EX-1.01 2 omcmrry2019.htm EXHIBIT 1.01 Exhibit





EXHIBIT 1.01
Owens & Minor, Inc. Conflict Minerals Report
For the Year Ended December 31, 2019


I.
Introduction
This Conflict Minerals Report (“Report”) by Owens & Minor, Inc. is for the period from January 1, 2019 to December 31, 2019 (“Reporting Period”). Unless the context otherwise indicates, “Owens & Minor,” “Company,” “we,” “us,” and “our” mean Owens & Minor, 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, Owens & Minor 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
Owens & Minor, Inc. and subsidiaries, a Fortune 500 company headquartered in Richmond, Virginia, is a leading global healthcare solutions company with integrated technologies, products and services aligned to deliver significant and sustained value for healthcare providers, manufacturers and directly to patients across the continuum of care. Our teammates serve healthcare industry customers in 70 countries, by providing quality products and helping to reduce total costs across the healthcare supply chain by optimizing point-of care performance, freeing up capital and clinical resources and managing contracts to optimize financial performance.

B.
Business Segments
During the Reporting Period, Owens & Minor was organized into two operating segments: Global Solutions and Global Products.
The principal sources of revenue in each global business segment are described below:

•
Global Solutions is our U.S. distribution, outsourced logistics and value-added services business. Global Solutions does not manufacture or contract to manufacture products.

•
Global Products manufactures and sources medical surgical products through our production and kitting operations.

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C.
Our Products
For the Reporting Period, we conducted an analysis of our 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.

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 Owens & Minor that were used in final products in 2019.
Our Service Provider then conducted the supplier survey portion of the RCOI. Utilizing the Conflict Minerals Reporting Template (“CMRT”), version 5.12 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.
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 8, 2020, there were 2 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 Organization 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.
Our 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 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, Supply Chain, and Compliance. The Committee members are the (1) Executive Vice President, General Counsel and Corporate Secretary, (2) Vice President, Global Manufacturing, (3) Assistant General Counsel, Global Products, and (4) Operating Vice President, Global Compliance. The Committee leads our conflict minerals compliance effort and is responsible for implementing our conflict minerals compliance strategy and for overseeing the program.


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b.
Control Systems
We have applicable policies and statements such as a Code of Honor that outlines expected behaviors for all Owens & Minor employees, a Supplier Social Compliance Standard that outlines expected behaviors for all Owens & Minor 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 www.owens-minor.com.

c.
Supplier Engagement
We utilized the CMRT version 5.12 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 Honor 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 Governance & Nominating 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. In addition, our Service Provider stores all of the information and findings from this process in a database that can be audited by internal or external parties.

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 three 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.
Based on these criteria, the following facilities have been identified with red-flag risks in their supply chain:
•
Tony Goetz NV - CID002587
•
African Gold Refinery Limited (AGR) - CID003185
•
Kaloti Precious Metals - CID002563
•
Fidelity Printers and Refiners - CID002515
•
Sudan Gold Refinery - CID002567


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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 escalating up to requesting removal of these high-risk smelters from their supply chain.

As per the OECD Guidance, risk mitigation will depend on the supplier’s specific context. Suppliers are given clear performance objectives within reasonable timeframes with the ultimate goal of progressive elimination of these red flags from the supply chain. In addition, suppliers are guided to the Service Provider’s online learning platform to engage in educational materials on mitigating the risk of smelters or refiners on the 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?
When suppliers meet or exceed those criteria (Yes to A, E, G, H), they are deemed to have a strong program. When suppliers do not meet those criteria, they are deemed to have a weak program.
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, which uses independent private sector auditors to audit the source, including the mines of origin, and the chain of custody of the conflict minerals used by smelters and refiners that agree to participate in the program.

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 www.owens-minor.com. This Report also is filed with the SEC.


V.
Results of Due Diligence

A.
Survey Results
As of May 8, 2020, we received responses from 77.90% of our 163 surveyed suppliers. Of those, 114 suppliers claimed no 3TGs, in their products, and 12 claimed that they did have 3TGs. Of the 12 suppliers claiming to have 3TGs, 7 indicated that they had tantalum, 9 indicated tin, 8 indicated gold, and 8 indicated tungsten. (The numbers do not sum to 163 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 8, 2020, we validated 302 SORs in our supply chain, 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 2019. 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 “Conformant” indicates that such an organization validated them as conflict-free.


Metal
Standard Smelter Name
Smelter Facility Location
Smelter ID
RMI Audit Status
Gold
8853 S.p.A.
ITALY
CID002763
Conformant
Gold
Abington Reldan Metals, LLC
UNITED STATES OF AMERICA
CID002708
Non Conformant




Gold
Advanced Chemical Company
UNITED STATES OF AMERICA
CID000015
Conformant
Gold
African Gold Refinery
UGANDA
CID003185
Outreach Required
Gold
Aida Chemical Industries Co., Ltd.
JAPAN
CID000019
Conformant
Gold
Al Etihad Gold Refinery DMCC
UNITED ARAB EMIRATES
CID002560
Conformant
Gold
Allgemeine Gold-und Silberscheideanstalt A.G.
GERMANY
CID000035
Conformant
Gold
Almalyk Mining and Metallurgical Complex (AMMC)
UZBEKISTAN
CID000041
Conformant
Gold
AngloGold Ashanti Corrego do Sitio Mineracao
BRAZIL
CID000058
Conformant
Gold
Argor-Heraeus S.A.
SWITZERLAND
CID000077
Conformant
Gold
Asahi Pretec Corp.
JAPAN
CID000082
Conformant
Gold
Asahi Refining Canada Ltd.
CANADA
CID000924
Conformant
Gold
Asahi Refining USA Inc.
UNITED STATES OF AMERICA
CID000920
Conformant
Gold
Asaka Riken Co., Ltd.
JAPAN
CID000090
Conformant
Gold
Atasay Kuyumculuk Sanayi Ve Ticaret A.S.
TURKEY
CID000103
Due Diligence Vetting Process
Gold
AU Traders and Refiners
SOUTH AFRICA
CID002850
Conformant
Gold
Aurubis AG
GERMANY
CID000113
Conformant
Gold
Bangalore Refinery
INDIA
CID002863
Conformant
Gold
Bangko Sentral ng Pilipinas (Central Bank of the Philippines)
PHILIPPINES
CID000128
Conformant
Gold
Boliden AB
SWEDEN
CID000157
Conformant
Gold
C. Hafner GmbH + Co. KG
GERMANY
CID000176
Conformant
Gold
Caridad
MEXICO
CID000180
Communication Suspended - Not Interested
Gold
CCR Refinery - Glencore Canada Corporation
CANADA
CID000185
Conformant
Gold
Cendres + Metaux S.A.
SWITZERLAND
CID000189
Conformant
Gold
CGR Metalloys Pvt Ltd.
INDIA
CID003382
Outreach Required
Gold
Chimet S.p.A.
ITALY
CID000233
Conformant
Gold
Chugai Mining
JAPAN
CID000264
Conformant
Gold
Daye Non-Ferrous Metals Mining Ltd.
CHINA
CID000343
In Communication
Gold
Degussa Sonne / Mond Goldhandel GmbH
GERMANY
CID002867
Outreach Required
Gold
Dijllah Gold Refinery FZC
UNITED ARAB EMIRATES
CID003348
In Communication
Gold
DODUCO Contacts and Refining GmbH
GERMANY
CID000362
Conformant
Gold
Dowa
JAPAN
CID000401
Conformant
Gold
DS PRETECH Co., Ltd.
KOREA, REPUBLIC OF
CID003195
Conformant
Gold
DSC (Do Sung Corporation)
KOREA, REPUBLIC OF
CID000359
Conformant
Gold
Eco-System Recycling Co., Ltd. East Plant
JAPAN
CID000425
Conformant
Gold
Eco-System Recycling Co., Ltd. North Plant
JAPAN
CID003424
Conformant
Gold
Eco-System Recycling Co., Ltd. West Plant
JAPAN
CID003425
Conformant
Gold
Emirates Gold DMCC
UNITED ARAB EMIRATES
CID002561
Conformant
Gold
Fidelity Printers and Refiners Ltd.
ZIMBABWE
CID002515
Due Diligence Vetting Process
Gold
Fujairah Gold FZC
UNITED ARAB EMIRATES
CID002584
Outreach Required
Gold
GCC Gujrat Gold Centre Pvt. Ltd.
INDIA
CID002852
In Communication
Gold
Geib Refining Corporation
UNITED STATES OF AMERICA
CID002459
Conformant
Gold
Gold Refinery of Zijin Mining Group Co., Ltd.
CHINA
CID002243
Conformant




Gold
Great Wall Precious Metals Co., Ltd. of CBPM
CHINA
CID001909
Outreach Required
Gold
Guangdong Jinding Gold Limited
CHINA
CID002312
Outreach Required
Gold
Guoda Safina High-Tech Environmental Refinery Co., Ltd.
CHINA
CID000651
Outreach Required
Gold
Hangzhou Fuchunjiang Smelting Co., Ltd.
CHINA
CID000671
Outreach Required
Gold
Heimerle + Meule GmbH
GERMANY
CID000694
Conformant
Gold
Heraeus Metals Hong Kong Ltd.
CHINA
CID000707
Conformant
Gold
Heraeus Precious Metals GmbH & Co. KG
GERMANY
CID000711
Conformant
Gold
Hunan Chenzhou Mining Co., Ltd.
CHINA
CID000767
Outreach Required
Gold
Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd.
CHINA
CID000773
Outreach Required
Gold
HwaSeong CJ CO., LTD.
KOREA, REPUBLIC OF
CID000778
Communication Suspended - Not Interested
Gold
Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.
CHINA
CID000801
Conformant
Gold
International Precious Metal Refiners
UNITED ARAB EMIRATES
CID002562
Outreach Required
Gold
Ishifuku Metal Industry Co., Ltd.
JAPAN
CID000807
Conformant
Gold
Istanbul Gold Refinery
TURKEY
CID000814
Conformant
Gold
Italpreziosi
ITALY
CID002765
Conformant
Gold
Japan Mint
JAPAN
CID000823
Conformant
Gold
Jiangxi Copper Co., Ltd.
CHINA
CID000855
Conformant
Gold
JSC Ekaterinburg Non-Ferrous Metal Processing Plant
RUSSIAN FEDERATION
CID000927
RMI Due Diligence Review - Unable to Proceed
Gold
JSC Uralelectromed
RUSSIAN FEDERATION
CID000929
Conformant
Gold
JX Nippon Mining & Metals Co., Ltd.
JAPAN
CID000937
Conformant
Gold
Kaloti Precious Metals
UNITED ARAB EMIRATES
CID002563
RMI Due Diligence Review - Unable to Proceed
Gold
Kazakhmys Smelting LLC
KAZAKHSTAN
CID000956
In Communication
Gold
Kazzinc
KAZAKHSTAN
CID000957
Conformant
Gold
Kennecott Utah Copper LLC
UNITED STATES OF AMERICA
CID000969
Conformant
Gold
KGHM Polska Miedz Spolka Akcyjna
POLAND
CID002511
Conformant
Gold
Kojima Chemicals Co., Ltd.
JAPAN
CID000981
Conformant
Gold
Korea Zinc Co., Ltd.
KOREA, REPUBLIC OF
CID002605
Conformant
Gold
Kyrgyzaltyn JSC
KYRGYZSTAN
CID001029
Conformant
Gold
Kyshtym Copper-Electrolytic Plant ZAO
RUSSIAN FEDERATION
CID002865
Outreach Required
Gold
L'azurde Company For Jewelry
SAUDI ARABIA
CID001032
RMI Due Diligence Review - Unable to Proceed
Gold
Lingbao Gold Co., Ltd.
CHINA
CID001056
Outreach Required
Gold
Lingbao Jinyuan Tonghui Refinery Co., Ltd.
CHINA
CID001058
Outreach Required
Gold
L'Orfebre S.A.
ANDORRA
CID002762
Conformant
Gold
LS-NIKKO Copper Inc.
KOREA, REPUBLIC OF
CID001078
Conformant




Gold
LT Metal Ltd.
KOREA, REPUBLIC OF
CID000689
Conformant
Gold
Luoyang Zijin Yinhui Gold Refinery Co., Ltd.
CHINA
CID001093
Outreach Required
Gold
Marsam Metals
BRAZIL
CID002606
Conformant
Gold
Materion
UNITED STATES OF AMERICA
CID001113
Conformant
Gold
Matsuda Sangyo Co., Ltd.
JAPAN
CID001119
Conformant
Gold
Metalor Technologies (Hong Kong) Ltd.
CHINA
CID001149
Conformant
Gold
Metalor Technologies (Singapore) Pte., Ltd.
SINGAPORE
CID001152
Conformant
Gold
Metalor Technologies (Suzhou) Ltd.
CHINA
CID001147
Conformant
Gold
Metalor Technologies S.A.
SWITZERLAND
CID001153
Conformant
Gold
Metalor USA Refining Corporation
UNITED STATES OF AMERICA
CID001157
Conformant
Gold
Metalurgica Met-Mex Penoles S.A. De C.V.
MEXICO
CID001161
Conformant
Gold
Mitsubishi Materials Corporation
JAPAN
CID001188
Conformant
Gold
Mitsui Mining and Smelting Co., Ltd.
JAPAN
CID001193
Conformant
Gold
MMTC-PAMP India Pvt., Ltd.
INDIA
CID002509
Conformant
Gold
Modeltech Sdn Bhd
MALAYSIA
CID002857
Non Conformant
Gold
Morris and Watson
NEW ZEALAND
CID002282
Communication Suspended - Not Interested
Gold
Moscow Special Alloys Processing Plant
RUSSIAN FEDERATION
CID001204
Conformant
Gold
Nadir Metal Rafineri San. Ve Tic. A.S.
TURKEY
CID001220
Conformant
Gold
Navoi Mining and Metallurgical Combinat
UZBEKISTAN
CID001236
Outreach Required
Gold
NH Recytech Company
KOREA, REPUBLIC OF
CID003189
Non Conformant
Gold
Nihon Material Co., Ltd.
JAPAN
CID001259
Conformant
Gold
Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH
AUSTRIA
CID002779
Conformant
Gold
Ohura Precious Metal Industry Co., Ltd.
JAPAN
CID001325
Conformant
Gold
OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)
RUSSIAN FEDERATION
CID001326
Conformant
Gold
OJSC Novosibirsk Refinery
RUSSIAN FEDERATION
CID000493
Conformant
Gold
PAMP S.A.
SWITZERLAND
CID001352
Conformant
Gold
Pease & Curren
UNITED STATES OF AMERICA
CID002872
Outreach Required
Gold
Penglai Penggang Gold Industry Co., Ltd.
CHINA
CID001362
Outreach Required
Gold
Planta Recuperadora de Metales SpA
CHILE
CID002919
Conformant
Gold
Prioksky Plant of Non-Ferrous Metals
RUSSIAN FEDERATION
CID001386
Conformant
Gold
PT Aneka Tambang (Persero) Tbk
INDONESIA
CID001397
Conformant
Gold
PX Precinox S.A.
SWITZERLAND
CID001498
Conformant
Gold
QG Refining, LLC
UNITED STATES OF AMERICA
CID003324
Outreach Required
Gold
Rand Refinery (Pty) Ltd.
SOUTH AFRICA
CID001512
Conformant
Gold
Refinery of Seemine Gold Co., Ltd.
CHINA
CID000522
Outreach Required
Gold
REMONDIS PMR B.V.
NETHERLANDS
CID002582
Conformant
Gold
Royal Canadian Mint
CANADA
CID001534
Conformant
Gold
SAAMP
FRANCE
CID002761
Conformant
Gold
Sabin Metal Corp.
UNITED STATES OF AMERICA
CID001546
Outreach Required
Gold
Safimet S.p.A
ITALY
CID002973
Conformant
Gold
SAFINA A.S.
CZECH REPUBLIC
CID002290
Active




Gold
Sai Refinery
INDIA
CID002853
Outreach Required
Gold
Samduck Precious Metals
KOREA, REPUBLIC OF
CID001555
Conformant
Gold
Samwon Metals Corp.
KOREA, REPUBLIC OF
CID001562
Communication Suspended - Not Interested
Gold
SAXONIA Edelmetalle GmbH
GERMANY
CID002777
Conformant
Gold
SEMPSA Joyeria Plateria S.A.
SPAIN
CID001585
Conformant
Gold
Shandong Humon Smelting Co., Ltd.
CHINA
CID002525
Outreach Required
Gold
Shandong Tiancheng Biological Gold Industrial Co., Ltd.
CHINA
CID001619
Outreach Required
Gold
Shandong Zhaojin Gold & Silver Refinery Co., Ltd.
CHINA
CID001622
Conformant
Gold
Sichuan Tianze Precious Metals Co., Ltd.
CHINA
CID001736
Conformant
Gold
Singway Technology Co., Ltd.
TAIWAN, PROVINCE OF CHINA
CID002516
Conformant
Gold
SOE Shyolkovsky Factory of Secondary Precious Metals
RUSSIAN FEDERATION
CID001756
Conformant
Gold
Solar Applied Materials Technology Corp.
TAIWAN, PROVINCE OF CHINA
CID001761
Conformant
Gold
Sovereign Metals
INDIA
CID003383
Outreach Required
Gold
State Research Institute Center for Physical Sciences and Technology
LITHUANIA
CID003153
Outreach Required
Gold
Sudan Gold Refinery
SUDAN
CID002567
Outreach Required
Gold
Sumitomo Metal Mining Co., Ltd.
JAPAN
CID001798
Conformant
Gold
SungEel HiMetal Co., Ltd.
KOREA, REPUBLIC OF
CID002918
Conformant
Gold
T.C.A S.p.A
ITALY
CID002580
Conformant
Gold
Tanaka Kikinzoku Kogyo K.K.
JAPAN
CID001875
Conformant
Gold
The Refinery of Shandong Gold Mining Co., Ltd.
CHINA
CID001916
Conformant
Gold
Tokuriki Honten Co., Ltd.
JAPAN
CID001938
Conformant
Gold
Tongling Nonferrous Metals Group Co., Ltd.
CHINA
CID001947
Outreach Required
Gold
Tony Goetz NV
BELGIUM
CID002587
Non Conformant
Gold
TOO Tau-Ken-Altyn
KAZAKHSTAN
CID002615
Conformant
Gold
Torecom
KOREA, REPUBLIC OF
CID001955
Conformant
Gold
Umicore Brasil Ltda.
BRAZIL
CID001977
Conformant
Gold
Umicore Precious Metals Thailand
THAILAND
CID002314
Conformant
Gold
Umicore S.A. Business Unit Precious Metals Refining
BELGIUM
CID001980
Conformant
Gold
United Precious Metal Refining, Inc.
UNITED STATES OF AMERICA
CID001993
Conformant
Gold
Valcambi S.A.
SWITZERLAND
CID002003
Conformant
Gold
Western Australian Mint (T/a The Perth Mint)
AUSTRALIA
CID002030
Conformant
Gold
WIELAND Edelmetalle GmbH
GERMANY
CID002778
Conformant
Gold
Yamakin Co., Ltd.
JAPAN
CID002100
Conformant
Gold
Yokohama Metal Co., Ltd.
JAPAN
CID002129
Conformant
Gold
Yunnan Copper Industry Co., Ltd.
CHINA
CID000197
Outreach Required
Gold
Zhongyuan Gold Smelter of Zhongjin Gold Corporation
CHINA
CID002224
Conformant
Tantalum
Asaka Riken Co., Ltd.
JAPAN
CID000092
Conformant
Tantalum
Changsha South Tantalum Niobium Co., Ltd.
CHINA
CID000211
Conformant
Tantalum
CP Metals Inc.
UNITED STATES OF AMERICA
CID003402
Conformant




Tantalum
D Block Metals, LLC
UNITED STATES OF AMERICA
CID002504
Conformant
Tantalum
Exotech Inc.
UNITED STATES OF AMERICA
CID000456
Conformant
Tantalum
F&X Electro-Materials Ltd.
CHINA
CID000460
Conformant
Tantalum
FIR Metals & Resource Ltd.
CHINA
CID002505
Conformant
Tantalum
Global Advanced Metals Aizu
JAPAN
CID002558
Conformant
Tantalum
Global Advanced Metals Boyertown
UNITED STATES OF AMERICA
CID002557
Conformant
Tantalum
Guangdong Zhiyuan New Material Co., Ltd.
CHINA
CID000616
Conformant
Tantalum
H.C. Starck Co., Ltd.
THAILAND
CID002544
Conformant
Tantalum
H.C. Starck Hermsdorf GmbH
GERMANY
CID002547
Conformant
Tantalum
H.C. Starck Inc.
UNITED STATES OF AMERICA
CID002548
Conformant
Tantalum
H.C. Starck Ltd.
JAPAN
CID002549
Conformant
Tantalum
H.C. Starck Smelting GmbH & Co. KG
GERMANY
CID002550
Conformant
Tantalum
H.C. Starck Tantalum and Niobium GmbH
GERMANY
CID002545
Conformant
Tantalum
Hengyang King Xing Lifeng New Materials Co., Ltd.
CHINA
CID002492
Conformant
Tantalum
Jiangxi Dinghai Tantalum & Niobium Co., Ltd.
CHINA
CID002512
Conformant
Tantalum
Jiangxi Tuohong New Raw Material
CHINA
CID002842
Conformant
Tantalum
JiuJiang JinXin Nonferrous Metals Co., Ltd.
CHINA
CID000914
Conformant
Tantalum
Jiujiang Tanbre Co., Ltd.
CHINA
CID000917
Conformant
Tantalum
Jiujiang Zhongao Tantalum & Niobium Co., Ltd.
CHINA
CID002506
Conformant
Tantalum
KEMET Blue Metals
MEXICO
CID002539
Conformant
Tantalum
LSM Brasil S.A.
BRAZIL
CID001076
Conformant
Tantalum
Metallurgical Products India Pvt., Ltd.
INDIA
CID001163
Conformant
Tantalum
Mineracao Taboca S.A.
BRAZIL
CID001175
Conformant
Tantalum
Mitsui Mining and Smelting Co., Ltd.
JAPAN
CID001192
Conformant
Tantalum
Ningxia Orient Tantalum Industry Co., Ltd.
CHINA
CID001277
Conformant
Tantalum
NPM Silmet AS
ESTONIA
CID001200
Conformant
Tantalum
PRG Dooel
NORTH MACEDONIA, REPUBLIC OF
CID002847
Conformant
Tantalum
QuantumClean
UNITED STATES OF AMERICA
CID001508
Conformant
Tantalum
Resind Industria e Comercio Ltda.
BRAZIL
CID002707
Conformant
Tantalum
Solikamsk Magnesium Works OAO
RUSSIAN FEDERATION
CID001769
Conformant
Tantalum
Taki Chemical Co., Ltd.
JAPAN
CID001869
Conformant
Tantalum
Telex Metals
UNITED STATES OF AMERICA
CID001891
Conformant
Tantalum
Ulba Metallurgical Plant JSC
KAZAKHSTAN
CID001969
Conformant
Tantalum
XinXing HaoRong Electronic Material Co., Ltd.
CHINA
CID002508
Conformant
Tantalum
Yanling Jincheng Tantalum & Niobium Co., Ltd.
CHINA
CID001522
Conformant
Tin
Alpha
UNITED STATES OF AMERICA
CID000292
Conformant
Tin
An Vinh Joint Stock Mineral Processing Company
VIET NAM
CID002703
Outreach Required
Tin
Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.
CHINA
CID000228
Conformant
Tin
Chifeng Dajingzi Tin Industry Co., Ltd.
CHINA
CID003190
Conformant
Tin
China Tin Group Co., Ltd.
CHINA
CID001070
Conformant
Tin
Dongguan CiEXPO Environmental Engineering Co., Ltd.
CHINA
CID003356
Non Conformant
Tin
Dowa
JAPAN
CID000402
Conformant
Tin
Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company
VIET NAM
CID002572
Non Conformant




Tin
EM Vinto
BOLIVIA (PLURINATIONAL STATE OF)
CID000438
Conformant
Tin
Estanho de Rondonia S.A.
BRAZIL
CID000448
In Communication
Tin
Fenix Metals
POLAND
CID000468
Conformant
Tin
Gejiu City Fuxiang Industry and Trade Co., Ltd.
CHINA
CID003410
Outreach Required
Tin
Gejiu Kai Meng Industry and Trade LLC
CHINA
CID000942
Conformant
Tin
Gejiu Non-Ferrous Metal Processing Co., Ltd.
CHINA
CID000538
Conformant
Tin
Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.
CHINA
CID001908
Conformant
Tin
Gejiu Zili Mining And Metallurgy Co., Ltd.
CHINA
CID000555
Conformant
Tin
Guangdong Hanhe Non-Ferrous Metal Co., Ltd.
CHINA
CID003116
Conformant
Tin
Guanyang Guida Nonferrous Metal Smelting Plant
CHINA
CID002849
Conformant
Tin
HuiChang Hill Tin Industry Co., Ltd.
CHINA
CID002844
Conformant
Tin
Huichang Jinshunda Tin Co., Ltd.
CHINA
CID000760
Conformant
Tin
Jiangxi New Nanshan Technology Ltd.
CHINA
CID001231
Conformant
Tin
Luna Smelter, Ltd.
RWANDA
CID003387
Conformant
Tin
Ma'anshan Weitai Tin Co., Ltd.
CHINA
CID003379
Conformant
Tin
Magnu's Minerais Metais e Ligas Ltda.
BRAZIL
CID002468
Conformant
Tin
Malaysia Smelting Corporation (MSC)
MALAYSIA
CID001105
Conformant
Tin
Melt Metais e Ligas S.A.
BRAZIL
CID002500
Conformant
Tin
Metallic Resources, Inc.
UNITED STATES OF AMERICA
CID001142
Conformant
Tin
Metallo Belgium N.V.
BELGIUM
CID002773
Conformant
Tin
Metallo Spain S.L.U.
SPAIN
CID002774
Conformant
Tin
Mineracao Taboca S.A.
BRAZIL
CID001173
Conformant
Tin
Minsur
PERU
CID001182
Conformant
Tin
Mitsubishi Materials Corporation
JAPAN
CID001191
Conformant
Tin
Modeltech Sdn Bhd
MALAYSIA
CID002858
Non Conformant
Tin
Nghe Tinh Non-Ferrous Metals Joint Stock Company
VIET NAM
CID002573
Outreach Required
Tin
O.M. Manufacturing (Thailand) Co., Ltd.
THAILAND
CID001314
Conformant
Tin
O.M. Manufacturing Philippines, Inc.
PHILIPPINES
CID002517
Conformant
Tin
Operaciones Metalurgicas S.A.
BOLIVIA (PLURINATIONAL STATE OF)
CID001337
Conformant
Tin
Pongpipat Company Limited
MYANMAR
CID003208
Outreach Required
Tin
Precious Minerals and Smelting Limited
INDIA
CID003409
Active
Tin
PT Artha Cipta Langgeng
INDONESIA
CID001399
Conformant
Tin
PT ATD Makmur Mandiri Jaya
INDONESIA
CID002503
Conformant
Tin
PT Menara Cipta Mulia
INDONESIA
CID002835
Conformant
Tin
PT Mitra Stania Prima
INDONESIA
CID001453
Conformant
Tin
PT Refined Bangka Tin
INDONESIA
CID001460
Conformant
Tin
PT Timah Tbk Kundur
INDONESIA
CID001477
Conformant
Tin
PT Timah Tbk Mentok
INDONESIA
CID001482
Conformant
Tin
Resind Industria e Comercio Ltda.
BRAZIL
CID002706
Conformant
Tin
Rui Da Hung
TAIWAN, PROVINCE OF CHINA
CID001539
Conformant
Tin
Soft Metais Ltda.
BRAZIL
CID001758
Conformant
Tin
Super Ligas
BRAZIL
CID002756
Outreach Required
Tin
Thai Nguyen Mining and Metallurgy Co., Ltd.
VIET NAM
CID002834
Conformant
Tin
Thaisarco
THAILAND
CID001898
Conformant




Tin
Tin Technology & Refining
UNITED STATES OF AMERICA
CID003325
Conformant
Tin
Tuyen Quang Non-Ferrous Metals Joint Stock Company
VIET NAM
CID002574
Outreach Required
Tin
White Solder Metalurgia e Mineracao Ltda.
BRAZIL
CID002036
Conformant
Tin
Yunnan Chengfeng Non-ferrous Metals Co., Ltd.
CHINA
CID002158
Conformant
Tin
Yunnan Tin Company Limited
CHINA
CID002180
Conformant
Tin
Yunnan Yunfan Non-ferrous Metals Co., Ltd.
CHINA
CID003397
Conformant
Tungsten
A.L.M.T. Corp.
JAPAN
CID000004
Conformant
Tungsten
ACL Metais Eireli
BRAZIL
CID002833
Conformant
Tungsten
Albasteel Industria e Comercio de Ligas Para Fundicao Ltd.
BRAZIL
CID003427
Active
Tungsten
Asia Tungsten Products Vietnam Ltd.
VIET NAM
CID002502
Conformant
Tungsten
Chenzhou Diamond Tungsten Products Co., Ltd.
CHINA
CID002513
Conformant
Tungsten
China Molybdenum Co., Ltd.
CHINA
CID002641
In Communication
Tungsten
Chongyi Zhangyuan Tungsten Co., Ltd.
CHINA
CID000258
Conformant
Tungsten
CNMC (Guangxi) PGMA Co., Ltd.
CHINA
CID000281
Outreach Required
Tungsten
CP Metals Inc.
UNITED STATES OF AMERICA
CID003448
Active
Tungsten
Fujian Ganmin RareMetal Co., Ltd.
CHINA
CID003401
Conformant
Tungsten
Fujian Jinxin Tungsten Co., Ltd.
CHINA
CID000499
Conformant
Tungsten
Ganzhou Haichuang Tungsten Co., Ltd.
CHINA
CID002645
Conformant
Tungsten
Ganzhou Huaxing Tungsten Products Co., Ltd.
CHINA
CID000875
Conformant
Tungsten
Ganzhou Jiangwu Ferrotungsten Co., Ltd.
CHINA
CID002315
Conformant
Tungsten
Ganzhou Seadragon W & Mo Co., Ltd.
CHINA
CID002494
Conformant
Tungsten
GEM Co., Ltd.
CHINA
CID003417
In Communication
Tungsten
Global Tungsten & Powders Corp.
UNITED STATES OF AMERICA
CID000568
Conformant
Tungsten
Guangdong Xianglu Tungsten Co., Ltd.
CHINA
CID000218
Conformant
Tungsten
H.C. Starck Smelting GmbH & Co. KG
GERMANY
CID002542
Conformant
Tungsten
H.C. Starck Tungsten GmbH
GERMANY
CID002541
Conformant
Tungsten
Hunan Chenzhou Mining Co., Ltd.
CHINA
CID000766
Conformant
Tungsten
Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji
CHINA
CID002579
Conformant
Tungsten
Hunan Chunchang Nonferrous Metals Co., Ltd.
CHINA
CID000769
Conformant
Tungsten
Hunan Litian Tungsten Industry Co., Ltd.
CHINA
CID003182
Conformant
Tungsten
Hydrometallurg, JSC
RUSSIAN FEDERATION
CID002649
Conformant
Tungsten
Japan New Metals Co., Ltd.
JAPAN
CID000825
Conformant
Tungsten
Jiangwu H.C. Starck Tungsten Products Co., Ltd.
CHINA
CID002551
Conformant
Tungsten
Jiangxi Gan Bei Tungsten Co., Ltd.
CHINA
CID002321
Conformant
Tungsten
Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.
CHINA
CID002313
Communication Suspended - Not Interested
Tungsten
Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.
CHINA
CID002318
Conformant
Tungsten
Jiangxi Xianglu Tungsten Co., Ltd.
CHINA
CID002647
Active
Tungsten
Jiangxi Xinsheng Tungsten Industry Co., Ltd.
CHINA
CID002317
Conformant
Tungsten
Jiangxi Yaosheng Tungsten Co., Ltd.
CHINA
CID002316
Conformant
Tungsten
JSC "Kirovgrad Hard Alloys Plant"
RUSSIAN FEDERATION
CID003408
Active
Tungsten
Kennametal Fallon
UNITED STATES OF AMERICA
CID000966
Conformant
Tungsten
Kennametal Huntsville
UNITED STATES OF AMERICA
CID000105
Conformant
Tungsten
KGETS Co., Ltd.
KOREA, REPUBLIC OF
CID003388
Conformant




Tungsten
Lianyou Metals Co., Ltd.
TAIWAN, PROVINCE OF CHINA
CID003407
Conformant
Tungsten
Malipo Haiyu Tungsten Co., Ltd.
CHINA
CID002319
Conformant
Tungsten
Masan Tungsten Chemical LLC (MTC)
VIET NAM
CID002543
Conformant
Tungsten
Moliren Ltd.
RUSSIAN FEDERATION
CID002845
Conformant
Tungsten
Niagara Refining LLC
UNITED STATES OF AMERICA
CID002589
Conformant
Tungsten
NPP Tyazhmetprom LLC
RUSSIAN FEDERATION
CID003416
Active
Tungsten
Philippine Chuangxin Industrial Co., Inc.
PHILIPPINES
CID002827
Conformant
Tungsten
Tejing (Vietnam) Tungsten Co., Ltd.
VIET NAM
CID001889
Conformant
Tungsten
Unecha Refractory metals plant
RUSSIAN FEDERATION
CID002724
Conformant
Tungsten
Wolfram Bergbau und Hutten AG
AUSTRIA
CID002044
Conformant
Tungsten
Woltech Korea Co., Ltd.
KOREA, REPUBLIC OF
CID002843
Conformant
Tungsten
Xiamen Tungsten (H.C.) Co., Ltd.
CHINA
CID002320
Conformant
Tungsten
Xiamen Tungsten Co., Ltd.
CHINA
CID002082
Conformant
Tungsten
Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.
CHINA
CID002830
Conformant
Tungsten
Xinhai Rendan Shaoguan Tungsten Co., Ltd.
CHINA
CID002095
Conformant






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.

Afghanistan Albania Angola Argentina Armenia Australia Austria Belarus Belgium Bermuda Bolivia Brazil Bulgaria Burundi Cambodia Canada Central African Republic Chile China Colombia Czech Republic Djibouti Dominican Republic DRC or an adjoining country (Covered Countries) Ecuador Egypt England Estonia Ethiopia Finland France Germany Ghana Guinea Guyana Hungary India Indonesia Ireland Israel Italy Ivory Coast Japan Kazakhstan Kenya Kyrgyzstan Laos Liberia Lithuania Luxembourg Madagascar Malaysia Mali Mauritania Mexico Mongolia Morocco Mozambique Myanmar Namibia Netherlands New Zealand Niger Nigeria Papua New Guinea Peru Philippines Poland Portugal Republic Of Korea Russia Rwanda Saudi Arabia Sierra Leone Singapore Slovakia Slovenia South Africa Spain Sudan Suri Suriname Sweden Switzerland Tanzania Thailand Turkey Uganda United Arab Emirates United Kingdom USA Uzbekistan Viet Nam Zambia Zimbabwe