Exhibit 1.01

Conflict Minerals Report

Becton, Dickinson and Company has included this Conflict Minerals Report as an exhibit to its Form SD for 2021, 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 11, 2022.

The term “BD,” “we,” “us” and “our” refer to Becton, Dickinson and Company and its consolidated subsidiaries for or at the end of 2021. 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 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 and its 75,000 employees have a passion and commitment to help improve patient outcomes, improve the safety and efficiency of clinicians’ care delivery process, enable laboratory scientists to accurately detect disease and advance researchers’ capabilities to develop the next generation of diagnostics and therapeutics. BD has a presence in virtually every country and partners with organizations 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 2021, 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 2021, we conducted a “reasonable country of origin inquiry.” Our outreach included 1491 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 84% of BD’s in-scope spend responded to BD’s reasonable country of origin inquiry.

For 2021, 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				Non-Covered Countries Only				100% Recycled or Scrap				Source Country Unknown																Total Smelters or Refiners
		RMAP Conformant2				RMAP Conformant								RMAP Conformant				RMAP Active				Non Conformant				On Smelter Look-up Tab Only
Gold			4				16				14				67				6				11				53				171
Tantalum			25				9				2				0				0				0				0				36
Tin			6				37				6				3				7				6				8				73
Tungsten			13				9				5				15				4				0				2				48
Total			48				71				27				85				17				17				63				328

Based on the results of our reasonable country of origin inquiry, we conducted due diligence for 2021. These due diligence efforts are discussed later in this Conflict Minerals Report.

 

1	Covered Country is the Conflict Affected Region.

2	See Annex for definitions.

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 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 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

BD’s Conflict Minerals Policy, as described in this Conflict Minerals Report, is available on our website at https://www.bd.com/en-us/about-bd/policies.

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, & Product Stewardship, 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, Sustainability, and Product Stewardship.

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. The Steering Team consists of the Program Leader, Executive Leader and representatives from the Law Group and Global Procurement.

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 RMI’s Due Diligence team.

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, 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 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 2022, BD sent requests to 1491 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 30, 2022. 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 2021, we also participated on the RMI’s Due Diligence team and made a contribution to the RMAP Audit Fund to help address any financial barriers smaller smelters and refiners may face in considering undergoing RMAP re-assessment.

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.

Product Information

In-scope products for 2021 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 2021, 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 2022, 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 2021 that the source of 3TG was unknown or undeterminable.

 

•

Continue to contribute to the RMAP Audit Fund or the RMI Upstream Due Diligence Fund.

The foregoing steps are in addition to the other steps that we took for 2021, which we intend to continue to take for 2022 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 2021.

Metal		Processor		Country Location		Status
Gold		8853 S.p.A.		ITALY		Conformant
Gold		Advanced Chemical Company		UNITED STATES OF AMERICA		Conformant
Gold		Agosi AG		GERMANY		Conformant
Gold		Aida Chemical Industries Co., Ltd.		JAPAN		Conformant
Gold		Al Etihad Gold Refinery DMCC		UNITED ARAB EMIRATES		Conformant
Gold		Almalyk Mining and Metallurgical Complex (AMMC)		UZBEKISTAN		Conformant
Gold		AngloGold Ashanti Corrego do Sitio Mineracao		BRAZIL		Conformant
Gold		Argor-Heraeus S.A.		SWITZERLAND		Conformant
Gold		Asahi Pretec Corp.		JAPAN		Conformant
Gold		Asahi Refining Canada Ltd.		CANADA		Conformant
Gold		Asahi Refining USA Inc.		UNITED STATES OF AMERICA		Conformant
Gold		Asaka Riken Co., Ltd.		JAPAN		Conformant
Gold		Aurubis AG		GERMANY		Conformant
Gold		Bangalore Refinery		INDIA		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		Chugai Mining		JAPAN		Conformant
Gold		DODUCO Contacts and Refining GmbH		GERMANY		Conformant
Gold		Dowa		JAPAN		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. North 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 Germany GmbH Co. KG		GERMANY		Conformant
Gold		Heraeus Metals Hong Kong Ltd.		CHINA		Conformant
Gold		Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.		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 Co., Ltd.		CHINA		Conformant
Gold		JX Nippon Mining & Metals Co., Ltd.		JAPAN		Conformant
Gold		Kazzinc		KAZAKHSTAN		Conformant
Gold		Kennecott Utah Copper LLC		UNITED STATES OF AMERICA		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		L’Orfebre S.A.		ANDORRA		Conformant
Gold		LS-NIKKO Copper Inc.		KOREA, REPUBLIC OF		Conformant
Gold		LT Metal Ltd.		KOREA, REPUBLIC OF		Conformant
Gold		Marsam Metals		BRAZIL		Conformant
Gold		Materion		UNITED STATES OF AMERICA		Conformant
Gold		Matsuda Sangyo Co., Ltd.		JAPAN		Conformant
Gold		Metal Concentrators SA (Pty) Ltd.		SOUTH AFRICA		Conformant

Metal		Processor		Country Location		Status
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 S.A.		SWITZERLAND		Conformant
Gold		Metalor USA Refining Corporation		UNITED STATES OF AMERICA		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		Nadir Metal Rafineri San. Ve Tic. A.S.		TURKEY		Conformant
Gold		Navoi Mining and Metallurgical Combinat		UZBEKISTAN		Conformant
Gold		NH Recytech Company		KOREA, REPUBLIC OF		Conformant
Gold		Nihon Material Co., Ltd.		JAPAN		Conformant
Gold		Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH		AUSTRIA		Conformant
Gold		Ohura Precious Metal Industry Co., Ltd.		JAPAN		Conformant
Gold		PAMP S.A.		SWITZERLAND		Conformant
Gold		Planta Recuperadora de Metales SpA		CHILE		Conformant
Gold		PT Aneka Tambang (Persero) Tbk		INDONESIA		Conformant
Gold		PX Precinox S.A.		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		SAFINA A.S.		CZECHIA		Conformant
Gold		Samduck Precious Metals		KOREA, REPUBLIC OF		Conformant
Gold		SAXONIA Edelmetalle GmbH		GERMANY		Conformant
Gold		SEMPSA Joyeria Plateria S.A.		SPAIN		Conformant
Gold		Shandong Gold Smelting Co., Ltd.		CHINA		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		Solar Applied Materials Technology Corp.		TAIWAN, PROVINCE OF CHINA		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		Tokuriki Honten Co., Ltd.		JAPAN		Conformant
Gold		TOO Tau-Ken-Altyn		KAZAKHSTAN		Conformant
Gold		Torecom		KOREA, REPUBLIC OF		Conformant
Gold		Umicore Precious Metals Thailand		THAILAND		Conformant
Gold		Umicore S.A. Business Unit Precious Metals Refining		BELGIUM		Conformant
Gold		United Precious Metal Refining, Inc.		UNITED STATES OF AMERICA		Conformant
Gold		Valcambi S.A.		SWITZERLAND		Conformant
Gold		Western Australian Mint (T/a 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		Alexy Metals		UNITED STATES OF AMERICA		Active
Gold		Augmont Enterprises Private Limited		INDIA		Active

Metal		Processor		Country Location		Status
Gold		C.I Metales Procesados Industriales SAS		COLOMBIA		Active
Gold		GGC Gujrat Gold Centre Pvt. Ltd.		INDIA		Active
Gold		Sancus ZFS (L’Orfebre, SA)		COLOMBIA		Active
Gold		WEEEREFINING		FRANCE		Active
Gold		Abington Reldan Metals, LLC		UNITED STATES OF AMERICA		On Smelter Look-up List Only
Gold		African Gold Refinery		UGANDA		On Smelter Look-up List Only
Gold		Atasay Kuyumculuk Sanayi Ve Ticaret A.S.		TURKEY		On Smelter Look-up List Only
Gold		AU Traders and Refiners		SOUTH AFRICA		On Smelter Look-up List Only
Gold		Caridad		MEXICO		On Smelter Look-up List Only
Gold		CGR Metalloys Pvt Ltd.		INDIA		On Smelter Look-up List Only
Gold		Daye Non-Ferrous Metals Mining Ltd.		CHINA		On Smelter Look-up List Only
Gold		Degussa Sonne / Mond Goldhandel GmbH		GERMANY		On Smelter Look-up List Only
Gold		Dijllah Gold Refinery FZC		UNITED ARAB EMIRATES		On Smelter Look-up List Only
Gold		Emerald Jewel Industry India Limited (Unit 1)		INDIA		On Smelter Look-up List Only
Gold		Emerald Jewel Industry India Limited (Unit 2)		INDIA		On Smelter Look-up List Only
Gold		Emerald Jewel Industry India Limited (Unit 3)		INDIA		On Smelter Look-up List Only
Gold		Emerald Jewel Industry India Limited (Unit 4)		INDIA		On Smelter Look-up List Only
Gold		Fidelity Printers and Refiners Ltd.		ZIMBABWE		On Smelter Look-up List Only
Gold		Fujairah Gold FZC		UNITED ARAB EMIRATES		On Smelter Look-up List Only
Gold		Gold Coast Refinery		GHANA		On Smelter Look-up List Only
Gold		Great Wall Precious Metals Co., Ltd. of CBPM		CHINA		On Smelter Look-up List Only
Gold		Guangdong Jinding Gold Limited		CHINA		On Smelter Look-up List Only
Gold		Guoda Safina High-Tech Environmental Refinery Co., Ltd.		CHINA		On Smelter Look-up List Only
Gold		Hangzhou Fuchunjiang Smelting Co., Ltd.		CHINA		On Smelter Look-up List Only
Gold		Hunan Chenzhou Mining Co., Ltd.		CHINA		On Smelter Look-up List Only
Gold		Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd.		CHINA		On Smelter Look-up List Only
Gold		HwaSeong CJ CO., LTD.		KOREA, REPUBLIC OF		On Smelter Look-up List Only
Gold		Industrial Refining Company		BELGIUM		On Smelter Look-up List Only
Gold		International Precious Metal Refiners		UNITED ARAB EMIRATES		On Smelter Look-up List Only
Gold		JALAN & Company		INDIA		On Smelter Look-up List Only
Gold		JSC Ekaterinburg Non-Ferrous Metal Processing Plant		RUSSIAN FEDERATION		On Smelter Look-up List Only

Metal		Processor		Country Location		Status
Gold		JSC Novosibirsk Refinery		RUSSIAN FEDERATION		On Smelter Look-up List Only
Gold		JSC Uralelectromed		RUSSIAN FEDERATION		On Smelter Look-up List Only
Gold		K.A. Rasmussen		NORWAY		On Smelter Look-up List Only
Gold		Kaloti Precious Metals		UNITED ARAB EMIRATES		On Smelter Look-up List Only
Gold		Kazakhmys Smelting LLC		KAZAKHSTAN		On Smelter Look-up List Only
Gold		Kundan Care Products Ltd.		INDIA		On Smelter Look-up List Only
Gold		Kyrgyzaltyn JSC		KYRGYZSTAN		On Smelter Look-up List Only
Gold		Kyshtym Copper-Electrolytic Plant ZAO		RUSSIAN FEDERATION		On Smelter Look-up List Only
Gold		L’azurde Company For Jewelry		SAUDI ARABIA		On Smelter Look-up List Only
Gold		Lingbao Gold Co., Ltd.		CHINA		On Smelter Look-up List Only
Gold		Lingbao Jinyuan Tonghui Refinery Co., Ltd.		CHINA		On Smelter Look-up List Only
Gold		Luoyang Zijin Yinhui Gold Refinery Co., Ltd.		CHINA		On Smelter Look-up List Only
Gold		MD Overseas		INDIA		On Smelter Look-up List Only
Gold		Metallix Refining Inc.		UNITED STATES OF AMERICA		On Smelter Look-up List Only
Gold		Modeltech Sdn Bhd		MALAYSIA		On Smelter Look-up List Only
Gold		Morris and Watson		NEW ZEALAND		On Smelter Look-up List Only
Gold		Moscow Special Alloys Processing Plant		RUSSIAN FEDERATION		On Smelter Look-up List Only
Gold		OJSC “The Gulidov Krasnoyarsk Non-Ferrous Metals Plant” (OJSC Krastsvetmet)		RUSSIAN FEDERATION		On Smelter Look-up List Only
Gold		Pease & Curren		UNITED STATES OF AMERICA		On Smelter Look-up List Only
Gold		Penglai Penggang Gold Industry Co., Ltd.		CHINA		On Smelter Look-up List Only
Gold		Prioksky Plant of Non-Ferrous Metals		RUSSIAN FEDERATION		On Smelter Look-up List Only
Gold		QG Refining, LLC		UNITED STATES OF AMERICA		On Smelter Look-up List Only
Gold		Refinery of Seemine Gold Co., Ltd.		CHINA		On Smelter Look-up List Only
Gold		Sabin Metal Corp.		UNITED STATES OF AMERICA		On Smelter Look-up List Only
Gold		Sai Refinery		INDIA		On Smelter Look-up List Only
Gold		Sellem Industries Ltd.		MAURITANIA		On Smelter Look-up List Only
Gold		Shandong Humon Smelting Co., Ltd.		CHINA		On Smelter Look-up List Only
Gold		Shandong Tiancheng Biological Gold Industrial Co., Ltd.		CHINA		On Smelter Look-up List Only
Gold		Shenzhen Zhonghenglong Real Industry Co., Ltd.		CHINA		On Smelter Look-up List Only

Metal		Processor		Country Location		Status
Gold		Shirpur Gold Refinery Ltd.		INDIA		On Smelter Look-up List Only
Gold		SOE Shyolkovsky Factory of Secondary Precious Metals		RUSSIAN FEDERATION		On Smelter Look-up List Only
Gold		Sovereign Metals		INDIA		On Smelter Look-up List Only
Gold		State Research Institute Center for Physical Sciences and Technology		LITHUANIA		On Smelter Look-up List Only
Gold		Sudan Gold Refinery		SUDAN		On Smelter Look-up List Only
Gold		Tongling Nonferrous Metals Group Co., Ltd.		CHINA		On Smelter Look-up List Only
Gold		Value Trading		BELGIUM		On Smelter Look-up List Only
Gold		Yunnan Copper Industry Co., Ltd.		CHINA		On Smelter Look-up List Only
Tantalum		AMG Brasil		BRAZIL		Conformant
Tantalum		Changsha South Tantalum Niobium Co., Ltd.		CHINA		Conformant
Tantalum		D Block Metals, LLC		UNITED STATES OF AMERICA		Conformant
Tantalum		Exotech Inc.		UNITED STATES OF AMERICA		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 OF AMERICA		Conformant
Tantalum		H.C. Starck Hermsdorf GmbH		GERMANY		Conformant
Tantalum		H.C. Starck Inc.		UNITED STATES OF AMERICA		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 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 de Mexico		MEXICO		Conformant
Tantalum		Metallurgical Products India Pvt., Ltd.		INDIA		Conformant
Tantalum		Mineracao Taboca S.A.		BRAZIL		Conformant
Tantalum		Mitsui Mining and Smelting Co., Ltd.		JAPAN		Conformant
Tantalum		Ningxia Orient Tantalum Industry Co., Ltd.		CHINA		Conformant
Tantalum		NPM Silmet AS		ESTONIA		Conformant
Tantalum		QuantumClean		UNITED STATES OF AMERICA		Conformant
Tantalum		Resind Industria e Comercio Ltda.		BRAZIL		Conformant
Tantalum		RFH Yancheng Jinye New Material Technology Co., Ltd.		CHINA		Conformant
Tantalum		Solikamsk Magnesium Works OAO		RUSSIAN FEDERATION		Conformant
Tantalum		Taki Chemical Co., Ltd.		JAPAN		Conformant
Tantalum		TANIOBIS Co., Ltd.		THAILAND		Conformant
Tantalum		TANIOBIS GmbH		GERMANY		Conformant
Tantalum		TANIOBIS Japan Co., Ltd.		JAPAN		Conformant
Tantalum		TANIOBIS Smelting GmbH & Co. KG		GERMANY		Conformant
Tantalum		Telex Metals		UNITED STATES OF AMERICA		Conformant
Tantalum		Ulba Metallurgical Plant JSC		KAZAKHSTAN		Conformant
Tantalum		XIMEI RESOURCES (GUANGDONG) LIMITED		CHINA		Conformant
Tantalum		XinXing HaoRong Electronic Material Co., Ltd.		CHINA		Conformant
Tantalum		Yanling Jincheng Tantalum & Niobium Co., Ltd.		CHINA		Conformant

Metal		Processor		Country Location		Status
Tin		Alpha		UNITED STATES OF AMERICA		Conformant
Tin		Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.		CHINA		Conformant
Tin		Chifeng Dajingzi Tin Industry Co., Ltd.		CHINA		Conformant
Tin		China Tin Group Co., Ltd.		CHINA		Conformant
Tin		CRM Synergies		SPAIN		Conformant
Tin		Dowa		JAPAN		Conformant
Tin		EM Vinto		BOLIVIA (PLURINATIONAL STATE OF)		Conformant
Tin		Estanho de Rondonia S.A.		BRAZIL		Conformant
Tin		Fabrica Auricchio Industria e Comercio Ltda.		BRAZIL		Conformant
Tin		Fenix Metals		POLAND		Conformant
Tin		Gejiu Non-Ferrous Metal Processing Co., Ltd.		CHINA		Conformant
Tin		Gejiu Zili Mining And Metallurgy Co., Ltd.		CHINA		Conformant
Tin		Guangdong Hanhe Non-Ferrous Metal Co., Ltd.		CHINA		Conformant
Tin		HuiChang Hill Tin Industry Co., Ltd.		CHINA		Conformant
Tin		Jiangxi New Nanshan Technology Ltd.		CHINA		Conformant
Tin		Luna Smelter, Ltd.		RWANDA		Conformant
Tin		Ma’anshan Weitai Tin Co., 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 OF AMERICA		Conformant
Tin		Metallo Belgium N.V.		BELGIUM		Conformant
Tin		Metallo Spain S.L.U.		SPAIN		Conformant
Tin		Mineracao Taboca S.A.		BRAZIL		Conformant
Tin		Minsur		PERU		Conformant
Tin		Mitsubishi Materials Corporation		JAPAN		Conformant
Tin		Novosibirsk Processing Plant Ltd.		RUSSIAN FEDERATION		Conformant
Tin		O.M. Manufacturing (Thailand) Co., Ltd.		THAILAND		Conformant
Tin		O.M. Manufacturing Philippines, Inc.		PHILIPPINES		Conformant
Tin		Operaciones Metalurgicas S.A.		BOLIVIA (PLURINATIONAL STATE OF)		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 Cipta Persada Mulia		INDONESIA		Conformant
Tin		PT Menara Cipta Mulia		INDONESIA		Conformant
Tin		PT Mitra Stania Prima		INDONESIA		Conformant
Tin		PT Prima Timah Utama		INDONESIA		Conformant
Tin		PT Rajawali Rimba Perkasa		INDONESIA		Conformant
Tin		PT Refined Bangka Tin		INDONESIA		Conformant
Tin		PT Sariwiguna Binasentosa		INDONESIA		Conformant
Tin		PT Timah Tbk Kundur		INDONESIA		Conformant
Tin		PT Timah Tbk Mentok		INDONESIA		Conformant
Tin		Resind Industria e Comercio Ltda.		BRAZIL		Conformant
Tin		Rui Da Hung		TAIWAN, PROVINCE OF CHINA		Conformant
Tin		Soft Metais Ltda.		BRAZIL		Conformant
Tin		Thai Nguyen Mining and Metallurgy Co., Ltd.		VIET NAM		Conformant
Tin		Thaisarco		THAILAND		Conformant
Tin		Tin Smelting Branch of Yunnan Tin Co., Ltd.		CHINA		Conformant
Tin		Tin Technology & Refining		UNITED STATES OF AMERICA		Conformant
Tin		White Solder Metalurgia e Mineracao Ltda.		BRAZIL		Conformant

Metal		Processor		Country Location		Status
Tin		Yunnan Chengfeng Non-ferrous Metals Co., Ltd.		CHINA		Conformant
Tin		CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda		BRAZIL		Active
Tin		PT Bukit Timah		INDONESIA		Active
Tin		PT Masbro Alam Stania		INDONESIA		Active
Tin		PT Mitra Sukses Globalindo		INDONESIA		Active
Tin		PT Sukses Inti Makmur		INDONESIA		Active
Tin		PT Timah Nusantara		INDONESIA		Active
Tin		Super Ligas		BRAZIL		Active
Tin		An Vinh Joint Stock Mineral Processing Company		VIET NAM		On Smelter Look-up List Only
Tin		Dongguan CiEXPO Environmental Engineering Co., Ltd.		CHINA		On Smelter Look-up List Only
Tin		Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company		VIET NAM		On Smelter Look-up List Only
Tin		Gejiu City Fuxiang Industry and Trade Co., Ltd.		CHINA		On Smelter Look-up List Only
Tin		Gejiu Kai Meng Industry and Trade LLC		CHINA		On Smelter Look-up List Only
Tin		Modeltech Sdn Bhd		MALAYSIA		On Smelter Look-up List Only
Tin		Nghe Tinh Non-Ferrous Metals Joint Stock Company		VIET NAM		On Smelter Look-up List Only
Tin		Pongpipat Company Limited		MYANMAR		On Smelter Look-up List Only
Tin		Precious Minerals and Smelting Limited		INDIA		On Smelter Look-up List Only
Tin		PT Panca Mega Persada		INDONESIA		On Smelter Look-up List Only
Tin		PT Tirus Putra Mandiri		INDONESIA		On Smelter Look-up List Only
Tin		PT Tommy Utama		INDONESIA		On Smelter Look-up List Only
Tin		Tuyen Quang Non-Ferrous Metals Joint Stock Company		VIET NAM		On Smelter Look-up List Only
Tin		Yunnan Yunfan Non-ferrous Metals Co., Ltd.		CHINA		On Smelter Look-up List Only
Tungsten		A.L.M.T. Corp.		JAPAN		Conformant
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		China Molybdenum Tungsten Co., Ltd.		CHINA		Conformant
Tungsten		Chongyi Zhangyuan Tungsten Co., Ltd.		CHINA		Conformant
Tungsten		Cronimet Brasil Ltda		BRAZIL		Conformant
Tungsten		Fujian Ganmin RareMetal Co., Ltd.		CHINA		Conformant
Tungsten		Fujian Xinlu Tungsten		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 OF AMERICA		Conformant
Tungsten		Guangdong Xianglu Tungsten Co., Ltd.		CHINA		Conformant
Tungsten		H.C. Starck Tungsten GmbH		GERMANY		Conformant
Tungsten		Hunan Chenzhou Mining Co., Ltd.		CHINA		Conformant

Metal		Processor		Country Location		Status
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		Jingmen Dewei GEM Tungsten Resources Recycling Co., Ltd.		CHINA		Conformant
Tungsten		JSC “Kirovgrad Hard Alloys Plant”		RUSSIAN FEDERATION		Conformant
Tungsten		Kennametal Fallon		UNITED STATES OF AMERICA		Conformant
Tungsten		Kennametal Huntsville		UNITED STATES OF AMERICA		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 High-Tech Materials		VIET NAM		Conformant
Tungsten		Moliren Ltd.		RUSSIAN FEDERATION		Conformant
Tungsten		Niagara Refining LLC		UNITED STATES OF AMERICA		Conformant
Tungsten		Philippine Chuangxin Industrial Co., Inc.		PHILIPPINES		Conformant
Tungsten		TANIOBIS Smelting GmbH & Co. KG		GERMANY		Conformant
Tungsten		Unecha Refractory metals plant		RUSSIAN FEDERATION		Conformant
Tungsten		Wolfram Bergbau und Hutten AG		AUSTRIA		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		Albasteel Industria e Comercio de Ligas Para Fundicao Ltd.		BRAZIL		Active
Tungsten		NPP Tyazhmetprom LLC		RUSSIAN FEDERATION		Active
Tungsten		OOO “Technolom” 1		RUSSIAN FEDERATION		Active
Tungsten		OOO “Technolom” 2		RUSSIAN FEDERATION		Active
Tungsten		Artek LLC		RUSSIAN FEDERATION		On Smelter Look-up List Only
Tungsten		Jiangxi Minmetals Gao’an Non-ferrous Metals Co., Ltd.		CHINA		On Smelter Look-up List 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 2021 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 2021 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 March 30, 2022.

 

(c)

“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 2021 and may not continue to be Conformant for any future period.

 

(d)

“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.

 

(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 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, Armenia, Australia, Azerbaijan, Benin, Bolivia, Botswana, Bulgaria, Brazil, Burkina Faso, Canada, Chile, China, Colombia, Costa Rica, Cote d’Ivoire, Cuba, Cyprus, Dominican Republic, Ecuador, Egypt, Eritrea, Ethiopia, Fiji, Finland, French Guiana, Georgia, Ghana, Guatemala, Guinea, Guyana, Honduras, India, Indonesia, Ivory Coast, Japan, Kenya, Kazakhstan, Kyrgyzstan, Laos, Liberia, Lebanon, Malaysia, Mali, Mauritania, Mexico, Mongolia, Montenegro, Morocco, Namibia, Netherlands, New Zealand, Nicaragua, Niger, Oman, Papua New Guinea, Peru, Philippines, Russian Federation, Saudi Arabia, Senegal, Serbia, Singapore, Slovakia, Solomon Islands, Spain, Sudan, Suriname, Swaziland, Sweden, Tajikistan, Togo, Tunisia, Turkey, United Arab Emirates, United States of America, Uruguay, Uzbekistan, Venezuela, Vietnam, 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, India, Madagascar, Malaysia, Mozambique, Namibia, Nigeria, Russian Federation, Sierra Leone, Spain, Thailand, Zimbabwe, and United States of America.

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, Belgium, Bolivia, Brazil, China, Colombia, Indonesia, Laos, Malaysia, Mongolia, Myanmar, Nigeria, Peru, Portugal, Russian Federation, Taiwan, Thailand, United Kingdom of Great Britain and Northern Ireland, United States of America, Venezuela, 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, Malaysia, Mongolia, Myanmar, Nigeria, Peru, Philippines, Portugal, Russian Federation, Spain, 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 2021, we were not able to determine the countries of origin of the 3TG processed by 119 smelters and refiners.