EX-1.01 2 teledynecmr2022.htm EX-1.01 - CONFLICT MINERALS REPORT 2022 Document


Teledyne Technologies Incorporated
Conflict Minerals Report
Calendar Year Ending December 31, 2022
May 30, 2023

Introduction
This Conflict Minerals Report (this "Report") for the year ended December 31, 2022, 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 (the “SEC”) to implement reporting and disclosure requirements related to conflict minerals as provided for by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. The Rule imposes certain reporting obligations on SEC registrants that manufacture products containing conflict minerals which are necessary to the functionality or production of their products. The term “conflict minerals” is defined as columbite-tantalite (tantalum), casserite (tin), gold or wolframite (tungsten) or any other mineral or its derivatives determined by the Secretary of State to be financing conflict in the Democratic Republic of the Congo (“DRC”) or any adjoining country the DRC, including the Central African Republic, South Sudan, Rwanda, Uganda, Zambia, Burundi, Tanzania and Angola (collectively, the “Covered Countries”). For the purposes of this Report, tin, tungsten, tantalum and gold will collectively be referred to as the 3TGs:
This Report (1) describes the reasonable country of origin inquiry ("RCOI") and subsequent due diligence efforts undertaken by Teledyne Technologies Incorporated (herein referred to as the “Company” “we”, “us”, or “our”) to determine whether in the 2022 calendar year the conflict minerals necessary to the functionality or production of a product manufactured by the Company or contracted by the Company to be manufactured originated in the Covered Countries, and (2) provides additional disclosure required by the Rule. This Report includes details with respect to the good-faith reasonable country of origin inquiry undertaken by the Company.
Company Overview.
    Teledyne Technologies Incorporated provides enabling technologies for industrial growth markets that require advanced technology and high reliability. These markets include factory automation and condition monitoring, aerospace and defense, air and water quality environmental monitoring, electronics design and development, medical imaging and pharmaceutical research, oceanographic research, and deepwater energy exploration and production. Following the 2021 acquisition of FLIR Systems, Inc. (“FLIR”), we further evolved into a global sensing and decision-support technology company: providing specialty sensors, cameras, instrumentation, algorithms and software across the electromagnetic spectrum,



as well as unmanned systems, in the subsea, land and air domains. We differentiate ourselves from many of our direct competitors by having a customer and Company-sponsored applied research center that augments our product development expertise. We believe that technological capabilities and innovation and the ability to invest in the development of new and enhanced products are critical to obtaining and maintaining leadership in our markets and the industries in which we compete.
Conflict Minerals Policy
As part of the Company’s due diligence efforts, the Company has adopted a statement on Conflict Minerals which is available at: https://www.teledyne.com/who-we-are/ethics
Reasonable Country of Origin Inquiry (RCOI)
After the RCOI, the Company had reason to believe that its necessary conflict minerals may have originated in the Covered Countries and had reason to believe that they may not be from recycled or scrap sources.
Due to the wide variety and high mix of products manufactured and sold by the Company, the Company conducted its due diligence with its direct suppliers. In determining which suppliers to survey in 2022, the Company focused on suppliers of materials, parts and components that are most likely to include conflict minerals. The Company initially identified 4,127 suppliers that were in-scope based principally on the category of spend in the Company’s supplier database and, for FLIR, based on the supplier status as a Tier 1 supplier at FLIR (each such supplier an “In-Scope Supplier”). 

The Company, with the assistance of its third-party service provider, Assent Compliance (“Assent”), attempted to contact all of the In-Scope Suppliers and provide each with a copy of the Company’s Statement on Conflict Minerals, a Conflict Minerals Reporting Template version 6.1 or higher (“CMRT”) and instructions on how to complete the CMRT. The CMRT is a standardized reporting template developed by the Responsible Minerals Initiative (“RMI”) that facilitates the transfer of information through the supply chain regarding mineral country of origin and smelters or refiners (“SORs”) being utilized. In-Scope Suppliers were instructed to return a completed CMRT to the Company within a certain time period after receipt.

Assent contacted suppliers by email a minimum of three times and then non-responsive suppliers directly a minimum of two times. Additional communications include training and education on the completion of the CMRT form as well as access to Assent's supplier support center, a learning management system developed by Assent, designed to alleviate any remaining confusion with suppliers. All communications and courses completed by suppliers were monitored and tracked in Assent's system for future reporting and transparency.

Teledyne’s Conflict Minerals program through Assent includes automated data validation on all submitted CMRTs. The goal of data validation is to increase the accuracy of submissions and identify any contradictory answers in the CMRT. All submitted CMRT forms are accepted and classified as valid or



invalid so that data is still retained. Suppliers are contacted in regards to invalid forms and are encouraged to resubmit a valid form.

Based on the responses provided by suppliers to the Company’s RCOI, the Company is unable to determine that 3TGs necessary to the functionality or production of the Company’s products did not originate in the DRC or any of the Covered Countries. Accordingly, the Company undertook the measures described below to assess the due diligence practices of the SORs listed on its unique smelter list that were known or reasonably believed to have sourced from the DRC or that had unknown sourcing.

Due Diligence
Design of Due Diligence Measures
In accordance with the Rule, the Company conducted due diligence on the source and chain of custody of those conflict minerals. The due diligence approach followed by the Company is intended to meet the criteria set forth 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, an internationally recognized due diligence framework, and the related Supplements for gold, tin, tantalum and tungsten (the “OECD Guidance”).

Due Diligence Process
The Company established a Conflict Minerals compliance program that is designed to conform, in all material respects, to the framework in the OECD Guidance.
1.    Establish Strong Company Management Systems
1.1    Internal Team
The Company has established a management system with respect to the Rule and the obligations thereof. The Company’s management system includes a cross-functional team, the Conflict Minerals Team, which is sponsored by a Conflict Minerals Governance Committee consisting of the Company’s Senior Vice President, General Counsel, Chief Compliance Officer and Secretary, the Company’s Senior Vice President and Chief Financial Officer and the Company's Vice President and Chief Procurement Officer. The Conflict Minerals Team is responsible for implementing the Company’s conflict minerals compliance program and is led by the Associate Vice President and Associate General Counsel who acts as the conflict minerals coordinator. The Conflict Minerals Governance Committee is briefed about the results of the Conflict Minerals Team’s progress and due diligence efforts on a periodic basis.
As stated throughout this Report, we also partner with Assent, a SaaS company whose software allows us to collect and store CMRTs and supplier data, communicate with our supply chain and provide training and education.
1.2    Establish a system of controls and transparency over the mineral supply chain
The CMRTs we collected from our suppliers allowed us to obtain information that was relevant to our due diligence efforts, including the names of smelters or refiners in our suppliers’ supply chains. While a portion of the Company’s direct suppliers are also subject to the reporting obligations under the



Exchange Act and knowledgeable about the Rule, the Company also has many other suppliers and distributors that do not have the same reporting obligations and as such require additional training to understand the requirements of the Rule.
In 2013, the Company adopted an internal Conflict Minerals Assessment Plan (the “Assessment Plan”) incorporating many of the standards set forth in the then current version of the OECD Guidance. Internal controls include the Company’s on-going initiative of integrating conflict minerals related requirements in its supply agreements that require disclosure of 3TGs.
1.4     Maintain Records
The Company developed a record retention requirement for information relating to the management of its conflict minerals compliance process. All relevant records will be retained for a period of 5 years. In addition, Assent retains all information gathered during the supply survey portion of the Company’s conflict minerals program for the same 5 year period.
1.5    Strengthen company engagement with suppliers
With respect to the OECD requirement to strengthen engagement with suppliers, the Company has utilized the CMRT version 6.22 and the Assent Compliance Manager web-based reporting tool for collecting conflict minerals declarations from the Company’s supplier base. The use of these tools has allowed the Company to assist its suppliers in understanding the Company’s expectations and requirements and increase the rate of responses the Company has received from its suppliers to the Company’s survey requests.
Additionally, the Company’s procurement organization continues to integrate provisions related to conflict minerals disclosure requirements language into new supply agreements or renewals of existing supply agreements during the course of negotiations. Accordingly, the Company is continuing its attempts to confirm suppliers have implemented processes to identify the origin of 3TGs.
1.6    Establish a company level grievance mechanism
The Company has established a confidential Corporate Ethics/Help Line, with the theme, "Take The Right Action." The Ethics/Help line is available to all Company employees, as well as concerned individuals outside the company. Violations of Company policies, including those related to conflict minerals, may be reported via this Ethics/Help Line. The toll free help line number is 1-877-666-6968.
2.    Identify and assess risk in the supply chain
In order to assess the risk that any of these smelters posed to our supply chain, Assent determined if the smelter had been audited against a standard in conformance with the OECD Guidance, such as the Responsible Minerals Assurance Process (RMAP). We do not typically have a direct relationship with 3TG smelters and refiners and do not perform or direct audits of these entities within our 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, a potential supply chain risk exists.



Each facility that meets the RMI definition of a smelter or refiner of a 3TG mineral is assigned assessed according to red-flag indicators defined in the OECD Guidance. Assent uses 5 factors to determine the level of risk that each smelter poses to the supply chain by identifying red-flags:

Geographic proximity to the DRC and covered countries;
Known mineral source country of origin;
Responsible Minerals Assurance Process (RMAP) audit status;
Credible evidence of unethical or conflict sourcing
Peer Assessments conducted by credible third-party sources.
Additionally, suppliers are evaluated on program strength (further assisting in identifying risk in the supply chain). Evaluating and tracking the strength of the program can assist in making key risk mitigation decisions as the program progresses. The criteria used to evaluate the strength of the supplier’s program are:
•    Have you established a conflict minerals sourcing policy?
•    Have you implemented due diligence measures for conflict-free sourcing?
•    Do you review due diligence information received from your suppliers against your company’s expectations?
•    Does your review process include corrective action management?
Based on a supplier’s answers to these criteria, the supplier’s program is deemed to be either strong or weak.
As part of the Company’s Assessment Plan and to ensure suppliers understand the Company’s expectations, Assent provides video and written training on conflict minerals and the CMRT. This includes instructions on completing the form, and one-on-one email and phone discussions with supplier personnel.
Tracing materials back to their mine of origin is a complex aspect of responsible sourcing in the Company’s supply chain. The Company determined that seeking information about 3TG smelters and refiners in its supply chain represents the most reasonable effort the Company can make to determine the mines or locations of origin of the 3TGs in its supply chain. This was done by adopting methodology outlined by the Responsible Business Alliance and programs and outreach initiatives and requiring the Company’s suppliers to report to the Company using the CMRT. Through this industry joint effort, the Company made reasonable determination of the mines or locations of origin of the 3TGs in its supply chain.
3.    Design and implement a strategy to respond to identified risks
The Company has developed and continues to use a risk management approach to implement due diligence activities concerning 3TGs and the potential presence of conflict minerals.



The Company’s current strategy to respond to supply chain risks, as described in the Company’s Assessment Plan, is that if the Company becomes aware of a supplier whose supply chain includes 3TGs that are not conflict free, the Company will take appropriate steps to address the situation in a timely manner, including supplier education and/or reassessment of the supplier relationship. To date, the Company has found no instances where it was necessary to terminate a contract or find a replacement material or supplier.
If suppliers did not provide information as requested, or the data did not appear to be reliable or was conflicting, the Conflict Minerals Team together with Assent developed a plan to send additional communications, offer additional education, or, if necessary, have the Company’s procurement organization engage with the supplier.
When red-flag smelters or refiners were reported based on the logic discussed in the previous section, risk mitigation activities are initiated. CMRT submissions that include any red-flag smelters or refiners immediately produced a receipt instructing the supplier to take their own risk mitigation actions, including submission of a product specific CMRT to better identify the connection to products that they supply to Teledyne and directives to remove these red-flag smelters from their supply chain. Through our smelter and refinery assessments, we also monitor red flags related to risks outside of just sourcing conflict minerals from the Covered Countries.
4.    Carry out independent third-party audit of the supply chain due diligence at identified points in the supply chain
As a downstream purchaser of conflict minerals, the Company’s due diligence process is based on the necessity of relying on data obtained from its direct suppliers. The Company also relies on information collected and provided by other external audit programs. As such, the Company has not conducted third-party audits of any smelters or refiners.
5.    Report on Supply Chain Due Diligence
This Conflict Minerals Report is on file with the SEC and is publicly available on the Company’s website https://www.teledyne.com/who-we-are/ethics
Results of Due Diligence
The Company, through Assent’s software platform, surveyed a total of 4,127 suppliers. Of the responses, none were determined to be out of scope, 63 were deemed invalid and marked for follow-up, and 2,129 were accepted as complete. This is an overall response rate of 51.59%.

Smelters or Refiners
    The large majority of the responses received from the supplier survey provided data at a company or divisional level or were unable to specify the smelters or refiners used for components supplied to the Company. The Company was therefore unable to determine whether the 3TGs reported by the suppliers were contained in components or parts supplied to the Company. Furthermore, suppliers did not always provide smelter lists nor were the smelter lists consistently completed with smelter identification numbers,



and therefore the Company was unable to validate that any of these smelters or refiners are actually in its supply chain.

The current efforts focus on gathering smelter information via the CMRT and, as the program progresses, requiring full completion of all necessary smelter identification information which will enable the validation and disclosure of the smelters as well as the tracing of 3TGs to their location of origin. Seeking information about 3TG smelters and refiners in the Company’s supply chain represents the most reasonable effort the Company can make to determine the mines or locations of origin of 3TGs in its supply chain.

Certain of the responses provided by suppliers to the CMRT did include the names of facilities listed by the suppliers as smelters or refiners. The Company does not typically have a direct relationship with 3TG smelters and refiners and does not perform or direct audits of these entities within its supply chain. Assent compared facilities listed in the supplier responses to the list of smelters maintained by the RMI and, if a supplier indicated that the facility was certified as conflict-free, confirmed that the name was listed by RMI. Based on the smelter lists provided by suppliers via the CMRTs, the Company is aware that 223 smelters are certified conflict-free, and a number of other smelters are active in the RMAP third-party audit process.

As of May 19, 2023, the Company has validated 348 legitimate smelters or refiners and is working to validate the additional smelter and refiner entries from the submitted CMRTs. The table set forth on Annex 1 to this Report lists the valid smelters identified by suppliers the Company surveyed. The table set forth on Annex 2 lists the countries from which the minerals processed by the SORs in Annex 1 are believed to have originated based on information provided by suppliers and the RMI. As noted above, since the Company’s suppliers generally provided facility information via the CMRT at the company or divisional level, and generally did not limit their CMRT responses to facility information for 3TGs in products they supply to the Company specifically, 3TGs contained in the Company’s products did not necessarily originate in the facilities listed in Annex 1 or the countries listed in Annex 2.

Many suppliers are still unable to provide the smelters or refiners used for materials supplied to the Company. Furthermore, many of the responses provided at the company or division level indicated an “unknown” status in terms of determining the origin of 3TGs.

Risk Mitigation Steps
    The Company’s conflict minerals program for the 2023 calendar year will continue to focus on vetting smelter data, which may include the following actions:

Working with suppliers to move to the latest version of the CMRT where new smelter identification numbers have been assigned;
Requiring the use of smelter identification numbers;
Requesting that suppliers connect any identified smelters with the products and parts the suppliers supply to the Company; and



Comparing smelters reported by suppliers on the CMRT to the Responsible Minerals Initiative’s list of smelters.    

The Company intends to take additional steps to improve its due diligence process and to further mitigate any risk that the 3TGs in its products could benefit armed groups in the Covered Countries, which may include the following:
Include a conflict minerals flow-down clause in new or renewed supplier contracts;
Engage with suppliers and direct them to training resources to increase the response rate and improve the content of the supplier survey responses; and
Engage any suppliers found to be providing the Company with conflict minerals from sources that support conflict in the Covered Countries to establish an alternative source of conflict minerals that does not support such conflict.

    The Company reserves the right to modify or eliminate these Risk Mitigation Steps, including, without limitation, in response to any changes or proposed changes to the Rule by the SEC.




Annex 1
The following is a list of verified smelters that the suppliers surveyed by the Company reported as being in their supply chains. The table also list a smelter’s audit status under RMI’s Responsible Minerals Assurance Process (RMAP), a third-party audit certifying conflict-free sourcing. As noted in the Report, since the Company’s suppliers generally provided facility information via the CMRT at the company or divisional level, and generally did not limit their CMRT responses to facility information for 3TGs in products they supply to the Company specifically, 3TGs contained in the Company’s products did not necessarily originate in the facilities listed in Annex 1 or the countries listed in Annex 2.
MetalSmelter NameSmelter Facility LocationSmelter IDRMAP Audit Status
TinChenzhou Yunxiang Mining and Metallurgy Co., Ltd.ChinaCID000228Conformant
TinAlphaUnited States Of AmericaCID000292Conformant
TinDowaJapanCID000402Conformant
TinEM VintoBolivia (Plurinational State Of)CID000438Conformant
TinFenix MetalsPolandCID000468Conformant
TinGejiu Zili Mining And Metallurgy Co., Ltd.ChinaCID000555Non Conformant
TinChina Tin Group Co., Ltd.ChinaCID001070Conformant
TinMalaysia Smelting Corporation (MSC)MalaysiaCID001105Conformant
TinMetallic Resources, Inc.United States Of AmericaCID001142Conformant
GoldMetalor USA Refining CorporationUnited States Of AmericaCID001157Conformant
GoldMetalurgica Met-Mex Penoles S.A. De C.V.MexicoCID001161Conformant
TinMineracao Taboca S.A.BrazilCID001173Conformant
TinMinsurPeruCID001182Conformant
TinMitsubishi Materials CorporationJapanCID001191Conformant
TinJiangxi New Nanshan Technology Ltd.ChinaCID001231Conformant
TinOperaciones Metalurgicas S.A.Bolivia (Plurinational State Of)CID001337Conformant



TinPT Artha Cipta LanggengIndonesiaCID001399Conformant
TinPT Babel Inti PerkasaIndonesiaCID001402Conformant
TinPT Babel Surya Alam LestariIndonesiaCID001406Conformant
TinPT Bukit TimahIndonesiaCID001428Conformant
TinPT Mitra Stania PrimaIndonesiaCID001453Conformant
TinPT Prima Timah UtamaIndonesiaCID001458Conformant
TinPT Refined Bangka TinIndonesiaCID001460Conformant
TinPT Sariwiguna BinasentosaIndonesiaCID001463Conformant
TinPT Stanindo Inti PerkasaIndonesiaCID001468Conformant
TinPT Timah Tbk KundurIndonesiaCID001477Conformant
TinPT Timah Tbk MentokIndonesiaCID001482Conformant
TinPT Tinindo Inter NusaIndonesiaCID001490Non Conformant
TinRui Da HungTaiwan, Province Of ChinaCID001539Conformant
GoldTanaka Kikinzoku Kogyo K.K.JapanCID001875Conformant
TinThaisarcoThailandCID001898Conformant
GoldUmicore S.A. Business Unit Precious Metals RefiningBelgiumCID001980Conformant
GoldWestern Australian Mint (T/a The Perth Mint)AustraliaCID002030Conformant
TinWhite Solder Metalurgia e Mineracao Ltda.BrazilCID002036Conformant
TinYunnan Chengfeng Non-ferrous Metals Co., Ltd.ChinaCID002158Conformant
TinTin Smelting Branch of Yunnan Tin Co., Ltd.ChinaCID002180Conformant
TungstenGanzhou Seadragon W & Mo Co., Ltd.ChinaCID002494Conformant
TinPT ATD Makmur Mandiri JayaIndonesiaCID002503Conformant
TinO.M. Manufacturing Philippines, Inc.PhilippinesCID002517Conformant
TungstenH.C. Starck Tungsten GmbHGermanyCID002541Conformant
TungstenMasan High-Tech MaterialsViet NamCID002543Conformant
TinPT Cipta Persada MuliaIndonesiaCID002696Conformant
TinAurubis BeerseBelgiumCID002773Conformant
GoldWIELAND Edelmetalle GmbHGermanyCID002778Conformant



TinPT Menara Cipta MuliaIndonesiaCID002835Conformant
TinGuangdong Hanhe Non-Ferrous Metal Co., Ltd.ChinaCID003116Conformant
TinPT Bangka SerumpunIndonesiaCID003205Conformant
TinTin Technology & RefiningUnited States Of AmericaCID003325Conformant
TinPT Rajawali Rimba PerkasaIndonesiaCID003381Conformant
TinLuna Smelter, Ltd.RwandaCID003387Conformant
GoldAsahi Pretec Corp.JapanCID000082Conformant
TungstenChongyi Zhangyuan Tungsten Co., Ltd.ChinaCID000258Conformant
GoldDowaJapanCID000401Conformant
GoldEco-System Recycling Co., Ltd. East PlantJapanCID000425Conformant
TantalumF&X Electro-Materials Ltd.ChinaCID000460Conformant
TinGejiu Non-Ferrous Metal Processing Co., Ltd.ChinaCID000538Conformant
GoldHeraeus Metals Hong Kong Ltd.ChinaCID000707Conformant
TungstenHunan Jintai New Material Co., Ltd.ChinaCID000769Non Conformant
GoldIshifuku Metal Industry Co., Ltd.JapanCID000807Conformant
TungstenGanzhou Huaxing Tungsten Products Co., Ltd.ChinaCID000875Conformant
GoldJX Nippon Mining & Metals Co., Ltd.JapanCID000937Conformant
GoldKojima Chemicals Co., Ltd.JapanCID000981Conformant
GoldMatsuda Sangyo Co., Ltd.JapanCID001119Conformant
GoldMitsui Mining and Smelting Co., Ltd.JapanCID001193Conformant
GoldNihon Material Co., Ltd.JapanCID001259Conformant
GoldSolar Applied Materials Technology Corp.Taiwan, Province Of ChinaCID001761Conformant
GoldSumitomo Metal Mining Co., Ltd.JapanCID001798Conformant
GoldTokuriki Honten Co., Ltd.JapanCID001938Conformant



TungstenXiamen Tungsten Co., Ltd.ChinaCID002082Conformant
TungstenJiangxi Xinsheng Tungsten Industry Co., Ltd.ChinaCID002317Conformant
GoldCaridadMexicoCID000180Outreach Required
GoldMKS PAMP SASwitzerlandCID001352Conformant
TungstenA.L.M.T. Corp.JapanCID000004Conformant
TungstenKennametal HuntsvilleUnited States Of AmericaCID000105Conformant
TungstenGuangdong Xianglu Tungsten Co., Ltd.ChinaCID000218Conformant
TungstenGlobal Tungsten & Powders LLCUnited States Of AmericaCID000568Conformant
TungstenWolfram Bergbau und Hutten AGAustriaCID002044Conformant
TungstenXiamen Tungsten (H.C.) Co., Ltd.ChinaCID002320Conformant
TungstenJiangxi Gan Bei Tungsten Co., Ltd.ChinaCID002321Conformant
TungstenHunan Shizhuyuan Nonferrous Metals Co., Ltd. Chenzhou Tungsten Products BranchChinaCID002513Conformant
TungstenTANIOBIS Smelting GmbH & Co. KGGermanyCID002542Conformant
TungstenNiagara Refining LLCUnited States Of AmericaCID002589Conformant
TungstenHydrometallurg, JSCRussian FederationCID002649RMI Due Diligence Review - Unable to Proceed
GoldAgosi AGGermanyCID000035Conformant
GoldArgor-Heraeus S.A.SwitzerlandCID000077Conformant
GoldC. Hafner GmbH + Co. KGGermanyCID000176Conformant
GoldHeimerle + Meule GmbHGermanyCID000694Conformant
TinGejiu Kai Meng Industry and Trade LLCChinaCID000942Non Conformant
GoldMetalor Technologies (Hong Kong) Ltd.ChinaCID001149Conformant



GoldMetalor Technologies (Singapore) Pte., Ltd.SingaporeCID001152Conformant
GoldMetalor Technologies S.A.SwitzerlandCID001153Conformant
TinO.M. Manufacturing (Thailand) Co., Ltd.ThailandCID001314Conformant
GoldRoyal Canadian MintCanadaCID001534Conformant
GoldShandong Zhaojin Gold & Silver Refinery Co., Ltd.ChinaCID001622Conformant
GoldUnited Precious Metal Refining, Inc.United States Of AmericaCID001993Conformant
GoldValcambi S.A.SwitzerlandCID002003Conformant
GoldZhongyuan Gold Smelter of Zhongjin Gold CorporationChinaCID002224Conformant
TinAurubis BerangoSpainCID002774Conformant
GoldAida Chemical Industries Co., Ltd.JapanCID000019Conformant
GoldAngloGold Ashanti Corrego do Sitio MineracaoBrazilCID000058Conformant
GoldAsaka Riken Co., Ltd.JapanCID000090Conformant
GoldAurubis AGGermanyCID000113Conformant
GoldBoliden ABSwedenCID000157Conformant
GoldChimet S.p.A.ItalyCID000233Conformant
GoldHeraeus Germany GmbH Co. KGGermanyCID000711Conformant
GoldIstanbul Gold RefineryTurkeyCID000814Conformant
GoldAsahi Refining USA Inc.United States Of AmericaCID000920Conformant
GoldAsahi Refining Canada Ltd.CanadaCID000924Conformant
GoldKennecott Utah Copper LLCUnited States Of AmericaCID000969Conformant
GoldLS-NIKKO Copper Inc.Korea, Republic OfCID001078Conformant
GoldMetalor Technologies (Suzhou) Ltd.ChinaCID001147Conformant
GoldMitsubishi Materials CorporationJapanCID001188Conformant
GoldShandong Gold Smelting Co., Ltd.ChinaCID001916Conformant



GoldOgussa Osterreichische Gold- und Silber-Scheideanstalt GmbHAustriaCID002779Conformant
TinChifeng Dajingzi Tin Industry Co., Ltd.ChinaCID003190Conformant
GoldAdvanced Chemical CompanyUnited States Of AmericaCID000015Conformant
GoldAlmalyk Mining and Metallurgical Complex (AMMC)UzbekistanCID000041Conformant
GoldAtasay Kuyumculuk Sanayi Ve Ticaret A.S.TurkeyCID000103Outreach Required
GoldBangko Sentral ng Pilipinas (Central Bank of the Philippines)PhilippinesCID000128Conformant
GoldCCR Refinery - Glencore Canada CorporationCanadaCID000185Conformant
GoldCendres + Metaux S.A.SwitzerlandCID000189Non Conformant
GoldYunnan Copper Industry Co., Ltd.ChinaCID000197Outreach Required
GoldChugai MiningJapanCID000264Conformant
TungstenCNMC (Guangxi) PGMA Co., Ltd.ChinaCID000281Outreach Required
TinPT Aries Kencana SejahteraIndonesiaCID000309Conformant
GoldDaye Non-Ferrous Metals Mining Ltd.ChinaCID000343In Communication
GoldDSC (Do Sung Corporation)Korea, Republic OfCID000359Conformant
TinEstanho de Rondonia S.A.BrazilCID000448Conformant
GoldJSC Novosibirsk RefineryRussian FederationCID000493RMI Due Diligence Review - Unable to Proceed
GoldRefinery of Seemine Gold Co., Ltd.ChinaCID000522Outreach Required
TantalumXIMEI RESOURCES (GUANGDONG) LIMITEDChinaCID000616Conformant
GoldGuoda Safina High-Tech Environmental Refinery Co., Ltd.ChinaCID000651Outreach Required
GoldHangzhou Fuchunjiang Smelting Co., Ltd.ChinaCID000671Outreach Required



GoldLT Metal Ltd.Korea, Republic OfCID000689Conformant
TungstenHunan Chenzhou Mining Co., Ltd.ChinaCID000766Conformant
GoldHunan Chenzhou Mining Co., Ltd.ChinaCID000767Outreach Required
GoldHunan Guiyang yinxing Nonferrous Smelting Co., Ltd.ChinaCID000773Outreach Required
GoldHwaSeong CJ CO., LTD.Korea, Republic OfCID000778Communication Suspended - Not Interested
GoldInner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.ChinaCID000801Conformant
GoldJapan MintJapanCID000823Conformant
TungstenJapan New Metals Co., Ltd.JapanCID000825Conformant
GoldJiangxi Copper Co., Ltd.ChinaCID000855Conformant
TantalumJiuJiang JinXin Nonferrous Metals Co., Ltd.ChinaCID000914Conformant
TantalumJiujiang Tanbre Co., Ltd.ChinaCID000917Conformant
GoldJSC Ekaterinburg Non-Ferrous Metal Processing PlantRussian FederationCID000927RMI Due Diligence Review - Unable to Proceed
GoldJSC UralelectromedRussian FederationCID000929RMI Due Diligence Review - Unable to Proceed
GoldKazakhmys Smelting LLCKazakhstanCID000956In Communication
GoldKazzincKazakhstanCID000957Conformant
TungstenKennametal FallonUnited States Of AmericaCID000966Conformant
GoldKyrgyzaltyn JSCKyrgyzstanCID001029Non Conformant
GoldL'azurde Company For JewelrySaudi ArabiaCID001032RMI Due Diligence Review - Unable to Proceed



GoldLingbao Gold Co., Ltd.ChinaCID001056Outreach Required
GoldLingbao Jinyuan Tonghui Refinery Co., Ltd.ChinaCID001058Outreach Required
TantalumAMG BrasilBrazilCID001076Conformant
GoldLuoyang Zijin Yinhui Gold Refinery Co., Ltd.ChinaCID001093Outreach Required
GoldMaterionUnited States Of AmericaCID001113Conformant
TantalumMetallurgical Products India Pvt., Ltd.IndiaCID001163Conformant
TantalumMineracao Taboca S.A.BrazilCID001175Conformant
TantalumMitsui Mining and Smelting Co., Ltd.JapanCID001192Conformant
TantalumNPM Silmet ASEstoniaCID001200Conformant
GoldMoscow Special Alloys Processing PlantRussian FederationCID001204RMI Due Diligence Review - Unable to Proceed
GoldNadir Metal Rafineri San. Ve Tic. A.S.TurkeyCID001220Conformant
GoldNavoi Mining and Metallurgical CombinatUzbekistanCID001236Conformant
TantalumNingxia Orient Tantalum Industry Co., Ltd.ChinaCID001277Conformant
TinNovosibirsk Tin CombineRussian FederationCID001305RMI Due Diligence Review - Unable to Proceed
GoldOhura Precious Metal Industry Co., Ltd.JapanCID001325Conformant
GoldOJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)Russian FederationCID001326RMI Due Diligence Review - Unable to Proceed
GoldPenglai Penggang Gold Industry Co., Ltd.ChinaCID001362Outreach Required
GoldPrioksky Plant of Non-Ferrous MetalsRussian FederationCID001386RMI Due Diligence Review - Unable to Proceed



GoldPT Aneka Tambang (Persero) TbkIndonesiaCID001397Conformant
TinPT Timah NusantaraIndonesiaCID001486Active
GoldPX Precinox S.A.SwitzerlandCID001498Conformant
TantalumQuantumCleanUnited States Of AmericaCID001508Conformant
GoldRand Refinery (Pty) Ltd.South AfricaCID001512Conformant
TantalumYanling Jincheng Tantalum & Niobium Co., Ltd.ChinaCID001522Conformant
GoldSabin Metal Corp.United States Of AmericaCID001546Communication Suspended - Not Interested
GoldSamduck Precious MetalsKorea, Republic OfCID001555Non Conformant
GoldSamwon Metals Corp.Korea, Republic OfCID001562Communication Suspended - Not Interested
GoldSEMPSA Joyeria Plateria S.A.SpainCID001585Conformant
GoldShandong Tiancheng Biological Gold Industrial Co., Ltd.ChinaCID001619Outreach Required
GoldSichuan Tianze Precious Metals Co., Ltd.ChinaCID001736Conformant
GoldSOE Shyolkovsky Factory of Secondary Precious MetalsRussian FederationCID001756RMI Due Diligence Review - Unable to Proceed
TantalumSolikamsk Magnesium Works OAORussian FederationCID001769RMI Due Diligence Review - Unable to Proceed
GoldSuper Dragon Technology Co., Ltd.Taiwan, Province Of ChinaCID001810Outreach Required
TantalumTaki Chemical Co., Ltd.JapanCID001869Conformant
TantalumTelex MetalsUnited States Of AmericaCID001891Conformant
TinGejiu Yunxin Nonferrous Electrolysis Co., Ltd.ChinaCID001908Non Conformant



GoldGreat Wall Precious Metals Co., Ltd. of CBPMChinaCID001909Outreach Required
GoldTongling Nonferrous Metals Group Co., Ltd.ChinaCID001947Outreach Required
GoldTorecomKorea, Republic OfCID001955Conformant
TantalumUlba Metallurgical Plant JSCKazakhstanCID001969Conformant
TinVQB Mineral and Trading Group JSCViet NamCID002015Outreach Required
GoldYamakin Co., Ltd.JapanCID002100Conformant
GoldYokohama Metal Co., Ltd.JapanCID002129Conformant
GoldGold Refinery of Zijin Mining Group Co., Ltd.ChinaCID002243Conformant
GoldMorris and WatsonNew ZealandCID002282In Communication
GoldSAFINA A.S.CzechiaCID002290Conformant
GoldGuangdong Jinding Gold LimitedChinaCID002312Outreach Required
TungstenJiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.ChinaCID002313Communication Suspended - Not Interested
GoldUmicore Precious Metals ThailandThailandCID002314Non Conformant
TungstenGanzhou Jiangwu Ferrotungsten Co., Ltd.ChinaCID002315Conformant
TungstenJiangxi Yaosheng Tungsten Co., Ltd.ChinaCID002316Conformant
TungstenJiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.ChinaCID002318Conformant
TungstenMalipo Haiyu Tungsten Co., Ltd.ChinaCID002319Conformant
TinCV Venus Inti PerkasaIndonesiaCID002455Conformant
GoldGeib Refining CorporationUnited States Of AmericaCID002459Conformant
TinMagnu's Minerais Metais e Ligas Ltda.BrazilCID002468Conformant
TantalumHengyang King Xing Lifeng New Materials Co., Ltd.ChinaCID002492Conformant
TinMelt Metais e Ligas S.A.BrazilCID002500Non Conformant



TungstenAsia Tungsten Products Vietnam Ltd.Viet NamCID002502Conformant
TantalumD Block Metals, LLCUnited States Of AmericaCID002504Conformant
TantalumFIR Metals & Resource Ltd.ChinaCID002505Conformant
TantalumJiujiang Zhongao Tantalum & Niobium Co., Ltd.ChinaCID002506Conformant
TantalumXinXing HaoRong Electronic Material Co., Ltd.ChinaCID002508Conformant
GoldMMTC-PAMP India Pvt., Ltd.IndiaCID002509Conformant
GoldKGHM Polska Miedz Spolka AkcyjnaPolandCID002511Conformant
TantalumJiangxi Dinghai Tantalum & Niobium Co., Ltd.ChinaCID002512Conformant
GoldFidelity Printers and Refiners Ltd.ZimbabweCID002515RMI Due Diligence Review - Unable to Proceed
GoldSingway Technology Co., Ltd.Taiwan, Province Of ChinaCID002516Non Conformant
GoldShandong Humon Smelting Co., Ltd.ChinaCID002525Outreach Required
GoldShenzhen Zhonghenglong Real Industry Co., Ltd.ChinaCID002527Outreach Required
TantalumKEMET de MexicoMexicoCID002539Conformant
TantalumTANIOBIS Co., Ltd.ThailandCID002544Conformant
TantalumTANIOBIS GmbHGermanyCID002545Conformant
TantalumMaterion Newton Inc.United States Of AmericaCID002548Conformant
TantalumTANIOBIS Japan Co., Ltd.JapanCID002549Conformant
TantalumTANIOBIS Smelting GmbH & Co. KGGermanyCID002550Conformant
TungstenJiangwu H.C. Starck Tungsten Products Co., Ltd.ChinaCID002551Conformant



TantalumGlobal Advanced Metals BoyertownUnited States Of AmericaCID002557Conformant
TantalumGlobal Advanced Metals AizuJapanCID002558Conformant
GoldAl Etihad Gold Refinery DMCCUnited Arab EmiratesCID002560Conformant
GoldEmirates Gold DMCCUnited Arab EmiratesCID002561Conformant
GoldInternational Precious Metal RefinersUnited Arab EmiratesCID002562In Communication
GoldKaloti Precious MetalsUnited Arab EmiratesCID002563RMI Due Diligence Review - Unable to Proceed
GoldSudan Gold RefinerySudanCID002567Outreach Required
TinElectro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock CompanyViet NamCID002572Non Conformant
TinNghe Tinh Non-Ferrous Metals Joint Stock CompanyViet NamCID002573Outreach Required
TinTuyen Quang Non-Ferrous Metals Joint Stock CompanyViet NamCID002574Outreach Required
GoldT.C.A S.p.AItalyCID002580Conformant
GoldREMONDIS PMR B.V.NetherlandsCID002582Conformant
GoldFujairah Gold FZCUnited Arab EmiratesCID002584Outreach Required
GoldIndustrial Refining CompanyBelgiumCID002587Non Conformant
GoldShirpur Gold Refinery Ltd.IndiaCID002588Outreach Required
GoldKorea Zinc Co., Ltd.Korea, Republic OfCID002605Conformant
GoldMarsam MetalsBrazilCID002606Non Conformant
GoldTOO Tau-Ken-AltynKazakhstanCID002615Conformant
TungstenChina Molybdenum Tungsten Co., Ltd.ChinaCID002641Conformant
TungstenGanzhou Haichuang Tungsten Co., Ltd.ChinaCID002645Conformant



TinAn Vinh Joint Stock Mineral Processing CompanyViet NamCID002703Outreach Required
TinResind Industria e Comercio Ltda.BrazilCID002706Conformant
TantalumResind Industria e Comercio Ltda.BrazilCID002707Conformant
GoldAbington Reldan Metals, LLCUnited States Of AmericaCID002708Conformant
TungstenUnecha Refractory metals plantRussian FederationCID002724Non Conformant
TinSuper LigasBrazilCID002756Active
GoldSAAMPFranceCID002761Conformant
GoldL'Orfebre S.A.AndorraCID002762Conformant
Gold8853 S.p.A.ItalyCID002763Non Conformant
GoldItalpreziosiItalyCID002765Conformant
TinPT Sukses Inti MakmurIndonesiaCID002816Conformant
TungstenPhilippine Chuangxin Industrial Co., Inc.PhilippinesCID002827Conformant
TungstenACL Metais EireliBrazilCID002833Non Conformant
TantalumJiangxi Tuohong New Raw MaterialChinaCID002842Conformant
TungstenMoliren Ltd.Russian FederationCID002845RMI Due Diligence Review - Unable to Proceed
GoldAU Traders and RefinersSouth AfricaCID002850Non Conformant
GoldGGC Gujrat Gold Centre Pvt. Ltd.IndiaCID002852Active
GoldSai RefineryIndiaCID002853Outreach Required
GoldModeltech Sdn BhdMalaysiaCID002857Non Conformant
TinModeltech Sdn BhdMalaysiaCID002858Non Conformant
GoldBangalore RefineryIndiaCID002863Conformant
GoldKyshtym Copper-Electrolytic Plant ZAORussian FederationCID002865RMI Due Diligence Review - Unable to Proceed
GoldDegussa Sonne / Mond Goldhandel GmbHGermanyCID002867Outreach Required



GoldPease & CurrenUnited States Of AmericaCID002872Communication Suspended - Not Interested
GoldJALAN & CompanyIndiaCID002893Outreach Required
GoldSungEel HiMetal Co., Ltd.Korea, Republic OfCID002918Conformant
GoldPlanta Recuperadora de Metales SpAChileCID002919Conformant
GoldSafimet S.p.AItalyCID002973Non Conformant
GoldState Research Institute Center for Physical Sciences and TechnologyLithuaniaCID003153Outreach Required
GoldAfrican Gold RefineryUgandaCID003185RMI Due Diligence Review - Unable to Proceed
GoldGold Coast RefineryGhanaCID003186Outreach Required
GoldNH Recytech CompanyKorea, Republic OfCID003189Conformant
TinPongpipat Company LimitedMyanmarCID003208Outreach Required
GoldQG Refining, LLCUnited States Of AmericaCID003324Outreach Required
GoldDijllah Gold Refinery FZCUnited Arab EmiratesCID003348Outreach Required
TinDongguan CiEXPO Environmental Engineering Co., Ltd.ChinaCID003356Non Conformant
GoldCGR Metalloys Pvt Ltd.IndiaCID003382Outreach Required
GoldSovereign MetalsIndiaCID003383Outreach Required
TinYunnan Yunfan Non-ferrous Metals Co., Ltd.ChinaCID003397Non Conformant
TungstenLianyou Metals Co., Ltd.Taiwan, Province Of ChinaCID003407Conformant
TungstenJSC "Kirovgrad Hard Alloys Plant"Russian FederationCID003408RMI Due Diligence Review - Unable to Proceed



TinPrecious Minerals and Smelting LimitedIndiaCID003409Non Conformant
TinGejiu City Fuxiang Industry and Trade Co., Ltd.ChinaCID003410Outreach Required
TungstenNPP Tyazhmetprom LLCRussian FederationCID003416RMI Due Diligence Review - Unable to Proceed
TungstenHubei Green Tungsten Co., Ltd.ChinaCID003417Conformant
GoldC.I Metales Procesados Industriales SASColombiaCID003421Active
GoldEco-System Recycling Co., Ltd. North PlantJapanCID003424Conformant
GoldEco-System Recycling Co., Ltd. West PlantJapanCID003425Conformant
TungstenAlbasteel Industria e Comercio de Ligas Para Fundicao Ltd.BrazilCID003427Non Conformant
TinPT Mitra Sukses GlobalindoIndonesiaCID003449Conformant
GoldAugmont Enterprises Private LimitedIndiaCID003461Active
GoldKundan Care Products Ltd.IndiaCID003463In Communication
TungstenCronimet Brasil LtdaBrazilCID003468Conformant
TinCRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil LtdaBrazilCID003486Conformant
GoldEmerald Jewel Industry India Limited (Unit 1)IndiaCID003487In Communication
GoldEmerald Jewel Industry India Limited (Unit 2)IndiaCID003488In Communication
GoldEmerald Jewel Industry India Limited (Unit 3)IndiaCID003489In Communication
GoldEmerald Jewel Industry India Limited (Unit 4)IndiaCID003490In Communication
GoldK.A. RasmussenNorwayCID003497Outreach Required



GoldAlexy MetalsUnited States Of AmericaCID003500Conformant
TinCRM SynergiesSpainCID003524Conformant
GoldSancus ZFS (L’Orfebre, SA)ColombiaCID003529Conformant
GoldSellem Industries Ltd.MauritaniaCID003540Communication Suspended - Not Interested
GoldMD OverseasIndiaCID003548In Communication
TungstenArtek LLCRussian FederationCID003553RMI Due Diligence Review - Unable to Proceed
GoldMetallix Refining Inc.United States Of AmericaCID003557In Communication
GoldMetal Concentrators SA (Pty) Ltd.South AfricaCID003575Conformant
TinFabrica Auricchio Industria e Comercio Ltda.BrazilCID003582Conformant
TantalumRFH Yancheng Jinye New Material Technology Co., Ltd.ChinaCID003583Conformant
TungstenFujian Xinlu Tungsten Co., Ltd.ChinaCID003609Conformant
TungstenOOO “Technolom” 2Russian FederationCID003612RMI Due Diligence Review - Unable to Proceed
TungstenOOO “Technolom” 1Russian FederationCID003614RMI Due Diligence Review - Unable to Proceed
GoldWEEEREFININGFranceCID003615Active
TinPT Premium Tin IndonesiaIndonesiaCID000313Conformant
TinPT Belitung Industri SejahteraIndonesiaCID001421Active
TinPT Panca Mega PersadaIndonesiaCID001457In Communication
TinPT Tommy UtamaIndonesiaCID001493Conformant



TinPT Tirus Putra MandiriIndonesiaCID002478In Communication
TinCV Ayi JayaIndonesiaCID002570Conformant
TinPT Bangka Prima TinIndonesiaCID002776Conformant
TungstenLLC VostokRussian FederationCID003643RMI Due Diligence Review - Unable to Proceed
TinPT Putera Sarana Shakti (PT PSS)IndonesiaCID003868Conformant
TinPT Bangka Tin IndustryIndonesiaCID001419In Communication
GoldShenzhen CuiLu Gold Co., Ltd.ChinaCID002750Outreach Required
GoldAlbino Mountinho Lda.PortugalCID002760Outreach Required
GoldABC Refinery Pty Ltd.AustraliaCID002920Outreach Required
GoldGold by Gold ColombiaColombiaCID003641Conformant
TungstenYUDU ANSHENG TUNGSTEN CO., LTD.ChinaCID003662Outreach Required
GoldDongwu Gold GroupChinaCID003663Outreach Required
Tantalum5D Production OUEstoniaCID003926Outreach Required
TinPT Rajehan AriqIndonesiaCID002593Conformant
TinDS MyanmarMyanmarCID003831Conformant
TungstenHANNAE FOR T Co., Ltd.Korea, Republic OfCID003978Outreach Required
TungstenTungsten Vietnam Joint Stock CompanyViet NamCID003993Conformant
TungstenDONGKUK INDUSTRIES CO., LTD.Korea, Republic OfCID004060In Communication
GoldSam Precious MetalsUnited Arab EmiratesCID003666In Communication
GoldCoimpa Industrial LTDABrazilCID004010Active
TungstenNam Viet Cromit Joint Stock CompanyChinaCID004034In Communication



TantalumPowerX Ltd.RwandaCID004054Conformant
TinMining Minerals Resources SARLCongo, Democratic Republic Of TheCID004065Active








Annex 2

Potential countries of origin include:
China
Brazil
Japan
Canada
Chile
Malaysia
India
Peru
Argentina
Australia
Austria
Germany
Korea
Colombia
Mongolia
Guyana
United States
Ethiopia
Ecuador
Indonesia
Portugal
Belgium
Cambodia
Kazakhstan
Myanmar
Hungary
Namibia
Luxembourg
Taiwan
Niger
Russian Federation
Switzerland
Thailand
Democratic Republic of Congo
Mexico
Nigeria
Mozambique
Rwanda
Hong Kong
Ireland
France
Bolivia (Plurinational State of)
Panama
South Africa
Eritrea
Spain
Zimbabwe
Sierra Leone
United Kingdom
Philippines
Burundi
Estonia



Guinea
Andorra
Angola
Egypt
Tanzania
Congo
Singapore
Djibouti
Ghana
Zambia
Sudan
Turkey
Viet Nam
Italy
South Sudan
Uzbekistan
Madagascar
Papua New Guinea
Saudi Arabia
United Arab Emirates
Jersey Islands
Guatemala
Morocco
New Zealand
Uganda
Azerbaijan
Bahamas
Barbados
Belarus
Bermuda
Finland
Honduras
Nicaragua
American Samoa
Aruba
Dominica
Georgia
Lithuania
Samoa
Slovakia
Afghanistan
Albania
Bulgaria
Central African Republic
Czech Republic
Dominican Republic
Guam
Kenya
Liberia
Mauritania
Norway
Senegal
Slovenia
Tajikistan