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Section 1: SD (SD)

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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
-------------------
FORM SD
Specialized Disclosure Report
ROPER TECHNOLOGIES, INC.
(Exact name of Registrant as specified in its charter)
-------------------
Delaware
(STATE OR OTHER JURISDICTION OF INCORPORATION)
1-1227351-0263969
  
  
(COMMISSION FILE NUMBER)(IRS EMPLOYER IDENTIFICATION NO.)
  
6901 Professional Pkway. East, Suite 200
Sarasota,Florida34240
  
(ADDRESS OF PRINCIPAL EXECUTIVE OFFICES)(ZIP CODE)

John K. Stipancich Executive Vice President, General Counsel and Secretary
(941) 556-2601
(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 240.13.p-1) for the reporting period from January 1 to December 31, 2019



Section 1 – Conflict Minerals Disclosure

Item 1.01 Conflict Minerals Disclosure and Report

Conflict Minerals are defined by the Security and Exchange Commission (“SEC”) as cassiterite, columbite-tantalite (coltan), wolframite and gold, and their derivatives, which are limited to tin, tantalum and tungsten (collectively “3TG”). Roper Technologies, Inc. (“Roper”, the “Company”, “we”, “our” or “us”) evaluated its product lines and determined that certain products we manufacture contain 3TG necessary to the functionality or production of those products.

Company level surveys were initiated with relevant direct suppliers providing parts and materials for products we manufactured or contracted to manufacture during the 2019 reporting period to begin the reasonable country of origin inquiry (“RCOI”). The Responsible Minerals Initiative’s (“RMI”) Conflict Minerals Reporting Template was utilized as the basis for the RCOI.

Based on the RCOI, we determined that a portion of the 3TG reported by our affected direct suppliers originated, or may have originated, from the Democratic Republic of the Congo or an adjoining country, may not be from recycled or scrap sources, and that a portion of them have unknown origins. Therefore, we were required to exercise due diligence on the 3TG source and chain of custody following a nationally or internationally recognized due diligence framework. These details are provided in our Conflict Minerals Report, a copy of which is filed as Exhibit 1.01 hereto and incorporated herein by reference.

Item 1.02 Exhibit

Our Conflict Minerals Report is filed as Exhibit 1.01 hereto and is publicly available at www.ropertech.com.

The content on, or accessible through, any website referred to in this Form SD or our Conflict Minerals Report is included for general information only and is not incorporated by reference into this Form SD or our Conflict Minerals Report.
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Section 2 - Exhibits

Item 2.01 Exhibits

Exhibit 1.01 – Conflict Minerals Report as required by Items 1.01 and 1.02 of this Form SD.


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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 undersigned hereunto duly authorized.
   Roper Technologies, Inc.   
   (Registrant)   
       
  BY:/S/ Robert C. Crisci Date:May 28, 2020
   Robert C. Crisci,
Executive Vice President and Chief Financial Officer
   
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Section 2: EX-1.01 (EX-1.01)

Document




Exhibit 1.01
ROPER TECHNOLOGIES, INC.
Conflict Minerals Report
For the Year Ended December 31, 2019

This report for the year ended December 31, 2019 is presented to comply with Rule 13p-1 under the Securities Exchange Act of 1934 (“Exchange Act”).

I. OUR BUSINESS

Roper Technologies, Inc. (“Roper,” the “Company,” “we,” “our” or “us”) is a diversified technology company. We operate businesses that design and develop software (both license and Software-as-a-Service (“SaaS”)) and engineered products and solutions for a variety of niche end markets.

Our Products

Below is a description of our businesses and products which may contain necessary conflict minerals.

Application Software

Aderant - provides comprehensive management software solutions for law and other professional services firms, including business development, calendar/docket matter management, time and billing and case management.

CBORD - provides campus solutions software including access and cashless systems and food and nutrition service management serving primarily higher education and healthcare markets.

CliniSys - provides laboratory information management software solutions.

Data Innovations - provides software solutions that enable enterprise management of hospitals and independent laboratories.

Deltek - provides enterprise software and information solutions for government contractors, professional services firms and other project-based businesses.

Horizon - provides software, services, and technologies for foodservice operations–specializing in K-12.

IntelliTrans - provides transportation management software and services to bulk and break-bulk commodity producers.

PowerPlan - provides financial and compliance management software and solutions to large complex companies in asset-intensive industries.

Strata - provides cloud-based financial analytics and performance management software that is used by healthcare providers for financial planning, decision support and continuous cost improvement.

Sunquest - provides diagnostic and laboratory information systems to health care providers worldwide.

Network Software & Systems

ConstructConnect - provides cloud-based data, collaboration and estimating automation software solutions to a network of pre-construction contractors.

DAT - provides electronic marketplaces that connect available capacity of trucking units with the available loads of freight throughout North America.

Foundry - provides software technologies used to deliver visual effects and 3D content for the entertainment and digital design industries.

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Exhibit 1.01
Inovonics - provides high performance wireless sensor network and solutions for a variety of applications.

iPipeline - provides cloud-based software solutions for the life insurance and financial services industries.

iTradeNetwork - provides electronic marketplaces and supply chain software that connect food suppliers, distributors and vendors, primarily in the perishable food sector.

Link Logistics - provides electronic marketplaces that connect available capacity of trucking units with the available loads of freight throughout Canada.

MHA - provides health care service and software solutions to alternate site health care markets.

RF IDeas - provides RFID card readers used in numerous identity access management applications across a variety of vertical markets.

SHP - provides data analytics and benchmarking information for the post-acute healthcare provider marketplace.

SoftWriters - provides software solutions to pharmacies that primarily serve the long term care marketplace.

TransCore - provides toll systems and toll products, transaction and violation processing services, and intelligent traffic systems to governmental and private sector entities.

Measurement & Analytical Solutions

Alpha - provides precision rubber and polymer testing instruments, and data analysis software.

CIVCO Medical Solutions - provides accessories focused on guidance and infection control for ultrasound procedures.

CIVCO Radiotherapy - provides radiotherapy solutions, including patient positioning and immobilization devices, and patient care products.

Dynisco - provides solutions for testing and analyzing plastics used in a variety of end markets.

FMI - provides dispensers and metering pumps which are utilized in a broad range of applications requiring precision fluid control.

Hansen - provides control valves for large industrial refrigeration systems.

Hardy - provides precision weighing equipment for process and packaging for a variety of industries including food processing, automated manufacturing, chemical, plastics, and rubber.

IPA - provides automated surgical scrub and linen dispensing equipment for healthcare providers.

Logitech - provides equipment and consumables used for sample preparation and material analysis used primarily in the semiconductor geological science industries.

Neptune - provides water meters, enabling water utilities to remotely monitor their customers utilizing Automatic Meter Reading (AMR) and Advanced Metering Infrastructure (AMI) technologies.

Northern Digital - provides optical and electromagnetic precision measurement systems for medical and industrial applications.

Struers - provides equipment and consumables for sample preparation and testing of solid materials used across a variety of end markets.

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Exhibit 1.01
Technolog - provides products and services to water and gas utilities, used for network monitoring, pressure control, and remote meter reading.

Uson - provides automated leak detection equipment for a variety of end markets, including automotive, medical device, pharmaceutical, and general industrial.

Verathon - provides medical devices that enable airway management and bladder volume measurement solutions for healthcare providers.

Process Technologies

AMOT - provides temperature control and emergency shutoff valves used by customers in the energy and general industrial end markets.

CCC - provides turbomachinery control hardware, software, and services for customers across the upstream, midstream, and downstream energy markets.

Cornell - provides specialized pumps used across a variety of end markets, including agriculture, energy, food processing, mining, waste water processing, and general industrial.

FTI - provides flow meter calibrators, and controllers used primarily in the aerospace, automotive, energy, and general industrial end markets.

Metrix - provides vibration monitoring systems and controls across a variety of end markets.

PAC - provides analytical instruments used by energy refineries and laboratories.

Roper Pump - provides specialty pumps and drilling power sections used by customers in the energy, general industrial, and transportation end markets.

Viatran - provides pressure and level sensors for energy and general industrial end markets.

Zetec - provides non-destructive testing equipment and solutions used primarily in the power generation and other industrial end markets.

II. REASONABLE COUNTRY OF ORIGIN INQUIRY (“RCOI”)

Roper conducted a reasonable country of origin inquiry (“RCOI”) in good faith to determine whether any tin, tantalum, tungsten or gold (collectively, “3TG”) in its products originated from the Democratic Republic of the Congo or an adjoining country (collectively, “Covered Counties”). Based on its RCOI, Roper believes certain products contain 3TGs that may have originated from the Covered Countries and, therefore, performed additional due diligence on the source and chain of custody of the 3TGs in question.

RCOI Design and Implementation
Our RCOI has been designed to conform in all material respects with the internationally recognized due diligence framework of the Organisation for Economic Co-operation and Development (“OECD”) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (“OECD Guidance”) as applicable for 3TG and downstream companies.

OECD Step 1 – Establish strong company management systems

Roper Policies – Roper has adopted and communicated company-wide policies and expectations relating to responsible sourcing and supplier practices. Our Conflict Minerals Policy, Supplier Code of Conduct, and Purchase Order Terms and Conditions are publicly available on our website, www.ropertech.com. The Conflict Minerals Policy specifically requires suppliers to adopt and implement policies, due diligence frameworks and management systems to support responsible minerals sourcing consistent with the OECD Guidance.
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Exhibit 1.01

Internal Management Structure - Roper maintains an internal team to manage due diligence efforts for the conflict minerals program. The team is comprised of functional areas including engineering, supply chain, and procurement personnel from each of our relevant operating businesses. The team is led by a global program manager who provides guidance related to plan development, implementation, risk evaluation and potential mitigation measures, and preparation of reporting documentation. The global program manager reports directly to Roper’s Vice President and Chief Compliance Officer. Program effectiveness and due diligence are reported to Roper’s Executive Vice President and Chief Financial Officer and Executive Vice President, General Counsel and Secretary.
We supplement internal resources with a third-party service provider to assist with evaluating supply chain information regarding 3TGs, identifying potential risks, and the development and implementation of additional supplier communications, capacity building and appropriate due diligence measures.

Supply Chain Controls, Transparency and Traceability – The OECD Guidance specifies the requirements for compliance to reflect a company’s position in the supply chain. In particular, the OECD Guidance states that the implementation of due diligence be tailored to a company’s activities and relationships and that the nature and extent of due diligence may vary based on a company’s size, products, relationships with suppliers and other factors. Due to practical difficulties associated with supply chain size and complexities, the OECD Guidance advises that downstream companies exercise due diligence primarily by establishing controls over their relevant first-tier suppliers. Accordingly, we rely on our relevant direct suppliers to provide information with respect to the origin of the conflict minerals contained in the components and materials supplied to us. Roper’s Conflict Minerals Policy, Supplier Code of Conduct, and Purchase Order Terms and Conditions include a provision for responsible sourcing of conflict minerals and due diligence requirements. These policies apply to all first-tier suppliers and outline required behaviors, practices, and expectations.

We enhance our leverage by contributing to industry efforts to address conflict minerals and responsible minerals sourcing through our membership and involvement in the Responsible Minerals Initiative’s (“RMI”) Responsible Minerals Assurance Process (“RMAP”). We also utilize RMI’s Conflict Minerals Reporting Template (“CMRT”) and member-only resources to engage and request information from our relevant suppliers regarding their supply chain due diligence practices and identification of upstream actors through surveys of their supply chain. The information submitted by our suppliers includes information about the smelters and refiners identified in their own supply chains. Documentation is maintained for a minimum of five years.

Supplier Engagement – Roper requires compliance with our Conflict Minerals Policy, Supplier Code of Conduct, and terms and conditions of our purchase orders and purchase agreements, as well as surveys and due diligence activities to identify upstream smelters and refiners. We further communicate these expectations and capacity building resources to our suppliers through our annual survey process.

We utilize a third-party SaaS platform for our annual survey that enables us to complete and track supplier communications as well as allow our suppliers to upload completed CMRTs directly to the platform for assessment and management. A link to training resources is included to guide suppliers on best practices and the use of the CMRT.

Grievance Mechanism – The RMI, of which we are a member, maintains an external Grievance and Complaints Mechanism for use by smelters, refiners, and other external stakeholders regarding the initiative itself, the audit program and protocols, related smelter and refinery operations, audit quality and auditor competencies, mineral supply chains and upstream and downstream initiatives. RMI partner initiatives with the London Bullion Market Association and the Responsible Jewelry Council also maintain public grievance mechanisms for the gold supply chain.

OECD Step 2 – Identify and assess risks in the supply chain

Roper businesses are downstream and far removed from mineral processing facilities, therefore, we engage with other industry peers through the RMI to support our efforts to identify and assess supply chain risks. Our businesses begin the process by identifying their relevant suppliers that furnish products, parts, or components that contain 3TG. Identified suppliers are then included in our annual survey and educational outreach.

Our third-party survey tool requests relevant suppliers complete RMI’s CMRT to confirm any 3TG, identify potential smelters and refiners, and gather due diligence information on the relevant supply chains of our businesses. Our suppliers
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Exhibit 1.01
are expected to obtain this same information from their suppliers continuing back through multiple tiers of the supply chain to identify upstream smelters and refiners.

Supplier representations are reviewed against expectations for management systems and due diligence. Date validation is performed to increase the accuracy of submissions and identify any contradictory answers in the CMRT. All forms submitted are classified as valid or invalid. Follow up emails or calls are made to nonresponsive suppliers, those with inaccurate responses, and those identifying smelters or refiners of concern to provide additional guidance on how to correct validation errors and facilitate the removal of high risk processing facilities from the supply chain.

The 3TG smelters and refiners identified in the RCOI are reviewed and validated against the RMI member only risk information, RMI Compliant and Active Smelter Lists, the London Bullion Market Association Responsible Gold Refiner List, and the Responsible Jewelry Council Chain-of-Custody List of Certified Entities. This process enables audits and spot checks of processing facilities and provides additional supply chain due diligence support, including mine of origin and transit route information. Roper may also use publicly available information or industry reports obtained from our third-party service providers if available.

III. DUE DILIGENCE MEASURES

Due Diligence Design
Roper’s due diligence measures, like our RCOI measures, have been designed to conform in all material respects with the framework in the OECD Guidance, as applicable for 3TG and downstream companies. Our RCOI design includes OECD Steps one and two, whereas, our Due Diligence design completes the five-step framework with OECD Steps three, four and five.

Due Diligence Performed
Our due diligence measures performed are described below according to the relative OECD Guidance Steps.

OECD Step 3 – Design and implement a strategy to respond to identified risks

Roper continues its membership and participation in the RMI due to the downstream position of our businesses and their limited insight into and leverage over the supply chain. We leverage the many resources of the RMI, its working groups and details of the RMAP audits, including the London Bullion Market Association and Responsible Jewelry Council validation schemes, to verify smelter and refinery practices, verify those that are conflict free, and identify risks and appropriate mitigation strategies.

Our operating businesses engage suppliers to encourage and facilitate the change or removal of high-risk processing facilities from the supply chain. Escalated supplier responses are evaluated on a case-by-case basis by the global program manager with the respective business. Roper has designed and implemented a strategy to respond to identified risks at the operating business level ranging from continued procurement to disengagement. The global program manager reports the smelter and refinery list, risk assessment, supplier engagement progress and findings to executive management.

OECD Step 4 – Carry out independent third-party audit of smelter/refiner’s due diligence practices

Due to our diverse businesses and supply chain size, the company level representations of our suppliers report a substantial proportion of the total smelter and refinery population. Therefore, we leverage our membership participation with the RMI to encourage all smelters and refiners participate in an audit program.
The data on which we relied for certain statements in this declaration was obtained through publicly available and RMI member-only audit information and RCOI/country of origin (“COO”) report.

OECD Step 5 – Report of supply chain due diligence

As required under Section 13(p) of the Exchange Act, Roper reports annually by filing a Form SD, which includes this Conflict Minerals Report. The filing is made public on Roper’s website, www.ropertech.com, once that filing has occurred.

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Exhibit 1.01
An independent private sector audit of our Conflict Minerals Report is not required because Roper does not voluntarily label its products as being “DRC conflict free” as that term is defined in Form SD.

IV. DUE DILIGENCE RESULTS

Processing Facilities
Company level supplier responses to our annual survey identified 307 recognized smelter and refinery processing facilities. We are not able to identify which smelters or refiners processed the 3TGs contained in our products since the CMRTs received were declared on a company or division level basis rather than on a product-level basis. This means that suppliers provided information on their entire product line containing 3TG, not just the products furnished to our operating businesses.

The following is a summary of the 2019 reporting year due diligence results as compared to the previous reporting year:
Reporting Year 2018 2019
Smelters/Refiners Identified: 322 307
Audited/RMAP Conformant: 255 235
Active/Participating: * 9 7
Not Conformant or Active: 58 65

*Active/Participating means the smelter or refiner has committed to undergo a RMAP audit or is participating in one of the cross-recognized audit programs: London Bullion Market Association Responsible Gold Certification or Responsible Jewelry Council Chain-of-Custody Certification.

The complete list of smelter and refinery processing facilities identified by company level supplier responses in our RCOI is presented in Annex I of this Conflict Minerals Report.

Countries of Origin
The COO for minerals of the processing facilities noted in Annex I is summarized below, per the RMAP member only RCOI audit information for conformant smelters and refiners.
GoldTantalumTinTungstenTOTAL
Smelters known to source from the Covered Countries092213
Smelters known to source outside the Covered Countries35284341147
Smelters disclosing COO to auditors only7200072

V. CONCLUSION

Based on our due diligence, we found with respect to our products identified above, the information we gathered failed to provide clarity with respect to the origin and chain of custody of the conflict minerals contained in the products, nor did the data reveal whether or not the conflict minerals contained in the products directly or indirectly financed conflict in the Covered Countries.

Steps to Improve Risk Mitigation

Since the period covered by this Conflict Minerals Report, we continue to mitigate risk and improve our overall due diligence as follows:

- continue to communicate our Conflict Minerals Policy, Supplier Code of Conduct, and terms and  
conditions of our purchase orders and purchase agreements and other related expectations to
suppliers;
- continue to perform annual inquiries of relevant suppliers utilizing the RMI’s CMRT;
- continue to engage with suppliers that provided incomplete responses, failed to respond, or 
reported high risk smelters and refiners;
- continue to provide training and educational resource links to our suppliers through the annual
survey process;
- continue to review our processes to improve suppliers’ effectiveness; and
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Exhibit 1.01
- continue our membership in the RMI, participation in working groups, and support of the RMAP     
industry initiative to support responsible supply chains.

Information About Forward-Looking Statements

This Conflict Minerals Report and related Form SD include and incorporate by reference “forward-looking statements” within the meaning of the federal securities laws. All statements that are not historical facts are “forward-looking statements.” Forward-looking statements may be indicated by words or phrases such as “anticipate,” “estimate,” “plans,” “expects,” “projects,” “should,” “will,” “believes” or “intends” and similar words and phrases. These statements reflect management’s current beliefs and are not guarantees of future performance. They involve risks and uncertainties that could cause actual results to differ materially from those expressed or implied in any forward-looking statement, including, but not limited to, (i) failure to carry out these steps in a timely manner or at all, (ii) lack of cooperation or progress by our suppliers, their respective suppliers and smelters, (iii) lack of progress by smelter or refiner validation programs for conflict minerals (including the possibility of inaccurate information, fraud and other irregularities), or (iv) these steps may not be effective in mitigating or eliminating risks associated with conflict minerals. In addition, you should also consider the important factors described in reports and other documents we file from time to time with the Securities and Exchange Commission (“SEC”), including the risk factors described in our most recently filed Annual Report on Form 10-K and Quarterly Reports on Form 10-Q filed with the SEC.

We believe these forward-looking statements are reasonable. However, you should not place undue reliance on any forward-looking statements, which are based on current expectations. Further, forward-looking statements speak only as of the date they are made, and we undertake no obligation to publicly update any of them in light of new information or future events, except as required by law.
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Annex I
ROPER TECHNOLOGIES, INC.
Conflict Minerals Report – Annex I
For the Year Ended December 31, 2019

MetalStandard Smelter NameSmelter Facility LocationSmelter ID
Gold8853 S.p.A.ITALYCID002763
GoldAbington Reldan Metals, LLCUNITED STATES OF AMERICACID002708
GoldAdvanced Chemical CompanyUNITED STATES OF AMERICACID000015
GoldAfrican Gold RefineryUGANDACID003185
GoldAida Chemical Industries Co., Ltd.JAPANCID000019
GoldAl Etihad Gold Refinery DMCCUNITED ARAB EMIRATESCID002560
GoldAllgemeine Gold-und Silberscheideanstalt A.G.GERMANYCID000035
GoldAlmalyk Mining and Metallurgical Complex (AMMC)UZBEKISTANCID000041
GoldAngloGold Ashanti Corrego do Sitio MineracaoBRAZILCID000058
GoldArgor-Heraeus S.A.SWITZERLANDCID000077
GoldAsahi Pretec Corp.JAPANCID000082
GoldAsahi Refining Canada Ltd.CANADACID000924
GoldAsahi Refining USA Inc.UNITED STATES OF AMERICACID000920
GoldAsaka Riken Co., Ltd.JAPANCID000090
GoldAtasay Kuyumculuk Sanayi Ve Ticaret A.S.TURKEYCID000103
GoldAU Traders and RefinersSOUTH AFRICACID002850
GoldAurubis AGGERMANYCID000113
GoldBangalore RefineryINDIACID002863
GoldBangko Sentral ng Pilipinas (Central Bank of the Philippines)PHILIPPINESCID000128
GoldBoliden ABSWEDENCID000157
GoldC. Hafner GmbH + Co. KGGERMANYCID000176
GoldC.I Metales Procesados Industriales SASCOLOMBIACID003421
GoldCaridadMEXICOCID000180
GoldCCR Refinery - Glencore Canada CorporationCANADACID000185
GoldCendres + Metaux S.A.SWITZERLANDCID000189
GoldCGR Metalloys Pvt Ltd.INDIACID003382
GoldChimet S.p.A.ITALYCID000233
GoldChugai MiningJAPANCID000264
GoldDaye Non-Ferrous Metals Mining Ltd.CHINACID000343
GoldDegussa Sonne / Mond Goldhandel GmbHGERMANYCID002867
GoldDijllah Gold Refinery FZCUNITED ARAB EMIRATESCID003348
GoldDODUCO Contacts and Refining GmbHGERMANYCID000362
GoldDowaJAPANCID000401
GoldDS PRETECH Co., Ltd.KOREA, REPUBLIC OFCID003195
GoldDSC (Do Sung Corporation)KOREA, REPUBLIC OFCID000359
GoldEco-System Recycling Co., Ltd. East PlantJAPANCID000425
GoldEco-System Recycling Co., Ltd. North PlantJAPANCID003424
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Annex I
GoldEco-System Recycling Co., Ltd. West PlantJAPANCID003425
GoldEmirates Gold DMCCUNITED ARAB EMIRATESCID002561
GoldFidelity Printers and Refiners Ltd.ZIMBABWECID002515
GoldFujairah Gold FZCUNITED ARAB EMIRATESCID002584
GoldGCC Gujrat Gold Centre Pvt. Ltd.INDIACID002852
GoldGeib Refining CorporationUNITED STATES OF AMERICACID002459
GoldGold Coast RefineryGHANACID003186
GoldGold Refinery of Zijin Mining Group Co., Ltd.CHINACID002243
GoldGreat Wall Precious Metals Co., Ltd. of CBPMCHINACID001909
GoldGuangdong Jinding Gold LimitedCHINACID002312
GoldGuoda Safina High-Tech Environmental Refinery Co., Ltd.CHINACID000651
GoldHangzhou Fuchunjiang Smelting Co., Ltd.CHINACID000671
GoldHeimerle + Meule GmbHGERMANYCID000694
GoldHeraeus Metals Hong Kong Ltd.CHINACID000707
GoldHeraeus Precious Metals GmbH & Co. KGGERMANYCID000711
GoldHunan Chenzhou Mining Co., Ltd.CHINACID000767
GoldHunan Guiyang yinxing Nonferrous Smelting Co., Ltd.CHINACID000773
GoldHwaSeong CJ CO., LTD.KOREA, REPUBLIC OFCID000778
GoldInner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.CHINACID000801
GoldInternational Precious Metal RefinersUNITED ARAB EMIRATESCID002562
GoldIshifuku Metal Industry Co., Ltd.JAPANCID000807
GoldIstanbul Gold RefineryTURKEYCID000814
GoldItalpreziosiITALYCID002765
GoldJALAN & CompanyINDIACID002893
GoldJapan MintJAPANCID000823
GoldJiangxi Copper Co., Ltd.CHINACID000855
GoldJSC Ekaterinburg Non-Ferrous Metal Processing PlantRUSSIAN FEDERATIONCID000927
GoldJSC UralelectromedRUSSIAN FEDERATIONCID000929
GoldJX Nippon Mining & Metals Co., Ltd.JAPANCID000937
GoldKaloti Precious MetalsUNITED ARAB EMIRATESCID002563
GoldKazakhmys Smelting LLCKAZAKHSTANCID000956
GoldKazzincKAZAKHSTANCID000957
GoldKennecott Utah Copper LLCUNITED STATES OF AMERICACID000969
GoldKGHM Polska Miedz Spolka AkcyjnaPOLANDCID002511
GoldKojima Chemicals Co., Ltd.JAPANCID000981
GoldKorea Zinc Co., Ltd.KOREA, REPUBLIC OFCID002605
GoldKundan Care Products Ltd.INDIACID003463
GoldKyrgyzaltyn JSCKYRGYZSTANCID001029
GoldKyshtym Copper-Electrolytic Plant ZAORUSSIAN FEDERATIONCID002865
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Annex I
GoldL'azurde Company For JewelrySAUDI ARABIACID001032
GoldLingbao Gold Co., Ltd.CHINACID001056
GoldLingbao Jinyuan Tonghui Refinery Co., Ltd.CHINACID001058
GoldL'Orfebre S.A.ANDORRACID002762
GoldLS-NIKKO Copper Inc.KOREA, REPUBLIC OFCID001078
GoldLT Metal Ltd.KOREA, REPUBLIC OFCID000689
GoldLuoyang Zijin Yinhui Gold Refinery Co., Ltd.CHINACID001093
GoldMarsam MetalsBRAZILCID002606
GoldMaterionUNITED STATES OF AMERICACID001113
GoldMatsuda Sangyo Co., Ltd.JAPANCID001119
GoldMetalor Technologies (Hong Kong) Ltd.CHINACID001149
GoldMetalor Technologies (Singapore) Pte., Ltd.SINGAPORECID001152
GoldMetalor Technologies (Suzhou) Ltd.CHINACID001147
GoldMetalor Technologies S.A.SWITZERLANDCID001153
GoldMetalor USA Refining CorporationUNITED STATES OF AMERICACID001157
GoldMetalurgica Met-Mex Penoles S.A. De C.V.MEXICOCID001161
GoldMitsubishi Materials CorporationJAPANCID001188
GoldMitsui Mining and Smelting Co., Ltd.JAPANCID001193
GoldMMTC-PAMP India Pvt., Ltd.INDIACID002509
GoldModeltech Sdn BhdMALAYSIACID002857
GoldMorris and WatsonNEW ZEALANDCID002282
GoldMoscow Special Alloys Processing PlantRUSSIAN FEDERATIONCID001204
GoldNadir Metal Rafineri San. Ve Tic. A.S.TURKEYCID001220
GoldNavoi Mining and Metallurgical CombinatUZBEKISTANCID001236
GoldNH Recytech CompanyKOREA, REPUBLIC OFCID003189
GoldNihon Material Co., Ltd.JAPANCID001259
GoldOgussa Osterreichische Gold- und Silber-Scheideanstalt GmbHAUSTRIACID002779
GoldOhura Precious Metal Industry Co., Ltd.JAPANCID001325
GoldOJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)RUSSIAN FEDERATIONCID001326
GoldOJSC Novosibirsk RefineryRUSSIAN FEDERATIONCID000493
GoldPAMP S.A.SWITZERLANDCID001352
GoldPease & CurrenUNITED STATES OF AMERICACID002872
GoldPenglai Penggang Gold Industry Co., Ltd.CHINACID001362
GoldPlanta Recuperadora de Metales SpACHILECID002919
GoldPrioksky Plant of Non-Ferrous MetalsRUSSIAN FEDERATIONCID001386
GoldPT Aneka Tambang (Persero) TbkINDONESIACID001397
GoldPX Precinox S.A.SWITZERLANDCID001498
GoldQG Refining, LLCUNITED STATES OF AMERICACID003324
GoldRand Refinery (Pty) Ltd.SOUTH AFRICACID001512
GoldRefinery of Seemine Gold Co., Ltd.CHINACID000522
GoldREMONDIS PMR B.V.NETHERLANDSCID002582
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Annex I
GoldRoyal Canadian MintCANADACID001534
GoldSAAMPFRANCECID002761
GoldSabin Metal Corp.UNITED STATES OF AMERICACID001546
GoldSafimet S.p.AITALYCID002973
GoldSAFINA A.S.CZECH REPUBLICCID002290
GoldSai RefineryINDIACID002853
GoldSamduck Precious MetalsKOREA, REPUBLIC OFCID001555
GoldSamwon Metals Corp.KOREA, REPUBLIC OFCID001562
GoldSAXONIA Edelmetalle GmbHGERMANYCID002777
GoldSEMPSA Joyeria Plateria S.A.SPAINCID001585
GoldShandong Humon Smelting Co., Ltd.CHINACID002525
GoldShandong Tiancheng Biological Gold Industrial Co., Ltd.CHINACID001619
GoldShandong Zhaojin Gold & Silver Refinery Co., Ltd.CHINACID001622
GoldShirpur Gold Refinery Ltd.INDIACID002588
GoldSichuan Tianze Precious Metals Co., Ltd.CHINACID001736
GoldSingway Technology Co., Ltd.TAIWAN, PROVINCE OF CHINACID002516
GoldSOE Shyolkovsky Factory of Secondary Precious MetalsRUSSIAN FEDERATIONCID001756
GoldSolar Applied Materials Technology Corp.TAIWAN, PROVINCE OF CHINACID001761
GoldSovereign MetalsINDIACID003383
GoldState Research Institute Center for Physical Sciences and TechnologyLITHUANIACID003153
GoldSudan Gold RefinerySUDANCID002567
GoldSumitomo Metal Mining Co., Ltd.JAPANCID001798
GoldSungEel HiMetal Co., Ltd.KOREA, REPUBLIC OFCID002918
GoldT.C.A S.p.AITALYCID002580
GoldTanaka Kikinzoku Kogyo K.K.JAPANCID001875
GoldThe Refinery of Shandong Gold Mining Co., Ltd.CHINACID001916
GoldTokuriki Honten Co., Ltd.JAPANCID001938
GoldTongling Nonferrous Metals Group Co., Ltd.CHINACID001947
GoldTony Goetz NVBELGIUMCID002587
GoldTOO Tau-Ken-AltynKAZAKHSTANCID002615
GoldTorecomKOREA, REPUBLIC OFCID001955
GoldUmicore Brasil Ltda.BRAZILCID001977
GoldUmicore Precious Metals ThailandTHAILANDCID002314
GoldUmicore S.A. Business Unit Precious Metals RefiningBELGIUMCID001980
GoldUnited Precious Metal Refining, Inc.UNITED STATES OF AMERICACID001993
GoldValcambi S.A.SWITZERLANDCID002003
GoldWestern Australian Mint (T/a The Perth Mint)AUSTRALIACID002030
GoldWIELAND Edelmetalle GmbHGERMANYCID002778
GoldYamakin Co., Ltd.JAPANCID002100
11




Annex I
GoldYokohama Metal Co., Ltd.JAPANCID002129
GoldYunnan Copper Industry Co., Ltd.CHINACID000197
GoldZhongyuan Gold Smelter of Zhongjin Gold CorporationCHINACID002224
TantalumAsaka Riken Co., Ltd.JAPANCID000092
TantalumChangsha South Tantalum Niobium Co., Ltd.CHINACID000211
TantalumCP Metals Inc.UNITED STATES OF AMERICACID003402
TantalumD Block Metals, LLCUNITED STATES OF AMERICACID002504
TantalumExotech Inc.UNITED STATES OF AMERICACID000456
TantalumF&X Electro-Materials Ltd.CHINACID000460
TantalumFIR Metals & Resource Ltd.CHINACID002505
TantalumGlobal Advanced Metals AizuJAPANCID002558
TantalumGlobal Advanced Metals BoyertownUNITED STATES OF AMERICACID002557
TantalumGuangdong Zhiyuan New Material Co., Ltd.CHINACID000616
TantalumH.C. Starck Co., Ltd.THAILANDCID002544
TantalumH.C. Starck Hermsdorf GmbHGERMANYCID002547
TantalumH.C. Starck Inc.UNITED STATES OF AMERICACID002548
TantalumH.C. Starck Ltd.JAPANCID002549
TantalumH.C. Starck Smelting GmbH & Co. KGGERMANYCID002550
TantalumH.C. Starck Tantalum and Niobium GmbHGERMANYCID002545
TantalumHengyang King Xing Lifeng New Materials Co., Ltd.CHINACID002492
TantalumJiangxi Dinghai Tantalum & Niobium Co., Ltd.CHINACID002512
TantalumJiangxi Tuohong New Raw MaterialCHINACID002842
TantalumJiuJiang JinXin Nonferrous Metals Co., Ltd.CHINACID000914
TantalumJiujiang Tanbre Co., Ltd.CHINACID000917
TantalumJiujiang Zhongao Tantalum & Niobium Co., Ltd.CHINACID002506
TantalumKEMET Blue MetalsMEXICOCID002539
TantalumLSM Brasil S.A.BRAZILCID001076
TantalumMetallurgical Products India Pvt., Ltd.INDIACID001163
TantalumMineracao Taboca S.A.BRAZILCID001175
TantalumMitsui Mining and Smelting Co., Ltd.JAPANCID001192
TantalumNingxia Orient Tantalum Industry Co., Ltd.CHINACID001277
TantalumNPM Silmet ASESTONIACID001200
TantalumPRG DooelNORTH MACEDONIA, REPUBLIC OFCID002847
TantalumQuantumCleanUNITED STATES OF AMERICACID001508
TantalumResind Industria e Comercio Ltda.BRAZILCID002707
TantalumSolikamsk Magnesium Works OAORUSSIAN FEDERATIONCID001769
TantalumTaki Chemical Co., Ltd.JAPANCID001869
TantalumTelex MetalsUNITED STATES OF AMERICACID001891
TantalumUlba Metallurgical Plant JSCKAZAKHSTANCID001969
TantalumXinXing HaoRong Electronic Material Co., Ltd.CHINACID002508
TantalumYanling Jincheng Tantalum & Niobium Co., Ltd.CHINACID001522
TinAlphaUNITED STATES OF AMERICACID000292
12




Annex I
TinAn Vinh Joint Stock Mineral Processing CompanyVIET NAMCID002703
TinChenzhou Yunxiang Mining and Metallurgy Co., Ltd.CHINACID000228
TinChifeng Dajingzi Tin Industry Co., Ltd.CHINACID003190
TinChina Tin Group Co., Ltd.CHINACID001070
TinDongguan CiEXPO Environmental Engineering Co., Ltd.CHINACID003356
TinDowaJAPANCID000402
TinElectro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock CompanyVIET NAMCID002572
TinEM VintoBOLIVIA (PLURINATIONAL STATE OF)CID000438
TinEstanho de Rondonia S.A.BRAZILCID000448
TinFenix MetalsPOLANDCID000468
TinGejiu City Fuxiang Industry and Trade Co., Ltd.CHINACID003410
TinGejiu Kai Meng Industry and Trade LLCCHINACID000942
TinGejiu Non-Ferrous Metal Processing Co., Ltd.CHINACID000538
TinGejiu Yunxin Nonferrous Electrolysis Co., Ltd.CHINACID001908
TinGejiu Zili Mining And Metallurgy Co., Ltd.CHINACID000555
TinGuangdong Hanhe Non-Ferrous Metal Co., Ltd.CHINACID003116
TinGuanyang Guida Nonferrous Metal Smelting PlantCHINACID002849
TinHuiChang Hill Tin Industry Co., Ltd.CHINACID002844
TinHuichang Jinshunda Tin Co., Ltd.CHINACID000760
TinJiangxi New Nanshan Technology Ltd.CHINACID001231
TinLuna Smelter, Ltd.RWANDACID003387
TinMa'anshan Weitai Tin Co., Ltd.CHINACID003379
TinMagnu's Minerais Metais e Ligas Ltda.BRAZILCID002468
TinMalaysia Smelting Corporation (MSC)MALAYSIACID001105
TinMelt Metais e Ligas S.A.BRAZILCID002500
TinMetallic Resources, Inc.UNITED STATES OF AMERICACID001142
TinMetallo Belgium N.V.BELGIUMCID002773
TinMetallo Spain S.L.U.SPAINCID002774
TinMineracao Taboca S.A.BRAZILCID001173
TinMinsurPERUCID001182
TinMitsubishi Materials CorporationJAPANCID001191
TinModeltech Sdn BhdMALAYSIACID002858
TinNghe Tinh Non-Ferrous Metals Joint Stock CompanyVIET NAMCID002573
TinO.M. Manufacturing (Thailand) Co., Ltd.THAILANDCID001314
TinO.M. Manufacturing Philippines, Inc.PHILIPPINESCID002517
TinOperaciones Metalurgicas S.A.BOLIVIA (PLURINATIONAL STATE OF)CID001337
TinPongpipat Company LimitedMYANMARCID003208
TinPrecious Minerals and Smelting LimitedINDIACID003409
TinPT Artha Cipta LanggengINDONESIACID001399
13




Annex I
TinPT ATD Makmur Mandiri JayaINDONESIACID002503
TinPT Menara Cipta MuliaINDONESIACID002835
TinPT Mitra Stania PrimaINDONESIACID001453
TinPT Refined Bangka TinINDONESIACID001460
TinPT Timah Tbk KundurINDONESIACID001477
TinPT Timah Tbk MentokINDONESIACID001482
TinResind Industria e Comercio Ltda.BRAZILCID002706
TinRui Da HungTAIWAN, PROVINCE OF CHINACID001539
TinSoft Metais Ltda.BRAZILCID001758
TinSuper LigasBRAZILCID002756
TinThai Nguyen Mining and Metallurgy Co., Ltd.VIET NAMCID002834
TinThaisarcoTHAILANDCID001898
TinTin Technology & RefiningUNITED STATES OF AMERICACID003325
TinTuyen Quang Non-Ferrous Metals Joint Stock CompanyVIET NAMCID002574
TinWhite Solder Metalurgia e Mineracao Ltda.BRAZILCID002036
TinYunnan Chengfeng Non-ferrous Metals Co., Ltd.CHINACID002158
TinYunnan Tin Company LimitedCHINACID002180
TinYunnan Yunfan Non-ferrous Metals Co., Ltd.CHINACID003397
TungstenA.L.M.T. Corp.JAPANCID000004
TungstenACL Metais EireliBRAZILCID002833
TungstenAlbasteel Industria e Comercio de Ligas Para Fundicao Ltd.BRAZILCID003427
TungstenAsia Tungsten Products Vietnam Ltd.VIET NAMCID002502
TungstenChenzhou Diamond Tungsten Products Co., Ltd.CHINACID002513
TungstenChina Molybdenum Co., Ltd.CHINACID002641
TungstenChongyi Zhangyuan Tungsten Co., Ltd.CHINACID000258
TungstenCNMC (Guangxi) PGMA Co., Ltd.CHINACID000281
TungstenCP Metals Inc.UNITED STATES OF AMERICACID003448
TungstenFujian Ganmin RareMetal Co., Ltd.CHINACID003401
TungstenFujian Jinxin Tungsten Co., Ltd.CHINACID000499
TungstenGanzhou Haichuang Tungsten Co., Ltd.CHINACID002645
TungstenGanzhou Huaxing Tungsten Products Co., Ltd.CHINACID000875
TungstenGanzhou Jiangwu Ferrotungsten Co., Ltd.CHINACID002315
TungstenGanzhou Seadragon W & Mo Co., Ltd.CHINACID002494
TungstenGEM Co., Ltd.CHINACID003417
TungstenGlobal Tungsten & Powders Corp.UNITED STATES OF AMERICACID000568
TungstenGuangdong Xianglu Tungsten Co., Ltd.CHINACID000218
TungstenH.C. Starck Smelting GmbH & Co. KGGERMANYCID002542
TungstenH.C. Starck Tungsten GmbHGERMANYCID002541
TungstenHunan Chenzhou Mining Co., Ltd.CHINACID000766
TungstenHunan Chuangda Vanadium Tungsten Co., Ltd. WujiCHINACID002579
14




Annex I
TungstenHunan Chunchang Nonferrous Metals Co., Ltd.CHINACID000769
TungstenHunan Litian Tungsten Industry Co., Ltd.CHINACID003182
TungstenHydrometallurg, JSCRUSSIAN FEDERATIONCID002649
TungstenJapan New Metals Co., Ltd.JAPANCID000825
TungstenJiangwu H.C. Starck Tungsten Products Co., Ltd.CHINACID002551
TungstenJiangxi Gan Bei Tungsten Co., Ltd.CHINACID002321
TungstenJiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.CHINACID002313
TungstenJiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.CHINACID002318
TungstenJiangxi Xianglu Tungsten Co., Ltd.CHINACID002647
TungstenJiangxi Xinsheng Tungsten Industry Co., Ltd.CHINACID002317
TungstenJiangxi Yaosheng Tungsten Co., Ltd.CHINACID002316
TungstenJSC "Kirovgrad Hard Alloys Plant"RUSSIAN FEDERATIONCID003408
TungstenKennametal FallonUNITED STATES OF AMERICACID000966
TungstenKennametal HuntsvilleUNITED STATES OF AMERICACID000105
TungstenKGETS Co., Ltd.KOREA, REPUBLIC OFCID003388
TungstenLianyou Metals Co., Ltd.TAIWAN, PROVINCE OF CHINACID003407
TungstenMalipo Haiyu Tungsten Co., Ltd.CHINACID002319
TungstenMasan Tungsten Chemical LLC (MTC)VIET NAMCID002543
TungstenMoliren Ltd.RUSSIAN FEDERATIONCID002845
TungstenNiagara Refining LLCUNITED STATES OF AMERICACID002589
TungstenNPP Tyazhmetprom LLCRUSSIAN FEDERATIONCID003416
TungstenPhilippine Chuangxin Industrial Co., Inc.PHILIPPINESCID002827
TungstenTejing (Vietnam) Tungsten Co., Ltd.VIET NAMCID001889
TungstenUnecha Refractory metals plantRUSSIAN FEDERATIONCID002724
TungstenWolfram Bergbau und Hutten AGAUSTRIACID002044
TungstenWoltech Korea Co., Ltd.KOREA, REPUBLIC OFCID002843
TungstenXiamen Tungsten (H.C.) Co., Ltd.CHINACID002320
TungstenXiamen Tungsten Co., Ltd.CHINACID002082
TungstenXinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.CHINACID002830
TungstenXinhai Rendan Shaoguan Tungsten Co., Ltd.CHINACID002095

15
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