EX-1.01 2 exhibit101conflictminerals.htm EX-1.01

Document

EXHIBIT 1.01

DXP Enterprises, Inc.

Conflict Minerals Report

For the Year Ended December 31, 2021

INTRODUCTION

This Conflict Minerals Report for DXP Enterprises, Inc. for calendar year 2021 was prepared in accordance with the requirements of Rule 13p-1 (“Rule 13p-1”) under the Securities Exchange Act, as amended, and in connection with the required disclosure filed on specialized disclosure form (“Form SD”). Unless the context otherwise indicates, all references to DXP Enterprises, Inc., the “Company” or “we”, “us” and “our” refer to DXP Enterprises, Inc. and its consolidated subsidiaries.

Rule 13p-1 implemented Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (“Dodd-Frank Act”), and requires Securities and Exchange Commission (“SEC”) reporting companies that meet certain threshold requirements, to undertake a reasonable country of origin inquiry and supply chain due diligence on the source and chain of custody of the conflict minerals necessary to the functionality or production of any product manufactured or contracted to manufactured by the reporting company. The term “Subject Minerals” currently encompasses cassiterite, columbite-tantalite (coltan), and wolframite (or their derivatives, which are limited to tantalum, tin and tungsten) and gold (collectively referred to as “3TGs” or “Subject Minerals”).

The goal of the reasonable country of origin inquiry (“RCOI”) and supply chain due diligence is to determine whether the Subject Minerals necessary to the functionality or production of products manufactured or contracted to be manufactured by a company directly or indirectly finance or benefit armed groups in the Democratic Republic of the Congo (“DRC”) or any country that shares an internationally recognized border with the DRC (collectively “Covered Countries”). The Dodd-Frank Act refers to this area as the “Covered Countries”. Reporting companies that are subject to Rule 13p-1 are required to make certain disclosures on Form SD and, in certain instances, an accompanying Conflict Minerals Report, which are filed with the SEC.

COMPANY AND PRODUCT OVERVIEW

DXP Enterprises, Inc. is headquartered in Houston Texas and is a diversified industrial distribution company that conducts business in three business segments: Service Centers, Supply Chain Services and Innovative Pumping Solutions. DXP is engaged in the business of distributing maintenance, repair, and operating products, equipment and services to energy and industrial customers. The Service Centers provide a wide range of MRO products in the rotating equipment, bearing, power transmission, hose, fluid power, metal working, industrial supply, safety product and service categories. We currently serve as a first-tier distributor of more than 1,000,000 items. These items are for use primarily by customers engaged in the oil and gas, food and beverage, chemical, petrochemical, transportation, aerospace, mining, utilities and other general industrial industries. The Innovative Pumping Solutions segment provides integrated, custom pump skid packages, pump remanufacturing and manufactures branded private label pumps it manufactures. The Supply Chain Services segment manages all or part of its customers’ supply chains, including procurement and inventory management. We believe that a very limited amount of sales of our products contain Subject Minerals that are necessary to their functionality or production and were attributable to products manufactured by us or contracted to be manufactured for us.

For the purposes of this Report, we reviewed our supply base in order to determine the suppliers of materials/components that may possibly contain some 3TGs. Some of our suppliers have reported to us that some of our products, that may be necessary to the functionality or production of products that we manufactured or contracted to manufacture during the 2021 Reporting Period, may contain 3TGs. DXP is unsure of the presence of 3TGs in our products, however, based on the Conflict Minerals Reporting Template (“CMRT”) we received from suppliers, the presence of 3TGs may be in some of their products. Many of our suppliers completed their CMRTs at the company, business unit or entity level basis. Due to this we are unable to definitively conclude which 3TGs, if any, are present in any products that were supplied to us.

REASONABLE COUNTRY OF ORIGIN INQUIRY

We conducted a reasonable country of origin inquiry about the conflict minerals necessary to functionality or production of products manufactured by us, or contracted to be manufactured for us. DXP, with Assent’s assistance, conducted a survey of the suppliers using the Conflict Minerals Reporting Template (“CMRT”) developed by the Responsible Minerals Initiative (“RMI”). We used Assent’s database to organize and retain supplier responses.

We identified certain suppliers that did not conform with our conflict minerals policy of providing sourcing information to us upon request. We made repeat requests to non-responsive suppliers educating and urging them to submit completed CMRTs. We also undertook additional follow-up with suppliers to obtain more complete information or to clarify responses.

We and Assent analyzed the responses that we received in an effort to determine the country of origin of the necessary conflict minerals in the products that we manufacture or contract for manufacture. Only a small number of our suppliers provided information relating to country of origin, and that information was not sufficiently detailed or product-specific for us to identify the country of origin of the necessary conflict minerals in our products to indicate whether they were from recycled or scrap sources.

As a result of the responses we received, we were able to determine that some of our products manufactured or contracted for manufacture during the reporting period may contain necessary conflict minerals that originated, or may have originated from a Covered Country and are not or may not be from recycled or scrap sources.

DUE DILIGENCE

Design of Due Diligence

With the assistance of Assent, we have designed our due diligence measures to conform, in all material respects, with the framework in The Organization for Economic Co-operation and Development Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, Third Edition, 2016 and the related supplements for tin, tantalum, and tungsten, and for gold (the “OECD Guidance”). As detailed in the following sections, our due diligence process has been designed to comply with the following 5 steps of the OECD Guidance:

    1. Establishment of company management systems;

    2. Identification and assessment of risks in our supply chain;

    3. Design and implement a strategy to respond to identified risks;

    4. Utilize independent third-party audits of supply chain due diligence; and

    5. Publicly report on our supply chain due diligence.

Due diligence requires our necessary reliance on data provided by direct suppliers and third-party audit programs. There is a risk of incomplete or inaccurate data as the process cannot fully be owned by us.

Due Diligence Measures

The due diligence measures we preformed are described below.

Step 1: Establishment of Company Management Systems.

We have a Conflict Minerals team comprised of individuals in management positions across legal, finance, and supply chain backgrounds. This team leads our Conflict Minerals compliance effort and is responsible for implementing the Conflict Minerals compliance strategy. We also use Assent to assist us with evaluating supply chain information regarding 3TGs, identifying potential risks, and in the development and implementation of additional due diligence steps that we may undertake with suppliers in regard to Conflict Minerals. We leverage Assent’s Managed Services in order to work with dedicated program specialists who support our conflict minerals program. DXP communicates regularly with the Assent team in order to receive updates on program status. Each member of Assent’s Customer Success team is trained in conflict minerals compliance and understands the intricacies of the CMRT and conflict minerals reporting, as well as Section 1502 of the Dodd-Frank Act.

DXP expects all of its suppliers to have policies and procedures in place to ensure that 3TGs used in the production of the products sold to us are DRC conflict-free. This means that the products must not contain 3TGs that directly or indirectly finance or benefit armed groups in the Covered Countries. We rely upon our direct suppliers to provide information on the origin of any 3TGs contained in components and materials supplied, including sources of 3TGs that were supplied to us and that were supplied to them from lower tier suppliers.

As an extremely important part of the supply chain, DXP has leveraged processes and educational opportunities with the assistance of Assent in order to ensure non-English speaking suppliers have access to a free platform to unload their CMRT’s, help desk support and other multilingual resources. Our suppliers are able to leverage Assent’s team of supplier support specialists to ensure they receive appropriate support and understand how to properly file a CMRT. DXP engages, along with Assent, with suppliers to request a valid CMRT for the products that they supply to us. With respect to the OECD requirement to strengthen engagement with suppliers, we have developed an internal procedure that includes steps of supplier engagement escalation such as corrective actions. Feedback from

this engagement has allowed us to oversee improvements in supplier responses and supplier compliance for this initiative. To accomplish this, Assent’s online resources are leveraged, and all in-scope suppliers have been provided with access to their library of conflict minerals training and support resources. We believe that the combination of our Code of Conduct, our Conflict Minerals Policy, and direct engagement with our suppliers for Conflict Minerals training and requests constitute a strong supplier engagement program.

DXP has established grievance mechanisms whereby employees and suppliers can report violations of DXP’s policies, including Conflict Minerals. Suppliers and others outside of DXP may contact us anonymously to report grievances via a dedicated email address that is published in our Conflicts Minerals Policy and in our Code of Conduct. In addition, our employees may anonymously report suspected violations using the same dedicated email address, dxpe.ethicspoint.com, or our anonymous third-party conduct help line at (888) 307-4308, as published in our Conflicts Minerals Policy and in our Code of Conduct.

We have adopted a policy to retain relevant documents with Assent for a period of five years. Through Assent, a document retention policy to retain Conflict Minerals related documents, including supplier responses to CMRTs and the sources identified within each reporting period, has been implemented. We store all the information and findings from this process in a database than can be audited by internal and external parties.

Step 2: Identification and Assessment of Risks in the Supply Chain

Due to our size, the complexity of our products, and the depth, breadth and constant evolution of our supply chain it is difficult to identify actors upstream from our direct suppliers. Risks associated with supplier CMRT content are identified automatically in the ACM based on criteria established for supplier responses. These risks are addressed by Assent staff, who contacts the supplier, gathers pertinent data and performs an assessment of the supplier’s Conflict Minerals status.

Risks at the supplier level may include non-responsive suppliers, incomplete CMRTs, or CMRTs that are submitted at a company, business unit or division level. In those cases, we are unable to determine if all of the specified smelters and refiners were used for 3TGs in the products supplied to us.

Risks were identified by assessing the due diligence practices and status of smelters and refiners identified in the supply chain by upstream suppliers that listed mineral processing facilities on their CMRT declarations. Assent compared these facilities listed in the responses to the list of smelters and refiners consolidated by the RMI to ensure that the facilities met the recognized definition of a 3TGs processing facility that was operation during the 2021 calendar year.

Assent determined if the smelter had been audited against a standard in conformance with the OECD Guidance, such as the Responsible Minerals Assurance Process (“RAMP”). DXP does not have a direct relationship with smelters and refiners, and does not perform direct audits of these entities within their pre-supply chain. Smelters that have completed a RMAP audit are considered to be DRC-conflict free. In cases where the smelter’s due diligence practices have not been audited against the RMAP standard or they are considered non-conformant by RMAP, follow-ups are made to suppliers reporting those facilities. Smelters are then assessed for the potential for sourcing risk.

Each facility that meets the definition of a smelter or refiner of a 3TG mineral is assessed according to red-flag indicators defined in the OECD Guidance. Assent uses numerous factors to determine the level of risk that each smelter or refiner poses to the supply chain by identifying red flags. These factors include, but are not limited to:

1.Geographic proximity to the Covered Countries;

2.Conflict-Free Smelter Program (RMAP) audit status;

3.Credible evidence of unethical or conflict sourcing;

4.Known mineral source country of origin; and

5.Peer assessments conducted by credible third-party sources.

Risk mitigation activities are initiated whenever a supplier’s CMRT reported facilities of concern. Through Assent, suppliers with submissions that included any smelters of concern were immediately provided with feedback instructing the supplier to take their own independent risk mitigation actions. Examples include the submission of a product specific CMRT to better identify the connection to products that they supply to us. Suppliers are given clear performance objectives within reasonable time frames with the ultimate goal of progressive elimination of these smelters of concern from the supply chain. In addition, suppliers are guided to the educational materials on mitigating the risks identified through the data collection process.

Step 3: Design and Implement a Strategy to Respond to Identified Risks

Together with Assent, we developed processes to access and respond to the risks identified in the supply chain. We have a risk management plan, through which our Conflict Minerals program is implemented, managed and monitored. As the program progresses, escalations are sent to non-responsive suppliers to outline the importance of a response via CMRTs and to outline the required cooperation for compliance to the Conflict Minerals rules and our expectations.

Feedback on supplier submissions is given directly to suppliers and educational resources are provided to assist suppliers in corrective action methods or to improve their internal programs. We will engage any of our suppliers whom we have reason to believe are supplying us with 3TGs from sources that may support conflict in the Covered Countries to establish an alternative source of 3TGs that does not support such conflict, as provided in the OECD Guidance. Assent also communicates directly with smelters that have not been determined to be conformant with the RMAP in order to request sourcing information and encourage their involvement with the RMI program.

Step 4: Utilize Independent Third-Party Audits of Supply Chain Due Diligence

We do not have a direct relationship with any 3TG smelters and refiners of Conflict Minerals and we do not perform or direct audits of these entities within the supply chain. Instead, we rely upon third-party audits of smelters and refiners conducted as part of RMAP. RAMP uses independent private sector auditors, and audits the source, including the mines of origin, and the chain of custody of the Conflict Minerals used by smelters and refiners that agree to participate in the program.

Step 5: Publicly Report on our Supply Chain Due Diligence

We have published our Form SD for the year ended December 31, 2021. Form SD and this Report is available on our website at www.dxpe.com within the “Investors” section under “Investor Relations” > “Financial Information “ > “SEC Filings”. Information found on or accessed through our website is not consider part of this Report and is not incorporated herein by reference. We have also publicly filed our Form SD and this Report with the U.S. Securities and Exchange Commission.

RESULTS OF DUE DILIGENCE

All final CMRT submissions were reviewed and validated by Assent to ensure no inaccuracies or gaps in data were found. There were some suppliers that were unable to correct their CMRT and as such, are listed as invalid submissions.

Attached as Appendix A is a table that lists all the smelters and refiners identified by our responsive direct suppliers that may have been used to process the Conflict Minerals necessary to the functionality or production of our Covered Products during the 2021 calendar year. This list may contain more facilities than are actually linked to the Company’s Covered Products. Alternatively, this list may not include all applicable facilities as not all of our suppliers were able to provide the required information at this time. Those that have been validated as compliant under RAMP by the RMI, have been noted as such in the final column on the right in Appendix A. From the responses received, Assent identified smelters that potentially posed a risk due to the presence of some red flag indicators.

Appendix B is an aggregated list of countries of origin from which the reported facilities collectively source 3TGs, based on information provided through the CMRT data collection process, from direct smelter outreach and the RAMP. As mentioned in the above section, it is understood that many responses may provide more data than can be directly linked to products sold by us, therefore, Appendix B may contain more countries than those that the Company’s products are being sourced from.

Steps to be Taken To Mitigate Risk and Improve Due Diligence

Since January 1, 2021 we have taken or we intend to take, the following steps to improve due diligence conducted to further mitigate any risk that the necessary 3TGs in our products could benefit armed groups in the DRC or any country that shares an internationally recognized boarder with the DRC:

1.Continue to evaluate upstream sources through a broader set of tools to evaluate risk.

2.Engage with suppliers more closely and provide more information and training resources regarding responsible sourcing of 3TGs.

3.Encourage suppliers to have due diligence procedures in place for their supply chains to improve the content of the responses from such suppliers.

4.Following OECD Guidance process, increase the emphasis on clean and validated smelter and refiner information from the supply chain through feedback and detailed smelter analysis.

Smelter & Refiner Risk Evaluation

Understanding the risks associated with the smelters and refiners potentially providing material into our supply chain is an important part of the due diligence process. Through Assent, comprehensive and ongoing analysis is conducted by Assent’s smelter library manager to assess sourcing risk. This information is used to:

1.Provide supplier feedback.

2.Determine the health of our overall program.

3.Conduct outreach to smelters, refiners and their respective associations.

The following risk categories are used for smelter evaluation and risk determination:

1.Geo-Risk.

2.Audit Status.

3.Sourcing Risk.

Appendix A Refiners and Smelters List:

Metal			Standard Smelter Name			Smelter Facility Location			Smelter ID
Gold			8853 S.p.A.			Italy			CID002763
Gold			Abington Reldan Metals, LLC			United States Of America			CID002708
Gold			Advanced Chemical Company			United States Of America			CID000015
Gold			African Gold Refinery			Uganda			CID003185
Gold			Aida Chemical Industries Co., Ltd.			Japan			CID000019
Gold			Al Etihad Gold Refinery DMCC			United Arab Emirates			CID002560
Gold			Alexy Metals			United States Of America			CID003500
Gold			Allgemeine Gold-und Silberscheideanstalt A.G.			Germany			CID000035
Gold			Almalyk Mining and Metallurgical Complex (AMMC)			Uzbekistan			CID000041
Gold			AngloGold Ashanti Corrego do Sitio Mineracao			Brazil			CID000058
Gold			Argor-Heraeus S.A.			Switzerland			CID000077
Gold			Asahi Pretec Corp.			Japan			CID000082
Gold			Asahi Refining Canada Ltd.			Canada			CID000924
Gold			Asahi Refining USA Inc.			United States Of America			CID000920
Gold			Asaka Riken Co., Ltd.			Japan			CID000090
Gold			Atasay Kuyumculuk Sanayi Ve Ticaret A.S.			Turkey			CID000103
Gold			AU Traders and Refiners			South Africa			CID002850
Gold			Augmont Enterprises Private Limited			India			CID003461
Gold			Aurubis AG			Germany			CID000113
Gold			Bangalore Refinery			India			CID002863
Gold			Bangko Sentral ng Pilipinas (Central Bank of the Philippines)			Philippines			CID000128
Gold			Boliden AB			Sweden			CID000157
Gold			C. Hafner GmbH + Co. KG			Germany			CID000176
Gold			C.I Metales Procesados Industriales SAS			Colombia			CID003421
Gold			Caridad			Mexico			CID000180
Gold			CCR Refinery - Glencore Canada Corporation			Canada			CID000185

Gold			Cendres + Metaux S.A.			Switzerland			CID000189
Gold			CGR Metalloys Pvt Ltd.			India			CID003382
Gold			Chimet S.p.A.			Italy			CID000233
Gold			Chugai Mining			Japan			CID000264
Gold			Daye Non-Ferrous Metals Mining Ltd.			China			CID000343
Gold			Degussa Sonne / Mond Goldhandel GmbH			Germany			CID002867
Gold			Dijllah Gold Refinery FZC			United Arab Emirates			CID003348
Gold			Dowa			Japan			CID000401
Gold			DSC (Do Sung Corporation)			Korea, Republic Of			CID000359
Gold			Eco-System Recycling Co., Ltd. East Plant			Japan			CID000425
Gold			Eco-System Recycling Co., Ltd. North Plant			Japan			CID003424
Gold			Eco-System Recycling Co., Ltd. West Plant			Japan			CID003425
Gold			Emerald Jewel Industry India Limited (Unit 1)			India			CID003487
Gold			Emerald Jewel Industry India Limited (Unit 2)			India			CID003488
Gold			Emerald Jewel Industry India Limited (Unit 3)			India			CID003489
Gold			Emerald Jewel Industry India Limited (Unit 4)			India			CID003490
Gold			Emirates Gold DMCC			United Arab Emirates			CID002561
Gold			Fidelity Printers and Refiners Ltd.			Zimbabwe			CID002515
Gold			Fujairah Gold FZC			United Arab Emirates			CID002584
Gold			GCC Gujrat Gold Centre Pvt. Ltd.			India			CID002852
Gold			Geib Refining Corporation			United States Of America			CID002459
Gold			Gold Coast Refinery			Ghana			CID003186
Gold			Gold Refinery of Zijin Mining Group Co., Ltd.			China			CID002243
Gold			Great Wall Precious Metals Co., Ltd. of CBPM			China			CID001909
Gold			Guangdong Jinding Gold Limited			China			CID002312

Gold			Guoda Safina High-Tech Environmental Refinery Co., Ltd.			China			CID000651
Gold			Hangzhou Fuchunjiang Smelting Co., Ltd.			China			CID000671
Gold			Heimerle + Meule GmbH			Germany			CID000694
Gold			Heraeus Metals Hong Kong Ltd.			China			CID000707
Gold			Heraeus Precious Metals GmbH & Co. KG			Germany			CID000711
Gold			Hunan Chenzhou Mining Co., Ltd.			China			CID000767
Gold			Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd.			China			CID000773
Gold			HwaSeong CJ CO., LTD.			Korea, Republic Of			CID000778
Gold			Industrial Refining Company			Belgium			CID002587
Gold			Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.			China			CID000801
Gold			International Precious Metal Refiners			United Arab Emirates			CID002562
Gold			Ishifuku Metal Industry Co., Ltd.			Japan			CID000807
Gold			Istanbul Gold Refinery			Turkey			CID000814
Gold			Italpreziosi			Italy			CID002765
Gold			JALAN & Company			India			CID002893
Gold			Japan Mint			Japan			CID000823
Gold			Jiangxi Copper Co., Ltd.			China			CID000855
Gold			JSC Ekaterinburg Non-Ferrous Metal Processing Plant			Russian Federation			CID000927
Gold			JSC Uralelectromed			Russian Federation			CID000929
Gold			JX Nippon Mining & Metals Co., Ltd.			Japan			CID000937
Gold			K.A. Rasmussen			Norway			CID003497
Gold			Kaloti Precious Metals			United Arab Emirates			CID002563
Gold			Kazakhmys Smelting LLC			Kazakhstan			CID000956
Gold			Kazzinc			Kazakhstan			CID000957
Gold			Kennecott Utah Copper LLC			United States Of America			CID000969
Gold			KGHM Polska Miedz Spolka Akcyjna			Poland			CID002511

Gold			Kojima Chemicals Co., Ltd.			Japan			CID000981
Gold			Korea Zinc Co., Ltd.			Korea, Republic Of			CID002605
Gold			Kundan Care Products Ltd.			India			CID003463
Gold			Kyrgyzaltyn JSC			Kyrgyzstan			CID001029
Gold			Kyshtym Copper-Electrolytic Plant ZAO			Russian Federation			CID002865
Gold			L'azurde Company For Jewelry			Saudi Arabia			CID001032
Gold			Lingbao Gold Co., Ltd.			China			CID001056
Gold			Lingbao Jinyuan Tonghui Refinery Co., Ltd.			China			CID001058
Gold			L'Orfebre S.A.			Andorra			CID002762
Gold			LS-NIKKO Copper Inc.			Korea, Republic Of			CID001078
Gold			LT Metal Ltd.			Korea, Republic Of			CID000689
Gold			Luoyang Zijin Yinhui Gold Refinery Co., Ltd.			China			CID001093
Gold			Marsam Metals			Brazil			CID002606
Gold			Materion			United States Of America			CID001113
Gold			Matsuda Sangyo Co., Ltd.			Japan			CID001119
Gold			MD Overseas			India			CID003548
Gold			Metal Concentrators SA (Pty) Ltd.			South Africa			CID003575
Gold			Metallix Refining Inc.			United States Of America			CID003557
Gold			Metalor Technologies (Hong Kong) Ltd.			China			CID001149
Gold			Metalor Technologies (Singapore) Pte., Ltd.			Singapore			CID001152
Gold			Metalor Technologies (Suzhou) Ltd.			China			CID001147
Gold			Metalor Technologies S.A.			Switzerland			CID001153
Gold			Metalor USA Refining Corporation			United States Of America			CID001157
Gold			Metalurgica Met-Mex Penoles S.A. De C.V.			Mexico			CID001161
Gold			Mitsubishi Materials Corporation			Japan			CID001188
Gold			Mitsui Mining and Smelting Co., Ltd.			Japan			CID001193
Gold			MMTC-PAMP India Pvt., Ltd.			India			CID002509
Gold			Modeltech Sdn Bhd			Malaysia			CID002857

Gold			Morris and Watson			New Zealand			CID002282
Gold			Moscow Special Alloys Processing Plant			Russian Federation			CID001204
Gold			Nadir Metal Rafineri San. Ve Tic. A.S.			Turkey			CID001220
Gold			Navoi Mining and Metallurgical Combinat			Uzbekistan			CID001236
Gold			NH Recytech Company			Korea, Republic Of			CID003189
Gold			Nihon Material Co., Ltd.			Japan			CID001259
Gold			Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH			Austria			CID002779
Gold			Ohura Precious Metal Industry Co., Ltd.			Japan			CID001325
Gold			OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)			Russian Federation			CID001326
Gold			OJSC Novosibirsk Refinery			Russian Federation			CID000493
Gold			PAMP S.A.			Switzerland			CID001352
Gold			Pease & Curren			United States Of America			CID002872
Gold			Penglai Penggang Gold Industry Co., Ltd.			China			CID001362
Gold			Planta Recuperadora de Metales SpA			Chile			CID002919
Gold			Prioksky Plant of Non-Ferrous Metals			Russian Federation			CID001386
Gold			PT Aneka Tambang (Persero) Tbk			Indonesia			CID001397
Gold			PX Precinox S.A.			Switzerland			CID001498
Gold			QG Refining, LLC			United States Of America			CID003324
Gold			Rand Refinery (Pty) Ltd.			South Africa			CID001512
Gold			Refinery of Seemine Gold Co., Ltd.			China			CID000522
Gold			REMONDIS PMR B.V.			Netherlands			CID002582
Gold			Royal Canadian Mint			Canada			CID001534
Gold			SAAMP			France			CID002761
Gold			Sabin Metal Corp.			United States Of America			CID001546
Gold			Safimet S.p.A			Italy			CID002973
Gold			SAFINA A.S.			Czechia			CID002290

Gold			Sai Refinery			India			CID002853
Gold			Samduck Precious Metals			Korea, Republic Of			CID001555
Gold			Samwon Metals Corp.			Korea, Republic Of			CID001562
Gold			Sancus ZFS (L’Orfebre, SA)			Colombia			CID003529
Gold			Sellem Industries Ltd.			Mauritania			CID003540
Gold			SEMPSA Joyeria Plateria S.A.			Spain			CID001585
Gold			Shandong Humon Smelting Co., Ltd.			China			CID002525
Gold			Shandong Tiancheng Biological Gold Industrial Co., Ltd.			China			CID001619
Gold			Shandong Zhaojin Gold & Silver Refinery Co., Ltd.			China			CID001622
Gold			Shenzhen Zhonghenglong Real Industry Co., Ltd.			China			CID002527
Gold			Shirpur Gold Refinery Ltd.			India			CID002588
Gold			Sichuan Tianze Precious Metals Co., Ltd.			China			CID001736
Gold			Singway Technology Co., Ltd.			Taiwan, Province Of China			CID002516
Gold			SOE Shyolkovsky Factory of Secondary Precious Metals			Russian Federation			CID001756
Gold			Solar Applied Materials Technology Corp.			Taiwan, Province Of China			CID001761
Gold			Sovereign Metals			India			CID003383
Gold			State Research Institute Center for Physical Sciences and Technology			Lithuania			CID003153
Gold			Sudan Gold Refinery			Sudan			CID002567
Gold			Sumitomo Metal Mining Co., Ltd.			Japan			CID001798
Gold			SungEel HiMetal Co., Ltd.			Korea, Republic Of			CID002918
Gold			Super Dragon Technology Co., Ltd.			China			CID001810
Gold			T.C.A S.p.A			Italy			CID002580
Gold			Tanaka Kikinzoku Kogyo K.K.			Japan			CID001875
Gold			The Refinery of Shandong Gold Mining Co., Ltd.			China			CID001916
Gold			Tokuriki Honten Co., Ltd.			Japan			CID001938
Gold			Tongling Nonferrous Metals Group Co., Ltd.			China			CID001947

Gold			TOO Tau-Ken-Altyn			Kazakhstan			CID002615
Gold			Torecom			Korea, Republic Of			CID001955
Gold			Umicore Precious Metals Thailand			Thailand			CID002314
Gold			Umicore S.A. Business Unit Precious Metals Refining			Belgium			CID001980
Gold			United Precious Metal Refining, Inc.			United States Of America			CID001993
Gold			Valcambi S.A.			Switzerland			CID002003
Gold			Value Trading			Belgium			CID003617
Gold			WEEEREFINING			France			CID003615
Gold			Western Australian Mint (T/a The Perth Mint)			Australia			CID002030
Gold			WIELAND Edelmetalle GmbH			Germany			CID002778
Gold			Yamakin Co., Ltd.			Japan			CID002100
Gold			Yokohama Metal Co., Ltd.			Japan			CID002129
Gold			Yunnan Copper Industry Co., Ltd.			China			CID000197
Gold			Zhongyuan Gold Smelter of Zhongjin Gold Corporation			China			CID002224
Tantalum			Changsha South Tantalum Niobium Co., Ltd.			China			CID000211
Tantalum			D Block Metals, LLC			United States Of America			CID002504
Tantalum			F&X Electro-Materials Ltd.			China			CID000460
Tantalum			FIR Metals & Resource Ltd.			China			CID002505
Tantalum			Global Advanced Metals Aizu			Japan			CID002558
Tantalum			Global Advanced Metals Boyertown			United States Of America			CID002557
Tantalum			Guangdong Zhiyuan New Material Co., Ltd.			China			CID000616
Tantalum			H.C. Starck Co., Ltd.			Thailand			CID002544
Tantalum			H.C. Starck Hermsdorf GmbH			Germany			CID002547
Tantalum			H.C. Starck Inc.			United States Of America			CID002548
Tantalum			H.C. Starck Ltd.			Japan			CID002549
Tantalum			H.C. Starck Smelting GmbH & Co. KG			Germany			CID002550
Tantalum			H.C. Starck Tantalum and Niobium GmbH			Germany			CID002545

Tantalum			Hengyang King Xing Lifeng New Materials Co., Ltd.			China			CID002492
Tantalum			Jiangxi Dinghai Tantalum & Niobium Co., Ltd.			China			CID002512
Tantalum			Jiangxi Tuohong New Raw Material			China			CID002842
Tantalum			JiuJiang JinXin Nonferrous Metals Co., Ltd.			China			CID000914
Tantalum			Jiujiang Tanbre Co., Ltd.			China			CID000917
Tantalum			Jiujiang Zhongao Tantalum & Niobium Co., Ltd.			China			CID002506
Tantalum			KEMET Blue Metals			Mexico			CID002539
Tantalum			LSM Brasil S.A.			Brazil			CID001076
Tantalum			Metallurgical Products India Pvt., Ltd.			India			CID001163
Tantalum			Mineracao Taboca S.A.			Brazil			CID001175
Tantalum			Mitsui Mining and Smelting Co., Ltd.			Japan			CID001192
Tantalum			Ningxia Orient Tantalum Industry Co., Ltd.			China			CID001277
Tantalum			NPM Silmet AS			Estonia			CID001200
Tantalum			QuantumClean			United States Of America			CID001508
Tantalum			Resind Industria e Comercio Ltda.			Brazil			CID002707
Tantalum			Solikamsk Magnesium Works OAO			Russian Federation			CID001769
Tantalum			Taki Chemical Co., Ltd.			Japan			CID001869
Tantalum			Telex Metals			United States Of America			CID001891
Tantalum			Ulba Metallurgical Plant JSC			Kazakhstan			CID001969
Tantalum			XinXing HaoRong Electronic Material Co., Ltd.			China			CID002508
Tantalum			Yancheng Jinye New Material Technology Co., Ltd.			China			CID003583
Tantalum			Yanling Jincheng Tantalum & Niobium Co., Ltd.			China			CID001522
Tin			Alpha			United States Of America			CID000292
Tin			An Vinh Joint Stock Mineral Processing Company			Viet Nam			CID002703

Tin			Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.			China			CID000228
Tin			Chifeng Dajingzi Tin Industry Co., Ltd.			China			CID003190
Tin			China Tin Group Co., Ltd.			China			CID001070
Tin			CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda			Brazil			CID003486
Tin			CRM Synergies			Spain			CID003524
Tin			CV Venus Inti Perkasa			Bangladesh			CID002455
Tin			Dongguan CiEXPO Environmental Engineering Co., Ltd.			China			CID003356
Tin			Dowa			Japan			CID000402
Tin			Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company			Viet Nam			CID002572
Tin			EM Vinto			Bolivia (Plurinational State Of)			CID000438
Tin			Estanho de Rondonia S.A.			Brazil			CID000448
Tin			Fabrica Auricchio Industria e Comercio Ltda.			Brazil			CID003582
Tin			Fenix Metals			Poland			CID000468
Tin			Gejiu City Fuxiang Industry and Trade Co., Ltd.			China			CID003410
Tin			Gejiu Kai Meng Industry and Trade LLC			China			CID000942
Tin			Gejiu Non-Ferrous Metal Processing Co., Ltd.			China			CID000538
Tin			Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.			China			CID001908
Tin			Gejiu Zili Mining And Metallurgy Co., Ltd.			China			CID000555
Tin			Guangdong Hanhe Non-Ferrous Metal Co., Ltd.			China			CID003116
Tin			Jiangxi New Nanshan Technology Ltd.			China			CID001231
Tin			Luna Smelter, Ltd.			Rwanda			CID003387
Tin			Ma'anshan Weitai Tin Co., Ltd.			China			CID003379

Tin			Magnu's Minerais Metais e Ligas Ltda.			Brazil			CID002468
Tin			Malaysia Smelting Corporation (MSC)			Malaysia			CID001105
Tin			Melt Metais e Ligas S.A.			Brazil			CID002500
Tin			Metallic Resources, Inc.			United States Of America			CID001142
Tin			Metallo Belgium N.V.			Belgium			CID002773
Tin			Metallo Spain S.L.U.			Spain			CID002774
Tin			Mineracao Taboca S.A.			Brazil			CID001173
Tin			Minsur			Peru			CID001182
Tin			Mitsubishi Materials Corporation			Japan			CID001191
Tin			Modeltech Sdn Bhd			Malaysia			CID002858
Tin			Nghe Tinh Non-Ferrous Metals Joint Stock Company			Viet Nam			CID002573
Tin			Novosibirsk Processing Plant Ltd.			Russian Federation			CID001305
Tin			O.M. Manufacturing (Thailand) Co., Ltd.			Thailand			CID001314
Tin			O.M. Manufacturing Philippines, Inc.			Philippines			CID002517
Tin			Operaciones Metalurgicas S.A.			Bolivia (Plurinational State Of)			CID001337
Tin			Pongpipat Company Limited			Myanmar			CID003208
Tin			Precious Minerals and Smelting Limited			India			CID003409
Tin			PT Aries Kencana Sejahtera			Indonesia			CID000309
Tin			PT Artha Cipta Langgeng			Indonesia			CID001399
Tin			PT ATD Makmur Mandiri Jaya			Indonesia			CID002503
Tin			PT Babel Inti Perkasa			Indonesia			CID001402
Tin			PT Babel Surya Alam Lestari			Indonesia			CID001406
Tin			PT Bangka Serumpun			Indonesia			CID003205
Tin			PT Belitung Industri Sejahtera			Indonesia			CID001421
Tin			PT Bukit Timah			Indonesia			CID001428
Tin			PT Cipta Persada Mulia			Indonesia			CID002696
Tin			PT Menara Cipta Mulia			Indonesia			CID002835
Tin			PT Mitra Stania Prima			Indonesia			CID001453
Tin			PT Mitra Sukses Globalindo			Indonesia			CID003449
Tin			PT Panca Mega Persada			Indonesia			CID001457

Tin			PT Prima Timah Utama			Indonesia			CID001458
Tin			PT Rajawali Rimba Perkasa			Indonesia			CID003381
Tin			PT Refined Bangka Tin			Indonesia			CID001460
Tin			PT Sariwiguna Binasentosa			Indonesia			CID001463
Tin			PT Stanindo Inti Perkasa			Indonesia			CID001468
Tin			PT Sukses Inti Makmur			Indonesia			CID002816
Tin			PT Timah Nusantara			Indonesia			CID001486
Tin			PT Timah Tbk Kundur			Indonesia			CID001477
Tin			PT Timah Tbk Mentok			Indonesia			CID001482
Tin			PT Tinindo Inter Nusa			Indonesia			CID001490
Tin			PT Tirus Putra Mandiri			Indonesia			CID002478
Tin			PT Tommy Utama			Indonesia			CID001493
Tin			Resind Industria e Comercio Ltda.			Brazil			CID002706
Tin			Rui Da Hung			Taiwan, Province Of China			CID001539
Tin			Soft Metais Ltda.			Brazil			CID001758
Tin			Super Ligas			Brazil			CID002756
Tin			Thaisarco			Thailand			CID001898
Tin			Tin Technology & Refining			United States Of America			CID003325
Tin			Tuyen Quang Non-Ferrous Metals Joint Stock Company			Viet Nam			CID002574
Tin			VQB Mineral and Trading Group JSC			Viet Nam			CID002015
Tin			White Solder Metalurgia e Mineracao Ltda.			Brazil			CID002036
Tin			Yunnan Chengfeng Non-ferrous Metals Co., Ltd.			China			CID002158
Tin			Yunnan Tin Company Limited			China			CID002180
Tin			Yunnan Yunfan Non-ferrous Metals Co., Ltd.			China			CID003397
Tungsten			A.L.M.T. Corp.			Japan			CID000004
Tungsten			ACL Metais Eireli			Brazil			CID002833
Tungsten			Albasteel Industria e Comercio de Ligas Para Fundicao Ltd.			Brazil			CID003427
Tungsten			Artek LLC			Russian Federation			CID003553
Tungsten			Asia Tungsten Products Vietnam Ltd.			Viet Nam			CID002502

Tungsten			Chenzhou Diamond Tungsten Products Co., Ltd.			China			CID002513
Tungsten			China Molybdenum Co., Ltd.			China			CID002641
Tungsten			Chongyi Zhangyuan Tungsten Co., Ltd.			China			CID000258
Tungsten			CNMC (Guangxi) PGMA Co., Ltd.			China			CID000281
Tungsten			Cronimet Brasil Ltda			Brazil			CID003468
Tungsten			Fujian Ganmin RareMetal Co., Ltd.			China			CID003401
Tungsten			Fujian Xinlu Tungsten			China			CID003609
Tungsten			Ganzhou Haichuang Tungsten Co., Ltd.			China			CID002645
Tungsten			Ganzhou Huaxing Tungsten Products Co., Ltd.			China			CID000875
Tungsten			Ganzhou Jiangwu Ferrotungsten Co., Ltd.			China			CID002315
Tungsten			Ganzhou Seadragon W & Mo Co., Ltd.			China			CID002494
Tungsten			GEM Co., Ltd.			China			CID003417
Tungsten			Global Tungsten & Powders Corp.			United States Of America			CID000568
Tungsten			Guangdong Xianglu Tungsten Co., Ltd.			China			CID000218
Tungsten			H.C. Starck Smelting GmbH & Co. KG			Germany			CID002542
Tungsten			H.C. Starck Tungsten GmbH			Germany			CID002541
Tungsten			Hunan Chenzhou Mining Co., Ltd.			China			CID000766
Tungsten			Hunan Chunchang Nonferrous Metals Co., Ltd.			China			CID000769
Tungsten			Hydrometallurg, JSC			Russian Federation			CID002649
Tungsten			Japan New Metals Co., Ltd.			Japan			CID000825
Tungsten			Jiangwu H.C. Starck Tungsten Products Co., Ltd.			China			CID002551
Tungsten			Jiangxi Gan Bei Tungsten Co., Ltd.			China			CID002321
Tungsten			Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.			China			CID002313

Tungsten			Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.			China			CID002318
Tungsten			Jiangxi Xinsheng Tungsten Industry Co., Ltd.			China			CID002317
Tungsten			Jiangxi Yaosheng Tungsten Co., Ltd.			China			CID002316
Tungsten			JSC "Kirovgrad Hard Alloys Plant"			Russian Federation			CID003408
Tungsten			Kennametal Fallon			United States Of America			CID000966
Tungsten			Kennametal Huntsville			United States Of America			CID000105
Tungsten			Lianyou Metals Co., Ltd.			Taiwan, Province Of China			CID003407
Tungsten			Malipo Haiyu Tungsten Co., Ltd.			China			CID002319
Tungsten			Masan Tungsten Chemical LLC (MTC)			Viet Nam			CID002543
Tungsten			Moliren Ltd.			Russian Federation			CID002845
Tungsten			Niagara Refining LLC			United States Of America			CID002589
Tungsten			NPP Tyazhmetprom LLC			Russian Federation			CID003416
Tungsten			OOO “Technolom” 1			Russian Federation			CID003614
Tungsten			OOO “Technolom” 2			Russian Federation			CID003612
Tungsten			Philippine Chuangxin Industrial Co., Inc.			Philippines			CID002827
Tungsten			Unecha Refractory metals plant			Russian Federation			CID002724
Tungsten			Wolfram Bergbau und Hutten AG			Austria			CID002044
Tungsten			Xiamen Tungsten (H.C.) Co., Ltd.			China			CID002320
Tungsten			Xiamen Tungsten Co., Ltd.			China			CID002082
Tungsten			Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.			China			CID002830

Appendix B Country of Origin List:

Country List

Afghanistan

Åland Islands

Albania

American Samoa

Andorra

Angola

Argentina

Armenia

Australia

Austria

Belarus

Belgium

Bermuda

Bolivia (Plurinational State of)

Brazil

Bulgaria

Burundi

Cambodia

Canada

Central African Republic

Chile

China

Colombia

Congo

Democratic Republic of Congo

Djibouti

Dominica

Dominican Republic

Ecuador

Egypt

Eritrea

Estonia

Ethiopia

Finland

France

Germany

Ghana

Guinea

Guyana

Hong Kong

Hungary

India

Indonesia

Ireland

Israel

Italy

Japan

Kazakhstan

Kenya

Korea

Kyrgyzstan

Liberia

Lithuania

Luxembourg

Madagascar

Malaysia

Mali

Mauritania

Mexico

Mongolia

Morocco

Mozambique

Myanmar

Namibia

Netherlands

New Zealand

Niger

Nigeria

Panama

Papua New Guinea

Peru

Philippines

Poland

Portugal

Russian Federation

Rwanda

Saudi Arabia

Sierra Leone

Singapore

Slovakia

Slovenia

South Africa

South Sudan

Spain

Sudan

Suriname

Sweden

Switzerland

Taiwan

Tajikistan

Tanzania

Thailand

Turkey

Uganda

United Arab Emirates

United Kingdom

United States

Uzbekistan

Vietnam

Zambia

Zimbabwe