Document


UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM SD
Specialized Disclosure Report
EnerSys
 
(Exact name of registrant as specified in its charter)
 
Delaware001-3225323-3058564
(State or other jurisdiction of
incorporation or organization)
(Commission
File Number)
(IRS Employer
Identification No.)
 
2366 Bernville Road, Reading, Pennsylvania19605
(Address of principal executive offices)(Zip Code)
 
Michael J. Schmidtlein, Chief Financial Officer, (610) 208-1991
(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:
 
xRule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2020





Item 1.01 Conflict Minerals Disclosure and Report
Conflict Minerals Disclosure
EnerSys has filed a Conflict Minerals Report as Exhibit 1.01 to this specialized disclosure report, incorporated herein by reference. The Conflict Minerals Report is also available at www.enersys.com under the Investor Relations tab. The website and the information accessible through it are not incorporated into this specialized disclosure report.
Item 1.02 Exhibit
See Exhibit 1.01 to this specialized disclosure report, incorporated herein by reference.
Item 2.01 Exhibits
Exhibit 1.01 - Conflict Minerals Report.

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.
ENERSYS
(Registrant)
By: /s/ Michael J. Schmidtlein May 28, 2021
Name:Michael J. Schmidtlein(Date)
Title:Chief Financial Officer





EXHIBIT INDEX
 
Exhibit Number Description
1.01 Conflict Minerals Report



Document

Exhibit 1.01

CONFLICT MINERALS REPORT
for the Calendar Year Ended December 31, 2020
Date: May 28, 2021
Introduction
EnerSys (the “Company,” “we,” or “us”) is, the global leader in stored energy solutions for industrial applications, manufactures and distributes energy systems solutions and motive power batteries, specialty batteries, battery chargers, power equipment, battery accessories and outdoor equipment enclosure solutions to customers worldwide. Energy Systems, which combine enclosures, power conversion, power distribution and energy storage, are used in the telecommunication, broadband and utility industries, uninterruptible power supplies, and numerous applications requiring stored energy solutions. Motive power batteries and chargers are utilized in electric forklift trucks and other industrial electric powered vehicles. Specialty batteries are used in aerospace and defense applications, large over-the-road trucks, premium automotive, medical and security systems applications. EnerSys also provides aftermarket and customer support services to its customers in over 100 countries through its sales and manufacturing locations around the world. With the recent NorthStar acquisition, EnerSys has solidified its position as the market leader for premium Thin Plate Pure Lead batteries which are sold across all three lines of business. Our business is highly decentralized with manufacturing locations throughout the world. Much of our manufacturing capacity is located outside the United States. More specifically, we currently have significant manufacturing or distribution facilities outside of the United States, in Argentina, Australia, Belgium, Brazil, Canada, Czechia, France, Germany, Italy, Malaysia, Mexico, the People’s Republic of China, Poland, Spain, Switzerland and the United Kingdom.
The Securities and Exchange Commission (the “SEC”) issued final rules (the “Conflict Minerals Rules”) to implement Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, which requires companies that file reports under the Securities Exchange Act of 1934, as amended (the “Exchange Act”), including EnerSys, provide disclosures about conflict minerals that are “necessary to the functionality or production of a product manufactured by the company.” “Conflict Minerals”, for purposes of these Conflict Minerals Rules, are defined by the SEC to be gold, columbite-tantalite (or coltan, as it is also called), cassiterite, and wolframite, including their derivatives, which are limited to, by the SEC’s rule, tantalum, tin, and tungsten, that originated in the Democratic Republic of the Congo (“DRC”) and certain adjoining countries (collectively with the DRC, the “Covered Countries”).
In accordance with SEC rules, the information in this report includes the activities of all majority-owned subsidiaries and entities that are required to be consolidated under U.S. Generally Accepted Accounting Principles. Furthermore, under the Conflict Minerals Rules, acquisitions are required to be included in the Company’s first filing that occurs no more than eight months after the acquisition date. Moreover, any businesses that were divested, sold or otherwise disposed of, during the reporting period were only included in our procedures through the transaction disposition date.
These Conflict Minerals Rules require companies like EnerSys to undertake a three-step process. First, we need to determine if these rules apply by determining if Conflict Minerals are necessary to the functionality or production of products that we manufacture or contract to be manufactured. Second, if the rules apply, we are required to conduct a reasonable country of origin inquiry (“RCOI”) to determine if the Conflict Minerals in our supply chain during the calendar year originated from the Covered Countries. Third, if we are unable to draw a conclusion from our RCOI, we are required to exercise due diligence on the Conflict Minerals’ source and chain of custody and to prepare a more detailed Conflict Minerals Report.




Determination of Applicability of Conflict Minerals Rules
We have determined that (a) tin (the “Battery Conflict Mineral”) is necessary to the functionality or production of our lead-acid batteries and (b) gold, tantalum and tin (the “Electronics Conflict Minerals,” and together with Battery Conflict Mineral, the “Subject Minerals”) are generic electronic components, for circuit boards, resistors, capacitors, and transformers, which we use in our battery chargers, power conversion and power distribution products and accordingly are necessary to the functionality or production of such products.
Reasonable Country of Origin Inquiry
Pursuant to the Conflict Minerals Rules, we conducted a good faith RCOI regarding the Subject Minerals to determine whether the Company had reason to believe that any of the conflict minerals necessary to the functionality or production of its products may have originated in the Covered Countries. The Company relied upon guidance from the Responsible Minerals Initiative (“RMI”) (formerly, Conflict-Free Sourcing Initiative) and used the RMI’s Conflict Minerals Reporting Template (“CMRT”) as part of our RCOI process. After identifying relevant suppliers, the Company then conducted a supply chain survey, based on the current version of the CMRT. In addition, EnerSys cross-referenced our list of suppliers and smelters with the RMI RCOI data, as well as our review of publicly available information and we have identified the country of origin information of the Subject Minerals contained in our products. We believe that this inquiry was reasonably designed to determine whether any of such minerals originated in the Covered Countries, or were derived from recycled or scrap sources. Based upon the inquiry undertaken, we were unable to conclude that the Subject Minerals did not originate in the Covered Countries or that the Subject Minerals are solely from scrap or recycled sources. Accordingly, as required by the Conflict Minerals Rules, because we were unable to conclude the country of origin of the Subject Minerals, we must exercise due diligence on their source and chain of custody.
Due Diligence
We designed our due diligence measures to conform to the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, including the related supplements on tantalum, tin, tungsten, and gold (collectively, the “OECD Framework”). Consistent with the OECD Framework, we undertook a risk-based approach based upon our position in the supply chain for both the Battery Conflict Mineral and the Electronic Conflict Minerals.
The Company determined that a reasonable risk based approach was to conduct a survey of direct suppliers if the components and materials supplied suggested they were likely to contain Conflict Minerals. We also conducted interviews with suppliers and vendors and, as part of our normal course of business, conducted on-site due diligence. The Company’s due diligence processes are based on the data received from direct suppliers and those suppliers seeking similar information within their supply chains. The Company determined that it was not practical to conduct a survey of all suppliers in its supply chain. However, as part of the process, any red flags identified were brought to the immediate attention of our Vice President of Global Procurement for remedial action. All of our suppliers and vendors are required to comply with our Code of Supplier Conduct, which covers Conflict Minerals from the Covered Countries, and our purchasing department reviewed supplier and vendor compliance with the same. Our purchasing department continues to incorporate compliance with the Conflict Minerals Rules into its purchase orders and supply agreements. We believe that, as a result, we were able to identify and assess risk in our supply chain based on a number of factors, including, but not limited to, annual spend and geographic location.
With respect to our Battery Conflict Mineral, most suppliers indicated that such tin originated from scrap or recycled sources. Additionally, in order to further improve the due diligence of our Battery Conflict Mineral, we intend to continue, among other things:
to monitor the sourcing of our supply chain;
to encourage our suppliers to use tin from either scrap or recycled sources; and



to increase the response rate of suppliers and any identified smelters.

As a result of our due diligence efforts, with respect to the Electronics Conflict Minerals used, many of our electronics component suppliers were unable to assist EnerSys in tracing those relevant component parts to their original manufacturer or processor. Based upon the due diligence we undertook, we note that we did not receive any information that indicated such Electronics Conflict Minerals originated from the Covered Countries. Many of the key electronics distributors have provided statements that they support the initiatives and are seeking all their suppliers to be “conflict-free”. In order to further improve the due diligence of our Electronics Conflict Minerals, we are, among other things:
improving our supplier communication program involving our purchasing department;
requiring additional training for our suppliers and employees;
auditing key high risk suppliers, including more on-site visits; and
endeavoring to increase the response rate of suppliers.
Product Description
The relevant products covered by this report are:
Lead-Acid Batteries. Our lead-acid batteries are used as energy storage solutions for:
energy systems products, which are used for backup power for the continuous operation of critical applications in telecommunications systems, broadband and utility industries, uninterruptible power supplies, and numerous unique applications requiring stored energy solutions;

motive power products, which are used to provide power for electric industrial forklifts used in manufacturing, warehousing and other material handling applications, as well as mining equipment, diesel locomotive starting and other rail equipment; and

specialty power products, used in aerospace and defense applications, large over-the-road trucks, premium automotive, medical and security systems applications.

All smelters identified as processing our Battery Conflict Mineral are conformant with the Responsible Minerals Assurance Process (RMAP, formerly the Conflict-Free Smelter Program) assessment protocols.
Battery Chargers. Our battery chargers are used with both energy systems products and motive power products, as each are described above. As a downstream consumer of electronics components and due in large part to the complexity of the electronics supply chain, our suppliers were unable to provide us with information to enable us to identify the source, whether recycled or scrap, of, or facilities that process, the Electronics Conflict Minerals that are present in the electronic circuit boards we use for our battery chargers. Accordingly, we cannot identify the country of origin of such Electronics Conflict Minerals.
Enclosures. Our cabinets and enclosures for electronic equipment and batteries are used with energy systems products. As a downstream consumer of electronics components and due in large part to the complexity of the electronics supply chain, our suppliers were unable to provide EnerSys with information to enable us to identify the source, whether recycled or scrap, of, or facilities that process, the Electronics Conflict Minerals that are present in the electronic circuit boards we use for our enclosures. Accordingly, we cannot identify the country of origin of such Electronics Conflict Minerals.



Power Conversion and Distribution. Our power conversion and power distribution products are part of our energy system solutions. As a downstream consumer of electronics components and due in large part to the complexity of the electronics supply chain, our suppliers were unable to provide EnerSys with information to enable us to identify the source, whether recycled or scrap, of, or facilities that process, the Electronics Conflict Minerals that are present in the electronic circuit boards we use for our power conversion and power distribution products. Accordingly, we cannot identify the country of origin of such Electronics Conflict Minerals.
Determination
Based on the information obtained during our due diligence through December 31, 2020, we believe that the facilities that may have been used to process the Subject Minerals in our lead-acid batteries and battery chargers, power conversion and power distribution products include the smelters listed in Annex I.
Based on these due diligence efforts, we do not have sufficient information to conclusively determine the countries of origin of the Subject Minerals in our products or whether the Subject Minerals in our products are from recycled or scrap sources. However, based on the information obtained during our due diligence, we believe that the countries of origin of the Subject Minerals contained in our products include the countries listed in Annex II attached, as well as recycled and scrap sources.
As permitted by the Conflict Minerals Rules and guidance from the SEC, this report has not been, and is not required, to be audited.
    We have provided information as of the date of this report. Subsequent events, such as the inability or unwillingness of any suppliers or smelters to comply with our requests or due diligence may affect our future determinations under Rule 13p-1 promulgated under the Exchange Act.





Subject Metal:Facility Name of Smelter or Refiner:Country location of Smelter:
TungstenA.L.M.T. Corp.JAPAN
GoldAdvanced Chemical CompanyUNITED STATES OF AMERICA
GoldAida Chemical Industries Co., Ltd.JAPAN
GoldAllgemeine Gold-und Silberscheideanstalt A.G.GERMANY
GoldAlmalyk Mining and Metallurgical Complex (AMMC)UZBEKISTAN
GoldAngloGold Ashanti Corrego do Sitio MineracaoBRAZIL
GoldArgor-Heraeus S.A.SWITZERLAND
GoldAsahi Pretec Corp.JAPAN
GoldAsaka Riken Co., Ltd.JAPAN
TantalumAsaka Riken Co., Ltd.JAPAN
GoldAtasay Kuyumculuk Sanayi Ve Ticaret A.S.TURKEY
TungstenKennametal HuntsvilleUNITED STATES OF AMERICA
GoldAurubis AGGERMANY
GoldBangko Sentral ng Pilipinas (Central Bank of the Philippines)PHILIPPINES
GoldBoliden ABSWEDEN
GoldC. Hafner GmbH + Co. KGGERMANY
GoldCaridadMEXICO
GoldCCR Refinery - Glencore Canada CorporationCANADA
GoldCendres + Metaux S.A.SWITZERLAND
GoldYunnan Copper Industry Co., Ltd.CHINA
TantalumChangsha South Tantalum Niobium Co., Ltd.CHINA
TungstenGuangdong Xianglu Tungsten Co., Ltd.CHINA
TinChenzhou Yunxiang Mining and Metallurgy Co., Ltd.CHINA
GoldChimet S.p.A.ITALY
TinJiangxi Ketai Advanced Material Co., Ltd.CHINA
TungstenChongyi Zhangyuan Tungsten Co., Ltd.CHINA
GoldChugai MiningJAPAN
TinCNMC (Guangxi) PGMA Co., Ltd.CHINA
TungstenCNMC (Guangxi) PGMA Co., Ltd.CHINA
TantalumGuangdong Rising Rare Metals-EO Materials Ltd.CHINA
TinAlphaUNITED STATES OF AMERICA
TinCooperativa Metalurgica de Rondônia Ltda.BRAZIL
TinCV Gita PesonaINDONESIA
TinPT Aries Kencana SejahteraINDONESIA
TinPT Premium Tin IndonesiaINDONESIA
TinCV United SmeltingINDONESIA
GoldDaejin Indus Co., Ltd.KOREA, REPUBLIC OF
GoldDaye Non-Ferrous Metals Mining Ltd.CHINA
GoldDSC (Do Sung Corporation)KOREA, REPUBLIC OF
GoldDODUCO Contacts and Refining GmbHGERMANY
GoldDowa Metals & Mining Co. Ltd (Dowa)JAPAN
TinDowa Metaltech Co., Ltd. (Dowa)JAPAN
TantalumDuoluoshanCHINA
GoldEco-System Recycling Co., Ltd. East PlantJAPAN



Subject Metal:Facility Name of Smelter or Refiner:Country location of Smelter:
TinEM VintoBOLIVIA (PLURINATIONAL STATE OF)
TinEstanho de Rondonia S.A.BRAZIL
TantalumExotech Inc.UNITED STATES OF AMERICA
TantalumF&X Electro-Materials Ltd.CHINA
TinFenix MetalsPOLAND
GoldOJSC Novosibirsk RefineryRUSSIAN FEDERATION
TungstenFujian Jinxin Tungsten Co., Ltd.CHINA
GoldRefinery of Seemine Gold Co., Ltd.CHINA
TinGejiu Non-Ferrous Metal Processing Co., Ltd.CHINA
TinGejiu Zili Mining And Metallurgy Co., Ltd.CHINA
TungstenGlobal Tungsten & Powders Corp.UNITED STATES OF AMERICA
TantalumGuangdong Zhiyuan New Material Co., Ltd.CHINA
GoldGuoda Safina High-Tech Environmental Refinery Co., Ltd.CHINA
GoldHangzhou Fuchunjiang Smelting Co., Ltd.CHINA
GoldLT Metal Ltd.KOREA, REPUBLIC OF
GoldHeimerle + Meule GmbHGERMANY
GoldHeraeus Metals Hong Kong Ltd.CHINA
GoldHeraeus Precious Metals GmbH & Co. KGGERMANY
TantalumHi-Temp Specialty Metals, Inc.UNITED STATES OF AMERICA
TinHuichang Jinshunda Tin Co., Ltd.CHINA
TungstenHunan Chenzhou Mining Co., Ltd.CHINA
GoldHunan Chenzhou Mining Co., Ltd.CHINA
TungstenHunan Chunchang Nonferrous Metals Co., Ltd.CHINA
GoldHunan Guiyang yinxing Nonferrous Smelting Co., Ltd.CHINA
GoldHwaSeong CJ CO., LTD.KOREA, REPUBLIC OF
GoldInner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.CHINA
GoldIshifuku Metal Industry Co., Ltd.JAPAN
GoldIstanbul Gold RefineryTURKEY
GoldJAPAN MintJAPAN
TungstenJAPAN New Metals Co., Ltd.JAPAN
GoldJiangxi Copper Co., Ltd.CHINA
TungstenGanzhou Huaxing Tungsten Products Co., Ltd.CHINA
TantalumJiuJiang JinXin Nonferrous Metals Co., Ltd.CHINA
TantalumJiujiang Tanbre Co., Ltd.CHINA
GoldAsahi Refining USA Inc.UNITED STATES OF AMERICA
GoldAsahi Refining Canada Ltd.CANADA
GoldJSC Ekaterinburg Non-Ferrous Metal Processing PlantRUSSIAN FEDERATION
GoldJSC UralelectromedRUSSIAN FEDERATION
GoldJX Nippon Mining & Metals Co., Ltd.JAPAN
TinGejiu Kai Meng Industry and Trade LLCCHINA
GoldKazakhmys Smelting LLCKAZAKHSTAN
GoldKazzincKAZAKHSTAN
TungstenKennametal FallonUNITED STATES OF AMERICA
GoldKennecott Utah Copper LLCUNITED STATES OF AMERICA
TantalumKing-Tan Tantalum Industry Ltd.CHINA



Subject Metal:Facility Name of Smelter or Refiner:Country location of Smelter:
GoldKojima Chemicals Co., Ltd.JAPAN
GoldKyrgyzaltyn JSCKYRGYZSTAN
GoldL'azurde Company For JewelrySAUDI ARABIA
GoldLingbao Gold Co., Ltd.CHINA
GoldLingbao Jinyuan Tonghui Refinery Co., Ltd.CHINA
TinLinwu Xianggui Smelter CoCHINA
TinChina Tin Group Co., Ltd.CHINA
TantalumLSM Brasil S.A.BRAZIL
GoldLS-NIKKO Copper Inc.KOREA, REPUBLIC OF
GoldLuoyang Zijin Yinhui Gold Refinery Co., Ltd.CHINA
TinMalaysia Smelting Corporation (MSC)MALAYSIA
GoldMaterionUNITED STATES OF AMERICA
GoldMatsuda Sangyo Co., Ltd.JAPAN
TinMetallic Resources, Inc.UNITED STATES OF AMERICA
TinMetallo ChimiqueBELGIUM
GoldMetalor Technologies (Suzhou) Ltd.CHINA
GoldMetalor Technologies (Hong Kong) Ltd.CHINA
GoldMetalor Technologies (Singapore) Pte., Ltd.SINGAPORE
GoldMetalor Technologies S.A.SWITZERLAND
GoldMetalor USA Refining CorporationUNITED STATES OF AMERICA
GoldMetalurgica Met-Mex Penoles S.A. De C.V.MEXICO
TantalumMetallurgical Products India Pvt., Ltd.INDIA
TinMineração Taboca S.A.BRAZIL
TantalumMineracao Taboca S.A.BRAZIL
TinMinsurPERU
GoldMitsubishi Materials CorporationJAPAN
TinMitsubishi Materials CorporationJAPAN
TantalumMitsui Mining and Smelting Co., Ltd.JAPAN
GoldMitsui Mining and Smelting Co., Ltd.JAPAN
TantalumNPM Silmet ASESTONIA
GoldMoscow Special Alloys Processing PlantRUSSIAN FEDERATION
GoldNadir Metal Rafineri San. Ve Tic. A.S.TURKEY
TinJiangxi New Nanshan Technology Ltd.CHINA
GoldNavoi Mining and Metallurgical CombinatUZBEKISTAN
GoldNihon Material Co., Ltd.JAPAN
TantalumNingxia Orient Tantalum Industry Co., Ltd.CHINA
TinNovosibirsk Processing Plant Ltd.RUSSIAN FEDERATION
TinO.M. Manufacturing (Thailand) Co., Ltd.THAILAND
GoldElemetal Refining, LLCUNITED STATES OF AMERICA
GoldOhura Precious Metal Industry Co., Ltd.JAPAN
GoldOJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)RUSSIAN FEDERATION
TinOperaciones Metalurgicas S.A.BOLIVIA (PLURINATIONAL STATE OF)
GoldPAMP S.A.SWITZERLAND
GoldPenglai Penggang Gold Industry Co., Ltd.CHINA



Subject Metal:Facility Name of Smelter or Refiner:Country location of Smelter:
GoldPrioksky Plant of Non-Ferrous MetalsRUSSIAN FEDERATION
GoldPT Aneka Tambang (Persero) TbkINDONESIA
TinPT Artha Cipta LanggengINDONESIA
TinPT Babel Inti PerkasaINDONESIA
TinPT Babel Surya Alam LestariINDONESIA
TinPT Bangka Kudai TinINDONESIA
TinPT Bangka Putra KaryaINDONESIA
TinPT Bangka Timah Utama SejahteraINDONESIA
TinPT Bangka Tin IndustryINDONESIA
TinPT Belitung Industri SejahteraINDONESIA
TinPT Bukit TimahINDONESIA
TinPT DS Jaya AbadiINDONESIA
TinPT Eunindo Usaha MandiriINDONESIA
TinPT Karimun MiningINDONESIA
TinPT Mitra Stania PrimaINDONESIA
TinPT Panca Mega PersadaINDONESIA
TinPT Prima Timah UtamaINDONESIA
TinPT Refined Bangka TinINDONESIA
TinPT Sariwiguna BinasentosaINDONESIA
TinPT Stanindo Inti PerkasaINDONESIA
TinPT Sumber Jaya IndahINDONESIA
TinPT Timah Tbk KundurINDONESIA
TinPT Timah Tbk MentokINDONESIA
TinPT Timah NusantaraINDONESIA
TinPT Tinindo Inter NusaINDONESIA
TinPT Tommy UtamaINDONESIA
GoldPX Precinox S.A.SWITZERLAND
TantalumQuantumCleanUNITED STATES OF AMERICA
GoldRand Refinery (Pty) Ltd.SOUTH AFRICA
TantalumYanling Jincheng Tantalum & Niobium Co., Ltd.CHINA
GoldRoyal Canadian MintCANADA
TinRui Da HungTAIWAN, PROVINCE OF CHINA
GoldSabin Metal Corp.UNITED STATES OF AMERICA
GoldSamduck Precious MetalsKOREA, REPUBLIC OF
GoldSamwon Metals Corp.KOREA, REPUBLIC OF
GoldSchone Edelmetaal B.V.NETHERLANDS
GoldSEMPSA Joyeria Plateria S.A.SPAIN
GoldShandong Tiancheng Biological Gold Industrial Co., Ltd.CHINA
GoldShandong Zhaojin Gold & Silver Refinery Co., Ltd.CHINA
GoldSichuan Tianze Precious Metals Co., Ltd.CHINA
GoldSOE Shyolkovsky Factory of Secondary Precious MetalsRUSSIAN FEDERATION
TinSoft Metais Ltda.BRAZIL
GoldSolar Applied Materials Technology Corp.TAIWAN, PROVINCE OF CHINA
TantalumSolikamsk Magnesium Works OAORUSSIAN FEDERATION
GoldSumitomo Metal Mining Co., Ltd.JAPAN
TantalumTaki Chemical Co., Ltd.JAPAN



Subject Metal:Facility Name of Smelter or Refiner:Country location of Smelter:
GoldTanaka Kikinzoku Kogyo K.K.JAPAN
TungstenTejing (Vietnam) Tungsten Co., Ltd.VIET NAM
TantalumTelex MetalsUNITED STATES OF AMERICA
TinThaisarcoTHAILAND
TinGejiu Yunxin Nonferrous Electrolysis Co., Ltd.CHINA
GoldGreat Wall Precious Metals Co., Ltd. of CBPMCHINA
GoldThe Refinery of Shandong Gold Mining Co., Ltd.CHINA
GoldTokuriki Honten Co., Ltd.JAPAN
GoldTongling Nonferrous Metals Group Co., Ltd.CHINA
GoldTorecomKOREA, REPUBLIC OF
TantalumUlba Metallurgical Plant JSCKAZAKHSTAN
GoldUmicore Brasil Ltda.BRAZIL
GoldUmicore S.A. Business Unit Precious Metals RefiningBELGIUM
GoldUnited Precious Metal Refining, Inc.UNITED STATES OF AMERICA
GoldValcambi S.A.SWITZERLAND
TungstenVietnam Youngsun Tungsten Industry Co., Ltd.VIET NAM
TinVQB Mineral and Trading Group JSCVIET NAM
GoldWestern Australian Mint (T/a The Perth Mint)AUSTRALIA
TinWhite Solder Metalurgia e Mineração Ltda.BRAZIL
TungstenWolfram Bergbau und Hutten AGAUSTRIA
TungstenXiamen Tungsten Co., Ltd.CHINA
TungstenXinhai Rendan Shaoguan Tungsten Co., Ltd.CHINA
GoldYamakin Co., Ltd.JAPAN
GoldYokohama Metal Co., Ltd.JAPAN
TinYunnan Chengfeng Non-ferrous Metals Co., Ltd.CHINA
TinYunnan Tin Company LimitedCHINA
GoldZhongyuan Gold Smelter of Zhongjin Gold CorporationCHINA
TantalumZhuzhou Cemented CarbideCHINA
GoldGold Refinery of Zijin Mining Group Co., Ltd.CHINA
GoldMorris and WatsonNEW ZEALAND
GoldSAFINA A.S.CZECHIA
TantalumYichun Jin Yang Rare Metal Co., Ltd.CHINA
GoldGuangdong Jinding Gold LimitedCHINA
TungstenJiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.CHINA
GoldUmicore Precious Metals ThailandTHAILAND
TungstenGanzhou Jiangwu Ferrotungsten Co., Ltd.CHINA
TungstenJiangxi Yaosheng Tungsten Co., Ltd.CHINA
TungstenJiangxi Xinsheng Tungsten Industry Co., Ltd.CHINA
TungstenJiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.CHINA
TungstenMalipo Haiyu Tungsten Co., Ltd.CHINA
TungstenXiamen Tungsten (H.C.) Co., Ltd.CHINA
TungstenJiangxi Gan Bei Tungsten Co., Ltd.CHINA
GoldFaggi Enrico S.p.A.ITALY
TinCV Venus Inti PerkasaINDONESIA
GoldGeib Refining CorporationUNITED STATES OF AMERICA
TinMagnu's Minerais Metais e Ligas Ltda.BRAZIL



Subject Metal:Facility Name of Smelter or Refiner:Country location of Smelter:
TinPT Wahana Perkit JayaINDONESIA
TantalumHengyang King Xing Lifeng New Materials Co., Ltd.CHINA
TungstenGanzhou Seadragon W & Mo Co., Ltd.CHINA
TinMelt Metais e Ligas S.A.BRAZIL
TungstenAsia Tungsten Products Vietnam Ltd.VIET NAM
TinPT ATD Makmur Mandiri JayaINDONESIA
TantalumD Block Metals, LLCUNITED STATES OF AMERICA
TantalumFIR Metals & Resource Ltd.CHINA
TantalumJiujiang Zhongao Tantalum & Niobium Co., Ltd.CHINA
TantalumXinXing HaoRong Electronic Material Co., Ltd.CHINA
GoldMMTC-PAMP India Pvt., Ltd.INDIA
GoldRepublic Metals CorporationUNITED STATES OF AMERICA
GoldKGHM Polska Miedz Spolka AkcyjnaPOLAND
TantalumJiangxi Dinghai Tantalum & Niobium Co., Ltd.CHINA
TungstenChenzhou Diamond Tungsten Products Co., Ltd.CHINA
GoldFidelity Printers and Refiners Ltd.ZIMBABWE
GoldSingway Technology Co., Ltd.TAIWAN, PROVINCE OF CHINA
TinO.M. Manufacturing Philippines, Inc.PHILLIPINES
GoldShandong Humon Smelting Co., Ltd.CHINA
GoldShenzhen Zhonghenglong Real Industry Co., Ltd.CHINA
TinPT Inti Stania PrimaINDONESIA
TungstenJiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.CHINA
TungstenGanzhou Yatai Tungsten Co., Ltd.CHINA
TantalumKEMET Blue MetalsMEXICO
TantalumPlansee SE LiezenAUSTRIA
TungstenH.C. Starck Tungsten GmbHGERMANY
TungstenH.C. Starck Smelting GmbH & Co. KGGERMANY
TungstenMasan Tungsten Chemical LLC (MTC)VIET NAM
TantalumH.C. Starck Co., Ltd.THAILAND
TantalumH.C. Starck Tantalum and Niobium GmbHGERMANY
TantalumH.C. Starck GmbH LaufenburgGERMANY
TantalumH.C. Starck Hermsdorf GmbHGERMANY
TantalumH.C. Starck Inc.UNITED STATES OF AMERICA
TantalumH.C. Starck Ltd.JAPAN
TantalumH.C. Starck Smelting GmbH & Co. KGGERMANY
TungstenJiangwu H.C. Starck Tungsten Products Co., Ltd.CHINA
TantalumPlansee SE ReutteAUSTRIA
TantalumGlobal Advanced Metals BoyertownUNITED STATES OF AMERICA
TantalumGlobal Advanced Metals AizuJAPAN
GoldAl Etihad Gold Refinery DMCCUNITED ARAB EMIRATES
GoldEmirates Gold DMCCUNITED ARAB EMIRATES
GoldInternational Precious Metal RefinersUNITED ARAB EMIRATES
GoldKaloti Precious MetalsUNITED ARAB EMIRATES
GoldSudan Gold RefinerySUDAN
TantalumKEMET Blue PowderUNITED STATES OF AMERICA
TinCV Ayi JayaINDONESIA



Subject Metal:Facility Name of Smelter or Refiner:Country location of Smelter:
TinElectro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock CompanyVIET NAM
TinNghe Tinh Non-Ferrous Metals Joint Stock CompanyVIET NAM
TinTuyen Quang Non-Ferrous Metals Joint Stock CompanyVIET NAM
TungstenHunan Chuangda Vanadium Tungsten Co., Ltd. WujiCHINA
GoldT.C.A S.p.AITALY
GoldREMONDIS PMR B.V.NETHERLANDS
GoldFujairah Gold FZCUNITED ARAB EMIRATES
GoldTony Goetz NVBELGIUM
GoldShirpur Gold Refinery Ltd.INDIA
TungstenNiagara Refining LLCUNITED STATES OF AMERICA
TinCV Dua SekawanINDONESIA
TinPT Rajehan AriqINDONESIA
GoldKorea Zinc Co., Ltd.KOREA, REPUBLIC OF
GoldMarsam MetalsBRAZIL
GoldTOO Tau-Ken-AltynKAZAKHSTAN
TungstenChina Molybdenum Co., Ltd.CHINA
TungstenGanzhou Haichuang Tungsten Co., Ltd.CHINA
TungstenJiangxi Dayu Longxintai Tungsten Co., Ltd.CHINA
TungstenHydrometallurg, JSCRUSSIAN FEDERATION
TinPT Cipta Persada MuliaINDONESIA
TinAn Vinh Joint Stock Mineral Processing CompanyVIET NAM
TinResind Industria e Comercio Ltda.BRAZIL
TantalumResind Industria e Comercio Ltda.BRAZIL
GoldAbington Reldan Metals, LLCUNITED STATES OF AMERICA
TungstenUnecha Refractory metals plantRUSSIAN FEDERATION
TinSuper LigasBRAZIL
TinPT O.M. IndonesiaINDONESIA
GoldSAAMPFRANCE
GoldL'Orfebre S.A.ANDORRA
Gold8853 S.p.A.ITALY
GoldItalpreziosiITALY
TinMetallo Belgium N.V.BELGIUM
TinMetallo Spain S.L.U.SPAIN
TinPT Bangka Prima TinINDONESIA
GoldSAXONIA Edelmetalle GmbHGERMANY
GoldWIELAND Edelmetalle GmbHGERMANY
GoldOgussa Osterreichische Gold- und Silber-Scheideanstalt GmbHAUSTRIA
TungstenSouth-East Nonferrous Metal Company Limited of Hengyang CityCHINA
TinPT Sukses Inti MakmurINDONESIA
TungstenPhilippine Chuangxin Industrial Co., Inc.PHILLIPINES
TinPT Kijang Jaya MandiriINDONESIA
TungstenXinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.CHINA
TungstenACL Metais EireliBRAZIL
TinThai Nguyen Mining and Metallurgy Co., Ltd.VIET NAM
TinPT Menara Cipta MuliaINDONESIA



Subject Metal:Facility Name of Smelter or Refiner:Country location of Smelter:
TantalumJiangxi Tuohong New Raw MaterialCHINA
TungstenWoltech Korea Co., Ltd.KOREA, REPUBLIC OF
TinHuiChang Hill Tin Industry Co., Ltd.CHINA
TungstenMoliren Ltd.RUSSIAN FEDERATION
TantalumPower Resources Ltd.MACEDONIA, THE FORMER YUGOSLAV REPUBLIC OF
TinGejiu Fengming Metallurgy Chemical PlantCHINA
TinGuanyang Guida Nonferrous Metal Smelting PlantCHINA
GoldAU Traders and RefinersSOUTH AFRICA
GoldGCC Gujrat Gold Centre Pvt. Ltd.INDIA
GoldSai RefineryINDIA
GoldModeltech Sdn BhdMALAYSIA
TinModeltech Sdn BhdMALAYSIA
TinGejiu Jinye Mineral CompanyCHINA
GoldBangalore RefineryINDIA
GoldKyshtym Copper-Electrolytic Plant ZAORUSSIAN FEDERATION
GoldMorris and Watson Gold CoastAUSTRALIA
GoldDegussa Sonne / Mond Goldhandel GmbHGERMANY
TinPT Lautan Harmonis SejahteraINDONESIA
GoldPease & CurrenUNITED STATES OF AMERICA
GoldJALAN & CompanyINDIA
GoldSungEel HiMetal Co., Ltd.KOREA, REPUBLIC OF
GoldPlanta Recuperadora de Metales SpACHILE
GoldSafimet S.p.AITALY
TinGuangdong Hanhe Non-Ferrous Metal Co., Ltd.CHINA
GoldState Research Institute Center for Physical Sciences and TechnologyLITHUANIA
TungstenHunan Litian Tungsten Industry Co., Ltd.CHINA
GoldAfrican Gold RefineryUGANDA
GoldGold Coast RefineryGHANA
GoldNH Recytech CompanyKOREA, REPUBLIC OF
TinChifeng Dajingzi Tin Industry Co., Ltd.CHINA
TantalumJiujiang Janny New Material Co., Ltd.CHINA
GoldDS PRETECH Co., Ltd.KOREA, REPUBLIC OF
TinPT Bangka SerumpunINDONESIA
TinPongpipat Company LimitedMYANMAR
GoldQG Refining, LLCUNITED STATES OF AMERICA
TinTin Technology & RefiningUNITED STATES OF AMERICA
GoldDijllah Gold Refinery FZCUNITED ARAB EMIRATES
TinDongguan CiEXPO Environmental Engineering Co., Ltd.CHINA
TinMa'anshan Weitai Tin Co., Ltd.CHINA
TinPT Rajawali Rimba PerkasaINDONESIA
GoldCGR Metalloys Pvt Ltd.INDIA
GoldSovereign MetalsINDIA
TinLuna Smelter, Ltd.RWANDA
TungstenKGETS Co., Ltd.KOREA, REPUBLIC OF
TinYunnan Yunfan Non-ferrous Metals Co., Ltd.CHINA



Subject Metal:Facility Name of Smelter or Refiner:Country location of Smelter:
TungstenFujian Ganmin RareMetal Co., Ltd.CHINA
TantalumCP Metals Inc.UNITED STATES OF AMERICA
TungstenLianyou Metals Co., Ltd.TAIWAN, PROVINCE OF CHINA
TungstenJSC "Kirovgrad Hard Alloys Plant"RUSSIAN FEDERATION
TinPrecious Minerals and Smelting LimitedINDIA
TinGejiu City Fuxiang Industry and Trade Co., Ltd.CHINA
TungstenNPP Tyazhmetprom LLCRUSSIAN FEDERATION
TungstenGEM Co., Ltd.CHINA
GoldC.I Metales Procesados Industriales SASCOLOMBIA
GoldEco-System Recycling Co., Ltd. North PlantJAPAN
GoldEco-System Recycling Co., Ltd. West PlantJAPAN
TungstenAlbasteel Industria e Comercio de Ligas Para Fundicao Ltd.BRAZIL
TungstenCP Metals Inc.UNITED STATES OF AMERICA
TinPT Mitra Sukses GlobalindoINDONESIA
GoldAugmont Enterprises Private LimitedINDIA
GoldKundan Care Products Ltd.INDIA
TungstenCronimet Brasil LtdaBRAZIL
TinCRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil LtdaBRAZIL
GoldEmerald Jewel Industry India Limited (Unit 1)INDIA
GoldEmerald Jewel Industry India Limited (Unit 2)INDIA
GoldEmerald Jewel Industry India Limited (Unit 3)INDIA
GoldEmerald Jewel Industry India Limited (Unit 4)INDIA
GoldK.A. RasmussenNORWAY
GoldAlexy MetalsUNITED STATES OF AMERICA
TinCRM SynergiesSPAIN
GoldSancus ZFS (L’Orfebre, SA)COLOMBIA
GoldSellem Industries Ltd.MAURITANIA
GoldMD OverseasINDIA
TungstenArtek LLCRUSSIAN FEDERATION
GoldMetallix Refining Inc.UNITED STATES OF AMERICA
GoldMetal Concentrators SA (Pty) Ltd.SOUTH AFRICA
TinRSR TechnologiesUNITED STATES OF AMERICA
TinDragon Silver Holdings LimitedCHINA
TinMuchuan Industrial Co. LTDHONG KONG
TinGanzhou Liansheng metallurgical products Co. Ltd.CHINA
TantalumYichun Jin Yang Rare Metal Co., Ltd.CHINA
TantalumConghua Tantalum and Niobium SmeltryCHINA
TantalumDuoluoshanCHINA
TantalumKEMET Blue PowderUNITED STATES OF AMERICA
TinCOMERMET QUIM S.A. DE C.V.MEXICO
TinJin Zhi Dao Tin Co. LtdCHINA
TinCV Dua SekawanINDONESIA





Annex II
Countries of Origin
AndorraMexico
AustraliaMyanmar
AustriaNetherlands
BelgiumNew Zealand
Bolivia (Plurinational State of)Norway
BrazilPeru
CanadaPhilippines
ChilePoland
ChinaRussian Federation
ColumbiaRwanda
CzechiaSaudi Arabia
EstoniaSingapore
FranceSouth Africa
GermanySpain
GhanaSudan
Hong KongSweden
IndiaSwitzerland
IndonesiaTaiwan, Province of China
ItalyThailand
JapanTurkey
KazakhstanUganda
Korea, Republic ofUnited Arab Emirates
KyrgyzstanUnited States of America
LithuaniaUzbekistan
Macedonia, The Former Yugoslav Republic OfVietnam
Malaysia, Republic OfZimbabwe
Mauritania