Exhibit 1.01
Conflict Minerals Report
OF ROCKWELL AUTOMATION, INC.
INACCORDWITH RULE 13P-1UNDERTHE SECURITIES EXCHANGE ACTOF 1934
This is the Conflict Minerals Report of Rockwell Automation, Inc. (the Company or Rockwell Automation) for calendar year 2016 in accord with Rule 13p-1 under the Securities Exchange Act of 1934 (“Rule 13p-1”). Numerous terms in this Conflict Minerals Report are defined in Rule 13p-1 and Form SD and the reader is referred to those sources and to 1934 Act Release No. 34-67716 (August 22, 2012) for such definitions.
| I. | Introduction |
Rockwell Automation is a leading global provider of industrial automation power, control and information solutions. The Company has two operating segments: Architecture & Software and Control Products & Solutions. The Architecture & Software segment contains all of the hardware, software and communication components of our integrated control and information architecture. The Control Products & Solutions segment portfolio includes electro-mechanical and electronic motor starters, motor and circuit protection devices, AC/DC variable frequency drives, push buttons, signaling devices, termination and protection devices, relays, timers and condition sensors.
For calendar year 2016, Rockwell Automation considers all products sold to be in-scope and include:
| • | Controllers, electronic operator interface devices, electronic input/output devices, communication and networking products industrial computers and Logix controllers. |
| • | Rotary and linear motion control products, sensors and machine safety components. |
| • | Low and medium voltage electro-mechanical and electronic motor starters, motor and circuit protection devices, AC/DC variable frequency drives, push buttons, signaling devices, termination and protection devices, relays, timers and condition sensors. |
| • | Packaged solutions such as configured drives and motor control centers and automation and information solutions for manufacturing applications. |
Rockwell Automation’s supply chain is complex and there are multiple tiers between the Company and the mine. Rockwell Automation relies on its suppliers to provide information on the origin of the tin, tantalum, tungsten and gold (3TG) necessary to the functionality or production of components that are included in Rockwell Automation products. Many Rockwell Automation products contain at least one of the 3TG minerals.
Rockwell Automation’s due diligence processes have been designed in conformance with the due diligence related steps of the framework in The Organization for Economic Co-operation and Development (OECD) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas: Second Edition (OECD 2013), and related Supplements for gold, tantalum, tin and tungsten (OECD Framework). Process improvements were made in 2016 to the Rockwell Automation Conflict Minerals internal processes to better align procedures with OECD, expand completeness and reasonableness measures, and standardize terminology based on an external consultant review.
| II. | Reasonable Country of Origin Inquiry |
OECD Step 1 – Establish strong company management systems
The Company incorporated leading practices from multi-industry initiatives such as MAPI (Manufacturers Alliance for Productivity and Innovation), EICC (Electronic Industry Citizen Coalition) and GeSI (Global e-Sustainability Initiative) and CFSI (Conflict Free Sourcing Initiative) as a part of the development and execution of Rockwell Automation’s conflict minerals compliance program.
Company Policies - Rockwell Automation communicated conflict minerals expectations to suppliers and the public via a Conflict Minerals Supply Chain Statement and a Supplier Code of Conduct, which encourage suppliers to source responsibly, and are available at the following internet website:http://www.rockwellautomation.com/global/about-us/sustainability-ethics/integrity-compliance-overview.page (File Name: Rockwell Automation Conflict Minerals Supply Chain Statement, Supplier Code of Conduct)
Internal Management Team - Rockwell Automation utilized an executive steering committee and relevant staff functions and technical experts (e.g. Legal, Purchasing, Strategic Sourcing, Chemistry & Materials Engineering) to support the Company’s Conflict Minerals program managed by the Engineering Services Program Management Office (Conflict Minerals Team).
System of Controls and Transparency - Rockwell Automation adopted a conflict minerals transparency contract with the expectation that suppliers provide information regarding the origin of their 3TG in purchase orders and new contracts. The transparency contract language is inserted into existing contracts as they are renewed.
Conflict Minerals documentation was retained based on existing Rockwell Automation process for record retention requiring a 10 year retention period for regulatory filings.
Rockwell Automation used a data management tool to maintain conflict minerals information provided by suppliers.
Supplier Engagement – Rockwell Automation educated its applicable suppliers by providing general conflict minerals information, Conflict Free Sourcing Initiative information, and links to additional resources to highlight requirements, resources available and the importance of conflict minerals investigations during the annual request for information (RFI).
Grievance Mechanism - Anyone can report violations of Rockwell Automation’s policies athttp://www.rockwellautomation.com/rockwellautomation/about-us/sustainability-ethics/ombudsman.page A secure and confidential service is provided by a third party athttps://secure.ethicspoint.com/domain/media/en/gui/43130/index.html
RCOI list creation and data collection - (not an OECDstep)
Due to the complexity and size of its supply chain, Rockwell Automation developed a risk-based approach that focused on direct suppliers that it believed were likely to provide Rockwell Automation with components and/or raw materials containing tin, tantalum, tungsten and gold (3TG).
The smelters and refiners are consolidation points for raw ore and are in the best position in the total supply chain to know the origin of the ores. Rockwell Automation engages its suppliers and encourages them to inform their suppliers and/or smelters and refiners of 3TG supply chain transparency requirements.
Rockwell Automation provided updated training materials on its conflict minerals policies to internal Rockwell Automation employees (e.g. supplier quality, corporate purchasing, strategic sourcing,and compliance personnel).
Rockwell Automation did the following to identify sources of 3TG in its products:
| • | Conducted a supply-chain survey with all direct suppliers that it believed were likely to provide components and raw materials containing 3TG. |
| • | These suppliers were identified based on their alignment with commodities of parts they supply, their supplier status and annual spend. |
| • | Inquiries requested the use of the template managed by the Conflict Free Sourcing Initiative, known as the Conflict Minerals Reporting Template (the CMRT), to identify smelters and refiners in their supply chain. |
| • | Customized RFI communications were sent to suppliers who did not provide a requested CRMT in the previous year to get a better response rate. |
| • | Used an internal data collection team who made initial supplier requests, forwarded responses and/or questions to the Conflict Mineral Team and tracked supplier responses. |
| • | Used an escalation process to drive supplier responses when required. |
| • | If suppliers did not respond in a designated time frame, the contact with suppliers was escalated to the related Buyers, Sourcing Managers, and ultimately, it was escalated to Sourcing Directors until resolved. |
| • | Reviewed supplier responses for reasonableness and completeness, and, where appropriate, further inquired of these suppliers to explain their reason for certain answers. |
Rockwell Automation received responses back from 100% of these suppliers in 2016 (100% in 2015). Of those responding, 67% indicated they had 100% of their information (49% in 2015).
OECD Step 2 – Identify and assess risk in the supply chain
Rockwell Automation evaluated and assigned the supplier risk based on responses, their completeness and reasonableness evaluation, and their smelter list. Rockwell Automation used the Conflict Free Sourcing Initiative information and general public information to determine a smelter or refiner’s country of origin.
Rockwell Automation executives were kept informed of potential risks through the Product Compliance Council meetings sponsored by the Chief Technology Officer.
III. Due Diligence Design and Performance
Due Diligence Design
Rockwell Automation’s due diligence processes were designed in conformance with the due diligence related steps of the OECD 2013 and OECD Framework.
Due Diligence Measures Performed
OECD Step 3 – Design and implement a strategy to respond to identified risks
Rockwell Automation defines identified risk as the potential for a smelter to source from mines that support armed forces in the DRC region. It is not our intent to refrain from sourcing 3TG from the DRC region.
Rockwell Automation identified risk in the supply chain by supporting the audit strategy of 3TG smelters and refiners conducted by third parties through its participation in, and payment of membership dues to, the Conflict Free Sourcing Initiative. Rockwell Automation became a member of the Conflict Free Sourcing Initiative in 2014. (CFSI Member identification: RKWL)
New suppliers to Rockwell Automation were subjected to a New Supplier Audit process to understand their conflict minerals engagement. New and existing suppliers were evaluated based on their smelter and refiner information obtained from CMRT declarations and assigned a risk. Rockwell Automation used the Conflict Free Sourcing Initiative information and general public information to determine a smelter or refiner’s conflict minerals status.
Rockwell Automation executives were kept informed of risk management actions through the Product Compliance Council meetings sponsored by the Chief Technology Officer.
There was no instance where it was necessary to implement risk mitigation or any corrective actions to suppliers in 2016 based on the suppliers’ assigned risk. Rockwell Automation’s risk mitigation process includes the following steps if smelters or refiners were identified as supporting armed forces activity.
| • | Identify the Rockwell components and product affected by this supplier. |
| • | Identify specific components Rockwell Automation purchased from that supplier’s conflict source to determine whether corrective action is necessary. |
| • | Establish specific correction actions for each supplier and track actions. |
| • | If corrective action would be required and the supplier refuses to take actions to change that relationship (through either changing their suppliers or driving their suppliers to source only from conflict free sources) the supplier would be the subject of additional risk mitigation, which could result in suspended trade or disengagement from Rockwell Automation. |
OECD Step 4 – Carry out an independent third-party audit of the supply chain due diligence.
Rockwell Automation, as a member of the Conflict Free Sourcing Initiative, supported the audit of smelters and refiners and CFSI’s efforts to identify the country of origin of the smelter and refiner 3TG, as described in CFSI websitehttp://www.conflictfreesourcing.org/. Rockwell Automation encouraged its suppliers to become members of CFSI during our annual request for information.
Rockwell Automation provides the CFSI with any unidentified smelter / refiner information received from suppliers for CFSI analysis.
OECD Step 5 – Report on supply chain due diligence
Rockwell Automation files its Conflict Mineral Report on Form SD annually with the SEC. Rockwell Automation also publishes its Conflict Mineral Report on its website annually at
http://www.rockwellautomation.com/rockwellautomation/about-us/sustainability-ethics/integrity-compliance-overview.page
(Rockwell Automation Conflict Mineral SD Form 2016)
IV. Smelter and Refiner Disclosures
Facilities and Country of Origin of 3TG
Schedule 1 lists the smelters and refiners on the Rockwell Automation CMRT. Rockwell Automation’s CMRT smelter list contains smelters and refiners that have and have not been evaluated by the Conflict Free Sourcing Initiative. Any smelters and refiners on the Rockwell Automation CMRT identified as sourcing from the DRC region were found to be compliant with the CFSI assessment protocol. The data collection was completed as of April 30, 2017. The Rockwell Automation CMRT list was updated to reflect the facilities confirmed in the CFSI CMRT Smelter Reference List. Rockwell Automation cannot verify that all the smelters identified contributed to parts that ended up in Rockwell Automation products based on the information provided by suppliers.
Schedule 2 lists the country of origin (COO) of the 3TG processed by smelters verified by the Conflict Free Sourcing Initiative and identified by the Rockwell Automation supply chain. All smelters and refiners who source from the DRC region that have been audited by the Conflict Free Sourcing Initiative are compliant with the Conflict Free Sourcing Initiative assessment protocol. The data collection was completed as of April 30, 2017. Rockwell Automation cannot verifiy that any of the 3TG processed by smelters in any of the countries identified in Schedule 2 contributed to parts that ended up in Rockwell Automation products based on the information provided by suppliers.
V. Future Measures
Rockwell Automation will undertake the following steps during the next compliance period:
| • | Further customize the 2017 request for information for suppliers as deemed necessary to increase the information received. |
| • | Continue to support the Conflict Free Sourcing Initiative and smelter audits through our membership and participation in subcommittees. |
| • | Continue to share unidentified smelter lists with Conflict Free Sourcing Initiative to assist in identifying legitimate smelters and refiners. |
| • | Continue to direct suppliers to the Conflict Free Sourcing Initiative organization for information, and encourage them to support the Conflict Free Sourcing Initiative efforts through membership. |
Schedule 1
Schedule 1 contains Conflict Free Sourcing Initiative smelters and refiners identified by Rockwell Automation Supply Chain. Smelters and refiners with an asterisk (*) are compliant with the Conflict Free Sourcing Initiative assessment protocol as of May 4th, 2017. Similarly, smelters and refiners with a pound (#) are working with the CFSI to meet the CFSI assessment protocol. All other smelters have either never been audited or have not renewed their audit.
| Smelter ID | Metal | Smelter Name | Smelter Country | |||||
CID000015 | Gold | Advanced Chemical Company | * | United States | ||||
CID000019 | Gold | Aida Chemical Industries Co., Ltd. | * | Japan | ||||
CID000035 | Gold | Allgemeine Gold-und Silberscheideanstalt A.G. | * | Germany | ||||
CID000041 | Gold | Almalyk Mining and Metallurgical Complex (AMMC) | * | Uzbekistan | ||||
CID000058 | Gold | AngloGold Ashanti Córrego do Sítio Mineração | * | Brazil | ||||
CID000077 | Gold | Argor-Heraeus S.A. | * | Switzerland | ||||
CID000082 | Gold | Asahi Pretec Corp. | * | Japan | ||||
CID000090 | Gold | Asaka Riken Co., Ltd. | * | Japan | ||||
CID000103 | Gold | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | Turkey | |||||
CID000113 | Gold | Aurubis AG | * | Germany | ||||
CID000128 | Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | * | Philippines | ||||
CID000157 | Gold | Boliden AB | * | Sweden | ||||
CID000176 | Gold | C. Hafner GmbH + Co. KG | * | Germany | ||||
CID000180 | Gold | Caridad | Mexico | |||||
CID000185 | Gold | CCR Refinery - Glencore Canada Corporation | * | Canada | ||||
CID000189 | Gold | Cendres + Métaux S.A. | # | Switzerland | ||||
CID000197 | Gold | Yunnan Copper Industry Co., Ltd. | China | |||||
CID000233 | Gold | Chimet S.p.A. | * | Italy | ||||
CID000264 | Gold | Chugai Mining | Japan | |||||
CID000328 | Gold | Daejin Indus Co., Ltd. | * | Korea (Republic Of) | ||||
CID000343 | Gold | Daye Non-Ferrous Metals Mining Ltd. | China | |||||
CID000359 | Gold | DSC (Do Sung Corporation) | * | Korea (Republic Of) | ||||
CID000362 | Gold | DODUCO GmbH | * | Germany | ||||
CID000401 | Gold | Dowa | * | Japan | ||||
CID000425 | Gold | Eco-System Recycling Co., Ltd. | * | Japan | ||||
CID000493 | Gold | OJSC Novosibirsk Refinery | * | Russian Federation | ||||
CID000522 | Gold | Gansu Seemine Material Hi-Tech Co., Ltd. | China | |||||
CID000651 | Gold | Guoda Safina High-Tech Environmental Refinery Co., Ltd. | China | |||||
CID000671 | Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. | China | |||||
CID000689 | Gold | HeeSung Metal Ltd. | # | Korea (Republic Of) | ||||
CID000694 | Gold | Heimerle + Meule GmbH | * | Germany | ||||
CID000707 | Gold | Heraeus Ltd. Hong Kong | * | China | ||||
CID000711 | Gold | Heraeus Precious Metals GmbH & Co. KG | * | Germany | ||||
CID000767 | Gold | Hunan Chenzhou Mining Co., Ltd. | China | |||||
CID000778 | Gold | HwaSeong CJ Co., Ltd. | Korea (Republic Of) | |||||
CID000801 | Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | * | China | ||||
CID000807 | Gold | Ishifuku Metal Industry Co., Ltd. | * | Japan | ||||
CID000814 | Gold | Istanbul Gold Refinery | * | Turkey | ||||
CID000823 | Gold | Japan Mint | * | Japan | ||||
CID000855 | Gold | Jiangxi Copper Co., Ltd. | * | China | ||||
CID000920 | Gold | Asahi Refining USA Inc. | * | United States |
CID000924 | Gold | Asahi Refining Canada Ltd. | * | Canada | ||||
CID000927 | Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | * | Russian Federation | ||||
CID000929 | Gold | JSC Uralelectromed | * | Russian Federation | ||||
CID000937 | Gold | JX Nippon Mining & Metals Co., Ltd. | * | Japan | ||||
CID000956 | Gold | Kazakhmys Smelting LLC | Kazakhstan | |||||
CID000957 | Gold | Kazzinc | * | Kazakhstan | ||||
CID000969 | Gold | Kennecott Utah Copper LLC | * | United States | ||||
CID000981 | Gold | Kojima Chemicals Co., Ltd. | * | Japan | ||||
CID001029 | Gold | Kyrgyzaltyn JSC | * | Kyrgyzstan | ||||
CID001032 | Gold | L’azurde Company For Jewelry | Saudi Arabia | |||||
CID001056 | Gold | Lingbao Gold Co., Ltd. | China | |||||
CID001058 | Gold | Lingbao Jinyuan Tonghui Refinery Co., Ltd. | China | |||||
CID001078 | Gold | LS-NIKKO Copper Inc. | * | Korea (Republic Of) | ||||
CID001093 | Gold | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | China | |||||
CID001113 | Gold | Materion | * | United States | ||||
CID001119 | Gold | Matsuda Sangyo Co., Ltd. | * | Japan | ||||
CID001147 | Gold | Metalor Technologies (Suzhou) Ltd. | * | China | ||||
CID001149 | Gold | Metalor Technologies (Hong Kong) Ltd. | * | China | ||||
CID001152 | Gold | Metalor Technologies (Singapore) Pte., Ltd. | * | Singapore | ||||
CID001153 | Gold | Metalor Technologies S.A. | * | Switzerland | ||||
CID001157 | Gold | Metalor USA Refining Corporation | * | United States | ||||
CID001161 | Gold | Metalúrgica Met-Mex Peñoles S.A. De C.V. | * | Mexico | ||||
CID001188 | Gold | Mitsubishi Materials Corporation | * | Japan | ||||
CID001193 | Gold | Mitsui Mining and Smelting Co., Ltd. | * | Japan | ||||
CID001204 | Gold | Moscow Special Alloys Processing Plant | * | Russian Federation | ||||
CID001220 | Gold | Nadir Metal Rafineri San. Ve Tic. A.Ş. | * | Turkey | ||||
CID001236 | Gold | Navoi Mining and Metallurgical Combinat | # | Uzbekistan | ||||
CID001259 | Gold | Nihon Material Co., Ltd. | * | Japan | ||||
CID001322 | Gold | Elemetal Refining, LLC | United States | |||||
CID001325 | Gold | Ohura Precious Metal Industry Co., Ltd. | * | Japan | ||||
CID001326 | Gold | OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet) | * | Russian Federation | ||||
CID001352 | Gold | PAMP S.A. | * | Switzerland | ||||
CID001362 | Gold | Penglai Penggang Gold Industry Co., Ltd. | China | |||||
CID001386 | Gold | Prioksky Plant of Non-Ferrous Metals | * | Russian Federation | ||||
CID001397 | Gold | PT Aneka Tambang (Persero) Tbk | * | Indonesia | ||||
CID001498 | Gold | PX Précinox S.A. | * | Switzerland | ||||
CID001512 | Gold | Rand Refinery (Pty) Ltd. | * | South Africa | ||||
CID001534 | Gold | Royal Canadian Mint | * | Canada | ||||
CID001546 | Gold | Sabin Metal Corp. | United States | |||||
CID001555 | Gold | Samduck Precious Metals | * | Korea (Republic Of) |
CID001562 | Gold | Samwon Metals Corp. | Korea (Republic Of) | |||||
CID001573 | Gold | Schone Edelmetaal B.V. | * | Netherlands | ||||
CID001585 | Gold | SEMPSA Joyería Platería S.A. | * | Spain | ||||
CID001619 | Gold | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | China | |||||
CID001622 | Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | * | China | ||||
CID001736 | Gold | Sichuan Tianze Precious Metals Co., Ltd. | * | China | ||||
CID001754 | Gold | So Accurate Group, Inc. | United States | |||||
CID001756 | Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | * | Russian Federation | ||||
CID001761 | Gold | Solar Applied Materials Technology Corp. | * | Taiwan | ||||
CID001798 | Gold | Sumitomo Metal Mining Co., Ltd. | * | Japan | ||||
CID001875 | Gold | Tanaka Kikinzoku Kogyo K.K. | * | Japan | ||||
CID001909 | Gold | Great Wall Precious Metals Co., Ltd. of CBPM | China | |||||
CID001916 | Gold | The Refinery of Shandong Gold Mining Co., Ltd. | * | China | ||||
CID001938 | Gold | Tokuriki Honten Co., Ltd. | * | Japan | ||||
CID001947 | Gold | Tongling Nonferrous Metals Group Co., Ltd. | China | |||||
CID001955 | Gold | Torecom | * | Korea (Republic Of) | ||||
CID001977 | Gold | Umicore Brasil Ltda. | * | Brazil | ||||
CID001980 | Gold | Umicore S.A. Business Unit Precious Metals Refining | * | Belgium | ||||
CID001993 | Gold | United Precious Metal Refining, Inc. | * | United States | ||||
CID002003 | Gold | Valcambi S.A. | * | Switzerland | ||||
CID002030 | Gold | Western Australian Mint trading as The Perth Mint | * | Australia | ||||
CID002100 | Gold | Yamamoto Precious Metal Co., Ltd. | * | Japan | ||||
CID002129 | Gold | Yokohama Metal Co., Ltd. | * | Japan | ||||
CID002224 | Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | * | China | ||||
CID002243 | Gold | Zijin Mining Group Co., Ltd. Gold Refinery | * | China | ||||
CID002282 | Gold | Morris and Watson | New Zealand | |||||
CID002290 | Gold | SAFINA A.S. | # | Czech Republic | ||||
CID002312 | Gold | Guangdong Jinding Gold Limited | China | |||||
CID002314 | Gold | Umicore Precious Metals Thailand | * | Thailand | ||||
CID002459 | Gold | Geib Refining Corporation | * | United States | ||||
CID002509 | Gold | MMTC-PAMP India Pvt., Ltd. | * | India | ||||
CID002510 | Gold | Republic Metals Corporation | * | United States | ||||
CID002511 | Gold | KGHM Polska Miedź Spółka Akcyjna | # | Poland | ||||
CID002515 | Gold | Fidelity Printers and Refiners Ltd. | Zimbabwe | |||||
CID002516 | Gold | Singway Technology Co., Ltd. | * | Taiwan | ||||
CID002560 | Gold | Al Etihad Gold Refinery DMCC | * | United Arab Emirates | ||||
CID002561 | Gold | Emirates Gold DMCC | * | United Arab Emirates | ||||
CID002563 | Gold | Kaloti Precious Metals | United Arab Emirates | |||||
CID002567 | Gold | Sudan Gold Refinery | Sudan |
CID002580 | Gold | T.C.A S.p.A | * | Italy | ||||
CID002582 | Gold | Remondis Argentia B.V. | Netherlands | |||||
CID002587 | Gold | Tony Goetz NV | # | Belgium | ||||
CID002605 | Gold | Korea Zinc Co., Ltd. | * | Korea (Republic Of) | ||||
CID002615 | Gold | TOO Tau-Ken-Altyn | Kazakhstan | |||||
CID002708 | Gold | Abington Reldan Metals, LLC | United States | |||||
CID002761 | Gold | SAAMP | France | |||||
CID002762 | Gold | L’Orfebre S.A. | Andorra | |||||
CID002777 | Gold | SAXONIA Edelmetalle GmbH | * | Germany | ||||
CID002778 | Gold | WIELAND Edelmetalle GmbH | * | Germany | ||||
CID002779 | Gold | Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH | * | Austria | ||||
CID002850 | Gold | AU Traders and Refiners | * | South Africa | ||||
CID002852 | Gold | Gujarat Gold Centre | India | |||||
CID002853 | Gold | Sai Refinery | India | |||||
CID002854 | Gold | Universal Precious Metals Refining Zambia | Zambia | |||||
CID002857 | Gold | Modeltech Sdn Bhd | # | Malaysia | ||||
CID002863 | Gold | Bangalore Refinery | # | India | ||||
CID002865 | Gold | Kyshtym Copper-Electrolytic Plant ZAO | Russian Federation | |||||
CID002866 | Gold | Morris and Watson Gold Coast | Australia | |||||
CID002867 | Gold | Degussa Sonne / Mond Goldhandel GmbH | Germany | |||||
CID002872 | Gold | Pease & Curren | United States | |||||
CID002918 | Gold | SungEel HiTech | # | Korea (Republic Of) | ||||
CID000211 | Tantalum | Changsha South Tantalum Niobium Co., Ltd. | * | China | ||||
CID000291 | Tantalum | Conghua Tantalum and Niobium Smeltry | * | China | ||||
CID000410 | Tantalum | Duoluoshan | * | China | ||||
CID000456 | Tantalum | Exotech Inc. | * | United States | ||||
CID000460 | Tantalum | F&X Electro-Materials Ltd. | * | China | ||||
CID000616 | Tantalum | Guangdong Zhiyuan New Material Co., Ltd. | * | China | ||||
CID000731 | Tantalum | Hi-Temp Specialty Metals, Inc. | * | United States | ||||
CID000914 | Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | * | China | ||||
CID000917 | Tantalum | Jiujiang Tanbre Co., Ltd. | * | China | ||||
CID000973 | Tantalum | King-Tan Tantalum Industry Ltd. | * | China | ||||
CID001076 | Tantalum | LSM Brasil S.A. | * | Brazil | ||||
CID001163 | Tantalum | Metallurgical Products India Pvt., Ltd. | * | India | ||||
CID001175 | Tantalum | Mineração Taboca S.A. | * | Brazil | ||||
CID001192 | Tantalum | Mitsui Mining and Smelting Co., Ltd. | * | Japan | ||||
CID001200 | Tantalum | Molycorp Silmet A.S. | * | Estonia | ||||
CID001277 | Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | * | China | ||||
CID001508 | Tantalum | QuantumClean | * | United States | ||||
CID001522 | Tantalum | RFH Tantalum Smeltry Co., Ltd. | * | China |
CID001769 | Tantalum | Solikamsk Magnesium Works OAO | * | Russian Federation | ||||
CID001869 | Tantalum | Taki Chemical Co., Ltd. | * | Japan | ||||
CID001891 | Tantalum | Telex Metals | * | United States | ||||
CID001969 | Tantalum | Ulba Metallurgical Plant JSC | * | Kazakhstan | ||||
CID002232 | Tantalum | Zhuzhou Cemented Carbide Group Co., Ltd. | * | China | ||||
CID002307 | Tantalum | Yichun Jin Yang Rare Metal Co., Ltd. | * | China | ||||
CID002492 | Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | * | China | ||||
CID002504 | Tantalum | D Block Metals, LLC | * | United States | ||||
CID002505 | Tantalum | FIR Metals & Resource Ltd. | * | China | ||||
CID002506 | Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | * | China | ||||
CID002508 | Tantalum | XinXing HaoRong Electronic Material Co., Ltd. | * | China | ||||
CID002512 | Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | * | China | ||||
CID002539 | Tantalum | KEMET Blue Metals | * | Mexico | ||||
CID002544 | Tantalum | H.C. Starck Co., Ltd. | * | Thailand | ||||
CID002545 | Tantalum | H.C. Starck GmbH Goslar | * | Germany | ||||
CID002547 | Tantalum | H.C. Starck Hermsdorf GmbH | * | Germany | ||||
CID002548 | Tantalum | H.C. Starck Inc. | * | United States | ||||
CID002549 | Tantalum | H.C. Starck Ltd. | * | Japan | ||||
CID002550 | Tantalum | H.C. Starck Smelting GmbH & Co. KG | * | Germany | ||||
CID002557 | Tantalum | Global Advanced Metals Boyertown | * | United States | ||||
CID002558 | Tantalum | Global Advanced Metals Aizu | * | Japan | ||||
CID002568 | Tantalum | KEMET Blue Powder | * | United States | ||||
CID002707 | Tantalum | Resind Indústria e Comércio Ltda. | * | Brazil | ||||
CID002842 | Tantalum | Jiangxi Tuohong New Raw Material | * | China | ||||
CID002847 | Tantalum | Power Resources Ltd. | * | Macedonia | ||||
CID000228 | Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | * | China | ||||
CID000244 | Tin | Jiangxi Ketai Advanced Material Co., Ltd. | * | China | ||||
CID000278 | Tin | CNMC (Guangxi) PGMA Co., Ltd. | China | |||||
CID000292 | Tin | Alpha | * | United States | ||||
CID000295 | Tin | Cooperativa Metalurgica de Rondônia Ltda. | * | Brazil | ||||
CID000306 | Tin | CV Gita Pesona | * | Indonesia | ||||
CID000309 | Tin | PT Aries Kencana Sejahtera | * | Indonesia | ||||
CID000313 | Tin | CV Serumpun Sebalai | * | Indonesia | ||||
CID000315 | Tin | CV United Smelting | * | Indonesia | ||||
CID000402 | Tin | Dowa | * | Japan | ||||
CID000438 | Tin | EM Vinto | * | Bolivia | ||||
CID000448 | Tin | Estanho de Rondônia S.A. | Brazil | |||||
CID000468 | Tin | Fenix Metals | * | Poland | ||||
CID000538 | Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. | * | China | ||||
CID000555 | Tin | Gejiu Zili Mining And Metallurgy Co., Ltd. | China | |||||
CID000760 | Tin | Huichang Jinshunda Tin Co., Ltd. | # | China |
CID000942 | Tin | Gejiu Kai Meng Industry and Trade LLC | # | China | ||||
CID001070 | Tin | China Tin Group Co., Ltd. | * | China | ||||
CID001105 | Tin | Malaysia Smelting Corporation (MSC) | * | Malaysia | ||||
CID001142 | Tin | Metallic Resources, Inc. | * | United States | ||||
CID001173 | Tin | Mineração Taboca S.A. | * | Brazil | ||||
CID001182 | Tin | Minsur | * | Peru | ||||
CID001191 | Tin | Mitsubishi Materials Corporation | * | Japan | ||||
CID001231 | Tin | Nankang Nanshan Tin Manufactory Co., Ltd. | # | China | ||||
CID001314 | Tin | O.M. Manufacturing (Thailand) Co., Ltd. | * | Thailand | ||||
CID001337 | Tin | Operaciones Metalurgical S.A. | * | Bolivia | ||||
CID001399 | Tin | PT Artha Cipta Langgeng | * | Indonesia | ||||
CID001402 | Tin | PT Babel Inti Perkasa | * | Indonesia | ||||
CID001419 | Tin | PT Bangka Tin Industry | * | Indonesia | ||||
CID001421 | Tin | PT Belitung Industri Sejahtera | * | Indonesia | ||||
CID001428 | Tin | PT Bukit Timah | * | Indonesia | ||||
CID001434 | Tin | PT DS Jaya Abadi | * | Indonesia | ||||
CID001438 | Tin | PT Eunindo Usaha Mandiri | * | Indonesia | ||||
CID001448 | Tin | PT Karimun Mining | * | Indonesia | ||||
CID001453 | Tin | PT Mitra Stania Prima | * | Indonesia | ||||
CID001457 | Tin | PT Panca Mega Persada | * | Indonesia | ||||
CID001458 | Tin | PT Prima Timah Utama | * | Indonesia | ||||
CID001460 | Tin | PT Refined Bangka Tin | * | Indonesia | ||||
CID001463 | Tin | PT Sariwiguna Binasentosa | * | Indonesia | ||||
CID001468 | Tin | PT Stanindo Inti Perkasa | * | Indonesia | ||||
CID001471 | Tin | PT Sumber Jaya Indah | * | Indonesia | ||||
CID001477 | Tin | PT Timah (Persero) Tbk Kundur | * | Indonesia | ||||
CID001482 | Tin | PT Timah (Persero) Tbk Mentok | * | Indonesia | ||||
CID001490 | Tin | PT Tinindo Inter Nusa | * | Indonesia | ||||
CID001493 | Tin | PT Tommy Utama | * | Indonesia | ||||
CID001539 | Tin | Rui Da Hung | * | Taiwan | ||||
CID001758 | Tin | Soft Metais Ltda. | * | Brazil | ||||
CID001898 | Tin | Thaisarco | * | Thailand | ||||
CID001908 | Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | # | China | ||||
CID002015 | Tin | VQB Mineral and Trading Group JSC | * | Vietnam | ||||
CID002036 | Tin | White Solder Metalurgia e Mineração Ltda. | * | Brazil | ||||
CID002158 | Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | # | China | ||||
CID002180 | Tin | Yunnan Tin Company Limited | * | China | ||||
CID002455 | Tin | CV Venus Inti Perkasa | * | Indonesia | ||||
CID002468 | Tin | Magnu’s Minerais Metais e Ligas Ltda. | * | Brazil | ||||
CID002500 | Tin | Melt Metais e Ligas S.A. | * | Brazil | ||||
CID002503 | Tin | PT ATD Makmur Mandiri Jaya | * | Indonesia |
CID002517 | Tin | O.M. Manufacturing Philippines, Inc. | * | Philippines | ||||
CID002530 | Tin | PT Inti Stania Prima | * | Indonesia | ||||
CID002570 | Tin | CV Ayi Jaya | * | Indonesia | ||||
CID002572 | Tin | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | # | Vietnam | ||||
CID002573 | Tin | Nghe Tinh Non-Ferrous Metals Joint Stock Company | Vietnam | |||||
CID002574 | Tin | Tuyen Quang Non-Ferrous Metals Joint Stock Company | Vietnam | |||||
CID002592 | Tin | CV Dua Sekawan | * | Indonesia | ||||
CID002593 | Tin | CV Tiga Sekawan | * | Indonesia | ||||
CID002703 | Tin | An Vinh Joint Stock Mineral Processing Company | Vietnam | |||||
CID002706 | Tin | Resind Indústria e Comércio Ltda. | * | Brazil | ||||
CID002756 | Tin | Super Ligas | Brazil | |||||
CID002757 | Tin | PT O.M. Indonesia | * | Indonesia | ||||
CID002773 | Tin | Metallo-Chimique N.V. | * | Belgium | ||||
CID002774 | Tin | Metallo Spain S.L.U. | * | Spain | ||||
CID002776 | Tin | PT Bangka Prima Tin | * | Indonesia | ||||
CID002816 | Tin | PT Sukses Inti Makmur | * | Indonesia | ||||
CID002825 | Tin | An Thai Minerals Co., Ltd. | Vietnam | |||||
CID002829 | Tin | PT Kijang Jaya Mandiri | * | Indonesia | ||||
CID002835 | Tin | PT Menara Cipta Mulia | * | Indonesia | ||||
CID002844 | Tin | HuiChang Hill Tin Industry Co., Ltd. | * | China | ||||
CID002848 | Tin | Gejiu Fengming Metallurgy Chemical Plant | * | China | ||||
CID002849 | Tin | Guanyang Guida Nonferrous Metal Smelting Plant | * | China | ||||
CID002858 | Tin | Modeltech Sdn Bhd | # | Malaysia | ||||
CID002859 | Tin | Gejiu Jinye Mineral Company | * | China | ||||
CID002870 | Tin | PT Lautan Harmonis Sejahtera | * | Indonesia | ||||
CID000004 | Tungsten | A.L.M.T. TUNGSTEN Corp. | * | Japan | ||||
CID000105 | Tungsten | Kennametal Huntsville | * | United States | ||||
CID000218 | Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | * | China | ||||
CID000258 | Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | * | China | ||||
CID000345 | Tungsten | Dayu Weiliang Tungsten Co., Ltd. | China | |||||
CID000499 | Tungsten | Fujian Jinxin Tungsten Co., Ltd. | * | China | ||||
CID000568 | Tungsten | Global Tungsten & Powders Corp. | * | United States | ||||
CID000766 | Tungsten | Hunan Chenzhou Mining Co., Ltd. | * | China | ||||
CID000769 | Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd. | * | China | ||||
CID000825 | Tungsten | Japan New Metals Co., Ltd. | * | Japan | ||||
CID000875 | Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. | * | China | ||||
CID000966 | Tungsten | Kennametal Fallon | * | United States | ||||
CID001889 | Tungsten | Tejing (Vietnam) Tungsten Co., Ltd. | * | Vietnam | ||||
CID002011 | Tungsten | Vietnam Youngsun Tungsten Industry Co., Ltd. | * | Vietnam | ||||
CID002044 | Tungsten | Wolfram Bergbau und Hütten AG | * | Austria | ||||
CID002082 | Tungsten | Xiamen Tungsten Co., Ltd. | * | China |
CID002095 | Tungsten | Xinhai Rendan Shaoguan Tungsten Co., Ltd. | * | China | ||||
CID002313 | Tungsten | Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd. | China | |||||
CID002315 | Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | * | China | ||||
CID002316 | Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. | * | China | ||||
CID002317 | Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | * | China | ||||
CID002318 | Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | * | China | ||||
CID002319 | Tungsten | Malipo Haiyu Tungsten Co., Ltd. | * | China | ||||
CID002320 | Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | * | China | ||||
CID002321 | Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | * | China | ||||
CID002494 | Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | * | China | ||||
CID002502 | Tungsten | Asia Tungsten Products Vietnam Ltd. | * | Vietnam | ||||
CID002513 | Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd. | * | China | ||||
CID002535 | Tungsten | Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd. | * | China | ||||
CID002536 | Tungsten | Ganzhou Yatai Tungsten Co., Ltd. | China | |||||
CID002541 | Tungsten | H.C. Starck GmbH | * | Germany | ||||
CID002542 | Tungsten | H.C. Starck Smelting GmbH & Co.KG | * | Germany | ||||
CID002543 | Tungsten | Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC | * | Vietnam | ||||
CID002551 | Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | * | China | ||||
CID002579 | Tungsten | Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji | * | China | ||||
CID002589 | Tungsten | Niagara Refining LLC | * | United States | ||||
CID002645 | Tungsten | Ganzhou Haichuang Tungsten Industry Co., Ltd. | # | China | ||||
CID002647 | Tungsten | Jiangxi Dayu Longxintai Tungsten Co., Ltd. | China | |||||
CID002649 | Tungsten | Hydrometallurg, JSC | * | Russian Federation | ||||
CID002724 | Tungsten | Unecha Refractory metals plant | * | Russian Federation | ||||
CID002815 | Tungsten | South-East Nonferrous Metal Company Limited of Hengyang City | * | China | ||||
CID002827 | Tungsten | Philippine Chuangxin Industrial Co., Inc. | * | Philippines | ||||
CID002830 | Tungsten | Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. | * | China | ||||
CID002833 | Tungsten | ACL Metais Eireli | # | Brazil | ||||
CID002843 | Tungsten | Woltech Korea Co., Ltd. | * | Korea (Republic Of) | ||||
CID002845 | Tungsten | Moliren Ltd | * | Russian Federation |
Schedule 2
This Schedule 2 contains a list of Countries of Origin believed to be associated with the Conflict Free Sourcing Initiative smelters listed in Schedule 1.
Australia, Austria, Benin, Bolivia (Plurinational State of), Brazil, Burkina Faso, Burundi, Cambodia, Canada, Chile, China, Colombia, DRC, Ecuador, Eritrea, Ethiopia, France, Ghana, Guatemala, Guinea, Guyana, Honduras, India, Indonesia, Japan, Laos, Madagascar, Malaysia, Mali, Mexico, Mongolia, Mozambique, Myanmar, Namibia, Nicaragua, Nigeria, Panama, Peru, Portugal, Russia, Rwanda, Senegal, Sierra Leone, South Africa, Spain, Thailand, Togo, Uganda, United States of America, Uzbekistan, Vietnam, and Zimbabwe.
