OMB APPROVAL
        OMB Number: 3235-0697
        Expires: May 31, 2016
        Estimated average burden hours
        per response....480.61

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM SD

SPECIALIZED DISCLOSURE REPORT

 

 

Harvard Bioscience, Inc.

 

(Exact name of the registrant as specified in its charter)

 

 

DELAWARE 001-33957 04-3306140

(State or Other Jurisdiction of

Incorporation)

(Commission File Number) (IRS Employer Identification Number)

 

  84 October Hill Road, Holliston, MA   01746  
  (Address of Principal Executive Offices)   (Zip Code)  

 

  Robert Gagnon (508) 893-8999  
(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:

 

☒     Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2015.

 

 

 

 

Section 1 - Conflict Minerals Disclosure

 

Item 1.01   Conflict Minerals Disclosure and Report

 

Harvard Bioscience, Inc. (“Harvard Bioscience”) has evaluated its current product lines and has determined in good faith that during 2015 it manufactured or contracted to manufacture products as to which columbite-tantalite (coltan), cassiterite, gold, wolframite and their derivatives, which are limited to tantalum, tin, and tungsten (herein referred to as “Conflict Minerals”)) are necessary to the functionality or production of such products (herein referred to as “Covered Products”). Based on such determination, Harvard Bioscience conducted a reasonable country of origin inquiry, or RCOI, that was reasonably designed to determine whether any of the Conflict Minerals in the Covered Products originated in the Democratic Republic of the Congo or an adjoining country (the Republic of the Congo, the Central African Republic, South Sudan, Uganda, Rwanda, Burundi, Tanzania, Zambia or Angola); or were from recycled or scrap sources.

 

Following the RCOI, Harvard Bioscience exercised due diligence on the source and chain of custody of its applicable products. Information on the RCOI, steps we have taken to exercise due diligence on the source and chain of custody of any Conflict Minerals in the Covered Products and the results of this due diligence, are disclosed in the Conflict Minerals Report filed as Exhibit 1.01 to this Form SD.

 

Conflict Minerals Disclosure

 

A copy of Harvard Bioscience’s Conflict Minerals Report is filed as Exhibit 1.01 hereto and is publically available at: http://investor.harvardbioscience.com/corporate-governance.cfm.  The content of any website referred to in this Form SD is included for general information only and is not incorporated by reference in this Form SD.

 

Item 1.02   Exhibit

 

Harvard Bioscience, Inc. has filed its Conflict Minerals Report as Exhibit 1.01 to this Form SD.

 

Section 2  - Exhibits

 

Item 2.01  Exhibits

 

Exhibit 1.01     Conflict Minerals Report as required by Items 1.01 and 1.02 of this Form SD

 

Forward Looking Statements

 

This Specialized Disclosure Report on Form SD and the exhibit to this Form SD may contain statements that are not statements of historical fact and are forward-looking statements within the meaning of Section 27A of the Securities Act of 1933 and Section 21E of the Securities Exchange Act of 1934 (the “Exchange Act”). The forward-looking statements are principally contained in Exhibit 1.01 and involve known and unknown risks, uncertainties and other factors that may cause our actual results, performance or achievements to be materially different from any future results, performance or achievements expressed or implied by the forward-looking statements. Forward-looking statements include, but are not limited to, statements about management’s confidence or expectations, and our plans, objectives, expectations and intentions that are not historical facts. In some cases, you can identify forward-looking statements by terms such as “may,” “will,” “should,” “could,” “would,” “seek,” “expects,” “plans,” “aim,” “anticipates,” “believes,” “estimates,” “projects,” “predicts,” “intends,” “think,” “potential,” “objectives,” “optimistic,” “strategy,” “goals,” “sees,” “new,” “guidance,” “future,” “continue,” “drive,” “growth,” “long-term,” “projects,” “develop,” “possible,” “emerging,” “opportunity,” “pursue” and similar expressions intended to identify forward-looking statements. These statements reflect our current views with respect to future events and are based on assumptions and subject to risks and uncertainties. Given these uncertainties, you should not place undue reliance on these forward-looking statements. Factors that may cause our actual results to differ materially from those in the forward-looking statements include those described under the heading “Item 1A. Risk Factors” in our Annual Report on Form 10-K for the year ended December 31, 2015, or described in our other public filings. Our results may also be affected by factors of which we are not currently aware. We may not update these forward-looking statements, even though our situation may change in the future, unless we have obligations under the federal securities laws to update and disclose material developments related to previously disclosed information.

 

 

 

 

 

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.

 

Harvard Bioscience, Inc.      
(Registrant)      
       
/s/ Robert E. Gagnon      
By: Robert E. Gagnon, Chief Financial Officer   May 27, 2016  

 

 

 

 

Exhibit 1.01

 

Harvard Bioscience, Inc.

 

Conflict Minerals Report

 

For The Year Ended December 31, 2015

 

This report for the year ended December 31, 2015 is presented to comply with Rule 13p-1 under the Securities Exchange Act of 1934, as amended (the “Rule”). The Rule 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 “Dodd-Frank Act”). The Rule imposes certain reporting obligations on SEC registrants whose manufactured products contain conflict minerals which are necessary to the functionality or production of their products. Conflict Minerals are defined as cassiterite, columbite-tantalite, gold, wolframite, and their derivatives, which are limited to tin, tantalum, tungsten, and gold (“Conflict Minerals”) for the purposes of this report. These requirements apply to registrants whatever the geographic origin of the conflict minerals and whether or not they fund armed conflict.

 

As described in this report, Harvard Bioscience, Inc., a Delaware corporation (herein referred to as “Harvard Bioscience” the “Company,” “we,” “us,” or “our”) has reason to believe that some of the Conflict Minerals present in its supply chain may have originated in the Covered Countries.  For purposes of this report, Covered Countries refers to the Democratic Republic of the Congo (the “DRC”) or any country that shares an internationally recognized border with the Democratic Republic of the Congo.  We are unable with absolute assurance to determine the origin of the Conflict Minerals in our products and therefore cannot exclude the possibility that some may have originated in the Covered Countries.

 

1. Company Overview

 

This report has been prepared by management of Harvard Bioscience. The information includes the activities of all majority-owned subsidiaries, except for subsidiaries not subject to the requirements of this report until calendar year ended December 31, 2016.

 

Harvard Bioscience is a global developer, manufacturer and marketer of a broad range of scientific instruments, systems and lab consumables used to advance life science for basic research, drug discovery, clinical and environmental testing. Our products are sold to thousands of researchers in over 100 countries through our global sales organization, websites, catalogs, and through distributors including Thermo Fisher Scientific Inc., VWR, GE Healthcare, and other specialized distributors. We have sales and manufacturing operations in the United States, the United Kingdom, Germany, Sweden, Spain, France, Canada, and China.

 

Conflict Minerals Policy

 

We adopted a conflict minerals policy in 2013 which is publicly available at http://investor.harvardbioscience.com/corporate-governance.cfm.

 

2. Product Description

 

Our product range is organized into three product families: Cell and Animal Physiology, Lab Products and Services, and Molecular Separation and Analysis. We primarily sell these products under brand names that include Harvard Apparatus, Denville, Biochrom, Warner Instruments, BTX, KD Scientific, Hugo Sachs Elektronik, Panlab, Coulbourn Instruments, Multi Channel Systems, Triangle Biosystems, and CMA Microdialysis.  Our products consist of instruments, consumables, and systems made up of several individual products. We manufacture our products at our locations in the United States, Germany, Sweden and Spain.  Our broad and complex product range may contain conflict minerals within the following components:

 

· Tantalum, used in capacitors,
· Tin, used in soldered components,
· Tungsten, used in coatings, alloys, heating elements and electrodes,
· Gold, used in circuit boards, electrodes and electronic components.

 

3. Description of Reasonable Country of Origin Inquiry, or RCOI

 

We began our RCOI by completing a supplier list extraction from our Vendor List. This list was then filtered to remove:

 

Service Providers/Suppliers
Indirect Materials Suppliers
Inactive Suppliers (minimum 1 year since last purchase)

 

1
 

This ensures that all suppliers surveyed provided items to Harvard Bioscience that were used in final products in the year 2015. Once the filtering was completed, we populated the list with contact information and this list was then provided to Assent Compliance (“Assent”), our third party service provider, for upload to their Assent Compliance Manager SaaS system (“ACM”). It was deemed appropriate to not further filter this list based on the necessity of the presence of Conflict Minerals in the products as we could not definitively determine the presence or absence of Conflict Minerals in all parts supplied. The survey employed the Conflict Minerals Reporting Template (the “CMRT”), version 4.01, developed by the Electronic Industry Citizenship Coalition® and The Global e-Sustainability Initiative. The CMRT allows for further scoping as they ask suppliers whether any of the Conflict Minerals are intentionally added and if they are necessary to the functionality or production of their products. Assent conducted additional analysis of the supply chain and such analysis combined with supplier feedback, allowed Assent and Harvard Bioscience to remove additional suppliers from scope of the conflict minerals regulation. The factors considered in Assent’s secondary analysis and the information provided that removed these suppliers from scope included:

 

The product they supply is packaging. (Labels do not count as packaging)
Parts that do not end up in the final product. (This includes equipment used to make the product but is not a part of the actual product itself (i.e. Industrial equipment, computers etc.).)
Test Labs (i.e. Providers that test the resistance or durability of a product)
Service Providers (i.e. any supplier that provides a service but not an actual physical part).
Any supplier who has not supplied anything to Harvard Bioscience, Inc., in the last 2 years.

 

Assent then conducted the supplier survey portion of the RCOI.

 

During the supplier survey, suppliers were contacted via the ACM, a SaaS platform that enables its users to complete and track supplier communications as well as allow suppliers to upload completed CMRTs directly to the platform for assessment and management.

 

Non-responsive suppliers were contacted a minimum of three times by ACM and then were also managed by the Assent Compliance Supply Chain team in one on one communications. This included two to three follow ups from the supply chain team.

 

Assent’s communications with suppliers included training and education on the completion of the CMRT to alleviate any remaining confusion with suppliers. All of these communications were monitored and tracked in Assent's system for future reporting and transparency.

 

The program continues to include automated data validation on all submitted CMRTs. The goal of data validation is to increase the accuracy of submissions and identify any contradictory answers in the CMRT. All submitted forms are accepted and classified as valid or invalid so that data is still retained. Suppliers are contacted in regards to invalid forms and are encouraged to resubmit a valid form.

 

4. Due Diligence Process

 

4.1 Design of Due Diligence

 

Our due diligence measures have been designed to conform, in all material respects, with the framework in The Organisation for Economic Co-operation and Development (“OECD”) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (the “OECD Guidance”) and the related Supplements for Conflict Minerals.

 

4.2 Management Systems

 

Internal Team

 

Harvard Bioscience has established a management system for conflict minerals. Our management system includes a committee selected by the Chief Financial Officer of the Company as well as executive-level representatives and a team of subject matter experts from relevant functions such as:

 

· Quality
· Purchasing
· Finance
· Engineering

 

The team of subject matter experts is responsible for implementing our conflict minerals compliance strategy and is led by the Director of Global Quality who acts as the executive conflict minerals program manager. Senior management is briefed about the results of our due diligence efforts on a regular basis.

 

2
 

 

Control systems

 

As we do not typically have a direct relationship with Conflict Minerals smelters and refiners, we are engaged and actively cooperate with other major manufacturers in our sector and other sectors. Controls include, but are not limited to, the use of the CMRT as the data collection format for our suppliers, our Code of Business Conduct and Ethics which outlines certain expected behaviors for all Harvard Bioscience employees. In addition, we rely on our direct suppliers to provide information on the origin of the Conflict Minerals contained in components and materials supplied to us – including sources of Conflict Minerals that are supplied to them from lower tier suppliers.

 

Supplier Engagement

 

With respect to the OECD requirement to strengthen engagement with suppliers, we have, through Assent, provided education on the Conflict Minerals regulation as well as the expectations of the law and for a continued business relationship.

 

Grievance Mechanism

 

Various communication channels exist to serve as grievance mechanisms for early-warning risk awareness. We have multiple longstanding grievance mechanisms whereby employees (internal) and suppliers (external) can report violations of our policies. This includes, but is not limited to our whistleblower hotline that is part of our Code of Business Conduct and Ethics policy located on our website at http://investor.harvardbioscience.com/corporate-governance.cfm.

 

Maintain Records

 

Our existing policy related to relevant documentation of our conflict mineral compliance process requires that documentation will be retained for a period of at least five years.

 

4.3 Identify and assess risk in the supply chain

 

Because of the complexity of our products, and the depth, breadth, and constant evolution of our supply chain, it is difficult to identify actors upstream from our direct suppliers. Risks are identified automatically in‎ ACM based on criteria established for supplier responses in the Conflict Policy document and Management System.

 

Invalid responses are dealt with directly Assent Compliance Supply Chain staff who contact the supplier, encourage the submission of a valid CMRT, gather pertinent data and perform an assessment of the supplier’s Conflict Minerals status. 

 

All of the information and findings from this process are stored in a database that can be audited by internal or external ‎parties.

 

Certain of the responses to the surveys included the names of facilities listed by the suppliers as smelters or refiners. We compared, via Assent, each facility listed in the responses to the lists of smelters and refiners maintained by the CFSI to verify the existence of the facility and to determine whether the facility is certified as conflict-free.

 

We, via Assent, classify each listed smelter or refiner as high, medium or low risk based on three scoring criteria: recognition by the CFSI, geographic proximity to the Covered Countries, and certification by the CFSI as conflict-free. If any smelter or refiner is not recognized by the CFSI, Assent conducts outreach and research to gain more information about whether they are a smelter or a refiner, sourcing practices, location, and country of origin. Additionally, if any smelter is not certified conflict-free, Assent conducts outreach providing education on the Conflict-Free Smelter Program and encouraging them to join this program.

 

Additionally, suppliers are evaluated on program strength (further assisting in identifying risk in the supply chain). Many companies continue to be in the middle of the process and still have “unknown” as some of the answers. It has been decided that penalizing or failing them for working through the process is likely not the best approach for the initial years of compliance, it does not meet the goals or spirit of the Rule, however evaluating and tracking the strength of the program does meet the OECD Due Diligence Guidelines and can assist in making key risk mitigation decisions as the program progresses. The criteria used to evaluate the strength of the program are:

 

A. Do you have a policy in place that includes DRC conflict-free sourcing?

E. Have you implemented due diligence measures for conflict-free sourcing?

H. Do you verify due diligence information received from your suppliers?

I. Does your verification process include corrective action management?

 

When suppliers meet or exceed those criteria (“Yes” to at least A,E,H,I) , they are deemed to have a strong program. When suppliers do not meet those criteria, they are deemed to have a weak program.

 

We believe that the inquiries and investigations described above represent a reasonable effort to determine the mines or locations of origin of the Conflict Minerals in our Covered Products, including (1) seeking information about Conflict Minerals smelters and refiners in our supply chain through requesting that our suppliers complete the CMRT, (2) verifying those smelters and refiners with the expanding CFSI lists, (3) conducting the due diligence review, and (4) obtaining additional documentation and verification, as applicable.

 

3
 

4.4 Design and Implement a Strategy to Respond to Risks

 

In response to this risk assessment, Harvard Bioscience has an approved risk management plan, through which the conflict minerals program is implemented, managed and monitored. “Fails” are a risk that is dealt with by implementing supplier corrective action measures which ensures Harvard Bioscience suppliers have policies and procedures in place that will produce the necessary data in an accurate manner. All this data is than verified through an assessment of supporting data, including smelter info. Updates to this risk assessment are provided regularly to senior management.

 

As part of our risk management plan, to ensure suppliers understand our expectations we have provided both video, recorded training and documented instructions through Assent. As the program progresses, contacts via email and phone by Harvard Bioscience procurement team members will be completed as an escalation to ensure the importance of a response via CMRTs to Assent and the required cooperation for compliance to the Conflict Minerals rules will be emphasized.

 

As described in our conflict minerals policy, we engage any of our suppliers whom we have reason to believe are supplying us with Conflict Minerals from sources that may support conflict in the Covered Countries to establish an alternative source of Conflict Minerals that does not support such conflict, as provided in the OECD guidance. We have found no instances where it was necessary to terminate a contract or find a replacement supplier.

 

4.5 Carry out Independent Third Party Audit of Supply Chain Due Diligence at Identified Points in the Supply Chain

 

We support independent third-party audits through our participation in the Conflict Free Smelter Initiative (“CFSI”). We do not typically have a direct relationship with Conflict Minerals smelters and refiners, and we do not perform or direct audits of these entities within our supply chain.

 

4.6 Report annually on supply chain due diligence

 

We report annually on our supply chain due diligence by filing a Form SD and a Conflict Minerals Report with the SEC. Our Form SD and Conflict Minerals Report can be found on the Corporate Governance page of our website: http://investor.harvardbioscience.com/corporate-governance.cfm.

 

5. Due Diligence Results

 

Survey Responses

 

We are actively surveying our supplier chain. We review the responses against criteria developed to determine whether further engagement with our suppliers is required. These criteria included untimely or incomplete responses as well as inconsistencies within the data reported in the template. We, through the assistance of Assent, have worked with these suppliers to provide revised responses.

 

Smelters or Refiners

 

The information that we received from a majority of our Applicable Suppliers was at their company-wide level. Thus, the smelters or refiners identified by our Applicable Suppliers contained in the tables below may contain smelters or refiners that processed conflict minerals that our Applicable Suppliers supplied to their other customers, but not to us. As a result, we are unable to conclusively determine whether the smelters or refiners included in the tables below were used to process the conflict minerals necessary to the functionality or production of our products during 2015. Because of this uncertainty, we are also unable to conclusively determine whether each of the countries of origin listed above were the country of origin of conflict minerals in our products during 2015, and therefore also unable to conclusively determine the source and chain of custody of those conflict minerals. In addition, the third-party audits conducted by the CFSI, the LBMA and the information that we receive from our Applicable Suppliers may yield inaccurate or incomplete information. For example, the information received from our Applicable Suppliers may be incomplete because they may not have received accurate and complete conflict minerals information from all of the suppliers in their own supply chain. We also do not have access to audit reports or detailed findings of the third-party audits conducted as part of the CFSI Conflict-Free Smelter Program or the LBMA Responsible Gold Programme and, as a result, are not responsible for the quality of these audits or the audit findings.

 

Our third-party service provider compared the facilities listed in the responses in the CMRT to the list of smelters maintained by the Conflict-Free Sourcing Initiative (“CFSI”), and confirmed that the name was listed by CFSI. As of May 9th, 2016, we have validated in this manner that 320 smelters or refiners provided in our supplier CMRTs are included on these lists.

 

If a supplier indicated that a facility was certified as “Conflict-Free” our third-party service provider confirmed that it was listed as such by CFSI. Based on the smelter and refiner lists provided by suppliers via the CMRTs and validated against the CFSI legitimate smelters and refiners information as described above, we are aware of 216 “Conflict-Free” smelters or refiners, 47 smelters or refiners that have begun the process to be validated as Conflict-Free, they are deemed as active in the Conflict Free Smelter Program but have not yet been validated as Conflict-Free and 57 smelters or refiners that are not Conflict-Free and have not started the process to become Conflict-Free. Confirmed smelter or refiner sourcing is not generally available through public information sources related to the smelter or refiner however Attachment A does include an aggregate country list of known smelter or refiner sourcing countries. Despite the additional smelter information obtained from these suppliers, in most cases information has been provided on a company or division level, rather than on a component level. Therefore, we cannot yet ascertain whether the smelters identified by our suppliers are related to any parts or components actually provided to us by the suppliers. Attachment A lists the smelters and refiners that the suppliers we surveyed reported as being in their supply chains. We have not included in Attachment A any smelters or refiners that we have not been able to validate. Attachment A also includes the facility location and whether a smelter or refiner is Conflict-Free.

 

4
 

Efforts to determine mine or location of origin

 

As noted above, the current efforts focus on gathering smelter information via the CMRT reporting template and, as the program progresses, requiring full completion of all necessary smelter identification information which will enable the validation and disclosure of the smelters as well as the tracing of the Conflict Minerals to their location of origin. Seeking information about Conflict Minerals smelters and refiners in our supply chain represents the most reasonable effort we can make to determine the mines or locations of origin of the Conflict Minerals in our supply chain.

 

6. Steps to improve future due diligence and to mitigate risk

 

We intend to take the following steps to improve the due diligence conducted to further mitigate any risk that the necessary Conflict Minerals in our products could benefit armed groups in the DRC or adjoining countries:

 

Include a conflict minerals flow-down clause in new or renewed supplier contracts.
Expand the number of suppliers requested to supply information.
Engage with suppliers and direct them to training resources to attempt to increase the response rate and improve the content of the supplier survey responses.
Suppliers will also be requested to inform Harvard Bioscience of the correlation between these smelters and the products and parts they supply to Harvard Bioscience
Engage any of our suppliers found to be supplying us with Conflict Minerals from sources that support conflict in the DRC or any adjoining country to establish an alternative source of Conflict Minerals that does not support such conflict.

 

 

5
 

ATTACHMENT A

 

Metal  Smelter or Refiner Name  Smelter or Refiner Facility Location Conflict Free?
Gold Advanced Chemical Company UNITED STATES  
Gold Aida Chemical Industries Co., Ltd. JAPAN Yes
Gold Aktyubinsk Copper Company TOO KAZAKHSTAN  
Gold Al Etihad Gold Refinery DMCC UNITED ARAB EMIRATES  
Gold Allgemeine Gold-und Silberscheideanstalt A.G. GERMANY Yes
Gold Almalyk Mining and Metallurgical Complex (AMMC) UZBEKISTAN  
Gold AngloGold Ashanti Córrego do Sítio Mineração BRAZIL Yes
Gold Argor-Heraeus SA SWITZERLAND Yes
Gold Asahi Pretec Corporation JAPAN Yes
Gold Asahi Refining Canada Limited CANADA Yes
Gold Asahi Refining USA Inc. UNITED STATES Yes
Gold Asaka Riken Co., Ltd. JAPAN Yes
Gold Atasay Kuyumculuk Sanayi Ve Ticaret A.S. TURKEY  
Gold Aurubis AG GERMANY Yes
Gold Bangko Sentral ng Pilipinas (Central Bank of the Philippines) PHILIPPINES Yes
Gold Bauer Walser AG GERMANY  
Gold Boliden AB SWEDEN Yes
Gold C. Hafner GmbH + Co. KG GERMANY Yes
Gold Caridad MEXICO  
Gold CCR Refinery - Glencore Canada Corporation CANADA Yes
Gold Cendres + Métaux SA SWITZERLAND  
Gold Chimet S.p.A. ITALY Yes
Gold Chugai Mining JAPAN  
Gold Daejin Indus Co., Ltd. KOREA, REPUBLIC OF  
Gold Daye Non-Ferrous Metals Mining Ltd. CHINA  
Gold Do Sung Corporation KOREA, REPUBLIC OF  
Gold DODUCO GmbH GERMANY Yes
Gold Dowa JAPAN Yes
Gold Eco-System Recycling Co., Ltd. JAPAN Yes
Gold Elemetal Refining, LLC UNITED STATES Yes
Gold Emirates Gold DMCC UNITED ARAB EMIRATES Yes
Gold Faggi Enrico S.p.A. ITALY  
Gold Fidelity Printers and Refiners Ltd. ZIMBABWE  
Gold Gansu Seemine Material Hi-Tech Co., Ltd. CHINA  
Gold Geib Refining Corporation UNITED STATES  
Gold Great Wall Precious Metals Co., Ltd. of CBPM CHINA  
Gold Guangdong Jinding Gold Limited CHINA  
Gold Guoda Safina High-Tech Environmental Refinery Co., Ltd. CHINA  
Gold Hangzhou Fuchunjiang Smelting Co., Ltd. CHINA  
Gold Heimerle + Meule GmbH GERMANY Yes
Gold Heraeus Ltd. Hong Kong CHINA Yes
Gold Heraeus Precious Metals GmbH & Co. KG GERMANY Yes
Gold Hunan Chenzhou Mining Co., Ltd. CHINA  
Gold Hwasung CJ Co., Ltd. KOREA, REPUBLIC OF  
Gold Inner Mongolia Qiankun Gold and Silver Refinery Share Company Limited CHINA Yes
6
 
Gold Ishifuku Metal Industry Co., Ltd. JAPAN Yes
Gold Istanbul Gold Refinery TURKEY Yes
Gold Japan Mint JAPAN Yes
Gold Jiangxi Copper Company Limited CHINA Yes
Gold JSC Ekaterinburg Non-Ferrous Metal Processing Plant RUSSIAN FEDERATION Yes
Gold JSC Uralelectromed RUSSIAN FEDERATION Yes
Gold JX Nippon Mining & Metals Co., Ltd. JAPAN Yes
Gold Kaloti Precious Metals UNITED ARAB EMIRATES  
Gold Kazakhmys Smelting LLC KAZAKHSTAN  
Gold Kazzinc KAZAKHSTAN Yes
Gold Kennecott Utah Copper LLC UNITED STATES Yes
Gold KGHM Polska Miedź Spółka Akcyjna POLAND  
Gold Kojima Chemicals Co., Ltd. JAPAN Yes
Gold Korea Metal Co., Ltd. KOREA, REPUBLIC OF  
Gold Korea Zinc Co. Ltd. KOREA, REPUBLIC OF  
Gold Kyrgyzaltyn JSC KYRGYZSTAN  
Gold L' azurde Company For Jewelry SAUDI ARABIA  
Gold Lingbao Gold Company Limited CHINA  
Gold Lingbao Jinyuan Tonghui Refinery Co., Ltd. CHINA  
Gold LS-NIKKO Copper Inc. KOREA, REPUBLIC OF Yes
Gold Luoyang Zijin Yinhui Gold Refinery Co., Ltd. CHINA  
Gold Materion UNITED STATES Yes
Gold Matsuda Sangyo Co., Ltd. JAPAN Yes
Gold Metahub Industries Sdn. Bhd. MALAYSIA  
Gold Metalor Technologies (Hong Kong) Ltd. CHINA Yes
Gold Metalor Technologies (Singapore) Pte., Ltd. SINGAPORE Yes
Gold Metalor Technologies (Suzhou) Ltd. CHINA  
Gold Metalor Technologies SA SWITZERLAND Yes
Gold Metalor USA Refining Corporation UNITED STATES Yes
Gold METALÚRGICA MET-MEX PEÑOLES, S.A. DE C.V MEXICO Yes
Gold Mitsubishi Materials Corporation JAPAN Yes
Gold Mitsui Mining and Smelting Co., Ltd. JAPAN Yes
Gold MMTC-PAMP India Pvt., Ltd. INDIA Yes
Gold Morris and Watson NEW ZEALAND  
Gold Moscow Special Alloys Processing Plant RUSSIAN FEDERATION Yes
Gold Nadir Metal Rafineri San. Ve Tic. A.Ş. TURKEY Yes
Gold Navoi Mining and Metallurgical Combinat UZBEKISTAN  
Gold Nihon Material Co., Ltd. JAPAN Yes
Gold Ögussa Österreichische Gold- und Silber-Scheideanstalt GmbH AUSTRIA Yes
Gold Ohura Precious Metal Industry Co., Ltd. JAPAN Yes
Gold OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) RUSSIAN FEDERATION Yes
Gold OJSC Kolyma Refinery RUSSIAN FEDERATION  
Gold OJSC Novosibirsk Refinery RUSSIAN FEDERATION Yes
Gold PAMP SA SWITZERLAND Yes
Gold Penglai Penggang Gold Industry Co., Ltd. CHINA  
Gold Prioksky Plant of Non-Ferrous Metals RUSSIAN FEDERATION Yes
Gold PT Aneka Tambang (Persero) Tbk INDONESIA Yes
Gold PX Précinox SA SWITZERLAND Yes
Gold Rand Refinery (Pty) Ltd. SOUTH AFRICA Yes
7
 
Gold Republic Metals Corporation UNITED STATES Yes
Gold Royal Canadian Mint CANADA Yes
Gold SAAMP FRANCE  
Gold Sabin Metal Corp. UNITED STATES  
Gold Samduck Precious Metals KOREA, REPUBLIC OF  
Gold SAMWON Metals Corp. KOREA, REPUBLIC OF  
Gold SAXONIA Edelmetalle GmbH GERMANY  
Gold Schone Edelmetaal B.V. NETHERLANDS Yes
Gold SEMPSA Joyería Platería SA SPAIN Yes
Gold Shandong Tiancheng Biological Gold Industrial Co., Ltd. CHINA  
Gold Shandong Zhaojin Gold & Silver Refinery Co., Ltd. CHINA Yes
Gold Sichuan Tianze Precious Metals Co., Ltd. CHINA Yes
Gold Singway Technology Co., Ltd. TAIWAN Yes
Gold So Accurate Group, Inc. UNITED STATES  
Gold SOE Shyolkovsky Factory of Secondary Precious Metals RUSSIAN FEDERATION Yes
Gold Solar Applied Materials Technology Corp. TAIWAN Yes
Gold Sudan Gold Refinery SUDAN  
Gold Sumitomo Metal Mining Co., Ltd. JAPAN Yes
Gold T.C.A S.p.A ITALY Yes
Gold Tanaka Kikinzoku Kogyo K.K. JAPAN Yes
Gold The Refinery of Shandong Gold Mining Co., Ltd. CHINA Yes
Gold Tokuriki Honten Co., Ltd. JAPAN Yes
Gold Tongling Nonferrous Metals Group Co., Ltd. CHINA  
Gold Tony Goetz NV BELGIUM  
Gold Torecom KOREA, REPUBLIC OF  
Gold Umicore Brasil Ltda. BRAZIL Yes
Gold Umicore Precious Metals Thailand THAILAND Yes
Gold Umicore SA Business Unit Precious Metals Refining BELGIUM Yes
Gold United Precious Metal Refining, Inc. UNITED STATES Yes
Gold Valcambi SA SWITZERLAND Yes
Gold Western Australian Mint trading as The Perth Mint AUSTRALIA Yes
Gold WIELAND Edelmetalle GmbH GERMANY  
Gold Yamamoto Precious Metal Co., Ltd. JAPAN Yes
Gold Yokohama Metal Co., Ltd. JAPAN Yes
Gold Yunnan Copper Industry Co., Ltd. CHINA  
Gold Zhongyuan Gold Smelter of Zhongjin Gold Corporation CHINA Yes
Gold Zijin Mining Group Co., Ltd. Gold Refinery CHINA Yes
Tantalum Avon Specialty Metals Ltd UNITED KINGDOM  
Tantalum Changsha South Tantalum Niobium Co., Ltd. CHINA Yes
Tantalum Conghua Tantalum and Niobium Smeltry CHINA Yes
Tantalum D Block Metals, LLC UNITED STATES Yes
Tantalum Duoluoshan CHINA Yes
Tantalum E.S.R. Electronics UNITED STATES  
Tantalum Exotech Inc. UNITED STATES Yes
Tantalum F&X Electro-Materials Ltd. CHINA Yes
Tantalum FIR Metals & Resource Ltd. CHINA Yes
Tantalum Global Advanced Metals Aizu JAPAN Yes
Tantalum Global Advanced Metals Boyertown UNITED STATES Yes
Tantalum Guangdong Zhiyuan New Material Co., Ltd. CHINA Yes
Tantalum Guizhou Zhenhua Xinyun Technology Ltd., Kaili branch CHINA  
8
 
Tantalum H.C. Starck Co., Ltd. THAILAND Yes
Tantalum H.C. Starck GmbH Goslar GERMANY Yes
Tantalum H.C. Starck GmbH Laufenburg GERMANY Yes
Tantalum H.C. Starck Hermsdorf GmbH GERMANY Yes
Tantalum H.C. Starck Inc. UNITED STATES Yes
Tantalum H.C. Starck Ltd. JAPAN Yes
Tantalum H.C. Starck Smelting GmbH & Co.KG GERMANY Yes
Tantalum Hengyang King Xing Lifeng New Materials Co., Ltd. CHINA Yes
Tantalum Hi-Temp Specialty Metals, Inc. UNITED STATES Yes
Tantalum Jiangxi Dinghai Tantalum & Niobium Co., Ltd. CHINA Yes
Tantalum Jiangxi Tuohong New Raw Material CHINA Yes
Tantalum JiuJiang JinXin Nonferrous Metals Co., Ltd. CHINA Yes
Tantalum Jiujiang Tanbre Co., Ltd. CHINA Yes
Tantalum Jiujiang Zhongao Tantalum & Niobium Co., Ltd. CHINA Yes
Tantalum KEMET Blue Metals MEXICO Yes
Tantalum KEMET Blue Powder UNITED STATES Yes
Tantalum King-Tan Tantalum Industry Ltd. CHINA Yes
Tantalum LSM Brasil S.A. BRAZIL Yes
Tantalum Metallurgical Products India Pvt., Ltd. INDIA Yes
Tantalum Mineração Taboca S.A. BRAZIL Yes
Tantalum Mitsui Mining & Smelting JAPAN Yes
Tantalum Molycorp Silmet A.S. ESTONIA Yes
Tantalum Ningxia Orient Tantalum Industry Co., Ltd. CHINA Yes
Tantalum Plansee SE Liezen AUSTRIA Yes
Tantalum Plansee SE Reutte AUSTRIA Yes
Tantalum QuantumClean UNITED STATES Yes
Tantalum Resind Indústria e Comércio Ltda. BRAZIL Yes
Tantalum RFH Tantalum Smeltry Co., Ltd. CHINA Yes
Tantalum Solikamsk Magnesium Works OAO RUSSIAN FEDERATION Yes
Tantalum Taki Chemicals JAPAN Yes
Tantalum Telex Metals UNITED STATES Yes
Tantalum Tranzact, Inc. UNITED STATES Yes
Tantalum Ulba Metallurgical Plant JSC KAZAKHSTAN Yes
Tantalum XinXing HaoRong Electronic Material Co., Ltd. CHINA Yes
Tantalum Yichun Jin Yang Rare Metal Co., Ltd. CHINA Yes
Tantalum Zhuzhou Cemented Carbide CHINA Yes
Tin Alpha UNITED STATES Yes
Tin An Thai Minerals Company Limited VIET NAM  
Tin An Vinh Joint Stock Mineral Processing Company VIET NAM  
Tin Chenzhou Yun Xiang mining limited liability company CHINA  
Tin China Tin Group Co., Ltd. CHINA Yes
Tin CNMC (Guangxi) PGMA Co., Ltd. CHINA  
Tin Cooperativa Metalurgica de Rondônia Ltda. BRAZIL Yes
Tin CV Ayi Jaya INDONESIA Yes
Tin CV Dua Sekawan INDONESIA  
Tin CV Gita Pesona INDONESIA Yes
Tin CV Serumpun Sebalai INDONESIA Yes
Tin CV Tiga Sekawan INDONESIA  
Tin CV United Smelting INDONESIA Yes
Tin CV Venus Inti Perkasa INDONESIA Yes
9
 
Tin Dowa JAPAN Yes
Tin Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company VIET NAM  
Tin Elmet S.L.U. (Metallo Group) SPAIN Yes
Tin EM Vinto BOLIVIA Yes
Tin Estanho de Rondônia S.A. BRAZIL  
Tin Feinhütte Halsbrücke GmbH GERMANY  
Tin Fenix Metals POLAND Yes
Tin Gejiu Fengming Metalurgy Chemical Plant CHINA  
Tin Gejiu Kai Meng Industry and Trade LLC CHINA  
Tin Gejiu Non-Ferrous Metal Processing Co., Ltd. CHINA Yes
Tin Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. CHINA  
Tin Gejiu Zili Mining And Metallurgy Co., Ltd. CHINA  
Tin Guanyang Guida Nonferrous Metal Smelting Plant CHINA  
Tin HuiChang Hill Tin Industry Co., Ltd. CHINA  
Tin Huichang Jinshunda Tin Co., Ltd. CHINA  
Tin Jiangxi Ketai Advanced Material Co., Ltd. CHINA Yes
Tin Linwu Xianggui Ore Smelting Co., Ltd. CHINA  
Tin Magnu's Minerais Metais e Ligas Ltda. BRAZIL Yes
Tin Malaysia Smelting Corporation (MSC) MALAYSIA Yes
Tin Melt Metais e Ligas S/A BRAZIL Yes
Tin Metahub Industries Sdn. Bhd. MALAYSIA  
Tin Metallic Resources, Inc. UNITED STATES Yes
Tin Metallo-Chimique N.V. BELGIUM Yes
Tin Mineração Taboca S.A. BRAZIL Yes
Tin Minsur PERU Yes
Tin Mitsubishi Materials Corporation JAPAN Yes
Tin Nankang Nanshan Tin Manufactory Co., Ltd. CHINA  
Tin Nghe Tinh Non-Ferrous Metals Joint Stock Company VIET NAM  
Tin O.M. Manufacturing (Thailand) Co., Ltd. THAILAND Yes
Tin O.M. Manufacturing Philippines, Inc. PHILIPPINES Yes
Tin Operaciones Metalurgical S.A. BOLIVIA Yes
Tin Phoenix Metal Ltd. RWANDA  
Tin PT Alam Lestari Kencana INDONESIA  
Tin PT Aries Kencana Sejahtera INDONESIA Yes
Tin PT Artha Cipta Langgeng INDONESIA Yes
Tin PT ATD Makmur Mandiri Jaya INDONESIA Yes
Tin PT Babel Inti Perkasa INDONESIA Yes
Tin PT Bangka Kudai Tin INDONESIA  
Tin PT Bangka Prima Tin INDONESIA Yes
Tin PT Bangka Timah Utama Sejahtera INDONESIA  
Tin PT Bangka Tin Industry INDONESIA Yes
Tin PT Belitung Industri Sejahtera INDONESIA Yes
Tin PT BilliTin Makmur Lestari INDONESIA Yes
Tin PT Bukit Timah INDONESIA Yes
Tin PT Cipta Persada Mulia INDONESIA Yes
Tin PT DS Jaya Abadi INDONESIA Yes
Tin PT Eunindo Usaha Mandiri INDONESIA Yes
Tin PT Fang Di MulTindo INDONESIA  
Tin PT Inti Stania Prima INDONESIA Yes
10
 
Tin PT Justindo INDONESIA Yes
Tin PT Karimun Mining INDONESIA  
Tin PT Kijang Jaya Mandiri INDONESIA  
Tin PT Mitra Stania Prima INDONESIA Yes
Tin PT Panca Mega Persada INDONESIA Yes
Tin PT Pelat Timah Nusantara Tbk INDONESIA  
Tin PT Prima Timah Utama INDONESIA Yes
Tin PT Refined Bangka Tin INDONESIA Yes
Tin PT Sariwiguna Binasentosa INDONESIA Yes
Tin PT Seirama Tin Investment INDONESIA  
Tin PT Stanindo Inti Perkasa INDONESIA Yes
Tin PT Sukses Inti Makmur INDONESIA Yes
Tin PT Sumber Jaya Indah INDONESIA Yes
Tin PT Timah (Persero) Tbk Kundur INDONESIA Yes
Tin PT Timah (Persero) Tbk Mentok INDONESIA Yes
Tin PT Tinindo Inter Nusa INDONESIA Yes
Tin PT Tirus Putra Mandiri INDONESIA  
Tin PT Tommy Utama INDONESIA Yes
Tin PT Wahana Perkit Jaya INDONESIA Yes
Tin Resind Indústria e Comércio Ltda. BRAZIL Yes
Tin Rui Da Hung TAIWAN Yes
Tin Soft Metais Ltda. BRAZIL Yes
Tin Thaisarco THAILAND Yes
Tin Tuyen Quang Non-Ferrous Metals Joint Stock Company VIET NAM  
Tin VQB Mineral and Trading Group JSC VIET NAM Yes
Tin White Solder Metalurgia e Mineração Ltda. BRAZIL Yes
Tin Yunnan Chengfeng Non-ferrous Metals Co., Ltd. CHINA  
Tin Yunnan Tin Group (Holding) Company Limited CHINA Yes
Tungsten A.L.M.T. TUNGSTEN Corp. JAPAN Yes
Tungsten ACL Metais Eireli BRAZIL  
Tungsten Asia Tungsten Products Vietnam Ltd. VIET NAM Yes
Tungsten Chenzhou Diamond Tungsten Products Co., Ltd. CHINA Yes
Tungsten Chongyi Zhangyuan Tungsten Co., Ltd. CHINA Yes
Tungsten Dayu Jincheng Tungsten Industry Co., Ltd. CHINA  
Tungsten Dayu Weiliang Tungsten Co., Ltd. CHINA  
Tungsten Fujian Jinxin Tungsten Co., Ltd. CHINA Yes
Tungsten Ganxian Shirui New Material Co., Ltd. CHINA  
Tungsten Ganzhou Huaxing Tungsten Products Co., Ltd. CHINA Yes
Tungsten Ganzhou Jiangwu Ferrotungsten Co., Ltd. CHINA Yes
Tungsten Ganzhou Non-ferrous Metals Smelting Co., Ltd. CHINA  
Tungsten Ganzhou Seadragon W & Mo Co., Ltd. CHINA Yes
Tungsten Ganzhou Yatai Tungsten Co., Ltd. CHINA Yes
Tungsten Global Tungsten & Powders Corp. UNITED STATES Yes
Tungsten Guangdong Xianglu Tungsten Co., Ltd. CHINA Yes
Tungsten H.C. Starck GmbH GERMANY Yes
Tungsten H.C. Starck Smelting GmbH & Co.KG GERMANY Yes
Tungsten Hunan Chenzhou Mining Co., Ltd. CHINA Yes
Tungsten Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji CHINA  
Tungsten Hunan Chuangda Vanadium Tungsten Co., Ltd. Yanglin CHINA  
Tungsten Hunan Chunchang Nonferrous Metals Co., Ltd. CHINA Yes
11
 
Tungsten Hydrometallurg, JSC RUSSIAN FEDERATION Yes
Tungsten Japan New Metals Co., Ltd. JAPAN Yes
Tungsten Jiangwu H.C. Starck Tungsten Products Co., Ltd. CHINA  
Tungsten Jiangxi Dayu Longxintai Tungsten Co., Ltd. CHINA  
Tungsten Jiangxi Gan Bei Tungsten Co., Ltd. CHINA Yes
Tungsten Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. CHINA  
Tungsten Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. CHINA  
Tungsten Jiangxi Xinsheng Tungsten Industry Co., Ltd. CHINA  
Tungsten Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd. CHINA Yes
Tungsten Jiangxi Yaosheng Tungsten Co., Ltd. CHINA  
Tungsten Kennametal Fallon UNITED STATES  
Tungsten Kennametal Huntsville UNITED STATES Yes
Tungsten Malipo Haiyu Tungsten Co., Ltd. CHINA Yes
Tungsten Moliren Ltd RUSSIAN FEDERATION  
Tungsten Niagara Refining LLC UNITED STATES Yes
Tungsten Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC VIET NAM Yes
Tungsten Philippine Chuangin Industrial Co., Inc. PHILIPPINES Yes
Tungsten Pobedit, JSC RUSSIAN FEDERATION  
Tungsten Sanher Tungsten Vietnam Co., Ltd. VIET NAM  
Tungsten Tejing (Vietnam) Tungsten Co., Ltd. VIET NAM Yes
Tungsten Vietnam Youngsun Tungsten Industry Co., Ltd. VIET NAM Yes
Tungsten Wolfram Bergbau und Hütten AG AUSTRIA Yes
Tungsten Woltech Korea Co., Ltd. KOREA, REPUBLIC OF  
Tungsten Xiamen Tungsten (H.C.) Co., Ltd. CHINA Yes
Tungsten Xiamen Tungsten Co., Ltd. CHINA Yes
Tungsten Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. CHINA  
Tungsten Xinhai Rendan Shaoguan Tungsten Co., Ltd. CHINA Yes

 

Country of Origin List:

 

Argentina, Australia, Austria, Belgium, Bolivia, Brazil, Cambodia, Canada, Chile, China, Columbia, Cote D’Ivoire, Czech Republic, Djibouti, Ecuador, Egypt, Estonia, Ethiopia, France, Germany, Guyana, Hungary, India, Indonesia, Ireland, Israel, Japan, Kazakhstan, Laos, Luxembourg, Madagascar, Malaysia, Mongolia, Myanmar, Namibia, Netherlands, Nigeria, Peru, Portugal, Russia, Sierra Leone, Singapore, Slovakia, South Korea, Spain, Suriname, Switzerland, Taiwan, Thailand, United Kingdom, United States, Vietnam, Zimbabwe, Kenya, Mozambique, South Africa, Democratic Republic of the Congo, Angola, Burundi, Central African Republic, Republic of Congo, Rwanda, South Sudan, Tanzania, Uganda, and Zambia.

 

12