EX-1.01 2 exhibit101-x2021conflictmi.htm EX-1.01 Document
Exhibit 1.01
Cardinal Health, Inc.
Conflict Minerals Report
For the 2021 Reporting Period
Introduction
As used in this report, "Cardinal Health," "we," "our," "us" and similar pronouns refer to Cardinal Health, Inc. and its consolidated subsidiaries at the end of 2021, unless the context indicates otherwise. "Conflict minerals" (or “3TG”) are defined as columbite-tantalite (coltan), cassiterite, gold, and wolframite and the derivatives tantalum, tin, and tungsten.
Cardinal Health is a global, integrated healthcare services and products company providing customized solutions for hospitals, healthcare systems, pharmacies, ambulatory surgery centers, clinical laboratories, and physician offices. We provide medical products and pharmaceuticals and cost-effective solutions that enhance supply chain efficiency.
We manage our business in two segments: Pharmaceutical and Medical. Our Pharmaceutical segment distributes branded and generic pharmaceutical, specialty pharmaceutical, and over-the-counter healthcare and consumer products in the United States. This segment also: provides services to pharmaceutical manufacturers and healthcare providers for specialty pharmaceutical products; operates nuclear pharmacies and radiopharmaceutical manufacturing facilities; through the Outcomes service offering, connects pharmacists, payers, and pharmaceutical companies and delivers health solutions for personalized medication therapy management, digital patient engagement, and telepharmacy; provides pharmacy management services to hospitals and operates a limited number of pharmacies, including in community health centers; and repackages generic pharmaceuticals and over-the-counter healthcare products.
Our Medical segment manufactures, sources, and distributes Cardinal Health branded medical, surgical, and laboratory products, which are sold in the United States, Canada, Europe, Asia, and other markets. In addition to distributing Cardinal Health branded products, this segment also distributes a broad range of medical, surgical, and laboratory products known as national brand products and provides supply chain services and solutions to hospitals, ambulatory surgery centers, clinical laboratories, and other healthcare providers in the United States and Canada. This segment also distributes medical products to patients' homes in the United States through our Cardinal Health at-Home Solutions division.
Our Pharmaceutical segment, which generated approximately 90% of our consolidated revenue for our fiscal year ended June 30, 2021, does not have any in-scope products under the 3TG Rule (as defined below). Accordingly, most of our business activities do not come within the scope of the 3TG Rule.
Pursuant to Rule 13p-1 under the Securities Exchange Act of 1934 and Form SD (together, the "3TG Rule"), this Conflict Minerals Report describes, for the period from January 1, 2021 to December 31, 2021 (the "2021 Reporting Period"), our reasonable country of origin inquiry ("RCOI") and the measures we have taken to exercise due diligence on the source and chain of custody of the 3TG contained in, and necessary to the functionality or production of, the products that we manufactured or contracted to manufacture during the 2021 Reporting Period. This report does not address products of businesses that we divested during 2021.
In-Scope Products and Our Supply Chain
We assessed all product lines manufactured or contracted to be manufactured by us in the 2021 Reporting Period to determine whether they potentially contained necessary 3TG. Through the assessment process, our product teams determined that certain product lines manufactured or contracted to be manufactured by our Medical segment (collectively, the "Products"), including RFID enabled inventory management cabinets and wands, negative pressure wound therapy devices, and enteral feeding, electrode, and thermometry product lines, contained necessary 3TG for the 2021 Reporting Period.
Our supply chains are complex and fragmented. As a “downstream” company, we are many tiers removed in the minerals supply chain from smelters and refiners (collectively, "SORs") that process the 3TG found in the Products, with many intervening third parties between the original sources of 3TG and us.
Reasonable Country of Origin Inquiry
As required by the 3TG Rule, we conducted a good faith RCOI regarding the 3TG in materials, components, and finished goods supplied to us that relate to the Products. The RCOI was designed to determine whether any of the 3TG originated in the Democratic Republic of the Congo or its adjoining countries (collectively, the “Covered Countries”) and was not from recycled or scrap sources. Selected elements of our RCOI process are described below.



With the assistance of a third-party vendor with expertise in supply chain traceability (the "Vendor") and a Software as a Service ("SaaS") platform for tracking, we engaged 30 potentially in-scope suppliers to collect information regarding the presence and source of 3TG in the Products. These suppliers were asked to create a profile on the Vendor's SaaS platform and complete an online questionnaire based on the Responsible Minerals Initiative's ("RMI's") Conflict Minerals Reporting Template (“CMRT”) and a product list of sales to us for the 2021 Reporting Period. The CMRT is an internationally recognized standardized reporting form developed by the RMI that requests, among other things, information regarding the SORs that processed the 3TG in the supplier’s products, the country of origin of that 3TG, and the supplier’s compliance program. Any suppliers that provided information at the company level are encouraged to re-submit at the product level to attempt to get more detail on the 3TG in specific products.
The SaaS platform generated automated reminders for unresponsive suppliers. When suppliers were unresponsive to the reminders generated from the SaaS platform, the Vendor and our employees followed up with personalized emails and offering assistance and further information about the requirements of the 3TG Rule and our compliance expectations.
The Vendor identified and followed up on incomplete or contradictory answers submitted by suppliers and encouraged them to re-submit with corrected information.
Where suppliers identified SORs in their responses, the Vendor verified whether the listed entities matched known SORs and SORs that conform to the RMI's Responsible Minerals Assurance Process (the “RMAP”) assessment protocols. The RMAP uses an independent third-party assessment of SOR management systems and sourcing practices to validate conformance with RMAP standards. Our suppliers identified a total of 337 known SORs, of which 234 were listed by the RMI as of May 9, 2022 as being “conformant” and 17 were listed as being “active” in the conformance assessment process. Approximately a quarter of the responses we received were prepared at a company level, meaning that they covered all the supplier’s products and not just those that the supplier sold to us. The remainder were submitted based on a product list provided by the supplier, although the listed products were not in all cases limited to the products supplied to us and the identified SORs were not necessarily limited to the products supplied to us. Based on this reporting, we were not able to determine with certainty whether the identified SORs processed the 3TG contained in the Products. In addition, given the complexity of the supply chain, suppliers may not have identified all the SORs in their supply chains.
Based on our RCOI, we have reason to believe that at least some of the 3TG contained in the Products may have originated in the Covered Countries and may not be from recycled or scrap sources. Accordingly, we exercised due diligence on the source and chain of custody of the 3TG.
Due Diligence
The due diligence measures described below were designed to conform, in all material respects, with the applicable portions of the Organisation for Economic Co-operation and Development Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, including the Supplements for tin, tantalum and tungsten and gold (Third Edition) (the "OECD Guidance"). The OECD Guidance identifies five steps for due diligence that should be implemented and provides specific guidance with respect to each step. We developed our due diligence measures utilizing the OECD-aligned RMI model to address each of these five steps and to help ensure that the 3TG in the Products is responsibly sourced. These measures considered the OECD Guidance’s recommendations for companies in the downstream segments of the supply chain, which typically are several tiers removed from, and have no direct relationships with, SORs. The following discussion addresses each of the five steps in turn.
1.    Establish Company Management Systems
We have implemented a 3TG compliance program (the “Program”) with the following attributes:
Policy Statement
We have adopted a Conflict Minerals Policy (the "Policy") that sets forth the expectation that our suppliers source materials from suppliers that also source responsibly, including from conflict-free mines in the Covered Countries. The Policy is available on our website at https://www.cardinalhealth.com/en/about-us/corporate-citizenship/ethics-and-governance.html. Information contained on our website is not incorporated by reference into this report or the Form SD.
The Policy states that we expect suppliers to be aware of the requirements of the 3TG Rule and other 3TG legislation and to respond in a timely manner to our requests for information. As stated in the Policy, we do not embargo sourcing from the Covered Countries and encourage our suppliers to continue to source responsibly from those countries.

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Program Management
The Risk Management, Procurement Operations group within our Medical segment oversees the Program. This group, which manages supplier due diligence with respect to environmental and social issues, reports to our senior leadership.

Control Systems and Supply Chain Transparency
As discussed above, the Vendor facilitates supplier engagement and assists us in collecting, analyzing, verifying, and storing supplier-provided data and performing due diligence for the Program. With the assistance of the Vendor, we contacted and solicited information from suppliers concerning the usage and source of 3TG, using the RMI-aligned approach and questions based on RMI's CMRT.
To further strengthen the Program, we are a member of the RMI, a cross-industry organization that provides resources, tools, and information to help companies source conflict-free minerals, including a list of conformant SORs, and manages the RMAP.
Our Vendor Code of Conduct requires suppliers to comply with the Policy, including working with their suppliers to identify the source and chain of custody of any 3TG contained in their products. Under the Vendor Code of Conduct, suppliers must agree to cooperate with us in connection with any inquiries or due diligence that we choose to perform with respect to such 3TG. The Vendor Code of Conduct is available on our website at https://www.cardinalhealth.com/en/about-us/corporate-citizenship/ethics-and-governance.html.
The Vendor and SaaS provider maintain records of product and supply chain information collected through the due diligence activities carried out under the Program. Documentation is retained for at least five years in an electronic database.
Supplier Engagement
In support of our Policy, we have incorporated 3TG compliance provisions into the standard terms of our Medical segment's supplier agreement template. As discussed above, we also address 3TG compliance in the Policy and the Vendor Code of Conduct. Both documents are distributed to suppliers and publicly available on our website.
Grievance Mechanism
We have a dedicated email address for reporting questions or concerns relating to our Policy or Program to a Cardinal Health representative. The email address is conflict_minerals@cardinalhealth.com. In addition, we have a business conduct line that provides a mechanism for anyone to anonymously report conduct they know or suspect is in violation of Cardinal Health guidelines or policies, including any concerns related to the 3TG supply chain. The contact information for this mechanism is found in our Standards of Business Conduct, which is available on our website at https://www.cardinalhealth.com/en/about-us/who-we-are/ethics-and-compliance.html.
2.    Risk Identification and Assessment in the Supply Chain
Risks are identified by the Vendor's software partner based on “red flag” criteria established for supplier responses, including the submission of responses to questions based on RMI's CMRT where there were incomplete or contradictory answers. These risks are addressed in the first instance by the Vendor's staff, who contact the supplier, gather pertinent data, and perform an assessment of the supplier’s 3TG sourcing risk. The results of the Vendor’s outreach campaign and review of supplier responses, including the Vendor’s risk assessment, are communicated to our senior leadership.
Possible sourcing risks are identified by assessing the due diligence practices of SORs listed in our suppliers' responses. The Vendor determines whether each SOR identified in a supplier response is conformant by reviewing the identified SORs against the lists of conformant SORs published by the RMI. SORs classified as actively pursuing conformant status under the RMAP also are identified.
Additionally, through the Vendor, we evaluate the strength of our suppliers' 3TG due diligence and supply chain control programs, further assisting us in identifying supply chain risk. The criteria used to evaluate the program strength of our suppliers includes reviewing whether the supplier has a 3TG policy, whether it has implemented due diligence measures for conflict-free sourcing, whether it verifies due diligence information from its suppliers, and whether its verification process includes corrective action management.
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3.    Risk Response Strategy
Together with the Vendor, we have developed processes to assess and respond to risks in 3TG sourcing.
The Vendor and our employees made escalating contacts with unresponsive suppliers, emphasizing the importance of their response and their required cooperation for compliance with the 3TG Rule. When a SOR determined to be of higher risk is identified by a supplier in its response, as an RMI member, we report this to RMI and request that RMI contact the SOR to encourage participation in the RMAP and gather information regarding the SOR's sourcing practices. We believe this approach exerts the most leverage over SORs.
In addition, under our Vendor Code of Conduct, if we determine or believe at any time that a supplier has failed to comply with the standards set forth in the Vendor Code of Conduct, including those with respect to 3TG, we have the right to cease the purchase of the supplier's products without liability or obligation.
We address identified risks on a case-by-case basis. This flexible approach enables us to tailor the response to the risks identified.
4.    Audits of Due Diligence Practices of SORs
We do not have a direct relationship with SORs and do not perform or direct SOR audits. Instead, as a member of the RMI, we rely on internationally recognized assessment programs, such as the RMAP, that facilitate and confirm independent third-party audits of SORs’ supply chain due diligence practices. As noted above, when an SOR determined to be of higher risk is identified by a supplier in its response, we report this to RMI and request that RMI contact the SOR to encourage participation in the RMAP and gather information regarding the SOR's sourcing practices.
5.    Annual Public Reporting on Supply Chain Due Diligence
We report annually on our supply chain due diligence by filing a Form SD and a Conflict Minerals Report with the U.S. Securities and Exchange Commission. We have published our Conflict Minerals Report for the 2021 Reporting Period on our website at https://www.cardinalhealth.com/en/about-us/corporate-citizenship/ethics-and-governance.html.
Due Diligence Results
Survey Results
For the 2021 Reporting Period, we received responses from 80% of all surveyed suppliers. Responses were reviewed and validated as discussed earlier in this report.
Smelters and Refiners
Notwithstanding our due diligence, we did not conclusively determine the country of origin of, or facilities used to process, the necessary 3TG in the Products for the 2021 Reporting Period. Thus, SOR information we received from our suppliers may not be relevant to the Products and may identify SORs that are not actually in our supply chain. In addition, a majority of suppliers indicated that they received incomplete information from their suppliers and, therefore, could not provide a comprehensive list of all SORs in their supply chains.
Annex A contains a list of the SORs reported by the suppliers. A total of 337 SORs were identified. As of May 9, 2022, 234 of these SORs, or 69%, were listed as conformant and 17, or 5%, were listed as active by the RMI. Annex B provides an aggregated list of identified potential countries of origin of the 3TG processed by the conformant SORs.
Cardinal Health's efforts to determine the mine or location of origin of the necessary 3TG in the Products with the greatest possible specificity consisted of the implementation of the Program and other due diligence measures described above in this Conflict Minerals Report.
Additional Risk Mitigation Steps
Since the filing of our Conflict Minerals Report last year, we have continued to utilize our vendors' expertise in supplier surveys and supply chain traceability, which considers improvements in broader industry practice. In addition, we renewed our membership in RMI to support programs like the RMAP that facilitate and validate independent third-party audits of SORs’ supply chain due diligence practices.

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Forward-Looking Statements
This report includes forward-looking statements, within the meaning of the Private Securities Litigation Reform Act of 1995, that involve risks and uncertainties, such as whether industry organizations and initiatives remain effective as a source of external support to us in the 3TG compliance process. Forward-looking statements provide current expectations of future events based on certain assumptions and include any statement that does not directly relate to any historical or current fact. Forward-looking statements can also be identified by words such as “expects,” “plans,” “intends,” “will,” “may,” and similar terms and include statements reflecting future results or guidance and statements of outlook. These matters are subject to risks and uncertainties that could cause actual results to differ materially from those projected, anticipated, or implied. Forward-looking statements are not guarantees of future performance. We assume no obligation to revise or update any forward-looking statements for any reason, except as required by law. Subsequent events may affect our future determinations under the 3TG Rule.
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ANNEX A
Identified SORs
The following is a list of SORs reported in suppliers' responses. SORs that are listed as conformant by the RMI as of May 9, 2022, or that are listed by the RMI as having committed to undergo an RMAP assessment, are indicated as noted by an asterisk below.
As discussed in our Conflict Minerals Report, we cannot determine with certainty whether any of the SORs listed in this Annex A processed the 3TG in the Products. As a result, the presence of a SOR on the list does not mean that the Products necessarily contained 3TG processed by that SOR. In addition, because the suppliers may not have identified all of the SORs in their supply chains, the Products may contain 3TG processed by other SORs not listed below.
MineralSOR NameSOR Location
Gold8853 S.p.A.*ITALY
GoldAbington Reldan Metals, LLC*UNITED STATES
GoldAdvanced Chemical Company*UNITED STATES
GoldAfrican Gold RefineryUGANDA
GoldAida Chemical Industries Co., Ltd.*JAPAN
GoldAl Etihad Gold Refinery DMCC*UNITED ARAB EMIRATES
GoldAlexy Metals*UNITED STATES
GoldAllgemeine Gold-und Silberscheideanstalt A.G.*GERMANY
GoldAlmalyk Mining and Metallurgical Complex (AMMC)*UZBEKISTAN
GoldAngloGold Ashanti Córrego do Sítio Mineração*BRAZIL
GoldArgor-Heraeus S.A.*SWITZERLAND
GoldAsahi Pretec Corp.*JAPAN
GoldAsahi Refining Canada Ltd.*CANADA
GoldAsahi Refining USA Inc.*UNITED STATES
GoldAsaka Riken Co., Ltd.*JAPAN
GoldAtasay Kuyumculuk Sanayi Ve Ticaret A.S.TURKEY
GoldAU Traders and RefinersSOUTH AFRICA
GoldAugmont Enterprises Private Limited*INDIA
GoldAurubis AG*GERMANY
GoldBangalore Refinery*INDIA
GoldBangko Sentral ng Pilipinas (Central Bank of the Philippines)*PHILIPPINES
GoldBoliden AB*SWEDEN
GoldC. Hafner GmbH + Co. KG*GERMANY
GoldC.I Metales Procesados Industriales SAS*COLOMBIA
GoldCaridadMEXICO
GoldCCR Refinery - Glencore Canada Corporation*CANADA
GoldCendres + Métaux S.A.*SWITZERLAND
GoldCGR Metalloys Pvt Ltd.INDIA
GoldChimet S.p.A.*ITALY
GoldChugai Mining*JAPAN
GoldDaye Non-Ferrous Metals Mining Ltd.CHINA
GoldDegussa SonneGERMANY
GoldDijllah Gold Refinery FZCUNITED ARAB EMIRATES
GoldDODUCO Contacts and Refining GmbH*GERMANY
GoldDowa*JAPAN
GoldDSC (Do Sung Corporation)*REPUBLIC OF KOREA
A-1


GoldEco-System Recycling Co., Ltd. East Plant*JAPAN
GoldEco-System Recycling Co., Ltd. North Plant*JAPAN
GoldEco-System Recycling Co., Ltd. West Plant*JAPAN
GoldEmerald Jewel Industry India Limited (Unit 1)INDIA
GoldEmerald Jewel Industry India Limited (Unit 2)INDIA
GoldEmerald Jewel Industry India Limited (Unit 3)INDIA
GoldEmerald Jewel Industry India Limited (Unit 4)INDIA
GoldEmirates Gold DMCC*UNITED ARAB EMIRATES
GoldFidelity Printers and Refiners Ltd.ZIMBABWE
GoldFujairah Gold FZCUNITED ARAB EMIRATES
GoldGCC Gujrat Gold Centre Pvt. Ltd.*INDIA
GoldGeib Refining Corporation*UNITED STATES
GoldGold Coast RefineryGHANA
GoldGold Refinery of Zijin Mining Group Co., Ltd.*CHINA
GoldGreat Wall Precious Metals Co., Ltd. of CBPMCHINA
GoldGuangdong Jinding Gold LimitedCHINA
GoldGuoda Safina High-Tech Environmental Refinery Co., Ltd.CHINA
GoldHangzhou Fuchunjiang Smelting Co., Ltd.CHINA
GoldHeimerle + Meule GmbH*GERMANY
GoldHeraeus Germany GmbH Co. KG*GERMANY
GoldHeraeus Metals Hong Kong Ltd.*CHINA
GoldHunan Chenzhou Mining Co., Ltd.CHINA
GoldHunan Guiyang yinxing Nonferrous Smelting Co., Ltd.CHINA
GoldHwaSeong CJ CO., LTD.REPUBLIC OF KOREA
GoldIndustrial Refining CompanyBELGIUM
GoldInner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.*CHINA
GoldInternational Precious Metal RefinersUNITED ARAB EMIRATES
GoldIshifuku Metal Industry Co., Ltd.*JAPAN
GoldIstanbul Gold Refinery*TURKEY
GoldItalpreziosi*ITALY
GoldJALAN & CompanyINDIA
GoldJapan Mint*JAPAN
GoldJiangxi Copper Co., Ltd.*CHINA
GoldJSC Ekaterinburg Non-Ferrous Metal Processing PlantRUSSIA
GoldJSC Novosibirsk RefineryRUSSIA
GoldJSC UralelectromedRUSSIA
GoldJX Nippon Mining & Metals Co., Ltd.*JAPAN
GoldK.A. RasmussenNORWAY
GoldKaloti Precious MetalsUNITED ARAB EMIRATES
GoldKazakhmys Smelting LLCKAZAKHSTAN
GoldKazzinc*KAZAKHSTAN
GoldKennecott Utah Copper LLC*UNITED STATES
GoldKGHM Polska Miedz Spolka Akcyjna*POLAND
GoldKojima Chemicals Co., Ltd.*JAPAN
GoldKorea Zinc Co., Ltd.*REPUBLIC OF KOREA
GoldKundan Care Products Ltd.INDIA
GoldKyrgyzaltyn JSCKYRGYZSTAN
A-2


GoldKyshtym Copper-Electrolytic Plant ZAORUSSIA
GoldL'azurde Company For JewelrySAUDI ARABIA
GoldLingbao Gold Co., Ltd.CHINA
GoldLingbao Jinyuan Tonghui Refinery Co., Ltd.CHINA
GoldL'Orfebre S.A.*ANDORRA
GoldLS-NIKKO Copper Inc.*REPUBLIC OF KOREA
GoldLT Metal Ltd.*REPUBLIC OF KOREA
GoldLuoyang Zijin Yinhui Gold Refinery Co., Ltd.CHINA
GoldMarsam Metals*BRAZIL
GoldMaterion*UNITED STATES
GoldMatsuda Sangyo Co., Ltd.*JAPAN
GoldMD OverseasINDIA
GoldMetal Concentrators SA (Pty) Ltd.*SOUTH AFRICA
GoldMetallix Refining Inc.UNITED STATES
GoldMetalor Technologies (Hong Kong) Ltd.*CHINA
GoldMetalor Technologies (Singapore) Pte., Ltd.*SINGAPORE
GoldMetalor Technologies (Suzhou) Ltd.*CHINA
GoldMetalor Technologies S.A.*SWITZERLAND
GoldMetalor USA Refining Corporation*UNITED STATES
GoldMetalúrgica Met-Mex Peñoles S.A. De C.V.*MEXICO
GoldMitsubishi Materials Corporation*JAPAN
GoldMitsui Mining and Smelting Co., Ltd.*JAPAN
GoldMMTC-PAMP India Pvt., Ltd.*INDIA
GoldModeltech Sdn BhdMALAYSIA
GoldMorris and WatsonNEW ZEALAND
GoldMoscow Special Alloys Processing PlantRUSSIA
GoldNadir Metal Rafineri San. Ve Tic. A.Ş.*TURKEY
GoldNavoi Mining and Metallurgical Combinat*UZBEKISTAN
GoldNH Recytech Company*REPUBLIC OF KOREA
GoldNihon Material Co., Ltd.*JAPAN
GoldÖgussa Österreichische Gold- und Silber-Scheideanstalt GmbH*AUSTRIA
GoldOhura Precious Metal Industry Co., Ltd.*JAPAN
GoldOJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)RUSSIA
GoldPAMP S.A.*SWITZERLAND
GoldPease & CurrenUNITED STATES
GoldPenglai Penggang Gold Industry Co., Ltd.CHINA
GoldPlanta Recuperadora de Metales SpA*CHILE
GoldPrioksky Plant of Non-Ferrous MetalsRUSSIA
GoldPT Aneka Tambang (Persero) Tbk*INDONESIA
GoldPX Précinox S.A.*SWITZERLAND
GoldQG Refining, LLCUNITED STATES
GoldRand Refinery (Pty) Ltd.*SOUTH AFRICA
GoldRefinery of Seemine Gold Co., Ltd.CHINA
GoldREMONDIS PMR B.V.*NETHERLANDS
GoldRoyal Canadian Mint*CANADA
GoldSAAMP*FRANCE
GoldSabin Metal Corp.UNITED STATES
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GoldSafimet S.p.A*ITALY
GoldSAFINA A.S.*CZECH REPUBLIC
GoldSai RefineryINDIA
GoldSamduck Precious Metals*REPUBLIC OF KOREA
GoldSamwon Metals Corp.REPUBLIC OF KOREA
GoldSancus ZFS (L’Orfebre, SA)*COLOMBIA
GoldSAXONIA Edelmetalle GmbHGERMANY
GoldSellem Industries Ltd.MAURITANIA
GoldSEMPSA Joyería Platería S.A.*SPAIN
GoldShandong Gold Smelting Co., Ltd.*CHINA
GoldShandong Humon Smelting Co., Ltd.CHINA
GoldShandong Tiancheng Biological Gold Industrial Co., Ltd.CHINA
GoldShandong Zhaojin Gold & Silver Refinery Co., Ltd.*CHINA
GoldShenzhen Zhonghenglong Real Industry Co., Ltd.CHINA
GoldShirpur Gold Refinery Ltd.INDIA
GoldSichuan Tianze Precious Metals Co., Ltd.*CHINA
GoldSingway Technology Co., Ltd.*TAIWAN
GoldSOE Shyolkovsky Factory of Secondary Precious MetalsRUSSIA
GoldSolar Applied Materials Technology Corp.*TAIWAN
GoldSovereign MetalsINDIA
GoldState Research Institute Center for Physical Sciences and TechnologyLITHUANIA
GoldSudan Gold RefinerySUDAN
GoldSumitomo Metal Mining Co., Ltd.*JAPAN
GoldSungEel HiMetal Co., Ltd.*REPUBLIC OF KOREA
GoldSuper Dragon Technology Co., Ltd.TAIWAN
GoldT.C.A S.p.A*ITALY
GoldTanaka Kikinzoku Kogyo K.K.*JAPAN
GoldTokuriki Honten Co., Ltd.*JAPAN
GoldTongling Nonferrous Metals Group Co., Ltd.CHINA
GoldTOO Tau-Ken-Altyn*KAZAKHSTAN
GoldTorecom*REPUBLIC OF KOREA
GoldUmicore Precious Metals Thailand*THAILAND
GoldUmicore S.A. Business Unit Precious Metals Refining*BELGIUM
GoldUnited Precious Metal Refining, Inc.*UNITED STATES
GoldValcambi S.A.*SWITZERLAND
GoldValue TradingBELGIUM
GoldWEEEREFINING*FRANCE
GoldWestern Australian Mint (Trading as The Perth Mint)* AUSTRALIA
GoldWIELAND Edelmetalle GmbH*GERMANY
GoldYamakin Co., Ltd.*JAPAN
GoldYokohama Metal Co., Ltd.*JAPAN
GoldYunnan Copper Industry Co., Ltd.CHINA
GoldZhongyuan Gold Smelter of Zhongjin Gold Corporation*CHINA
TantalumAMG Brasil*BRAZIL
TantalumChangsha South Tantalum Niobium Co., Ltd.*CHINA
TantalumD Block Metals, LLC*UNITED STATES
TantalumExotech Inc.UNITED STATES
A-4


TantalumF&X Electro-Materials Ltd.*CHINA
TantalumFIR Metals & Resource Ltd.*CHINA
TantalumGlobal Advanced Metals Aizu*JAPAN
TantalumGlobal Advanced Metals Boyertown*UNITED STATES
TantalumH.C. Starck Hermsdorf GmbH*GERMANY
TantalumH.C. Starck Inc.*UNITED STATES
TantalumHengyang King Xing Lifeng New Materials Co., Ltd.*CHINA
TantalumJiangxi Dinghai Tantalum & Niobium Co., Ltd.*CHINA
TantalumJiangxi Tuohong New Raw Material*CHINA
TantalumJiuJiang JinXin Nonferrous Metals Co., Ltd.*CHINA
TantalumJiujiang Tanbre Co., Ltd.*CHINA
TantalumJiujiang Zhongao Tantalum & Niobium Co., Ltd.*CHINA
TantalumKEMET de Mexico*MEXICO
TantalumMetallurgical Products India Pvt., Ltd.*INDIA
TantalumMineracao Taboca S.A.*BRAZIL
TantalumMitsui Mining and Smelting Co., Ltd.*JAPAN
TantalumNingxia Orient Tantalum Industry Co., Ltd.*CHINA
TantalumNPM Silmet AS*ESTONIA
TantalumQuantumClean*UNITED STATES
TantalumResind Industria e Comercio Ltda.*BRAZIL
TantalumRFH Yancheng Jinye New Material Technology Co., Ltd.*CHINA
TantalumSolikamsk Magnesium Works OAO*RUSSIA
TantalumTaki Chemical Co., Ltd.*JAPAN
TantalumTANIOBIS Co., Ltd.*THAILAND
TantalumTANIOBIS GmbH*GERMANY
TantalumTANIOBIS Japan Co., Ltd.*JAPAN
TantalumTANIOBIS Smelting GmbH & Co. KG*GERMANY
TantalumTelex Metals*UNITED STATES
TantalumUlba Metallurgical Plant JSC*KAZAKHSTAN
TantalumXIMEI RESOURCES (GUANGDONG) LIMITED.*CHINA
TantalumXinXing HaoRong Electronic Material Co., Ltd.*CHINA
TantalumYanling Jincheng Tantalum & Niobium Co., Ltd.*CHINA
TinAlpha*UNITED STATES
TinAn Vinh Joint Stock Mineral Processing CompanyVIETNAM
TinChenzhou Yunxiang Mining and Metallurgy Co., Ltd.*CHINA
TinChifeng Dajingzi Tin Industry Co., Ltd.*CHINA
TinChina Tin Group Co., Ltd.*CHINA
TinCRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda*BRAZIL
TinCRM Synergies*SPAIN
TinCV Ayi JayaINDONESIA
TinCV Venus Inti Perkasa*INDONESIA
TinDongguan CiEXPO Environmental Engineering Co., Ltd.CHINA
TinDowa*JAPAN
TinElectro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock CompanyVIETNAM
TinEM Vinto*BOLIVIA
TinEstanho de Rondônia S.A.*BRAZIL
TinFabrica Auricchio Industria e Comercio Ltda.*BRAZIL
A-5


TinFenix Metals*POLAND
TinGejiu City Fuxiang Industry and Trade Co., Ltd.CHINA
TinGejiu Kai Meng Industry and Trade LLCCHINA
TinGejiu Non-Ferrous Metal Processing Co., Ltd.*CHINA
TinGejiu Yunxin Nonferrous Electrolysis Co., Ltd.*CHINA
TinGejiu Zili Mining and Metallurgy Co., Ltd.*CHINA
TinGuangdong Hanhe Non-Ferrous Metal Co., Ltd.*CHINA
TinHuiChang Hill Tin Industry Co., Ltd.*CHINA
TinJiangxi New Nanshan Technology Ltd.*CHINA
TinLuna Smelter, Ltd.*RWANDA
TinMa'anshan Weitai Tin Co., Ltd.*CHINA
TinMagnu's Minerais Metais e Ligas Ltda.*BRAZIL
TinMalaysia Smelting Corporation (MSC)*MALAYSIA
TinMelt Metais e Ligas S.A.BRAZIL
TinMetallic Resources, Inc.*UNITED STATES
TinMetallo Belgium N.V.*BELGIUM
TinMetallo Spain S.L.U.*SPAIN
TinMineracao Taboca S.A.*BRAZIL
TinMinsur*PERU
TinMitsubishi Materials Corporation*JAPAN
TinModeltech Sdn BhdMALAYSIA
TinNghe Tinh Non-Ferrous Metals Joint Stock CompanyVIETNAM
TinNovosibirsk Processing Plant Ltd.*RUSSIA
TinO.M. Manufacturing (Thailand) Co., Ltd.*THAILAND
TinO.M. Manufacturing Philippines, Inc.*PHILIPPINES
TinOperaciones Metalurgicas S.A.*BOLIVIA
TinPongpipat Company LimitedMYANMAR
TinPrecious Minerals and Smelting LimitedINDIA
TinPT Artha Cipta Langgeng*INDONESIA
TinPT ATD Makmur Mandiri Jaya*INDONESIA
TinPT Babel Inti Perkasa*INDONESIA
TinPT Babel Surya Alam Lestari*INDONESIA
TinPT Bangka Serumpun*INDONESIA
TinPT Bukit Timah*INDONESIA
TinPT Cipta Persada Mulia*INDONESIA
TinPT Lautan Harmonis SejahteraINDONESIA
TinPT Masbro Alam StaniaINDONESIA
TinPT Menara Cipta Mulia*INDONESIA
TinPT Mitra Stania Prima*INDONESIA
TinPT Mitra Sukses Globalindo*INDONESIA
TinPT Prima Timah Utama*INDONESIA
TinPT Rajawali Rimba Perkasa*INDONESIA
TinPT Rajehan Ariq*INDONESIA
TinPT Refined Bangka Tin*INDONESIA
TinPT Sariwiguna Binasentosa*INDONESIA
TinPT Stanindo Inti Perkasa*INDONESIA
TinPT Sukses Inti Makmur*INDONESIA
A-6


TinPT Timah Nusantara*INDONESIA
TinPT Timah Tbk Kundur*INDONESIA
TinPT Timah Tbk Mentok*INDONESIA
TinPT Tinindo Inter Nusa*INDONESIA
TinResind Industria e Comercio Ltda.*BRAZIL
TinRui Da Hung*TAIWAN
TinSoft Metais Ltda.*BRAZIL
TinSuper Ligas*BRAZIL
TinThai Nguyen Mining and Metallurgy Co., Ltd.*VIETNAM
TinThaisarco*THAILAND
TinTin Technology & Refining*UNITED STATES
TinTuyen Quang Non-Ferrous Metals Joint Stock CompanyVIETNAM
TinVQB Mineral and Trading Group JSCVIETNAM
TinWhite Solder Metalurgia e Mineração Ltda.*BRAZIL
TinYunnan Chengfeng Non-ferrous Metals Co., Ltd.*CHINA
TinYunnan Tin Company Limited*CHINA
TinYunnan Yunfan Non-ferrous Metals Co., Ltd.CHINA
TungstenA.L.M.T. Corp.*JAPAN
TungstenACL Metais Eireli*BRAZIL
TungstenAlbasteel Industria e Comercio de Ligas Para Fundicao Ltd.*BRAZIL
TungstenArtek LLCRUSSIA
TungstenAsia Tungsten Products Vietnam Ltd.*VIETNAM
TungstenChenzhou Diamond Tungsten Products Co., Ltd.*CHINA
TungstenChina Molybdenum Tungsten Co., Ltd.*CHINA
TungstenChongyi Zhangyuan Tungsten Co., Ltd.*CHINA
TungstenCNMC (Guangxi) PGMA Co., Ltd.CHINA
TungstenCronimet Brasil Ltda*BRAZIL
TungstenFujian Ganmin RareMetal Co., Ltd.*CHINA
TungstenFujian Xinlu Tungsten*CHINA
TungstenGanzhou Haichuang Tungsten Co., Ltd.*CHINA
TungstenGanzhou Huaxing Tungsten Products Co., Ltd.*CHINA
TungstenGanzhou Jiangwu Ferrotungsten Co., Ltd.*CHINA
TungstenGanzhou Seadragon W & Mo Co., Ltd.*CHINA
TungstenGlobal Tungsten & Powders Corp.*UNITED STATES
TungstenGuangdong Xianglu Tungsten Co., Ltd.*CHINA
TungstenH.C. Starck Tungsten GmbH*GERMANY
TungstenHunan Chenzhou Mining Co., Ltd.*CHINA
TungstenHunan Chunchang Nonferrous Metals Co., Ltd.*CHINA
TungstenHydrometallurg, JSC*RUSSIA
TungstenJapan New Metals Co., Ltd.*JAPAN
TungstenJiangwu H.C. Starck Tungsten Products Co., Ltd.*CHINA
TungstenJiangxi Gan Bei Tungsten Co., Ltd.*CHINA
TungstenJiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.CHINA
TungstenJiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.*CHINA
TungstenJiangxi Xinsheng Tungsten Industry Co., Ltd.*CHINA
TungstenJiangxi Yaosheng Tungsten Co., Ltd.*CHINA
TungstenJingmen Dewei GEM Tungsten Resources Recycling Co., Ltd.*CHINA
A-7


TungstenJSC "Kirovgrad Hard Alloys Plant"*RUSSIA
TungstenKennametal Fallon*UNITED STATES
TungstenKennametal Huntsville*UNITED STATES
TungstenKGETS Co., Ltd.*REPUBLIC OF KOREA
TungstenLianyou Metals Co., Ltd.*TAIWAN
TungstenMalipo Haiyu Tungsten Co., Ltd.*CHINA
TungstenMasan High-Tech Materials*VIETNAM
TungstenMoliren Ltd.*RUSSIA
TungstenNiagara Refining LLC*UNITED STATES
TungstenNPP Tyazhmetprom LLC*RUSSIA
TungstenOOO "Technolom" 1*RUSSIA
TungstenOOO "Technolom" 2*RUSSIA
TungstenPhilippine Chuangxin Industrial Co., Inc.*PHILIPPINES
TungstenTANIOBIS Smelting GmbH & Co. KG*GERMANY
TungstenUnecha Refractory metals plant*RUSSIA
TungstenWolfram Bergbau und Hütten AG*AUSTRIA
TungstenXiamen Tungsten (H.C.) Co., Ltd.*CHINA
TungstenXiamen Tungsten Co., Ltd.*CHINA
TungstenXinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.*CHINA

A-8


ANNEX B
Countries of Origin
Below is an aggregated list of countries of origin from which the conformant SORs listed in Annex A are believed to have potentially sourced 3TG (which also may include other countries). The countries of origin listed below were furnished by the Vendor based on supplier submissions. Some of the identified SORs also may have sourced in whole or in part from recycled or scrap sources.
AngolaLiberia
ArgentinaLuxembourg
AustraliaMadagascar
AustriaMalaysia
BelarusMali
BelgiumMexico
BoliviaMongolia
BrazilMozambique
BurundiMyanmar
CambodiaNamibia
CanadaNetherlands
Central African RepublicNiger
ChileNigeria
ChinaPapua New Guinea
ColombiaPeru
Czech RepublicPhilippines
DjiboutiPoland
Democratic Republic of the CongoPortugal
EcuadorRepublic of Korea
EgyptRussia
EstoniaRwanda
EthiopiaSierra Leone
FranceSingapore
GermanySlovakia
GhanaSlovenia
GuineaSouth Africa
GuyanaSpain
HungarySudan
IndiaSuriname
IndonesiaSwitzerland
IrelandTanzania
IsraelThailand
ItalyUganda
Ivory CoastUnited Kingdom
JapanUnited States of America
KazakhstanUzbekistan
KenyaVietnam
KyrgyzstanZambia
LaosZimbabwe

B-1