EX-1.01 2 brhc10037944_1-01.htm EXHIBIT 1.01

Exhibit 1.01

 
2021 Conflict Minerals Report
 
Introduction
 
Westinghouse Air Brake Technologies Corporation, doing business as Wabtec Corporation (“Wabtec” or the “Company”), prepared this Conflict Minerals Report (“Report”) for the year ending December 31, 2021, as provided for in Rule 13p-1 of the Securities Exchange Act of 1934, as amended, and Form SD (collectively, the “Conflict Minerals Rule”). Wabtec provides its products and services through two principal business segments, the Freight Segment and the Transit Segment.  The Freight Segment primarily manufactures and provides aftermarket parts and services for new locomotives; provides components for new and existing locomotives and freight cars; builds new commuter locomotives; supplies rail control and infrastructure products, including electronics, positive train control equipment, signal design and engineering services; overhauls locomotives; and provides heat exchangers and cooling systems for rail and other industrial markets.  The Transit Segment primarily manufactures and services components for new and existing passenger transit vehicles, typically regional trains, high speed trains, subway cars, light-rail vehicles and buses; supplies rail control and infrastructure products, including electronics, signal design and engineering services; and refurbishes passenger transit vehicles.
 
Wabtec manufactures a wide range of products that contain tin, tantalum, tungsten or gold (“3TG”), but Wabtec does not purchase ore or unrefined 3TG from mines and is many steps removed in the supply chain from the mining of these minerals. We purchase materials from a wide network of suppliers and rely on them to assist with our reasonable country of origin inquiry regarding the 3TG that are necessary to the functionality or production of products we manufacture. After performing our reasonable country of origin inquiry and due diligence for 2021, we are unable to definitively determine whether the 3TG contained in our products originated from the Democratic Republic of the Congo or an adjoining country (collectively, the “Covered Countries”).  Therefore, we are submitting this Report describing the due diligence we have performed pursuant to the Conflict Minerals Rule and our related processes and procedures.
 
This Report includes:
 

the design of our due diligence measures;
 

the due diligence we performed for 2021, including the steps we took to mitigate the risk that 3TG in our products benefit armed groups;
 

the smelters and refiners of 3TG identified as potentially within Wabtec’s supply chain and the countries of origin of ores that are potentially in the supply chains of these smelters and refiners; and
 
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the steps that we plan to take to ensure continued progress towards eliminating conflict minerals in our supply chain.
 
Due Diligence
 
Design of Wabtec’s due diligence measures
 
Wabtec has adopted Conflict Minerals Guidelines (the “Guidelines”) that lay out the design of our 3TG due diligence process. The Guidelines describe procedures that Wabtec Global Operations and its business units use to perform due diligence on the source and origin of 3TG contained in products we manufacture. Wabtec designed its due diligence measures to be in conformity, in material respects, with the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas including, the Supplement on Tin, Tantalum, and Tungsten and the Supplement on Gold (collectively, the “OECD Guidance”).
 
Description of Wabtec’s due diligence measures for 2021
 
Wabtec’s 2021 due diligence measures are designed in conformity, in all material respects, with the Five-Step Framework for Risk-Based Due Diligence in the Mineral Supply Chain contained in the OECD Guidance.
 
Step 1:  Establish strong company management systems
 

A.
Adopt and commit to a supply chain policy for minerals originating from conflict-affected and high-risk areas
 
Wabtec’s Conflict Minerals Policy, which is available on Wabtec’s website, outlines our commitment to responsible supply chains and to the avoidance of conflict minerals that directly or indirectly finance or benefit armed groups in the Covered Countries.  Moreover, the Guidelines contain the operative provisions of the Policy, as well as the process for ensuring that risks are adequately managed. Additional Wabtec policies relating to the due diligence measures contained in the OECD Guidance are incorporated into Wabtec’s Supplier Code of Conduct, which is available on Wabtec’s website (for more information, see “Where You Can Find Additional Information” below).
 

B.
Structure internal management systems to support supply chain due diligence
 
Internal management system.  Wabtec’s internal management system for its supply chain due diligence is coordinated by Wabtec Global Operations, with support from the individual Wabtec business units.
 

Wabtec Global Operations.  Wabtec’s Sourcing Compliance organization, with cross-functional support from Legal and Sourcing Commodity leaders, has oversight responsibility for Wabtec’s Conflict Minerals Policy, including the establishment of processes and procedures to carry out this policy.  The Sourcing Compliance organization also leads Wabtec’s supply chain due diligence efforts and risk management review with support from the Sourcing Commodity leaders and Wabtec business units.
 
•          Wabtec business units. Each Wabtec business unit must determine contact information for suppliers in order to complete processes and procedures to carry out this policy, Internal reporting. For 2021, Wabtec used the following 3TG due diligence reporting mechanisms:
 
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Reporting to Chief Procurement Officer (CPO).  The CPO reviewed Wabtec’s Conflict Minerals program and risk assessment with relevant stakeholders from Sourcing Compliance and Legal to determine the appropriate steps to mitigate any supply chain risks.
 

Coordination with Wabtec business units and Sourcing leaders. Sourcing Compliance provides a summary of the 3TG due diligence results and efforts to improve supply chain transparency to the Wabtec Sourcing Leaders for each business unit.  Where there is reason to believe that a supplier is not honoring its contractual obligations under the Guidelines, Wabtec Sourcing Leaders, depending on the circumstances, work with the supplier to address such concerns.  In the event of continued concerns, the Wabtec business unit may take additional measures, up to and including termination of the supplier.
 

C.
Establish a system of controls and transparency over the 3TG supply chain
 
Identifying suppliers. Each Wabtec business unit identified:
 

Relevant Suppliers defined as suppliers that provide inputs to Wabtec products that are known or are likely to contain 3TG through a process that is based on an examination of internal records such as bills of material or other product specifications, a qualitative review of sourcing records, or information provided by the supplier; and
 

Significant Suppliers defined as suppliers within the universe of Relevant Suppliers that are most significant to Wabtec’s 3TG program, using criteria such as the amount of sourcing spend with the supplier and high-risk commodity groups.
 
Identifying smelters and refiners in the supply chain. Wabtec Global Operations used its best efforts to identify smelters and refiners of 3TG by surveying Significant Suppliers using the Responsible Minerals Initiative’s (“RMI”) Conflict Minerals Reporting Template (“CMRT”). The survey tools are designed to collect, manage and archive (for at least five years) supplier information relevant for 3TG due diligence including, among other things, the identity of smelters and refiners of 3TG in the supplier’s supply chain, as well as information related to their 3TG compliance efforts. We apply criteria based on the CMRT to assess the acceptability of survey responses and follow up with Significant Suppliers whose survey responses are identified as potentially incomplete or inaccurate to seek more complete information.
 
Conducting a reasonable country of origin inquiry. For upstream due diligence to identify countries of origin and other relevant information about the conflict status of metals produced by the smelters and refiners identified as potentially in Wabtec’s supply chain, Wabtec relies on the information made available through the Responsible Minerals Assurance Process (“RMAP”) administered by RMI. Wabtec relied on this information to identify (1) the status of smelters and refiners potentially in Wabtec’s supply chain; and (2) the countries of origin of ores that are potentially in the supply chains of these smelters and refiners. Where the data showed that ores utilized by one or more of these smelters or refiners originated in one or more of the Covered Countries, Wabtec concluded that there is reason to believe that 3TG from the Covered Countries may be present in the products of the business for which such smelters or refiners were reported as potentially in the supply chain. Due to business confidentiality and other competitive concerns, as recognized by the OECD Guidance, the RMI does not publish detailed information on the specific mine and location of origin of ores that supply the smelters and refiners subject to verification reviews. Consequently, no such information is provided in this Report. RMI’s efforts to determine such information is described on the RMI website (see “Where You Can Find Additional Information” below).
 
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D.
Strengthen company engagement with suppliers
 
Regular communications. Wabtec communicates its expectations on responsible supply chains of 3TG by transmitting surveys and other communications from the Sourcing leaders of the Wabtec business units to Significant Suppliers and other Relevant Suppliers.
 
Contractual obligations. Each Wabtec business unit utilizes standard terms and conditions, and incorporate by reference Wabtec’s Supplier Code of Conduct, which can be found on Wabtec’s website (see “Where You Can Find Additional Information” below).  Suppliers are contractually obligated to (1) adopt policies and establish systems to procure 3TG from sources that have been verified as conflict free; (2) provide supporting data on their 3TG supply chains to Wabtec when requested; and (3) provide Wabtec with audit rights and the right to terminate the contract in the event of material non-compliance.
 

E.
Establish a company-level grievance mechanism
 
Open reporting system. Wabtec and its business units have an open reporting system – Speak Up Wabtec! – to allow employees and third parties to report concerns about policy violations, including concerns related to our 3TG policies. Concerns can be reported anonymously or for attribution through several channels, including any cognizant Wabtec Manager, any Compliance Resource (e.g. Wabtec legal counsel or auditor), by using the Speak Up Wabtec! e-tool at https://speakupwabtec.ethicspoint.com, by calling the Wabtec Speak Up Wabtec! Hotline in the US at (877) 860-1054 or using the e-tool to find country-specific telephone numbers, or by emailing speakupwabtec@wabtec.com.
 
No retaliation. Retaliation against any person for reporting a compliance or integrity concern is forbidden.
 
Step 2:  Identify and assess supply chain risks
 

A.
Use best efforts to identify the smelters and refiners in the supply chain
 
During 2021, using the processes described in Step 1.C above, Wabtec identified 2,597 Relevant Suppliers (up from 958 in 2020), including 809 Significant Suppliers (up from 362 in 2020). These year-over-year changes are primarily the result of the implementation of an electronic vendor management system for procurement that allows for better transparency of suppliers across the company’s supply chain and within high-risk commodity groups.  In addition, Wabtec included Castings and Raw Material suppliers to the scope of its 3TG Due Diligence in 2021 following RMI and industry feedback related to potential risks within these commodity groups. Our Significant Suppliers, mostly reporting at a company level, identified 343 smelters and refiners of 3TG that were potentially in their supply chains (as compared to 323 in 2020). See Table A below for a list of these smelters and refiners and a summary of their validation status under the RMAP.
 

B.
Identify the scope of the risk assessment of the 3TG supply chain
 
Engaging with suppliers. Wabtec’s 3TG survey asks suppliers to identify smelters or refiners of 3TG in their supply chains. For Significant Suppliers that are identified as either not having a responsible 3TG sourcing policy or not implementing due diligence measures for conflict-free sourcing, we encourage those suppliers to implement such measures.  We seek to engage all Significant Suppliers to encourage the smelters and refiners in their supply chains to become validated as Conformant (as defined below) by the RMAP or a similar program.
 
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Wabtec seeks to continuously improve its due diligence efforts to reduce 3TG supply chain risk by encouraging suppliers to source from Conformant smelters and refiners.  In 2021, 69% of the smelters and refiners identified by our Significant Suppliers have been verified as Conformant.
 

C.
Assess whether the suppliers have carried out all elements of due diligence for responsible supply chains of 3TG from conflict-affected and high-risk areas
 
Wabtec conducts due diligence to determine the degree of its suppliers’ compliance with the contractual obligations laid out in the Guidelines. Measures may include reviewing supplier responses for completeness, accuracy, and credibility, as well as confirming smelter status by checking against the Smelter Look-up tab list of the RMI’s CMRT and the RMI’s Conformant Smelter list.  When Significant Suppliers identify smelters and refiners not listed as Conformant by RMI or a similar program, we attempt to contact the smelter or refiner to validate their responsible 3TG sourcing process.
 

D.
Where necessary, carry out joint spot checks at the mineral smelter or refiner’s own facilities (including through participation in industry-driven programs)
 
In accordance with OECD Guidance, including its audit recommendations for downstream companies, Wabtec implements upstream audits by participating in and cooperating with industry organizations. Wabtec is a member of RMI (member code: WABT) and relied on the RMAP to conduct a risk assessment at the upstream level. For each smelter identified within its supply chain, Wabtec assessed the information available from the RMAP to determine whether there were any “red flags” (as defined in OECD Guidance) and, if needed, develop a corrective action plan. We encourage removal of any high-risk smelters from our supply chain.
 
Step 3:  Design and implement a strategy to respond to identified risks
 

A.
Report findings to designated senior management
 
See Step 1.B above for a description of Wabtec’s 3TG due diligence internal reporting processes.
 

B.
Devise and adopt a risk management plan
 
Wabtec annually compiles a report of 3TG risks identified in its supply chain for review by Wabtec’s Chief Procurement Officer to determine the appropriate steps to take in mitigating any identified supply chain risks. In 2021, Wabtec focused on reducing risk by (1) engaging Significant Suppliers to encourage the smelters and refiners in their supply chains to become validated as Conformant by the RMAP, (2) encouraging Significant Suppliers who identified high-risk smelters and refiners to remove them from their supply chains, and (3) engaging with non-Conformant smelters and refiners directly to encourage them to participate in the RMAP audit process to become Conformant.  A high-risk smelter or refiner is one for which there are credible reports that such smelter or refiner sources materials in a manner that directly or indirectly finances armed conflict.
 
For Significant Suppliers who identified high-risk smelters and suppliers, Wabtec Global Operations sent such supplier a letter requesting: (a) that that supplier confirm whether these smelters or refiners are in fact in their supply chain, and if so, whether such materials are used in Wabtec products, (b) that the supplier encourage these smelters or refiners to participate in the RMAP, and (c) that if a smelter or refiner refuses to participate in the RMAP, such supplier should develop a plan to remove the smelter from its supply chain.
 
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Step 4:  Carry out independent 3rd-party audit of smelters/refiners’ due diligence practices
 
See Step 2.D above for a discussion of how Wabtec conducted its risk assessment at the upstream level by participating in and cooperating with industry organizations like RMI.
 
Step 5:  Report annually on supply chain due diligence
 
We file this Report annually with the SEC, and a copy is publicly available on our website at: https://ir.wabteccorp.com/static-files/8fd94988-3d8d-4111-a410-65af65580331.
 
Due Diligence Results

Wabtec relies on its suppliers to provide information on the origin of 3TG contained in the components and materials supplied to us.  These suppliers are similarly reliant upon information provided by their suppliers.  In 2021, Wabtec identified 2,597 Relevant Suppliers, including 809 Significant Suppliers. Our Significant Suppliers identified 343 smelters and refiners of 3TG that were potentially in their supply chains. Of these 343 unique facilities identified, 69% were validated as “conformant” under the RMAP as of April 19, 2022.  “Conformant” means that a smelter or refiner was audited by the RMI and has been found to be conformant with the RMAP.  See Table A below for a list of these smelters and refiners and a summary of their validation status under the RMAP.  Based on the information obtained as a result of the due diligence measures described above, we reasonably determined that the minerals processed by the smelters and refiners listed are from the countries listed in Table B.

With regard to the specific smelters or refiners identified by Wabtec, we cannot be certain that the identified smelters and refiners supplied 3TG for parts and components supplied to Wabtec rather than to other customers. Wabtec does not purchase raw ore or unrefined tin, tantalum, tungsten or gold.  Wabtec is many steps removed from the mining of the conflict minerals.  For this reason, we have been unable to establish chain of custody or identify with confidence the specific facilities used to process the 3TG in our products and/or the country of origin, the mine or location of origin of the 3TG in our products.
 
Continuous improvement
 
Wabtec intends to continue its efforts in 2022 to improve its supply chain due diligence and further mitigate the risk that 3TG contained in its products supports armed conflict in Covered Countries by:
 

Communication and training with our suppliers across the Wabtec business units to improve their understanding of Wabtec’s responsible sourcing efforts and improve the percentage of Significant Suppliers responding to Wabtec’s 3TG due diligence efforts and the quality of their responses to our surveys;
 

Identification of and communication with smelters and refiners in Wabtec’s supply chain, both directly and indirectly through Wabtec’s Significant Suppliers, in order to increase the number of smelters and refiners that participate in the RMAP and become Conformant; and
 

Coordination with any new Significant Suppliers to ensure that they understand Wabtec’s responsible sourcing and compliance requirements, the requirements of the Conflict Minerals Rule, and the OECD Guidance.
 
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Table A
(as of April 20, 2022)
 
Summary of Smelters and Refiners
# of Smelters and Refiners Reported in Our Supply Chain

 
Conformant
   
Active
   
On Smelter Look
Up Tab
   
Total
 
   
2020
   
2021
   
2020
   
2021
   
2020
   
2021
   
2020
   
2021
 
Tin
   
51
     
56
     
11
     
9
     
11
     
17
     
73
     
82
 
Tungsten
   
36
     
42
     
6
     
4
     
2
     
3
     
44
     
49
 
Tantalum
   
35
     
38
     
0
     
0
     
0
     
1
     
35
     
39
 
Gold
   
107
     
100
     
6
     
6
     
58
     
67
     
171
     
173
 
Total
   
229
     
236
     
23
     
19
     
71
     
88
     
323
     
343
 

We note the following in connection with the information contained in the foregoing table:
(1) While the smelters and refiners reflected in the table were identified by our Significant Suppliers as potentially being part of our 2021 supply chain, not all of the smelters and refiners may have processed the necessary 3TG contained in the in-scope products that we manufactured.  Many Significant Suppliers reported to us at a “company level” the 3TG contained in all of their products, not just those in the products that they sold to us. Some Significant Suppliers also may have reported to us smelters and refiners that were not in our supply chain due to over-inclusiveness in the information received from their suppliers or for other reasons. In addition, the smelters and refiners reflected above may not be all of the smelters and refiners in our supply chain.  Some Significant Suppliers may be unable to identify all of the smelters and refiners used to process the necessary 3TG content contained in the products that we manufactured, and not all of the Significant Suppliers responded to our inquiries.
(2) “Conformant” means that a smelter or refiner was audited by the RMI and has been found to be conformant with the RMAP. The information reflected in the table is based solely on information made available by the RMI to its members, without independent verification by us.
(3) “Active” means that a smelter or refiner is a participant in the RMAP committed to undergoing an assessment and has scheduled an assessment date, or is participating in one of the cross-recognized certification programs.
(4) A smelter or refiner is listed as "On Smelter Look-up Tab Only" if it was not Conformant or Active, but appears on the Smelter Look-Up Tab of the CMRT.
(5) The information reflected in the table is based solely on information made available by the RMI to its members, without independent verification by us.

Status of Identified Smelters and Refiners for 2021

 
Metal
 
Smelter Reference Name
 
Country
 
Audit Status
 
Gold
 
Alexy Metals
 
US
 
Active
 
Gold
 
Augmont Enterprises Private Limited
 
INDIA
 
Active
 
Gold
 
C.I Metales Procesados Industriales SAS
 
COLOMBIA
 
Active
 
Gold
 
GCC Gujrat Gold Centre Pvt. Ltd.
 
INDIA
 
Active
 
Gold
 
Sancus ZFS (L’Orfebre, SA)
 
COLOMBIA
 
Active
 
Gold
 
WEEEREFINING
 
France
 
Active
 
Gold
 
8853 S.p.A.
 
ITALY
 
Conformant
 
Gold
 
Advanced Chemical Company
 
US
 
Conformant
 
Gold
 
AGR (Perth Mint Australia)
 
AUSTRALIA
 
Conformant
 
Gold
 
Aida Chemical Industries Co., Ltd.
 
JAPAN
 
Conformant

7

 
Gold
 
Al Etihad Gold LLC
 
UNITED ARAB EMIRATES
 
Conformant
 
Gold
 
Allgemeine Gold-und Silberscheideanstalt A.G.
 
GERMANY
 
Conformant
 
Gold
 
Almalyk Mining and Metallurgical Complex (AMMC)
 
UZBEKISTAN
 
Conformant
 
Gold
 
Amagasaki Factory, Hyogo Prefecture, Japan
 
JAPAN
 
Conformant
 
Gold
 
AngloGold Ashanti Brazil
 
BRAZIL
 
Conformant
 
Gold
 
Argor-Heraeus S.A.
 
SWITZERLAND
 
Conformant
 
Gold
 
Asahi Refining Canada Ltd.
 
CANADA
 
Conformant
 
Gold
 
Asahi Refining USA Inc.
 
US
 
Conformant
 
Gold
 
Asaka Riken Co., Ltd.
 
JAPAN
 
Conformant
 
Gold
 
Aurubis AG
 
GERMANY
 
Conformant
 
Gold
 
BALORE REFINERSGA
 
INDIA
 
Conformant
 
Gold
 
Bangko Sentral ng Pilipinas (Central Bank of the Philippines)
 
PHILIPPINES
 
Conformant
 
Gold
 
Boliden AB
 
SWEDEN
 
Conformant
 
Gold
 
C. Hafner GmbH + Co. KG
 
GERMANY
 
Conformant
 
Gold
 
CCR
 
CANADA
 
Conformant
 
Gold
 
Cendres + M?taux SA
 
SWITZERLAND
 
Conformant
 
Gold
 
Chimet S.p.A.
 
ITALY
 
Conformant
 
Gold
 
China Henan Zhongyuan Gold Smelter
 
CHINA
 
Conformant
 
Gold
 
China's Shandong Gold Mining Co., Ltd
 
CHINA
 
Conformant
 
Gold
 
Chugai Mining
 
JAPAN
 
Conformant
 
Gold
 
Do Sung Corporation
 
KOREA
 
Conformant
 
Gold
 
Doduco
 
GERMANY
 
Conformant
 
Gold
 
Dowa
 
JAPAN
 
Conformant
 
Gold
 
Eco-System Recycling Co., Ltd.
 
JAPAN
 
Conformant
 
Gold
 
Eco-System Recycling Co., Ltd. North Plant
 
JAPAN
 
Conformant
 
Gold
 
Eco-System Recycling Co., Ltd. West Plant
 
JAPAN
 
Conformant
 
Gold
 
Emirates Gold DMCC
 
UNITED ARAB EMIRATES
 
Conformant
 
Gold
 
Fujian Zijin mining stock company gold smelter
 
CHINA
 
Conformant
 
Gold
 
Geib Refining Corporation
 
US
 
Conformant
 
Gold
 
HeeSung Metal Ltd.
 
KOREA
 
Conformant
 
Gold
 
Heimerle + Meule GmbH
 
GERMANY
 
Conformant
 
Gold
 
Heraeus Germany GmbH Co. KG
 
GERMANY
 
Conformant
 
Gold
 
Heraeus Ltd. Hong Kong
 
CHINA
 
Conformant
 
Gold
 
Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.
 
CHINA
 
Conformant
 
Gold
 
Ishifuku Metal Industry Co., Ltd.
 
JAPAN
 
Conformant
 
Gold
 
Istanbul Gold Refinery
 
TURKEY
 
Conformant
 
Gold
 
Italpreziosi
 
ITALY
 
Conformant

8

 
Gold
 
Japan Mint
 
JAPAN
 
Conformant
 
Gold
 
JCC
 
CHINA
 
Conformant
 
Gold
 
JX Nippon Mining & Metals Co., Ltd.
 
JAPAN
 
Conformant
 
Gold
 
Kazzinc
 
KAZAKHSTAN
 
Conformant
 
Gold
 
Kennecott Utah Copper LLC
 
US
 
Conformant
 
Gold
 
KGHM Polska Miedz S.A.
 
POLAND
 
Conformant
 
Gold
 
Kojima Chemicals Co., Ltd.
 
JAPAN
 
Conformant
 
Gold
 
Korea Zinc Co., Ltd.
 
KOREA
 
Conformant
 
Gold
 
L'Orfebre S.A.
 
ANDORRA
 
Conformant
 
Gold
 
LS-NIKKO Copper Inc.
 
KOREA
 
Conformant
 
Gold
 
Marsam Metals
 
BRAZIL
 
Conformant
 
Gold
 
Materion
 
US
 
Conformant
 
Gold
 
Matsuda Sangyo Co., Ltd.
 
JAPAN
 
Conformant
 
Gold
 
MEM(Sumitomo Group)
 
JAPAN
 
Conformant
 
Gold
 
Metal Concentrators SA (Pty) Ltd.
 
SOUTH AFRICA
 
Conformant
 
Gold
 
Metal?rgica Met-Mex Pe?oles, S.A. de C.V
 
MEXICO
 
Conformant
 
Gold
 
Metallurgie Hoboken Overpelt
 
BELGIUM
 
Conformant
 
Gold
 
Metalor Switzerland
 
SWITZERLAND
 
Conformant
 
Gold
 
Metalor Technologies (Hong Kong) Ltd.
 
CHINA
 
Conformant
 
Gold
 
Metalor Technologies (Singapore) Pte., Ltd.
 
SINGAPORE
 
Conformant
 
Gold
 
Metalor Technologies (Suzhou) Ltd.
 
CHINA
 
Conformant
 
Gold
 
Metalor USA Refining Corporation
 
US
 
Conformant
 
Gold
 
Mitsubishi Materials Corporation
 
JAPAN
 
Conformant
 
Gold
 
Mitsui Kinzoku Co., Ltd.
 
JAPAN
 
Conformant
 
Gold
 
MMTC-PAMP India Pvt., Ltd.
 
INDIA
 
Conformant
 
Gold
 
Nadir Metal Rafineri San. Ve Tic. A.S.
 
TURKEY
 
Conformant
 
Gold
 
Navoi Mining and Metallurgical Combinat
 
UZBEKISTAN
 
Conformant
 
Gold
 
NH Recytech Company
 
KOREA
 
Conformant
 
Gold
 
Nihon Material Co., Ltd.
 
JAPAN
 
Conformant
 
Gold
 
Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH
 
AUSTRIA
 
Conformant
 
Gold
 
Ohura Precious Metal Industry Co., Ltd.
 
JAPAN
 
Conformant
 
Gold
 
PAMP S.A.
 
SWITZERLAND
 
Conformant
 
Gold
 
Planta Recuperadora de Metales SpA
 
CHILE
 
Conformant
 
Gold
 
PT Aneka Tambang (Persero) Tbk
 
INDONESIA
 
Conformant
 
Gold
 
PX Precinox S.A.
 
SWITZERLAND
 
Conformant
 
Gold
 
Rand Refinery (Pty) Ltd.
 
SOUTH AFRICA
 
Conformant

9

 
Gold
 
Remondis Argentia B.V.
 
NETHERLANDS
 
Conformant
 
Gold
 
Royal Canadian Mint
 
CANADA
 
Conformant
 
Gold
 
SAAMP
 
FRANCE
 
Conformant
 
Gold
 
Safimet S.p.A
 
ITALY
 
Conformant
 
Gold
 
SAFINA A.S.
 
CZECHIA
 
Conformant
 
Gold
 
Samdok Metal
 
KOREA
 
Conformant
 
Gold
 
SEMPSA Joyeria Plateria S.A.
 
SPAIN
 
Conformant
 
Gold
 
Shandong Zhaojin Gold & Silver Refinery Co., Ltd.
 
CHINA
 
Conformant
 
Gold
 
Shonan Plant Tanaka Kikinzoku
 
JAPAN
 
Conformant
 
Gold
 
Sichuan Tianze Precious Metals Co., Ltd.
 
CHINA
 
Conformant
 
Gold
 
Singway Technology Co., Ltd.
 
TAIWAN
 
Conformant
 
Gold
 
Solar Applied Materials Technology Corp.
 
TAIWAN
 
Conformant
 
Gold
 
SungEel HiMetal Co., Ltd.
 
KOREA
 
Conformant
 
Gold
 
T.C.A S.p.A
 
ITALY
 
Conformant
 
Gold
 
Tokuriki Honten Co., Ltd.
 
JAPAN
 
Conformant
 
Gold
 
TOO Tau-Ken-Altyn
 
KAZAKHSTAN
 
Conformant
 
Gold
 
Torecom
 
KOREA
 
Conformant
 
Gold
 
Umicore Precious Metals Thailand
 
THAILAND
 
Conformant
 
Gold
 
United Precious Metal Refining, Inc.
 
US
 
Conformant
 
Gold
 
Valcambi S.A.
 
SWITZERLAND
 
Conformant
 
Gold
 
WIELAND Edelmetalle GmbH
 
GERMANY
 
Conformant
 
Gold
 
Yamakin Co., Ltd.
 
JAPAN
 
Conformant
 
Gold
 
Yokohama Metal Co., Ltd.
 
JAPAN
 
Conformant
 
Gold
 
Abington Reldan Metals, LLC
 
US
 
On Smelter Look Up Tab
 
Gold
 
African Gold Refinery
 
UGANDA
 
On Smelter Look Up Tab
 
Gold
 
Anhui Tongling Nonferrous Metal Mining Co., Ltd.
 
CHINA
 
On Smelter Look Up Tab
 
Gold
 
ATAkulche
 
TURKEY
 
On Smelter Look Up Tab
 
Gold
 
AU Traders and Refiners
 
SOUTH AFRICA
 
On Smelter Look Up Tab
 
Gold
 
Caridad
 
MEXICO
 
On Smelter Look Up Tab
 
Gold
 
CGR Metalloys Pvt Ltd.
 
INDIA
 
On Smelter Look Up Tab
 
Gold
 
CHALCO Yunnan Copper Co. Ltd.
 
CHINA
 
On Smelter Look Up Tab
 
Gold
 
Daye Non-Ferrous Metals Mining Ltd.
 
CHINA
 
On Smelter Look Up Tab

10

 
Gold
 
DEGUSSA
 
GERMANY
 
On Smelter Look Up Tab
 
Gold
 
Dijllah Gold Refinery FZC
 
UNITED ARAB EMIRATES
 
On Smelter Look Up Tab
 
Gold
 
Ekaterinburg
 
RUSSIA
 
On Smelter Look Up Tab
 
Gold
 
Emerald Jewel Industry India Limited (Unit 1)
 
INDIA
 
On Smelter Look Up Tab
 
Gold
 
Emerald Jewel Industry India Limited (Unit 2)
 
INDIA
 
On Smelter Look Up Tab
 
Gold
 
Emerald Jewel Industry India Limited (Unit 3)
 
INDIA
 
On Smelter Look Up Tab
 
Gold
 
Emerald Jewel Industry India Limited (Unit 4)
 
INDIA
 
On Smelter Look Up Tab
 
Gold
 
Federal State Unitary Enterprise Moscow Special Processing Plant (FSUE MZSS)
 
RUSSIA
 
On Smelter Look Up Tab
 
Gold
 
Fidelity Printers and Refiners Ltd.
 
ZIMBABWE
 
On Smelter Look Up Tab
 
Gold
 
FSE Novosibirsk Refinery
 
RUSSIA
 
On Smelter Look Up Tab
 
Gold
 
Fujairah Gold FZC
 
UNITED ARAB EMIRATES
 
On Smelter Look Up Tab
 
Gold
 
Gansu Seemine Material Hi-Tech Co., Ltd.
 
CHINA
 
On Smelter Look Up Tab
 
Gold
 
Gold Coast Refinery
 
GHANA
 
On Smelter Look Up Tab
 
Gold
 
Great Wall Precious Metals Co,. LTD.
 
CHINA
 
On Smelter Look Up Tab
 
Gold
 
Guangdong Gaoyao Co
 
CHINA
 
On Smelter Look Up Tab
 
Gold
 
Guoda Safina High-Tech Environmental Refinery Co., Ltd.
 
CHINA
 
On Smelter Look Up Tab
 
Gold
 
Hangzhou Fuchunjiang Smelting Co., Ltd.
 
CHINA
 
On Smelter Look Up Tab
 
Gold
 
Hunan Chenzhou Mining Co., Ltd.
 
CHINA
 
On Smelter Look Up Tab
 
Gold
 
Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd.
 
CHINA
 
On Smelter Look Up Tab
 
Gold
 
HwaSeong CJ CO., LTD.
 
KOREA
 
On Smelter Look Up Tab
 
Gold
 
Industrial Refining Company
 
BELGIUM
 
On Smelter Look Up Tab

11

 
Gold
 
International Precious Metal Refiners
 
UNITED ARAB EMIRATES
 
On Smelter Look Up Tab
 
Gold
 
JALAN & Company
 
INDIA
 
On Smelter Look Up Tab
 
Gold
 
JSC Uralelectromed
 
RUSSIA
 
On Smelter Look Up Tab
 
Gold
 
K.A. Rasmussen
 
NORWAY
 
On Smelter Look Up Tab
 
Gold
 
Kaloti Precious Metals
 
UNITED ARAB EMIRATES
 
On Smelter Look Up Tab
 
Gold
 
Kazakhmys Smelting LLC
 
KAZAKHSTAN
 
On Smelter Look Up Tab
 
Gold
 
Kundan Care Products Ltd.
 
INDIA
 
On Smelter Look Up Tab
 
Gold
 
Kyrgyzaltyn JSC
 
KYRGYZSTAN
 
On Smelter Look Up Tab
 
Gold
 
Kyshtym Copper-Electrolytic Plant ZAO
 
RUSSIA
 
On Smelter Look Up Tab
 
Gold
 
L'azurde Company For Jewelry
 
SAUDI ARABIA
 
On Smelter Look Up Tab
 
Gold
 
LinBao Gold Mining
 
CHINA
 
On Smelter Look Up Tab
 
Gold
 
Lingbao Jinyuan Tonghui Refinery Co., Ltd.
 
CHINA
 
On Smelter Look Up Tab
 
Gold
 
Luoyang Zijin Yinhui Gold Refinery Co., Ltd.
 
CHINA
 
On Smelter Look Up Tab
 
Gold
 
MD Overseas
 
INDIA
 
On Smelter Look Up Tab
 
Gold
 
Metallix Refining Inc.
 
US
 
On Smelter Look Up Tab
 
Gold
 
Modeltech Sdn Bhd
 
MALAYSIA
 
On Smelter Look Up Tab
 
Gold
 
Morris and Watson
 
NEW ZEALAND
 
On Smelter Look Up Tab
 
Gold
 
OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)
 
RUSSIA
 
On Smelter Look Up Tab
 
Gold
 
Pease & Curren
 
US
 
On Smelter Look Up Tab
 
Gold
 
Penglai Penggang Gold Industry Co., Ltd.
 
CHINA
 
On Smelter Look Up Tab
 
Gold
 
Prioksky Plant of Non-Ferrous Metals
 
RUSSIA
 
On Smelter Look Up Tab

12

 
Gold
 
QG Refining, LLC
 
US
 
On Smelter Look Up Tab
 
Gold
 
Sabin Metal Corp.
 
US
 
On Smelter Look Up Tab
 
Gold
 
Sai Refinery
 
INDIA
 
On Smelter Look Up Tab
 
Gold
 
Samwon Metals Corp.
 
KOREA
 
On Smelter Look Up Tab
 
Gold
 
SAXONIA Edelmetalle GmbH
 
GERMANY
 
On Smelter Look Up Tab
 
Gold
 
Sellem Industries Ltd.
 
MAURITANIA
 
On Smelter Look Up Tab
 
Gold
 
Shandong Humon Smelting Co., Ltd.
 
CHINA
 
On Smelter Look Up Tab
 
Gold
 
Shandong Tarzan Bio-Gold Industry Co., Ltd.
 
CHINA
 
On Smelter Look Up Tab
 
Gold
 
Shenzhen Zhonghenglong Real Industry Co., Ltd.
 
CHINA
 
On Smelter Look Up Tab
 
Gold
 
Shirpur Gold Refinery Ltd.
 
INDIA
 
On Smelter Look Up Tab
 
Gold
 
Shyolkovsky
 
RUSSIA
 
On Smelter Look Up Tab
 
Gold
 
Sovereign Metals
 
INDIA
 
On Smelter Look Up Tab
 
Gold
 
State Research Institute Center for Physical Sciences and Technology
 
LITHUANIA
 
On Smelter Look Up Tab
 
Gold
 
Sudan Gold Refinery
 
SUDAN
 
On Smelter Look Up Tab
 
Gold
 
Super Dragon Technology Co., Ltd.
 
TAIWAN
 
On Smelter Look Up Tab
 
Gold
 
Value Trading
 
Belgium
 
On Smelter Look Up Tab
 
Tantalum
 
AMG Brasil
 
Brazil
 
Conformant
 
Tantalum
 
Asaka Riken Co., Ltd.
 
JAPAN
 
Conformant
 
Tantalum
 
Changsha South Tantalum Niobium Co., Ltd.
 
CHINA
 
Conformant
 
Tantalum
 
Conghua Tantalum and Niobium Smeltry
 
CHINA
 
Conformant
 
Tantalum
 
D Block Metals, LLC
 
US
 
Conformant
 
Tantalum
 
F & X
 
CHINA
 
Conformant
 
Tantalum
 
FIR Metals & Resource Ltd.
 
CHINA
 
Conformant
 
Tantalum
 
Global Advanced Metals Aizu
 
JAPAN
 
Conformant
 
Tantalum
 
Global Advanced Metals Boyertown
 
US
 
Conformant
 
Tantalum
 
Guangdong Zhiyuan New Material Co., Ltd.
 
CHINA
 
Conformant
 
Tantalum
 
H.C. Starck Co., Ltd.
 
THAILAND
 
Conformant

13

 
Tantalum
 
H.C. Starck GmbH Goslar
 
GERMANY
 
Conformant
 
Tantalum
 
H.C. Starck Hermsdorf GmbH
 
GERMANY
 
Conformant
 
Tantalum
 
H.C. Starck Inc.
 
US
 
Conformant
 
Tantalum
 
H.C. Starck Ltd.
 
JAPAN
 
Conformant
 
Tantalum
 
H.C. Starck Smelting GmbH & Co. KG
 
GERMANY
 
Conformant
 
Tantalum
 
Hengyang King Xing Lifeng New Materials Co., Ltd.
 
CHINA
 
Conformant
 
Tantalum
 
Jiangxi Dinghai Tantalum & Niobium Co., Ltd.
 
CHINA
 
Conformant
 
Tantalum
 
Jiangxi Tuohong New Raw Material
 
CHINA
 
Conformant
 
Tantalum
 
JiuJiang JinXin Nonferrous Metals Co., Ltd.
 
CHINA
 
Conformant
 
Tantalum
 
Jiujiang Nonferrous Metals Smelting Company Limited
 
CHINA
 
Conformant
 
Tantalum
 
Jiujiang Zhongao Tantalum & Niobium Co., Ltd.
 
CHINA
 
Conformant
 
Tantalum
 
KEMET Blue Metals
 
MEXICO
 
Conformant
 
Tantalum
 
Meta Materials
 
NORTH MACEDONIA
 
Conformant
 
Tantalum
 
Metallurgical Products India Pvt. Ltd. (MPIL)
 
INDIA
 
Conformant
 
Tantalum
 
Mineracao Taboca S.A.
 
BRAZIL
 
Conformant
 
Tantalum
 
Mitsui Mining & Smelting
 
JAPAN
 
Conformant
 
Tantalum
 
Molycorp Silmet A.S.
 
ESTONIA
 
Conformant
 
Tantalum
 
Ningxia Non-Ferrous Metal Smeltery
 
CHINA
 
Conformant
 
Tantalum
 
QuantumClean
 
US
 
Conformant
 
Tantalum
 
Resind Ind e Com Ltda.
 
BRAZIL
 
Conformant
 
Tantalum
 
RFH
 
CHINA
 
Conformant
 
Tantalum
 
RFH Yancheng Jinye New Material Technology Co., Ltd.
 
CHINA
 
Conformant
 
Tantalum
 
Solikamsk
 
RUSSIA
 
Conformant
 
Tantalum
 
Taki Chemical Co., Ltd.
 
JAPAN
 
Conformant
 
Tantalum
 
Telex Metals
 
US
 
Conformant
 
Tantalum
 
ULBA
 
KAZAKHSTAN
 
Conformant
 
Tantalum
 
XinXing HaoRong Electronic Material Co., Ltd.
 
CHINA
 
Conformant
 
Tantalum
 
Exotech Inc.
 
US
 
On Smelter Look Up Tab
 
Tin
 
Brand IMLI
 
INDONESIA
 
Active
 
Tin
 
CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda
 
BRAZIL
 
Active
 
Tin
 
CV Nurjanah
 
INDONESIA
 
Active
 
Tin
 
CV Venus Inti Perkasa
 
INDONESIA
 
Active
 
Tin
 
PT Masbro Alam Stania
 
INDONESIA
 
Active
 
Tin
 
PT Mitra Sukses Globalindo
 
INDONESIA
 
Active
 
Tin
 
PT Pelat Timah Nusantara Tbk
 
INDONESIA
 
Active
 
Tin
 
PT Sukses Inti Makmur
 
INDONESIA
 
Active
 
Tin
 
Super Ligas
 
BRAZIL
 
Active
 
Tin
 
Alent plc
 
US
 
Conformant

14

 
Tin
 
Brand RBT
 
INDONESIA
 
Conformant
 
Tin
 
Chengfeng Metals Co Pte Ltd
 
CHINA
 
Conformant
 
Tin
 
Chenzhou Yun Xiang mining limited liability company
 
CHINA
 
Conformant
 
Tin
 
Chifeng Dajingzi Tin Industry Co., Ltd.
 
CHINA
 
Conformant
 
Tin
 
China Tin (Hechi)
 
CHINA
 
Conformant
 
Tin
 
China Yunnan Tin Co Ltd.
 
CHINA
 
Conformant
 
Tin
 
CRM Synergies
 
SPAIN
 
Conformant
 
Tin
 
CV Tiga Sekawan
 
INDONESIA
 
Conformant
 
Tin
 
Dowa
 
JAPAN
 
Conformant
 
Tin
 
Elmet S.L.U.
 
SPAIN
 
Conformant
 
Tin
 
EM Vinto
 
BOLIVIA
 
Conformant
 
Tin
 
Estanho de Rondonia S.A.
 
BRAZIL
 
Conformant
 
Tin
 
Fabrica Auricchio
 
BRAZIL
 
Conformant
 
Tin
 
Fenix Metals
 
POLAND
 
Conformant
 
Tin
 
Funsur Smelter
 
PERU
 
Conformant
 
Tin
 
Gejiu Non-Ferrous Metal Processing Co., Ltd.
 
CHINA
 
Conformant
 
Tin
 
Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.
 
CHINA
 
Conformant
 
Tin
 
Gejiu Zi-Li
 
CHINA
 
Conformant
 
Tin
 
Guangdong Hanhe Non-Ferrous Metal Co., Ltd.
 
CHINA
 
Conformant
 
Tin
 
HuiChang Hill Tin Industry Co., Ltd.
 
CHINA
 
Conformant
 
Tin
 
INDONESIAN STATE TIN CORPORATION MENTOK SMELTER
 
INDONESIA
 
Conformant
 
Tin
 
Jiangxi Nanshan
 
CHINA
 
Conformant
 
Tin
 
Kundur Smelter
 
INDONESIA
 
Conformant
 
Tin
 
Luna Smelter, Ltd.
 
RWANDA
 
Conformant
 
Tin
 
Ma'anshan Weitai Tin Co., Ltd.
 
CHINA
 
Conformant
 
Tin
 
Magnu's Minerais Metais e Ligas Ltda.
 
BRAZIL
 
Conformant
 
Tin
 
Malaysia Smelting Corporation (MSC)
 
MALAYSIA
 
Conformant
 
Tin
 
Metallic Resources, Inc.
 
US
 
Conformant
 
Tin
 
Metallo Belgium N.V.
 
BELGIUM
 
Conformant
 
Tin
 
Mineracao Taboca S.A.
 
BRAZIL
 
Conformant
 
Tin
 
Mitsubishi Materials Corporation
 
JAPAN
 
Conformant
 
Tin
 
Novosibirsk Processing Plant Ltd.
 
RUSSIA
 
Conformant
 
Tin
 
O.M. Manufacturing (Thailand) Co., Ltd.
 
THAILAND
 
Conformant
 
Tin
 
O.M. Manufacturing Philippines, Inc.
 
PHILIPPINES
 
Conformant
 
Tin
 
OMSA
 
BOLIVIA
 
Conformant
 
Tin
 
PT Artha Cipta Langgeng
 
INDONESIA
 
Conformant
 
Tin
 
PT ATD Makmur Mandiri Jaya
 
INDONESIA
 
Conformant
 
Tin
 
PT Babel Inti Perkasa
 
INDONESIA
 
Conformant
 
Tin
 
PT Babel Surya Alam Lestari
 
INDONESIA
 
Conformant
 
Tin
 
PT Bangka Serumpun
 
INDONESIA
 
Conformant
 
Tin
 
PT Cipta Persada Mulia
 
INDONESIA
 
Conformant

15

 
Tin
 
PT Menara Cipta Mulia
 
INDONESIA
 
Conformant
 
Tin
 
PT Mitra Stania Prima
 
INDONESIA
 
Conformant
 
Tin
 
PT Prima Timah Utama
 
INDONESIA
 
Conformant
 
Tin
 
PT Rajawali Rimba Perkasa
 
INDONESIA
 
Conformant
 
Tin
 
PT Sariwiguna Binasentosa
 
INDONESIA
 
Conformant
 
Tin
 
PT Stanindo Inti Perkasa
 
INDONESIA
 
Conformant
 
Tin
 
PT Tinindo Inter Nusa
 
INDONESIA
 
Conformant
 
Tin
 
Resind Ind e Com Ltda.
 
BRAZIL
 
Conformant
 
Tin
 
Rui Da Hung
 
TAIWAN
 
Conformant
 
Tin
 
Soft Metais Ltda.
 
BRAZIL
 
Conformant
 
Tin
 
Thai Nguyen Mining and Metallurgy Co., Ltd.
 
VIET NAM
 
Conformant
 
Tin
 
Thai Solder Industry Corp., Ltd.
 
THAILAND
 
Conformant
 
Tin
 
Tin Technology & Refining
 
US
 
Conformant
 
Tin
 
White Solder Metalurgia e Mineracao Ltda.
 
BRAZIL
 
Conformant
 
Tin
 
An Vinh Joint Stock Mineral Processing Company
 
VIET NAM
 
On Smelter Look Up Tab
 
Tin
 
Dongguan CiEXPO Environmental Engineering Co., Ltd.
 
CHINA
 
On Smelter Look Up Tab
 
Tin
 
Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company
 
VIET NAM
 
On Smelter Look Up Tab
 
Tin
 
Gejiu City Fuxiang Industry and Trade Co., Ltd.
 
CHINA
 
On Smelter Look Up Tab
 
Tin
 
Gejiu Kai Meng Industry and Trade LLC
 
CHINA
 
On Smelter Look Up Tab
 
Tin
 
Melt Metais e Ligas S.A.
 
BRAZIL
 
On Smelter Look Up Tab
 
Tin
 
Modeltech Sdn Bhd
 
MALAYSIA
 
On Smelter Look Up Tab
 
Tin
 
Nghe Tinh Non-Ferrous Metals Joint Stock Company
 
VIET NAM
 
On Smelter Look Up Tab
 
Tin
 
Pongpipat Company Limited
 
MYANMAR
 
On Smelter Look Up Tab
 
Tin
 
Precious Minerals and Smelting Limited
 
INDIA
 
On Smelter Look Up Tab
 
Tin
 
PT Belitung Industri Sejahtera
 
INDONESIA
 
On Smelter Look Up Tab
 
Tin
 
PT Panca Mega Persada
 
INDONESIA
 
On Smelter Look Up Tab
 
Tin
 
PT Tirus Putra Mandiri
 
INDONESIA
 
On Smelter Look Up Tab
 
Tin
 
PT Tommy Utama
 
INDONESIA
 
On Smelter Look Up Tab

16

 
Tin
 
Tuyen Quang Non-Ferrous Metals Joint Stock Company
 
VIET NAM
 
On Smelter Look Up Tab
 
Tin
 
VQB Mineral and Trading Group JSC
 
VIET NAM
 
On Smelter Look Up Tab
 
Tin
 
Yunnan Yunfan Non-ferrous Metals Co., Ltd.
 
CHINA
 
On Smelter Look Up Tab
 
Tungsten
 
Albasteel Industria e Comercio de Ligas Para Fundicao Ltd.
 
BRAZIL
 
Active
 
Tungsten
 
NPP Tyazhmetprom LLC
 
RUSSIA
 
Active
 
Tungsten
 
OOO “Technolom” 1
 
RUSSIA
 
Active
 
Tungsten
 
OOO “Technolom” 2
 
RUSSIA
 
Active
 
Tungsten
 
A.L.M.T. Corp.
 
JAPAN
 
Conformant
 
Tungsten
 
ACL Metais Eireli
 
BRAZIL
 
Conformant
 
Tungsten
 
Asia Tungsten Products Vietnam Ltd.
 
VIET NAM
 
Conformant
 
Tungsten
 
ATI Tungsten Materials
 
US
 
Conformant
 
Tungsten
 
Chaozhou Xianglu Tungsten Industry Co., Ltd.
 
CHINA
 
Conformant
 
Tungsten
 
Chenzhou Diamond Tungsten Products Co., Ltd.
 
CHINA
 
Conformant
 
Tungsten
 
China Molybdenum Co., Ltd.
 
CHINA
 
Conformant
 
Tungsten
 
China National Non Ferrous
 
CHINA
 
Conformant
 
Tungsten
 
Chongyi Zhangyuan Tungsten Co., Ltd.
 
CHINA
 
Conformant
 
Tungsten
 
Cronimet Brasil Ltda
 
BRAZIL
 
Conformant
 
Tungsten
 
Fujian Ganmin RareMetal Co., Ltd.
 
CHINA
 
Conformant
 
Tungsten
 
Fujian Xinlu Tungsten
 
CHINA
 
Conformant
 
Tungsten
 
Ganzhou Haichuang Tungsten Co., Ltd.
 
CHINA
 
Conformant
 
Tungsten
 
Ganzhou Jiangwu Ferrotungsten Co., Ltd.
 
CHINA
 
Conformant
 
Tungsten
 
Ganzhou Seadragon W & Mo Co., Ltd.
 
CHINA
 
Conformant
 
Tungsten
 
GEM Co., Ltd.
 
CHINA
 
Conformant
 
Tungsten
 
Global Tungsten & Powders Corp.
 
US
 
Conformant
 
Tungsten
 
H.C. Starck GmbH
 
GERMANY
 
Conformant
 
Tungsten
 
H.C. Starck Smelting GmbH & Co. KG
 
GERMANY
 
Conformant
 
Tungsten
 
Human Chun-Chang non-ferrous Smelting & Concentrating Co., Ltd.
 
CHINA
 
Conformant
 
Tungsten
 
Hunan Chenzhou Mining Co., Ltd.
 
CHINA
 
Conformant
 
Tungsten
 
Hydrometallurg, JSC
 
RUSSIA
 
Conformant
 
Tungsten
 
Japan New Metals Co., Ltd.
 
JAPAN
 
Conformant
 
Tungsten
 
Jiangwu H.C. Starck Tungsten Products Co., Ltd.
 
CHINA
 
Conformant
 
Tungsten
 
Jiangxi Gan Bei Tungsten Co., Ltd.
 
CHINA
 
Conformant
 
Tungsten
 
Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.
 
CHINA
 
Conformant
 
Tungsten
 
Jiangxi Xinsheng Tungsten Industry Co., Ltd.
 
CHINA
 
Conformant
 
Tungsten
 
Jiangxi Yaosheng Tungsten Co., Ltd.
 
CHINA
 
Conformant
 
Tungsten
 
JSC "Kirovgrad Hard Alloys Plant"
 
RUSSIA
 
Conformant
 
Tungsten
 
Kennametal Fallon
 
US
 
Conformant

17

 
Tungsten
 
KGETS Co., Ltd.
 
KOREA
 
Conformant
 
Tungsten
 
Lianyou Metals Co., Ltd.
 
TAIWAN
 
Conformant
 
Tungsten
 
Malipo Haiyu Tungsten Co., Ltd.
 
CHINA
 
Conformant
 
Tungsten
 
Masan High-Tech Materials
 
VIET NAM
 
Conformant
 
Tungsten
 
Moliren Ltd
 
RUSSIA
 
Conformant
 
Tungsten
 
Niagara Refining LLC
 
US
 
Conformant
 
Tungsten
 
Philippine Chuangxin Industrial Co., Inc.
 
PHILIPPINES
 
Conformant
 
Tungsten
 
Unecha Refractory metals plant
 
RUSSIA
 
Conformant
 
Tungsten
 
WBH
 
AUSTRIA
 
Conformant
 
Tungsten
 
Woltech Korea Co., Ltd.
 
KOREA
 
Conformant
 
Tungsten
 
Xiamen H.C.
 
CHINA
 
Conformant
 
Tungsten
 
Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.
 
CHINA
 
Conformant
 
Tungsten
 
Artek LLC
 
RUSSIA
 
On Smelter Look Up Tab
 
Tungsten
 
CNMC (Guangxi) PGMA Co., Ltd.
 
CHINA
 
On Smelter Look Up Tab
 
Tungsten
 
Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.
 
CHINA
 
On Smelter Look Up Tab

18

Table B
(as of April 20, 2022)

Tin
Tungsten
Tantalum
Gold
BELGIUM
AUSTRIA
Brazil
ANDORRA
BOLIVIA
BRAZIL
CHINA
AUSTRALIA
BRAZIL
CHINA
ESTONIA
AUSTRIA
CHINA
GERMANY
GERMANY
BELGIUM
INDIA
JAPAN
INDIA
BRAZIL
INDONESIA
KOREA,
JAPAN
CANADA
JAPAN
PHILIPPINES
KAZAKHSTAN
CHILE
MALAYSIA
RUSSIAN FEDERATION
MEXICO
CHINA
MYANMAR
TAIWAN
NORTH MACEDONIA
COLOMBIA
PERU
UNITED STATES
RUSSIAN FEDERATION
CZECHIA
PHILIPPINES
VIETNAM
THAILAND
FRANCE
POLAND
 
UNITED STATES
GERMANY
RUSSIAN FEDERATION
   
GHANA
RWANDA
   
INDIA
SPAIN
   
INDONESIA
TAIWAN
   
ITALY
THAILAND
   
JAPAN
UNITED STATES
   
KAZAKHSTAN
VIET NAM
   
KOREA
     
KYRGYZSTAN
     
LITHUANIA
     
MALAYSIA
     
MAURITANIA
     
MEXICO
     
NETHERLANDS
     
NEW ZEALAND
     
NORWAY
     
PHILIPPINES
     
POLAND
     
RUSSIAN FEDERATION
     
SAUDI ARABIA
     
SINGAPORE
     
SOUTH AFRICA

19

     
SPAIN
     
SUDAN
     
SWEDEN
     
SWITZERLAND
     
TAIWAN
     
THAILAND
     
TURKEY
     
UGANDA
     
UNITED ARAB
EMIRATES
     
UNITED STATES
     
UZBEKISTAN
     
ZIMBABWE
 
20

Helpful Resources
 
Acronyms Used in This Report
 
3TG
Tin, Tantalum, Tungsten or Gold
CMRT
Conflict Minerals Reporting Template
DRC
Democratic Republic of the Congo
OECD
Organization for Economic Cooperation and Development
RMAP
Responsible Minerals Assurance Process (formerly the Conflict-Free Smelter Program)
RMI
Responsible Minerals Initiative (formerly the Conflict-Free Sourcing Initiative)
SEC
U.S. Securities and Exchange Commission
 
Forward-Looking Statements
 
This Report contains "forward-looking statements" – that is, statements based on our current expectations and projections about future events.  These forward-looking statements are subject to various risks, uncertainties, and assumptions.  For details on the uncertainties that may cause our actual future results to be materially different than those expressed in our forward-looking statements, see our annual reports on Form 10-K and quarterly reports on Form 10-Q. We undertake no obligation to update any statement to reflect events or circumstances after the date on which the statement is made or to reflect the occurrence of unanticipated events.
 
Where You Can Find Additional Information*
 
Wabtec Conflict Minerals Policy
https://ir.wabteccorp.com/static-files/eb2e79c0-1128-4ffd-9d1f-3425302bdc54

Wabtec Supplier Code of Conduct
https://www.wabteccorp.com/supplier-code-of-conduct
 
Wabtec Code of Business Conduct and Ethics
https://ir.wabteccorp.com/static-files/fe76c10c-8311-4f5d-94d6-4ae16fbe98ff
 
Responsible Minerals Initiative
http://www.responsiblemineralsinitiative.org
 
OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas
www.oecd.org/daf/inv/mne/OECD-Due-Diligence-Guidance-Minerals-Edition3.pdf
 
Wabtec’s 2021 Annual Report on Form 10-K
https://ir.wabteccorp.com/static-files/304543d8-8c57-4a95-8c89-96705cafeb2b

*These web links are provided for convenience only, and the content on the referenced websites does not constitute a part of this Report.
 
Wabtec and the Wabtec logo are trademarks and service marks of Wabtec Corporation. Other marks used throughout are trademarks and service marks of their respective owners.


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