EX-1.01 2 hyh2017formsdex101.htm EXHIBIT 1.01 Exhibit


EXHIBIT 1.01

Halyard Health, Inc.
Conflict Minerals Report
For the Year Ended December 31, 2017

I.
Introduction
This Conflict Minerals Report (“Report”) by Halyard Health, Inc., is for the period from January 1, 2017 to December 31, 2017 (“Reporting Period”). Unless the context otherwise indicates, “Halyard,” “Company,” “we,” “us,” and “our” mean Halyard Health, Inc. and its consolidated and combined subsidiaries.
This Report is intended to comply with Rule 13p-1 of the Securities Exchange Act of 1934, as amended (“Rule”). The Rule imposes certain reporting obligations on public companies that manufacture or contract to manufacture products containing conflict minerals that are necessary to the functionality or production of their products. Form SD defines “conflict minerals” as cassiterite, columbite-tantalite, gold, wolframite and their derivatives, which are currently limited to tin, tantalum and tungsten. We identified tin, tantalum, tungsten and gold (“3TGs”) that are necessary to the functionality or production of certain products that we manufactured or contracted to manufacture during the Reporting Period.
As described in this report, Halyard has reason to believe that some of the 3TGs present in its supply chain may have originated in the Democratic Republic of the Congo (“DRC”) or an adjoining country (collectively, “Covered Countries”). Therefore, we performed a reasonable country of origin inquiry (“RCOI”) to determine whether any of the 3TGs in our products originated from the Covered Countries and were not from recycled or scrap sources. Based on the RCOI, we determined that we may have some suppliers that sourced 3TGs from the Covered Countries, and we proceeded to conduct due diligence on our supplier base. The results of our due diligence are discussed below.
II.
Company Overview
A.
Our Business
Halyard is a medical technology company focused on delivering clinically superior breakthrough medical device solutions to improve patients’ quality of life. Halyard is committed to addressing some of today’s most important healthcare needs, such as reducing the use of opioids while helping patients move from surgery to recovery. Halyard develops, manufactures and markets its recognized brands in more than 90 countries.
On April 30, 2018, Halyard entered into an Amended and Restated Purchase Agreement (“A&R Purchase Agreement”) by and among Halyard and certain of its affiliates and Owens & Minor, Inc. (“OMI”). The A&R Purchase Agreement provided for the sale to OMI, subject to the terms and conditions, of substantially all of Halyard’s Surgical and Infection Prevention (“S&IP”) business, as well as certain other assets.
The address of our principal executive office is 5405 Windward Parkway, Suite 100 South, Alpharetta, Georgia 30004, and our telephone number is (678) 425-9273.
B.
Business Segments
During the Reporting Period, Halyard was organized into two operating segments based on product groupings: Surgical and Infection Prevention (“S&IP”) and Medical Devices.
The principal sources of revenue in each global business segment are described below:
•
S&IP provides healthcare supplies and solutions that target the prevention of healthcare-associated infections. This segment has recognized brands across its portfolio of product offerings, including sterilization wrap, surgical drapes and gowns, facial protection, protective apparel and medical exam gloves. This business is also a global leader in education to prevent healthcare-associated infections. Products in this segment are sold under HALYARD or KIMGUARD ONE-STEP, QUICK CHECK, SMART-FOLD, POWERGUARD, MICROCOOL, AERO BLUE, AERO CHROME, FLUIDSHIELD, PURPLE NITRILE, LAVENDER, STERLING, BLACK-FIRE and other brand names.
•
Medical Devices provides a portfolio of innovative product offerings focused on pain management and respiratory and digestive health to improve patient outcomes and reduce the cost of care. These products include post-operative pain management solutions, minimally invasive interventional (or chronic) pain therapies, closed airway suction systems and

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enteral feeding tubes. Products in this segment are sold under ON-Q, COOLIEF, MICROCUFF, MIC-KEY, QUIKBLOC, HOMEPUMP, CORTRAK and other brand names.
After the Reporting Period, as of April 30, 2018, Halyard no longer owns the S&IP business and is no longer organized into the two operating segments described above.
C.
Our Products
For the Reporting Period, we conducted an analysis of the S&IP and Medical Devices products to determine which, if any, were likely to contain 3TGs. The analysis identified that 3TGs were necessary to the functionality or production of certain products that we manufactured or contracted to manufacture during the Reporting Period. This was the case especially for the electrical components of such products.
III.
Description of Reasonable Country of Origin Inquiry (“RCOI”)
We began our scoping process by developing a list of our suppliers that provide us with products that may contain one or more of the 3TGs. We then populated the list with contact information and provided it to our third-party service provider (“Service Provider”). The supplier list was then uploaded to our Service Provider’s software tool that allows us to store and manage supplier requests and documentation.
From there, we removed from the list service providers, indirect materials suppliers, and other suppliers who are inactive. This helped ensure that all suppliers surveyed provided items to Halyard that were used in final products in 2017.
Our Service Provider then conducted the supplier survey portion of the RCOI. Utilizing the Conflict Minerals Reporting Template (“CMRT”), version 5.01 or higher, developed by the Responsible Business Alliance (RBA)® and The Global e-Sustainability Initiative, the suppliers on the final supplier list were surveyed on their sourcing of the 3TGs that we identified in our products. The CMRT was developed to facilitate disclosure and communication of information regarding smelters that provide material to a company’s supply chain. It includes questions regarding a direct supplier’s conflict minerals policy, due diligence process, and supply chain, including such supply chain information as the names and locations of smelters and refiners.
As part of the supplier survey, suppliers were asked to complete the CMRT. All communications were tracked and monitored in the Service Provider’s software tool. Non-responsive suppliers were contacted a minimum of three times. Any suppliers that continued to be non-responsive were advanced to an escalation phase and further contacted on an individual basis.
To ensure that our suppliers understood our expectations regarding the sourcing of 3TGs, we and our Service Provider offered training to them though webinars, videos, documents, and one-on-one discussions. The offering included our Service Provider’s Learning Management System, which allowed access to our Service Provider’s Conflict Minerals training course. This training was tracked based on completion. All suppliers were encouraged to complete all the modules in the course.
The RCOI also included automated data validation on all submitted CMRTs. The goal of data validation is to increase the accuracy of submissions. All submitted CMRTs were classified as valid or invalid. All suppliers who submitted CMRTs that were classified as “invalid” were contacted to address items such as incomplete data, missing smelter information, or inconsistent answers. All of these communications were monitored and tracked in our Service Provider’s software system. As of May 2, 2018, there were 3 invalid submissions that had not been corrected by suppliers.
Based on the RCOI, we determined that we may have some suppliers that sourced 3TGs from the Covered Countries; therefore, in an effort to locate mines with the greatest possible specificity, we then conducted due diligence on our supplier base.
IV.
Due Diligence
A.
Design of Due Diligence
We designed our due diligence procedures to conform, in all material respects, with the due diligence framework presented by the Organisation for Economic Co-operation and Development (“OECD”) in the publication OECD (2013) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas: Second Edition, and the related Supplements for tin, tantalum, tungsten and gold.
Halyard’s conflict minerals due diligence process includes the five steps described in the Guidance: 1) establishing strong company management systems, 2) identifying and assessing risks in our supply chain, 3) designing and implementing a

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strategy to respond to identified risks, 4) utilizing independent third-party audits, and 5) publicly reporting on our supply chain due diligence. A summary of our due diligence measures is outlined below.
B.
Performance of Due Diligence
Step 1.
Establishing Strong Company Management Systems
a.
Internal Team
We organized a Conflict Minerals Committee comprised of individuals in management positions across multiple departments, namely Legal, Procurement, and Finance. The Committee members are the (1) Vice President, Deputy General Counsel and Corporate Secretary, (2) Vice President, Global Sourcing and Supply Management, and (3) Vice President, Global Business Services. The Committee leads our conflict minerals compliance effort and is responsible for implementing our conflict minerals compliance strategy and for overseeing the program.
b.
Control Systems
We have applicable policies and statements such as a Code of Conduct that outlines expected behaviors for all Halyard employees, a Supplier Social Compliance Standard that outlines expected behaviors for all Halyard vendors, and a Conflict Minerals Policy Statement (“Statement”). All three items are available on our website. The Statement, in particular, can be found in the Investor Relations section of our website, under Corporate Governance, at https://halyardhealth.investorroom.com/corporate-governance/conflict-minerals-policy-statement.
c.
Supplier Engagement
We utilized the CMRT version 5.01 or higher and our Service Provider’s software reporting tool for collecting Conflict Minerals declarations from our supply base. Using these tools has allowed us to assist our suppliers in understanding our expectations and requirements and increase the rate of responses we have received from our suppliers to our survey requests. We have also communicated with relevant suppliers our expectation that they assist us in complying with our efforts related to our conflict minerals program. This includes obtaining information from them to support the chain of custody of the 3TGs identified in our products.
d.
Grievance Mechanisms
We have several mechanisms that allow people to alert Company management about any concerns they may have about our compliance or ethics. Our Code of Conduct sets out ways to report concerns, including a Code of Conduct Hotline and Online Reporting tool, which both allow reports, in any language, to be made confidentially and anonymously at the election of the person making the report. We also have made publicly available on our website policies for communicating with our Board of Directors and with our compliance-oversight Committees of the Board, namely the Audit Committee and the Compliance Committee. These mechanisms are available to people who may be concerned about compliance with our conflict minerals program or with any other compliance matter.
e.
Maintain Records
We maintain a company-wide document retention policy. The policy extends to the documents accumulated in performing our due diligence for this Report and requires that the documents be retained for a period of ten years.
Step 2.
Identify and Assess Risks in the Supply Chain
Due to the complexity of our products and supply chain, it is difficult for us to identify indirect suppliers. We have relied on responses from our direct suppliers to provide us with information about the source of conflict minerals contained in the parts and components they supply to us. Similarly, our direct suppliers also rely on information provided to them by their suppliers. This chain of information creates a level of uncertainty and risk about the accuracy of the information. We will continue to monitor, adapt, and modify our due diligence practices to conform to recognized industry best practices.
In accordance with the Guidance, it is important to understand risk levels associated with conflict minerals in the supply chain. Each facility that meets the Responsible Minerals Initiative (“RMI”) definition of a smelter or refiner of a 3TG mineral is assigned a risk of high, medium or low based on 3 scoring criteria, namely: (1) geographic proximity to the DRC and covered countries; (2) Responsible Minerals Assurance Process (RMAP) audit status; and (3) known or plausible evidence of unethical or conflict sourcing.

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Based on these criteria the following facilities have been identified as being of highest concern to the supply chain:
•
Tony Goetz NV - CID002587
•
Kaloti Precious Metals - CID002563
•
African Gold Refinery (ARG) - CID003185
•
Universal Precious Metals Refining Zambia - CID002854
•
Fidelity Printers and Refiners - CID002515
•
Sudan Gold Refinery - CID002567
If any of these facilities were reported on a CMRT by one of our suppliers, our Service Provider initiated risk mitigation activities, including instructing the supplier to submit a product-specific CMRT to better identify any connection between the facilities and our products, and considering removal of these high-risk smelters from our supply chain.
Additionally, we evaluated suppliers on their conflict minerals program strength. Many companies continue to develop their programs and still provide an answer of “unknown” in response to our survey questions. We used the following criteria to evaluate the strength of their programs, with the capital letters, below, corresponding to the ones in the CMRT declaration tab:
A. Have you established a conflict minerals sourcing policy?
E. Have you implemented due diligence measures for conflict-free sourcing?
G. Do you review due diligence information received from your suppliers against your company’s expectations?
H. Does your review process include corrective action management?
Our identification and risk assessment process also involves: (1) seeking information about 3TG smelters and refiners in our supply chain by requesting that our suppliers complete the CMRT, (2) verifying those smelters and refiners with RMI lists, (3) conducting the due diligence review, and (4) obtaining additional documentation and verification, as applicable. We believe that the inquiries and analysis described above represent a reasonable effort to determine the mines or locations of origin of the 3TGs in our Covered Products.
Step 3.
Design and Implement a Strategy to Respond to Identified Risks
Our Supplier Social Compliance Standards and Conflict Minerals Policy Statement set out our expectations for our suppliers. If these expectations are not met, the business relationship between us and the supplier will be evaluated. For example, if we find that we source 3TGs that directly or indirectly finance or benefit armed groups in the Covered Countries, we will encourage the applicable supplier to establish an alternative source of the minerals that does not support such conflict. If an alternative source cannot be found or the supplier chooses not to respond to this risk, we will assess whether or not we can replace the supplier. We have found no instance to date where we believed it was necessary to implement such risk mitigation efforts.
Step 4.
Utilize Independent Third Party Audits
We do not have a direct relationship with smelters and refiners (“SORs”) and do not perform or direct audits of these entities. Instead, we rely on third party assurances and certifications such as from the RMI’s Responsible Minerals Assurance Process.
Step 5.
Publicly Report on Supply Chain Due Diligence
This Report, which constitutes our annual report on our due diligence efforts, is available on our website in the Investor Relations section, under SEC Filings, at https://halyardhealth.investorroom.com/financial-information. This Report also is filed with the SEC.
V.
Results of Due Diligence
A.
Survey Results
As of May 2, 2018, we received responses from 75% of our 389 surveyed suppliers. Of those, 228 claimed no 3TGs, in their products, and 53 claimed that they did have 3TGs. Of the 53 claiming to have 3TGs, 23 indicated that they had tantalum, 50 indicated tin, 30 indicated gold, and 23 indicated tungsten. (The numbers do not sum to 228 because some of the suppliers claimed to have multiple 3TGs in their products.)

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As described above, we surveyed our supply chain and reviewed the responses to determine whether further engagement with them was required. The determination to further engage with them was based on criteria such as untimely responses, incomplete responses, and inconsistencies within the data reported. Suppliers who provided a CMRT were asked to submit SOR information. The results are discussed in the Smelters and Refiners section below.
B.
Efforts to Determine Mine or Location of Origin
Because we do not have relationships with the smelters and refiners, we relied on requests to our suppliers that they complete the RMI template. We believe that process suffices as a good faith effort to determine the identity of the mines or the locations of origin of 3TGs in our supply chain.
C.
Smelters and Refiners
Of the suppliers we surveyed, many completed the RMI template at the company or business unit level, and they were unable to represent that 3TGs from the processing facilities they listed were in components they supplied to us. The quality of the responses we received from suppliers varied. Many responses provided via the CMRT included the names of facilities listed by the suppliers as SORs. The CMRT responses that did not list at least one smelter for each 3TG were considered invalid, and our Service Provider followed up on these responses, urging suppliers to resubmit the form and include the smelter information. There are still suppliers that were unable to provide SORs used for the materials supplied to us.
For all the CMRT responses that indicated a smelter, our Service Provider compared them to the list of smelters maintained by the RMI. As of May 15, 2018, we validated 314 SORs, and we are working to validate the additional SOR entries. Appendix A lists only the SORs that our suppliers reported as being in their supply chains and that we validated. Appendix B is a compilation of countries of origin, setting out the countries from which the reported facilities source their conflict minerals.
As our suppliers have been largely unable to provide us with the information necessary to determine country of origin at the product level, we are unable to provide additional SOR names or country of origin information at this time. We will continue to work with our suppliers to obtain smelter information at the product level.
VI.
Future Steps to be Taken
We are committed to complying with the provisions of the Rule and expect to continue our efforts to improve our conflict minerals program. As we further develop our program, we intend to take the following steps to mitigate the risk that any of the 3TGs contained in our products could benefit armed groups in the Covered Countries. These may include, but are not limited to, the following:
•
Further engage with suppliers and direct them to training resources to increase our survey response rate and improve the content of the responses;
•
Continue to invest in due diligence tools for our conflict minerals program;
•
If applicable, engage any of our suppliers found to be supplying us with 3TGs from sources that support conflict in the Covered Countries to establish an alternative source of 3TGs that does not support such conflict;
•
Continue to respond to industry trends and legal requirements to improve the traceability of 3TGs in our supply chain; and
•
Further encourage suppliers to provide responses at the product level to enable us to determine which smelters and refiners actually process 3TGs contained in our products.





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APPENDIX A
The table below lists, the smelters or refiners (“SORs”) identified by our direct suppliers that may have been used to process 3TGs necessary to the functionality or production of our products in 2017. Facilities that have been certified as conflict-free by an internationally-recognized validation organization for 3TG SORs are designated in the column furthest to the right, where the word “Yes” indicates that such an organization validated them as conflict-free.

Metal
Standard Smelter Name
Smelter Facility Location
Smelter ID
Conflict Free?
Gold
Abington Reldan Metals, LLC
UNITED STATES
CID002708
Unknown
Gold
Advanced Chemical Company
UNITED STATES
CID000015
Yes
Gold
Aida Chemical Industries Co., Ltd.
JAPAN
CID000019
Yes
Gold
Al Etihad Gold LLC
UNITED ARAB EMIRATES
CID002560
Yes
Gold
Allgemeine Gold-und Silberscheideanstalt A.G.
GERMANY
CID000035
Yes
Gold
Almalyk Mining and Metallurgical Complex (AMMC)
UZBEKISTAN
CID000041
Yes
Gold
AngloGold Ashanti Córrego do Sítio Mineração
BRAZIL
CID000058
Yes
Gold
Argor-Heraeus S.A.
SWITZERLAND
CID000077
Yes
Gold
Asahi Pretec Corp.
JAPAN
CID000082
Yes
Gold
Asahi Refining Canada Ltd.
CANADA
CID000924
Yes
Gold
Asahi Refining USA Inc.
UNITED STATES
CID000920
Yes
Gold
Asaka Riken Co., Ltd.
JAPAN
CID000090
Yes
Gold
Atasay Kuyumculuk Sanayi Ve Ticaret A.S.
TURKEY
CID000103
Unknown
Gold
AU Traders and Refiners
SOUTH AFRICA
CID002850
Yes
Gold
Aurubis AG
GERMANY
CID000113
Yes
Gold
Bangalore Refinery
INDIA
CID002863
Unknown
Gold
Bangko Sentral ng Pilipinas (Central Bank of the Philippines)
PHILIPPINES
CID000128
Yes
Gold
Boliden AB
SWEDEN
CID000157
Yes
Gold
C. Hafner GmbH + Co. KG
GERMANY
CID000176
Yes
Gold
Caridad
MEXICO
CID000180
Unknown
Gold
CCR Refinery - Glencore Canada Corporation
CANADA
CID000185
Yes
Gold
Cendres + Métaux S.A.
SWITZERLAND
CID000189
Yes
Gold
Chimet S.p.A.
ITALY
CID000233
Yes
Gold
Chugai Mining
JAPAN
CID000264
Unknown
Gold
Daejin Indus Co., Ltd.
KOREA, REPUBLIC OF
CID000328
Yes
Gold
Daye Non-Ferrous Metals Mining Ltd.
CHINA
CID000343
Unknown
Gold
Degussa Sonne / Mond Goldhandel GmbH
GERMANY
CID002867
Unknown
Gold
DODUCO Contacts and Refining GmbH
GERMANY
CID000362
Yes
Gold
Dowa
JAPAN
CID000401
Yes
Gold
DSC (Do Sung Corporation)
KOREA, REPUBLIC OF
CID000359
Yes
Gold
Eco-System Recycling Co., Ltd.
JAPAN
CID000425
Yes
Gold
Elemetal Refining, LLC
UNITED STATES
CID001322
Unknown
Gold
Emirates Gold DMCC
UNITED ARAB EMIRATES
CID002561
Yes
Gold
Fidelity Printers and Refiners Ltd.
ZIMBABWE
CID002515
Unknown
Gold
GCC Gujrat Gold Centre Pvt. Ltd.
INDIA
CID002852
Unknown
Gold
Geib Refining Corporation
UNITED STATES
CID002459
Yes
Gold
Gold Refinery of Zijin Mining Group Co., Ltd.
CHINA
CID002243
Yes
Gold
Great Wall Precious Metals Co., Ltd. of CBPM
CHINA
CID001909
Unknown

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Metal
Standard Smelter Name
Smelter Facility Location
Smelter ID
Conflict Free?
Gold
Guangdong Jinding Gold Limited
CHINA
CID002312
Unknown
Gold
Guoda Safina High-Tech Environmental Refinery Co., Ltd.
CHINA
CID000651
Unknown
Gold
Hangzhou Fuchunjiang Smelting Co., Ltd.
CHINA
CID000671
Unknown
Gold
HeeSung
KOREA, REPUBLIC OF
CID000689
Yes
Gold
Heimerle + Meule GmbH
GERMANY
CID000694
Yes
Gold
Heraeus Metals Hong Kong Ltd.
CHINA
CID000707
Yes
Gold
Heraeus Precious Metals GmbH & Co. KG
GERMANY
CID000711
Yes
Gold
Hunan Chenzhou Mining Co., Ltd.
CHINA
CID000767
Unknown
Gold
Hwasung CJ Co., Ltd.
KOREA, REPUBLIC OF
CID000778
Unknown
Gold
Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.
CHINA
CID000801
Yes
Gold
Ishifuku Metal Industry Co., Ltd.
JAPAN
CID000807
Yes
Gold
Istanbul Gold Refinery
TURKEY
CID000814
Yes
Gold
Italpreziosi
ITALY
CID002765
Yes
Gold
Japan Mint
JAPAN
CID000823
Yes
Gold
Jiangxi Copper Co., Ltd.
CHINA
CID000855
Yes
Gold
JSC Ekaterinburg Non-Ferrous Metal Processing Plant
RUSSIAN FEDERATION
CID000927
Yes
Gold
JSC Uralelectromed
RUSSIAN FEDERATION
CID000929
Yes
Gold
JX Nippon Mining & Metals Co., Ltd.
JAPAN
CID000937
Yes
Gold
Kaloti Precious Metals
UNITED ARAB EMIRATES
CID002563
Unknown
Gold
Kazakhmys Smelting LLC
KAZAKHSTAN
CID000956
Unknown
Gold
Kazzinc
KAZAKHSTAN
CID000957
Yes
Gold
Kennecott Utah Copper LLC
UNITED STATES
CID000969
Yes
Gold
KGHM Polska Miedz Spolka Akcyjna
POLAND
CID002511
Unknown
Gold
Kojima Chemicals Co., Ltd.
JAPAN
CID000981
Yes
Gold
Korea Zinc Co., Ltd.
KOREA, REPUBLIC OF
CID002605
Yes
Gold
Kyrgyzaltyn JSC
KYRGYZSTAN
CID001029
Yes
Gold
Kyshtym Copper-Electrolytic Plant ZAO
RUSSIAN FEDERATION
CID002865
Unknown
Gold
L'azurde Company For Jewelry
SAUDI ARABIA
CID001032
Unknown
Gold
Lingbao Gold Co., Ltd.
CHINA
CID001056
Unknown
Gold
Lingbao Jinyuan Tonghui Refinery Co., Ltd.
CHINA
CID001058
Unknown
Gold
L'Orfebre S.A.
ANDORRA
CID002762
Unknown
Gold
LS-NIKKO Copper Inc.
KOREA, REPUBLIC OF
CID001078
Yes
Gold
Luoyang Zijin Yinhui Gold Refinery Co., Ltd.
CHINA
CID001093
Unknown
Gold
Marsam Metals
BRAZIL
CID002606
Yes
Gold
Materion
UNITED STATES
CID001113
Yes
Gold
Matsuda Sangyo Co., Ltd.
JAPAN
CID001119
Yes
Gold
Metalor Technologies (Hong Kong) Ltd.
CHINA
CID001149
Yes
Gold
Metalor Technologies (Singapore) Pte., Ltd.
SINGAPORE
CID001152
Yes
Gold
Metalor Technologies (Suzhou) Ltd.
CHINA
CID001147
Yes
Gold
Metalor Technologies S.A.
SWITZERLAND
CID001153
Yes
Gold
Metalor USA Refining Corporation
UNITED STATES
CID001157
Yes
Gold
Metalúrgica Met-Mex Peñoles S.A. De C.V.
MEXICO
CID001161
Yes
Gold
Mitsubishi Materials Corporation
JAPAN
CID001188
Yes
Gold
Mitsui Mining and Smelting Co., Ltd.
JAPAN
CID001193
Yes
Gold
MMTC-PAMP India Pvt., Ltd.
INDIA
CID002509
Yes
Gold
Modeltech Sdn Bhd
MALAYSIA
CID002857
Unknown
Gold
Morris and Watson
NEW ZEALAND
CID002282
Unknown

7


Metal
Standard Smelter Name
Smelter Facility Location
Smelter ID
Conflict Free?
Gold
Morris and Watson Gold Coast
AUSTRALIA
CID002866
Unknown
Gold
Moscow Special Alloys Processing Plant
RUSSIAN FEDERATION
CID001204
Yes
Gold
Nadir Metal Rafineri San. Ve Tic. A.ª.
TURKEY
CID001220
Yes
Gold
Navoi Mining and Metallurgical Combinat
UZBEKISTAN
CID001236
Unknown
Gold
Nihon Material Co., Ltd.
JAPAN
CID001259
Yes
Gold
Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH
AUSTRIA
CID002779
Yes
Gold
Ohura Precious Metal Industry Co., Ltd.
JAPAN
CID001325
Yes
Gold
OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)
RUSSIAN FEDERATION
CID001326
Yes
Gold
OJSC Novosibirsk Refinery
RUSSIAN FEDERATION
CID000493
Yes
Gold
PAMP S.A.
SWITZERLAND
CID001352
Yes
Gold
Pease & Curren
UNITED STATES
CID002872
Unknown
Gold
Penglai Penggang Gold Industry Co., Ltd.
CHINA
CID001362
Unknown
Gold
Planta Recuperadora de Metales SpA
CHILE
CID002919
Yes
Gold
Prioksky Plant of Non-Ferrous Metals
RUSSIAN FEDERATION
CID001386
Yes
Gold
PT Aneka Tambang (Persero) Tbk
INDONESIA
CID001397
Yes
Gold
PX Précinox S.A.
SWITZERLAND
CID001498
Yes
Gold
Rand Refinery (Pty) Ltd.
SOUTH AFRICA
CID001512
Yes
Gold
Refinery of Seemine Gold Co., Ltd.
CHINA
CID000522
Unknown
Gold
Remondis Argentia B.V.
NETHERLANDS
CID002582
Unknown
Gold
Republic Metals Corporation
UNITED STATES
CID002510
Yes
Gold
Royal Canadian Mint
CANADA
CID001534
Yes
Gold
SAAMP
FRANCE
CID002761
Yes
Gold
Sabin Metal Corp.
UNITED STATES
CID001546
Unknown
Gold
Safimet S.p.A
Italy
CID002973
Yes
Gold
SAFINA A.S.
CZECH REPUBLIC
CID002290
Unknown
Gold
Sai Refinery
INDIA
CID002853
Unknown
Gold
Samduck Precious Metals
KOREA, REPUBLIC OF
CID001555
Yes
Gold
SAMWON Metals Corp.
KOREA, REPUBLIC OF
CID001562
Unknown
Gold
SAXONIA Edelmetalle GmbH
GERMANY
CID002777
Yes
Gold
Schone Edelmetaal B.V.
NETHERLANDS
CID001573
Yes
Gold
SEMPSA Joyería Platería S.A.
SPAIN
CID001585
Yes
Gold
Shandong Tiancheng Biological Gold Industrial Co., Ltd.
CHINA
CID001619
Unknown
Gold
Shandong Zhaojin Gold & Silver Refinery Co., Ltd.
CHINA
CID001622
Yes
Gold
Sichuan Tianze Precious Metals Co., Ltd.
CHINA
CID001736
Yes
Gold
Singway Technology Co., Ltd.
TAIWAN
CID002516
Yes
Gold
SOE Shyolkovsky Factory of Secondary Precious Metals
RUSSIAN FEDERATION
CID001756
Yes
Gold
Solar Applied Materials Technology Corp.
TAIWAN
CID001761
Yes
Gold
State Research Institute Center for Physical Sciences and Technology
LITHUANIA
CID003153
Unknown
Gold
Sudan Gold Refinery
SUDAN
CID002567
Unknown
Gold
Sumitomo Metal Mining Co., Ltd.
JAPAN
CID001798
Yes
Gold
SungEel HiTech
KOREA, REPUBLIC OF
CID002918
Yes
Gold
T.C.A S.p.A
ITALY
CID002580
Yes
Gold
Tanaka Kikinzoku Kogyo K.K.
JAPAN
CID001875
Yes
Gold
The Refinery of Shandong Gold Mining Co., Ltd.
CHINA
CID001916
Yes

8


Metal
Standard Smelter Name
Smelter Facility Location
Smelter ID
Conflict Free?
Gold
Tokuriki Honten Co., Ltd.
JAPAN
CID001938
Yes
Gold
Tongling Nonferrous Metals Group Co., Ltd.
CHINA
CID001947
Unknown
Gold
Tony Goetz NV
BELGIUM
CID002587
Unknown
Gold
TOO Tau-Ken-Altyn
KAZAKHSTAN
CID002615
Unknown
Gold
Torecom
KOREA, REPUBLIC OF
CID001955
Yes
Gold
Umicore Brasil Ltda.
BRAZIL
CID001977
Yes
Gold
Umicore Precious Metals Thailand
THAILAND
CID002314
Yes
Gold
Umicore S.A. Business Unit Precious Metals Refining
BELGIUM
CID001980
Yes
Gold
United Precious Metal Refining, Inc.
UNITED STATES
CID001993
Yes
Gold
Universal Precious Metals Refining Zambia
ZAMBIA
CID002854
Unknown
Gold
Valcambi S.A.
SWITZERLAND
CID002003
Yes
Gold
Western Australian Mint trading as The Perth Mint
AUSTRALIA
CID002030
Yes
Gold
WIELAND Edelmetalle GmbH
GERMANY
CID002778
Yes
Gold
Yamamoto Precious Metal Co., Ltd.
JAPAN
CID002100
Yes
Gold
Yokohama Metal Co., Ltd.
JAPAN
CID002129
Yes
Gold
Yunnan Copper Industry Co., Ltd.
CHINA
CID000197
Unknown
Gold
Zhongyuan Gold Smelter of Zhongjin Gold Corporation
CHINA
CID002224
Yes
Tantalum
Asaka Riken Co., Ltd.
JAPAN
CID000092
Yes
Tantalum
Changsha South Tantalum Niobium Co., Ltd.
CHINA
CID000211
Yes
Tantalum
D Block Metals, LLC
UNITED STATES
CID002504
Yes
Tantalum
Duoluoshan
CHINA
CID000410
Unknown
Tantalum
Exotech Inc.
UNITED STATES
CID000456
Yes
Tantalum
F&X Electro-Materials Ltd.
CHINA
CID000460
Yes
Tantalum
FIR Metals & Resource Ltd.
CHINA
CID002505
Yes
Tantalum
Global Advanced Metals Aizu
JAPAN
CID002558
Yes
Tantalum
Global Advanced Metals Boyertown
UNITED STATES
CID002557
Yes
Tantalum
Guangdong Rising Rare Metals-EO Materials Ltd.
CHINA
CID000291
Yes
Tantalum
Guangdong Zhiyuan New Material Co., Ltd.
CHINA
CID000616
Yes
Tantalum
H.C. Starck Co., Ltd.
THAILAND
CID002544
Yes
Tantalum
H.C. Starck Hermsdorf GmbH
GERMANY
CID002547
Yes
Tantalum
H.C. Starck Inc.
UNITED STATES
CID002548
Yes
Tantalum
H.C. Starck Ltd.
JAPAN
CID002549
Yes
Tantalum
H.C. Starck Smelting GmbH & Co. KG
GERMANY
CID002550
Yes
Tantalum
H.C. Starck Tantalum and Niobium GmbH
GERMANY
CID002545
Yes
Tantalum
Hengyang King Xing Lifeng New Materials Co., Ltd.
CHINA
CID002492
Yes
Tantalum
Jiangxi Dinghai Tantalum & Niobium Co., Ltd.
CHINA
CID002512
Yes
Tantalum
Jiangxi Tuohong New Raw Material
CHINA
CID002842
Yes
Tantalum
JiuJiang JinXin Nonferrous Metals Co., Ltd.
CHINA
CID000914
Yes
Tantalum
Jiujiang Tanbre Co., Ltd.
CHINA
CID000917
Yes
Tantalum
Jiujiang Zhongao Tantalum & Niobium Co., Ltd.
CHINA
CID002506
Yes
Tantalum
KEMET Blue Metals
MEXICO
CID002539
Yes
Tantalum
KEMET Blue Powder
UNITED STATES
CID002568
Yes
Tantalum
King-Tan Tantalum Industry Ltd.
CHINA
CID000973
Yes
Tantalum
LSM Brasil S.A.
BRAZIL
CID001076
Yes

9


Metal
Standard Smelter Name
Smelter Facility Location
Smelter ID
Conflict Free?
Tantalum
Metallurgical Products India Pvt., Ltd.
INDIA
CID001163
Yes
Tantalum
Mineracao Taboca S.A.
BRAZIL
CID001175
Yes
Tantalum
Mitsui Mining and Smelting Co., Ltd.
JAPAN
CID001192
Yes
Tantalum
Ningxia Orient Tantalum Industry Co., Ltd.
CHINA
CID001277
Yes
Tantalum
NPM Silmet AS
ESTONIA
CID001200
Yes
Tantalum
Power Resources Ltd.
MACEDONIA
CID002847
Yes
Tantalum
QuantumClean
UNITED STATES
CID001508
Yes
Tantalum
Resind Industria e Comercio Ltda.
BRAZIL
CID002707
Yes
Tantalum
RFH Tantalum Smeltry Co., Ltd.
CHINA
CID001522
Yes
Tantalum
Solikamsk Magnesium Works OAO
RUSSIAN FEDERATION
CID001769
Yes
Tantalum
Taki Chemicals
JAPAN
CID001869
Yes
Tantalum
Telex Metals
UNITED STATES
CID001891
Yes
Tantalum
Ulba Metallurgical Plant JSC
KAZAKHSTAN
CID001969
Yes
Tantalum
XinXing HaoRong Electronic Material Co., Ltd.
CHINA
CID002508
Yes
Tantalum
Yichun Jin Yang Rare Metal Co., Ltd.
CHINA
CID002307
Yes
Tin
Alpha
UNITED STATES
CID000292
Yes
Tin
An Vinh Joint Stock Mineral Processing Company
VIET NAM
CID002703
Unknown
Tin
Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.
CHINA
CID000228
Yes
Tin
China Tin Group Co., Ltd.
CHINA
CID001070
Yes
Tin
CNMC (Guangxi) PGMA Co., Ltd.
CHINA
CID000278
Unknown
Tin
CV Ayi Jaya
INDONESIA
CID002570
Yes
Tin
CV Dua Sekawan
INDONESIA
CID002592
Yes
Tin
CV Gita Pesona
INDONESIA
CID000306
Yes
Tin
CV Tiga Sekawan
INDONESIA
CID002593
Yes
Tin
CV United Smelting
INDONESIA
CID000315
Yes
Tin
CV Venus Inti Perkasa
INDONESIA
CID002455
Yes
Tin
Dowa
JAPAN
CID000402
Yes
Tin
Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company
VIET NAM
CID002572
Unknown
Tin
EM Vinto
BOLIVIA
CID000438
Yes
Tin
Estanho de Rondônia S.A.
BRAZIL
CID000448
Unknown
Tin
Fenix Metals
POLAND
CID000468
Yes
Tin
Gejiu Fengming Metallurgy Chemical Plant
CHINA
CID002848
Yes
Tin
Gejiu Jinye Mineral Company
CHINA
CID002859
Yes
Tin
Gejiu Kai Meng Industry and Trade LLC
CHINA
CID000942
Yes
Tin
Gejiu Non-Ferrous Metal Processing Co., Ltd.
CHINA
CID000538
Yes
Tin
Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.
CHINA
CID001908
Yes
Tin
Gejiu Zili Mining And Metallurgy Co., Ltd.
CHINA
CID000555
Unknown
Tin
Guangdong Hanhe Non-ferrous Metal Limited Company
CHINA
CID003116
Yes
Tin
Guanyang Guida Nonferrous Metal Smelting Plant
CHINA
CID002849
Yes
Tin
HuiChang Hill Tin Industry Co., Ltd.
CHINA
CID002844
Yes
Tin
Huichang Jinshunda Tin Co., Ltd.
CHINA
CID000760
Yes
Tin
Jiangxi Ketai Advanced Material Co., Ltd.
CHINA
CID000244
Yes
Tin
Jiangxi New Nanshan Technology Ltd.
CHINA
CID001231
Yes
Tin
Magnu's Minerais Metais e Ligas Ltda.
BRAZIL
CID002468
Yes

10


Metal
Standard Smelter Name
Smelter Facility Location
Smelter ID
Conflict Free?
Tin
Malaysia Smelting Corporation (MSC)
MALAYSIA
CID001105
Yes
Tin
Melt Metais e Ligas S.A.
BRAZIL
CID002500
Yes
Tin
Metallic Resources, Inc.
UNITED STATES
CID001142
Yes
Tin
Metallo Belgium N.V.
BELGIUM
CID002773
Yes
Tin
Metallo Spain S.L.U.
SPAIN
CID002774
Yes
Tin
Mineracao Taboca S.A.
BRAZIL
CID001173
Yes
Tin
Minsur
PERU
CID001182
Yes
Tin
Mitsubishi Materials Corporation
JAPAN
CID001191
Yes
Tin
Modeltech Sdn Bhd
MALAYSIA
CID002858
Unknown
Tin
Nghe Tinh Non-Ferrous Metals Joint Stock Company
VIET NAM
CID002573
Unknown
Tin
O.M. Manufacturing (Thailand) Co., Ltd.
THAILAND
CID001314
Yes
Tin
O.M. Manufacturing Philippines, Inc.
PHILIPPINES
CID002517
Yes
Tin
Operaciones Metalurgical S.A.
BOLIVIA
CID001337
Yes
Tin
PT Aries Kencana Sejahtera
INDONESIA
CID000309
Yes
Tin
PT Artha Cipta Langgeng
INDONESIA
CID001399
Yes
Tin
PT ATD Makmur Mandiri Jaya
INDONESIA
CID002503
Yes
Tin
PT Babel Inti Perkasa
INDONESIA
CID001402
Yes
Tin
PT Bangka Prima Tin
INDONESIA
CID002776
Yes
Tin
PT Bangka Tin Industry
INDONESIA
CID001419
Yes
Tin
PT Belitung Industri Sejahtera
INDONESIA
CID001421
Yes
Tin
PT Bukit Timah
INDONESIA
CID001428
Yes
Tin
PT DS Jaya Abadi
INDONESIA
CID001434
Yes
Tin
PT Eunindo Usaha Mandiri
INDONESIA
CID001438
Yes
Tin
PT Inti Stania Prima
INDONESIA
CID002530
Yes
Tin
PT Karimun Mining
INDONESIA
CID001448
Yes
Tin
PT Kijang Jaya Mandiri
INDONESIA
CID002829
Yes
Tin
PT Lautan Harmonis Sejahtera
INDONESIA
CID002870
Yes
Tin
PT Menara Cipta Mulia
INDONESIA
CID002835
Yes
Tin
PT Mitra Stania Prima
INDONESIA
CID001453
Yes
Tin
PT O.M. Indonesia
INDONESIA
CID002757
Yes
Tin
PT Panca Mega Persada
INDONESIA
CID001457
Yes
Tin
PT Premium Tin Indonesia
INDONESIA
CID000313
Yes
Tin
PT Prima Timah Utama
INDONESIA
CID001458
Yes
Tin
PT Refined Bangka Tin
INDONESIA
CID001460
Yes
Tin
PT Sariwiguna Binasentosa
INDONESIA
CID001463
Yes
Tin
PT Stanindo Inti Perkasa
INDONESIA
CID001468
Yes
Tin
PT Sukses Inti Makmur
INDONESIA
CID002816
Yes
Tin
PT Sumber Jaya Indah
INDONESIA
CID001471
Yes
Tin
PT Timah (Persero) Tbk Kundur
INDONESIA
CID001477
Yes
Tin
PT Timah (Persero) Tbk Mentok
INDONESIA
CID001482
Yes
Tin
PT Tinindo Inter Nusa
INDONESIA
CID001490
Yes
Tin
PT Tommy Utama
INDONESIA
CID001493
Yes
Tin
Resind Industria e Comercio Ltda.
BRAZIL
CID002706
Yes
Tin
Rui Da Hung
TAIWAN
CID001539
Yes
Tin
Soft Metais Ltda.
BRAZIL
CID001758
Yes
Tin
Super Ligas
Brazil
CID002756
Unknown
Tin
Thaisarco
THAILAND
CID001898
Yes
Tin
Tuyen Quang Non-Ferrous Metals Joint Stock Company
VIET NAM
CID002574
Unknown

11


Metal
Standard Smelter Name
Smelter Facility Location
Smelter ID
Conflict Free?
Tin
White Solder Metalurgia e Mineração Ltda.
BRAZIL
CID002036
Yes
Tin
Yunnan Chengfeng Non-ferrous Metals Co., Ltd.
CHINA
CID002158
Yes
Tin
Yunnan Tin Company Limited
CHINA
CID002180
Yes
Tungsten
A.L.M.T. TUNGSTEN Corp.
JAPAN
CID000004
Yes
Tungsten
ACL Metais Eireli
BRAZIL
CID002833
Yes
Tungsten
Asia Tungsten Products Vietnam Ltd.
VIET NAM
CID002502
Yes
Tungsten
Chenzhou Diamond Tungsten Products Co., Ltd.
CHINA
CID002513
Yes
Tungsten
Chongyi Zhangyuan Tungsten Co., Ltd.
CHINA
CID000258
Yes
Tungsten
Fujian Jinxin Tungsten Co., Ltd.
CHINA
CID000499
Yes
Tungsten
Ganzhou Haichuang Tungsten Co., Ltd.
CHINA
CID002645
Unknown
Tungsten
Ganzhou Huaxing Tungsten Products Co., Ltd.
CHINA
CID000875
Yes
Tungsten
Ganzhou Jiangwu Ferrotungsten Co., Ltd.
CHINA
CID002315
Yes
Tungsten
Ganzhou Seadragon W & Mo Co., Ltd.
CHINA
CID002494
Yes
Tungsten
Ganzhou Yatai Tungsten Co., Ltd.
CHINA
CID002536
Unknown
Tungsten
Global Tungsten & Powders Corp.
UNITED STATES
CID000568
Yes
Tungsten
Guangdong Xianglu Tungsten Co., Ltd.
CHINA
CID000218
Yes
Tungsten
H.C. Starck Smelting GmbH & Co.KG
GERMANY
CID002542
Yes
Tungsten
H.C. Starck Tungsten GmbH
GERMANY
CID002541
Yes
Tungsten
Hunan Chenzhou Mining Co., Ltd.
CHINA
CID000766
Yes
Tungsten
Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji
CHINA
CID002579
Yes
Tungsten
Hunan Chunchang Nonferrous Metals Co., Ltd.
CHINA
CID000769
Yes
Tungsten
Hunan Litian Tungsten Industry Co., Ltd.
CHINA
CID003182
Yes
Tungsten
Hydrometallurg, JSC
RUSSIAN FEDERATION
CID002649
Yes
Tungsten
Japan New Metals Co., Ltd.
JAPAN
CID000825
Yes
Tungsten
Jiangwu H.C. Starck Tungsten Products Co., Ltd.
CHINA
CID002551
Yes
Tungsten
Jiangxi Dayu Longxintai Tungsten Co., Ltd.
CHINA
CID002647
Unknown
Tungsten
Jiangxi Gan Bei Tungsten Co., Ltd.
CHINA
CID002321
Yes
Tungsten
Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.
CHINA
CID002313
Unknown
Tungsten
Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.
CHINA
CID002318
Yes
Tungsten
Jiangxi Xinsheng Tungsten Industry Co., Ltd.
CHINA
CID002317
Yes
Tungsten
Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.
CHINA
CID002535
Yes
Tungsten
Jiangxi Yaosheng Tungsten Co., Ltd.
CHINA
CID002316
Yes
Tungsten
Kennametal Fallon
UNITED STATES
CID000966
Yes
Tungsten
Kennametal Huntsville
UNITED STATES
CID000105
Yes
Tungsten
Malipo Haiyu Tungsten Co., Ltd.
CHINA
CID002319
Yes
Tungsten
Moliren Ltd
RUSSIAN FEDERATION
CID002845
Yes
Tungsten
Niagara Refining LLC
UNITED STATES
CID002589
Yes
Tungsten
Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC
VIET NAM
CID002543
Yes
Tungsten
Philippine Chuangxin Industrial Co., Inc.
PHILIPPINES
CID002827
Yes
Tungsten
South-East Nonferrous Metal Company Limited of Hengyang City
CHINA
CID002815
Yes
Tungsten
Tejing (Vietnam) Tungsten Co., Ltd.
VIET NAM
CID001889
Yes
Tungsten
Unecha Refractory metals plant
RUSSIAN FEDERATION
CID002724
Yes

12


Metal
Standard Smelter Name
Smelter Facility Location
Smelter ID
Conflict Free?
Tungsten
Vietnam Youngsun Tungsten Industry Co., Ltd.
VIET NAM
CID002011
Yes
Tungsten
Wolfram Bergbau und Hütten AG
AUSTRIA
CID002044
Yes
Tungsten
Woltech Korea Co., Ltd.
KOREA, REPUBLIC OF
CID002843
Yes
Tungsten
Xiamen Tungsten (H.C.) Co., Ltd.
CHINA
CID002320
Yes
Tungsten
Xiamen Tungsten Co., Ltd.
CHINA
CID002082
Yes
Tungsten
Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.
CHINA
CID002830
Yes
Tungsten
Xinhai Rendan Shaoguan Tungsten Co., Ltd.
CHINA
CID002095
Yes



13


APPENDIX B
This list of potential countries of origin is populated based on publicly available information, our RCOI and due diligence. It is important to note that this is also based on company level responses and therefore, it is not certain which of these countries of origin can be linked to our products.
Argentina, Australia, Austria, Benin, Bolivia (Plurinational State of), Brazil, Burkina Faso, Burundi, Cambodia, Canada, Chile, China, Colombia, Congo, Democratic Republic of the, Ecuador, Eritrea, Ethiopia, France, Germany, Ghana, Guatemala, Guinea, Guyana, Honduras, India, Indonesia, Japan, Kazakhstan, Laos, Madagascar, Malaysia, Mali, Mexico, Mongolia, Mozambique, Myanmar, Namibia, Nicaragua, Nigeria, Panama, Peru, Portugal, Russian Federation, Rwanda, Senegal, Sierra Leone, South Africa, Spain, Thailand, Togo, Uganda, United Kingdom of Great Britain and Northern Ireland, United States of America, Uzbekistan, Viet Nam, Zimbabwe

14