EXHIBIT 1.01
Avanos Medical, Inc.
Conflict Minerals Report
For the Year Ended December 31, 2021
I.Introduction
This Conflict Minerals Report (“Report”) by Avanos Medical, Inc., is for the period from January 1, 2021 to December 31, 2021 (“Reporting Period”). Unless the context otherwise indicates, “Avanos,” “Company,” “we,” “us,” and “our” mean Avanos Medical, 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, Avanos 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
Avanos is a medical technology company focused on delivering clinically superior breakthrough medical device solutions to improve patients’ quality of life. Avanos 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. Avanos develops, manufactures and markets its recognized brands in more than 90 countries.
The address of Avanos’ principal executive office is 5405 Windward Parkway, Suite 100 South, Alpharetta, Georgia 30004, and our telephone number is (404) 448-5000.
B.Business Segment
We conduct our business in one operating and reportable segment that provides our medical device products to healthcare providers and patients, and we have manufacturing facilities in the United States, Mexico, France and Tunisia. We provide a portfolio of innovative product offerings focused on chronic care and pain management to improve patient outcomes and reduce the cost of care.
Chronic Care is a portfolio of products that includes: (i) digestive health products and (ii) respiratory health products. The digestive health product category accounted for 43% of our consolidated net sales in the year ended December 31, 2021. Digestive health products include our MIC-KEY enteral feeding tubes, CORPAK patient feeding solutions and NEOMED neonatal and pediatric feeding solutions. The respiratory health product category accounted for 21% of our consolidated net sales in the year ended December 31, 2021. Respiratory health products include closed airway suction systems and other airway management devices under the BALLARD, MICROCUFF and ENDOCLEAR brands.
Pain Management is a portfolio of products that includes: (i) acute pain products and (ii) interventional pain solutions. The acute pain product category accounted for 22% of our consolidated net sales in the year ended December 31, 2021. Acute pain includes ON-Q and AMBIT surgical pain pumps and GAME READY cold and compression therapy systems. Our interventional pain product category accounted for 14% of our consolidated net sales in the year ended December 31, 2021. Interventional pain provides minimally invasive pain relieving therapies, such as our COOLIEF pain relief therapy.
C.Our Products
For the Reporting Period, as applicable, we conducted an analysis of our Chronic Care and Pain Management 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.
Our Service Provider then conducted the supplier survey portion of the RCOI utilizing the Conflict Minerals Reporting Template (“CMRT”), version 6.01 or higher, developed by the Responsible Business Alliance and The Global e-Sustainability Initiative. 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 3 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 12, 2022, there were only 4 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 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.
Avanos’ conflict minerals due diligence process includes the five steps described in the Guidance, namely: (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, Procurement, and Finance. 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 Avanos employees, a Supplier Social Compliance Standard that outlines expected behaviors for all Avanos 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://avanos.investorroom.com.
c.Supplier Engagement
We utilized our Service Provider’s software reporting tool, and the CMRT version 6.01 to collect Conflict Minerals declarations from our supply base. The software tool allowed us to assist our suppliers in understanding our expectations and requirements and increase the rate of responses we received from our suppliers to our survey requests. We 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. As well, 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 5 scoring criteria, namely: (1) geographic proximity to the DRC and Covered Countries; (2) known mineral source country of origin; (3) responsible Minerals Assurance Process audit status; (4) credible evidence of unethical or conflict sourcing; and (5) peer assessments conducted by credible third-party sources.
Based on these criteria, the following facilities have been identified as being of highest concern to the supply chain:
•Industrial Refining Company - Belgium - CID002587
•Kaloti Precious Metals - UAE - CID002563
•African Gold Refinery - Uganda - CID003185
•Fidelity Printers and Refiners Ltd. - Zimbabwe - CID002515
•Sudan Gold Refinery - Sudan - CID002567
•Kyrgyzaltyn JSC - Kyrgyzstan - CID001029
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 to consider removal of these facilities 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?
When suppliers meet or exceed those criteria (Yes to at least 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.
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://avanos.investorroom.com. This Report also is filed with the SEC.
V.Results of Due Diligence
A.Survey Results
As of May 12, 2022, we received responses from 73% of our 216 surveyed suppliers. Of those, 116 claimed no 3TGs, in their products, and 40 claimed that they did have 3TGs. Of the 40 claiming to have 3TGs, 19 indicated that they had tantalum, 35 indicated tin, 25 indicated gold, and 20 indicated tungsten. (The numbers do not sum to 40 because some of the suppliers claimed to have multiple 3TGs in their products.)
As described above, we surveyed our supply chain and reviewed the responses to determine whether further engagement with our suppliers 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 verify 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 12, 2022, we validated 334 SORs. 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 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.
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 2021. 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 organization validated them as conflict free.
| | | | | | | | | | | | | | |
Metal | Standard Smelter Name | Smelter Facility Location | Smelter ID | Conflict Free |
Gold | 8853 S.p.A. | Italy | CID002763 | Yes |
Gold | ABC Refinery Pty Ltd. | Australia | CID002920 | Unknown |
Gold | Abington Reldan Metals, LLC | United States Of America | CID002708 | Unknown |
Gold | Advanced Chemical Company | United States Of America | CID000015 | Yes |
Gold | African Gold Refinery | Uganda | CID003185 | Unknown |
Gold | Aida Chemical Industries Co., Ltd. | Japan | CID000019 | Yes |
Gold | Al Etihad Gold Refinery DMCC | United Arab Emirates | CID002560 | Yes |
Gold | Alexy Metals | United States Of America | CID003500 | Unknown |
Gold | Allgemeine Gold-und Silberscheideanstalt A.G. | Germany | CID000035 | Yes |
Gold | Almalyk Mining and Metallurgical Complex (AMMC) | Uzbekistan | CID000041 | Yes |
Gold | AngloGold Ashanti Corrego do Sitio Mineracao | 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 Of America | 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 | Unknown |
Gold | Augmont Enterprises Private Limited | India | CID003461 | Unknown |
Gold | Aurubis AG | Germany | CID000113 | Yes |
Gold | Bangalore Refinery | India | CID002863 | Yes |
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 | C.I Metales Procesados Industriales SAS | Colombia | CID003421 | Unknown |
Gold | Caridad | Mexico | CID000180 | Unknown |
Gold | CCR Refinery - Glencore Canada Corporation | Canada | CID000185 | Yes |
Gold | Cendres + Metaux S.A. | Switzerland | CID000189 | Yes |
Gold | CGR Metalloys Pvt Ltd. | India | CID003382 | Unknown |
Gold | Chimet S.p.A. | Italy | CID000233 | Yes |
Gold | Chugai Mining | Japan | CID000264 | Yes |
Gold | Daye Non-Ferrous Metals Mining Ltd. | China | CID000343 | Unknown |
| | | | | | | | | | | | | | |
Metal | Standard Smelter Name | Smelter Facility Location | Smelter ID | Conflict Free |
Gold | Degussa Sonne / Mond Goldhandel GmbH | Germany | CID002867 | Unknown |
Gold | Dijllah Gold Refinery FZC | United Arab Emirates | CID003348 | Unknown |
Gold | Dowa | Japan | CID000401 | Yes |
Gold | DSC (Do Sung Corporation) | Korea, Republic Of | CID000359 | Yes |
Gold | Eco-System Recycling Co., Ltd. East Plant | Japan | CID000425 | Yes |
Gold | Eco-System Recycling Co., Ltd. North Plant | Japan | CID003424 | Yes |
Gold | Eco-System Recycling Co., Ltd. West Plant | Japan | CID003425 | Yes |
Gold | Emerald Jewel Industry India Limited (Unit 1) | India | CID003487 | Unknown |
Gold | Emerald Jewel Industry India Limited (Unit 2) | India | CID003488 | Unknown |
Gold | Emerald Jewel Industry India Limited (Unit 3) | India | CID003489 | Unknown |
Gold | Emerald Jewel Industry India Limited (Unit 4) | India | CID003490 | Unknown |
Gold | Emirates Gold DMCC | United Arab Emirates | CID002561 | Yes |
Gold | Fidelity Printers and Refiners Ltd. | Zimbabwe | CID002515 | Unknown |
Gold | Fujairah Gold FZC | United Arab Emirates | CID002584 | Unknown |
Gold | GCC Gujrat Gold Centre Pvt. Ltd. | India | CID002852 | Unknown |
Gold | Geib Refining Corporation | United States Of America | CID002459 | Yes |
Gold | Gold Coast Refinery | Ghana | CID003186 | Unknown |
Gold | Gold Refinery of Zijin Mining Group Co., Ltd. | China | CID002243 | Yes |
Gold | Great Wall Precious Metals Co., Ltd. of CBPM | China | CID001909 | Unknown |
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 | 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 | Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd. | China | CID000773 | Unknown |
Gold | HwaSeong CJ CO., LTD. | Korea, Republic Of | CID000778 | Unknown |
Gold | Industrial Refining Company | Belgium | CID002587 | Unknown |
Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | China | CID000801 | Yes |
Gold | International Precious Metal Refiners | United Arab Emirates | CID002562 | Unknown |
Gold | Ishifuku Metal Industry Co., Ltd. | Japan | CID000807 | Yes |
Gold | Istanbul Gold Refinery | Turkey | CID000814 | Yes |
Gold | Italpreziosi | Italy | CID002765 | Yes |
Gold | JALAN & Company | India | CID002893 | Unknown |
Gold | Japan Mint | Japan | CID000823 | Yes |
| | | | | | | | | | | | | | |
Metal | Standard Smelter Name | Smelter Facility Location | Smelter ID | Conflict Free |
Gold | Jiangxi Copper Co., Ltd. | China | CID000855 | Yes |
Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | Russian Federation | CID000927 | Unknown |
Gold | JSC Uralelectromed | Russian Federation | CID000929 | Unknown |
Gold | JX Nippon Mining & Metals Co., Ltd. | Japan | CID000937 | Yes |
Gold | K.A. Rasmussen | Norway | CID003497 | Unknown |
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 Of America | CID000969 | Yes |
Gold | KGHM Polska Miedz Spolka Akcyjna | Poland | CID002511 | Yes |
Gold | Kojima Chemicals Co., Ltd. | Japan | CID000981 | Yes |
Gold | Korea Zinc Co., Ltd. | Korea, Republic Of | CID002605 | Yes |
Gold | Kundan Care Products Ltd. | India | CID003463 | Unknown |
Gold | Kyrgyzaltyn JSC | Kyrgyzstan | CID001029 | Unknown |
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 | Yes |
Gold | LS-NIKKO Copper Inc. | Korea, Republic Of | CID001078 | Yes |
Gold | LT Metal Ltd. | Korea, Republic Of | CID000689 | Yes |
Gold | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | China | CID001093 | Unknown |
Gold | Marsam Metals | Brazil | CID002606 | Yes |
Gold | Materion | United States Of America | CID001113 | Yes |
Gold | Matsuda Sangyo Co., Ltd. | Japan | CID001119 | Yes |
Gold | MD Overseas | India | CID003548 | Unknown |
Gold | Metal Concentrators SA (Pty) Ltd. | South Africa | CID003575 | Yes |
Gold | Metallix Refining Inc. | United States Of America | CID003557 | Unknown |
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 Of America | CID001157 | Yes |
Gold | Metalurgica Met-Mex Penoles 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 |
| | | | | | | | | | | | | | |
Metal | Standard Smelter Name | Smelter Facility Location | Smelter ID | Conflict Free |
Gold | Modeltech Sdn Bhd | Malaysia | CID002857 | Unknown |
Gold | Morris and Watson | New Zealand | CID002282 | Unknown |
Gold | Moscow Special Alloys Processing Plant | Russian Federation | CID001204 | Unknown |
Gold | Nadir Metal Rafineri San. Ve Tic. A.S. | Turkey | CID001220 | Yes |
Gold | Navoi Mining and Metallurgical Combinat | Uzbekistan | CID001236 | Yes |
Gold | NH Recytech Company | Korea, Republic Of | CID003189 | Yes |
Gold | Nihon Material Co., Ltd. | Japan | CID001259 | Yes |
Gold | Ogussa Osterreichische 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 | Unknown |
Gold | OJSC Novosibirsk Refinery | Russian Federation | CID000493 | Unknown |
Gold | PAMP S.A. | Switzerland | CID001352 | Yes |
Gold | Pease & Curren | United States Of America | 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 | Unknown |
Gold | PT Aneka Tambang (Persero) Tbk | Indonesia | CID001397 | Yes |
Gold | PX Precinox S.A. | Switzerland | CID001498 | Yes |
Gold | QG Refining, LLC | United States Of America | CID003324 | Unknown |
Gold | Rand Refinery (Pty) Ltd. | South Africa | CID001512 | Yes |
Gold | Refinery of Seemine Gold Co., Ltd. | China | CID000522 | Unknown |
Gold | REMONDIS PMR B.V. | Netherlands | CID002582 | Yes |
Gold | Royal Canadian Mint | Canada | CID001534 | Yes |
Gold | SAAMP | France | CID002761 | Yes |
Gold | Sabin Metal Corp. | United States Of America | CID001546 | Unknown |
Gold | Safimet S.p.A | Italy | CID002973 | Yes |
Gold | SAFINA A.S. | Czechia | CID002290 | Yes |
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 | Sancus ZFS (L’Orfebre, SA) | Colombia | CID003529 | Unknown |
Gold | Sellem Industries Ltd. | Mauritania | CID003540 | Unknown |
Gold | SEMPSA Joyeria Plateria S.A. | Spain | CID001585 | Yes |
Gold | Shandong Humon Smelting Co., Ltd. | China | CID002525 | Unknown |
Gold | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | China | CID001619 | Unknown |
| | | | | | | | | | | | | | |
Metal | Standard Smelter Name | Smelter Facility Location | Smelter ID | Conflict Free |
Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | China | CID001622 | Yes |
Gold | Shenzhen Zhonghenglong Real Industry Co., Ltd. | China | CID002527 | Unknown |
Gold | Shirpur Gold Refinery Ltd. | India | CID002588 | Unknown |
Gold | Sichuan Tianze Precious Metals Co., Ltd. | China | CID001736 | Yes |
Gold | Singway Technology Co., Ltd. | Taiwan, Province Of China | CID002516 | Yes |
Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | Russian Federation | CID001756 | Unknown |
Gold | Solar Applied Materials Technology Corp. | Taiwan, Province Of China | CID001761 | Yes |
Gold | Sovereign Metals | India | CID003383 | Unknown |
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 HiMetal Co., Ltd. | Korea, Republic Of | CID002918 | Yes |
Gold | Super Dragon Technology Co., Ltd. | China | CID001810 | Unknown |
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 |
Gold | Tokuriki Honten Co., Ltd. | Japan | CID001938 | Yes |
Gold | Tongling Nonferrous Metals Group Co., Ltd. | China | CID001947 | Unknown |
Gold | TOO Tau-Ken-Altyn | Kazakhstan | CID002615 | Yes |
Gold | Torecom | Korea, Republic Of | CID001955 | 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 Of America | CID001993 | Yes |
Gold | Valcambi S.A. | Switzerland | CID002003 | Yes |
Gold | Value Trading | Belgium | CID003617 | Unknown |
Gold | WEEEREFINING | France | CID003615 | Unknown |
Gold | Western Australian Mint (T/a The Perth Mint) | Australia | CID002030 | Yes |
Gold | WIELAND Edelmetalle GmbH | Germany | CID002778 | Yes |
Gold | Yamakin 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 | Changsha South Tantalum Niobium Co., Ltd. | China | CID000211 | Yes |
Tantalum | D Block Metals, LLC | United States Of America | CID002504 | Yes |
| | | | | | | | | | | | | | |
Metal | Standard Smelter Name | Smelter Facility Location | Smelter ID | Conflict Free |
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 Of America | CID002557 | 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 Of America | 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 | LSM Brasil S.A. | Brazil | CID001076 | Yes |
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 | QuantumClean | United States Of America | CID001508 | Yes |
Tantalum | Resind Industria e Comercio Ltda. | Brazil | CID002707 | Yes |
Tantalum | Solikamsk Magnesium Works OAO | Russian Federation | CID001769 | Yes |
Tantalum | Taki Chemical Co., Ltd. | Japan | CID001869 | Yes |
Tantalum | Telex Metals | United States Of America | CID001891 | Yes |
Tantalum | Ulba Metallurgical Plant JSC | Kazakhstan | CID001969 | Yes |
Tantalum | XinXing HaoRong Electronic Material Co., Ltd. | China | CID002508 | Yes |
Tantalum | Yancheng Jinye New Material Technology Co., Ltd. | China | CID003583 | Yes |
Tantalum | Yanling Jincheng Tantalum & Niobium Co., Ltd. | China | CID001522 | Yes |
Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | China | CID000228 | Yes |
Tin | Alpha | United States Of America | CID000292 | Yes |
Tin | Dowa | Japan | CID000402 | Yes |
| | | | | | | | | | | | | | |
Metal | Standard Smelter Name | Smelter Facility Location | Smelter ID | Conflict Free |
Tin | EM Vinto | Bolivia (Plurinational State Of) | CID000438 | Yes |
Tin | Estanho de Rondonia S.A. | Brazil | CID000448 | Yes |
Tin | Fenix Metals | Poland | CID000468 | Yes |
Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. | China | CID000538 | Yes |
Tin | Gejiu Zili Mining And Metallurgy Co., Ltd. | China | CID000555 | Yes |
Tin | Gejiu Kai Meng Industry and Trade LLC | China | CID000942 | Unknown |
Tin | China Tin Group Co., Ltd. | China | CID001070 | Yes |
Tin | Malaysia Smelting Corporation (MSC) | Malaysia | CID001105 | Yes |
Tin | Metallic Resources, Inc. | United States Of America | CID001142 | Yes |
Tin | Mineracao Taboca S.A. | Brazil | CID001173 | Yes |
Tin | Minsur | Peru | CID001182 | Yes |
Tin | Mitsubishi Materials Corporation | Japan | CID001191 | Yes |
Tin | Jiangxi New Nanshan Technology Ltd. | China | CID001231 | Yes |
Tin | O.M. Manufacturing (Thailand) Co., Ltd. | Thailand | CID001314 | Yes |
Tin | Operaciones Metalurgicas S.A. | Bolivia (Plurinational State Of) | CID001337 | Yes |
Tin | PT Artha Cipta Langgeng | Indonesia | CID001399 | Yes |
Tin | PT Mitra Stania Prima | Indonesia | CID001453 | Yes |
Tin | PT Refined Bangka Tin | Indonesia | CID001460 | Yes |
Tin | PT Timah Tbk Kundur | Indonesia | CID001477 | Yes |
Tin | PT Timah Tbk Mentok | Indonesia | CID001482 | Yes |
Tin | Rui Da Hung | Taiwan, Province Of China | CID001539 | Yes |
Tin | Soft Metais Ltda. | Brazil | CID001758 | Yes |
Tin | Thaisarco | Thailand | CID001898 | Yes |
Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | China | CID001908 | Yes |
Tin | White Solder Metalurgia e Mineracao Ltda. | Brazil | CID002036 | Yes |
Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | China | CID002158 | Yes |
Tin | Yunnan Tin Company Limited | China | CID002180 | Yes |
Tin | Magnu's Minerais Metais e Ligas Ltda. | Brazil | CID002468 | Yes |
Tin | Melt Metais e Ligas S.A. | Brazil | CID002500 | Unknown |
Tin | PT ATD Makmur Mandiri Jaya | Indonesia | CID002503 | Yes |
Tin | O.M. Manufacturing Philippines, Inc. | Philippines | CID002517 | Yes |
Tin | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | Viet Nam | CID002572 | Unknown |
Tin | Nghe Tinh Non-Ferrous Metals Joint Stock Company | Viet Nam | CID002573 | Unknown |
Tin | Tuyen Quang Non-Ferrous Metals Joint Stock Company | Viet Nam | CID002574 | Unknown |
Tin | An Vinh Joint Stock Mineral Processing Company | Viet Nam | CID002703 | Unknown |
| | | | | | | | | | | | | | |
Metal | Standard Smelter Name | Smelter Facility Location | Smelter ID | Conflict Free |
Tin | Resind Industria e Comercio Ltda. | Brazil | CID002706 | Yes |
Tin | Super Ligas | Brazil | CID002756 | Unknown |
Tin | Metallo Belgium N.V. | Belgium | CID002773 | Yes |
Tin | Metallo Spain S.L.U. | Spain | CID002774 | Yes |
Tin | Modeltech Sdn Bhd | Malaysia | CID002858 | Unknown |
Tin | Guangdong Hanhe Non-Ferrous Metal Co., Ltd. | China | CID003116 | Yes |
Tin | Chifeng Dajingzi Tin Industry Co., Ltd. | China | CID003190 | Yes |
Tin | PT Bangka Serumpun | Indonesia | CID003205 | Yes |
Tin | Pongpipat Company Limited | Myanmar | CID003208 | Unknown |
Tin | Tin Technology & Refining | United States Of America | CID003325 | Yes |
Tin | Dongguan CiEXPO Environmental Engineering Co., Ltd. | China | CID003356 | Unknown |
Tin | Ma'anshan Weitai Tin Co., Ltd. | China | CID003379 | Yes |
Tin | Luna Smelter, Ltd. | Rwanda | CID003387 | Yes |
Tin | Yunnan Yunfan Non-ferrous Metals Co., Ltd. | China | CID003397 | Unknown |
Tin | Precious Minerals and Smelting Limited | India | CID003409 | Unknown |
Tin | Gejiu City Fuxiang Industry and Trade Co., Ltd. | China | CID003410 | Unknown |
Tin | PT Mitra Sukses Globalindo | Indonesia | CID003449 | Unknown |
Tin | PT Aries Kencana Sejahtera | Indonesia | CID000309 | Unknown |
Tin | Novosibirsk Processing Plant Ltd. | Russian Federation | CID001305 | Yes |
Tin | PT Babel Inti Perkasa | Indonesia | CID001402 | Yes |
Tin | PT Babel Surya Alam Lestari | Indonesia | CID001406 | Yes |
Tin | PT Belitung Industri Sejahtera | Indonesia | CID001421 | Unknown |
Tin | PT Bukit Timah | Indonesia | CID001428 | Yes |
Tin | PT Panca Mega Persada | Indonesia | CID001457 | Unknown |
Tin | PT Prima Timah Utama | Indonesia | CID001458 | Yes |
Tin | PT Sariwiguna Binasentosa | Indonesia | CID001463 | Yes |
Tin | PT Stanindo Inti Perkasa | Indonesia | CID001468 | Yes |
Tin | PT Timah Nusantara | Indonesia | CID001486 | Unknown |
Tin | PT Tinindo Inter Nusa | Indonesia | CID001490 | Yes |
Tin | VQB Mineral and Trading Group JSC | Viet Nam | CID002015 | Unknown |
Tin | CV Venus Inti Perkasa | Indonesia | CID002455 | Unknown |
Tin | PT Tirus Putra Mandiri | Indonesia | CID002478 | Unknown |
Tin | PT Cipta Persada Mulia | Indonesia | CID002696 | Yes |
Tin | PT Sukses Inti Makmur | Indonesia | CID002816 | Unknown |
Tin | PT Menara Cipta Mulia | Indonesia | CID002835 | Yes |
Tin | PT Rajawali Rimba Perkasa | Indonesia | CID003381 | Yes |
Tin | CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda | Brazil | CID003486 | Unknown |
| | | | | | | | | | | | | | |
Metal | Standard Smelter Name | Smelter Facility Location | Smelter ID | Conflict Free |
Tin | CRM Synergies | Spain | CID003524 | Yes |
Tin | Fabrica Auricchio Industria e Comercio Ltda. | Brazil | CID003582 | Yes |
Tin | PT Tommy Utama | Indonesia | CID001493 | Unknown |
Tungsten | A.L.M.T. Corp. | Japan | CID000004 | Yes |
Tungsten | ACL Metais Eireli | Brazil | CID002833 | Yes |
Tungsten | Albasteel Industria e Comercio de Ligas Para Fundicao Ltd. | Brazil | CID003427 | Unknown |
Tungsten | Artek LLC | Russian Federation | CID003553 | Unknown |
Tungsten | Asia Tungsten Products Vietnam Ltd. | Viet Nam | CID002502 | Yes |
Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd. | China | CID002513 | Yes |
Tungsten | China Molybdenum Co., Ltd. | China | CID002641 | Yes |
Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | China | CID000258 | Yes |
Tungsten | CNMC (Guangxi) PGMA Co., Ltd. | China | CID000281 | Unknown |
Tungsten | Cronimet Brasil Ltda | Brazil | CID003468 | Yes |
Tungsten | Fujian Ganmin RareMetal Co., Ltd. | China | CID003401 | Yes |
Tungsten | Fujian Xinlu Tungsten | China | CID003609 | Yes |
Tungsten | Ganzhou Haichuang Tungsten Co., Ltd. | China | CID002645 | Yes |
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 | GEM Co., Ltd. | China | CID003417 | Yes |
Tungsten | Global Tungsten & Powders Corp. | United States Of America | 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 Chunchang Nonferrous Metals Co., Ltd. | China | CID000769 | 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 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 Yaosheng Tungsten Co., Ltd. | China | CID002316 | Yes |
Tungsten | JSC "Kirovgrad Hard Alloys Plant" | Russian Federation | CID003408 | Yes |
Tungsten | Kennametal Fallon | United States Of America | CID000966 | Yes |
| | | | | | | | | | | | | | |
Metal | Standard Smelter Name | Smelter Facility Location | Smelter ID | Conflict Free |
Tungsten | Kennametal Huntsville | United States Of America | CID000105 | Yes |
Tungsten | KGETS Co., Ltd. | Korea, Republic Of | CID003388 | Yes |
Tungsten | Lianyou Metals Co., Ltd. | Taiwan, Province Of China | CID003407 | Yes |
Tungsten | Malipo Haiyu Tungsten Co., Ltd. | China | CID002319 | Yes |
Tungsten | Masan Tungsten Chemical LLC (MTC) | Viet Nam | CID002543 | Yes |
Tungsten | Moliren Ltd. | Russian Federation | CID002845 | Yes |
Tungsten | Niagara Refining LLC | United States Of America | CID002589 | Yes |
Tungsten | NPP Tyazhmetprom LLC | Russian Federation | CID003416 | Unknown |
Tungsten | OOO “Technolom” 1 | Russian Federation | CID003614 | Unknown |
Tungsten | OOO “Technolom” 2 | Russian Federation | CID003612 | Unknown |
Tungsten | Philippine Chuangxin Industrial Co., Inc. | Philippines | CID002827 | Yes |
Tungsten | Unecha Refractory metals plant | Russian Federation | CID002724 | Yes |
Tungsten | Wolfram Bergbau und Hutten AG | Austria | CID002044 | 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 |
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, Aland Islands, Albania, American Samoa, Andorra, Angola, Argentina, Armenia, Australia, Austria, Belarus, Belgium, Bermuda, Bolivia, Brazil, Bulgaria, Burundi, Cambodia, Canada, Central African Republic, Chile, China, Colombia, Djibouti, Dominica, Dominican Republic, DRC or an adjoining country (Covered Countries), Ecuador, Egypt, Eritrea, Estonia, Ethiopia, Finland, France, Germany, Ghana, Guinea, Guyana, Hong Kong, Hungary, India, Indonesia, Ireland, Israel, Italy, Japan, Kazakhstan, Kenya, Kyrgyzstan, Liberia, Lithuania, Luxembourg, Madagascar, Malaysia, Mali, Mauritania, Mexico, Mongolia, Morocco, Mozambique, Myanmar, Namibia, Netherlands, New Zealand, Niger, Nigeria, Panama, Papua New Guinea, Peru, Philippines, Poland, Portugal, Republic of Korea, Russia, Rwanda, Saudi Arabia, Sierra Leone, Singapore, Slovakia, Slovenia, South Africa, Spain, Sudan, Suriname, Sweden, Switzerland, Taiwan, Tajikstan, Tanzania, Thailand, Turkey, Uganda, United Arab Emirates, United Kingdom, United States of America, Uzbekistan, Vietnam, Zambia, Zimbabwe