EX-1.01 2 ex101.htm
Exhibit 1.01

Conflict Minerals Report
2020
  

Introduction

This is the Conflict Minerals Report (the ‘Report’) of British American Tobacco p.l.c. (‘BAT’)1. It has been prepared in accordance with Rule 13p-1 (the ‘Rule’) under the US Securities Exchange Act of 1934, as amended (the ‘Exchange Act’), for the year ending 31 December 2020 (the ‘Reporting Period’). This is BAT’s second Report subject to the Rule, following its acquisition of Reynolds American Inc. in July 2017.

‘Conflict Minerals’ are defined by the US Securities and Exchange Commission (the ‘SEC’) as columbite-tantalite (coltan), cassiterite, gold and wolframite, or their derivatives, which are limited to tantalum, tin and tungsten (collectively, ‘3TG’). The Rule applies to companies required to file reports with the SEC under Section 13(a) or 15(d) of the Exchange Act. If such companies manufacture or contract to manufacture products that contain 3TG necessary to the functionality or production of the product (‘in-scope products’), they are required to:

●
Conduct in good faith a reasonable country of origin inquiry (‘RCOI’) to determine whether any of the 3TG originated in the Democratic Republic of the Congo or an adjoining country (the ‘Covered Countries’), or are from recycled or scrap sources; and

●
Disclose on a conflict minerals report filed as an exhibit to Form SD certain information relating to, among other things, the results of such RCOI.

Please refer to the requirements of Form SD for further details and definitions of many of the terms used in this Report2.

Company Overview

BAT is a leading, multicategory consumer goods group of companies dedicated to stimulating the senses of adult consumers worldwide. Our Group headquarters is based in the UK and we have operations in 180 markets worldwide, employing over 55,000 people. In 2020, our Group revenue was £25,766 million.

The Company has shares listed on the London Stock Exchange (BATS), the Johannesburg Stock Exchange (BTI) and, as American Depositary Shares, on the New York Stock Exchange (BTI).

Electronic components that may contain 3TG are used in the Group’s vapour products (also known as e-cigarettes) and tobacco heating products. The Group’s supply chains are complex, and there are many third parties in the supply chain between Group companies and the mines from which minerals are originally sourced and the smelters and refiners that process those minerals.
Find out more about the BAT Group, strategy and business model in our 2020 Annual Report available at www.bat.com/annualreport.

Applicability Assessment

In 2020, we conducted an analysis of the Group’s products that are likely to contain 3TG necessary for their functionality or production. As a result of this analysis, with respect to the Reporting Period, we reasonably determined that the Group manufactures, or contracts to be manufactured, two in-scope product categories:


1 British American Tobacco p.l.c. is the publicly-traded holding company for the British American Tobacco Group of companies. References in this report to ‘BAT’, ‘Group’, ‘Company’, ‘we’, ‘us’ and ‘our’ when denoting opinion refer to British American Tobacco p.l.c. and when denoting business activity refer to British American Tobacco Group operating companies, collectively or individually as the case may be.
2 Form SD is available at www.sec.gov/about/forms/formsd.pdf.


BAT Conflict Minerals Report 2020 l Page 1 of 14



●
Vapour products, devices and related accessories, such as e-liquid pods and battery chargers, under our global brands Vuse and Vype, as well as some local brands of our subsidiaries3; and

●
Tobacco heating products (i.e. the devices), tobacco heated products (i.e. the consumables used by such devices) and related accessories, such as e-liquid cartridges and battery chargers, under our glo and iFuse brands.

We identified 22 suppliers for these in-scope products for the Reporting Period (‘in-scope suppliers’).

RCOI and Due Diligence Framework

As required by Form SD, we conducted a good faith RCOI regarding the Group’s in-scope products for the Reporting Period. This good faith RCOI was reasonably designed to determine whether any of the 3TG used in our in-scope products originated in the Covered Countries or if they were from recycled or scrap sources.

In accordance with the Rule, our due diligence process is designed to align with the internationally-recognised five-step due diligence framework set out 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 (the ‘OECD Framework’)4 as applicable for 3TG and downstream companies (as ‘downstream companies’ is defined in the OECD Framework), as follows:

Step 1: Establish Group Systems

We have worked to integrate Conflict Minerals reporting into our existing Group-wide systems as part of our wider human rights strategy and supply chain due diligence procedures.

This has included:

a)
Adopting a policy for the responsible sourcing of 3TG and communicating this policy to suppliers in our updated Supplier Code of Conduct (the ‘Code’) in 2018.

The Code states that we expect our suppliers to “ensure responsible sourcing of ‘conflict minerals’… and where products or materials supplied to the Group contain such minerals, suppliers should work to exercise appropriate due diligence and perform a reasonable country of origin inquiry, including requiring its suppliers to engage in similar due diligence”.

The Code has been endorsed by the Board of British American Tobacco p.l.c. (the ‘Board’), and our Operations Director owns the policy on behalf of the Management Board.

The Code applies to suppliers to any BAT Group company worldwide and is incorporated into our contractual arrangements. It is publicly available at www.bat.com/principles and communicated to suppliers as part of our onboarding processes.

b)
Structuring internal Group management to support Conflict Minerals due diligence within our existing human rights supply chain due diligence (‘SCDD’) programme.

The SCDD programme is overseen by the Group’s SCDD governance committee, a cross-functional governance committee, including the Group Head of Procurement, Heads of Direct, Indirect and New Categories Procurement, Head of Environment, Social and Governance (ESG), Head of Environment, Health and Safety (EHS), Head of Trade Compliance and Senior Legal Counsel. Responsibility for overseeing the design, implementation and results of the Group’s Conflict Minerals due diligence has been incorporated into the remit of the Group’s SCDD governance committee.

3 This includes the Ten Motives brand in the UK, and the Polish brands Milp, Volish, Tekten, Cottiene Merse, P1, Provor and Gorilla.
4 The OECD Framework is available at www.oecd.org/corporate/mne/mining.htm.



BAT Conflict Minerals Report 2020 l Page 2 of 14



The Operations Sustainability Forum, chaired by the Group’s Operations Director, is also updated on the Conflict Minerals procedures twice a year, and the Board reviews the procedures once a year, as part of its approval of this Report.

c)
Establishing a system of controls and transparency for identifying in-scope products and suppliers. This has included incorporating Conflict Minerals clauses into contractual arrangements with in-scope suppliers for which we have extended the scope to include relevant tier 2 suppliers (i.e. companies that supply product materials to our suppliers). These clauses require such suppliers to confirm compliance with conflict minerals laws, establish conflict minerals due diligence procedures and perform a reasonable country of origin inquiry.

d)
Strengthening engagement with suppliers on the issue of responsible mineral sourcing through communicating our Code as part of our onboarding processes. We also provided all in-scope suppliers with detailed guidance to help them understand their Conflict Minerals due diligence obligations, details of our expectations and approach, and how to complete the Conflict Minerals Reporting Template (‘CMRT’)5. The CMRT is a standardised reporting template developed by the Responsible Minerals Initiative (‘RMI’, formerly the Conflict-Free Sourcing Initiative) to collect information on the chain of custody of 3TG throughout supply chains, consistent with the OECD Framework.

e)
Providing a grievance mechanism through the Group’s Speak Up channels. These independently managed channels are available to anyone working for, or with, a Group company to raise concerns online at www.bat.com/speakup, by text or by telephone hotlines, 24 hours a day, seven days a week and in multiple languages. These channels can be used confidentially and anonymously, without fear of reprisal.

Find out more about our human rights strategy and supply chain due diligence in our 2020 Human Rights Report, available at www.bat.com/humanrightsreport.

Step 2: Identify and Assess Risks in the Supply Chain

For the Reporting Period, we sent requests to all 22 in-scope suppliers to complete the CMRT. The suppliers’ responses were checked and analysed and, where required, we followed up with suppliers for further information or points of clarification.

We then compared details of the smelters and refiners provided by our in-scope suppliers against the RMI’s Responsible Minerals Assurance Process (‘RMAP’) database6 to determine if the smelters and refiners that source from the Covered Countries are ‘RMAP Conformant’.

RMI defines smelters and refiners as RMAP Conformant if they have successfully completed an independent RMAP audit. The audit verifies that they have the systems and processes in place to support responsible sourcing of raw materials and can provide evidence to support their sourcing activities; and that they maintain good standing in the programme through a continual validation process.

The RMI states that “the RMAP standards are developed to meet the requirements of the OECD Due Diligence Guidance, the Regulation (EU) 2017/821 of the European Parliament and the US Dodd-Frank Wall Street Reform and Consumer Protection Act”.

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

The Group’s SCDD governance committee oversees the design, implementation and results of our Conflict Minerals due diligence procedures. The committee continues to monitor progress, risks and emerging issues to identify opportunities to enhance and strengthen our approach in response to identified risks.


5 The CMRT is available at www.responsiblemineralsinitiative.org/reporting-templates/cmrt/.
6 RMI’s smelter database is available at www.responsiblemineralsinitiative.org/smelter-links/smelter-database/.



BAT Conflict Minerals Report 2020 l Page 3 of 14



Step 4: Utilise Results of Independent Third-Party Audits of Smelter and Refiner Due Diligence Practices

As Group companies are far removed from the smelters and refiners that process Conflict Minerals in the supply chain, we rely on cross-industry initiatives, such as RMI’s RMAP, which conduct independent third-party audits of smelters and refiners in our supply chain.

As described in step 2, we review whether the smelters or refiners identified by our in-scope suppliers to be sourcing 3TG from the Covered Countries are listed as RMAP Conformant, based on the information made available by the RMI.

We encourage our suppliers to engage with their own upstream suppliers to ensure smelters or refiners that do source from the Covered Countries also undergo independent third-party audits in accordance with the OECD Framework as applicable to 3TG and upstream companies (as ‘upstream companies’ is defined in the OECD Framework).

Step 5: Reporting Annually on Supply Chain Due Diligence

Our Conflict Minerals Reports are filed with the SEC and are available at www.bat.com/reporting.

Determination

As we do not directly purchase raw minerals, ores or 3TG, we must rely on our in-scope suppliers to gather information about smelters and refiners in our supply chain. Despite challenges for many of our suppliers due to COVID-19 disruptions, we were pleased to receive responses for the Reporting Period from all 22 in-scope suppliers (100%).

Table 1: Summary of Information Provided by our In-Scope Suppliers in 2020

 
Company-level
Product-level
Total
Total number of supplier responses
13
9
22
›          number that have established a conflict minerals sourcing policy
7
9
16
›          number that have implemented due diligence measures for conflict-free sourcing
7
9
16
›          number that declared that no 3TG is intentionally added or used in the products or in the production process
6
3
9
›          number that declared 3TG added/used and remaining in products
7
6
13
›          number that declared smelters in their supply chain source 3TG originating from the Covered Countries
1
4
5
›          number that declared 100% of 3TG is from recycled or scrap sources
0
1
1

A total of 13 of the in-scope responses were at a company-level – this means they provided information for all of the supplier’s products or components, rather than for the specific products or components supplied to the Group. Six of these declared that no 3TG is intentionally added or used in their products or production process. The remaining seven suppliers declared that 3TG is used in their products or production process, of which one supplier declared that smelters in their supply chain source 3TG originating from the Covered Countries.

As these responses were provided at a company-level, we are unable to conclude whether 3TG originating from the Covered Countries were actually used in our in-scope products provided by such suppliers. These minerals, and their corresponding smelters and refiners, are nevertheless disclosed in Annex I.


BAT Conflict Minerals Report 2020 l Page 4 of 14


The remaining nine suppliers provided product-level responses for the specific products or components supplied to the Group. Three of these declared that no 3TG is intentionally added or used in the products or in the production process. The remaining six suppliers declared that 3TG is used in the products or production process, four of which have identified 100% of smelters in the supply chain. Four of these six suppliers declared that smelters identified in their supply chain source 3TG originating from the Covered Countries, of which one stated that 100% of 3TG is from recycled or scrap sources.

In total, our in-scope suppliers identified 318 unique smelters and refiners in the supply chain. Of these:

●
240 smelters (75%), are listed as RMAP conformant; and
 
●
78 smelters (25%), are not listed as RMAP conformant.

Based on the RCOI and due diligence efforts described above, we have determined that certain 3TG contained in our in-scope products may have originated in Covered Countries and processed by smelters that are not listed as RMAP Conformant.

Some of our in-scope suppliers provided incomplete responses, and so we are unable to determine the origin of certain 3TG contained in our in-scope products. Nonetheless, we have made a reasonable good faith effort to collect and evaluate the information concerning 3TG smelters and refiners on the basis of the information provided by our in-scope suppliers.

The full list of smelters and refiners declared by our in-scope suppliers is included in Annex I.

Continuous Improvement Efforts to Mitigate Risk

In 2021, we plan to build upon our approach and to take the following steps as part of our commitment to continuous improvement in the context of our wider human rights strategy:

●
Continue mapping our New Categories supply chain and building relationships with critical lower tier suppliers;
 
●
Provide Conflict Minerals training for relevant Procurement managers to build their capacity for engaging in-scope suppliers on the issue;
 
●
Encourage in-scope suppliers to put in place, where not already implemented, Conflict Mineral sourcing policies and due diligence measures aligned to the OECD Framework;
 
●
Encourage in-scope suppliers to further strengthen due diligence efforts, consistent with the OECD Framework, to help improve the quality and completeness of information provided to us;
 
●
Engage in-scope suppliers that have identified smelters not listed as RMAP Conformant within their supply chain to encourage those smelters to achieve, or make progress towards, RMAP Conformance; and
 
●
Continue incorporating Conflict Minerals clauses into contractual arrangements with in-scope suppliers, including relevant tier 2 suppliers.
 

BAT Conflict Minerals Report 2020 l Page 5 of 14

Annex I

All smelters and refiners declared by our in-scope suppliers.

Metal
Smelter or refiner name
Facility country location
ID number
RMAP status7
Gold
Advanced Chemical Company
UNITED STATES
CID000015
Conformant
Gold
Aida Chemical Industries Co., Ltd.
JAPAN
CID000019
Conformant
Gold
Allgemeine Gold-und Silberscheideanstalt A.G.
GERMANY
CID000035
Conformant
Gold
Almalyk Mining and Metallurgical Complex (AMMC)
UZBEKISTAN
CID000041
Conformant
Gold
AngloGold Ashanti Córrego do Sítio Mineração
BRAZIL
CID000058
Conformant
Gold
Argor-Heraeus S.A.
SWITZERLAND
CID000077
Conformant
Gold
Asahi Pretec Corp.
JAPAN
CID000082
Conformant
Gold
Asaka Riken Co., Ltd.
JAPAN
CID000090
Conformant
Gold
Atasay Kuyumculuk Sanayi Ve Ticaret A.S.
TURKEY
CID000103
Not Listed
Gold
Aurubis AG
GERMANY
CID000113
Conformant
Gold
Bangko Sentral ng Pilipinas (Central Bank of the Philippines)
PHILIPPINES
CID000128
Conformant
Gold
Boliden AB
SWEDEN
CID000157
Conformant
Gold
C. Hafner GmbH + Co. KG
GERMANY
CID000176
Conformant
Gold
Caridad
MEXICO
CID000180
Not Listed
Gold
CCR Refinery - Glencore Canada Corporation
CANADA
CID000185
Conformant
Gold
Cendres + Metaux S.A.
SWITZERLAND
CID000189
Conformant
Gold
Yunnan Copper Industry Co., Ltd.
CHINA
CID000197
Not Listed
Gold
Chimet S.p.A.
ITALY
CID000233
Conformant
Gold
Chugai Mining
JAPAN
CID000264
Conformant
Gold
Daejin Indus Co., Ltd.
REPUBLIC OF KOREA
CID000328
Not Listed
Gold
Daye Non-Ferrous Metals Mining Ltd.
CHINA
CID000343
Not Listed
Gold
DSC (Do Sung Corporation)
REPUBLIC OF KOREA
CID000359
Conformant
Gold
Doduco
GERMANY
CID000362
Conformant
Gold
Dowa
JAPAN
CID000401
Conformant
Gold
Eco-System Recycling Co., Ltd.
JAPAN
CID000425
Conformant
Gold
OJSC Novosibirsk Refinery
RUSSIAN FEDERATION
CID000493
Conformant
Gold
Refinery of Seemine Gold Co., Ltd.
CHINA
CID000522
Not Listed
Gold
Guoda Safina High-Tech Environmental Refinery Co., Ltd.
CHINA
CID000651
Not Listed
Gold
Hangzhou Fuchunjiang Smelting Co., Ltd.
CHINA
CID000671
Not Listed
Gold
HeeSung Metal Ltd.
REPUBLIC OF KOREA
CID000689
Conformant
Gold
Heimerle + Meule GmbH
GERMANY
CID000694
Conformant
Gold
Heraeus Ltd. Hong Kong
CHINA
CID000707
Conformant
Gold
Heraeus Precious Metals GmbH & Co. KG
GERMANY
CID000711
Active
Gold
Hunan Chenzhou Mining Co., Ltd.
CHINA
CID000767
Not Listed
Gold
HwaSeong CJ CO., LTD.
REPUBLIC OF KOREA
CID000778
Not Listed
Gold
Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.
CHINA
CID000801
Conformant


7 According to the RMI’s smelter database: http://www.responsiblemineralsinitiative.org/smelter-links/smelter-database/ (accessed March 2021).


BAT Conflict Minerals Report 2020 l Page 6 of 14


Gold
Ishifuku Metal Industry Co., Ltd.
JAPAN
CID000807
Conformant
Gold
Istanbul Gold Refinery
TURKEY
CID000814
Conformant
Gold
Japan Mint
JAPAN
CID000823
Conformant
Gold
Jiangxi Copper Co., Ltd.
CHINA
CID000855
Conformant
Gold
Asahi Refining USA Inc.
UNITED STATES
CID000920
Conformant
Gold
Asahi Refining Canada Ltd.
CANADA
CID000924
Conformant
Gold
JSC Uralelectromed
RUSSIAN FEDERATION
CID000929
Conformant
Gold
JX Nippon Mining & Metals Co., Ltd.
JAPAN
CID000937
Conformant
Gold
Kazakhmys Smelting LLC
KAZAKHSTAN
CID000956
Not Listed
Gold
Kazzinc
KAZAKHSTAN
CID000957
Conformant
Gold
Kennecott Utah Copper LLC
UNITED STATES
CID000969
Conformant
Gold
Kojima Chemicals Co., Ltd.
JAPAN
CID000981
Conformant
Gold
Kyrgyzaltyn JSC
KYRGYZSTAN
CID001029
Conformant
Gold
L'azurde Company For Jewelry
SAUDI ARABIA
CID001032
Not Listed
Gold
Lingbao Gold Co., Ltd.
CHINA
CID001056
Not Listed
Gold
Lingbao Jinyuan Tonghui Refinery Co., Ltd.
CHINA
CID001058
Not Listed
Gold
LS-NIKKO Copper Inc.
REPUBLIC OF KOREA
CID001078
Conformant
Gold
Luoyang Zijin Yinhui Gold Refinery Co., Ltd.
CHINA
CID001093
Not Listed
Gold
Materion
UNITED STATES
CID001113
Conformant
Gold
Matsuda Sangyo Co., Ltd.
JAPAN
CID001119
Conformant
Gold
Metalor Technologies (Suzhou) Ltd.
CHINA
CID001147
Conformant
Gold
Metalor Technologies (Hong Kong) Ltd.
CHINA
CID001149
Conformant
Gold
Metalor Technologies (Singapore) Pte., Ltd.
SINGAPORE
CID001152
Conformant
Gold
Metalor Technologies S.A.
SWITZERLAND
CID001153
Conformant
Gold
Metalor USA Refining Corporation
UNITED STATES
CID001157
Conformant
Gold
Metalúrgica Met-Mex Peñoles S.A. De C.V.
MEXICO
CID001161
Conformant
Gold
Mitsubishi Materials Corporation
JAPAN
CID001188
Conformant
Gold
Mitsui Mining and Smelting Co., Ltd.
JAPAN
CID001193
Conformant
Gold
Moscow Special Alloys Processing Plant
RUSSIAN FEDERATION
CID001204
Conformant
Gold
Nadir Metal Rafineri San. Ve Tic. A.S.
TURKEY
CID001220
Conformant
Gold
Navoi Mining and Metallurgical Combinat
UZBEKISTAN
CID001236
Conformant
Gold
Nihon Material Co., Ltd.
JAPAN
CID001259
Conformant
Gold
Ohura Precious Metal Industry Co., Ltd.
JAPAN
CID001325
Conformant
Gold
OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)
RUSSIAN FEDERATION
CID001326
Conformant
Gold
PAMP S.A.
SWITZERLAND
CID001352
Conformant
Gold
Penglai Penggang Gold Industry Co., Ltd.
CHINA
CID001362
Not Listed
Gold
Prioksky Plant of Non-Ferrous Metals
RUSSIAN FEDERATION
CID001386
Conformant
Gold
PT Aneka Tambang (Persero) Tbk
INDONESIA
CID001397
Conformant
Gold
PX Précinox S.A.
SWITZERLAND
CID001498
Conformant
Gold
Rand Refinery (Pty) Ltd.
SOUTH AFRICA
CID001512
Conformant
Gold
Royal Canadian Mint
CANADA
CID001534
Conformant
Gold
Sabin Metal Corp.
UNITED STATES
CID001546
Not Listed
Gold
Samduck Precious Metals
REPUBLIC OF KOREA
CID001555
Conformant
Gold
Samwon Metals Corp.
REPUBLIC OF KOREA
CID001562
Not Listed
Gold
SEMPSA Joyería Platería S.A.
SPAIN
CID001585
Conformant


BAT Conflict Minerals Report 2020 l Page 7 of 14


Gold
Shandong Tiancheng Biological Gold Industrial Co., Ltd.
CHINA
CID001619
Not Listed
Gold
Shandong Zhaojin Gold & Silver Refinery Co., Ltd.
CHINA
CID001622
Conformant
Gold
Sichuan Tianze Precious Metals Co., Ltd.
CHINA
CID001736
Conformant
Gold
SOE Shyolkovsky Factory of Secondary Precious Metals
RUSSIAN FEDERATION
CID001756
Conformant
Gold
Solar Applied Materials Technology Corp.
TAIWAN
CID001761
Conformant
Gold
Sumitomo Metal Mining Co., Ltd.
JAPAN
CID001798
Conformant
Gold
Tanaka Kikinzoku Kogyo K.K.
JAPAN
CID001875
Conformant
Gold
Great Wall Precious Metals Co., Ltd. of CBPM
CHINA
CID001909
Not Listed
Gold
The Refinery of Shandong Gold Mining Co., Ltd.
CHINA
CID001916
Conformant
Gold
Tokuriki Honten Co., Ltd.
JAPAN
CID001938
Conformant
Gold
Tongling Nonferrous Metals Group Co., Ltd.
CHINA
CID001947
Not Listed
Gold
Torecom
REPUBLIC OF KOREA
CID001955
Conformant
Gold
Umicore Brasil Ltda.
BRAZIL
CID001977
Not Listed
Gold
Umicore S.A. Business Unit Precious Metals Refining
BELGIUM
CID001980
Conformant
Gold
United Precious Metal Refining, Inc.
UNITED STATES
CID001993
Conformant
Gold
Valcambi S.A.
SWITZERLAND
CID002003
Conformant
Gold
Western Australian Mint (T/a The Perth Mint)
AUSTRALIA
CID002030
Conformant
Gold
Yamamoto Precious Metal Co., Ltd.
JAPAN
CID002100
Conformant
Gold
Yokohama Metal Co., Ltd.
JAPAN
CID002129
Conformant
Gold
Zhongyuan Gold Smelter of Zhongjin Gold Corporation
CHINA
CID002224
Conformant
Gold
Fujian Zijin mining stock company gold smelter
CHINA
CID002243
Conformant
Gold
Morris and Watson
NEW ZEALAND
CID002282
Not Listed
Gold
Guangdong Jinding Gold Limited
CHINA
CID002312
Not Listed
Gold
Umicore Precious Metals Thailand
THAILAND
CID002314
Conformant
Gold
Geib Refining Corporation
UNITED STATES
CID002459
Conformant
Gold
MMTC-PAMP India Pvt., Ltd.
INDIA
CID002509
Conformant
Gold
Smelter not listed
UNITED STATES
CID002510
Not Listed
Gold
KGHM Polska Miedz Spolka Akcyjna
POLAND
CID002511
Conformant
Gold
Singway Technology Co., Ltd.
TAIWAN
CID002516
Conformant
Gold
Al Etihad Gold Refinery DMCC
UNITED ARAB EMIRATES
CID002560
Conformant
Gold
Emirates Gold DMCC
UNITED ARAB EMIRATES
CID002561
Conformant
Gold
T.C.A S.p.A
ITALY
CID002580
Conformant
Gold
REMONDIS PMR B.V.
NETHERLANDS
CID002582
Conformant
Gold
Korea Zinc Co., Ltd.
REPUBLIC OF KOREA
CID002605
Conformant
Gold
Marsam Metals
BRAZIL
CID002606
Conformant
Gold
TOO Tau-Ken-Altyn
KAZAKHSTAN
CID002615
Conformant
Gold
SAAMP
FRANCE
CID002761
Conformant
Gold
L'Orfebre S.A.
ANDORRA
CID002762
Conformant
Gold
8853 S.p.A.
ITALY
CID002763
Conformant
Gold
Italpreziosi
ITALY
CID002765
Conformant
Gold
SAXONIA Edelmetalle GmbH
GERMANY
CID002777
Conformant


BAT Conflict Minerals Report 2020 l Page 8 of 14


Gold
WIELAND Edelmetalle GmbH
GERMANY
CID002778
Conformant
Gold
Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH
AUSTRIA
CID002779
Conformant
Gold
AU Traders and Refiners
SOUTH AFRICA
CID002850
Conformant
Gold
GCC Gujrat Gold Centre Pvt. Ltd.
INDIA
CID002852
Not Listed
Gold
Sai Refinery
INDIA
CID002853
Not Listed
Gold
Modeltech Sdn Bhd
MALAYSIA
CID002857
Not Listed
Gold
Bangalore Refinery
INDIA
CID002863
Conformant
Gold
Kyshtym Copper-Electrolytic Plant ZAO
RUSSIAN FEDERATION
CID002865
Not Listed
Gold
Morris and Watson Gold Coast
AUSTRALIA
CID002866
Not Listed
Gold
Degussa Sonne / Mond Goldhandel GmbH
GERMANY
CID002867
Not Listed
Gold
Pease & Curren
UNITED STATES
CID002872
Not Listed
Gold
SungEel HiMetal Co., Ltd.
REPUBLIC OF KOREA
CID002918
Conformant
Gold
Planta Recuperadora de Metales SpA
CHILE
CID002919
Conformant
Gold
Safimet S.p.A
ITALY
CID002973
Conformant
Gold
State Research Institute Center for Physical Sciences and Technology
LITHUANIA
CID003153
Not Listed
Gold
DS PRETECH Co., Ltd.
REPUBLIC OF KOREA
CID003195
Conformant
Gold
Smelter not listed
CHINA
 
Not Listed
Gold
SAFINA A.S.
CZECHIA
CID002290
Conformant
Gold
Abington Reldan Metals, LLC
UNITED STATES
CID002708
Not Listed
Gold
Smelter Not Listed
JAPAN
CID003424
Conformant
Gold
Smelter Not Listed
JAPAN
CID003425
Conformant
Tantalum
Asaka Riken Co., Ltd.
JAPAN
CID000092
Conformant
Tantalum
Changsha South Tantalum Niobium Co., Ltd.
CHINA
CID000211
Conformant
Tantalum
Guangdong Rising Rare Metals-EO Materials Ltd.
CHINA
CID000291
Conformant
Tantalum
Exotech Inc.
UNITED STATES
CID000456
Conformant
Tantalum
F&X Electro-Materials Ltd.
CHINA
CID000460
Conformant
Tantalum
Guangdong Zhiyuan New Material Co., Ltd.
CHINA
CID000616
Conformant
Tantalum
JiuJiang JinXin Nonferrous Metals Co., Ltd.
CHINA
CID000914
Conformant
Tantalum
Jiujiang Tanbre Co., Ltd.
CHINA
CID000917
Conformant
Tantalum
LSM Brasil S.A.
BRAZIL
CID001076
Conformant
Tantalum
Metallurgical Products India Pvt., Ltd.
INDIA
CID001163
Conformant
Tantalum
Mineracao Taboca S.A.
BRAZIL
CID001175
Conformant
Tantalum
Mitsui Mining and Smelting Co., Ltd.
JAPAN
CID001192
Conformant
Tantalum
NPM Silmet AS
ESTONIA
CID001200
Conformant
Tantalum
Ningxia Orient Tantalum Industry Co., Ltd.
CHINA
CID001277
Conformant
Tantalum
QuantumClean
UNITED STATES
CID001508
Conformant
Tantalum
RFH Tantalum Smeltery Co., Ltd./Yanling Jincheng Tantalum & Niobium Co., Ltd.
CHINA
CID001522
Conformant
Tantalum
Solikamsk Magnesium Works OAO
RUSSIAN FEDERATION
CID001769
Conformant
Tantalum
Taki Chemical Co., Ltd.
JAPAN
CID001869
Conformant
Tantalum
Telex Metals
UNITED STATES
CID001891
Conformant
Tantalum
Ulba Metallurgical Plant JSC
KAZAKHSTAN
CID001969
Conformant
Tantalum
Hengyang King Xing Lifeng New Materials Co., Ltd.
CHINA
CID002492
Conformant
Tantalum
D Block Metals, LLC
UNITED STATES
CID002504
Conformant


BAT Conflict Minerals Report 2020 l Page 9 of 14



Tantalum
FIR Metals & Resource Ltd.
CHINA
CID002505
Conformant
Tantalum
Jiujiang Zhongao Tantalum & Niobium Co., Ltd.
CHINA
CID002506
Conformant
Tantalum
XinXing HaoRong Electronic Material Co., Ltd.
CHINA
CID002508
Conformant
Tantalum
Jiangxi Dinghai Tantalum & Niobium Co., Ltd.
CHINA
CID002512
Conformant
Tantalum
KEMET Blue Metals
MEXICO
CID002539
Conformant
Tantalum
H.C. Starck Co., Ltd.
THAILAND
CID002544
Conformant
Tantalum
H.C. Starck Tantalum and Niobium GmbH
GERMANY
CID002545
Conformant
Tantalum
H.C. Starck Hermsdorf GmbH
GERMANY
CID002547
Conformant
Tantalum
H.C. Starck Inc.
UNITED STATES
CID002548
Conformant
Tantalum
H.C. Starck Ltd.
JAPAN
CID002549
Conformant
Tantalum
H.C. Starck Smelting GmbH & Co. KG
GERMANY
CID002550
Conformant
Tantalum
Global Advanced Metals Boyertown
UNITED STATES
CID002557
Conformant
Tantalum
Global Advanced Metals Aizu
JAPAN
CID002558
Conformant
Tantalum
KEMET Blue Powder
UNITED STATES
CID002568
Not Listed
Tantalum
Resind Industria e Comercio Ltda.
BRAZIL
CID002707
Conformant
Tantalum
Jiangxi Tuohong New Raw Material
CHINA
CID002842
Conformant
Tantalum
Power Resources Ltd.
MACEDONIA
CID002847
Conformant
Tantalum
Jiujiang Janny New Material Co., Ltd.
CHINA
CID003191
Not Listed
Tantalum
Smelter not listed
CHINA
  
Not Listed
Tin
Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.
CHINA
CID000228
Conformant
Tin
Alpha
UNITED STATES
CID000292
Conformant
Tin
CV Gita Pesona
INDONESIA
CID000306
Not Listed
Tin
PT Aries Kencana Sejahtera
INDONESIA
CID000309
Active
Tin
PT Premium Tin Indonesia
INDONESIA
CID000313
Not Listed
Tin
CV United Smelting
INDONESIA
CID000315
Not Listed
Tin
Dowa
JAPAN
CID000402
Conformant
Tin
EM Vinto
BOLIVIA
CID000438
Conformant
Tin
Estanho de Rondonia S.A.
BRAZIL
CID000448
Active
Tin
Fenix Metals
POLAND
CID000468
Conformant
Tin
Gejiu Non-Ferrous Metal Processing Co., Ltd.
CHINA
CID000538
Conformant
Tin
Gejiu Zili Mining And Metallurgy Co., Ltd.
CHINA
CID000555
Conformant
Tin
Huichang Jinshunda Tin Co., Ltd.
CHINA
CID000760
Conformant
Tin
Gejiu Kai Meng Industry and Trade LLC
CHINA
CID000942
Conformant
Tin
China Tin Group Co., Ltd.
CHINA
CID001070
Conformant
Tin
Malaysia Smelting Corporation (MSC)
MALAYSIA
CID001105
Conformant
Tin
Metallic Resources, Inc.
UNITED STATES
CID001142
Conformant
Tin
Mineracao Taboca S.A.
BRAZIL
CID001173
Conformant
Tin
Minsur
PERU
CID001182
Conformant
Tin
Mitsubishi Materials Corporation
JAPAN
CID001191
Conformant
Tin
Jiangxi New Nanshan Technology Ltd.
CHINA
CID001231
Conformant
Tin
O.M. Manufacturing (Thailand) Co., Ltd.
THAILAND
CID001314
Conformant
Tin
Operaciones Metalurgicas S.A.
BOLIVIA
CID001337
Conformant
Tin
PT Artha Cipta Langgeng
INDONESIA
CID001399
Conformant
Tin
PT Babel Inti Perkasa
INDONESIA
CID001402
Not Listed
Tin
PT Babel Surya Alam Lestari
INDONESIA
CID001406
Conformant


BAT Conflict Minerals Report 2020 l Page 10 of 14



Tin
PT Bangka Tin Industry
INDONESIA
CID001419
Not Listed
Tin
PT Belitung Industri Sejahtera
INDONESIA
CID001421
Not Listed
Tin
PT Bukit Timah
INDONESIA
CID001428
Not Listed
Tin
PT DS Jaya Abadi
INDONESIA
CID001434
Not Listed
Tin
PT Karimun Mining
INDONESIA
CID001448
Not Listed
Tin
PT Mitra Stania Prima
INDONESIA
CID001453
Conformant
Tin
PT Panca Mega Persada
INDONESIA
CID001457
Not Listed
Tin
PT Prima Timah Utama
INDONESIA
CID001458
Conformant
Tin
PT Refined Bangka Tin
INDONESIA
CID001460
Conformant
Tin
PT Sariwiguna Binasentosa
INDONESIA
CID001463
Not Listed
Tin
PT Stanindo Inti Perkasa
INDONESIA
CID001468
Conformant
Tin
PT Sumber Jaya Indah
INDONESIA
CID001471
Not Listed
Tin
PT Timah Tbk Kundur
INDONESIA
CID001477
Conformant
Tin
PT Timah Tbk Mentok
INDONESIA
CID001482
Conformant
Tin
PT Tinindo Inter Nusa
INDONESIA
CID001490
Active
Tin
PT Tommy Utama
INDONESIA
CID001493
Not Listed
Tin
Rui Da Hung
TAIWAN
CID001539
Conformant
Tin
Soft Metais Ltda.
BRAZIL
CID001758
Conformant
Tin
Thailand Smelting & Refining Co Ltd
THAILAND
CID001898
Conformant
Tin
Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.
CHINA
CID001908
Conformant
Tin
White Solder Metalurgia e Mineracao Ltda.
BRAZIL
CID002036
Conformant
Tin
Yunnan Chengfeng Non-ferrous Metals Co., Ltd.
CHINA
CID002158
Conformant
Tin
Yunnan Tin Company Limited
CHINA
CID002180
Conformant
Tin
CV Venus Inti Perkasa
INDONESIA
CID002455
Active
Tin
Magnu's Minerais Metais e Ligas Ltda.
BRAZIL
CID002468
Conformant
Tin
PT Tirus Putra Mandiri
INDONESIA
CID002478
Not Listed
Tin
Melt Metais e Ligas S.A.
BRAZIL
CID002500
Conformant
Tin
PT ATD Makmur Mandiri Jaya
INDONESIA
CID002503
Conformant
Tin
O.M. Manufacturing Philippines, Inc.
PHILIPPINES
CID002517
Conformant
Tin
PT Inti Stania Prima
INDONESIA
CID002530
Not Listed
Tin
CV Ayi Jaya
INDONESIA
CID002570
Not Listed
Tin
Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company
VIET NAM
CID002572
Not Listed
Tin
Nghe Tinh Non-Ferrous Metals Joint Stock Company
VIET NAM
CID002573
Not Listed
Tin
Tuyen Quang Non-Ferrous Metals Joint Stock Company
VIET NAM
CID002574
Not Listed
Tin
CV Dua Sekawan
INDONESIA
CID002592
Not Listed
Tin
PT Rajehan Ariq
INDONESIA
CID002593
Conformant
Tin
An Vinh Joint Stock Mineral Processing Company
VIET NAM
CID002703
Not Listed
Tin
Resind Industria e Comercio Ltda.
BRAZIL
CID002706
Conformant
Tin
Super Ligas
BRAZIL
CID002756
Not Listed
Tin
Metallo Belgium N.V.
BELGIUM
CID002773
Conformant
Tin
Metallo Spain S.L.U.
SPAIN
CID002774
Conformant
Tin
PT Bangka Prima Tin
INDONESIA
CID002776
Not Listed
Tin
PT Sukses Inti Makmur
INDONESIA
CID002816
Not Listed


BAT Conflict Minerals Report 2020 l Page 11 of 14


Tin
PT Kijang Jaya Mandiri
INDONESIA
CID002829
Not Listed
Tin
Thai Nguyen Mining and Metallurgy Co., Ltd.
VIET NAM
CID002834
Conformant
Tin
PT Menara Cipta Mulia
INDONESIA
CID002835
Conformant
Tin
HuiChang Hill Tin Industry Co., Ltd.
CHINA
CID002844
Conformant
Tin
Gejiu Fengming Metallurgy Chemical Plant
CHINA
CID002848
Conformant
Tin
Guanyang Guida Nonferrous Metal Smelting Plant
CHINA
CID002849
Conformant
Tin
Modeltech Sdn Bhd
MALAYSIA
CID002858
Not Listed
Tin
Smelter not listed
INDONESIA
CID002870
Active
Tin
Guangdong Hanhe Non-Ferrous Metal Co., Ltd.
CHINA
CID003116
Conformant
Tin
Chifeng Dajingzi Tin Industry Co., Ltd.
CHINA
CID003190
Conformant
Tin
PT Bangka Serumpun
INDONESIA
CID003205
Conformant
Tin
Tin Technology & Refining
UNITED STATES
CID003325
Conformant
Tin
Dongguan CiEXPO Environmental Engineering Co., Ltd.
CHINA
CID003356
Not Listed
Tin
PT Rajawali Rimba Perkasa
INDONESIA
CID003381
Conformant
Tin
Ma'anshan Weitai Tin Co., Ltd.
CHINA
CID003379
Conformant
Tin
Yunnan Yunfan Non-ferrous Metals Co., Ltd.
CHINA
CID003397
Conformant
Tin
Smelter Not Listed
RWANDA
CID003387
Conformant
Tin
Pongpipat Company Limited
MYANMAR
CID003208
Not Listed
Tin
Precious Minerals and Smelting Limited
INDIA
CID003409
Not Listed
Tin
Gejiu Fuxiang Gongmao Co., Ltd.
CHINA
CID003410
Not Listed
Tin
PT Mitra Sukses Globalindo
INDONESIA
CID003449
Not Listed
Tungsten
A.L.M.T. Corp.
JAPAN
CID000004
Conformant
Tungsten
Kennametal Huntsville
UNITED STATES
CID000105
Conformant
Tungsten
Guangdong Xianglu Tungsten Co., Ltd.
CHINA
CID000218
Conformant
Tungsten
Chongyi Zhangyuan Tungsten Co., Ltd.
CHINA
CID000258
Conformant
Tungsten
Fujian Jinxin Tungsten Co., Ltd.
CHINA
CID000499
Not Listed
Tungsten
Global Tungsten & Powders Corp.
UNITED STATES
CID000568
Conformant
Tungsten
Hunan Chenzhou Mining Co., Ltd.
CHINA
CID000766
Conformant
Tungsten
Hunan Chunchang Nonferrous Metals Co., Ltd.
CHINA
CID000769
Conformant
Tungsten
Japan New Metals Co., Ltd.
JAPAN
CID000825
Conformant
Tungsten
Ganzhou Huaxing Tungsten Products Co., Ltd.
CHINA
CID000875
Conformant
Tungsten
Kennametal Fallon
UNITED STATES
CID000966
Conformant
Tungsten
Tejing (Vietnam) Tungsten Co., Ltd.
VIET NAM
CID001889
Conformant
Tungsten
Wolfram Bergbau und Hutten AG
AUSTRIA
CID002044
Conformant
Tungsten
Xiamen Tungsten Co., Ltd.
CHINA
CID002082
Conformant
Tungsten
Xinhai Rendan Shaoguan Tungsten Co., Ltd.
CHINA
CID002095
Not Listed
Tungsten
Ganzhou Jiangwu Ferrotungsten Co., Ltd.
CHINA
CID002315
Conformant
Tungsten
Jiangxi Yaosheng Tungsten Co., Ltd.
CHINA
CID002316
Conformant
Tungsten
Jiangxi Xinsheng Tungsten Industry Co., Ltd.
CHINA
CID002317
Conformant
Tungsten
Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.
CHINA
CID002318
Conformant
Tungsten
Malipo Haiyu Tungsten Co., Ltd.
CHINA
CID002319
Conformant
Tungsten
Xiamen Tungsten (H.C.) Co., Ltd.
CHINA
CID002320
Conformant
Tungsten
Jiangxi Gan Bei Tungsten Co., Ltd.
CHINA
CID002321
Conformant
Tungsten
Ganzhou Seadragon W & Mo Co., Ltd.
CHINA
CID002494
Conformant


BAT Conflict Minerals Report 2020 l Page 12 of 14


Tungsten
Asia Tungsten Products Vietnam Ltd.
VIET NAM
CID002502
Conformant
Tungsten
Chenzhou Diamond Tungsten Products Co., Ltd.
CHINA
CID002513
Conformant
Tungsten
H.C. Starck Tungsten GmbH
GERMANY
CID002541
Conformant
Tungsten
H.C. Starck Smelting GmbH & Co. KG
GERMANY
CID002542
Conformant
Tungsten
Masan Tungsten Chemical LLC (MTC)
VIET NAM
CID002543
Conformant
Tungsten
Jiangwu H.C. Starck Tungsten Products Co., Ltd.
CHINA
CID002551
Conformant
Tungsten
Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji
CHINA
CID002579
Conformant
Tungsten
Niagara Refining LLC
UNITED STATES
CID002589
Conformant
Tungsten
Ganzhou Haichuang Tungsten Co., Ltd.
CHINA
CID002645
Conformant
Tungsten
Hydrometallurg, JSC
RUSSIAN FEDERATION
CID002649
Conformant
Tungsten
Unecha Refractory metals plant
RUSSIAN FEDERATION
CID002724
Conformant
Tungsten
South-East Nonferrous Metal Company Limited of Hengyang City
CHINA
CID002815
Not Listed
Tungsten
Philippine Chuangxin Industrial Co., Inc.
PHILIPPINES
CID002827
Conformant
Tungsten
Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.
CHINA
CID002830
Conformant
Tungsten
ACL Metais Eireli
BRAZIL
CID002833
Conformant
Tungsten
Woltech Korea Co., Ltd.
REPUBLIC OF KOREA
CID002843
Conformant
Tungsten
Moliren Ltd.
RUSSIAN FEDERATION
CID002845
Conformant
Tungsten
KGETS Co., Ltd.
REPUBLIC OF KOREA
CID003388
Conformant
Tungsten
Hunan Litian Tungsten Industry Co., Ltd.
CHINA
CID003182
Conformant
Tungsten
Fujian Ganmin RareMetal Co., Ltd.
CHINA
CID003401
Conformant
Tungsten
Lianyou Metals Co., Ltd.
TAIWAN
CID003407
Conformant


BAT Conflict Minerals Report 2020 l Page 13 of 14


Further Information

About this Report

This is our second Conflict Minerals Report in accordance with the Rule under the Exchange Act.
The material in this Report is not provided for product advertising, promotional or marketing purposes. This material does not constitute and should not be construed as constituting an offer to sell, or a solicitation of an offer to buy, any of our products. Our products are sold only in compliance with the laws of the particular jurisdictions in which they are sold.

References in this Report to reports and information on websites, including the web address of BAT, have been included as inactive textual references only. These websites and the information contained therein or connected thereto are not intended to be incorporated into or to form part of this Report.

Forward-looking Statements

This Report contains certain forward-looking statements, including “forward-looking” statements made within the meaning of the US Private Securities Litigation Reform Act of 1995. These statements are often, but not always, made through the use of words or phrases such as “believe,” “anticipate,” “could,” “may,” “would,” “should,” “intend,” “plan,” “potential,” “predict,” “will,” “expect,” “estimate,” “project,” “positioned,” “strategy,” “outlook”, “target” and similar expressions.

These include statements regarding our intentions, beliefs or current expectations concerning, amongst other things, our results of operations, financial condition, liquidity, prospects, growth, strategies and the economic and business circumstances occurring from time to time in the countries and markets in which the Group operates, including the projected future financial and operating impacts of the COVID-19 pandemic.
All such forward-looking statements involve estimates and assumptions that are subject to risks, uncertainties and other factors. It is believed that the expectations reflected in this Report are reasonable but they may be affected by a wide range of variables that could cause actual results to differ materially from those currently anticipated. Among the key factors that could cause actual results to differ materially from those projected in the forward-looking statements are uncertainties related to the following: the impact of competition from illicit trade, the impact of adverse domestic or international legislation and regulation, the inability to develop, commercialise and deliver the Group’s New Categories strategy, the impact of market size reduction and consumer down-trading, adverse litigation and dispute outcomes and the effect of such outcomes on the Group’s financial condition, the impact of significant increases or structural changes in tobacco, nicotine and New Categories related taxes, translational and transactional foreign exchange rate exposure, changes or differences in domestic or international economic or political conditions, the ability to maintain credit ratings and to fund the business under the current capital structure, the impact of serious injury, illness or death in the workplace, adverse decisions by domestic or international regulatory bodies, and changes in the market position, businesses, financial condition, results of operations or prospects of the Group.

The forward-looking statements reflect knowledge and information available at the date of preparation of this Report and the Group undertakes no obligation to update or revise these forward-looking statements, whether as a result of new information, future events or otherwise. Readers are cautioned not to place undue reliance on such forward-looking statements. Additional information concerning these and other factors can be found in BAT’s filings with the SEC, including the Annual Report on Form 20-F and Current Reports on Form 6-K, which may be obtained free of charge at the SEC’s website at www.sec.gov.


BAT Conflict Minerals Report 2020 l Page 14 of 14