EX-1.01 2 exhibit101cmr2019.htm EX-1.01 (CMR 2019) Document

Exhibit 1.01

Ballard Power Systems Inc.
Conflict Minerals Report
For the Year Ended December 31, 2019

This Conflict Minerals Report (the “Report”) has been prepared in compliance with Rule 13p-1 and Form SD (the “Rule”) pursuant to the Securities Exchange Act of 1934, as amended, for the year ended December 31, 2019. It has been prepared by management of Ballard Power Systems Inc. (herein referred to as “Ballard,” “the Company”, “we,” “us,” or “our”) and includes information relating to the activities of all consolidated subsidiaries.
The Rule imposes certain reporting obligations when an SEC registrant company manufactures or contracts to manufacture products that contain minerals specified in the Rule which are necessary to the functionality or production of those products. The specified minerals are cassiterite, columbite-tantalite (coltran), wolframite, and their derivatives, which are limited to tin, tantalum, tungsten, and gold (collectively, the “Conflict Minerals”).

As described in this Report, certain of Ballard’s operations manufacture or contract to manufacture products and the Conflict Minerals are necessary to the functionality or production of those products.

If a registrant can establish that the Conflict Minerals originated from sources other than the Democratic Republic of the Congo, the Republic of the Congo, the Central African Republic, South Sudan, Uganda, Rwanda, Burundi, Tanzania, Zambia or Angola (the “Covered Countries”), or from recycled and scrap sources, or if it has no reason to believe that its Conflict Minerals may have originated in the Covered Countries, or if based on its reasonable country of origin inquiry the registrant reasonably believes that its Conflict Minerals did come from recycled or scrap sources, they must submit a Form SD which describes the Reasonable Country of Origin Inquiry 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 (“CMR”), to the SEC that includes a description of those due diligence measures.

The report presented herein is not audited as the Rule provides that if a registrant’s products are “DRC conflict undeterminable” during the specified grace period, the CMR is not subject to an independent private sector audit.

Description of The Company’s Products Covered by this Report

Ballard provides products in two distinct product classes:

1.Fuel cell stacks: Ballard provides FCgen® and FCvelocity® fuel cell stacks to original equipment manufacturer customers and system integrators that use the stacks to produce fuel cell systems for power solutions.

2.Fuel cell modules: Ballard builds the stacks into self-contained FCvelocity®- HD or MD modules that are plug-and-play into larger fuel cell systems.

All of our products contain electronic, electrical and/or heating components that are necessary to the functionality of these products, and all of these components contain one or more Conflict Minerals.

Part I. Due Diligence

1.1 Design of Due Diligence

The Company has conducted a good faith reasonable country of origin inquiry (“RCOI”) regarding the Conflict Minerals. This good faith RCOI was designed to determine, to the extent reasonably possible, whether any Conflict Minerals in our products originated in the Covered Countries and whether any of the Conflict Minerals may be from recycled or scrap sources. We also exercised due diligence on the source and chain of custody of Conflict Minerals in our products.

Our due diligence measures have been designed to conform, in all material respects, with the framework in the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas: Second Edition (“OECD Guidance”) and the related Supplements for gold and for tin, tantalum and tungsten.
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1.2 Supply chain

We purchase hundreds of components for our products, including electronic boards, valves, heating elements, electrical connectors and other hardware items, all of which are procured through a wide variety of commercial sources.

As a downstream company (as the term is used in the OECD Guidance), Ballard does not purchase Conflict Minerals directly from mines, smelters or refiners and does not have any direct relationship with them. Our supply chain with respect to our products is complex and there are many parties in the supply chain between the manufacture of our products and the original source of Conflict Minerals.

1.3 Controls Systems

Ballard has established a management system for Conflict Minerals. Our management system includes a compliance team sponsored by our Vice President, Operations; as well as senior management representatives and a team of subject matter experts from relevant functions such as Supply Chain, Manufacturing, Finance and Legal. The team is responsible for implementing our Conflict Minerals compliance strategy and is led by a senior supply chain manager. Senior management is briefed about the results of our due diligence efforts on a regular basis.

We also participate in the Conflict Free Sourcing Initiative (CFSI), an initiative for companies from a range of industries addressing conflict minerals issues in their supply chains.
Other controls include, but are not limited to, our Code of Conduct which outlines expected behaviors for all Ballard employees, our Conflict Minerals Policy (reprinted below) and our Supplier Conduct Principles (available at http://www.ballard.com/about-ballard/suppliers).

1.3 Conflict Minerals Policy

We have adopted the following Conflict Minerals policy:

The mining of certain minerals from the eastern portion of the Democratic Republic of the Congo (DRC) and surrounding countries has financed armed conflict, resulting in violence and human rights violations in the region. In July 2010, the US Congress passed legislation requiring the US Securities and Exchange Commission (SEC) to adopt rules that all US publicly traded companies must disclose their use of Conflict Minerals. The SEC defines "Conflict Minerals" as gold, cassiterite, columbite-tantalite, wolframite, or their derivatives (specifically, tin, tantalum, and tungsten), or any other minerals or their derivatives determined by the US Secretary of State to be financing conflict in this region.

Ballard is committed to avoiding the use of Conflict Minerals which directly or indirectly finance or benefit armed groups in the DRC or adjoining countries.  Ballard is committed to complying with the reporting obligations required by the SEC, including the requirement that Ballard conduct inquiries into the source of any Conflict Minerals included in its products. 
 
Ballard does not directly purchase or source the raw metals used in our products. For this reason, tracing the path of minerals throughout our supply chain is a complex process. We also do not have complete visibility into the sources of all component minerals. However, we actively engage with our suppliers to promote responsible sourcing practices, and we conduct due diligence to determine whether the materials provided by our suppliers contain Conflict Minerals.

Ballard suppliers are required to acknowledge Ballard’s Code of Conduct, which includes requirements regarding Conflict Minerals and responsible sourcing. Suppliers are also responsible for passing the same requirements on to their suppliers.
 
Suppliers will be required to declare that all products supplied either:
 
•Do not contain tantalum, tin, tungsten or gold that are necessary to their production or functionality, or,

•If they do contain these minerals, that they originate from non-conflict areas or from smelters that have been validated by an independent private sector party to be conflict free.

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Ballard will evaluate its relationships with its suppliers on an ongoing basis to ensure continued compliance with this policy.  Ballard reserves the right to request additional documentation from its suppliers regarding the source of any Conflict Minerals included in its products.  In addition, suppliers must maintain and provide to Ballard upon request traceability data for a minimum of five years.  Suppliers who do not comply with these requirements shall be reviewed by Ballard’s supply chain organization for future business.

For additional information about our commitment to responsible sourcing and other human rights, see our Supplier Principles of Conduct.

1.4 Certification or Audit of Smelters and Refiners

We do not have a direct relationship with Conflict Minerals smelters and refiners and do not perform or direct audits of these entities within our supply chain. We rely on the list of smelters and refiners that have received a “conflict free” designation from the Conflict Free Smelter Program (“CFSP”), or other independent third-party audit program, which provide country of origin and due diligence information on the Conflict Minerals sourced by such facilities.

We have determined that the most reasonable method of determining the mines or locations of origin of the Conflict Minerals in our supply chain is to identify the smelters and refiners supplying the Conflict Minerals by requesting our suppliers to complete the Template (as defined below), and then checking those smelters and refiners with the CFSP list.

1.5 Risk Assessment

We have identified 878 direct suppliers of various raw materials, products and services. Because of our size, the complexity of our products, and the depth, breadth, and constant evolution of our supply chain, it is difficult to identify factors upstream from our direct suppliers. Accordingly we rely on these suppliers to provide us with information about the source of Conflict Minerals contained in the components supplied to us. Our direct suppliers are similarly reliant upon information provided by their suppliers. Many of the largest suppliers are also SEC registrants and subject to the Rule.

It is not practical to conduct a survey of all our suppliers and we believe a reasonable approach would be to conduct a survey of the suppliers who represented the majority of our expenditures in 2019 for purchases related to products we manufacture. In addition, we included suppliers of components that by their nature were likely to contain Conflict Minerals. In total, we identified 219 direct suppliers for our survey. We believe that this risk-based approach is consistent with how many peer companies are approaching their due diligence.

Supplier Survey

We conducted a survey of those suppliers described above using the template developed by the Electronic Industry Citizenship Coalition® (EICC®) and The Global e-Sustainability Initiative (GeSI), known as the CFSI Reporting Template (the “Template”). The Template was developed to facilitate disclosure and communication of information regarding smelters that provide material to a company’s supply chain. It includes questions regarding a company’s conflict-free policy, engagement with its direct suppliers, and a listing of the smelters the company and its suppliers use. In addition, the template contains questions about the origin of Conflict Minerals included in their products, as well as supplier due diligence. Training resources illustrating the use of the tool are available on CFSI’s website. The Template is being used by many companies in their due diligence processes related to Conflict Minerals.

Survey Responses

We received responses from 66% of the suppliers surveyed. We reviewed the responses against criteria developed to determine which required further engagement with our suppliers. These criteria included untimely or incomplete responses as well as inconsistencies within the data reported in the template. We will work directly with these suppliers to provide revised responses in the future.

Forty three (43) suppliers were able to identify specifically the smelters or refiners of Conflict Minerals that may have gone into parts supplied to Ballard. These responses included the names of 427 entities. We compared these facilities to the CFSP list of smelters and refiners and where a supplier indicated that the facility was certified as Conflict-Free, we ensured that the name was listed by CFSP. Of the smelters or refiners named by suppliers, 59 were not on the CFSP list; all remaining smelters or refiners were on the CFSP list and certified Conflict-Free by CSFP.

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None of our suppliers provided information at a part number level. The large majority of the responses received provided data at a company or divisional level and, except as described above the majority of our direct suppliers were unable to specify the smelters or refiners used for components supplied to Ballard. Therefore, except as set out below, we are unable to identify any of the smelters or refiners that are actually in our supply chain.

Smelters or Refiners

The known smelters and refiners of Conflict Minerals that went into parts supplied to Ballard identified by our direct suppliers are listed in the Appendix.

1.6 Risk Mitigation & Future Due Diligence Measures

In response to this risk assessment, Ballard has an approved risk management plan, through which the Conflict Minerals program is implemented, managed and monitored. Updates to this risk assessment are provided regularly to senior management.

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:

•As we enter into new contracts, or our contracts renew, we are adding a clause to require suppliers to provide information about the source of Conflict Minerals and smelters. It will take a number of years to ensure that all our supplier contracts contain appropriate flow-down clauses. In the meantime we are working with selected suppliers to insure they provide the Conflict Minerals sourcing information until the contracts can be amended.

•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.

•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 DRC or any adjoining country to establish an alternative source of Conflict Minerals that does not support such conflict, as provided in the OECD guidance.

•Work with relevant trade associations to define and improve best practices and build leverage over the supply chain in accordance with the OECD Guidance.


Part II. Product Description

DRC Conflict Undeterminable

After exercising the due diligence described above, Ballard was unable to determine whether or not each of our products qualify as “DRC conflict free”, as defined under the Rule. Accordingly, we have reasonably determined that all of our products are “DRC conflict undeterminable”, as defined in the Rule.

The facilities used to process the Conflict Minerals in our product and their countries of origin, to the extent known, are set out above.

Ballard expects to take the risk mitigation steps described above to improve its due diligence efforts and to further mitigate the risk that Conflict Minerals contained in our products finance or benefit armed groups in the Covered Countries.
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Appendix

Smelters or Refiners

The known smelters and refiners of Conflict Minerals that went into parts supplied to Ballard identified by our direct suppliers are:

Metal (*)
Smelter Reference List (*)
Smelter Country (*)
Smelter Identification
Gold
Advanced Chemical Company
UNITED STATES OF AMERICA
CID000015
Gold
Aida Chemical Industries Co., Ltd.
JAPAN
CID000019
Gold
Allgemeine Gold-und Silberscheideanstalt A.G.
GERMANY
CID000035
Gold
Almalyk Mining and Metallurgical Complex (AMMC)
UZBEKISTAN
CID000041
Gold
AngloGold Ashanti Brazil
BRAZIL
CID000058
Gold
Argor-Heraeus S.A.
SWITZERLAND
CID000077
Gold
Amagasaki Factory, Hyogo Prefecture, Japan
JAPAN
CID000082
Gold
Asaka Riken Co., Ltd.
JAPAN
CID000090
Gold
ATAkulche
TURKEY
CID000103
Gold
Aurubis AG
GERMANY
CID000113
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
Caridad
MEXICO
CID000180
Gold
CCR
CANADA
CID000185
Gold
Cendres + M?taux SA
SWITZERLAND
CID000189
Gold
CHALCO Yunnan Copper Co. Ltd.
CHINA
CID000197
Gold
Chimet S.p.A.
ITALY
CID000233
Gold
Chugai Mining
JAPAN
CID000264
Gold
Daejin Indus Co., Ltd.
KOREA, REPUBLIC OF
CID000328
Gold
Daye Non-Ferrous Metals Mining Ltd.
CHINA
CID000343
Gold
Do Sung Corporation
KOREA, REPUBLIC OF
CID000359
Gold
Doduco
GERMANY
CID000362
Gold
Dowa
JAPAN
CID000401
Gold
Eco-System Recycling Co., Ltd. East Plant
JAPAN
CID000425
Gold
FSE Novosibirsk Refinery
RUSSIAN FEDERATION
CID000493
Gold
Refinery of Seemine Gold Co., Ltd.
CHINA
CID000522
Gold
Guoda Safina High-Tech Environmental Refinery Co., Ltd.
CHINA
CID000651
Gold
Hangzhou Fuchunjiang Smelting Co., Ltd.
CHINA
CID000671
Gold
HeeSung Metal Ltd.
KOREA, REPUBLIC OF
CID000689
Gold
Heimerle + Meule GmbH
GERMANY
CID000694
Gold
Heraeus Ltd. Hong Kong
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
5

Metal (*)
Smelter Reference List (*)
Smelter Country (*)
Smelter Identification
Gold
Ishifuku Metal Industry Co., Ltd.
JAPAN
CID000807
Gold
Istanbul Gold Refinery
TURKEY
CID000814
Gold
Japan Mint
JAPAN
CID000823
Gold
JCC
CHINA
CID000855
Gold
Asahi Refining USA Inc.
UNITED STATES OF AMERICA
CID000920
Gold
Asahi Refining Canada Ltd.
CANADA
CID000924
Gold
Ekaterinburg
RUSSIAN FEDERATION
CID000927
Gold
JSC Uralelectromed
RUSSIAN FEDERATION
CID000929
Gold
JX Nippon Mining & Metals Co., Ltd.
JAPAN
CID000937
Gold
Kazakhmys Smelting LLC
KAZAKHSTAN
CID000956
Gold
Kazzinc
KAZAKHSTAN
CID000957
Gold
Kennecott Utah Copper LLC
UNITED STATES OF AMERICA
CID000969
Gold
Kojima Chemicals Co., Ltd.
JAPAN
CID000981
Gold
Kyrgyzaltyn JSC
KYRGYZSTAN
CID001029
Gold
L'azurde Company For Jewelry
SAUDI ARABIA
CID001032
Gold
LinBao Gold Mining
CHINA
CID001056
Gold
Lingbao Jinyuan Tonghui Refinery Co., Ltd.
CHINA
CID001058
Gold
LS-NIKKO Copper Inc.
KOREA, REPUBLIC OF
CID001078
Gold
Luoyang Zijin Yinhui Gold Refinery Co., Ltd.
CHINA
CID001093
Gold
Materion
UNITED STATES OF AMERICA
CID001113
Gold
Matsuda Sangyo Co., Ltd.
JAPAN
CID001119
Gold
Metalor Technologies (Suzhou) Ltd.
CHINA
CID001147
Gold
Metalor Technologies (Hong Kong) Ltd.
CHINA
CID001149
Gold
Metalor Technologies (Singapore) Pte., Ltd.
SINGAPORE
CID001152
Gold
Metalor Switzerland
SWITZERLAND
CID001153
Gold
Metalor USA Refining Corporation
UNITED STATES OF AMERICA
CID001157
Gold
Metal?rgica Met-Mex Pe?oles, S.A. de C.V
MEXICO
CID001161
Gold
Mitsubishi Materials Corporation
JAPAN
CID001188
Gold
Mitsui Kinzoku Co., Ltd.
JAPAN
CID001193
Gold
Federal State Unitary Enterprise Moscow Special Processing Plant (FSUE MZSS)
RUSSIAN FEDERATION
CID001204
Gold
Nadir Metal Rafineri San. Ve Tic. A.S.
TURKEY
CID001220
Gold
Navoi Mining and Metallurgical Combinat
UZBEKISTAN
CID001236
Gold
Nihon Material Co., Ltd.
JAPAN
CID001259
Gold
Elemetal Refining, LLC
UNITED STATES OF AMERICA
CID001322
Gold
Ohura Precious Metal Industry Co., Ltd.
JAPAN
CID001325
Gold
OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)
RUSSIAN FEDERATION
CID001326
Gold
PAMP S.A.
SWITZERLAND
CID001352
Gold
Penglai Penggang Gold Industry Co., Ltd.
CHINA
CID001362
Gold
Prioksky Plant of Non-Ferrous Metals
RUSSIAN FEDERATION
CID001386
Gold
PT Aneka Tambang (Persero) Tbk
INDONESIA
CID001397
Gold
PX Precinox S.A.
SWITZERLAND
CID001498
Gold
Rand Refinery (Pty) Ltd.
SOUTH AFRICA
CID001512
Gold
Royal Canadian Mint
CANADA
CID001534
Gold
Sabin Metal Corp.
UNITED STATES OF AMERICA
CID001546
6

Metal (*)
Smelter Reference List (*)
Smelter Country (*)
Smelter Identification
Gold
Samdok Metal
KOREA, REPUBLIC OF
CID001555
Gold
Samwon Metals Corp.
KOREA, REPUBLIC OF
CID001562
Gold
Schone Edelmetaal B.V.
NETHERLANDS
CID001573
Gold
SEMPSA Joyeria Plateria S.A.
SPAIN
CID001585
Gold
Shandong Tarzan Bio-Gold Industry Co., Ltd.
CHINA
CID001619
Gold
Shandong Zhaojin Gold & Silver Refinery Co., Ltd.
CHINA
CID001622
Gold
Sichuan Tianze Precious Metals Co., Ltd.
CHINA
CID001736
Gold
Accurate Refining Group
UNITED STATES
CID001754
Gold
Shyolkovsky
RUSSIAN FEDERATION
CID001756
Gold
Solar Applied Materials Technology Corp.
TAIWAN, PROVINCE OF CHINA
CID001761
Gold
MEM (Sumitomo Group)
JAPAN
CID001798
Gold
Shonan Plant Tanaka Kikinzoku
JAPAN
CID001875
Gold
Great Wall Precious Metals Co,. LTD.
CHINA
CID001909
Gold
China's Shandong Gold Mining Co., Ltd
CHINA
CID001916
Gold
Tokuriki Honten Co., Ltd.
JAPAN
CID001938
Gold
Anhui Tongling Nonferrous Metal Mining Co., Ltd.
CHINA
CID001947
Gold
Torecom
KOREA, REPUBLIC OF
CID001955
Gold
Umicore Brasil Ltda.
BRAZIL
CID001977
Gold
Metallurgie Hoboken Overpelt
BELGIUM
CID001980
Gold
United Precious Metal Refining, Inc.
UNITED STATES OF AMERICA
CID001993
Gold
Valcambi S.A.
SWITZERLAND
CID002003
Gold
AGR (Perth Mint Australia)
AUSTRALIA
CID002030
Gold
Yamakin Co., Ltd.
JAPAN
CID002100
Gold
Yokohama Metal Co., Ltd.
JAPAN
CID002129
Gold
China Henan Zhongyuan Gold Smelter
CHINA
CID002224
Gold
Fujian Zijin mining stock company gold smelter
CHINA
CID002243
Gold
Morris and Watson
NEW ZEALAND
CID002282
Gold
SAFINA A.S.
CZECHIA
CID002290
Gold
Guangdong Gaoyao Co
CHINA
CID002312
Gold
Umicore Precious Metals Thailand
THAILAND
CID002314
Gold
Geib Refining Corporation
UNITED STATES OF AMERICA
CID002459
Gold
MMTC-PAMP India Pvt., Ltd.
INDIA
CID002509
Gold
Republic Metals Corporation
UNITED STATES OF AMERICA
CID002510
Gold
KGHM Polska Miedz S.A.
POLAND
CID002511
Gold
Fidelity Printers and Refiners Ltd.
ZIMBABWE
CID002515
Gold
Singway Technology Co., Ltd.
TAIWAN, PROVINCE OF CHINA
CID002516
Gold
Shandong Humon Smelting Co., Ltd.
CHINA
CID002525
Gold
Al Etihad Gold LLC
UNITED ARAB EMIRATES
CID002560
Gold
Emirates Gold DMCC
UNITED ARAB EMIRATES
CID002561
Gold
International Precious Metal Refiners
UNITED ARAB EMIRATES
CID002562
Gold
Kaloti Precious Metals
UNITED ARAB EMIRATES
CID002563
Gold
Sudan Gold Refinery
SUDAN
CID002567
Gold
T.C.A S.p.A
ITALY
CID002580
Gold
Remondis Argentia B.V.
NETHERLANDS
CID002582
Gold
Fujairah Gold FZC
UNITED ARAB EMIRATES
CID002584
7

Metal (*)
Smelter Reference List (*)
Smelter Country (*)
Smelter Identification
Gold
Tony Goetz NV
BELGIUM
CID002587
Gold
Korea Zinc Co., Ltd.
KOREA, REPUBLIC OF
CID002605
Gold
Marsam Metals
BRAZIL
CID002606
Gold
TOO Tau-Ken-Altyn
KAZAKHSTAN
CID002615
Gold
Abington Reldan Metals, LLC
UNITED STATES OF AMERICA
CID002708
Gold
SAAMP
FRANCE
CID002761
Gold
L'Orfebre S.A.
ANDORRA
CID002762
Gold
8853 S.p.A.
ITALY
CID002763
Gold
Italpreziosi
ITALY
CID002765
Gold
SAXONIA Edelmetalle GmbH
GERMANY
CID002777
Gold
WIELAND Edelmetalle GmbH
GERMANY
CID002778
Gold
Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH
AUSTRIA
CID002779
Gold
AU Traders and Refiners
SOUTH AFRICA
CID002850
Gold
GCC Gujrat Gold Centre Pvt. Ltd.
INDIA
CID002852
Gold
Sai Refinery
INDIA
CID002853
Gold
Universal Precious Metals Refining Zambia
ZAMBIA
CID002854
Gold
Modeltech Sdn Bhd
MALAYSIA
CID002857
Gold
BALORE REFINERSGA
INDIA
CID002863
Gold
Kyshtym Copper-Electrolytic Plant ZAO
RUSSIAN FEDERATION
CID002865
Gold
Morris and Watson Gold Coast
AUSTRALIA
CID002866
Gold
DEGUSSA
GERMANY
CID002867
Gold
Pease & Curren
UNITED STATES OF AMERICA
CID002872
Gold
SungEel HiMetal Co., Ltd.
KOREA, REPUBLIC OF
CID002918
Gold
Planta Recuperadora de Metales SpA
CHILE
CID002919
Gold
Safimet S.p.A
ITALY
CID002973
Gold
State Research Institute Center for Physical Sciences and Technology
LITHUANIA
CID003153
Gold
African Gold Refinery
UGANDA
CID003185
Gold
NH Recytech Company
KOREA, REPUBLIC OF
CID003189
Gold
DS PRETECH Co., Ltd.
KOREA, REPUBLIC OF
CID003195
Gold
QG Refining, LLC
UNITED STATES OF AMERICA
CID003324
Gold
Dijllah Gold Refinery FZC
UNITED ARAB EMIRATES
CID003348
Gold
CGR Metalloys Pvt Ltd.
INDIA
CID003382
Gold
Sovereign Metals
INDIA
CID003383
Gold
Eco-System Recycling Co., Ltd. North Plant
JAPAN
CID003424
Gold
Eco-System Recycling Co., Ltd. West Plant
JAPAN
CID003425
Tantalum
Asaka Riken Co., Ltd.
JAPAN
CID000092
Tantalum
Changsha South Tantalum Niobium Co., Ltd.
CHINA
CID000211
Tantalum
Guangdong Rising Rare Metals-EO Materials Ltd.
CHINA
CID000291
Tantalum
Duoluoshan
CHINA
CID000410
Tantalum
Exotech Inc.
UNITED STATES OF AMERICA
CID000456
Tantalum
F & X
CHINA
CID000460
Tantalum
Guangdong Zhiyuan New Material Co., Ltd.
CHINA
CID000616
Tantalum
Hi-Temp Specialty Metals, Inc.
UNITED STATES OF AMERICA
CID000731
Tantalum
JiuJiang JinXin Nonferrous Metals Co., Ltd.
CHINA
CID000914
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Metal (*)
Smelter Reference List (*)
Smelter Country (*)
Smelter Identification
Tantalum
Jiujiang Nonferrous Metals Smelting Company Limited
CHINA
CID000917
Tantalum
King-Tan Tantalum Industry Ltd.
CHINA
CID000973
Tantalum
LSM Brasil S.A.
BRAZIL
CID001076
Tantalum
Metallurgical Products India Pvt. Ltd. (MPIL)
INDIA
CID001163
Tantalum
Mineracao Taboca S.A.
BRAZIL
CID001175
Tantalum
Mitsui Mining & Smelting
JAPAN
CID001192
Tantalum
Molycorp Silmet A.S.
ESTONIA
CID001200
Tantalum
Ningxia Non-Ferrous Metal Smeltery
CHINA
CID001277
Tantalum
QuantumClean
UNITED STATES OF AMERICA
CID001508
Tantalum
RFH
CHINA
CID001522
Tantalum
Solikamsk
RUSSIAN FEDERATION
CID001769
Tantalum
Taki Chemical Co., Ltd.
JAPAN
CID001869
Tantalum
Telex Metals
UNITED STATES OF AMERICA
CID001891
Tantalum
ULBA
KAZAKHSTAN
CID001969
Tantalum
Yichun Jin Yang Rare Metal Co., Ltd.
CHINA
CID002307
Tantalum
Hengyang King Xing Lifeng New Materials Co., Ltd.
CHINA
CID002492
Tantalum
D Block Metals, LLC
UNITED STATES OF AMERICA
CID002504
Tantalum
FIR Metals & Resource Ltd.
CHINA
CID002505
Tantalum
Jiujiang Zhongao Tantalum & Niobium Co., Ltd.
CHINA
CID002506
Tantalum
XinXing HaoRong Electronic Material Co., Ltd.
CHINA
CID002508
Tantalum
Jiangxi Dinghai Tantalum & Niobium Co., Ltd.
CHINA
CID002512
Tantalum
KEMET Blue Metals
MEXICO
CID002539
Tantalum
H.C. Starck Co., Ltd.
THAILAND
CID002544
Tantalum
H.C. Starck Tantalum and Niobium GmbH
GERMANY
CID002545
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
Global Advanced Metals Boyertown
UNITED STATES OF AMERICA
CID002557
Tantalum
Global Advanced Metals Aizu
JAPAN
CID002558
Tantalum
KEMET Blue Powder
UNITED STATES OF AMERICA
CID002568
Tantalum
Resind Ind e Com Ltda.
BRAZIL
CID002707
Tantalum
Jiangxi Tuohong New Raw Material
CHINA
CID002842
Tantalum
Power Resources
NORTH MACEDONIA, REPUBLIC OF
CID002847
Tantalum
Jiujiang Janny New Material Co., Ltd.
CHINA
CID003191
Tantalum
CP Metals Inc.
UNITED STATES OF AMERICA
CID003402
Tin
Chenzhou Yun Xiang mining limited liability company
CHINA
CID000228
Tin
Jiangxi Ketai Advanced Material Co., Ltd.
CHINA
CID000244
Tin
CNMC (Guangxi) PGMA Co., Ltd.
CHINA
CID000278
Tin
Alent plc
UNITED STATES OF AMERICA
CID000292
Tin
Cooper Santa
BRAZIL
CID000295
Tin
CV Gita Pesona
INDONESIA
CID000306
Tin
CV JusTindo
INDONESIA
CID000307
Tin
PT Aries Kencana Sejahtera
INDONESIA
CID000309
Tin
PT Premium Tin Indonesia
INDONESIA
CID000313
9

Metal (*)
Smelter Reference List (*)
Smelter Country (*)
Smelter Identification
Tin
CV United Smelting
INDONESIA
CID000315
Tin
Dowa
JAPAN
CID000402
Tin
EM Vinto
BOLIVIA (PLURINATIONAL STATE OF)
CID000438
Tin
Estanho de Rondonia S.A.
BRAZIL
CID000448
Tin
Fenix Metals
POLAND
CID000468
Tin
Gejiu Non-Ferrous Metal Processing Co., Ltd.
CHINA
CID000538
Tin
Gejiu Zi-Li
CHINA
CID000555
Tin
Huichang Jinshunda Tin Co., Ltd.
CHINA
CID000760
Tin
Gejiu Kai Meng Industry and Trade LLC
CHINA
CID000942
Tin
China Tin (Hechi)
CHINA
CID001070
Tin
Malaysia Smelting Corporation (MSC)
MALAYSIA
CID001105
Tin
Metallic Resources, Inc.
UNITED STATES OF AMERICA
CID001142
Tin
Mineracao Taboca S.A.
BRAZIL
CID001173
Tin
Funsur Smelter
PERU
CID001182
Tin
Mitsubishi Materials Corporation
JAPAN
CID001191
Tin
Jiangxi Nanshan
CHINA
CID001231
Tin
O.M. Manufacturing (Thailand) Co., Ltd.
THAILAND
CID001314
Tin
OMSA
BOLIVIA (PLURINATIONAL STATE OF)
CID001337
Tin
PT Artha Cipta Langgeng
INDONESIA
CID001399
Tin
PT Babel Inti Perkasa
INDONESIA
CID001402
Tin
PT Babel Surya Alam Lestari
INDONESIA
CID001406
Tin
PT Bangka Tin Industry
INDONESIA
CID001419
Tin
PT Belitung Industri Sejahtera
INDONESIA
CID001421
Tin
PT Bukit Timah
INDONESIA
CID001428
Tin
PT DS Jaya Abadi
INDONESIA
CID001434
Tin
PT Eunindo Usaha Mandiri
INDONESIA
CID001438
Tin
PT Karimun Mining
INDONESIA
CID001448
Tin
PT Mitra Stania Prima
INDONESIA
CID001453
Tin
PT Panca Mega Persada
INDONESIA
CID001457
Tin
PT Prima Timah Utama
INDONESIA
CID001458
Tin
Brand RBT
INDONESIA
CID001460
Tin
PT Sariwiguna Binasentosa
INDONESIA
CID001463
Tin
PT Stanindo Inti Perkasa
INDONESIA
CID001468
Tin
PT Sumber Jaya Indah
INDONESIA
CID001471
Tin
Kundur Smelter
INDONESIA
CID001477
Tin
Indonesian State Tin Corporation Mentok Smelter
INDONESIA
CID001482
Tin
PT Tinindo Inter Nusa
INDONESIA
CID001490
Tin
PT Tommy Utama
INDONESIA
CID001493
Tin
Rui Da Hung
TAIWAN, PROVINCE OF CHINA
CID001539
Tin
Soft Metais Ltda.
BRAZIL
CID001758
Tin
Thai Solder Industry Corp., Ltd.
THAILAND
CID001898
Tin
Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.
CHINA
CID001908
Tin
White Solder Metalurgia e Mineracao Ltda.
BRAZIL
CID002036
Tin
Chengfeng Metals Co Pte Ltd
CHINA
CID002158
Tin
China Yunnan Tin Co Ltd.
CHINA
CID002180
10

Metal (*)
Smelter Reference List (*)
Smelter Country (*)
Smelter Identification
Tin
CV Venus Inti Perkasa
INDONESIA
CID002455
Tin
Magnu's Minerais Metais e Ligas Ltda.
BRAZIL
CID002468
Tin
PT Tirus Putra Mandiri
INDONESIA
CID002478
Tin
Melt Metais e Ligas S.A.
BRAZIL
CID002500
Tin
PT ATD Makmur Mandiri Jaya
INDONESIA
CID002503
Tin
O.M. Manufacturing Philippines, Inc.
PHILIPPINES
CID002517
Tin
PT Inti Stania Prima
INDONESIA
CID002530
Tin
CV Ayi Jaya
INDONESIA
CID002570
Tin
Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company
VIET NAM
CID002572
Tin
Nghe Tinh Non-Ferrous Metals Joint Stock Company
VIET NAM
CID002573
Tin
Tuyen Quang Non-Ferrous Metals Joint Stock Company
VIET NAM
CID002574
Tin
CV Dua Sekawan
INDONESIA
CID002592
Tin
CV Tiga Sekawan
INDONESIA
CID002593
Tin
PT Cipta Persada Mulia
INDONESIA
CID002696
Tin
An Vinh Joint Stock Mineral Processing Company
VIET NAM
CID002703
Tin
Resind Ind e Com Ltda.
BRAZIL
CID002706
Tin
Super Ligas
BRAZIL
CID002756
Tin
PT O.M. Indonesia
INDONESIA
CID002757
Tin
Metallo Belgium N.V.
BELGIUM
CID002773
Tin
Metallo Spain S.L.U.
SPAIN
CID002774
Tin
PT Bangka Prima Tin
INDONESIA
CID002776
Tin
PT Sukses Inti Makmur
INDONESIA
CID002816
Tin
An Thai Minerals Co., Ltd.
VIET NAM
CID002825
Tin
PT Kijang Jaya Mandiri
INDONESIA
CID002829
Tin
Thai Nguyen Mining and Metallurgy Co., Ltd.
VIET NAM
CID002834
Tin
PT Menara Cipta Mulia
INDONESIA
CID002835
Tin
HuiChang Hill Tin Industry Co., Ltd.
CHINA
CID002844
Tin
Gejiu Fengming Metallurgy Chemical Plant
CHINA
CID002848
Tin
Guanyang Guida Nonferrous Metal Smelting Plant
CHINA
CID002849
Tin
Modeltech Sdn Bhd
MALAYSIA
CID002858
Tin
Gejiu Jinye Mineral Company
CHINA
CID002859
Tin
PT Lautan Harmonis Sejahtera
INDONESIA
CID002870
Tin
Guangdong Hanhe Non-Ferrous Metal Co., Ltd.
CHINA
CID003116
Tin
Chifeng Dajingzi Tin Industry Co., Ltd.
CHINA
CID003190
Tin
PT Bangka Serumpun
INDONESIA
CID003205
Tin
Pongpipat Company Limited
MYANMAR
CID003208
Tin
Tin Technology & Refining
UNITED STATES OF AMERICA
CID003325
Tin
Dongguan CiEXPO Environmental Engineering Co., Ltd.
CHINA
CID003356
Tin
Ma'anshan Weitai Tin Co., Ltd.
CHINA
CID003379
Tin
PT Rajawali Rimba Perkasa
INDONESIA
CID003381
Tin
Luna Smelter, Ltd.
RWANDA
CID003387
Tin
Yunnan Yunfan Non-ferrous Metals Co., Ltd.
CHINA
CID003397
Tin
Precious Minerals and Smelting Limited
INDIA
CID003409
Tin
Gejiu City Fuxiang Industry and Trade Co., Ltd.
CHINA
CID003410
Tungsten
A.L.M.T. Corp.
JAPAN
CID000004
11

Metal (*)
Smelter Reference List (*)
Smelter Country (*)
Smelter Identification
Tungsten
ATI Metalworking Products
UNITED STATES OF AMERICA
CID000105
Tungsten
Chaozhou Xianglu Tungsten Industry Co., Ltd.
CHINA
CID000218
Tungsten
Chongyi Zhangyuan Tungsten Co., Ltd.
CHINA
CID000258
Tungsten
CNMC (Guangxi) PGMA Co., Ltd.
CHINA
CID000281
Tungsten
Dayu Weiliang Tungsten Co., Ltd.
CHINA
CID000345
Tungsten
Fujian Jinxin Tungsten Co., Ltd.
CHINA
CID000499
Tungsten
Global Tungsten & Powders Corp.
UNITED STATES OF AMERICA
CID000568
Tungsten
Hunan Chenzhou Mining Co., Ltd.
CHINA
CID000766
Tungsten
Human Chun-Chang non-ferrous Smelting & Concentrating Co., Ltd.
CHINA
CID000769
Tungsten
Japan New Metals Co., Ltd.
JAPAN
CID000825
Tungsten
China National Non Ferrous
CHINA
CID000875
Tungsten
Kennametal Fallon
UNITED STATES OF AMERICA
CID000966
Tungsten
Tejing (Vietnam) Tungsten Co., Ltd.
VIET NAM
CID001889
Tungsten
Vietnam Youngsun Tungsten Industry Co., Ltd.
VIET NAM
CID002011
Tungsten
WBH
AUSTRIA
CID002044
Tungsten
Xiamen Tungsten Co., Ltd.
CHINA
CID002082
Tungsten
Shaoguan Xinhai Rendan Tungsten Industry Co. Ltd
CHINA
CID002095
Tungsten
Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.
CHINA
CID002313
Tungsten
Ganzhou Jiangwu Ferrotungsten Co., Ltd.
CHINA
CID002315
Tungsten
Jiangxi Yaosheng Tungsten Co., Ltd.
CHINA
CID002316
Tungsten
Jiangxi Xinsheng Tungsten Industry Co., Ltd.
CHINA
CID002317
Tungsten
Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.
CHINA
CID002318
Tungsten
Malipo Haiyu Tungsten Co., Ltd.
CHINA
CID002319
Tungsten
Xiamen H.C.
CHINA
CID002320
Tungsten
Jiangxi Gan Bei Tungsten Co., Ltd.
CHINA
CID002321
Tungsten
Ganzhou Seadragon W & Mo Co., Ltd.
CHINA
CID002494
Tungsten
Asia Tungsten Products Vietnam Ltd.
VIET NAM
CID002502
Tungsten
Chenzhou Diamond Tungsten Products Co., Ltd.
CHINA
CID002513
Tungsten
Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.
CHINA
CID002535
Tungsten
Ganzhou Yatai Tungsten Co., Ltd.
CHINA
CID002536
Tungsten
H.C. Starck Tungsten GmbH
GERMANY
CID002541
Tungsten
H.C. Starck Smelting GmbH & Co. KG
GERMANY
CID002542
Tungsten
Masan Tungsten Chemical LLC (MTC)
VIET NAM
CID002543
Tungsten
Jiangwu H.C. Starck Tungsten Products Co., Ltd.
CHINA
CID002551
Tungsten
Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji
CHINA
CID002579
Tungsten
Niagara Refining LLC
UNITED STATES OF AMERICA
CID002589
Tungsten
China Molybdenum Co., Ltd.
CHINA
CID002641
Tungsten
Ganzhou Haichuang Tungsten Co., Ltd.
CHINA
CID002645
Tungsten
Jiangxi Dayu Longxintai Tungsten Co., Ltd.
CHINA
CID002647
Tungsten
Hydrometallurg, JSC
RUSSIAN FEDERATION
CID002649
Tungsten
Unecha Refractory metals plant
RUSSIAN FEDERATION
CID002724
Tungsten
South-East Nonferrous Metal Company Limited of Hengyang City
CHINA
CID002815
Tungsten
Philippine Chuangxin Industrial Co., Inc.
PHILIPPINES
CID002827
12

Metal (*)
Smelter Reference List (*)
Smelter Country (*)
Smelter Identification
Tungsten
Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.
CHINA
CID002830
Tungsten
ACL Metais Eireli
BRAZIL
CID002833
Tungsten
Woltech Korea Co., Ltd.
KOREA, REPUBLIC OF
CID002843
Tungsten
Moliren Ltd.
RUSSIAN FEDERATION
CID002845
Tungsten
Hunan Litian Tungsten Industry Co., Ltd.
CHINA
CID003182
Tungsten
KGETS Co., Ltd.
KOREA, REPUBLIC OF
CID003388
Tungsten
Fujian Ganmin RareMetal Co., Ltd.
CHINA
CID003401
Tungsten
Lianyou Metals Co., Ltd.
TAIWAN, PROVINCE OF CHINA
CID003407
Tungsten
JSC "Kirovgrad Hard Alloys Plant"
RUSSIAN FEDERATION
CID003408
Tungsten
Albasteel Industria e Comercio de Ligas Para Fundicao Ltd.
BRAZIL
CID003427
Tungsten
CP Metals Inc.
UNITED STATES OF AMERICA
CID003448
13