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 |