Form SD PITNEY BOWES INC /DE/

May 18, 2022 3:40 PM EDT

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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

_________________________
FORM SD
_________________________

Specialized Disclosure Report

_________________________
Pitney Bowes Inc.
(Exact name of registrant as specified in its charter)

 _________________________

Delaware1-357906-0495050
(State or other jurisdiction of incorporation or organization)(Commission File Number)(IRS Employer Identification No.)
World Headquarters
3001 Summer Street
Stamford, Connecticut 06926-0700
(Address of principal executive offices) (Zip Code)
Sylvain Combet, Director, Sustainability and Environment, Health and Safety
(203) 892-1921
(Name and telephone number, including area code, of the person to contact in connection with this report.)
Check the appropriate box to indicate the rule pursuant to which this form is being filed, and provide the period to which the information in this form applies:
x     Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2021.




Section 1 - Conflict Minerals Disclosure

Item 1.01 Conflict Minerals Disclosure and Report
In accordance with Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Act”) and Rule 13p-1 under the Securities Exchange Act of 1934 (the “Rule”), Pitney Bowes Inc. (the “Company”) has determined that it is subject to the reporting requirements under the Act and the Rule and that certain products that Pitney Bowes manufactured or contracted to manufacture during calendar year 2021 contain “conflict minerals” as defined in the Rule (in the form of gold and the derivatives tantalum, tin and tungsten) necessary to the functionality or production of those products. The Company has undertaken a reasonable inquiry into the country of origin of the conflict minerals in our products to assess whether any of those conflict minerals originated in the Democratic Republic of Congo or an “adjoining country” as defined in the Rule or were “conflict minerals from recycled or scrap sources” as defined in the Rule. Our inquiry and due diligence activities are described in the Conflict Minerals Report attached hereto as Exhibit 1.01.

Conflict Minerals Disclosure
A copy of Pitney Bowes Inc.’s Conflict Minerals Report filed for the calendar year ended December 31, 2021 is publicly available at http://www.pitneybowes.com/us/our-company/corporate-responsibility.

Item 1.02 Exhibit
Pitney Bowes Inc.’s Conflict Minerals Report for the calendar year ended December 31, 2021 is filed as Exhibit 1.01 hereto.

Section 2 - Resource Extraction Issuer Disclosure
Item 2.01 Resource Extraction Issuer Disclosure and Report
Not applicable.

Section 3 - Exhibits
Item 3.01 Exhibits









SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

    Pitney Bowes Inc. (Registrant)
/s/ Daniel J. Goldstein
Daniel J. Goldstein
Executive Vice President,
Chief Legal Officer and Corporate Secretary

Dated: May 18, 2022


3

Exhibit 1.01
Pitney Bowes Inc. Conflict Minerals Report
(as required by Item 1.01 and 1.02 of Form SD)

Pitney Bowes Inc. (“Pitney Bowes,” “we,” “us,” “our,” or the “Company”) submits this report pursuant to Rule 13p-1 and Form SD (the “Rule”) promulgated under the Securities Exchange Act of 1934 and adopted by the Securities and Exchange Commission pursuant to Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Act”). This report describes the inquiry the Company undertook to obtain information from internal and external sources to ascertain whether any Pitney Bowes product contains tantalum, tin, tungsten, or gold (“Conflict Minerals” or “3TG”) that originated in the Democratic Republic of the Congo or adjoining countries, as defined in the Act (collectively, the “Covered Countries”), and the due diligence Pitney Bowes conducted on the source and chain of custody of such minerals. This report covers parts and products manufactured or contracted to manufacture by the Company in the 2021 calendar year. Based on our inquiry, we have found that Conflict Minerals are necessary to the functionality or production of some of our products manufactured or contracted to manufacture in 2021.
Based on our due diligence for these 2021 products, our suppliers identified a total of 325 potential eligible smelters or refiners in their supply chains that are also identified as smelters or refiners of 3TG in the Smelter Reference List of the Responsible Minerals Initiative’s (“RMI”) Conflict Minerals Reporting Template (“Template”). For a list of these reported entities, please refer to Appendix A.

260 of these 325 smelters, or 80%, are listed as conformant or active with the Responsible Minerals Assurance Process (“RMAP”) (as of December 2021) – listed in Appendix A as “Active” or “Conformant”
58 of these 325 smelters are engaged in the RMI process but not yet finished – listed in Appendix A as “In Communication” or “Outreach Required”
5 of these 325 smelters are listed as “Communication Suspended - Not Interested” in Appendix A
2 of these 325 smelters are non-conformant with the RMAP – listed in Appendix A as “Non-Conformant”

Reasonable Country of Origin Inquiry
We conducted a reasonable country of origin inquiry (“RCOI”) to determine whether any of the necessary Conflict Minerals in our products originated in the Covered Countries or were from recycled or scrap sources. To make this determination, we focused on engaging our direct suppliers to identify the smelters and refiners of necessary Conflict Minerals that may have been contained in our products and that are recognized by the RMI to be processors of Conflict Minerals, and reviewing available information on the sourcing of Conflict Minerals by these smelters and refiners.

As a downstream company, we are several levels removed from mining minerals. We did not buy any minerals directly from mines, smelters, or refiners for use in these 2021 products. As a member of the RMI in 2021, Pitney Bowes had access to the RMI’s RCOI data, which we used to identify the potential countries of origin of 3TG processed by smelters or refiners reported by our Surveyed Suppliers (defined below). For a list of these potential countries of origin, please refer to Appendix B.
Many of the Surveyed Suppliers identified all of the smelters and refiners potentially associated with all of their product offerings and did not always limit the information provided to products supplied to Pitney Bowes. Thus, Pitney Bowes is unable to confirm whether necessary 3TG metals contained in our products in fact originated in any of these countries.
Thirty-nine (39) smelters or refiners were identified by RCOI data as potentially sourcing directly or indirectly from the Covered Countries. We carried out our own due diligence and confirmed that all of these smelters or refiners are conformant with RMAP.

Pitney Bowes recognizes that the intent of the Rule is not to stop commercial ties with smelters and refiners sourcing Conflict Minerals from the DRC or adjoining countries, but to ensure that these minerals are being responsibly sourced and are not directly or indirectly financing or benefitting armed groups in those countries. We are satisfied that the status of “Conformant” provides reasonable and adequate evidence of responsible sourcing.

Our due diligence activities are further described in this report.




1. Pitney Bowes’ Design of Due Diligence

A. Due Diligence Framework

We designed our due diligence to conform, in all material respects, with the framework set out in the “Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas” and related Supplements on Tin, Tantalum and Tungsten and on Gold (“OECD Guidance”), published by the Organisation for Economic Cooperation and Development (the “OECD”). Since Pitney Bowes does not buy Conflict Minerals directly from mines, smelters or refiners, we must rely on our suppliers to provide us with information regarding the source of the Conflict Minerals contained in the products and parts those suppliers provide to us. Our direct suppliers are similarly reliant upon information provided by their suppliers. Accordingly, we have designed our due diligence to leverage the due diligence tools developed by RMI, including a supplier survey based on the Template, which is designed to help companies identify the smelters and refiners that process the Conflict Minerals in a company’s supply chain. We have incorporated the following five-step, risk-based approach to 3TG due diligence based on OECD Guidance into the design of our Conflict Minerals due diligence program:
  
establish and maintain appropriate internal managment systems to identify and manage the 3TG in our global supply chain;
  
identify and assess any risks associated with the use of 3TG in our supply chain by obtaining and evaluating 3TG sourcing information from suppliers;
  
design and implement a strategy to respond to 3TG risks in our supply chain;
  
support independent auditing of smelter and refiner due diligence practices; and
  
report publicly on supply chain due diligence.

B. Scope of Due Diligence
In order to determine if products manufactured or contracted to manufacture by Pitney Bowes contain 3TG sourced from Covered Countries, we sought out industry best practices, reviewed current guidance from various associations such as the OECD and the Information Technology Industry Council (“ITI”), and attended industry association meetings to assess how other multinational corporations approach Conflict Minerals compliance.
Working with outside consultants, we developed a Conflict Minerals survey based on the Template and guidance from the RMI and ITI. We identified the suppliers involved in the supply chain of the products we manufacture or contracted to manufacture for consideration for the survey and then removed from consideration for the survey any suppliers that either do not contain tin, tantalum, tungsten or gold, or otherwise supplied equipment that is outside the scope of the Rule. We sent the Conflict Minerals survey to the 51 remaining suppliers (the “Surveyed Suppliers”). We asked the Surveyed Suppliers to respond with certain information, including their Conflict Minerals policies, usage of 3TG, the smelters and refiners of Conflict Minerals in their supply chains, and the country of origin of the 3TG they used.
The Surveyed Suppliers who completed the survey were asked to attest to the accuracy of their survey responses. The Product Compliance Team (defined below) monitored supplier responses to our surveys and contacted the Surveyed Suppliers who submitted incomplete responses or who failed to respond. We requested updated submittals from the Surveyed Suppliers that submitted responses with a less than 75% response rate from their supply chain and suppliers that listed smelters with inaccurate information. Data received from Surveyed Suppliers and updated by our Procurement department through April 12, 2022 have been included in this report.
We collected and tracked the survey responses in our product compliance database for consolidation, validation, and further analysis. We also generated periodic status reports to track and review our progress in data collection and evaluate which suppliers needed additional help in completing the survey.









C. Due Diligence Results for Pitney Bowes’ 2021 Products    
Based on our due diligence, we determined that Conflict Minerals were necessary to the functionality or production of various products from our hardware product offerings list, which includes a varied array of equipment that processes direct mail and/or enables transactional mail management and analytics that we manufactured or contracted to manufacture in 2021.
Some examples of these products include: postage meters, low-/medium-/high-volume mailing systems that can weigh, seal and apply postage to envelopes; inserters; folders; mail openers; tabbers; scales; printers; accessories; and peripherals.
D. Pitney Bowes’ Conflict Minerals Disclosure Posting
We have made public our activities related to Conflict Minerals in our Corporate Responsibility Report and have posted this Conflict Minerals Report to our website (Pitney Bowes Corporate Responsibility).1

2. Pitney Bowes’ Due Diligence Measures Undertaken for 2021 Products
In an effort to continue to identify and mitigate any risk that the use of 3TG in our products going forward may benefit armed groups in the Covered Countries, we have incorporated the relevant aspects of the OECD Guidance (as summarized in the sections that follow) into our risk management program for product stewardship requirements (including Conflict Minerals).
A. Development of an Internal, Strong Management System.
1. High level management oversight
In order to provide effective management support for, and high level escalation of issues relating to, the Company’s overall supply chain due diligence efforts (inclusive of Conflict Minerals), we formed two cross-functional teams: the Environmental Product Compliance Team (the “Product Compliance Team”) and the Environmental Committee (the “Environmental Committee”).
The Product Compliance Team is comprised of representatives from Procurement, Supply Chain, Quality, Engineering, Environmental Health and Safety (“EHS”), and Global Product Line Management and other support groups. This team is responsible for assisting the Company in meeting the requirements of global product-compliance regulations.
The Environmental Committee is comprised of a group of cross-functional leaders from Procurement, Supply Chain, Quality, Engineering, EHS, Legal, and Global Product Line Management, and oversees the work of the Product Compliance Team. The Environmental Committee is tasked with providing guidance regarding environmental product compliance, authorizing the financial and human resources needed for product compliance, and enforcing corrective action measures within Company operations and within our supply chain. Members of the Environmental Committee report potential issues and company risks to the Company’s senior executives, as well as in connection with the Enterprise Risk Management review process.
2. Pitney Bowes’ Conflict Minerals policy and procedures
We established a conflict minerals policy to guide our communications with and expectations for suppliers regarding Conflict Minerals. It is the Company’s goal that we will not knowingly manufacture or contract to manufacture products that include Conflict Minerals that originate from the Covered Countries, unless they were processed by smelters and refiners that are certified as conformant with the RMAP or an equivalent cross-recognized standard or came from recycled or scrap sources. We communicated our expectation that our Surveyed Suppliers source products, parts and components from socially responsible sources and conduct reasonable due diligence on their supply chains in an effort to assure that Conflict Minerals are not knowingly sourced from the Covered Countries unless they were processed by smelters and refiners that are conformant with the RMAP or came from recycled or scrap sources.
    
We adopted and periodically review certain procedures and maintain the following steps regarding our use of 3TG:

1 References to our website and information available through this website are not incorporated by reference herein unless otherwise noted.



  
Our Supplier Code of Conduct describes our Conflict Minerals and other product compliance requirements;
 
Our engineering standards and specifications include requirements to specify that suppliers must meet Section 1502(e)(4) of the Dodd Frank Act;
  
Our Quality Assurance audit templates include supplier requirements with respect to products containing 3TG;
  
Incorporated consideration of Conflict Mineral issues within the Pitney Bowes Product Review Process;
  
Periodically update and distribute to all suppliers our contractual language regarding certification that 3TG from Covered Countries is conflict free or came from recycled or scrap sources;
  
Annually publish Conflict Minerals information on our website and in our Corporate Responsibility Report;
  
Include Conflict Minerals in Enterprise Risk Management meetings to ensure regular review by our management;
  
Include review of Conflict Minerals supply chain data and related processes in the Company’s standardized environmental compliance reviews of key suppliers;
  
Complete training classes through our learning management system and via video-conference and in person classes in order to educated relevant employees, where necessary;
  
Educate Suppliers and other partners regarding Conflict Minerals during business reviews, where necessary;
Continue to require Surveyed Suppliers to complete surveys with the goal of identifying the smelters and refineries used to process Conflict Minerals in their supply chain;
  
Maintain internal policies, written procedures, tools and training to ensure effective implementation of our Conflict Minerals management program;
  
Track and report supplier data in a product compliance information database; and
  
Manage a supplier escalation protocol to ensure consistent and thorough management of unresponsive suppliers when needed – this protocol documents our supplier engagement and how we interact with unresponsive suppliers or suppliers who provide incomplete, questionable, or indeterminable information.
  

In addition, Pitney Bowes was a member of the RMI during 2021 and had access to best practices and RCOI data.

3. Pitney Bowes’ system of controls and transparency over the 3TG supply chain
As part of the Company’s broader requirement that our suppliers provide us with accurate and complete information relating to the sources of all substances contained in any product, part or component they provide to us, we required that Surveyed Suppliers provide us with information on Conflict Minerals contained in such products, parts, or components.
Surveyed Suppliers who failed to respond to our request for data were subject to additional evaluation to determine whether further engagement or escalation was necessary.
4. Pitney Bowes’ engagement with suppliers
The Company has multiple methods to encourage our suppliers to commit to our policies requiring responsible supplier operations. We have communicated our Conflict Minerals requirements to our Suppliers and other product stewardship requirements, as applicable, to our global supply chain. In connection with our data collection efforts, we have explained to our Suppliers our requirement that they conduct their operations as socially responsible suppliers. In addition, we have revised our supplier form contract language to include compliance with our Conflict Minerals efforts. Our supplier contracts have long contained provisions giving us the right to conduct unannounced visits to supplier sites and to request documentation to confirm the supplier’s compliance with our policies and contractual requirements. Our Surveyed Suppliers have received information regarding Conflict Minerals requirements and completion of our product compliance database.




5. Pitney Bowes’ Company-level grievance mechanism
For many years, Pitney Bowes has maintained an Ethics Help Line which is available toll-free, 24 hours a day, seven days a week. The Ethics Help Line is operated by an outside firm and enables employees, clients and others to make inquiries and report concerns about potential violations of Company policy or the law, in many languages, without fear of retaliation. Anyone can contact the Ethics Help Line to report any concerns about Conflict Minerals that may be contained in our products.
B. Identification and Assessment of Risk in Our Supply Chain.
The Company continues its program of conducting supply chain due diligence and risk assessment on supplier sources of 3TGs as described above in Section 1 (Pitney Bowes’ Design of Due Diligence).
C. Strategy for Responding to Identified Risks in Our 3TG Supply Chain.
As described above, the Product Compliance Team monitored supplier responses to our surveys and contacted Surveyed Suppliers who submitted incomplete responses or who failed to respond so that we could understand what was preventing them from submitting a full and final attestation regarding their product line. The Product Compliance Team also reviewed the data from the product compliance database to determine which Surveyed Suppliers had data gaps, had raised questions or had not been responsive. Any Surveyed Suppliers that were considered non-responsive or higher risk were escalated to designated internal teams and management for further evaluation as they were identified.
We also reported the findings and information gathered through our inquiry and due diligence to Pitney Bowes senior management.

D. Support for Independent Third-party Audits of Supply Chain Due Diligence

Since we do not have direct relationships with smelters or refiners, we did not perform direct audits of these entities’ supply chains of Conflict Minerals. However, we supported the development and implementation of smelter and refinery sourcing audits conducted by independent third parties and industry groups, such as the RMI’s RMAP, through our conflict minerals policy, expectations regarding responsible sourcing of minerals from the Covered Countries, and our 2021 RMI membership.

3. Future Actions to Further Minimize Any Risk of Conflict Minerals Benefitting Armed Groups
The Company will continue to request information from our supply chain in order to meet the requirements of the Rule. Where there is reason to believe that a supplier is not adopting a Conflict Minerals policy or providing the necessary data to us, we will work with the supplier to address the issue. In the event of continued supplier deficiencies, we will consider appropriate measures including, if appropriate, termination of our relationship with a supplier.




Appendix A

List of Smelters / Refiners Identified by the Surveyed Suppliers

The following list provides the name, location and status of smelters and refiners identified by the Surveyed Suppliers. Pitney Bowes is unable to confirm that any or all smelters and refiners in this list processed the necessary 3TG metals contained in our products, since a number of the Surveyed Suppliers identified all smelters and refiners in their total supply chain and did not limit their responses to the specific products supplied to Pitney Bowes.

Smelter and refiner names and locations were drawn from the Smelter Reference List in the latest version of the Template. The list of smelters and refiners is based on information provided by Surveyed Suppliers as of April 12, 2022. The status of these smelters and refiners is based on the Responsible Minerals Initiative (“RMI”) data as of December 2021. “Conformant” means listed by RMI as conformant with RMAP assessment protocols; “Active” means listed by RMI as having committed to undergo an audit or as participating in a similar assessment program such as the London Bullion Market Association Responsible Gold Certification or the Responsible Jewelry Council’s Chain-of-Custody Certification. Smelters or refiners listed as “In Communication” or “Outreach Required” have begun discussions with or will be encouraged to participate in the RMAP audit. Smelters and refiners designated by RMI as “Non-Conformant” and “Communication Suspended – Not Interested,” are not currently conformant with RMAP assessment protocols and/or are not currently progressing toward participation in an audit. Entities that are no longer recognized as smelters or refiners are not included in the reference list below (for example, if they are no longer included in the Smelter Reference List of RMI’s Template based on RMI’s determination that the entity did not actually engage in smelting or refining activities or if we or RMI believe they are no longer in operation).



MetalStandard Smelter NameIdentificationAudit Status
Gold8853 S.p.A.CID002763Conformant
GoldAdvanced Chemical CompanyCID000015Conformant
GoldAfrican Gold RefineryCID003185Outreach Required
GoldAida Chemical Industries Co., Ltd.CID000019Conformant
GoldAl Etihad Gold Refinery DMCCCID002560Conformant
GoldAlexy MetalsCID003500Active
GoldAllgemeine Gold-und Silberscheideanstalt A.G.CID000035Conformant
GoldAlmalyk Mining and Metallurgical Complex (AMMC)CID000041Conformant
GoldAngloGold Ashanti Corrego do Sitio MineracaoCID000058Conformant
GoldArgor-Heraeus S.A.CID000077Conformant
GoldAsahi Pretec Corp.CID000082Conformant
GoldAsahi Refining Canada Ltd.CID000924Conformant
GoldAsahi Refining USA Inc.CID000920Conformant



GoldAsaka Riken Co., Ltd.CID000090Conformant
GoldAtasay Kuyumculuk Sanayi Ve Ticaret A.S.CID000103Outreach Required
GoldAU Traders and RefinersCID002850Non-Conformant
GoldAugmont Enterprises Private LimitedCID003461Active
GoldAurubis AGCID000113Conformant
GoldBangalore RefineryCID002863Conformant
GoldBangko Sentral ng Pilipinas (Central Bank of the Philippines)CID000128Conformant
GoldBoliden ABCID000157Conformant
GoldC. Hafner GmbH + Co. KGCID000176Conformant
GoldC.I Metales Procesados Industriales SASCID003421Active
GoldCaridadCID000180Outreach Required
GoldCCR Refinery - Glencore Canada CorporationCID000185Conformant
GoldCendres + Metaux S.A.CID000189Conformant
GoldCGR Metalloys Pvt Ltd.CID003382Outreach Required
GoldChimet S.p.A.CID000233Conformant
GoldChugai MiningCID000264Conformant
GoldDaye Non-Ferrous Metals Mining Ltd.CID000343In Communication
GoldDegussa Sonne / Mond Goldhandel GmbHCID002867Outreach Required
GoldDijllah Gold Refinery FZCCID003348Outreach Required
GoldDODUCO Contacts and Refining GmbHCID000362Conformant
GoldDowaCID000401Conformant
GoldDSC (Do Sung Corporation)CID000359Conformant



GoldEco-System Recycling Co., Ltd. East PlantCID000425Conformant
GoldEco-System Recycling Co., Ltd. North PlantCID003424Conformant
GoldEco-System Recycling Co., Ltd. West PlantCID003425Conformant
GoldEmerald Jewel Industry India Limited (Unit 1)CID003487In Communication
GoldEmerald Jewel Industry India Limited (Unit 2)CID003488In Communication
GoldEmerald Jewel Industry India Limited (Unit 3)CID003489In Communication
GoldEmerald Jewel Industry India Limited (Unit 4)CID003490In Communication
GoldEmirates Gold DMCCCID002561Conformant
GoldFujairah Gold FZCCID002584Outreach Required
GoldGCC Gujrat Gold Centre Pvt. Ltd.CID002852Active
GoldGeib Refining CorporationCID002459Conformant
GoldGold Coast RefineryCID003186Outreach Required
GoldGold Refinery of Zijin Mining Group Co., Ltd.CID002243Conformant
GoldGreat Wall Precious Metals Co., Ltd. of CBPMCID001909Outreach Required
GoldGuangdong Jinding Gold LimitedCID002312Outreach Required
GoldGuoda Safina High-Tech Environmental Refinery Co., Ltd.CID000651Outreach Required
GoldHangzhou Fuchunjiang Smelting Co., Ltd.CID000671Outreach Required
GoldHeimerle + Meule GmbHCID000694Conformant
GoldHeraeus Germany GmbH Co. KGCID000711Conformant
GoldHeraeus Metals Hong Kong Ltd.CID000707Conformant
GoldHunan Chenzhou Mining Co., Ltd.CID000767Outreach Required



GoldHunan Guiyang yinxing Nonferrous Smelting Co., Ltd.CID000773Outreach Required
GoldHwaSeong CJ CO., LTD.CID000778Communication Suspended - Not Interested
GoldInner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.CID000801Conformant
GoldInternational Precious Metal RefinersCID002562In Communication
GoldIshifuku Metal Industry Co., Ltd.CID000807Conformant
GoldIstanbul Gold RefineryCID000814Conformant
GoldItalpreziosiCID002765Conformant
GoldJALAN & CompanyCID002893Outreach Required
GoldJapan MintCID000823Conformant
GoldJiangxi Copper Co., Ltd.CID000855Conformant
GoldJSC Novosibirsk RefineryCID000493Conformant
GoldJSC UralelectromedCID000929Conformant
GoldJX Nippon Mining & Metals Co., Ltd.CID000937Conformant
GoldK.A. RasmussenCID003497Outreach Required
GoldKazakhmys Smelting LLCCID000956In Communication
GoldKazzincCID000957Conformant
GoldKennecott Utah Copper LLCCID000969Conformant
GoldKGHM Polska Miedz Spolka AkcyjnaCID002511Conformant
GoldKojima Chemicals Co., Ltd.CID000981Conformant
GoldKorea Zinc Co., Ltd.CID002605Conformant
GoldKundan Care Products Ltd.CID003463In Communication
GoldKyrgyzaltyn JSCCID001029Non-Conformant
GoldKyshtym Copper-Electrolytic Plant ZAOCID002865Outreach Required
GoldLingbao Gold Co., Ltd.CID001056Outreach Required



GoldLingbao Jinyuan Tonghui Refinery Co., Ltd.CID001058Outreach Required
GoldL'Orfebre S.A.CID002762Conformant
GoldLS-NIKKO Copper Inc.CID001078Conformant
GoldLT Metal Ltd.CID000689Conformant
GoldLuoyang Zijin Yinhui Gold Refinery Co., Ltd.CID001093Outreach Required
GoldMarsam MetalsCID002606Conformant
GoldMaterionCID001113Conformant
GoldMatsuda Sangyo Co., Ltd.CID001119Conformant
GoldMD OverseasCID003548In Communication
GoldMetal Concentrators SA (Pty) Ltd.CID003575Conformant
GoldMetallix Refining Inc.CID003557In Communication
GoldMetalor Technologies (Hong Kong) Ltd.CID001149Conformant
GoldMetalor Technologies (Singapore) Pte., Ltd.CID001152Conformant
GoldMetalor Technologies (Suzhou) Ltd.CID001147Conformant
GoldMetalor Technologies S.A.CID001153Conformant
GoldMetalor USA Refining CorporationCID001157Conformant
GoldMetalurgica Met-Mex Penoles S.A. De C.V.CID001161Conformant
GoldMitsubishi Materials CorporationCID001188Conformant
GoldMitsui Mining and Smelting Co., Ltd.CID001193Conformant
GoldMMTC-PAMP India Pvt., Ltd.CID002509Conformant
GoldMorris and WatsonCID002282In Communication
GoldMoscow Special Alloys Processing PlantCID001204Conformant



GoldNadir Metal Rafineri San. Ve Tic. A.S.CID001220Conformant
GoldNavoi Mining and Metallurgical CombinatCID001236Conformant
GoldNH Recytech CompanyCID003189Conformant
GoldNihon Material Co., Ltd.CID001259Conformant
GoldOgussa Osterreichische Gold- und Silber-Scheideanstalt GmbHCID002779Conformant
GoldOhura Precious Metal Industry Co., Ltd.CID001325Conformant
GoldOJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)CID001326Conformant
GoldPAMP S.A.CID001352Conformant
GoldPease & CurrenCID002872Communication Suspended - Not Interested
GoldPenglai Penggang Gold Industry Co., Ltd.CID001362Outreach Required
GoldPlanta Recuperadora de Metales SpACID002919Conformant
GoldPrioksky Plant of Non-Ferrous MetalsCID001386Conformant
GoldPT Aneka Tambang (Persero) TbkCID001397Conformant
GoldPX Precinox S.A.CID001498Conformant
GoldQG Refining, LLCCID003324Outreach Required
GoldRand Refinery (Pty) Ltd.CID001512Conformant
GoldRefinery of Seemine Gold Co., Ltd.CID000522Outreach Required
GoldREMONDIS PMR B.V.CID002582Conformant
GoldRoyal Canadian MintCID001534Conformant
GoldSAAMPCID002761Conformant



GoldSabin Metal Corp.CID001546Communication Suspended - Not Interested
GoldSafimet S.p.ACID002973Conformant
GoldSAFINA A.S.CID002290Conformant
GoldSai RefineryCID002853Outreach Required
GoldSamduck Precious MetalsCID001555Conformant
GoldSamwon Metals Corp.CID001562Communication Suspended - Not Interested
GoldSancus ZFS (L’Orfebre, SA)CID003529Active
GoldSAXONIA Edelmetalle GmbHCID002777Conformant
GoldSellem Industries Ltd.CID003540Outreach Required
GoldSEMPSA Joyeria Plateria S.A.CID001585Conformant
GoldShandong Gold Smelting Co., Ltd.CID001916Conformant
GoldShandong Humon Smelting Co., Ltd.CID002525Outreach Required
GoldShandong Tiancheng Biological Gold Industrial Co., Ltd.CID001619Outreach Required
GoldShandong Zhaojin Gold & Silver Refinery Co., Ltd.CID001622Conformant
GoldShenzhen Zhonghenglong Real Industry Co., Ltd.CID002527Outreach Required
GoldShirpur Gold Refinery Ltd.CID002588Outreach Required
GoldSichuan Tianze Precious Metals Co., Ltd.CID001736Conformant
GoldSingway Technology Co., Ltd.CID002516Conformant
GoldSOE Shyolkovsky Factory of Secondary Precious MetalsCID001756Conformant
GoldSolar Applied Materials Technology Corp.CID001761Conformant
GoldSovereign MetalsCID003383Outreach Required



GoldState Research Institute Center for Physical Sciences and TechnologyCID003153Outreach Required
GoldSudan Gold RefineryCID002567Outreach Required
GoldSumitomo Metal Mining Co., Ltd.CID001798Conformant
GoldSungEel HiMetal Co., Ltd.CID002918Conformant
GoldT.C.A S.p.ACID002580Conformant
GoldTanaka Kikinzoku Kogyo K.K.CID001875Conformant
GoldTokuriki Honten Co., Ltd.CID001938Conformant
GoldTongling Nonferrous Metals Group Co., Ltd.CID001947Outreach Required
GoldTOO Tau-Ken-AltynCID002615Conformant
GoldTorecomCID001955Conformant
GoldUmicore Precious Metals ThailandCID002314Conformant
GoldUmicore S.A. Business Unit Precious Metals RefiningCID001980Conformant
GoldUnited Precious Metal Refining, Inc.CID001993Conformant
GoldValcambi S.A.CID002003Conformant
GoldWestern Australian Mint (T/a The Perth Mint)CID002030Conformant
GoldWIELAND Edelmetalle GmbHCID002778Conformant
GoldYamakin Co., Ltd.CID002100Conformant
GoldYokohama Metal Co., Ltd.CID002129Conformant
GoldYunnan Copper Industry Co., Ltd.CID000197Outreach Required
GoldZhongyuan Gold Smelter of Zhongjin Gold CorporationCID002224Conformant
GoldSuper Dragon Technology Co., Ltd.CID001810Outreach Required
GoldValue TradingCID003617In Communication
GoldWEEEREFININGCID003615Active
TantalumChangsha South Tantalum Niobium Co., Ltd.CID000211Conformant



TantalumD Block Metals, LLCCID002504Conformant
TantalumExotech Inc.CID000456Conformant
TantalumF&X Electro-Materials Ltd.CID000460Conformant
TantalumFIR Metals & Resource Ltd.CID002505Conformant
TantalumGlobal Advanced Metals AizuCID002558Conformant
TantalumGlobal Advanced Metals BoyertownCID002557Conformant
TantalumH.C. Starck Hermsdorf GmbHCID002547Conformant
TantalumH.C. Starck Inc.CID002548Conformant
TantalumHengyang King Xing Lifeng New Materials Co., Ltd.CID002492Conformant
TantalumJiangxi Dinghai Tantalum & Niobium Co., Ltd.CID002512Conformant
TantalumJiangxi Tuohong New Raw MaterialCID002842Conformant
TantalumJiuJiang JinXin Nonferrous Metals Co., Ltd.CID000914Conformant
TantalumJiujiang Tanbre Co., Ltd.CID000917Conformant
TantalumJiujiang Zhongao Tantalum & Niobium Co., Ltd.CID002506Conformant
TantalumKEMET de MexicoCID002539Conformant
TantalumLSM Brasil S.A.CID001076Conformant
TantalumMetallurgical Products India Pvt., Ltd.CID001163Conformant



TantalumMineracao Taboca S.A.CID001175Conformant
TantalumMitsui Mining and Smelting Co., Ltd.CID001192Conformant
TantalumNingxia Orient Tantalum Industry Co., Ltd.CID001277Conformant
TantalumNPM Silmet ASCID001200Conformant
TantalumQuantumCleanCID001508Conformant
TantalumResind Industria e Comercio Ltda.CID002707Conformant
TantalumSolikamsk Magnesium Works OAOCID001769Conformant
TantalumTaki Chemical Co., Ltd.CID001869Conformant
TantalumTANIOBIS Co., Ltd.CID002544Conformant
TantalumTANIOBIS GmbHCID002545Conformant
TantalumTANIOBIS Japan Co., Ltd.CID002549Conformant
TantalumTANIOBIS Smelting GmbH & Co. KGCID002550Conformant
TantalumTelex MetalsCID001891Conformant
TantalumUlba Metallurgical Plant JSCCID001969Conformant
TantalumXIMEI RESOURCES (GUANGDONG) LIMITEDCID000616Conformant
TantalumXinXing HaoRong Electronic Material Co., Ltd.CID002508Conformant
TantalumYanling Jincheng Tantalum & Niobium Co., Ltd.CID001522Conformant



TantalumYancheng Jinye New Material Technology Co., Ltd.CID003583Conformant
TinAlphaCID000292Conformant
TinAn Vinh Joint Stock Mineral Processing CompanyCID002703Outreach Required
TinChenzhou Yunxiang Mining and Metallurgy Co., Ltd.CID000228Conformant
TinChifeng Dajingzi Tin Industry Co., Ltd.CID003190Conformant
TinChina Tin Group Co., Ltd.CID001070Conformant
TinCRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil LtdaCID003486Active
TinCRM SynergiesCID003524Active
TinCV Venus Inti PerkasaCID002455Active
TinDowaCID000402Conformant
TinEM VintoCID000438Conformant
TinEstanho de Rondonia S.A.CID000448Active
TinFenix MetalsCID000468Conformant
TinGejiu City Fuxiang Industry and Trade Co., Ltd.CID003410Outreach Required
TinGejiu Kai Meng Industry and Trade LLCCID000942Conformant
TinGejiu Non-Ferrous Metal Processing Co., Ltd.CID000538Conformant
TinGejiu Yunxin Nonferrous Electrolysis Co., Ltd.CID001908Conformant
TinGejiu Zili Mining And Metallurgy Co., Ltd.CID000555Conformant
TinGuangdong Hanhe Non-Ferrous Metal Co., Ltd.CID003116Conformant
TinHuiChang Hill Tin Industry Co., Ltd.CID002844Conformant



TinJiangxi New Nanshan Technology Ltd.CID001231Conformant
TinLuna Smelter, Ltd.CID003387Conformant
TinMa'anshan Weitai Tin Co., Ltd.CID003379Conformant
TinMagnu's Minerais Metais e Ligas Ltda.CID002468Conformant
TinMalaysia Smelting Corporation (MSC)CID001105Conformant
TinMelt Metais e Ligas S.A.CID002500Conformant
TinMetallic Resources, Inc.CID001142Conformant
TinMetallo Belgium N.V.CID002773Conformant
TinMetallo Spain S.L.U.CID002774Conformant
TinMineracao Taboca S.A.CID001173Conformant
TinMinsurCID001182Conformant
TinMitsubishi Materials CorporationCID001191Conformant
TinNghe Tinh Non-Ferrous Metals Joint Stock CompanyCID002573Outreach Required
TinNovosibirsk Processing Plant Ltd.CID001305Active
TinO.M. Manufacturing (Thailand) Co., Ltd.CID001314Conformant
TinO.M. Manufacturing Philippines, Inc.CID002517Conformant
TinOperaciones Metalurgicas S.A.CID001337Conformant
TinPongpipat Company LimitedCID003208Outreach Required
TinPT Artha Cipta LanggengCID001399Conformant
TinPT ATD Makmur Mandiri JayaCID002503Conformant
TinPT Babel Surya Alam LestariCID001406Conformant
TinPT Bangka SerumpunCID003205Conformant
TinPT Menara Cipta MuliaCID002835Conformant
TinPT Mitra Stania PrimaCID001453Conformant



TinPT Mitra Sukses GlobalindoCID003449Active
TinPT Prima Timah UtamaCID001458Conformant
TinPT Rajawali Rimba PerkasaCID003381Conformant
TinPT Refined Bangka TinCID001460Conformant
TinPT Stanindo Inti PerkasaCID001468Conformant
TinPT Timah NusantaraCID001486Active
TinPT Timah Tbk KundurCID001477Conformant
TinPT Timah Tbk MentokCID001482Conformant
TinPT Tinindo Inter NusaCID001490Conformant
TinResind Industria e Comercio Ltda.CID002706Conformant
TinRui Da HungCID001539Conformant
TinSoft Metais Ltda.CID001758Conformant
TinSuper LigasCID002756Active
TinThai Nguyen Mining and Metallurgy Co., Ltd.CID002834Conformant
TinThaisarcoCID001898Conformant
TinTin Technology & RefiningCID003325Conformant
TinTuyen Quang Non-Ferrous Metals Joint Stock CompanyCID002574Outreach Required
TinVQB Mineral and Trading Group JSCCID002015Outreach Required
TinWhite Solder Metalurgia e Mineracao Ltda.CID002036Conformant
TinYunnan Chengfeng Non-ferrous Metals Co., Ltd.CID002158Conformant
TinYunnan Tin Company LimitedCID002180Active
TinYunnan Yunfan Non-ferrous Metals Co., Ltd.CID003397Conformant
TinFabrica Auricchio Industria e Comercio Ltda.CID003582Conformant
TinPT Babel Inti PerkasaCID001402Conformant



TinPT Bukit TimahCID001428Active
TinPT Cipta Persada MuliaCID002696Active
TinPT Sariwiguna BinasentosaCID001463Conformant
TinPT Belitung Industri SejahteraCID001421Outreach Required
TinPT Panca Mega PersadaCID001457Outreach Required
TinPT Masbro Alam StaniaCID003380Active
TinPT Tirus Putra MandiriCID002478Outreach Required
TungstenA.L.M.T. Corp.CID000004Conformant
TungstenACL Metais EireliCID002833Conformant
TungstenAlbasteel Industria e Comercio de Ligas Para Fundicao Ltd.CID003427Active
TungstenArtek LLCCID003553Outreach Required
TungstenAsia Tungsten Products Vietnam Ltd.CID002502Conformant
TungstenChenzhou Diamond Tungsten Products Co., Ltd.CID002513Conformant
TungstenChina Molybdenum Tungsten Co., Ltd.CID002641Conformant
TungstenChongyi Zhangyuan Tungsten Co., Ltd.CID000258Conformant
TungstenCNMC (Guangxi) PGMA Co., Ltd.CID000281Outreach Required
TungstenCronimet Brasil LtdaCID003468Conformant
TungstenFujian Ganmin RareMetal Co., Ltd.CID003401Conformant
TungstenGanzhou Haichuang Tungsten Co., Ltd.CID002645Conformant



TungstenGanzhou Huaxing Tungsten Products Co., Ltd.CID000875Conformant
TungstenGanzhou Jiangwu Ferrotungsten Co., Ltd.CID002315Conformant
TungstenGanzhou Seadragon W & Mo Co., Ltd.CID002494Conformant
TungstenGEM Co., Ltd.CID003417Active
TungstenGlobal Tungsten & Powders Corp.CID000568Conformant
TungstenGuangdong Xianglu Tungsten Co., Ltd.CID000218Conformant
TungstenH.C. Starck Tungsten GmbHCID002541Conformant
TungstenHunan Chenzhou Mining Co., Ltd.CID000766Conformant
TungstenHunan Chunchang Nonferrous Metals Co., Ltd.CID000769Conformant
TungstenHydrometallurg, JSCCID002649Conformant
TungstenJapan New Metals Co., Ltd.CID000825Conformant
TungstenJiangwu H.C. Starck Tungsten Products Co., Ltd.CID002551Conformant
TungstenJiangxi Gan Bei Tungsten Co., Ltd.CID002321Conformant
TungstenJiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.CID002313Communication Suspended - Not Interested
TungstenJiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.CID002318Conformant
TungstenJiangxi Xinsheng Tungsten Industry Co., Ltd.CID002317Conformant



TungstenJiangxi Yaosheng Tungsten Co., Ltd.CID002316Conformant
TungstenJSC "Kirovgrad Hard Alloys Plant"CID003408Active
TungstenKennametal FallonCID000966Conformant
TungstenKennametal HuntsvilleCID000105Conformant
TungstenKGETS Co., Ltd.CID003388Conformant
TungstenLianyou Metals Co., Ltd.CID003407Conformant
TungstenMalipo Haiyu Tungsten Co., Ltd.CID002319Conformant
TungstenMasan High-Tech MaterialsCID002543Conformant
TungstenMoliren Ltd.CID002845Conformant
TungstenNiagara Refining LLCCID002589Conformant
TungstenNPP Tyazhmetprom LLCCID003416Active
TungstenPhilippine Chuangxin Industrial Co., Inc.CID002827Conformant
TungstenTANIOBIS Smelting GmbH & Co. KGCID002542Conformant
TungstenUnecha Refractory metals plantCID002724Conformant
TungstenWolfram Bergbau und Hutten AGCID002044Conformant
TungstenXiamen Tungsten (H.C.) Co., Ltd.CID002320Conformant
TungstenXiamen Tungsten Co., Ltd.CID002082Conformant



TungstenXinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.CID002830Conformant
TungstenFujian Xinlu TungstenCID003609Conformant
TungstenOOO “Technolom” 1CID003614Active
TungstenOOO “Technolom” 2CID003612Active




APPENDIX B


Countries of Origin

Based on the Responsible Minerals Initiative’s data on Reasonable Country of Origin Inquiry dated December 2021, potential countries of origin for 3TG processed by smelters or refiners may include (but are not necessarily limited to):


Andorra
Angola
Antigua and Barbuda
Argentina
Armenia
Australia
Austria
Azerbaijan
Bahamas
Bangladesh
Barbados
Belarus
Belgium
Benin
Bolivia
Botswana
Brazil
Bulgaria
Burkina Faso
Burundi
Canada
Cayman Islands
Chile
China
Colombia
Congo, Democratic Republic of the
Costa Rica
Cote d'Ivoire
Croatia
Cuba
Curacao
Cyprus
Czechia
Denmark
Dominica
Dominican Republic
Ecuador
Egypt
El Salvador
Eritrea
Estonia



Ethiopia
Fiji
Finland
France
French Guiana
Gabon
Georgia
Germany
Ghana
Greece
Grenada
Guatemala
Guernsey
Guinea
Guyana
Honduras
Hong Kong
Hungary
India
Indonesia
Ireland
Israel
Italy
Ivory Coast
Japan
Jordan
Kazakhstan
Kenya
Krygyzstan
Laos
Latvia
Lebanon
Liberia
Libya
Lithuania
Luxembourg
Madagascar
Malaysia
Mali
Malta
Mauritania
Mexico
Monaco
Mongolia
Montenegro
Morocco
Mozambique
Myanmar



Namibia
Netherlands
New Zealand
Nicaragua
Niger
Nigeria
Norway
Oman
Pakistan
Panama
Papua New Guinea
Peru
Philippines
Poland
Portugal
Puerto Rico
Qatar
Romania
Russia
Rwanda
Saint Kitts and Nevis
Saudi Arabia
Senegal
Serbia
Sierra Leone
Singapore
Sint Maarten
Slovakia
Slovenia
Solomon Islands
South Africa
South Korea
Spain
St Vincent and Grenadines
Sudan
Suriname
Swaziland
Sweden
Switzerland
Taiwan
Tajikistan
Tanzania
Thailand
Togo
Trinidad and Tobago
Tunisia
Turkey
Turks and Caicos



Uganda
Ukraine
United Arab Emirates
United Kingdom
United States of America
Uruguay
Uzbekistan
Venezuela
Vietnam
Virgin Islands
Yemen
Zimbabwe




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