Exhibit 1.01
Conflict Minerals Report of A10 Networks, Inc.
in Accordance with Rule 13p-1 under the Securities Exchange Act of 1934
This Conflict Minerals Report of A10 Networks, Inc. (the “Company”, “us”, “our” or “we”) for calendar year 2017 is provided in accordance with Rule 13p-1 (“Rule 13p-1”) under the Securities Exchange Act of 1934 (the “1934 Act”), the instructions to Form SD, and the Public Statement on the Effect of the Recent Court of Appeals Decision on the Conflict Minerals Rule issued by the Director of the Division of Corporation Finance of the Securities and Exchange Commission on April 29, 2014 (the “SEC Statement”). The Company notes the Updated Statement on the Effect of the Court of Appeals Decision on the Conflict Minerals Rule issued by the SEC Division of Corporation Finance on April 7, 2017. Please refer to Rule 13p-1, Form SD and the 1934 Act Release No. 34-67716 for definitions to the terms used in this Report, unless otherwise defined herein.
This Report outlines the steps we undertook in accordance with Rule 13p-1, Form SD, and the SEC Statement in connection with the existence of Conflict Minerals in products we manufacture or contract to manufacture. Our diligence measures were designed to adhere, in all material respects, with the nationally recognized due diligence framework in the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas and the related Supplement on Tin, Tantalum and Tungsten and the Gold Supplement (Second Edition OECD 2013) (the “OECD Framework”).
Introduction
We are a provider of secure application solutions with intelligent management and automation. We are committed to securing customers’ applications across multi-cloud networks, which includes on-premise, private and public clouds and cloud-native deployments. Our portfolio of software and hardware solutions enables customers to secure their applications, users and infrastructure from internet, web and network threats at scale. We offer our customers solutions that enable enterprises, service providers, Web giants, gaming companies and government organizations to accelerate, secure and optimize the performance of their data center applications and networks. We currently offer a comprehensive portfolio of application delivery and security solutions. The portfolio features application delivery controllers (ADC) to optimize and secure network and application performance; a carrier-grade network address translation (CGN) solution that helps service providers preserve IPv4 address investments while transitioning to IPv6-based networks; Threat Protection System (TPS), the industry’s most powerful distributed-denial-of-service (DDoS) protection and mitigation solution; a SSL decryption solution for inspecting encrypted traffic (SSLi); and convergent firewall (CFW) appliances for protecting data centers, service provider networks and mobile infrastructures. We deliver these solutions via software, on optimized hardware appliances or as virtual appliances with our Thunder product line. For modern microservices and container-based environments, the A10 Lightning portfolio provides cloud-native application traffic management, security and analytics in public, private and hybrid clouds.
We outsource the manufacturing of our hardware products to original design manufacturers. These companies manufacture, assemble and test our hardware products using design specifications, quality assurance programs and standards that we establish. The component parts incorporated into our products are sourced either by our manufacturing partners or directly by us.
Our position in the supply chain is as a remote downstream purchaser and supplier, several levels removed from the actual mining of the Conflict Minerals. We do not directly make purchases of raw ore or unrefined Conflict Minerals from the Covered Countries and we do not directly source any products or components from the Covered Countries. In light of our remote position in the supply chain, we must rely upon our suppliers (and their multiple sub-suppliers and intermediaries) for information on and verification of the chain of custody of Conflict Minerals contained in our products.
Enumerated paragraphs set out below conform to the Instructions set forth in Item 1.01(c) of Form SD.
(1) Due Diligence
After conducting a “reasonable country of origin inquiry” (“RCOI”) in accordance with the instructions to Item 1.01 of Form SD (and as disclosed in our Report on Form SD for the year ended December 31, 2017), the Company was unable to conclude, without further diligence, that none of the Conflict Minerals in its products, that were not
sourced from recycled or scrap materials, did not originate in the Covered Countries.
(i) Conformity with OECD Framework. In accordance with Rule 13p-1, we designed our Conflict Mineral Compliance Program to conform, in all material respects, with the five-step process outlined in the OECD Framework. In addition, our diligence measures relied upon information and templates obtained from the Electronic Industry Citizenship Coalition and Global e-Sustainability (“EICC/GeSI”) Initiative with the smelters and refiners of Conflict Minerals. The five-step process identified within the OECD Framework includes: (1) establishing strong company management systems; (2) identifying and assessing supply chain risk; (3) designing and implementing a risk response strategy; (4) third party auditing of our due diligence practices; and (5) reporting annually on supply chain due diligence. This Conflict Minerals Report outlines the measures taken by us in accordance with the OECD Framework during the reporting period.
(1) Established Strong Company Management Systems
We established an interdepartmental committee (the “Committee”) to develop the Company’s assessment and compliance process, with oversight from senior management (including members of the Company’s Legal, Finance and Global Supply Chain departments).
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| • | Through the Committee, we identified and educated relevant internal departments or personnel affected, including in Sourcing, Legal and Compliance, Finance/Internal Audit, and Supplier Relations. |
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| • | We adopted a Supply Chain Policy (the “Policy”) relating to responsible sourcing. |
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| • | Through our Supplier Relations personnel, communicated with our suppliers and prospective suppliers via direct correspondence and telephone calls to inform them of (i) our Policy, and (ii) our intent to continue to work with them as reasonably practicable given our supply chain position and market leverage for increased understanding of the use of Conflict Minerals within our supply chain and to obtain wherever possible their commitment to facilitate our compliance with applicable law. |
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| • | Confirmed that purchase order terms and conditions should be conformed where practicable to the Policy, recognizing that many of our suppliers demand terms and conditions and use standard forms with respect to which we have no leverage or ability to alter. |
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| • | Established a process to evaluate the chain of custody of Conflict Minerals within our supply chain, including: |
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| ◦ | Analyzing our existing product offerings annually for scoping within the context of the Rule. |
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| ◦ | Developing an internal process to evaluate new products as developed to minimize the introduction of Conflict Minerals into our supply chain where possible. |
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| • | Implemented a feedback mechanism through the Company’s Supplier Relations team to work with suppliers. |
(2) Identified and Assessed Supply Chain Risk through Due Diligence
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| Step 1 | Our Supplier Relations team reviewed our product offerings to determine which suppliers provide the Company with manufactured or contracted to be manufactured products. We determined that 9 suppliers were relevant to this process. |
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| Step 2 | Our Supplier Relations team then determined which manufactured & contracted to be manufactured products may contain Conflict Minerals that are “necessary to the functionality or production” of the product. |
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| Step 3 | Under the Committee’s direction, our Supplier Relations staff conducted a due diligence assessment of relevant product suppliers in accordance with the following: |
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| • | We designed and implemented a due diligence program for supplier outreach and engagement that involved (i) developing a contact list of relevant suppliers and (ii) communicating with them to obtain information on the chain of custody and source of origin of Conflict Minerals in supplied products. Our due diligence consisted of providing each supplier with the EICC/GeSI Conflict Minerals Reporting Template (the “Template”) to obtain the necessary information and certifications from our suppliers. For certain suppliers that found the Template unwieldy, we provided a custom form where necessary to elicit the same information. We received responses from 9 of our suppliers for the reporting period. |
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| Step 4 | Our Supplier Relations team, with guidance from the Committee, analyzed the results of the Supplier survey forms that were returned to us. We reviewed the survey responses from each supplier to determine whether |
the data provided was complete or whether further follow-up was required. Follow-up was conducted by phone calls and emails, as necessary. Our staff compared the smelters and refiners identified by the suppliers on the survey forms with the EICC/GeSI Conflict Free Smelter Initiative (“CFSI”) list of conflict-free smelters and refiners as well as with the Department of Commerce list of “World-Wide Conflict Mineral Processing Facilities” issued in September 2014 (the “DOC Smelter List”). The results of that comparison are set forth on Appendix A to this Conflict Mineral Report.
(3) Developed and Implemented a Risk Response Strategy
In analyzing the results from our supply chain diligence, we recognized that certain risks exist in our supply chain that require further follow-up and mitigation efforts. We have established the following plan for risk mitigation, which we review periodically for relevance and effectiveness.
Year 1 (Calendar Year 2014)
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| • | Conduct base line analysis of responses from first-tier suppliers. |
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| • | Compare the smelters and refiners identified in the supply chain survey against the list of smelter facilities which have been identified as “conflict free” by programs such as CSFI for tantalum, tin, tungsten and gold, and otherwise identified on the DOC List. |
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| • | Identify gaps in the data collection and high-risk suppliers, and continue to follow-up with suppliers as practicable. |
Year 2+ (Calendar Year 2015)
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| • | Communicate survey results to our suppliers of relevant products. |
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| • | Continue efforts in supplier education and outreach, including additional diligence with suppliers providing incomplete data. |
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| • | Add third-party reporting customer requests to supplier survey. |
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| • | Follow-up on remediation efforts to obtain complete and accurate chain of custody information where possible to identify smelters/refiners of origin. |
Year 3 (Calendar Year 2016)
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| • | Develop and implement a progressive performance improvement plan for suppliers on an as-needed basis. |
(4) Third Party Audit of Due Diligence Practices
This Report has not been subject to an independent private sector audit in accordance with the SEC Statement.
(5) Report Annually on Supply Chain Due Diligence
The Company's Form SD and Conflict Mineral Report for calendar year 2017, together with our Supply Chain Policy Statement, are posted on our website at: http://investors.a10networks.com/docs.aspx?iid=4433033.
(ii) Independent Third Party Audit.
This Report has not been subject to an independent private sector audit in accordance with the SEC Statement.
(iii) Summary of Diligence Results; Risk Mitigation Efforts
Tracing materials back to their mine of origin is a complex aspect of responsible sourcing in our supply chain. Our position as a remote downstream purchaser and supplier requires us to depend substantially on the cooperation of our suppliers and their numerous sub-suppliers, many of which are not subject to SEC reporting requirements and with whom we have limited leverage due to our size, market position and available resources. As a result, we expect it may take us several years before we are able to identify all smelters and refiners in our supply chain.
In conducting our diligence, we have adopted methodology outlined by the CFSI’s joint industry programs and outreach initiatives and have encouraged our suppliers to conform with the standards set forth in the OECD
Framework and report to us using the Template or, where appropriate, our custom-designed form. We conducted follow-up calls and correspondence with suppliers where information was incomplete, unreliable or unverifiable. We identified 322 smelters and refiners of Conflict Minerals in our supply chain, and the related countries of origin, as set forth on Appendix A.
We are continuing our efforts to determine the smelters and refiners used by our supply chain and to verify the most reasonable known mine of origin information available. Through this effort, we have made a reasonable determination of certain of the mines or locations of origin of certain of the Conflict Minerals in our supply chain as indicated on Appendix A. We have also requested that all of our suppliers support the industry-wide initiative by adopting policies and procedures consistent with the EICC/GeSI sourcing initiative and by working to align their sources with the lists of conflict-free sourced metals.
The CFSI program audits smelters and refineries to ensure that all certified smelters and refineries only use the ores that are conflict-free from the Covered Countries. The DOC List is more expansive and includes “verified” smelters and refiners, which may or may not be certified as conflict-free. Of the suppliers we surveyed, 100% fully responded to our due diligence survey. We are continuing to compile the names of smelters and refineries identified by those vendors who did respond and are working to verify the information provided. Certain of our vendors indicated that not all of their smelters and refineries have been certified as conflict-free and we are continuing our diligence to this verify this information.
(iv) See disclosure under paragraph (ii) above.
(v) Not applicable.
(vi) Not applicable.
(2) Product Description
The Company’s relevant product categories for products containing tin, tungsten, tantalum and gold, other than those sourced from scrap or recycled materials, are as follows:
The Company’s efforts to determine the smelters, refiners, mines and locations of origin of the Conflict Minerals in its products is described above under paragraphs (i) and (iii).
Conclusion
Due to the breadth and scope of the Company’s product categories, the resulting complexity of its supply chain, and the human and financial resources available to the Company, the Company acknowledges that the process of successfully tracing all of the Conflict Minerals used in its manufactured or contracted to manufacture products to their country of origin will take additional time and resources, likely several years. Moving forward, the Company will continue to implement commercially reasonable processes to improve the quantity and quality of supplier responses, verify supplier responses provided, and evaluate new product lines as developed to eliminate the introduction of Conflict Minerals into the supply chain where practicable.
The success of A10 Networks, Inc. in making determinations about the presence and source of Conflict Minerals in its products depends upon various factors including, but not limited to, the respective due diligence efforts of its suppliers and their supply chain and their respective willingness, whether public or private entities, to disclose such information to the Company, and the ability of the involved entities in making their determinations in accordance with nationally or internationally recognized standards, including the OECD Framework and other initiatives or guidance that may develop over time. The failure to obtain reliable information from any level of our supply chain could have a material impact on our future ability to report on the presence of Conflict Minerals with any degree of certainty. There can be no assurance that our suppliers will continue to cooperate with diligence inquiries and requests for certifications or provide documentation or other evidence that we consider reliable or provided to us within a time frame sufficient to allow us to make our own assessment following appropriate further diligence measures, if any.
The information provided in this Conflict Mineral Report speaks only as of its date. Subsequent events, including the inability
or unwillingness of participants in our supply chain to comply with our Policy or provide complete and accurate information requested, may affect our future determinations under Rule 13p-1.
APPENDIX A
List of Smelters and Refiners in Our Supply Chain
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| Metal | Smelter Name | Smelter Country | Smelter Identification | CFSI | DOC |
| Tungsten | A.L.M.T. TUNGSTEN Corp. | JAPAN | CID000004 | Audited | |
| Gold | Abington Reldan Metals, LLC | UNITED STATES | CID002708 | | |
| Tungsten | ACL Metais Eireli | BRAZIL | CID002833 | Audited | |
| Gold | Advanced Chemical Company | UNITED STATES | CID000015 | Audited | |
| Gold | Aida Chemical Industries Co., Ltd. | JAPAN | CID000019 | Audited | |
| Gold | Al Etihad Gold LLC | UNITED ARAB EMIRATES | CID002560 | Audited | |
| Gold | Allgemeine Gold-und Silberscheideanstalt A.G. | GERMANY | CID000035 | Audited | |
| Gold | Almalyk Mining and Metallurgical Complex (AMMC) | UZBEKISTAN | CID000041 | Audited | |
| Tin | Alpha | UNITED STATES | CID000292 | Audited | |
| Tin | An Thai Minerals Co., Ltd. | VIET NAM | CID002825 | | |
| Tin | An Vinh Joint Stock Mineral Processing Company | VIET NAM | CID002703 | | |
| Gold | AngloGold Ashanti Corrego do Sitio Mineracao | BRAZIL | CID000058 | Audited | |
| Gold | Argor-Heraeus S.A. | SWITZERLAND | CID000077 | Audited | |
| Gold | Asahi Pretec Corp. | JAPAN | CID000082 | Audited | |
| Gold | Asahi Refining Canada Ltd. | CANADA | CID000924 | Audited | |
| Gold | Asahi Refining USA Inc. | UNITED STATES | CID000920 | Audited | |
| Gold | Asaka Riken Co., Ltd. | JAPAN | CID000090 | Audited | |
| Tantalum | Asaka Riken Co., Ltd. | JAPAN | CID000092 | Audited | |
| Tungsten | Asia Tungsten Products Vietnam Ltd. | VIET NAM | CID002502 | Audited | |
| Gold | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | TURKEY | CID000103 | | |
| Gold | AU Traders and Refiners | SOUTH AFRICA | CID002850 | Audited | |
| Gold | Aurubis AG | GERMANY | CID000113 | Audited | |
| Gold | Bangalore Refinery | INDIA | CID002863 | | Verified |
| Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | PHILIPPINES | CID000128 | Audited | |
| Gold | Boliden AB | SWEDEN | CID000157 | Audited | |
| Gold | C. Hafner GmbH + Co. KG | GERMANY | CID000176 | Audited | |
| Gold | Caridad | MEXICO | CID000180 | | |
| Gold | CCR Refinery - Glencore Canada Corporation | CANADA | CID000185 | Audited | |
| Gold | Cendres + Métaux S.A. | SWITZERLAND | CID000189 | Audited | |
| Tantalum | Changsha South Tantalum Niobium Co., Ltd. | CHINA | CID000211 | Audited | |
| Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd. | CHINA | CID002513 | Audited | |
| Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | CHINA | CID000228 | Audited | |
| Gold | Chimet S.p.A. | ITALY | CID000233 | Audited | |
| Tin | China Tin Group Co., Ltd. | CHINA | CID001070 | Audited | |
| Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | CHINA | CID000258 | Audited | |
| Gold | Chugai Mining | JAPAN | CID000264 | | |
| Tin | CNMC (Guangxi) PGMA Co., Ltd. | CHINA | CID000278 | | |
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| Metal | Smelter Name | Smelter Country | Smelter Identification | CFSI | DOC |
| Tin | Cooperativa Metalurgica de Rondonia Ltda. | BRAZIL | CID000295 | | |
| Tin | CV Ayi Jaya | INDONESIA | CID002570 | Audited | |
| Tin | CV Dua Sekawan | INDONESIA | CID002592 | Audited | |
| Tin | CV Gita Pesona | INDONESIA | CID000306 | Audited | |
| Tin | CV Serumpun Sebalai | INDONESIA | CID000313 | Audited | |
| Tin | CV Tiga Sekawan | INDONESIA | CID002593 | Audited | |
| Tin | CV United Smelting | INDONESIA | CID000315 | Audited | |
| Tin | CV Venus Inti Perkasa | INDONESIA | CID002455 | Audited | |
| Tantalum | D Block Metals, LLC | UNITED STATES | CID002504 | Audited | |
| Gold | Daejin Indus Co., Ltd. | KOREA, REPUBLIC OF | CID000328 | Audited | |
| Gold | Daye Non-Ferrous Metals Mining Ltd. | CHINA | CID000343 | | |
| Gold | Degussa Sonne / Mond Goldhandel GmbH | GERMANY | CID002867 | | |
| Gold | DODUCO Contacts and Refining GmbH | GERMANY | CID000362 | Audited | |
| Gold | Dowa | JAPAN | CID000401 | Audited | |
| Tin | Dowa | JAPAN | CID000402 | Audited | |
| Gold | DSC (Do Sung Corporation) | KOREA, REPUBLIC OF | CID000359 | Audited | |
| Tantalum | Duoluoshan | CHINA | CID000410 | | |
| Gold | Eco-System Recycling Co., Ltd. | JAPAN | CID000425 | Audited | |
| Tin | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | VIET NAM | CID002572 | | |
| Gold | Elemetal Refining, LLC | UNITED STATES | CID001322 | | |
| Tin | EM Vinto | BOLIVIA (PLURINATIONAL STATE OF) | CID000438 | Audited | |
| Gold | Emirates Gold DMCC | UNITED ARAB EMIRATES | CID002561 | Audited | |
| Tin | Estanho de Rondonia S.A. | BRAZIL | CID000448 | | |
| Tantalum | Exotech Inc. | UNITED STATES | CID000456 | Audited | |
| Tantalum | F&X Electro-Materials Ltd. | CHINA | CID000460 | Audited | |
| Tin | Fenix Metals | POLAND | CID000468 | Audited | |
| Tantalum | FIR Metals & Resource Ltd. | CHINA | CID002505 | Audited | |
| Tungsten | Fujian Jinxin Tungsten Co., Ltd. | CHINA | CID000499 | Audited | |
| Tungsten | Ganzhou Haichuang Tungsten Co., Ltd. | CHINA | CID002645 | | Verified |
| Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. | CHINA | CID000875 | Audited | |
| Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | CHINA | CID002315 | Audited | |
| Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | CHINA | CID002494 | Audited | |
| Tungsten | Ganzhou Yatai Tungsten Co., Ltd. | CHINA | CID002536 | | |
| Gold | GCC Gujrat Gold Centre Pvt. Ltd. | INDIA | CID002852 | | |
| Gold | Geib Refining Corporation | UNITED STATES | CID002459 | Audited | |
| Tin | Gejiu Fengming Metallurgy Chemical Plant | CHINA | CID002848 | Audited | |
| Tin | Gejiu Jinye Mineral Company | CHINA | CID002859 | Audited | |
| Tin | Gejiu Kai Meng Industry and Trade LLC | CHINA | CID000942 | Audited | |
| Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. | CHINA | CID000538 | Audited | |
| Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | CHINA | CID001908 | Audited | |
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| Metal | Smelter Name | Smelter Country | Smelter Identification | CFSI | DOC |
| Tin | Gejiu Zili Mining And Metallurgy Co., Ltd. | CHINA | CID000555 | | |
| Tantalum | Global Advanced Metals Aizu | JAPAN | CID002558 | Audited | |
| Tantalum | Global Advanced Metals Boyertown | UNITED STATES | CID002557 | Audited | |
| Tungsten | Global Tungsten & Powders Corp. | UNITED STATES | CID000568 | Audited | |
| Gold | Gold Refinery of Zijin Mining Group Co., Ltd. | CHINA | CID002243 | Audited | |
| Gold | Great Wall Precious Metals Co., Ltd. of CBPM | CHINA | CID001909 | | |
| Tin | Guangdong Hanhe Non-Ferrous Metal Co., Ltd. | CHINA | CID003116 | Audited | |
| Gold | Guangdong Jinding Gold Limited | CHINA | CID002312 | | |
| Tantalum | Guangdong Rising Rare Metals-EO Materials Ltd. | CHINA | CID000291 | Audited | |
| Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | CHINA | CID000218 | Audited | |
| Tantalum | Guangdong Zhiyuan New Material Co., Ltd. | CHINA | CID000616 | Audited | |
| Tin | Guanyang Guida Nonferrous Metal Smelting Plant | CHINA | CID002849 | Audited | |
| Gold | Guoda Safina High-Tech Environmental Refinery Co., Ltd. | CHINA | CID000651 | | |
| Tantalum | H.C. Starck Co., Ltd. | THAILAND | CID002544 | Audited | |
| Tantalum | H.C. Starck GmbH Laufenburg | GERMANY | CID002546 | | |
| Tantalum | H.C. Starck Hermsdorf GmbH | GERMANY | CID002547 | Audited | |
| Tantalum | H.C. Starck Inc. | UNITED STATES | CID002548 | Audited | |
| Tantalum | H.C. Starck Ltd. | JAPAN | CID002549 | Audited | |
| Tungsten | H.C. Starck Smelting GmbH & Co. KG | GERMANY | CID002542 | Audited | |
| Tantalum | H.C. Starck Smelting GmbH & Co. KG | GERMANY | CID002550 | Audited | |
| Tantalum | H.C. Starck Tantalum and Niobium GmbH | GERMANY | CID002545 | Audited | |
| Tungsten | H.C. Starck Tungsten GmbH | GERMANY | CID002541 | Audited | |
| Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. | CHINA | CID000671 | | |
| Gold | HeeSung Metal Ltd. | KOREA, REPUBLIC OF | CID000689 | Audited | |
| Gold | Heimerle + Meule GmbH | GERMANY | CID000694 | Audited | |
| Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | CHINA | CID002492 | Audited | |
| Gold | Heraeus Metals Hong Kong Ltd. | CHINA | CID000707 | Audited | |
| Gold | Heraeus Precious Metals GmbH & Co. KG | GERMANY | CID000711 | Audited | |
| Tantalum | Hi-Temp Specialty Metals, Inc. | UNITED STATES | CID000731 | | |
| Tin | HuiChang Hill Tin Industry Co., Ltd. | CHINA | CID002844 | Audited | |
| Tin | Huichang Jinshunda Tin Co., Ltd. | CHINA | CID000760 | Audited | |
| Tungsten | Hunan Chenzhou Mining Co., Ltd. | CHINA | CID000766 | Audited | |
| Gold | Hunan Chenzhou Mining Co., Ltd. | CHINA | CID000767 | | |
| Tungsten | Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji | CHINA | CID002579 | Audited | |
| Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd. | CHINA | CID000769 | Audited | |
| Tungsten | Hunan Litian Tungsten Industry Co., Ltd. | CHINA | CID003182 | | Verified |
| Gold | HwaSeong CJ CO., LTD. | KOREA, REPUBLIC OF | CID000778 | | |
| Tungsten | Hydrometallurg, JSC | RUSSIAN FEDERATION | CID002649 | Audited | |
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| Metal | Smelter Name | Smelter Country | Smelter Identification | CFSI | DOC |
| Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | CHINA | CID000801 | Audited | |
| Gold | Ishifuku Metal Industry Co., Ltd. | JAPAN | CID000807 | Audited | |
| Gold | Istanbul Gold Refinery | TURKEY | CID000814 | Audited | |
| Gold | Italpreziosi | ITALY | CID002765 | Audited | |
| Gold | Japan Mint | JAPAN | CID000823 | Audited | |
| Tungsten | Japan New Metals Co., Ltd. | JAPAN | CID000825 | Audited | |
| Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | CHINA | CID002551 | Audited | |
| Gold | Jiangxi Copper Co., Ltd. | CHINA | CID000855 | Audited | |
| Tungsten | Jiangxi Dayu Longxintai Tungsten Co., Ltd. | CHINA | CID002647 | | |
| Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | CHINA | CID002512 | Audited | |
| Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | CHINA | CID002321 | Audited | |
| Tin | Jiangxi Ketai Advanced Material Co., Ltd. | CHINA | CID000244 | Audited | |
| Tungsten | Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. | CHINA | CID002313 | | |
| Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | CHINA | CID002318 | Audited | |
| Tantalum | Jiangxi Tuohong New Raw Material | CHINA | CID002842 | Audited | |
| Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | CHINA | CID002317 | Audited | |
| Tungsten | Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd. | CHINA | CID002535 | Audited | |
| Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. | CHINA | CID002316 | Audited | |
| Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | CHINA | CID000914 | Audited | |
| Tantalum | Jiujiang Nonferrous Metals Smelting Company Limited | CHINA | CID000917 | Audited | |
| Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | CHINA | CID002506 | Audited | |
| Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | RUSSIAN FEDERATION | CID000927 | Audited | |
| Gold | JSC Uralelectromed | RUSSIAN FEDERATION | CID000929 | Audited | |
| Gold | JX Nippon Mining & Metals Co., Ltd. | JAPAN | CID000937 | Audited | |
| Gold | Kaloti Precious Metals | UNITED ARAB EMIRATES | CID002563 | | |
| Gold | Kazakhmys Smelting LLC | KAZAKHSTAN | CID000956 | | |
| Gold | Kazzinc | KAZAKHSTAN | CID000957 | Audited | |
| Tantalum | KEMET Blue Metals | MEXICO | CID002539 | Audited | |
| Tantalum | KEMET Blue Powder | UNITED STATES | CID002568 | Audited | |
| Tungsten | Kennametal Fallon | UNITED STATES | CID000966 | Audited | |
| Tungsten | Kennametal Huntsville | UNITED STATES | CID000105 | Audited | |
| Gold | Kennecott Utah Copper LLC | UNITED STATES | CID000969 | Audited | |
| Gold | KGHM Polska Miedz Spolka Akcyjna | POLAND | CID002511 | | Verified |
| Tantalum | King-Tan Tantalum Industry Ltd. | CHINA | CID000973 | | |
| Gold | Kojima Chemicals Co., Ltd. | JAPAN | CID000981 | Audited | |
| Gold | Korea Zinc Co., Ltd. | KOREA, REPUBLIC OF | CID002605 | Audited | |
| Gold | Kyrgyzaltyn JSC | KYRGYZSTAN | CID001029 | Audited | |
| Gold | Kyshtym Copper-Electrolytic Plant ZAO | RUSSIAN FEDERATION | CID002865 | | |
|
| | | | | |
| Metal | Smelter Name | Smelter Country | Smelter Identification | CFSI | DOC |
| 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 | | Verified |
| Tantalum | LSM Brasil S.A. | BRAZIL | CID001076 | Audited | |
| Gold | LS-NIKKO Copper Inc. | KOREA, REPUBLIC OF | CID001078 | Audited | |
| Gold | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | CHINA | CID001093 | | |
| Tin | Magnu's Minerais Metais e Ligas Ltda. | BRAZIL | CID002468 | Audited | |
| Tin | Malaysia Smelting Corporation (MSC) | MALAYSIA | CID001105 | Audited | |
| Tungsten | Malipo Haiyu Tungsten Co., Ltd. | CHINA | CID002319 | Audited | |
| Gold | Marsam Metals | BRAZIL | CID002606 | Audited | |
| Gold | Materion | UNITED STATES | CID001113 | Audited | |
| Gold | Matsuda Sangyo Co., Ltd. | JAPAN | CID001119 | Audited | |
| Tin | Melt Metais e Ligas S.A. | BRAZIL | CID002500 | Audited | |
| Tin | Metallic Resources, Inc. | UNITED STATES | CID001142 | Audited | |
| Tin | Metallo Belgium N.V. | BELGIUM | CID002773 | Audited | |
| Tin | Metallo Spain S.L.U. | SPAIN | CID002774 | Audited | |
| Tantalum | Metallurgical Products India Pvt., Ltd. | INDIA | CID001163 | Audited | |
| Gold | Metalor Technologies (Hong Kong) Ltd. | CHINA | CID001149 | Audited | |
| Gold | Metalor Technologies (Singapore) Pte., Ltd. | SINGAPORE | CID001152 | Audited | |
| Gold | Metalor Technologies (Suzhou) Ltd. | CHINA | CID001147 | Audited | |
| Gold | Metalor Technologies S.A. | SWITZERLAND | CID001153 | Audited | |
| Gold | Metalor USA Refining Corporation | UNITED STATES | CID001157 | Audited | |
| Gold | Metalurgica Met-Mex Penoles S.A. De C.V. | MEXICO | CID001161 | Audited | |
| Tin | Mineracao Taboca S.A. | BRAZIL | CID001173 | Audited | |
| Tantalum | Mineracao Taboca S.A. | BRAZIL | CID001175 | Audited | |
| Tin | Minsur | PERU | CID001182 | Audited | |
| Gold | Mitsubishi Materials Corporation | JAPAN | CID001188 | Audited | |
| Tin | Mitsubishi Materials Corporation | JAPAN | CID001191 | Audited | |
| Tantalum | Mitsui Mining and Smelting Co., Ltd. | JAPAN | CID001192 | Audited | |
| Gold | Mitsui Mining and Smelting Co., Ltd. | JAPAN | CID001193 | Audited | |
| Gold | MMTC-PAMP India Pvt., Ltd. | INDIA | CID002509 | Audited | |
| Gold | Modeltech Sdn Bhd | MALAYSIA | CID002857 | | Verified |
| Tin | Modeltech Sdn Bhd | MALAYSIA | CID002858 | | Verified |
| Tungsten | Moliren Ltd. | RUSSIAN FEDERATION | CID002845 | Audited | |
| Gold | Morris and Watson | NEW ZEALAND | CID002282 | | |
| Gold | Morris and Watson Gold Coast | AUSTRALIA | CID002866 | | |
| Gold | Moscow Special Alloys Processing Plant | RUSSIAN FEDERATION | CID001204 | Audited | |
| Gold | Nadir Metal Rafineri San. Ve Tic. A.S. | TURKEY | CID001220 | Audited | |
| Tin | Nankang Nanshan Tin Manufactory Co., Ltd. | CHINA | CID001231 | Audited | |
| Gold | Navoi Mining and Metallurgical Combinat | UZBEKISTAN | CID001236 | | |
| Tin | Nghe Tinh Non-Ferrous Metals Joint Stock Company | VIET NAM | CID002573 | | |
| Tungsten | Niagara Refining LLC | UNITED STATES | CID002589 | Audited | |
| Gold | Nihon Material Co., Ltd. | JAPAN | CID001259 | Audited | |
|
| | | | | |
| Metal | Smelter Name | Smelter Country | Smelter Identification | CFSI | DOC |
| Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | CHINA | CID001277 | Audited | |
| Tantalum | NPM Silmet AS | ESTONIA | CID001200 | Audited | |
| Tungsten | Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC | VIET NAM | CID002543 | Audited | |
| Tin | O.M. Manufacturing (Thailand) Co., Ltd. | THAILAND | CID001314 | Audited | |
| Tin | O.M. Manufacturing Philippines, Inc. | PHILIPPINES | CID002517 | Audited | |
| Gold | Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH | AUSTRIA | CID002779 | Audited | |
| Gold | Ohura Precious Metal Industry Co., Ltd. | JAPAN | CID001325 | Audited | |
| Gold | OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) | RUSSIAN FEDERATION | CID001326 | Audited | |
| Gold | OJSC Novosibirsk Refinery | RUSSIAN FEDERATION | CID000493 | Audited | |
| Tin | Operaciones Metalurgical S.A. | BOLIVIA (PLURINATIONAL STATE OF) | CID001337 | Audited | |
| Gold | PAMP S.A. | SWITZERLAND | CID001352 | Audited | |
| Gold | Pease & Curren | UNITED STATES | CID002872 | | |
| Gold | Penglai Penggang Gold Industry Co., Ltd. | CHINA | CID001362 | | |
| Tungsten | Philippine Chuangxin Industrial Co., Inc. | PHILIPPINES | CID002827 | Audited | |
| Tantalum | Plansee SE Liezen | AUSTRIA | CID002540 | | |
| Tantalum | Plansee SE Reutte | AUSTRIA | CID002556 | | |
| Gold | Planta Recuperadora de Metales SpA | CHILE | CID002919 | Audited | |
| Tantalum | Power Resources Ltd. | MACEDONIA, THE FORMER YUGOSLAV REPUBLIC OF | CID002847 | Audited | |
| Gold | Prioksky Plant of Non-Ferrous Metals | RUSSIAN FEDERATION | CID001386 | Audited | |
| Gold | PT Aneka Tambang (Persero) Tbk | INDONESIA | CID001397 | Audited | |
| Tin | PT Aries Kencana Sejahtera | INDONESIA | CID000309 | Audited | |
| Tin | PT Artha Cipta Langgeng | INDONESIA | CID001399 | Audited | |
| Tin | PT ATD Makmur Mandiri Jaya | INDONESIA | CID002503 | Audited | |
| Tin | PT Babel Inti Perkasa | INDONESIA | CID001402 | Audited | |
| Tin | PT Bangka Prima Tin | INDONESIA | CID002776 | Audited | |
| Tin | PT Bangka Tin Industry | INDONESIA | CID001419 | Audited | |
| Tin | PT Belitung Industri Sejahtera | INDONESIA | CID001421 | Audited | |
| Tin | PT Bukit Timah | INDONESIA | CID001428 | Audited | |
| Tin | PT Cipta Persada Mulia | INDONESIA | CID002696 | | |
| Tin | PT DS Jaya Abadi | INDONESIA | CID001434 | Audited | |
| Tin | PT Eunindo Usaha Mandiri | INDONESIA | CID001438 | Audited | |
| Tin | PT Inti Stania Prima | INDONESIA | CID002530 | Audited | |
| Tin | PT Karimun Mining | INDONESIA | CID001448 | Audited | |
| Tin | PT Kijang Jaya Mandiri | INDONESIA | CID002829 | Audited | |
| Tin | PT Lautan Harmonis Sejahtera | INDONESIA | CID002870 | Audited | |
| Tin | PT Menara Cipta Mulia | INDONESIA | CID002835 | Audited | |
| Tin | PT Mitra Stania Prima | INDONESIA | CID001453 | Audited | |
| Tin | PT O.M. Indonesia | INDONESIA | CID002757 | | |
| Tin | PT Panca Mega Persada | INDONESIA | CID001457 | Audited | |
| Tin | PT Prima Timah Utama | INDONESIA | CID001458 | Audited | |
|
| | | | | |
| Metal | Smelter Name | Smelter Country | Smelter Identification | CFSI | DOC |
| Tin | PT Refined Bangka Tin | INDONESIA | CID001460 | Audited | |
| Tin | PT Sariwiguna Binasentosa | INDONESIA | CID001463 | Audited | |
| Tin | PT Stanindo Inti Perkasa | INDONESIA | CID001468 | Audited | |
| Tin | PT Sukses Inti Makmur | INDONESIA | CID002816 | Audited | |
| Tin | PT Sumber Jaya Indah | INDONESIA | CID001471 | Audited | |
| Tin | PT Timah (Persero) Tbk Kundur | INDONESIA | CID001477 | Audited | |
| Tin | PT Timah (Persero) Tbk Mentok | INDONESIA | CID001482 | Audited | |
| Tin | PT Tinindo Inter Nusa | INDONESIA | CID001490 | Audited | |
| Tin | PT Tommy Utama | INDONESIA | CID001493 | Audited | |
| Tin | PT Wahana Perkit Jaya | INDONESIA | CID002479 | | |
| Gold | PX Precinox S.A. | SWITZERLAND | CID001498 | Audited | |
| Tantalum | QuantumClean | UNITED STATES | CID001508 | Audited | |
| Gold | Rand Refinery (Pty) Ltd. | SOUTH AFRICA | CID001512 | Audited | |
| Gold | Refinery of Seemine Gold Co., Ltd. | CHINA | CID000522 | | |
| Gold | Remondis Argentia B.V. | NETHERLANDS | CID002582 | | Verified |
| Gold | Republic Metals Corporation | UNITED STATES | CID002510 | Audited | |
| Tin | Resind Industria e Comercio Ltda. | BRAZIL | CID002706 | Audited | |
| Tantalum | Resind Industria e Comercio Ltda. | BRAZIL | CID002707 | Audited | |
| Tantalum | RFH Tantalum Smeltery Co., Ltd./Yanling Jincheng Tantalum & Niobium Co., Ltd. | CHINA | CID001522 | Audited | |
| Gold | Royal Canadian Mint | CANADA | CID001534 | Audited | |
| Tin | Rui Da Hung | TAIWAN, PROVINCE OF CHINA | CID001539 | Audited | |
| Gold | SAAMP | FRANCE | CID002761 | Audited | |
| Gold | Sabin Metal Corp. | UNITED STATES | CID001546 | | |
| Gold | Safimet S.p.A | ITALY | CID002973 | Audited | |
| Gold | SAFINA A.S. | CZECH REPUBLIC | CID002290 | | Verified |
| Gold | Sai Refinery | INDIA | CID002853 | | |
| Gold | Samduck Precious Metals | KOREA, REPUBLIC OF | CID001555 | Audited | |
| Gold | SAMWON Metals Corp. | KOREA, REPUBLIC OF | CID001562 | | |
| Gold | SAXONIA Edelmetalle GmbH | GERMANY | CID002777 | Audited | |
| Gold | Schone Edelmetaal B.V. | NETHERLANDS | CID001573 | Audited | |
| Gold | SEMPSA Joyeria Plateria S.A. | SPAIN | CID001585 | Audited | |
| Gold | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | CHINA | CID001619 | | |
| Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | CHINA | CID001622 | Audited | |
| Gold | Sichuan Tianze Precious Metals Co., Ltd. | CHINA | CID001736 | Audited | |
| Gold | Singway Technology Co., Ltd. | TAIWAN, PROVINCE OF CHINA | CID002516 | Audited | |
| Gold | So Accurate Group, Inc. | UNITED STATES | CID001754 | | |
| Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | RUSSIAN FEDERATION | CID001756 | Audited | |
| Tin | Soft Metais Ltda. | BRAZIL | CID001758 | Audited | |
| Gold | Solar Applied Materials Technology Corp. | TAIWAN, PROVINCE OF CHINA | CID001761 | Audited | |
| Tantalum | Solikamsk Magnesium Works OAO | RUSSIAN FEDERATION | CID001769 | Audited | |
| Tungsten | South-East Nonferrous Metal Company Limited of Hengyang City | CHINA | CID002815 | Audited | |
|
| | | | | |
| Metal | Smelter Name | Smelter Country | Smelter Identification | CFSI | DOC |
| Gold | State Research Institute Center for Physical Sciences and Technology | LITHUANIA | CID003153 | | |
| Gold | Sumitomo Metal Mining Co., Ltd. | JAPAN | CID001798 | Audited | |
| Gold | SungEel HiTech | KOREA, REPUBLIC OF | CID002918 | Audited | |
| Tin | Super Ligas | BRAZIL | CID002756 | | |
| Gold | T.C.A S.p.A | ITALY | CID002580 | Audited | |
| Tantalum | Taki Chemical Co., Ltd. | JAPAN | CID001869 | Audited | |
| Gold | Tanaka Kikinzoku Kogyo K.K. | JAPAN | CID001875 | Audited | |
| Tungsten | Tejing (Vietnam) Tungsten Co., Ltd. | VIET NAM | CID001889 | Audited | |
| Tantalum | Telex Metals | UNITED STATES | CID001891 | Audited | |
| Tin | Thaisarco | THAILAND | CID001898 | Audited | |
| Gold | The Refinery of Shandong Gold Mining Co., Ltd. | CHINA | CID001916 | Audited | |
| Gold | Tokuriki Honten Co., Ltd. | JAPAN | CID001938 | Audited | |
| Gold | Tongling Nonferrous Metals Group Co., Ltd. | CHINA | CID001947 | | |
| Gold | Tony Goetz NV | BELGIUM | CID002587 | | |
| Gold | TOO Tau-Ken-Altyn | KAZAKHSTAN | CID002615 | | |
| Gold | Torecom | KOREA, REPUBLIC OF | CID001955 | Audited | |
| Tin | Tuyen Quang Non-Ferrous Metals Joint Stock Company | VIET NAM | CID002574 | | |
| Tantalum | Ulba Metallurgical Plant JSC | KAZAKHSTAN | CID001969 | Audited | |
| Gold | Umicore Brasil Ltda. | BRAZIL | CID001977 | Audited | |
| Gold | Umicore Precious Metals Thailand | THAILAND | CID002314 | Audited | |
| Gold | Umicore S.A. Business Unit Precious Metals Refining | BELGIUM | CID001980 | Audited | |
| Tungsten | Unecha Refractory metals plant | RUSSIAN FEDERATION | CID002724 | Audited | |
| Gold | United Precious Metal Refining, Inc. | UNITED STATES | CID001993 | Audited | |
| Gold | Valcambi S.A. | SWITZERLAND | CID002003 | Audited | |
| Tungsten | Vietnam Youngsun Tungsten Industry Co., Ltd. | VIET NAM | CID002011 | Audited | |
| Tin | VQB Mineral and Trading Group JSC | VIET NAM | CID002015 | | |
| Gold | Western Australian Mint (T/a The Perth Mint) | AUSTRALIA | CID002030 | Audited | |
| Tin | White Solder Metalurgia e Mineracao Ltda. | BRAZIL | CID002036 | Audited | |
| Gold | WIELAND Edelmetalle GmbH | GERMANY | CID002778 | Audited | |
| Tungsten | Wolfram Bergbau und Hutten AG | AUSTRIA | CID002044 | Audited | |
| Tungsten | Woltech Korea Co., Ltd. | KOREA, REPUBLIC OF | CID002843 | Audited | |
| Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | CHINA | CID002320 | Audited | |
| Tungsten | Xiamen Tungsten Co., Ltd. | CHINA | CID002082 | Audited | |
| Tungsten | Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. | CHINA | CID002830 | Audited | |
| Tungsten | Xinhai Rendan Shaoguan Tungsten Co., Ltd. | CHINA | CID002095 | Audited | |
| Tantalum | XinXing HaoRong Electronic Material Co., Ltd. | CHINA | CID002508 | Audited | |
| Gold | Yamakin Co., Ltd. | JAPAN | CID002100 | Audited | |
| Tantalum | Yichun Jin Yang Rare Metal Co., Ltd. | CHINA | CID002307 | Audited | |
| Gold | Yokohama Metal Co., Ltd. | JAPAN | CID002129 | Audited | |
| Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | CHINA | CID002158 | Audited | |
|
| | | | | |
| Metal | Smelter Name | Smelter Country | Smelter Identification | CFSI | DOC |
| Gold | Yunnan Copper Industry Co., Ltd. | CHINA | CID000197 | | |
| Tin | Yunnan Tin Company Limited | CHINA | CID002180 | Audited | |
| Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | CHINA | CID002224 | Audited | |
| Tantalum | Zhuzhou Cemented Carbide Group Co., Ltd. | CHINA | CID002232 | | |
|
| |
| * | “Audited” means in accordance with and as reported by the CFSI; “Verified” means confirmed as a known processing facility on the DOC List. |
