Exhibit 1.01
Quantum Corporation
Conflict Minerals Report for the Calendar Year Ended December 31, 2022
This conflict minerals report contains forward-looking statements. These statements include Quantum’s goals for its conflict minerals program and the actions Quantum intends to take to improve transparency and reporting. All forward-looking statements involve risk and uncertainty. When considering these statements, you should also consider the important factors described in reports and documents Quantum files from time to time with the Securities and Exchange Commission, including the factors described under the sections titled “Risk Factors” in Quantum’s most recently filed Annual and Quarterly Reports on Forms 10-K and 10-Q, respectively. Except as required by law, Quantum disclaims any obligation to update information contained in these forward-looking statements whether as a result of new information, future events, or otherwise. Any references to our website do not incorporate website information unless specifically indicated.
INTRODUCTION
This conflict minerals report for Quantum Corporation (Quantum, we, us, or the Company) is filed for calendar year 2022 (CY22) in accordance with Securities Exchange Act Rule 13p-1 (Rule 13p-1).
Quantum delivers end-to-end solutions to analyze and enrich, store and manage, and protect and preserve unstructured data across its entire lifecycle. We specialize in solutions for video data, images, and other large files because this “unstructured” data represents the vast majority of all data being created, according to leading industry analyst firms. This unstructured data has driven a fundamental shift in the nature of data and the role data plays in every industry. It is exponentially larger than traditional corporate data, contains immense value, and must be captured, protected, and stored for many years, decades, and longer. And it is no longer just about storing data— organizations need to extract value from their data. Locked inside video, imagery, security camera footage, scientific data sets, and other sensor-derived data is a wealth of information for informed decision-making. That’s why organizations need end-to-end solutions that allow them to manage and preserve data for decades and to easily extract insights from it. Whether data lives in the workplace, at the edge, or in the cloud, we provide organizations with the technology, software, and services they need to store, manage, protect, and enrich data throughout its lifecycle. More information about Quantum’s product suite is available at https://www.quantum.com/en/products/.
Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Section 1502) requires Quantum to perform certain due diligence and disclosure activities regarding the use and origin of tin, tantalum, tungsten, and gold (3TG) in our supply chain, if they are deemed necessary to the functionality or production of our products. Quantum’s
We source components and subassemblies containing 3TG from a global supply base that includes distributors, value-added resellers, original equipment manufacturers, original design manufacturers, contract manufacturers, and parts brokers. Our suppliers are responsible for procuring most of the raw materials used in the production process. We must therefore rely on our supply chain partners to provide information on their 3TG sources.
In accordance with Section 1502 and Rule 13p-1, we have undertaken a reasonable country of origin inquiry (RCOI) into the 3TG present in our CY22 supply chain. The RCOI is intended to determine whether these minerals may have originated from the Democratic Republic of the Congo or adjoining countries (Covered Countries), or from recycled or scrap sources. As part of the RCOI, we conducted the due diligence measures described below.
DUE DILIGENCE RESULTS
Our RCOI process is designed in good faith to produce due diligence results. That said, we are unable to guarantee that there are no inaccuracies, incompleteness, or falsities in the conflict minerals reporting templates (CMRTs) we receive, despite our reasonable efforts to review them. In addition, since most suppliers provide company-level CMRTs rather than versions specific to components sold to Quantum, we are unable to reasonably determine that all of the identified 3TG sources are actually incorporated into our products.
Based on the information available to us, we are unable to reasonably and reliably ascertain the source and chain of custody of all 3TG necessary to the functionality or production of our products. However, we have not identified any instances in which our sourcing of necessary conflict minerals directly or indirectly financed or benefitted armed groups in the Covered Countries. We also do not believe that the 3TG used in our products originated from recycled or scrap sources.
We expect our supply chain to use only smelters or refiners that have achieved or are actively progressing toward RMI conflict-free status. We continue to believe that over time, our due diligence efforts will incrementally improve and yield more complete information, particularly as suppliers improve the accuracy of their own data and more smelters and refiners participate in a third-party audit process.
An independent private sector audit of our conflict minerals report was not required for CY22.
DUE DILIGENCE PROCEDURES
Our due diligence procedures are designed to materially conform with the Organisation for Economic Co-operation and Development Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, Third Edition. Specifically, our 3TG due diligence measures include:
1. Establishing strong company management systems;
2. Identifying and assessing supply chain risk;
3. Designing and implementing a strategy to respond to identified risks;
4. Supporting industry organizations that perform independent audits of supply chain due diligence; and
5. Publicly reporting on these activities.
We establish strong company management systems.
1.We require suppliers to comply with our Environmental Requirements Specification and Business Partner Code of Conduct, which mandate adherence to applicable conflict minerals regulations. We also expect suppliers to comply with the Responsible Business Alliance Code of Conduct.
2.Our internal conflict minerals management processes are led by our legal department, with assistance from our supply chain and engineering teams. We periodically update senior management regarding the status of our conflict minerals compliance efforts.
3.As we do not have direct relationships with 3TG smelters and refiners, we leverage third-party industry resources including our Responsible Minerals Initiative (RMI) membership to obtain facility information and influence supply chain practices. In CY22, we also contracted with GreenSoft Technology, Inc. (GreenSoft) to help us gather, analyze, and address conflict minerals data and compliance status.
4.We have longstanding grievance mechanisms allowing employees and suppliers to report violations of our policies to our internal ethics committee and our anonymous third-party reporting hotline. Information about these mechanisms is available in our code of conduct, which is posted on the Investor Relations section of our website.
5.We retain records relevant to our 3TG due diligence and reporting efforts.
We identify and assess supply chain risk.
1.We maintain RMI membership to evaluate and disclose identified smelters and refiners in our supply chain as part of our risk assessment plan. We provide feedback, either directly or through GreenSoft, to applicable suppliers when we believe reporting may be incomplete, inaccurate, or that identified 3TG sources were not participating in a conflict-free supply chain.
2.We ask our suppliers to report supply chain data using the current version of the RMI CMRT. We have determined that requiring CMRTs represents the most reasonable and consistent approach to identifying 3TG origins in our supply chain. We have historically focused on obtaining CMRTs from at least 80% of the suppliers we identify as providing components or parts actively used in our products. We obtained responses from 94% of the suppliers contacted for CY22 data, excluding those whose products do not include 3TG.
3.We assess risk by reviewing each supplier’s CMRT and comparing it to relevant RMI facility databases. In CY22, we utilized GreenSoft to gather, analyze, and aggregate CMRT data, helping to identify risks associated with unvalidated smelters and refiners in our supply chain.
4.Many of our suppliers and contract manufactures are Responsible Business Alliance members and require compliance with its code of conduct in their own supply chains.
We design and implement a strategy to respond to identified risks.
1.We implement, manage, and monitor conflict minerals compliance as part of our larger corporate compliance program. Updates regarding risks arising from 3TG in the supply chain are periodically provided to members of the senior management team.
2.Our suppliers and contract manufacturers are required to provide CMRTs and support a conflict-free supply chain. We engage GreenSoft to identify and evaluate smelter and refiner data included on CMRTs against assessments in the RMI database and request corrections from suppliers where we identify data inconsistencies or inaccuracies.
3.We request data from suppliers we reasonably believe, based on part type and material, supply us with 3TG. Suppliers providing CMRTs that suggest their supply chains may support conflict in the Covered Countries are encouraged to establish alternative 3TG sources.
4.Some suppliers are unable to represent to us that 3TG facilities identified in their CMRTs actually relate to components supplied to us. In addition, some facilities are not confirmed to be verified smelters or refiners. Of those locations that we verified, 77% are conformant, active, under review, or in communication with RMI. We will continue to encourage suppliers to utilize only RMI conformant smelters in their supply chains.
We support industry organizations that perform independent audits of supply chain due diligence.
We do not have a direct relationship with 3TG smelters and refiners in our supply chain and do not perform or control audits of their practices. We are an RMI member and compare supplier CMRTs with RMI databases as described above. We consider smelters and refiners identified by the RMI as conformant to be conflict-free.
We publicly report on due diligence activities.
A copy of our conflict minerals report is available at https://investors.quantum.com/financial-information/sec-filings.
OUR ONGOING RISK MITIGATION EFFORTS
We expect to continue improving our supply chain due diligence efforts to mitigate the risk that the necessary 3TG in our products benefit armed groups in the Covered Countries. Among other things, those measures may include:
1.Assessing the presence of 3TG in our supply chain and requesting supplier updates on their efforts to reduce 3TG sourced from Covered Countries in our supply chain.
2.Clearly communicating our expectations for supplier sourcing performance and transparency and requiring 3TG compliance processes in new supplier qualifications.
3.Increasing the quality of information in RCOI responses and continuing to compare RCOI results to information collected via independent validation programs.
4.Providing internal and external training about our responsible sourcing efforts.
Table 1 - Potential Smelters and Refiners Used and Country of Origin Data
The information provided in the table below represents data aggregated from CMRTs received from our supply chain, and includes only entities which RMI recognizes as valid smelters or refiners. Inclusion on this list is not intended to confirm that conflict minerals were actually provided for use in Quantum products. We cannot rule out that there are entries in the list below that do not relate directly to our products.
| | | | | | | | | | | | | | |
| Smelter ID | Metal (*) | Standard Smelter Name | Country Location | RMAP Audit Status |
| CID000015 | Gold | Advanced Chemical Company | UNITED STATES OF AMERICA | Conformant |
| CID000019 | Gold | Aida Chemical Industries Co., Ltd. | JAPAN | Conformant |
| CID000035 | Gold | Agosi AG | GERMANY | Conformant |
| CID000041 | Gold | Almalyk Mining and Metallurgical Complex (AMMC) | UZBEKISTAN | Conformant |
| CID000058 | Gold | AngloGold Ashanti Corrego do Sitio Mineracao | BRAZIL | Conformant |
| CID000077 | Gold | Argor-Heraeus S.A. | SWITZERLAND | Conformant |
| CID000082 | Gold | Asahi Pretec Corp. | JAPAN | Conformant |
| CID000090 | Gold | Asaka Riken Co., Ltd. | JAPAN | Conformant |
| CID000103 | Gold | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | TURKEY | Outreach Required |
| CID000113 | Gold | Aurubis AG | GERMANY | Conformant |
| CID000128 | Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | PHILIPPINES | Conformant |
| CID000157 | Gold | Boliden AB | SWEDEN | Conformant |
| CID000176 | Gold | C. Hafner GmbH + Co. KG | GERMANY | Conformant |
| CID000180 | Gold | Caridad | MEXICO | Outreach Required |
| CID000185 | Gold | CCR Refinery - Glencore Canada Corporation | CANADA | Conformant |
| CID000189 | Gold | Cendres + Metaux S.A. | SWITZERLAND | Non Conformant |
| | | | | | | | | | | | | | |
| CID000197 | Gold | Yunnan Copper Industry Co., Ltd. | CHINA | Outreach Required |
| CID000233 | Gold | Chimet S.p.A. | ITALY | Conformant |
| CID000264 | Gold | Chugai Mining | JAPAN | Conformant |
| CID000343 | Gold | Daye Non-Ferrous Metals Mining Ltd. | CHINA | In Communication |
| CID000359 | Gold | DSC (Do Sung Corporation) | KOREA, REPUBLIC OF | Conformant |
| CID000401 | Gold | Dowa | JAPAN | Conformant |
| CID000425 | Gold | Eco-System Recycling Co., Ltd. East Plant | JAPAN | Conformant |
| CID000493 | Gold | JSC Novosibirsk Refinery | RUSSIAN FEDERATION | Due Diligence Review |
| CID000522 | Gold | Refinery of Seemine Gold Co., Ltd. | CHINA | Outreach Required |
| CID000651 | Gold | Guoda Safina High-Tech Environmental Refinery Co., Ltd. | CHINA | Outreach Required |
| CID000671 | Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. | CHINA | Outreach Required |
| CID000689 | Gold | LT Metal Ltd. | KOREA, REPUBLIC OF | Conformant |
| CID000694 | Gold | Heimerle + Meule GmbH | GERMANY | Conformant |
| CID000707 | Gold | Heraeus Metals Hong Kong Ltd. | CHINA | Conformant |
| CID000711 | Gold | Heraeus Germany GmbH Co. KG | GERMANY | Conformant |
| CID000767 | Gold | Hunan Chenzhou Mining Co., Ltd. | CHINA | Outreach Required |
| CID000773 | Gold | Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd. | CHINA | Outreach Required |
| CID000778 | Gold | HwaSeong CJ Co., Ltd. | KOREA, REPUBLIC OF | Communication Suspended |
| CID000801 | Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | CHINA | Conformant |
| CID000807 | Gold | Ishifuku Metal Industry Co., Ltd. | JAPAN | Conformant |
| CID000814 | Gold | Istanbul Gold Refinery | TURKEY | Conformant |
| CID000823 | Gold | Japan Mint | JAPAN | Conformant |
| CID000855 | Gold | Jiangxi Copper Co., Ltd. | CHINA | Conformant |
| CID000920 | Gold | Asahi Refining USA Inc. | UNITED STATES OF AMERICA | Conformant |
| CID000924 | Gold | Asahi Refining Canada Ltd. | CANADA | Conformant |
| CID000927 | Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | RUSSIAN FEDERATION | Due Diligence Review |
| CID000929 | Gold | JSC Uralelectromed | RUSSIAN FEDERATION | Due Diligence Review |
| CID000937 | Gold | JX Nippon Mining & Metals Co., Ltd. | JAPAN | Conformant |
| CID000956 | Gold | Kazakhmys Smelting LLC | KAZAKHSTAN | In Communication |
| CID000957 | Gold | Kazzinc | KAZAKHSTAN | Conformant |
| CID000969 | Gold | Kennecott Utah Copper LLC | UNITED STATES OF AMERICA | Conformant |
| CID000981 | Gold | Kojima Chemicals Co., Ltd. | JAPAN | Conformant |
| CID001029 | Gold | Kyrgyzaltyn JSC | KYRGYZSTAN | Non Conformant |
| CID001032 | Gold | L'azurde Company For Jewelry | SAUDI ARABIA | Due Diligence Review |
| CID001056 | Gold | Lingbao Gold Co., Ltd. | CHINA | Outreach Required |
| CID001058 | Gold | Lingbao Jinyuan Tonghui Refinery Co., Ltd. | CHINA | Outreach Required |
| CID001078 | Gold | LS-NIKKO Copper Inc. | KOREA, REPUBLIC OF | Conformant |
| CID001093 | Gold | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | CHINA | Outreach Required |
| CID001113 | Gold | Materion | UNITED STATES OF AMERICA | Conformant |
| CID001119 | Gold | Matsuda Sangyo Co., Ltd. | JAPAN | Conformant |
| CID001147 | Gold | Metalor Technologies (Suzhou) Ltd. | CHINA | Conformant |
| CID001149 | Gold | Metalor Technologies (Hong Kong) Ltd. | CHINA | Conformant |
| CID001152 | Gold | Metalor Technologies (Singapore) Pte., Ltd. | SINGAPORE | Conformant |
| CID001153 | Gold | Metalor Technologies S.A. | SWITZERLAND | Conformant |
| CID001157 | Gold | Metalor USA Refining Corporation | UNITED STATES OF AMERICA | Conformant |
| CID001161 | Gold | Metalurgica Met-Mex Penoles S.A. De C.V. | MEXICO | Conformant |
| CID001188 | Gold | Mitsubishi Materials Corporation | JAPAN | Conformant |
| | | | | | | | | | | | | | |
| CID001193 | Gold | Mitsui Mining and Smelting Co., Ltd. | JAPAN | Conformant |
| CID001204 | Gold | Moscow Special Alloys Processing Plant | RUSSIAN FEDERATION | Due Diligence Review |
| CID001220 | Gold | Nadir Metal Rafineri San. Ve Tic. A.S. | TURKEY | Conformant |
| CID001236 | Gold | Navoi Mining and Metallurgical Combinat | UZBEKISTAN | Conformant |
| CID001259 | Gold | Nihon Material Co., Ltd. | JAPAN | Conformant |
| CID001325 | Gold | Ohura Precious Metal Industry Co., Ltd. | JAPAN | Conformant |
| CID001326 | Gold | OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) | RUSSIAN FEDERATION | Due Diligence Review |
| CID001352 | Gold | PAMP S.A. | SWITZERLAND | Conformant |
| CID001362 | Gold | Penglai Penggang Gold Industry Co., Ltd. | CHINA | Outreach Required |
| CID001386 | Gold | Prioksky Plant of Non-Ferrous Metals | RUSSIAN FEDERATION | Due Diligence Review |
| CID001397 | Gold | PT Aneka Tambang (Persero) Tbk | INDONESIA | Conformant |
| CID001498 | Gold | PX Precinox S.A. | SWITZERLAND | Conformant |
| CID001512 | Gold | Rand Refinery (Pty) Ltd. | SOUTH AFRICA | Conformant |
| CID001534 | Gold | Royal Canadian Mint | CANADA | Conformant |
| CID001546 | Gold | Sabin Metal Corp. | UNITED STATES OF AMERICA | Communication Suspended |
| CID001555 | Gold | Samduck Precious Metals | KOREA, REPUBLIC OF | Non Conformant |
| CID001562 | Gold | SAMWON METALS Corp. | KOREA, REPUBLIC OF | Communication Suspended |
| CID001585 | Gold | SEMPSA Joyeria Plateria S.A. | SPAIN | Conformant |
| CID001619 | Gold | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | CHINA | Outreach Required |
| CID001622 | Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | CHINA | Conformant |
| CID001736 | Gold | Sichuan Tianze Precious Metals Co., Ltd. | CHINA | Conformant |
| CID001756 | Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | RUSSIAN FEDERATION | Due Diligence Review |
| CID001761 | Gold | Solar Applied Materials Technology Corp. | TAIWAN, PROVINCE OF CHINA | Conformant |
| CID001798 | Gold | Sumitomo Metal Mining Co., Ltd. | JAPAN | Conformant |
| CID001810 | Gold | Super Dragon Technology Co., Ltd. | TAIWAN, PROVINCE OF CHINA | Outreach Required |
| CID001875 | Gold | Tanaka Kikinzoku Kogyo K.K. | JAPAN | Conformant |
| CID001909 | Gold | Great Wall Precious Metals Co., Ltd. of CBPM | CHINA | Outreach Required |
| CID001916 | Gold | Shandong gold smelting Co., Ltd. | CHINA | Conformant |
| CID001938 | Gold | Tokuriki Honten Co., Ltd. | JAPAN | Conformant |
| CID001947 | Gold | Tongling Nonferrous Metals Group Co., Ltd. | CHINA | Outreach Required |
| CID001955 | Gold | Torecom | KOREA, REPUBLIC OF | Conformant |
| CID001980 | Gold | Umicore S.A. Business Unit Precious Metals Refining | BELGIUM | Conformant |
| CID001993 | Gold | United Precious Metal Refining, Inc. | UNITED STATES OF AMERICA | Conformant |
| CID002003 | Gold | Valcambi S.A. | SWITZERLAND | Conformant |
| CID002030 | Gold | Western Australian Mint (T/a The Perth Mint) | AUSTRALIA | Conformant |
| CID002100 | Gold | Yamakin Co., Ltd. | JAPAN | Conformant |
| CID002129 | Gold | Yokohama Metal Co., Ltd. | JAPAN | Conformant |
| CID002224 | Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | CHINA | Conformant |
| CID002243 | Gold | Gold Refinery of Zijin Mining Group Co., Ltd. | CHINA | Conformant |
| CID002282 | Gold | Morris and Watson | NEW ZEALAND | In Communication |
| CID002290 | Gold | Safina a.s. | CZECHIA | Conformant |
| CID002312 | Gold | Guangdong Jinding Gold Limited | CHINA | Outreach Required |
| CID002314 | Gold | Umicore Precious Metals Thailand | THAILAND | Non Conformant |
| CID002459 | Gold | Geib Refining Corporation | UNITED STATES OF AMERICA | Conformant |
| CID002509 | Gold | MMTC-PAMP India Pvt., Ltd. | INDIA | Conformant |
| CID002511 | Gold | KGHM Polska Miedz Spolka Akcyjna | POLAND | Conformant |
| | | | | | | | | | | | | | |
| CID002515 | Gold | Fidelity Printers and Refiners Ltd. | ZIMBABWE | Due Diligence Review |
| CID002516 | Gold | Singway Technology Co., Ltd. | TAIWAN, PROVINCE OF CHINA | Non Conformant |
| CID002525 | Gold | Shandong Humon Smelting Co., Ltd. | CHINA | Outreach Required |
| CID002527 | Gold | Shenzhen Zhonghenglong Real Industry Co., Ltd. | CHINA | Outreach Required |
| CID002560 | Gold | Al Etihad Gold Refinery DMCC | UNITED ARAB EMIRATES | Conformant |
| CID002561 | Gold | Emirates Gold DMCC | UNITED ARAB EMIRATES | Conformant |
| CID002562 | Gold | International Precious Metal Refiners | UNITED ARAB EMIRATES | In Communication |
| CID002563 | Gold | Kaloti Precious Metals | UNITED ARAB EMIRATES | Due Diligence Review |
| CID002567 | Gold | Sudan Gold Refinery | SUDAN | Outreach Required |
| CID002580 | Gold | T.C.A S.p.A | ITALY | Conformant |
| CID002582 | Gold | REMONDIS PMR B.V. | NETHERLANDS | Conformant |
| CID002584 | Gold | Fujairah Gold FZC | UNITED ARAB EMIRATES | Outreach Required |
| CID002587 | Gold | Industrial Refining Company | BELGIUM | Non Conformant |
| CID002588 | Gold | Shirpur Gold Refinery Ltd. | INDIA | Outreach Required |
| CID002605 | Gold | Korea Zinc Co., Ltd. | KOREA, REPUBLIC OF | Conformant |
| CID002606 | Gold | Marsam Metals | BRAZIL | Non Conformant |
| CID002615 | Gold | TOO Tau-Ken-Altyn | KAZAKHSTAN | Conformant |
| CID002708 | Gold | Abington Reldan Metals, LLC | UNITED STATES OF AMERICA | Conformant |
| CID002750 | Gold | Shenzhen CuiLu Gold Co., Ltd. | CHINA | Outreach Required |
| CID002760 | Gold | Albino Mountinho Lda. | PORTUGAL | Outreach Required |
| CID002761 | Gold | SAAMP | FRANCE | Conformant |
| CID002762 | Gold | L'Orfebre S.A. | ANDORRA | Conformant |
| CID002763 | Gold | 8853 S.p.A. | ITALY | Non Conformant |
| CID002765 | Gold | Italpreziosi | ITALY | Conformant |
| CID002778 | Gold | WIELAND Edelmetalle GmbH | GERMANY | Conformant |
| CID002779 | Gold | Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH | AUSTRIA | Conformant |
| CID002850 | Gold | AU Traders and Refiners | SOUTH AFRICA | Non Conformant |
| CID002852 | Gold | GGC Gujrat Gold Centre Pvt. Ltd. | INDIA | Active |
| CID002853 | Gold | Sai Refinery | INDIA | Outreach Required |
| CID002857 | Gold | Modeltech Sdn Bhd | MALAYSIA | Non Conformant |
| CID002863 | Gold | Bangalore Refinery | INDIA | Conformant |
| CID002865 | Gold | KYSHTYM COPPER-ELECTROLYTIC PLANT ZAO | RUSSIAN FEDERATION | Due Diligence Review |
| CID002867 | Gold | Degussa Sonne / Mond Goldhandel GmbH | GERMANY | Outreach Required |
| CID002872 | Gold | Pease & Curren | UNITED STATES OF AMERICA | Communication Suspended |
| CID002893 | Gold | JALAN & Company | INDIA | Outreach Required |
| CID002918 | Gold | SungEel HiMetal Co., Ltd. | KOREA, REPUBLIC OF | Conformant |
| CID002919 | Gold | Planta Recuperadora de Metales SpA | CHILE | Conformant |
| CID002920 | Gold | ABC Refinery Pty Ltd. | AUSTRALIA | Outreach Required |
| CID002973 | Gold | Safimet S.p.A | ITALY | Non Conformant |
| CID003153 | Gold | State Research Institute Center for Physical Sciences and Technology | LITHUANIA | Outreach Required |
| CID003185 | Gold | African Gold Refinery | UGANDA | Due Diligence Review |
| CID003186 | Gold | Gold Coast Refinery | GHANA | Outreach Required |
| CID003189 | Gold | NH Recytech Company | KOREA, REPUBLIC OF | Conformant |
| CID003324 | Gold | QG Refining, LLC | UNITED STATES OF AMERICA | Outreach Required |
| CID003348 | Gold | Dijllah Gold Refinery FZC | UNITED ARAB EMIRATES | Outreach Required |
| CID003382 | Gold | CGR Metalloys Pvt Ltd. | INDIA | Outreach Required |
| | | | | | | | | | | | | | |
| CID003383 | Gold | Sovereign Metals | INDIA | Outreach Required |
| CID003421 | Gold | C.I Metales Procesados Industriales SAS | COLOMBIA | Active |
| CID003424 | Gold | Eco-System Recycling Co., Ltd. North Plant | JAPAN | Conformant |
| CID003425 | Gold | Eco-System Recycling Co., Ltd. West Plant | JAPAN | Conformant |
| CID003461 | Gold | Augmont Enterprises Private Limited | INDIA | Active |
| CID003463 | Gold | Kundan Care Products Ltd. | INDIA | In Communication |
| CID003487 | Gold | Emerald Jewel Industry India Limited (Unit 1) | INDIA | In Communication |
| CID003488 | Gold | Emerald Jewel Industry India Limited (Unit 2) | INDIA | In Communication |
| CID003489 | Gold | Emerald Jewel Industry India Limited (Unit 3) | INDIA | In Communication |
| CID003490 | Gold | Emerald Jewel Industry India Limited (Unit 4) | INDIA | In Communication |
| CID003497 | Gold | K.A. Rasmussen | NORWAY | Outreach Required |
| CID003500 | Gold | Alexy Metals | UNITED STATES OF AMERICA | Active |
| CID003529 | Gold | Sancus ZFS (L’Orfebre, SA) | COLOMBIA | Conformant |
| CID003540 | Gold | Sellem Industries Ltd. | MAURITANIA | Communication Suspended |
| CID003548 | Gold | MD Overseas | INDIA | In Communication |
| CID003557 | Gold | Metallix Refining Inc. | UNITED STATES OF AMERICA | In Communication |
| CID003575 | Gold | Metal Concentrators SA (Pty) Ltd. | SOUTH AFRICA | Conformant |
| CID003615 | Gold | WEEEREFINING | FRANCE | Active |
| CID003641 | Gold | Gold by Gold Colombia | COLOMBIA | Conformant |
| CID003663 | Gold | Dongwu Gold Group | CHINA | Outreach Required |
| CID000460 | Tantalum | F&X Electro-Materials Ltd. | CHINA | Conformant |
| CID000616 | Tantalum | XIMEI RESOURCES (GUANGDONG) LIMITED | CHINA | Conformant |
| CID000914 | Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | CHINA | Conformant |
| CID000917 | Tantalum | Jiujiang Tanbre Co., Ltd. | CHINA | Conformant |
| CID001076 | Tantalum | AMG Brasil | BRAZIL | Conformant |
| CID001163 | Tantalum | Metallurgical Products India Pvt., Ltd. | INDIA | Conformant |
| CID001175 | Tantalum | Mineracao Taboca S.A. | BRAZIL | Conformant |
| CID001193 | Tantalum | Mitsui Mining and Smelting Co., Ltd. | JAPAN | Conformant |
| CID001200 | Tantalum | NPM Silmet AS | ESTONIA | Conformant |
| CID001277 | Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | CHINA | Conformant |
| CID001508 | Tantalum | QuantumClean | UNITED STATES OF AMERICA | Conformant |
| CID001522 | Tantalum | Yanling Jincheng Tantalum & Niobium Co., Ltd. | CHINA | Conformant |
| CID001769 | Tantalum | Solikamsk Magnesium Works OAO | RUSSIAN FEDERATION | Due Diligence Review |
| CID001869 | Tantalum | Taki Chemical Co., Ltd. | JAPAN | Conformant |
| CID001891 | Tantalum | Telex Metals | UNITED STATES OF AMERICA | Conformant |
| CID001969 | Tantalum | Ulba Metallurgical Plant JSC | KAZAKHSTAN | Conformant |
| CID002492 | Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | CHINA | Conformant |
| CID002504 | Tantalum | D Block Metals, LLC | UNITED STATES OF AMERICA | Conformant |
| CID002505 | Tantalum | FIR Metals & Resource Ltd. | CHINA | Conformant |
| CID002506 | Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | CHINA | Conformant |
| CID002508 | Tantalum | XinXing HaoRong Electronic Material Co., Ltd. | CHINA | Conformant |
| CID002512 | Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | CHINA | Conformant |
| CID002539 | Tantalum | KEMET de Mexico | MEXICO | Conformant |
| CID002544 | Tantalum | TANIOBIS Co., Ltd. | THAILAND | Conformant |
| CID002545 | Tantalum | TANIOBIS GmbH | GERMANY | Conformant |
| CID002548 | Tantalum | H.C. Starck Inc. | UNITED STATES OF AMERICA | Conformant |
| CID002549 | Tantalum | TANIOBIS Japan Co., Ltd. | JAPAN | Conformant |
| CID002550 | Tantalum | TANIOBIS Smelting GmbH & Co. KG | GERMANY | Conformant |
| CID002557 | Tantalum | Global Advanced Metals Boyertown | UNITED STATES OF AMERICA | Conformant |
| | | | | | | | | | | | | | |
| CID002558 | Tantalum | Global Advanced Metals Aizu | JAPAN | Conformant |
| CID002707 | Tantalum | Resind Industria e Comercio Ltda. | BRAZIL | Conformant |
| CID002842 | Tantalum | Jiangxi Tuohong New Raw Material | CHINA | Conformant |
| CID003583 | Tantalum | RFH Yancheng Jinye New Material Technology Co., Ltd. | CHINA | Conformant |
| CID003926 | Tantalum | 5D Production OU | ESTONIA | Outreach Required |
| CID000228 | Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | CHINA | Conformant |
| CID000292 | Tin | Alpha | UNITED STATES OF AMERICA | Conformant |
| CID000309 | Tin | PT Aries Kencana Sejahtera | INDONESIA | Conformant |
| CID000401 | Tin | Dowa | JAPAN | Conformant |
| CID000438 | Tin | EM Vinto | BOLIVIA (PLURINATIONAL STATE OF) | Conformant |
| CID000448 | Tin | Estanho de Rondonia S.A. | BRAZIL | Conformant |
| CID000468 | Tin | Fenix Metals | POLAND | Conformant |
| CID000538 | Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. | CHINA | Conformant |
| CID000555 | Tin | Gejiu Zili Mining And Metallurgy Co., Ltd. | CHINA | Non Conformant |
| CID000942 | Tin | Gejiu Kai Meng Industry and Trade LLC | CHINA | Non Conformant |
| CID001070 | Tin | China Tin Group Co., Ltd. | CHINA | Conformant |
| CID001105 | Tin | Malaysia Smelting Corporation (MSC) | MALAYSIA | Conformant |
| CID001142 | Tin | Metallic Resources, Inc. | UNITED STATES OF AMERICA | Conformant |
| CID001175 | Tin | Mineracao Taboca S.A. | BRAZIL | Conformant |
| CID001182 | Tin | Minsur | PERU | Conformant |
| CID001188 | Tin | Mitsubishi Materials Corporation | JAPAN | Conformant |
| CID001231 | Tin | Jiangxi New Nanshan Technology Ltd. | CHINA | Conformant |
| CID001305 | Tin | Novosibirsk Processing Plant Ltd. | RUSSIAN FEDERATION | Due Diligence Review |
| CID001314 | Tin | O.M. Manufacturing (Thailand) Co., Ltd. | THAILAND | Conformant |
| CID001337 | Tin | Operaciones Metalurgicas S.A. | BOLIVIA (PLURINATIONAL STATE OF) | Conformant |
| CID001399 | Tin | PT Artha Cipta Langgeng | INDONESIA | Conformant |
| CID001402 | Tin | PT Babel Inti Perkasa | INDONESIA | Conformant |
| CID001406 | Tin | PT Babel Surya Alam Lestari | INDONESIA | Conformant |
| CID001421 | Tin | PT Belitung Industri Sejahtera | INDONESIA | Active |
| CID001428 | Tin | PT Bukit Timah | INDONESIA | Conformant |
| CID001453 | Tin | PT Mitra Stania Prima | INDONESIA | Conformant |
| CID001457 | Tin | PT Panca Mega Persada | INDONESIA | In Communication |
| CID001458 | Tin | PT Prima Timah Utama | INDONESIA | Conformant |
| CID001460 | Tin | PT REFINED BANGKA TIN | INDONESIA | Conformant |
| CID001463 | Tin | PT Sariwiguna Binasentosa | INDONESIA | Conformant |
| CID001468 | Tin | PT Stanindo Inti Perkasa | INDONESIA | Conformant |
| CID001477 | Tin | PT Timah Tbk Kundur | INDONESIA | Conformant |
| CID001482 | Tin | PT Timah Tbk Mentok | INDONESIA | Conformant |
| CID001486 | Tin | PT Timah Nusantara | INDONESIA | Active |
| CID001490 | Tin | PT Tinindo Inter Nusa | INDONESIA | Non Conformant |
| CID001493 | Tin | PT Tommy Utama | INDONESIA | Conformant |
| CID001539 | Tin | Rui Da Hung | TAIWAN, PROVINCE OF CHINA | Conformant |
| CID001898 | Tin | Thaisarco | THAILAND | Conformant |
| CID001908 | Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | CHINA | Non Conformant |
| CID002015 | Tin | VQB Mineral and Trading Group JSC | VIET NAM | Outreach Required |
| CID002036 | Tin | White Solder Metalurgia e Mineracao Ltda. | BRAZIL | Conformant |
| CID002158 | Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | CHINA | Conformant |
| CID002180 | Tin | Tin Smelting Branch of Yunnan Tin Co., Ltd. | CHINA | Conformant |
| | | | | | | | | | | | | | |
| CID002455 | Tin | CV Venus Inti Perkasa | INDONESIA | Conformant |
| CID002468 | Tin | Magnu's Minerais Metais e Ligas Ltda. | BRAZIL | Conformant |
| CID002478 | Tin | PT Tirus Putra Mandiri | INDONESIA | In Communication |
| CID002500 | Tin | Melt Metais e Ligas S.A. | BRAZIL | Non Conformant |
| CID002503 | Tin | PT ATD Makmur Mandiri Jaya | INDONESIA | Conformant |
| CID002517 | Tin | O.M. Manufacturing Philippines, Inc. | PHILIPPINES | Conformant |
| CID002572 | Tin | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | VIET NAM | Non Conformant |
| CID002573 | Tin | Nghe Tinh Non-Ferrous Metals Joint Stock Company | VIET NAM | Outreach Required |
| CID002574 | Tin | Tuyen Quang Non-Ferrous Metals Joint Stock Company | VIET NAM | Outreach Required |
| CID002696 | Tin | PT Cipta Persada Mulia | INDONESIA | Conformant |
| CID002703 | Tin | An Vinh Joint Stock Mineral Processing Company | VIET NAM | Outreach Required |
| CID002707 | Tin | Resind Industria e Comercio Ltda. | BRAZIL | Conformant |
| CID002756 | Tin | Super Ligas | BRAZIL | Active |
| CID002773 | Tin | Metallo Belgium N.V. | BELGIUM | Conformant |
| CID002774 | Tin | Metallo Spain S.L.U. | SPAIN | Conformant |
| CID002816 | Tin | PT Sukses Inti Makmur | INDONESIA | Conformant |
| CID002835 | Tin | PT Menara Cipta Mulia | INDONESIA | Conformant |
| CID002857 | Tin | Modeltech Sdn Bhd | MALAYSIA | Non Conformant |
| CID003116 | Tin | Guangdong Hanhe Non-Ferrous Metal Co., Ltd. | CHINA | Conformant |
| CID003190 | Tin | Chifeng Dajingzi Tin Industry Co., Ltd. | CHINA | Conformant |
| CID003205 | Tin | PT Bangka Serumpun | INDONESIA | Conformant |
| CID003208 | Tin | Pongpipat Company Limited | MYANMAR | Outreach Required |
| CID003325 | Tin | Tin Technology & Refining | UNITED STATES OF AMERICA | Conformant |
| CID003356 | Tin | Dongguan CiEXPO Environmental Engineering Co., Ltd. | CHINA | Non Conformant |
| CID003381 | Tin | PT Rajawali Rimba Perkasa | INDONESIA | Conformant |
| CID003387 | Tin | Luna Smelter, Ltd. | RWANDA | Conformant |
| CID003397 | Tin | Yunnan Yunfan Non-ferrous Metals Co., Ltd. | CHINA | Non Conformant |
| CID003409 | Tin | Precious Minerals and Smelting Limited | INDIA | Non Conformant |
| CID003410 | Tin | Gejiu City Fuxiang Industry and Trade Co., Ltd. | CHINA | Outreach Required |
| CID003449 | Tin | PT Mitra Sukses Globalindo | INDONESIA | Conformant |
| CID003486 | Tin | CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda | BRAZIL | Conformant |
| CID003524 | Tin | CRM Synergies | SPAIN | Conformant |
| CID003582 | Tin | Fabrica Auricchio Industria e Comercio Ltda. | BRAZIL | Conformant |
| CID003831 | Tin | DS Myanmar | MYANMAR | Conformant |
| CID003868 | Tin | PT Putera Sarana Shakti (PT PSS) | INDONESIA | Conformant |
| CID000004 | Tungsten | A.L.M.T. Corp. | JAPAN | Conformant |
| CID000105 | Tungsten | Kennametal Huntsville | UNITED STATES OF AMERICA | Conformant |
| CID000218 | Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | CHINA | Conformant |
| CID000258 | Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | CHINA | Conformant |
| CID000281 | Tungsten | CNMC (Guangxi) PGMA Co., Ltd. | CHINA | Outreach Required |
| CID000568 | Tungsten | Global Tungsten & Powders Corp. | UNITED STATES OF AMERICA | Conformant |
| CID000767 | Tungsten | Hunan Chenzhou Mining Co., Ltd. | CHINA | Conformant |
| CID000769 | Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd. | CHINA | Non Conformant |
| CID000825 | Tungsten | Japan New Metals Co., Ltd. | JAPAN | Conformant |
| CID000875 | Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. | CHINA | Conformant |
| CID000966 | Tungsten | Kennametal Fallon | UNITED STATES OF AMERICA | Conformant |
| CID002044 | Tungsten | Wolfram Bergbau und Hutten AG | AUSTRIA | Conformant |
| CID002082 | Tungsten | Xiamen Tungsten Co., Ltd. | CHINA | Conformant |
| | | | | | | | | | | | | | |
| CID002313 | Tungsten | Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. | CHINA | Communication Suspended |
| CID002315 | Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | CHINA | Conformant |
| CID002316 | Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. | CHINA | Conformant |
| CID002317 | Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | CHINA | Conformant |
| CID002318 | Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | CHINA | Conformant |
| CID002319 | Tungsten | Malipo Haiyu Tungsten Co., Ltd. | CHINA | Conformant |
| CID002320 | Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | CHINA | Conformant |
| CID002321 | Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | CHINA | Conformant |
| CID002494 | Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | CHINA | Conformant |
| CID002502 | Tungsten | Asia Tungsten Products Vietnam Ltd. | VIET NAM | Conformant |
| CID002513 | Tungsten | Chenzhou Diamond Tungsten Products Co., Ltd. | CHINA | Conformant |
| CID002541 | Tungsten | H.C. Starck Tungsten GmbH | GERMANY | Conformant |
| CID002543 | Tungsten | Masan High-Tech Materials | VIET NAM | Conformant |
| CID002550 | Tungsten | TANIOBIS Smelting GmbH & Co. KG | GERMANY | Conformant |
| CID002551 | Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | CHINA | Conformant |
| CID002589 | Tungsten | Niagara Refining LLC | UNITED STATES OF AMERICA | Conformant |
| CID002641 | Tungsten | China Molybdenum Tungsten Co., Ltd. | CHINA | Conformant |
| CID002645 | Tungsten | Ganzhou Haichuang Tungsten Co., Ltd. | CHINA | Conformant |
| CID002649 | Tungsten | Hydrometallurg, JSC | RUSSIAN FEDERATION | Due Diligence Review |
| CID002724 | Tungsten | Unecha Refractory metals plant | RUSSIAN FEDERATION | Non Conformant |
| CID002827 | Tungsten | Philippine Chuangxin Industrial Co., Inc. | PHILIPPINES | Conformant |
| CID002833 | Tungsten | ACL Metais Eireli | BRAZIL | Non Conformant |
| CID002845 | Tungsten | Moliren Ltd. | RUSSIAN FEDERATION | Due Diligence Review |
| CID003401 | Tungsten | Fujian Ganmin RareMetal Co., Ltd. | CHINA | Conformant |
| CID003407 | Tungsten | Lianyou Metals Co., Ltd. | TAIWAN, PROVINCE OF CHINA | Conformant |
| CID003408 | Tungsten | JSC "Kirovgrad Hard Alloys Plant" | RUSSIAN FEDERATION | Due Diligence Review |
| CID003416 | Tungsten | NPP Tyazhmetprom LLC | RUSSIAN FEDERATION | Due Diligence Review |
| CID003417 | Tungsten | Jingmen Dewei GEM Tungsten Resources Recycling Co., Ltd. | CHINA | Conformant |
| CID003427 | Tungsten | Albasteel Industria e Comercio de Ligas Para Fundicao Ltd. | BRAZIL | Non Conformant |
| CID003468 | Tungsten | Cronimet Brasil Ltda | BRAZIL | Conformant |
| CID003553 | Tungsten | Artek LLC | RUSSIAN FEDERATION | Due Diligence Review |
| CID003609 | Tungsten | Fujian Xinlu Tungsten | CHINA | Conformant |
| CID003612 | Tungsten | OOO “Technolom” 2 | RUSSIAN FEDERATION | Due Diligence Review |
| CID003614 | Tungsten | OOO “Technolom” 1 | RUSSIAN FEDERATION | Due Diligence Review |
| CID003643 | Tungsten | LLC Vostok | RUSSIAN FEDERATION | Due Diligence Review |
| CID003662 | Tungsten | YUDU ANSHENG TUNGSTEN CO., LTD. | CHINA | Outreach Required |
| CID003978 | Tungsten | HANNAE FOR T Co., Ltd. | KOREA, REPUBLIC OF | Outreach Required |
