalum

XinXing HaoRong Electronic Material Co., Ltd.

CID002508

Conformant

Gold

MMTC-PAMP India Pvt., Ltd.

CID002509

Conformant

Gold

KGHM Polska Miedz Spolka Akcyjna

CID002511

Conformant

Tantalum

Jiangxi Dinghai Tantalum & Niobium Co., Ltd.

CID002512

Conformant

Tungsten

Chenzhou Diamond Tungsten Products Co., Ltd.

CID002513

Conformant

Gold

Fidelity Printers and Refiners Ltd.

CID002515

RMI Due Diligence Review - Unable to Proceed

Gold

Singway Technology Co., Ltd.

CID002516

Conformant

Tin

O.M. Manufacturing Philippines, Inc.

CID002517

Conformant

Gold

Shandong Humon Smelting Co., Ltd.

CID002525

Outreach Required

Gold

Shenzhen Zhonghenglong Real Industry Co., Ltd.

CID002527

Outreach Required

Tantalum

KEMET Blue Metals

CID002539

Conformant

Tungsten

H.C. Starck Tungsten GmbH

CID002541

Conformant

Tungsten

H.C. Starck Smelting GmbH & Co. KG

CID002542

Conformant

Tungsten

Masan Tungsten Chemical LLC (MTC)

CID002543

Conformant

Tantalum

H.C. Starck Co., Ltd.

CID002544

Conformant

Tantalum

H.C. Starck Tantalum and Niobium GmbH

CID002545

Conformant

Tantalum

H.C. Starck Hermsdorf GmbH

CID002547

Conformant

Tantalum

H.C. Starck Inc.

CID002548

Conformant

Tantalum

H.C. Starck Ltd.

CID002549

Conformant

Tantalum

H.C. Starck Smelting GmbH & Co. KG

CID002550

Conformant

Tungsten

Jiangwu H.C. Starck Tungsten Products Co., Ltd.

CID002551

Conformant

Tantalum

Global Advanced Metals Boyertown

CID002557

Conformant

Tantalum

Global Advanced Metals Aizu

CID002558

Conformant

Gold

Al Etihad Gold Refinery DMCC

CID002560

Conformant

Gold

Emirates Gold DMCC

CID002561

Conformant

Gold

International Precious Metal Refiners

CID002562

In Communication

Gold

Kaloti Precious Metals

CID002563

RMI Due Diligence Review - Unable to Proceed

Gold

Sudan Gold Refinery

CID002567

Outreach Required

Tin

Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company

CID002572

Non Conformant

Tin

Nghe Tinh Non-Ferrous Metals Joint Stock Company

CID002573

Outreach Required

Tin

Tuyen Quang Non-Ferrous Metals Joint Stock Company

CID002574

Outreach Required

Gold

T.C.A S.p.A

CID002580

Conformant

Gold

REMONDIS PMR B.V.

CID002582

Conformant

Gold

Fujairah Gold FZC

CID002584

Outreach Required

Gold

Industrial Refining Company

CID002587

Non Conformant

Gold

Shirpur Gold Refinery Ltd.

CID002588

Outreach Required

Tungsten

Niagara Refining LLC

CID002589

Conformant

Gold

Korea Zinc Co., Ltd.

CID002605

Conformant

Gold

Marsam Metals

CID002606

Conformant

Gold

TOO Tau-Ken-Altyn

CID002615

Conformant

Tungsten

China Molybdenum Co., Ltd.

CID002641

Conformant

Tungsten

Ganzhou Haichuang Tungsten Co., Ltd.

CID002645

Conformant

Tungsten

Hydrometallurg, JSC

CID002649

Conformant

Tin

An Vinh Joint Stock Mineral Processing Company

CID002703

Outreach Required

Tin

Resind Industria e Comercio Ltda.

CID002706

Conformant

Tantalum

Resind Industria e Comercio Ltda.

CID002707

Conformant

Gold

Abington Reldan Metals, LLC

CID002708

Non Conformant

Tungsten

Unecha Refractory metals plant

CID002724

Conformant

Tin

Super Ligas

CID002756

Active

Gold

SAAMP

CID002761

Conformant

Gold

L'Orfebre S.A.

CID002762

Conformant

Gold

8853 S.p.A.

CID002763

Conformant

Gold

Italpreziosi

CID002765

Conformant

Tin

Metallo Belgium N.V.

CID002773

Conformant

Tin

Metallo Spain S.L.U.

CID002774

Conformant

Gold

WIELAND Edelmetalle GmbH

CID002778

Conformant

Gold

Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH

CID002779

Conformant

Tungsten

Philippine Chuangxin Industrial Co., Inc.

CID002827

Conformant

Tungsten

Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.

CID002830

Conformant

Tungsten

ACL Metais Eireli

CID002833

Conformant

Tin

Thai Nguyen Mining and Metallurgy Co., Ltd.

CID002834

Conformant

Tin

PT Menara Cipta Mulia

CID002835

Conformant

Tantalum

Jiangxi Tuohong New Raw Material

CID002842

Conformant

Tungsten

Moliren Ltd.

CID002845

Conformant

Gold

AU Traders and Refiners

CID002850

Non Conformant

Gold

GCC Gujrat Gold Centre Pvt. Ltd.

CID002852

Active

Gold

Sai Refinery

CID002853

Outreach Required

Gold

Modeltech Sdn Bhd

CID002857

Non Conformant

Tin

Modeltech Sdn Bhd

CID002858

Non Conformant

Gold

Bangalore Refinery

CID002863

Conformant

Gold

Kyshtym Copper-Electrolytic Plant ZAO

CID002865

Outreach Required

Gold

Degussa Sonne / Mond Goldhandel GmbH

CID002867

Outreach Required

Gold

Pease & Curren

CID002872

Communication Suspended - Not Interested

Gold

JALAN & Company

CID002893

Outreach Required

Gold

SungEel HiMetal Co., Ltd.

CID002918

Conformant

Gold

Planta Recuperadora de Metales SpA

CID002919

Conformant

Gold

Safimet S.p.A

CID002973

Conformant

Tin

Guangdong Hanhe Non-Ferrous Metal Co., Ltd.

CID003116

Conformant

Gold

State Research Institute Center for Physical Sciences and Technology

CID003153

Outreach Required

Gold

African Gold Refinery

CID003185

Outreach Required

Gold

Gold Coast Refinery

CID003186

Outreach Required

Gold

NH Recytech Company

CID003189

Conformant

Tin

Chifeng Dajingzi Tin Industry Co., Ltd.

CID003190

Conformant

Tin

PT Bangka Serumpun

CID003205

Conformant

Tin

Pongpipat Company Limited

CID003208

Outreach Required

Gold

QG Refining, LLC

CID003324

Outreach Required

Tin

Tin Technology & Refining

CID003325

Conformant

Gold

Dijllah Gold Refinery FZC

CID003348

Outreach Required

Tin

Dongguan CiEXPO Environmental Engineering Co., Ltd.

CID003356

Non Conformant

Tin

Ma'anshan Weitai Tin Co., Ltd.

CID003379

Conformant

Tin

PT Masbro Alam Stania

CID003380

Active

Tin

PT Rajawali Rimba Perkasa

CID003381

Conformant

Gold

CGR Metalloys Pvt Ltd.

CID003382

Outreach Required

Gold

Sovereign Metals

CID003383

Outreach Required

Tin

Luna Smelter, Ltd.

CID003387

Conformant

Tungsten

KGETS Co., Ltd.

CID003388

Conformant

Tin

Yunnan Yunfan Non-ferrous Metals Co., Ltd.

CID003397

Non Conformant

Tungsten

Fujian Ganmin RareMetal Co., Ltd.

CID003401

Conformant

Tungsten

Lianyou Metals Co., Ltd.

CID003407

Conformant

Tungsten

JSC "Kirovgrad Hard Alloys Plant"

CID003408

Conformant

Tin

Precious Minerals and Smelting Limited

CID003409

Non Conformant

Tin

Gejiu City Fuxiang Industry and Trade Co., Ltd.

CID003410

Outreach Required

Tungsten

NPP Tyazhmetprom LLC

CID003416

Active

Tungsten

GEM Co., Ltd.

CID003417

Conformant

Gold

C.I Metales Procesados Industriales SAS

CID003421

Active

Gold

Eco-System Recycling Co., Ltd. North Plant

CID003424

Conformant

Gold

Eco-System Recycling Co., Ltd. West Plant

CID003425

Conformant

Tungsten

Albasteel Industria e Comercio de Ligas Para Fundicao Ltd.

CID003427

Active

Tin

PT Mitra Sukses Globalindo

CID003449

Active

Gold

Augmont Enterprises Private Limited

CID003461

Active

Gold

Kundan Care Products Ltd.

CID003463

In Communication

Tungsten

Cronimet Brasil Ltda

CID003468

Conformant

Tin

CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda

CID003486

Active

Gold

Emerald Jewel Industry India Limited (Unit 1)

CID003487

In Communication

Gold

Emerald Jewel Industry India Limited (Unit 2)

CID003488

In Communication

Gold

Emerald Jewel Industry India Limited (Unit 3)

CID003489

In Communication

Gold

Emerald Jewel Industry India Limited (Unit 4)

CID003490

In Communication

Gold

K.A. Rasmussen

CID003497

Outreach Required

Gold

Alexy Metals

CID003500

Active

Tin

CRM Synergies

CID003524

Conformant

Gold

Sancus ZFS (L’Orfebre, SA)

CID003529

Active

Gold

Sellem Industries Ltd.

CID003540

Communication Suspended - Not Interested

Gold

MD Overseas

CID003548

In Communication

Tungsten

Artek LLC

CID003553

Outreach Required

Gold

Metallix Refining Inc.

CID003557

In Communication

Gold

Metal Concentrators SA (Pty) Ltd.

CID003575

Conformant

Tungsten

Fujian Xinlu Tungsten

CID003609

Conformant

Tungsten

OOO “Technolom” 2

CID003612

Active

Tungsten

OOO “Technolom” 1

CID003614

Active

Tin

PT Sariwiguna Binasentosa

CID001463

Conformant

Tin

PT Cipta Persada Mulia

CID002696

Conformant

Tin

PT Sukses Inti Makmur

CID002816

Active

Tantalum

Yancheng Jinye New Material Technology Co., Ltd.

CID003583

Conformant

Tin

PT Belitung Industri Sejahtera

CID001421

Outreach Required

Tin

PT Panca Mega Persada

CID001457

Outreach Required

Tin

PT Tirus Putra Mandiri

CID002478

Outreach Required

Tin

Fabrica Auricchio Industria e Comercio Ltda.

CID003582

Conformant

Gold

WEEEREFINING

CID003615

Active

Gold

Value Trading

CID003617

In Communication

Tin

PT Tommy Utama

CID001493

In Communication

 

 

 
 

 

APPENDIX B: COUNTRIES OF ORIGIN

 

Country List

Afghanistan

Åland Islands

Albania

American Samoa

Andorra

Angola

Argentina

Armenia

Australia

Austria

Belarus

Belgium

Bermuda

Bolivia (Plurinational State of)

Brazil

Bulgaria

Burundi

Cambodia

Canada

Central African Republic

Chile

China

Colombia

Congo

Democratic Republic of Congo

Djibouti

Dominica

Dominican Republic

Ecuador

Egypt

Eritrea

Estonia

Ethiopia

Finland

France

Germany

Ghana

Guinea

Guyana

Hong Kong

Hungary

India

Indonesia

Ireland

Israel

Italy

Japan

Kazakhstan

Kenya

Korea

Kyrgyzstan

Liberia

Lithuania

Luxembourg

Madagascar

Malaysia

Mali

Mauritania

Mexico

Mongolia

Morocco

Mozambique

Myanmar

Namibia

Netherlands

New Zealand

Niger

Nigeria

Panama

Papua New Guinea

Peru

Philippines

Poland

Portugal

Russian Federation

Rwanda

Saudi Arabia

Sierra Leone

Singapore

Slovakia

Slovenia

South Africa

South Sudan

Spain

Sudan

Suriname

Sweden

Switzerland

Taiwan

Tajikistan

Tanzania

Thailand

Turkey

Uganda

United Arab Emirates

United Kingdom

United States

Uzbekistan

Viet Nam

Zambia

Zimbabwe