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 3, 2019

Exhibit 1.01

Conflict Minerals Report

Becton, Dickinson and Company has included this Conflict Minerals Report as an exhibit to its Form SD for 2018, 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 3, 2019.

The term “BD,” “we,” “us” and “our” refer to Becton, Dickinson and Company and its consolidated subsidiaries for or at the end of 2018. 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 engaged in the development, manufacture and sale of a broad range of medical supplies, devices, laboratory equipment and diagnostic products used by healthcare institutions, physicians, life science researchers, clinical laboratories, the pharmaceutical industry and the general public. BD’s products are manufactured and sold worldwide.

BD is subject to the Conflict Minerals Rule because, for 2018, 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 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 2018, we conducted a “reasonable country of origin inquiry.” Our outreach included 2045 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 80.5% of BD’s in-scope spend responded to BD’s reasonable country of origin inquiry. For 2018, we refined our supplier scoping, eliminating from our outreach a significant number of suppliers that we determined were not potentially in-scope.

For 2018, 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
Country1
Sourced
RMAP
Conformant2
     Non Covered Country
Sourced
            Source Country Unknown         
     RMAP
Conformant
     Non
Conformant
     100%
Recycled or
Scrap
     RMAP
Conformant
     RMAP
Active
     On
Smelter
Look-up
Tab Only
     Total
Smelters
 

Gold

     2        17        0        11        72        4        46        154  

Tantalum

     24        14        0        2        0        0        0        40  

Tin

     7        58        1        5        1        1        7        80  

Tungsten

     9        29        0        1        0        1        2        42  
  

 

 

    

 

 

    

 

 

    

 

 

    

 

 

    

 

 

    

 

 

    

 

 

 

Total

     42        118        1        19        73        6        55        314  
  

 

 

    

 

 

    

 

 

    

 

 

    

 

 

    

 

 

    

 

 

    

 

 

 

Based on the results of our reasonable country of origin inquiry, we conducted due diligence for 2018. 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 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 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 (Third Edition).

Selected Elements of Design Framework

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 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 2018 are discussed under “Due Diligence Program Execution.”

 

1 

Covered Country is the Conflict Affected Region.

2 

See Annex for definitions.


Conflict Minerals Policy

BD’s 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, the Office of Global 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 Sustainability and EHS.

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 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 in-person 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 in-person 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 RMI’s Smelter Engagement and Due Diligence teams.

Data Storage and Retention

We utilize an internal database and an external Conflict Minerals 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, BD’s Expectations for Suppliers, which contains our supplier compliance requirements relating to many different subject areas, includes compliance requirements relating to 3TG.

Grievance Mechanisms

We have grievance mechanisms for employees, suppliers and other interested parties to report alleged violations of our Conflict Minerals 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, 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, we may follow-up with electronic reminders, by email, and/or phone inquiries. If the supplier does not respond within a reasonable time frame or refuses to respond, this information is forwarded to Global Procurement or local buyers at manufacturing plants to assist 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 Look-up tab of the Conflict Minerals Reporting Template and the global smelter library in our software system, which includes information published by RMI, the Responsible Jewellery Council (the “RJC”) and the London Bullion Market Association (the “LBMA”).

Smelter and refiner information is also reviewed against the lists of “conformant” and “active” (or the equivalent) smelters and refiners and country of origin information published by the RMI, the RJC and the LBMA. To the extent that a smelter or refiner identified by a supplier is not listed as conformant or the equivalent by the RMI, 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 impacts. The Steering Team reports the findings of its supply chain risk assessment to senior management 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.

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.

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 are a member of the RMI.

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.


Due Diligence Program Execution

We performed the following due diligence measures in respect of the 2018 compliance period. These are not all of the measures that we took in respect of 2018 in furtherance of BD’s Conflict Minerals Policies or pursuant to our 3TG compliance program, 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.

BD sent requests to 2045 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 Look-up tab of the Conflict Minerals Reporting Template and, and the smelter and refiner database available to members of the RMI.

 

  4.

To the extent that a completed response identified a smelter or refiner, we also reviewed that information against the list of conformant and active (or the equivalent) smelters and refiners published by the RMI, LBMA, and RJC as of April 12, 2019. 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 conformant (or the equivalent) by the RMI, 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 our supply chain assessment to senior management.

 

  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.

Participated on the RMI’s Smelter Engagement and Due Diligence teams.

 

  b.

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.

 

  c.

Further refined our in-scope commodity categories to better focus our efforts on the highest risk areas.

 

  d.

Further refined the country of origin information by mineral.

 

  e.

Completed harmonizing and integrating BD’s and C.R. Bard’s 3TG compliance efforts into one program. We acquired C.R. Bard on December 29, 2017.

Product Information

In-scope products for 2018 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 2018, 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 2019, 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 2018 that the source of 3TG was unknown or undeterminable.

 

  •

Contribute to the RMI Upstream Due Diligence Fund.

 

  •

Continue 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 2018, which we intend to continue to take for 2019 to the extent applicable.


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 2018.


Metal

  

Processor

  

Country Location

  

Status

Gold    8853 S.p.A.    ITALY    Conformant
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    Argor-Heraeus SA    SWITZERLAND    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    Aurubis AG    GERMANY    Conformant
Gold    Bangko Sentral ng Pilipinas (Central Bank of the Philippines)    PHILIPPINES    Conformant
Gold    Boliden AB    SWEDEN    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    Chimet S.p.A.    ITALY    Conformant
Gold    Daejin Indus Co., Ltd.    KOREA, REPUBLIC OF    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    Dowa    JAPAN    Conformant
Gold    Eco-System Recycling Co., Ltd.    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    HeeSung Metal Ltd.    KOREA, REPUBLIC OF    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    Italpreziosi    ITALY    Conformant
Gold    Japan Mint    JAPAN    Conformant
Gold    Jiangxi Copper Company Limited    CHINA    Conformant
Gold    JSC Uralelectromed    RUSSIAN FEDERATION    Conformant
Gold    JX Nippon Mining & Metals Co., Ltd.    JAPAN    Conformant
Gold    Kazzinc    KAZAKHSTAN    Conformant
Gold    Kennecott Utah Copper LLC    UNITED STATES    Conformant
Gold    Kojima Chemicals Co., Ltd.    JAPAN    Conformant


Gold    Korea Zinc Co., Ltd.    KOREA, REPUBLIC OF    Conformant
Gold    Kyrgyzaltyn JSC    KYRGYZSTAN    Conformant
Gold    L’Orfebre S.A.    ANDORRA    Conformant
Gold    LS-NIKKO Copper Inc.    KOREA, REPUBLIC OF    Conformant
Gold    Marsam Metals    BRAZIL    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    PAMP SA    SWITZERLAND    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    SAAMP    FRANCE    Conformant
Gold    Safimet S.p.A    ITALY    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    T.C.A S.p.A    ITALY    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    Valcambi SA    SWITZERLAND    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    Bangalore Refinery    INDIA    Active
Gold    Chugai Mining    JAPAN    Active
Gold    KGHM Polska Miedz Spolka Akcyjna    POLAND    Active
Gold    NH Recytech Company    KOREA, REPUBLIC OF    Active
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    Caridad    MEXICO    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    Fidelity Printers and Refiners Ltd.    ZIMBABWE    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    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    L’ azurde 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    Morris and Watson Gold Coast    AUSTRALIA    On Smelter Look-up Tab Only
Gold    Navoi Mining and Metallurgical Combinat    UZBEKISTAN    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    Samduck Precious Metals    KOREA, REPUBLIC OF    On Smelter Look-up Tab Only
Gold    SAMWON METALS Corp.    KOREA, REPUBLIC OF    On Smelter Look-up Tab Only
Gold    Shandong Tiancheng Biological Gold Industrial Co., Ltd.    CHINA    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    TOO Tau-Ken-Altyn    KAZAKHSTAN    On Smelter Look-up Tab Only
Gold    Universal Precious Metals Refining    ZAMBIA    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    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 Rising Rare Metals-EO Materials Ltd.    CHINA    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    KEMET Blue Powder    UNITED STATES    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 Non-Ferrous Metal Smeltery    CHINA    Conformant
Tantalum    NPM Silmet AS    ESTONIA    Conformant
Tantalum    Power Resources Ltd.    MACEDONIA    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    Taki Chemicals    JAPAN    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    Alpha    UNITED STATES    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    CV Ayi Jaya    INDONESIA    Conformant
Tin    CV Dua Sekawan    INDONESIA    Conformant
Tin    CV Gita Pesona    INDONESIA    Conformant
Tin    CV United Smelting    INDONESIA    Conformant
Tin    CV Venus Inti Perkasa    INDONESIA    Conformant


Tin    Dowa    JAPAN    Conformant
Tin    Fenix Metals    POLAND    Conformant
Tin    Gejiu Fengming Metalurgy Chemical Plant    CHINA    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    Magnu’s 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    Minsur    PERU    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 Aries Kencana Sejahtera    INDONESIA    Conformant
Tin    PT Artha Cipta Langgeng    INDONESIA    Conformant
Tin    PT ATD Makmur Mandiri Jaya    INDONESIA    Conformant
Tin    PT Babel Inti Perkasa    INDONESIA    Conformant
Tin    PT Babel Surya Alam Lestari    INDONESIA    Conformant
Tin    PT Bangka Prima Tin    INDONESIA    Conformant
Tin    PT Bangka Serumpun    INDONESIA    Conformant
Tin    PT Bangka Tin Industry    INDONESIA    Conformant
Tin    PT Belitung Industri Sejahtera    INDONESIA    Conformant
Tin    PT Bukit Timah    INDONESIA    Conformant
Tin    PT DS Jaya Abadi    INDONESIA    Conformant
Tin    PT Inti Stania Prima    INDONESIA    Conformant
Tin    PT Karimun Mining    INDONESIA    Conformant
Tin    PT Kijang Jaya Mandiri    INDONESIA    Conformant
Tin    PT Menara Cipta Mulia    INDONESIA    Conformant
Tin    PT Mitra Stania Prima    INDONESIA    Conformant
Tin    PT Panca Mega Persada    INDONESIA    Conformant
Tin    PT Premium Tin Indonesia    INDONESIA    Conformant
Tin    PT Prima Timah Utama    INDONESIA    Conformant
Tin    PT Rajehan Ariq    INDONESIA    Conformant
Tin    PT Refined Bangka Tin    INDONESIA    Conformant
Tin    PT Sariwiguna Binasentosa    INDONESIA    Conformant
Tin    PT Stanindo Inti Perkasa    INDONESIA    Conformant
Tin    PT Sukses Inti Makmur    INDONESIA    Conformant
Tin    PT Sumber Jaya Indah    INDONESIA    Conformant
Tin    PT Timah Tbk Kundur    INDONESIA    Conformant
Tin    PT Timah Tbk Mentok    INDONESIA    Conformant
Tin    PT Tinindo Inter Nusa    INDONESIA    Conformant
Tin    PT Tirus Putra Mandiri    INDONESIA    Conformant
Tin    PT Tommy Utama    INDONESIA    Conformant


Tin    Resind Indústria e Comércio Ltda.    BRAZIL    Conformant
Tin    Rui Da Hung    TAIWAN    Conformant
Tin    Soft Metais Ltda.    BRAZIL    Conformant
Tin    Thaisarco    THAILAND    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    An Vinh Joint Stock Mineral Processing Company    VIET NAM    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    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    A.L.M.T. TUNGSTEN Corp.    JAPAN    Conformant
Tungsten    ACL Metais Eireli    BRAZIL    Conformant
Tungsten    Chenzhou Diamond Tungsten Products Co., Ltd.    CHINA    Conformant
Tungsten    Chongyi Zhangyuan Tungsten 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    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    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    South-East Nonferrous Metal Company Limited of Hengyang City    CHINA    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    Hunan Litian Tungsten Industry Co., Ltd.    CHINA    Active
Tungsten    Jiangxi Dayu Longxintai Tungsten Co., Ltd.    CHINA    On Smelter Look-up Tab Only
Tungsten    Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.    CHINA    On Smelter Look-up Tab Only

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 2018 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 2018 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 April 12, 2019.

 

  (c)

“Conformant” means that the smelter or refiner was listed as conformant with the RMI’s Responsible Minerals Assurance Process (“RMAP”) assessment protocols, including those indicated as “re-audit in progress.” Included smelters or refiners were not necessarily Conformant for all or part of 2018 and may not continue to be Conformant for any future period.

 

  (d)

“Active” means that the smelter or refiner is a participant in the RMAP and has committed to undergo an RMAP assessment.

 

  (e)

“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.


  (f)

The compliance status reflected in the table is based solely on information made publicly available by the RMI, 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 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:

L1 – Countries that are not identified as conflict regions or plausible areas of smuggling or export of from these regions of 3TG: Argentina, Armenia, Australia, Azerbaijan, Benin, Bolivia, Botswana, Brazil, Burkina Faso, Canada, Chile, China, Colombia, Cyprus, Dominican Republic, Ecuador, Egypt, Eritrea, Ethiopia, Finland, Georgia, Ghana, Guatemala, Guinea, Guyana, Honduras, Indonesia, Ivory Coast, Kazakhstan, Kyrgyzstan, Laos, Lebanon, Malaysia, Mali, Nicaragua, Niger, Papua New Guinea, Peru, Philippines, Russian Federation, Saudi Arabia, Senegal, Slovakia, Solomon Islands, Spain, Suriname, Swaziland, Sweden, Thailand, Togo, Turkey, Uruguay, United States of America, Uzbekistan and Zimbabwe.

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

L3 – The DRC and its adjoining countries: Tanzania and Zambia.

Known Countries from which Conformant Tantalum Smelters Source:

L1 – Countries that are not identified as conflict regions or plausible areas of smuggling or export of from these regions of 3TG: Australia, Austria, Bolivia, Brazil, China, Colombia, Ethiopia, Guinea, India, Madagascar, Malaysia, Nigeria, Russian Federation, Sierra Leone, and Thailand.

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

L3 – The DRC and its adjoining countries: Burundi and Rwanda.

DRC – The Democratic Republic of the Congo.

Known Countries from which Conformant Tin Smelters Source:

L1 – 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 Venezuela.

L3 – The DRC and its adjoining countries: Burundi and Rwanda.

DRC – The Democratic Republic of the Congo.


Known Countries from which Conformant Tungsten Smelters Source:

L1- 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, Russian Federation, Taiwan, Thailand, United Kingdom of Great Britain and Northern Ireland, and United States of America.

L3 – The DRC and its adjoining countries: Burundi and Rwanda.

DRC – The Democratic Republic of the Congo.

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

For 2018, we were not able to determine the country of origin of the 3TG processed by 134 smelters or refiners.