Form: SD

Specialized Disclosure Report filed pursuant to Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act relating to the use of conflict minerals (Rule 13p-1)

May 26, 2016

Exhibit 1.01

Conflict Minerals Report

Becton, Dickinson and Company has included this Conflict Minerals Report as an exhibit to its Form SD for 2015, as required by Rule 13p-1 under the Securities Exchange Act of 1934, as amended, and Form SD (collectively, the “Conflict Minerals Rule”). The date of filing of this Conflict Minerals Report is May 26, 2016.

Unless the context indicates otherwise, the term “BD,” “we,” “us” and “our” refer to Becton, Dickinson and Company and its consolidated subsidiaries for 2015. 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.

Overview

BD is a global medical technology company that is advancing the world of health by improving medical discovery, diagnostics and the delivery of care. BD leads in patient and health care worker safety and the technologies that enable medical research and clinical laboratories. We provide innovative solutions that help advance cellular studies and genomics, enhance the diagnosis of infectious disease and cancer, improve medication management, promote infection prevention, equip surgical and interventional procedures, optimize respiratory care and support the management of diabetes. In 2015, BD acquired CareFusion Corporation (“CareFusion”). CareFusion is included in our 3TG compliance and reflected in the Conflict Minerals Report for this reporting period.

BD is subject to the Conflict Minerals Rule because, for 2015, 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 and, therefore, have limited influence over their behavior. 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 BD’s 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 Development’s 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 2015, we conducted a “reasonable country of origin inquiry.” Our outreach included 2501 suppliers (the “Suppliers”) that we identified through our internal scoping process as having provided, or that we believe may have provided, us with raw materials or components that contain Conflict Minerals. The number of suppliers included in our outreach increased by approximately 37% compared to 2014, due to our acquisition of CareFusion. Suppliers representing 80% of our spend responded to our reasonable country of origin inquiry.

 

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For 2015, 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.

 

     Covered Country Sourced      Non Covered Country Sourced      100%
recycled
or scrap
     Source
Country
Unknown
     Total
Smelters
 
   CFSP
Compliant1
     CFSP
Active
     Known      Total      CFSP
Compliant
     CFSP
Active
     Known      Total           

Tantalum

     30               30         16               16            1         47   

Tin

     5         1            6         54         5         4         63         4         12         85   

Gold

              0         80         8         19         107         9         14         130   

Tungsten

     5              5         25         11         2         38            2         45   

Total

     40         1         0         41         175         24         25         224         13         29         307   

 

Pursuant to the Conflict Minerals Rule, based on the results of our reasonable country of origin inquiry, we were required to conduct due diligence for 2015. These due diligence efforts are discussed later in this Conflict Minerals Report.

Conclusion Statement

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 were unable to 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 Design

Design Framework

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 (Second Edition 2013).

Selected Elements of Design Framework

The OECD Guidance has established a five-step 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 design 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. Selected due diligence measures that we took in respect of 2015 are discussed under “Due Diligence Program Execution.”

Conflict Minerals Policy

We have adopted a Conflict Minerals Policy, as described in this Conflict Minerals Report. The Conflict Minerals Policy is posted on our website and distributed to selected employees and suppliers.

Conflict Minerals Team

We have a centralized Conflict Minerals Team (the “Core Team”) to provide cross-functional oversight for the BD Conflict Minerals Program. The Core Team is comprised of representatives from Global Procurement, the Office of Global Sustainability, and all BD business units. The Core Team is led by a Program Leader with support and oversight from the Director, Global Product Stewardship, the executive leader of the program. Executive leadership of the program resides with Global Sustainability.

 

1  See Annex for definitions.

 

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We also have a Conflict Minerals Steering Team (the “Steering Team”) responsible for overseeing the compliance activity while engaging 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 Internal Audit, the Law Group, Corporate Quality, and Global Procurement.

Our compliance efforts are supplemented by specialist outside counsel.

Internal and External Communication of BD’s Conflict Minerals Program and Training

We communicate to other relevant BD associates our commitment to comply with the Conflict Minerals Rule in writing and through in-person training sessions, and other live communications. In addition, the Core Team, the Steering Team, and other relevant BD associates are educated on the Conflict Minerals Rule and our compliance program.

We provide applicable suppliers and subcontractors with information on the Conflict Minerals Rule and BD’s commitment to compliance with the Rule. BD communicates with suppliers in writing, through in-person meetings, and other live communications.

Participation in and Support of Multi-Stakeholder Initiatives

We are a member of the CFSI. BD participates on the Smelter Engagement and Due Diligence CFSI teams. In addition, the BD Conflict Minerals Program Leader, served on the CFSI Steering Team from August 2015 through December 2015. BD is also a member of Responsible Sourcing Network’s Multi-Stakeholder Network.

Data Storage and Retention

BD utilizes an internal database 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

BD’s Expectations for Suppliers, which contains our supplier compliance requirements relating to many different subject areas, includes compliance requirements relating to 3TG. BD’s US purchase orders include language requiring suppliers to provide information to BD to support BD’s compliance efforts under the US Dodd Frank Act Conflict Minerals Rule.

Grievance Mechanism

We have a grievance mechanism for employees, suppliers and other interested parties to report alleged violations of our Conflict Minerals Policy. We publicly communicate our grievance mechanism. Any grievances received are communicated to the Program Leader and Steering Team. BD associates, suppliers, and other interested parties can report actions inconsistent with the Expectations for Suppliers through BD’s 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 we determine to be in-scope or potentially in-scope are requested to complete a Conflict Minerals Reporting Template, which contains questions on the inclusion and source of 3TG in the materials they supplied to us and their compliance activities. If a supplier does not respond to our request within a reasonable time frame, or the supplier refuses to respond, this information is forwarded to Global Procurement as part of an escalation process.

Upon receipt of a Conflict Minerals Reporting Template from a supplier, the response is processed through our Supplier Response Analysis process. This process includes reviewing the supplier’s responses against a series of identified “red flags.” Additionally, we review submitted Conflict Minerals Reporting Templates for certain errors and inaccuracies and follow up with these suppliers as well.

Smelter and refiner information provided by suppliers is reviewed against the Smelter Reference List tab of the Conflict Minerals Reporting Template, the list of known processing facilities on the Commerce Department List, and the verified smelters identified by Apple and Intel. To the extent that a smelter or refiner identified by a supplier is not on any of these lists, we take additional steps to attempt to determine whether the listed entity is a smelter or refiner.

 

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Smelter and refiner information is also reviewed against the lists of “compliant” and “active” smelters and refiners and country of origin information published by the CFSI, the Responsible Jewellery Council (the “RJC”), and the London Bullion Market Association (the “LBMA”). To the extent that a smelter or refiner identified by a supplier is not listed as compliant by the CFSI, RJC, or LBMA; we consult 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.

Based on the information furnished by suppliers and other information known to us, we assess the risk of adverse impact. The Steering Team reports the findings of its supply chain risk assessment to our Compliance and Ethics Committee on a regular basis.

We determine 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.

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 information made available by the CFSI concerning independent third-party audits of smelters and refiners. We are a member of the CFSI.

Report on Supply Chain Due Diligence

We file a Form SD, and to the extent applicable a Conflict Minerals Report, with the Securities and Exchange Commission and make these documents available on our website.

Due Diligence Program Execution

We performed the following due diligence measures in respect of the 2015 compliance period. These are not all of the measures that we took in respect of 2015 in furtherance of our Conflict Minerals Policy and Conflict Minerals compliance program or pursuant to the Conflict Minerals Rule and the OECD Guidance. For a discussion of the design of our due diligence measures, please see “Due Diligence Program Design.”

 

  1. We sent requests to 2501 Suppliers to provide us with a completed Conflict Minerals Reporting Template. We followed up by email or phone with the Suppliers that did not provide a response within the specified time frame.

 

  2. We reviewed the completed responses received from the Suppliers based on our “red flags” review criteria and for errors and inaccuracies.

 

  3. We reviewed the smelters and refiners identified to us by the Suppliers against those contained on the Smelter Reference List tab of the Conflict Minerals Reporting Template, the Commerce Department List, and the verified smelters identified by Apple and Intel. To the extent that a completed response identified a smelter or refiner not on that list, we (a) requested that the Supplier confirm that the listed entity is a smelter or refiner or (b) consulted publicly available information to attempt to determine whether the identified entity is a smelter or refiner.

 

  4. To the extent that a completed response identified a smelter or refiner, we also reviewed that information against the list of compliant and active smelters and refiners published by the CFSI, LBMA, and RJC as of May 16, 2016. 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.

 

  5. To the extent that a smelter or refiner identified by a Supplier was not listed as compliant by the CFSI, LBMA, or RJC, we consulted publicly available information to attempt to determine whether that smelter or refiner obtained 3TG from sources that directly or indirectly financed or benefitted armed groups in the Conflict Affected Region.

 

  6. The Steering Team reported the findings of its supply chain assessment to our Compliance and Ethics Committee.

 

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  7. In addition, 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, we:

 

  a. Adopted a requirement that business records relating to 3TG due diligence, including records of due diligence processes, findings, and resulting decisions, be maintained for 5 years.

 

  b. Implemented enhancements to our red flags process.

 

  c. Participated on the CFSI’s Smelter Engagement and Due Diligence teams, our Conflict Minerals Program Leader served on the CFSI Steering Team, and we became a member of the Responsible Sourcing Network’s Multi-stakeholder Group.

Product Information

Our in-scope products for 2015 included a broad range of electrical or electronic medical devices, laboratory equipment and diagnostic products we manufacture or contract to be manufactured. Not all of our products in each of these categories were in-scope for purposes of our compliance, i.e. not all of our products contain necessary 3TG or were manufactured or contracted to be manufactured by us.

Due to the challenges of tracing a multi-tier supply chain, for 2015, 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 “Smelter and Refiner Information.”

 

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Additional Mitigation Efforts

In respect of 2016, 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:

 

  1. Monitor and encourage the continuing development and progress of traceability measures at Suppliers that indicated for 2015 that the source of Conflict Minerals was unknown or undeterminable.

 

  2. Implement Purchase Order Terms and Conditions changes relating to 3TG in the remaining regions for which implementation has not been completed.

 

  3. We made a donation for the average cost of an audit to the CFSI Initial Audit Fund in the spring of 2016.

 

  4. We are continuing to refine our in scope commodity categories to focus our efforts on the highest risk areas.

The foregoing steps are in addition to the steps that we took for 2015, which we intend to continue to take for 2016 to the extent applicable.

 

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Annex 1

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 2015.

 

Metal

  

Processor

  

Country Location

  

Status

Gold    Aida Chemical Industries Co., Ltd.    JAPAN    Compliant
Gold    Allgemeine Gold-und Silberscheideanstalt A.G.    GERMANY    Compliant
Gold    AngloGold Ashanti Córrego do Sítio Mineração    BRAZIL    Compliant
Gold    Argor-Heraeus SA    SWITZERLAND    Compliant
Gold    Asahi Pretec Corporation    JAPAN    Compliant
Gold    Asahi Refining Canada Limited    CANADA    Compliant
Gold    Asahi Refining USA Inc.    UNITED STATES    Compliant
Gold    Asaka Riken Co., Ltd.    JAPAN    Compliant
Gold    Aurubis AG    GERMANY    Compliant
Gold    Bangko Sentral ng Pilipinas (Central Bank of the Philippines)    PHILIPPINES    Compliant
Gold    Boliden AB    SWEDEN    Compliant
Gold    C. Hafner GmbH + Co. KG    GERMANY    Compliant
Gold    CCR Refinery - Glencore Canada Corporation    CANADA    Compliant
Gold    Chimet S.p.A.    ITALY    Compliant
Gold    DODUCO GmbH    GERMANY    Compliant
Gold    Dowa    JAPAN    Compliant
Gold    Eco-System Recycling Co., Ltd.    JAPAN    Compliant
Gold    Elemetal Refining, LLC    UNITED STATES    Compliant
Gold    Emirates Gold DMCC    UNITED ARAB EMIRATES    Compliant
Gold    Heimerle + Meule GmbH    GERMANY    Compliant
Gold    Heraeus Ltd. Hong Kong    CHINA    Compliant
Gold    Heraeus Precious Metals GmbH & Co. KG    GERMANY    Compliant
Gold    Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited    CHINA    Compliant
Gold    Ishifuku Metal Industry Co., Ltd.    JAPAN    Compliant
Gold    Istanbul Gold Refinery    TURKEY    Compliant
Gold    Japan Mint    JAPAN    Compliant
Gold    Jiangxi Copper Company Limited    CHINA    Compliant
Gold    JSC Ekaterinburg Non-Ferrous Metal Processing Plant    RUSSIAN FEDERATION    Compliant
Gold    JSC Uralelectromed    RUSSIAN FEDERATION    Compliant
Gold    JX Nippon Mining & Metals Co., Ltd.    JAPAN    Compliant
Gold    Kazzinc    KAZAKHSTAN    Compliant
Gold    Kennecott Utah Copper LLC    UNITED STATES    Compliant
Gold    Kojima Chemicals Co., Ltd.    JAPAN    Compliant
Gold    LS-NIKKO Copper Inc.    KOREA, REPUBLIC OF    Compliant
Gold    Materion    UNITED STATES    Compliant
Gold    Matsuda Sangyo Co., Ltd.    JAPAN    Compliant
Gold    Metalor Technologies (Hong Kong) Ltd.    CHINA    Compliant
Gold    Metalor Technologies (Singapore) Pte., Ltd.    SINGAPORE    Compliant
Gold    Metalor Technologies SA    SWITZERLAND    Compliant
Gold    Metalor USA Refining Corporation    UNITED STATES    Compliant
Gold    METALÚRGICA MET-MEX PEÑOLES, S.A. DE C.V    MEXICO    Compliant
Gold    Mitsubishi Materials Corporation    JAPAN    Compliant
Gold    Mitsui Mining and Smelting Co., Ltd.    JAPAN    Compliant
Gold    MMTC-PAMP India Pvt., Ltd.    INDIA    Compliant
Gold    Moscow Special Alloys Processing Plant    RUSSIAN FEDERATION    Compliant

 

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Gold    Nadir Metal Rafineri San. Ve Tic. A.Ş.    TURKEY    Compliant
Gold    Nihon Material Co., Ltd.    JAPAN    Compliant
Gold    Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH    AUSTRIA    Compliant
Gold    Ohura Precious Metal Industry Co., Ltd.    JAPAN    Compliant
Gold    OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)    RUSSIAN FEDERATION    Compliant
Gold    OJSC Novosibirsk Refinery    RUSSIAN FEDERATION    Compliant
Gold    PAMP SA    SWITZERLAND    Compliant
Gold    Prioksky Plant of Non-Ferrous Metals    RUSSIAN FEDERATION    Compliant
Gold    PT Aneka Tambang (Persero) Tbk    INDONESIA    Compliant
Gold    PX Précinox SA    SWITZERLAND    Compliant
Gold    Rand Refinery (Pty) Ltd.    SOUTH AFRICA    Compliant
Gold    Republic Metals Corporation    UNITED STATES    Compliant
Gold    Royal Canadian Mint    CANADA    Compliant
Gold    Schone Edelmetaal B.V.    NETHERLANDS    Compliant
Gold    SEMPSA Joyería Platería SA    SPAIN    Compliant
Gold    Shandong Zhaojin Gold & Silver Refinery Co., Ltd.    CHINA    Compliant
Gold    Sichuan Tianze Precious Metals Co., Ltd.    CHINA    Compliant
Gold    Singway Technology Co., Ltd.    TAIWAN    Compliant
Gold    SOE Shyolkovsky Factory of Secondary Precious Metals    RUSSIAN FEDERATION    Compliant
Gold    Solar Applied Materials Technology Corp.    TAIWAN    Compliant
Gold    Sumitomo Metal Mining Co., Ltd.    JAPAN    Compliant
Gold    T.C.A S.p.A    ITALY    Compliant
Gold    Tanaka Kikinzoku Kogyo K.K.    JAPAN    Compliant
Gold    The Refinery of Shandong Gold Mining Co., Ltd.    CHINA    Compliant
Gold    Tokuriki Honten Co., Ltd.    JAPAN    Compliant
Gold    Umicore Brasil Ltda.    BRAZIL    Compliant
Gold    Umicore Precious Metals Thailand    THAILAND    Compliant
Gold    Umicore SA Business Unit Precious Metals Refining    BELGIUM    Compliant
Gold    United Precious Metal Refining, Inc.    UNITED STATES    Compliant
Gold    Valcambi SA    SWITZERLAND    Compliant
Gold    Western Australian Mint trading as The Perth Mint    AUSTRALIA    Compliant
Gold    YAMAMOTO PRECIOUS METAL CO., LTD.    JAPAN    Compliant
Gold    Yokohama Metal Co., Ltd.    JAPAN    Compliant
Gold    Zhongyuan Gold Smelter of Zhongjin Gold Corporation    CHINA    Compliant
Gold    Zijin Mining Group Co., Ltd. Gold Refinery    CHINA    Compliant
Gold    Daye Non-Ferrous Metals Mining Ltd.    CHINA    LBMA Good Delivery
Gold    Great Wall Precious Metals Co., Ltd. of CBPM    CHINA    LBMA Good Delivery
Gold    Kyrgyzaltyn JSC    KYRGYZSTAN    LBMA Good Delivery
Gold    Advanced Chemical Company    UNITED STATES    CFSP Active
Gold    Almalyk Mining and Metallurgical Complex (AMMC)    UZBEKISTAN    CFSP Active
Gold    Cendres + Métaux SA    SWITZERLAND    CFSP Active
Gold    Daejin Indus Co., Ltd.    KOREA, REPUBLIC OF    CFSP Active
Gold    DSC (Do Sung Corporation)    KOREA, REPUBLIC OF    CFSP Active
Gold    Faggi Enrico S.p.A.    ITALY    CFSP Active
Gold    Geib Refining Corporation    UNITED STATES    CFSP Active
Gold    Korea Zinc Co. Ltd.    KOREA, REPUBLIC OF    CFSP Active
Gold    Metalor Technologies (Suzhou) Ltd.    CHINA    CFSP Active
Gold    Navoi Mining and Metallurgical Combinat    UZBEKISTAN    CFSP Active
Gold    Samduck Precious Metals    KOREA, REPUBLIC OF    CFSP Active
Gold    SAXONIA Edelmetalle GmbH    GERMANY    CFSP Active (recycler)
Gold    Torecom    KOREA, REPUBLIC OF    CFSP Active
Gold    WIELAND Edelmetalle GmbH    GERMANY    CFSP Active
Gold    Abington Reldan Metals, LLC.    UNITED STATES    100% from recycled or scrap sources

 

8


Gold    Aktyubinsk Copper Company TOO    KAZAKHSTAN    100% from recycled or scrap sources
Gold    AURA-II    UNITED STATES    100% from recycled or scrap sources
Gold    Bauer Walser AG    GERMANY    100% from recycled or scrap sources
Gold    Chugai Mining    JAPAN    100% from recycled or scrap sources
Gold    Remondis Argentia B.V.    NETHERLANDS    100% from recycled or scrap sources
Gold    Sabin Metal Corp.    UNITED STATES    100% from recycled or scrap sources
Gold    Safina a.s.    CZECH REPUBLIC    100% from recycled or scrap sources
Gold    Al Etihad Gold Refinery DMCC    UNITED ARAB EMIRATES    On Reference List Only
Gold    Atasay Kuyumculuk Sanayi Ve Ticaret A.S.    TURKEY    On Reference List Only
Gold    Bangalore Refinery Pnt Ltd    INDIA    On Reference List Only
Gold    Caridad    MEXICO    On Reference List Only
Gold    Fidelity Printers and Refiners Ltd.    ZIMBABWE    On Reference List Only
Gold    Gansu Seemine Material Hi-Tech Co., Ltd.    CHINA    On Reference List Only
Gold    Guangdong Jinding Gold Limited    CHINA    On Reference List Only
Gold    Guoda Safina High-Tech Environmental Refinery Co., Ltd.    CHINA    On Reference List Only
Gold    Hangzhou Fuchunjiang Smelting Co., Ltd.    CHINA    On Reference List Only
Gold    Hunan Chenzhou Mining Co., Ltd.    CHINA    On Reference List Only
Gold    Hwasung CJ Co., Ltd.    KOREA, REPUBLIC OF    On Reference List Only
Gold    Kaloti Precious Metals    UNITED ARAB EMIRATES    On Reference List Only
Gold    Kazakhmys Smelting LLC    KAZAKHSTAN    On Reference List Only
Gold    KGHM Polska Miedź Spółka Akcyjna    POLAND    On Reference List Only
Gold    L’ azurde Company For Jewelry    SAUDI ARABIA    On Reference List Only
Gold    Lingbao Gold Company Limited    CHINA    On Reference List Only
Gold    Lingbao Jinyuan Tonghui Refinery Co., Ltd.    CHINA    On Reference List Only
Gold    Luoyang Zijin Yinhui Gold Refinery Co., Ltd.    CHINA    On Reference List Only
Gold    Morris and Watson    NEW ZEALAND    On Reference List Only
Gold    Penglai Penggang Gold Industry Co., Ltd.    CHINA    On Reference List Only
Gold    SAMWON METALS Corp.    KOREA, REPUBLIC OF    On Reference List Only
Gold    Shandong Tiancheng Biological Gold Industrial Co., Ltd.    CHINA    On Reference List Only
Gold    So Accurate Group, Inc.    UNITED STATES    On Reference List Only
Gold    Tongling Nonferrous Metals Group Co., Ltd.    CHINA    On Reference List Only
Gold    Yunnan Copper Industry Co., Ltd.    CHINA    On Reference List Only
Tantalum    Changsha South Tantalum Niobium Co., Ltd.    CHINA    Compliant
Tantalum    Conghua Tantalum and Niobium Smeltry    CHINA    Compliant
Tantalum    D Block Metals, LLC    UNITED STATES    Compliant
Tantalum    Duoluoshan    CHINA    Compliant
Tantalum    Exotech Inc.    UNITED STATES    Compliant
Tantalum    F&X Electro-Materials Ltd.    CHINA    Compliant
Tantalum    FIR Metals & Resource Ltd.    CHINA    Compliant
Tantalum    Global Advanced Metals Aizu    JAPAN    Compliant
Tantalum    Global Advanced Metals Boyertown    UNITED STATES    Compliant
Tantalum    Guangdong Zhiyuan New Material Co., Ltd.    CHINA    Compliant
Tantalum    H.C. Starck Co., Ltd.    THAILAND    Compliant
Tantalum    H.C. Starck GmbH Goslar    GERMANY    Compliant
Tantalum    H.C. Starck GmbH Laufenburg    GERMANY    Compliant
Tantalum    H.C. Starck Hermsdorf GmbH    GERMANY    Compliant
Tantalum    H.C. Starck Inc.    UNITED STATES    Compliant
Tantalum    H.C. Starck Ltd.    JAPAN    Compliant

 

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Tantalum    H.C. Starck Smelting GmbH & Co.KG    GERMANY    Compliant
Tantalum    Hengyang King Xing Lifeng New Materials Co., Ltd.    CHINA    Compliant
Tantalum    Hi-Temp Specialty Metals, Inc.    UNITED STATES    Compliant
Tantalum    Jiangxi Dinghai Tantalum & Niobium Co., Ltd.    CHINA    Compliant
Tantalum    Jiangxi Tuohong New Raw Material    CHINA    Compliant
Tantalum    JiuJiang JinXin Nonferrous Metals Co., Ltd.    CHINA    Compliant
Tantalum    Jiujiang Tanbre Co., Ltd.    CHINA    Compliant
Tantalum    Jiujiang Zhongao Tantalum & Niobium Co., Ltd.    CHINA    Compliant
Tantalum    KEMET Blue Metals    MEXICO    Compliant
Tantalum    KEMET Blue Powder    UNITED STATES    Compliant
Tantalum    King-Tan Tantalum Industry Ltd.    CHINA    Compliant
Tantalum    LSM Brasil S.A.    BRAZIL    Compliant
Tantalum    Metallurgical Products India Pvt., Ltd.    INDIA    Compliant
Tantalum    Mineração Taboca S.A.    BRAZIL    Compliant
Tantalum    Mitsui Mining & Smelting    JAPAN    Compliant
Tantalum    Molycorp Silmet A.S.    ESTONIA    Compliant
Tantalum    Ningxia Orient Tantalum Industry Co., Ltd.    CHINA    Compliant
Tantalum    Plansee SE Liezen    AUSTRIA    Compliant
Tantalum    Plansee SE Reutte    AUSTRIA    Compliant
Tantalum    QuantumClean    UNITED STATES    Compliant
Tantalum    Resind Indústria e Comércio Ltda.    BRAZIL    Compliant
Tantalum    RFH Tantalum Smeltry Co., Ltd.    CHINA    Compliant
Tantalum    Solikamsk Magnesium Works OAO    RUSSIAN FEDERATION    Compliant
Tantalum    Taki Chemicals    JAPAN    Compliant
Tantalum    Telex Metals    UNITED STATES    Compliant
Tantalum    Tranzact, Inc.    UNITED STATES    Compliant
Tantalum    Ulba Metallurgical Plant JSC    KAZAKHSTAN    Compliant
Tantalum    XinXing HaoRong Electronic Material Co., Ltd.    CHINA    Compliant
Tantalum    Yichun Jin Yang Rare Metal Co., Ltd.    CHINA    Compliant
Tantalum    Zhuzhou Cemented Carbide    CHINA    Compliant
Tantalum    E.S.R. Electronics    UNITED STATES    CFSP Active
Tin    Alpha    UNITED STATES    Compliant
Tin    China Tin Group Co., Ltd.    CHINA    Compliant
Tin    Cooperativa Metalurgica de Rondônia Ltda.    BRAZIL    Compliant
Tin    CV Ayi Jaya    INDONESIA    Compliant
Tin    CV Gita Pesona    INDONESIA    Compliant
Tin    CV Serumpun Sebalai    INDONESIA    Compliant
Tin    CV United Smelting    INDONESIA    Compliant
Tin    CV Venus Inti Perkasa    INDONESIA    Compliant
Tin    Dowa    JAPAN    Compliant
Tin    Elmet S.L.U. (Metallo Group)    SPAIN    Compliant
Tin    EM Vinto    BOLIVIA    Compliant
Tin    Fenix Metals    POLAND    Compliant
Tin    Gejiu Non-Ferrous Metal Processing Co., Ltd.    CHINA    Compliant
Tin    Jiangxi Ketai Advanced Material Co., Ltd.    CHINA    Compliant
Tin    Magnu’s Minerais Metais e Ligas Ltda.    BRAZIL    Compliant
Tin    Malaysia Smelting Corporation (MSC)    MALAYSIA    Compliant
Tin    Melt Metais e Ligas S/A    BRAZIL    Compliant
Tin    Metallic Resources, Inc.    UNITED STATES    Compliant
Tin    Metallo-Chimique N.V.    BELGIUM    Compliant
Tin    Mineração Taboca S.A.    BRAZIL    Compliant
Tin    Minsur    PERU    Compliant
Tin    Mitsubishi Materials Corporation    JAPAN    Compliant
Tin    O.M. Manufacturing (Thailand) Co., Ltd.    THAILAND    Compliant
Tin    O.M. Manufacturing Philippines, Inc.    PHILIPPINES    Compliant
Tin    Operaciones Metalurgical S.A.    BOLIVIA    Compliant
Tin    PT Aries Kencana Sejahtera    INDONESIA    Compliant

 

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Tin    PT Artha Cipta Langgeng    INDONESIA    Compliant
Tin    PT ATD Makmur Mandiri Jaya    INDONESIA    Compliant
Tin    PT Babel Inti Perkasa    INDONESIA    Compliant
Tin    PT Bangka Prima Tin    INDONESIA    Compliant
Tin    PT Bangka Tin Industry    INDONESIA    Compliant
Tin    PT Belitung Industri Sejahtera    INDONESIA    Compliant
Tin    PT BilliTin Makmur Lestari    INDONESIA    Compliant
Tin    PT Bukit Timah    INDONESIA    Compliant
Tin    PT Cipta Persada Mulia    INDONESIA    Compliant
Tin    PT DS Jaya Abadi    INDONESIA    Compliant
Tin    PT Eunindo Usaha Mandiri    INDONESIA    Compliant
Tin    PT Inti Stania Prima    INDONESIA    Compliant
Tin    PT Justindo    INDONESIA    Compliant
Tin    PT Mitra Stania Prima    INDONESIA    Compliant
Tin    PT Panca Mega Persada    INDONESIA    Compliant
Tin    PT Prima Timah Utama    INDONESIA    Compliant
Tin    PT REFINED BANGKA TIN    INDONESIA    Compliant
Tin    PT Sariwiguna Binasentosa    INDONESIA    Compliant
Tin    PT Stanindo Inti Perkasa    INDONESIA    Compliant
Tin    PT Sukses Inti Makmur    INDONESIA    Compliant
Tin    PT Sumber Jaya Indah    INDONESIA    Compliant
Tin    PT Timah (Persero) Tbk Kundur    INDONESIA    Compliant
Tin    PT Timah (Persero) Tbk Mentok    INDONESIA    Compliant
Tin    PT Tinindo Inter Nusa    INDONESIA    Compliant
Tin    PT Tommy Utama    INDONESIA    Compliant
Tin    PT Wahana Perkit Jaya    INDONESIA    Compliant
Tin    Resind Indústria e Comércio Ltda.    BRAZIL    Compliant
Tin    Rui Da Hung    TAIWAN    Compliant
Tin    Soft Metais Ltda.    BRAZIL    Compliant
Tin    Thaisarco    THAILAND    Compliant
Tin    VQB Mineral and Trading Group JSC    VIET NAM    Compliant
Tin    White Solder Metalurgia e Mineração Ltda.    BRAZIL    Compliant
Tin    Yunnan Tin Group (Holding) Company Limited    CHINA    Compliant
Tin    An Thai Minerals Company Limited    VIET NAM    CFSP Active
Tin    An Vinh Joint Stock Mineral Processing Company    VIET NAM    CFSP Active
Tin    Chenzhou Yunxiang Mining and Metallurgy Company Limited    CHINA    CFSP Active
Tin    CV Dua Sekawan    INDONESIA    CFSP Active
Tin    CV Tiga Sekawan    INDONESIA    CFSP Active
Tin    Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company    VIET NAM    CFSP Active
Tin    Gejiu Fengming Metalurgy Chemical Plant    CHINA    CFSP Active
Tin    Gejiu Kai Meng Industry and Trade LLC    CHINA    CFSP Active
Tin    Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.    CHINA    CFSP Active
Tin    Guanyang Guida Nonferrous Metal Smelting Plant    CHINA    CFSP Active
Tin    HuiChang Hill Tin Industry Co., Ltd.    CHINA    CFSP Active
Tin    Nghe Tinh Non-Ferrous Metals Joint Stock Company    VIET NAM    CFSP Active
Tin    Phoenix Metal Ltd.    RWANDA    CFSP Active
Tin    PT Karimun Mining    INDONESIA    CFSP Active
Tin    PT Kijang Jaya Mandiri    INDONESIA    CFSP Active
Tin    Tuyen Quang Non-Ferrous Metals Joint Stock Company    VIET NAM    CFSP Active
Tin    Yunnan Chengfeng Non-ferrous Metals Co., Ltd.    CHINA    CFSP Active (recycler)
Tin    Gejiu Zili Mining And Metallurgy Co., Ltd.    CHINA    100% from recycled or scrap sources
Tin    Metahub Industries Sdn. Bhd.    MALAYSIA    100% from recycled or scrap sources

 

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Tin    PT Bangka Timah Utama Sejahtera    INDONESIA    100% from recycled or scrap sources
Tin    CNMC (Guangxi) PGMA Co., Ltd.    CHINA    On Reference List Only
Tin    Estanho de Rondônia S.A.    BRAZIL    On Reference List Only
Tin    Huichang Jinshunda Tin Co., Ltd.    CHINA    On Reference List Only
Tin    Linwu Xianggui Ore Smelting Co., Ltd.    CHINA    On Reference List Only
Tin    Nankang Nanshan Tin Manufactory Co., Ltd.    CHINA    On Reference List Only
Tin    PT Tirus Putra Mandiri    INDONESIA    On Reference List Only
Tungsten    A.L.M.T. TUNGSTEN Corp.    JAPAN    Compliant
Tungsten    Asia Tungsten Products Vietnam Ltd.    VIET NAM    Compliant
Tungsten    Chenzhou Diamond Tungsten Products Co., Ltd.    CHINA    Compliant
Tungsten    Chongyi Zhangyuan Tungsten Co., Ltd.    CHINA    Compliant
Tungsten    Fujian Jinxin Tungsten Co., Ltd.    CHINA    Compliant
Tungsten    Ganzhou Huaxing Tungsten Products Co., Ltd.    CHINA    Compliant
Tungsten    Ganzhou Jiangwu Ferrotungsten Co., Ltd.    CHINA    Compliant
Tungsten    Ganzhou Seadragon W & Mo Co., Ltd.    CHINA    Compliant
Tungsten    Ganzhou Yatai Tungsten Co., Ltd.    CHINA    Compliant
Tungsten    Global Tungsten & Powders Corp.    UNITED STATES    Compliant
Tungsten    Guangdong Xianglu Tungsten Co., Ltd.    CHINA    Compliant
Tungsten    H.C. Starck GmbH    GERMANY    Compliant
Tungsten    H.C. Starck Smelting GmbH & Co.KG    GERMANY    Compliant
Tungsten    Hunan Chenzhou Mining Co., Ltd.    CHINA    Compliant
Tungsten    Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji    CHINA    Compliant
Tungsten    Hunan Chunchang Nonferrous Metals Co., Ltd.    CHINA    Compliant
Tungsten    Hydrometallurg, JSC    RUSSIAN FEDERATION    Compliant
Tungsten    Japan New Metals Co., Ltd.    JAPAN    Compliant
Tungsten    Jiangxi Gan Bei Tungsten Co., Ltd.    CHINA    Compliant
Tungsten    Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.    CHINA    Compliant
Tungsten    Kennametal Huntsville    UNITED STATES    Compliant
Tungsten    Malipo Haiyu Tungsten Co., Ltd.    CHINA    Compliant
Tungsten    Niagara Refining LLC    UNITED STATES    Compliant
Tungsten    Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC    VIET NAM    Compliant
Tungsten    Tejing (Vietnam) Tungsten Co., Ltd.    VIET NAM    Compliant
Tungsten    Vietnam Youngsun Tungsten Industry Co., Ltd.    VIET NAM    Compliant
Tungsten    Wolfram Bergbau und Hütten AG    AUSTRIA    Compliant
Tungsten    Xiamen Tungsten (H.C.) Co., Ltd.    CHINA    Compliant
Tungsten    Xiamen Tungsten Co., Ltd.    CHINA    Compliant
Tungsten    Xinhai Rendan Shaoguan Tungsten Co., Ltd.    CHINA    Compliant
Tungsten    ACL Metais Eireli    BRAZIL    CFSP Active
Tungsten    Jiangwu H.C. Starck Tungsten Products Co., Ltd.    CHINA    CFSP Active
Tungsten    Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.    CHINA    CFSP Active
Tungsten    Jiangxi Xinsheng Tungsten Industry Co., Ltd.    CHINA    CFSP Active
Tungsten    Jiangxi Yaosheng Tungsten Co., Ltd.    CHINA    CFSP Active
Tungsten    Kennametal Fallon    UNITED STATES    CFSP Active
Tungsten    South-East Nonferrous Metal Company Limited of Hengyang City    CHINA    CFSP Active
Tungsten    Woltech Korea Co., Ltd.    KOREA, REPUBLIC OF    CFSP Active
Tungsten    Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.    CHINA    CFSP Active
Tungsten    Dayu Jincheng Tungsten Industry Co., Ltd.    CHINA    TI-CMC Category A
Tungsten    Dayu Weiliang Tungsten Co., Ltd.    CHINA    TI-CMC Category A
Tungsten    Ganzhou Non-ferrous Metals Smelting Co., Ltd.    CHINA    TI-CMC Category A
Tungsten    Pobedit, JSC    RUSSIAN FEDERATION    TI-CMC Category A
Tungsten    Ganxian Shirui New Material Co., Ltd.    CHINA    On Reference List Only
Tungsten    Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.    CHINA    On Reference List Only

 

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We note the following in connection with the information in the table:

 

  (a) The smelters and refiners listed in the table were identified by the Suppliers as being part of our 2015 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 2015 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.

 

  (b) All information in the table is as of May 17, 2016.

 

  (c) “Compliant” means that the smelter or refiner was compliant with the CFSI’s Conflict-Free Smelter Program’s (“CFSP”) assessment protocols, including through mutual recognition and those indicated as “Re-audit in process.” Included smelters or refiners were not necessarily Compliant for all or part of 2015 and may not continue to be Compliant for any future period.

 

  (d) “Active” means that the smelter or refiner is listed by the CFSI as having submitted a signed Agreement for the Exchange of Confidential Information and Auditee Agreement contracts to the CFSP or, according to information published by the CFSI, the smelter has agreed to complete a CFSP validation audit within two years of membership issuance by the Tungsten Industry – Conflict Minerals Council (the “TI-CMC”). Refiners listed only on the LBMA’s Good Delivery List were counted in the Active column of the summary table.

 

  (e) “On Reference List Only” means the smelter or refiner is not listed as “Compliant” or “Active.” The table only includes entities that were listed as smelters or refiners by the CFSI, the LBMA, the RJC or the TI-CMC.

 

  (f) The compliance status reflected in the table is based solely on information made publicly available by the CFSI, without independent verification by us.

 

  (g) Country location is the location of the smelter or refiner.

Country of Origin Information

The countries of origin of the 3TG processed by the Compliant smelters and refiners listed above may have included countries in each of the categories 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 country of origin information.

L1 – Countries that are not identified as conflict regions or plausible areas of smuggling or export of from these regions of 3TG: Argentina, Australia, Austria, Belgium, Bolivia, Brazil, Cambodia, Canada, Chile, China, Colombia, Cote d’Ivoire, Czech Republic, Djibouti, Ecuador, Egypt, Estonia, Ethiopia, France, Germany, Guyana, Hungary, India, Indonesia, Ireland, Israel, Japan, Kazakhstan, Laos, Luxembourg, Madagascar, Malaysia, Mongolia, Myanmar, Namibia, Netherlands, Nigeria, Peru, Portugal, Russia, Sierra Leone, Singapore, Slovakia, South Korea, Spain, Suriname, Switzerland, Taiwan, Thailand, United Kingdom, United States, Vietnam and Zimbabwe.

L2 – Countries that are known or plausible countries for smuggling, export out of region or transit of materials containing 3TG: Kenya, Mozambique and South Africa.

L3 – The DRC and its nine adjoining countries: Angola, Burundi, Central African Republic, Republic of Congo, Rwanda, South Sudan, Uganda, United Republic of Tanzania and Zambia.

DRC – The Democratic Republic of the Congo.

In addition, some of the listed Compliant smelters and refiners may have processed 3TG originating from recycled or scrap sources.

For 2015, we were not able to determine the country of origin of the 3TG processed by 29 smelters or refiners.

 

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