United States
Securities and Exchange Commission
Washington, D.C. 20549

Form SD
(Specialized Disclosure Report)

Rockwell Automation, Inc.

 
					
Delaware	 	1-12383	 	25-1797617	
(State or other jurisdiction of
incorporation or organization)	 	(Commission
File Number)	 	(IRS Employer
Identification No.)	

1201 South Second Street, Milwaukee, Wisconsin	 	53204	
(Address of principal executive offices)	 	(Zip code)	
Robert B. Murphy, Senior VP of Operations and Engineering Services (414-382-2000)

The rule pursuant to which this form is being filed, and the period to which the information in this form applies:
 
☒	Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2016.	

 

Section 1 - Conflict Minerals Disclosure
Item 1.01 - Conflict Minerals Disclosure and Report
Conflict Minerals Disclosure
A Conflict Minerals Report for the calendar year ended December 31, 2016 is provided as Exhibit 1.01 and is available at the following Internet website: http://www.rockwellautomation.com/rockwellautomation/about-us/sustainability-ethics/integrity-compliance-overview.page?
Item 1.02 - Exhibit
Rockwell Automation’s Conflict Minerals Report required by Item 1.01, attached to this Form SD as Exhibit 1.01, is incorporated herein by reference.
Section 2 - Exhibits
Item 2.01 - Exhibits
Exhibit 1.01 - Conflict Minerals Report (attached)

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

/s/ Robert B. Murphy	 	 	 	 	 	 	 	 	 	 	 	 	 	Date: May 31, 2017	
(Registrant)	 		 		 		 		 		 		 		
Robert B. Murphy
Sr. VP of Operations and Engineering Services
Rockwell Automation
(414-382-2000)

Exhibit 1.01
Conflict Minerals Report
OF R OCKWELL A UTOMATION , I NC .
IN ACCORD WITH R ULE 13 P -1 UNDER THE S ECURITIES E XCHANGE A CT OF 1934
This is the Conflict Minerals Report of Rockwell Automation, Inc. (the Company or Rockwell Automation) for calendar year 2016 in accord with Rule 13p-1 under the Securities Exchange Act of 1934 (“Rule 13p-1”). Numerous terms in this Conflict Minerals Report are defined in Rule 13p-1 and Form SD and the reader is referred to those sources and to 1934 Act Release No. 34-67716 (August 22, 2012) for such definitions.
 
I.	Introduction	
Rockwell Automation is a leading global provider of industrial automation power, control and information solutions. The Company has two operating segments: Architecture & Software and Control Products & Solutions. The Architecture & Software segment contains all of the hardware, software and communication components of our integrated control and information architecture. The Control Products & Solutions segment portfolio includes electro-mechanical and electronic motor starters, motor and circuit protection devices, AC/DC variable frequency drives, push buttons, signaling devices, termination and protection devices, relays, timers and condition sensors.
For calendar year 2016, Rockwell Automation considers all products sold to be in-scope and include:
 
 	•	 	Controllers, electronic operator interface devices, electronic input/output devices, communication and networking products industrial computers and Logix controllers.	
 
 	•	 	Rotary and linear motion control products, sensors and machine safety components.	
 
 	•	 	Low and medium voltage electro-mechanical and electronic motor starters, motor and circuit protection devices, AC/DC variable frequency drives, push buttons, signaling devices, termination and protection devices, relays, timers and condition sensors.	
 
 	•	 	Packaged solutions such as configured drives and motor control centers and automation and information solutions for manufacturing applications.	
Rockwell Automation’s supply chain is complex and there are multiple tiers between the Company and the mine. Rockwell Automation relies on its suppliers to provide information on the origin of the tin, tantalum, tungsten and gold (3TG) necessary to the functionality or production of components that are included in Rockwell Automation products. Many Rockwell Automation products contain at least one of the 3TG minerals.
Rockwell Automation’s due diligence processes have been designed in conformance with the due diligence related steps of the framework in The Organization for Economic Co-operation and Development (OECD) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas: Second Edition (OECD 2013), and related Supplements for gold, tantalum, tin and tungsten (OECD Framework). Process improvements were made in 2016 to the Rockwell Automation Conflict Minerals internal processes to better align procedures with OECD, expand completeness and reasonableness measures, and standardize terminology based on an external consultant review.

II.	Reasonable Country of Origin Inquiry	
OECD Step 1 – Establish strong company management systems
The Company incorporated leading practices from multi-industry initiatives such as MAPI (Manufacturers Alliance for Productivity and Innovation), EICC (Electronic Industry Citizen Coalition) and GeSI (Global e-Sustainability Initiative) and CFSI (Conflict Free Sourcing Initiative) as a part of the development and execution of Rockwell Automation’s conflict minerals compliance program.
Company Policies - Rockwell Automation communicated conflict minerals expectations to suppliers and the public via a Conflict Minerals Supply Chain Statement and a Supplier Code of Conduct, which encourage suppliers to source responsibly, and are available at the following internet website: http://www.rockwellautomation.com/global/about-us/sustainability-ethics/integrity-compliance-overview.page (File Name: Rockwell Automation Conflict Minerals Supply Chain Statement, Supplier Code of Conduct)
Internal Management Team - Rockwell Automation utilized an executive steering committee and relevant staff functions and technical experts (e.g. Legal, Purchasing, Strategic Sourcing, Chemistry & Materials Engineering) to support the Company’s Conflict Minerals program managed by the Engineering Services Program Management Office (Conflict Minerals Team).
System of Controls and Transparency - Rockwell Automation adopted a conflict minerals transparency contract with the expectation that suppliers provide information regarding the origin of their 3TG in purchase orders and new contracts. The transparency contract language is inserted into existing contracts as they are renewed.
Conflict Minerals documentation was retained based on existing Rockwell Automation process for record retention requiring a 10 year retention period for regulatory filings.
Rockwell Automation used a data management tool to maintain conflict minerals information provided by suppliers.
Supplier Engagement – Rockwell Automation educated its applicable suppliers by providing general conflict minerals information, Conflict Free Sourcing Initiative information, and links to additional resources to highlight requirements, resources available and the importance of conflict minerals investigations during the annual request for information (RFI).
Grievance Mechanism - Anyone can report violations of Rockwell Automation’s policies at http://www.rockwellautomation.com/rockwellautomation/about-us/sustainability-ethics/ombudsman.page A secure and confidential service is provided by a third party at https://secure.ethicspoint.com/domain/media/en/gui/43130/index.html
RCOI list creation and data collection - (not an OECD step )
Due to the complexity and size of its supply chain, Rockwell Automation developed a risk-based approach that focused on direct suppliers that it believed were likely to provide Rockwell Automation with components and/or raw materials containing tin, tantalum, tungsten and gold (3TG).

The smelters and refiners are consolidation points for raw ore and are in the best position in the total supply chain to know the origin of the ores. Rockwell Automation engages its suppliers and encourages them to inform their suppliers and/or smelters and refiners of 3TG supply chain transparency requirements.
Rockwell Automation provided updated training materials on its conflict minerals policies to internal Rockwell Automation employees (e.g. supplier quality, corporate purchasing, strategic sourcing,and compliance personnel).
Rockwell Automation did the following to identify sources of 3TG in its products:
 
 	•	 	Conducted a supply-chain survey with all direct suppliers that it believed were likely to provide components and raw materials containing 3TG.	
 
 	•	 	These suppliers were identified based on their alignment with commodities of parts they supply, their supplier status and annual spend.	
 
 	•	 	Inquiries requested the use of the template managed by the Conflict Free Sourcing Initiative, known as the Conflict Minerals Reporting Template (the CMRT), to identify smelters and refiners in their supply chain.	
 
 	•	 	Customized RFI communications were sent to suppliers who did not provide a requested CRMT in the previous year to get a better response rate.	
 
 	•	 	Used an internal data collection team who made initial supplier requests, forwarded responses and/or questions to the Conflict Mineral Team and tracked supplier responses.	
 
 	•	 	Used an escalation process to drive supplier responses when required.	
 
 	•	 	If suppliers did not respond in a designated time frame, the contact with suppliers was escalated to the related Buyers, Sourcing Managers, and ultimately, it was escalated to Sourcing Directors until resolved.	
 
 	•	 	Reviewed supplier responses for reasonableness and completeness, and, where appropriate, further inquired of these suppliers to explain their reason for certain answers.	
Rockwell Automation received responses back from 100% of these suppliers in 2016 (100% in 2015). Of those responding, 67% indicated they had 100% of their information (49% in 2015).
OECD Step 2 – Identify and assess risk in the supply chain
Rockwell Automation evaluated and assigned the supplier risk based on responses, their completeness and reasonableness evaluation, and their smelter list. Rockwell Automation used the Conflict Free Sourcing Initiative information and general public information to determine a smelter or refiner’s country of origin.
Rockwell Automation executives were kept informed of potential risks through the Product Compliance Council meetings sponsored by the Chief Technology Officer.
III. Due Diligence Design and Performance
Due Diligence Design
Rockwell Automation’s due diligence processes were designed in conformance with the due diligence related steps of the OECD 2013 and OECD Framework.
Due Diligence Measures Performed
OECD Step 3 – Design and implement a strategy to respond to identified risks
Rockwell Automation defines identified risk as the potential for a smelter to source from mines that support armed forces in the DRC region. It is not our intent to refrain from sourcing 3TG from the DRC region.

Rockwell Automation identified risk in the supply chain by supporting the audit strategy of 3TG smelters and refiners conducted by third parties through its participation in, and payment of membership dues to, the Conflict Free Sourcing Initiative. Rockwell Automation became a member of the Conflict Free Sourcing Initiative in 2014. (CFSI Member identification: RKWL)
New suppliers to Rockwell Automation were subjected to a New Supplier Audit process to understand their conflict minerals engagement. New and existing suppliers were evaluated based on their smelter and refiner information obtained from CMRT declarations and assigned a risk. Rockwell Automation used the Conflict Free Sourcing Initiative information and general public information to determine a smelter or refiner’s conflict minerals status.
Rockwell Automation executives were kept informed of risk management actions through the Product Compliance Council meetings sponsored by the Chief Technology Officer.
There was no instance where it was necessary to implement risk mitigation or any corrective actions to suppliers in 2016 based on the suppliers’ assigned risk. Rockwell Automation’s risk mitigation process includes the following steps if smelters or refiners were identified as supporting armed forces activity.
 
 	•	 	Identify the Rockwell components and product affected by this supplier.	
 
 	•	 	Identify specific components Rockwell Automation purchased from that supplier’s conflict source to determine whether corrective action is necessary.	
 
 	•	 	Establish specific correction actions for each supplier and track actions.	
 
 	•	 	If corrective action would be required and the supplier refuses to take actions to change that relationship (through either changing their suppliers or driving their suppliers to source only from conflict free sources) the supplier would be the subject of additional risk mitigation, which could result in suspended trade or disengagement from Rockwell Automation.	
OECD Step 4 – Carry out an independent third-party audit of the supply chain due diligence.
Rockwell Automation, as a member of the Conflict Free Sourcing Initiative, supported the audit of smelters and refiners and CFSI’s efforts to identify the country of origin of the smelter and refiner 3TG, as described in CFSI website http://www.conflictfreesourcing.org/ . Rockwell Automation encouraged its suppliers to become members of CFSI during our annual request for information.
Rockwell Automation provides the CFSI with any unidentified smelter / refiner information received from suppliers for CFSI analysis.
OECD Step 5 – Report on supply chain due diligence
Rockwell Automation files its Conflict Mineral Report on Form SD annually with the SEC. Rockwell Automation also publishes its Conflict Mineral Report on its website annually at
http://www.rockwellautomation.com/rockwellautomation/about-us/sustainability-ethics/integrity-compliance-overview.page
(Rockwell Automation Conflict Mineral SD Form 2016)

IV. Smelter and Refiner Disclosures
Facilities and Country of Origin of 3TG
Schedule 1 lists the smelters and refiners on the Rockwell Automation CMRT. Rockwell Automation’s CMRT smelter list contains smelters and refiners that have and have not been evaluated by the Conflict Free Sourcing Initiative. Any smelters and refiners on the Rockwell Automation CMRT identified as sourcing from the DRC region were found to be compliant with the CFSI assessment protocol. The data collection was completed as of April 30, 2017. The Rockwell Automation CMRT list was updated to reflect the facilities confirmed in the CFSI CMRT Smelter Reference List. Rockwell Automation cannot verify that all the smelters identified contributed to parts that ended up in Rockwell Automation products based on the information provided by suppliers.
Schedule 2 lists the country of origin (COO) of the 3TG processed by smelters verified by the Conflict Free Sourcing Initiative and identified by the Rockwell Automation supply chain. All smelters and refiners who source from the DRC region that have been audited by the Conflict Free Sourcing Initiative are compliant with the Conflict Free Sourcing Initiative assessment protocol. The data collection was completed as of April 30, 2017. Rockwell Automation cannot verifiy that any of the 3TG processed by smelters in any of the countries identified in Schedule 2 contributed to parts that ended up in Rockwell Automation products based on the information provided by suppliers.
V. Future Measures
Rockwell Automation will undertake the following steps during the next compliance period:
 
 	•	 	Further customize the 2017 request for information for suppliers as deemed necessary to increase the information received.	
 
 	•	 	Continue to support the Conflict Free Sourcing Initiative and smelter audits through our membership and participation in subcommittees.	
 
 	•	 	Continue to share unidentified smelter lists with Conflict Free Sourcing Initiative to assist in identifying legitimate smelters and refiners.	
 
 	•	 	Continue to direct suppliers to the Conflict Free Sourcing Initiative organization for information, and encourage them to support the Conflict Free Sourcing Initiative efforts through membership.	
Schedule 1
Schedule 1 contains Conflict Free Sourcing Initiative smelters and refiners identified by Rockwell Automation Supply Chain. Smelters and refiners with an asterisk (*) are compliant with the Conflict Free Sourcing Initiative assessment protocol as of May 4th, 2017. Similarly, smelters and refiners with a pound (#) are working with the CFSI to meet the CFSI assessment protocol. All other smelters have either never been audited or have not renewed their audit.

									
Smelter ID	 	Metal	  	Smelter Name	  	 	  	Smelter Country	
CID000015	 	Gold	  	Advanced Chemical Company	  	*	  	United States	
CID000019	 	Gold	  	Aida Chemical Industries Co., Ltd.	  	*	  	Japan	
CID000035	 	Gold	  	Allgemeine Gold-und Silberscheideanstalt A.G.	  	*	  	Germany	
CID000041	 	Gold	  	Almalyk Mining and Metallurgical Complex (AMMC)	  	*	  	Uzbekistan	
CID000058	 	Gold	  	AngloGold Ashanti Córrego do Sítio Mineração	  	*	  	Brazil	
CID000077	 	Gold	  	Argor-Heraeus S.A.	  	*	  	Switzerland	
CID000082	 	Gold	  	Asahi Pretec Corp.	  	*	  	Japan	
CID000090	 	Gold	  	Asaka Riken Co., Ltd.	  	*	  	Japan	
CID000103	 	Gold	  	Atasay Kuyumculuk Sanayi Ve Ticaret A.S.	  		  	Turkey	
CID000113	 	Gold	  	Aurubis AG	  	*	  	Germany	
CID000128	 	Gold	  	Bangko Sentral ng Pilipinas (Central Bank of the Philippines)	  	*	  	Philippines	
CID000157	 	Gold	  	Boliden AB	  	*	  	Sweden	
CID000176	 	Gold	  	C. Hafner GmbH + Co. KG	  	*	  	Germany	
CID000180	 	Gold	  	Caridad	  		  	Mexico	
CID000185	 	Gold	  	CCR Refinery - Glencore Canada Corporation	  	*	  	Canada	
CID000189	 	Gold	  	Cendres + Métaux S.A.	  	#	  	Switzerland	
CID000197	 	Gold	  	Yunnan Copper Industry Co., Ltd.	  		  	China	
CID000233	 	Gold	  	Chimet S.p.A.	  	*	  	Italy	
CID000264	 	Gold	  	Chugai Mining	  		  	Japan	
CID000328	 	Gold	  	Daejin Indus Co., Ltd.	  	*	  	Korea (Republic Of)	
CID000343	 	Gold	  	Daye Non-Ferrous Metals Mining Ltd.	  		  	China	
CID000359	 	Gold	  	DSC (Do Sung Corporation)	  	*	  	Korea (Republic Of)	
CID000362	 	Gold	  	DODUCO GmbH	  	*	  	Germany	
CID000401	 	Gold	  	Dowa	  	*	  	Japan	
CID000425	 	Gold	  	Eco-System Recycling Co., Ltd.	  	*	  	Japan	
CID000493	 	Gold	  	OJSC Novosibirsk Refinery	  	*	  	Russian Federation	
CID000522	 	Gold	  	Gansu Seemine Material Hi-Tech Co., Ltd.	  		  	China	
CID000651	 	Gold	  	Guoda Safina High-Tech Environmental Refinery Co., Ltd.	  		  	China	
CID000671	 	Gold	  	Hangzhou Fuchunjiang Smelting Co., Ltd.	  		  	China	
CID000689	 	Gold	  	HeeSung Metal Ltd.	  	#	  	Korea (Republic Of)	
CID000694	 	Gold	  	Heimerle + Meule GmbH	  	*	  	Germany	
CID000707	 	Gold	  	Heraeus Ltd. Hong Kong	  	*	  	China	
CID000711	 	Gold	  	Heraeus Precious Metals GmbH & Co. KG	  	*	  	Germany	
CID000767	 	Gold	  	Hunan Chenzhou Mining Co., Ltd.	  		  	China	
CID000778	 	Gold	  	HwaSeong CJ Co., Ltd.	  		  	Korea (Republic Of)	
CID000801	 	Gold	  	Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.	  	*	  	China	
CID000807	 	Gold	  	Ishifuku Metal Industry Co., Ltd.	  	*	  	Japan	
CID000814	 	Gold	  	Istanbul Gold Refinery	  	*	  	Turkey	
CID000823	 	Gold	  	Japan Mint	  	*	  	Japan	
CID000855	 	Gold	  	Jiangxi Copper Co., Ltd.	  	*	  	China	
CID000920	 	Gold	  	Asahi Refining USA Inc.	  	*	  	United States	

									
CID000924	 	Gold	  	Asahi Refining Canada Ltd.	  	*	  	Canada	
CID000927	 	Gold	  	JSC Ekaterinburg Non-Ferrous Metal Processing Plant	  	*	  	Russian Federation	
CID000929	 	Gold	  	JSC Uralelectromed	  	*	  	Russian Federation	
CID000937	 	Gold	  	JX Nippon Mining & Metals Co., Ltd.	  	*	  	Japan	
CID000956	 	Gold	  	Kazakhmys Smelting LLC	  		  	Kazakhstan	
CID000957	 	Gold	  	Kazzinc	  	*	  	Kazakhstan	
CID000969	 	Gold	  	Kennecott Utah Copper LLC	  	*	  	United States	
CID000981	 	Gold	  	Kojima Chemicals Co., Ltd.	  	*	  	Japan	
CID001029	 	Gold	  	Kyrgyzaltyn JSC	  	*	  	Kyrgyzstan	
CID001032	 	Gold	  	L’azurde Company For Jewelry	  		  	Saudi Arabia	
CID001056	 	Gold	  	Lingbao Gold Co., Ltd.	  		  	China	
CID001058	 	Gold	  	Lingbao Jinyuan Tonghui Refinery Co., Ltd.	  		  	China	
CID001078	 	Gold	  	LS-NIKKO Copper Inc.	  	*	  	Korea (Republic Of)	
CID001093	 	Gold	  	Luoyang Zijin Yinhui Gold Refinery Co., Ltd.	  		  	China	
CID001113	 	Gold	  	Materion	  	*	  	United States	
CID001119	 	Gold	  	Matsuda Sangyo Co., Ltd.	  	*	  	Japan	
CID001147	 	Gold	  	Metalor Technologies (Suzhou) Ltd.	  	*	  	China	
CID001149	 	Gold	  	Metalor Technologies (Hong Kong) Ltd.	  	*	  	China	
CID001152	 	Gold	  	Metalor Technologies (Singapore) Pte., Ltd.	  	*	  	Singapore	
CID001153	 	Gold	  	Metalor Technologies S.A.	  	*	  	Switzerland	
CID001157	 	Gold	  	Metalor USA Refining Corporation	  	*	  	United States	
CID001161	 	Gold	  	Metalúrgica Met-Mex Peñoles S.A. De C.V.	  	*	  	Mexico	
CID001188	 	Gold	  	Mitsubishi Materials Corporation	  	*	  	Japan	
CID001193	 	Gold	  	Mitsui Mining and Smelting Co., Ltd.	  	*	  	Japan	
CID001204	 	Gold	  	Moscow Special Alloys Processing Plant	  	*	  	Russian Federation	
CID001220	 	Gold	  	Nadir Metal Rafineri San. Ve Tic. A.Ş.	  	*	  	Turkey	
CID001236	 	Gold	  	Navoi Mining and Metallurgical Combinat	  	#	  	Uzbekistan	
CID001259	 	Gold	  	Nihon Material Co., Ltd.	  	*	  	Japan	
CID001322	 	Gold	  	Elemetal Refining, LLC	  		  	United States	
CID001325	 	Gold	  	Ohura Precious Metal Industry Co., Ltd.	  	*	  	Japan	
CID001326	 	Gold	  	OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)	  	*	  	Russian Federation	
CID001352	 	Gold	  	PAMP S.A.	  	*	  	Switzerland	
CID001362	 	Gold	  	Penglai Penggang Gold Industry Co., Ltd.	  		  	China	
CID001386	 	Gold	  	Prioksky Plant of Non-Ferrous Metals	  	*	  	Russian Federation	
CID001397	 	Gold	  	PT Aneka Tambang (Persero) Tbk	  	*	  	Indonesia	
CID001498	 	Gold	  	PX Précinox S.A.	  	*	  	Switzerland	
CID001512	 	Gold	  	Rand Refinery (Pty) Ltd.	  	*	  	South Africa	
CID001534	 	Gold	  	Royal Canadian Mint	  	*	  	Canada	
CID001546	 	Gold	  	Sabin Metal Corp.	  		  	United States	
CID001555	 	Gold	  	Samduck Precious Metals	  	*	  	Korea (Republic Of)	

									
CID001562	 	Gold	  	Samwon Metals Corp.	  		  	Korea (Republic Of)	
CID001573	 	Gold	  	Schone Edelmetaal B.V.	  	*	  	Netherlands	
CID001585	 	Gold	  	SEMPSA Joyería Platería S.A.	  	*	  	Spain	
CID001619	 	Gold	  	Shandong Tiancheng Biological Gold Industrial Co., Ltd.	  		  	China	
CID001622	 	Gold	  	Shandong Zhaojin Gold & Silver Refinery Co., Ltd.	  	*	  	China	
CID001736	 	Gold	  	Sichuan Tianze Precious Metals Co., Ltd.	  	*	  	China	
CID001754	 	Gold	  	So Accurate Group, Inc.	  		  	United States	
CID001756	 	Gold	  	SOE Shyolkovsky Factory of Secondary Precious Metals	  	*	  	Russian Federation	
CID001761	 	Gold	  	Solar Applied Materials Technology Corp.	  	*	  	Taiwan	
CID001798	 	Gold	  	Sumitomo Metal Mining Co., Ltd.	  	*	  	Japan	
CID001875	 	Gold	  	Tanaka Kikinzoku Kogyo K.K.	  	*	  	Japan	
CID001909	 	Gold	  	Great Wall Precious Metals Co., Ltd. of CBPM	  		  	China	
CID001916	 	Gold	  	The Refinery of Shandong Gold Mining Co., Ltd.	  	*	  	China	
CID001938	 	Gold	  	Tokuriki Honten Co., Ltd.	  	*	  	Japan	
CID001947	 	Gold	  	Tongling Nonferrous Metals Group Co., Ltd.	  		  	China	
CID001955	 	Gold	  	Torecom	  	*	  	Korea (Republic Of)	
CID001977	 	Gold	  	Umicore Brasil Ltda.	  	*	  	Brazil	
CID001980	 	Gold	  	Umicore S.A. Business Unit Precious Metals Refining	  	*	  	Belgium	
CID001993	 	Gold	  	United Precious Metal Refining, Inc.	  	*	  	United States	
CID002003	 	Gold	  	Valcambi S.A.	  	*	  	Switzerland	
CID002030	 	Gold	  	Western Australian Mint trading as The Perth Mint	  	*	  	Australia	
CID002100	 	Gold	  	Yamamoto Precious Metal Co., Ltd.	  	*	  	Japan	
CID002129	 	Gold	  	Yokohama Metal Co., Ltd.	  	*	  	Japan	
CID002224	 	Gold	  	Zhongyuan Gold Smelter of Zhongjin Gold Corporation	  	*	  	China	
CID002243	 	Gold	  	Zijin Mining Group Co., Ltd. Gold Refinery	  	*	  	China	
CID002282	 	Gold	  	Morris and Watson	  		  	New Zealand	
CID002290	 	Gold	  	SAFINA A.S.	  	#	  	Czech Republic	
CID002312	 	Gold	  	Guangdong Jinding Gold Limited	  		  	China	
CID002314	 	Gold	  	Umicore Precious Metals Thailand	  	*	  	Thailand	
CID002459	 	Gold	  	Geib Refining Corporation	  	*	  	United States	
CID002509	 	Gold	  	MMTC-PAMP India Pvt., Ltd.	  	*	  	India	
CID002510	 	Gold	  	Republic Metals Corporation	  	*	  	United States	
CID002511	 	Gold	  	KGHM Polska Miedź Spółka Akcyjna	  	#	  	Poland	
CID002515	 	Gold	  	Fidelity Printers and Refiners Ltd.	  		  	Zimbabwe	
CID002516	 	Gold	  	Singway Technology Co., Ltd.	  	*	  	Taiwan	
CID002560	 	Gold	  	Al Etihad Gold Refinery DMCC	  	*	  	United Arab Emirates	
CID002561	 	Gold	  	Emirates Gold DMCC	  	*	  	United Arab Emirates	
CID002563	 	Gold	  	Kaloti Precious Metals	  		  	United Arab Emirates	
CID002567	 	Gold	  	Sudan Gold Refinery	  		  	Sudan	

									
CID002580	 	Gold	  	T.C.A S.p.A	  	*	  	Italy	
CID002582	 	Gold	  	Remondis Argentia B.V.	  		  	Netherlands	
CID002587	 	Gold	  	Tony Goetz NV	  	#	  	Belgium	
CID002605	 	Gold	  	Korea Zinc Co., Ltd.	  	*	  	Korea (Republic Of)	
CID002615	 	Gold	  	TOO Tau-Ken-Altyn	  		  	Kazakhstan	
CID002708	 	Gold	  	Abington Reldan Metals, LLC	  		  	United States	
CID002761	 	Gold	  	SAAMP	  		  	France	
CID002762	 	Gold	  	L’Orfebre S.A.	  		  	Andorra	
CID002777	 	Gold	  	SAXONIA Edelmetalle GmbH	  	*	  	Germany	
CID002778	 	Gold	  	WIELAND Edelmetalle GmbH	  	*	  	Germany	
CID002779	 	Gold	  	Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH	  	*	  	Austria	
CID002850	 	Gold	  	AU Traders and Refiners	  	*	  	South Africa	
CID002852	 	Gold	  	Gujarat Gold Centre	  		  	India	
CID002853	 	Gold	  	Sai Refinery	  		  	India	
CID002854	 	Gold	  	Universal Precious Metals Refining Zambia	  		  	Zambia	
CID002857	 	Gold	  	Modeltech Sdn Bhd	  	#	  	Malaysia	
CID002863	 	Gold	  	Bangalore Refinery	  	#	  	India	
CID002865	 	Gold	  	Kyshtym Copper-Electrolytic Plant ZAO	  		  	Russian Federation	
CID002866	 	Gold	  	Morris and Watson Gold Coast	  		  	Australia	
CID002867	 	Gold	  	Degussa Sonne / Mond Goldhandel GmbH	  		  	Germany	
CID002872	 	Gold	  	Pease & Curren	  		  	United States	
CID002918	 	Gold	  	SungEel HiTech	  	#	  	Korea (Republic Of)	
CID000211	 	Tantalum	  	Changsha South Tantalum Niobium Co., Ltd.	  	*	  	China	
CID000291	 	Tantalum	  	Conghua Tantalum and Niobium Smeltry	  	*	  	China	
CID000410	 	Tantalum	  	Duoluoshan	  	*	  	China	
CID000456	 	Tantalum	  	Exotech Inc.	  	*	  	United States	
CID000460	 	Tantalum	  	F&X Electro-Materials Ltd.	  	*	  	China	
CID000616	 	Tantalum	  	Guangdong Zhiyuan New Material Co., Ltd.	  	*	  	China	
CID000731	 	Tantalum	  	Hi-Temp Specialty Metals, Inc.	  	*	  	United States	
CID000914	 	Tantalum	  	JiuJiang JinXin Nonferrous Metals Co., Ltd.	  	*	  	China	
CID000917	 	Tantalum	  	Jiujiang Tanbre Co., Ltd.	  	*	  	China	
CID000973	 	Tantalum	  	King-Tan Tantalum Industry Ltd.	  	*	  	China	
CID001076	 	Tantalum	  	LSM Brasil S.A.	  	*	  	Brazil	
CID001163	 	Tantalum	  	Metallurgical Products India Pvt., Ltd.	  	*	  	India	
CID001175	 	Tantalum	  	Mineração Taboca S.A.	  	*	  	Brazil	
CID001192	 	Tantalum	  	Mitsui Mining and Smelting Co., Ltd.	  	*	  	Japan	
CID001200	 	Tantalum	  	Molycorp Silmet A.S.	  	*	  	Estonia	
CID001277	 	Tantalum	  	Ningxia Orient Tantalum Industry Co., Ltd.	  	*	  	China	
CID001508	 	Tantalum	  	QuantumClean	  	*	  	United States	
CID001522	 	Tantalum	  	RFH Tantalum Smeltry Co., Ltd.	  	*	  	China	

									
CID001769	 	Tantalum	  	Solikamsk Magnesium Works OAO	  	*	  	Russian Federation	
CID001869	 	Tantalum	  	Taki Chemical Co., Ltd.	  	*	  	Japan	
CID001891	 	Tantalum	  	Telex Metals	  	*	  	United States	
CID001969	 	Tantalum	  	Ulba Metallurgical Plant JSC	  	*	  	Kazakhstan	
CID002232	 	Tantalum	  	Zhuzhou Cemented Carbide Group Co., Ltd.	  	*	  	China	
CID002307	 	Tantalum	  	Yichun Jin Yang Rare Metal Co., Ltd.	  	*	  	China	
CID002492	 	Tantalum	  	Hengyang King Xing Lifeng New Materials Co., Ltd.	  	*	  	China	
CID002504	 	Tantalum	  	D Block Metals, LLC	  	*	  	United States	
CID002505	 	Tantalum	  	FIR Metals & Resource Ltd.	  	*	  	China	
CID002506	 	Tantalum	  	Jiujiang Zhongao Tantalum & Niobium Co., Ltd.	  	*	  	China	
CID002508	 	Tantalum	  	XinXing HaoRong Electronic Material Co., Ltd.	  	*	  	China	
CID002512	 	Tantalum	  	Jiangxi Dinghai Tantalum & Niobium Co., Ltd.	  	*	  	China	
CID002539	 	Tantalum	  	KEMET Blue Metals	  	*	  	Mexico	
CID002544	 	Tantalum	  	H.C. Starck Co., Ltd.	  	*	  	Thailand	
CID002545	 	Tantalum	  	H.C. Starck GmbH Goslar	  	*	  	Germany	
CID002547	 	Tantalum	  	H.C. Starck Hermsdorf GmbH	  	*	  	Germany	
CID002548	 	Tantalum	  	H.C. Starck Inc.	  	*	  	United States	
CID002549	 	Tantalum	  	H.C. Starck Ltd.	  	*	  	Japan	
CID002550	 	Tantalum	  	H.C. Starck Smelting GmbH & Co. KG	  	*	  	Germany	
CID002557	 	Tantalum	  	Global Advanced Metals Boyertown	  	*	  	United States	
CID002558	 	Tantalum	  	Global Advanced Metals Aizu	  	*	  	Japan	
CID002568	 	Tantalum	  	KEMET Blue Powder	  	*	  	United States	
CID002707	 	Tantalum	  	Resind Indústria e Comércio Ltda.	  	*	  	Brazil	
CID002842	 	Tantalum	  	Jiangxi Tuohong New Raw Material	  	*	  	China	
CID002847	 	Tantalum	  	Power Resources Ltd.	  	*	  	Macedonia	
CID000228	 	Tin	  	Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.	  	*	  	China	
CID000244	 	Tin	  	Jiangxi Ketai Advanced Material Co., Ltd.	  	*	  	China	
CID000278	 	Tin	  	CNMC (Guangxi) PGMA Co., Ltd.	  		  	China	
CID000292	 	Tin	  	Alpha	  	*	  	United States	
CID000295	 	Tin	  	Cooperativa Metalurgica de Rondônia Ltda.	  	*	  	Brazil	
CID000306	 	Tin	  	CV Gita Pesona	  	*	  	Indonesia	
CID000309	 	Tin	  	PT Aries Kencana Sejahtera	  	*	  	Indonesia	
CID000313	 	Tin	  	CV Serumpun Sebalai	  	*	  	Indonesia	
CID000315	 	Tin	  	CV United Smelting	  	*	  	Indonesia	
CID000402	 	Tin	  	Dowa	  	*	  	Japan	
CID000438	 	Tin	  	EM Vinto	  	*	  	Bolivia	
CID000448	 	Tin	  	Estanho de Rondônia S.A.	  		  	Brazil	
CID000468	 	Tin	  	Fenix Metals	  	*	  	Poland	
CID000538	 	Tin	  	Gejiu Non-Ferrous Metal Processing Co., Ltd.	  	*	  	China	
CID000555	 	Tin	  	Gejiu Zili Mining And Metallurgy Co., Ltd.	  		  	China	
CID000760	 	Tin	  	Huichang Jinshunda Tin Co., Ltd.	  	#	  	China	

									
CID000942	 	Tin	  	Gejiu Kai Meng Industry and Trade LLC	  	#	  	China	
CID001070	 	Tin	  	China Tin Group Co., Ltd.	  	*	  	China	
CID001105	 	Tin	  	Malaysia Smelting Corporation (MSC)	  	*	  	Malaysia	
CID001142	 	Tin	  	Metallic Resources, Inc.	  	*	  	United States	
CID001173	 	Tin	  	Mineração Taboca S.A.	  	*	  	Brazil	
CID001182	 	Tin	  	Minsur	  	*	  	Peru	
CID001191	 	Tin	  	Mitsubishi Materials Corporation	  	*	  	Japan	
CID001231	 	Tin	  	Nankang Nanshan Tin Manufactory Co., Ltd.	  	#	  	China	
CID001314	 	Tin	  	O.M. Manufacturing (Thailand) Co., Ltd.	  	*	  	Thailand	
CID001337	 	Tin	  	Operaciones Metalurgical S.A.	  	*	  	Bolivia	
CID001399	 	Tin	  	PT Artha Cipta Langgeng	  	*	  	Indonesia	
CID001402	 	Tin	  	PT Babel Inti Perkasa	  	*	  	Indonesia	
CID001419	 	Tin	  	PT Bangka Tin Industry	  	*	  	Indonesia	
CID001421	 	Tin	  	PT Belitung Industri Sejahtera	  	*	  	Indonesia	
CID001428	 	Tin	  	PT Bukit Timah	  	*	  	Indonesia	
CID001434	 	Tin	  	PT DS Jaya Abadi	  	*	  	Indonesia	
CID001438	 	Tin	  	PT Eunindo Usaha Mandiri	  	*	  	Indonesia	
CID001448	 	Tin	  	PT Karimun Mining	  	*	  	Indonesia	
CID001453	 	Tin	  	PT Mitra Stania Prima	  	*	  	Indonesia	
CID001457	 	Tin	  	PT Panca Mega Persada	  	*	  	Indonesia	
CID001458	 	Tin	  	PT Prima Timah Utama	  	*	  	Indonesia	
CID001460	 	Tin	  	PT Refined Bangka Tin	  	*	  	Indonesia	
CID001463	 	Tin	  	PT Sariwiguna Binasentosa	  	*	  	Indonesia	
CID001468	 	Tin	  	PT Stanindo Inti Perkasa	  	*	  	Indonesia	
CID001471	 	Tin	  	PT Sumber Jaya Indah	  	*	  	Indonesia	
CID001477	 	Tin	  	PT Timah (Persero) Tbk Kundur	  	*	  	Indonesia	
CID001482	 	Tin	  	PT Timah (Persero) Tbk Mentok	  	*	  	Indonesia	
CID001490	 	Tin	  	PT Tinindo Inter Nusa	  	*	  	Indonesia	
CID001493	 	Tin	  	PT Tommy Utama	  	*	  	Indonesia	
CID001539	 	Tin	  	Rui Da Hung	  	*	  	Taiwan	
CID001758	 	Tin	  	Soft Metais Ltda.	  	*	  	Brazil	
CID001898	 	Tin	  	Thaisarco	  	*	  	Thailand	
CID001908	 	Tin	  	Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.	  	#	  	China	
CID002015	 	Tin	  	VQB Mineral and Trading Group JSC	  	*	  	Vietnam	
CID002036	 	Tin	  	White Solder Metalurgia e Mineração Ltda.	  	*	  	Brazil	
CID002158	 	Tin	  	Yunnan Chengfeng Non-ferrous Metals Co., Ltd.	  	#	  	China	
CID002180	 	Tin	  	Yunnan Tin Company Limited	  	*	  	China	
CID002455	 	Tin	  	CV Venus Inti Perkasa	  	*	  	Indonesia	
CID002468	 	Tin	  	Magnu’s Minerais Metais e Ligas Ltda.	  	*	  	Brazil	
CID002500	 	Tin	  	Melt Metais e Ligas S.A.	  	*	  	Brazil	
CID002503	 	Tin	  	PT ATD Makmur Mandiri Jaya	  	*	  	Indonesia	

									
CID002517	 	Tin	  	O.M. Manufacturing Philippines, Inc.	  	*	  	Philippines	
CID002530	 	Tin	  	PT Inti Stania Prima	  	*	  	Indonesia	
CID002570	 	Tin	  	CV Ayi Jaya	  	*	  	Indonesia	
CID002572	 	Tin	  	Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company	  	#	  	Vietnam	
CID002573	 	Tin	  	Nghe Tinh Non-Ferrous Metals Joint Stock Company	  		  	Vietnam	
CID002574	 	Tin	  	Tuyen Quang Non-Ferrous Metals Joint Stock Company	  		  	Vietnam	
CID002592	 	Tin	  	CV Dua Sekawan	  	*	  	Indonesia	
CID002593	 	Tin	  	CV Tiga Sekawan	  	*	  	Indonesia	
CID002703	 	Tin	  	An Vinh Joint Stock Mineral Processing Company	  		  	Vietnam	
CID002706	 	Tin	  	Resind Indústria e Comércio Ltda.	  	*	  	Brazil	
CID002756	 	Tin	  	Super Ligas	  		  	Brazil	
CID002757	 	Tin	  	PT O.M. Indonesia	  	*	  	Indonesia	
CID002773	 	Tin	  	Metallo-Chimique N.V.	  	*	  	Belgium	
CID002774	 	Tin	  	Metallo Spain S.L.U.	  	*	  	Spain	
CID002776	 	Tin	  	PT Bangka Prima Tin	  	*	  	Indonesia	
CID002816	 	Tin	  	PT Sukses Inti Makmur	  	*	  	Indonesia	
CID002825	 	Tin	  	An Thai Minerals Co., Ltd.	  		  	Vietnam	
CID002829	 	Tin	  	PT Kijang Jaya Mandiri	  	*	  	Indonesia	
CID002835	 	Tin	  	PT Menara Cipta Mulia	  	*	  	Indonesia	
CID002844	 	Tin	  	HuiChang Hill Tin Industry Co., Ltd.	  	*	  	China	
CID002848	 	Tin	  	Gejiu Fengming Metallurgy Chemical Plant	  	*	  	China	
CID002849	 	Tin	  	Guanyang Guida Nonferrous Metal Smelting Plant	  	*	  	China	
CID002858	 	Tin	  	Modeltech Sdn Bhd	  	#	  	Malaysia	
CID002859	 	Tin	  	Gejiu Jinye Mineral Company	  	*	  	China	
CID002870	 	Tin	  	PT Lautan Harmonis Sejahtera	  	*	  	Indonesia	
CID000004	 	Tungsten	  	A.L.M.T. TUNGSTEN Corp.	  	*	  	Japan	
CID000105	 	Tungsten	  	Kennametal Huntsville	  	*	  	United States	
CID000218	 	Tungsten	  	Guangdong Xianglu Tungsten Co., Ltd.	  	*	  	China	
CID000258	 	Tungsten	  	Chongyi Zhangyuan Tungsten Co., Ltd.	  	*	  	China	
CID000345	 	Tungsten	  	Dayu Weiliang Tungsten Co., Ltd.	  		  	China	
CID000499	 	Tungsten	  	Fujian Jinxin Tungsten Co., Ltd.	  	*	  	China	
CID000568	 	Tungsten	  	Global Tungsten & Powders Corp.	  	*	  	United States	
CID000766	 	Tungsten	  	Hunan Chenzhou Mining Co., Ltd.	  	*	  	China	
CID000769	 	Tungsten	  	Hunan Chunchang Nonferrous Metals Co., Ltd.	  	*	  	China	
CID000825	 	Tungsten	  	Japan New Metals Co., Ltd.	  	*	  	Japan	
CID000875	 	Tungsten	  	Ganzhou Huaxing Tungsten Products Co., Ltd.	  	*	  	China	
CID000966	 	Tungsten	  	Kennametal Fallon	  	*	  	United States	
CID001889	 	Tungsten	  	Tejing (Vietnam) Tungsten Co., Ltd.	  	*	  	Vietnam	
CID002011	 	Tungsten	  	Vietnam Youngsun Tungsten Industry Co., Ltd.	  	*	  	Vietnam	
CID002044	 	Tungsten	  	Wolfram Bergbau und Hütten AG	  	*	  	Austria	
CID002082	 	Tungsten	  	Xiamen Tungsten Co., Ltd.	  	*	  	China	

									
CID002095	 	Tungsten	  	Xinhai Rendan Shaoguan Tungsten Co., Ltd.	  	*	  	China	
CID002313	 	Tungsten	  	Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.	  		  	China	
CID002315	 	Tungsten	  	Ganzhou Jiangwu Ferrotungsten Co., Ltd.	  	*	  	China	
CID002316	 	Tungsten	  	Jiangxi Yaosheng Tungsten Co., Ltd.	  	*	  	China	
CID002317	 	Tungsten	  	Jiangxi Xinsheng Tungsten Industry Co., Ltd.	  	*	  	China	
CID002318	 	Tungsten	  	Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.	  	*	  	China	
CID002319	 	Tungsten	  	Malipo Haiyu Tungsten Co., Ltd.	  	*	  	China	
CID002320	 	Tungsten	  	Xiamen Tungsten (H.C.) Co., Ltd.	  	*	  	China	
CID002321	 	Tungsten	  	Jiangxi Gan Bei Tungsten Co., Ltd.	  	*	  	China	
CID002494	 	Tungsten	  	Ganzhou Seadragon W & Mo Co., Ltd.	  	*	  	China	
CID002502	 	Tungsten	  	Asia Tungsten Products Vietnam Ltd.	  	*	  	Vietnam	
CID002513	 	Tungsten	  	Chenzhou Diamond Tungsten Products Co., Ltd.	  	*	  	China	
CID002535	 	Tungsten	  	Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.	  	*	  	China	
CID002536	 	Tungsten	  	Ganzhou Yatai Tungsten Co., Ltd.	  		  	China	
CID002541	 	Tungsten	  	H.C. Starck GmbH	  	*	  	Germany	
CID002542	 	Tungsten	  	H.C. Starck Smelting GmbH & Co.KG	  	*	  	Germany	
CID002543	 	Tungsten	  	Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC	  	*	  	Vietnam	
CID002551	 	Tungsten	  	Jiangwu H.C. Starck Tungsten Products Co., Ltd.	  	*	  	China	
CID002579	 	Tungsten	  	Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji	  	*	  	China	
CID002589	 	Tungsten	  	Niagara Refining LLC	  	*	  	United States	
CID002645	 	Tungsten	  	Ganzhou Haichuang Tungsten Industry Co., Ltd.	  	#	  	China	
CID002647	 	Tungsten	  	Jiangxi Dayu Longxintai Tungsten Co., Ltd.	  		  	China	
CID002649	 	Tungsten	  	Hydrometallurg, JSC	  	*	  	Russian Federation	
CID002724	 	Tungsten	  	Unecha Refractory metals plant	  	*	  	Russian Federation	
CID002815	 	Tungsten	  	South-East Nonferrous Metal Company Limited of Hengyang City	  	*	  	China	
CID002827	 	Tungsten	  	Philippine Chuangxin Industrial Co., Inc.	  	*	  	Philippines	
CID002830	 	Tungsten	  	Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.	  	*	  	China	
CID002833	 	Tungsten	  	ACL Metais Eireli	  	#	  	Brazil	
CID002843	 	Tungsten	  	Woltech Korea Co., Ltd.	  	*	  	Korea (Republic Of)	
CID002845	 	Tungsten	  	Moliren Ltd	  	*	  	Russian Federation	
Schedule 2
This Schedule 2 contains a list of Countries of Origin believed to be associated with the Conflict Free Sourcing Initiative smelters listed in Schedule 1.
Australia, Austria, Benin, Bolivia (Plurinational State of), Brazil, Burkina Faso, Burundi, Cambodia, Canada, Chile, China, Colombia, DRC, Ecuador, Eritrea, Ethiopia, France, Ghana, Guatemala, Guinea, Guyana, Honduras, India, Indonesia, Japan, Laos, Madagascar, Malaysia, Mali, Mexico, Mongolia, Mozambique, Myanmar, Namibia, Nicaragua, Nigeria, Panama, Peru, Portugal, Russia, Rwanda, Senegal, Sierra Leone, South Africa, Spain, Thailand, Togo, Uganda, United States of America, Uzbekistan, Vietnam, and Zimbabwe.