Form SD 3D SYSTEMS CORP
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
______________________
FORM SD
Specialized Disclosure Report
______________________
3D SYSTEMS CORPORATION
(Exact Name of Registrant as Specified in Its Charter)
______________________
| Delaware | 001-34220 | 95-4431352 |
| (State or Other Jurisdiction of Incorporation or Organization) | (Commission File Number) | (I.R.S. Employer Identification No.) |
| 333 THREE D SYSTEMS CIRCLE | ||
| ROCK HILL, SOUTH CAROLINA | 29730 | |
| (Address of Principal Executive Offices) | (Zip Code) |
Andrew M. Johnson
Executive Vice President,
Chief Legal Officer and Secretary
(803) 326-3900
(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:
ý Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2020.
SECTION 1. — CONFLICT MINERALS DISCLOSURE
Item 1.01 Conflict Minerals Disclosure and Report
Conflict Minerals Disclosure
3D Systems Corporation (“3D Systems” or the “Company” or “we” or “us”) is a holding company incorporated in Delaware in 1993 that markets our products and services through subsidiaries in North America and South America, Europe and the Middle East and the Asia Pacific region. We provide comprehensive 3D printing and digital manufacturing solutions, including 3D printers for plastics and metals, materials, software, on demand manufacturing services and digital design tools. Our solutions support advanced applications in two key industry verticals: Healthcare (which includes dental, medical devices and personalized health services) and Industrial (which includes aerospace, defense, transportation and general manufacturing). We have over 30 years of experience and expertise which have proven vital to our development of an ecosystem and end-to-end digital workflow solutions which enable customers to optimize product designs, transform workflows, bring innovative products to market and drive new business models.
The disclosure on this Form SD for 3D Systems for the year ended December 31, 2020 is being filed in accordance with Rule 13p-1 (“Rule 13p-1”) and Form SD under the Securities Exchange Act of 1934. Please refer to Rule 13p-1, Form SD and Release No. 34- 67716 for definitions of the terms used in this Form SD, unless otherwise defined herein.
Rule 13p-1 was adopted by the Securities and Exchange Commission (“SEC”) to implement reporting and disclosure requirements related to conflict minerals as directed by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. The rule imposes certain reporting obligations on SEC registrants whose manufactured products contain conflict minerals that are necessary to the functionality or production of their products. Conflict minerals are defined as cassiterite, columbite-tantalite, wolframite, and their derivatives, which are limited to tin, tantalum and tungsten, and gold for the purposes of this assessment.
Under SEC regulations, if any conflict minerals are necessary to the functionality or production of a product manufactured by 3D Systems or contracted by us to be manufactured, we must conduct in good faith a reasonable country of origin inquiry (“RCOI”) regarding those conflict minerals that is reasonably designed to determine whether any of the conflict minerals originated in the Democratic Republic of the Congo or an adjoining country (“Covered Countries”), or are from recycled or scrap sources. If a registrant can establish that conflict minerals originated from sources other than the Covered Countries, or from recycled and scrap sources, they must submit a Form SD which describes the RCOI completed.
If a registrant has reason to believe that any of the conflict minerals in their supply chain may have originated in the Covered Countries, or if they are unable to determine the country of origin of those conflict minerals, then the issuer must exercise due diligence on the conflict minerals’ source and chain of custody. The registrant must annually submit a report, Conflict Minerals Report, to the SEC that includes a description of those due diligence measures.
As part of our RCOI, 3D Systems reviewed product specifications and undertook an analysis of its product portfolio to determine whether conflict minerals are present in the raw materials used in its 3D-printing-centric design-to-manufacturing solutions, including 3D printers, print materials, on-demand custom parts services, sculpting and simulation applications. As a company in the 3D printing industry, 3D Systems is several levels removed from the actual mining of minerals. 3D Systems does not directly make purchases of raw ore or unrefined conflict minerals and makes no direct purchases from the Democratic Republic of the Congo or any of the other Covered Countries. We worked with our direct suppliers to identify and trace their supply chains, with those suppliers in turn seeking similar information within their supply chains to identify the original sources of necessary conflict minerals. As part of this process, we requested that all direct suppliers of goods that possibly contain conflict minerals provide information using the template developed by the Responsible Minerals Initiative, known as the Conflict Minerals Reporting Template.
Due to the breadth and complexity of 3D Systems’ products and supply chain, many of our suppliers have not responded with verifications of the origin of materials supplied to 3D Systems. 3D Systems will continue to seek responses from its suppliers.
Because the origin of conflict minerals could not be determined at the conclusion of the RCOI, we proceeded to exercise due diligence in accordance with the Organisation for Economic Co-operation and Development’s Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas. The accompanying Conflict Minerals Report describes the results of our due diligence.
The information contained in this Form SD is available free of charge on our website at www.3dsystems.com. Other information contained in, and that can be accessed through the website, is not, and shall not be deemed to be, part of this Form SD or incorporated into any other filings we make with the SEC.
Item 1.02 Exhibit.
As specified in Section 2 of this Form SD, the Company is hereby filing its Conflict Minerals Report as Exhibit 1.01 to this Form SD.
SECTION 2. — EXHIBITS
Item 2.01. Exhibits.
The following exhibit is filed as part of this Form SD as required by Items 1.01 and 1.02 of this Form SD.
| Exhibit No. | Description |
| 1.01 | Conflict Minerals Report for the year ended December 31, 2020. |
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 duly authorized undersigned.
| 3D SYSTEMS CORPORATION | ||||
| By | /s/Andrew M. Johnson | |||
| Andrew M. Johnson | ||||
| Executive Vice President, | ||||
| Chief Legal Officer and Secretary | ||||
Date: May 28, 2021
Exhibit 1.01
Conflict Minerals Report of 3D Systems Corporation
in Accordance with Rule 13p-1 of the Securities Exchange Act of 1934
This Conflict Minerals Report of 3D Systems Corporation (“3D Systems” or the “Company” or “we” or “us”) for the calendar year ended December 31, 2020 is being filed in accordance with Rule 13p-1 (“Rule 13p-1”) of the Securities Exchange Act of 1934. Please refer to Rule 13p-1, Form SD and Release No. 34-67716 for definitions of the terms used in this Conflict Minerals Report, unless otherwise defined herein.
3D Systems undertook due diligence intended to determine the conflict minerals status of raw materials used in its 3D-printing-centric design-to-manufacturing solutions, including 3D printers, print materials, on-demand custom parts services, sculpting and simulation applications. As described in our accompanying Form SD, we sought information from our direct suppliers, with those suppliers in turn seeking similar information within their supply chains to identify the original sources of necessary conflict minerals.
3D Systems’ due diligence measures were based upon, and designed to conform, in all material respects, with the due diligence framework established by the Organisation for Economic Co-operation and Development’s (“OECD”) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas.
Consistent with the OECD Guidelines, 3D Systems due diligence measures included:
Step 1. Establish Strong Company Management Systems
We formed a multi-disciplinary conflict mineral working group to oversee compliance with Rule 13p-1 and our responsible sourcing of conflict minerals. This working group includes members of senior management and is responsible for all aspects of our responsible conflict minerals sourcing program.
Step 2. Identify and Assess Risks in the Supply Chain
To determine whether any conflict minerals in our products originated in the Democratic Republic of the Congo or an adjoining country, we retained a third-party service provider to assist us in collecting and reviewing data from our supply chain. With the assistance of the third-party service provider, we engage with our direct suppliers to evaluate the source of conflict minerals in our products. Upon receiving a Conflict Minerals Reporting Template (“CRMT”), it is reviewed for consistency and accuracy. This review also includes checking all identified smelters and refiners against the Responsible Minerals Initiative’s (“RMI”) Responsible Minerals Assurance Process database (the “RMI Database”). The majority of smelters and refiners identified in our supply chain were listed as compliant with the relevant Responsible Minerals Assurance Process assessment protocols in the RMI Database as of May 21, 2021, as identified on Table A. The smelters and refiners listed in Table A may not be all of the smelters and refiners in our supply chain, since certain suppliers were unable to identify the smelters and refiners of some of the necessary conflict minerals content contained in our products and because not all suppliers responded to our inquiries.
Table B contains an aggregated list of the countries of origin from which the reported smelters and refiners collectively source conflict minerals, based on information provided by suppliers and RMI. Many responses were provided at the company level and, therefore, Table B may contain more countries than those that our products are being sourced from.
From the responses that we received, we identified a small number of smelters that potentially posed a risk due to the presence of some red flag indicators. For suppliers that identified these specific smelters of concern on their CMRT, a new escalation plan is in process.
After exercising due diligence, the country of origin of conflict minerals contained within our products cannot be readily determined at this time. We are unable to determine this information with greater specificity at this time because certain of our direct suppliers were unable to provide the information to us.
Step 3. Design and Implement a Strategy to Respond to Identified Risks
We have continued to look for ways to strengthen our conflict minerals compliance program, including the processes outlined above. In addition, we will continue to collaborate with our direct suppliers so that they and we are better able to track the sourcing of conflict minerals with greater precision. To accomplish this objective, we will continue outreach and education efforts among the direct supplier base, particularly with respect to direct suppliers that are unable to provide greater transparency as to their own sourcing practices. We encourage direct suppliers to source, when feasible, from smelters or refiners that are certified as conflict-free by an independent third party, such as RMI.
Step 4. Carry Out Independent Third-Party Audit of Smelter/Refiner’s Due Diligence Practices
3D System supports audits of conflict minerals smelters and refiners conducted by third parties, such as RMI.
Step 5. Report Annually on Supply Chain Due Diligence
This report and the related Form SD constitute 3D Systems’ annual report on its conflict minerals due diligence and is available free of charge on our website at www.3dsystems.com. Other information contained in, and that can be accessed through the website, is not, and shall not be deemed to be, part of this Conflict Minerals Report or incorporated into any other filings we make with the SEC.
Table A
Summary of Identified Smelters and Refiners for Calendar Year ended December 31, 2020
| Metal | Smelter Name | Smelter Country | CFSI Smelter ID No. |
| Gold | 8853 S.p.A.* | ITALY | CID002763 |
| Gold | Abington Reldan Metals, LLC | UNITED STATES OF AMERICA | CID002708 |
| Gold | Advanced Chemical Company* | UNITED STATES OF AMERICA | CID000015 |
| Gold | African Gold Refinery | UGANDA | CID003185 |
| Gold | Aida Chemical Industries Co., Ltd.* | JAPAN | CID000019 |
| Gold | Al Etihad Gold Refinery DMCC* | UNITED ARAB EMIRATES | CID002560 |
| Gold | Alexy Metals | UNITED STATES OF AMERICA | CID003500 |
| Gold | Allgemeine Gold-und Silberscheideanstalt A.G.* | GERMANY | CID000035 |
| Gold | Almalyk Mining and Metallurgical Complex (AMMC)* | UZBEKISTAN | CID000041 |
| Gold | AngloGold Ashanti Corrego do Sitio Mineracao* | BRAZIL | CID000058 |
| Gold | Argor-Heraeus S.A.* | SWITZERLAND | CID000077 |
| Gold | Asahi Pretec Corp.* | JAPAN | CID000082 |
| Gold | Asahi Refining Canada Ltd.* | CANADA | CID000924 |
| Gold | Asahi Refining USA Inc.* | UNITED STATES OF AMERICA | CID000920 |
| Gold | Asaka Riken Co., Ltd.* | JAPAN | CID000090 |
| Gold | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | TURKEY | CID000103 |
| Gold | AU Traders and Refiners* | SOUTH AFRICA | CID002850 |
| Gold | Augmont Enterprises Private Limited | INDIA | CID003461 |
| Gold | Aurubis AG* | GERMANY | CID000113 |
| Gold | Bangalore Refinery* | INDIA | CID002863 |
| Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines)* | PHILIPPINES | CID000128 |
| Gold | Boliden AB* | SWEDEN | CID000157 |
| Gold | C. Hafner GmbH + Co. KG* | GERMANY | CID000176 |
| Gold | C.I Metales Procesados Industriales SAS | COLOMBIA | CID003421 |
| Gold | Caridad | MEXICO | CID000180 |
| Gold | CCR Refinery - Glencore Canada Corporation* | CANADA | CID000185 |
| Gold | Cendres + Metaux S.A.* | SWITZERLAND | CID000189 |
| Gold | CGR Metalloys Pvt Ltd. | INDIA | CID003382 |
| Gold | Chimet S.p.A.* | ITALY | CID000233 |
| Gold | Chugai Mining* | JAPAN | CID000264 |
| Gold | Daye Non-Ferrous Metals Mining Ltd. | CHINA | CID000343 |
| Gold | Degussa Sonne / Mond Goldhandel GmbH | GERMANY | CID002867 |
| Gold | Dijllah Gold Refinery FZC | UNITED ARAB EMIRATES | CID003348 |
| Gold | DODUCO Contacts and Refining GmbH* | GERMANY | CID000362 |
| Gold | Dowa* | JAPAN | CID000401 |
| Gold | DS PRETECH Co., Ltd.* | KOREA, REPUBLIC OF | CID003195 |
| Gold | DSC (Do Sung Corporation)* | KOREA, REPUBLIC OF | CID000359 |
| Gold | Eco-System Recycling Co., Ltd. East Plant* | JAPAN | CID000425 |
| Gold | Eco-System Recycling Co., Ltd. North Plant* | JAPAN | CID003424 |
| Gold | Eco-System Recycling Co., Ltd. West Plant* | JAPAN | CID003425 |
| Metal | Smelter Name | Smelter Country | CFSI Smelter ID No. |
| Gold | Emerald Jewel Industry India Limited (Unit 1) | INDIA | CID003487 |
| Gold | Emerald Jewel Industry India Limited (Unit 2) | INDIA | CID003488 |
| Gold | Emerald Jewel Industry India Limited (Unit 3) | INDIA | CID003489 |
| Gold | Emerald Jewel Industry India Limited (Unit 4) | INDIA | CID003490 |
| Gold | Emirates Gold DMCC* | UNITED ARAB EMIRATES | CID002561 |
| Gold | Fidelity Printers and Refiners Ltd. | ZIMBABWE | CID002515 |
| Gold | Fujairah Gold FZC | UNITED ARAB EMIRATES | CID002584 |
| Gold | GCC Gujrat Gold Centre Pvt. Ltd. | INDIA | CID002852 |
| Gold | Geib Refining Corporation* | UNITED STATES OF AMERICA | CID002459 |
| Gold | Gold Coast Refinery | GHANA | CID003186 |
| Gold | Gold Refinery of Zijin Mining Group Co., Ltd.* | CHINA | CID002243 |
| Gold | Great Wall Precious Metals Co., Ltd. of CBPM | CHINA | CID001909 |
| Gold | Guangdong Jinding Gold Limited | CHINA | CID002312 |
| Gold | Guoda Safina High-Tech Environmental Refinery Co., Ltd. | CHINA | CID000651 |
| Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. | CHINA | CID000671 |
| Gold | Heimerle + Meule GmbH* | GERMANY | CID000694 |
| Gold | Heraeus Metals Hong Kong Ltd.* | CHINA | CID000707 |
| Gold | Heraeus Precious Metals GmbH & Co. KG | GERMANY | CID000711 |
| Gold | Hunan Chenzhou Mining Co., Ltd. | CHINA | CID000767 |
| Gold | Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd. | CHINA | CID000773 |
| Gold | HwaSeong CJ CO., LTD. | KOREA, REPUBLIC OF | CID000778 |
| Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.* | CHINA | CID000801 |
| Gold | International Precious Metal Refiners | UNITED ARAB EMIRATES | CID002562 |
| Gold | Ishifuku Metal Industry Co., Ltd.* | JAPAN | CID000807 |
| Gold | Istanbul Gold Refinery* | TURKEY | CID000814 |
| Gold | Italpreziosi* | ITALY | CID002765 |
| Gold | JALAN & Company | INDIA | CID002893 |
| Gold | Japan Mint* | JAPAN | CID000823 |
| Gold | Jiangxi Copper Co., Ltd.* | CHINA | CID000855 |
| Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | RUSSIAN FEDERATION | CID000927 |
| Gold | JSC Uralelectromed* | RUSSIAN FEDERATION | CID000929 |
| Gold | JX Nippon Mining & Metals Co., Ltd.* | JAPAN | CID000937 |
| Gold | K.A. Rasmussen | NORWAY | CID003497 |
| Gold | Kaloti Precious Metals | UNITED ARAB EMIRATES | CID002563 |
| Gold | Kazakhmys Smelting LLC | KAZAKHSTAN | CID000956 |
| Gold | Kazzinc* | KAZAKHSTAN | CID000957 |
| Gold | Kennecott Utah Copper LLC* | UNITED STATES OF AMERICA | CID000969 |
| Gold | KGHM Polska Miedz Spolka Akcyjna* | POLAND | CID002511 |
| Gold | Kojima Chemicals Co., Ltd.* | JAPAN | CID000981 |
| Gold | Korea Zinc Co., Ltd.* | KOREA, REPUBLIC OF | CID002605 |
| Metal | Smelter Name | Smelter Country | CFSI Smelter ID No. |
| Gold | Kundan Care Products Ltd. | INDIA | CID003463 |
| Gold | Kyrgyzaltyn JSC* | KYRGYZSTAN | CID001029 |
| Gold | Kyshtym Copper-Electrolytic Plant ZAO | RUSSIAN FEDERATION | CID002865 |
| Gold | L'azurde Company For Jewelry | SAUDI ARABIA | CID001032 |
| Gold | Lingbao Gold Co., Ltd. | CHINA | CID001056 |
| Gold | Lingbao Jinyuan Tonghui Refinery Co., Ltd. | CHINA | CID001058 |
| Gold | L'Orfebre S.A.* | ANDORRA | CID002762 |
| Gold | LS-NIKKO Copper Inc.* | KOREA, REPUBLIC OF | CID001078 |
| Gold | LT Metal Ltd.* | KOREA, REPUBLIC OF | CID000689 |
| Gold | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | CHINA | CID001093 |
| Gold | Marsam Metals* | BRAZIL | CID002606 |
| Gold | Materion* | UNITED STATES OF AMERICA | CID001113 |
| Gold | Matsuda Sangyo Co., Ltd.* | JAPAN | CID001119 |
| Gold | MD Overseas | INDIA | CID003548 |
| Gold | Metal Concentrators SA (Pty) Ltd.* | SOUTH AFRICA | CID003575 |
| Gold | Metallix Refining Inc. | UNITED STATES OF AMERICA | CID003557 |
| Gold | Metalor Technologies (Hong Kong) Ltd.* | CHINA | CID001149 |
| Gold | Metalor Technologies (Singapore) Pte., Ltd.* | SINGAPORE | CID001152 |
| Gold | Metalor Technologies (Suzhou) Ltd.* | CHINA | CID001147 |
| Gold | Metalor Technologies S.A.* | SWITZERLAND | CID001153 |
| Gold | Metalor USA Refining Corporation* | UNITED STATES OF AMERICA | CID001157 |
| Gold | Metalurgica Met-Mex Penoles S.A. De C.V.* | MEXICO | CID001161 |
| Gold | Mitsubishi Materials Corporation* | JAPAN | CID001188 |
| Gold | Mitsui Mining and Smelting Co., Ltd.* | JAPAN | CID001193 |
| Gold | MMTC-PAMP India Pvt., Ltd.* | INDIA | CID002509 |
| Gold | Modeltech Sdn Bhd | MALAYSIA | CID002857 |
| Gold | Morris and Watson | NEW ZEALAND | CID002282 |
| Gold | Moscow Special Alloys Processing Plant* | RUSSIAN FEDERATION | CID001204 |
| Gold | Nadir Metal Rafineri San. Ve Tic. A.S.* | TURKEY | CID001220 |
| Gold | Navoi Mining and Metallurgical Combinat* | UZBEKISTAN | CID001236 |
| Gold | NH Recytech Company | KOREA, REPUBLIC OF | CID003189 |
| Gold | Nihon Material Co., Ltd.* | JAPAN | CID001259 |
| Gold | Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH* | AUSTRIA | CID002779 |
| Gold | Ohura Precious Metal Industry Co., Ltd.* | JAPAN | CID001325 |
| Gold | OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)* | RUSSIAN FEDERATION | CID001326 |
| Gold | OJSC Novosibirsk Refinery* | RUSSIAN FEDERATION | CID000493 |
| Gold | PAMP S.A.* | SWITZERLAND | CID001352 |
| Gold | Pease & Curren | UNITED STATES OF AMERICA | CID002872 |
| Gold | Penglai Penggang Gold Industry Co., Ltd. | CHINA | CID001362 |
| Gold | Planta Recuperadora de Metales SpA* | CHILE | CID002919 |
| Gold | Prioksky Plant of Non-Ferrous Metals* | RUSSIAN FEDERATION | CID001386 |
| Metal | Smelter Name | Smelter Country | CFSI Smelter ID No. |
| Gold | PT Aneka Tambang (Persero) Tbk* | INDONESIA | CID001397 |
| Gold | PX Precinox S.A.* | SWITZERLAND | CID001498 |
| Gold | QG Refining, LLC | UNITED STATES OF AMERICA | CID003324 |
| Gold | Rand Refinery (Pty) Ltd.* | SOUTH AFRICA | CID001512 |
| Gold | Refinery of Seemine Gold Co., Ltd. | CHINA | CID000522 |
| Gold | REMONDIS PMR B.V.* | NETHERLANDS | CID002582 |
| Gold | Royal Canadian Mint* | CANADA | CID001534 |
| Gold | SAAMP* | FRANCE | CID002761 |
| Gold | Sabin Metal Corp. | UNITED STATES OF AMERICA | CID001546 |
| Gold | Safimet S.p.A* | ITALY | CID002973 |
| Gold | SAFINA A.S.* | CZECH REPUBLIC | CID002290 |
| Gold | Sai Refinery | INDIA | CID002853 |
| Gold | Samduck Precious Metals* | KOREA, REPUBLIC OF | CID001555 |
| Gold | Samwon Metals Corp. | KOREA, REPUBLIC OF | CID001562 |
| Gold | Sancus ZFS (L’Orfebre, SA) | COLOMBIA | CID003529 |
| Gold | SAXONIA Edelmetalle GmbH* | GERMANY | CID002777 |
| Gold | Sellem Industries Ltd. | MAURITANIA | CID003540 |
| Gold | SEMPSA Joyeria Plateria S.A.* | SPAIN | CID001585 |
| Gold | Shandong Humon Smelting Co., Ltd. | CHINA | CID002525 |
| Gold | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | CHINA | CID001619 |
| Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd.* | CHINA | CID001622 |
| Gold | Shenzhen Zhonghenglong Real Industry Co., Ltd. | CHINA | CID002527 |
| Gold | Shirpur Gold Refinery Ltd. | INDIA | CID002588 |
| Gold | Sichuan Tianze Precious Metals Co., Ltd.* | CHINA | CID001736 |
| Gold | Singway Technology Co., Ltd.* | TAIWAN, PROVINCE OF CHINA | CID002516 |
| Gold | SOE Shyolkovsky Factory of Secondary Precious Metals* | RUSSIAN FEDERATION | CID001756 |
| Gold | Solar Applied Materials Technology Corp.* | TAIWAN, PROVINCE OF CHINA | CID001761 |
| Gold | Sovereign Metals | INDIA | CID003383 |
| Gold | State Research Institute Center for Physical Sciences and Technology | LITHUANIA | CID003153 |
| Gold | Sudan Gold Refinery | SUDAN | CID002567 |
| Gold | Sumitomo Metal Mining Co., Ltd.* | JAPAN | CID001798 |
| Gold | SungEel HiMetal Co., Ltd.* | KOREA, REPUBLIC OF | CID002918 |
| Gold | T.C.A S.p.A* | ITALY | CID002580 |
| Gold | Tanaka Kikinzoku Kogyo K.K.* | JAPAN | CID001875 |
| Gold | The Refinery of Shandong Gold Mining Co., Ltd.* | CHINA | CID001916 |
| Gold | Tokuriki Honten Co., Ltd.* | JAPAN | CID001938 |
| Gold | Tongling Nonferrous Metals Group Co., Ltd. | CHINA | CID001947 |
| Gold | Tony Goetz NV | BELGIUM | CID002587 |
| Gold | TOO Tau-Ken-Altyn* | KAZAKHSTAN | CID002615 |
| Gold | Torecom* | KOREA, REPUBLIC OF | CID001955 |
| Metal | Smelter Name | Smelter Country | CFSI Smelter ID No. |
| Gold | Umicore Precious Metals Thailand* | THAILAND | CID002314 |
| Gold | Umicore S.A. Business Unit Precious Metals Refining* | BELGIUM | CID001980 |
| Gold | United Precious Metal Refining, Inc.* | UNITED STATES OF AMERICA | CID001993 |
| Gold | Valcambi S.A.* | SWITZERLAND | CID002003 |
| Gold | Western Australian Mint (T/a The Perth Mint)* | AUSTRALIA | CID002030 |
| Gold | WIELAND Edelmetalle GmbH* | GERMANY | CID002778 |
| Gold | Yamakin Co., Ltd.* | JAPAN | CID002100 |
| Gold | Yokohama Metal Co., Ltd.* | JAPAN | CID002129 |
| Gold | Yunnan Copper Industry Co., Ltd. | CHINA | CID000197 |
| Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation* | CHINA | CID002224 |
| Tantalum | Asaka Riken Co., Ltd.* | JAPAN | CID000092 |
| Tantalum | Changsha South Tantalum Niobium Co., Ltd.* | CHINA | CID000211 |
| Tantalum | D Block Metals, LLC* | UNITED STATES OF AMERICA | CID002504 |
| Tantalum | Exotech Inc.* | UNITED STATES OF AMERICA | CID000456 |
| Tantalum | F&X Electro-Materials Ltd.* | CHINA | CID000460 |
| Tantalum | FIR Metals & Resource Ltd.* | CHINA | CID002505 |
| Tantalum | Global Advanced Metals Aizu* | JAPAN | CID002558 |
| Tantalum | Global Advanced Metals Boyertown* | UNITED STATES OF AMERICA | CID002557 |
| Tantalum | Guangdong Zhiyuan New Material Co., Ltd.* | CHINA | CID000616 |
| Tantalum | H.C. Starck Co., Ltd.* | THAILAND | CID002544 |
| Tantalum | H.C. Starck Hermsdorf GmbH* | GERMANY | CID002547 |
| Tantalum | H.C. Starck Inc.* | UNITED STATES OF AMERICA | CID002548 |
| Tantalum | H.C. Starck Ltd.* | JAPAN | CID002549 |
| Tantalum | H.C. Starck Smelting GmbH & Co. KG* | GERMANY | CID002550 |
| Tantalum | H.C. Starck Tantalum and Niobium GmbH* | GERMANY | CID002545 |
| Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd.* | CHINA | CID002492 |
| Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd.* | CHINA | CID002512 |
| Tantalum | Jiangxi Tuohong New Raw Material* | CHINA | CID002842 |
| Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd.* | CHINA | CID000914 |
| Tantalum | Jiujiang Tanbre Co., Ltd.* | CHINA | CID000917 |
| Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd.* | CHINA | CID002506 |
| Tantalum | KEMET Blue Metals* | MEXICO | CID002539 |
| Tantalum | LSM Brasil S.A.* | BRAZIL | CID001076 |
| Tantalum | Metallurgical Products India Pvt., Ltd.* | INDIA | CID001163 |
| Tantalum | Mineracao Taboca S.A.* | BRAZIL | CID001175 |
| Tantalum | Mitsui Mining and Smelting Co., Ltd.* | JAPAN | CID001192 |
| Tantalum | Ningxia Orient Tantalum Industry Co., Ltd.* | CHINA | CID001277 |
| Tantalum | NPM Silmet AS* | ESTONIA | CID001200 |
| Tantalum | PRG Dooel* | NORTH MACEDONIA, REPUBLIC OF | CID002847 |
| Tantalum | QuantumClean* | UNITED STATES OF AMERICA | CID001508 |
| Tantalum | Resind Industria e Comercio Ltda.* | BRAZIL | CID002707 |
| Metal | Smelter Name | Smelter Country | CFSI Smelter ID No. |
| Tantalum | Solikamsk Magnesium Works OAO* | RUSSIAN FEDERATION | CID001769 |
| Tantalum | Taki Chemical Co., Ltd.* | JAPAN | CID001869 |
| Tantalum | Telex Metals* | UNITED STATES OF AMERICA | CID001891 |
| Tantalum | Ulba Metallurgical Plant JSC* | KAZAKHSTAN | CID001969 |
| Tantalum | XinXing HaoRong Electronic Material Co., Ltd.* | CHINA | CID002508 |
| Tantalum | Yanling Jincheng Tantalum & Niobium Co., Ltd.* | CHINA | CID001522 |
| Tin | Alpha* | UNITED STATES OF AMERICA | CID000292 |
| Tin | An Vinh Joint Stock Mineral Processing Company | VIET NAM | CID002703 |
| Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.* | CHINA | CID000228 |
| Tin | Chifeng Dajingzi Tin Industry Co., Ltd.* | CHINA | CID003190 |
| Tin | China Tin Group Co., Ltd.* | CHINA | CID001070 |
| Tin | CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda | BRAZIL | CID003486 |
| Tin | CRM Synergies | SPAIN | CID003524 |
| Tin | CV Ayi Jaya | INDONESIA | CID002570 |
| Tin | CV Venus Inti Perkasa | INDONESIA | CID002455 |
| Tin | Dongguan CiEXPO Environmental Engineering Co., Ltd. | CHINA | CID003356 |
| Tin | Dowa* | JAPAN | CID000402 |
| Tin | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | VIET NAM | CID002572 |
| Tin | EM Vinto* | BOLIVIA (PLURINATIONAL STATE OF) | CID000438 |
| Tin | Estanho de Rondonia S.A. | BRAZIL | CID000448 |
| Tin | Fenix Metals* | POLAND | CID000468 |
| Tin | Gejiu City Fuxiang Industry and Trade Co., Ltd. | CHINA | CID003410 |
| Tin | Gejiu Fengming Metallurgy Chemical Plant* | CHINA | CID002848 |
| Tin | Gejiu Kai Meng Industry and Trade LLC* | CHINA | CID000942 |
| Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd.* | CHINA | CID000538 |
| Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.* | CHINA | CID001908 |
| Tin | Gejiu Zili Mining And Metallurgy Co., Ltd.* | CHINA | CID000555 |
| Tin | Guangdong Hanhe Non-Ferrous Metal Co., Ltd.* | CHINA | CID003116 |
| Tin | HuiChang Hill Tin Industry Co., Ltd.* | CHINA | CID002844 |
| Tin | Jiangxi New Nanshan Technology Ltd.* | CHINA | CID001231 |
| Tin | Luna Smelter, Ltd.* | RWANDA | CID003387 |
| Tin | Ma'anshan Weitai Tin Co., Ltd.* | CHINA | CID003379 |
| Tin | Magnu's Minerais Metais e Ligas Ltda.* | BRAZIL | CID002468 |
| Tin | Malaysia Smelting Corporation (MSC)* | MALAYSIA | CID001105 |
| Tin | Melt Metais e Ligas S.A.* | BRAZIL | CID002500 |
| Tin | Metallic Resources, Inc.* | UNITED STATES OF AMERICA | CID001142 |
| Tin | Metallo Belgium N.V.* | BELGIUM | CID002773 |
| Tin | Metallo Spain S.L.U.* | SPAIN | CID002774 |
| Tin | Mineracao Taboca S.A.* | BRAZIL | CID001173 |
| Metal | Smelter Name | Smelter Country | CFSI Smelter ID No. |
| Tin | Minsur* | PERU | CID001182 |
| Tin | Mitsubishi Materials Corporation* | JAPAN | CID001191 |
| Tin | Modeltech Sdn Bhd | MALAYSIA | CID002858 |
| Tin | Nghe Tinh Non-Ferrous Metals Joint Stock Company | VIET NAM | CID002573 |
| Tin | Novosibirsk Processing Plant Ltd. | RUSSIAN FEDERATION | CID001305 |
| Tin | O.M. Manufacturing (Thailand) Co., Ltd.* | THAILAND | CID001314 |
| Tin | O.M. Manufacturing Philippines, Inc.* | PHILIPPINES | CID002517 |
| Tin | Operaciones Metalurgicas S.A.* | BOLIVIA (PLURINATIONAL STATE OF) | CID001337 |
| Tin | Pongpipat Company Limited | MYANMAR | CID003208 |
| Tin | Precious Minerals and Smelting Limited | INDIA | CID003409 |
| Tin | PT Aries Kencana Sejahtera | INDONESIA | CID000309 |
| Tin | PT Artha Cipta Langgeng* | INDONESIA | CID001399 |
| Tin | PT ATD Makmur Mandiri Jaya* | INDONESIA | CID002503 |
| Tin | PT Babel Inti Perkasa* | INDONESIA | CID001402 |
| Tin | PT Babel Surya Alam Lestari* | INDONESIA | CID001406 |
| Tin | PT Bangka Serumpun* | INDONESIA | CID003205 |
| Tin | PT Bukit Timah | INDONESIA | CID001428 |
| Tin | PT Cipta Persada Mulia | INDONESIA | CID002696 |
| Tin | PT Lautan Harmonis Sejahtera | INDONESIA | CID002870 |
| Tin | PT Menara Cipta Mulia* | INDONESIA | CID002835 |
| Tin | PT Mitra Stania Prima* | INDONESIA | CID001453 |
| Tin | PT Mitra Sukses Globalindo | INDONESIA | CID003449 |
| Tin | PT Prima Timah Utama* | INDONESIA | CID001458 |
| Tin | PT Rajawali Rimba Perkasa* | INDONESIA | CID003381 |
| Tin | PT Rajehan Ariq* | INDONESIA | CID002593 |
| Tin | PT Refined Bangka Tin* | INDONESIA | CID001460 |
| Tin | PT Stanindo Inti Perkasa* | INDONESIA | CID001468 |
| Tin | PT Sukses Inti Makmur | INDONESIA | CID002816 |
| Tin | PT Timah Nusantara | INDONESIA | CID001486 |
| Tin | PT Timah Tbk Kundur* | INDONESIA | CID001477 |
| Tin | PT Timah Tbk Mentok* | INDONESIA | CID001482 |
| Tin | PT Tinindo Inter Nusa* | INDONESIA | CID001490 |
| Tin | Resind Industria e Comercio Ltda.* | BRAZIL | CID002706 |
| Tin | Rui Da Hung* | TAIWAN, PROVINCE OF CHINA | CID001539 |
| Tin | Soft Metais Ltda.* | BRAZIL | CID001758 |
| Tin | Super Ligas | BRAZIL | CID002756 |
| Tin | Thai Nguyen Mining and Metallurgy Co., Ltd.* | VIET NAM | CID002834 |
| Tin | Thaisarco* | THAILAND | CID001898 |
| Tin | Tin Technology & Refining* | UNITED STATES OF AMERICA | CID003325 |
| Tin | Tuyen Quang Non-Ferrous Metals Joint Stock Company | VIET NAM | CID002574 |
| Tin | VQB Mineral and Trading Group JSC | VIET NAM | CID002015 |
| Tin | White Solder Metalurgia e Mineracao Ltda.* | BRAZIL | CID002036 |
| Metal | Smelter Name | Smelter Country | CFSI Smelter ID No. |
| Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd.* | CHINA | CID002158 |
| Tin | Yunnan Tin Company Limited* | CHINA | CID002180 |
| Tin | Yunnan Yunfan Non-ferrous Metals Co., Ltd.* | CHINA | CID003397 |
| Tungsten | A.L.M.T. Corp.* | JAPAN | CID000004 |
| Tungsten | ACL Metais Eireli* | BRAZIL | CID002833 |
| Tungsten | Albasteel Industria e Comercio de Ligas Para Fundicao Ltd. | BRAZIL | CID003427 |
| Tungsten | Artek LLC | RUSSIAN FEDERATION | CID003553 |
| Tungsten | Asia Tungsten Products Vietnam Ltd.* | VIET NAM | CID002502 |
| Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd.* | CHINA | CID002513 |
| Tungsten | China Molybdenum Co., Ltd.* | CHINA | CID002641 |
| Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd.* | CHINA | CID000258 |
| Tungsten | CNMC (Guangxi) PGMA Co., Ltd. | CHINA | CID000281 |
| Tungsten | Cronimet Brasil Ltda | BRAZIL | CID003468 |
| Tungsten | Fujian Ganmin RareMetal Co., Ltd.* | CHINA | CID003401 |
| Tungsten | Ganzhou Haichuang Tungsten Co., Ltd.* | CHINA | CID002645 |
| Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd.* | CHINA | CID000875 |
| Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd.* | CHINA | CID002315 |
| Tungsten | Ganzhou Seadragon W & Mo Co., Ltd.* | CHINA | CID002494 |
| Tungsten | GEM Co., Ltd. | CHINA | CID003417 |
| Tungsten | Global Tungsten & Powders Corp.* | UNITED STATES OF AMERICA | CID000568 |
| Tungsten | Guangdong Xianglu Tungsten Co., Ltd.* | CHINA | CID000218 |
| Tungsten | H.C. Starck Smelting GmbH & Co. KG* | GERMANY | CID002542 |
| Tungsten | H.C. Starck Tungsten GmbH* | GERMANY | CID002541 |
| Tungsten | Hunan Chenzhou Mining Co., Ltd.* | CHINA | CID000766 |
| Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd.* | CHINA | CID000769 |
| Tungsten | Hydrometallurg, JSC* | RUSSIAN FEDERATION | CID002649 |
| Tungsten | Japan New Metals Co., Ltd.* | JAPAN | CID000825 |
| Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd.* | CHINA | CID002551 |
| Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd.* | CHINA | CID002321 |
| Tungsten | Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. | CHINA | CID002313 |
| Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.* | CHINA | CID002318 |
| Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd.* | CHINA | CID002317 |
| Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd.* | CHINA | CID002316 |
| Tungsten | JSC "Kirovgrad Hard Alloys Plant" | RUSSIAN FEDERATION | CID003408 |
| Tungsten | Kennametal Fallon* | UNITED STATES OF AMERICA | CID000966 |
| Tungsten | Kennametal Huntsville* | UNITED STATES OF AMERICA | CID000105 |
| Tungsten | KGETS Co., Ltd.* | KOREA, REPUBLIC OF | CID003388 |
| Tungsten | Lianyou Metals Co., Ltd.* | TAIWAN, PROVINCE OF CHINA | CID003407 |
| Tungsten | Malipo Haiyu Tungsten Co., Ltd.* | CHINA | CID002319 |
| Tungsten | Masan Tungsten Chemical LLC (MTC)* | VIET NAM | CID002543 |
| Tungsten | Moliren Ltd.* | RUSSIAN FEDERATION | CID002845 |
| Metal | Smelter Name | Smelter Country | CFSI Smelter ID No. |
| Tungsten | Niagara Refining LLC* | UNITED STATES OF AMERICA | CID002589 |
| Tungsten | NPP Tyazhmetprom LLC | RUSSIAN FEDERATION | CID003416 |
| Tungsten | Philippine Chuangxin Industrial Co., Inc.* | PHILIPPINES | CID002827 |
| Tungsten | Unecha Refractory metals plant* | RUSSIAN FEDERATION | CID002724 |
| Tungsten | Wolfram Bergbau und Hutten AG* | AUSTRIA | CID002044 |
| Tungsten | Xiamen Tungsten (H.C.) Co., Ltd.* | CHINA | CID002320 |
| Tungsten | Xiamen Tungsten Co., Ltd.* | CHINA | CID002082 |
| Tungsten | Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.* | CHINA | CID002830 |
* Denotes smelters and refiners that are identified as being compliant with the relevant Responsible
Minerals Assurance Process assessment protocols in the RMI Database as of May 21, 2021.
Table B
Country of Origin List for Calendar Year ended December 31, 2020
| Country of Origin List |
| Afghanistan |
| Albania |
| Angola |
| Argentina |
| Armenia |
| Australia |
| Austria |
| Belarus |
| Belgium |
| Bermuda |
| Bolivia |
| Brazil |
| Bulgaria |
| Burundi |
| Cambodia |
| Canada |
| Central African Republic |
| Chile |
| China |
| Colombia |
| Czech Republic |
| Djibouti |
| Dominican Republic |
| DRC or an adjoining country (Covered Countries) |
| Ecuador |
| Egypt |
| England |
| Estonia |
| Ethiopia |
| Finland |
| France |
| Germany |
| Ghana |
| Guinea |
| Guyana |
| Hungary |
| Country of Origin List |
| India |
| Indonesia |
| Ireland |
| Israel |
| Italy |
| Ivory Coast |
| Japan |
| Kazakhstan |
| Kenya |
| Kyrgyzstan |
| Laos |
| Liberia |
| Lithuania |
| Luxembourg |
| Madagascar |
| Malaysia |
| Mali |
| Mauritania |
| Mexico |
| Mongolia |
| Morocco |
| Mozambique |
| Myanmar |
| Namibia |
| Netherlands |
| New Zealand |
| Niger |
| Nigeria |
| Papua New Guinea |
| Peru |
| Philippines |
| Poland |
| Portugal |
| Republic Of Korea |
| Russia |
| Rwanda |
| Saudi Arabia |
| Sierra Leone |
| Singapore |
| Country of Origin List |
| Slovakia |
| Slovenia |
| South Africa |
| Spain |
| Sudan |
| Suriname |
| Sweden |
| Switzerland |
| Tanzania |
| Thailand |
| Turkey |
| Uganda |
| United Arab Emirates |
| United Kingdom |
| USA |
| Uzbekistan |
| Vietnam |
| Zambia |
| Zimbabwe |
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