Form SD 3D SYSTEMS CORP

May 28, 2021 4:16 PM EDT

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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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