EXHIBIT 1.01
CONFLICT MINERALS REPORT OF HEWLETT PACKARD ENTERPRISE
PURSUANT TO RULE 13P-1 UNDER THE SECURITIES EXCHANGE ACT OF 1934
Hewlett Packard Enterprise Company (“HPE”) presents this Conflict Minerals Report for the reporting period of January 1, 2016 to December 31, 2016 pursuant to Rule 13p-1 under the Securities Exchange Act of 1934 and associated guidance issued by the Securities and Exchange Commission.
HPE is an industry leading technology company that enables customers to go further, faster. With the industry's most comprehensive portfolio, spanning the cloud to the data center to workplace applications, HPE technology and services help customers around the world make information technology more efficient, more productive and more secure. HPE customers range from small and medium-sized businesses to large global enterprises. On November 1, 2016, HPE acquired Silicon Graphics International Corp. (“SGI”). SGI operated as a subsidiary of HPE for the last two months of the reporting period, and HPE has integrated into this report the results of SGI’s 2016 efforts.
Unless otherwise specified or unless the context otherwise requires, references to “we,” “us” or “our” refer to HPE and its consolidated subsidiaries including SGI. Terms or phrases that are italicized the first time they appear in this report have the meanings given in Item 1.01 of Form SD.
Overview of our Conflict Minerals Program
As part of HPE’s commitment to sustainability, HPE’s suppliers are expected to conduct their worldwide operations in a socially and environmentally responsible manner pursuant to HPE’s Supply Chain Social and Environmental Responsibility Policy. The policy contains a section on conflict minerals and is available at http://www8.hp.com/us/en/hpe/hp-information/livingprogress/humanprogress/supplier-ser-requirements.html. HPE engages in ongoing supplier outreach and communications, addressing in particular the substance of our conflict minerals policy and our expectations and objectives with respect to conflict minerals. HPE is applying these expectations to SGI suppliers as well.
HPE has been recognized as an industry leader for the company’s efforts to advance the use of responsibly sourced minerals, including those from the Democratic Republic of the Congo (“DRC”) or an adjoining country (collectively, the “Covered Countries”). HPE is a member of the Conflict-Free Sourcing Initiative (“CFSI”), which was instrumental in developing and advancing programs and tools such as the Conflict-Free Smelter Program and the Conflict Minerals Reporting Template (the “Template”). HPE also holds a seat on the Board of Directors of the Electronics Industry Citizenship Coalition, which provides guidance to and oversight of CFSI. HPE also participated during 2016 in the Responsible Sourcing Network Multi-Stakeholder Group and funded the CFSI Audit Fund to offset part of smelter audit costs. HPE participates in critical in-region conflict free sourcing projects including Solutions for Hope and the Kemet Partnership for Social and Economic Stability. Consistent with our disclosure for calendar year 2015, all tantalum smelters reported to be in the supply chain were compliant with the Conflict-Free Smelter Program in 2016.
HPE Products
Conflict minerals in the form of gold and the derivatives tin, tantalum, and tungsten (collectively, “3TG”) were necessary to the functionality or production of our products (i.e., were “necessary conflict minerals”). The
products containing necessary conflict minerals that HPE manufactured or contracted to manufacture during 2016 are: 1) server, storage and networking products and 2) certain accessories.
Design of Our Due Diligence Measures
We designed our due diligence measures to conform with applicable portions of the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (Third Edition, OECD 2016) and the related Supplements (collectively, the “OECD Guidance”), which is a nationally or internationally recognized due diligence framework. The design of our due diligence measures reflects our individual facts and circumstances, our downstream position in the minerals supply chain, and the OECD recommendations for downstream actors with no direct relationships to smelters or refiners. This design also includes the use of independent assessment programs to provide information about smelters or refiners.
Consistent with the OECD Guidance, the design of our due diligence has the following features:
(1) Establishment of strong internal company management systems, including a conflict minerals policy; a Conflict Minerals Program team with senior management support; a Supply Chain Transparency System; engagement with 3TG Direct Suppliers to communicate and reinforce our expectations with respect to necessary conflict minerals; and a corporate grievance mechanism that is available internally and externally to report concerns, including those related to conflict minerals.
(2) Identification and assessment of risks in the supply chain, including through the Supply Chain Transparency System, the mechanism by which risks are identified and assessed in the supply chain. The system is designed to support the Conflict Minerals Program team in systematically surveying, collecting, and analyzing information relating to 3TG facilities.
(3) Design and implementation of a strategy to respond to such risks as they are identified, including assessment of information on facilities’ due diligence practices, formulation of a risk management plan, and reporting to senior management.
(4) Support of industry organizations to carry out independent third-party audits of facilities’ due diligence practices, including through our membership in CFSI (member ID HPE), the industry initiative that conducts audits and assessments of facilities’ due diligence activities.
(5) Annual reporting through this Conflict Minerals Report and in our annual Living Progress Report.
Description of Due Diligence Measures Performed
We undertook the following due diligence measures with respect to the source and chain of custody of necessary conflict minerals contained in our products:
• compared reported 3TG facilities to the facilities that are listed by CFSI as either compliant or in process with the Conflict-Free Smelter Program;
• reached out (either directly or through a third party) to 3TG facilities with unknown sourcing to provide conflict minerals education, collect information (such as country of origin of necessary conflict minerals related to the supply chain for HPE’s products), or encourage participation in the Conflict-Free Smelter Program;
• if any 3TG Direct Supplier reported to us a facility for which we had information that identified a relevant concern, then we asked the supplier to investigate whether or not that facility contributed 3TG to our products, and, if so, to take steps to remove the facility from our supply chain;
• supported the Conflict-Free Smelter Program through our membership and participation in CFSI; and
• asked HPE’s 3TG Direct Suppliers to encourage the facilities in their supply chain to join the Conflict-Free Smelter Program.
We reviewed the results of our due diligence with senior management, including the Senior Vice President, Deputy General Counsel & Chief Ethics and Compliance Officer.
Results
Below we set forth the results of our due diligence as well as our progress toward DRC conflict free products. We provide both a snapshot of our total progress as well as our progress with respect to each 3TG metal. Of the 3TG facilities reported to us in 2016, as of April 21, 2017 (the “2017 Cut-Off Date”), 90% are now compliant, in process to become compliant, and/or are reasonably believed to provide only conflict minerals from recycled or scrap sources or to source conflict minerals from outside the Covered Countries.
Due Diligence Results for 3TG Facilities
We measure our results in part based on the number of all 3TG facilities reported to us by our supply chain that are listed as participating in or successfully completing an independent assessment program. Because participation in an independent assessment program provides us (a downstream company) with a level of assurance of an upstream facility’s sourcing practices, we track and report on this participation. Where additional information is available to us as a result of our due diligence or RCOI efforts, we also consider whether any of the 3TG facilities not yet participating in an independent assessment program may nonetheless be providing minerals that are DRC conflict free because they are sourced from outside the Covered Countries or are exclusively from recycled or scrap sources.
Our suppliers reported 305 total 3TG facilities in 2016, 90% (275) of which (as of the 2017 Cut-Off Date) are compliant with or in process to become compliant with an independent assessment program, are believed to source from outside the Covered Countries, or are exclusively providing conflict minerals from recycled or scrap sources. Only 10% (30) of the supplier-reported 3TG facilities are facilities for which we have limited or no information on the sourcing of necessary conflict minerals (both because they are not yet participating in an independent assessment program and because we found no information giving us reason to believe they were sourcing from outside the Covered Countries or exclusively from recycled or scrap sources).
We received information identifying a potential concern with respect to four of the 3TG facilities that are not yet participating. Even though the information we received did not indicate that the facility in question has any connection to armed conflict in the covered countries, we requested that suppliers reporting these facilities investigate the likelihood that the facilities contributed 3TG to our products. In parallel, we sought to either encourage the facility’s participation in the Conflict-Free Smelter Program or to have the facility removed from our supply chain, where applicable. As a result of these actions, we understand that the facilities: a) did not likely contribute 3TG to our products; b) have communicated that they will participate in an independent assessment program; and/or c) have been or are in the process of being removed from the supply chain. Additional information on the status of individual 3TG facilities is provided in Attachment B.
Attachment A to this Conflict Minerals Report includes (to the extent information was available) the countries from which the supplier-reported 3TG facilities may have sourced necessary conflict minerals.
Attachment B to this Conflict Minerals Report sets forth the name and status of the supplier-reported 3TG facilities.
Progress toward DRC Conflict Free by Metal
We also measure our progress toward DRC conflict free products by metal. Chart 1 further expands on our results by providing for each metal the number and percentage (as of the 2017 Cut-Off Date) of all supplier-reported 3TG facilities that were either Conflict-Free-Smelter-Program compliant or in process to become compliant, and/or that we reasonably believe exclusively source conflict minerals from recycled or scrap sources or from outside of the Covered Countries. Again in 2017, all of the tantalum smelters reported to be in our supply chain are compliant with the Conflict-Free Smelter Program.
Chart 1 Progress toward DRC Conflict Free by Metal
| Supplier-Reported 3TG Facilities | Progress toward DRC Conflict Free | Percentage | |
| Tantalum Facilities | 44 | 44 | 100% |
| Tin Facilities | 80 | 74 | 93% |
| Tungsten Facilities | 46 | 43 | 93% |
| Gold Facilities | 135 | 114 | 84% |
| Total | 305 | 275 | 90% |
Efforts to Determine the Mine or Location of Origin with Greatest Possible Specificity
As a downstream actor, we rely upon independent assessment programs to collect and review the majority of the upstream information, such as the mine or location of origin of necessary conflict minerals. Consistent with the key role set forth by the OECD Guidance for a downstream actor like us, our efforts to facilitate upstream mine or location of origin determinations were focused on support of independent assessment programs such as the Conflict-Free Smelter Program.
To determine the mine or location of origin of necessary conflict minerals, or to facilitate such determinations by independent assessment programs, we:
• surveyed 3TG Direct Suppliers during the reporting period of this Conflict Minerals Report using the Template (which included questions about the mine or location of origin) and required those suppliers to make similar efforts to survey their supply chains using the Template;
• reviewed information obtained through those surveys on 3TG facilities, and any mine or location of origin information if it was provided; and
• assessed any information on countries of origin available through our membership in CFSI for 3TG facilities. (As part of the Conflict-Free Smelter Program audit protocol, the independent auditor makes an examination of the countries of origin and the location of the mine, even if the specific mine or location of origin for these minerals within a given country is not provided to CFSI members).
Steps to Further Mitigate Risk and Improve Due Diligence in 2017
We plan to continue the activities described in “Design of Our Due Diligence Measures” and “Description of Due Diligence Measures Performed” in our journey to achieve DRC conflict free status for our products. This includes the following steps to mitigate further any risk that necessary conflict minerals in our products finance or benefit an armed group:
• engage with 3TG Direct Suppliers to update information provided to us;
• repeat our request that 3TG Direct Suppliers encourage facilities they have identified in their supply chains to join the Conflict-Free Smelter Program; and
• support the development of the Conflict-Free Smelter Program, including outreach efforts to encourage participation in the program.
Attachment A
Countries of Origin
Based on information available from CSFI as of the 2017 Cut-Off Date and additional research by our external expert consultant, we believe that the countries of origin of the necessary conflict minerals from supplier-reported 3TG facilities may include the following countries.
| Covered Countries | Outside Covered Countries | |
| Burundi | Australia | |
| Central African Republic | Austria | |
| Democratic Republic of the Congo | Benin | |
| Rwanda | Bolivia | |
| South Sudan | Brazil | |
| Tanzania | Burkina Faso | |
| Uganda | Cambodia | |
| Zambia | Canada | |
| Chile | ||
| China | ||
| Colombia | ||
| Ecuador | ||
| Eritrea | ||
| Ethiopia | ||
| France | ||
| Ghana | ||
| Guatemala | ||
| Guinea | ||
| Guyana | ||
| Honduras | ||
| India | ||
| Indonesia | ||
| Japan | ||
| Kazakhstan | ||
| Kyrgyzstan | ||
| Laos | ||
| Madagascar | ||
| Malaysia | ||
| Mali | ||
| Mexico | ||
| Mongolia | ||
| Mozambique | ||
| Myanmar | ||
| Namibia | ||
| New Zealand | ||
| Nicaragua | ||
| Nigeria | ||
| Panama | ||
| Papa New Guinea | ||
| Peru | ||
| Poland | ||
| Portugal | ||
| Russia | ||
| Senegal | ||
| Sierra Leone | ||
| South Africa | ||
| Spain | ||
| Tajikistan | ||
| Thailand | ||
| Togo | ||
| Turkey | ||
| United Arab Emirates | ||
| United States | ||
| Uzbekistan | ||
| Vietnam | ||
| Zimbabwe | ||
Attachment B
3TG Facility List
This 3TG Facility List sets forth the name, location and status of all of the 305 3TG facilities our suppliers reported to us. It is the result of our review of data from several sources, including information reported to us by 3TG Direct Suppliers, obtained through supplemental engagement with certain 3TG facilities, and from CFSI. Inclusion on this list is not necessarily an indication that any particular facility supplies materials that are ultimately incorporated into HPE products. In many cases facility information was provided to us for the entire supply chain of 3TG Direct Suppliers, and did not identify with specificity those 3TG facilities believed to contribute necessary conflict minerals to any of our products.
| Metal | Facility Name | Facility Location | Status |
| Gold | Abington Reldan Metals, LLC | UNITED STATES | In process |
| Gold | Advanced Chemical Company | UNITED STATES | Compliant |
| Gold | Aida Chemical Industries Co., Ltd. | JAPAN | Compliant |
| Gold | Al Etihad Gold LLC | UNITED ARAB EMIRATES | Compliant |
| Gold | Allgemeine Gold-und Silberscheideanstalt A.G. | GERMANY | Compliant |
| Gold | Almalyk Mining and Metallurgical Complex (AMMC) | UZBEKISTAN | Compliant |
| Gold | AngloGold Ashanti Corrego do Sitio Mineracao | BRAZIL | Compliant |
| Gold | Argor-Heraeus S.A. | SWITZERLAND | Compliant |
| Gold | Asahi Pretec Corp. | JAPAN | Compliant |
| Gold | Asahi Refining Canada Ltd. | CANADA | Compliant |
| Gold | Asahi Refining USA Inc. | UNITED STATES | Compliant |
| Gold | Asaka Riken Co., Ltd. | JAPAN | Compliant |
| Gold | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | TURKEY | Not yet participating |
| Gold | AU Traders and Refiners | SOUTH AFRICA | Compliant |
| Gold | Aurubis AG | GERMANY | Compliant |
| Gold | Bangalore Refinery | INDIA | In process |
| Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | PHILIPPINES | Compliant |
| Gold | Boliden AB | SWEDEN | Compliant |
| Gold | C. Hafner GmbH + Co. KG | GERMANY | Compliant |
| Gold | Caridad | MEXICO | Not yet participating |
| Gold | CCR Refinery - Glencore Canada Corporation | CANADA | Compliant |
| Gold | Cendres + Metaux S.A. | SWITZERLAND | In process |
| Gold | Chimet S.p.A. | ITALY | Compliant |
| Gold | Chugai Mining | JAPAN | Not yet participating |
| Gold | Daejin Indus Co., Ltd. | REPUBLIC OF KOREA | Compliant |
| Gold | Daye Non-Ferrous Metals Mining Ltd. | CHINA | Not yet participating |
| Gold | DODUCO GmbH | GERMANY | Compliant |
| Gold | Dowa | JAPAN | Compliant |
| Gold | DSC (Do Sung Corporation) | REPUBLIC OF KOREA | Compliant |
| Gold | Eco-System Recycling Co., Ltd. | JAPAN | Compliant |
| Gold | Elemetal Refining, LLC | UNITED STATES | Not yet participating |
| Gold | Emirates Gold DMCC | UNITED ARAB EMIRATES | Compliant |
| Gold | Fidelity Printers and Refiners Ltd. | ZIMBABWE | Not yet participating* |
| Gold | Gansu Seemine Material Hi-Tech Co., Ltd. | CHINA | Not yet participating |
| Gold | GCC Gujrat Gold Centre Pvt. Ltd. | INDIA | Not yet participating |
| Gold | Geib Refining Corporation | UNITED STATES | Compliant |
| Gold | Gold Refinery of Zijin Mining Group Co., Ltd. | CHINA | Compliant |
| Gold | Great Wall Precious Metals Co., Ltd. of CBPM | CHINA | Not yet participating |
| Gold | Guangdong Jinding Gold Limited | CHINA | Not yet participating |
| Gold | Guoda Safina High-Tech Environmental Refinery Co., Ltd. | CHINA | Not yet participating |
| Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. | CHINA | Not yet participating |
| Gold | Heimerle + Meule GmbH | GERMANY | Compliant |
| Gold | Heraeus Metals Hong Kong Ltd. | CHINA | Compliant |
| Gold | Heraeus Precious Metals GmbH & Co. KG | GERMANY | Compliant |
| Gold | Hunan Chenzhou Mining Co., Ltd. | CHINA | Not yet participating |
| Gold | HwaSeong CJ CO., LTD. | REPUBLIC OF KOREA | Not yet participating |
| Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | CHINA | Compliant |
| Gold | Ishifuku Metal Industry Co., Ltd. | JAPAN | Compliant |
| Gold | Istanbul Gold Refinery | TURKEY | Compliant |
| Gold | Japan Mint | JAPAN | Compliant |
| Gold | Jiangxi Copper Co., Ltd. | CHINA | Compliant |
| Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | RUSSIA | Compliant |
| Gold | JSC Uralelectromed | RUSSIA | Compliant |
| Gold | JX Nippon Mining & Metals Co., Ltd. | JAPAN | Compliant |
| Gold | Kaloti Precious Metals | UNITED ARAB EMIRATES | Not yet participating* |
| Gold | Kazakhmys Smelting LLC | KAZAKHSTAN | Not yet participating |
| Gold | Kazzinc | KAZAKHSTAN | Compliant |
| Gold | Kennecott Utah Copper LLC | UNITED STATES | Compliant |
| Gold | KGHM Polska Miedz Spolka Akcyjna | POLAND | In process |
| Gold | Kojima Chemicals Co., Ltd. | JAPAN | Compliant |
| Gold | Korea Zinc Co., Ltd. | REPUBLIC OF KOREA | Compliant |
| Gold | Kyrgyzaltyn JSC | KYRGYZSTAN | Compliant |
| Gold | L'azurde Company For Jewelry | SAUDI ARABIA | Not yet participating |
| Gold | Lingbao Gold Co., Ltd. | CHINA | Not yet participating |
| Gold | Lingbao Jinyuan Tonghui Refinery Co., Ltd. | CHINA | Not yet participating |
| Gold | LS-NIKKO Copper Inc. | REPUBLIC OF KOREA | Compliant |
| Gold | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | CHINA | Not yet participating |
| Gold | Materion | UNITED STATES | Compliant |
| Gold | Matsuda Sangyo Co., Ltd. | JAPAN | Compliant |
| Gold | Metalor Technologies (Hong Kong) Ltd. | CHINA | Compliant |
| Gold | Metalor Technologies (Singapore) Pte., Ltd. | SINGAPORE | Compliant |
| Gold | Metalor Technologies (Suzhou) Ltd. | CHINA | Compliant |
| Gold | Metalor Technologies S.A. | SWITZERLAND | Compliant |
| Gold | Metalor USA Refining Corporation | UNITED STATES | Compliant |
| Gold | Metalurgica Met-Mex Penoles S.A. De C.V. | MEXICO | Compliant |
| Gold | Mitsubishi Materials Corporation | JAPAN | Compliant |
| Gold | Mitsui Mining and Smelting Co., Ltd. | JAPAN | Compliant |
| Gold | MMTC-PAMP India Pvt., Ltd. | INDIA | Compliant |
| Gold | Modeltech Sdn Bhd | MALAYSIA | In process |
| Gold | Morris and Watson | NEW ZEALAND | Not yet participating |
| Gold | Moscow Special Alloys Processing Plant | RUSSIA | Compliant |
| Gold | Nadir Metal Rafineri San. Ve Tic. A.S. | TURKEY | Compliant |
| Gold | Navoi Mining and Metallurgical Combinat | UZBEKISTAN | In process |
| Gold | Nihon Material Co., Ltd. | JAPAN | Compliant |
| Gold | Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH | AUSTRIA | Compliant |
| Gold | Ohura Precious Metal Industry Co., Ltd. | JAPAN | Compliant |
| Gold | OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) | RUSSIA | Compliant |
| Gold | OJSC Novosibirsk Refinery | RUSSIA | Compliant |
| Gold | PAMP S.A. | SWITZERLAND | Compliant |
| Gold | Penglai Penggang Gold Industry Co., Ltd. | CHINA | Not yet participating |
| Gold | Prioksky Plant of Non-Ferrous Metals | RUSSIA | Compliant |
| Gold | PT Aneka Tambang (Persero) Tbk | INDONESIA | Compliant |
| Gold | PX Precinox S.A. | SWITZERLAND | Compliant |
| Gold | Rand Refinery (Pty) Ltd. | SOUTH AFRICA | Compliant |
| Gold | Remondis Argentia B.V. | NETHERLANDS | Not yet participating |
| Gold | Republic Metals Corporation | UNITED STATES | Compliant |
| Gold | Royal Canadian Mint | CANADA | Compliant |
| Gold | SAAMP | FRANCE | Not yet participating |
| Gold | Sabin Metal Corp. | UNITED STATES | Not yet participating |
| Gold | SAFINA A.S. | CZECH REPUBLIC | Not yet participating |
| Gold | Sai Refinery | INDIA | Not yet participating |
| Gold | Samduck Precious Metals | REPUBLIC OF KOREA | Compliant |
| Gold | Samwon Metals Corp. | REPUBLIC OF KOREA | Not yet participating |
| Gold | SAXONIA Edelmetalle GmbH | GERMANY | Compliant |
| Gold | Schone Edelmetaal B.V. | NETHERLANDS | Compliant |
| Gold | SEMPSA Joyeria Plateria S.A. | SPAIN | Compliant |
| Gold | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | CHINA | Not yet participating |
| Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | CHINA | Compliant |
| Gold | Sichuan Tianze Precious Metals Co., Ltd. | CHINA | Compliant |
| Gold | Singway Technology Co., Ltd. | TAIWAN | Compliant |
| Gold | So Accurate Group, Inc. | UNITED STATES | Not yet participating |
| Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | RUSSIA | Compliant |
| Gold | Solar Applied Materials Technology Corp. | TAIWAN | Compliant |
| Gold | Sudan Gold Refinery | SUDAN | Not yet participating* |
| Gold | Sumitomo Metal Mining Co., Ltd. | JAPAN | Compliant |
| Gold | T.C.A S.p.A | ITALY | Compliant |
| Gold | Tanaka Kikinzoku Kogyo K.K. | JAPAN | Compliant |
| Gold | The Refinery of Shandong Gold Mining Co., Ltd. | CHINA | Compliant |
| Gold | Tokuriki Honten Co., Ltd. | JAPAN | Compliant |
| Gold | Tongling Nonferrous Metals Group Co., Ltd. | CHINA | Not yet participating |
| Gold | Tony Goetz NV | BELGIUM | In process |
| Gold | TOO Tau-Ken-Altyn | KAZAKHSTAN | Not yet participating |
| Gold | Torecom | REPUBLIC OF KOREA | Compliant |
| Gold | Umicore Brasil Ltda. | BRAZIL | Compliant |
| Gold | Umicore Precious Metals Thailand | THAILAND | Compliant |
| Gold | Umicore S.A. Business Unit Precious Metals Refining | BELGIUM | Compliant |
| Gold | United Precious Metal Refining, Inc. | UNITED STATES | Compliant |
| Gold | Universal Precious Metals Refining Zambia | ZAMBIA | Not yet participating* |
| Gold | Valcambi S.A. | SWITZERLAND | Compliant |
| Gold | Western Australian Mint (T/a The Perth Mint) | AUSTRALIA | Compliant |
| Gold | WIELAND Edelmetalle GmbH | GERMANY | Compliant |
| Gold | Yamamoto Precious Metal Co., Ltd. | JAPAN | Compliant |
| Gold | Yokohama Metal Co., Ltd. | JAPAN | Compliant |
| Gold | Yunnan Copper Industry Co., Ltd. | CHINA | Not yet participating |
| Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | CHINA | Compliant |
| Tantalum | Changsha South Tantalum Niobium Co., Ltd. | CHINA | Compliant |
| Tantalum | Conghua Tantalum and Niobium Smeltry | CHINA | Compliant |
| Tantalum | D Block Metals, LLC | UNITED STATES | Compliant |
| Tantalum | Duoluoshan | CHINA | Compliant |
| Tantalum | Exotech Inc. | UNITED STATES | Compliant |
| Tantalum | F&X Electro-Materials Ltd. | CHINA | Compliant |
| Tantalum | FIR Metals & Resource Ltd. | CHINA | Compliant |
| Tantalum | Global Advanced Metals Aizu | JAPAN | Compliant |
| Tantalum | Global Advanced Metals Boyertown | UNITED STATES | Compliant |
| Tantalum | Guangdong Zhiyuan New Material Co., Ltd. | CHINA | Compliant |
| Tantalum | H.C. Starck Co., Ltd. | THAILAND | Compliant |
| Tantalum | H.C. Starck Hermsdorf GmbH | GERMANY | Compliant |
| Tantalum | H.C. Starck Inc. | UNITED STATES | Compliant |
| Tantalum | H.C. Starck Ltd. | JAPAN | Compliant |
| Tantalum | H.C. Starck Smelting GmbH & Co. KG | GERMANY | Compliant |
| Tantalum | H.C. Starck Tantalum and Niobium GmbH | GERMANY | Compliant |
| Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | CHINA | Compliant |
| Tantalum | Hi-Temp Specialty Metals, Inc. | UNITED STATES | Compliant |
| Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | CHINA | Compliant |
| Tantalum | Jiangxi Tuohong New Raw Material | CHINA | Compliant |
| Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | CHINA | Compliant |
| Tantalum | Jiujiang Nonferrous Metals Smelting Company Limited | CHINA | Compliant |
| Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | CHINA | Compliant |
| Tantalum | KEMET Blue Metals | MEXICO | Compliant |
| Tantalum | KEMET Blue Powder | UNITED STATES | Compliant |
| Tantalum | King-Tan Tantalum Industry Ltd. | CHINA | Compliant |
| Tantalum | LSM Brasil S.A. | BRAZIL | Compliant |
| Tantalum | Metallurgical Products India Pvt., Ltd. | INDIA | Compliant |
| Tantalum | Mineracao Taboca S.A. | BRAZIL | Compliant |
| Tantalum | Mitsui Mining and Smelting Co., Ltd. | JAPAN | Compliant |
| Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | CHINA | Compliant |
| Tantalum | NPM Silmet AS | ESTONIA | Compliant |
| Tantalum | Power Resources Ltd. | MACEDONIA | Compliant |
| Tantalum | QuantumClean | UNITED STATES | Compliant |
| Tantalum | Resind Industria e Comercio Ltda. | BRAZIL | Compliant |
| Tantalum | RFH Tantalum Smeltry Co., Ltd. | CHINA | Compliant |
| Tantalum | Solikamsk Magnesium Works OAO | RUSSIA | Compliant |
| Tantalum | Taki Chemical Co., Ltd. | JAPAN | Compliant |
| Tantalum | Telex Metals | UNITED STATES | Compliant |
| Tantalum | Tranzact, Inc. | UNITED STATES | Compliant |
| Tantalum | Ulba Metallurgical Plant JSC | KAZAKHSTAN | Compliant |
| Tantalum | XinXing HaoRong Electronic Material Co., Ltd. | CHINA | Compliant |
| Tantalum | Yichun Jin Yang Rare Metal Co., Ltd. | CHINA | Compliant |
| Tantalum | Zhuzhou Cemented Carbide Group Co., Ltd. | CHINA | Compliant |
| Tin | Alpha | UNITED STATES | Compliant |
| Tin | An Thai Minerals Co., Ltd. | VIETNAM | Not yet participating |
| Tin | An Vinh Joint Stock Mineral Processing Company | VIETNAM | Not yet participating |
| Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | CHINA | Compliant |
| Tin | China Tin Group Co., Ltd. | CHINA | Compliant |
| Tin | CNMC (Guangxi) PGMA Co., Ltd. | CHINA | Not yet participating |
| Tin | Cooperativa Metalurgica de Rondonia Ltda. | BRAZIL | Compliant |
| Tin | CV Ayi Jaya | INDONESIA | Compliant |
| Tin | CV Dua Sekawan | INDONESIA | Compliant |
| Tin | CV Gita Pesona | INDONESIA | Compliant |
| Tin | CV Serumpun Sebalai | INDONESIA | Compliant |
| Tin | CV Tiga Sekawan | INDONESIA | Compliant |
| Tin | CV United Smelting | INDONESIA | Compliant |
| Tin | CV Venus Inti Perkasa | INDONESIA | Compliant |
| Tin | Dowa | JAPAN | Compliant |
| Tin | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | VIETNAM | In process |
| Tin | Elmet S.L.U. | SPAIN | Compliant |
| Tin | EM Vinto | BOLIVIA | Compliant |
| Tin | Estanho de Rondonia S.A. | BRAZIL | Not yet participating |
| Tin | Fenix Metals | POLAND | Compliant |
| Tin | Gejiu Fengming Metallurgy Chemical Plant | CHINA | Compliant |
| Tin | Gejiu Jinye Mineral Company | CHINA | Compliant |
| Tin | Gejiu Kai Meng Industry and Trade LLC | CHINA | In process |
| Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. | CHINA | Compliant |
| Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | CHINA | In process |
| Tin | Gejiu Zili Mining And Metallurgy Co., Ltd. | CHINA | Not yet participating |
| Tin | Guanyang Guida Nonferrous Metal Smelting Plant | CHINA | Compliant |
| Tin | HuiChang Hill Tin Industry Co., Ltd. | CHINA | Compliant |
| Tin | Huichang Jinshunda Tin Co., Ltd. | CHINA | In process |
| Tin | Jiangxi Ketai Advanced Material Co., Ltd. | CHINA | Compliant |
| Tin | Magnu's Minerais Metais e Ligas Ltda. | BRAZIL | Compliant |
| Tin | Malaysia Smelting Corporation (MSC) | MALAYSIA | Compliant |
| Tin | Melt Metais e Ligas S.A. | BRAZIL | Compliant |
| Tin | Metallic Resources, Inc. | UNITED STATES | Compliant |
| Tin | Metallo-Chimique N.V. | BELGIUM | Compliant |
| Tin | Mineracao Taboca S.A. | BRAZIL | Compliant |
| Tin | Minsur | PERU | Compliant |
| Tin | Mitsubishi Materials Corporation | JAPAN | Compliant |
| Tin | Modeltech Sdn Bhd | MALAYSIA | In process |
| Tin | Nankang Nanshan Tin Manufactory Co., Ltd. | CHINA | In process |
| Tin | Nghe Tinh Non-Ferrous Metals Joint Stock Company | VIETNAM | Not yet participating |
| Tin | O.M. Manufacturing (Thailand) Co., Ltd. | THAILAND | Compliant |
| Tin | O.M. Manufacturing Philippines, Inc. | PHILIPPINES | Compliant |
| Tin | Operaciones Metalurgical S.A. | BOLIVIA | Compliant |
| Tin | PT Aries Kencana Sejahtera | INDONESIA | Compliant |
| Tin | PT Artha Cipta Langgeng | INDONESIA | Compliant |
| Tin | PT ATD Makmur Mandiri Jaya | INDONESIA | Compliant |
| Tin | PT Babel Inti Perkasa | INDONESIA | Compliant |
| Tin | PT Bangka Prima Tin | INDONESIA | Compliant |
| Tin | PT Bangka Tin Industry | INDONESIA | Compliant |
| Tin | PT Belitung Industri Sejahtera | INDONESIA | Compliant |
| Tin | PT Bukit Timah | INDONESIA | Compliant |
| Tin | PT DS Jaya Abadi | INDONESIA | Compliant |
| Tin | PT Eunindo Usaha Mandiri | INDONESIA | Compliant |
| Tin | PT Inti Stania Prima | INDONESIA | Compliant |
| Tin | PT Karimun Mining | INDONESIA | Compliant |
| Tin | PT Kijang Jaya Mandiri | INDONESIA | Compliant |
| Tin | PT Mitra Stania Prima | INDONESIA | Compliant |
| Tin | PT O.M. Indonesia | INDONESIA | Compliant |
| Tin | PT Panca Mega Persada | INDONESIA | Compliant |
| Tin | PT Prima Timah Utama | INDONESIA | Compliant |
| Tin | PT Refined Bangka Tin | INDONESIA | Compliant |
| Tin | PT Sariwiguna Binasentosa | INDONESIA | Compliant |
| Tin | PT Stanindo Inti Perkasa | INDONESIA | Compliant |
| Tin | PT Sukses Inti Makmur | INDONESIA | Compliant |
| Tin | PT Sumber Jaya Indah | INDONESIA | Compliant |
| Tin | PT Timah (Persero) Tbk Kundur | INDONESIA | Compliant |
| Tin | PT Timah (Persero) Tbk Mentok | INDONESIA | Compliant |
| Tin | PT Tinindo Inter Nusa | INDONESIA | Compliant |
| Tin | PT Tommy Utama | INDONESIA | Compliant |
| Tin | Resind Industria e Comercio Ltda. | BRAZIL | Compliant |
| Tin | Rui Da Hung | TAIWAN | Compliant |
| Tin | Soft Metais Ltda. | BRAZIL | Compliant |
| Tin | Super Ligas | BRAZIL | Not yet participating |
| Tin | Thaisarco | THAILAND | Compliant |
| Tin | Tuyen Quang Non-Ferrous Metals Joint Stock Company | VIETNAM | Not yet participating |
| Tin | VQB Mineral and Trading Group JSC | VIETNAM | Compliant |
| Tin | White Solder Metalurgia e Mineracao Ltda. | BRAZIL | Compliant |
| Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | CHINA | In process |
| Tin | Yunnan Tin Company Limited | CHINA | Compliant |
| Tungsten | A.L.M.T. TUNGSTEN Corp. | JAPAN | Compliant |
| Tungsten | ACL Metais Eireli | BRAZIL | Not yet participating |
| Tungsten | Asia Tungsten Products Vietnam Ltd. | VIETNAM | Compliant |
| Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd. | CHINA | Compliant |
| Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | CHINA | Compliant |
| Tungsten | Dayu Weiliang Tungsten Co., Ltd. | CHINA | Not yet participating |
| Tungsten | Fujian Jinxin Tungsten Co., Ltd. | CHINA | Compliant |
| Tungsten | Ganzhou Haichuang Tungsten Co., Ltd. | CHINA | In process |
| Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. | CHINA | Compliant |
| Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | CHINA | Compliant |
| Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | CHINA | Compliant |
| Tungsten | Ganzhou Yatai Tungsten Co., Ltd. | CHINA | Not yet participating |
| Tungsten | Global Tungsten & Powders Corp. | UNITED STATES | Compliant |
| Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | CHINA | Compliant |
| Tungsten | H.C. Starck Smelting GmbH & Co. KG | GERMANY | Compliant |
| Tungsten | H.C. Starck Tungsten GmbH | GERMANY | Compliant |
| Tungsten | Hunan Chenzhou Mining Co., Ltd. | CHINA | Compliant |
| Tungsten | Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji | CHINA | Compliant |
| Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd. | CHINA | Compliant |
| Tungsten | Hydrometallurg, JSC | RUSSIA | Compliant |
| Tungsten | Japan New Metals Co., Ltd. | JAPAN | Compliant |
| Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | CHINA | Compliant |
| Tungsten | Jiangxi Dayu Longxintai Tungsten Co., Ltd. | CHINA | Not yet participating |
| Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | CHINA | Compliant |
| Tungsten | Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. | CHINA | Not yet participating |
| Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | CHINA | Compliant |
| Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | CHINA | Compliant |
| Tungsten | Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd. | CHINA | Compliant |
| Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. | CHINA | Compliant |
| Tungsten | Kennametal Fallon | UNITED STATES | Compliant |
| Tungsten | Kennametal Huntsville | UNITED STATES | Compliant |
| Tungsten | Malipo Haiyu Tungsten Co., Ltd. | CHINA | Compliant |
| Tungsten | Moliren Ltd. | RUSSIA | Compliant |
| Tungsten | Niagara Refining LLC | UNITED STATES | Compliant |
| Tungsten | Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC | VIETNAM | Compliant |
| Tungsten | Philippine Chuangxin Industrial Co., Inc. | PHILIPPINES | Compliant |
| Tungsten | South-East Nonferrous Metal Company Limited of Hengyang City | CHINA | Compliant |
| Tungsten | Tejing (Vietnam) Tungsten Co., Ltd. | VIETNAM | Compliant |
| Tungsten | Unecha Refractory metals plant | RUSSIA | Compliant |
| Tungsten | Vietnam Youngsun Tungsten Industry Co., Ltd. | VIETNAM | Compliant |
| Tungsten | Wolfram Bergbau und Hutten AG | AUSTRIA | Compliant |
| Tungsten | Woltech Korea Co., Ltd. | REPUBLIC OF KOREA | Compliant |
| Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | CHINA | Compliant |
| Tungsten | Xiamen Tungsten Co., Ltd. | CHINA | Compliant |
| Tungsten | Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. | CHINA | Compliant |
| Tungsten | Xinhai Rendan Shaoguan Tungsten Co., Ltd. | CHINA | Compliant |