EX-1.01 2 d485230dex101.htm EX-1.01 EX-1.01

Exhibit 1.01

Conflict Minerals Report of Woodward, Inc.

For the reporting period from January 1, 2022 to December 31, 2022

This Conflict Minerals Report (the “Report”) of Woodward, Inc. (the “Company,” “Woodward,” “we,” “us” or “our”) has been prepared pursuant to Rule 13p-1 (“Rule 13p-1”) and Form SD (“Form SD”) promulgated under the Securities Exchange Act of 1934 (the “Exchange Act”) for the reporting period January 1, 2022 to December 31, 2022 (the “Reporting Period”).

Rule 13p-1, through Form SD, requires the disclosure of certain information if a company manufactures or contracts to manufacture products for which certain conflict minerals (as defined below) are necessary to the functionality or production of such products. As defined in Form SD, and as used herein, “conflict minerals” means: (i)(a) columbite-tantalite (or coltan), (b) cassiterite, (c) gold and (d) wolframite, or their derivatives, which are currently limited to tantalum, tin and tungsten; or (ii) any other mineral or its derivatives determined by the U.S. Secretary of State to be financing conflict in the Democratic Republic of the Congo or an “adjoining country” as defined in Form SD (collectively, the “Covered Countries”).

Woodward’s Manufactured and Contracted-to-Manufacture Products

Woodward, including our consolidated subsidiaries, manufactures and sub-contracts for the manufacture of products for which conflict minerals are necessary to the functionality or production of those products. We provide energy control and optimization solutions for the aerospace and industrial markets through the precise and efficient control of fluid and electrical energy, combustion, and motion. Please see (i) our Form SD for a detailed description of our products, including those products that we believe are likely to contain one or more conflict minerals, and (ii) Item 1 in our Annual Report on Form 10-K for the fiscal year ended September 30, 2022 for a more detailed description of our business, markets, services and product applications.

The Company’s Due Diligence Process

The Company’s due diligence measures have been designed to conform to the framework in the Organisation for Economic Co-operation and Development’s (“OECD”), “OECD Due Diligence Guidance for Responsible Supply Chain of Minerals from Conflict-Affected and High Risk Areas,” Third Edition (2016), including applicable supplements thereto (the “OECD Guidelines”).

Woodward has implemented or is addressing each of the steps in the OECD 5-step due diligence framework as discussed or referenced below:



Establish strong company management systems



Company conflict minerals policy

Woodward has adopted a written conflict minerals policy (the “Conflict Minerals Policy”). The Conflict Minerals Policy affirms the Company’s commitment to responsible sourcing of minerals from conflict affected and high-risk areas. The policy is publicly available and can be accessed at https://www.woodward.com/en/about/corporate-governance/compliance. The policy was most recently updated in May 2022 and is regularly reviewed to determine if any revisions are appropriate.


Internal management structure

Pursuant to the Conflict Minerals Policy, the Corporate Vice President, Global Sourcing is responsible for ensuring our compliance with conflict minerals reporting requirements. Senior Global Sourcing leadership oversees the day-to-day conflict minerals program activities, and they provide regular updates on the conflict minerals program to the Corporate Vice President, Global Sourcing. Woodward’s Director of Governance and Securities serves as an advisor on conflict minerals compliance. When appropriate, conflict minerals and our conflict minerals program are a topic of discussion and review at meetings of our Board of Directors.

Global Sourcing is responsible for reaching out to the Company’s supply base on an ongoing basis to collect information, including Conflict Minerals Reporting Templates (“CMRT”), regarding the presence and sourcing of conflict minerals in the products supplied to the Company. Others within Woodward provide focused support as required. These actions have aligned existing strategic and organizational structures to address the due diligence and reporting requirements of Rule 13p-1.



System of controls and transparency over the mineral supply chain

Our enterprise resource planning (“ERP”) systems provide controls over our supply chain. The ERP systems currently provide:



Identification of the end item products we provide to each of our customers;



Shipping transaction history to assist in bounding our sales/shipments by calendar year as required by Rule 13p-1;



A bill of material identifying all of the components and materials in each of our end item products;



A purchasing history of each of our purchased components and raw materials and the identification of the suppliers used for these purchases;



A receiving inspection function that accepts or rejects purchased components and raw materials based upon whether the purchased items meet or do not meet the specification requirements (including specified material requirements) of the associated drawing or other specification documents. This is accomplished by a combination of direct measurements / inspections of the actual parts, or by reviewing the existence and completeness of formal supplier certifications to selected specifications, such as certifying proper use of specified aluminum or steel specifications.

We continue to use the Assent Compliance Manager (“ACM”) and other Assent services to automate many of the Company’s product materials compliance efforts, including our RCOI efforts and our due diligence measures. In addition, Woodward maintains full membership with the Responsible Materials Initiative (“RMI”).


Strengthen Company engagement with suppliers

Woodward is committed to conducting business in a socially responsible manner and is determined to partner with suppliers who are similarly committed. We continue to engage with our suppliers regarding conflict minerals requirements. Our purchase order terms and conditions and our standard long-term supplier agreement (collectively, our “supplier terms”) require our suppliers to support our conflict minerals reporting. Woodward reviews the conflict minerals provisions in our supplier terms on a regular basis. We desire to achieve improved supply chain transparency and responsible sourcing, with the ultimate goal of obtaining full material disclosure (substance, content-by-weight, raw material smelter sources) to increase the traceability of materials from each supplier.

By accepting a Woodward purchase order, a Woodward supplier:

“…warrants and certifies that it complies with Section 1502 of the Dodd Frank Act and the Final Rule issued by the U.S. Securities and Exchange Commission, and any subsequent rules and regulations related thereto issued by the United States Government and, where identified by Woodward, other governments and/or authorities in regions that Woodward provides its products (“Conflict Minerals Regulations”), and has implemented compliant processes to ensure its suppliers are in compliance with the Conflict Minerals Regulations.

Where Seller does not have direct and formal reporting requirements under the Conflict Minerals Regulations, and upon request by Buyer, Seller agrees to provide due diligence and Responsible Country of Origin Inquiry (“RCOI”) information under this Agreement to Buyer in support of Buyer’s reporting requirements (the “RCOI Requirements”).

Further, Seller shall promptly comply with all requests by Buyer to provide documentation, and other substantiating data and assurances with respect to its compliance with Conflict Minerals Regulations and the RCOI Requirements as Buyer may deem necessary from time to time. In the event: (a) Buyer deems Seller is not in compliance with the Conflict Minerals Regulations or the RCOI Requirements, (b) Buyer is not satisfied with the outcome of any review of Seller documentation and/or data or otherwise, or (c) Seller does not provide the documentation, other data and/or other further assurances to Buyer as requested by Buyer, Buyer shall have the right to terminate this Order or any portion thereof without penalty or further liability to Buyer.”

Woodward conducts one-on-one contact sessions with suppliers to address their inquiries and provide guidance where needed. Through our contract with Assent, our suppliers have access to an extensive suite of training videos, slide decks, how-to manuals and regulation guidance documents. Our suppliers also have access to online chat with an Assent specialist if they have difficulties or questions while preparing their responses.



Establish a company-level, or industry-wide, grievance mechanism as an early warning risk-awareness system

Woodward has a comprehensive Code of Business Conduct and Ethics (the “Code”) and employees receive regular training on a variety of ethics and compliance topics. Woodward also has robust reporting mechanisms for employees’ ethics concerns and grievances. All Woodward employees have the right and responsibility to promptly report concerns, including but not limited to suspected or known violations of applicable law or regulation. Any person may choose to report any such concerns to their leader or any Company leader, Human Resources, Legal & Compliance, any member of Woodward’s Business Conduct Oversight Committee, any Company Officer, or any member of the

Company’s Board of Directors. Additionally, Woodward has established an Ethics Help Line, facilitated by a third party, that employees and other third parties can contact to report concerns, anonymously or with attribution at the employee’s election. The reporting mechanisms are set forth in the Code, and the concepts are reinforced during employee trainings. Investigations of alleged violations are handled by a Company-level Business Conduct Oversight Committee and overseen by the Audit Committee of the Board of Directors.

Woodward suppliers are encouraged to contact their Woodward point of contact or the Ethics Help Line if they believe elements of Woodward direction may cause them to be noncompliant with Woodward’s stated social responsibility goals and compliance requirements. Woodward GSC members are also available to help our direct suppliers with compliance issues they may have with their suppliers regarding our flow down contract requirements. Suppliers’ conflict minerals representatives may also contact Woodward’s Product Material Compliance team, who will facilitate the appropriate guidance or resolution regarding such issues. Further, Woodward has adopted a Supplier Code of Conduct, which can be found at https://www.woodward.com/en/about/supplier-overview/supplier-code-of-conduct.



Identify and assess risks in the supply chain

Woodward is a downstream manufacturer. As such, Woodward does not control the origin or composition of many of the materials provided by our suppliers. Consequently, we ask our suppliers to inquire, identify, and conduct data collection and due diligence activities, which in turn are fundamental elements of our due diligence activities. Woodward conducts analyses of the data collected from our first-tier suppliers for accuracy and completeness in order to identify and assess risks in the Woodward supply chain. This includes:



the initial smelter checklist analysis contained in the CMRT;



Assent validation of smelter or refiner (“SOR”) lists in the supplier CMRTs, using an extensive database consisting of the RMI, Responsible Jewelry Council (“RJC”), and London Bullion Market Association (“LBMA”) validated SOR lists, and the results of Assent’s extensive internal and independent SOR validation efforts; and



the indirect analysis input that Woodward has acquired as a result of submitting interim roll-up CMRTs to our customers and receiving analysis results from the various software applications they use.

We use both the publicly available RMI SOR list and the RMI compliance and country of origin databases available through our RMI membership, and we apply them to the roll-up Woodward CMRT that ACM generates from our valid supplier CMRTs.

We use supplier CMRTs to identify the parent companies of our suppliers (if any), parent company contact data (if applicable), and whether the supplier reported conflict minerals data at the parent company level or at the affiliate level. The information we gather using this approach enables us to improve the targeting of future campaigns.

For suppliers’ smelter inputs that are still undetermined (i.e., the source has not been confirmed as a smelter, or its conflict-free sourcing status has not been identified through the above validation programs), ACM automatically provides a corrective action request to suppliers having such inputs.

Assent and Woodward jointly work with suppliers needing additional assistance to correct or eliminate these undetermined inputs as appropriate.

There is significant overlap between our RCOI efforts and our due diligence measures performed. Our RCOI process is described in our Form SD.



Design and implement a strategy to respond to identified risks



Report and implement a strategy to respond to identified risks

In 2022, Woodward continued to work closely with Assent to perform assessments of supplier-provided SOR data as described in the “Woodward Calendar Year 2022 Due Diligence Results” section of this Report. Both of our business segments also conduct periodic reviews of supply chain issues for the segment, including conflict minerals and product materials compliance. Additionally, each year, senior Global Sourcing leadership engages in a strategic planning review and a mid-year review with senior management of the Company to provide strategic oversight of our supply chain strategies and performance.



Devise and adopt a risk management plan

Woodward has several formal procedures and tools that form the foundation of the conflict minerals aspects of our risk management plan. These procedures and tools include but are not limited to our supplier approval process, our purchasing procedures, our purchase order and supplier agreement terms and conditions (described in Due Diligence section 1d above), our supplier registration portal and our parts transition process, as well as the evaluation of other existing and possible future software solutions. In addition, Assent and ACM enable us to perform a risk assessment of, and assign a risk rating to, each supplier CMRT we receive.



Implement a risk mitigation plan

Together with more than 200 other companies, Woodward co-signs an annual letter coordinated by Assent. This letter is sent to every SOR that has not completed or that was not actively participating in an independent conflict-free sourcing practices audit. The purpose of the letter is to encourage participation in an independent third-party audit program and the use of conflict-free sourcing practices, and to leverage the collective influence we may have on the SORs. We also send letters directly from Woodward to our suppliers who do not adequately respond to our initial data requests.

In 2022, Woodward continued to engage in additional fact finding and risk assessments to identify risks requiring mitigation or after a change in circumstances. These activities are described above.



Carry out independent third-party audits of supply chain due diligence at identified points in the supply chain

Woodward is significantly downstream in the supply chain from smelters and refiners. In order to obtain SOR information, Woodward seeks information from our upstream suppliers and from third party data aggregating services. Woodward is an RMI member and leverages the RMI Responsible Minerals Assurance Process and the resulting audit data from that program.


Report annually on supply chain due diligence

The Form SD is posted as one of our many required SEC filings at https://ir.woodward.com/financials/sec-filings/default.aspx. This Report and Woodward’s Conflict Minerals Policy can be found at https://www.woodward.com/en/about/corporate-governance/compliance. The Report will be posted within one business week of the filing of these documents with the SEC. Woodward has published a Sustainability Report, which summarizes our Conflict Minerals Policy and provides the context of conflict minerals compliance and objectives within our overall sustainability goals, initiatives and practices. The Sustainability Report is available at https://www.woodward.com/en/about/social-responsibility.

Woodward Calendar Year 2022 Due Diligence Results

Woodward Conflict Minerals Data Requests and Supplier Responses (the Due Diligence in Acquiring Supplier Data)

We initiated our 2022 campaign for applicable Woodward suppliers in November 2022 by sending CMRT requests. We sent CMRT requests, at the part level, to 91% of the suppliers we campaigned, and we sent CMRT requests, at the company level, to the other 9% of suppliers. If suppliers were unable to provide part-level CMRTs, then we accepted company-level CMRTs. To eliminate ambiguity in our requests to suppliers, we provide each applicable supplier a complete list of the specific parts that Woodward purchased from them that were incorporated into our calendar year shipments.

As part of each campaign, two follow-up inquiries were sent to non-respondents and, where suppliers had still not responded, we followed up with three further “escalation” inquiries. As part of the escalation, Assent separated those suppliers who reported a “no 3TG” status in 2021 into a separate simplified campaign, asking them if they could confirm their “no 3TG” status for 2022. Additionally, Woodward twice followed-up with suppliers that returned incomplete or invalid CMRTs with corrective action requests.

Summary results for our 2022 campaign, as of April 28, 2023 are as follows:



We campaigned 1,774 suppliers (compared to 2,544 suppliers in 2021)



We received CMRTs from 1,041 suppliers for a response rate of 59% (in 2021, we received CMRTs from 1,364 suppliers for a 54% response rate)



971 suppliers, or 55% of the suppliers we campaigned, returned valid CMRTs (compared to 1,253, or 49%, in 2021)



139, or 14%, of our supplier CMRT responses were made at the Woodward-requested part or part-family level (compared to 165, or 12%, of CMRT responses last year)

The primary difference in our 2022 campaign as compared to 2021 is that we made significant improvements in identifying suppliers who do not supply parts to us that contain 3TG, which enabled us to engage in a more direct campaign with targeted suppliers. However, despite this more targeted campaign, we saw only a modest increase in our supplier response rate. Additionally, based on the nature of certain supplier responses, it appears that some upstream suppliers continue to believe they only need to provide information related to sales made during the current Reporting Period. However, Woodward and other downstream customers in many cases use components purchased in prior years within the products they introduce into the stream of commerce during the current Reporting Period.

This results in a need from Woodward and other downstream suppliers for CMRT data from prior timeframes that can be challenging to acquire.

Supplier Response Assessment (Smelter Determination Due Diligence)

ACM generated an integrated roll-up CMRT from all valid supplier CMRTs received as of April 28, 2023. This resulted in 345 SORs with RMI identification numbers who provide, through our supply chain, conflict minerals used in Woodward’s products. See Exhibit A to this Report for a list of these 345 SORs. Woodward conducts no direct transactions and has no contractual relationship with these SORs or their sources of ore.

We used RMI’s SOR compliance status data and the results of our 2022 campaign, in each case as of April 28, 2022, to evaluate the 345 SORs with respect to RMI compliance. The summarized results are as follows:



224SORs were determined by RMI to be “conformant”, meaning the SOR has been verified as having completed a responsible mineral sourcing validation program



8 SORs are designated by RMI as “active”, meaning the SOR has begun participating in a responsible mineral sourcing validation program



89 SORs had other RMI designations



24 SORs are designated by RMI as “non-conformant” (compared to 17 in the prior year)

We have identified 24 SORs in our supply chain that are categorized as “high risk” based on the sourcing practices and relationships of the applicable SOR. Woodward will conduct an outreach via Assent to our suppliers who utilize one or more of the 24 high risk SORS and to encourage these suppliers to (i) request that the applicable SORs participate in a responsible mineral sourcing validation program, and/or (ii) find alternative sourcing relationships with conformant SORs.

Smelter or Refiner Mine Country of Origin Results

Mine country of origin data was available for all 224 of the conformant SORs. Of these 224 SORs, the mine country of origin data for 59 were provided on an aggregate basis to RMI by the LBMA. See Exhibit B to this Report for our country of origin findings as of April 28, 2022.

Concluding Statement

Woodward continues to refine our supplier conflict minerals risk analysis, relevant supplier identification, SOR identification, and mine country of origin through improvements in our due diligence activity, our use of the ACM and other Assent services, and our association memberships. However, because (i) Woodward has not yet achieved a 100% supplier response rate; (ii) a significant majority of our supplier responses are still at a company level and not yet focused on Woodward specific parts; and (iii) complete SOR conflict status and mine country of origin data is not yet available from centralized sources specializing in the collection and assessment of such data, Woodward does not have sufficiently complete or discriminating data at this time to confirm the conflict-free or may-not-be-conflict-free status of any of its product families or individual products. We have also found that many supplier respondents have supply chains using SORs that were not conformant to a responsible mineral sourcing validation program, and we will continue to actively address this issue to mitigate such usage through targeted supplier outreach enabled by our use of ACM and other Assent services. Woodward is continuing our efforts and progress on the improvement actions described above.

Exhibit A: Smelter and Refiner List




Standard Smelter Name


Smelter Facility Location


Smelter ID
(from RMI)

Gold    Argor-Heraeus S.A.    Switzerland    CID000077
Gold    Asaka Riken Co., Ltd.    Japan    CID000090
Gold    Bangko Sentral ng Pilipinas (Central Bank of the Philippines)    Philippines    CID000128
Gold    Caridad    Mexico    CID000180
Gold    Cendres + Metaux S.A.    Switzerland    CID000189
Gold    Yunnan Copper Industry Co., Ltd.    China    CID000197
Gold    Advanced Chemical Company    United States Of America    CID000015
Gold    Chugai Mining    Japan    CID000264
Gold    DSC (Do Sung Corporation)    Korea, Republic Of    CID000359
Gold    JSC Novosibirsk Refinery    Russian Federation    CID000493
Gold    Hunan Chenzhou Mining Co., Ltd.    China    CID000767
Gold    Istanbul Gold Refinery    Turkey    CID000814
Gold    LT Metal Ltd.    Korea, Republic Of    CID000689
Gold    Heimerle + Meule GmbH    Germany    CID000694
Gold    Almalyk Mining and Metallurgical Complex (AMMC)    Uzbekistan    CID000041
Gold    AngloGold Ashanti Corrego do Sitio Mineracao    Brazil    CID000058
Gold    Asahi Refining Canada Ltd.    Canada    CID000924
Gold    JSC Ekaterinburg Non-Ferrous Metal Processing Plant    Russian Federation    CID000927
Gold    JSC Uralelectromed    Russian Federation    CID000929
Gold    JX Nippon Mining & Metals Co., Ltd.    Japan    CID000937
Gold    Kazakhmys Smelting LLC    Kazakhstan    CID000956
Gold    Kazzinc    Kazakhstan    CID000957
Gold    HwaSeong CJ CO., LTD.    Korea, Republic Of    CID000778
Gold    Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.    China    CID000801
Gold    Japan Mint    Japan    CID000823
Gold    Jiangxi Copper Co., Ltd.    China    CID000855
Gold    Lingbao Jinyuan Tonghui Refinery Co., Ltd.    China    CID001058
Gold    LS-NIKKO Copper Inc.    Korea, Republic Of    CID001078
Gold    Matsuda Sangyo Co., Ltd.    Japan    CID001119
Gold    Metalor Technologies (Suzhou) Ltd.    China    CID001147
Gold    L’azurde Company For Jewelry    Saudi Arabia    CID001032
Gold    Luoyang Zijin Yinhui Gold Refinery Co., Ltd.    China    CID001093
Gold    Metalor Technologies (Hong Kong) Ltd.    China    CID001149

Gold    Metalor Technologies (Singapore) Pte., Ltd.    Singapore    CID001152
Gold    Materion    United States Of America    CID001113
Gold    Metalurgica Met-Mex Penoles S.A. De C.V.    Mexico    CID001161
Gold    Nadir Metal Rafineri San. Ve Tic. A.S.    Turkey    CID001220
Gold    Metalor Technologies S.A.    Switzerland    CID001153
Gold    Mitsubishi Materials Corporation    Japan    CID001188
Gold    Nihon Material Co., Ltd.    Japan    CID001259


   OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)    Russian Federation    CID001326
Gold    Moscow Special Alloys Processing Plant    Russian Federation    CID001204
Gold    Navoi Mining and Metallurgical Combinat    Uzbekistan    CID001236
Gold    Prioksky Plant of Non-Ferrous Metals    Russian Federation    CID001386
Gold    PX Precinox S.A.    Switzerland    CID001498
Gold    Rand Refinery (Pty) Ltd.    South Africa    CID001512
Gold    Samwon Metals Corp.    Korea, Republic Of    CID001562
Gold    Shandong Zhaojin Gold & Silver Refinery Co., Ltd.    China    CID001622
Gold    Royal Canadian Mint    Canada    CID001534
Gold    SEMPSA Joyeria Plateria S.A.    Spain    CID001585
Gold    Sumitomo Metal Mining Co., Ltd.    Japan    CID001798
Gold    Shandong Gold Smelting Co., Ltd.    China    CID001916
Gold    Umicore S.A. Business Unit Precious Metals Refining    Belgium    CID001980
Gold    Valcambi S.A.    Switzerland    CID002003
Gold    Super Dragon Technology Co., Ltd.    Taiwan, Province Of China    CID001810
Gold    Tongling Nonferrous Metals Group Co., Ltd.    China    CID001947
Gold    Torecom    Korea, Republic Of    CID001955
Gold    Western Australian Mint (T/a The Perth Mint)    Australia    CID002030
Gold    Zhongyuan Gold Smelter of Zhongjin Gold Corporation    China    CID002224
Gold    SAFINA A.S.    Czechia    CID002290
Gold    Umicore Precious Metals Thailand    Thailand    CID002314
Gold    Yokohama Metal Co., Ltd.    Japan    CID002129
Gold    Guangdong Jinding Gold Limited    China    CID002312
Gold    Geib Refining Corporation    United States Of America    CID002459
Gold    Al Etihad Gold Refinery DMCC    United Arab Emirates    CID002560
Gold    Emirates Gold DMCC    United Arab Emirates    CID002561
Gold    Sudan Gold Refinery    Sudan    CID002567

Gold    Fidelity Printers and Refiners Ltd.    Zimbabwe    CID002515
Gold    Shenzhen CuiLu Gold Co., Ltd.    China    CID002750
Gold    SAAMP    France    CID002761
Gold    International Precious Metal Refiners    United Arab Emirates    CID002562
Gold    REMONDIS PMR B.V.    Netherlands    CID002582
Gold    Fujairah Gold FZC    United Arab Emirates    CID002584
Gold    WIELAND Edelmetalle GmbH    Germany    CID002778
Gold    Abington Reldan Metals, LLC    United States Of America    CID002708
Gold    Albino Mountinho Lda.    Portugal    CID002760
Gold    AU Traders and Refiners    South Africa    CID002850
Gold    Modeltech Sdn Bhd    Malaysia    CID002857
Gold    Bangalore Refinery    India    CID002863
Gold    JALAN & Company    India    CID002893
Gold    SungEel HiMetal Co., Ltd.    Korea, Republic Of    CID002918
Gold    Planta Recuperadora de Metales SpA    Chile    CID002919
Gold    NH Recytech Company    Korea, Republic Of    CID003189
Gold    CGR Metalloys Pvt Ltd.    India    CID003382
Gold    QG Refining, LLC    United States Of America    CID003324
Gold    Eco-System Recycling Co., Ltd. West Plant    Japan    CID003425
Gold    Augmont Enterprises Private Limited    India    CID003461
Gold    Kundan Care Products Ltd.    India    CID003463
Gold    Emerald Jewel Industry India Limited (Unit 1)    India    CID003487
Gold    Sellem Industries Ltd.    Mauritania    CID003540
Gold    Metallix Refining Inc.    United States Of America    CID003557
Gold    Asahi Pretec Corp.    Japan    CID000082
Gold    Atasay Kuyumculuk Sanayi Ve Ticaret A.S.    Turkey    CID000103
Gold    Boliden AB    Sweden    CID000157
Gold    C. Hafner GmbH + Co. KG    Germany    CID000176
Gold    Chimet S.p.A.    Italy    CID000233
Gold    Daye Non-Ferrous Metals Mining Ltd.    China    CID000343
Gold    Eco-System Recycling Co., Ltd. East Plant    Japan    CID000425
Gold    Refinery of Seemine Gold Co., Ltd.    China    CID000522
Gold    Guoda Safina High-Tech Environmental Refinery Co., Ltd.    China    CID000651
Gold    Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd.    China    CID000773
Gold    Ishifuku Metal Industry Co., Ltd.    Japan    CID000807
Gold    Asahi Refining USA Inc.    United States Of America    CID000920

Gold    Kennecott Utah Copper LLC    United States Of America    CID000969
Gold    Lingbao Gold Co., Ltd.    China    CID001056
Gold    Ohura Precious Metal Industry Co., Ltd.    Japan    CID001325
Gold    Penglai Penggang Gold Industry Co., Ltd.    China    CID001362
Gold    Sabin Metal Corp.    United States Of America    CID001546
Gold    Samduck Precious Metals    Korea, Republic Of    CID001555
Gold    Sichuan Tianze Precious Metals Co., Ltd.    China    CID001736
Gold    SOE Shyolkovsky Factory of Secondary Precious Metals    Russian Federation    CID001756
Gold    Tokuriki Honten Co., Ltd.    Japan    CID001938
Gold    Yamakin Co., Ltd.    Japan    CID002100
Gold    Singway Technology Co., Ltd.    Taiwan, Province Of China    CID002516
Gold    Industrial Refining Company    Belgium    CID002587
Gold    Shirpur Gold Refinery Ltd.    India    CID002588
Gold    Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH    Austria    CID002779
Gold    Sai Refinery    India    CID002853
Gold    Kyshtym Copper-Electrolytic Plant ZAO    Russian Federation    CID002865
Gold    Safimet S.p.A    Italy    CID002973
Gold    State Research Institute Center for Physical Sciences and Technology    Lithuania    CID003153
Gold    Aida Chemical Industries Co., Ltd.    Japan    CID000019
Gold    Agosi AG    Germany    CID000035
Gold    Aurubis AG    Germany    CID000113
Gold    CCR Refinery - Glencore Canada Corporation    Canada    CID000185
Gold    Dowa    Japan    CID000401
Gold    Hangzhou Fuchunjiang Smelting Co., Ltd.    China    CID000671
Gold    Heraeus Metals Hong Kong Ltd.    China    CID000707
Gold    Heraeus Germany GmbH Co. KG    Germany    CID000711
Gold    Kojima Chemicals Co., Ltd.    Japan    CID000981
Gold    Kyrgyzaltyn JSC    Kyrgyzstan    CID001029
Gold    Metalor USA Refining Corporation    United States Of America    CID001157
Gold    Mitsui Mining and Smelting Co., Ltd.    Japan    CID001193
Gold    MKS PAMP SA    Switzerland    CID001352
Gold    PT Aneka Tambang (Persero) Tbk    Indonesia    CID001397
Gold    Shandong Tiancheng Biological Gold Industrial Co., Ltd.    China    CID001619
Gold    Solar Applied Materials Technology Corp.    Taiwan, Province Of China    CID001761

Gold    Tanaka Kikinzoku Kogyo K.K.    Japan    CID001875
Gold    Great Wall Precious Metals Co., Ltd. of CBPM    China    CID001909
Gold    United Precious Metal Refining, Inc.    United States Of America    CID001993
Gold    Gold Refinery of Zijin Mining Group Co., Ltd.    China    CID002243
Gold    Morris and Watson    New Zealand    CID002282
Gold    MMTC-PAMP India Pvt., Ltd.    India    CID002509
Gold    KGHM Polska Miedz Spolka Akcyjna    Poland    CID002511
Gold    Shandong Humon Smelting Co., Ltd.    China    CID002525
Gold    Shenzhen Zhonghenglong Real Industry Co., Ltd.    China    CID002527
Gold    Kaloti Precious Metals    United Arab Emirates    CID002563
Gold    T.C.A S.p.A    Italy    CID002580
Gold    Korea Zinc Co., Ltd.    Korea, Republic Of    CID002605
Gold    Marsam Metals    Brazil    CID002606
Gold    TOO Tau-Ken-Altyn    Kazakhstan    CID002615
Gold    L’Orfebre S.A.    Andorra    CID002762
Gold    8853 S.p.A.    Italy    CID002763
Gold    Italpreziosi    Italy    CID002765
Gold    GGC Gujrat Gold Centre Pvt. Ltd.    India    CID002852
Gold    Degussa Sonne / Mond Goldhandel GmbH    Germany    CID002867
Gold    Pease & Curren    United States Of America    CID002872
Gold    ABC Refinery Pty Ltd.    Australia    CID002920
Gold    African Gold Refinery    Uganda    CID003185
Gold    Gold Coast Refinery    Ghana    CID003186
Gold    Dijllah Gold Refinery FZC    United Arab Emirates    CID003348
Gold    Emerald Jewel Industry India Limited (Unit 4)    India    CID003490
Gold    Alexy Metals    United States Of America    CID003500
Gold    Sancus ZFS (L’Orfebre, SA)    Colombia    CID003529
Gold    MD Overseas    India    CID003548
Gold    C.I Metales Procesados Industriales SAS    Colombia    CID003421
Gold    Eco-System Recycling Co., Ltd. North Plant    Japan    CID003424
Gold    Emerald Jewel Industry India Limited (Unit 2)    India    CID003488
Gold    Emerald Jewel Industry India Limited (Unit 3)    India    CID003489
Gold    Metal Concentrators SA (Pty) Ltd.    South Africa    CID003575
Gold    Gold by Gold Colombia    Colombia    CID003641
Gold    Sovereign Metals    India    CID003383

Gold    K.A. Rasmussen    Norway    CID003497
Gold    WEEEREFINING    France    CID003615
Gold    Dongwu Gold Group    China    CID003663
Tantalum    Changsha South Tantalum Niobium Co., Ltd.    China    CID000211
Tantalum    Taki Chemical Co., Ltd.    Japan    CID001869
Tantalum    Hengyang King Xing Lifeng New Materials Co., Ltd.    China    CID002492
Tantalum    Jiujiang Zhongao Tantalum & Niobium Co., Ltd.    China    CID002506
Tantalum    XinXing HaoRong Electronic Material Co., Ltd.    China    CID002508
Tantalum    TANIOBIS Co., Ltd.    Thailand    CID002544
Tantalum    FIR Metals & Resource Ltd.    China    CID002505
Tantalum    TANIOBIS GmbH    Germany    CID002545
Tantalum    TANIOBIS Japan Co., Ltd.    Japan    CID002549
Tantalum    Resind Industria e Comercio Ltda.    Brazil    CID002707
Tantalum    Jiangxi Tuohong New Raw Material    China    CID002842
Tantalum    RFH Yancheng Jinye New Material Technology Co., Ltd.    China    CID003583
Tantalum    AMG Brasil    Brazil    CID001076
Tantalum    Mineracao Taboca S.A.    Brazil    CID001175
Tantalum    Ningxia Orient Tantalum Industry Co., Ltd.    China    CID001277
Tantalum    QuantumClean    United States Of America    CID001508
Tantalum    Yanling Jincheng Tantalum & Niobium Co., Ltd.    China    CID001522
Tantalum    Solikamsk Magnesium Works OAO    Russian Federation    CID001769
Tantalum    Telex Metals    United States Of America    CID001891
Tantalum    D Block Metals, LLC    United States Of America    CID002504
Tantalum    Global Advanced Metals Boyertown    United States Of America    CID002557
Tantalum    Global Advanced Metals Aizu    Japan    CID002558
Tantalum    F&X Electro-Materials Ltd.    China    CID000460
Tantalum    JiuJiang JinXin Nonferrous Metals Co., Ltd.    China    CID000914
Tantalum    Jiujiang Tanbre Co., Ltd.    China    CID000917
Tantalum    Metallurgical Products India Pvt., Ltd.    India    CID001163
Tantalum    Mitsui Mining and Smelting Co., Ltd.    Japan    CID001192
Tantalum    NPM Silmet AS    Estonia    CID001200
Tantalum    Ulba Metallurgical Plant JSC    Kazakhstan    CID001969

Tantalum    Jiangxi Dinghai Tantalum & Niobium Co., Ltd.    China    CID002512
Tantalum    KEMET de Mexico    Mexico    CID002539
Tantalum    Materion Newton Inc.    United States Of America    CID002548
Tantalum    TANIOBIS Smelting GmbH & Co. KG    Germany    CID002550
Tantalum    5D Production OU    Estonia    CID003926
Tin    Alpha    United States Of America    CID000292
Tin    Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.    China    CID000228
Tin    PT Aries Kencana Sejahtera    Indonesia    CID000309
Tin    Estanho de Rondonia S.A.    Brazil    CID000448
Tin    Gejiu Non-Ferrous Metal Processing Co., Ltd.    China    CID000538
Tin    Gejiu Zili Mining And Metallurgy Co., Ltd.    China    CID000555
Tin    Metallic Resources, Inc.    United States Of America    CID001142
Tin    China Tin Group Co., Ltd.    China    CID001070
Tin    Malaysia Smelting Corporation (MSC)    Malaysia    CID001105
Tin    Mitsubishi Materials Corporation    Japan    CID001191
Tin    PT Artha Cipta Langgeng    Indonesia    CID001399
Tin    PT Babel Inti Perkasa    Indonesia    CID001402
Tin    PT Bukit Timah    Indonesia    CID001428
Tin    Operaciones Metalurgicas S.A.    Bolivia (Plurinational State Of)    CID001337
Tin    PT Timah Nusantara    Indonesia    CID001486
Tin    PT Tommy Utama    Indonesia    CID001493
Tin    PT Mitra Stania Prima    Indonesia    CID001453
Tin    PT Sariwiguna Binasentosa    Indonesia    CID001463
Tin    PT Tinindo Inter Nusa    Indonesia    CID001490
Tin    VQB Mineral and Trading Group JSC    Viet Nam    CID002015
Tin    White Solder Metalurgia e Mineracao Ltda.    Brazil    CID002036
Tin    Nghe Tinh Non-Ferrous Metals Joint Stock Company    Viet Nam    CID002573
Tin    PT Cipta Persada Mulia    Indonesia    CID002696
Tin    Tuyen Quang Non-Ferrous Metals Joint Stock Company    Viet Nam    CID002574
Tin    PT Rajehan Ariq    Indonesia    CID002593
Tin    Resind Industria e Comercio Ltda.    Brazil    CID002706
Tin    PT Bangka Prima Tin    Indonesia    CID002776
Tin    Aurubis Beerse    Belgium    CID002773
Tin    PT Menara Cipta Mulia    Indonesia    CID002835

Tin    Modeltech Sdn Bhd    Malaysia    CID002858
Tin    Tin Technology & Refining    United States Of America    CID003325
Tin    Dongguan CiEXPO Environmental Engineering Co., Ltd.    China    CID003356
Tin    Luna Smelter, Ltd.    Rwanda    CID003387
Tin    PT Bangka Serumpun    Indonesia    CID003205
Tin    PT Rajawali Rimba Perkasa    Indonesia    CID003381
Tin    Yunnan Yunfan Non-ferrous Metals Co., Ltd.    China    CID003397
Tin    PT Mitra Sukses Globalindo    Indonesia    CID003449
Tin    EM Vinto    Bolivia (Plurinational State Of)    CID000438
Tin    Fenix Metals    Poland    CID000468
Tin    Gejiu Kai Meng Industry and Trade LLC    China    CID000942
Tin    Mineracao Taboca S.A.    Brazil    CID001173
Tin    Minsur    Peru    CID001182
Tin    Jiangxi New Nanshan Technology Ltd.    China    CID001231
Tin    PT Babel Surya Alam Lestari    Indonesia    CID001406
Tin    PT Bangka Tin Industry    Indonesia    CID001419
Tin    PT Belitung Industri Sejahtera    Indonesia    CID001421
Tin    PT Stanindo Inti Perkasa    Indonesia    CID001468
Tin    PT Timah Tbk Kundur    Indonesia    CID001477
Tin    Rui Da Hung    Taiwan, Province Of China    CID001539
Tin    Magnu’s Minerais Metais e Ligas Ltda.    Brazil    CID002468
Tin    Melt Metais e Ligas S.A.    Brazil    CID002500
Tin    PT ATD Makmur Mandiri Jaya    Indonesia    CID002503
Tin    O.M. Manufacturing Philippines, Inc.    Philippines    CID002517
Tin    CV Ayi Jaya    Indonesia    CID002570
Tin    Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company    Viet Nam    CID002572
Tin    An Vinh Joint Stock Mineral Processing Company    Viet Nam    CID002703
Tin    Aurubis Berango    Spain    CID002774
Tin    PT Sukses Inti Makmur    Indonesia    CID002816
Tin    Guangdong Hanhe Non-Ferrous Metal Co., Ltd.    China    CID003116
Tin    Pongpipat Company Limited    Myanmar    CID003208
Tin    PT Premium Tin Indonesia    Indonesia    CID000313
Tin    Dowa    Japan    CID000402
Tin    Novosibirsk Tin Combine    Russian Federation    CID001305
Tin    O.M. Manufacturing (Thailand) Co., Ltd.    Thailand    CID001314

Tin    PT Panca Mega Persada    Indonesia    CID001457
Tin    PT Prima Timah Utama    Indonesia    CID001458
Tin    PT Refined Bangka Tin    Indonesia    CID001460
Tin    PT Timah Tbk Mentok    Indonesia    CID001482
Tin    Thaisarco    Thailand    CID001898
Tin    Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.    China    CID001908
Tin    Yunnan Chengfeng Non-ferrous Metals Co., Ltd.    China    CID002158
Tin    Tin Smelting Branch of Yunnan Tin Co., Ltd.    China    CID002180
Tin    CV Venus Inti Perkasa    Indonesia    CID002455
Tin    PT Tirus Putra Mandiri    Indonesia    CID002478
Tin    Super Ligas    Brazil    CID002756
Tin    Chifeng Dajingzi Tin Industry Co., Ltd.    China    CID003190
Tin    CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda    Brazil    CID003486
Tin    Fabrica Auricchio Industria e Comercio Ltda.    Brazil    CID003582
Tin    DS Myanmar    Myanmar    CID003831
Tin    CRM Synergies    Spain    CID003524
Tin    PT Putera Sarana Shakti (PT PSS)    Indonesia    CID003868
Tin    Precious Minerals and Smelting Limited    India    CID003409
Tin    Gejiu City Fuxiang Industry and Trade Co., Ltd.    China    CID003410
Tungsten    Guangdong Xianglu Tungsten Co., Ltd.    China    CID000218
Tungsten    A.L.M.T. Corp.    Japan    CID000004
Tungsten    Hunan Chenzhou Mining Co., Ltd.    China    CID000766
Tungsten    Japan New Metals Co., Ltd.    Japan    CID000825
Tungsten    Ganzhou Huaxing Tungsten Products Co., Ltd.    China    CID000875
Tungsten    Xiamen Tungsten Co., Ltd.    China    CID002082
Tungsten    Xiamen Tungsten (H.C.) Co., Ltd.    China    CID002320
Tungsten    Asia Tungsten Products Vietnam Ltd.    Viet Nam    CID002502
Tungsten    H.C. Starck Tungsten GmbH    Germany    CID002541
Tungsten    Ganzhou Jiangwu Ferrotungsten Co., Ltd.    China    CID002315
Tungsten    Jiangxi Xinsheng Tungsten Industry Co., Ltd.    China    CID002317
Tungsten    Jiangxi Gan Bei Tungsten Co., Ltd.    China    CID002321
Tungsten    Ganzhou Haichuang Tungsten Co., Ltd.    China    CID002645
Tungsten    Hydrometallurg, JSC    Russian Federation    CID002649
Tungsten    TANIOBIS Smelting GmbH & Co. KG    Germany    CID002542
Tungsten    Jiangwu H.C. Starck Tungsten Products Co., Ltd.    China    CID002551

Tungsten    Unecha Refractory metals plant    Russian Federation    CID002724
Tungsten    Cronimet Brasil Ltda    Brazil    CID003468
Tungsten    Artek LLC    Russian Federation    CID003553
Tungsten    Kennametal Huntsville    United States Of America    CID000105
Tungsten    Hunan Jintai New Material Co., Ltd.    China    CID000769
Tungsten    Kennametal Fallon    United States Of America    CID000966
Tungsten    Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.    China    CID002318
Tungsten    Malipo Haiyu Tungsten Co., Ltd.    China    CID002319
Tungsten    Ganzhou Seadragon W & Mo Co., Ltd.    China    CID002494
Tungsten    Niagara Refining LLC    United States Of America    CID002589
Tungsten    China Molybdenum Tungsten Co., Ltd.    China    CID002641
Tungsten    ACL Metais Eireli    Brazil    CID002833
Tungsten    Fujian Ganmin RareMetal Co., Ltd.    China    CID003401
Tungsten    NPP Tyazhmetprom LLC    Russian Federation    CID003416
Tungsten    Chongyi Zhangyuan Tungsten Co., Ltd.    China    CID000258
Tungsten    CNMC (Guangxi) PGMA Co., Ltd.    China    CID000281
Tungsten    Global Tungsten & Powders LLC    United States Of America    CID000568
Tungsten    Wolfram Bergbau und Hutten AG    Austria    CID002044
Tungsten    Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.    China    CID002313
Tungsten    Jiangxi Yaosheng Tungsten Co., Ltd.    China    CID002316
Tungsten    Hunan Shizhuyuan Nonferrous Metals Co., Ltd. Chenzhou Tungsten Products Branch    China    CID002513
Tungsten    Masan High-Tech Materials    Viet Nam    CID002543
Tungsten    Philippine Chuangxin Industrial Co., Inc.    Philippines    CID002827
Tungsten    Moliren Ltd.    Russian Federation    CID002845
Tungsten    Fujian Xinlu Tungsten Co., Ltd.    China    CID003609
Tungsten    OOO “Technolom” 2    Russian Federation    CID003612
Tungsten    YUDU ANSHENG TUNGSTEN CO., LTD.    China    CID003662
Tungsten    Hubei Green Tungsten Co., Ltd.    China    CID003417
Tungsten    Albasteel Industria e Comercio de Ligas Para Fundicao Ltd.    Brazil    CID003427
Tungsten    LLC Vostok    Russian Federation    CID003643
Tungsten    Tungsten Vietnam Joint Stock Company    Viet Nam    CID003993
Tungsten    DONGKUK INDUSTRIES CO., LTD.    Korea, Republic Of    CID004060
Tungsten    Lianyou Metals Co., Ltd.    Taiwan, Province Of China    CID003407
Tungsten    JSC “Kirovgrad Hard Alloys Plant”    Russian Federation    CID003408
Tungsten    OOO “Technolom” 1    Russian Federation    CID003614
Tungsten    HANNAE FOR T Co., Ltd.    Korea, Republic Of    CID003978

Exhibit B: Mine Country of Origin Data

Potential Countries of Origin for Conflict Minerals associated with the SORs listed in Exhibit A






Ivory Coast (Côte d’Ivoire)








Czech Republic



Antigua and Barbuda







Dominican Republic












Korea, Republic of



El Salvador












Lao People’s Democratic Republic























French Guiana



Bolivia (Plurinational State of)





Bosnia and Herzegovina




















Burkina Faso




















Cayman Islands


Hong Kong













Chinese Taipei










Congo, Democratic Republic of the




New Zealand

Costa Rica












Sierra Leone


Trinidad and Tobago








Sint Maarten







Turks and Caicos

Papua New Guinea


South Africa










St Vincent and Grenadines


United Arab Emirates





United Kingdom





United States of America

Puerto Rico




















Saint Kitts and Nevis





Saudi Arabia