EX-1.01 2 exhibit101.htm EX-1.01 Document

Exhibit 1.01

CONMED Corporation
Conflict Minerals Report
For the Year Ended December 31, 2022

We have made statements in this Conflict Minerals Report that may constitute forward-looking statements about our plans to take additional actions or to implement additional procedures with respect to our due diligence efforts to determine the origin of conflict minerals included in our products. There can be no assurance that these future events will occur as anticipated. Forward-looking statements speak only as of the date they were made, and we undertake no obligation to publicly update them. Our reporting obligations under the conflict minerals rules may change in the future and our ability to implement certain processes or obtain information from our suppliers may differ materially from those anticipated or implied in this report.


1. Introduction

CONMED Corporation (“CONMED”, the “Company”, “we”, “our” or “us”) is filing this Conflict Minerals Report (“CMR”) pursuant to Rule 13p-1 under the Securities Exchange Act of 1934, as amended, for the year ended December 31, 2022.

This Conflict Minerals Report describes our reasonable country of origin inquiry (“RCOI”), the results thereof, and the design of our due diligence measures to determine whether 3TGs in products that CONMED manufactures, or contracts to manufacture, originated in the Democratic Republic of the Congo (“DRC”) or an adjoining country (the “Covered Countries”). The Covered Countries include Angola, Burundi, Central African Republic, the Republic of the Congo, Rwanda, South Sudan, Tanzania, Uganda, and Zambia. The term “Conflict Minerals” is defined as columbite-tantalite (coltan), cassiterite, gold, wolframite, or their derivatives, which are limited to tantalum, tin, and tungsten. For purposes of this CMR, tin, tungsten, tantalum and gold will collectively be referred to as the 3TGs. This report also provides an account of how these due diligence measures were implemented in 2022.

This report is available on our website at www.conmed.com/en-us/investor-relations in the SEC Filings section.

2. Company Overview

CONMED is a medical technology company that provides devices and equipment for surgical procedures. The Company’s products are used by surgeons and other healthcare professionals in a variety of specialties including orthopedics, general surgery, gynecology, thoracic surgery, and gastroenterology.

Products

Our product lines consist of orthopedic surgery and general surgery. Orthopedic surgery consists of sports medicine instrumentation and small bone, large bone, and specialty powered surgical instruments as well as imaging systems for use in minimally invasive surgery procedures and service fees related to the sales representation, promotion, and marketing of sports medicine allograft tissue. General surgery consists of a complete line of endo-mechanical instrumentation for use in minimally invasive laparoscopic and gastrointestinal procedures, smoke evacuation devices, a line of cardiac monitoring products as well as electrosurgical generators and related instruments. 3TGs are in a significant portion of CONMED products due to electronics being a vital component to many of our product offerings. All four 3TGs are found within various electrical components that make up CONMED products, such as capacitors, rectifiers, relays, and electrical connectors.

Conflict Minerals Policy

The Company has actively engaged with our customers and suppliers for several years with respect to the use of conflict minerals. Our actions are a result of the Company’s responsible and inclusive culture and longstanding leadership in corporate responsibility. In addition to the measures described above, we have adopted a conflict minerals supply policy. This policy is available on our website at www.conmed.com/en-us/corporate-footer/policies in the Corporate Governance section.


E-1


3. Reasonable Country of Origin Inquiry

Because conflict minerals are necessary to the functionality or production of products that we manufacture, we have conducted in good faith a reasonable country of origin inquiry regarding those conflict minerals. The RCOI is reasonably designed to determine whether any of the conflict minerals originated in the DRC, or the Covered Countries, or are from recycled or scrap sources.

Our RCOI employed a combination of measures to determine whether the 3TGs necessary for the functionality or production of CONMED products originated from the DRC or any of the Covered Countries. The Company’s primary means of determining country of origin of the necessary 3TGs was by conducting a supply chain survey with direct suppliers using the Responsible Business Alliance’s Conflict Minerals Reporting Template v6.22 (“CMRT”). This supply chain survey was implemented with the assistance of a third-party service provider, who is also assisting us with the development and implementation of additional steps that we are undertaking with suppliers in regards to conflict minerals.

As an initial step, we identified all first-tier suppliers that provided items to CONMED that were used in final products in 2022. This list included many suppliers that did not provide any 3TGs. Any suppliers that appeared on this initial list could be placed out of scope during the supplier survey process. For example, if they were included on the initial list in error and they did not in fact provide components or 3TG components used in our products or, as the CMRT allows, because any 3TGs in those components are unnecessary to the functionality or production of the supplier’s products, they were listed as out of scope. The remaining number of suppliers in 2022 was 99.

The CMRT was developed to facilitate disclosure and communication of information regarding smelters that provide 3TG materials to a company’s supply chain. It includes questions regarding a supplier’s “conflict-free” policy, engagement with its direct suppliers, and a listing of the smelters used in products provided to CONMED. In addition, the template contains questions about the origin of 3TGs included in the supplier’s products, as well as supplier due diligence. To ensure our suppliers understand our expectations regarding the sourcing of 3TGs, we and our third-party consultant have provided training to our suppliers through webinars, videos and substantial one-on-one discussions.

This year’s program continues to include automated data validation on all submitted CMRTs. The goal of data validation is to increase the accuracy of submissions and identify any contradictory answers in the CMRT. The results of this data validation contribute to the program’s health assessment and are shared with the suppliers to ensure they understand areas that require clarification or improvement.

All submitted forms are accepted and classified as valid or invalid so that data is still retained. Suppliers were contacted in regards to invalid forms and were encouraged to resubmit a valid form. As of May 1st, 2023, approximately 94% of the 99 CONMED suppliers contacted provided a response with one response being an invalid supplier submission. Non-responsive suppliers were contacted numerous times by both our third-party consultant and CONMED personnel. The majority of CMRTs provided by CONMED suppliers are at the company level and therefore cannot be definitively linked to any specific CONMED product.

Based on the responses to our RCOI, CONMED is unable to determine that 3TGs necessary to the functionality or production of our products did not originate in the DRC or any of the Covered Countries. Accordingly, CONMED engaged in the due diligence measures on the source and chain of custody of those 3TGs, as described in the next section of this Conflict Minerals Report.

4.0 Design of Due Diligence Measures

Our due diligence measures have been designed to conform, in all material respects, with the framework established in The Organization for Economic Co-operation and Development (“OECD”) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (“OECD Guidance”) and the related Supplements for gold, tin, tantalum and tungsten.

4.1 Establish Strong Company Management Systems

As described above, CONMED has adopted a conflict minerals policy, which is located in the Corporate Governance section of the CONMED Corporation website (www.conmed.com/en-us/corporate-footer/policies).

Internal Team

E-2


CONMED has established a management system regarding the sourcing of 3TGs. Our management system includes both internal and external resources led by a project manager and subject matter experts at each of our manufacturing locations. This group is responsible for implementing our conflict minerals strategy. Senior management is briefed about the results of our due diligence efforts on a regular basis. We also use a third-party service provider to assist us with evaluating supply chain information regarding 3TGs and in the development and implementation of additional due diligence steps that we will undertake with suppliers in regard to conflict minerals.

Control Systems

As we do not typically have a direct relationship with 3TG smelters and refiners, and due to our position in the supply chain and limited insight into deeper levels of the supply chain, we are engaged and actively cooperate with other major manufacturers in the medical device industry regarding 3TG sourcing matters.

With regards to our suppliers, controls include, but are not limited to, our Code of Conduct, which outlines expected behaviors for all CONMED employees; our supplier approval and review process, as well as contractual protections, as described further below; and business relationships with our suppliers.

Supply Chain Due Diligence

We obtain various component products from suppliers that we use in manufacturing our products. Due to our size, the complexity of our products, and the depth, breadth, and constant evolution of our supply chain, among other reasons, it is difficult for us to identify actors upstream from our direct suppliers. As part of our supply chain procedures, we require in our supply contracts that our direct suppliers provide information on the origin of the 3TGs contained in components and materials supplied to us - including sources of 3TGs that are supplied to them from all applicable lower-tier suppliers. Contracts with our direct suppliers are frequently multi-year term contracts. In those cases, although we generally are unable to unilaterally impose new contract terms and flow-down requirements prior to the expiration of the contract, we work individually with key selected suppliers to ensure they provide 3TG sourcing information for all current contracts, and in all new contracts in the future. We have approached existing suppliers to adopt amendments regarding 3TGs, and as we renew contracts or enter into new ones, we add a clause that requires all applicable suppliers to provide information about the source of 3TGs and information about the smelters from which 3TGs are sourced. In light of existing contract term durations, it will take some time to ensure that all supplier contracts contain what we believe are appropriate “flow-down” clauses. In the meantime, and in parallel, all purchase orders for direct materials used in the composition of our products require that suppliers provide CONMED with Conflict Minerals information on the current Conflict Minerals Reporting Template, or CMRT (as described further below), and that components must be free of Conflict Minerals.

Supplier Engagement

With respect to the OECD requirement to strengthen engagement with suppliers, we use a Supplier Approval Process that evaluates our suppliers based on their quality systems and their readiness to provide CONMED all of the required services and support documents.

We put a strong emphasis on supplier education and training. To accomplish this, we utilized our third-party consultant’s learning management system and provided all in-scope suppliers access to conflict minerals training courses. This training is tracked and evaluated based on completion. All suppliers are encouraged to complete all modules within these courses.

Grievance Mechanism

Various communication channels exist to serve as grievance mechanisms for early-warning risk awareness. We have multiple longstanding grievance mechanisms whereby employees (internal) and suppliers (external) can report violations of CONMED’s policies. This includes, but is not limited to our whistleblower hotline that is part of our Code of Business Conduct and Ethics policy located in the Corporate Governance section of our website at www.conmed.com/en-us/corporate-footer/policies in the Corporate Governance section.

Maintain Records

We have adopted a policy to retain relevant documentation, including the records of our due diligence process, for a minimum period of five years.

E-3


4.2 Risk Identification, Assessment and Response

In accordance with OECD Guidelines, it is important to understand risk levels associated with conflict minerals in the supply chain. Smelters that are not certified as DRC-Conflict Free by third-party sources such as the Responsible Minerals Initiative (“RMI”) pose a significant risk.

Where a smelter is not identified as Conflict Free by such sources, we assess them according to red flag indicators defined in the OECD Guidance. This rating is based on various factors, including geographic proximity to the DRC and covered countries; known mineral source country of origin; Responsible Minerals Assurance Process (RMAP) audit status; credible evidence of unethical or conflict sourcing and Peer Assessments conducted by credible third-party sources.

Additionally, suppliers are evaluated on program strength (further assisting in identifying risk in the supply chain). Evaluating and tracking the strength of the program can assist in making key risk mitigation decisions as the program progresses. The criteria used to evaluate the strength of the supplier’s program are:

Have you established a conflict minerals sourcing policy?
Have you implemented due diligence measures for conflict-free sourcing?
Do you review due diligence information received from your suppliers against your company’s expectations?
Does your review process include corrective action management?

When suppliers answer yes, they are deemed to have a strong program. When suppliers do not meet those criteria, they are deemed to have a weak program.

As part of our risk management plan and to ensure suppliers understand our expectations, we have, through a third party, provided video and written training on conflict minerals and the CMRT. This includes instructions on completing the form, and one-on-one email and phone discussions with supplier personnel.

As described in our Conflict Minerals Policy, we engage any of our suppliers whom we have reason to believe are supplying us with 3TGs from sources that may support conflict in the DRC or any of the Covered Countries to establish an alternative source of 3TGs that does not support such conflict, as provided in the OECD guidance. If we are not satisfied with the results, we will then take steps to terminate a contract and find replacement suppliers.

Additionally, in designing and implementing our strategy to respond to the supply chain risks that we identified, CONMED analyzed various industry approaches and consulted with other companies in our industry.

Tracing materials back to their mine of origin is a complex aspect of responsible sourcing in our supply chain. We have determined that seeking information about 3TG smelters and refiners in our supply chain represents the most reasonable effort we can make to determine the mines or locations of origin of the 3TGs in our supply chain. This was done by adopting the methodology outlined by the RMI’s joint industry programs and outreach initiatives and requiring our suppliers to conform to the same standards to meet the OECD Guidelines, and report to us using the CMRT. Through this industry joint effort, we made reasonable determination of the mines or locations of origin of the 3TGs in our supply chain. We also requested that all of our suppliers support the initiative by following the sourcing initiative and working to align their declared sources with the “Known” and “Conflict Free” lists of sourced metals.

We believe that the inquiries and investigations described above represent a reasonable effort to determine the mines or locations of origin of the 3TGs in our Covered Products. This includes: (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 the expanding RMI lists, (3) conducting the due diligence review, and (4) obtaining additional documentation and verification, as applicable.

4.3 Carry out Independent Third-Party Audit of Supply Chain Due Diligence at Identified Points in the Supply Chain

The Company relies on third-party audits of smelters and refiners conducted as part of the Responsible Minerals Assurance Process (RMAP). The RMAP uses independent private-sector auditors, and audits 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. We do not typically have a direct relationship with 3TG smelters and refiners, and we do not perform or direct audits of these entities within our supply chain.

E-4


4.4 Report Annually on Supply Chain Due Diligence

CONMED reports annually on supply chain due diligence by filing a Form SD and a Conflict Minerals Report with the SEC. CONMED’s Form SD and Conflict Minerals Report can be found in the SEC Filings section of the CONMED site at www.conmed.com/en-us/investor-relations.

5. Due Diligence Results

As described above, as part of our supply chain due diligence process, we identified suppliers likely to utilize 3TGs in the products that they provide to us. We utilized the CMRT to facilitate disclosure and communication of information regarding smelters that provide 3TGs used in products supplied to us by those suppliers for incorporation into our products.

The quality of the responses that we received from our surveyed suppliers also continue to be varied. Many responses provided by suppliers (via the CMRT) included the names of facilities listed by the suppliers as smelters or refiners. The CMRTs submitted by suppliers that do not list at least one smelter for each 3TG claimed on the CMRT are considered invalid and our third-party provider follows up on these, urging suppliers to resubmit with increased smelter information. There are still suppliers unable to provide the smelters or refiners used for materials supplied to us.

For all responses that indicated a smelter, our third-party consultant compared the facilities listed to the list of smelters maintained by the Responsible Minerals Initiative. If a supplier indicated that the facility was certified as “Conflict-Free,” our third-party consultant confirmed that the name was listed by RMI as a “Conflict-Free” smelter. As of May 1st, 2023, we have validated 340 legitimate smelters or refiners and we are working to validate the additional smelter/refiner entries from the submitted CMRTs. Based on the smelter list provided by suppliers via the CMRTs and publicly available information, we have identified 222 smelters that are deemed “Responsible Minerals Assurance Process (RMAP) Conformant” - this indicates these smelters and refiners are conformant with the RMAP assessment protocols. There are 8 more smelters or refiners that are deemed “RMAP Active” - Smelters and refiners on the Active list have committed to undergo a RMAP audit. In addition, we have identified 24 smelters and refiners that are not conformant with the RMAP assessment protocols. The remaining 86 smelters listed have not yet been confirmed as Conflict-Free. Attachment A lists the smelters and refiners that the suppliers we surveyed reported as being in their supply chains. We have not listed in Attachment A any smelters or refiners that we have not been able to validate. Attachment B includes an aggregated list of the countries of origin from which the reported facilities collectively source conflict minerals, based on information provided by suppliers and RMI.

Many responses received either provided data at a company or subsidiary level and chose not to provide information at the component level, or did not specify the smelters or refiners used for components supplied to CONMED. Accordingly, we are unable to determine, in those cases, whether any of the 3TGs reported by the suppliers were contained in components or parts supplied to us, or to validate that any of the smelters or refiners identified are actually in our supply chain.

We expect any of our suppliers that we have reason to believe are supplying us with 3TGs from sources that may support conflict in the Covered Countries to establish an alternative source of 3TGs that does not support such conflict, as provided in the OECD guidance. During 2022, we have found no instances where it was necessary to terminate a contract or find a replacement supplier.

6. Steps to Improve Future Due Diligence and Supply Chain Risk Mitigation

We are taking the following steps to improve our due diligence conducted to further mitigate any risk that the necessary 3TGs in our products could benefit armed groups in the DRC or Covered Countries:

a.Continue to include a conflict minerals clause in all new or renewed supplier contracts.
b.Continue to engage with suppliers and direct them to training resources as mentioned in Section 4.1, Supplier Engagement, to attempt to increase the response rate and improve the content of the supplier survey responses.
All suppliers that were non-responsive will be further contacted to encourage reply.
All suppliers that did not know the origin of the 3TGs in products will be further encouraged to examine their supply chain and enact due diligence measures as per the OECD Due Diligence Guidelines.
c.Engage any of our suppliers found to be supplying us with 3TGs from sources that support conflict in the DRC or any of the Covered Countries to establish an alternative source of 3TGs that do not support such conflict.
E-5


d.Monitor industry best practices and continue to work with a third-party service provider to enhance our due diligence and supply chain management process, as appropriate. This includes requesting Conflict-Free sourcing by our suppliers as further described in our Conflicts Mineral Policy and in the contractual provisions described above in our Supply Chain section under Management Systems.
e.Consider replacing suppliers that remain non-responsive, or that are unable to enact due diligence measures as per the OECD Due Diligence Guidelines.
f.Work with suppliers to move to the latest CMRT where new smelter IDs are constantly being added.
g.Require the use of smelter identification numbers. Supplier responses will not be considered complete without identification numbers.
h.Suppliers will also be requested to inform CONMED of the correlation between these smelters and the products and parts they supply to CONMED.
i.CONMED, through our compliance partner, has reached out to the 24 non-conformant smelters.
j.There are 86 smelters not enrolled in the RMAP audits; however, 14 are currently in communication with our compliance partner who is providing guidance.

7. Independent Audit

In accordance with guidance issued by the SEC staff, we are not required to obtain an independent private sector audit of this Conflict Minerals Report for the year ended December 31, 2022.

E-6



Attachment A

MetalSmelter NameSmelter Facility Location(a)Smelter IDRMAP Audit Status
Gold8853 S.p.A.ItalyCID002763Non Conformant
GoldABC Refinery Pty Ltd.AustraliaCID002920Outreach Required
GoldAbington Reldan Metals, LLCUnited States Of AmericaCID002708Conformant
GoldAdvanced Chemical CompanyUnited States Of AmericaCID000015Conformant
GoldAfrican Gold RefineryUgandaCID003185RMI Due Diligence Review - Unable to Proceed
GoldAgosi AGGermanyCID000035Conformant
GoldAida Chemical Industries Co., Ltd.JapanCID000019Conformant
GoldAl Etihad Gold Refinery DMCCUnited Arab EmiratesCID002560Conformant
GoldAlexy MetalsUnited States Of AmericaCID003500Active
GoldAlmalyk Mining and Metallurgical Complex (AMMC)UzbekistanCID000041Conformant
GoldAngloGold Ashanti Corrego do Sitio MineracaoBrazilCID000058Conformant
GoldArgor-Heraeus S.A.SwitzerlandCID000077Conformant
GoldAsahi Pretec Corp.JapanCID000082Conformant
GoldAsahi Refining Canada Ltd.CanadaCID000924Conformant
GoldAsahi Refining USA Inc.United States Of AmericaCID000920Conformant
GoldAsaka Riken Co., Ltd.JapanCID000090Conformant
GoldAtasay Kuyumculuk Sanayi Ve Ticaret A.S.TurkeyCID000103Outreach Required
GoldAU Traders and RefinersSouth AfricaCID002850Non Conformant
GoldAugmont Enterprises Private LimitedIndiaCID003461Active
GoldAurubis AGGermanyCID000113Conformant
GoldBangalore RefineryIndiaCID002863Conformant
GoldBangko Sentral ng Pilipinas (Central Bank of the Philippines)PhilippinesCID000128Conformant
GoldBoliden ABSwedenCID000157Conformant
GoldC. Hafner GmbH + Co. KGGermanyCID000176Conformant
GoldC.I Metales Procesados Industriales SASColombiaCID003421Active
GoldCaridadMexicoCID000180Outreach Required
GoldCCR Refinery - Glencore Canada CorporationCanadaCID000185Conformant
GoldCendres + Metaux S.A.SwitzerlandCID000189Non Conformant
GoldCGR Metalloys Pvt Ltd.IndiaCID003382Outreach Required
GoldChimet S.p.A.ItalyCID000233Conformant
GoldChugai MiningJapanCID000264Conformant
GoldDaye Non-Ferrous Metals Mining Ltd.ChinaCID000343In Communication
GoldDegussa Sonne / Mond Goldhandel GmbHGermanyCID002867Outreach Required
GoldDijllah Gold Refinery FZCUnited Arab EmiratesCID003348Outreach Required
GoldDongwu Gold GroupChinaCID003663Outreach Required
GoldDowaJapanCID000401Conformant
GoldDSC (Do Sung Corporation)Korea, Republic OfCID000359Conformant
GoldEco-System Recycling Co., Ltd. East PlantJapanCID000425Conformant
GoldEco-System Recycling Co., Ltd. North PlantJapanCID003424Conformant
GoldEco-System Recycling Co., Ltd. West PlantJapanCID003425Conformant
GoldEmerald Jewel Industry India Limited (Unit 1)IndiaCID003487In Communication
E-7


GoldEmerald Jewel Industry India Limited (Unit 2)IndiaCID003488In Communication
GoldEmerald Jewel Industry India Limited (Unit 3)IndiaCID003489In Communication
GoldEmerald Jewel Industry India Limited (Unit 4)IndiaCID003490In Communication
GoldEmirates Gold DMCCUnited Arab EmiratesCID002561Conformant
GoldFidelity Printers and Refiners Ltd.ZimbabweCID002515RMI Due Diligence Review - Unable to Proceed
GoldFujairah Gold FZCUnited Arab EmiratesCID002584Outreach Required
GoldGeib Refining CorporationUnited States Of AmericaCID002459Conformant
GoldGGC Gujrat Gold Centre Pvt. Ltd.IndiaCID002852Active
GoldGold by Gold ColombiaColombiaCID003641Conformant
GoldGold Coast RefineryGhanaCID003186Outreach Required
GoldGold Refinery of Zijin Mining Group Co., Ltd.ChinaCID002243Conformant
GoldGreat Wall Precious Metals Co., Ltd. of CBPMChinaCID001909Outreach Required
GoldGuangdong Jinding Gold LimitedChinaCID002312Outreach Required
GoldGuoda Safina High-Tech Environmental Refinery Co., Ltd.ChinaCID000651Outreach Required
GoldHangzhou Fuchunjiang Smelting Co., Ltd.ChinaCID000671Outreach Required
GoldHeimerle + Meule GmbHGermanyCID000694Conformant
GoldHeraeus Germany GmbH Co. KGGermanyCID000711Conformant
GoldHeraeus Metals Hong Kong Ltd.ChinaCID000707Conformant
GoldHunan Chenzhou Mining Co., Ltd.ChinaCID000767Outreach Required
GoldHunan Guiyang yinxing Nonferrous Smelting Co., Ltd.ChinaCID000773Outreach Required
GoldHwaSeong CJ CO., LTD.Korea, Republic OfCID000778Communication Suspended - Not Interested
GoldIndustrial Refining CompanyBelgiumCID002587Non Conformant
GoldInner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.ChinaCID000801Conformant
GoldInternational Precious Metal RefinersUnited Arab EmiratesCID002562In Communication
GoldIshifuku Metal Industry Co., Ltd.JapanCID000807Conformant
GoldIstanbul Gold RefineryTurkeyCID000814Conformant
GoldItalpreziosiItalyCID002765Conformant
GoldJALAN & CompanyIndiaCID002893Outreach Required
GoldJapan MintJapanCID000823Conformant
GoldJiangxi Copper Co., Ltd.ChinaCID000855Conformant
GoldJSC Ekaterinburg Non-Ferrous Metal Processing PlantRussian FederationCID000927RMI Due Diligence Review - Unable to Proceed
GoldJSC Novosibirsk RefineryRussian FederationCID000493RMI Due Diligence Review - Unable to Proceed
GoldJSC UralelectromedRussian FederationCID000929RMI Due Diligence Review - Unable to Proceed
GoldJX Nippon Mining & Metals Co., Ltd.JapanCID000937Conformant
GoldK.A. RasmussenNorwayCID003497Outreach Required
GoldKaloti Precious MetalsUnited Arab EmiratesCID002563RMI Due Diligence Review - Unable to Proceed
GoldKazakhmys Smelting LLCKazakhstanCID000956In Communication
GoldKazzincKazakhstanCID000957Conformant
GoldKennecott Utah Copper LLCUnited States Of AmericaCID000969Conformant
GoldKGHM Polska Miedz Spolka AkcyjnaPolandCID002511Conformant
E-8


GoldKojima Chemicals Co., Ltd.JapanCID000981Conformant
GoldKorea Zinc Co., Ltd.Korea, Republic OfCID002605Conformant
GoldKundan Care Products Ltd.IndiaCID003463In Communication
GoldKyrgyzaltyn JSCKyrgyzstanCID001029Non Conformant
GoldKyshtym Copper-Electrolytic Plant ZAORussian FederationCID002865RMI Due Diligence Review - Unable to Proceed
GoldL'azurde Company For JewelrySaudi ArabiaCID001032RMI Due Diligence Review - Unable to Proceed
GoldLingbao Gold Co., Ltd.ChinaCID001056Outreach Required
GoldLingbao Jinyuan Tonghui Refinery Co., Ltd.ChinaCID001058Outreach Required
GoldL'Orfebre S.A.AndorraCID002762Conformant
GoldLS-NIKKO Copper Inc.Korea, Republic OfCID001078Conformant
GoldLT Metal Ltd.Korea, Republic OfCID000689Conformant
GoldLuoyang Zijin Yinhui Gold Refinery Co., Ltd.ChinaCID001093Outreach Required
GoldMarsam MetalsBrazilCID002606Non Conformant
GoldMaterionUnited States Of AmericaCID001113Conformant
GoldMatsuda Sangyo Co., Ltd.JapanCID001119Conformant
GoldMD OverseasIndiaCID003548In Communication
GoldMetal Concentrators SA (Pty) Ltd.South AfricaCID003575Conformant
GoldMetallix Refining Inc.United States Of AmericaCID003557In Communication
GoldMetalor Technologies (Hong Kong) Ltd.ChinaCID001149Conformant
GoldMetalor Technologies (Singapore) Pte., Ltd.SingaporeCID001152Conformant
GoldMetalor Technologies (Suzhou) Ltd.ChinaCID001147Conformant
GoldMetalor Technologies S.A.SwitzerlandCID001153Conformant
GoldMetalor USA Refining CorporationUnited States Of AmericaCID001157Conformant
GoldMetalurgica Met-Mex Penoles S.A. De C.V.MexicoCID001161Conformant
GoldMitsubishi Materials CorporationJapanCID001188Conformant
GoldMitsui Mining and Smelting Co., Ltd.JapanCID001193Conformant
GoldMKS PAMP SASwitzerlandCID001352Conformant
GoldMMTC-PAMP India Pvt., Ltd.IndiaCID002509Conformant
GoldModeltech Sdn BhdMalaysiaCID002857Non Conformant
GoldMorris and WatsonNew ZealandCID002282In Communication
GoldMoscow Special Alloys Processing PlantRussian FederationCID001204RMI Due Diligence Review - Unable to Proceed
GoldNadir Metal Rafineri San. Ve Tic. A.S.TurkeyCID001220Conformant
GoldNavoi Mining and Metallurgical CombinatUzbekistanCID001236Conformant
GoldNH Recytech CompanyKorea, Republic OfCID003189Conformant
GoldNihon Material Co., Ltd.JapanCID001259Conformant
GoldOgussa Osterreichische Gold- und Silber-Scheideanstalt GmbHAustriaCID002779Conformant
GoldOhura Precious Metal Industry Co., Ltd.JapanCID001325Conformant
GoldOJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)Russian FederationCID001326RMI Due Diligence Review - Unable to Proceed
GoldPease & CurrenUnited States Of AmericaCID002872Communication Suspended - Not Interested
GoldPenglai Penggang Gold Industry Co., Ltd.ChinaCID001362Outreach Required
GoldPlanta Recuperadora de Metales SpAChileCID002919Conformant
GoldPrioksky Plant of Non-Ferrous MetalsRussian FederationCID001386RMI Due Diligence Review - Unable to Proceed
GoldPT Aneka Tambang (Persero) TbkIndonesiaCID001397Conformant
E-9


GoldPX Precinox S.A.SwitzerlandCID001498Conformant
GoldQG Refining, LLCUnited States Of AmericaCID003324Outreach Required
GoldRand Refinery (Pty) Ltd.South AfricaCID001512Conformant
GoldRefinery of Seemine Gold Co., Ltd.ChinaCID000522Outreach Required
GoldREMONDIS PMR B.V.NetherlandsCID002582Conformant
GoldRoyal Canadian MintCanadaCID001534Conformant
GoldSAAMPFranceCID002761Conformant
GoldSabin Metal Corp.United States Of AmericaCID001546Communication Suspended - Not Interested
GoldSafimet S.p.AItalyCID002973Non Conformant
GoldSAFINA A.S.CzechiaCID002290Conformant
GoldSai RefineryIndiaCID002853Outreach Required
GoldSamduck Precious MetalsKorea, Republic OfCID001555Non Conformant
GoldSamwon Metals Corp.Korea, Republic OfCID001562Communication Suspended - Not Interested
GoldSancus ZFS (L’Orfebre, SA)ColombiaCID003529Conformant
GoldSellem Industries Ltd.MauritaniaCID003540Communication Suspended - Not Interested
GoldSEMPSA Joyeria Plateria S.A.SpainCID001585Conformant
GoldShandong Gold Smelting Co., Ltd.ChinaCID001916Conformant
GoldShandong Humon Smelting Co., Ltd.ChinaCID002525Outreach Required
GoldShandong Tiancheng Biological Gold Industrial Co., Ltd.ChinaCID001619Outreach Required
GoldShandong Zhaojin Gold & Silver Refinery Co., Ltd.ChinaCID001622Conformant
GoldShenzhen CuiLu Gold Co., Ltd.ChinaCID002750Outreach Required
GoldShenzhen Zhonghenglong Real Industry Co., Ltd.ChinaCID002527Outreach Required
GoldShirpur Gold Refinery Ltd.IndiaCID002588Outreach Required
GoldSichuan Tianze Precious Metals Co., Ltd.ChinaCID001736Conformant
GoldSingway Technology Co., Ltd.Taiwan, Province Of ChinaCID002516Non Conformant
GoldSOE Shyolkovsky Factory of Secondary Precious MetalsRussian FederationCID001756RMI Due Diligence Review - Unable to Proceed
GoldSolar Applied Materials Technology Corp.Taiwan, Province Of ChinaCID001761Conformant
GoldSovereign MetalsIndiaCID003383Outreach Required
GoldState Research Institute Center for Physical Sciences and TechnologyLithuaniaCID003153Outreach Required
GoldSudan Gold RefinerySudanCID002567Outreach Required
GoldSumitomo Metal Mining Co., Ltd.JapanCID001798Conformant
GoldSungEel HiMetal Co., Ltd.Korea, Republic OfCID002918Conformant
GoldSuper Dragon Technology Co., Ltd.Taiwan, Province Of ChinaCID001810Outreach Required
GoldT.C.A S.p.AItalyCID002580Conformant
GoldTanaka Kikinzoku Kogyo K.K.JapanCID001875Conformant
GoldTokuriki Honten Co., Ltd.JapanCID001938Conformant
GoldTongling Nonferrous Metals Group Co., Ltd.ChinaCID001947Outreach Required
GoldTOO Tau-Ken-AltynKazakhstanCID002615Conformant
GoldTorecomKorea, Republic OfCID001955Conformant
GoldUmicore Precious Metals ThailandThailandCID002314Non Conformant
GoldUmicore S.A. Business Unit Precious Metals RefiningBelgiumCID001980Conformant
E-10


GoldUnited Precious Metal Refining, Inc.United States Of AmericaCID001993Conformant
GoldValcambi S.A.SwitzerlandCID002003Conformant
GoldWEEEREFININGFranceCID003615Active
GoldWestern Australian Mint (T/a The Perth Mint)AustraliaCID002030Conformant
GoldWIELAND Edelmetalle GmbHGermanyCID002778Conformant
GoldYamakin Co., Ltd.JapanCID002100Conformant
GoldYokohama Metal Co., Ltd.JapanCID002129Conformant
GoldYunnan Copper Industry Co., Ltd.ChinaCID000197Outreach Required
GoldZhongyuan Gold Smelter of Zhongjin Gold CorporationChinaCID002224Conformant
Tantalum5D Production OUEstoniaCID003926Outreach Required
TantalumAMG BrasilBrazilCID001076Conformant
TantalumChangsha South Tantalum Niobium Co., Ltd.ChinaCID000211Conformant
TantalumD Block Metals, LLCUnited States Of AmericaCID002504Conformant
TantalumF&X Electro-Materials Ltd.ChinaCID000460Conformant
TantalumFIR Metals & Resource Ltd.ChinaCID002505Conformant
TantalumGlobal Advanced Metals AizuJapanCID002558Conformant
TantalumGlobal Advanced Metals BoyertownUnited States Of AmericaCID002557Conformant
TantalumHengyang King Xing Lifeng New Materials Co., Ltd.ChinaCID002492Conformant
TantalumJiangxi Dinghai Tantalum & Niobium Co., Ltd.ChinaCID002512Conformant
TantalumJiangxi Tuohong New Raw MaterialChinaCID002842Conformant
TantalumJiuJiang JinXin Nonferrous Metals Co., Ltd.ChinaCID000914Conformant
TantalumJiujiang Tanbre Co., Ltd.ChinaCID000917Conformant
TantalumJiujiang Zhongao Tantalum & Niobium Co., Ltd.ChinaCID002506Conformant
TantalumKEMET de MexicoMexicoCID002539Conformant
TantalumMaterion Newton Inc.United States Of AmericaCID002548Conformant
TantalumMetallurgical Products India Pvt., Ltd.IndiaCID001163Conformant
TantalumMineracao Taboca S.A.BrazilCID001175Conformant
TantalumMitsui Mining and Smelting Co., Ltd.JapanCID001192Conformant
TantalumNingxia Orient Tantalum Industry Co., Ltd.ChinaCID001277Conformant
TantalumNPM Silmet ASEstoniaCID001200Conformant
TantalumQuantumCleanUnited States Of AmericaCID001508Conformant
TantalumResind Industria e Comercio Ltda.BrazilCID002707Conformant
TantalumRFH Yancheng Jinye New Material Technology Co., Ltd.ChinaCID003583Conformant
TantalumSolikamsk Magnesium Works OAORussian FederationCID001769RMI Due Diligence Review - Unable to Proceed
TantalumTaki Chemical Co., Ltd.JapanCID001869Conformant
TantalumTANIOBIS Co., Ltd.ThailandCID002544Conformant
TantalumTANIOBIS GmbHGermanyCID002545Conformant
TantalumTANIOBIS Japan Co., Ltd.JapanCID002549Conformant
TantalumTANIOBIS Smelting GmbH & Co. KGGermanyCID002550Conformant
TantalumTelex MetalsUnited States Of AmericaCID001891Conformant
TantalumUlba Metallurgical Plant JSCKazakhstanCID001969Conformant
TantalumXIMEI RESOURCES (GUANGDONG) LIMITEDChinaCID000616Conformant
TantalumXinXing HaoRong Electronic Material Co., Ltd.ChinaCID002508Conformant
E-11


TantalumYanling Jincheng Tantalum & Niobium Co., Ltd.ChinaCID001522Conformant
TinAlphaUnited States Of AmericaCID000292Conformant
TinAn Vinh Joint Stock Mineral Processing CompanyViet NamCID002703Outreach Required
TinAurubis BeerseBelgiumCID002773Conformant
TinAurubis BerangoSpainCID002774Conformant
TinChenzhou Yunxiang Mining and Metallurgy Co., Ltd.ChinaCID000228Conformant
TinChifeng Dajingzi Tin Industry Co., Ltd.ChinaCID003190Conformant
TinChina Tin Group Co., Ltd.ChinaCID001070Conformant
TinCRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil LtdaBrazilCID003486Conformant
TinCRM SynergiesSpainCID003524Conformant
TinCV Ayi JayaIndonesiaCID002570Conformant
TinCV Venus Inti PerkasaIndonesiaCID002455Conformant
TinDongguan CiEXPO Environmental Engineering Co., Ltd.ChinaCID003356Non Conformant
TinDowaJapanCID000402Conformant
TinElectro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock CompanyViet NamCID002572Non Conformant
TinEM VintoBolivia (Plurinational State Of)CID000438Conformant
TinEstanho de Rondonia S.A.BrazilCID000448Conformant
TinFabrica Auricchio Industria e Comercio Ltda.BrazilCID003582Conformant
TinFenix MetalsPolandCID000468Conformant
TinGejiu City Fuxiang Industry and Trade Co., Ltd.ChinaCID003410Outreach Required
TinGejiu Kai Meng Industry and Trade LLCChinaCID000942Non Conformant
TinGejiu Non-Ferrous Metal Processing Co., Ltd.ChinaCID000538Conformant
TinGejiu Yunxin Nonferrous Electrolysis Co., Ltd.ChinaCID001908Non Conformant
TinGejiu Zili Mining And Metallurgy Co., Ltd.ChinaCID000555Non Conformant
TinGuangdong Hanhe Non-Ferrous Metal Co., Ltd.ChinaCID003116Conformant
TinJiangxi New Nanshan Technology Ltd.ChinaCID001231Conformant
TinLuna Smelter, Ltd.RwandaCID003387Conformant
TinMagnu's Minerais Metais e Ligas Ltda.BrazilCID002468Conformant
TinMalaysia Smelting Corporation (MSC)MalaysiaCID001105Conformant
TinMelt Metais e Ligas S.A.BrazilCID002500Non Conformant
TinMetallic Resources, Inc.United States Of AmericaCID001142Conformant
TinMineracao Taboca S.A.BrazilCID001173Conformant
TinMinsurPeruCID001182Conformant
TinMitsubishi Materials CorporationJapanCID001191Conformant
TinModeltech Sdn BhdMalaysiaCID002858Non Conformant
TinNghe Tinh Non-Ferrous Metals Joint Stock CompanyViet NamCID002573Outreach Required
TinNovosibirsk Tin CombineRussian FederationCID001305RMI Due Diligence Review - Unable to Proceed
TinO.M. Manufacturing (Thailand) Co., Ltd.ThailandCID001314Conformant
TinO.M. Manufacturing Philippines, Inc.PhilippinesCID002517Conformant
E-12


TinOperaciones Metalurgicas S.A.Bolivia (Plurinational State Of)CID001337Conformant
TinPongpipat Company LimitedMyanmarCID003208Outreach Required
TinPrecious Minerals and Smelting LimitedIndiaCID003409Non Conformant
TinPT Aries Kencana SejahteraIndonesiaCID000309Conformant
TinPT Artha Cipta LanggengIndonesiaCID001399Conformant
TinPT ATD Makmur Mandiri JayaIndonesiaCID002503Conformant
TinPT Babel Inti PerkasaIndonesiaCID001402Conformant
TinPT Babel Surya Alam LestariIndonesiaCID001406Conformant
TinPT Bangka Prima TinIndonesiaCID002776Conformant
TinPT Bangka SerumpunIndonesiaCID003205Conformant
TinPT Bangka Tin IndustryIndonesiaCID001419In Communication
TinPT Belitung Industri SejahteraIndonesiaCID001421Active
TinPT Bukit TimahIndonesiaCID001428Conformant
TinPT Cipta Persada MuliaIndonesiaCID002696Conformant
TinPT Menara Cipta MuliaIndonesiaCID002835Conformant
TinPT Mitra Stania PrimaIndonesiaCID001453Conformant
TinPT Mitra Sukses GlobalindoIndonesiaCID003449Conformant
TinPT Panca Mega PersadaIndonesiaCID001457In Communication
TinPT Premium Tin IndonesiaIndonesiaCID000313Conformant
TinPT Prima Timah UtamaIndonesiaCID001458Conformant
TinPT Putera Sarana Shakti (PT PSS)IndonesiaCID003868Conformant
TinPT Rajawali Rimba PerkasaIndonesiaCID003381Conformant
TinPT Rajehan AriqIndonesiaCID002593Conformant
TinPT Refined Bangka TinIndonesiaCID001460Conformant
TinPT Sariwiguna BinasentosaIndonesiaCID001463Conformant
TinPT Stanindo Inti PerkasaIndonesiaCID001468Conformant
TinPT Sukses Inti MakmurIndonesiaCID002816Conformant
TinPT Timah NusantaraIndonesiaCID001486Active
TinPT Timah Tbk KundurIndonesiaCID001477Conformant
TinPT Timah Tbk MentokIndonesiaCID001482Conformant
TinPT Tinindo Inter NusaIndonesiaCID001490Non Conformant
TinPT Tirus Putra MandiriIndonesiaCID002478In Communication
TinPT Tommy UtamaIndonesiaCID001493Conformant
TinResind Industria e Comercio Ltda.BrazilCID002706Conformant
TinRui Da HungTaiwan, Province Of ChinaCID001539Conformant
TinSuper LigasBrazilCID002756Active
TinThaisarcoThailandCID001898Conformant
TinTin Smelting Branch of Yunnan Tin Co., Ltd.ChinaCID002180Conformant
TinTin Technology & RefiningUnited States Of AmericaCID003325Conformant
TinTuyen Quang Non-Ferrous Metals Joint Stock CompanyViet NamCID002574Outreach Required
TinVQB Mineral and Trading Group JSCViet NamCID002015Outreach Required
TinWhite Solder Metalurgia e Mineracao Ltda.BrazilCID002036Conformant
TinYunnan Chengfeng Non-ferrous Metals Co., Ltd.ChinaCID002158Conformant
TinYunnan Yunfan Non-ferrous Metals Co., Ltd.ChinaCID003397Non Conformant
TungstenA.L.M.T. Corp.JapanCID000004Conformant
E-13


TungstenACL Metais EireliBrazilCID002833Non Conformant
TungstenAlbasteel Industria e Comercio de Ligas Para Fundicao Ltd.BrazilCID003427Non Conformant
TungstenArtek LLCRussian FederationCID003553RMI Due Diligence Review - Unable to Proceed
TungstenAsia Tungsten Products Vietnam Ltd.Viet NamCID002502Conformant
TungstenChina Molybdenum Tungsten Co., Ltd.ChinaCID002641Conformant
TungstenChongyi Zhangyuan Tungsten Co., Ltd.ChinaCID000258Conformant
TungstenCNMC (Guangxi) PGMA Co., Ltd.ChinaCID000281Outreach Required
TungstenCronimet Brasil LtdaBrazilCID003468Conformant
TungstenFujian Ganmin RareMetal Co., Ltd.ChinaCID003401Conformant
TungstenFujian Xinlu Tungsten Co., Ltd.ChinaCID003609Conformant
TungstenGanzhou Haichuang Tungsten Co., Ltd.ChinaCID002645Conformant
TungstenGanzhou Huaxing Tungsten Products Co., Ltd.ChinaCID000875Conformant
TungstenGanzhou Jiangwu Ferrotungsten Co., Ltd.ChinaCID002315Conformant
TungstenGanzhou Seadragon W & Mo Co., Ltd.ChinaCID002494Conformant
TungstenGlobal Tungsten & Powders LLCUnited States Of AmericaCID000568Conformant
TungstenGuangdong Xianglu Tungsten Co., Ltd.ChinaCID000218Conformant
TungstenH.C. Starck Tungsten GmbHGermanyCID002541Conformant
TungstenHubei Green Tungsten Co., Ltd.ChinaCID003417Conformant
TungstenHunan Chenzhou Mining Co., Ltd.ChinaCID000766Conformant
TungstenHunan Jintai New Material Co., Ltd.ChinaCID000769Conformant
TungstenHunan Shizhuyuan Nonferrous Metals Co., Ltd. Chenzhou Tungsten Products BranchChinaCID002513Conformant
TungstenHydrometallurg, JSCRussian FederationCID002649RMI Due Diligence Review - Unable to Proceed
TungstenJapan New Metals Co., Ltd.JapanCID000825Conformant
TungstenJiangwu H.C. Starck Tungsten Products Co., Ltd.ChinaCID002551Conformant
TungstenJiangxi Gan Bei Tungsten Co., Ltd.ChinaCID002321Conformant
TungstenJiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.ChinaCID002313Communication Suspended - Not Interested
TungstenJiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.ChinaCID002318Conformant
TungstenJiangxi Xinsheng Tungsten Industry Co., Ltd.ChinaCID002317Conformant
TungstenJiangxi Yaosheng Tungsten Co., Ltd.ChinaCID002316Conformant
TungstenJSC "Kirovgrad Hard Alloys Plant"Russian FederationCID003408RMI Due Diligence Review - Unable to Proceed
TungstenKennametal FallonUnited States Of AmericaCID000966Conformant
TungstenKennametal HuntsvilleUnited States Of AmericaCID000105Conformant
TungstenLianyou Metals Co., Ltd.Taiwan, Province Of ChinaCID003407Conformant
TungstenLLC VostokRussian FederationCID003643RMI Due Diligence Review - Unable to Proceed
TungstenMalipo Haiyu Tungsten Co., Ltd.ChinaCID002319Conformant
TungstenMasan High-Tech MaterialsViet NamCID002543Conformant
TungstenMoliren Ltd.Russian FederationCID002845RMI Due Diligence Review - Unable to Proceed
TungstenNiagara Refining LLCUnited States Of AmericaCID002589Conformant
TungstenNPP Tyazhmetprom LLCRussian FederationCID003416RMI Due Diligence Review - Unable to Proceed
E-14


TungstenOOO “Technolom” 1Russian FederationCID003614RMI Due Diligence Review - Unable to Proceed
TungstenOOO “Technolom” 2Russian FederationCID003612RMI Due Diligence Review - Unable to Proceed
TungstenPhilippine Chuangxin Industrial Co., Inc.PhilippinesCID002827Conformant
TungstenTANIOBIS Smelting GmbH & Co. KGGermanyCID002542Conformant
TungstenUnecha Refractory metals plantRussian FederationCID002724Non Conformant
TungstenWolfram Bergbau und Hutten AGAustriaCID002044Conformant
TungstenXiamen Tungsten (H.C.) Co., Ltd.ChinaCID002320Conformant
TungstenXiamen Tungsten Co., Ltd.ChinaCID002082Conformant
TungstenYudu Ansheng Tungsten Co., Ltd.ChinaCID003662Outreach Required
(a) Locations were obtained directly from the individual smelter files. Therefore, the naming convention for the same location may vary across smelters.

Attachment 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.

AfghanistanCzechiaKenyaRwanda
Ãland IslandsDemocratic Republic of CongoKoreaSamoa
AlbaniaDjiboutiKyrgyzstanSaudi Arabia
American SamoaDominicaLiberiaSenegal
AndorraDominican RepublicLiechtensteinSierra Leone
AngolaEcuadorLithuaniaSingapore
ArgentinaEgyptLuxembourgSlovakia
ArmeniaEritreaMadagascarSlovenia
ArubaEstoniaMalaysiaSouth Africa
AustraliaEthiopiaMaliSouth Sudan
AustriaFinlandMauritaniaSpain
AzerbaijanFranceMexicoSudan
BahamasGeorgiaMongoliaSuriname
BarbadosGermanyMoroccoSweden
BelarusGhanaMozambiqueSwitzerland
BelgiumGuamMyanmarTaiwan
BeninGuatemalaNamibiaTajikistan
BermudaGuineaNetherlandsTanzania
Bolivia (Plurinational State of)GuyanaNew ZealandThailand
BrazilHondurasNicaraguaTurkey
BulgariaHong KongNigerUganda
Burkina FasoHungaryNigeriaUnited Arab Emirates
BurundiIndiaNorwayUnited Kingdom
CambodiaIndonesiaPanamaUnited States
CanadaIrelandPapua New GuineaUzbekistan
Central African RepublicIsraelPeruViet Nam
ChileItalyPhilippinesZambia
ChinaJapanPolandZimbabwe
ColombiaJerseyPortugal
CongoKazakhstanRussian Federation
E-15