Securities and Exchange Commission
Washington, D.C. 20549
SPECIALIZED DISCLOSURE REPORT
Becton, Dickinson and Company
(Exact name of registrant as specified in its charter)
(State or other jurisdiction of
incorporation or organization)
1 Becton Drive
Franklin Lakes, New Jersey
|(Address of principal executive offices)||(Zip Code)|
(919) 572 6239
(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:
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
As contemplated by Rule 13p-1 under the Securities Exchange Act of 1934, as amended, and Form SD, a Conflict Minerals Report is provided as an Exhibit to this Form SD and is available at the following Internet website: https://www.bd.com/en-us/company/sustainability-at-bd/reports-archive. The information contained on our website is not incorporated by reference into this Form SD or our Conflict Minerals Report and should not be considered part of this Form SD or the Conflict Minerals Report.
Information concerning tin, tantalum, tungsten, or gold from recycled or scrap sources that may be contained in our in-scope products is included in the Conflict Minerals Report and is incorporated in this Form SD by reference.
|Item 1.02|| |
The Conflict Minerals Report contemplated by Item 1.01 is filed as Exhibit 1.01 to this Form SD.
Section 2 Exhibits
|Item 2.01|| |
Exhibit 1.01 Conflict Minerals Report for the calendar year ended December 31, 2019.
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.
Becton, Dickinson and Company
|By:||May 28, 2020|
|Title:||Executive Vice President, Integrated Supply Chain|
|1.01||Conflict Minerals Report for the calendar year ended December 31, 2019.|
Conflict Minerals Report
Becton, Dickinson and Company has included this Conflict Minerals Report as an exhibit to its Form SD for 2019, as contemplated by Rule 13p-1 under the Securities Exchange Act of 1934, as amended (the Exchange Act), and Form SD (collectively, the Conflict Minerals Rule). The date of filing of this Conflict Minerals Report is May 28, 2020.
The term BD, we, us and our refer to Becton, Dickinson and Company and its consolidated subsidiaries for or at the end of 2019. As used herein and consistent with the Conflict Minerals Rule, Conflict Minerals or 3TG are columbite-tantalite (coltan), cassiterite, gold, wolframite and the derivatives tantalum, tin, and tungsten, without regard to the location of origin of the minerals or derivative metals. The Conflict Affected Region is defined as the Democratic Republic of the Congo and its adjacent countries, which include Angola, Burundi, Central African Republic, the Republic of the Congo, Rwanda, South Sudan, Tanzania, Uganda, and Zambia.
BD is one of the largest global medical technology companies in the world and is advancing the world of health by improving medical discovery, diagnostics and the delivery of care. We develop innovative technology, services and solutions that help advance both clinical therapy for patients and clinical process for health care providers. BD has 65,000 employees and a presence in virtually every country around the world to address some of the most challenging global health issues. BD helps customers enhance outcomes, lower costs, increase efficiencies, improve safety, and expand access to health care.
BD is subject to the Conflict Minerals Rule because, for 2019, certain of the raw materials and components contained in some of the products that we manufactured or contracted to manufacture contained 3TG that were necessary to the functionality or production of the products. Many of our products do not contain any 3TG or are otherwise not in-scope for purposes of our Conflict Minerals Rule compliance.
We do not directly source 3TG from mines, smelters, or refiners, and we believe that we are many levels removed from these market participants. However, through the efforts described in this Conflict Minerals Report, we seek to ensure that our sourcing practices are consistent with our Conflict Minerals Policy, which is described below.
Our Conflict Minerals Policy
BD expects its suppliers and subcontractors to source responsibly, respect human rights, and not contribute to conflict.
Without limiting the foregoing, BD expects that its suppliers and subcontractors will not knowingly source 3TG from sources that directly or indirectly finance or benefit armed groups in the Conflict Affected Region. In furtherance of this expectation and BDs obligations under the Conflict Minerals Rule, applicable BD suppliers and subcontractors (as defined by BD) will be expected to complete a declaration concerning the usage and source of any 3TG in the products supplied to us. As part of gathering the information for the declaration, applicable BD suppliers and subcontractors will be expected to conduct a reasonable country of origin inquiry and/or due diligence, as applicable, in accordance with the Conflict Minerals Rule and the Organisation for Economic Co-operation and Developments Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (the OECD Guidance).
In cases where suppliers or subcontractors are found to not be in compliance with our policy, we intend to work with and encourage them to source responsibly. Where these efforts fail or we believe that further engagement with a supplier or subcontractor is inappropriate, we will re-evaluate our business relationship.
We discourage the embargoing of 3TG from the Conflict Affected Regions and advocate the responsible sourcing of 3TG from the region.
Reasonable Country of Origin Inquiry; Smelter and Refiner and Country of Origin Information
As required by the Conflict Minerals Rule, for 2019, we conducted a reasonable country of origin inquiry. Our outreach included 2439 suppliers (the Suppliers) that were identified through our internal scoping processes as having provided, or that we believe may have provided, us with raw materials or components that contain 3TG. Suppliers representing approximately 91% of BDs in-scope spend responded to BDs reasonable country of origin inquiry.
For 2019, our Suppliers identified to us the smelters and refiners described in the table below, sorted by mineral and risk level, as potentially having processed the necessary 3TG contained in our in-scope products. The names of the identified smelters and refiners are listed on Annex 1. We were able to determine the origin of only a portion (if any) of the necessary Conflict Minerals contained in each of our in-scope products.
|Source Country Unknown|
Based on the results of our reasonable country of origin inquiry, we conducted due diligence for 2019. These due diligence efforts are discussed later in this Conflict Minerals Report.
Covered Country is the Conflict Affected Region.
See Annex for definitions.
Based on our due diligence, none of the necessary 3TG contained in our in-scope products were determined by us to directly or indirectly finance or benefit armed groups in the Conflict Affected Region. However, we did not conclude that any of our products were DRC conflict free. The terms armed group and DRC conflict free have the meanings contained in the Conflict Minerals Rule.
Due Diligence Program
Our due diligence measures relating to 3TG were designed to conform with the criteria set forth in the OECD Guidance, including the Supplement on Tin, Tantalum and Tungsten and the Supplement on Gold (Third Edition).
Selected Elements of Due Diligence Program
The OECD Guidance has established a framework for due diligence as a basis for responsible global supply chain management of minerals from conflict-affected and high-risk areas. Selected elements of our program are discussed below. However, these are not all of the elements of the program that we have designed to ensure that the 3TG contained in our products are responsibly sourced.
Conflict Minerals Policy
BDs Conflict Minerals Policy, as described in this Conflict Minerals Report, is available on our website at http://www.bd.com/en-us/company/sustainability-at-bd/corporate-policies-and-resources-for-suppliers.
Conflict Minerals Teams
We have a centralized Conflict Minerals Team (the Core Team) to provide cross-functional support for the 3TG compliance program. The Core Team is comprised of representatives from Global Procurement, EHS & Sustainability, and business units with products likely to contain 3TG. The Core Team is led by the Conflict Minerals Program Leader with support and oversight from the Director, Product Stewardship Compliance. Executive leadership of the Conflict Minerals Program resides with EHS and Sustainability.
We also have a Conflict Minerals Steering Team (the Steering Team) responsible for overseeing compliance. The Steering Team also engages with functional leadership around progress, reviewing and approving internal and external policy language, and collaborating with necessary third-party resources. The Steering Team consists of the Program Leader, Executive Leader and representatives from the Law Group and Global Procurement.
Our compliance efforts are supplemented by specialist outside counsel.
Internal and External Communication of Conflict Minerals Program and Training
We communicate to selected associates our commitment to comply with the Conflict Minerals Rule, in writing and through training sessions and other live communications. In addition, applicable associates are educated on the Conflict Minerals Rule and our compliance program.
Applicable suppliers and subcontractors are provided with information on the Conflict Minerals Rule, our commitment to compliance with the Rule and/or our sourcing expectations. This is done in writing, through meetings and other live communications and/or through contractual requirements.
Participation in and Support of Multi-Stakeholder Initiatives
We are a member of the Responsible Minerals Initiative (RMI). BD participates on the RMIs Smelter Engagement and Due Diligence teams.
Data Storage and Retention
We utilize an internal database and an external data platform for the maintenance of business records relating to 3TG due diligence, including records of due diligence processes, findings and resulting decisions. These records are maintained for 5 years.
Contractual Compliance Requirements
We include provisions in certain purchase orders and contracts requiring suppliers to provide information to support our compliance efforts under the Conflict Minerals Rule. In addition, BDs Expectations for Suppliers, which contains our supplier compliance requirements relating to many different subject areas, includes compliance requirements relating to 3TG.
We have grievance mechanisms for employees, suppliers and other interested parties to report alleged violations of our Conflict Minerals Policy and other related policies and we publicly communicate our grievance mechanisms. Any grievances received are communicated to the Program Leader and Steering Team. Associates, suppliers, and other interested parties can report actions inconsistent with the Expectations for Suppliers through our Global Ethics Help Line, the number of which is 1-800-821-5452. Under our internal procedures, all such calls will be investigated.
Collection, Assessment, and Internal Reporting of Supply Chain Information
Suppliers that BD determines to be in-scope are requested to complete a Conflict Minerals Reporting Template (CMRT), which contains questions on the inclusion and source of 3TG in the materials they supplied to us and their compliance activities. For 2019, BD sent requests to 2439 Suppliers to provide us with a completed CMRT. We followed up by email or phone with the Suppliers that did not provide a response within a specified time frame. If the Supplier still did not respond to our request or refused to respond, this information was forwarded to Global Procurement or local buyers at manufacturing plants to assist as part of an escalation process.
Upon receipt of a CMRT from a Supplier, the response was processed through our Supplier Response Analysis process. We reviewed the completed responses received from the Suppliers based on our red flags review criteria and for errors and inaccuracies. Additionally, we reviewed submitted CMRTs for certain errors and inaccuracies and followed up with these Suppliers as well.
We reviewed the smelters and refiners identified to us by the Suppliers against those contained on the Smelter Look-up tab of the CMRT and the RMI smelter database, which includes information published by RMI, the Responsible Jewellery Council and the London Bullion Market Association.
To the extent that a completed response identified a smelter or refiner, we also reviewed that information against the lists of conformant and active (or the equivalent) smelters and refiners published by the RMI as of March 27, 2020. To the extent that a smelter or refiner identified by a Supplier was not listed as conformant or the equivalent by the RMI, we consulted publicly available information to attempt to determine whether the smelter or refiner obtained 3TG from sources that directly or indirectly financed or benefitted armed groups in the Conflict Affected Region. See Reasonable Country of Origin Inquiry: Smelter and Refiner and Country of Origin Information and Annex 1 for further information on the smelters and refiners identified by the Suppliers.
Based on the information furnished by the Suppliers and other information known to us, we assessed the risk of adverse impacts. The Steering Team reported the findings of its supply chain risk assessment to senior management. We determined on a case-by-case basis the appropriate mitigation strategy for any identified non-compliance with our Conflict Minerals Policy and other supplier requirements and expectations relating to our 3TG compliance program. Potential outcomes under our mitigation strategy include continuing to work with the supplier while non-compliances are addressed, or suspending or terminating the relationship with the supplier. Under our mitigation strategy, to the extent that areas of non-compliance that require mitigation are identified, we monitor and track the performance of the mitigation efforts and report back to appropriate senior oversight personnel. Under our procedures, we also will undertake additional fact and risk assessments, as determined by the Steering Team, for non-compliances that require mitigation or after a change of circumstances.
In addition, to the extent that identified smelters or refiners are not listed as conformant, we seek to exercise leverage over the smelters and refiners to become conformant through our participation in and support of the RMI. We also utilize information provided by the RMI to its members to monitor smelter and refiner improvement.
To mitigate the risk that the necessary 3TG contained in our in-scope products directly or indirectly finance or benefit armed groups in the Conflict Affected Region, in 2019, we also participated on the RMIs Smelter Engagement and Due Diligence teams and made a contribution to the RMI Upstream Due Diligence Fund to provide smelters and refiners a financial incentive to source responsibly from conflict-affected and high-risk areas by offsetting the costs of mine-level assessments where no upstream assurance mechanism currently exists.
Carry out Independent Third-party Audit of Supply Chain Due Diligence at Identified Points in the Supply Chain
In connection with our due diligence, we utilize and rely on information made available by the RMI concerning independent third-party audits of smelters and refiners to assess smelter and refiner due diligence and to determine whether the smelter or refiner is conformant. We further support independent third-party audits through our membership in and other contributions to the RMI described herein.
Report on Supply Chain Due Diligence
We file a Form SD and a Conflict Minerals Report with the Securities and Exchange Commission and make these documents available on our website.
In-scope products for 2019 included a broad range of electrical or electronic medical devices, laboratory equipment, diagnostic products, vascular products, urology products, oncology products and surgical specialty products we manufacture or contract to be manufactured. Not all of the products in each of these categories were in-scope for purposes of our compliance (i.e., not all of our products in these categories contain necessary 3TG or were manufactured or contracted to be manufactured by us).
For 2019, we were unable to determine at least a portion of the smelters and refiners and countries of origin of the necessary 3TG contained in each of our in-scope products. Identified smelters and refiners and country of origin information are described under Reasonable Country of Origin Inquiry; Smelter and Refiner and Country of Origin Information and on Annex 1.
Additional Mitigation Efforts
In respect of 2020, we have taken or intend to take the following additional steps to mitigate the risk that the necessary 3TG contained in our in-scope products finance or benefit armed groups:
Monitor and encourage the continuing development and progress of traceability measures at Suppliers that indicated for 2019 that the source of 3TG was unknown or undeterminable.
Continue to contribute to the RMI Upstream Due Diligence Fund.
The foregoing steps are in addition to the other steps that we took for 2019, which we intend to continue to take for 2020 to the extent applicable.
Capitalized terms used and not otherwise defined in this Annex have the meanings indicated in our Conflict Minerals Report.
Smelters and Refiners
In connection with our reasonable country of origin inquiry and due diligence, as applicable, the Suppliers identified to us the smelters and refiners listed below, sorted by mineral and risk level, as potentially having processed the necessary 3TG contained in our in-scope products in 2019.
|Gold||Advanced Chemical Company||UNITED STATES OF AMERICA||Conformant|
|Gold||Aida Chemical Industries Co., Ltd.||JAPAN||Conformant|
|Gold||Al Etihad Gold LLC||UNITED ARAB EMIRATES||Conformant|
|Gold||Allgemeine Gold-und Silberscheideanstalt A.G.||GERMANY||Conformant|
|Gold||Almalyk Mining and Metallurgical Complex (AMMC)||UZBEKISTAN||Conformant|
|Gold||AngloGold Ashanti Córrego do Sítio Mineração||BRAZIL||Conformant|
|Gold||Asahi Pretec Corp.||JAPAN||Conformant|
|Gold||Asahi Refining Canada Limited||CANADA||Conformant|
|Gold||Asahi Refining USA Inc.||UNITED STATES||Conformant|
|Gold||Asaka Riken Co., Ltd.||JAPAN||Conformant|
|Gold||AU Traders and Refiners||SOUTH AFRICA||Conformant|
|Gold||Bangko Sentral ng Pilipinas (Central Bank of the Philippines)||PHILIPPINES||Conformant|
|Gold||C. Hafner GmbH + Co. KG||GERMANY||Conformant|
|Gold||CCR Refinery - Glencore Canada Corporation||CANADA||Conformant|
|Gold||Cendres + Metaux S.A.||SWITZERLAND||Conformant|
|Gold||DODUCO Contacts and Refining GmbH||GERMANY||Conformant|
|Gold||DS PRETECH Col, Ltd.||KOREA, REPUBLIC OF||Conformant|
|Gold||DSC (Do Sung Corporation)||KOREA, REPUBLIC OF||Conformant|
|Gold||Eco-System Recycling Co., Ltd. East Plant||JAPAN||Conformant|
|Gold||Eco-System Recycling Co., Ltd. West Plant||JAPAN||Conformant|
|Gold||Emirates Gold DMCC||UNITED ARAB EMIRATES||Conformant|
|Gold||Geib Refining Corporation||UNITED STATES OF AMERICA||Conformant|
|Gold||Gold Refinery of Zijin Mining Group Co., Ltd.||CHINA||Conformant|
|Gold||Heimerle + Meule GmbH||GERMANY||Conformant|
|Gold||Heraeus Metals Hong Kong Ltd.||CHINA||Conformant|
|Gold||Heraeus Precious Metals GmbH & Co. KG||GERMANY||Conformant|
|Gold||Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited||CHINA||Conformant|
|Gold||Ishifuku Metal Industry Co., Ltd.||JAPAN||Conformant|
|Gold||Istanbul Gold Refinery||TURKEY||Conformant|
|Gold||Jiangxi Copper Company Limited||CHINA||Conformant|
|Gold||JSC Uralelectromed||RUSSIAN FEDERATION||Conformant|
|Gold||JX Nippon Mining & Metals Co., Ltd.||JAPAN||Conformant|
|Gold||Kennecott Utah Copper LLC||UNITED STATES||Conformant|
|Gold||KGHM Polska Miedz Spolka Akcyjna||POLAND||Conformant|
|Gold||Kojima Chemicals Co., Ltd.||JAPAN||Conformant|
|Gold||Korea Zinc Co., Ltd.||KOREA, REPUBLIC OF||Conformant|
|Gold||LS-NIKKO Copper Inc.||KOREA, REPUBLIC OF||Conformant|
|Gold||LT Metal Ltd.||KOREA, REPUBLIC OF||Conformant|
|Gold||Matsuda Sangyo Co., Ltd.||JAPAN||Conformant|
|Gold||Materion||UNITED STATES OF AMERICA||Conformant|
|Gold||Metalor Technologies (Hong Kong) Ltd.||CHINA||Conformant|
|Gold||Metalor Technologies (Singapore) Pte., Ltd.||SINGAPORE||Conformant|
|Gold||Metalor Technologies (Suzhou) Ltd.||CHINA||Conformant|
|Gold||Metalor Technologies SA||SWITZERLAND||Conformant|
|Gold||Metalor USA Refining Corporation||UNITED STATES||Conformant|
|Gold||Metalurgica Met-Mex Penoles S.A. DE C.V||MEXICO||Conformant|
|Gold||Mitsubishi Materials Corporation||JAPAN||Conformant|
|Gold||Mitsui Mining and Smelting Co., Ltd.||JAPAN||Conformant|
|Gold||MMTC-PAMP India Pvt., Ltd.||INDIA||Conformant|
|Gold||Moscow Special Alloys Processing Plant||RUSSIAN FEDERATION||Conformant|
|Gold||Nadir Metal Rafineri San. Ve Tic. A.Ş.||TURKEY||Conformant|
|Gold||Nihon Material Co., Ltd.||JAPAN||Conformant|
|Gold||Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH||AUSTRIA||Conformant|
|Gold||Ohura Precious Metal Industry Co., Ltd.||JAPAN||Conformant|
|Gold||OJSC The Gulidov Krasnoyarsk Non-Ferrous Metals Plant (OJSC Krastsvetmet)||RUSSIAN FEDERATION||Conformant|
|Gold||OJSC Novosibirsk Refinery||RUSSIAN FEDERATION||Conformant|
|Gold||Planta Recuperadora de Metales SpA||CHILE||Conformant|
|Gold||Prioksky Plant of Non-Ferrous Metals||RUSSIAN FEDERATION||Conformant|
|Gold||PT Aneka Tambang (Persero) Tbk||INDONESIA||Conformant|
|Gold||PX Précinox SA||SWITZERLAND||Conformant|
|Gold||Rand Refinery (Pty) Ltd.||SOUTH AFRICA||Conformant|
|Gold||Remondis PMR B.V.||Netherlands||Conformant|
|Gold||Royal Canadian Mint||CANADA||Conformant|
|Gold||Samduck Precious Metals||KOREA, REPUBLIC OF||Conformant|
|Gold||SAXONIA Edelmetalle GmbH||GERMANY||Conformant|
|Gold||SEMPSA Joyería Platería SA||SPAIN||Conformant|
|Gold||Shandong Zhaojin Gold & Silver Refinery Co., Ltd.||CHINA||Conformant|
|Gold||Sichuan Tianze Precious Metals Co., Ltd.||CHINA||Conformant|
|Gold||Singway Technology Co., Ltd.||TAIWAN, PROVINCE OF CHINA||Conformant|
|Gold||SOE Shyolkovsky Factory of Secondary Precious Metals||RUSSIAN FEDERATION||Conformant|
|Gold||Solar Applied Materials Technology Corp.||TAIWAN||Conformant|
|Gold||Sumitomo Metal Mining Co., Ltd.||JAPAN||Conformant|
|Gold||SungEel HiMetal Co., Ltd.||KOREA, REPUBLIC OF||Conformant|
|Gold||Tanaka Kikinzoku Kogyo K.K.||JAPAN||Conformant|
|Gold||The Refinery of Shandong Gold Mining Co., Ltd.||CHINA||Conformant|
|Gold||Tokuriki Honten Co., Ltd.||JAPAN||Conformant|
|Gold||Torecom||KOREA, REPUBLIC OF||Conformant|
|Gold||Umicore Brasil Ltda.||BRAZIL||Conformant|
|Gold||Umicore Precious Metals Thailand||THAILAND||Conformant|
|Gold||Umicore SA Business Unit Precious Metals Refining||BELGIUM||Conformant|
|Gold||United Precious Metal Refining, Inc.||UNITED STATES||Conformant|
|Gold||Western Australian Mint trading as The Perth Mint||AUSTRALIA||Conformant|
|Gold||WIELAND Edelmetalle GmbH||GERMANY||Conformant|
|Gold||YAMAKIN CO., LTD.||JAPAN||Conformant|
|Gold||Yokohama Metal Co., Ltd.||JAPAN||Conformant|
|Gold||Zhongyuan Gold Smelter of Zhongjin Gold Corporation||CHINA||Conformant|
|Gold||Abington Reldan Metals, LLC||UNITED STATES OF AMERICA||On Smelter Look-up Tab Only|
|Gold||African Gold Refinery||UGANDA||On Smelter Look-up Tab Only|
|Gold||Atasay Kuyumculuk Sanayi Ve Ticaret A.S.||TURKEY||On Smelter Look-up Tab Only|
|Gold||C.I. Metales Procesados Industriales SAS||COLOMBIA||On Smelter Look-up Tab only|
|Gold||Caridad||MEXICO||On Smelter Look-up Tab Only|
|Gold||CGR Metalloys Pvt Ltd.||INDIA||On Smelter Look-up Tab Only|
|Gold||Daye Non-Ferrous Metals Mining Ltd.||CHINA||On Smelter Look-up Tab Only|
|Gold||Degussa Sonne / Mond Goldhandel GmbH||GERMANY||On Smelter Look-up Tab Only|
|Gold||Djillah Gold Refinery FZC||UNITED ARAB EMIRATES||On Smelter Look-up Tab Only|
|Gold||Fidelity Printers and Refiners Ltd.||ZIMBABWE||On Smelter Look-up Tab Only|
|Gold||Fujairah Gold FZC||UNITED ARAB EMIRATES||On Smelter Look-up Tab Only|
|Gold||GCC Gujrat Gold Centre Pvt. Ltd.||INDIA||On Smelter Look-up Tab Only|
|Gold||Great Wall Precious Metals Co., Ltd. of CBPM||CHINA||On Smelter Look-up Tab Only|
|Gold||Guangdong Jinding Gold Limited||CHINA||On Smelter Look-up Tab Only|
|Gold||Guoda Safina High-Tech Environmental Refinery Co., Ltd.||CHINA||On Smelter Look-up Tab Only|
|Gold||Hangzhou Fuchunjiang Smelting Co., Ltd.||CHINA||On Smelter Look-up Tab Only|
|Gold||Hunan Chenzhou Mining Co., Ltd.||CHINA||On Smelter Look-up Tab Only|
|Gold||Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd.||CHINA||On Smelter Look-up Tab Only|
|Gold||HwaSeong CJ Co., Ltd.||KOREA, REPUBLIC OF||On Smelter Look-up Tab Only|
|Gold||International Precious Metal Refiners||UNITED ARAB EMIRATES||On Smelter Look-up Tab Only|
|Gold||JALAN & Company||INDIA||On Smelter Look-up Tab Only|
|Gold||JSC Ekaterinburg Non-Ferrous Metal Processing Plant||RUSSIAN FEDERATION||On Smelter Look-up Tab Only|
|Gold||Kaloti Precious Metals||UNITED ARAB EMIRATES||On Smelter Look-up Tab Only|
|Gold||Kazakhmys Smelting LLC||KAZAKHSTAN||On Smelter Look-up Tab Only|
|Gold||Kyshtym Copper-Electrolytic Plant ZAO||RUSSIAN FEDERATION||On Smelter Look-up Tab Only|
|Gold||Lazurde Company For Jewelry||SAUDI ARABIA||On Smelter Look-up Tab Only|
|Gold||Lingbao Gold Company Limited||CHINA||On Smelter Look-up Tab Only|
|Gold||Lingbao Jinyuan Tonghui Refinery Co., Ltd.||CHINA||On Smelter Look-up Tab Only|
|Gold||Luoyang Zijin Yinhui Gold Refinery Co., Ltd.||CHINA||On Smelter Look-up Tab Only|
|Gold||Modeltech Sdn Bhd||MALAYSIA||On Smelter Look-up Tab Only|
|Gold||Morris and Watson||NEW ZEALAND||On Smelter Look-up Tab Only|
|Gold||Navoi Mining and Metallurgical Combinat||UZBEKISTAN||On Smelter Look-up Tab Only|
|Gold||NH Recytech Company||KOREA, REPUBLIC OF||On Smelter Look-up Tab Only|
|Gold||Pease & Curren||UNITED STATES OF AMERICA||On Smelter Look-up Tab Only|
|Gold||Penglai Penggang Gold Industry Co., Ltd.||CHINA||On Smelter Look-up Tab Only|
|Gold||QG Refining. LLC||UNITED STATES OF AMERICA||On Smelter Look-up Tab Only|
|Gold||Refinery of Seemine Gold Co., Ltd.||CHINA||On Smelter Look-up Tab Only|
|Gold||Sabin Metal Corp.||UNITED STATES OF AMERICA||On Smelter Look-up Tab Only|
|Gold||SAFINA A.S.||CZECH REPUBLIC||On Smelter Look-up Tab Only|
|Gold||Sai Refinery||INDIA||On Smelter Look-up Tab Only|
|Gold||SAMWON METALS Corp.||KOREA, REPUBLIC OF||On Smelter Look-up Tab Only|
|Gold||Shandong Humon Smelting Co., Ltd.||CHINA||On Smelter Look-up Tab Only|
|Gold||Shandong Tiancheng Biological Gold Industrial Co., Ltd.||CHINA||On Smelter Look-up Tab Only|
|Gold||Shirpur Gold Refinery Ltd.||INDIA||On Smelter Look-up Tab Only|
|Gold||Sovereign Metals||INDIA||On Smelter Look-up Tab Only|
|Gold||State Research Institute Center for Physical Sciences and Technology||LITHUANIA||On Smelter Look-up Tab Only|
|Gold||Sudan Gold Refinery||SUDAN||On Smelter Look-up Tab Only|
|Gold||Tongling Nonferrous Metals Group Co., Ltd,||CHINA||On Smelter Look-up Tab Only|
|Gold||Tony Goetz NV||BELGIUM||On Smelter Look-up Tab Only|
|Gold||Yunnan Copper Industry Co., Ltd.||CHINA||On Smelter Look-up Tab Only|
|Tantalum||Asaka Riken Co., Ltd.||JAPAN||Conformant|
|Tantalum||Changsha South Tantalum Niobium Co., Ltd.||CHINA||Conformant|
|Tantalum||CP Metals Inc.||UNITED STATES||Conformant|
|Tantalum||D Block Metals, LLC||UNITED STATES||Conformant|
|Tantalum||Exotech Inc.||UNITED STATES||Conformant|
|Tantalum||F&X Electro-Materials Ltd.||CHINA||Conformant|
|Tantalum||FIR Metals & Resource Ltd.||CHINA||Conformant|
|Tantalum||Global Advanced Metals Aizu||JAPAN||Conformant|
|Tantalum||Global Advanced Metals Boyertown||UNITED STATES||Conformant|
|Tantalum||Guangdong Zhiyuan New Material Co., Ltd.||CHINA||Conformant|
|Tantalum||H.C. Starck Co., Ltd.||THAILAND||Conformant|
|Tantalum||H.C. Starck Hermsdorf GmbH||GERMANY||Conformant|
|Tantalum||H.C. Starck Inc.||UNITED STATES||Conformant|
|Tantalum||H.C. Starck Ltd.||JAPAN||Conformant|
|Tantalum||H.C. Starck Smelting GmbH & Co.KG||GERMANY||Conformant|
|Tantalum||H.C. Starck Tantalum and Niobium GmbH||GERMANY||Conformant|
|Tantalum||Hengyang King Xing Lifeng New Materials Co., Ltd.||CHINA||Conformant|
|Tantalum||Jiangxi Dinghai Tantalum & Niobium Co., Ltd.||CHINA||Conformant|
|Tantalum||Jiangxi Tuohong New Raw Material||CHINA||Conformant|
|Tantalum||Jiujiang Janny New Material Co., Ltd.||CHINA||Conformant|
|Tantalum||JiuJiang JinXin Nonferrous Metals Co., Ltd.||CHINA||Conformant|
|Tantalum||Jiujiang Tanbre Co., Ltd.||CHINA||Conformant|
|Tantalum||Jiujiang Zhongao Tantalum & Niobium Co., Ltd.||CHINA||Conformant|
|Tantalum||KEMET Blue Metals||MEXICO||Conformant|
|Tantalum||LSM Brasil S.A.||BRAZIL||Conformant|
|Tantalum||Metallurgical Products India Pvt., Ltd.||INDIA||Conformant|
|Tantalum||Mineração Taboca S.A.||BRAZIL||Conformant|
|Tantalum||Mitsui Mining & Smelting||JAPAN||Conformant|
|Tantalum||Ningxia Orient Tantalum Industry Co, Ltd.||CHINA||Conformant|
|Tantalum||NPM Silmet AS||ESTONIA||Conformant|
|Tantalum||PRG Dooel||NORTH MACEDONIA, REPUBLIC OF||Conformant|
|Tantalum||QuantumClean||UNITED STATES OF AMERICA||Conformant|
|Tantalum||Resind Indústria e Comércio Ltda.||BRAZIL||Conformant|
|Tantalum||Solikamsk Magnesium Works OAO||RUSSIAN FEDERATION||Conformant|
|Tantalum||Telex Metals||UNITED STATES||Conformant|
|Tantalum||Ulba Metallurgical Plant JSC||KAZAKHSTAN||Conformant|
|Tantalum||XinXing HaoRong Electronic Material Co., Ltd.||CHINA||Conformant|
|Tantalum||Yanling Jincheng Tantalum & Niobium Co., Ltd.||CHINA||Conformant|
|Tin||Chenzhou Yunxiang Mining and Metallurgy Company Limited||CHINA||Conformant|
|Tin||Chifeng Daijingzi Tin Industry Co., Ltd.||CHINA||Conformant|
|Tin||China Tin Group Co., Ltd.||CHINA||Conformant|
|Tin||EM Vinto||BOLIVIA (PLURINATIONAL STATE OF)||Conformant|
|Tin||Gejiu Kai Meng Industry and Trade LLC||CHINA||Conformant|
|Tin||Gejiu Non-Ferrous Metal Processing Co., Ltd.||CHINA||Conformant|
|Tin||Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.||CHINA||Conformant|
|Tin||Gejiu Zili Mining and Metallurgy Co., Ltd.||CHINA||Active|
|Tin||Guangdong Hanhe Non-Ferrous Metal Co., Ltd.||CHINA||Conformant|
|Tin||Guanyang Guida Nonferrous Metal Smelting Plant||CHINA||Conformant|
|Tin||Huichang Jinshunda Tin Co., Ltd.||CHINA||Conformant|
|Tin||Jiangxi New Nanshan Technology Ltd.||CHINA||Conformant|
|Tin||Luna Smelter, Ltd.||RWANDA||Conformant|
|Tin||Maanshan Weitai Tin Co., Ltd.||CHINA||Conformant|
|Tin||Magnus Minerais Metais e Ligas Ltda.||BRAZIL||Conformant|
|Tin||Malaysia Smelting Corporation (MSC)||MALAYSIA||Conformant|
|Tin||Melt Metais e Ligas S/A||BRAZIL||Conformant|
|Tin||Metallic Resources, Inc.||UNITED STATES||Conformant|
|Tin||Metallo Belgium N.V.||BELGIUM||Conformant|
|Tin||Metallo Spain S.L.U.||SPAIN||Conformant|
|Tin||Mineração Taboca S.A.||BRAZIL||Conformant|
|Tin||Mitsubishi Materials Corporation||JAPAN||Conformant|
|Tin||O.M. Manufacturing (Thailand) Co., Ltd.||THAILAND||Conformant|
|Tin||O.M. Manufacturing Philippines, Inc.||PHILIPPINES||Conformant|
|Tin||Operaciones Metalurgical S.A.||BOLIVIA||Conformant|
|Tin||PT Artha Cipta Langgeng||INDONESIA||Conformant|
|Tin||PT ATD Makmur Mandiri Jaya||INDONESIA||Conformant|
|Tin||PT Menara Cipta Mulia||INDONESIA||Conformant|
|Tin||PT Mitra Stania Prima||INDONESIA||Conformant|
|Tin||PT Refined Bangka Tin||INDONESIA||Conformant|
|Tin||PT Timah Tbk Kundur||INDONESIA||Conformant|
|Tin||PT Timah Tbk Mentok||INDONESIA||Conformant|
|Tin||Resind Indústria e Comércio Ltda.||BRAZIL||Conformant|
|Tin||Rui Da Hung||TAIWAN||Conformant|
|Tin||Soft Metais Ltda.||BRAZIL||Conformant|
|Tin||Thai Nguyen Mining and Metallurgy Co., Ltd.||VIET NAME||Conformant|
|Tin||Tin Technology & Refining||UNITED STATES OF AMERICA||Conformant|
|Tin||White Solder Metalurgia e Mineração Ltda.||BRAZIL||Conformant|
|Tin||Yunnan Chengfeng Non-ferrous Metals Co. ,Ltd.||CHINA||Conformant|
|Tin||Yunnan Tin Company Limited||CHINA||Conformant|
|Tin||Yunnan Yunfan Non-ferrous Metals Co., Ltd.||CHINA||Conformant|
|Tin||Precious Minerals and Smelting Limited||INDIA||Active|
|Tin||An Vinh Joint Stock Mineral Processing Company||VIET NAM||On Smelter Look-up Tab Only|
|Tin||Dongguan CiEXPO Environmental Engineering Co., Ltd.||CHINA||On Smelter Look-up Tab Only|
|Tin||Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company||VIET NAM||On Smelter Look-up Tab Only|
|Tin||Estanho de Rondônia S.A.||BRAZIL||On Smelter Look-up Tab Only|
|Tin||Gejiu City Fuxiang Industry and Trade Co., Ltd.||CHINA||On Smelter Look-up Tab Only|
|Tin||Modeltech Sdn Bgd||MALAYSIA||On Smelter Look-up Tab Only|
|Tin||Nghe Tinh Non-Ferrous Metals Joint Stock Company||VIET NAM||On Smelter Look-up Tab Only|
|Tin||Pongipat Company Limited||MYANMAR||On Smelter Look-up Tab Only|
|Tin||Super Ligas||BRAZIL||On Smelter Look-up Tab Only|
|Tin||Tuyen Quang Non-Ferrous Metals Joint Stock Company||VIET NAM||On Smelter Look-up Tab Only|
|Tungsten||ACL Metais Eireli||BRAZIL||Conformant|
|Tungsten||Asia Tungsten Products Vietnam Ltd.||VIET NAM||Conformant|
|Tungsten||Chenzhou Diamond Tungsten Products Co., Ltd.||CHINA||Conformant|
|Tungsten||Chongyi Zhangyuan Tungsten Co., Ltd.||CHINA||Conformant|
|Tungsten||Fujian Ganmin RareMetal Co., Ltd.||CHINA||Conformant|
|Tungsten||Fujian Jinxin Tungsten Co., Ltd.||CHINA||Conformant|
|Tungsten||Ganzhou Haichuang Tungsten Co., Ltd.||CHINA||Conformant|
|Tungsten||Ganzhou Huaxing Tungsten Products Co., Ltd.||CHINA||Conformant|
|Tungsten||Ganzhou Jiangwu Ferrotungsten Co., Ltd.||CHINA||Conformant|
|Tungsten||Ganzhou Seadragon W & Mo Co., Ltd.||CHINA||Conformant|
|Tungsten||Global Tungsten & Powders Corp.||UNITED STATES||Conformant|
|Tungsten||Guangdong Xianglu Tungsten Co., Ltd.||CHINA||Conformant|
|Tungsten||H.C. Starck Tungsten GmbH||GERMANY||Conformant|
|Tungsten||H.C. Starck Smelting GmbH & Co.KG||GERMANY||Conformant|
|Tungsten||Hunan Chenzhou Mining Co., Ltd.||CHINA||Conformant|
|Tungsten||Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji||CHINA||Conformant|
|Tungsten||Hunan Chunchang Nonferrous Metals Co., Ltd.||CHINA||Conformant|
|Tungsten||Hunan Litian Tungsten Industry Co., Ltd.||CHINA||Conformant|
|Tungsten||Hydrometallurg, JSC||RUSSIAN FEDERATION||Conformant|
|Tungsten||Japan New Metals Co., Ltd.||JAPAN||Conformant|
|Tungsten||Jiangwu H.C. Starck Tungsten Products Co., Ltd.||CHINA||Conformant|
|Tungsten||Jiangxi Gan Bei Tungsten Co., Ltd.||CHINA||Conformant|
|Tungsten||Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.||CHINA||Conformant|
|Tungsten||Jiangxi Xinsheng Tungsten Industry Co., Ltd.||CHINA||Conformant|
|Tungsten||Jiangxi Yaosheng Tungsten Co., Ltd.||CHINA||Conformant|
|Tungsten||Kennametal Fallon||UNITED STATES||Conformant|
|Tungsten||Kennametal Huntsville||UNITED STATES||Conformant|
|Tungsten||KGETS Co., Ltd.||KOREA, REPUBLIC OF||Conformant|
|Tungsten||Lianyou Metals Co., Ltd.||TAIWAN, PROVINCE OF CHINA||Conformant|
|Tungsten||Malipo Haiyu Tungsten Co., Ltd.||CHINA||Conformant|
|Tungsten||Masan Tungsten Chemical LLC (MTC)||CHINA||Conformant|
|Tungsten||Moliren Ltd||RUSSIAN FEDERATION||Conformant|
|Tungsten||Niagara Refining LLC||UNITED STATES||Conformant|
|Tungsten||Philippine Chuangxin Industrial Co., Inc.||PHILIPPINES||Conformant|
|Tungsten||Tejing (Vietnam) Tungsten Co., Ltd.||VIET NAM||Conformant|
|Tungsten||Unecha Refractory metals plant||RUSSIAN FEDERATION||Conformant|
|Tungsten||Wolfram Bergbau und Hütten AG||AUSTRIA||Conformant|
|Tungsten||Woltech Korea Co., Ltd.||KOREA, REPUBLIC OF||Conformant|
|Tungsten||Xiamen Tungsten (H.C.) Co., Ltd.||CHINA||Conformant|
|Tungsten||Xiamen Tungsten Co., Ltd.||CHINA||Conformant|
|Tungsten||Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.||CHINA||Conformant|
|Tungsten||Xinhai Rendan Shaoguan Tungsten Co., Ltd.||CHINA||Conformant|
|Tungsten||Albasteel Industria e Comercio de Ligas Para Fundicao Ltd.||BRAZIL||Active|
|Tungsten||CP Metals Inc.||UNITED STATES OF AMERICA||Active|
|Tungsten||Jiangsu Xianglu Tungsten Co., Ltd.||CHINA||Active|
|Tungsten||JSC Kirovgrad Hard Alloys Plant||RUSSIAN FEDERATION||Active|
|Tungsten||NPP Tyazhmetprom LLC||RUSSIAN FEDERATION||Active|
|Tungsten||China Molybdenum Co., Ltd.||CHINA||On Smelter Look-up List Only|
|Tungsten||CNMC (Guangxi) PGMA Co., Ltd.||CHINA||On Smelter Look-up List Only|
|Tungsten||GEM Co., Ltd.||CHINA||On Smelter Look-up List Only|
|Tungsten||Jiangxi Minmetals Gaoan Non-ferrous Metals Co., Ltd.||CHINA||On Smelter Look-up Tab Only|
We note the following in connection with the information in the table:
The smelters and refiners listed in the table were identified by the Suppliers as being part of our 2019 supply chain. Some of the Suppliers may have reported to us smelters and refiners that were not in our supply chain (i) since they reported at a company level, meaning that they reported to us the 3TG contained in all of their products, not just the products that they sold to us, or (ii) due to over-inclusiveness in the information received from their suppliers. In addition, the smelters and refiners reflected above may not be all of the smelters and refiners in our 2019 supply chain, since many of the Suppliers were unable to identify all of the smelters and refiners used to process the necessary 3TG content contained in our in-scope products and because not all of the Suppliers responded to our inquiries.
All information in the table is as of April 24, 2020.
Conformant means that the smelter or refiner has successfully completed an assessment against the applicable RMI Responsible Minerals Assurance Process (RMAP) standard or an equivalent cross-recognized assessment. Included smelters and refiners were not necessarily Conformant for all or part of 2019 and may not continue to be Conformant for any future period.
Active means that the smelter or refiner has committed to undergo an RMAP assessment, completed the relevant documents, and scheduled the on-site assessment. These may be in the pre-assessment, assessment, or corrective-action phases of the assessment.
On Smelter Look-up Tab Only means the smelter or refiner is not listed as Conformant or Active. The table only includes entities that were listed as smelters or refiners by the RMI on the Conflict Minerals Reporting Template.
The compliance status reflected in the table is based solely on information made publicly available by the RMI, without independent verification by us.
Country location is the location of the smelter or refiner.
Country of Origin Information
The countries of origin of the newly-mined 3TG processed by the Conformant smelters and refiners listed above may have included countries in each of the categories listed below, as well as other countries. We are unable to determine the specific countries of origin of the 3TG in our products. Accordingly, the 3TG in our products may not have originated in a particular country listed below.
The countries below are sorted by risk level. See Reasonable Country of Origin Inquiry; Smelter and Refiner and Country of Origin Information for additional origin information.
Known Countries from which Conformant Gold Smelters Source:
Countries that are not identified as conflict regions or plausible areas of smuggling or export of from these regions of 3TG or which are identified as low risk: Argentina, Australia, Azerbaijan, Benin, Bolivia, Botswana, Brazil, Burkina Faso, Canada, Chile, China, Colombia, Cyprus, Dominican Republic, Ecuador, Egypt, Eritrea, Ethiopia, Fiji, Finland, Georgia, Ghana, Guatemala, Guinea, Guyana, Honduras, Indonesia, Ivory Coast, Japan, Kazakhstan, Laos, Liberia, Lebanon, Malaysia, Mali, Mauritania, Mexico, Mongolia, Morocco, Namibia, Netherlands, New Zealand, Nicaragua, Niger, Papua New Guinea, Peru, Philippines, Russian Federation, Saudi Arabia, Senegal, Slovakia, Solomon Islands, Spain, Suriname, Swaziland, Sweden, Tajikistan, Togo, Turkey, United States of America, Uruguay, and Zimbabwe.
Countries that are known or plausible countries for smuggling, export out of region or transit of materials containing 3TG: South Africa.
The Conflict Affected Region: Tanzania, Uganda, Rwanda and Zambia.
Known Countries from which Conformant Tantalum Smelters Source:
Countries that are not identified as conflict regions or plausible areas of smuggling or export of from these regions of 3TG or which are identified as low risk: Australia, Austria, Bolivia, Brazil, China, Colombia, Ethiopia, France, Germany, Guinea, India, Madagascar, Malaysia, Mozambique, Namibia, Nigeria, Russian Federation, Sierra Leone, Spain, Thailand, and Zimbabwe.
Countries that are known or plausible countries for smuggling, export out of region or transit of materials containing 3TG: Mozambique
The Conflict Affected Region: Burundi, the Democratic Republic of the Congo, and Rwanda.
Known Countries from which Conformant Tin Smelters Source:
Countries that are not identified as conflict regions or plausible areas of smuggling or export of from these regions of 3TG: Australia, Bolivia, Brazil, China, Colombia, Guinea, Indonesia, Laos, Malaysia, Mongolia, Myanmar, Nigeria, Peru, Portugal, Russian Federation, Taiwan, Thailand, United Kingdom of Great Britain and Northern Ireland, and Vietnam.
The Conflict Affected Region: Burundi, the Democratic Republic of the Congo, Rwanda, and Uganda.
Known Countries from which Conformant Tungsten Smelters Source:
Countries that are not identified as conflict regions or plausible areas of smuggling or export of from these regions of 3TG or which are identified as low risk: Australia, Austria, Bolivia, Brazil, China, Colombia, Guinea, Indonesia, Laos, Malaysia, Mongolia, Myanmar, Nigeria, Peru, Portugal, Russian Federation, Spain, Taiwan, Thailand, United Kingdom of Great Britain and Northern Ireland, United States of America, Uzbekistan, and Vietnam.
The Conflict Affected Region: Burundi, the Democratic Republic of the Congo, Rwanda, and Uganda.
In addition, some of the listed Conformant smelters and refiners may have processed 3TG originating from recycled or scrap sources.
For 2019, we were not able to determine the countries of origin of the 3TG processed by 153 smelters and refiners.