Exhibit 1.01
Conflict Minerals Report
Embecta Corp. has included this Conflict Minerals Report as an exhibit to its Form SD for 2022, 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 26, 2023.
The term “Embecta,” “we,” “us” and “our” refer to Embecta Corp. and its consolidated subsidiaries for or at the end of 2022. 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
Embecta, formerly part of BD (Becton, Dickinson and Company), is one of the largest pure-play diabetes care companies in the world. Empowered by nearly 100 years of innovation, Embecta is singularly focused on improving the lives of people living with diabetes. Embecta is the leading producer of diabetes injection devices, manufacturing around 8 billion annually for an estimated 30 million patients. Through its approximately 2,000 employees around the world, Embecta is working to advance the standard of care in insulin delivery through strong community partnerships, innovative technology and comprehensive care resources. Embecta is subject to the Conflict Minerals Rule because, for 2022, 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.
Reasonable Country of Origin Inquiry; Smelter and Refiner and Country of Origin Information
As required by the Conflict Minerals Rule, for 2022, a “reasonable country of origin inquiry” was conducted. The outreach included 26 suppliers (the “Suppliers”) that were identified through 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 84.5% of Embecta’s in-scope spend responded to Embecta’s reasonable country of origin inquiry.
For 2022, 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. The origin of only a portion (if any) of the necessary Conflict Minerals contained in each of our in-scope products was determined.
| | | | | | | | | | | | | | | | | | | | | | | | | | |
| Covered Country Sourced1 | Non-Covered Countries Only | 100% Recycled or Scrap | Source Country Unknown | Total Smelters |
| RMAP Conformant2 | RMAP Conformant | RMAP Conformant | RMAP Active | Non-Conformant | On Smelter Look-up Tab Only |
| Gold | 6 | 10 | 16 | 63 | 6 | 11 | 64 | 176 |
| Tantalum | 23 | 8 | 2 | 0 | 0 | 0 | 2 | 35 |
| Tin | 7 | 42 | 6 | 0 | 2 | 10 | 8 | 75 |
| Tungsten | 11 | 5 | 4 | 13 | 0 | 4 | 11 | 48 |
| Total | 47 | 65 | 28 | 76 | 8 | 25 | 85 | 334 |
Based on the results of our reasonable country of origin inquiry, due diligence was conducted for 2022. These due diligence efforts are discussed later in this Conflict Minerals Report.
Conclusion Statement
Based on the due diligence, none of the necessary 3TG contained in our in-scope products were determined to directly or indirectly finance or benefit armed groups in the Conflict Affected Region. However, Embecta 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
The 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 the program are discussed below. However, these are not all the elements of the program to ensure that the 3TG contained in our products are responsibly sourced.
Conflict Minerals Team
We have a Conflict Minerals Steering Team (the “Steering Team”) responsible for overseeing compliance. The Steering Team engages with functional leadership around progress and collaborating with necessary third-party resources. The Steering Team consists of representatives from compliance, sustainability, and procurement.
1 Covered Country is the Conflict Affected Region.
2 See Annex for definitions.
Internal and External Communication of Conflict Minerals Program and Training
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.
Embecta utilized a third party who is a member of the Responsible Minerals Initiative (“RMI”) to conduct due diligence.
Data Storage and Retention
We keep business records that relate to our Conflict Minerals program and maintain them for 5 years.
Contractual Compliance Requirements
Embecta’s Expectations for Suppliers, which contains our supplier compliance requirements relating to many different subject areas, requires suppliers to provide information to support our compliance efforts under the Conflict Minerals Rule.
Grievance Mechanisms
We have grievance mechanisms for employees, suppliers, and other interested parties to report alleged violations related to Conflict Minerals and other related policies and we publicly communicate our grievance mechanisms. Any grievances received are communicated to the 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 1-833-600-1032. Under our internal procedures, all such calls will be investigated.
Collection, Assessment, and Internal Reporting of Supply Chain Information
Suppliers that Embecta 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. Requests were sent to 26 Suppliers to provide us with a completed CMRT. A follow-up by email or phone was sent to the Suppliers that did not provide a response within a specified time frame. If the Supplier still did not respond to the 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 a Supplier Response Analysis process. The completed responses received from the Suppliers was reviewed against “red flags” criteria and for errors and inaccuracies. Additionally, submitted CMRTs were reviewed for certain errors and inaccuracies and a follow-up with these Suppliers was conducted as well.
Smelters and refiners identified to us by the Suppliers were reviewed 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, that information was also reviewed against the lists of conformant and active (or the equivalent) smelters and refiners published by the RMI as of March 31, 2023. To the extent that a smelter or refiner identified by a Supplier was not listed as conformant or the equivalent by the RMI, publicly available information was consulted 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, the risk of adverse impacts was assessed. The findings of the supply chain risk assessment was reported to the Steering Team.
Any non-compliances with our expectations for Suppliers or findings with higher levels of risk are prioritized for appropriate action, determined on a case-by-case basis. These actions may include additional information gathering and risk assessment, direct engagement with suppliers to agree mitigation plans, or monitoring.
Carry out Independent Third-party Audit of Supply Chain Due Diligence at Identified Points in the Supply Chain
In connection with due diligence, 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 was utilized.
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 2022 included a range of insulin delivery devices (e.g. syringes and pen-needles). 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 2022, 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 was undeterminable. 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.
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 the 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 2022.
| | | | | | | | | | | |
| Metal | Processor | Country of location | Status |
| Gold | Abington Reldan Metals, LLC | UNITED STATES OF AMERICA | 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 | Chimet S.p.A. | ITALY | Conformant |
| Gold | Chugai Mining | JAPAN | 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 by Gold Colombia | COLOMBIA | 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 | Kc | 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 | Materion | UNITED STATES OF AMERICA | Conformant |
| Gold | Matsuda Sangyo Co., Ltd. | JAPAN | Conformant |
| Gold | Metal Concentrators SA (Pty) Ltd. | SOUTH AFRICA | 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 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 | MKS PAMP SA | SWITZERLAND | 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 | 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 | SAFINA A.S. | CZECHIA | Conformant |
| Gold | Sancus ZFS (L’Orfebre, SA) | COLOMBIA | 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 | 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 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 |
| Gold | C.I Metales Procesados Industriales SAS | COLOMBIA | Active |
| Gold | GCC Gujrat Gold Centre Pvt. Ltd. | INDIA | Active |
| Gold | GGC Gujrat Gold Centre Pvt. Ltd. | INDIA | Active |
| Gold | WEEEREFINING | FRANCE | Active |
| Gold | 8853 S.p.A. | ITALY | On Smelter Look-up List Only |
| Gold | ABC Refinery Pty Ltd. | AUSTRALIA | On Smelter Look-up List Only |
| Gold | African Gold Refinery | UGANDA | On Smelter Look-up List Only |
| Gold | Albino Mountinho Lda. | PORTUGAL | 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 | Cendres + Metaux S.A. | SWITZERLAND | 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 | Dongwu Gold Group | CHINA | 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 |
| 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 | Marsam Metals | BRAZIL | 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 | Safimet S.p.A | ITALY | On Smelter Look-up List Only |
| Gold | Sai Refinery | INDIA | On Smelter Look-up List Only |
| Gold | Samduck Precious Metals | KOREA, REPUBLIC OF | On Smelter Look-up List Only |
| Gold | Samwon Metals Corp. | KOREA, REPUBLIC OF | 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 CuiLu Gold Co., Ltd. | CHINA | On Smelter Look-up List Only |
| Gold | Shenzhen Zhonghenglong Real Industry Co., Ltd. | CHINA | On Smelter Look-up List Only |
| Gold | Shirpur Gold Refinery Ltd. | INDIA | On Smelter Look-up List Only |
| Gold | Singway Technology Co., Ltd. | TAIWAN, PROVINCE OF CHINA | 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 | Super Dragon Technology Co., Ltd. | TAIWAN, PROVINCE OF CHINA | On Smelter Look-up List Only |
| Gold | Tongling Nonferrous Metals Group Co., Ltd. | CHINA | On Smelter Look-up List Only |
| Gold | Umicore Precious Metals Thailand | THAILAND | 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 | D Block Metals, LLC | 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 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 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 | Materion Newton Inc. | UNITED STATES OF AMERICA | 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 | 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 | Yancheng Jinye New Material Technology Co., Ltd. | CHINA | Conformant |
| Tantalum | Yanling Jincheng Tantalum & Niobium Co., Ltd. | CHINA | Conformant |
| Tantalum | 5D Production OU | ESTONIA | On Smelter Look-up List Only |
| Tantalum | Solikamsk Magnesium Works OAO | RUSSIAN FEDERATION | On Smelter Look-up List Only |
| 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 Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda | BRAZIL | Conformant |
| Tin | CRM Synergies | SPAIN | Conformant |
| Tin | Dowa | JAPAN | Conformant |
| Tin | DS Myanmar | MYANMAR | 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 | Guangdong Hanhe Non-Ferrous Metal Co., Ltd. | CHINA | Conformant |
| Tin | Jiangxi New Nanshan Technology Ltd. | CHINA | Conformant |
| Tin | Luna Smelter, Ltd. | RWANDA | Conformant |
| Tin | Magnu's Minerais Metais e Ligas Ltda. | BRAZIL | Conformant |
| Tin | Malaysia Smelting Corporation (MSC) | MALAYSIA | 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 | 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 Bangka Serumpun | INDONESIA | Conformant |
| Tin | PT Bukit Timah | 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 Mitra Sukses Globalindo | INDONESIA | Conformant |
| Tin | PT Premium Tin Indonesia | INDONESIA | Conformant |
| Tin | PT Prima Timah Utama | INDONESIA | Conformant |
| Tin | PT Putera Sarana Shakti (PT PSS) | INDONESIA | Conformant |
| Tin | PT Rajawali Rimba Perkasa | INDONESIA | Conformant |
| Tin | PT Refined Bangka Tin | INDONESIA | Conformant |
| Tin | PT Sariwiguna Binasentosa | INDONESIA | Conformant |
| Tin | PT Sukses Inti Makmur | INDONESIA | Conformant |
| Tin | PT Timah Tbk Kundur | INDONESIA | Conformant |
| Tin | PT Timah Tbk Mentok | INDONESIA | Conformant |
| Tin | PT Tommy Utama | INDONESIA | Conformant |
| Tin | Resind Industria e Comercio Ltda. | BRAZIL | Conformant |
| Tin | Rui Da Hung | TAIWAN, PROVINCE OF CHINA | 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 |
| Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | CHINA | Conformant |
| Tin | PT Rajehan Ariq | INDONESIA | Conformant |
| 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 | PT Tinindo Inter Nusa | INDONESIA | On Smelter Look-Up List |
| Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | CHINA | On Smelter Look-Up List |
| 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 | Gejiu Zili Mining And Metallurgy Co., Ltd. | CHINA | On Smelter Look-up List Only |
| Tin | Melt Metais e Ligas S.A. | BRAZIL | 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 | Novosibirsk Tin Combine | RUSSIAN FEDERATION | 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 | 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 | Asia Tungsten Products Vietnam Ltd. | VIET NAM | 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 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 LLC | UNITED STATES OF AMERICA | Conformant |
| Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | CHINA | Conformant |
| Tungsten | H.C. Starck Tungsten GmbH | GERMANY | Conformant |
| Tungsten | Hubei Green Tungsten Co., Ltd. | CHINA | Conformant |
| Tungsten | Hunan Chenzhou Mining Co., Ltd. | CHINA | Conformant |
| Tungsten | Hunan Shizhuyuan Nonferrous Metals Co., Ltd. Chenzhou Tungsten Products Branch | CHINA | 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 OF AMERICA | Conformant |
| Tungsten | Kennametal Huntsville | UNITED STATES OF AMERICA | 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 | 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 | Wolfram Bergbau und Hutten AG | AUSTRIA | Conformant |
| Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | CHINA | Conformant |
| Tungsten | Xiamen Tungsten Co., Ltd. | CHINA | Conformant |
| Tungsten | ACL Metais Eireli | BRAZIL | On Smelter Look-up List Only |
| Tungsten | Albasteel Industria e Comercio de Ligas Para Fundicao Ltd. | BRAZIL | On Smelter Look-up List Only |
| Tungsten | Artek LLC | RUSSIAN FEDERATION | On Smelter Look-up List Only |
| Tungsten | HANNAE FOR T Co., Ltd. | KOREA, REPUBLIC OF | On Smelter Look-up List Only |
| Tungsten | Hunan Jintai New Material Co., Ltd. | CHINA | On Smelter Look-up List Only |
| Tungsten | Hydrometallurg, JSC | 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 |
| Tungsten | JSC "Kirovgrad Hard Alloys Plant" | RUSSIAN FEDERATION | On Smelter Look-up List Only |
| Tungsten | Moliren Ltd. | RUSSIAN FEDERATION | On Smelter Look-up List Only |
| Tungsten | NPP Tyazhmetprom LLC | RUSSIAN FEDERATION | On Smelter Look-up List Only |
| Tungsten | OOO “Technolom” 1 | RUSSIAN FEDERATION | On Smelter Look-up List Only |
| Tungsten | OOO “Technolom” 2 | RUSSIAN FEDERATION | On Smelter Look-up List Only |
| Tungsten | Unecha Refractory metals plant | RUSSIAN FEDERATION | On Smelter Look-up List Only |
| Tungsten | LLC Vostok | RUSSIAN FEDERATION | On Smelter Look-Up List |
| Tungsten | YUDU ANSHENG TUNGSTEN 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 2022 supply chain. Some of the Suppliers may have reported 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 2022 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 inquiries.
(b) All information in the table is as of May 4, 2023.
(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 2022 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. The specific countries of origin of the 3TG in our products was undeterminable. 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 Refiners Source:
Countries that are not identified as conflict regions or plausible areas of smuggling or export of from these regions of 3TG or which are identified as low risk: Argentina, Australia, Azerbaijan, Benin, Bolivia (Plurinational State of), Botswana, Brazil, Burkina Faso, Cambodia, Canada, Chile, China, Colombia, Côte d'Ivoire, Dominican Republic, Ecuador, Egypt, Fiji, Finland, French Guiana, Georgia, Ghana, Guatemala, Guinea, Guyana, Honduras, India, Indonesia, Ivory Coast (Côte d'Ivoire), Japan, Kazakhstan, Kenya, Korea (Republic of), Kyrgyzstan, Lao People's Democratic Republic, Liberia, Malaysia, Mali, Mauritania, Mexico, Mongolia, Morocco, Mozambique, Namibia, New Zealand, Nicaragua, Niger, Oman, Panama, Papua New Guinea, Peru, Philippines, Russian Federation, Saudi Arabia, Senegal, Serbia, South Africa, Spain, Sudan, Suriname, Sweden, Turkey, United States of America, Uzbekistan.
Countries identified by smelters and refiners as Conflict-Affected and High-Risk: Benin, Bolivia (Plurinational State of), Brazil, Colombia, Democratic Republic of the Congo, Ecuador, Eritrea, Ghana, Guinea, Guyana, Mexico, Mozambique, Nicaragua, Niger, Peru, Russian Federation, South Africa, Swaziland, Tanzania, Zambia, Zimbabwe.
Known Countries from which Conformant Tantalum Smelters Source:
Countries identified by smelters and refiners as low risk: Australia, Brazil, China, Ethiopia, Mozambique, Nigeria, Sierra Leone, Spain, Thailand, Zimbabwe.
Countries identified by smelters and refiners as high risk: Brazil, Burundi, Democratic Republic of the Congo, Ethiopia, Nigeria, Rwanda.
The Conflict Affected Region: Burundi, Democratic Republic of the Congo, 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 or which are identified as low risk: Australia, Bolivia (Plurinational State of), Brazil, China, Chinese Taipei, Colombia, France, Laos, Namibia,
Peru, Portugal, Indonesia, Malaysia, Myanmar, Russian Federation, United Kingdom of Great Britain and Northern Ireland, Venezuela, Vietnam.
Countries identified by smelters and refiners as high risk: Bolivia, Brazil, Burundi, Democratic Republic of the Congo, Indonesia, Myanmar, Nigeria, Rwanda, Tanzania, Thailand.
The Conflict Affected Region: Burundi, Democratic Republic of the Congo, Rwanda, Tanzania.
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, Kyrgyzstan, Malaysia, Malaysia, Mexico, Mongolia, Myanmar, Nigeria, Peru, Portugal, Russian Federation, Spain, Thailand, United Kingdom of Great Britain and Northern Ireland, United States of America, Vietnam, Zimbabwe.
Countries identified by smelters and refiners as high risk: Brazil, Burundi, Rwanda.
The Conflict Affected Region: Burundi, Democratic Republic of the Congo, Rwanda, Uganda.
In addition, some of the listed Conformant smelters and refiners may have processed 3TG originating from recycled or scrap sources.
For 2022, the countries of origin of the 3TG processed by 194 smelters and refiners was undeterminable.
