UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM SD
Specialized Disclosure Report

AVANOS MEDICAL, INC.
(Exact name of registrant as specified in its charter)
DELAWARE001-3644046-4987888
(State or other jurisdiction of
incorporation)
(Commission File Number)(I.R.S. Employer
Identification No.)
5405 Windward Parkway
Suite 100 South
Alpharetta, Georgia
30004
(Address of principal executive officers)(Zip Code)
Michael C. Greiner
Senior Vice President - Chief Financial Officer
(470) 448-5000
(Name and Telephone number, including area code, of the person to contact in connection with this report)


Check the appropriate box to indicate the rule pursuant to which this form is being filed, and provide the period to which the information in this form applies:
x Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2019.





SECTION 1 - Conflict Minerals Disclosure
Item 1.01    Conflict Minerals Disclosure and Report
This Specialized Disclosure Report on Form SD by Avanos Medical, Inc. is for the period from January 1, 2019 to December 31, 2019. Unless the context otherwise indicates, “Avanos,” “Company,” “we,” “us” and “our” refer to Avanos Medical, Inc. and its consolidated subsidiaries.
During 2019, certain of our operations manufactured, or contracted to manufacture, products for which 3TGs, as defined below, are necessary to their functionality or production (“Covered Products”). Conflict minerals are defined in Section 13(p) as (A) cassiterite, columbite-tantalite (coltan), gold, wolframite, and their derivatives, which are limited to tin, tantalum and tungsten (together with gold collectively referred to as “3TGs”), or (B) any other mineral or its derivatives determined by the Secretary of State to be financing conflict in the Democratic Republic of Congo (“DRC”) or any adjoining country that shares an internationally recognized border with the DRC. Accordingly, we have conducted a reasonable country of origin inquiry (“RCOI”) that was designed to determine whether any of the 3TGs in our Covered Products originated in the DRC or an adjoining country (Angola, Burundi, the Central African Republic, the Republic of the Congo, Rwanda, South Sudan, Tanzania, Uganda or Zambia), or were from recycled or scrap sources.
A summary of our RCOI, as well as the steps taken to exercise due diligence on the source and chain of custody of any 3TGs in our Covered Products, is included in our Conflict Minerals Report (“Report”), which is filed as Exhibit 1.01 to this Form SD. In addition, our Report and Form SD is publicly available on our Company website at https://avanos.investorroom.com.
Forward-Looking Statements
The Report contains forward-looking statements that express a belief, expectation or intention, including statements relating to our compliance efforts and expected actions. The words “expects,” “intends,” “plans,” “believes,” “anticipates” and similar expressions can indicate forward-looking statements. These statements are not guarantees of future actions or performance and are subject to various risks, uncertainties and assumptions. Future actions or performance may differ materially from those in the forward-looking statements. Undue reliance should not be placed on these statements, which are only effective as of the date of this Report, and the Company undertakes no obligation to publicly update or revise any forward-looking statement.
Item 1.02    Exhibit.
We have filed our Conflict Minerals Report as Exhibit 1.01 to this Form SD.
Item 2.01    Exhibits.
Exhibit 1.01 - Conflict Minerals Report as required by Items 1.01. and 1.02 of Form SD.



SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the duly authorized undersigned.
 
    
 AVANOS MEDICAL, INC.
  
   
DATE: May 27, 2020By: /s/ Michael C. Greiner
   Michael C. Greiner
Senior Vice President and Chief Financial Officer




EXHIBIT INDEX
Exhibit
Number
Description


Document

EXHIBIT 1.01

Avanos Medical, Inc.
Conflict Minerals Report
For the Year Ended December 31, 2019

I.Introduction
This Conflict Minerals Report (“Report”) by Avanos Medical, Inc., is for the period from January 1, 2019 to December 31, 2019 (“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, Germany 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 38% of our consolidated net sales in the year ended December 31, 2019. Digestive health products include our MIC-KEY enteral feeding tubes, CORPAK patient feeding solutions and our recently acquired 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, 2019. Respiratory health products include closed airway suction systems and other airway management devices under the BALLARD and MICROCUFF 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 27% of our consolidated net sales in the year ended December 31, 2019. Acute pain includes ON-Q and our recently acquired 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, 2019. 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 5.12 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 11, 2020, there were only 12 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 members are the (1) Vice President, Deputy General Counsel and Corporate Secretary, (2) Director – Global Procurement, and (3) Vice President – Finance Planning and Analysis. 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 5.12 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:
Tony Goetz NV - Belgium - CID002587
Kaloti Metals - UAE - CID002563
African Gold Refinery - Uganda - CID003185
Universal Precious Metals Refining - Zambia - CID002854
Fidelity Printers - Zimbabwe - CID002515
Sudan Gold Refinery - CID002567
If any of these facilities were reported on a CMRT by one of our suppliers, our Service Provider initiated risk mitigation activities, including instructing the supplier to submit a product-specific CMRT to better identify any connection between the facilities and our products and 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 11, 2020, we received responses from 63% of our 268 surveyed suppliers. Of those, 130 claimed no 3TGs, in their products, and 39 claimed that they did have 3TGs. Of the 39 claiming to have 3TGs, 12 indicated that they had tantalum, 27 indicated tin, 15 indicated gold, and 15 indicated tungsten. (The numbers do not sum to 39 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 11, 2020, we validated 300 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 us with 3TGs from sources that support conflict in the Covered Countries to establish an alternative source of 3TGs that does not support such conflict;
Continue to respond to industry trends and legal requirements to improve the traceability of 3TGs in our supply chain; and
Further encourage suppliers to provide responses at the product level to enable us to determine which smelters and refiners actually process 3TGs contained in our products.














APPENDIX A
The table below lists, the smelters or refiners (“SORs”) identified by our direct suppliers that may have been used to process 3TGs necessary to the functionality or production of our products in 2019. Facilities that have been certified as conflict-free by an internationally-recognized validation organization for 3TG SORs are designated in the column furthest to the right, where the word “Yes” indicates that such an organization validated them as conflict-free.
Metal Standard Smelter Name Smelter Facility Location Smelter ID Conflict Free?
Gold8853 S.p.A.ITALYCID002763Yes
GoldAbington Reldan Metals, LLCUNITED STATESCID002708Unknown
GoldAdvanced Chemical CompanyUNITED STATESCID000015Yes
GoldAfrican Gold RefineryUGANDACID003185Unknown
GoldAida Chemical Industries Co., Ltd.JAPANCID000019Yes
GoldAl Etihad Gold LLCUNITED ARAB EMIRATESCID002560Yes
GoldAllgemeine Gold-und Silberscheideanstalt A.G.GERMANYCID000035Yes
GoldAlmalyk Mining and Metallurgical Complex (AMMC)UZBEKISTANCID000041Yes
GoldAngloGold Ashanti Córrego do Sítio MineraçãoBRAZILCID000058Yes
GoldArgor-Heraeus S.A.SWITZERLANDCID000077Yes
GoldAsahi Pretec Corp.JAPANCID000082Yes
GoldAsahi Refining Canada Ltd.CANADACID000924Yes
GoldAsahi Refining USA Inc.UNITED STATESCID000920Yes
GoldAsaka Riken Co., Ltd.JAPANCID000090Yes
GoldAtasay Kuyumculuk Sanayi Ve Ticaret A.S.TURKEYCID000103Unknown
GoldAU Traders and RefinersSOUTH AFRICACID002850Yes
GoldAurubis AGGERMANYCID000113Yes
GoldBangalore RefineryINDIACID002863Unknown
GoldBangko Sentral ng Pilipinas (Central Bank of the Philippines)PHILIPPINESCID000128Yes
GoldBoliden ABSWEDENCID000157Yes
GoldC. Hafner GmbH + Co. KGGERMANYCID000176Yes
GoldCaridadMEXICOCID000180Unknown
GoldCCR Refinery - Glencore Canada CorporationCANADACID000185Yes
GoldCendres + Métaux S.A.SWITZERLANDCID000189Yes
GoldCGR Metalloys Pvt LtdINDIACID003382Unknown
GoldChimet S.p.A.ITALYCID000233Yes
GoldChugai MiningJAPANCID000264Unknown
GoldDaye Non-Ferrous Metals Mining Ltd.CHINACID000343Unknown
GoldDegussa Sonne / Mond Goldhandel GmbHGERMANYCID002867Unknown
GoldDijllah Gold Refinery FZCUNITED ARAB EMIRATESCID003348Unknown
GoldDODUCO Contacts and Refining GmbHGERMANYCID000362Yes
GoldDowaJAPANCID000401Yes
GoldDS PRETECH Co., Ltd.KOREA, REPUBLIC OFCID003195Yes
GoldDSC (Do Sung Corporation)KOREA, REPUBLIC OFCID000359Yes
GoldEco-System Recycling Co., Ltd.JAPANCID000425Yes
GoldEmirates Gold DMCCUNITED ARAB EMIRATESCID002561Yes
GoldFidelity Printers and Refiners Ltd.ZIMBABWECID002515Unknown
GoldFujairah Gold FZEUNITED ARAB EMIRATESCID002584Unknown
GoldGCC Gujrat Gold Centre Pvt. Ltd.INDIACID002852Unknown
GoldGeib Refining CorporationUNITED STATESCID002459Yes
GoldGold Refinery of Zijin Mining Group Co., Ltd.CHINACID002243Yes
GoldGreat Wall Precious Metals Co., Ltd. of CBPMCHINACID001909Unknown
GoldGuangdong Jinding Gold LimitedCHINACID002312Unknown
GoldGuoda Safina High-Tech Environmental Refinery Co., Ltd.CHINACID000651Unknown
GoldHangzhou Fuchunjiang Smelting Co., Ltd.CHINACID000671Unknown
GoldHeimerle + Meule GmbHGERMANYCID000694Yes



Metal Standard Smelter Name Smelter Facility Location Smelter ID Conflict Free?
GoldHeraeus Metals Hong Kong Ltd.CHINACID000707Yes
GoldHeraeus Precious Metals GmbH & Co. KGGERMANYCID000711Yes
GoldHunan Chenzhou Mining Co., Ltd.CHINACID000767Unknown
GoldHunan Guiyang yinxing Nonferrous Smelting Co., Ltd.CHINACID000773Unknown
GoldHwaSeong CJ Co., Ltd.KOREA, REPUBLIC OFCID000778Unknown
GoldInner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.CHINACID000801Yes
GoldInternational Precious Metal RefinersUNITED ARAB EMIRATESCID002562Unknown
GoldIshifuku Metal Industry Co., Ltd.JAPANCID000807Yes
GoldIstanbul Gold RefineryTURKEYCID000814Yes
GoldItalpreziosiITALYCID002765Yes
GoldJapan MintJAPANCID000823Yes
GoldJiangxi Copper Co., Ltd.CHINACID000855Yes
GoldJSC Ekaterinburg Non-Ferrous Metal Processing PlantRUSSIAN FEDERATIONCID000927Unknown
GoldJSC UralelectromedRUSSIAN FEDERATIONCID000929Yes
GoldJX Nippon Mining & Metals Co., Ltd.JAPANCID000937Yes
GoldKaloti Precious MetalsUNITED ARAB EMIRATESCID002563Unknown
GoldKazakhmys Smelting LLCKAZAKHSTANCID000956Unknown
GoldKazzincKAZAKHSTANCID000957Yes
GoldKennecott Utah Copper LLCUNITED STATESCID000969Yes
GoldKGHM Polska Miedz Spolka AkcyjnaPOLANDCID002511Unknown
GoldKojima Chemicals Co., Ltd.JAPANCID000981Yes
GoldKorea Zinc Co., Ltd.KOREA, REPUBLIC OFCID002605Yes
GoldKyrgyzaltyn JSCKYRGYZSTANCID001029Yes
GoldKyshtym Copper-Electrolytic Plant ZAORUSSIAN FEDERATIONCID002865Unknown
GoldL'azurde Company For JewelrySAUDI ARABIACID001032Unknown
GoldLingbao Gold Co., Ltd.CHINACID001056Unknown
GoldLingbao Jinyuan Tonghui Refinery Co., Ltd.CHINACID001058Unknown
GoldL'Orfebre S.A.ANDORRACID002762Yes
GoldLS-NIKKO Copper Inc.KOREA, REPUBLIC OFCID001078Yes
GoldLT Metal, Ltd.KOREA, REPUBLIC OFCID000689No
GoldLuoyang Zijin Yinhui Gold Refinery Co., Ltd.CHINACID001093Unknown
GoldMarsam MetalsBRAZILCID002606Yes
GoldMaterionUNITED STATESCID001113Yes
GoldMatsuda Sangyo Co., Ltd.JAPANCID001119Yes
GoldMetalor Technologies (Hong Kong) Ltd.CHINACID001149Yes
GoldMetalor Technologies (Singapore) Pte., Ltd.SINGAPORECID001152Yes
GoldMetalor Technologies (Suzhou) Ltd.CHINACID001147Yes
GoldMetalor Technologies S.A.SWITZERLANDCID001153Yes
GoldMetalor USA Refining CorporationUNITED STATESCID001157Yes
GoldMetalúrgica Met-Mex Peñoles S.A. De C.V.MEXICOCID001161Yes
GoldMitsubishi Materials CorporationJAPANCID001188Yes
GoldMitsui Mining and Smelting Co., Ltd.JAPANCID001193Yes
GoldMMTC-PAMP India Pvt., Ltd.INDIACID002509Yes
GoldModeltech Sdn BhdMALAYSIACID002857Unknown
GoldMorris and WatsonNEW ZEALANDCID002282Unknown
GoldMoscow Special Alloys Processing PlantRUSSIAN FEDERATIONCID001204Yes
GoldNadir Metal Rafineri San. Ve Tic. A.ª.TURKEYCID001220Yes
GoldNavoi Mining and Metallurgical CombinatUZBEKISTANCID001236Unknown
GoldNH Recytech CompanyKOREA, REPUBLIC OFCID003189Unknown
GoldNihon Material Co., Ltd.JAPANCID001259Yes
GoldÖgussa Österreichische Gold- und Silber-Scheideanstalt GmbHAUSTRIACID002779Yes



Metal Standard Smelter Name Smelter Facility Location Smelter ID Conflict Free?
GoldOhura Precious Metal Industry Co., Ltd.JAPANCID001325Yes
GoldOJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)RUSSIAN FEDERATIONCID001326Yes
GoldOJSC Novosibirsk RefineryRUSSIAN FEDERATIONCID000493Yes
GoldPAMP S.A.SWITZERLANDCID001352Yes
GoldPease & CurrenUNITED STATESCID002872Unknown
GoldPenglai Penggang Gold Industry Co., Ltd.CHINACID001362Unknown
GoldPlanta Recuperadora de Metales SpACHILECID002919Yes
GoldPrioksky Plant of Non-Ferrous MetalsRUSSIAN FEDERATIONCID001386Yes
GoldPT Aneka Tambang (Persero) TbkINDONESIACID001397Yes
GoldPX Précinox S.A.SWITZERLANDCID001498Yes
GoldQG Refining, LLCUNITED STATES OF AMERICACID003324Unknown
GoldRand Refinery (Pty) Ltd.SOUTH AFRICACID001512Yes
GoldRefinery of Seemine Gold Co., Ltd.CHINACID000522Unknown
GoldRemondis Argentia B.V.NETHERLANDSCID002582Yes
GoldRepublic Metals CorporationUNITED STATESCID002510Yes
GoldRoyal Canadian MintCANADACID001534Yes
GoldSAAMPFRANCECID002761Yes
GoldSabin Metal Corp.UNITED STATESCID001546Unknown
GoldSafimet S.p.AITALYCID002973Yes
GoldSAFINA A.S.CZECH REPUBLICCID002290Unknown
GoldSai RefineryINDIACID002853Unknown
GoldSamduck Precious MetalsKOREA, REPUBLIC OFCID001555Unknown
GoldSAMWON Metals Corp.KOREA, REPUBLIC OFCID001562Unknown
GoldSAXONIA Edelmetalle GmbHGERMANYCID002777Yes
GoldSEMPSA Joyería Platería S.A.SPAINCID001585Yes
GoldShandong Tiancheng Biological Gold Industrial Co., Ltd.CHINACID001619Unknown
GoldShandong Zhaojin Gold & Silver Refinery Co., Ltd.CHINACID001622Yes
GoldShangdong Humon Smelting Co., Ltd.CHINACID002525Unknown
GoldSichuan Tianze Precious Metals Co., Ltd.CHINACID001736Yes
GoldSingway Technology Co., Ltd.TAIWANCID002516Yes
GoldSOE Shyolkovsky Factory of Secondary Precious MetalsRUSSIAN FEDERATIONCID001756Yes
GoldSolar Applied Materials Technology Corp.TAIWANCID001761Yes
GoldSovereign MetalsINDIACID003383Unknown
GoldState Research Institute Center for Physical Sciences and TechnologyLITHUANIACID003153Unknown
GoldSudan Gold RefinerySUDANCID002567Unknown
GoldSumitomo Metal Mining Co., Ltd.JAPANCID001798Yes
GoldSungEel HiTechKOREA, REPUBLIC OFCID002918Yes
GoldT.C.A S.p.AITALYCID002580Yes
GoldTanaka Kikinzoku Kogyo K.K.JAPANCID001875Yes
GoldThe Refinery of Shandong Gold Mining Co., Ltd.CHINACID001916Yes
GoldTokuriki Honten Co., Ltd.JAPANCID001938Yes
GoldTongling Nonferrous Metals Group Co., Ltd.CHINACID001947Unknown
GoldTony Goetz NVBELGIUMCID002587Unknown
GoldTOO Tau-Ken-AltynKAZAKHSTANCID002615Unknown
GoldTorecomKOREA, REPUBLIC OFCID001955Yes
GoldUmicore Brasil Ltda.BRAZILCID001977Yes
GoldUmicore Precious Metals ThailandTHAILANDCID002314Yes
GoldUmicore S.A. Business Unit Precious Metals RefiningBELGIUMCID001980Yes
GoldUnited Precious Metal Refining, Inc.UNITED STATESCID001993Yes



Metal Standard Smelter Name Smelter Facility Location Smelter ID Conflict Free?
GoldValcambi S.A.SWITZERLANDCID002003Yes
GoldWestern Australian Mint trading as The Perth MintAUSTRALIACID002030Yes
GoldWIELAND Edelmetalle GmbHGERMANYCID002778Yes
GoldYamakin Co., Ltd.JAPANCID002100Yes
GoldYokohama Metal Co., Ltd.JAPANCID002129Yes
GoldYunnan Copper Industry Co., Ltd.CHINACID000197Unknown
GoldZhongyuan Gold Smelter of Zhongjin Gold CorporationCHINACID002224Yes
TantalumAsaka Riken Co., Ltd.JAPANCID000092Yes
TantalumChangsha South Tantalum Niobium Co., Ltd.CHINACID000211Yes
TantalumCP Metals Inc.UNITED STATESCID003402Yes
TantalumD Block Metals, LLCUNITED STATESCID002504Yes
TantalumExotech Inc.UNITED STATESCID000456Yes
TantalumF&X Electro-Materials Ltd.CHINACID000460Yes
TantalumFIR Metals & Resource Ltd.CHINACID002505Yes
TantalumGlobal Advanced Metals AizuJAPANCID002558Yes
TantalumGlobal Advanced Metals BoyertownUNITED STATESCID002557Yes
TantalumGuangdong Zhiyuan New Material Co., Ltd.CHINACID000616Yes
TantalumH.C. Starck Co., Ltd.THAILANDCID002544Yes
TantalumH.C. Starck Hermsdorf GmbHGERMANYCID002547Yes
TantalumH.C. Starck Inc.UNITED STATESCID002548Yes
TantalumH.C. Starck Ltd.JAPANCID002549Yes
TantalumH.C. Starck Smelting GmbH & Co. KGGERMANYCID002550Yes
TantalumH.C. Starck Tantalum and Niobium GmbHGERMANYCID002545Yes
TantalumHengyang King Xing Lifeng New Materials Co., Ltd.CHINACID002492Yes
TantalumJiangxi Dinghai Tantalum & Niobium Co., Ltd.CHINACID002512Yes
TantalumJiangxi Tuohong New Raw MaterialCHINACID002842Yes
TantalumJiuJiang JinXin Nonferrous Metals Co., Ltd.CHINACID000914Yes
TantalumJiujiang Tanbre Co., Ltd.CHINACID000917Yes
TantalumJiujiang Zhongao Tantalum & Niobium Co., Ltd.CHINACID002506Yes
TantalumKEMET Blue MetalsMEXICOCID002539Yes
TantalumLSM Brasil S.A.BRAZILCID001076Yes
TantalumMetallurgical Products India Pvt., Ltd.INDIACID001163Yes
TantalumMineracao Taboca S.A.BRAZILCID001175Yes
TantalumMitsui Mining and Smelting Co., Ltd.JAPANCID001192Yes
TantalumNingxia Orient Tantalum Industry Co., Ltd.CHINACID001277Yes
TantalumNPM Silmet ASESTONIACID001200Yes
TantalumPower Resources Ltd.MACEDONIACID002847Yes
TantalumQuantumCleanUNITED STATESCID001508Yes
TantalumResind Industria e Comercio Ltda.BRAZILCID002707Yes
TantalumSolikamsk Magnesium Works OAORUSSIAN FEDERATIONCID001769Yes
TantalumTaki ChemicalsJAPANCID001869Yes
TantalumTelex MetalsUNITED STATESCID001891Yes
TantalumUlba Metallurgical Plant JSCKAZAKHSTANCID001969Yes
TantalumXinXing HaoRong Electronic Material Co., Ltd.CHINACID002508Yes
TantalumYangling Jincheng Tantalum & Niobium Co., Ltd.CHINACID001522Yes
TinAlphaUNITED STATESCID000292Yes
TinAn Vinh Joint Stock Mineral Processing CompanyVIETNAMCID002703Unknown
TinChenzhou Yunxiang Mining and Metallurgy Co., Ltd.CHINACID000228Yes
TinChifeng Dajingzi Tin Industry Co., Ltd.CHINACID003190Yes
TinChina Tin Group Co., Ltd.CHINACID001070Yes



Metal Standard Smelter Name Smelter Facility Location Smelter ID Conflict Free?
TinDongguan CiEXPO Environmental Engineering Co., Ltd.CHINACID003356Unknown
TinDowaJAPANCID000402Yes
TinElectro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock CompanyVIETNAMCID002572Unknown
TinEM VintoBOLIVIACID000438Yes
TinEstanho de Rondônia S.A.BRAZILCID000448Unknown
TinFenix MetalsPOLANDCID000468Yes
TinGejiu Fengming Metallurgy Chemical PlantCHINACID002848Yes
TinGejiu Kai Meng Industry and Trade LLCCHINACID000942Yes
TinGejiu Non-Ferrous Metal Processing Co., Ltd.CHINACID000538Yes
TinGejiu Yunxin Nonferrous Electrolysis Co., Ltd.CHINACID001908Yes
TinGejiu Zili Mining And Metallurgy Co., Ltd.CHINACID000555Yes
TinGuangdong Hanhe Non-ferrous Metal Limited CompanyCHINACID003116Yes
TinGuanyang Guida Nonferrous Metal Smelting PlantCHINACID002849Yes
TinHuiChang Hill Tin Industry Co., Ltd.CHINACID002844Unknown
TinHuichang Jinshunda Tin Co., Ltd.CHINACID000760Yes
TinJiangxi New Nanshan Technology Ltd.CHINACID001231Yes
TinLuna Smelter, Ltd.RWANDACID003387Yes
TinMa'anshan Weitai Tin Co., Ltd.CHINACID003379Yes
TinMagnu's Minerais Metais e Ligas Ltda.BRAZILCID002468Yes
TinMalaysia Smelting Corporation (MSC)MALAYSIACID001105Yes
TinMelt Metais e Ligas S.A.BRAZILCID002500Yes
TinMetallic Resources, Inc.UNITED STATESCID001142Yes
TinMetallo Belgium N.V.BELGIUMCID002773Yes
TinMetallo Spain S.L.U.SPAINCID002774Yes
TinMineracao Taboca S.A.BRAZILCID001173Yes
TinMinsurPERUCID001182Yes
TinMitsubishi Materials CorporationJAPANCID001191Yes
TinModeltech Sdn BhdMALAYSIACID002858Yes
TinNghe Tinh Non-Ferrous Metals Joint Stock CompanyVIETNAMCID002573Unknown
TinO.M. Manufacturing (Thailand) Co., Ltd.THAILANDCID001314Yes
TinO.M. Manufacturing Philippines, Inc.PHILIPPINESCID002517Yes
TinOperaciones Metalurgical S.A.BOLIVIACID001337Yes
TinPongpipat Company LimitedMYANMARCID003208Unknown
TinPrecious Minerals and Smelting LimitedINDIACID003409Unknown
TinPT ATD Makmur Mandiri JayaINDONESIACID002503Yes
TinPT Menara Cipta MuliaINDONESIACID002835Yes
TinPT Mitra Stania PrimaINDONESIACID001453Yes
TinPT Refined Bangka TinINDONESIACID001460Yes
TinPT Timah (Persero) Tbk KundurINDONESIACID001477Yes
TinPT Timah (Persero) Tbk MentokINDONESIACID001482Yes
TinResind Industria e Comersio Ltda.BRAZILCID002706Yes
TinRui Da HungTAIWANCID001539Yes
TinSoft Metais Ltda.BRAZILCID001758Yes
TinSuper LigasBRAZILCID002756Unknown
TinThai Nguyen Mining and Metallurgy Co., Ltd.VIETNAMCID002834Yes
TinThaisarcoTHAILANDCID001898Yes
TinTin Technology & RefiningUNITED STATES OF AMERICACID003325Yes
TinTuyen Quang Non-Ferrous Metals Joint Stock CompanyVIETNAMCID002574Unknown
TinWhite Solder Metalurgia e Mineração Ltda.BRAZILCID002036Yes



Metal Standard Smelter Name Smelter Facility Location Smelter ID Conflict Free?
TinYunnan Chengfeng Non-ferrous Metals Co., Ltd.CHINACID002158Yes
TinYunnan Tin Company LimitedCHINACID002180Yes
TinYunnan Yunfan Non-Ferrous Metals Co., Ltd.CHINACID003397Yes
TungstenA.L.M.T. TUNGSTEN Corp.JAPANCID000004Yes
TungstenACL Metais EireliBRAZILCID002833Yes
TungstenAlbasteel Industria e Comercio de Legas Para FundingBRAZILCID003427Yes
TungstenAsia Tungsten Products Vietnam Ltd.VIETNAMCID002502Yes
TungstenChenzhou Diamond Tungsten Products Co., Ltd.CHINACID002513Yes
TungstenChina Molybdenum Co., Ltd.CHINACID002641Unknown
TungstenChongyi Zhangyuan Tungsten Co., Ltd.CHINACID000258Yes
TungstenCNMC (Guangxi) PGMA Co., Ltd.CHINACID000281Unknown
TungstenCP Metals Inc.UNITED STATESCID003448Unknown
TungstenFujian Ganmin RareMetals Co.CHINACID003401Yes
TungstenFujian Jinxin Tungsten Co., Ltd.CHINACID000499Yes
TungstenGanzhou Haichuang Tungsten Co., Ltd.CHINACID002645Yes
TungstenGanzhou Huaxing Tungsten Products Co., Ltd.CHINACID000875Yes
TungstenGanzhou Jiangwu Ferrotungsten Co., Ltd.CHINACID002315Yes
TungstenGanzhou Seadragon W & Mo Co., Ltd.CHINACID002494Yes
TungstenGlobal Tungsten & Powders Corp.UNITED STATESCID000568Yes
TungstenGuangdong Xianglu Tungsten Co., Ltd.CHINACID000218Yes
TungstenH.C. Starck Smelting GmbH & Co.KGGERMANYCID002542Yes
TungstenH.C. Starck Tungsten GmbHGERMANYCID002541Yes
TungstenHunan Chenzhou Mining Co., Ltd.CHINACID000766Yes
TungstenHunan Chuangda Vanadium Tungsten Co., Ltd. WujiCHINACID002579Yes
TungstenHunan Chunchang Nonferrous Metals Co., Ltd.CHINACID000769Yes
TungstenHunan Litian Tungsten Industry Co., Ltd.CHINACID003182Unknown
TungstenHydrometallurg, JSCRUSSIAN FEDERATIONCID002649Yes
TungstenJapan New Metals Co., Ltd.JAPANCID000825Yes
TungstenJiangwu H.C. Starck Tungsten Products Co., Ltd.CHINACID002551Yes
TungstenJiangxi Gan Bei Tungsten Co., Ltd.CHINACID002321Yes
TungstenJiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.CHINACID002313Unknown
TungstenJiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.CHINACID002318Yes
TungstenJiangxi Xianghu Tungsten Co., Ltd.CHINACID002647Unknown
TungstenJiangxi Xinsheng Tungsten Industry Co., Ltd.CHINACID002317Yes
TungstenJiangxi Yaosheng Tungsten Co., Ltd.CHINACID002316Yes
TungstenJSC "Kirovgrad Hard Alloys Plant"RUSSIAN FEDERATIONCID003408Unknown
TungstenKennametal FallonUNITED STATESCID000966Yes
TungstenKennametal HuntsvilleUNITED STATESCID000105Yes
TungstenKGETS Co., Ltd.KOREA, REPUBLIC OF
TungstenLianyou Metals Co., Ltd.TAIWAN, PROVINCE OF CHINA
TungstenMalipo Haiyu Tungsten Co., Ltd.CHINACID002319Yes
TungstenMasan Tungsten Chemical LLC (MTC)VIETNAMCID002543Yes
TungstenMoliren LtdRUSSIAN FEDERATIONCID002845Yes
TungstenNiagara Refining LLCUNITED STATESCID002589Yes
TungstenPhilippine Chuangxin Industrial Co., Inc.PHILIPPINESCID002827Yes
TungstenTejing (Vietnam) Tungsten Co., Ltd.VIETNAMCID001889Yes
TungstenUnecha Refractory metals plantRUSSIAN FEDERATIONCID002724Yes
TungstenWolfram Bergbau und Hütten AGAUSTRIACID002044Yes
TungstenWoltech Korea Co., Ltd.KOREA, REPUBLIC OFCID002843Yes
TungstenXiamen Tungsten (H.C.) Co., Ltd.CHINACID002320Yes



Metal Standard Smelter Name Smelter Facility Location Smelter ID Conflict Free?
TungstenXiamen Tungsten Co., Ltd.CHINACID002082Yes
TungstenXinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.CHINACID002830Yes
TungstenXinhai Rendan Shaoguan Tungsten Co., Ltd.CHINACID002095Yes





APPENDIX B

This list of potential countries of origin is populated based on publicly available information, our RCOI and due diligence. It is important to note that this is also based on company level responses and therefore, it is not certain which of these countries of origin can be linked to our products.
Argentina, Armenia, Australia, Austria, Azerbaijan, Benin, Bolivia, Botswana, Brazil, Burkina Faso, Canada, Chile, China, Colombia, Cyprus, Dominican Republic, Ecuador, Egypt, Eritrea, Ethiopia, Finland, Georgia, Ghana, Guatemala, Guinea, Guyana, Honduras, India, Indonesia, Iran, Ivory Coast, Kazakhstan, Kyrgyzstan, Laos, Lebanon, Madagascar, Malaysia, Mali, Mauritania, Mauritius, Mexico, Mongolia, Morocco, Myanmar, Namibia, Nicaragua, Niger, Nigeria, Papua New Guinea, Peru, Philippines, Portugal, Puerto Rico, Russian Federation, Saudi Arabia, Senegal, Sierra Leone, Slovakia, Solomon Islands, Spain, Suriname, Swaziland, Sweden, Taiwan, Thailand, Togo, Turkey, United Kingdom of Great Britain and Northern Ireland, United States of America, Uruguay, Uzbekistan, Venezuela, Zimbabwe