EX-1.01 2 ex101.htm CONFLICT MINERALS REPORT
Exhibit 1.01

Conflict Minerals Report
2021
  
 
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 2021 (the ‘Reporting Period’). This is BAT’s third 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, multi-category consumer goods business. Our Group headquarters is based in the UK and we have operations in 175 markets worldwide, employing over 52,000 people. In 2021, our Group revenue was £25,684 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.

Applicability Assessment

In 2021, we conducted an analysis of the Group’s products that are likely to contain 3TG. 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:

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

●
Tobacco heating products – devices, consumables used with such devices and related accessories, such as battery chargers, under our glo brand.

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.
3 This includes the Ten Motives brand in the UK and the Polish brands Milp and Volish.
 

BAT Conflict Minerals Report 2021 l Page 1 of 13


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 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 Supplier Code of Conduct (the ‘Code’) since 2018.  An updated version of the Code took effect in January 2022.

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.

The Operations Sustainability Forum, chaired by the Group’s Operations Director, has oversight over the Conflict Minerals reporting process as part of its approval of this Report.

c)
Participating in cross-industry efforts to support responsible minerals sourcing, as part of our membership of the Responsible Minerals Initiative (‘RMI’ – formerly the Conflict-Free Sourcing Initiative). We received approval in 2021 to join the RMI in 2022 and data obtained through our membership will inform our future reporting.


4 The OECD Framework is available at www.oecd.org/corporate/mne/mining.htm.


BAT Conflict Minerals Report 2021 l Page 2 of 13

 
d)
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. These clauses require such suppliers to confirm compliance with conflict minerals laws, establish conflict minerals due diligence procedures and perform a RCOI. In 2021, via our new supplier due diligence platform, suppliers were required to identify if Conflict Minerals were used in the products provided to BAT with an additional questionnaire triggered based on their response.

e)
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 RMI to collect information on the chain of custody of 3TG throughout supply chains, consistent with the OECD Framework.

f)
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.

Step 2: Identify and Assess Risks in the Supply Chain

For the Reporting Period, we sent requests to all 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 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 findings of our Conflict Minerals due diligence procedures. The committee continues to monitor progress, risks and emerging issues to identify opportunities to strengthen our 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 2021 l Page 3 of 13

 
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. We received responses from all in-scope suppliers for the Reporting Period.

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 from Covered Countries and may have been processed by smelters that are not listed as RMAP Conformant.

In conclusion, we are unable to determine the origin of certain 3TG contained in our in-scope products, despite our RCOI conducted in good faith.

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

Continuous Improvement Efforts to Mitigate Risk

In 2022, we plan to build upon the following steps:

●
Continue mapping our New Categories supply chain and building relationships with our 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, if not yet 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; and

●
Engage in-scope suppliers to encourage smelters who are not listed as RMAP conformant in their supply chain to achieve, or make progress towards, RMAP Conformance.



BAT Conflict Minerals Report 2021 l Page 4 of 13


Annex

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

Metal
Smelter or refiner name
Facility country location
RMAP status7
Gold
Advanced Chemical Company
USA
Conformant
Gold
Aida Chemical Industries Co., Ltd.
JAPAN
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
Asaka Riken Co., Ltd.
JAPAN
Conformant
Gold
Atasay Kuyumculuk Sanayi Ve Ticaret A.S.
TURKEY
Not Listed
Gold
Aurubis AG
GERMANY
Conformant
Gold
Bangko Sentral ng Pilipinas (Central Bank of the Philippines)
PHILIPPINES
Conformant
Gold
Boliden AB
SWEDEN
Conformant
Gold
C. Hafner GmbH + Co. KG
GERMANY
Conformant
Gold
Caridad
MEXICO
Not Listed
Gold
CCR Refinery - Glencore Canada Corporation
CANADA
Conformant
Gold
Cendres + Metaux S.A.
SWITZERLAND
Conformant
Gold
Yunnan Copper Industry Co., Ltd.
CHINA
Not Listed
Gold
Chimet S.p.A.
ITALY
Conformant
Gold
Chugai Mining
JAPAN
Conformant
Gold
Daejin Indus Co., Ltd.
KOREA, REPUBLIC OF
Not Listed
Gold
Daye Non-Ferrous Metals Mining Ltd.
CHINA
Not Listed
Gold
DSC (Do Sung Corporation)
KOREA, REPUBLIC OF
Conformant
Gold
DODUCO Contacts and Refining GmbH
GERMANY
Conformant
Gold
Dowa
JAPAN
Conformant
Gold
Eco-System Recycling Co., Ltd.
JAPAN
Conformant
Gold
OJSC Novosibirsk Refinery
RUSSIAN FEDERATION
Conformant
Gold
Refinery of Seemine Gold Co., Ltd.
CHINA
Not Listed
Gold
Guoda Safina High-Tech Environmental Refinery Co., Ltd.
CHINA
Not Listed
Gold
Hangzhou Fuchunjiang Smelting Co., Ltd.
CHINA
Not Listed
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 Listed
Gold
HwaSeong CJ CO., LTD.
KOREA, REPUBLIC OF
Not Listed
Gold
Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.
CHINA
Conformant


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


BAT Conflict Minerals Report 2021 l Page 5 of 13

 
Gold
Ishifuku Metal Industry Co., Ltd.
JAPAN
Conformant
Gold
Istanbul Gold Refinery
TURKEY
Conformant
Gold
Japan Mint
JAPAN
Conformant
Gold
Jiangxi Copper Co., Ltd.
CHINA
Conformant
Gold
Asahi Refining USA Inc.
USA
Conformant
Gold
Asahi Refining Canada Ltd.
CANADA
Conformant
Gold
JSC Uralelectromed
RUSSIAN FEDERATION
Conformant
Gold
JX Nippon Mining & Metals Co., Ltd.
JAPAN
Conformant
Gold
Kazakhmys Smelting LLC
KAZAKHSTAN
Not Listed
Gold
Kazzinc
KAZAKHSTAN
Conformant
Gold
Kennecott Utah Copper LLC
USA
Conformant
Gold
Kojima Chemicals Co., Ltd.
JAPAN
Conformant
Gold
Kyrgyzaltyn JSC
KYRGYZSTAN
Not Listed
Gold
L'azurde Company For Jewelry
SAUDI ARABIA
Not Listed
Gold
Lingbao Gold Co., Ltd.
CHINA
Not Listed
Gold
Lingbao Jinyuan Tonghui Refinery Co., Ltd.
CHINA
Not Listed
Gold
LS-NIKKO Copper Inc.
KOREA, REPUBLIC OF
Conformant
Gold
Luoyang Zijin Yinhui Gold Refinery Co., Ltd.
CHINA
Not Listed
Gold
Materion
USA
Conformant
Gold
Matsuda Sangyo Co., Ltd.
JAPAN
Conformant
Gold
Metalor Technologies (Suzhou) Ltd.
CHINA
Conformant
Gold
Metalor Technologies (Hong Kong) Ltd.
CHINA
Conformant
Gold
Metalor Technologies (Singapore) Pte., Ltd.
SINGAPORE
Conformant
Gold
Metalor Technologies S.A.
SWITZERLAND
Conformant
Gold
Metalor USA Refining Corporation
USA
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
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
Conformant
Gold
Nihon Material Co., Ltd.
JAPAN
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
PAMP S.A.
SWITZERLAND
Conformant
Gold
Penglai Penggang Gold Industry Co., Ltd.
CHINA
Not Listed
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
Rand Refinery (Pty) Ltd.
SOUTH AFRICA
Conformant
Gold
Royal Canadian Mint
CANADA
Conformant
Gold
Sabin Metal Corp.
USA
Not Listed
Gold
Samduck Precious Metals
KOREA, REPUBLIC OF
Conformant


BAT Conflict Minerals Report 2021 l Page 6 of 13

 
Gold
Samwon Metals Corp.
KOREA, REPUBLIC OF
Not Listed
Gold
SEMPSA Joyeria Plateria S.A.
SPAIN
Conformant
Gold
Shandong Tiancheng Biological Gold Industrial Co., Ltd.
CHINA
Not Listed
Gold
Shandong Zhaojin Gold & Silver Refinery Co., Ltd.
CHINA
Conformant
Gold
Sichuan Tianze Precious Metals Co., Ltd.
CHINA
Conformant
Gold
SOE Shyolkovsky Factory of Secondary Precious Metals
RUSSIAN FEDERATION
Conformant
Gold
Solar Applied Materials Technology Corp.
TAIWAN
Conformant
Gold
Sumitomo Metal Mining Co., Ltd.
JAPAN
Conformant
Gold
Tanaka Kikinzoku Kogyo K.K.
JAPAN
Conformant
Gold
Great Wall Precious Metals Co., Ltd. of CBPM
CHINA
Not Listed
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 Listed
Gold
Torecom
KOREA, REPUBLIC OF
Conformant
Gold
Umicore Brasil Ltda.
BRAZIL
Not Listed
Gold
Umicore S.A. Business Unit Precious Metals Refining
BELGIUM
Conformant
Gold
United Precious Metal Refining, Inc.
USA
Conformant
Gold
Valcambi S.A.
SWITZERLAND
Conformant
Gold
Western Australian Mint (T/a The Perth Mint)
AUSTRALIA
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
Gold Refinery of Zijin Mining Group Co., Ltd.
CHINA
Conformant
Gold
Morris and Watson
NEW ZEALAND
Not Listed
Gold
Guangdong Jinding Gold Limited
CHINA
Not Listed
Gold
Umicore Precious Metals Thailand
THAILAND
Conformant
Gold
Geib Refining Corporation
USA
Conformant
Gold
MMTC-PAMP India Pvt., Ltd.
INDIA
Conformant
Gold
Smelter not listed
USA
Not Listed
Gold
KGHM Polska Miedz Spolka Akcyjna
POLAND
Conformant
Gold
Singway Technology Co., Ltd.
TAIWAN
Conformant
Gold
Al Etihad Gold Refinery DMCC
UNITED ARAB EMIRATES
Conformant
Gold
Emirates Gold DMCC
UNITED ARAB EMIRATES
Conformant
Gold
T.C.A S.p.A
ITALY
Conformant
Gold
REMONDIS PMR B.V.
NETHERLANDS
Conformant
Gold
Korea Zinc Co., Ltd.
KOREA, REPUBLIC OF
Conformant
Gold
Marsam Metals
BRAZIL
Conformant
Gold
TOO Tau-Ken-Altyn
KAZAKHSTAN
Conformant
Gold
Abington Reldan Metals, LLC
USA
Not Listed


BAT Conflict Minerals Report 2021 l Page 7 of 13

 
Gold
SAAMP
FRANCE
Conformant
Gold
L'Orfebre S.A.
ANDORRA
Conformant
Gold
8853 S.p.A.
ITALY
Conformant
Gold
Italpreziosi
ITALY
Conformant
Gold
SAXONIA Edelmetalle GmbH
GERMANY
Conformant
Gold
WIELAND Edelmetalle GmbH
GERMANY
Conformant
Gold
Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH
AUSTRIA
Conformant
Gold
AU Traders and Refiners
SOUTH AFRICA
Not Listed
Gold
GCC Gujrat Gold Centre Pvt. Ltd.
INDIA
Active
Gold
Sai Refinery
INDIA
Not Listed
Gold
Modeltech Sdn Bhd
MALAYSIA
Not Listed
Gold
Bangalore Refinery
INDIA
Conformant
Gold
Kyshtym Copper-Electrolytic Plant ZAO
RUSSIAN FEDERATION
Not Listed
Gold
Morris and Watson Gold Coast
AUSTRALIA
Not Listed
Gold
Degussa Sonne / Mond Goldhandel GmbH
GERMANY
Not Listed
Gold
Pease & Curren
USA
Not Listed
Gold
SungEel HiMetal Co., Ltd.
KOREA, REPUBLIC OF
Conformant
Gold
Planta Recuperadora de Metales SpA
CHILE
Conformant
Gold
Safimet S.p.A
ITALY
Conformant
Gold
State Research Institute Center for Physical Sciences and Technology
LITHUANIA
Not Listed
Gold
DS PRETECH Co., Ltd.
KOREA, REPUBLIC OF
Not Listed
Tantalum
Fujian Dingxin Company Limited
CHINA
Not Listed
Tantalum
Asaka Riken Co., Ltd.
JAPAN
Conformant
Tantalum
Changsha South Tantalum Niobium Co., Ltd.
CHINA
Conformant
Tantalum
Guangdong Rising Rare Metals-EO Materials Ltd.
CHINA
Conformant
Tantalum
Exotech Inc.
USA
Conformant
Tantalum
F&X Electro-Materials Ltd.
CHINA
Conformant
Tantalum
Guangdong Zhiyuan New Material Co., Ltd.
CHINA
Conformant
Tantalum
JiuJiang JinXin Nonferrous Metals Co., Ltd.
CHINA
Conformant
Tantalum
Jiujiang Tanbre Co., Ltd.
CHINA
Conformant
Tantalum
LSM Brasil S.A.
BRAZIL
Conformant
Tantalum
Metallurgical Products India Pvt., Ltd.
INDIA
Conformant
Tantalum
Mineracao Taboca S.A.
BRAZIL
Conformant
Tantalum
QuantumClean
USA
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
Hengyang King Xing Lifeng New Materials Co., Ltd.
CHINA
Conformant
Tantalum
D Block Metals, LLC
USA
Conformant
Tantalum
FIR Metals & Resource Ltd.
CHINA
Conformant


BAT Conflict Minerals Report 2021 l Page 8 of 13

 
Tantalum
Jiujiang Zhongao Tantalum & Niobium Co., Ltd.
CHINA
Conformant
Tantalum
XinXing HaoRong Electronic Material Co., Ltd.
CHINA
Conformant
Tantalum
Jiangxi Dinghai Tantalum & Niobium Co., Ltd.
CHINA
Conformant
Tantalum
KEMET Blue Metals
MEXICO
Conformant
Tantalum
KEMET Blue Powder
USA
Not Listed
Tantalum
Resind Industria e Comercio Ltda.
BRAZIL
Conformant
Tantalum
Jiangxi Tuohong New Raw Material
CHINA
Conformant
Tantalum
Power Resources Ltd.
MACEDONIA, THE FORMER YUGOSLAV REPUBLIC OF
Conformant
Tantalum
Jiujiang Janny New Material Co., Ltd.
CHINA
Not Listed
Tin
Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.
CHINA
Conformant
Tin
Alpha
USA
Conformant
Tin
CV Gita Pesona
INDONESIA
Not Listed
Tin
PT Aries Kencana Sejahtera
INDONESIA
Not Listed
Tin
PT Premium Tin Indonesia
INDONESIA
Not Listed
Tin
CV United Smelting
INDONESIA
Not Listed
Tin
Dowa
JAPAN
Conformant
Tin
EM Vinto
BOLIVIA (PLURINATIONAL STATE OF)
Conformant
Tin
Estanho de Rondonia S.A.
BRAZIL
Active
Tin
Fenix Metals
POLAND
Conformant
Tin
Gejiu Non-Ferrous Metal Processing Co., Ltd.
CHINA
Conformant
Tin
Gejiu Zili Mining And Metallurgy Co., Ltd.
CHINA
Conformant
Tin
Huichang Jinshunda Tin Co., Ltd.
CHINA
Not Listed
Tin
Gejiu Kai Meng Industry and Trade LLC
CHINA
Not Listed
Tin
China Tin Group Co., Ltd.
CHINA
Conformant
Tin
Malaysia Smelting Corporation (MSC)
MALAYSIA
Conformant
Tin
Metallic Resources, Inc.
USA
Conformant
Tin
Mineracao Taboca S.A.
BRAZIL
Conformant
Tin
Minsur
PERU
Conformant
Tin
Mitsubishi Materials Corporation
JAPAN
Conformant
Tin
Jiangxi New Nanshan Technology Ltd.
CHINA
Conformant
Tin
O.M. Manufacturing (Thailand) Co., Ltd.
THAILAND
Conformant
Tin
Operaciones Metalurgicas S.A.
BOLIVIA (PLURINATIONAL STATE OF)
Conformant
Tin
PT Artha Cipta Langgeng
INDONESIA
Conformant
Tin
PT Babel Inti Perkasa
INDONESIA
Conformant
Tin
PT Bangka Tin Industry
INDONESIA
Not Listed
Tin
PT Belitung Industri Sejahtera
INDONESIA
Not Listed
Tin
PT Bukit Timah
INDONESIA
Active
Tin
PT DS Jaya Abadi
INDONESIA
Not Listed
Tin
PT Karimun Mining
INDONESIA
Not Listed
Tin
PT Mitra Stania Prima
INDONESIA
Conformant


BAT Conflict Minerals Report 2021 l Page 9 of 13

 
Tin
PT Panca Mega Persada
INDONESIA
Not Listed
Tin
PT Prima Timah Utama
INDONESIA
Conformant
Tin
PT Refined Bangka Tin
INDONESIA
Conformant
Tin
PT Sariwiguna Binasentosa
INDONESIA
Conformant
Tin
PT Stanindo Inti Perkasa
INDONESIA
Conformant
Tin
PT Sumber Jaya Indah
INDONESIA
Not Listed
Tin
PT Timah Tbk Kundur
INDONESIA
Conformant
Tin
PT Timah Tbk Mentok
INDONESIA
Conformant
Tin
PT Tinindo Inter Nusa
INDONESIA
Conformant
Tin
PT Tommy Utama
INDONESIA
Not Listed
Tin
Rui Da Hung
TAIWAN
Conformant
Tin
Soft Metais Ltda.
BRAZIL
Conformant
Tin
Thaisarco
THAILAND
Conformant
Tin
Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.
CHINA
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
Active
Tin
CV Venus Inti Perkasa
INDONESIA
Active
Tin
Magnu's Minerais Metais e Ligas Ltda.
BRAZIL
Conformant
Tin
PT Tirus Putra Mandiri
INDONESIA
Not Listed
Tin
Melt Metais e Ligas S.A.
BRAZIL
Conformant
Tin
PT ATD Makmur Mandiri Jaya
INDONESIA
Conformant
Tin
O.M. Manufacturing Philippines, Inc.
PHILIPPINES
Conformant
Tin
PT Inti Stania Prima
INDONESIA
Not Listed
Tin
CV Ayi Jaya
INDONESIA
Not Listed
Tin
Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company
VIETNAM
Not Listed
Tin
Nghe Tinh Non-Ferrous Metals Joint Stock Company
VIETNAM
Not Listed
Tin
Tuyen Quang Non-Ferrous Metals Joint Stock Company
VIETNAM
Not Listed
Tin
CV Dua Sekawan
INDONESIA
Not Listed
Tin
PT Rajehan Ariq
INDONESIA
Conformant
Tin
An Vinh Joint Stock Mineral Processing Company
VIETNAM
Not Listed
Tin
Resind Industria e Comercio Ltda.
BRAZIL
Conformant
Tin
Super Ligas
BRAZIL
Active
Tin
Metallo Belgium N.V.
BELGIUM
Conformant
Tin
Metallo Spain S.L.U.
SPAIN
Conformant
Tin
PT Bangka Prima Tin
INDONESIA
Not Listed
Tin
PT Sukses Inti Makmur
INDONESIA
Active
Tin
PT Kijang Jaya Mandiri
INDONESIA
Not Listed
Tin
Thai Nguyen Mining and Metallurgy Co., Ltd.
VIETNAM
Conformant
Tin
PT Menara Cipta Mulia
INDONESIA
Conformant
Tin
HuiChang Hill Tin Industry Co., Ltd.
CHINA
Conformant
Tin
Gejiu Fengming Metallurgy Chemical Plant
CHINA
Not Listed
Tin
Guanyang Guida Nonferrous Metal Smelting Plant
CHINA
Not Listed


BAT Conflict Minerals Report 2021 l Page 10 of 13

 
Tin
Modeltech Sdn Bhd
MALAYSIA
Not Listed
Tin
Smelter not listed
INDONESIA
Not Listed
Tin
Guangdong Hanhe Non-Ferrous Metal Co., Ltd.
CHINA
Conformant
Tin
Chifeng Dajingzi Tin Industry Co., Ltd.
CHINA
Conformant
Tin
PT Bangka Serumpun
INDONESIA
Conformant
Tin
Pongpipat Company Limited
MYANMAR
Not Listed
Tin
Tin Technology & Refining
USA
Conformant
Tin
Dongguan CiEXPO Environmental Engineering Co., Ltd.
CHINA
Not Listed
Tin
Ma'anshan Weitai Tin Co., Ltd.
CHINA
Conformant
Tin
PT Rajawali Rimba Perkasa
INDONESIA
Conformant
Tin
Luna Smelter, Ltd.
RWANDA
Conformant
Tin
Yunnan Yunfan Non-ferrous Metals Co., Ltd.
CHINA
Not Listed
Tin
Precious Minerals and Smelting Limited
INDIA
Not Listed
Tin
Gejiu City Fuxiang Industry and Trade Co., Ltd.
CHINA
Not Listed
Tin
PT Mitra Sukses Globalindo
INDONESIA
Active
Tungsten
Kennametal Huntsville
USA
Conformant
Tungsten
Guangdong Xianglu Tungsten Co., Ltd.
CHINA
Conformant
Tungsten
Chongyi Zhangyuan Tungsten Co., Ltd.
CHINA
Conformant
Tungsten
Fujian Jinxin Tungsten Co., Ltd.
CHINA
Not Listed
Tungsten
Global Tungsten & Powders Corp.
USA
Conformant
Tungsten
Hunan Chenzhou Mining Co., Ltd.
CHINA
Conformant
Tungsten
Hunan Chunchang Nonferrous Metals Co., Ltd.
CHINA
Conformant
Tungsten
Japan New Metals Co., Ltd.
JAPAN
Conformant
Tungsten
江西章新胜钨业有限公司
CHINA
Conformant
Tungsten
Kennametal Fallon
USA
Conformant
Tungsten
Tejing (Vietnam) Tungsten Co., Ltd.
VIETNAM
Not Listed
Tungsten
Ganzhou Jiangwu Ferrotungsten Co., Ltd.
CHINA
Conformant
Tungsten
Jiangxi Yaosheng Tungsten Co., Ltd.
CHINA
Conformant
Tungsten
Jiangxi Xinsheng Tungsten Industry Co., Ltd.
CHINA
Conformant
Tungsten
Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.
CHINA
Conformant
Tungsten
Malipo Haiyu Tungsten Co., Ltd.
CHINA
Conformant
Tungsten
Xiamen Tungsten (H.C.) Co., Ltd.
CHINA
Conformant
Tungsten
Jiangxi Gan Bei Tungsten Co., Ltd.
CHINA
Conformant
Tungsten
Ganzhou Seadragon W & Mo Co., Ltd.
CHINA
Conformant
Tungsten
Chenzhou Diamond Tungsten Products Co., Ltd.
CHINA
Conformant
Tungsten
H.C. Starck Tungsten GmbH
GERMANY
Conformant
Tungsten
H.C. Starck Smelting GmbH & Co. KG
GERMANY
Conformant
Tungsten
Masan Tungsten Chemical LLC (MTC)
VIETNAM
Conformant
Tungsten
Jiangwu H.C. Starck Tungsten Products Co., Ltd.
CHINA
Conformant
Tungsten
Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji
CHINA
Not Listed


BAT Conflict Minerals Report 2021 l Page 11 of 13

 
Tungsten
Niagara Refining LLC
USA
Conformant
Tungsten
Ganzhou Haichuang Tungsten Co., Ltd.
CHINA
Conformant
Tungsten
Hydrometallurg, JSC
RUSSIAN FEDERATION
Conformant
Tungsten
Unecha Refractory metals plant
RUSSIAN FEDERATION
Conformant
Tungsten
South-East Nonferrous Metal Company Limited of Hengyang City
CHINA
Not Listed
Tungsten
Philippine Chuangxin Industrial Co., Inc.
PHILIPPINES
Conformant
Tungsten
Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.
CHINA
Conformant
Tungsten
ACL Metais Eireli
BRAZIL
Conformant
Tungsten
Woltech Korea Co., Ltd.
KOREA, REPUBLIC OF
Conformant
Tungsten
Moliren Ltd.
RUSSIAN FEDERATION
Conformant
Tungsten
KGETS Co., Ltd.
KOREA, REPUBLIC OF
Conformant






BAT Conflict Minerals Report 2021 l Page 12 of 13

 
Further Information

About this Report

This is our third 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, 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 2021 l Page 13 of 13