Exhibit 1.01
Quantum Corporation
Conflict Minerals Report For the Calendar Year Ended December 31, 2020
This Conflict Minerals Report contains forward-looking statements. These statements include statements regarding Quantum’s goals for its Conflict Minerals policy and the actions that 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.
Introduction
This is the conflict minerals report for Quantum Corporation (“Quantum,” “we,” “us,” or the “Company”) for the calendar year 2020 in accordance with Rule 13p-1 under the Securities Exchange Act (“Rule 13p-1”).
Quantum is a leader in storing and managing digital video and other forms of unstructured data, delivering top streaming performance for video and rich media applications, along with low-cost, long-term storage systems for data protection and archiving. The Company helps customers around the world capture, create and share digital data and preserve and protect it for decades. The Company’s software-defined, hyperconverged storage solutions span from non-volatile memory express, to solid state drives, hard disk drives, tape and the cloud and are tied together leveraging a single namespace view of the entire data environment. The Company works closely with a broad network of distributors, value-added resellers, direct marketing resellers, original equipment manufacturers and other suppliers to meet customers’ evolving needs. 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 and the rules promulgated thereunder (“Section 1502”) requires Quantum to perform certain due diligence procedures and disclose information about the use and origin of certain minerals if they are deemed to be necessary to the functionality or production of a product manufactured or contracted to be manufactured by the Company. The specific minerals covered by these rules are tin, tantalum, tungsten, and gold (“Conflict Minerals” or “3TG”). The Quantum products that contain 3TG are its hardware products (storage systems and subsystems) that the Company contracts to manufacture and sells directly or through resellers, and Conflict Minerals are necessary to their functionality or production.
Components and subassemblies that include 3TG are sourced from a global supply base that includes distributors, value-added resellers, original equipment manufacturers, original design manufacturers and contract manufacturers. Accordingly, Quantum must rely on its direct material suppliers and other third parties to provide information on their upstream 3TG sourcing facilities and processes.
In accordance with Section 1502 and Rule 13p-1, Quantum has performed a reasonable country of origin inquiry (“RCOI”) into the 3TG that were present in the Company’s supply chain for calendar year 2020. The purpose of the RCOI was to determine whether these minerals may have been sourced from the Democratic Republic of the Congo or adjoining countries (“Covered Countries”). As part of the RCOI, the Company conducted due diligence measures as described below.
Due Diligence Procedures
During calendar year 2020, Quantum undertook due diligence procedures designed to conform, in all material respects, with the framework described 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) (the “OECD Guidance”) and any related supplements. Specifically, the Company’s 3TG due diligence measures included the following steps:
1.Establishing strong company management systems;
2.Identifying and assessing risk in the supply chain;
3.Design and implement a strategy to respond to identified risks;
4.Supporting industry organizations that carry out independent third-party audits of smelter and refiner due diligence practices; and
5.Publicly reporting on due diligence.
Establish strong company management systems
1.We have established company procedures regarding our responsibility for addressing Conflict Minerals in our supply chain. Quantum requires supplier compliance with our Environmental Requirements Specification and Business Partner Code of Conduct, both of which require adherence to applicable Conflict Minerals regulations. We also require suppliers to adhere to the Responsible Business Alliance (“RBA”) Code of Conduct.
2.Our internal Conflict Minerals processes are led by our legal department, with assistance from the Company’s supply chain and engineering teams. Members of the senior management team are provided with updates on the status of Quantum’s Conflict Minerals compliance efforts.
3.As we do not have a direct relationship with the 3TG smelters and refiners, we engage with other major manufacturers in our industry and leverage third-party industry resources including the RBA’s Responsible Minerals Initiative (“RMI”) (of which we are a member) to gather information and influence supply chain practices. In calendar year 2020, we also utilized the services of GreenSoft Technology, Inc. (“GreenSoft”) to help us gather, analyze, and address Conflict Minerals data and compliance status.
4.We have multiple longstanding grievance mechanisms whereby employees and suppliers can report violations of Quantum’s policies, including reports to our ethics committee and our third-party 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 have adopted a policy to retain documentation relevant to our conflict minerals due diligence and reporting.
Identify and assess risk in the supply chain
1.We participate in the industry-wide RMI to evaluate and disclose upstream actors in the supply chain. As part of our risk assessment plan and to ensure suppliers understand our expectations, we provided feedback, either directly or through our relationship with GreenSoft Technology, to applicable suppliers regarding reporting that we believed was incomplete, inaccurate or may have indicated smelters in their supply chain that did not show progress towards a conflict free supply chain.
2.For consistency of data content and formatting, Quantum requests our suppliers complete a current version of the RMI conflict minerals reporting template (“CMRT”). We have determined that this process represents the most reasonable effort to determine the mines or locations of origin of the 3TG in our supply chain. Our focus has been on obtaining CMRTs from at least 80% of the suppliers we identify as providing components or parts actively used in our products.
3.Risk is assessed by reviewing information contained in the declaration tab of each supplier’s CMRT and by comparing the CMRT data against the RMI smelter and refiner list. In calendar year 2020, Quantum utilized GreenSoft’s services for data gathering and analysis and subsequent aggregation of declarations and consolidated smelter reports. These summary reports helped identify risks associated with smelters in our supply chain that may have required mitigation.
Design and implement a strategy to respond to identified risks
1.Quantum maintains a corporate compliance program through which Conflict Minerals compliance is implemented, managed and monitored. Updates regarding risks relating to 3TG and their usage in the supply chain are provided to members of the senior management team.
2.Quantum suppliers and contract manufacturers are required to comply with our Environmental Requirements Specification, including by providing CMRTs and supporting a conflict-free supply chain. We engaged GreenSoft’s services to identify and evaluate smelter and refiner data included on CMRTs against the RMI database. Corrections were requested from suppliers for data inconsistencies or inaccuracies identified during that process.
3.We requested data from suppliers whom we reasonably believed (based on part type and material) are supplying us with 3TG. Suppliers providing CMRT information that suggested their supply chains may support conflict in the Covered Countries were encouraged to establish an alternative source of 3TG that does not
support such conflict, as provided in the OECD Guidance. Requirements to comply with Conflict Minerals reporting and conflict free sourcing efforts are included in Quantum’s purchase order terms and conditions, Environmental Requirements Specification, and Business Partner Code of Conduct.
4.Some of our suppliers were unable to represent to us that 3TG from the entities identified in their CMRTs had actually been included in components they supplied to Quantum. In addition, some identified processing facilities were not validated as being verified smelters or refiners. Of those locations that were verified, 80% have been found to be RMI conformant or active. Quantum will continue to encourage suppliers to utilize only RMI-conformant smelters in their supply chains.
Support industry organizations that carry out independent third-party audits of supply chain due diligence
We do not have a direct relationship with 3TG smelters and refiners and do not ourselves perform or direct audits of the due diligence practices of these entities within our supply chain. Quantum is a member of the RMI and compares supplier-provided smelter and refiner data with RMI lists as described above. Quantum considers smelters and refiners identified by the RMI as conformant to be conflict-free.
Publicly report on due diligence
A copy of Quantum Corporation’s Conflict Minerals report is provided as Exhibit 1.01 to this Form SD and is available at the following address: http://investors.quantum.com/phoenix.zhtml?c=69905&p=irol-governance.
Results of Due Diligence
Based on the information available to the Company via industry sources and the due diligence processes described above, Quantum believes that some or all of the smelters and refiners listed in Table 1 may have provided some or all of the 3TG used in our products in calendar year 2020. The Company continues to have smelters in its supply chain that have not been identified by the RMI as conformant with its conflict-free audit process. We do not believe that the 3TG used in our products originated from recycled or scrap sources.
We continue to engage in ongoing work with our supply chain to only use smelters or refiners that are actively achieving or progressing toward RMI conflict-free status. We expect 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 third-party audit process.
An independent private sector audit of our Conflict Minerals Report was not required for calendar year 2020.
Table 1. Potential Smelters and Refiners Used and Country of Origin Data
The information provided in the list below is an aggregation of data received from our supply chain and not a confirmation of 3TG Minerals contained in Quantum products. Since most of the identified smelters or refiners were disclosed at the company-level by our suppliers, we are unable to confirm which specific smelters or refiners actually supplied parts or components used in Quantum products. Therefore, there may be some smelters or refiners in the list below that do not relate directly to our products. Only the smelters or refiners whose names are recognized as smelters or refiners by the RMI are listed below.
| | | | | | | | | | | | | | |
| 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 | Allgemeine Gold-und Silberscheideanstalt A.G. | 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 | Due Diligence Vetting Process |
| 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 | Communication Suspended - Not Interested |
| CID000185 | Gold | CCR Refinery - Glencore Canada Corporation | CANADA | Conformant |
| CID000189 | Gold | Cendres + Metaux S.A. | SWITZERLAND | 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 |
| CID000362 | Gold | DODUCO Contacts and Refining GmbH | GERMANY | Conformant |
| CID000401 | Gold | Dowa | JAPAN | Conformant |
| CID000425 | Gold | Eco-System Recycling Co., Ltd. East Plant | JAPAN | Conformant |
| CID000493 | Gold | JSC Novosibirsk Refinery | RUSSIAN FEDERATION | Conformant |
| 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 | Active |
| 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 - Not Interested |
| 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 | RMI Due Diligence Review - Unable to Proceed |
| CID000929 | Gold | JSC Uralelectromed | RUSSIAN FEDERATION | Conformant |
| 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 | Conformant |
| CID001032 | Gold | L'azurde Company For Jewelry | SAUDI ARABIA | RMI Due Diligence Review - Unable to Proceed |
| 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 | Conformant |
| 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 | Conformant |
| 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 | Conformant |
| 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 | Outreach Required |
| CID001555 | Gold | Samduck Precious Metals | KOREA, REPUBLIC OF | Conformant |
| CID001562 | Gold | Samwon Metals Corp. | KOREA, REPUBLIC OF | Communication Suspended - Not Interested |
| 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 | Conformant |
| CID001761 | Gold | Solar Applied Materials Technology Corp. | TAIWAN, PROVINCE OF CHINA | Conformant |
| CID001798 | Gold | Sumitomo Metal Mining Co., Ltd. | JAPAN | Conformant |
| 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 | Communication Suspended - Not Interested |
| CID002290 | Gold | SAFINA A.S. | CZECHIA | Conformant |
| CID002312 | Gold | Guangdong Jinding Gold Limited | CHINA | Outreach Required |
| CID002314 | Gold | Umicore Precious Metals Thailand | THAILAND | 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 | RMI Due Diligence Review - Unable to Proceed |
| CID002516 | Gold | Singway Technology Co., Ltd. | TAIWAN, PROVINCE OF CHINA | Conformant |
| CID002525 | Gold | Shandong Humon Smelting 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 | Active |
| CID002563 | Gold | Kaloti Precious Metals | UNITED ARAB EMIRATES | RMI Due Diligence Review - Unable to Proceed |
| 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 | Conformant |
| CID002615 | Gold | TOO Tau-Ken-Altyn | KAZAKHSTAN | Conformant |
| CID002708 | Gold | Abington Reldan Metals, LLC | UNITED STATES OF AMERICA | Non Conformant |
| | | | | | | | | | | | | | |
| CID002761 | Gold | SAAMP | FRANCE | Conformant |
| CID002762 | Gold | L'Orfebre S.A. | ANDORRA | Conformant |
| CID002763 | Gold | 8853 S.p.A. | ITALY | Conformant |
| CID002765 | Gold | Italpreziosi | ITALY | Conformant |
| CID002777 | Gold | SAXONIA Edelmetalle GmbH | GERMANY | 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 | Conformant |
| CID002852 | Gold | GCC Gujrat Gold Centre Pvt. Ltd. | INDIA | In Communication |
| 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 | Outreach Required |
| CID002867 | Gold | Degussa Sonne / Mond Goldhandel GmbH | GERMANY | Outreach Required |
| CID002872 | Gold | Pease & Curren | UNITED STATES OF AMERICA | Outreach Required |
| 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 |
| CID002973 | Gold | Safimet S.p.A | ITALY | Conformant |
| CID003153 | Gold | State Research Institute Center for Physical Sciences and Technology | LITHUANIA | Outreach Required |
| CID003185 | Gold | African Gold Refinery | UGANDA | Outreach Required |
| CID003186 | Gold | Gold Coast Refinery | GHANA | Outreach Required |
| CID003189 | Gold | NH Recytech Company | KOREA, REPUBLIC OF | Non Conformant |
| CID003195 | Gold | TSK Pretech | KOREA, REPUBLIC OF | Conformant |
| CID003324 | Gold | QG Refining, LLC | UNITED STATES OF AMERICA | Outreach Required |
| CID003348 | Gold | Dijllah Gold Refinery FZC | UNITED ARAB EMIRATES | In Communication |
| 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 |
| CID000092 | Tantalum | Asaka Riken Co., Ltd. | JAPAN | Conformant |
| CID000211 | Tantalum | Changsha South Tantalum Niobium Co., Ltd. | CHINA | Conformant |
| CID000456 | Tantalum | Exotech Inc. | UNITED STATES OF AMERICA | Conformant |
| 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 |
| CID001192 | 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 | Conformant |
| | | | | | | | | | | | | | |
| 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 |
| CID002547 | Tantalum | H.C. Starck Hermsdorf 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 |
| CID002847 | Tantalum | Meta Materials | NORTH MACEDONIA, REPUBLIC OF | Conformant |
| CID000228 | Tin | Chenzhou Yunxiang Mining and Metallurgy Co., Ltd. | CHINA | Conformant |
| CID000292 | Tin | Alpha | UNITED STATES OF AMERICA | Conformant |
| CID000402 | Tin | Dowa | JAPAN | Conformant |
| CID000438 | Tin | EM Vinto | BOLIVIA (PLURINATIONAL STATE OF) | Conformant |
| CID000448 | Tin | Estanho de Rondonia S.A. | BRAZIL | Active |
| 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 | Conformant |
| CID000942 | Tin | Gejiu Kai Meng Industry and Trade LLC | CHINA | 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 |
| CID001173 | Tin | Mineracao Taboca S.A. | BRAZIL | Conformant |
| CID001182 | Tin | Minsur | PERU | Conformant |
| CID001191 | Tin | Mitsubishi Materials Corporation | JAPAN | Conformant |
| CID001231 | Tin | Jiangxi New Nanshan Technology Ltd. | CHINA | Conformant |
| 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 |
| CID001453 | Tin | PT Mitra Stania Prima | INDONESIA | Conformant |
| CID001460 | Tin | PT Refined Bangka Tin | INDONESIA | Conformant |
| CID001477 | Tin | PT Timah Tbk Kundur | INDONESIA | Conformant |
| CID001482 | Tin | PT Timah Tbk Mentok | INDONESIA | Conformant |
| CID001539 | Tin | Rui Da Hung | TAIWAN, PROVINCE OF CHINA | Conformant |
| CID001758 | Tin | Soft Metais Ltda. | BRAZIL | Conformant |
| CID001898 | Tin | Thaisarco | THAILAND | Conformant |
| CID001908 | Tin | Gejiu Yunxin Nonferrous Electrolysis Co., Ltd. | CHINA | Conformant |
| CID002036 | Tin | White Solder Metalurgia e Mineracao Ltda. | BRAZIL | Conformant |
| | | | | | | | | | | | | | |
| CID002158 | Tin | Yunnan Chengfeng Non-ferrous Metals Co., Ltd. | CHINA | Conformant |
| CID002180 | Tin | Yunnan Tin Company Limited | CHINA | Conformant |
| CID002468 | Tin | Magnu's Minerais Metais e Ligas Ltda. | BRAZIL | Conformant |
| CID002500 | Tin | Melt Metais e Ligas S.A. | BRAZIL | 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 |
| CID002703 | Tin | An Vinh Joint Stock Mineral Processing Company | VIET NAM | Outreach Required |
| CID002706 | 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 |
| CID002834 | Tin | Thai Nguyen Mining and Metallurgy Co., Ltd. | VIET NAM | Conformant |
| CID002844 | Tin | HuiChang Hill Tin Industry Co., Ltd. | CHINA | Conformant |
| CID002858 | 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 |
| CID003379 | Tin | Ma'anshan Weitai Tin Co., Ltd. | CHINA | Conformant |
| CID003387 | Tin | Luna Smelter, Ltd. | RWANDA | Conformant |
| CID003397 | Tin | Yunnan Yunfan Non-ferrous Metals Co., Ltd. | CHINA | 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 | In Communication |
| 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 |
| CID000766 | Tungsten | Hunan Chenzhou Mining Co., Ltd. | CHINA | Conformant |
| CID000769 | Tungsten | Hunan Chunchang Nonferrous Metals Co., Ltd. | CHINA | 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 - Not Interested |
| 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 |
| CID002542 | Tungsten | TANIOBIS Smelting GmbH & Co. KG | GERMANY | Conformant |
| CID002543 | Tungsten | Masan High-Tech Materials | VIET NAM | 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 | Conformant |
| CID002724 | Tungsten | Unecha Refractory metals plant | RUSSIAN FEDERATION | Conformant |
| CID002827 | Tungsten | Philippine Chuangxin Industrial Co., Inc. | PHILIPPINES | Conformant |
| CID002830 | Tungsten | Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd. | CHINA | Conformant |
| CID002833 | Tungsten | ACL Metais Eireli | BRAZIL | Conformant |
| CID002845 | Tungsten | Moliren Ltd. | RUSSIAN FEDERATION | Conformant |
| CID003388 | Tungsten | KGETS Co., Ltd. | KOREA, REPUBLIC OF | Conformant |
| 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 | Active |
| CID003416 | Tungsten | NPP Tyazhmetprom LLC | RUSSIAN FEDERATION | Active |
| CID003417 | Tungsten | Jingmen Dewei GEM Tungsten Resources Recycling Co., Ltd. | CHINA | Active |
| CID003427 | Tungsten | Albasteel Industria e Comercio de Ligas Para Fundicao Ltd. | BRAZIL | Active |
| CID003468 | Tungsten | Cronimet Brasil Ltda | BRAZIL | Active |