The Effect of Imports of Vanadium on U.S. National Security

Request for Investigation under Section 232 of the Trade Expansion Act

Survey-OMB-0694-1020-Vanadium-2020828.xlsx

The Effect of Imports of Vanadium on U.S. National Security

OMB: 0694-0120

Document [xlsx]
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Overview

Cover Page
Table of Contents
General Instructions
Definitions
1
2
3a
3b
3c
3d
4
5
6
7
8
9
10
11
12

Sheet 1: Cover Page







Next Page






OMB Control Number: 0694-0120






Expiration Date: December, 31 2020
Section 232 Investigation into Imports of Vanadium





























































SCOPE OF ASSESSMENT
The U.S. Department of Commerce, Bureau of Industry and Security (BIS), Office of Technology Evaluation (OTE), is conducting a survey of the U.S. vanadium industry. The survey results will be used to support an ongoing investigation on the effect of imports of vanadium products on the U.S. national security initiated under Section 232 of the Trade Expansion Act of 1962, as amended.

The principal goal of this survey is to assist the U.S. Department of Commerce in determining whether vanadium imports are being imported into the United States in such quantities or under such circumstances as to threaten to impair the national security. Information collected will include facilities and production data, capacity utilization, customers, sales and demand data, employment information, conditions of domestic and global competition, research and development, and other factors. The resulting data will provide the U.S. Department of Commerce detailed vanadium industry information that is otherwise not publicly available and needed to effectively conduct this Section 232 investigation.
RESPONSE TO THIS SURVEY IS REQUIRED BY LAW
A response to this survey is required by law (50 U.S.C. Sec. 4555). Failure to respond can result in a maximum fine of $10,000, imprisonment of up to one year, or both. Information furnished herewith is deemed confidential and will not be published or disclosed except in accordance with Section 705 of the Defense Production Act of 1950, as amended (50 U.S.C. Sec. 4555). Section 705 prohibits the publication or disclosure of this information unless the President determines that its withholding is contrary to the national defense. Information will not be shared with any non-government entity, other than in aggregate form. The information will be protected pursuant to the appropriate exemptions from disclosure under the Freedom of Information Act (FOIA), should it be the subject of a FOIA request.

Notwithstanding any other provision of law, no person is required to respond to nor shall a person be subject to a penalty for failure to comply with a collection of information subject to the requirements of the Paperwork Reduction Act unless that collection of information displays a currently valid OMB Control Number.
BURDEN ESTIMATE AND REQUEST FOR COMMENT
Public reporting burden for this collection of information is estimated to average 10 hours per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding this burden estimate or any other aspect of this collection of information to BIS Information Collection Officer, Room 6883, Bureau of Industry and Security, U.S. Department of Commerce, Washington, D.C. 20230, and to the Office of Management and Budget, Paperwork Reduction Project (OMB Control No. 0694-0120), Washington, D.C. 20503.
BUSINESS CONFIDENTIAL - Per Section 705(d) of the Defense Production Act

Sheet 2: Table of Contents
Previous Page Next Page
Table of Contents
I Cover Page
II Table of Contents
III General Instructions
IV Definitions
1 Organization Information
2 Facility Information
3 U.S. Production, Inputs, and Costs
4 Suppliers/Imports
5 Customers/Exports
6 Financials
7 Employment
8 National Defense Support
9 Critical Infrastructure Support
10 Competition and Trade
11 Certification
BUSINESS CONFIDENTIAL - Per Section 705(d) of the Defense Production Act

Sheet 3: General Instructions
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General Instructions
A. Your organization is required to complete this survey of the U.S. vanadium industry, which can be downloaded from the BIS website: http://www.bis.doc.gov/XXX

If you are unable to download the survey document, at your request, BIS survey support staff will e-mail the Excel survey template directly to you.

For your convenience, a PDF version of the survey and required drop-down content is available on the BIS website to aid internal data collection. DO NOT SUBMIT the PDF version of the survey as your response to BIS. Should this occur, your organization will be required to resubmit the survey in the requested Excel format.
B. Respond to every question. Surveys that are not fully completed will be returned for completion. Use the comment boxes to provide any information to supplement responses provided in the survey form. Make sure to record a complete answer in the space provided, even if the space does not appear to expand to fit all of the information.

DO NOT CUT AND PASTE RESPONSES WITHIN THIS SURVEY OR PASTE IN RESPONSES FROM OUTSIDE THE SURVEY. Survey inputs should be completed by typing in responses or by using a drop-down menu. The use of cut and paste can corrupt the survey template. If your survey response is corrupted as a result of cut and paste response, your survey will be rejected and your organization must immediately resubmit the survey.
C. Do not disclose any USG classified information in this survey form.
D. Upon completion of the survey, final review, and certification, transmit the survey document via e-mail to: [email protected]
E. Questions related to the survey should be directed to BIS survey support staff at [email protected]

E-mail is the preferred method of contact.

You may speak with a member of the BIS survey support staff by calling (202) 482-5481.
F. For questions related to the overall scope of this Section 232 Investigation, contact [email protected] or:

Jason D. Bolton
Program Manager, Industrial Studies
BIS/Export Administration/Office of Technology Evaluation
1401 Constitution Avenue, NW, Room 1093
Washington, DC 20230

DO NOT submit completed surveys to Mr. Bolton's postal or personal e-mail address. All surveys must be submitted electronically to: [email protected]
BUSINESS CONFIDENTIAL - Per Section 705(d) of the Defense Production Act

Sheet 4: Definitions
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Definitions
Term Definition
Authorizing Official An executive officer of the organization or business unit or another individual who has the authority to execute this survey on behalf of the organization.
Capital Expenditures Investments made by an organization in buildings, equipment, property, and systems where the expense is depreciated. This does not include expenditures for consumable materials, other operating expenses, and salaries associated with normal business operations.
Tipping/Recycling Fees Fees collected for the recycling of waste products.
Conversion The process of converting one form of vanadium, typically vanadium pentoxide, into another form of vanadium, typically ferrovanadium.
Vanadium Master Alloys Master alloys produced from high purity vanadium pentoxide, including Aluminum-Vanadium master alloys (containing 35% aluminum and 64.5% vanadium).
High Purity Vanadium Pentoxide Vanadium Pentoxide with vanadium content of 99% percent or more vanadium content.
Primary/By-Product Production The process of producing vanadium products from mining operations or in conjunction with mining operations for other minerals.
Secondary Production The process of transforming waste materials (spent catalyst, slag, ash, residues, etc.) into vanadium products, including vanadium pentoxide, ferrovanadium, vanadium metals, and metal alloys that contain vanadium.
Co-Production The process of extracting vanadium from titaniferous magnetite ores during steel production.
Distributor An independent selling agent who has a contract to sell the products of a manufacturer.
Customer Any organization (external or internal entity) for which your organization manufactures/processes any product comprised of, or containing, steel in any form.
Customer Any organization (external or internal entity) for which your organization manufactures/processes any product comprised of, or containing, steel in any form.
Defense-related Activities Any product or service that your organization produces that is ultimately used by the U.S. Government for defense purposes, whether by the armed services, the Department of Defense, or any other U.S. Government entity.
Development The design, simulation, and testing of a prototype, including experimental software or hardware systems, to validate technological feasibility or concept of operation in order to reduce technological risk, or provide test systems prior to production approval.
Exports Shipments to destinations outside the United States.
Facility A building or the minimum complex of buildings or parts of buildings that conduct steel production, in which an organization operates to serve a particular function, producing revenue, and incurring costs for the company. A facility may produce an item of tangible or intangible property or may perform a service. It may encompass a floor or group of floors within a building, a single building, or a group of buildings or structures. Often, a facility is a group of related locations at which organization employees work, together constituting a profit-and-loss center for the company, and it may be identified by a unique DUNS number.
Full Time Equivalent (FTE) Employees Employees who work for 40 hours in a normal work week. Convert part-time employees into "full time equivalents" by taking their work hours as a fraction of 40 hours.
Global Headquarters A location that serves as the organization’s hub of worldwide operations with all global branches or divisions reporting to it.
Harmonized Tariff Schedule (HTS) A 10-digit numbering system that classifies a good based on its name, use, and/or the material used in its construction. The number provides Customs and Border Protection (CBP) with a standardized method of tracking all merchandise imported into the United States and sets out the tariff rates and statistical categories.
Import Value Values reported should be landed, duty-paid values at the U.S. port of entry, including ocean freight and insurance costs, brokerage charges, and import duties (i.e., all charges except inland freight in the United States).
Inventory The goods or materials an organization holds for its own use or for the ultimate goal of sale.
Non-U.S. Facility A facility that is physically located outside of the United States.
Organization A company, firm, laboratory, or other entity that owns or controls one or more U.S. establishment or facility capable of designing and/or manufacturing steel products.
Product/Process Development Conceptualization and development of steel product or steel production techniques prior to the production of the product for customers (i.e., utilities, governmental agencies etc.).
Production The process of transforming inputs (raw materials, semi-finished goods, subassemblies, ideas, information, knowledge) into goods or services.
Research & Development Basic and applied research in the engineering sciences, as well as design and development of prototype products and processes.  Efforts that an organization conducts towards innovating, introducing and/or improving products and processes.
Sales All reported and unreported sales of steel, including sales to end-users, producers, financial entities, intermediaries, traders, distributors, et al.
Supplier An entity from which your organization obtains inputs, which may be goods or services. A supplier may be another organization with which you have a contractual relationship, or it may be another facility owned by the same parent organization.
United States The "United States" or "U.S." includes the 50 states, Puerto Rico, the District of Columbia, Guam, the Trust Territories, and the U.S. Virgin Islands.
BUSINESS CONFIDENTIAL - Per Section 705(d) of the Defense Production Act

Sheet 5: 1
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1. Organization Information
A. Provide the following information for your organization
Organization Name
Street Address
City
State
ZIP Code
Country of Global Headquarters
U.S. Point of Contact Name
U.S. Point of Contact Email
U.S. Point of Contact Phone
B. Is this organization owned, in whole or in part, by any private or government entity? Indicate Yes/No, then identify the entities below, if applicable. List entities with at least 5% ownership.
Entity Name Global Headquarters Street Address Global Headquarters City Global Headquarters State/Province Global Headquarters Country Ownership %




































C. Identify the subject products that your organization currently uses/sources and sells/provides
Subject Products Uses/Sources Sells/Provides HTSUS Code Used for Import/Export
Vanadium Ores and Concentrates Import Only Export Only
Vanadates Source Domestically Only Sell Domestically Only
Vanadium Carbides Import and Source Domestically Export and Sell Domestically
Vanadium Sulfates Not Applicable Not Applicable
Vanadium Hydrides, Nitrides, Azides, Silicides, and Borides


Vanadium Pentoxide - Up to 99% Vanadium


High Purity Vanadium Pentoxide - 99%+ Vanadium




Other Vanadium Oxides and Hydroxides (Excluding Pentoxide)




Vanadium-Bearing Feedstocks (Ash, Residues, Spent Catalysts, Vanadium Slag, Etc.)


Ferrovanadium - 40-60% Vanadium


Ferrovanadium - 80%+ Vanadium




Vanadium Master Alloys


Vanadium, Wrought and Unwrought (Excluding Master Alloys)


Other (specify)


D. At the global headquarters level, identify the total number of facilities that your organization currently operates, including standby/idle facilities, inside and outside the U.S., that manufacture and/or distribute any of the subject products listed below.
Subject Products Number of U.S. Facilities Number of Non-U.S. Facilities
Vanadium Ores and Concentrates Manufacture Distribute Only Manufacture Distribute Only
Vanadates



Vanadium Carbides



Vanadium Sulfates



Vanadium Hydrides, Nitrides, Azides, Silicides, and Borides



Vanadium Pentoxide - Up to 99% Vanadium



High Purity Vanadium Pentoxide - 99%+ Vanadium





Other Vanadium Oxides and Hydroxides (Excluding Pentoxide)





Vanadium-Bearing Feedstocks (Ash, Residues, Spent Catalysts, Vanadium Slag, Etc.)





Ferrovanadium - 40-60% Vanadium



Ferrovanadium - 80%+ Vanadium



Vanadium Master Alloys



Vanadium, Wrought and Unwrought (Excluding Master Alloys)



Other (Specify)



Comments:
BUSINESS CONFIDENTIAL - Per Section 705(d) of the Defense Production Act

Sheet 6: 2
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2. Facility Information
First, indicate in the box to the right how many of your organization’s U.S. based facilities [including idle or on standby and facilities under construction] are involved in the importation, distribution, production, or exploration of vanadium products.
Facilities supporting multiple product categories should be counted just once for the total number but duplicated for each product category supported in the facility description

A. Then, in accordance with the header, describe each U.S facility [including idle or on standby] involved in the importation, distribution or production of vanadium products.
Remember to duplicate the facility in a dedicated row for each product category supported. In addition to standby or idle facilities, include any facilities shut down since 2015 and facilities under construction.
Facility Name City State Type of Facility Product Category Supported Current Operating Status Reconstitution from Standby/Idle/Shutdown Future Operating Status
Comments
Current Operating Status Start Date of Standby/Idle or Shutdown (MM/DD/YYYY) Primary Reason for Satndby/Idle or Shutdown Months to Reconstitute Estimated Cost to Reconstitute (Thousands USD) Primary Change in 2020-2023
1


Primary/By-Product Production Vanadium Ores and Concentrates Operating
Vanadium Price

Expansion
2


Secondary Production Vanadates Idle/Standby
Loss of Market Share to Imports

Upgrade
3


Co-Production Vanadium Carbides Under Construction
Loss of Market Share to Domestic Competition

Starting Operations
4


Conversion Services Vanadium Sulfates Shutdown
Declining Demand

Restarting Operations
5


Master Alloy Production Vanadium Hydrides, Sulfides, Nitrides, Silicides, and Borides

Low Profitability

Standby/Idle
6


Distribution Only Vanadium Pentoxide - Up to 99% Vanadium

Firm Restructuring

Significant Modernization
7


Other High Purity Vanadium Pentoxide - 99%+ Vanadium

COVID-19/Pandemic

Closure
8



Other Vanadium Oxides and Hydroxides (excluding Pentoxide)

Other

None
9



Vanadium-Bearing Feedstocks (Ash, Residues, Spent Catalysts, Slag, Etc.






10



Ferrovanadium - 40-60% Vanadium






11



Ferrovanadium - 80%+ Vanadium






12



Vanadium Master Alloys






13



Vanadium, Wrought and Unwrought (Excluding Master Alloys)






14



Other Vanadium-Related






15











16











17











18











19











20











B. 1 Briefly explain the scope of your organization's vanadium-related activities.

2 For each identified facility scheduled to incur a change in operating status in 2020-2023, describe the circumstances behind your decision.

3 For each identified idle/standby facility scheduled [or considering to schedule] for restart in 2020-2023, describe the circumstances behind your decision.

Comments:
BUSINESS CONFIDENTIAL - Per Section 705(d) of the Defense Production Act

Sheet 7: 3a
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3a. U.S. Production







Record the total annual quantity of each subject product your organization produced from 2015-2020 (YTD July). Then, document the current annual capacity, utilization rate, average marginal cost per kilogram/unit, and price V2O5 required to continue operations. Remember to confirm the units of measurement. If your organization toll produces any material, include the type and quantity produced here. If your organization is a tollee (i.e. provides material to a toller for conversion) , do not record this production below.







If you only distribute and do not manufacture any of the subject vanadium products, indicate so here and move to the next section.
Do not include data on subject products that your organization only distributes.







A.








Record data in Kg contained vanadium. If unable to record data in Kg contained vanadium, indicate unit used here













U.S. Production












2015 2016 2017 2018 2019 2020 (YTD July) Current Annual Capacity Capacity Utilization Rate Required to Remain Profitable Average Cost to Produce Per Kg Price V2O5 required to continue operations





Vanadium Ores and Concentrates

















Vanadates

















Vanadium Carbides

















Vanadium Sulfates

















Vanadium Hydrides, Nitrides, Azides, Silicides, and Borides

















Vanadium Pentoxide - Up to 99% Vanadium

















High Purity Vanadium Pentoxide - 99%+ Vanadium

















Other Vanadium Oxides and Hydroxides (Excluding Pentoxide)

















Vanadium-Bearing Feedstocks (Ash, Residues, Spent Catalysts, Slag, Etc.)

















Ferrovanadium - 40-60% Vanadium

















Ferrovanadium - 80%+ Vanadium

















Vanadium Master Alloys

















Vanadium, Wrought and Unwrought (Excluding Master Alloys)

















Comments:








BUSINESS CONFIDENTIAL - Per Section 705(d) of the Defense Production Act






























Sheet 8: 3b
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3b. U.S. Sales and Exports



For your organization’s U.S. operations, answer the followingn questions about revenues, sales, and exports. Record Sales $ in Thousands USD, e.g. $12,000.00 = survey input of $12. Average sales price per unit should not be in thousands USD. If your organization is a toll producer, do not include sales of vanadium materials below; if your organization is a tollee, record any vanadium sales below.




For your organization's U.S. operations, by subject product category, record both your U.S. sales and exports (shipments from the U.S. to destinations outside the U.S.) from 2015-2020 (YTD July). Distributors must complete this section.



A. Vanadium Ores and Concentrates



Select 'Not Applicable' if category is not relevant to your operations









Record data in Kg contained vanadium. If unable to record data in Kg contained vanadium, indicate unit used here









U.S. and Export Sales 2015 2016 2017 2018 2019 2020 (YTD July)



U.S. Sales (Kg)









U.S. Sales (Thousands USD)









Average U.S. Sales Price per Kg ($)









Export Sales (Kg)









Export Sales (Thousands USD)









Average Export Sales Price per Kg ($)









Percentage of Total 2019 Sales Attributable to Product






B. Vanadates



Select 'Not Applicable' if category is not relevant to your operations









Record data in Kg contained vanadium. If unable to record data in Kg contained vanadium, indicate unit used here









U.S. and Export Sales 2015 2016 2017 2018 2019 2020 (YTD July)



U.S. Sales (Kg)









U.S. Sales (Thousands USD)









Average U.S. Sales Price per Kg ($)









Export Sales (Kg)









Export Sales (Thousands USD)









Average Export Sales Price per Kg ($)









Percentage of Total 2019 Sales Attributable to Product






C. Vanadium Carbides



Select 'Not Applicable' if category is not relevant to your operations









Record data in Kg contained vanadium. If unable to record data in Kg contained vanadium, indicate unit used here









U.S. and Export Sales 2015 2016 2017 2018 2019 2020 (YTD July)



U.S. Sales (Kg)









U.S. Sales (Thousands USD)









Average U.S. Sales Price per Unit ($)









Export Sales (Kg)









Export Sales (Thousands USD)









Average Export Sales Price per Unit ($)









Percentage of Total 2019 Sales Attributable to Product






D. Vanadium Sulfates



Select 'Not Applicable' if category is not relevant to your operations









Record data in Kg contained vanadium. If unable to record data in Kg contained vanadium, indicate unit used here









U.S. and Export Sales 2015 2016 2017 2018 2019 2020 (YTD July)



U.S. Sales (Kg)









U.S. Sales (Thousands USD)









Average U.S. Sales Price per Unit ($)









Export Sales (Kg)









Export Sales (Thousands USD)









Average Export Sales Price per Unit ($)









Percentage of Total 2019 Sales Attributable to Product






E. Vanadium Hydrides, Nitrides, Azides, Silicides, and Borides



Select 'Not Applicable' if category is not relevant to your operations









Record data in Kg contained vanadium. If unable to record data in Kg contained vanadium, indicate unit used here









U.S. and Export Sales 2015 2016 2017 2018 2019 2020 (YTD July)



U.S. Sales (Kg)









U.S. Sales (Thousands USD)









Average U.S. Sales Price per Unit ($)









Export Sales (Kg)









Export Sales (Thousands USD)









Average Export Sales Price per Unit ($)









Percentage of Total 2019 Sales Attributable to Product






F. Vanadium Pentoxide - Up to 99% Vanadium



Select 'Not Applicable' if category is not relevant to your operations









Record data in Kg contained vanadium. If unable to record data in Kg contained vanadium, indicate unit used here









U.S. and Export Sales 2015 2016 2017 2018 2019 2020 (YTD July)



U.S. Sales (Kg)









U.S. Sales (Thousands USD)









Average U.S. Sales Price per Unit ($)









Export Sales (Kg)









Export Sales (Thousands USD)









Average Export Sales Price per Unit ($)









Percentage of Total 2019 Sales Attributable to Product






G. High Purity Vanadium Pentoxide - 99%+ Vanadium



Select 'Not Applicable' if category is not relevant to your operations









Record data in Kg contained vanadium. If unable to record data in Kg contained vanadium, indicate unit used here









U.S. and Export Sales 2015 2016 2017 2018 2019 2020 (YTD July)



U.S. Sales (Kg)









U.S. Sales (Thousands USD)









Average U.S. Sales Price per Unit ($)









Export Sales (Kg)









Export Sales (Thousands USD)









Average Export Sales Price per Unit ($)









Percentage of Total 2019 Sales Attributable to Product






H. Other Vanadium Oxides and Hydroxides (Excluding Pentoxide)



Select 'Not Applicable' if category is not relevant to your operations









Record data in Kg contained vanadium. If unable to record data in Kg contained vanadium, indicate unit used here









U.S. and Export Sales 2015 2016 2017 2018 2019 2020 (YTD July)



U.S. Sales (Kg)









U.S. Sales (Thousands USD)









Average U.S. Sales Price per Unit ($)









Export Sales (Kg)









Export Sales (Thousands USD)









Average Export Sales Price per Unit ($)









Percentage of Total 2019 Sales Attributable to Product






I. Vanadium Bearing Feedstocks (Ash, Residue, Spent Catalysts, Slag, Etc.)



Select 'Not Applicable' if category is not relevant to your operations









Record data in Kg contained vanadium. If unable to record data in Kg contained vanadium, indicate unit used here









U.S. and Export Sales 2015 2016 2017 2018 2019 2020 (YTD July)



U.S. Sales (Kg)









U.S. Sales (Thousands USD)









Average U.S. Sales Price per Unit ($)









Export Sales (Kg)









Export Sales (Thousands USD)









Average Export Sales Price per Unit ($)









Percentage of Total 2019 Sales Attributable to Product






J. Ferrovanadium - 40-60% Vanadium



Select 'Not Applicable' if category is not relevant to your operations









Record data in Kg contained vanadium. If unable to record data in Kg contained vanadium, indicate unit used here









U.S. and Export Sales 2015 2016 2017 2018 2019 2020 (YTD July)



U.S. Sales (Kg)









U.S. Sales (Thousands USD)









Average U.S. Sales Price per Unit ($)









Export Sales (Kg)









Export Sales (Thousands USD)









Average Export Sales Price per Unit ($)









Percentage of Total 2019 Sales Attributable to Product






H. Ferrovanadium - 80%+ Vanadium



Select 'Not Applicable' if category is not relevant to your operations









Record data in Kg contained vanadium. If unable to record data in Kg contained vanadium, indicate unit used here









U.S. and Export Sales 2015 2016 2017 2018 2019 2020 (YTD July)



U.S. Sales (Kg)









U.S. Sales (Thousands USD)









Average U.S. Sales Price per Unit ($)









Export Sales (Kg)









Export Sales (Thousands USD)









Average Export Sales Price per Unit ($)









Percentage of Total 2019 Sales Attributable to Product






I. Vanadium Master Alloys



Select 'Not Applicable' if category is not relevant to your operations









Record data in Kg contained vanadium. If unable to record data in Kg contained vanadium, indicate unit used here









U.S. and Export Sales 2015 2016 2017 2018 2019 2020 (YTD July)



U.S. Sales (Kg)









U.S. Sales (Thousands USD)









Average U.S. Sales Price per Unit ($)









Export Sales (Kg)









Export Sales (Thousands USD)









Average Export Sales Price per Unit ($)









Percentage of Total 2019 Sales Attributable to Product






J. Vanadium, Wrought and Unwrought (Excluding Master Alloys)



Select 'Not Applicable' if category is not relevant to your operations









Record data in Kg contained vanadium. If unable to record data in Kg contained vanadium, indicate unit used here









U.S. and Export Sales 2015 2016 2017 2018 2019 2020 (YTD July)



U.S. Sales (Kg)









U.S. Sales (Thousands USD)









Average U.S. Sales Price per Unit ($)









Export Sales (Kg)









Export Sales (Thousands USD)









Average Export Sales Price per Unit ($)









Percentage of Total 2019 Sales Attributable to Product






Comments:












BUSINESS CONFIDENTIAL - Per Section 705(d) of the Defense Production Act





























Sheet 9: 3c

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3c. Production Feedstock, End Uses, Substitutes, and Supply Disruptions

Answer the following questions related to your organization's manufacturing inputs and market end uses.

A. Answer the following questions regarding your organization's vanadium production end uses and potential substitutes for vanadium end uses.

Vanadium End Use Percent of 2019 Production Attributable to End Use Average Percent Cost of Vanadium Attributable to End Product Total Cost Average Percent Vanadium Content Attributable to End Product Primary Vanadium Product/Grade Needed for End Use Substitutes Available for Vanadium Usage? Indicate Primary Substitute, if relevant Comments

1 Steel - High Strength Low Alloy







2 Steel - Full Alloy







3 Steel - Carbon







4 Steel - Other







5 Vanadium-Redox Flow Battery







6 Aerospace (Master Alloys)







7 Chemical







8 Other - Specify







Indicate the subject vanadium products and specific grades for which your organization has capabilites. Select "Distribute Only" if your organization does not produce vanadium products and only distributes them, and proceed to Section 4.





Subject Product Capability Current Capability Indicate any other products your organization could produce with little to no capital investment and/or changes in processes Explain

B. 1
Yes


2
No


3
Idle Capability


4




5




6




7




8




Indicate whether your organization uses vanadium or vanadium-bearing feedstock to produce and/or sell other vanadium products. (including Toll production and recycling).
If you indicated Yes, answer the following questions:



Subject Product Primary Feedstock Used to Produce Subject Product Primary Original Country
Source of Feedstock		 Primary Reason for Sourcing Impact on Operations if Unable to Import Feedstock Domestic Feedstock Sources Available? Supply Disruption or Shortage Experienced? Explain

C. 1 Vanadates Vanadium Ore and Concentrate
Financial Consideration Positive Significant Domestic Sources Ongoing

2 Vanadium Carbides Vanadium Slag
Technical Specification Negative Limited Domestic Sources Past

3 Vanadium Sulfates Ash
Relationship Neutral No Domestic Sources Future Expected

4 Vanadium Hydrides, Sulfides, Nitrides, Silicides, and Borides Residues
Delivery

None

5 Vanadium Pentoxide - Up to 99% Vanadium Spent Catalysts
Other




6 High Purity Vanadium Pentoxide - 99%+ Vanadium Vanadium Pentoxide - Up to 99% Vanadium






7 Other Vanadium Oxides and Hydroxides (Excluding Pentoxide) High Purity Vanadium Pentoxide - 99%+ Vanadium






8 Ferrovanadium - 40-60% Vanadium Vanadates






9 Ferrovanadium - 80%+ Vanadium Vanadium Carbides






10 Vanadium Master Alloys Vanadium Sulfates






11 Vanadium, Wrought and Unwrought (Excluding Master Alloys) Vanadium Hydrides, Nitrides, Silicides, and Borides







Have feedstock sourcing issues impacted your organization's ability to fulfill contracts for vanadium products?
Explain:

Comments:



BUSINESS CONFIDENTIAL - Per Section 705(d) of the Defense Production Act

Sheet 10: 3d
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3d. Secondary and Toll Production


Answer the following questions regarding your organization's rsecondary production/recycling or toll production operations.


Tipping Fees and Other Processing/Recycling Fees


1 If your organization accrues tipping fees due to recycling or processing any vanadium-bearing materials, complete this question for the years 2015-2020 (YTD July).


Select 'Not Applicable' if your organization does not recycle/process vanadium-bearing materials, and continue to question 2.





2015 2016 2017 2018 2019 2020 (YTD July)


Average Tipping/Recycling Fee Charged per Customer








Total Tipping/Recycling Fees Accrued








Net Tipping/Recycling Fees Accrued (Less Metals Credits)








Total Facility Operating Costs








Percent of Total Revenues Attributable to Tipping Fees








Percent of Total Revenues Attributable to Vanadium Product Sales








Average Vanadium Price Needed for Metals Credit to go to Refinery (specify vanadium type)








Average Percent of Sales Price Lost to Metals Credit/Refinery









Do vanadium prices impact your organization's decision to perform recycling/processing operations?
Explain:



Does your organization's profitability depend on vanadium prices being above a certain level?
Explain:



Comments:



Toll Production - Toller


2 Answer the following questions related to your organization's toll production operations. Then, list your top ten customers (in descending order by volume) for 2019, the average percent revenue attributable to each, the quantity produced for each, and the primary country of feedstock origin for material supplied by each customer.


Select 'Not Applicable' if your organization does not operate as a toll producer, and continue to question 3.




Record data in Kg contained vanadium. If unable to record data in Kg contained vanadium, indicate unit used here





2015 2016 2017 2018 2019 2020 (YTD July)


Total Tolling Fees Accrued








Total Raw Material Supplied (Specify Type)








Total Raw Material Supplied (Specify Type)








Total Quantity Produced (Specify Type)








Total Quantity Produced (Specify Type)








Customer Name Percent Revenue Attributable to Customer Total Quantity Produced - 2019 Primary Country of Feedstock Origin Comments


















































































Comments:



Toll Production - Tollee


3 Answer the following questions related to your organization's U.S. tollee operations. Then, list the top three toll organization's used to convert material in 2019, and the total percent quantity attributable to each organization.


Select 'Not Applicable' if your organization does not operate as a tollee firm, and continue to the next section.




Record data in Kg contained vanadium. If unable to record data in Kg contained vanadium, indicate unit used here





2015 2016 2017 2018 2019 2020 (YTD July)


Total Conversion/Tolling Fees Paid








Total Raw Material Supplied to Toller (Kg) (Specify Type)








Total Raw Material Supplied to Toller (Kg) (Specify Type)








Total Material Available for Sale (Returned by Toller) (Specify Type)








Total Material Available for Sale (Returned by Toller) (Specify Type)








Toller Name Percent Tolled Attributable to Toller


















Comments:



Comments:









BUSINESS CONFIDENTIAL - Per Section 705(d) of the Defense Production Act


























Sheet 11: 4

Previous Page







Next Page

4. Suppliers/Imports

For each product category involving purchases by your organization from 2015-2019, including both U.S. and import purchases, record all header criteria describing said procurements. If your organization operates conversion services/toll produces vanadium material, do not include material supplied by customers for conversion here. Record $ in Thousands USD, e.g. $12,000.00 = survey input of $12

Vanadium Ores and Concentrates
#REF! A. Identify your total number of suppliers for this product category. If none, input 0.








Record data in Kg contained vanadium. If unable to provide in Kg contained vanadium, indicate unit used here:







Record your total purchases for this product category by volume and value for each applicable year. 2015 2016 2017 2018 2019 2020 (YTD July)

Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000)


















Percentage of Purchases that are Imported







Supplier Name (in descending order by period volume) Country of Fabrication Country of Feedstock Origin Common Ownership With Your Organization? Primary Source of Disruption Experienced, If Applicable Single/Sole Source? Primary End-Use Top Factor Influencing Purchase from Supplier 2015 2016 2017 2018 2019 2020 (YTD July)

Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000)

1


Yes Customs/Port Issue Single Source Steel - High Strength Low Alloy Financial Consideration












2


No Disease/Quarantine Sole Source Steel - Full Alloy Technical Specification












3



Labor Disruption Neither Steel - Carbon Relationship












4



Natural Disaster
Steel - Other Delivery












5



Supplier Ended Production
Vanadium-Redox Flow Battery Other












6



Supplier Production Delays
Aerospace (Master Alloys)













7



Supplier Went Out of Business
Chemical













8



Trade Dispute/Tariffs
Other













9



Transportation Issue
















10



Other
















Vanadates

B. Identify your total number of suppliers for this product category. If none, input 0.








Record data in Kg contained vanadium. If unable to provide in Kg contained vanadium, indicate unit used here:








Record your total purchases for this product category by volume and value for each applicable year. 2015 2016 2017 2018 2019 2020 (YTD July)

Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000)



















Percentage of Purchases that are Imported








Supplier Name (in descending order by period volume) Country of Fabrication Country of Feedstock Origin Common Ownership With Your Organization? Primary Source of Disruption Experienced, If Applicable Single/Sole Source? Primary End-Use Top Factor Influencing Purchase from Supplier 2015 2016 2017 2018 2019 2020 (YTD July)

Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000)

1





















2





















3





















4





















5





















6





















7





















8





















9





















10





















Vanadium Carbides

C. Identify your total number of suppliers for this product category. If none, input 0.








Record data in Kg contained vanadium. If unable to provide in Kg contained vanadium, indicate unit used here:








Record your total purchases for this product category by volume and value for each applicable year. 2015 2016 2017 2018 2019 2020 (YTD July)

Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000)



















Percentage of Purchases that are Imported








Supplier Name (in descending order by period volume) Country of Fabrication Country of Feedstock Origin Common Ownership With Your Organization? Primary Source of Disruption Experienced, If Applicable Single/Sole Source? Primary End-Use Top Factor Influencing Purchase from Supplier 2015 2016 2017 2018 2019 2020 (YTD July)

Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000)

1





















2





















3





















4





















5





















6





















7





















8





















9





















10





















Vanadium Sulfates

D. Identify your total number of suppliers for this product category. If none, input 0.








Record data in Kg contained vanadium. If unable to provide in Kg contained vanadium, indicate unit used here:








Record your total purchases for this product category by volume and value for each applicable year. 2015 2016 2017 2018 2019 2020 (YTD July)

Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000)



















Percentage of Purchases that are Imported








Supplier Name (in descending order by period volume) Country of Fabrication Country of Feedstock Origin Common Ownership With Your Organization? Primary Source of Disruption Experienced, If Applicable Single/Sole Source? Primary End-Use Top Factor Influencing Purchase from Supplier 2015 2016 2017 2018 2019 2020 (YTD July)

Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000)

1





















2





















3





















4





















5





















6





















7





















8





















9





















10





















Vanadium Hydrides, Nitrides, Azides, Silicides, and Borides

E. Identify your total number of suppliers for this product category. If none, input 0.








Record data in Kg contained vanadium. If unable to provide in Kg contained vanadium, indicate unit used here:








Record your total purchases for this product category by volume and value for each applicable year. 2015 2016 2017 2018 2019 2020 (YTD July)

Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000)



















Percentage of Purchases that are Imported








Supplier Name (in descending order by period volume) Country of Fabrication Country of Feedstock Origin Common Ownership With Your Organization? Primary Source of Disruption Experienced, If Applicable Single/Sole Source? Primary End-Use Top Factor Influencing Purchase from Supplier 2015 2016 2017 2018 2019 2020 (YTD July)

Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000)

1





















2





















3





















4





















5





















6





















7





















8





















9





















10





















Vanadium Pentoxide - Up to 99% Vanadium

F. Identify your total number of suppliers for this product category. If none, input 0.








Record data in Kg contained vanadium. If unable to provide in Kg contained vanadium, indicate unit used here:








Record your total purchases for this product category by volume and value for each applicable year. 2015 2016 2017 2018 2019 2020 (YTD July)

Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000)



















Percentage of Purchases that are Imported








Supplier Name (in descending order by period volume) Country of Fabrication Country of Feedstock Origin Common Ownership With Your Organization? Primary Source of Disruption Experienced, If Applicable Single/Sole Source? Primary End-Use Top Factor Influencing Purchase from Supplier 2015 2016 2017 2018 2019 2020 (YTD July)

Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000)

1





















2





















3





















4





















5





















6





















7





















8





















9





















10





















High Purity Vanadium Pentoxide - 99%+ Vanadium

G. Identify your total number of suppliers for this product category. If none, input 0.








Record data in Kg contained vanadium. If unable to provide in Kg contained vanadium, indicate unit used here:








Record your total purchases for this product category by volume and value for each applicable year. 2015 2016 2017 2018 2019 2020 (YTD July)

Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000)



















Percentage of Purchases that are Imported








Supplier Name (in descending order by period volume) Country of Fabrication Country of Feedstock Origin Common Ownership With Your Organization? Primary Source of Disruption Experienced, If Applicable Single/Sole Source? Primary End-Use Top Factor Influencing Purchase from Supplier 2015 2016 2017 2018 2019 2020 (YTD July)

Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000)

1





















2





















3





















4





















5





















6





















7





















8





















9





















10





















Other Vanadium Oxides and Hydroxides (Excluding Pentoxide)

H. Identify your total number of suppliers for this product category. If none, input 0.








Record data in Kg contained vanadium. If unable to provide in Kg contained vanadium, indicate unit used here:








Record your total purchases for this product category by volume and value for each applicable year. 2015 2016 2017 2018 2019 2020 (YTD July)

Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000)



















Percentage of Purchases that are Imported








Supplier Name (in descending order by period volume) Country of Fabrication Country of Feedstock Origin Common Ownership With Your Organization? Primary Source of Disruption Experienced, If Applicable Single/Sole Source? Primary End-Use Top Factor Influencing Purchase from Supplier 2015 2016 2017 2018 2019 2020 (YTD July)

Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000)

1





















2





















3





















4





















5





















6





















7





















8





















9





















10





















Vanadium-Bearing Feedstocks (Ash, Residues, Spent Catalysts, Slag, Etc.)

I. Identify your total number of suppliers for this product category. If none, input 0.








Record data in Kg contained vanadium. If unable to provide in Kg contained vanadium, indicate unit used here:








Record your total purchases for this product category by volume and value for each applicable year. 2015 2016 2017 2018 2019 2020 (YTD July)

Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000)



















Percentage of Purchases that are Imported








Supplier Name (in descending order by period volume) Country of Fabrication Country of Feedstock Origin Common Ownership With Your Organization? Primary Source of Disruption Experienced, If Applicable Single/Sole Source? Primary End-Use Top Factor Influencing Purchase from Supplier 2015 2016 2017 2018 2019 2020 (YTD July)

Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000)

1





















2





















3





















4





















5





















6





















7





















8





















9





















10





















Ferrovanadium - 40-60% Vanadium

J. Identify your total number of suppliers for this product category. If none, input 0.








Record data in Kg contained vanadium. If unable to provide in Kg contained vanadium, indicate unit used here:








Record your total purchases for this product category by volume and value for each applicable year. 2015 2016 2017 2018 2019 2020 (YTD July)

Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000)



















Percentage of Purchases that are Imported








Supplier Name (in descending order by period volume) Country of Fabrication Country of Feedstock Origin Common Ownership With Your Organization? Primary Source of Disruption Experienced, If Applicable Single/Sole Source? Primary End-Use Top Factor Influencing Purchase from Supplier 2015 2016 2017 2018 2019 2020 (YTD July)

Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000)

1





















2





















3





















4





















5





















6





















7





















8





















9





















10





















Ferrovanadium - 80%+ Vanadium

K. Identify your total number of suppliers for this product category. If none, input 0.








Record data in Kg contained vanadium. If unable to provide in Kg contained vanadium, indicate unit used here:








Record your total purchases for this product category by volume and value for each applicable year. 2015 2016 2017 2018 2019 2020 (YTD July)

Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000)



















Percentage of Purchases that are Imported








Supplier Name (in descending order by period volume) Country of Fabrication Country of Feedstock Origin Common Ownership With Your Organization? Primary Source of Disruption Experienced, If Applicable Single/Sole Source? Primary End-Use Top Factor Influencing Purchase from Supplier 2015 2016 2017 2018 2019 2020 (YTD July)

Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000)

1





















2





















3





















4





















5





















6





















7





















8





















9





















10





















Vanadium Master Alloys

L. Identify your total number of suppliers for this product category. If none, input 0.








Record data in Kg contained vanadium. If unable to provide in Kg contained vanadium, indicate unit used here:








Record your total purchases for this product category by volume and value for each applicable year. 2015 2016 2017 2018 2019 2020 (YTD July)

Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000)



















Percentage of Purchases that are Imported








Supplier Name (in descending order by period volume) Country of Fabrication Country of Feedstock Origin Common Ownership With Your Organization? Primary Source of Disruption Experienced, If Applicable Single/Sole Source? Primary End-Use Top Factor Influencing Purchase from Supplier 2015 2016 2017 2018 2019 2020 (YTD July)

Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000)

1





















2





















3





















4





















5





















6





















7





















8





















9





















10





















Vanadium, Wrought and Unwrought (Excluding Master Alloys)

M. Identify your total number of suppliers for this product category. If none, input 0.








Record data in Kg contained vanadium. If unable to provide in Kg contained vanadium, indicate unit used here:








Record your total purchases for this product category by volume and value for each applicable year. 2015 2016 2017 2018 2019 2020 (YTD July)

Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000)



















Percentage of Purchases that are Imported








Supplier Name (in descending order by period volume) Country of Fabrication Country of Feedstock Origin Common Ownership With Your Organization? Primary Source of Disruption Experienced, If Applicable Single/Sole Source? Primary End-Use Top Factor Influencing Purchase from Supplier 2015 2016 2017 2018 2019 2020 (YTD July)

Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000)

1





















2





















3





















4





















5





















6





















7





















8





















9





















10





















Comments:






BUSINESS CONFIDENTIAL - Per Section 705(d) of the Defense Production Act

Sheet 12: 5

Previous Page
Next Page






5. Customers/Exports






For each product category involving shipments by your organization from 2015-2019, including U.S. internal and U.S. export shipment but excluding shipments from non-U.S. locations, record all header criteria describing the shipments.
Record $ in Thousands USD, e.g. $12,000.00 = survey input of $12






Vanadium Ores and Concentrates





#REF! A. Identify your total number of current customers for this product category. If none, input 0.









Record data in Kg contained vanadium. If unable to provide data in Kg contained vanadium, indicate unit used here:







Customer Name (in descending order by period volume) Country Destination Common Ownership With Your Organization? Primary End Use of Product Industry/Sector Represented by Customer (NAICS) 2015 2016 2017 2018 2019 2020 (YTD July)






Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000)






1

Yes Steel - High Strength Low Alloy



















2

No Steel - Full Alloy



















3


Steel - Carbon



















4


Steel - Other



















5


Vanadium-Redox Flow Battery



















6


Aerospace (Master Alloys)



















7


Chemical



















8


Other



















9























10























Vanadates






B. Identify your total number of customers for this product category. If none, input 0.









Record data in Kg contained vanadium. If unable to provide data in Kg contained vanadium, indicate unit used here:







Customer Name (in descending order by period volume) Country Destination Common Ownership With Your Organization? Primary End Use of Product Industry/Sector Represented by Customer (NAICS) 2015 2016 2017 2018 2019 2020 (YTD July)






Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000)






1























2























3























4























5























6























7























8























9























10























Vanadium Carbides






C. Identify your total number of customers for this product category. If none, input 0.









Record data in Kg contained vanadium. If unable to provide data in Kg contained vanadium, indicate unit used here:







Customer Name (in descending order by period volume) Country Destination Common Ownership With Your Organization? Primary End Use of Product Industry/Sector Represented by Customer (NAICS) 2015 2016 2017 2018 2019 2020 (YTD July)






Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000)






1























2























3























4























5























6























7























8























9























10























Vanadium Sulfates






D. Identify your total number of customers for this product category. If none, input 0.









Record data in Kg contained vanadium. If unable to provide data in Kg contained vanadium, indicate unit used here:







Customer Name (in descending order by period volume) Country Destination Common Ownership With Your Organization? Primary End Use of Product Industry/Sector Represented by Customer (NAICS) 2015 2016 2017 2018 2019 2020 (YTD July)






Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000)






1























2























3























4























5























6























7























8























9























10























Vanadium Hydrides, Nitrides, Azides, Silicides, and Borides






E. Identify your total number of customers for this product category. If none, input 0.









Record data in Kg contained vanadium. If unable to provide data in Kg contained vanadium, indicate unit used here:







Customer Name (in descending order by period volume) Country Destination Common Ownership With Your Organization? Primary End Use of Product Industry/Sector Represented by Customer (NAICS) 2015 2016 2017 2018 2019 2020 (YTD July)






Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000)






1























2























3























4























5























6























7























8























9























10























Vanadium Pentoxide - Up to 99% Vanadium






F. Identify your total number of customers for this product category. If none, input 0.









Record data in Kg contained vanadium. If unable to provide data in Kg contained vanadium, indicate unit used here:







Customer Name (in descending order by period volume) Country Destination Common Ownership With Your Organization? Primary End Use of Product Industry/Sector Represented by Customer (NAICS) 2015 2016 2017 2018 2019 2020 (YTD July)






Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000)






1























2























3























4























5























6























7























8























9























10























High Purity Vanadium Pentoxide - 99%+ Vanadium






G. Identify your total number of customers for this product category. If none, input 0.









Record data in Kg contained vanadium. If unable to provide data in Kg contained vanadium, indicate unit used here:







Customer Name (in descending order by period volume) Country Destination Common Ownership With Your Organization? Primary End Use of Product Industry/Sector Represented by Customer (NAICS) 2015 2016 2017 2018 2019 2020 (YTD July)






Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000)






1























2























3























4























5























6























7























8























9























10























Other Vanadium Oxides and Hydroxides (Excluding Pentoxide)






H. Identify your total number of customers for this product category. If none, input 0.









Record data in Kg contained vanadium. If unable to provide data in Kg contained vanadium, indicate unit used here:







Customer Name (in descending order by period volume) Country Destination Common Ownership With Your Organization? Primary End Use of Product Industry/Sector Represented by Customer (NAICS) 2015 2016 2017 2018 2019 2020 (YTD July)






Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000)






1























2























3























4























5























6























7























8























9























10























Vanadium-Bearing Feedstocks (Ash, Residues, Spent Catalysts, Slag, Etc.)






I. Identify your total number of customers for this product category. If none, input 0.









Record data in Kg contained vanadium. If unable to provide data in Kg contained vanadium, indicate unit used here:







Customer Name (in descending order by period volume) Country Destination Common Ownership With Your Organization? Primary End Use of Product Industry/Sector Represented by Customer (NAICS) 2015 2016 2017 2018 2019 2020 (YTD July)






Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000)






1























2























3























4























5























6























7























8























9























10























Ferrovanadium - 40-60% Vanadium






J. Identify your total number of customers for this product category. If none, input 0.









Record data in Kg contained vanadium. If unable to provide data in Kg contained vanadium, indicate unit used here:







Customer Name Country Destination Common Ownership With Your Organization? Primary End Use of Product Industry/Sector Represented by Customer (NAICS) 2015 2016 2017 2018 2019 2020 (YTD July)






Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000)






1























2























3























4























5























6























7























8























9























10























Ferrovanadium - 80%+ Vanadium






K. Identify your total number of customers for this product category. If none, input 0.









Record data in Kg contained vanadium. If unable to provide data in Kg contained vanadium, indicate unit used here:







Customer Name Country Destination Common Ownership With Your Organization? Primary End Use of Product Industry/Sector Represented by Customer (NAICS) 2015 2016 2017 2018 2019 2020 (YTD July)






Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000)






1























2























3























4























5























6























7























8























9























10























Vanadium Master Alloys






L. Identify your total number of customers for this product category. If none, input 0.









Record data in Kg contained vanadium. If unable to provide data in Kg contained vanadium, indicate unit used here:







Customer Name Country Destination Common Ownership With Your Organization? Primary End Use of Product Industry/Sector Represented by Customer (NAICS) 2015 2016 2017 2018 2019 2020 (YTD July)






Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000)






1























2























3























4























5























6























7























8























9























10























Vanadium, Wrought and Unwrought (Excluding Master Alloys)






M. Identify your total number of customers for this product category. If none, input 0.









Record data in Kg contained vanadium. If unable to provide data in Kg contained vanadium, indicate unit used here:







Customer Name Country Destination Common Ownership With Your Organization? Primary End Use of Product Industry/Sector Represented by Customer (NAICS) 2015 2016 2017 2018 2019 2020 (YTD July)






Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000) Volume Value ($000)






1























2























3























4























5























6























7























8























9























10























Comments:





















BUSINESS CONFIDENTIAL - Per Section 705(d) of the Defense Production Act





Sheet 13: 6
Previous Page




Next Page


6. Financials


Provide the following financial line items for your location for the last five years below.


Source of Income Statement Items:



Reporting Schedule:



Income Statement (Select Line Items)

Record $ in Thousands, e.g. $12,000.00 = survey input of $12





2015 2016 2017 2018 2019
Data Confirmation
A. Net Sales (and other revenue)





2019 Net Sales
1 Defense-Related Sales Percentage





None
2 Non-U.S. Sales Percentage







B. Cost of Sales / Cost of Goods Sold







C. Depreciation and Amortization








D. Total Operating Income (Loss)







E. Earnings Before Interest and Taxes







F. Net Income







Source of Balance Statement Items:



Reporting Schedule:



Balance Sheet (Select Line Items)

Record $ in Thousands, e.g. $12,000.00 = survey input of $12





2015 2016 2017 2018 2019


A. Cash







B. Inventories







C. Current Assets







D. Total Assets







E. Current Liabilities







F. Total Liabilities







G. Retained Earnings







H. Total Owner's Equity







Source of Other Items:



Reporting Schedule:



Other Select Items

Record $ in Thousands, e.g. $12,000.00 = survey input of $12





2015 2016 2017 2018 2019


A. Research & Development (R&D) Expenditure







1 National Security/Critical Infrastructure-Related R&D Percentage (see Definitions tab)







B. Capital Expenditure (CapEx)







1 National Security/Critical Infrastructure-Related CapEx Percentage (see Definitions tab)







C. Total Security Expenditures







1 Cybersecurity Expenditures Percentage







2 Physical Security Expenditures Percentage







Is your organization involved in any R&D work with the U.S. Department of Defense?
If yes, answer the following questions.



Program Name Contract Number



A.




B.




C.




Comment:














BUSINESS CONFIDENTIAL - Per Section 705(d) of the Defense Production Act


Sheet 14: 7
Previous Page




Next Page





7. Employment





Record the total number of full time equivalent (FTE) employees and contractors for the 2015 to 2019 period for U.S. facilities that produce subject products.





A
2015 2016 2017 2018 2019





FTE Employees










FTE Contractors










Production Line FTE Employees or Contractors










Identify the key workforce issues your organization has experienced or anticipates in the next five years.

Issue Primary Occupation Affected Timeframe Explain
B
Attracting Workers to Location Engineers Ongoing, Expected to Continue






Employee Turnover Information Technology Workers Past Only (Resolved)






Finding Experienced Workers Production Line workers Expected In Future

Finding Qualified Workers Scientists No or Not Applicable






Finding U.S. Citizens Testing Operators, QC, & Support Technicians







Significant Portion of Workforce Retiring Other







Other (specify) None







C For 2019, indicate the percentage of your organization's total operating costs represented by personnel-related expenditures







D Describe any significant changes in the recruitment, hiring and/or retension of human capital as a consequence of volatile vanadium prices.






E If you resumed operations at an idled or shutdown facility, do you reasonably anticipate being able to hire or rehire workers? Provide an estimate of how long it would take to restore requisite personnel levels in the Explain box.
Explain:






Comments:






BUSINESS CONFIDENTIAL - Per Section 705(d) of the Defense Production Act



















Sheet 15: 8

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8 National Defense Support

A Since 2015, has your organization directly or indirectly supplied any of the subject product categories for incorporation into U.S. defense systems or related installations? If no, proceed to the next tab. If yes, complete sections B, C and D.


B From the list of U.S. Government agencies below, select those whose systems you supported between 2015 and 2020 YTD.

U.S. Air Force Yes U.S. Coast Guard
Department of Energy (including National Labs)

U.S. Army No U.S. Intelligence Community (such as CIA, NGA, NRO, NSA)
Other (Identify Agency)

U.S. Marine Corps
Missile Defense Agency (MDA)
Other (Identify Agency)

U.S. Navy
Defense Logistics Agency
Other (Write-In)

C In accordance with the header criteria, indicate which product categories you directly or indirectly provide for U.S. defense systems, installations or known U.S. defense end uses.


Product Defense Support? Percentage of 2019 Sales Attributable to Defense Sales Primary DOD ACAT/MDAP Supported, if known* Comments

1 Vanadium Ores and Concentrates Direct



2 Vanadates Indirect



3 Vanadium Carbides Both



4 Vanadium Sulfates None



5 Vanadium Hydrides, Nitrides, Azides, Silicides, and Borides Unknown



6 Vanadium Pentoxide - Up to 99% Vanadium




7 High Purity Vanadium Pentoxide - 99%+ Vanadium




8 Other Vanadium Oxides and Hydroxides (Excluding Pentoxide)




9 Vanadium-Bearing Feedstocks (Ash, Residues, Spent Catalysts, Slag, Etc.)




10 Ferrovanadium - 40-60% Vanadium




11 Ferrovanadium - 80%+ Vanadium




12 Vanadium Master Alloys




13 Vanadium, Wrought and Unwrought (Excluding Master Alloys)




*U.S. Department of Defense Acquisition Category (ACAT) and Major Defense Acquisition Program (MDAP)

D.
DO Rated DX Rated

1 Since 2018, provide the number of priority rated contracts or orders under the Defense Priorities and Allocations System (DPAS) regulation (15 CFR part 700) that you has received by their level of priority (DO or DX).


2 Since 2018, provide the number of priority rated contracts or orders you have placed with other entities by their level of priority.


3 Since 2018, indicate which of your subject product categories has most frequently received a priority rated contract or order.


Comments:



BUSINESS CONFIDENTIAL - Per Section 705(d) of the Defense Production Act

Sheet 16: 9
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9. Critical Infrastructure
A Describe your organization’s support for each Critical Infrastructure Sector in accordance with the header criteria.
Definitions of each sector may be found at: https://www.dhs.gov/cisa/critical-infrastructure-sectorsectors
Critical Infrastructure Sector Sector Support Primary Product Support Primary Customer Associated with Sector/Product Support Explain
Chemical Sector Yes Vanadium Ores and Concentrates

Commercial Facilites Sector No Vanadates

Communications Sector
Vanadium Carbides

Critical Manufacturing Sector
Vanadium Sulfates

Dams Sector
Vanadium Hydrides, Sulfides, Nitrides, Silicides, and Borides

Defense Industrial Base Sector
Vanadium Pentoxide - Up to 99% Vanadium

Emergency Services Sector
High Purity Vanadium Pentoxide - 99%+ Vanadium

Energy Sector
Other Vanadium Oxides and Hydroxides (excluding Pentoxide)

Financial Services Sector
Vanadium-Bearing Feedstocks (Ash, Residues, Spent Catalysts, Slag, Etc.

Food and Agriculture Sector
Ferrovanadium - 40-60% Vanadium

Government and Facilities Sector
Ferrovanadium - 80%+ Vanadium

Healthcare and Public Health Sector
Vanadium Master Alloys

Information Technology Sector
Vanadium, Wrought and Unwrought (Excluding Master Alloys)

Nuclear Reactors, Materials, and Waste Sector
Other Vanadium-Related

Transportation Systems Sector



Waste and Wastewater Systems Sector



B. How have current market conditions involving the subject product categories affected your ability to meet current Critical Infrastructure Sector requirements?

C. Do you recommend any actions by the U.S. Government to better facilitate your ability to meet current Critical Infrastructure Sector requirements?

Comments:
BUSINESS CONFIDENTIAL - Per Section 705(d) of the Defense Production Act

Sheet 17: 10
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10. Competition and Trade
A. Since 2018, by subject product category and in accordance with the header criteria, has there been a significant change in import competition? Do not limit your organization’s response to the categories in which you operate if you also have visibility into other product category imports.
Product Category Change in Import Competition Primary Source Country of Import Competition Impact on Your Organization Explain
1 Vanadium Ores and Concentrates Increase
Positive
2 Vanadates Decrease
Negative
3 Vanadium Carbides No Change
Neutral
4 Vanadium Sulfates



5 Vanadium Hydrides, Nitrides, Azides, Silicides, and Borides



6 Vanadium Pentoxide - Up to 99% Vanadium



7 High Purity Vanadium Pentoxide - 99%+ Vanadium



8 Other Vanadium Oxides and Hydroxides (Excluding Pentoxide)



9 Vanadium-Bearing Feedstocks (Ash, Residues, Spent Catalysts, Slag, Etc.)



10 Ferrovanadium - 40-60% Vanadium



11 Ferrovanadium - 80%+ Vanadium



12 Vanadium Master Alloys



13 Vanadium, Wrought and Unwrought (Excluding Master Alloys)



B. Do you anticipate any impact on your business due to future imports of subject products into the United States from any country? Indicate your anticipated primary future source of import competition, the impact this competition will likely have on your organization, and explain.
Product Category Primary Future Source of Import Competition Primary Impact from Import Competition Explain
1 Vanadium Ores and Concentrates
Positive
2 Vanadates
Negative
3 Vanadium Carbides
Neutral
4 Vanadium Sulfates


5 Vanadium Hydrides, Nitrides, Azides, Silicides, and Borides


6 Vanadium Pentoxide - Up to 99% Vanadium


7 High Purity Vanadium Pentoxide - 99%+ Vanadium


8 Other Vanadium Oxides and Hydroxides (Excluding Pentoxide)


9 Vanadium-Bearing Feedstocks (Ash, Residues, Spent Catalysts, Slag, Etc.)


10 Ferrovanadium - 40-60% Vanadium


8 Ferrovanadium - 80%+ Vanadium


9 Vanadium Master Alloys


10 Vanadium, Wrought and Unwrought (Excluding Master Alloys)


C. Identify the primary challenges/issues affecting your competitive position in the overall [U.S. and non-U.S.] subject product markets. Rank the leading 5 most significant challenges (1 being the most important issue/impact; 2 being the next most important issue/impact, etc.). Explain your response.
Challenge/Issue Challenge Experienced? Rank Top 5 Explain
1 Aging equipment, facilities, or infrastructure Yes

2 Aging workforce No

3 Counterfeit parts


4 Cyber security


5 Domestic competition


6 Environmental regulations/remediation


7 Export controls/ITAR & EAR


8 Financing/credit availability


9 Foreign competition


10 Government acquisition process


11 Government purchasing volatility


12 Government regulatory burden


13 Healthcare


14 Industrial espionage - domestic


15 Industrial espionage - foreign


16 Input availability


17 Intellectual property/patent infringement


18 Labor availability/costs


19 Natural disasters (including disease/quarantine)


20 Obsolescence


21 Pension costs


22 Proximity to customers


23 Proximity to suppliers


24 Qualifications/certifications


25 Quality of inputs


26 R&D costs


27 Reduction in USG demand


28 Taxes


29 Trade disputes/tariffs


30 Worker/skills retention


31 Other (specify)


32 Other (specify)


D. Describe one of the five leading challenges/issues affecting your organization's competitive position in the marketplace for subject product categories. Then, describe in detail both how long and in what manner this leading challenge/issue has affected your competitive position in the marketplace.
Challenge/Issue How long and in what manner has this affected your competitive position in the market for subject products? Describe.
1 (specify)
2 How can the U.S. Government aid in the response to/mitigation of this challenge?
Comments:
BUSINESS CONFIDENTIAL - Per Section 705(d) of the Defense Production Act

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11. COVID-19 Impacts
A. Identify any impacts or actions resulting from the COVID-19 pandemic at your organization, ranking the three most significant impacts and three most important actions (1 being the most important impact/action; 2 being the next most important impact/action, etc.):
Impacts Experienced -Yes/No- Rank
Top 3		 Actions Taken Short Term/ Long Term Rank
Top 3
Increased cost of materials Yes
Reduce workforce Short Term
Inability to access work location No
Increase online/remote work capabilities Long Term
Inability to fulfill contracts

Seek government assistance Both
Reduced sales

Delay or reject new contracts

Foreign supplier manufacturing delays

Begin to produce pandemic-related products

Domestic supplier manufacturing delays

Increase use of domestic suppliers

Increased demand

Reduce use of suppliers located in China

Transportation-based disruptions

Reduce use of suppliers located outside the U.S. and China

Financing difficulties

Increase inventories

Labor shortages

Increase supplier redundancy

Other (specify)

Other (specify)

Other (specify)

Other (specify)

Identify any USG actions that could have better mitigated/prevented COVID-19 impacts to your organization:
Identify any USG actions that will limit future COVID-19-related impacts to your organization:
Comments:









BUSINESS CONFIDENTIAL - Per Section 705(d) of the Defense Production Act

Sheet 19: 12
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12. Certification
The undersigned certifies that the information herein supplied in response to this questionnaire is complete and correct to the best of his/her knowledge. It is a criminal offense to willfully make a false statement or representation to any department or agency of the United States Government as to any matter within its jurisdiction (18 U.S.C. 1001 (1984 & SUPP. 1197)).

Once your organization has completed this survey, save a copy and submit it via email to [email protected]. Be sure to retain your survey for your records and to facilitate any necessary edits or clarifications.



Organization Name
Organization's Internet Address
Name of Authorizing Official
Title of Authorizing Official
E-mail Address
Phone Number and Extension
Date Certified
In the box below, provide any additional comments or any other information you wish to include regarding this survey assessment.

How many hours did it take to complete this survey?
BUSINESS CONFIDENTIAL - Per Section 705(d) of the Defense Production Act
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