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.
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.
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.
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.
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 |
| | | | | | | | | | | |
| 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 |
| | | | | | | | | | | |
| 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 |
| | | | | | | | | | | |
| 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 |
| | | | | | | | | | | |
| 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 |
| | | | | | | | | | | |
| 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 |
| | | | | | | | | | | |
| 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 |
| | | | | | | | | | | |
| 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 |
| | | | | | | | | | | |
| 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 |
