0000897069-23-000523.txt : 20230525 0000897069-23-000523.hdr.sgml : 20230525 20230525163940 ACCESSION NUMBER: 0000897069-23-000523 CONFORMED SUBMISSION TYPE: SD PUBLIC DOCUMENT COUNT: 2 13p-1 1.01 20221231 1.02 20221231 FILED AS OF DATE: 20230525 DATE AS OF CHANGE: 20230525 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CUMMINS INC CENTRAL INDEX KEY: 0000026172 STANDARD INDUSTRIAL CLASSIFICATION: ENGINES & TURBINES [3510] IRS NUMBER: 350257090 STATE OF INCORPORATION: IN FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SD SEC ACT: 1934 Act SEC FILE NUMBER: 001-04949 FILM NUMBER: 23961438 BUSINESS ADDRESS: STREET 1: 500 JACKSON ST STREET 2: BOX 3005 MAIL CODE 60207 CITY: COLUMBUS STATE: IN ZIP: 47202-3005 BUSINESS PHONE: 8123773842 MAIL ADDRESS: STREET 1: BOX 3005 MAIL CODE 60207 STREET 2: 500 CITY: COLUMBUS STATE: IN ZIP: 47202-3005 FORMER COMPANY: FORMER CONFORMED NAME: CUMMINS ENGINE CO INC DATE OF NAME CHANGE: 19920703 SD 1 cummins_sd.htm
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

Form SD
Specialized Disclosure Report


Cummins Inc.

Indiana
 (State or other Jurisdiction of
 Incorporation)
1-4949
 (Commission File Number)
35-0257090
 (I.R.S. Employer
Identification No.)
500 Jackson Street
 P. O. Box 3005
 Columbus, IN  47202-3005
 (Principal Executive Office)  (Zip Code)
 Sharon R. Barner, Vice President – Chief Administrative Officer (317) 610-4173
(Name and telephone number, including area code, of the person to contact in connection with this report.) 


Check the appropriate box to indicate the rule pursuant to which this form is being filed, and provide the period to which the information in this form applies:

☐  Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2022

Section 1 – Conflict Minerals Disclosure
Item 1.01 Conflict Minerals Disclosure and Report
Conflict Minerals Disclosure
The Company performed a reasonable country of origin inquiry, in which it surveyed 2,421 direct suppliers regarding whether its necessary cassiterite, columbite-tantalite, wolframite, gold, and their derivatives, which are limited to tin, tantalum, tungsten, and gold (3TG or Conflict Minerals), have been sourced from the Democratic Republic of the Congo or an adjoining country (Covered Countries).  Most of the responses the Company received indicated that the 3TG in the suppliers’ components and materials either 1) were not sourced from smelters located in a Covered Country, 2) were not necessary to the functionality of the components and materials or 3) the source country was undeterminable.  No direct suppliers informed the Company that their 3TG originated from 100% scrap or recycled sources.  Further information regarding the Company’s reasonable country of origin inquiry is included in Section 2 of the Company’s Conflict Minerals Report, which is attached to this specialized disclosure report on Form SD as Exhibit 1.01.  Section 2 of the Conflict Minerals Report is incorporated by reference into this Item 1.01.
During its reasonable country of origin inquiry, the Company determined that some of its necessary Conflict Minerals may have been sourced from the Democratic Republic of the Congo or an adjoining country.  As such, the Company proceeded to exercise due diligence in accordance with the Organization for Economic Co-operation and Development Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas framework on the source and chain of custody of the Conflict Minerals.  The Conflict Minerals Report includes a discussion of the due diligence procedures performed, the ultimate determination of origin and conflict status reached, and the disclosures required by the SEC.
The Company has disclosed the information above, along with a copy of its Conflict Minerals Report and related materials, on its website at https://www.cummins.com/company/ethics-and-compliance/conflict-minerals-disclosure-report
Item 1.02 Exhibit
The Company has prepared a Conflict Minerals Report, which is attached to this specialized disclosure report on Form SD as Exhibit 1.01.
Section 2 – Resource Extraction Issuer Disclosure
Item 2.01 Resource Extraction Issuer Disclosure and Report
Not applicable.
Section 3 – Exhibits
Item 3.01 Exhibits
Exhibit 1.01 – Conflict Minerals Report, as required by Items 1.01 and 1.02 of this Form.


SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the duly authorized undersigned.

CUMMINS INC.

                                            
 By :  /s/ Sharon R. Barner
       Sharon R. Barner                                                
         Vice President, Chief Administrative Officer                                          
     
   05/24/23
      (Date)


 EX-1.01 2 cummins_ex101.htm
Exhibit 1.01

Cummins Inc.
Conflict Minerals Report
For The Year Ended December 31, 2022
This Conflict Minerals Report for the year ended December 31, 2022, is presented to comply with Rule 13p-1 under the Securities Exchange Act of 1934 (the Rule).  The Securities and Exchange Commission (SEC) adopted the Rule to implement reporting and disclosure requirements related to conflict minerals as directed by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (Dodd-Frank Act).  The Rule imposes certain reporting obligations on SEC registrants whose manufactured products contain so called conflict minerals that are necessary to the functionality or production of their products.  “Conflict minerals” are defined as cassiterite, columbite-tantalite, gold, wolframite, and their derivatives, which are limited to tin, tantalum, tungsten, and gold (3TG).  These requirements apply to registrants whatever the geographic origin of the conflict minerals and whether or not the conflict minerals fund armed conflict in the Democratic Republic of the Congo or an adjoining country (the Covered Countries).
1.
Company Overview
This report has been prepared by the management of Cummins Inc. (herein referred to as “Company,” “we,” “us,” or “our”).  The information in this report includes the activities of all majority-owned subsidiaries and other entities that are required to be consolidated. It does not include the activities of entities that are not required to be consolidated.
Cummins Inc., a global power leader, is a corporation of complementary business segments that design, manufacture, distribute and service a broad portfolio of power solutions. The Company’s products range from diesel, natural gas, electric and hybrid powertrains and powertrain-related components including filtration, aftertreatment, turbochargers, fuel systems, controls systems, air handling systems, automated transmissions, axles, drivelines, brakes, suspension systems, electric power generation systems, batteries, electrified power systems, electric powertrains, hydrogen production and fuel cell products.  Headquartered in Columbus, Indiana (U.S.), since its founding in 1919, Cummins employees approximately 73,600 people committed to powering a more prosperous world through three global corporate responsibility priorities critical to healthy communities: education, environment and equality of opportunity. Cummins serves its customers online, through a network of company-owned and independent distributor locations, and through thousands of dealer locations worldwide and earned about $2.2 billion on sales of $28.1 billion in 2022.

We conducted an analysis of our products and determined that it is possible that 3TG may be found in the majority of our products.  However, we believe that the amount and value of 3TG that may be in any given product is generally de minimis compared to the size and value of the product as a whole.
Conflict Minerals Policy
We have adopted the following conflict minerals policy:
It is a policy of Cummins Inc.:
•
To make reasonable efforts: a) to know, and to require each Cummins Inc. supplier to disclose to Cummins, the sources of Conflict Minerals used in its products; and b) to eliminate procurement, as soon as commercially practicable, of products containing Conflict Minerals obtained from sources that fund or support inhumane treatment in the Covered Countries.
•
To require Cummins Inc. suppliers to assist the Company to comply with the disclosure requirements of Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, and the rules of the U.S. Securities and Exchange Commission promulgated pursuant to that law, as well as any related laws and rules.

2.
Reasonable Country of Origin Inquiry (RCOI)
Scope of the Reasonable Country of Origin Inquiry Review
We designed our Reasonable Country of Origin Inquiry (RCOI) to provide a reasonable basis for us to determine whether we source 3TG from Covered Countries.  In 2022, we identified those suppliers who we knew to have supplied, or otherwise were highly likely to have supplied (e.g., electronics suppliers), components and materials containing 3TG.  Through our scoping exercise, we identified 2,421 direct suppliers, representing over $7.45 billion of our 2022 expenditures for direct components and materials.
We conducted a survey of these suppliers using the template developed by the Responsible Business Alliance (RBA) and The Global e-Sustainability Initiative (GeSI), known as the Conflict Minerals Reporting Template (the Template).  The Template was developed to facilitate disclosure and communication of information regarding smelters that provide material to a company’s supply chain.  It includes questions regarding a direct supplier’s conflict minerals policy, engagement with its direct suppliers, origin of conflict minerals included in its products, supplier due diligence, and a listing of the smelters the direct supplier and its suppliers use.  Written instructions and recorded training illustrating the use of the tool is available on the RBA’s website.  Many companies are using the Template in their RCOI and due diligence processes related to conflict minerals.

RCOI Results
In an effort to obtain the highest practical response rate, our process included multiple rounds of communication and follow-up including mail, email, and telephone calls.  We received a response from suppliers representing the majority of in-scope direct material and components expenditures.  We reviewed the responses against criteria developed to determine which responses required further engagement with our suppliers.  These criteria included untimely or incomplete responses as well as inconsistencies within the data reported in the Template.  We worked directly with these suppliers to obtain a revised response and/or additional clarity regarding their submission.
Most of the responses we received indicated that the 3TG in the suppliers’ components and materials either 1) did not originate from a Covered Country, 2) were not necessary to the functionality of the components and materials or 3) the source country was undeterminable.  However, after reviewing the results of our RCOI, we determined that we had reason to believe that some of the 3TG necessary for the functionality or production of our products, from a small number of suppliers, may have originated in a Covered Country during 2022, all within the meaning of the Rule.  We conducted our RCOI in good faith, and we believe that such inquiry was reasonable to allow us to make our determination. Accordingly, the Company proceeded to exercise due diligence on the source and chain of custody of the 3TG.
3.
 Due Diligence Process
3.1 Design of Due Diligence
We designed our due diligence measures to conform, in all material respects, with the framework in The Organization for Economic Co-operation and Development Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (OECD Guidance) and the related Supplements for gold and for tin, tantalum, and tungsten.
The war in Ukraine and resulting U.S. government sanctions against Russia have impacted the information we have about, and the status of, certain Russian-based smelters. The RMI smelters database has been updated to reflect the London Bullion Market Association’s Good Delivery List suspensions for Russia-based gold refiners, which are now classified as high risk by the RBA and its Responsible Minerals Initiative (RMI).

3.2 Management Systems
Conflict Minerals Policy
As described above, the Company has adopted a conflict minerals policy.

Internal Team
We have developed a cross-functional team to set our conflict minerals strategy and ensure timely implementation and execution of our program.  Our Materials Compliance Leader has primary responsibility for program execution.  Guidance on the overall strategy and implementation is provided by the Corporate Purchasing Leadership Team, the Legal Function, and the Ethics and Compliance Function.  Senior management is briefed about the results of our program on a regular basis.
Control Systems and Supplier Engagement
As a company well downstream in the supply chain, we do not have a direct relationship with 3TG smelters and refiners.  We engage with our suppliers and other major manufacturers in our industry and rely on information provided through the RBA-GeSI Conflict Minerals Reporting Template to gather information on the source and chain of custody of the conflict minerals in our products.
In 2013, we updated our Supplier Code of Business Conduct (SCoC) to address, among other things, conflict minerals and the requirement of our suppliers to provide information on their use of these minerals.  Our supplier contracts include a requirement that the supplier comply with the SCoC. The terms and conditions of the supplier contracts also stipulate compliance with all referenced policies and procedures presented on the Company’s public website, and that suppliers hold their supply chain to the standards of the SCoC.  Contracts with our suppliers are frequently in force for three to five years, and we ensure that any new or renewed contracts incorporate the most up-to-date version of the SCoC.  In conjunction with that process, we also ask our suppliers to certify that they have received the updated SCoC and intend to comply.  We conduct periodic audits of our suppliers to validate compliance with the SCoC.
Records Retention
We retain documentation related to our conflict minerals compliance program according to our Corporate Record Retention Schedule.
Grievance Mechanism
We have longstanding grievance mechanisms whereby employees and suppliers can report potential violations of the Company’s policies, including our conflict minerals policy.  Our supplier Internet portal and Cummins website includes contact information that individuals can use to voice any concerns.
3.3 Identify and Assess Risk in the Supply Chain
Because of our size, the complexity of our products, and the depth, breadth, and constant evolution of our supply chain, it is difficult to identify second and third tier suppliers beyond our direct supply base.  Through our RCOI process (see section 2 above), we rely on our suppliers whose materials or components contain 3TG to provide us with information about the source of 3TG contained in those materials or components.  Our direct suppliers similarly rely upon information provided by their suppliers.  Many of our largest suppliers either are SEC registrants and subject to the Rule or are suppliers to other SEC registrants that are subject to the Rule.

3.4 Design and Implement a Strategy to Respond to Risks
In conjunction with our risk assessment process, the Company has developed, and management has approved, a risk management plan.  Through our due diligence process we attempt to determine the source and chain of custody of the necessary conflict minerals we know, or have reason to believe, originated in a Covered Country.
As a downstream company, we generally do not have a direct relationship with smelters and/or refiners.  Most of the work toward this aspect of the OECD Guidance is carried out indirectly through our suppliers or through our involvement with industry working groups/coalitions.
As a downstream company, we largely focus on the accuracy and quality of the representations our direct suppliers make regarding the source and chain of custody of their conflict minerals.  The Company evaluates its direct suppliers’ responses to RCOI and due diligence inquiries based on the risk or likelihood that they are giving an incorrect response or that a non-response may indicate the supplier is purchasing from a known conflict source and does not wish to disclose this fact.  When necessary, issues are escalated to the appropriate level internally and with the supplier.
In evaluating the responses from its suppliers, the Company screens all responses for overall risk factors associated with the veracity of the information supplied.  Suitable, measurable risk mitigation plans are developed as needed on a case-by-case basis.  To date, we have found no instances where it was necessary to terminate a contract or find a replacement supplier based on our RCOI and due diligence.
3.5 Carry Out Independent Third Party Audits of Supply Chain Due Diligence at Identified Points in the Supply Chain
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.  We support audits by engaging our upstream partners who are closer to the source and by supporting the processes carried out through the Conflict Minerals Reporting Template.
3.6 Report on Supply Chain Due Diligence
This conflict minerals report is being filed with the SEC as an exhibit to our specialized disclosure report on Form SD and is available on our website at https://www.cummins.com/company/ethics-and-compliance/conflict-minerals-disclosure-report

4.
 Due Diligence Results
Through our due diligence process we found that a number of the suppliers we believed could be sourcing from a Covered Country were unable to determine the smelter or refiner of the 3TG in their products.  A small number of suppliers were able to provide a partial list of smelters and refiners.  These suppliers informed us that they were continuing to exercise their own due diligence efforts, but felt they would be unable to provide a complete list of smelters/refiners prior to the filing deadline. We compared the partial lists provided by our suppliers with OFAC and the RBA/GESI database.  Through this process we were able to identify and address gaps in data, spelling errors, and eliminate duplicate records in order to arrive at the consolidated list of smelters and refiners. 
The large majority of the responses received provided data at the supplier company level or a division/segment level relative to the supplier, rather than at a level directly relating to a part number that the supplier supplies to us, or were otherwise unable to specify the smelters or refiners used for components supplied to us. We were therefore unable to determine whether any of the 3TG that these suppliers reported was contained in components supplied to us or to validate that any of these smelters or refiners are actually in our supply chain. However, based on the information we obtained from our suppliers, we believe that, to the best of our knowledge, the smelters and refiners listed in Annex I to this conflict minerals report may have been used to process the 3TG contained in the products we manufactured.
Efforts to Determine Mine or Location of Origin
Refer to sections 2 and 3 above for details on our RCOI and due diligence processes.  We believe that these processes are the most reasonable efforts we can make to determine the mines or locations of origin of the 3TG in our supply chain.
5.
 Planned Program Improvements
We continue to take the following steps to improve our conflict minerals program:
a)
Include in new or renewed supplier contracts, as described in section 3.2 above, updated Supplier Code of Conduct language which requires the suppliers to support our conflict minerals program.
b)
Engage with suppliers and direct them to training resources to attempt to increase the response rate and improve the content of the supplier survey responses. Notably, this effort should also help the Company address certain smelters now designated as high-risk due to Ukraine-related sanctions actions.
c)
Work with our peers, suppliers, and industry groups to define and improve best practices and build leverage over the supply chain in accordance with the OECD Guidance.
d)
Deploy our due diligence efforts to identify and address gaps in data in order to arrive at an accurate list of smelter locations.


Annex I
Subject Mineral
Smelter or Refiner Name
Country Location of Smelter or Refinery
Smelter Identification
Gold
8853 S.p.A.
ITALY
CID002763
Gold
ABC Refinery Pty Ltd.
AUSTRALIA
CID002920
Gold
Abington Reldan Metals, LLC
UNITED STATES OF AMERICA
CID002708
Gold
Advanced Chemical Company
UNITED STATES OF AMERICA
CID000015
Gold
African Gold Refinery
UGANDA
CID003185
Gold
Agosi AG
GERMANY
CID000035
Gold
Aida Chemical Industries Co., Ltd.
JAPAN
CID000019
Gold
Al Etihad Gold Refinery DMCC
UNITED ARAB EMIRATES
CID002560
Gold
Albino Mountinho Lda.
PORTUGAL
CID002760
Gold
Alexy Metals
UNITED STATES OF AMERICA
CID003500
Gold
Almalyk Mining and Metallurgical Complex (AMMC)
UZBEKISTAN
CID000041
Gold
AngloGold Ashanti Corrego do Sitio Mineracao
BRAZIL
CID000058
Gold
Argor-Heraeus S.A.
SWITZERLAND
CID000077
Gold
Asahi Pretec Corp.
JAPAN
CID000082
Gold
Asahi Refining Canada Ltd.
CANADA
CID000924
Gold
Asahi Refining USA Inc.
UNITED STATES OF AMERICA
CID000920

Gold
Asaka Riken Co., Ltd.
JAPAN
CID000090
Gold
Atasay Kuyumculuk Sanayi Ve Ticaret A.S.
TURKEY
CID000103
Gold
AU Traders and Refiners
SOUTH AFRICA
CID002850
Gold
Augmont Enterprises Private Limited
INDIA
CID003461
Gold
Aurubis AG
GERMANY
CID000113
Gold
Bangalore Refinery
INDIA
CID002863
Gold
Bangko Sentral ng Pilipinas (Central Bank of the Philippines)
PHILIPPINES
CID000128
Gold
Boliden AB
SWEDEN
CID000157
Gold
C. Hafner GmbH + Co. KG
GERMANY
CID000176
Gold
C.I Metales Procesados Industriales SAS
COLOMBIA
CID003421
Gold
Caridad
MEXICO
CID000180
Gold
CCR Refinery - Glencore Canada Corporation
CANADA
CID000185
Gold
Cendres + Metaux S.A.
SWITZERLAND
CID000189
Gold
CGR Metalloys Pvt Ltd.
INDIA
CID003382
Gold
Chimet S.p.A.
ITALY
CID000233
Gold
Chugai Mining
JAPAN
CID000264
Gold
Daye Non-Ferrous Metals Mining Ltd.
CHINA
CID000343
Gold
Degussa Sonne / Mond Goldhandel GmbH
GERMANY
CID002867
Gold
Dijllah Gold Refinery FZC
UNITED ARAB EMIRATES
CID003348
Gold
Dongwu Gold Group
CHINA
CID003663

2
Gold
Dowa
JAPAN
CID000401
Gold
DSC (Do Sung Corporation)
KOREA, REPUBLIC OF
CID000359
Gold
Eco-System Recycling Co., Ltd. East Plant
JAPAN
CID000425
Gold
Eco-System Recycling Co., Ltd. North Plant
JAPAN
CID003424
Gold
Eco-System Recycling Co., Ltd. West Plant
JAPAN
CID003425
Gold
Emerald Jewel Industry India Limited (Unit 1)
INDIA
CID003487
Gold
Emerald Jewel Industry India Limited (Unit 2)
INDIA
CID003488
Gold
Emerald Jewel Industry India Limited (Unit 3)
INDIA
CID003489
Gold
Emerald Jewel Industry India Limited (Unit 4)
INDIA
CID003490
Gold
Emirates Gold DMCC
UNITED ARAB EMIRATES
CID002561
Gold
Fidelity Printers and Refiners Ltd.
ZIMBABWE
CID002515
Gold
Fujairah Gold FZC
UNITED ARAB EMIRATES
CID002584
Gold
Geib Refining Corporation
UNITED STATES OF AMERICA
CID002459
Gold
GGC Gujrat Gold Centre Pvt. Ltd.
INDIA
CID002852
Gold
Gold by Gold Colombia
COLOMBIA
CID003641
Gold
Gold Coast Refinery
GHANA
CID003186
Gold
Gold Refinery of Zijin Mining Group Co., Ltd.
CHINA
CID002243
Gold
Great Wall Precious Metals Co., Ltd. of CBPM
CHINA
CID001909
Gold
Guangdong Jinding Gold Limited
CHINA
CID002312
Gold
Guoda Safina High-Tech Environmental Refinery Co., Ltd.
CHINA
CID000651

3
Gold
Hangzhou Fuchunjiang Smelting Co., Ltd.
CHINA
CID000671
Gold
Heimerle + Meule GmbH
GERMANY
CID000694
Gold
Heraeus Germany GmbH Co. KG
GERMANY
CID000711
Gold
Heraeus Metals Hong Kong Ltd.
CHINA
CID000707
Gold
Hunan Chenzhou Mining Co., Ltd.
CHINA
CID000767
Gold
Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd.
CHINA
CID000773
Gold
HwaSeong CJ CO., LTD.
KOREA, REPUBLIC OF
CID000778
Gold
Industrial Refining Company
BELGIUM
CID002587
Gold
Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.
CHINA
CID000801
Gold
International Precious Metal Refiners
UNITED ARAB EMIRATES
CID002562
Gold
Ishifuku Metal Industry Co., Ltd.
JAPAN
CID000807
Gold
Istanbul Gold Refinery
TURKEY
CID000814
Gold
Italpreziosi
ITALY
CID002765
Gold
JALAN & Company
INDIA
CID002893
Gold
Japan Mint
JAPAN
CID000823
Gold
Jiangxi Copper Co., Ltd.
CHINA
CID000855
Gold
JSC Ekaterinburg Non-Ferrous Metal Processing Plant*
RUSSIAN FEDERATION
CID000927
Gold
JSC Novosibirsk Refinery*
RUSSIAN FEDERATION
CID000493
Gold
JSC Uralelectromed*
RUSSIAN FEDERATION
CID000929
Gold
JX Nippon Mining & Metals Co., Ltd.
JAPAN
CID000937

4
Gold
K.A. Rasmussen
NORWAY
CID003497
Gold
Kaloti Precious Metals
UNITED ARAB EMIRATES
CID002563
Gold
Kazakhmys Smelting LLC
KAZAKHSTAN
CID000956
Gold
Kazzinc
KAZAKHSTAN
CID000957
Gold
Kennecott Utah Copper LLC
UNITED STATES OF AMERICA
CID000969
Gold
KGHM Polska Miedz Spolka Akcyjna
POLAND
CID002511
Gold
Kojima Chemicals Co., Ltd.
JAPAN
CID000981
Gold
Korea Zinc Co., Ltd.
KOREA, REPUBLIC OF
CID002605
Gold
Kundan Care Products Ltd.
INDIA
CID003463
Gold
Kyrgyzaltyn JSC
KYRGYZSTAN
CID001029
Gold
Kyshtym Copper-Electrolytic Plant ZAO*
RUSSIAN FEDERATION
CID002865
Gold
L'azurde Company For Jewelry
SAUDI ARABIA
CID001032
Gold
Lingbao Gold Co., Ltd.
CHINA
CID001056
Gold
Lingbao Jinyuan Tonghui Refinery Co., Ltd.
CHINA
CID001058
Gold
L'Orfebre S.A.
ANDORRA
CID002762
Gold
LS-NIKKO Copper Inc.
KOREA, REPUBLIC OF
CID001078
Gold
LT Metal Ltd.
KOREA, REPUBLIC OF
CID000689
Gold
Luoyang Zijin Yinhui Gold Refinery Co., Ltd.
CHINA
CID001093
Gold
Marsam Metals
BRAZIL
CID002606
Gold
Materion
UNITED STATES OF AMERICA
CID001113

5
Gold
Matsuda Sangyo Co., Ltd.
JAPAN
CID001119
Gold
MD Overseas
INDIA
CID003548
Gold
Metal Concentrators SA (Pty) Ltd.
SOUTH AFRICA
CID003575
Gold
Metallix Refining Inc.
UNITED STATES OF AMERICA
CID003557
Gold
Metalor Technologies (Hong Kong) Ltd.
CHINA
CID001149
Gold
Metalor Technologies (Singapore) Pte., Ltd.
SINGAPORE
CID001152
Gold
Metalor Technologies (Suzhou) Ltd.
CHINA
CID001147
Gold
Metalor Technologies S.A.
SWITZERLAND
CID001153
Gold
Metalor USA Refining Corporation
UNITED STATES OF AMERICA
CID001157
Gold
Metalurgica Met-Mex Penoles S.A. De C.V.
MEXICO
CID001161
Gold
Mitsubishi Materials Corporation
JAPAN
CID001188
Gold
Mitsui Mining and Smelting Co., Ltd.
JAPAN
CID001193
Gold
MKS PAMP SA
SWITZERLAND
CID001352
Gold
MMTC-PAMP India Pvt., Ltd.
INDIA
CID002509
Gold
Modeltech Sdn Bhd
MALAYSIA
CID002857
Gold
Morris and Watson
NEW ZEALAND
CID002282
Gold
Moscow Special Alloys Processing Plant*
RUSSIAN FEDERATION
CID001204
Gold
Nadir Metal Rafineri San. Ve Tic. A.S.
TURKEY
CID001220
Gold
Navoi Mining and Metallurgical Combinat
UZBEKISTAN
CID001236
Gold
NH Recytech Company
KOREA, REPUBLIC OF
CID003189

6
Gold
Nihon Material Co., Ltd.
JAPAN
CID001259
Gold
Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH
AUSTRIA
CID002779
Gold
Ohura Precious Metal Industry Co., Ltd.
JAPAN
CID001325
Gold
OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)*
RUSSIAN FEDERATION
CID001326
Gold
Pease & Curren
UNITED STATES OF AMERICA
CID002872
Gold
Penglai Penggang Gold Industry Co., Ltd.
CHINA
CID001362
Gold
Planta Recuperadora de Metales SpA
CHILE
CID002919
Gold
Prioksky Plant of Non-Ferrous Metals*
RUSSIAN FEDERATION
CID001386
Gold
PT Aneka Tambang (Persero) Tbk
INDONESIA
CID001397
Gold
PX Precinox S.A.
SWITZERLAND
CID001498
Gold
QG Refining, LLC
UNITED STATES OF AMERICA
CID003324
Gold
Rand Refinery (Pty) Ltd.
SOUTH AFRICA
CID001512
Gold
Refinery of Seemine Gold Co., Ltd.
CHINA
CID000522
Gold
REMONDIS PMR B.V.
NETHERLANDS
CID002582
Gold
Royal Canadian Mint
CANADA
CID001534
Gold
SAAMP
FRANCE
CID002761
Gold
Sabin Metal Corp.
UNITED STATES OF AMERICA
CID001546
Gold
Safimet S.p.A
ITALY
CID002973
Gold
SAFINA A.S.
CZECHIA
CID002290

7
Gold
Sai Refinery
INDIA
CID002853
Gold
Samduck Precious Metals
KOREA, REPUBLIC OF
CID001555
Gold
Samwon Metals Corp.
KOREA, REPUBLIC OF
CID001562
Gold
Sancus ZFS (L’Orfebre, SA)
COLOMBIA
CID003529
Gold
Sellem Industries Ltd.
MAURITANIA
CID003540
Gold
SEMPSA Joyeria Plateria S.A.
SPAIN
CID001585
Gold
Shandong Gold Smelting Co., Ltd.
CHINA
CID001916
Gold
Shandong Humon Smelting Co., Ltd.
CHINA
CID002525
Gold
Shandong Tiancheng Biological Gold Industrial Co., Ltd.
CHINA
CID001619
Gold
Shandong Zhaojin Gold & Silver Refinery Co., Ltd.
CHINA
CID001622
Gold
Shenzhen CuiLu Gold Co., Ltd.
CHINA
CID002750
Gold
Shenzhen Zhonghenglong Real Industry Co., Ltd.
CHINA
CID002527
Gold
Shirpur Gold Refinery Ltd.
INDIA
CID002588
Gold
Sichuan Tianze Precious Metals Co., Ltd.
CHINA
CID001736
Gold
Singway Technology Co., Ltd.
TAIWAN, PROVINCE OF CHINA
CID002516
Gold
SOE Shyolkovsky Factory of Secondary Precious Metals*
RUSSIAN FEDERATION
CID001756
Gold
Solar Applied Materials Technology Corp.
TAIWAN, PROVINCE OF CHINA
CID001761
Gold
Sovereign Metals
INDIA
CID003383
Gold
State Research Institute Center for Physical Sciences and Technology
LITHUANIA
CID003153
Gold
Sudan Gold Refinery
SUDAN
CID002567

8
Gold
Sumitomo Metal Mining Co., Ltd.
JAPAN
CID001798
Gold
SungEel HiMetal Co., Ltd.
KOREA, REPUBLIC OF
CID002918
Gold
Super Dragon Technology Co., Ltd.
TAIWAN, PROVINCE OF CHINA
CID001810
Gold
T.C.A S.p.A
ITALY
CID002580
Gold
Tanaka Kikinzoku Kogyo K.K.
JAPAN
CID001875
Gold
Tokuriki Honten Co., Ltd.
JAPAN
CID001938
Gold
Tongling Nonferrous Metals Group Co., Ltd.
CHINA
CID001947
Gold
TOO Tau-Ken-Altyn
KAZAKHSTAN
CID002615
Gold
Torecom
KOREA, REPUBLIC OF
CID001955
Gold
Umicore Precious Metals Thailand
THAILAND
CID002314
Gold
Umicore S.A. Business Unit Precious Metals Refining
BELGIUM
CID001980
Gold
United Precious Metal Refining, Inc.
UNITED STATES OF AMERICA
CID001993
Gold
Valcambi S.A.
SWITZERLAND
CID002003
Gold
WEEEREFINING
FRANCE
CID003615
Gold
Western Australian Mint (T/a The Perth Mint)
AUSTRALIA
CID002030
Gold
WIELAND Edelmetalle GmbH
GERMANY
CID002778
Gold
Yamakin Co., Ltd.
JAPAN
CID002100
Gold
Yokohama Metal Co., Ltd.
JAPAN
CID002129
Gold
Yunnan Copper Industry Co., Ltd.
CHINA
CID000197
Gold
Zhongyuan Gold Smelter of Zhongjin Gold Corporation
CHINA
CID002224

9
Tantalum
5D Production OU
ESTONIA
CID003926
Tantalum
AMG Brasil
BRAZIL
CID001076
Tantalum
Changsha South Tantalum Niobium Co., Ltd.
CHINA
CID000211
Tantalum
D Block Metals, LLC
UNITED STATES OF AMERICA
CID002504
Tantalum
F&X Electro-Materials Ltd.
CHINA
CID000460
Tantalum
FIR Metals & Resource Ltd.
CHINA
CID002505
Tantalum
Global Advanced Metals Aizu
JAPAN
CID002558
Tantalum
Global Advanced Metals Boyertown
UNITED STATES OF AMERICA
CID002557
Tantalum
Hengyang King Xing Lifeng New Materials Co., Ltd.
CHINA
CID002492
Tantalum
Jiangxi Dinghai Tantalum & Niobium Co., Ltd.
CHINA
CID002512
Tantalum
Jiangxi Tuohong New Raw Material
CHINA
CID002842
Tantalum
JiuJiang JinXin Nonferrous Metals Co., Ltd.
CHINA
CID000914
Tantalum
Jiujiang Tanbre Co., Ltd.
CHINA
CID000917
Tantalum
Jiujiang Zhongao Tantalum & Niobium Co., Ltd.
CHINA
CID002506
Tantalum
KEMET de Mexico
MEXICO
CID002539
Tantalum
Materion Newton Inc.
UNITED STATES OF AMERICA
CID002548
Tantalum
Metallurgical Products India Pvt., Ltd.
INDIA
CID001163
Tantalum
Mineracao Taboca S.A.
BRAZIL
CID001175
Tantalum
Mitsui Mining and Smelting Co., Ltd.
JAPAN
CID001192
Tantalum
Ningxia Orient Tantalum Industry Co., Ltd.
CHINA
CID001277

10
Tantalum
NPM Silmet AS
ESTONIA
CID001200
Tantalum
QSIL Metals Hermsdorf GmbH
GERMANY
CID002547
Tantalum
QuantumClean
UNITED STATES OF AMERICA
CID001508
Tantalum
Resind Industria e Comercio Ltda.
BRAZIL
CID002707
Tantalum
RFH Yancheng Jinye New Material Technology Co., Ltd.
CHINA
CID003583
Tantalum
Solikamsk Magnesium Works OAO*
RUSSIAN FEDERATION
CID001769
Tantalum
Taki Chemical Co., Ltd.
JAPAN
CID001869
Tantalum
TANIOBIS Co., Ltd.
THAILAND
CID002544
Tantalum
TANIOBIS GmbH
GERMANY
CID002545
Tantalum
TANIOBIS Japan Co., Ltd.
JAPAN
CID002549
Tantalum
TANIOBIS Smelting GmbH & Co. KG
GERMANY
CID002550
Tantalum
Telex Metals
UNITED STATES OF AMERICA
CID001891
Tantalum
Ulba Metallurgical Plant JSC
KAZAKHSTAN
CID001969
Tantalum
XIMEI RESOURCES (GUANGDONG) LIMITED
CHINA
CID000616
Tantalum
XinXing HaoRong Electronic Material Co., Ltd.
CHINA
CID002508
Tantalum
Yanling Jincheng Tantalum & Niobium Co., Ltd.
CHINA
CID001522
Tin
Alpha
UNITED STATES OF AMERICA
CID000292
Tin
An Vinh Joint Stock Mineral Processing Company
VIET NAM
CID002703
Tin
Aurubis Beerse
BELGIUM
CID002773
Tin
Aurubis Berango
SPAIN
CID002774

11
Tin
Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.
CHINA
CID000228
Tin
Chifeng Dajingzi Tin Industry Co., Ltd.
CHINA
CID003190
Tin
China Tin Group Co., Ltd.
CHINA
CID001070
Tin
CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda
BRAZIL
CID003486
Tin
CRM Synergies
SPAIN
CID003524
Tin
CV Ayi Jaya
INDONESIA
CID002570
Tin
CV Venus Inti Perkasa
INDONESIA
CID002455
Tin
Dongguan CiEXPO Environmental Engineering Co., Ltd.
CHINA
CID003356
Tin
Dowa
JAPAN
CID000402
Tin
DS Myanmar
MYANMAR
CID003831
Tin
Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company
VIET NAM
CID002572
Tin
EM Vinto
BOLIVIA (PLURINATIONAL STATE OF)
CID000438
Tin
Estanho de Rondonia S.A.
BRAZIL
CID000448
Tin
Fabrica Auricchio Industria e Comercio Ltda.
BRAZIL
CID003582
Tin
Fenix Metals
POLAND
CID000468
Tin
Gejiu City Fuxiang Industry and Trade Co., Ltd.
CHINA
CID003410
Tin
Gejiu Kai Meng Industry and Trade LLC
CHINA
CID000942
Tin
Gejiu Non-Ferrous Metal Processing Co., Ltd.
CHINA
CID000538
Tin
Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.
CHINA
CID001908

12
Tin
Gejiu Zili Mining And Metallurgy Co., Ltd.
CHINA
CID000555
Tin
Guangdong Hanhe Non-Ferrous Metal Co., Ltd.
CHINA
CID003116
Tin
Jiangxi New Nanshan Technology Ltd.
CHINA
CID001231
Tin
Luna Smelter, Ltd.
RWANDA
CID003387
Tin
Magnu's Minerais Metais e Ligas Ltda.
BRAZIL
CID002468
Tin
Malaysia Smelting Corporation (MSC)
MALAYSIA
CID001105
Tin
Melt Metais e Ligas S.A.
BRAZIL
CID002500
Tin
Metallic Resources, Inc.
UNITED STATES OF AMERICA
CID001142
Tin
Mineracao Taboca S.A.
BRAZIL
CID001173
Tin
Minsur
PERU
CID001182
Tin
Mitsubishi Materials Corporation
JAPAN
CID001191
Tin
Modeltech Sdn Bhd
MALAYSIA
CID002858
Tin
Nghe Tinh Non-Ferrous Metals Joint Stock Company
VIET NAM
CID002573
Tin
Novosibirsk Tin Combine*
RUSSIAN FEDERATION
CID001305
Tin
O.M. Manufacturing (Thailand) Co., Ltd.
THAILAND
CID001314
Tin
O.M. Manufacturing Philippines, Inc.
PHILIPPINES
CID002517
Tin
Operaciones Metalurgicas S.A.
BOLIVIA (PLURINATIONAL STATE OF)
CID001337
Tin
Pongpipat Company Limited
MYANMAR
CID003208
Tin
Precious Minerals and Smelting Limited
INDIA
CID003409

13
Tin
PT Aries Kencana Sejahtera
INDONESIA
CID000309
Tin
PT Artha Cipta Langgeng
INDONESIA
CID001399
Tin
PT ATD Makmur Mandiri Jaya
INDONESIA
CID002503
Tin
PT Babel Inti Perkasa
INDONESIA
CID001402
Tin
PT Babel Surya Alam Lestari
INDONESIA
CID001406
Tin
PT Bangka Prima Tin
INDONESIA
CID002776
Tin
PT Bangka Serumpun
INDONESIA
CID003205
Tin
PT Bangka Tin Industry
INDONESIA
CID001419
Tin
PT Belitung Industri Sejahtera
INDONESIA
CID001421
Tin
PT Bukit Timah
INDONESIA
CID001428
Tin
PT Cipta Persada Mulia
INDONESIA
CID002696
Tin
PT Menara Cipta Mulia
INDONESIA
CID002835
Tin
PT Mitra Stania Prima
INDONESIA
CID001453
Tin
PT Mitra Sukses Globalindo
INDONESIA
CID003449
Tin
PT Panca Mega Persada
INDONESIA
CID001457
Tin
PT Premium Tin Indonesia
INDONESIA
CID000313
Tin
PT Prima Timah Utama
INDONESIA
CID001458
Tin
PT Putera Sarana Shakti (PT PSS)
INDONESIA
CID003868
Tin
PT Rajawali Rimba Perkasa
INDONESIA
CID003381
Tin
PT Refined Bangka Tin
INDONESIA
CID001460

14
Tin
PT Sariwiguna Binasentosa
INDONESIA
CID001463
Tin
PT Stanindo Inti Perkasa
INDONESIA
CID001468
Tin
PT Sukses Inti Makmur
INDONESIA
CID002816
Tin
PT Timah Nusantara
INDONESIA
CID001486
Tin
PT Timah Tbk Kundur
INDONESIA
CID001477
Tin
PT Timah Tbk Mentok
INDONESIA
CID001482
Tin
PT Tinindo Inter Nusa
INDONESIA
CID001490
Tin
PT Tirus Putra Mandiri
INDONESIA
CID002478
Tin
PT Tommy Utama
INDONESIA
CID001493
Tin
Resind Industria e Comercio Ltda.
BRAZIL
CID002706
Tin
Rui Da Hung
TAIWAN, PROVINCE OF CHINA
CID001539
Tin
Super Ligas
BRAZIL
CID002756
Tin
Thaisarco
THAILAND
CID001898
Tin
Tin Smelting Branch of Yunnan Tin Co., Ltd.
CHINA
CID002180
Tin
Tin Technology & Refining
UNITED STATES OF AMERICA
CID003325
Tin
Tuyen Quang Non-Ferrous Metals Joint Stock Company
VIET NAM
CID002574
Tin
VQB Mineral and Trading Group JSC
VIET NAM
CID002015
Tin
White Solder Metalurgia e Mineracao Ltda.
BRAZIL
CID002036
Tin
Yunnan Chengfeng Non-ferrous Metals Co., Ltd.
CHINA
CID002158
Tin
Yunnan Yunfan Non-ferrous Metals Co., Ltd.
CHINA
CID003397

15
Tungsten
A.L.M.T. Corp.
JAPAN
CID000004
Tungsten
ACL Metais Eireli
BRAZIL
CID002833
Tungsten
Albasteel Industria e Comercio de Ligas Para Fundicao Ltd.
BRAZIL
CID003427
Tungsten
Artek LLC*
RUSSIAN FEDERATION
CID003553
Tungsten
Asia Tungsten Products Vietnam Ltd.
VIET NAM
CID002502
Tungsten
China Molybdenum Tungsten Co., Ltd.
CHINA
CID002641
Tungsten
Chongyi Zhangyuan Tungsten Co., Ltd.
CHINA
CID000258
Tungsten
CNMC (Guangxi) PGMA Co., Ltd.
CHINA
CID000281
Tungsten
Cronimet Brasil Ltda
BRAZIL
CID003468
Tungsten
Fujian Ganmin RareMetal Co., Ltd.
CHINA
CID003401
Tungsten
Fujian Xinlu Tungsten Co., Ltd.
CHINA
CID003609
Tungsten
Ganzhou Haichuang Tungsten Co., Ltd.
CHINA
CID002645
Tungsten
Ganzhou Huaxing Tungsten Products Co., Ltd.
CHINA
CID000875
Tungsten
Ganzhou Jiangwu Ferrotungsten Co., Ltd.
CHINA
CID002315
Tungsten
Ganzhou Seadragon W & Mo Co., Ltd.
CHINA
CID002494
Tungsten
Global Tungsten & Powders Corp.
UNITED STATES OF AMERICA
CID000568
Tungsten
Guangdong Xianglu Tungsten Co., Ltd.
CHINA
CID000218
Tungsten
H.C. Starck Tungsten GmbH
GERMANY
CID002541
Tungsten
HANNAE FOR T Co., Ltd.
KOREA, REPUBLIC OF
CID003978
Tungsten
Hubei Green Tungsten Co., Ltd.
CHINA
CID003417

16
Tungsten
Hunan Chenzhou Mining Co., Ltd.
CHINA
CID000766
Tungsten
Hunan Jintai New Material Co., Ltd.
CHINA
CID000769
Tungsten
Hunan Shizhuyuan Nonferrous Metals Co., Ltd. Chenzhou Tungsten Products Branch
CHINA
CID002513
Tungsten
Hydrometallurg, JSC*
RUSSIAN FEDERATION
CID002649
Tungsten
Japan New Metals Co., Ltd.
JAPAN
CID000825
Tungsten
Jiangwu H.C. Starck Tungsten Products Co., Ltd.
CHINA
CID002551
Tungsten
Jiangxi Gan Bei Tungsten Co., Ltd.
CHINA
CID002321
Tungsten
Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.
CHINA
CID002313
Tungsten
Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.
CHINA
CID002318
Tungsten
Jiangxi Xinsheng Tungsten Industry Co., Ltd.
CHINA
CID002317
Tungsten
Jiangxi Yaosheng Tungsten Co., Ltd.
CHINA
CID002316
Tungsten
JSC "Kirovgrad Hard Alloys Plant"*
RUSSIAN FEDERATION
CID003408
Tungsten
Kennametal Fallon
UNITED STATES OF AMERICA
CID000966
Tungsten
Kennametal Huntsville
UNITED STATES OF AMERICA
CID000105
Tungsten
Lianyou Metals Co., Ltd.
TAIWAN, PROVINCE OF CHINA
CID003407
Tungsten
Malipo Haiyu Tungsten Co., Ltd.
CHINA
CID002319
Tungsten
Masan High-Tech Materials
VIET NAM
CID002543
Tungsten
Moliren Ltd.*
RUSSIAN FEDERATION
CID002845
Tungsten
Niagara Refining LLC
UNITED STATES OF AMERICA
CID002589

17
Tungsten
NPP Tyazhmetprom LLC*
RUSSIAN FEDERATION
CID003416
Tungsten
OOO “Technolom” 1*
RUSSIAN FEDERATION
CID003614
Tungsten
OOO “Technolom” 2*
RUSSIAN FEDERATION
CID003612
Tungsten
Philippine Chuangxin Industrial Co., Inc.
PHILIPPINES
CID002827
Tungsten
TANIOBIS Smelting GmbH & Co. KG
GERMANY
CID002542
Tungsten
Unecha Refractory metals plant*
RUSSIAN FEDERATION
CID002724
Tungsten
Wolfram Bergbau und Hutten AG
AUSTRIA
CID002044
Tungsten
Xiamen Tungsten (H.C.) Co., Ltd.
CHINA
CID002320
Tungsten
Xiamen Tungsten Co., Ltd.
CHINA
CID002082
Tungsten
Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.
CHINA
CID002830
Tungsten
YUDU ANSHENG TUNGSTEN CO., LTD.
CHINA
CID003662

* The Company does not source directly from Russia. Furthermore, since Russia invaded Ukraine in February 2022, we have halted new orders and shipments into and out of Russia and Belarus until further notice and in alignment with international sanctions. RMI provides the Company with a list of potential countries of origin which includes all countries of origin compiled from RMI’s member participants. The inclusion of a country on the list from RMI is not a final indicator that the Company utilized materials sourced from this country.
18