Exhibit 1.01
Accelerate Diagnostics, Inc.
Conflict Minerals Report
For The Year Ended December 31, 2023
This Conflict Minerals Report for the year ended December 31, 2023, is submitted by Accelerate Diagnostics, Inc. (“Accelerate” or the “Company”) as required by Section 13(p) of, and Rule 13p-1 under, the Securities Exchange Act of 1934, as amended (the “Conflict Regulations”).
1.Company Overview
This report has been prepared by management and supply chain personnel of the Company. The information includes the activities of all subsidiaries that are included in the Company’s consolidated financial statements.
Accelerate is an in vitro diagnostics company dedicated to providing solutions that improve patient outcomes and lower healthcare costs through the rapid diagnosis of serious infections. Microbiology laboratories need new tools to address what the U.S. Centers for Disease Control and Prevention (the “CDC”) calls one of the most serious healthcare threats of our time, antibiotic resistance. A significant contributing factor to the rise of resistance is the overuse and misuse of antibiotics, which is exacerbated by a lack of timely diagnostic results. The delay of identification and antibiotic susceptibility results is often due to the reliance by microbiology laboratories on traditional culture-based tests that often take two to three days to complete. The Company’s technology platforms are intended to address these challenges by delivering significantly faster testing of infectious pathogens in various patient sample types.
2. Product Overview
During 2023, the Company manufactured and sold four categories of products: (1) its Accelerate Pheno® system instrument, (2) Accelerate PhenoTest® BC Kit consumables, (3) its Accelerate Arc™ system instrument, and (4) Accelerate Arc BC Kit consumables (each, a “Product” and collectively, the “Products”).
Accelerate Pheno
The Accelerate Pheno system is the Company’s rapid diagnostic platform. The Accelerate PhenoTest BC Kit is indicated as an aid, in conjunction with other clinical and laboratory findings, in the diagnosis of bacteremia and fungemia, both life-threatening conditions with high morbidity and mortality risk. The device provides identification (“ID”) results followed by antibiotic susceptibility testing (“AST”) for certain pathogenic bacteria commonly associated with
or causing bacteremia. This test kit uses genotypic technology to identify infectious pathogens and phenotypic technology to conduct AST, which determines whether live bacterial cells are resistant or susceptible to a particular antimicrobial. This information can be used by physicians to rapidly modify antibiotic therapy to lessen adverse events, improve clinical outcomes, and help preserve the useful life of antibiotics.
Accelerate Arc
The Accelerate Arc instrument and Accelerate Arc BC Kit is the Company’s system for automating the clean-up and concentration of microbial cells from positive blood culture samples.
Mass spectrometry, and particularly the Matrix-assisted laser desorption ionization time of flight version (“MALDI-TOF”), is an ID technology receiving wide attention. These systems require a pure strain isolate for analysis and enrichment culturing to produce enough material to analyze. MALDI-TOF systems require extensive organism enrichment and purification, which can be provided by the Company’s Accelerate Arc system.
The Company conducted an analysis of its Products and determined that tin, tungsten, tantalum, and gold can be found in its Products.
3. Due Diligence
Based on the Company’s reasonable country of origin inquiry (“RCOI”), the Company was unable to reasonably conclude that all of its conflict minerals did not originate in the Democratic Republic of the Congo or adjoining countries (“Covered Countries”) or come from recycled or scrap sources. Accordingly, the Company performed due diligence to determine the source and chain of custody of the conflict minerals in its Products. Conflict minerals are obtained from sources worldwide, and the Company does not desire to eliminate those originating in the Covered Countries. While the Company is committed to conflict free sourcing of minerals from its supply chain, the Company also recognizes the importance of supporting responsible mineral sourcing from the Covered Countries so as not to negatively impact the economies of those countries.
Design of Due Diligence Measures
The Company’s due diligence measures were designed to conform in all material respects with the due diligence framework in the Organisation for Economic Co-operation and Development (“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 on tantalum, tin, tungsten, and gold (collectively, the “OECD Guidance”).
Due Diligence Measures Performed
Due diligence measures performed for reporting year 2023 consisted of the following:
•OECD: Step 1: Establish strong company management systems
◦A team of Company personnel from its legal, supply chain, and research and development departments with relevant expertise performed an assessment of its Products and Product components and the role that relevant suppliers play throughout the Company’s manufacturing and Product delivery processes.
◦The conflict minerals team oversaw all aspects of the Company’s conflict minerals processes and its diligence on conflict minerals sourcing.
•OECD: Step 2: Identify and assess risks in the supply chain
◦The Company supported ethical sourcing and the use of only conflict-free minerals (that is, minerals that do not directly or indirectly finance or benefit armed groups (as defined in the Form SD instructions) in the Covered Countries) in its Products. The Company defined the scope of its conflict minerals due diligence by identifying, contacting, and requesting relevant information from its direct suppliers that provided components or materials for Products manufactured by the Company in 2023 that were likely to contain conflict minerals.
◦The Company used the conflict minerals reporting template (“CMRT”) standardized by the Responsible Minerals Initiative (“RMI”). The Company requested that each of its relevant suppliers provide the information included within the CMRT, which elicits information relating, among other things, to the following:
▪whether the smelters in their supply chains source conflict minerals from a Covered Country;
▪whether such minerals come from a recycler or scrap supplier;
▪whether the applicable supplier requests and has received completed CMRTs from all of its sub-suppliers;
▪whether the supplier has identified all the applicable smelters it and its sub-suppliers use to supply components or materials to the Company, and, if so, the identity of such smelters;
▪whether the supplier has a policy in place that addresses responsible sourcing;
▪whether the supplier requires its sub-suppliers to source from smelters whose due diligence practices have been validated by an independent third party audit program;
▪whether the supplier has implemented due diligence measures for responsible sourcing; and
▪whether the supplier reviews the due diligence information received from its suppliers, and, if so, whether this process includes corrective action management.
◦The Company reviewed the information provided by its direct suppliers to determine completeness, assess reasonableness, and attempt to identify inconsistencies and inaccuracies.
◦The Company compared the smelter information provided by its direct suppliers against the standard smelter list in the CMRT. For those smelters included in the CMRT, the Company reviewed whether such smelters were listed as Responsible Minerals Assurance Process (“RMAP”) Conformant or Active.
•OECD Step 3: Design and implement a strategy to respond to identified risks
◦The Company supports industry initiatives to encourage a conflict-free supply chain and seeks to develop and establish supply arrangements with companies that exercise reasonable measures to ensure the components and materials they supply to the Company do not support armed conflict within the Covered Countries. The Company continued to evaluate its supply chain strategy to (a) support the objective of preventing the use in Company products of conflict minerals that directly or indirectly finance or benefit armed groups (as defined in the Form SD Instructions) in the Covered Countries, (b) minimize the knowing procurement of materials that are not conflict-free (if conflict-free sources are reasonably available), and (c) further communicate to its direct suppliers the Company’s expectations and systems that are designed to accomplish this goal.
◦The Company seeks to establish and maintain long-term relationships with its key suppliers. However, the Company carefully evaluates any supply arrangements that it determines may finance or benefit armed groups through the sourcing of conflict minerals within the Covered Countries. In such instances, the Company may request the supplier to commit to devise and undertake appropriate corrective action to move to a conflict-free source, or it may consider other appropriate sources for the supplier’s components or materials.
•OECD Step 4: Carry out independent third-party audit of smelter/refiner’s due diligence practices
◦The Company does not have a direct relationship with the smelters and refiners used to process the conflict minerals necessary to its Products and does not perform audits of those smelters and refiners. The Company relies on industry efforts, such as the RMI, to influence smelters and refineries to become certified as part of RMAP.
◦The RMAP independently audits the source, including mines of origin and chain of custody, of the conflict minerals used by smelters and refiners that agree to participate in the RMAP. The smelters and refiners that are found to be RMAP Conformant are those for which the independent audit has verified that the smelter’s or refiner’s conflict minerals originated from conflict free mines.
•OECD Step 5: Report annually on supply chain due diligence
◦The Company does not obtain conflict minerals directly from mines, smelters or refiners. The Company is an indirect purchaser of conflict minerals, as these minerals are contained in components and materials used in its Products that the Company acquires from its direct suppliers, and its due diligence measures provide reasonable, not absolute, assurance regarding the source and chain of custody of the conflict minerals in its Products. The Company relies on its direct suppliers to provide information on the origin of the conflict minerals contained in components and materials supplied to the Company, including sources of conflict minerals that are supplied from lower-tier suppliers. The Company seeks data from its direct suppliers of components and materials and those suppliers seek similar information within their supply chains to identify the original sources of the conflict minerals. The Company may also rely from time to time on information collected and provided by independent third-party audit programs or other sources that it deems reliable. Such sources of information may produce inaccurate or incomplete information and may be subject to fraud. In addition, because of the Company’s location within the supply chain, its ability to verify the accuracy of information reported by suppliers is limited.
◦The Company prepares and files a Form SD to the SEC on an annual basis. This report is made available and posted publicly on the Company’s website at http://ir.axdx.com/governance-documents.
4. Results of Due Diligence
In order to understand the sources of conflict minerals used in its complex and multi-tiered supply chain, the Company implemented a survey program capitalizing on industry standards set by the RMI. The Company requested all direct suppliers of components or
materials containing conflict minerals used in its Products to conduct due diligence of their supply chains down to the smelters and refiners and report the results to the Company on a CMRT. In this regard, the Company surveyed all direct suppliers that contributed components or materials that contained conflict minerals to its Products manufactured in 2023. The Company received responses from 100% of the direct suppliers surveyed.
A. Facilities Used to Process Conflict Minerals
The Company’s direct suppliers identified smelters and refiners that may have been used to process the conflict minerals in its Products, and such smelters and refiners are listed in Table 1. The Company’s direct suppliers have provided it with information at the “company” level. Declarations at the “company” level do not limit the information provided on smelters and refiners to those specific to the components or materials that the supplier provides to the Company. Accordingly, the list of smelters and refiners in Table 1 is likely to contain more facilities than those that processed or refined the conflict minerals actually contained in the Company’s Products. The potential over-reporting of smelter and refiner facilities is a function of such Products containing components or materials that are several steps removed from such facilities, as well as the lack of specificity, in certain cases, with respect to the information that respondents provide to the Company or to its direct suppliers.
B. Countries of Origin of the Company’s Conflict Minerals
None of the Company’s direct suppliers provided any country of origin information. The Company is continuing to evaluate the information provided by its direct suppliers, and its efforts to diligence its supply chain and obtain country of origin information regarding the conflicts minerals used in its Products are ongoing.
C. Efforts to Determine Mine or Location of Origin
The Company has determined that the most reasonable effort it can make to determine the mines or locations of origin of its conflict minerals is to seek information from its direct suppliers and ask its direct suppliers to make the same inquiries from their suppliers. However, none of the Company’s direct suppliers provided any mine or location of origin information.
5. Steps Taken and Being Taken to Mitigate Risk and Improve Due Diligence
During 2024, the Company intends to provide additional background and educational information to its direct suppliers when it believes it is necessary to improve their ability to respond to the CMRT.
6. Cautionary Statement Concerning Forward-Looking Statements
This report contains certain forward-looking statements within the meaning of Section 27A of the Securities Act 1933, as amended (the “Securities Act”), and Section 21E of the Securities Exchange Act of 1934, as amended (the “Exchange Act”) and the Company intends that such forward-looking statements be subject to the safe harbors created thereby. These forward-looking statements, which can be identified by the use of words such as “may,” “will,” “expect,” “believe,” “anticipate,” “estimate,” or “continue,” or variations thereon or comparable terminology, include but are not limited to statements about the Company’s future plans, including plans and objectives relating to the future operations, products, and performance of the Company; projections as to when objectives may be achieved; projections of future demand for the Company’s products; the growth of the market in which the Company operates; the Company’s estimate as to the size of the Company’s market opportunity; the Company’s competitive position and estimates of time reduction to results; and the Company’s expectations relating to current supply chain impacts. In addition, all statements other than statements of historical facts that address activities, events or developments the Company expects, believes or anticipates will or may occur in the future, and other such matters, are forward-looking statements.
Future events and actual results could differ materially from those set forth in, contemplated or suggested by, or underlying the forward-looking statements. There can be no assurances that results described in forward-looking statements will be achieved, and actual results could differ materially from those suggested by the forward-looking statements. The forward-looking statements included herein are based on current expectations that involve a number of risks and uncertainties, including among other things, volatility throughout the global economy and the related impacts to the businesses of our suppliers’ supply chain constraints and inflationary pressures. Other important factors that could cause our actual results to differ materially from those in our forward-looking statements include those discussed herein, and in other reports filed with the U.S. Securities and Exchange Commission (the “SEC”) including but not limited to the risks in the section entitled “Risk Factors” in our Annual Report on Form 10-K for the year ended December 31, 2023, the section entitled “Risk Factors” in our Form 10-Q for the quarter ended March 31, 2024, and in our subsequent filings with the SEC. These forward-looking statements are also based on certain additional assumptions, including, but not limited to, that we will retain key management personnel; we will be successful in the commercialization of our products; we will obtain sufficient capital to commercialize our products and continue development of complementary products; we will be successful in obtaining marketing authorization for our products from the FDA and other regulatory agencies and governing bodies; we will be able to protect our intellectual property; our ability to respond effectively to technological change; our ability to accurately anticipate market demand for our products; and that there will be no material adverse change in our operations or business and general market and industry conditions. Assumptions relating to the foregoing involve judgments with respect to, among other things, future economic, competitive and market conditions and future business decisions, all of which are difficult or impossible to predict accurately and many of which are beyond our control. .
Although the Company believes that the assumptions underlying the forward-looking statements are reasonable, any of the assumptions could prove inaccurate and, therefore, there can be no assurance that the results expressed or implied in the forward- looking statements will be realized. Any forward-looking statements made by us in this report speak only as of the date on which they are made. The Company undertakes no obligation to publicly update or revise any forward-looking statements, whether as a result of new information, future events, or otherwise.
Table 1(1)
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| Subject Mineral | Smelter Name | Country Location of Smelter | CFSI Smelter Identification Number | RMAP Status(2) |
| Gold | 8853 S.p.A. | ITALY | CID002763 | No Status |
| Gold | Abington Reldan Metals, LLC | UNITED STATES OF AMERICA | CID002708 | Conformant |
| Gold | Advanced Chemical Company | UNITED STATES OF AMERICA | CID000015 | Active |
| Gold | African Gold Refinery | UGANDA | CID003185 | No Status |
| Gold | Agosi AG | GERMANY | CID000035 | Conformant |
| Gold | Aida Chemical Industries Co., Ltd. | JAPAN | CID000019 | Conformant |
| Gold | Al Etihad Gold Refinery DMCC | UNITED ARAB EMIRATES | CID002560 | No Status |
| Gold | Alexy Metals | UNITED STATES OF AMERICA | CID003500 | No Status |
| Gold | Almalyk Mining and Metallurgical Complex (AMMC) | UZBEKISTAN | CID000041 | Conformant |
| Gold | AngloGold Ashanti Corrego do Sitio Mineracao | BRAZIL | CID000058 | Conformant |
| Gold | Argor-Heraeus S.A. | SWITZERLAND | CID000077 | Conformant |
| Gold | Asahi Pretec Corp. | JAPAN | CID000082 | Conformant |
| Gold | Asahi Refining Canada Ltd. | CANADA | CID000924 | Conformant |
| Gold | Asahi Refining USA Inc. | UNITED STATES OF AMERICA | CID000920 | Conformant |
| Gold | Asaka Riken Co., Ltd. | JAPAN | CID000090 | Conformant |
| Gold | Atasay Kuyumculuk Sanayi Ve Ticaret A.S. | TURKEY | CID000103 | No Status |
| Gold | AU Traders and Refiners | SOUTH AFRICA | CID002850 | No Status |
| Gold | Augmont Enterprises Private Limited | INDIA | CID003461 | No Status |
| Gold | Aurubis AG | GERMANY | CID000113 | Conformant |
| Gold | Bangalore Refinery | INDIA | CID002863 | Active |
| Gold | Bangko Sentral ng Pilipinas (Central Bank of the Philippines) | PHILIPPINES | CID000128 | Conformant |
| Gold | Boliden AB | SWEDEN | CID000157 | Conformant |
| Gold | C. Hafner GmbH + Co. KG | GERMANY | CID000176 | Conformant |
| Gold | C.I Metales Procesados Industriales SAS | COLOMBIA | CID003421 | No Status |
| Gold | Caridad | MEXICO | CID000180 | No Status |
| Gold | CCR Refinery - Glencore Canada Corporation | CANADA | CID000185 | Conformant |
| Gold | Cendres + Metaux S.A. | SWITZERLAND | CID000189 | No Status |
| | | | | | | | | | | | | | |
| Gold | CGR Metalloys Pvt Ltd. | INDIA | CID003382 | No Status |
| Gold | Chimet S.p.A. | ITALY | CID000233 | Conformant |
| Gold | Chugai Mining | JAPAN | CID000264 | Conformant |
| Gold | Daye Non-Ferrous Metals Mining Ltd. | CHINA | CID000343 | No Status |
| Gold | Degussa Sonne / Mond Goldhandel GmbH | GERMANY | CID002867 | No Status |
| Gold | Dijllah Gold Refinery FZC | UNITED ARAB EMIRATES | CID003348 | No Status |
| Gold | Dowa | JAPAN | CID000401 | Conformant |
| Gold | DSC (Do Sung Corporation) | KOREA, REPUBLIC OF | CID000359 | Conformant |
| Gold | Eco-System Recycling Co., Ltd. East Plant | JAPAN | CID000425 | Conformant |
| Gold | Eco-System Recycling Co., Ltd. North Plant | JAPAN | CID003424 | Conformant |
| Gold | Eco-System Recycling Co., Ltd. West Plant | JAPAN | CID003425 | Conformant |
| Gold | Emerald Jewel Industry India Limited (Unit 1) | INDIA | CID003487 | No Status |
| Gold | Emerald Jewel Industry India Limited (Unit 2) | INDIA | CID003488 | No Status |
| Gold | Emerald Jewel Industry India Limited (Unit 3) | INDIA | CID003489 | No Status |
| Gold | Emerald Jewel Industry India Limited (Unit 4) | INDIA | CID003490 | No Status |
| Gold | Emirates Gold DMCC | UNITED ARAB EMIRATES | CID002561 | No Status |
| Gold | Fidelity Printers and Refiners Ltd. | ZIMBABWE | CID002515 | No Status |
| Gold | Fujairah Gold FZC | UNITED ARAB EMIRATES | CID002584 | No Status |
| Gold | Geib Refining Corporation | UNITED STATES OF AMERICA | CID002459 | No Status |
| Gold | GGC Gujrat Gold Centre Pvt. Ltd. | INDIA | CID002852 | No Status |
| Gold | Gold by Gold Colombia | COLOMBIA | CID003641 | Conformant |
| Gold | Gold Coast Refinery | GHANA | CID003186 | No Status |
| Gold | Gold Refinery of Zijin Mining Group Co., Ltd. | CHINA | CID002243 | Conformant |
| Gold | Great Wall Precious Metals Co., Ltd. of CBPM | CHINA | CID001909 | No Status |
| Gold | Guangdong Jinding Gold Limited | CHINA | CID002312 | No Status |
| Gold | Guoda Safina High-Tech Environmental Refinery Co., Ltd. | CHINA | CID000651 | No Status |
| Gold | Hangzhou Fuchunjiang Smelting Co., Ltd. | CHINA | CID000671 | No Status |
| Gold | Heimerle + Meule GmbH | GERMANY | CID000694 | Conformant |
| Gold | Heraeus Germany GmbH Co. KG | GERMANY | CID000711 | Conformant |
| | | | | | | | | | | | | | |
| Gold | Heraeus Metals Hong Kong Ltd. | CHINA | CID000707 | Conformant |
| Gold | Hunan Chenzhou Mining Co., Ltd. | CHINA | CID000767 | No Status |
| Gold | Hunan Guiyang yinxing Nonferrous Smelting Co., Ltd. | CHINA | CID000773 | No Status |
| Gold | HwaSeong CJ CO., LTD. | KOREA, REPUBLIC OF | CID000778 | No Status |
| Gold | Industrial Refining Company | BELGIUM | CID002587 | No Status |
| Gold | Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd. | CHINA | CID000801 | Conformant |
| Gold | International Precious Metal Refiners | UNITED ARAB EMIRATES | CID002562 | No Status |
| Gold | Ishifuku Metal Industry Co., Ltd. | JAPAN | CID000807 | Conformant |
| Gold | Istanbul Gold Refinery | TURKEY | CID000814 | Conformant |
| Gold | Italpreziosi | ITALY | CID002765 | Conformant |
| Gold | JALAN & Company | INDIA | CID002893 | No Status |
| Gold | Japan Mint | JAPAN | CID000823 | Conformant |
| Gold | Jiangxi Copper Co., Ltd. | CHINA | CID000855 | Conformant |
| Gold | JSC Ekaterinburg Non-Ferrous Metal Processing Plant | RUSSIAN FEDERATION | CID000927 | No Status |
| Gold | JSC Novosibirsk Refinery | RUSSIAN FEDERATION | CID000493 | No Status |
| Gold | JSC Uralelectromed | RUSSIAN FEDERATION | CID000929 | No Status |
| Gold | JX Nippon Mining & Metals Co., Ltd. | JAPAN | CID000937 | Conformant |
| Gold | K.A. Rasmussen | NORWAY | CID003497 | No Status |
| Gold | Kaloti Precious Metals | UNITED ARAB EMIRATES | CID002563 | No Status |
| Gold | Kazakhmys Smelting LLC | KAZAKHSTAN | CID000956 | No Status |
| Gold | Kazzinc | KAZAKHSTAN | CID000957 | Conformant |
| Gold | Kennecott Utah Copper LLC | UNITED STATES OF AMERICA | CID000969 | Conformant |
| Gold | KGHM Polska Miedz Spolka Akcyjna | POLAND | CID002511 | Conformant |
| Gold | Kojima Chemicals Co., Ltd. | JAPAN | CID000981 | Conformant |
| Gold | Korea Zinc Co., Ltd. | KOREA, REPUBLIC OF | CID002605 | Conformant |
| Gold | Kundan Care Products Ltd. | INDIA | CID003463 | No Status |
| Gold | Kyrgyzaltyn JSC | KYRGYZSTAN | CID001029 | No Status |
| Gold | Kyshtym Copper-Electrolytic Plant ZAO | RUSSIAN FEDERATION | CID002865 | No Status |
| Gold | L'azurde Company For Jewelry | SAUDI ARABIA | CID001032 | No Status |
| Gold | Lingbao Gold Co., Ltd. | CHINA | CID001056 | No Status |
| | | | | | | | | | | | | | |
| Gold | Lingbao Jinyuan Tonghui Refinery Co., Ltd. | CHINA | CID001058 | No Status |
| Gold | L'Orfebre S.A. | ANDORRA | CID002762 | Conformant |
| Gold | LS-NIKKO Copper Inc. | KOREA, REPUBLIC OF | CID001078 | Conformant |
| Gold | LT Metal Ltd. | KOREA, REPUBLIC OF | CID000689 | Conformant |
| Gold | Luoyang Zijin Yinhui Gold Refinery Co., Ltd. | CHINA | CID001093 | No Status |
| Gold | Marsam Metals | BRAZIL | CID002606 | No Status |
| Gold | Materion | UNITED STATES OF AMERICA | CID001113 | Conformant |
| Gold | Matsuda Sangyo Co., Ltd. | JAPAN | CID001119 | Conformant |
| Gold | MD Overseas | INDIA | CID003548 | No Status |
| Gold | Metal Concentrators SA (Pty) Ltd. | SOUTH AFRICA | CID003575 | Conformant |
| Gold | Metallix Refining Inc. | UNITED STATES OF AMERICA | CID003557 | No Status |
| Gold | Metalor Technologies (Hong Kong) Ltd. | CHINA | CID001149 | Conformant |
| Gold | Metalor Technologies (Singapore) Pte., Ltd. | SINGAPORE | CID001152 | Conformant |
| Gold | Metalor Technologies (Suzhou) Ltd. | CHINA | CID001147 | Conformant |
| Gold | Metalor Technologies S.A. | SWITZERLAND | CID001153 | Conformant |
| Gold | Metalor USA Refining Corporation | UNITED STATES OF AMERICA | CID001157 | Conformant |
| Gold | Metalurgica Met-Mex Penoles S.A. De C.V. | MEXICO | CID001161 | Conformant |
| Gold | Mitsubishi Materials Corporation | JAPAN | CID001188 | Conformant |
| Gold | Mitsui Mining and Smelting Co., Ltd. | JAPAN | CID001193 | Conformant |
| Gold | MKS PAMP SA | SWITZERLAND | CID001352 | Conformant |
| Gold | MMTC-PAMP India Pvt., Ltd. | INDIA | CID002509 | Conformant |
| Gold | Modeltech Sdn Bhd | MALAYSIA | CID002857 | No Status |
| Gold | Morris and Watson | NEW ZEALAND | CID002282 | No Status |
| Gold | Moscow Special Alloys Processing Plant | RUSSIAN FEDERATION | CID001204 | No Status |
| Gold | Nadir Metal Rafineri San. Ve Tic. A.S. | TURKEY | CID001220 | Conformant |
| Gold | Navoi Mining and Metallurgical Combinat | UZBEKISTAN | CID001236 | Conformant |
| Gold | NH Recytech Company | KOREA, REPUBLIC OF | CID003189 | Conformant |
| Gold | Nihon Material Co., Ltd. | JAPAN | CID001259 | Conformant |
| | | | | | | | | | | | | | |
| Gold | Ogussa Osterreichische Gold- und Silber-Scheideanstalt GmbH | AUSTRIA | CID002779 | Conformant |
| Gold | Ohura Precious Metal Industry Co., Ltd. | JAPAN | CID001325 | Conformant |
| Gold | OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet) | RUSSIAN FEDERATION | CID001326 | No Status |
| Gold | Pease & Curren | UNITED STATES OF AMERICA | CID002872 | No Status |
| Gold | Penglai Penggang Gold Industry Co., Ltd. | CHINA | CID001362 | No Status |
| Gold | Planta Recuperadora de Metales SpA | CHILE | CID002919 | Conformant |
| Gold | Prioksky Plant of Non-Ferrous Metals | RUSSIAN FEDERATION | CID001386 | No Status |
| Gold | PT Aneka Tambang (Persero) Tbk | INDONESIA | CID001397 | Conformant |
| Gold | PX Precinox S.A. | SWITZERLAND | CID001498 | Conformant |
| Gold | QG Refining, LLC | UNITED STATES OF AMERICA | CID003324 | No Status |
| Gold | Rand Refinery (Pty) Ltd. | SOUTH AFRICA | CID001512 | Conformant |
| Gold | Refinery of Seemine Gold Co., Ltd. | CHINA | CID000522 | No Status |
| Gold | REMONDIS PMR B.V. | NETHERLANDS | CID002582 | Conformant |
| Gold | Royal Canadian Mint | CANADA | CID001534 | Conformant |
| Gold | SAAMP | FRANCE | CID002761 | No Status |
| Gold | Sabin Metal Corp. | UNITED STATES OF AMERICA | CID001546 | No Status |
| Gold | Safimet S.p.A | ITALY | CID002973 | No Status |
| Gold | SAFINA A.S. | CZECHIA | CID002290 | Conformant |
| Gold | Sai Refinery | INDIA | CID002853 | No Status |
| Gold | Samduck Precious Metals | KOREA, REPUBLIC OF | CID001555 | No Status |
| Gold | Samwon Metals Corp. | KOREA, REPUBLIC OF | CID001562 | No Status |
| Gold | Sancus ZFS (L’Orfebre, SA) | COLOMBIA | CID003529 | No Status |
| Gold | Sellem Industries Ltd. | MAURITANIA | CID003540 | No Status |
| Gold | SEMPSA Joyeria Plateria S.A. | SPAIN | CID001585 | Conformant |
| Gold | Shandong Gold Smelting Co., Ltd. | CHINA | CID001916 | Conformant |
| Gold | Shandong Humon Smelting Co., Ltd. | CHINA | CID002525 | No Status |
| Gold | Shandong Tiancheng Biological Gold Industrial Co., Ltd. | CHINA | CID001619 | No Status |
| Gold | Shandong Zhaojin Gold & Silver Refinery Co., Ltd. | CHINA | CID001622 | Conformant |
| Gold | Shenzhen Zhonghenglong Real Industry Co., Ltd. | CHINA | CID002527 | No Status |
| Gold | Shirpur Gold Refinery Ltd. | INDIA | CID002588 | No Status |
| | | | | | | | | | | | | | |
| Gold | Sichuan Tianze Precious Metals Co., Ltd. | CHINA | CID001736 | Conformant |
| Gold | Singway Technology Co., Ltd. | TAIWAN, PROVINCE OF CHINA | CID002516 | No Status |
| Gold | SOE Shyolkovsky Factory of Secondary Precious Metals | RUSSIAN FEDERATION | CID001756 | No Status |
| Gold | Solar Applied Materials Technology Corp. | TAIWAN, PROVINCE OF CHINA | CID001761 | Conformant |
| Gold | Sovereign Metals | INDIA | CID003383 | No Status |
| Gold | State Research Institute Center for Physical Sciences and Technology | LITHUANIA | CID003153 | No Status |
| Gold | Sudan Gold Refinery | SUDAN | CID002567 | No Status |
| Gold | Sumitomo Metal Mining Co., Ltd. | JAPAN | CID001798 | Conformant |
| Gold | SungEel HiMetal Co., Ltd. | KOREA, REPUBLIC OF | CID002918 | Conformant |
| Gold | Super Dragon Technology Co., Ltd. | TAIWAN, PROVINCE OF CHINA | CID001810 | No Status |
| Gold | T.C.A S.p.A | ITALY | CID002580 | Conformant |
| Gold | Tanaka Kikinzoku Kogyo K.K. | JAPAN | CID001875 | Conformant |
| Gold | Tokuriki Honten Co., Ltd. | JAPAN | CID001938 | Conformant |
| Gold | Tongling Nonferrous Metals Group Co., Ltd. | CHINA | CID001947 | No Status |
| Gold | TOO Tau-Ken-Altyn | KAZAKHSTAN | CID002615 | Conformant |
| Gold | Torecom | KOREA, REPUBLIC OF | CID001955 | Conformant |
| Gold | Umicore Precious Metals Thailand | THAILAND | CID002314 | No Status |
| Gold | Umicore S.A. Business Unit Precious Metals Refining | BELGIUM | CID001980 | Conformant |
| Gold | United Precious Metal Refining, Inc. | UNITED STATES OF AMERICA | CID001993 | Conformant |
| Gold | Valcambi S.A. | SWITZERLAND | CID002003 | Conformant |
| Gold | WEEEREFINING | FRANCE | CID003615 | Conformant |
| Gold | Western Australian Mint (T/a The Perth Mint) | AUSTRALIA | CID002030 | Conformant |
| Gold | WIELAND Edelmetalle GmbH | GERMANY | CID002778 | Conformant |
| Gold | Yamakin Co., Ltd. | JAPAN | CID002100 | Conformant |
| Gold | Yokohama Metal Co., Ltd. | JAPAN | CID002129 | Conformant |
| Gold | Yunnan Copper Industry Co., Ltd. | CHINA | CID000197 | No Status |
| Gold | Zhongyuan Gold Smelter of Zhongjin Gold Corporation | CHINA | CID002224 | Conformant |
| Tantalum | AMG Brasil | BRAZIL | CID001076 | Conformant |
| | | | | | | | | | | | | | |
| Tantalum | Changsha South Tantalum Niobium Co., Ltd. | CHINA | CID000211 | Conformant |
| Tantalum | D Block Metals, LLC | UNITED STATES OF AMERICA | CID002504 | Conformant |
| Tantalum | F&X Electro-Materials Ltd. | CHINA | CID000460 | Conformant |
| Tantalum | FIR Metals & Resource Ltd. | CHINA | CID002505 | Conformant |
| Tantalum | Global Advanced Metals Aizu | JAPAN | CID002558 | Conformant |
| Tantalum | Global Advanced Metals Boyertown | UNITED STATES OF AMERICA | CID002557 | Conformant |
| Tantalum | Hengyang King Xing Lifeng New Materials Co., Ltd. | CHINA | CID002492 | Conformant |
| Tantalum | Jiangxi Dinghai Tantalum & Niobium Co., Ltd. | CHINA | CID002512 | Conformant |
| Tantalum | Jiangxi Tuohong New Raw Material | CHINA | CID002842 | Conformant |
| Tantalum | JiuJiang JinXin Nonferrous Metals Co., Ltd. | CHINA | CID000914 | Conformant |
| Tantalum | Jiujiang Tanbre Co., Ltd. | CHINA | CID000917 | Conformant |
| Tantalum | Jiujiang Zhongao Tantalum & Niobium Co., Ltd. | CHINA | CID002506 | Conformant |
| Tantalum | KEMET de Mexico | MEXICO | CID002539 | Conformant |
| Tantalum | Materion Newton Inc. | UNITED STATES OF AMERICA | CID002548 | Conformant |
| Tantalum | Metallurgical Products India Pvt., Ltd. | INDIA | CID001163 | Conformant |
| Tantalum | Mineracao Taboca S.A. | BRAZIL | CID001175 | Conformant |
| Tantalum | Mitsui Mining and Smelting Co., Ltd. | JAPAN | CID001192 | Conformant |
| Tantalum | Ningxia Orient Tantalum Industry Co., Ltd. | CHINA | CID001277 | Conformant |
| Tantalum | NPM Silmet AS | ESTONIA | CID001200 | Conformant |
| Tantalum | QuantumClean | UNITED STATES OF AMERICA | CID001508 | Conformant |
| Tantalum | Resind Industria e Comercio Ltda. | BRAZIL | CID002707 | Conformant |
| Tantalum | RFH Yancheng Jinye New Material Technology Co., Ltd. | CHINA | CID003583 | Conformant |
| Tantalum | Taki Chemical Co., Ltd. | JAPAN | CID001869 | Conformant |
| Tantalum | TANIOBIS Co., Ltd. | THAILAND | CID002544 | Conformant |
| Tantalum | TANIOBIS GmbH | GERMANY | CID002545 | Conformant |
| Tantalum | TANIOBIS Japan Co., Ltd. | JAPAN | CID002549 | Conformant |
| | | | | | | | | | | | | | |
| Tantalum | TANIOBIS Smelting GmbH & Co. KG | GERMANY | CID002550 | Conformant |
| Tantalum | Telex Metals | UNITED STATES OF AMERICA | CID001891 | Conformant |
| Tantalum | Ulba Metallurgical Plant JSC | KAZAKHSTAN | CID001969 | Conformant |
| Tantalum | XIMEI RESOURCES (GUANGDONG) LIMITED | CHINA | CID000616 | Conformant |
| Tantalum | XinXing HaoRong Electronic Material Co., Ltd. | CHINA | CID002508 | Conformant |
| Tantalum | Yanling Jincheng Tantalum & Niobium Co., Ltd. | CHINA | CID001522 | Conformant |
| Tin | Alpha | UNITED STATES OF AMERICA | CID000292 | Conformant |
| Tin | An Vinh Joint Stock Mineral Processing Company | VIET NAM | CID002703 | No Status |
| Tin | Aurubis Beerse | BELGIUM | CID002773 | Conformant |
| Tin | Aurubis Berango | SPAIN | CID002774 | Conformant |
| Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | CHINA | CID000228 | Conformant |
| Tin | Chifeng Dajingzi Tin Industry Co., Ltd. | CHINA | CID003190 | Conformant |
| Tin | China Tin Group Co., Ltd. | CHINA | CID001070 | Conformant |
| Tin | CRM Fundicao De Metais E Comercio De Equipamentos Eletronicos Do Brasil Ltda | BRAZIL | CID003486 | Conformant |
| Tin | CRM Synergies | SPAIN | CID003524 | Conformant |
| Tin | CV Ayi Jaya | INDONESIA | CID002570 | Conformant |
| Tin | CV Venus Inti Perkasa | INDONESIA | CID002455 | Conformant |
| Tin | Dongguan CiEXPO Environmental Engineering Co., Ltd. | CHINA | CID003356 | No Status |
| Tin | Dowa | JAPAN | CID000402 | Conformant |
| Tin | DS Myanmar | MYANMAR | CID003831 | Conformant |
| Tin | Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company | VIET NAM | CID002572 | No Status |
| Tin | EM Vinto | BOLIVIA (PLURINATIONAL STATE OF) | CID000438 | Conformant |
| Tin | Estanho de Rondonia S.A. | BRAZIL | CID000448 | Conformant |
| Tin | Fabrica Auricchio Industria e Comercio Ltda. | BRAZIL | CID003582 | Conformant |
| Tin | Fenix Metals | POLAND | CID000468 | Conformant |
| | | | | | | | | | | | | | |
| Tin | Gejiu City Fuxiang Industry and Trade Co., Ltd. | CHINA | CID003410 | No Status |
| Tin | Gejiu Kai Meng Industry and Trade LLC | CHINA | CID000942 | No Status |
| Tin | Gejiu Non-Ferrous Metal Processing Co., Ltd. | CHINA | CID000538 | Conformant |
| Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | CHINA | CID001908 | No Status |
| Tin | Gejiu Zili Mining And Metallurgy Co., Ltd. | CHINA | CID000555 | No Status |
| Tin | Guangdong Hanhe Non-Ferrous Metal Co., Ltd. | CHINA | CID003116 | Conformant |
| Tin | HuiChang Hill Tin Industry Co., Ltd. | CHINA | CID002844 | Conformant |
| Tin | Jiangxi New Nanshan Technology Ltd. | CHINA | CID001231 | Conformant |
| Tin | Luna Smelter, Ltd. | RWANDA | CID003387 | Conformant |
| Tin | Magnu's Minerais Metais e Ligas Ltda. | BRAZIL | CID002468 | Conformant |
| Tin | Malaysia Smelting Corporation (MSC) | MALAYSIA | CID001105 | Conformant |
| Tin | Melt Metais e Ligas S.A. | BRAZIL | CID002500 | No Status |
| Tin | Metallic Resources, Inc. | UNITED STATES OF AMERICA | CID001142 | Conformant |
| Tin | Mineracao Taboca S.A. | BRAZIL | CID001173 | Conformant |
| Tin | Minsur | PERU | CID001182 | Conformant |
| Tin | Mitsubishi Materials Corporation | JAPAN | CID001191 | Conformant |
| Tin | Modeltech Sdn Bhd | MALAYSIA | CID002858 | No Status |
| Tin | Nghe Tinh Non-Ferrous Metals Joint Stock Company | VIET NAM | CID002573 | No Status |
| Tin | Novosibirsk Tin Combine | RUSSIAN FEDERATION | CID001305 | No Status |
| Tin | O.M. Manufacturing (Thailand) Co., Ltd. | THAILAND | CID001314 | Conformant |
| Tin | O.M. Manufacturing Philippines, Inc. | PHILIPPINES | CID002517 | Conformant |
| Tin | Operaciones Metalurgicas S.A. | BOLIVIA (PLURINATIONAL STATE OF) | CID001337 | Conformant |
| Tin | Pongpipat Company Limited | MYANMAR | CID003208 | No Status |
| Tin | Precious Minerals and Smelting Limited | INDIA | CID003409 | Active |
| Tin | PT Aries Kencana Sejahtera | INDONESIA | CID000309 | Conformant |
| Tin | PT Artha Cipta Langgeng | INDONESIA | CID001399 | Conformant |
| Tin | PT ATD Makmur Mandiri Jaya | INDONESIA | CID002503 | Conformant |
| | | | | | | | | | | | | | |
| Tin | PT Babel Inti Perkasa | INDONESIA | CID001402 | Conformant |
| Tin | PT Babel Surya Alam Lestari | INDONESIA | CID001406 | Conformant |
| Tin | PT Bangka Prima Tin | INDONESIA | CID002776 | Conformant |
| Tin | PT Bangka Serumpun | INDONESIA | CID003205 | Conformant |
| Tin | PT Bangka Tin Industry | INDONESIA | CID001419 | Active |
| Tin | PT Belitung Industri Sejahtera | INDONESIA | CID001421 | Conformant |
| Tin | PT Bukit Timah | INDONESIA | CID001428 | Conformant |
| Tin | PT Cipta Persada Mulia | INDONESIA | CID002696 | Conformant |
| Tin | PT Menara Cipta Mulia | INDONESIA | CID002835 | Conformant |
| Tin | PT Mitra Stania Prima | INDONESIA | CID001453 | Conformant |
| Tin | PT Mitra Sukses Globalindo | INDONESIA | CID003449 | Conformant |
| Tin | PT Panca Mega Persada | INDONESIA | CID001457 | No Status |
| Tin | PT Premium Tin Indonesia | INDONESIA | CID000313 | Conformant |
| Tin | PT Prima Timah Utama | INDONESIA | CID001458 | Conformant |
| Tin | PT Putera Sarana Shakti (PT PSS) | INDONESIA | CID003868 | Conformant |
| Tin | PT Rajawali Rimba Perkasa | INDONESIA | CID003381 | Conformant |
| Tin | PT Rajehan Ariq | INDONESIA | CID002593 | Conformant |
| Tin | PT Refined Bangka Tin | INDONESIA | CID001460 | Conformant |
| Tin | PT Sariwiguna Binasentosa | INDONESIA | CID001463 | Conformant |
| Tin | PT Stanindo Inti Perkasa | INDONESIA | CID001468 | Conformant |
| Tin | PT Sukses Inti Makmur | INDONESIA | CID002816 | Conformant |
| Tin | PT Timah Nusantara | INDONESIA | CID001486 | Conformant |
| Tin | PT Timah Tbk Kundur | INDONESIA | CID001477 | Conformant |
| Tin | PT Timah Tbk Mentok | INDONESIA | CID001482 | Conformant |
| Tin | PT Tinindo Inter Nusa | INDONESIA | CID001490 | Conformant |
| Tin | PT Tirus Putra Mandiri | INDONESIA | CID002478 | No Status |
| Tin | PT Tommy Utama | INDONESIA | CID001493 | Conformant |
| | | | | | | | | | | | | | |
| Tin | Resind Industria e Comercio Ltda. | BRAZIL | CID002706 | Conformant |
| Tin | Rui Da Hung | TAIWAN, PROVINCE OF CHINA | CID001539 | Conformant |
| Tin | Soft Metais Ltda. | BRAZIL | CID001758 | Conformant |
| Tin | Super Ligas | BRAZIL | CID002756 | Conformant |
| Tin | Thaisarco | THAILAND | CID001898 | Conformant |
| Tin | Tin Smelting Branch of Yunnan Tin Co., Ltd. | CHINA | CID002180 | Conformant |
| Tin | Tin Technology & Refining | UNITED STATES OF AMERICA | CID003325 | Conformant |
| Tin | Tuyen Quang Non-Ferrous Metals Joint Stock Company | VIET NAM | CID002574 | No Status |
| Tin | VQB Mineral and Trading Group JSC | VIET NAM | CID002015 | No Status |
| Tin | White Solder Metalurgia e Mineracao Ltda. | BRAZIL | CID002036 | Conformant |
| Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | CHINA | CID002158 | Conformant |
| Tin | Yunnan Yunfan Non-ferrous Metals Co., Ltd. | CHINA | CID003397 | Conformant |
| Tungsten | A.L.M.T. Corp. | JAPAN | CID000004 | Conformant |
| Tungsten | ACL Metais Eireli | BRAZIL | CID002833 | No Status |
| Tungsten | Albasteel Industria e Comercio de Ligas Para Fundicao Ltd. | BRAZIL | CID003427 | No Status |
| Tungsten | Artek LLC | RUSSIAN FEDERATION | CID003553 | No Status |
| Tungsten | Asia Tungsten Products Vietnam Ltd. | VIET NAM | CID002502 | Conformant |
| Tungsten | China Molybdenum Tungsten Co., Ltd. | CHINA | CID002641 | Conformant |
| Tungsten | Chongyi Zhangyuan Tungsten Co., Ltd. | CHINA | CID000258 | Conformant |
| Tungsten | CNMC (Guangxi) PGMA Co., Ltd. | CHINA | CID000281 | No Status |
| Tungsten | Cronimet Brasil Ltda | BRAZIL | CID003468 | Conformant |
| Tungsten | Fujian Ganmin RareMetal Co., Ltd. | CHINA | CID003401 | No Status |
| Tungsten | Fujian Xinlu Tungsten Co., Ltd. | CHINA | CID003609 | Conformant |
| Tungsten | Ganzhou Haichuang Tungsten Co., Ltd. | CHINA | CID002645 | No Status |
| Tungsten | Ganzhou Huaxing Tungsten Products Co., Ltd. | CHINA | CID000875 | No Status |
| Tungsten | Ganzhou Jiangwu Ferrotungsten Co., Ltd. | CHINA | CID002315 | Conformant |
| | | | | | | | | | | | | | |
| Tungsten | Ganzhou Seadragon W & Mo Co., Ltd. | CHINA | CID002494 | Conformant |
| Tungsten | Global Tungsten & Powders Corp. | UNITED STATES OF AMERICA | CID000568 | Conformant |
| Tungsten | Guangdong Xianglu Tungsten Co., Ltd. | CHINA | CID000218 | Conformant |
| Tungsten | H.C. Starck Tungsten GmbH | GERMANY | CID002541 | Conformant |
| Tungsten | Hubei Green Tungsten Co., Ltd. | CHINA | CID003417 | Conformant |
| Tungsten | Hunan Chenzhou Mining Co., Ltd. | CHINA | CID000766 | Conformant |
| Tungsten | Hunan Jintai New Material Co., Ltd. | CHINA | CID000769 | No Status |
| Tungsten | Hunan Shizhuyuan Nonferrous Metals Co., Ltd. Chenzhou Tungsten Products Branch | CHINA | CID002513 | Conformant |
| Tungsten | Hydrometallurg, JSC | RUSSIAN FEDERATION | CID002649 | No Status |
| Tungsten | Japan New Metals Co., Ltd. | JAPAN | CID000825 | Conformant |
| Tungsten | Jiangwu H.C. Starck Tungsten Products Co., Ltd. | CHINA | CID002551 | Conformant |
| Tungsten | Jiangxi Gan Bei Tungsten Co., Ltd. | CHINA | CID002321 | Conformant |
| Tungsten | Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd. | CHINA | CID002313 | No Status |
| Tungsten | Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd. | CHINA | CID002318 | Conformant |
| Tungsten | Jiangxi Xinsheng Tungsten Industry Co., Ltd. | CHINA | CID002317 | Conformant |
| Tungsten | Jiangxi Yaosheng Tungsten Co., Ltd. | CHINA | CID002316 | Conformant |
| Tungsten | JSC "Kirovgrad Hard Alloys Plant" | RUSSIAN FEDERATION | CID003408 | No Status |
| Tungsten | Kennametal Fallon | UNITED STATES OF AMERICA | CID000966 | Conformant |
| Tungsten | Kennametal Huntsville | UNITED STATES OF AMERICA | CID000105 | Conformant |
| Tungsten | Lianyou Metals Co., Ltd. | TAIWAN, PROVINCE OF CHINA | CID003407 | Conformant |
| Tungsten | Malipo Haiyu Tungsten Co., Ltd. | CHINA | CID002319 | Conformant |
| Tungsten | Masan High-Tech Materials | VIET NAM | CID002543 | Conformant |
| Tungsten | Moliren Ltd. | RUSSIAN FEDERATION | CID002845 | No Status |
| Tungsten | Niagara Refining LLC | UNITED STATES OF AMERICA | CID002589 | Conformant |
| Tungsten | NPP Tyazhmetprom LLC | RUSSIAN FEDERATION | CID003416 | No Status |
| | | | | | | | | | | | | | |
| Tungsten | OOO “Technolom” 1 | RUSSIAN FEDERATION | CID003614 | No Status |
| Tungsten | OOO “Technolom” 2 | RUSSIAN FEDERATION | CID003612 | No Status |
| Tungsten | Philippine Chuangxin Industrial Co., Inc. | PHILIPPINES | CID002827 | Conformant |
| Tungsten | TANIOBIS Smelting GmbH & Co. KG | GERMANY | CID002542 | Conformant |
| Tungsten | Tungsten Vietnam Joint Stock Company | VIET NAM | CID003993 | Conformant |
| Tungsten | Unecha Refractory metals plant | RUSSIAN FEDERATION | CID002724 | No Status |
| Tungsten | Wolfram Bergbau und Hutten AG | AUSTRIA | CID002044 | Conformant |
| Tungsten | Xiamen Tungsten (H.C.) Co., Ltd. | CHINA | CID002320 | Conformant |
| Tungsten | Xiamen Tungsten Co., Ltd. | CHINA | CID002082 | Conformant |
(1) As noted in the Due Diligence Results section of this report, survey responses from suppliers were provided on a company-wide basis and did not limit the information provided on smelters and refiners to those specific to the components or materials that the supplier provided to the Company.
(2) Verified as of May 20, 2024. “Conformant” means the smelter is listed as compliant with the RMAP assessment protocols, including through mutual recognition, or is listed as “Re-audit in process” by the RMI. “Active” means that the smelter is listed as having submitted a signed Agreement for the Exchange of Confidential Information, Auditee Agreement, and a Due Diligence Checklist.
