United States
Securities and Exchange Commission
Washington, D.C. 20549
Form SD
(Specialized Disclosure Report)
Rockwell
Automation, Inc.
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| Delaware |
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1-12383 |
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25-1797617 |
| (State or other jurisdiction of
incorporation or organization) |
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(Commission
File Number) |
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(IRS Employer
Identification No.) |
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| 1201 South Second Street, Milwaukee, Wisconsin |
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53204 |
| (Address of principal executive offices) |
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(Zip code) |
Martin Thomas, Senior VP of Operations and Engineering Services (414-382-2000)
The rule pursuant to which this form is being filed, and the period to which the information in this form applies:
| x |
Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2014. |
Section 1 - Conflict Minerals Disclosure
Item 1.01 - Conflict Minerals Disclosure and Report
Conflict Minerals Disclosure
A Conflict Minerals Report for the
calendar year ended December 31, 2014 is provided as Exhibit 1.01 and is available at the following Internet website:
http://www.rockwellautomation.com/rockwellautomation/about-us/sustainability-ethics/integrity-compliance-overview.page?
Item 1.02 - Exhibit
Rockwell Automation’s
Conflict Minerals Report required by Item 1.01, attached to this Form SD as Exhibit 1.01, is incorporated herein by reference.
Section 2 - Exhibits
Item 2.01 - Exhibits
Exhibit 1.01 - Conflict Minerals Report (attached)
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the duly
authorized undersigned.
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| /s/ Martin Thomas |
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Date: June 1, 2015 |
| (Registrant) |
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| Martin Thomas |
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| Sr. VP Operations and Engineering Services |
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| Rockwell Automation |
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(414-382-2000)
Exhibit 1.01
Conflict Minerals Report
OF ROCKWELL AUTOMATION, INC.
IN ACCORD WITH RULE 13P-1 UNDER THE
SECURITIES EXCHANGE ACT OF 1934
This is the Conflict Minerals Report of Rockwell
Automation, Inc. (the Company or Rockwell Automation) for calendar year 2014 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.
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.
In 2014, in-scope products include:
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• |
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Controllers, electronic operator interface devices, electronic input/output devices, communication and networking products industrial computers and Logix controllers |
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Rotary and linear motion control products, sensors and machine safety components. |
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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. |
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• |
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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) contained in components that are included in Rockwell Automation products.
| II. |
Reasonable Country of Origin Inquiry |
OECD Step 1 – Establish strong company management systems
As a part of the development and execution of Rockwell Automation’s conflict minerals compliance program, the Company incorporated leading
practices from multi-industry initiatives such as MAPI (Manufacturers Alliance for Productivity and Innovation), NEMA (National Electrical Manufactures Association), EICC (Electronic Industry Citizen Coalition) and GeSI (Global e-Sustainability Initiative).
Rockwell Automation utilizes 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 Project Management Office (Conflict Minerals Team).
Rockwell Automation communicated conflict minerals expectations to suppliers and the public via a Conflict Minerals Supply Chain Statement, which is available
at the following internet website: http://www.rockwellautomation.com/rockwellautomation/about-us/sustainability-ethics/integrity-compliance-overview.page? (Rockwell Automation Conflict Minerals Supply
Chain Statement April 2015)
Rockwell Automation adopted a conflict minerals transparency contract provision that has been incorporated into purchase
orders and new contracts and is inserted into existing contracts as they are renewed.
Employees and suppliers can report violations of Rockwell
Automation’s policies at http://www.rockwellautomation.com/rockwellautomation/about-us/sustainability-ethics/ombudsman.page?
Existing Rockwell Automation processes for risk mitigation and record retention will be utilized as required.
In 2013 Rockwell Automation purchased a data management tool to maintain conflict minerals information provided by suppliers.
Companies being evaluated as new suppliers to RA are subjected to a New Supplier Audit process. Questions added in 2014 to this process are used to determine
a supplier’s conflict minerals engagement.
OECD Step 2 – Identify and assess risk in the supply chain
Because of 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 raw materials containing tin, tantalum, tungsten and gold (3TG).
Rockwell Automation
intends to use its suppliers to influence their suppliers and/or smelters and refiners of 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 provided training materials on its conflict minerals policies to internal Rockwell Automation employees (e.g. supplier quality, corporate
purchasing, strategic sourcing, sales, design, design support organizations and compliance personnel), and to suppliers as part of its conflict minerals request for information.
To identify sources of 3TG in its products Rockwell Automation:
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Conducted a supply-chain survey with all direct suppliers that it believed were likely to provide components and raw materials containing 3TG. (In-scope suppliers) |
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These suppliers were identified based on their alignment with commodities of parts they supply. |
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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. General
Conflict Minerals and Conflict Free Sourcing Initiative information was provided to all suppliers in the inquiry to help educate them on the requirements, resources and importance of conflict minerals investigations. |
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Moved from a third-party data collection team in 2014 to an internal data collection team who made initial supplier requests, forwarded responses or questions to the Conflict Mineral Team and tracked supplier responses.
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Used a 5 Step escalation process to drive supplier responses when required. |
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If suppliers did not respond in a designated time frame, the contact with suppliers was escalated to the related Buyers, Sourcing Managers, and ultimately, after 5 escalations without a response, it was escalated to
Sourcing Directors. |
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Reviewed supplier responses for reasonableness and completeness, and, where appropriate, further inquired of these suppliers to explain their reason for certain answers. |
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Identified suppliers who did not respond to Rockwell Automation’s 2014 request for information after our defined 5 step escalation process for focused communications in the 2015 data collection process.
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The number of in-scope suppliers included for the 2014 data collection is greater than last year since in 2014 multiple
supplier locations were contacted. In 2014, Rockwell Automation received information back from approximately 96% of these suppliers (as compared to approximately 53% in 2013).
Rockwell Automation executives were kept informed of this information through the Product Compliance Council meetings sponsored by the Chief
Technology Officer, held three times a year at minimum.
| III. |
Due Diligence Design and Performance |
Due Diligence Design
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).
Due Diligence Measures Performed
OECD Step 3 – Design and implement a strategy to respond to identified risks
Rockwell Automation supported audits of 3TG smelters and refiners conducted by third parties through its participation in, and payment of membership dues to
the Conflict Free Smelter Initiative. Rockwell Automation became a member of the Conflict Free Sourcing Initiative in 2014.
Suppliers were evaluated
based on their smelter and refiner information obtained from Conflict Minerals Materials Template (CMRT) declarations. If supplier information indicated they used 3TG from the DRC region, Rockwell Automation used the Conflict Free Sourcing
Initiative and general public information to determine a smelter or refiner’s conflict minerals status.
Although there was no instance where it was
necessary to implement risk mitigation or any corrective actions to suppliers in 2014, Rockwell Automation’s risk mitigation efforts would include the following steps if a smelters or refiners were identified as supporting rebel activity.
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Identify the Rockwell components and product affected by this supplier. |
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Identify specific components Rockwell Automation purchased from that supplier’s conflict source to determine whether corrective action is necessary. |
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-Establish specific correction actions for each supplier and track actions. |
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-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. |
Rockwell Automation participated in a Conflict Free Sourcing Initiative committee to contact smelters and refiners to encourage them to participate in the
audit program.
OECD Step 4 – Carry out an independent third-party audit of the supply chain due diligence.
As a member of the Conflict Free Sourcing Initiative, Rockwell Automation supported the audit of smelters and refiners and their efforts to identify the
country of origin of their 3TG, as described in their website http://www.conflictfreesourcing.org/. Rockwell Automation encouraged its suppliers to become members as well.
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 published 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 2014)
| IV. |
Smelter and Refiner Disclosures |
Facilities and Country of Origin of 3TG
Schedule 1 lists the smelters and refiners on the Rockwell Automation Conflict Minerals Materials Template (CMRT). Based on the information provided by
Rockwell Automation’s suppliers, it cannot be verified that all the smelters identified contributed to parts that ended up in Rockwell Automation products.
Rockwell Automation’s CMRT smelter list contains both 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, 2015. The Conflict
Minerals Materials Template (CMRT) v. 3.02 was published by the Conflict Free Sourcing Initiative on November, 2014 and the Rockwell Automation Conflict Minerals Materials Template (CMRT) list was updated to reflect the facilities confirmed in v.
3.02.
The country of origin (COO) of the 3TG processed by the Conflict Free Sourcing Initiative verified smelters identified by the Rockwell Automation
supply chain are believed to be those identified in the Schedule 2. 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. Based on the information provided by Rockwell Automation’s suppliers, it cannot be verified that all the Country of Origin identified in Schedule 2 contributed to parts that ended
up in Rockwell Automation products.
Rockwell Automation will undertake the following steps during the next compliance
period:
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Continue to provide conflict minerals information to all suppliers included in our request for information process to reinforce Rockwell Automation’s expectations regarding conflict minerals. |
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Customize the 2015 request for information for suppliers who did not respond to Rockwell Automation’s 2014 request for information, including items such as starting the request for information process earlier in
the year, and highlighting these non-responders in the escalation process data. |
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Continue to engage with relevant trade associations to define and improve best practices. |
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Continue to support the Conflict Free Sourcing Initiative and smelter audits through our membership and participation in subcommittees. |
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Share non-verified smelter lists with Conflict Free Sourcing Initiative to assist in identifying legitimate smelters and refiners. |
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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
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 April 30, 2014.
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| ID |
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Metal |
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Smelter/Refiner Names |
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Smelter/Refiner Country |
| CID000015 |
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Gold |
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Advanced Chemical Company |
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UNITED STATES |
| CID000019 |
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Gold |
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Aida Chemical Industries Co. Ltd. |
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* |
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JAPAN |
| CID000035 |
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Gold |
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Allgemeine Gold-und Silberscheideanstalt A.G. |
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* |
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GERMANY |
| CID000041 |
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Gold |
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Almalyk Mining and Metallurgical Complex (AMMC) |
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UZBEKISTAN |
| CID000058 |
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Gold |
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AngloGold Ashanti Córrego do Sítio Minerção |
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* |
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BRAZIL |
| CID000077 |
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Gold |
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Argor-Heraeus SA |
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* |
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SWITZERLAND |
| CID000082 |
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Gold |
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Asahi Pretec Corporation |
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* |
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JAPAN |
| CID000090 |
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Gold |
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Asaka Riken Co Ltd |
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JAPAN |
| CID000103 |
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Gold |
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Atasay Kuyumculuk Sanayi Ve Ticaret A.S. |
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* |
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TURKEY |
| CID000113 |
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Gold |
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Aurubis AG |
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* |
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GERMANY |
| CID000128 |
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Gold |
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Bangko Sentral ng Pilipinas (Central Bank of the Philippines) |
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PHILIPPINES |
| CID000141 |
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Gold |
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Bauer Walser AG |
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GERMANY |
| CID000157 |
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Gold |
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Boliden AB |
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* |
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SWEDEN |
| CID000176 |
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Gold |
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C. Hafner GmbH + Co. KG |
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* |
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GERMANY |
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| CID000180 |
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Gold |
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Caridad |
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MEXICO |
| CID000185 |
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Gold |
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CCR Refinery – Glencore Canada Corporation |
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* |
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CANADA |
| CID000189 |
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Gold |
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Cendres & Métaux SA |
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SWITZERLAND |
| CID000197 |
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Gold |
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Yunnan Copper Industry Co Ltd |
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CHINA |
| CID000233 |
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Gold |
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Chimet S.p.A. |
|
* |
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ITALY |
| CID000264 |
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Gold |
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Chugai Mining |
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JAPAN |
| CID000328 |
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Gold |
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Daejin Indus Co. Ltd |
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KOREA, REPUBLIC OF |
| CID000343 |
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Gold |
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Daye Non-Ferrous Metals Mining Ltd. |
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CHINA |
| CID000359 |
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Gold |
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Do Sung Corporation |
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KOREA, REPUBLIC OF |
| CID000362 |
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Gold |
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Doduco |
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GERMANY |
| CID000401 |
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Gold |
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Dowa |
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* |
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JAPAN |
| CID000425 |
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Gold |
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Eco-System Recycling Co., Ltd. |
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* |
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JAPAN |
| CID000493 |
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Gold |
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FSE Novosibirsk Refinery |
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RUSSIAN FEDERATION |
| CID000522 |
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Gold |
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Gansu Seemine Material Hi-Tech Co Ltd |
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CHINA |
| CID000671 |
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Gold |
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Hangzhou Fuchunjiang Smelting Co., Ltd. |
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CHINA |
| CID000694 |
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Gold |
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Heimerle + Meule GmbH |
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* |
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GERMANY |
| CID000707 |
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Gold |
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Heraeus Ltd. Hong Kong |
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* |
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HONG KONG |
| CID000711 |
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Gold |
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Heraeus Precious Metals GmbH & Co. KG |
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* |
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GERMANY |
| CID000767 |
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Gold |
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Hunan Chenzhou Mining Group Co., Ltd. |
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CHINA |
| CID000778 |
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Gold |
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Hwasung CJ Co. Ltd |
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KOREA, REPUBLIC OF |
| CID000801 |
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Gold |
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Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited |
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CHINA |
| CID000807 |
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Gold |
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Ishifuku Metal Industry Co., Ltd. |
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* |
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JAPAN |
| CID000814 |
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Gold |
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Istanbul Gold Refinery |
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* |
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TURKEY |
| CID000823 |
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Gold |
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Japan Mint |
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* |
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JAPAN |
| CID000855 |
|
Gold |
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Jiangxi Copper Company Limited |
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CHINA |
| CID000920 |
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Gold |
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Johnson Matthey Inc |
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* |
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UNITED STATES |
| CID000924 |
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Gold |
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Johnson Matthey Ltd |
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* |
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CANADA |
| CID000927 |
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Gold |
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JSC Ekaterinburg Non-Ferrous Metal Processing Plant |
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* |
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RUSSIAN FEDERATION |
| CID000929 |
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Gold |
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JSC Uralelectromed |
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* |
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RUSSIAN FEDERATION |
| CID000937 |
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Gold |
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JX Nippon Mining & Metals Co., Ltd. |
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* |
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JAPAN |
| CID000957 |
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Gold |
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Kazzinc Ltd |
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* |
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KAZAKHSTAN |
| CID000969 |
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Gold |
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Kennecott Utah Copper LLC |
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* |
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UNITED STATES |
| CID000981 |
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Gold |
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Kojima Chemicals Co., Ltd |
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* |
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JAPAN |
| CID000988 |
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Gold |
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Korea Metal Co. Ltd |
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KOREA, REPUBLIC OF |
| CID001029 |
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Gold |
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Kyrgyzaltyn JSC |
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KYRGYZSTAN |
| CID001032 |
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Gold |
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L’ azurde Company For Jewelry |
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* |
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SAUDI ARABIA |
| CID001056 |
|
Gold |
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Lingbao Gold Company Limited |
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CHINA |
| CID001058 |
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Gold |
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Lingbao Jinyuan Tonghui Refinery Co. Ltd. |
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CHINA |
| CID001078 |
|
Gold |
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LS-NIKKO Copper Inc. |
|
* |
|
KOREA, REPUBLIC OF |
| CID001093 |
|
Gold |
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Luoyang Zijin Yinhui Metal Smelt Co Ltd |
|
|
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CHINA |
| CID001113 |
|
Gold |
|
Materion |
|
* |
|
UNITED STATES |
| CID001119 |
|
Gold |
|
Matsuda Sangyo Co., Ltd. |
|
* |
|
JAPAN |
| CID001149 |
|
Gold |
|
Metalor Technologies (Hong Kong) Ltd |
|
* |
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HONG KONG |
|
|
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|
|
|
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|
| CID001152 |
|
Gold |
|
Metalor Technologies (Singapore) Pte. Ltd. |
|
|
* |
|
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SINGAPORE |
| CID001153 |
|
Gold |
|
Metalor Technologies SA |
|
|
* |
|
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SWITZERLAND |
| CID001157 |
|
Gold |
|
Metalor USA Refining Corporation |
|
|
* |
|
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UNITED STATES |
| CID001161 |
|
Gold |
|
Met-Mex Peñoles, S.A. |
|
|
* |
|
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MEXICO |
| CID001188 |
|
Gold |
|
Mitsubishi Materials Corporation |
|
|
* |
|
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JAPAN |
| CID001193 |
|
Gold |
|
Mitsui Mining and Smelting Co., Ltd. |
|
|
* |
|
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JAPAN |
| CID001204 |
|
Gold |
|
Moscow Special Alloys Processing Plant |
|
|
|
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|
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 |
|
Ohio Precious Metals, LLC |
|
|
* |
|
|
UNITED STATES |
| CID001325 |
|
Gold |
|
Ohura Precious Metal Industry Co., Ltd |
|
|
* |
|
|
JAPAN |
| CID001326 |
|
Gold |
|
OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastvetmet) |
|
|
* |
|
|
RUSSIAN FEDERATION |
| CID001328 |
|
Gold |
|
OJSC Kolyma Refinery |
|
|
|
|
|
RUSSIAN FEDERATION |
| CID001352 |
|
Gold |
|
PAMP SA |
|
|
* |
|
|
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 SA |
|
|
* |
|
|
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 |
|
|
* |
|
|
NETHERLANDS |
| CID001585 |
|
Gold |
|
SEMPSA Joyería Platería SA |
|
|
* |
|
|
SPAIN |
| CID001622 |
|
Gold |
|
Shandong Zhaojin Gold & Silver Refinery 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 |
|
The Great Wall Gold and Silver Refinery of China |
|
|
|
|
|
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 SA Business Unit Precious Metals Refining |
|
|
* |
|
|
BELGIUM |
| CID001993 |
|
Gold |
|
United Precious Metal Refining, Inc. |
|
|
* |
|
|
UNITED STATES |
| CID002003 |
|
Gold |
|
Valcambi SA |
|
|
* |
|
|
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 |
|
* |
|
CHINA |
| CID002312 |
|
Gold |
|
Guangdong Jinding Gold Limited |
|
|
|
CHINA |
| CID002314 |
|
Gold |
|
Umicore Precious Metals Thailand |
|
* |
|
THAILAND |
| 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 |
|
* |
|
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 & Smelting |
|
* |
|
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 Metal Works |
|
* |
|
RUSSIAN FEDERATION |
| CID001869 |
|
Tantalum |
|
Taki Chemicals |
|
* |
|
JAPAN |
| CID001891 |
|
Tantalum |
|
Telex |
|
* |
|
UNITED STATES |
| CID001969 |
|
Tantalum |
|
Ulba |
|
* |
|
KAZAKHSTAN |
| CID002232 |
|
Tantalum |
|
Zhuzhou Cement Carbide |
|
* |
|
CHINA |
| CID002307 |
|
Tantalum |
|
Yichun Jin Yang Rare Metal Co., Ltd |
|
* |
|
CHINA |
| CID002492 |
|
Tantalum |
|
Hengyang King Xing Lifeng New Materials Co., Ltd. |
|
* |
|
CHINA |
| CID002539 |
|
Tantalum |
|
KEMET Blue Metals |
|
* |
|
MEXICO |
| CID002540 |
|
Tantalum |
|
Plansee SE Liezen |
|
* |
|
AUSTRIA |
| CID002544 |
|
Tantalum |
|
H.C. Starck Co., Ltd. |
|
* |
|
THAILAND |
| CID002545 |
|
Tantalum |
|
H.C. Starck GmbH Goslar |
|
* |
|
GERMANY |
| CID002546 |
|
Tantalum |
|
H.C. Starck GmbH Laufenburg |
|
* |
|
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 |
| CID002556 |
|
Tantalum |
|
Plansee SE Reutte |
|
* |
|
AUSTRIA |
| CID002557 |
|
Tantalum |
|
Global Advanced Metals Boyertown |
|
* |
|
UNITED STATES |
| CID002558 |
|
Tantalum |
|
Global Advanced Metals Aizu |
|
* |
|
JAPAN |
|
|
|
|
|
|
|
|
|
| CID002568 |
|
Tantalum |
|
KEMET Blue Powder |
|
* |
|
UNITED STATES |
| CID000244 |
|
Tin |
|
China Rare Metal Materials Company |
|
* |
|
CHINA |
| CID000278 |
|
Tin |
|
CNMC (Guangxi) PGMA Co. Ltd. |
|
|
|
CHINA |
| CID000292 |
|
Tin |
|
Alpha |
|
* |
|
UNITED STATES |
| CID000295 |
|
Tin |
|
Cooper Santa |
|
* |
|
BRAZIL |
| CID000306 |
|
Tin |
|
CV Gita Pesona |
|
|
|
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 Zi-Li |
|
|
|
CHINA |
| CID000760 |
|
Tin |
|
Huichang Jinshunda Tin Co. Ltd |
|
|
|
CHINA |
| CID000942 |
|
Tin |
|
Gejiu Kai Meng Industry and Trade LLC |
|
|
|
CHINA |
| CID001063 |
|
Tin |
|
Linwu Xianggui Smelter Co |
|
|
|
CHINA |
| CID001070 |
|
Tin |
|
China Tin Group Co., Ltd. |
|
|
|
CHINA |
| CID001105 |
|
Tin |
|
Malaysia Smelting Corporation (MSC) |
|
* |
|
MALAYSIA |
| CID001173 |
|
Tin |
|
Mineração Taboca S.A. |
|
* |
|
BRAZIL |
| CID001182 |
|
Tin |
|
Minsur |
|
* |
|
PERU |
| CID001191 |
|
Tin |
|
Mitsubishi Materials Corporation |
|
* |
|
JAPAN |
| CID001305 |
|
Tin |
|
Novosibirsk Integrated Tin Works |
|
|
|
RUSSIAN FEDERATION |
| CID001314 |
|
Tin |
|
O.M. Manufacturing (Thailand) Co., Ltd. |
|
|
|
THAILAND |
| CID001337 |
|
Tin |
|
OMSA |
|
* |
|
BOLIVIA |
| CID001399 |
|
Tin |
|
PT Artha Cipta Langgeng |
|
* |
|
INDONESIA |
| CID001402 |
|
Tin |
|
PT Babel Inti Perkasa |
|
* |
|
INDONESIA |
| CID001412 |
|
Tin |
|
PT Bangka Putra Karya |
|
* |
|
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 |
| 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 |
| CID001477 |
|
Tin |
|
PT Tambang Timah |
|
* |
|
INDONESIA |
| CID001482 |
|
Tin |
|
PT Timah (Persero), Tbk |
|
* |
|
INDONESIA |
| CID001490 |
|
Tin |
|
PT Tinindo Inter Nusa |
|
* |
|
INDONESIA |
| CID001539 |
|
Tin |
|
Rui Da Hung |
|
|
|
TAIWAN |
| CID001758 |
|
Tin |
|
Soft Metais, Ltda. |
|
|
|
BRAZIL |
| CID001898 |
|
Tin |
|
Thaisarco |
|
* |
|
THAILAND |
|
|
|
|
|
|
|
|
|
| CID002036 |
|
Tin |
|
White Solder Metalurgia e Mineração Ltda. |
|
* |
|
BRAZIL |
| CID002158 |
|
Tin |
|
Yunnan Chengfeng Non-ferrous Metals Co.,Ltd. |
|
|
|
CHINA |
| CID002180 |
|
Tin |
|
Yunnan Tin Company, Ltd. |
|
* |
|
CHINA |
| 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 |
| CID000004 |
|
Tungsten |
|
A.L.M.T. 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 Group Co., Ltd. |
|
|
|
CHINA |
| CID000769 |
|
Tungsten |
|
Hunan Chun-Chang Nonferrous Smelting & Concentrating Co., Ltd. |
|
* |
|
CHINA |
| CID000825 |
|
Tungsten |
|
Japan New Metals Co Ltd |
|
* |
|
JAPAN |
| CID000868 |
|
Tungsten |
|
Ganzhou Non-ferrous Metals Smelting Co., Ltd. |
|
|
|
CHINA |
| CID000875 |
|
Tungsten |
|
Ganzhou Huaxing Tungsten Products Co., Ltd. |
|
* |
|
CHINA |
| CID000966 |
|
Tungsten |
|
Kennametal Fallon |
|
|
|
UNITED STATES |
| CID001889 |
|
Tungsten |
|
Tejing (Vietnam) Tungsten Co., Ltd. |
|
|
|
VIET NAM |
| CID002011 |
|
Tungsten |
|
Vietnam Youngsun Tungsten Industry Co., Ltd |
|
* |
|
VIET NAM |
| 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 |
| CID002513 |
|
Tungsten |
|
Chenzhou Diamond Tungsten Products Co., Ltd. |
|
* |
|
CHINA |
| CID002531 |
|
Tungsten |
|
Ganxian Shirui New Material 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 |
|
|
|
VIET NAM |
| CID002551 |
|
Tungsten |
|
Jiangwu H.C. Starck Tungsten Products Co., Ltd. |
|
|
|
CHINA |
Schedule 2
Countries of Origin believed to be associated with the Conflict Free Sourcing Initiative smelters listed in Schedule 1.
ARGENTINA, AUSTRALIA, AUSTRIA, BELGIUM, BOLIVIA, BRAZIL, BURUNDI, CANADA, CHILE, CHINA, COLOMBIA, COTE D’IVOIRE, CZECH REPUBLIC, DJIBOUTI, EGYPT,
ENGLAND, ESTONIA, ETHIOPIA, FRANCE, GERMANY, GUYANA, HONG KONG, HUNGARY, INDIA, INDONESIA, IRELAND, ISRAEL, JAPAN, KAZAKHSTAN, LAO PEOPLE’S DEMOCRATIC REPUBLIC, LUXEMBOURG, MADEGASCAR, MALAYSIA, MONGOLIA, MYANMAR, NETHERLANDS, NIGERIA, PERU,
PLURINATIONAL STATE OF BOLIVIA, PORTUGAL, REPUBLIC OF KOREA, RUSSIAN FEDERATION, SIERRA LEONE, SINGAPORE, SLOVAKIA, SPAIN, SURINAME, SWITZERLAND, TAIWAN, THAILAND, UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND, UNITED STATES OF AMERICA,
VIETNAM, ZIMBABWE, KENYA, MOZAMBIQUE, SOUTH AFRICA, ANGOLA, BURUNDI, CENTRAL AFRICAN REPUBLIC, REPUBLIC OF CONGO, ROWANDA, SOUTH SUDAN, UGANDA, UNITED REPUBLIC OF TANZAMIA, ZAMBIA, and THE DEMOCRATIC REPUBLIC OF CONGO.
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