EX-1.01 2 a-ex101_16.htm EX-1.01 a-ex101_16.htm

 

Exhibit 1.01

AGILENT TECHNOLOGIES, INC.

Conflict Minerals Report

For the Year Ended December 31, 2019

 

This Conflict Minerals Report (the “Report”) of Agilent Technologies, Inc. (“Agilent,” the “Company,” “we,” “us,” or “our”) is provided in accordance with Rule 13p-1 under the Securities Exchange Act of 1934 (the “Rule”) for the reporting period from January 1, 2019 to December 31, 2019 (“Reporting Year”). The report covers all Agilent majority-owned subsidiaries and variable interest entities that are subject to the Rule.  

 

The Rule imposes certain due diligence and reporting obligations on US Securities and Exchange Commission (“SEC”) registrants whose manufactured products (including products contracted to be made for each registrant) contain “conflict minerals” necessary to the functionality or production of those products.  The Rule defines “conflict minerals” to include cassiterite, columbite-tantalite, gold, wolframite and their derivatives limited to tin, tantalum, tungsten, and gold (collectively referred to as “3TGs”) regardless of their country of origin or whether they are used to finance or benefit armed groups.

 

Company Overview

Agilent is a leader in life sciences, diagnostics and applied chemical markets. Our company provides laboratories worldwide with instruments, services, consumables, applications and expertise.

 

Our products that could contain conflict minerals are: liquid chromatography systems; liquid chromatography mass spectrometry systems; gas chromatography systems; gas chromatography mass spectrometry systems; inductively coupled plasma mass spectrometry instruments; atomic absorption instruments; microwave plasma-atomic emission spectrometry instruments; inductively coupled plasma optical emission spectrometry instruments; bioanalytical Instruments, microarray equipment, raman spectrometers and auto stainer, laboratory automation and robotic systems; vacuum pumps and measurement technologies.

 

Summary of Agilent’s Commitment to Responsible Sourcing

Agilent’s mission is to advance the quality of life and improve the human condition. To support our mission, we are committed to sourcing components and materials from organizations that share our values around human rights, ethics and environmental responsibility. Conflict Minerals is one of our 5 Key Policies. Agilent’s Conflict Minerals Policy is to support the goal of ending violence, human rights violations and environmental devastation in the Covered Countries. To ensure that these messages are easily accessible, Agilent maintains its Corporate Social Responsibility Report for 2018, Powered by Purpose, on its website.

 

Agilent’s commitment to responsible sourcing of Conflict Minerals will be met when all the 3TGs used in our products are sourced from smelters or refiners that have been confirmed as conformant to or active in a third-party audit of their management systems and sourcing practices approved by the Responsible Minerals Initiative (RMI).

 

Applicability

Agilent conducts an annual analysis of procurement and manufacturing activities to identify product categories likely to include products that contain conflict minerals.

 


 

We conducted reasonable due diligence regarding the source and chain of custody of the conflict minerals in our products. Based on our efforts, we have reason to believe that some of the conflict minerals present in our supply chain may have originated in the Democratic Republic of the Congo (“DRC”) or adjoining countries (collectively the “Covered Countries”). We are unable to determine with assurance the origin of the conflict minerals in our products at this time and therefore cannot exclude the possibility that some conflict minerals may have originated in the DRC or Covered Countries.  For this reason, we are required under the Rule to submit this Conflict Minerals Report (CMR) as an exhibit to Agilent’s Form SD.

 

Reasonable Country Of Origin Inquiry (RCOI)

Agilent has instituted Conflict Minerals reporting requirements as part of our suppliers’ contractual obligations through the requirement that they abide by the directives in Agilent’s Supplier Code of Conduct.  We expect that these obligations will cascade through our supply chain and that our direct suppliers will extend the same obligations on their suppliers to survey their suppliers.

 

Agilent typically does not purchase Conflict Minerals directly from mines, smelters or refiners.  Agilent’s supply chain is extensive and complex with many layers of suppliers positioned between us and 3TG raw material smelters or refiners (also known as “SORs.”).

 

For reporting purposes, we require our relevant direct suppliers to complete the Conflict Minerals Reporting Template (CMRT) designed by the RMI.  Suppliers are instructed to upload their CMRT to a specific website but if they are unable to do so, they are then requested to submit their completed CMRT to us via email.

 

Design of Due Diligence

Our Due Diligence measures have been designed to conform in all material respects, with the 5-step framework described in the Organisation for Economic Co-operation and Development Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, Third Edition, 2016 (“OECD Guidance”) and the related supplements for 3TG.

 

The OECD Guidance provides a framework for detailed due diligence to support responsible global supply chain management of minerals and is currently the only internationally recognized framework for raw material due diligence.

 

The OECD Guidance (including its Supplements) applies to each of the 3TGs and to Agilent as a “downstream company.”  

 

For the reporting year of 2019, we expanded the number of suppliers surveyed to 200 compared to 139 in 2018.  We received responses from 89% of the in-scope suppliers surveyed.  We continue to work with our suppliers to improve the quality and completeness of their reports, and we provide feedback to suppliers if their reports are incomplete or inconsistent.

 

All RMI smelter information used in this report was downloaded from the RMI website on December 6, 2019.

 

Due Diligence Framework

In accordance with the Rule, Agilent carried out a Reasonable Country of Origin Inquiry (RCOI) and Due Diligence process to determine the origin of 3TG metals used in its in-scope products.

Agilent has taken the following measures to exercise due diligence on the source and chain of custody of Conflict Minerals in its products for this reporting period.

 

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OECD Step 1: Establish Strong Company Management Systems

Agilent has implemented programs that are in conformance with Step 1 of the OECD Framework.

 

Responsible Sourcing Policies

 

Established and communicated Agilent’s Conflict Minerals Policy that applies to all direct materials suppliers.

 

Established and communicated Agilent’s Supplier Code of Conduct that includes the requirement to maintain compliance with Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act and applies to all suppliers.

 

Established and communicated Agilent’s Environmental and Social Responsibility Expectations to all suppliers.

 

Structured Internal Management to Support Supply Chain Due Diligence

 

Established a cross-functional working level team to oversee Agilent’s Conflict Minerals Program.  The working level team includes members of the Legal, Enterprise Regulatory Affairs and Supply Chain functions.

 

The Vice President of Enterprise Regulatory Affairs is accountable for the implementation of the policy.

 

Agilent’s General Counsel is available to support the company’s Conflict Minerals Program.

 

Executive management is briefed on a quarterly basis about the results of Agilent’s due diligence efforts before reviewing potential opportunities to improve it and to mitigate risk.

 

Established a System of Controls and Transparency Over the Mineral Supply Chain

 

Agilent has established a process to identify in-scope suppliers.

 

Agilent has established a supplier-compliance process for its supply chain.  As part of this global process, suppliers receive a written communication regarding our supplier compliance requirements (including those relating to conflict minerals).  

 

Agilent has put in place the necessary controls to promote compliance with the SEC Rule.  Controls include, but are not limited to, our Standards of Business Conduct, which outlines expected behaviors for all Agilent employees and contractors and the Agilent Supplier Environmental and Social Responsibility Code of Conduct.

 

Agilent requires direct materials suppliers to report on their source and use of conflict minerals using the RMI Conflict Minerals Reporting Template (CMRT).

 

Strengthened Engagement with Suppliers

 

The tone of all communications with our suppliers is positive and supportive reflecting Agilent’s values.

 

Agilent’s Conflict Minerals Program Manager has an open-door policy for all suppliers and offered assistance to suppliers who lacked the knowledge necessary to provide Agilent with a correctly researched and generated CMRT.

 

Agilent’s Commodity Managers responsible for purchasing products from our suppliers worked directly with their accounts that did not understand the Conflict Minerals Rule and/or its importance to Agilent.  The Commodity Managers support was critical for strengthening Agilent’s relationship with its suppliers.

 

Provided a Company-level Grievance Mechanism

 

Agilent is committed to providing an anonymous grievance reporting mechanism for our employees, suppliers and other stakeholders who may be impacted by our operations.

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We have put in place multiple mechanisms whereby employees and suppliers can report violations of Agilent’s policies, including an anonymous reporting hotline

 

 

OECD Step 2: Identify and Assess Risks in the Supply Chain

Agilent is a member of the RMI.  We use the RMI List of All Operational 3TG Smelters, the RMI Smelter Revision History List, The RMI List of Conformant Smelters and the RMI List of Active Smelters as reference authorities for identifying risk in our supply chain. These online tools are critical inputs to help us identify risk in our supply chain.

 

We rely on the RMI to determine if smelters and refiners reported by our suppliers are Conformant with Responsible Minerals Assurance Program (RMAP) Conflict-Free management sourcing standards. These audit standards have been developed by the RMI to assess if smelters or refiners have management systems in place to support responsible sourcing practices.

 

We took the following steps to identify and assess supplier conflict mineral sourcing risk during this reporting year:

Based upon the Rule and SEC guidance, we generated a list of 200 potential in-scope suppliers that represented over 85% of Agilent’s total purchasing spend.

From mid-September 2019 through mid-November 2019 we sent emails to these in-scope suppliers explaining the importance to Agilent of correctly surveying our supplier base and requesting that they provide us with their accurately prepared CMRT.

Our supplier survey followed OECD Guidance as tailored for Agilent’s role as a downstream company. The CMRT form includes questions regarding the supplier’s raw material due diligence policies and procedures, its practices for engaging with its upstream suppliers, SORs from which its 3TGs were sourced, and the origins of 3TGs contained in its acquired products.

We reviewed all supplier CMRT submissions to validate their accuracy and to identify red flags or errors. If issues were identified, a follow-up due diligence email was sent to the supplier requesting assistance on understanding the problem.

We obtained survey responses from 178 suppliers out of the 200 we originally identified – an 89% response rate.

 

We compared the smelters listed by our Suppliers’ in their CMRT Smelter List with the RMI’s List of All Operational 3TG Smelters as of December 6, 2019, maintained on-line by the RMI. CMRTs with smelters or refiners found to not be included in the RMI All Operational 3TG Smelters list were returned to the supplier for corrections.

 

Agilent accepted 60 supplier CMRTs that were used as the basis for generating Agilent’s updated CMRT Version 5.12. Ninety-one percent of responses received provided data at a company or division level. In some cases, based on CMRT responses, we were unable to determine the specific smelters or refiners used for components, material or assemblies supplied to us. Therefore, we are unable to determine whether the conflict minerals reportedly in use by the suppliers were contained in components, parts or assemblies supplied to us.

Areas that were at risk were the following:

 

Suppliers that did not respond to our request for their CMRT.

 

Suppliers that did not submit a CMRT but instead provided a declaration letter stating that their products were conflict free.

 

CMRTs that were out of date as indicated by an effective date older than 15 months.

 

Suppliers who provided inconsistent answers.

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Suppliers who declared that there were 3TGs in their products but did not provide a smelter list or provided an incomplete list.

A due diligence letter was sent to these suppliers requesting them to remediate the problems and re-submit an updated CMRT. We continue to work with our suppliers and any CMRT files received after January 1, 2020, will be included in our 2020 Reporting Year.

 

Annex 1 to this report contains a list of confirmed smelters and refiners who were included in the reports submitted by our suppliers.

 

Step 3 Design and Implement a Strategy to Respond to Identified Risks

Measures taken by Agilent to design and implement a strategy to respond to identified risks as part the company’s due diligence process include:

Notifying Agilent’s Global Supply Chain management about identified risks;

Describing to individual Category Managers why the supplier(s) they are responsible for have been identified as conflict minerals risks and explaining to them the actions the supplier can take to remove the risk;

Reviewing supplier responses to the CMRT and following-up with suppliers to request clarification or more complete responses, where necessary;

Mapping suppliers against the smelters that they reported in their CMRT to identify what suppliers must remove non-conformant smelters from our supply chain;

Participating in RMI events to stay informed of macro Conflict Minerals issues and developments.  Agilent is a member of the RMI.

 

Step 4: Carry Out Independent Third-Party Audit of Smelter(S) and Refiner(S) Due Diligence Practices

We rely on the RMI to determine if smelters and refiners reported by our suppliers are Conformant with the RMI RMAP responsible conflict-free management sourcing standards.

 

Step 5: Report Annually on Supply Chain Due Diligence

Agilent complies with this step through this report filing and its related Form SD to the SEC and making it publicly available on the SEC website.

 

Facilities Used to Process the Conflict Minerals in Products, if Known

We have surveyed our in-scope suppliers in an effort to identify the facilities used to process the 3TG contained in our products. The majority of our 60 in-scope suppliers, 91%, provided a company-level or user-defined CMRT that does not identify the smelters or refiners used for a particular part, component, or business customer. In cases where suppliers provided a part-level report, the identification of the smelters and refiners that support our specific products could not be determined due to lower-tier suppliers reporting on a company basis. Therefore, we are unable to identify with certainty the specific facilities used to process the 3TGs in our products and whether the 3TGs in our products was obtained from recycled or scrap sources.

 

By comparing our in-scope suppliers’ smelters and refiners lists to the RMI Smelter Database, 296 RMI validated 3TG smelters and refiners were reported by our in-scope suppliers as shown in Annex 1. Overall, 80% of the 296 smelters and refiners are considered “responsible sources of 3TG.” This was an improvement from 2018 in which 79% were considered “responsible sources of 3TG.”

 

The graphs below depict, by mineral, the number of smelters and refiners that are participating (conformant and active) and the number of those that are not participating in the RMAP audit protocol.

 

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Country of Origin of the Conflict Minerals in Products, if Known

We reviewed the RMI RCOI data against the 296 SORs reported in our supply chain to determine the Country of Origin of the Conflict Minerals.

Although the data provided by suppliers continues to improve with additional smelter details being included in suppliers’ responses, there are still gaps in the information provided where sub-tier suppliers have failed to provide details for all components. Responses from suppliers showed that there are still significant challenges relating to information about the country of origin of 3TG metals, and the smelters and refiners from which 3TG metals were sourced, as this information is often unavailable, incomplete or potentially erroneous. Agilent will continue engaging with suppliers to improve the completeness and quality of information provided.

We believe that our inquiries and investigations represent a reasonable effort to determine the mines or locations of origin of the conflict minerals in our products, including:

(1) Seeking information about conflict minerals smelters and refiners in our supply chain through requesting that our suppliers complete the CMRT; and

(2) Verifying those smelters and refiners with the RMI database.

 

Based on information provided by RMI and our suppliers, Annex 2 contains the Country of Origin list for the RMI conformant smelters and refiners in our supply chain.

 

Continuous Improvement Efforts to Mitigate Risk

To enhance the due diligence process and further mitigate any risk that conflict minerals used in the company’s products may benefit armed groups, Agilent is taking the following steps:

 

engaging with suppliers (for example, through written communication, meetings and presentations) with the aim of continuously improving the completeness and quality of information provided,

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particularly in relation to the identification of smelters and refiners and the country of origin of 3TG metals, and in providing CMRT information on smelters and refiners at product level;

improve CMRT response completeness from in-scope direct suppliers through Agilent’s review and feedback to those suppliers using the most current SOR information;

remain aware of developments in Conflict Minerals due diligence processes by participation in the RMI and apply that knowledge to Agilent’s risk assessment and mitigation actions;

engaging with suppliers to encourage them to put a conflict minerals policy in place or to improve their existing conflict minerals policies;

continuing to participate in industry efforts to address issues related to conflict minerals in supply chains;

increasing the number of smelters certified as conflict-free and sourcing from the covered countries;

continuing to allow verified conflict-free material from the covered countries to enter our supply chain.

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Annex 1: Smelters and Refiners Reported by Suppliers in Agilent’s Supply Chain

Metal

Smelter Name

Country Location

Conformance Status

Gold

8853 S.p.A.

ITALY

CONFORMANT

Gold

Abington Reldan Metals, LLC

UNITED STATES OF AMERICA

NOT CONFORMANT

Gold

Advanced Chemical Company

UNITED STATES OF AMERICA

CONFORMANT

Gold

African Gold Refinery

UGANDA

NOT CONFORMANT

Gold

Aida Chemical Industries Co., Ltd.

JAPAN

CONFORMANT

Gold

Al Etihad Gold Refinery DMCC

UNITED ARAB EMIRATES

NOT CONFORMANT

Gold

Allgemeine Gold-und Silberscheideanstalt A.G.

GERMANY

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

Atasay Kuyumculuk Sanayi Ve Ticaret A.S.

TURKEY

NOT CONFORMANT

Gold

AU Traders and Refiners

SOUTH AFRICA

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

Caridad

MEXICO

NOT CONFORMANT

Gold

CCR Refinery - Glencore Canada Corporation

CANADA

CONFORMANT

Gold

Cendres + Metaux S.A.

SWITZERLAND

CONFORMANT

Gold

CGR Metalloys Pvt Ltd.

INDIA

NOT CONFORMANT

Gold

Chimet S.p.A.

ITALY

CONFORMANT

Gold

Chugai Mining

JAPAN

CONFORMANT

Gold

Daye Non-Ferrous Metals Mining Ltd.

CHINA

NOT CONFORMANT

Gold

Degussa Sonne / Mond Goldhandel GmbH

GERMANY

NOT CONFORMANT

Gold

Dijllah Gold Refinery FZC

UNITED ARAB EMIRATES

NOT CONFORMANT

Gold

DODUCO Contacts and Refining GmbH

GERMANY

CONFORMANT

Gold

Dowa

JAPAN

CONFORMANT

Gold

DS PRETECH Co., Ltd.

KOREA, REPUBLIC OF

CONFORMANT

Gold

DSC (Do Sung Corporation)

KOREA, REPUBLIC OF

CONFORMANT

Gold

Eco-System Recycling Co., Ltd.

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

Fidelity Printers and Refiners Ltd.

ZIMBABWE

NOT CONFORMANT

Gold

Fujairah Gold FZC

UNITED ARAB EMIRATES

NOT CONFORMANT

Gold

GCC Gujrat Gold Centre Pvt. Ltd.

INDIA

NOT CONFORMANT

Gold

Geib Refining Corporation

UNITED STATES OF AMERICA

CONFORMANT

Gold

Gold Refinery of Zijin Mining Group Co., Ltd.

CHINA

CONFORMANT

Gold

Great Wall Precious Metals Co., Ltd. of CBPM

CHINA

NOT CONFORMANT

Gold

Guangdong Jinding Gold Limited

CHINA

NOT CONFORMANT

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Metal

Smelter Name

Country Location

Conformance Status

Gold

Guoda Safina High-Tech Environmental Refinery Co., Ltd.

CHINA

NOT CONFORMANT

Gold

Hangzhou Fuchunjiang Smelting Co., Ltd.

CHINA

NOT 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

Hunan Chenzhou Mining Co., Ltd.

CHINA

NOT CONFORMANT

Gold

Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd.

CHINA

NOT CONFORMANT

Gold

HwaSeong CJ CO., LTD.

KOREA, REPUBLIC OF

NOT CONFORMANT

Gold

Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.

CHINA

CONFORMANT

Gold

International Precious Metal Refiners

UNITED ARAB EMIRATES

NOT 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

JSC Ekaterinburg Non-Ferrous Metal Processing Plant

RUSSIAN FEDERATION

NOT CONFORMANT

Gold

JSC Uralelectromed

RUSSIAN FEDERATION

CONFORMANT

Gold

JX Nippon Mining & Metals Co., Ltd.

JAPAN

CONFORMANT

Gold

Kaloti Precious Metals

UNITED ARAB EMIRATES

NOT CONFORMANT

Gold

Kazakhmys Smelting LLC

KAZAKHSTAN

NOT 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

Kyrgyzaltyn JSC

KYRGYZSTAN

CONFORMANT

Gold

Kyshtym Copper-Electrolytic Plant ZAO

RUSSIAN FEDERATION

NOT CONFORMANT

Gold

L'azurde Company For Jewelry

SAUDI ARABIA

NOT CONFORMANT

Gold

Lingbao Gold Co., Ltd.

CHINA

NOT CONFORMANT

Gold

Lingbao Jinyuan Tonghui Refinery Co., Ltd.

CHINA

NOT CONFORMANT

Gold

L'Orfebre S.A.

ANDORRA

CONFORMANT

Gold

LS-NIKKO Copper Inc.

KOREA, REPUBLIC OF

CONFORMANT

Gold

Luoyang Zijin Yinhui Gold Refinery Co., Ltd.

CHINA

NOT CONFORMANT

Gold

Marsam Metals

BRAZIL

CONFORMANT

Gold

Materion

UNITED STATES OF AMERICA

CONFORMANT

Gold

Matsuda Sangyo Co., Ltd.

JAPAN

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

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Metal

Smelter Name

Country Location

Conformance Status

Gold

MMTC-PAMP India Pvt., Ltd.

INDIA

CONFORMANT

Gold

Modeltech Sdn Bhd

MALAYSIA

NOT CONFORMANT

Gold

Morris and Watson

NEW ZEALAND

NOT CONFORMANT

Gold

Moscow Special Alloys Processing Plant

RUSSIAN FEDERATION

CONFORMANT

Gold

Nadir Metal Rafineri San. Ve Tic. A.S.

TURKEY

CONFORMANT

Gold

Navoi Mining and Metallurgical Combinat

UZBEKISTAN

NOT CONFORMANT

Gold

NH Recytech Company

KOREA, REPUBLIC OF

NOT 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

OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)

RUSSIAN FEDERATION

CONFORMANT

Gold

OJSC Novosibirsk Refinery

RUSSIAN FEDERATION

CONFORMANT

Gold

PAMP S.A.

SWITZERLAND

CONFORMANT

Gold

Pease & Curren

UNITED STATES OF AMERICA

NOT CONFORMANT

Gold

Penglai Penggang Gold Industry Co., Ltd.

CHINA

NOT 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 Precinox S.A.

SWITZERLAND

CONFORMANT

Gold

QG Refining, LLC

UNITED STATES OF AMERICA

NOT CONFORMANT

Gold

Rand Refinery (Pty) Ltd.

SOUTH AFRICA

CONFORMANT

Gold

Refinery of Seemine Gold Co., Ltd.

CHINA

NOT CONFORMANT

Gold

REMONDIS PMR B.V.

NETHERLANDS

CONFORMANT

Gold

Royal Canadian Mint

CANADA

CONFORMANT

Gold

SAAMP

FRANCE

CONFORMANT

Gold

Sabin Metal Corp.

UNITED STATES OF AMERICA

NOT CONFORMANT

Gold

Safimet S.p.A

ITALY

CONFORMANT

Gold

SAFINA A.S.

CZECHIA

ACTIVE

Gold

Sai Refinery

INDIA

NOT CONFORMANT

Gold

Samduck Precious Metals

KOREA, REPUBLIC OF

CONFORMANT

Gold

Samwon Metals Corp.

KOREA, REPUBLIC OF

NOT CONFORMANT

Gold

SAXONIA Edelmetalle GmbH

GERMANY

CONFORMANT

Gold

SEMPSA Joyeria Plateria S.A.

SPAIN

CONFORMANT

Gold

Shandong Humon Smelting Co., Ltd.

CHINA

NOT CONFORMANT

Gold

Shandong Tiancheng Biological Gold Industrial Co., Ltd.

CHINA

NOT 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, PROVINCE OF CHINA

CONFORMANT

Gold

Sovereign Metals

INDIA

NOT CONFORMANT

Gold

State Research Institute Center for Physical Sciences and Technology

LITHUANIA

NOT CONFORMANT

Gold

Sudan Gold Refinery

SUDAN

NOT CONFORMANT

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Metal

Smelter Name

Country Location

Conformance Status

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

Tongling Nonferrous Metals Group Co., Ltd.

CHINA

NOT CONFORMANT

Gold

Tony Goetz NV

BELGIUM

NOT CONFORMANT

Gold

TOO Tau-Ken-Altyn

KAZAKHSTAN

NOT CONFORMANT

Gold

Torecom

KOREA, REPUBLIC OF

CONFORMANT

Gold

Umicore Brasil Ltda.

BRAZIL

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

Yunnan Copper Industry Co., Ltd.

CHINA

NOT CONFORMANT

Gold

Zhongyuan Gold Smelter of Zhongjin Gold Corporation

CHINA

CONFORMANT

Tantalum

Asaka Riken Co., Ltd.

JAPAN

CONFORMANT

Tantalum

Changsha South Tantalum Niobium Co., Ltd.

CHINA

CONFORMANT

Tantalum

CP Metals Inc.

UNITED STATES OF AMERICA

ACTIVE

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

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 OF AMERICA

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 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

11

 


 

Metal

Smelter Name

Country Location

Conformance Status

Tantalum

KEMET Blue Powder

UNITED STATES OF AMERICA

CONFORMANT

Tantalum

LSM Brasil S.A.

BRAZIL

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

NOT CONFORMANT

Tantalum

Power Resources Ltd.

MACEDONIA, THE FORMER YUGOSLAV REPUBLIC OF

CONFORMANT

Tantalum

QuantumClean

UNITED STATES OF AMERICA

CONFORMANT

Tantalum

Resind Industria e Comercio Ltda.

BRAZIL

CONFORMANT

Tantalum

RFH Tantalum Smeltery Co., Ltd./Yanling Jincheng Tantalum & Niobium Co., Ltd.

CHINA

CONFORMANT

Tantalum

Solikamsk Magnesium Works OAO

RUSSIAN FEDERATION

CONFORMANT

Tantalum

Taki Chemical Co., Ltd.

JAPAN

CONFORMANT

Tantalum

Telex Metals

UNITED STATES OF AMERICA

CONFORMANT

Tantalum

Ulba Metallurgical Plant JSC

KAZAKHSTAN

CONFORMANT

Tantalum

XinXing HaoRong Electronic Material Co., Ltd.

CHINA

CONFORMANT

Tin

Alpha

UNITED STATES OF AMERICA

CONFORMANT

Tin

An Vinh Joint Stock Mineral Processing Company

VIET NAM

NOT 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

Dongguan CiEXPO Environmental Engineering Co., Ltd.

CHINA

ACTIVE

Tin

Dowa

JAPAN

CONFORMANT

Tin

Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company

VIET NAM

NOT CONFORMANT

Tin

EM Vinto

BOLIVIA (PLURINATIONAL STATE OF)

CONFORMANT

Tin

Estanho de Rondonia S.A.

BRAZIL

NOT CONFORMANT

Tin

Fenix Metals

POLAND

CONFORMANT

Tin

Gejiu City Fuxiang Industry and Trade Co., Ltd.”

CHINA

NOT CONFORMANT

Tin

Gejiu Fengming Metallurgy 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

CONFORMANT

Tin

Guangdong Hanhe Non-Ferrous Metal Co., Ltd.

CHINA

CONFORMANT

Tin

Guanyang Guida Nonferrous Metal Smelting Plant

CHINA

CONFORMANT

Tin

HuiChang Hill Tin Industry Co., Ltd.

CHINA

CONFORMANT

Tin

Huichang Jinshunda Tin Co., Ltd.

CHINA

CONFORMANT

Tin

Jiangxi New Nanshan Technology Ltd.

CHINA

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

12

 


 

Metal

Smelter Name

Country Location

Conformance Status

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

Modeltech Sdn Bhd

MALAYSIA

NOT CONFORMANT

Tin

Nghe Tinh Non-Ferrous Metals Joint Stock Company

VIET NAM

NOT 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

Pongpipat Company Limited

MYANMAR

NOT CONFORMANT

Tin

Precious Minerals and Smelting Limited

INDIA

ACTIVE

Tin

PT Artha Cipta Langgeng

INDONESIA

CONFORMANT

Tin

PT Mitra Stania Prima

INDONESIA

CONFORMANT

Tin

PT Refined Bangka Tin

INDONESIA

CONFORMANT

Tin

PT Timah Tbk Kundur

INDONESIA

CONFORMANT

Tin

PT Timah Tbk Mentok

INDONESIA

CONFORMANT

Tin

Resind Industria e Comercio Ltda.

BRAZIL

CONFORMANT

Tin

Rui Da Hung

TAIWAN, PROVINCE OF CHINA

CONFORMANT

Tin

Soft Metais Ltda.

BRAZIL

CONFORMANT

Tin

Super Ligas

BRAZIL

NOT CONFORMANT

Tin

Thai Nguyen Mining and Metallurgy Co., Ltd.

VIET NAM

CONFORMANT

Tin

Thaisarco

THAILAND

CONFORMANT

Tin

Tin Technology & Refining

UNITED STATES OF AMERICA

CONFORMANT

Tin

Tuyen Quang Non-Ferrous Metals Joint Stock Company

VIET NAM

NOT CONFORMANT

Tin

White Solder Metalurgia e Mineracao Ltda.

BRAZIL

CONFORMANT

Tin

Yunnan Chengfeng Non-ferrous Metals Co., Ltd.

CHINA

CONFORMANT

Tin

Yunnan Tin Company Limited

CHINA

CONFORMANT

Tin

Yunnan Yunfan Non-ferrous Metals Co., Ltd.

CHINA

CONFORMANT

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

Chongyi Zhangyuan Tungsten Co., Ltd.

CHINA

CONFORMANT

Tungsten

CNMC (Guangxi) PGMA Co., Ltd.

CHINA

NOT CONFORMANT

Tungsten

Fujian Ganmin RareMetal Co., Ltd.

CHINA

CONFORMANT

Tungsten

Fujian Jinxin Tungsten Co., Ltd.

CHINA

CONFORMANT

Tungsten

Ganzhou Haichuang Tungsten Co., Ltd.

CHINA

CONFORMANT

Tungsten

Ganzhou Huaxing Tungsten Products Co., Ltd.

CHINA

CONFORMANT

Tungsten

Ganzhou Jiangwu Ferrotungsten Co., Ltd.

CHINA

CONFORMANT

Tungsten

Ganzhou Seadragon W & Mo Co., Ltd.

CHINA

CONFORMANT

Tungsten

Global Tungsten & Powders Corp.

UNITED STATES OF AMERICA

CONFORMANT

Tungsten

Guangdong Xianglu Tungsten Co., Ltd.

CHINA

CONFORMANT

Tungsten

H.C. Starck Smelting GmbH & Co. KG

GERMANY

CONFORMANT

Tungsten

H.C. Starck Tungsten GmbH

GERMANY

CONFORMANT

13

 


 

Metal

Smelter Name

Country Location

Conformance Status

Tungsten

Hunan Chenzhou Mining Co., Ltd.

CHINA

CONFORMANT

Tungsten

Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji

CHINA

CONFORMANT

Tungsten

Hunan Chunchang Nonferrous Metals Co., Ltd.

CHINA

CONFORMANT

Tungsten

Hunan Litian Tungsten Industry Co., Ltd.

CHINA

CONFORMANT

Tungsten

Hydrometallurg, JSC

RUSSIAN FEDERATION

CONFORMANT

Tungsten

Japan New Metals Co., Ltd.

JAPAN

CONFORMANT

Tungsten

Jiangwu H.C. Starck Tungsten Products Co., Ltd.

CHINA

CONFORMANT

Tungsten

Jiangxi Dayu Longxintai Tungsten Co., Ltd.

CHINA

ACTIVE

Tungsten

Jiangxi Gan Bei Tungsten Co., Ltd.

CHINA

CONFORMANT

Tungsten

Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.

CHINA

NOT 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

JSC "Kirovgrad Hard Alloys Plant"

RUSSIAN FEDERATION

ACTIVE

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 Tungsten Chemical LLC (MTC)

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

Tejing (Vietnam) Tungsten Co., Ltd.

VIET NAM

CONFORMANT

Tungsten

Unecha Refractory metals plant

RUSSIAN FEDERATION

CONFORMANT

Tungsten

Wolfram Bergbau und Hutten 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


14

 


 

Annex 2: Country of Origin Information

The Countries of Origin (COO) information was identified based on the smelters reported by Agilent’s suppliers in their CMRTs (Conflict Minerals Reporting Template) and the Reasonable Country of Origin Inquiry Data that Agilent received through its membership in the RMI (Responsible Minerals Initiative.)

Argentina

Guyana

Puerto Rico

Australia

Honduras

Russian Federation

Austria

India

Rwanda

Azerbaijan

Indonesia

Saudi Arabia

Benin

Iran

Senegal

Bolivia (Plurinational State of)

Ivory Coast

Serbia

Botswana

Japan

Sierra Leone

Brazil

Kazakhstan

Slovakia

Burkina Faso

Kenya

Solomon Islands

Burundi

Laos

Somaliland

Canada

Liberia

South Africa

Chile

Madagascar

Spain

China

Malaysia

Suriname

Colombia

Mali

Swaziland

Congo, Democratic Republic of the

Mauritania

Sweden

Cuba

Mexico

Taiwan

Cyprus

Mongolia

Tajikistan

Dominican Republic

Morocco

Tanzania

Ecuador

Mozambique

Thailand

Egypt

Myanmar

Togo

Eritrea

Namibia

Turkey

Ethiopia

Netherlands

Uganda

Fiji

New Zealand

United Kingdom of Great Britain and Northern Ireland

Finland

Nicaragua

United States of America

France

Niger

Uruguay

15

 


 

Georgia

Nigeria

Uzbekistan

Germany

Papua New Guinea

Venezuela

Ghana

Peru

Vietnam

Guatemala

Philippines

Zambia

Guinea

Portugal

Zimbabwe

 

 

16